What is impeding implementation of sustainable urban transport policy

MSc. TRANSPORT PLANNING
What is impeding implementation of Sustainable Urban Transport Policy?
A Case Study of Policy Implementation in Kolkata, India
SURAJIT BHATTACHARYA
MAY 2013

University of the West of England, Bristol 02/05/2013
MSc. Transport Planning Dissertation Page2
Declaration
This study was completed for MSc. in Transport Planning at the
University of the West of England, Bristol, UK. The work is my own.
Where the work of others is used or drawn on, it is attributed.
The word count of this dissertation is 17,500 words.
Total 81 pages including cover page.
Signed
Surajit Bhattacharya
02 MAY 2013

Abstract
The city of Kolkata is located in the eastern part of India and is capital of the state of West
Bengal. Kolkata Metropolitan Area (KMA) is essentially the metropolitan outgrowth of the
city of Kolkata which had housed the capital of British India. The transportation system in
Kolkata consists of various modes ranging from the original ferries to metro rail, hand driven
rickshaws, trams, buses and trains. Except ferry, train and metro, others currently share the
same right of way in Kolkata. Historically, the core city of Kolkata was based on mobility by
ferries, hand rickshaws and trams, complemented by the pedestrian movement. The use of
trams and non-motorized modes of transport suited the narrow streets and offered the
required manoeuvrability. Modern life style has led to the same roads being confiscated by
high speed motorized modes and sustainable modes of transport being neglected which
are causing serious pollution, congestion and accidents.
The national government has promulgated National Urban Transport Policy in 2006 for
guiding the states for coping with the urban mobility crisis because of the dual effect of
growth in urban population and growth in motorised transport which is attributed to
economic growth. Even after so many years, state government of West Bengal has not
been able to put forward any urban transport policy which suites the need for sustainable
urban transport in metropolitan Kolkata. In the absence of suitable urban transport policy,
traditional road centric policies are continuing to over shadow the need to progress towards
the implementation of sustainable urban transport policy.
This research thus tries to investigate as what is impeding implementation of Sustainable
Urban Transport Policy in metropolitan Kolkata promulgated by national government in
relation to the limitations of human behavior for decision making in the process of
implementation.

TABLE OF CONTENTS
Heading Page no
Abstract 03
Table of contents 04
List of figures and tables 07
List of Appendices 08
Acknowledgements 09
List of Acronyms 10
1. Introduction and background 11
1.1 Introduction to research Topic 11
1.2 Understanding study area Kolkata 12
1.3 Transport scenario in India and Kolkata 12
1.4 About dissertation 14
1.5 Scope of the dissertation 15
1.6 Dissertation structure 15
2. Existing Literature Review 17
2.1 Approach to literature review 17
2.2 Sustainable development and sustainable transport 18
2.3 Institution, typology and change characteristics 20
2.4 Barriers to implementation of sustainable transport policy 21
2.5 Over view of the transport policies in India and Kolkata (KMA) 23
2.6 Previous research 26
2.7 Summary of literature review and emerging research gaps 27
3. Justification of research 30
3.1 What is impeding implementation of sustainable transport in Kolkata? 30
3.2 Research aim 30
3.3 Theoretical framework for research 30
3.4 Research questions 32

4. Research approach and Methodology 33
4.1 Research approach 33
4.2 Research methodology 34
4.2.1 Identification of the relevant information and data 34
4.2.2 Secondary information and data collection 34
4.2.3 Questionnaire and interview 36
4.2.4 Data analysis 37
4.3 Ethical considerations 38
4.4 Limitations 38
5. Analysis and findings 39
5.1 National government approach towards sustainable transport policy 39
5.1.1 Introduction 39
5.1.2 Public transport discourse 41
5.1.3 Discourse for parking and Multi-level car park 42
5.1.4 Discourse of setting up of chain of new organisation 43
5.1.5 Discourse of Public Awareness 43
5.2 State government approach towards sustainable transport
policy and implementation 44
5.2.2 Strategy for Urban transport in Traffic and transportation
Master Plan 44
5.2.3 Strategy for Urban transport in Comprehensive Mobility Plan 45
5.3 Current Trends in travel behaviour in Kolkata 47
5.3.2 Reduction in public transport patronage 48
5.3.3 Increased personalised vehicles 49
5.3.4 Neglected Kolkata tram 51
5.4 Attitude of policy makers towards sustainable urban transport
policy and implementation 52
5.4.2 Extent of knowledge and information one possesses 53

5.4.3 Limited cognitive ability of individuals 55
5.4.4 Unconscious skills, habits and reflexes individuals possess 57
5.4.5 Individuals’ values and conception of purpose 58
5.4.6 Simplification of the process of decision making by
use of rule of thumb 60
6. Conclusion 62
6.1 Summary of findings 62
6.2 Answering the questions 63
6.3 Discussion on way forward 67
6.4 Conclusion 68
References 69

List of Figures and Tables
Figures
1. Figure 1.1 Location map of Kolkata
2. Figure 1.2 Study area map of KMA
3. Figure 1.3 Urban Transport system in Kolkata
4. Figure 1.4 Trip distributions
5. Figure 2.1 Transportation impacts on sustainability
6. Figure 2.2 Institutional Levels
7. Figure 4.1 Triangulation method
8. Figure 5.1 NUTP 2006 objectives
9. Figure 5.2 GOI’s focus for Urban Transport
10. Figure 5.3 Comprehensive mobility plan vision
11. Figure 5.4 Comprehensive Strategies for Enhancing Mobility
12. Figure 5.5 KMA population
13. Figure 5.6 KMA Decadal Growth
14. Figure 5.7 Modal Share 2002
15. Figure 5.8 Modal Share 2008
16. Figure 5.9 Growth in Motorised vehicles, Kolkata
17. Figure 5.10 Comparison of road based transport share
18. Figure 6.1 JnNURM Spending
19. Figure 6.2 Model share
Tables
1. Table 4.1 Number of interviews and background of interviewees in case studies
2. Table 5.1 Tram Services in Kolkata

List of Appendices
Appendix-I Government notification / directive
Appendix-II Sample interview questionnaire
Appendix-III News articles on Kolkata Urban transport

Acknowledgements
This dissertation work would not have been possible without the active support of the many
individuals. I would like to thank my supervisor Dr. Steve Melia for helping me shape my
dissertation and provide his valuable comments and suggestions time to time.
I would also like to thank all the respondents who provided me with their valuable time for
the interview. I ought to mention about Premjeet Dasgupta who was very enthusiastic about
the dissertation work and provided great support.
I also owe sincere thanks to my wife, my daughter and my father for their support and
encouragement throughout entire period of study of MSc. Transport Planning at UWE
Bristol.
I acknowledge GOD’s blessings as paramount for completing my work.

List of Acronyms
BRTS - Bus Rapid Transit System
CSE - Centre for Science and Environment
CMP - Comprehensive Mobility Plan
CTC - Calcutta Tram Company
DUD - Department of Urban Development
GHG - Green House Gas
GOI - Government of India
ITS - Intelligent Transport Systems
IPT - intermediate public transport
JnNURM - Jawaharlal Nehru National Urban Renewal Mission
KMA - Kolkata Metropolitan Area
KMDA - Kolkata Metropolitan Development Authority
LPG - Liquid Petroleum Gas
MORTH - Ministry of Road Transport & Highways
MUD - Ministry of Urban Development
NMT - Non Motorised Transport
NURM - National Urban Renewal Mission
NUTP - National Urban Transport Policy
NGO - Non Governmental Organisation
PT - Public Transport
SPV - Special Purpose Vehicle
TD - Transport Department
TDM - Transportation demand management
ULB - Urban Local Body
UWE - University of the West of England
UDPFI - Urban Development Plan Formulation and Implementation
UMTA - Urban Mass Transport Authority
WSG - West Bengal State Government

CHAPTER-1
1. INTRODUCTION AND BACKGROUND
1.1 Introduction to Research Topic
Cities are the growth centres for economy and prosperity of a nation. Cities grow and
develop based on various infrastructures such as physical, social and institutional (Singh,
2005). Over-reliance of world cities on the automobile contributes to ‘environmental
degradation’ and low ‘quality of life’ has been widely recognised especially in urban areas.
The need for a change in the policies has been over due and a significant change in
priorities with the general acceptance to reduce GHG emission worldwide. Policy options to
achieve greater sustainability are well known, but move towards achieving real progress
has been rather sluggish (Banister, 2003). Stough and Rietveld, (2005, p.1) argue that
“There can be little doubt that the primary barriers to sustainable transport are institutional”.
Considering the above facts, there developed an interest to investigate as what
impediments persist in implementation of the national urban transport policy (NUTP, 2006)
by the state government of West Bengal in India towards achieving sustainability in urban
transport in the Kolkata Metropolitan Area (see Fig:1.1).
Figure 1.1 Location map of Kolkata (Source: World Bank Report, 2011)

1.2 Understanding study area
Kolkata Metropolitan Area (KMA) extends over 1851.41 sq. km. and is essentially the
metropolitan outgrowth of the city of Kolkata which had housed the capital of British India
and later shifted to New Delhi. The metropolis has evolved over a long period of time but
history of planning and development of the metropolis as a single geographical entity is
rather recent phenomenon (KMDA, 2006). The total population of the metropolitan area
according to the 2011 census is 14,112,536. The KMA has six districts in it namely Kolkata,
North 24 parganas, South 24 parganas, Howrah, Hooghly and Nadia (Fig: 1.2).
Figure 1.2 Study area map of KMA (Source: KMDA and Census of India)
1.3 Transport scenario in India and Kolkata (KMA)
The economic and population growth in India has had stimulating effect on owning and
using private cars owing to the fact that the public transport in Indian cities have not been
able to keep up with the level of services with the growth in population and income so as
the aspirations and the demands of the urbanites (Pucher et al., 2007). Traffic snarls and
the grid lock have become rampant and contribute to the highest level of disorder on the

urban roads with the unprecedented growth in personalised mode of transports (Wilbur
Smith report, 2008). National Urban Transport Policy (NUTP) was framed in 2006 by the
Ministry of Urban Development, government of India to address the unprecedented
increase in transport problems that the major cities in the country are facing. NUTP at the
national level advocates the mobility needs of the people, focuses on equity, integrated
land-use and transport planning, alternatives to cars including public transport, cycling and
walking.
Figure 1.3 Urban Transport system in Kolkata
The transportation system in Kolkata consists of various modes ranging from the original
ferries to metro rail, hand driven rickshaws, trams, buses and trains. Except ferry, train and
metro, others currently share the same right of way in Kolkata (See Fig:1.3). Historically,
the core city of Kolkata was based on mobility by ferries, hand rickshaws and trams,
complemented by the pedestrian movement. The use of trams and non-motorized modes of
transport suited the narrow streets and offered the required manoeuvrability. Modern life
style has led to the same roads being confiscated by high speed motorized modes. The
ferry system and tram system (Bhattacharyya, 1995) have been totally neglected as
evidenced by the drop of ridership on the tram from a million riders in 1976 to less than
70,000 per day today (IDFC, 2008). This is in total contrast to what is happening in the
mega cities around the world that are shifting from car based system to light rapid transit
system.

1.4 About dissertation
The study area relies heavily on road based urban passenger transportation, as evident
from the fact that only 20 per cent of the trips are non road based. Public and private owned
buses have 45 percent share, 23 percent by Auto Rickshaw/Taxi, 11 percent by
personalized vehicle and 2 percent on foot. 16 percent trips are served by suburban
railways (including 0.14% share of circular railway) and 2 percent each by metro and ferries
(IDFC, 2008) (see Fig: 1.3). The car as a mode of transport has been mostly accepted as
the standard to indicate unsustainability of urban transport system (Wegener and Fürst,
1999) and reduced car usage would facilitate the city to be sustainable. This dissertation is
being designed to investigate as what impedes the implementation of the sustainable
transport policy in Kolkata Metropolitan Area (KMA). The buses and non- motorised
vehicles in Kolkata are the modes of transport people of Kolkata have been mostly
dependent upon, where 88 % of the daily trips are by public transport, bicycle and walking
(IDFC, 2008) but with the economic growth, motor vehicle population has been increasing
rapidly with growth in personalised mode of transport (Whitelegg and Williams, 2000). This
trend of developments requires immediate intervention and could be dealt with strong
measures towards implementation of sustainable urban transport policies.
Figure 1.4 Trip distributions (Source: IDFC, 2008)

Urban Development Plan Formulation and Implementation (UDPFI) guidelines proposes a
minimum of 15-18% land use for transportation where as Kolkata has a meagre 6% of land
under transport use, with a whole gamut of modes from hand pulled carts to tractor trailer
and trucks sharing the same carriageway. Car ownership has jumped from 1.73 % of
households in 1998 to 11.1%in 2008; ownership of two-wheelers has increased from 5.67
% of households to 16.5%. At the same time, percentage of households that did not have
any vehicle has fallen from 61 to 49.2 %. Both cars and two-wheelers constitute 50% of the
traffic in the city, but meet only 12% of the travel demand. A disproportionate focus by
policymakers on this small minority is jeopardising and killing the sustainable modes in
Kolkata city (CSE, 2011).
1.5 Scope of the dissertation
The research will take into account the West Bengal State Government institutions
responsible for the urban transportation within the Kolkata Metropolitan Area (KMA). The
study will look into the urban transportation system in KMA area and mainly focus on the
transport practices in the State of West Bengal as the urban transport being the state
subject. Reference to the National Policies and directives would be made to critically
evaluate the attitude towards sustainable transport at city level. Policy makers would be the
public representatives who channelize public opinions into policies, the civil servants who
shape them and the professional planners who ultimately implement the policies with the
advice from the civil servants and eventually all of them have stakes in the government
policy and implementation. For this research no differentiation has been made between the
terms decision makers and policy makers, as policy makers have also been considered as
decision makers.
1.6 Dissertation structure
Chapter 1 has introduced the research topic at the beginning of the chapter with the
location of Kolkata, background and location of study area. The transport scenarios in India
and Kolkata have been portrayed and the scope of the dissertation defined subsequently.
Chapter 2 deals with the literature review on the aspects of sustainable development
concepts, the concepts of institution and barriers to implementation. The chapter also
provides an over view of the existing transport policies in India and finally concludes with
the findings from previous research.

Chapter 3 presents the research rationale with the aim and the theoretical framework for
the research. The main research questions are being framed in this chapter in relation to
the main research aim.
Chapter 4 presents the research approach and the methodology for the research. The
chapter also deals with the ethical issues and limitations of the research process.
Chapter 5 analyses the policies at central and state level and the findings from the interview
of the respondents’ attitude towards sustainable urban transport and implementation in the
context of Kolkata in the back drop of the Nation Urban Transport Policy of 2006. The
chapter also depicts the changing travel behaviour in Kolkata.
Chapter 6 concludes with the summary of the findings and articulates the way forward on
the basis of findings with some concluding remarks.

CHAPTER-2
2. EXISTING LITERATURE REVIEW
2.1 Approach to literature review
The journey for literature review started with a background knowledge of ‘car reduced living’
in relation to mainly maintaining economic and environmental sustainability for urban
transport. But soon the idea was further fine-tuned so as to suit a research study in the
context of Kolkata in India. Thus there was a change in the direction of literature review in
line with the overarching fact of unrestraint growth of unsustainable personalised vehicle in
Kolkata and the role of institution to restraint this trend.
The extensive car use today has threatened the economic and environmental sustainability
of many countries in the world. India is no exception to this trend but historically Kolkata
offered more sustainable transport options to its residents while past decade has
experienced significant shift from this trend and number of private motorised vehicles
increased many folds (CSE, 2011). The National Urban transport Policy (NUTP) of 2006
framed by the Ministry of Urban Development, GOI, for the first time laid down the priority
for the development of the infrastructures for the sustainable modes of urban transport
under National Urban Renewal Mission (NURM) including Non Motorised Transport (NMT),
public transport and mass rapid transit system. But arguably there has been a gap between
the declared policy objectives in NUTP and the ground reality revealed by the actions of
West Bengal State Government (WSG).
In a move to understand the above phenomenon in details, literature review has been
broken down into different stages. First stage of literature review involved reading relevant
academic books of prominent authors having written books on ‘Barriers to implement’,
‘institutions’ and ‘sustainability’. A book review of ‘Barriers to Sustainable Transport’, edited
by Piet Rietveld and Roger R. Stough provided background idea about the various types of
institutions and aspects of barriers to sustainable urban transport in general. The next stage
of literature review was carried out searching for relevant academic research papers,
journal and news articles providing recent global developments in the discourse of
sustainability paradigm with respect to urban transport and the dilemma for implementation
of sustainable urban transport policies. The final stage of the process of literature review
was to search government and non-governmental organisations’ (NGO) study reports and
that of other policy documents in the context of India and Kolkata. Noteworthy to mention

here that literature search did not provide any previous research on the barriers to
implementation of sustainable urban transport policy in the context of India or Kolkata.
2.2 Sustainable development and sustainable transport
At this juncture, first it is important to understand the definition of sustainability. As Litman
and Burwell, (2006, p.332) argues that “universally there is no accepted definition of
sustainability, sustainable development or sustainable transport” (as referred from Beatley,
1995). They further discuss a few definitions extended by others about sustainability include
the following:
1. Sustainable development “meets the needs of the present without compromising the
ability of future generations to meet their own needs.” (Brundtland Commission, 1987)
2. “Sustainable development is the achievement of continued economic development
without detriment to the environmental and natural resources.” (Themes Sustainable
Development, 2004).
3. Sustainability is “the capacity for continuance into the long term future”. Anything that
can go on being done on an indefinite basis is sustainable. Anything that cannot go on
being done indefinitely is unsustainable (Centre for Sustainability, 2004).
4. “The goal of sustainable transportation is to ensure that the environment, social and
economic considerations are factored into decisions affecting transportation activity.”
(MOST, 1999)
Litman and Burwell, (2006, p.335) classified the elements that any sustainable transport
system must take into account (see Fig: 2.1) below.
Figure 2.1 Transportation impacts on sustainability

Banister, (2003) argues that in the context of urban transport as such in absolute term all
modes of transports are unsustainable as they consume resources where as walking and
cycling could be considered as being in the proximity to being sustainable as they consume
very little or no non-renewable energy but principally space as resource. However the per
capita distance travelled by car has been mostly accepted as the standard to indicate
unsustainability of urban transport (Wegener and Fürst, 1999). The argument here is of less
sustainable transport with that of more sustainable transport in terms of energy
consumption and production of externalities. Wide range of externalities is produced in the
context of transport covering emissions of pollutants, accidents, noise and congestion.
Additionally, waste from the production of vehicles pollute water and soil, road and parking
spaces take way a large chunk of useable land with consequently damaging the ecosystem
and creating visual annoyance (Banister, 2003). Cities play a substantial role in the process
of ecological destruction (Girardet, 2004; UNEP, 2009). It has been argued that
consumption of resources by humans and subsequent waste productions are concentrated
in urban areas and are occurring on a scale which cannot be sustainably endured by
ecological systems. The transport sector is one of the primary contributors to this problem
(Girardet, 2004).
Further, Whitelegg (1996, p.3) in his report ‘Sustainable Transport Solution for Calcutta1
’
emphasises that “sustainable transport solutions are solutions that meet the need of all
residents regardless of income; protect, preserve and enhance the health of the residents;
and are not damaging to the present and future conditions for life. Sustainable solutions
reduce energy consumption, reduce the space requirements for transport, reduce pollution
and improve the welfare of disadvantaged groups such as poor, the elderly, handicapped2
and young children. They are also economically efficient and reduce dependency on
imported oil while saving large amount of valuable foreign exchange. They are capable of
local development and local implementation and do not need Japanese, British or US
technology. They are the appropriate solutions and must be designed with substantial local
inputs.”
1
Calcutta now Kolkata
2
The word ‘handicapped’ is no longer in use, “Special service", "special school" and "special needs" are phrases used in
an attempt to be positive about disability (BBC, 2004). This term “differently abled” was coined by the US Democratic
National Committee in the early 1980s as a more acceptable term than handicapped (or, in the UK, disabled). The
motivation seems to have been both a genuine attempt to view the people previously called handicapped in a more
positive light and also as need to be seen as politically correct. The Los Angeles Times reported it this way in 1985.

2.3 Institution, typology and change characteristics
Institutions are constrains devised by man that structure political, economic and social
interaction (North, 1990). From the North’s standpoint institutions are of two types formal
and informal and the institutions are the ‘rules of game’ (North, 1991 p.98). The institutions
differ from the organisations in a way that on one hand the operation and maintenance of
the society is largely regulated by rules of the game and on the other act of playing the
games lies with the representatives of the organisations (Rietveld and Stough, 2005).
Williamson,1994 identifies four levels of Institutions in the framework of new institutional
economics and they are informal, formal, governance and resource allocation / employment
related. Informal Institutions, are constituted by conventions, norms, practices, customs,
values and accepted ways of doing things, whether economic, political or social; these are
embedded in traditional social practices and culture which can equally be binding and
dominant factors influencing the behaviour. Although resistant to quick change, but the
impact of change on behaviour is rapid and intense and would be outcome of any extreme
event in the institutional environment. Williamson considered this to be at top level (Fig 2.1).
Williamson’s Formal Institutions are at second level (Fig 2.2) and are normally established
and constituted by binding laws, regulations and legal orders which prescribe what may or
may not be done. The formal institutions are codified statutes, constitutional provisions,
laws, regulations and high administrative orders. Sudden and radical institutional change
does occur, but generally, formal institutions change slowly through the politics of
modification and reform as different interests and ideas compete to get the most out of the
rules.
Williamson’s third level institutions (Fig 2.2) are Governance Institutions and they are rules
(minor laws, administrative orders, regulations and policy directives) that function to
maintain or change how government and related organisations, such as conducting
business and direct transactions with other actors and agents. Changes are frequent at this
level and measured in year rather than a decade.
At fourth level Williamson defines the institution as allocating resources to operations
designed to impact individual and organisational outcomes. The process of change in these
institutions is continuous (Fig: 2.2).

This dissertation would only deal with the formal institutions at the state level as for the
identification of barriers to implement, in relation to the published National Urban Transport
Policy of 2006.
Figure 2.2 Institutional Levels (Williamson, 1994)
2.4 Barriers to implementation of sustainable transport policy
As the progress was made with the review of literatures, the next phase was to develop
basic fundamental knowledge about the possible gaps between policy framing and the
implementation with the background knowledge as discussed in 1.4, that even after several
years of framing of the NUTP by government of India there has been little visible reflection
of the NUTP in the context of urban transport scenario of Kolkata. As Smith puts forward
(1973, p.199) “problems of policy implementation may be more wide spread than commonly
acknowledged”.

The paradigm of pro-sustainable transport policies come with their own pros and cons and
difficulty in the adaptation to such pros and cons are the hindering forces or barriers which
prevent the implementation in their desired form. The potential of such barriers could result
in the reduction of the effectiveness of the policies or there could be possibility of non
implementation of such policies for desired outcome (Banister, 2005).
Banister (2005, pp.56-57) classified barriers into six main categories:
Resource barriers are associated with the lack of availability of resources in time, in
appropriate quantity and in alignment with the policy priority of the authorities.
Institutional and policy barriers reflect the uncoordinated actions of the multiple agencies or
the incapacities of authorities at different levels of governance.
Social and cultural barriers are related to as how people respond and adopt themselves
with the stride towards paradigm of sustainable transport.
Legal barriers arise due to the requirements of modification in the laws and regulation due
to the emergence of the new policies.
Side effects normally are the barriers come up as the aftermath of the almost all the actions
on the ground and the severity of the actions hinders further progress in the same direction.
Physical barriers are well known and are associated with the geographical, topographical or
space restrictions in a specific location of implementation.
The shift towards sustainable transport system is by no means easy task, policy objectives
need to be linked to the implementation for achieving success. According to the UNEP,
(2009, p.58) “Major changes require well-coordinated and consistent policy implementation
over a long period of time on infrastructure development, taxation and land-use regulation,
and there are few cases where this has been possible – Curitiba (Brazil) being a notable
exception”.
According to Buehler & Pucher, (2011,p.63) “Changes in transport and land use policies
towards limiting car use and promoting more sustainable modes of transport often face
barriers such as political and public acceptability, institutional inertia, splintered institutional
responsibilities and lack of cooperation, financial constraints, municipal competition,
legislative limitations, and public resistance to culture and lifestyle changes”. Evans et al
(2001) suggest that current institutional culture and practice play an important role in

reproducing unsustainable patterns of development and therefore the transition to
sustainable transport systems will require “cultural and institutional transformation” and the
creation of “new institutional practices” including reducing the technocratic control of a
policy making elite (Evans et al, 2001p.131). Similarly, Goldman & Gorham (2006) argue
that a radical reconfiguration of transport systems for sustainability will require to be met
with both technological and institutional challenges.
2.5 Overview of the urban transport policies in India and Kolkata (KMA)
In India as such there was no written comprehensive urban transport policy before the
NUTP of 2006 was promulgated explicitly to address the problems related to urban
transport. Historically the Planning Commission of the Central Government identified the
thrust areas in the five year financial planning and provided guidelines for the development
for all sectors including transport in general in consultation with the state governments. The
first five year plan (1951-1956) was launched in 1951 (Planning commission, 2009) and
focused more on the rehabilitation of transport system after partition. Till the fifth five year
plan (1974-1979), urban transport did not find a mention in the five year plans. Subsequent
to fifth five year plan, the sixth five year plan provided certain guide lines for Urban
Transport.
Sixth five year plan (1980-1985) mentioned about National Transport Planning Committee
(NTPC) and its recommendations for the transport sector in general. Also sixth five year
plan for the first time mentioned the problems with the urban transport and made four fold
suggestions, they are the self contained residence cum workplaces to contain commutable
distance, formation of National Transport Commission at the centre for effective
coordination, inter modal integration both at investment planning and operations level and
special attention to transport needs of remote and isolated areas.
The seventh five year plan (1985-1990) viewed road construction as the means for
generating employment. Two other thrust areas mentioned in the seventh five year plan
were preservation of environment by taking preventive measures in the initial planning
stage and the institutional improvements with the introduction of computerisation, MIS,
planning and monitoring agencies, R&D, strengthening of data base and capacity building.
The plan acknowledged the steep growth in vehicle population resulting in congestion,
delay, pollution and accidents and suggested right land use planning to restraint the growth
of transport demand.

The eighth five year plan (1992-1997) mainly brought in the need to evolve mass rapid
transportation system in the metropolitan cities of India and preparation of perspective
transport plans for all cities so as to avoid fragmented, costly and often partial and
ineffective solutions besides modernisation of urban transport for safety and preventing
accidents.
The ninth five year plan (1997-2002) apart from the concerns in the seventh and eighth
plans recommend demand management through such measures as parking control, cordon
pricing, prohibition of personal cars driving down to central business destinations and
enforcement of car pooling, with a view to contain the inefficient use of private vehicles,
conserve fuel, minimise environmental impact and generate revenues for augmentation of
capacity on public transport system.
Through tenth five year plan (2002-2007) and eleventh five year plan (2007-2012), thrust
areas in urban transport continued to be with the concern for growing number of
personalised vehicles, road accidents and enhancement of the public transport
infrastructure. For the road safety and reducing accidents, the policy objectives proposed to
introduce driving schools at state levels and also use of cleaner fuel for reducing pollution.
The eleventh five year plan stressed the need for creating appropriate NMT infrastructure
coupled with enactment of safety codes for NMT to reduce the risks borne by cycles, walk
trips, and the likes and thus to also relieve road space for motorized transport.
The approach report for the twelfth five year plan (2012-2017) stressed the need for faster,
sustainable and inclusive growth but in the twelfth five year plan mainly two folds
recommendations have been made for urban transport in the form of capacity building of
the trainers of the driving schools for ensuring road safety and strengthening of the
accidents data base in accordance with standards set by the International Accident
Database Group for national level data.
In the historical perspective urban transport policies in India were fragmented and provided
piecemeal solutions to urban transport problems as it is evident from the national urban
transport strategies. Though there was a clear understanding of the future urban transport
crisis but there is no evidence of any success story of policy implementation except in the
tiny areas of urban transport. Further to this, initiatives at the state level remained that of
‘business as usual’ (Forrester and Snell, 2006, p.11, Marsden et al., 2012, p.911) over the
years and outcome of this helped in building up urban transport crisis over the years. The

Planning Commission report (2011) on low carbon strategies for inclusive growth however
suggested the following policy interventions for sustainable urban transport:
“1. Policy intervention to ensure that cities remain dense and of mixed land use for ensuring
that travel distances remain small
2. Development of urban planning guidelines to encourage transit-oriented development,
discourage sprawl, rationalize parking policies and charges, and mandate public transport
accessibility indicators for large developments, institute Intelligent Transport Systems (ITS)
to enable schemes such as congestion charging. 3. Improve the National Urban Transport
Policy (NUTP) by introducing elements such as demand management, rational transport
pricing and clear definition of the role for Urban Mass Transport Authority (UMTA).
4. Improving the JnNURM scheme by improving its Monitoring & Verification mechanisms
to ensure that projects are NUTP-compliant, modal shares of public and non-motorized
transport are actually improving in cities and infrastructure is friendly for non-motorized
transport.
5. Incentivizing of bus operations in cities by providing capital subsidy and reimbursing
taxes and duties paid on fuel”.
At metropolitan level, the master plan for traffic and transportation for Calcutta metropolitan
area 2001-2025 prepared by KMDA in its policy guidelines for the metropolitan area
provided provisions for special attention to the safe and uninterrupted pedestrian facilities
but further to this, growth of para-transit modes are suggested to be given attention which
include LPG driven auto rickshaw and cycle rickshaw so as to eliminate interference with
the movements of fast vehicular traffic. The policy on pedestrians also has not been
translated into the projects as proposed in the report. All the infrastructure developments
have been rather road based as have been listed in the perspective plan for twenty five
years.
More roads are no answer, whereby investments are made to develop car centric
infrastructures (Citizens’ report, 2011). The negative attitude of the government towards
non motorised transport is associated with the perception of them to be backward and not
in line with the vision of Kolkata as a modern and prospering city (Sen, 1998). Tram has
given Kolkata an option for sustainable mode of transport but the indifference towards tram
is letting it die (Citizens’ report, 2011). Trams are being restored to prominence throughout
the world in the modern era, but government of West Bengal described tram car as
obsolete and converted the Calcutta Tram Company (CTC) into a bus operating corporation
(Bhattacharyya, 1995).

2.6 Previous research
In order to appreciate the policy implementation process of urban transport policies, it is
thus imperative to look at similar research carried out. There has not been significant
research on the area of institutional barriers to implementation of sustainable urban
transport policy and more so in the context of Kolkata. Most of the books and the journal
articles made reference to the barriers to implement within the (paradoxical-many feel so)
paradigm of sustainability.
Low et al. (2003) made an attempt to study the institutional and discursive barriers to
sustainable urban transport in the context of cities in Australia. The researchers examined
the transport infrastructure policy documents for a period thirty years for Melbourne and
Sydney. Researchers focused on the ‘storylines’ (Hajer, 1995) in the historical urban
transport policies presented to the politicians and public to justify road building. They
converged on three categories of storylines of professionals as engineers, economists and
planners. Low et al. (2003) indentified engineer’s storyline as ‘predict and provide’ and of
economist’s as ‘travel as opportunity’ and the contrasting and opposing storyline to these
philosophies to that of the planners. With the paradigm of sustainability influencing the
government discourse, they examined the shift from this old storylines to new storylines
masked with previous objectives but fine-tuned to match new discourse. Finally they
conclude that new storylines are important to overcast the old paradigm with continuous
incremental change and that bold political steps are needed to bring in change in the old
paradigm and bureaucracies require to be restructured around new storylines.
Matthews and Imran (year unknown) studied the discursive barriers to sustainable transport
in the context of Auckland, New Zealand. In Auckland as well authors portray the
dominance of investment in the development of road based infrastructures similar to that in
Australia. Examining the storyline by scrutinising the transport planning and land use
documents for a period from 1955-2009, they identified the discursive barriers linked to the
institutions responsible for urban transport infrastructure development in Auckland. They
identified four broadly categorised storylines as economic, mobility, safety and consumer
storyline and concluded how the storylines are responsible for the stability in the course of
the road development.
In the context of Canada, according to Hatzopoulou and Miller, (2008), due to the
multidisciplinary nature of sustainable urban transport policies, decision makers are under
stress for the process of implementation which includes appraisal, funding, implementation

and monitoring. The process of implementation occurs by discussion and professional
judgement only in the absence of any frame work and tools in spite of the sensitisation of
policymakers. Adopting a case study approach and carrying out their study at different
levels of governments in Canada, they conclude that the concept sustainability is easy to
appreciate but hard to implement in planning and operations within existing institutional
structure.
Success of policy implementation has been widely seen as the embedded policy targets
(Marsden and Bonsall, 2006, Hinanen and Tuominen, 2007) beyond general policy
objectives which are normally the main constituents of any transport policy. The political
commitments contributing largely to the policies and are limited to the promises in the form
of construction of infrastructures within constrained financial and other conditions without
larger perspective of vision, “incremental approach” to problem solving (Banister, 2002,
p.50) with a top-down approach (Marsden and Bonsall, 2006). Thus within the constraints
such as benefit-cost analysis and other institutional constrains come to play the priority in
action of choosing one over the other. In case of India, the transport policies also has
another dimension of serving minority dominant class (economic and political elites)
(Putcher et al., 2005) and ignoring inclusion of disadvantaged for the larger context of
sustainability.
2.7 Summary of literature review and emerging research gaps
A large number of literatures have been reviewed overarching the fact that sustainability
paradigm is easier to promulgate than to put into practice in the context of urban transport.
The phenomenon has a global dimension with wide range of explanations of different
stakeholders’ attempting to cover-up the reality under the continuous influence of old
paradigm of road building as the right measure towards addressing the problems of urban
transport system. The paradigm of sustainability remains a mere metaphor in the run for
greater sustainability for urban transport.
The different definitions of sustainability facilitated to appreciate the dichotomy of
sustainability and unsustainability which influence the policies, policy makers and the
institutions responsible for the performance of such policies. The hierarchy of sustainability
and the notion of sustainability open up the door for debate as how achievable sustainability
is for meaningful innovations in the direction of sustainability within the resilient system. The
resilient system is the chain of institutions as defined and the innovations have to pass
through and get tested against the conventional power and embedded perceptions at

different levels of such system. This actuates to examine the dependable aspects of
resilient system which time and again rebound to the traditional paradigm of unsustainability
in the context of urban transport.
The policy documents relating to the urban transport in India provided not only a rich
insight into the historical trends in the policy and contemporary discourse of sustainable
urban transport policy from the perspective of both central government and state
government but also revealed the perplexity in the run through sustainability.
In addition to this, two research works in the context of Australia by Low et al. (2005) and
Matthews and Imran (year unknown) in the context of New Zealand drew some knowledge
of institutional barriers in the absence of any other credible work so far discussing the
missing connection between the sustainable policy objectives and their implementation.
The above works are based on the policy storylines but there is dearth of evidences of
barriers with respect to the aspects of human behaviour, perceptions, value system of
policymakers affecting implementation process of policy objectives for sustainable urban
transport.
These studies do not as well take into account the international scenario of implementation
barriers to sustainable transport policies in the emerging economies.
It is thought provoking that the globally policy framing as a stage in the policy
implementation process towards sustainability has been given more attention and many
studies are available analysing the policies in the light of factors and intentions behind them
but a vacuum has been revealed as far as the divorced policy objectives from
implementation interest are concerned.
Also according to David Banister: “the problem is what is sometimes known as
implementation gap between how we get good ideas…….and the practicalities of decision
making in the real world is constrained by institutional, organisational and financial and
other issues, so there is an implementation gap between what should be done and what
can be done and looking at the ways in which that can actually be bridged.” (New
Statesman Magazine, 2012)
According to Khisty (2001) the legacy of technically solving problems is a matter of criticism
today when contemporary transport planning and policies ignore the concerns associated
with social, economic, environmental, cultural and ethical issues. Drawing heavily from the
economic theories, transport problems are assessed with respect to the policy making and

policy implementation in the light of rationality and irrationality on the part of the
policymakers. Traditional transport policies thus ignored the human behaviour (Khisty and
Arslan 2005, Talvitie, 2006) which is complex in nature. “The implementation process
translates a policy mandate into action” (Pressman and Wildavsky, 1984, p. 167) and thus
“implementation should not be divorced from policy” (ibid, p.143)
A rich area therefore is available to investigate the institutional barriers with respect to
cognitive limitation of individual stakeholders to sustainable urban transport policy vis-à-vis
implementation gap in an environment of rapid economic growth coupled with growth in the
urban population leading to “urban transport crisis” (Pucher et al., 2005) in India.

CHAPTER-3
3. JUSTIFICATION OF RESEARCH
3.1 What is impeding implementation of sustainable transport in Kolkata?
World wide it has been established that unsustainable transport is causing severe damage
to the people living in the cities with reduced quality of life, despite having this knowledge,
there have been no strong initiatives to encourage sustainable transport in Kolkata. As per
the stakeholders survey in Citizen’s report, carried out by Centre for Science and
Environment (CSE), 2011 80% residents felt that air pollution has been responsible for the
degradation of city life in Kolkata caused by sharp increase in private cars and consequent
road congestion as the major problems of the city.
The European Conference of Ministers of Transport (ECMT, 1995) had already focussed on
the importance of the improvements in public transport, better management of existing road
space and control on the demand for car use as the key elements in sustainable urban
transport strategy. A subsequent review (ECMT, 2002) however, concluded that, while
cities were generally aware of the most appropriate solutions, the implementation of such
sustainable transport strategies was “more easily said than done”.
Sustainable transport has a vital role to play and has significant welfare, environmental and
social justice implications with contrast to negative effects of increased transport activities
on economy through congestion, health expenditure and road accidents and like as the
diseconomies of crowded urban life (Whitelegg and Williams, 2000) but “urban transport
planning and governance have failed in most dramatic way to deliver sustainable transport
in Kolkata and is compounded with the inappropriate transport strategies imported from the
developed world” (Whitelegg and Williams, 2000, p.11).On the contrary to the failure,
according to (Banister, 2005.p.93) “role of institutions are crucial to the effective
implementation of challenges options on sustainable development”.
3.2 Research Aim
The principal aim is to investigate as what is impeding Indian national policies on sustainable
urban transport being reflected in the state practice at the metropolitan Kolkata?
3.3 Theoretical framework for research
As already discussed, urban transport in Kolkata lacks delivery with respect to sustainable
transport options which demonstrates the ‘inaction’ (Anderson, 2003 p.3) to implement

policy advocated by the central government as promulgated in the NUTP 2006 in contrast
to dominance of car centric policy implementation in Kolkata (see Appendix I). The
argument lies in the translation of the policy into action (Hill, 2005). The focus of the study
lies in the individual rationality which is “bounded” by cognitive ability and that effectively
influence decision-making and thus the research seeks to comprehend this within the
theoretical frame work of ‘Bounded Rationality’ of Hebert A Simon.
Opposed to the popular economic theories being of unbounded rationality, Herbert Simon
had put forward the concept of bounded rationality and refers to the cognitive limitations
faced by the decision makers within the finite amount of knowledge and time available to
them for considering all the alternatives and their consequences for optimised solution of a
particular problem. Simon (1948) classified individual’s cognitive limitations or bounded to
rationality into three categories: (a) unconscious skills, habits and reflexes an individual
possesses, (b) values and conception of purpose and (c) level of knowledge and
information one possesses in his book ‘Administrative Behaviour’. In the subsequent edition
of Administrative Behaviour, Simon (1976a, p. xxix) transubstantiated ’economic man’
(utility maximizer) into ‘administrative man’ of bounded rationality and brought in the
concept of ‘satisficing’ which deals with the action process not necessarily optimum but
good enough and near to satisfaction considering the limitations of finite information,
cognitive ability, time and level of aspiration to search for alternative for optimum solution
(Simon, 1972).
Based on the paradigm of ‘satisficing’, which differs from the utility maximization, in a given
situation, one alternative is being compared to a point of reference and not all the
alternatives simultaneously and consequently that alternative is chosen as long as it
satisfies the current requirement and aspiration level without analysing all the possible
alternatives. Firstly, need for a decision might arise from two different sources, one being
the external environment—as how to respond to the incentives and the other being the
internal environment—those parts of internal make-ups that cause one to deviate from the
demands of the external environment (Simon, 1996b). However this process is dynamic
and individual aspiration level rises with the breakthrough in searching for satisfactory
alternative and vice versa (Simon, 1955). Secondly, the process involves a tendency of
men of bounded rationality to simplify the real problem and ignore the aspects of reality that
appear irrelevant at a given point of time. The problem solving decision is rather simplified
by using heuristics or rule of thumb to overcome limited cognitive ability in a particular
situation (Simon, 1976a, Gigerenzer and Selten, 2002).

Thus the main hypothesis of this research to be tested is: Impediments to sustainable urban
transport policy in metropolitan Kolkata is due to the ‘bonded rationality’ of the policy /
decision makers
3.4 Research Questions
The main research question is ‘what is impeding Indian national policies on sustainable
urban transport being reflected in the state practice at the metropolitan Kolkata?’ With an
aim to answer this question, the question has been broken down into five sub questions as
below:
Attitude of the central and state government towards sustainable urban transport
1. What is the recent trend in the evolution of national urban transport policy in India?
2. How are the state practices influenced by the national priorities pertaining to sustainable
urban transport in the metropolitan Kolkata?
Attitude of the public towards sustainable urban transport
3. What are the changing trends in travel behaviour in Kolkata?
Attitude of the policy makers towards sustainable urban transport
4. What are the attitudes of policy makers at the metropolitan level to sustainable urban
transport?
Future of the urban transport in Kolkata metropolitan area
5. What do these findings suggest for future of urban transport trends in Kolkata?

CHAPTER-4
4. RESEARCH APPROACH AND METHODOLOGY
4.1 Research approach
A qualitative research strategy has been adopted for answering the research questions.
This research has applied post positive point of view with critical realist perspective, having
the belief that reality is independent of our thinking about it that science can study. Post-
modernism has grown out of the realisation that a fixed truth is impossibility. It refutes the
grand narrative of one truth and one fixed meaning and replaces it with relative, local and
dynamic experiences. Therefore, knowledge is always contextual and localised and, in turn,
generalised ways of knowing are rejected (Smart, 1992; Kermode and Brown, 1996). In
other words post positivists believe that all observation is fallible and has error and that all
the observations are theory laden and that researchers are inherently biased by their
cultural experiences.
The positivist is always critical about the ability of knowing the reality with certainty. This
research from the post positive view point emphasises the importance of multiple measures
and observations, each of which may possess different types of errors. A process of
Figure 4.1 Triangulation method

triangulation (see Fig 4.1) will be applied from the documentary analysis to get a better
bead on what is happening in reality. The process helps validating the results and
establishes cohesion between qualitative and quantitative data obtained from various
sources to answer the research questions. Application of triangulation will put forward wide
range of viewpoint which in turn will enhance the reliability and validity of research work.
A case study approach has been selected as the research method keeping in view the
complex nature of the research theme. As Yin (1989, pp.17and 23) defines case studies as
empirical inquiries which “answer how and why forms research questions; focus on
contemporary events; investigate a contemporary phenomenon with its real life context
when the boundaries between phenomenon and context are not clearly evident and where
multiple sources of evidence are used”. The case study method was decided based on a
number of considerations. Yin (1989, p.12) notes down that case study method to be ideal
for studying the complexity of the organisational phenomenon generally. Specifically
studying institutional barriers in detail, this approach would allow understanding the issues
in a holistic manner. According to Patton (1990, p.169), “qualitative inquiry typically focuses
in depth on relatively small samples, even single case selected purposefully”. Within the
qualitative case study approach, quantitative data would be used to examine the case study
results in more detail.
4.2 Research methodology
4.2.1 Identification of the relevant information and data
First level of research methodology involved the process of identification of the relevant
information and data for answering the research questions. The four areas identified for
information requirements were:
1. Policy documents of central and state governments.
2. Study report of government and nongovernment organisations for urban transport in
Kolkata and in India.
3. Government data related to the population and traffic growth in Kolkata.
4. Government report on implementation of Urban Transport projects in KMA.
4.2.2 Secondary information and data collection
The second level involved gathering of relevant and vital information and data to answer the
research questions underpinning the main research question:

‘what is impeding Indian national policies on sustainable urban transport being reflected in
the state practice at the metropolitan Kolkata?’
In answering the above question it was necessary to break down the question in to five
manageable sub questions for the identification of information and data required to gather
for the purpose of analysing them for answering the main questions. [The first question:
What is the recent trend in the in the evolution of national urban transport policies in India?]
refers to the attitude of the central government towards sustainable urban transport thus the
first step was to search for the central policy and guide lines, in doing so initially central
government websites were visited to obtain the following policy documents for analysis.
1. National Urban Transport Policy, 2006 (MUD, GOI)
2. Five year Plans 1951-2012 (Planning Commission, GOI)
3. National Road Safety Policy, 2010 (MORTH, GOI)
4. Approach to twelfth five year plan, 2011 (Planning Commission, GOI)
5. Low carbon strategies for inclusive growth, 2011 (Planning Commission, GOI)
[The second research question: How are the state practices influenced by the national
priorities pertaining to sustainable urban transport in the metropolitan Kolkata?] refers to the
adoption of the national transport policy in the wake of new developments in urban
transport pertaining to sustainability by the state government as the urban transport is the
state subject. A visit to the state government websites did not provide any information on
the state urban transport policy. But subsequent visit to the state government offices
revealed that the state government does not possess any urban transport policy documents
at all.
Documents obtained are:
1. Master plan for traffic and transportation in Calcutta metropolitan area 2001-2025
prepared by KMDA responsible for the planning of KMA.
2. Citizen’ Report: Air quality and mobility in Kolkata, 2011 published by nongovernmental
organisation (NGO) Centre for science and environment.
3. Comprehensive mobility plan prepared by IDFC for KMDA.
4. Urban Infrastructure and Governance Schemes status sheet of KMA.

[The third question: What are the changing trends in travel behaviour in Kolkata?] refers to
the changing trend in the mobility in the city of Kolkata. This question will answer the
attitude of the people towards sustainable and unsustainable modes of transport. The
following documents obtained for the data analysis quantitative in nature to explore the
changing travel behaviour in Kolkata.
1. Census data, Census of India, GOI
2. Statistical hand books of, WSG
3. Study of traffic & transportation policies & strategies in urban areas in India (MUD, GOI)
4.2.3 Questionnaire and interview
[The fourth question: What are the attitudes of policy makers at the metropolitan level to
sustainable urban transport?] refers to the overarching theme of the research which tries to
examine attitudes of the policy makers towards the sustainable urban transport policy and if
these attitudes contribute to the impediments to implement.
For the purpose of eliminating biases on part of the interviewees the sustainable urban
transport has been replace with non car based transport in the questionnaire owing to the
fact that car has been mostly accepted as the standard to indicate unsustainability of urban
transport (Wegener and Fürst, 1999). The open ended questions have been designed to
explore the knowledge about sustainable urban transport policy at both central and state
levels, possible barriers for the implementation of sustainable policy and attitude towards
the implementation of sustainable transport policy (refer appendix - II).
The semi-structured interviews enabled to focus on the discussions around the main survey
themes and at the same time, not restrict the participants to a fixed structure. Four
interviews were conducted on one to one basis with the participants and interview was
recorded with digital audio recorder and answers to four interview questionnaires were
received by email as the interviewees could not provide time for face to face interview. (see
Table 4.1).
The first and pre-decided interview was conducted with member parliament and contact
with him was established through personal network of contacts. A snowballing method was
applied to select the other interviewees having considerable background knowledge about
them.

Table: 4.1 Number of interviews and background of interviewees in case studies
SL Government /NGO Background of interviewees Short Name Interview method
1 Central Government Senior Member Parliament MP Face to face
2 State government Senior Administrator DUD ADU Face to face
3 State government Member legislative Assembly MLA Face to face
4 State government Junior Planner JP Face to face
5 State government Senior Planner SP Received via email
6 State government Senior Administrator TD ADT Received via email
7 Non government org. Researcher RNG Received via email
8 Independent expert Transport Planner ITP Received via email
[The fourth question: What do these findings suggest for future of urban transport trends in
Kolkata?] will be answered as the outcome of the analysis and findings of this study in the
conclusion chapter.
4.2.4 Data analysis
The first stage of data analysis involved reading through the policy documents and
acquiring basic idea of the urban transport policies both at national and KMA levels. At the
end of the readings all the text data were transferred to the word processor for analysis
including the interview transcripts. At the second stage, two data sets prepared from the
data corpus: one data set prepared from the policy documents taken from secondary data
sources and the other data set prepared from the interview transcripts. All the text data then
colour coded in word processor for cleaning of the data applying thematic analysis and then
transferred to the spread sheet for finalization of themes within the theoretical frame work.
According to Braun, and Clarke, (2006), thematic analysis is the fundamental method of
analysis in qualitative research though very diverse and complex in nature (Holloway &
Todres, 2003) in (Braun, and Clarke, 2006). The main benefit of the thematic analysis is its
flexibility which provides ‘”detailed and rich, yet complex account of data” (Braun, and
Clarke, 2006; p 5).Thematic analysis though often does not find a place beside other
methods, but they argue that many of the methods for qualitative data analysis are
essentially thematic such as discourse or content analysis or where the qualitative data
were “subjected to qualitative analysis for commonly recurring themes” (Braun & Wilkinson,
2003: 30) in (Braun, and Clarke, 2006).

At the initial level cleaned data have been provided with initial codes and at the subsequent
level general themes have been developed in accordance with the theoretical frame work.
At third level of analysis, generated themes, have been consolidated for further cleaning of
the data and at final stage global themes have been produced for presentation. A
triangulation process as described earlier has been applied to validate generated themes.
4.3 Ethical considerations
In line with the UWE’s Ethical Review Checklist of the Faculty of Environment &
Technology, the interviewees were initially contacted with a formal emails / letters
requesting for an appointment to conduct the research interview. The purpose and the
subject were clearly stated in the emails / letters and sent along with the letter of
introduction obtained from the supervisor which confirms the status of the researcher.
Before the actual interview was conducted, the interviewees were appraised about the
following ethical considerations.
1. That anonymity will be maintained throughout the process of the research and no real
name or the official designation would be ever revealed and thus any potential risk to the
interviewee was eliminated.
2. That all the recordings would be erased and notes and transcripts would be destroyed
after completion of the research work.
4.4 Limitations
Three major constrains are that of the time which is paramount among other constraints,
availability of information and accessibility to the interviewee. The study area has been
confined to the metropolitan area so as to gain access to the top policy makers’ view about
the policy implications in the area as all of them reside within this area. The metropolitan
area is also the metropolis facing the wrath of the unsustainable urban transport today and
policy makers are the stakeholders as well.
As the research has been carried out away from the country of location of university, the
limitations have been that of accessibility to the physical library as many of the books
required to be referred were not available online, however some of them were referred from
the limited view of the Google’s book and local library for completion of the work.

CHAPTER-5
5. ANALYSIS AND FINDINGS
5.1 National government approach towards sustainable Urban Transport
5.1.1 Introduction
As discussed in 2.5, historically national five year plans provided broad guidelines for different
sectors for development and investment but urban transport did not find any mention till fifth five
year plan (1974-1979). From the sixth five year plan (1980-1985) onwards the national
government observed the need for providing priority to the urban transport. The focus of five
year plans was not the sustainability of urban transport system in its totality and this fragmented
approach hampered the implementation of some of the Planning Commission guide lines
towards sustainability goals.
NUTP sets forth the policy considerations (see Fig: 5.1) that under lie the Government
response to national urban transportation needs. Recognizing the need for a National Urban
Transport Policy and Ministry of Urban Development, GOI, promulgated the NUTP for
achieving sustainability in urban transport throughout the states of India considering the dual
effect of both economic growth and growth in urban population which currently is 30% and
expected to grow to about 473 million in 2012 and 820 million by 2050 (NUTP, 2006).
Figure 5.1 NUTP 2006 objectives

According to the MP, GOI:
“….principal point of the urban transport policy is that move people not vehicles and
I think that this policy as has been formulated fulfills the social and economic needs
of the people and the overall fame work for the sustainable mission for sustainable
urban development.”
Even though the responsibility of providing urban transport rests with the respective state
governments, according to the NUTP, 2006, a pragmatic solution in the form of national
urban transport policy was considered necessary as many agencies are engaged in playing
significant role for the state urban transport and they are under the national government
having no accountability to the state governments. Thus GOI needed to guide the states
with an overall framework for urban transport and with further consideration that many of
the acts and rules are administered by the national government and have implications
dealing with the state urban transport. Figure 5.2 illustrates the main focus area for urban
transport of Government of India.
Figure 5.2 GOI’s focus for Urban Transport
A “thematic discourse analysis” Braun, and Clarke, (2006, p.8) has been performed to
understanding the National Government approach towards sustainable urban transport.

Broadly four main discourses have been identified in the NUTP which are ambiguous to
sustainable paradigm:
5.1.2 Public transport discourse
The national policy impetus for Public transport advocates for the larger share of road
space to the public transport.
“If the focus of the principles of road space allocation were to be the people, then
much more space would need to be allocated to public transport systems than is
allocated at present” (NUTP,2006, p.6).
But NUTP at the same time puts forward that there is already “limitations on the amount of
road space” (NUTP, 2006, p.1) causing congestions on the urban road. This means that
this will encourage further adding on to the road area to provide more road space to public
transport considering the existing limited road area available.
“New Bus Rapid Transit Systems (BRTS) have become very popular in cities like
Bogota (Colombia) and Curitiba (Brazil)” (NUTP,2006, p.7).
The policy suggestion for the replication of BRTS needs further evaluation of its
meaningfulness in the context of India. The introduction of BRTS cannot rule out car
dependency as study suggest that public transport on its own would be little effective to
reduce car use. Even the policy itself states that “if users of personal vehicles can be
persuaded to shift to public transport” (NUTP, 2006, p.8).
According to Banister, 2005 in the sustainable hierarchy in some cases the public transport
is just little ahead of clean, small and efficient car depending on the occupancy of the public
transport. So let alone public transport cannot achieve reduction in car dependency and
probably needs other suitable measures such as parking restriction, park and ride facilities
alongside public transport improvements (Cairns et. al, 1998). Also BRTS will free the
existing road space and allocate further spaces to the personalised modes of transport and
car drivers can also sneak in to bus corridor to avoid traffic delays (Thynell et al., 2010).

5.1.3 Discourse for parking and Multi-level car park
The parking policy as a demand management tool can be applied in many ways for
restraining car use which include limited availability of parking spaces and higher parking
fees.
“Levy of a high parking fee, that truly represents the value of the land occupied,
should be used as a means to make the use of public transport more attractive....
The objective would be to persuade people to use public transport to reach city
centers.” (NUTP, 2006, p.13).
“State governments would be required to amend building bye laws in all million plus
cities so that adequate parking space is available for all residents / users of such
buildings. To enable this, FAR norms would be made more liberal. Multi-level
parking complexes should be made a mandatory requirement in city centers that
have several high rise commercial complexes (NUTP, 2006, p.13).
The two policy proposals with respect to parking are contradictory to each other. Litman
and Burwell, (2006, p.340) argue that “Sustainable transportation planning requires more
objective language. Traffic engineers traditionally describe any increase in road or parking
facility capacity as an ‘improvement’, although from many perspectives (pedestrians,
residents, aesthetics, and environmental quality) it may represent degradation”.
The policy proposals need to check the clarity in the language used for policy objectives, so
that the vagueness is overcome which would lead to the better implementation of the policy
goals and desired outcome.
5.1.4 Discourse of setting up of chain of new organisation
The policy proposes setting up of series of authorities for better functioning of urban
transport.
“Central government would require that a regulatory authority be set up by the State
Government to, inter-alia, regulate the prices to be charged by different types of
public transport services” (NUTP, 2006, p.8).
“.....create a knowledge centre that would provide the necessary information
required for taking the right technological decisions for a specific city” (NUTP, 2006,
p.10).

“The Central Government will, therefore, recommend the setting up of Unified
Metropolitan Transport Authorities (UMTA’s) in all million plus cities” (NUTP, 2006,
p.10).
“The Central Government would also encourage the setting up of professional
bodies that have the capacity to make scientific assessment of the demand on
various routes ....... it would encourage the setting up of umbrella bodies that
regulate the overall performance of the public transport system and ensure that the
city has a comprehensive public transport system” (NUTP, 2006, p.15).
“.....an effective regulatory body be set up to prescribe, monitor and enforce the
adherence of emission and safety standards (NUTP, 2006, p.18).
Already there are many organisations holding different responsibilities for urban transport.
Studies show that there lies lack of coordination between different organisations. According
to Litman and Burwell, (2006, p.340) “Conventional planning reflects reductionist decision
making, in which problems are assigned to a specialised organisation with narrowly defined
responsibilities. One agency is typically given responsibility for solving traffic congestion
problems, another reduces accidents and another protects the environment, while others
determine the location of public facilities, such as schools. Often, one agency’s solutions
exacerbate another agency’s problems”.
So a series of authorities would rather jeopardise the tendency to progress towards
sustainability due to possible envisaged lack of synchronised coalition and hence one
single organisation must be assigned overall responsibility for urban transport in the cities
of India.
5.1.5 Discourse of Public Awareness
Public participation is important for successful outcome of the policy process, but the
National Urban Transport Policy does not indicate public participation on the formulation of
the very policy.
“Urban transport policies cannot succeed without the fullest co-operation of all the
city residents. Such cooperation can be best secured if the objective of any initiative
is made clearly known to them” (NUTP, 2006, p.15).
There has to be a proactive attitude on the part of the policy makers to involve public as
“sustainability suggests that public involvement is increasingly important because:

• it can result in decisions that more accurately reflect community values by giving people
more opportunities to affect decisions.
• it can contribute to more equitable transportation decisions by giving disadvantaged
groups more involvement in decisions that affect them.
• it can create more public support for policies that require behaviour changes or sacrifices
in a community” Litman and Burwell, (2006, p.340).
But many a times in practice public participation is ignored and even if there is possibility of
participation, public require motivation and resources to get involved (Litman and Burwell,
2006). Here use of ‘if’ virtually dilutes the proactive attitude on the part of the policy makers
not making the participation mandatory and allowing formulating policies in isolation which
may be because that suites their interest.
5.2 State government approach towards sustainable transport policy and
implementation
5.2.1 Introduction
The national urban transport policy candidly mentions that the national policy is generic in
nature and is only to guide state level action plans therefore in a way expectation rests with
the state government for framing of state level urban transport policy framework. The
government of West Bengal has not yet taken any steps forward to formulate state urban
transport policy within the frame work of national urban transport policy for progressing in
the direction of sustainability at state level.
According to Junior Planner
“we don’t have a policy ........…this is more like project number one-flyover from this
point to that point project number two-metro line from this point to that point”
The state has so far prepared two vision documents. The Traffic and transportation Master
Plan Vision 2025 was prepared before the promulgation of NUTP in 2006. The
Comprehensive Mobility Plan was prepared in 2008.
5.2.2 Strategy for Urban transport in Traffic and transportation Master Plan
KMDA prepared a Traffic and Transportation Master plan for a period of 25 years in 2001.
The master plan recognises the increase in the personalised transport due to the increase
in the desire to travel more despite the fact that the country need to import major share of

oil from other countries at a premium. The objectives of the master plan further stress the
need for formulation of appropriate policy and strategy to provide for safe, fast, economic,
and environment friendly transport facilities and services in KMA. The policy guidelines of
the master plan mainly focus on the integrated transportation network within KMA.
There is absolutely no mention in the master plan as how to achieve the master plan
objectives in view of developing sustainable urban transport system and mechanism for
implementation of these objectives.
5.2.3 Strategy for Urban transport in Comprehensive Mobility Plan
However, as advocated in the national policy, state government has prepared the
Comprehensive Mobility Plan 2008 (CMP) for KMA, a vision document focusing on laying
down an integrated transport plan for the region. The vision statement encompasses need
for an integrated multi-modal transport system (Fig: 5.3) for the city that offers a single
travel experience to the commuters and in safe, secure and timely manner.
Figure 5.3 Comprehensive mobility plan vision (Source CMP, 2008)
The comprehensive mobility plan vision provides a framework for guiding development of
urban transport in metropolitan Kolkata and is mandated by the MUD, GOI for receiving
funding under the national urban renewal mission. The translation of vision into broad
strategies has been done according to the ADB’s threefold approach for sustainability:

“1. Avoid: reduce the need for travel by promoting city structures and urban densities that
do not require large passenger–kilometres (km) and freight–km of travel;
2. Shift: change modal choice to promote lower fuel consumption per passenger–km and/or
freight–km and manage traffic so as to reduce fuel consumption and air pollutants; and
3. Improve: increase the energy efficiency of vehicles and fuels by decreasing distances
travelled and reduce the greenhouse gas footprint per litre of fuel consumed” (ADB, 2009,
p.39) (see Fig: 5.4) but successful implementation of the strategies would mean translating
them into action.
Figure 5.4 Comprehensive Strategies for Enhancing Mobility (Source CMP, 2008)
The main drawback of the Comprehensive Mobility Plan is that it does not provide for any
implementation strategy. The CMP identifies a comprehensive list of projects to be taken up
but fails to provide phasing and priority for actions. No time limit has been set fourth for
implementation of the projects identified and thereby does not provide any time frame for
achieving larger goals of sustainability.

5.3 Current Trends in travel behaviour in Kolkata
5.3.1 Introduction
“Urban transport in Calcutta is in crisis. Because of uncontrolled land use
development, associated transport activity and an unrelenting increase in private
motor vehicles, there is severe congestion and deteriorating public transport.”
(Halder, 1997, p. 24)
In India, Kolkata is a very unique city, Kolkata metropolitan area spreads on the two banks
of the Hoogly river with a total population of 14 million (see Fig 5.5 census, 2011) is a major
urban centre of the eastern India. The road-based passenger transport system of Kolkata
mainly consists of cars, buses, minibuses, auto rickshaws, motorcycles, taxis, bicycles and
hand-pulled rickshaws. In a number of corridors tram cars also share the same right of way
along with other vehicles. The Kolkata transport system also includes an underground rail
rapid transit system, suburban rail and cross-river ferry systems.
The decadal population growth indicates that there is an average growth rate of 25% in
KMA area from 1951 onwards (see Fig: 5.6) till 2001 which dropped to 7% between 2001
and 2011. This could be attributed to reduce quality of life and saturation among others that
many people are not getting attracted to Kolkata any further and that people are leaving
Kolkata for higher studies and in search for jobs to other cities in India or abroad.
Figure 5.5 KMA population (Source: Compiled from Census of India data)
0
2
4
6
8
10
12
14
16
IN'million
YEAR
KMA Population 1901-2011
KMC
SUBURB
KMA

Figure 5.6 KMA Decadal Growth (Source: Compiled from Census of India data)
The current trend in travel behaviour would be viewed in the light of reduction in public
transport, increased in personalised vehicles and neglected Kolkata tram.
Figure 5.7 Modal Share 2002 (Source: Pucher et al., 2005)
5.3.2 Reduction in public transport patronage
The modal share for public transport in Kolkata (see Fig: 5.7) during 2002 was almost 80%
and was highest compared to Delhi and Mumbai, whereas share of private motorised
0%
25%
50%
75%
100%
125%
150%
175%
200%
225%
Decadal Population Growth
Suburb
KMC
KMA
0%
20%
40%
60%
80%
100%
Kolkata Delhi Mumbai
Percentage Modal Share 2002
Walk
Non Motorised Veicle
Private Motorised
Public Transport

vehicle which includes both four and two wheelers stands at about 5% compared to Delhi
and Mumbai where private motorised vehicle share was almost 20% each.
Figure 5.8 Modal Share 2008 (Source: Wilbur Smith Report, 2008)
A total change in the scenario can be seen for 2008 modal share (see Fig: 5.8), where the
modal share for public transport in Kolkata stands at below 60%, an overall fall of more than
20% in six years whereas share of private motorised transport almost doubled during the
same period.
5.3.3 Increased personalised vehicles
Until the beginning of the nineties private passenger cars played a marginal role in India
and Kolkata. Bicycles, buses, trucks, and auto rickshaws dominated the streets. But post
economic liberalization in mid nineties experienced economic growth and this phenomenon
could be linked to the ever increasing motorised vehicles (see Fig: 5.9) in Kolkata and India
coupled with deteriorating services in public transport. There is a significant growth in two
wheelers outnumbering all other modes of transport including cars. The main reason for this
increase in two wheelers is due to urban sprawl and need for long distance travel to work
and increased public affordability. The analysis of the chart also brings out that there has
been meagre increase in bus fleet and intermediate public transport (IPT) such as auto
rickshaw and taxi substituting the need for public transport.
0%
20%
40%
60%
80%
100%
Kolkata Delhi Mumbai
Percentage Modal Share 2008
Walk
Non Motorised Veicle
Private Motorised
Public Transport

Figure 5.9 Growth in Motorised vehicles, Kolkata (Source: Statistical Handbook, WBG)
The resultant effect of decrease in modal share of public transport by more than 20%
encouraged the growth of private vehicles and as well increased the share for walking and
cycling, data compared between the years 2002 and 2008 (see Fig: 5.10).
Figure 5.10 Comparison of road based transport share
(Source: Pucher et al, 2005 for 2002 data and Wilbur Smith Report for 2008 data)
0
50
100
150
200
250
300
350
400
450
Motor Car Two
wheeler
bus Taxi Auto
INThousands
Modes
Growth in Motorised Vehicles In Kolkata 1995-2005
1995
2000
2005

5.3.4 Neglected Kolkata tram
“We have a very ambivalent attitude towards the tram way system, there are a lot of diverse
opinions but I think the present tram way system as it exists is not suitable for Calcutta.
There are so many ways of reviving the heritage aspect I don’t mind that….” ADU, WSG
Table 5.1 Tram Services in Kolkata
No Details 1990-91 1995-96 2000-01 2001-02
1. No. of Tram Cars 396 319 319 319
2. No. of Routes 33 29 29 29
3. Route Length (in KM double track) 71 71 68 68
4. Av. No. of Vehicles put on road / day 253 179 164 153
5. Total Lengths Run (000’KM) 9443 5400 5200 4980
6. Passengers Served (0.1million) 1826 699 596 595
7. Total Earnings (Rs 0.1million) 1065 855 960 926
8. Total Expenditure (Rs 0.1million) 4473 6448 8429 9219
Source: Statistical hand book, 2002-03, WSG
Tram the non polluting public transport of Kolkata, of course, which has not been scrapped
as yet as in the other cities of India but is continuing in Kolkata from the historical and
heritage viewpoint. The information regarding tram services in Kolkata during 1990-2002 is
presented in Table: 5.1 above.
As it is clear from the above table that all the variables of tram services in Kolkata showed
declining trend during the period 1990-2002 except that the expenditure which increased
substantially. The number of tram cars reduced from 396 in 1990-91 to 319 in 1995-96 and
after that the number remained the same till 2001-02. Number of routes also reduced from
33 in 1990-91 to 29 in 1995-96. The route length also reduced from 71KM in 1990-91 to
68KM in 2001-02. The average number of vehicles plied on road per day also reduced from
253 in 1990-91 to 153 in 2001-02. The total lengths run, passengers served and total
earnings declined during the period. Increasing expenditure as running the tram service
point to the fact that tram services in Kolkata is a liability on the government for maintaining
the system.

5.4 Attitude of policy makers towards sustainable urban transport policy
and implementation
5.4.1 Introduction
“....implementation should not be divorced from policy. There is no point in having good
ideas if they cannot be carried out”. (Pressman and Wildavsky, 1973, P 143)
In this research, implementation has been considered as the part and parcel of overall
policy formulation and thus policy makers in broader sense also include the policy
propagators, the assimilators and shapers, the implementers and finally the auditors or
evaluators in the process playing their role in policy implementation. At every stage thus
there are individuals who are involved and that they represent certain institutions having
both individual and institutional goals to be achieved. So drawing from the Herbert A.
Simon’s psychological and economic theories, ultimately these goals are in fact shaped by
human behaviour which in turn is influenced by cognition, embedded beliefs, extent of
knowledge and information, learning and emotions etc. In a way then at all stages there are
possibilities of facing endogenous and exogenous constraints in the performance of the
goal delivery. There could be self inflicted or institutional formal or informal rules or effect of
culture leading to different constrains.
The individual thus is bounded which “involves the decision maker choosing an alternative
that is intended not to maximise his or her values but to be satisfactory or good enough.
The term ‘satisficing’ describes this process. Bounded rationality enables the administrator
faced with a decision to simplify by not examining all possible alternatives. Rather, rules of
thumb are adopted, and as a result important options and consequences may be ignored.”
(Hill, 2005, p.147)
As such the overarching theme of this research revolves around the attitude of the policy
makers towards sustainable transport policy and impediments to implementation. As
already discussed good ideas if do not see the light of the day then the very existence of
the good ideas is feeble. This section presents the analysed qualitative data obtained
through the interviews of the key policy makers in the city of Kolkata and their attitude
towards sustainable urban transport policy and implementation. The analysed data has
been categorised into five main themes within the theoretical framework as discussed in the
section 3.3, and are:

1. Extent of knowledge and information one possesses
2. Limited cognitive ability to seek for ideal alternative to problem solving in a situation of
finite knowledge and time.
3. Unconscious skills, habits and reflexes individuals possess
4. Individuals’ values and conception of purpose
5. Simplification of the process of decision making by use of heuristics
The above themes have been further divided into subthemes so as to focus on the essence
of the thoughts of the interviewees in this presentation.
5.4.2 Extent of knowledge and information one possesses
The knowledge is an important aspect of decision making process. Humans do not have
the cognitive luxury of having infinite knowledge and also cognitive capacity to scientifically
determine the consequences of all the options available and gathering knowledge of such
alternative options are costly. But at the same time decision making “expertise is based on
extensive knowledge—no knowledge, no expertise” (Simon, 1991, p .129).
Limited comprehensive knowledge of Sustainable policy
“principal point of the urban transport policy is that move people not vehicles and I
think that this policy as has been formulated fulfils the social and economic needs of
the people and the overall fame work for the sustainable mission for sustainable
urban development. (MP)
The above statement by MP reveals that there is a little knowledge about sustainability but
knowledge about sustainability in the context of urban transport is found to be deficient. The
notion of ‘moving people rather than moving vehicles’ has been projected as being the
principal focal point of sustainability paradigm. There has been a judgemental tone used to
exemplify the resultant effect of such policy fulfilling the sustainability mission - which is not
right in its true sense and rather amplify lack of in-depth understanding of sustainability as a
whole.
“..but of course there has been a formation of Urban Metropolitan Transport
Authority of which Chief Secretary is the chairman I am also as the ADU Urban
development a member but this is handled basically by the transport department.”
(ADU)

ADU’s thoughts here do not represent the essence of the national policy but present
deficiency in the knowledge of sustainability. He feels that formation of an UMTA as
prescribed in NUTP fulfils the need for sustainability of urban transport in Kolkata.
Rhetoric for sustainable transport
Rhetoric here refers to the manifestation of camouflaging deficient information level which
in reality cannot accomplish the desired goal of contextual sustainability and the following
thoughts of the policy makers reinforces the claim.
“The present trend is to go towards non car based transport, that is public transport,
cycling and walking but the progress has been rather slow. Our ministry has been
trying to promote non car based transport like public transport, cycling and walking
but the response of the states to the same has been rather slow”. (MP)
“But definitely future policies of the state must get a place for innovative ideas
whereby the non car based transport could be encouraged but for such policies to
be framed there has to be focus in two areas- large scale campaign and alternative
financing for developing infrastructure.” (MLA)
The above thoughts are the political way of dealing with a situation and never provide
specific targets for achieving goals in action arena and timeframe for accomplishment. This
is the revelation of their superficial attitude towards sustainable urban transport.
Broken link between policy discourse and practice
“The priority is obviously on non car based transport policies that is use of public
transport over private transport. But so far in implementation, very often private
transport has got priority. Most of the flyovers that have been made are benefitting
mainly car owners, this is not desirable.” (MP)
The broken link refers to national government discourse not getting channelized to state
government as a result of which creating a knowledge vacuum and thus discourse at the
national level is not synchronised with that of the state practice.
“....prescriptions of NUTP of 2006 in the strictest sense there is yet to be a proper
reflection in urban transport policy at the level of Kolkata. Even at the level of KMA
also we do not have a policy as such. What we have is a set of plans which are
mandated .JnNURM.” (JP)

“......NUTP has incorporated the principle that pedestrians and pedestrian
infrastructure need special focus ...... but the guidelines of the JnNURM do not
make explicit reference to pedestrian and bicycle infrastructure. This is one of the
weakest links.” (RNG)
MP, representative of the national government feels that national government’s priority is
for sustainable urban transport but the state is way behind implementing them. At state
level Junior Planner finds that in the policy vacuum, only state government mandated
projects under JnNURM are being taken up for implementation. RGN feels that JnNURM
does not provide explicit guidelines for sustainable modes transport as recommended in
NUTP. Thus the broken link exists because of the information gap which affected
implementation of national government priority for sustainable urban transport in the
kolkata.
5.4.3 Limited cognitive ability of individuals
Cognitive limitations of individuals include having just enough information to be processed
for reaching to a satisfactory solution for solving problem and limitation of mind processing
and absorbing such information in finite time for making decision.
That’s good enough the satisfactory approach
That’ good enough refers to the suboptimal solution within the limited cognitive ability as
described above.
“…our ministry has already introduced metros in several cities of the country…we
are also promoting bus rapid transit systems in many cities of India”. (MP)
“...Calcutta we can now see crisscrossing of metro railway lines being built up.
Calcutta was the first city in India where the underground metro first built.
…..everywhere I think public transportation is the solution“…in the matter of a few
years the public transportation scene in Calcutta will change, not to disregard not
only metro but also three other initiatives have been taken up, one of them is
already running this is the circular railway link. So the question is very clearly
addressed that we believe very firmly on public transportation and its improvements
in Calcutta”. (ADU)
“....there are continuous efforts for development of public transport, like extension of
metro, BRTS etc”. (ITP)

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