NPTEL course: Housing Policy and Planning

Dr. Uttam K. Roy, IIT Roorkee: January-March 2017 Week 4

NPTEL course on
Housing Policy and Planning

Week-Four Lectures consist following topics

1) Urban and Regional Planning Framework for Housing
2) Development Controls for Housing
3) Housing Infrastructure-Physical

Note:
1. This note have Three sections corresponding to five lectures
2. This lecture note is to be referred along with the video lectures for better understanding

1.0 Urban and Regional Planning

Planning relates to the process of preparing a plan, a framework of long, medium and short-term roadmap
for the development of any geographic area. A plan is contextual to the geography, climate and people of
the area and is prepared in conjunction with the local and national policy guidelines. Therefore, it can be
said that planning follows policy. Planning essentially deals with meeting the needs of the future through
appropriate resource allocation at present and is a multi-dimensional process. It is undertaken at many
levels and involves a large number of stakeholders. Being a multi-disciplinary field, planning process
includes inputs from a diverse range of technical experts. People’s participation forms an integral and
important part of planning.

As mentioned, planning is undertaken on a multi-level basis, at the central level, state level and local
levels. In the case of towns/urban areas, the local government comprises of the Municipality or Nagar
panchayat while in rural areas, the local government is formed of the Panchayat Samiti. While the former
is formed of the ward committee, the latter is comprised of the gram panchayat. Before the introduction of
73rd and 74th Constitutional Amendment Act in 1992, a top-down approach was followed in planning
where the decisions were taken by the central or state government and passed down to local governments
for implementation and execution. However, this approach has shifted to bottom-up approach since 1992
where the decentralization of planning process was advocated, giving the local government the authority
to take decisions and implement them in their own areas and regions. This gave rise to a new concept –
micro-level planning.

1.1 Planning process at Multi levels

Central level – at this level, planning is done by the planning commission and is financed by the central
finance commission. It is done for a duration of 5 yrs and brought out in the form of five-year plans.

State level – here, the planning is done by the state planning commission and financed by the state
finance commission. Similar to above, the duration for which planning is done remains at 5 yrs and it is
available in the form of state five-year plans.

District/Metropolitan level – the district planning commission or metropolitan planning commission

prepares the district development plan, perspective plan etc, which is financed by the state finance
commission. While the development plans are made for a time period of 5 yrs, the perspective plans
prepared at this level are made for long term development, often for 25 years.

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 NPTEL course: Housing Policy and Planning
Dr. Uttam K. Roy, IIT Roorkee: January-March 2017 Week 4
City Development Block/ Urban Local Bodies – Further coming down in the hierarchy of local
planning bodies, the ULBs present in the area are involved in the preparation of district development
plans (on 5 yearly basis) and annual plans (on yearly basis), which is financed by the state government.
While preparing the plan, other regulatory bodies operating at further local levels (such as ward
committees and gram panchayats) are involved in the decision-making process. The table below clearly
shows the multilevel planning framework in India.

Level of
Planning By Name of the plan Period Financed by
Governance
Central Planning commission Five year plan 5 yrs (CFC)
State State planning board State level plan 5 yrs (SFC)
Distt. Plan
District/ DPC 5 yrs
Metropolitan dev Plan/ SFC
Metropolitan MPC 25 yrs
perspective plan etc.
DDP 5 yrs.
CD Block/ ULB CD Block / ULB SFC
Annual plan 1 yr
Development plan / 5 yrs SFC thro block/
GP & WC GP & WC
annual plan 1 yr ULB
CFC-Central finance commission, SFC-State finance commission, DPC-District planning committee, MPC-
Metropolitan planning committee, GP- Gram Panchayet, WC-Ward Committee, ULB- Urban Local Bodies,
DDP- Draft Development Plan

1.2 Different Plan Options

As there are multi levels of plan preparation organizations, so are there multiple hierarchies in the plan
preparation process. The highest in the order are the National Plans, also known as Five Year Plans that
broadly outline the development goals and policy agenda of the government for a term of five years.
National planning involves the process of setting goals, developing strategies, and outlining tasks and
schedules to accomplish the national goals. It proposes and justifies an overall plan in which the role of
individual sectors can be seen in context. A similar exercise is done at the state level and a state
development plan is prepared. It serves as a state’s overall planning document which can act as a guide
for all state agencies as they develop plans, programs and projects and to establish priorities and allocated
limited resources. An SDP is the reflection of the vision of its citizens and is also a document that
accounts for the plans of the local and regional development agencies.

Perspective planning refers to long-term planning in which long range targets are set in advance for a
period of 15, 20, or 25 years. A perspective plan, however, does not imply one plan for the entire period
of 15 or 20 years. In reality, the broader objectives and targets are to be achieved within the specified
period of time by dividing the perspective plan into several short-period plans of 4, 5 or 6 years.
Development Plans are made for specific urban or rural entities for each five years. A development plan
provides a road map of city or rural area for its physical, social and economic growth. However, for a
bigger urban entity like metro or mega city, several sectoral strategy plans are formulated with the
intention of a detailed plan for such specific sectors. For example, sectoral plans could be prepared for
mobility, housing, water supply, sewerage, SWM etc. Development Plan is further broken up into
annual plans or annual action plan for specific financial allocations and actions. Every annual plan
indicates projects and schemes with all necessary details. Detailed Project Report (DPR) is then
formulated for for each project separately before implementation.

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 NPTEL course: Housing Policy and Planning
Dr. Uttam K. Roy, IIT Roorkee: January-March 2017 Week 4

1.3 Stages of Planning

The process of planning essentially means to organize and allocate resources for the future growth.
Therefore, the first step is to determine what needs to be accomplished through the preparation of the plan
based on a detailed baseline study of the existing situation. This follows formulation of a vision and
thereafter establishing new goals through a series of well-structured quantifiable objectives. The next step
is to analyze the existing scenario by gathering necessary information and using scientific analytical
techniques. As the current situation and needs are brought out through study, there arises a requirement to
identify the key drivers of growth in that particular system. With that being clear, its constituent
parameters and variables are projected for future and a simulation process is initiated through the
synthesis of various alternative scenarios. Weighted for their individual merits and demerits, various
strategies are then developed for the various options in hand. The proposal stage in any planning process
is only complete when it provides solutions in terms of the proposal for projects, a stage called
projectization. The outcome of this process is an organized report which has four basic parameters – a
land-use plan, regulations for land use, infrastructure and amenities and general guidelines, norms or
standards applicable to a specific sector or location.

1.4 Examples of urban planning in India

The master plan of Delhi is an

example of a plan document
which has been reviewed and
revised with the changing
requirements of the city. It was
first prepared in 1962, revised
in 2001 and prepared for the
year 2021. The recently
published MPD 2021 has been
prepared taking into account,
the limited resources available
in the city and a pressure on
the infrastructure due to high
and rising levels of migration.
It employed the tool of public
participation and has been
planned with policy guidelines
for a period of 20 years. This Figure: Delhi Master Plan (Source DDA)
document includes regulations
and guidelines at the city and sub-city level, a comprehensive traffic and transportation plan, circulation
network plans, traffic management schemes, environment management schemes.

Another budding example of urban planning can be seen in New Town, Kolkata. New Town is a fast
growing planned satellite city located towards the north-eastern fringes of metropolitan city Kolkata, at a
distance of almost 10 km from central Kolkata. It is developed as an IT and residential hub to absorb the
future metropolitan growth. The township covers a physical area of about 28 sq km and is planned for a
population of about 7-8 lakhs. The town was planned on vast areas of previously cultivated lands, which
included a number of water bodies, primarily to establish a new business district outside of Kolkata.
Another objective of this development was to provide new areas for setting up regional level centers of
various community facilities and to provide land for setting up industries in the area. New Town was
developed with the intention to check the unplanned growth of settlement in presently vacant areas by the
provision of planned infrastructure. It has therefore focused on the provision of public utilities. Presently,

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 NPTEL course: Housing Policy and Planning
Dr. Uttam K. Roy, IIT Roorkee: January-March 2017 Week 4
the first road network to have Wi-fi connectivity is present in this township. The township is connected
with Kolkata through a six-lane high-speed corridor. The Master Plan of the township shows its division
into three areas – Action Area I, II & III. Action Area I, located in the southwestern part of the town,
mainly consists of malls, Sub-CBD and residential and commercial plots. Action Area II, located towards
the northwestern part is the area planned for CBD, institutional plots and large apartment complexes.
Action Area III located in the southeastern part mainly consists of high rise residential complexes and
sub-townships along with upscale gated residential communities.

1.4 Planning Control Tools

In an Urban Planning process, various tools are used to ensure the desired objectives of the plan. Planning
is a comprehensive process and involves a lot of technical, legal and socio-political procedures. It is a
multi-disciplinary field wherein stakeholders from diverse backgrounds have their vested interests. In
order to guide the proposed development a particular area and control adequate levels of development, it
utilizes a set of tools and techniques to keep the unchecked growth in control. Examples of such
development control regulations are land-use control rules, building bye-laws and acts pertaining to
advertisement or trade licenses.

Sl Planning control Parameters Key subject

no. tools
1 Land use & Predominant land use, land use mix at Land and Land cover
Zoning Regulations various levels, population density, sub- Infrastructure and
category of land use (e.g. for residential, Networks
the types of housing etc)
2 Development Control Envelops for built elements, FAR/FSI, Buildings and structures
Regulations Building heights, Ground Coverage etc
Building rules and
regulations
3 Rules related to Advertisement, hoarding types, size and Structure other than
advertisement, locations buildings
streetscaping. Misc Size, type and location of other misc
other structures etc. structures

1.5 Concept of Density at various levels

Any regional plan or master plan is proposed to house or cater to a certain quantity of population. This is
determined on the basis of a term called urban/city density. Density measures are useful tools for planning
and development practitioners, to help ensure project objectives are met. It refers to the number of people
inhabiting a given urbanized area or the concentration of people. Densities are measured at different
levels. City level, Gross and net.

City level density (CLD) = total population of the city/total area of the city

City level density is often used to compare the compactness of any city. The density of residential
development is without any doubt the most discussed and important factor in determining the residential
land use, the most prominent component of any master plan. Please note that in measuring CLD it does
not differentiate the areas under residential or other use and it considers whole areas of the city.

Residential density is generally measured in two ways – net and gross. Gross and Net residential density
is a tool used for prescription of the future population in a proposed housing district or zone. Both these

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 NPTEL course: Housing Policy and Planning
Dr. Uttam K. Roy, IIT Roorkee: January-March 2017 Week 4
densities are calculated using the same basic ratio formula – the number of population divided by the area
of land (gross or net) they occupy. It is the land uses included in the land area which determines the type
of density being determined. While gross residential density includes residential plot area, local roads plus
local non-residential land uses, calculation of net density takes into account only the residential
component of the land area. The following example will clarify the difference

Let the total area of residential gross land use is R and population is P

R consists of Net residential plot area as ‘r’, Local roads ‘t’, Local open recreational Open
spaces ‘o’, Local facilities ‘f’. Therefore, R = r+t+o+f

Now Gross density is P/R & Net density is P/r

It can be noted that since R>r, Gross density is less than Net Density

The density is a very important parameter in determining the future housing in a given area. After the city
planning and at the stage of making housing strategy the specific prescription of density is used to control
the variability of different housing types intended in the planning exercise. Gross density is used to assign
gross residential land for future development in a master plan or city development plan. Whereas Net
density is used to design the plot level holding capacity. The detailed discussion in housing strategy in
successive lectures will clarify this in a better way.

2.0 Development Controls for Housing

Development controls are a set of regulations that are meant to control and regulate the development of
the city in accordance with the founding concept and ideas as envisaged by the development plans. They
have been defined as the mechanism through which entire process of urban development is regulated to
achieve the objective of promoting the overall benefit of the society and creating a distinct image of the
city. It includes guiding the development and use of land, curbing misuse of land and promoting the
rational and orderly development of built environment. Development controls are required to meet
situations and contexts which are generally static. In this context, they tend to become too rigid and
complex. Looking at the far-reaching impact and implications of the development controls on the growth
and development, character, fabric and personality of a city, they need to be framed with great care and
abundant caution. Considering the larger public interest and general welfare of the community,
formulation of the development control should satisfy the basic requirements of the health, safety
convenience, economy and amenity. Development control regulation is one of the most commonly
applied tools used in urban planning.

The development control function regulates the land use, building use and trade rules etc. its dimension
extends to control the extent of development (buildability), mixing of land and building use, density and
compactness (through controlling building volume and ground coverage), visual impact of development
and the overall urban character of the built environment. The components that make up the development
control rules are called bye-laws and are stated in the form of ground coverage, floor-area-ratio (FAR),
building heights and other services and amenities on and off the site.

The development control function is an important one and those who work to evaluate applications for
development permission; grant or refuse permission; and inspect development have a tremendous
responsibility to ensure that problems do not arise. They have a responsibility to ensure that development
occurs in the right place, at the right time; that buildings are structurally sound and will not endanger the
safety or lives of those who live in or use them; that they are provided with the basic services and
facilities necessary to support the purpose for which they are erected; and to ensure that the environment

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 NPTEL course: Housing Policy and Planning
Dr. Uttam K. Roy, IIT Roorkee: January-March 2017 Week 4
and natural resources of a region are managed carefully and prudently for the enjoyment of present and
future generations.

3.0 Physical Infrastructure and Services for Housing

Housing forms a part of infrastructure since it is a basic need for providing facilities and amenities to the
general public. In the pyramid explaining Maslow’s hierarchy of human needs, shelter is placed at the
bottom, in the physiological needs category, along with food and clothing. Housing is essentially a social
matter but has many physical dimensions associated with itself. Apart from the multiple number of units
that make up the physical dimensions, other aspects that bear cause-effect relationships with housing
include community belief systems, quality of services, livelihood sources, affordability and individual
preferences. To fulfill all dimensions in a housing design it is required to differentiate its classification,
systems and subsystems. Typically, housing infrastructure has four levels of hierarchy beginning from a
single room as the basic unit to forming a cluster at the neighborhood level.

it was discussed earlier that one of the very important dimension of housing is essential services and
infrastructure. Infrastructure by definition refers to the physical and social components of interrelated
systems providing commodities to enable, sustain and enhance societal living conditions. When translated
in an urban context, it comprises of many components that include roads and transportation, services
(sewerage, drainage, water supply, power distribution), solid waste management, social infrastructures
such as parks and playgrounds and places of recreation. Services are the outcome or interface of
infrastructure and human being. For example, water supply treatment plan and network could be a major
infrastructure in a city and ensuring good quality water using that infrastructure is an essential service.
Facilities and Amenities are special provision often at the site level or project or unit level to add further
value of quality of social life and individual life. The following example will clarify the differences.

• Infrastructures: Road and access, treatment plants, drainage systems etc

• Services (Basic): Water supply, electric supply, garbage disposal, cleaning of drains etc
• Facilities: Playground, parks, security systems, water body, community hall, shops, dispensary
etc.
• Amenities: 24x7 hot-cold water, generator backup,

Infrastructure development has a key role to play in both economic growth and orderly development of
any area. This is because the quality of the infrastructure directly affects the quality of life and ultimately
human development, since it forms the underlying base of the economy. Urban or municipal
infrastructure refers to hard infrastructure systems generally owned and operated by municipalities, such
as streets, water distribution, and sewers. It may also include some of the facilities associated with soft
infrastructures, such as parks, public pools, schools, hospitals and libraries. It can be divided into three
broad categories – physical, social and economic. During the plan preparation process, it is essentially the
infrastructure that is planned by allocating resources. Therefore, infrastructure management falls in the
prerogative of urban planners.

In any settlement, be it in an urban setting or rural commune, infrastructure is very important.

Infrastructure essentially means facilities and services that aid in carrying out various daily activities
smoothly and effectively. Good infrastructure adds to the quality of life while poor infrastructure
downgrades it. It allows one to perform a basic physiological activity with basic comforts for the self and
for the family. Infrastructure is also essential to ensure public safety and security and cater to the basic
social involvements that general masses are expected to have. Hence apart from being a physical entity,
infrastructure is also a matter that concerns the social, economic and psychological health of a settlement.

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 NPTEL course: Housing Policy and Planning
Dr. Uttam K. Roy, IIT Roorkee: January-March 2017 Week 4

3.1 Physical Infrastructure

Road – Roads are classified into various types based on their width, location and usage. Broadly, they are
identified as urban roads or rural roads depending upon the setting of the areas they connect. The most
important roads are the national and state highways linking important nodal centers across the country.
Urban roads are further categorized as arterial roads, sub-arterial roads, collector roads and local roads
based on their average width, purpose and traffic access. Road networks can follow different geometry,
generating linear, grid-iron, radial and ring patterns. The width of any road is given by its RoW (Right of
Way), which is a term that includes all the elements of a road section. These elements include the
carriageway (clear width for traffic access), median (dividing the RoW into two), divider (dividing two
lanes), footpath (for pedestrian access), cycle tracks, service roads and intersection.

Drainage – While planning an effective drainage infrastructure, the major points that are considered are
the area and quantity of disposal from the system. This is determined after a detailed study and analysis of
the trans-municipal drainage networks. While laying the underground piping system, the flood levels of
the area are considered as is the possibility of maintenance of the engineering aspects involved in the
system which eventually affects the quality of sanitation maintained in the settlement.

Electricity and Power – Power is an important infrastructure in the information age as it forms the backup
for the electronic gadgets and machinery. With increasing sensitivity towards climate change and over
usage of limited resources, many alternate ways of generating power have made their way, replacing the
traditional system of harnessing only the hydroelectric power. These alternative modes include the use of
renewable sources of energy such as wind energy, tidal energy, solar energy and geothermal energy to
produce additional sources of power. Another arena which is explored to generate power is through the
use of nuclear reactions, which are highly exothermic and can provide substantial quantities of power.

Sewerage and sanitation – This form of physical infrastructure is usually catered to by two methods –
through and underground piping system or through the provision of individual septic tanks with each
dwelling unit. While the former system uses a designated space for treatment of the collective load from
different areas at a place called sewage treatment plan (STP), the latter system employs a localized
treatment of the sludge in the septic tank and its disposal through the soak pit. Therefore it is a
personalized solution available in small cities, rural areas and hilly regions.

Waste Management – this involves all the activities and actions required to collect waste from its source
to its final disposal. The wastes generated from the households, commercial and industrial yards and
construction sites are collected at the primary, secondary and tertiary level. While primary waste
collection refers to the door-to-door collection, the secondary and tertiary waste is collected in the
neighborhood garbage yards and community bins respectively. This is followed by the sorting of waste
and segregation at source. One part of the segregated waste is then taken to treatment plants to be treated
and reused, while the other part is transported to landfill sites for disposal, usually located on the outskirts
of the settlement or urban area.

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Few questions to think and further study
1. Is it really beneficial to segregate the planning processes in a geographical and time scale? Are the
development controls sufficient to shape our urban future? If not what else is required? Why in spite of
development controls in place, our cities often look not much interesting?
2. Is it possible to provide all infrastructure at a time for any residential area? If not how it can be prioritised?
Who decides infrastructure priority? What are the basic services? Can a human being create basic services
for them or every time it has to be provided by government?

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