Sustainable Social Housing in India

Definition,
Challenges
and
Opportunities

Technical Report
Gregor Herda, Sonia Rani,
Pratibha Ruth Caleb, Rajat Gupta,
Megha Behal, Matt Gregg, Srijani Hazra

May 2017

MaS-SHIP
Mainstreaming Sustainable
Social Housing in India Project
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MaS-SHIP (Mainstreaming Sustainable Social Housing in India project) is an initiative by the Low-
Carbon Building Group at Oxford Brookes University, The Energy and Resources Institute (TERI),
Development Alternatives and UN-Habitat, that seeks to promote sustainability in terms of
environmental performance, affordability and social inclusion as an integrated part of social housing
in India. MaS-SHIP is supported by the Sustainable Buildings and Construction Programme of the 10-
Year Framework of Programmes on Sustainable Consumption and Production (10-YFP).

This report should be referenced as:

Herda, G., Rani, S., Caleb, P. R., Gupta, R., Behal, M., Gregg, M. and Hazra, S. (2017). Sustainable
social housing in India: definition, challenges and opportunities - Technical Report, Oxford Brookes
University, Development Alternatives, The Energy and Resources Institute and UN-Habitat. Oxford.
ISBN: 978-0-9929299-8

Technical peer reviewers:

Professor Amita Bhide, Tata Institute of Social Sciences
Dr Sameer Maithel, Greentech Knowledge Solutions
Professor B V Venkatarama Reddy, Indian Institute of Science

For more information on the MaS-SHIP project, please visit;

www.mainstreamingsustainablehousing.org
Or contact Professor Rajat Gupta: [email protected]

Published by: Low Carbon Building Group, Oxford Institute for Sustainable Development, Oxford
Brookes University
© Oxford Brookes University, Development Alternatives, The Energy and Resources Institute and
UN-Habitat, 2017

Images front and back cover: MaS-SHIP team

The MaS-SHIP research team wishes to encourage access to, and circulation of, its work as widely as
possible without affecting the ownership of the copyright, which remains with the copyright holder.
To facilitate these objectives, this work is subject to the Creative Commons Attribution-
NonCommercial-NoDerivs (by-nc-nd) 2.0 UK: England & Wales licence. The full licence can be viewed
at http://creativecommons.org/licenses/by-ncnd/2.0/uk/

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Research Team
Gregor Herda Gregor Herda is an urban planner who has been coordinating the sustainable
housing portfolio of UN-Habitat since 2014, including the activities of the
Global Network for Sustainable Housing. His research interests include the
socio-economic and financial sustainability of social housing programmes,
integrated life-cycle energy analysis and application of building sustainability
assessment tools in the Global South. He is currently based in New Delhi as a
Regional Housing Advisor for India, Afghanistan and Sri Lanka.

Sonia Rani
Ms Sonia Rani is Fellow and Area Convenor at the Centre for Research on
Sustainable Building Science (CRSBS) group under Sustainable Habitat
Division (SHD) of The Energy & Resources Institute (TERI), New Delhi, India. -
Her interest lies in the field of research and development, policy formulation
through project implementation and incorporation of resource efficiency
measures at building/campus level. She has almost 10 years of experience in
different streams of sustainable development which primarily includes
building materials, water & waste water management, solid waste
management at both consultancy and policy levels. Under UNEP Funded
project “Mas-SHIP”, she is involved in evaluating sustainability parameters to
develop sustainability Index (SI) and to develop Design Support Tool (DST).

Pratibha Ruth Caleb Pratibha is a deputy manager (Urban Research) at Development Alternatives.
Her current areas of work are on policies related to resource efficiency,
sustainable housing and sustainable cities. In the MaS-SHIP project she will
be involved in assessing the housing projects based on social, economic and
environmental parameters, as well as liasoning with the Government for
greater buy-in for mainstreaming of such housing projects.

Rajat Gupta Professor Rajat Gupta is Director of the Oxford Institute for Sustainable
Development and Low Carbon Building Research Group at Oxford Brookes
University (UK), where he also holds professorial chair in sustainable
architecture and climate change. He is leading the UNEP funded MaS-SHIP
project on mainstreaming sustainable social housing in India. Recently he
won (with CEPT University) Newton Fund research award on building
performance evaluation for improved design and engineering (Learn-BPE).

Megha Behal Megha Behal is working as a Research Associate with The Energy and
Resources Institute in the Centre for Research on Sustainable
Building Science (CRSBS) group. Her interest lies in energy retrofits, building
design optimization, performance evaluation & studies on visual comfort
associated with integrated daylight systems, and
sustainablebuildingmaterials and technologies. Megha is team member of

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the UNEP funded mainstreaming sustainable social housing in India project

(MAS-SHIP).

Matt Gregg Matt Gregg is a Research Fellow in Architecture and Climate Change, based in
the Low Carbon Building Group of the Oxford Institute for Sustainable
Development at the School of Architecture, Oxford Brookes University. Matt
is currently involved with a 12-month project assessing the current and
future overheating risk in four care homes in the UK; Care provision fit for a
future climate.

Srijani Hazra Srijani is a deputy manager (Habitat Solutions) at Development Alternatives.

Currently she is leading the Habitat team and is involved in developing
appropriate and affordable house designs for rural regions at various
locations in India. Her primary focus lies in incorporating new construction
technologies in housing schemes so that houses become accessible to large
number of people.

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Glossary of terms
Census (also called as population census) is Collective dwellings are institutional,
the process of collecting, compiling, analyzing communal or commercial in nature.
or otherwise disseminating demographic,
economic and social data pertaining at a Private dwellings refer to a separate set of
specific time, to all persons in a country or a living quarters with a private entrance
well-defined part of a country. As such, the either from outside the building or from a
census provides a snapshot of the country’s common hall, lobby, vestibule or stairway
population and housing at a given point of inside the building.
time.
Economically weaker section (EWS)
Census house is a building or part of a households are defined as households having
building used or recognized as a separate unit an annual income up to Rs 3,00,000 (Rupees
because of having a separate main entrance Three Lakhs). States/UTs shall have the
from the road or common courtyard or flexibility to redefine the annual income
staircase etc. It may be occupied or vacant. It criteria as per local conditions in consultation
may be used for a residential or non- with the Centre.
residential purpose or both. If a building has a
Floor area ratio (FAR) is the relationship
number of Flats or Blocks/Wings, which are
between the total amount of usable floor area
independent of one another having separate
that a building has, or has been permitted for
entrances of their own from the road or a
the building, and the total area of the lot on
common staircase or a common courtyard
which the building stands. This ratio is
leading to a main gate, these will be
determined by dividing the total, or gross,
considered as separate Census houses.
floor area of the building by the gross area of
Census towns are places that satisfy the the lot. A higher ratio is more likely to indicate
following criteria are termed as census towns: a dense or urban construction. Local
a) A minimum population of 5000 b) At least governments use FAR for zoning codes.
75% the male main working population
Lower income group (LIG) households are
engaged in non-agricultural pursuits c) A
defined as households having an annual
density of population of at least 400 per
income between Rs 3,00,001 (Rupees Three
sq.km.
Lakhs and one) up to Rs.6,00,000 (Rupees Six
Congestion factor refers to the percentage of Lakhs). States/UTs shall have the flexibility to
households in which each married couple redefine the annual income criteria as per
does not have a separate room to live. These local conditions in consultation with the
are usually households with one or more Centre.
married couples sharing room with a person
Habitat is a place or environment that is
aged 12 years or more.
conducive to growth and provides controlled
Consumer price index is a comprehensive comfortable physical environment for the
measure used for estimation of price changes inhabitant.
in a basket of goods and services
Household is usually a group of persons who
representative of consumption expenditure in
normally live together and take their meals
an economy is called consumer price index.
from a common kitchen. The persons in a
Dwelling is defined as a set of living quarters. household may be related or unrelated or a
Two types of dwelling are identified in the mix of both. However, if a group of unrelated
Census: persons live in a Census house but do not take
their meals from the common kitchen, then
they will not collectively constitute a

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household. Each such person should be Housing need is an indicator of existing deficit.
treated as a separate household. The The number of households that do not have
important link in finding out whether it is a access to accommodation and are currently in
household or not is a common kitchen. There homeless conditions, without a shelter /house
may be one member households, two are households that account for housing need.
member households or multi-member
households. There are three types of Housing shortage is defined as the number of
households namely: households in need of a shelter/ house and
the households who need a livable house.
Normal household is usually a group of Housing shortage includes households living in
persons who normally live together and obsolescent houses, non-serviceable katcha
take their meals from a common kitchen. house, congested houses needing new houses
and households that are in homeless
Institutional household comprises a group conditions.
of unrelated persons who live in an
institution and take their meals from a Housing stock is the total number of dwelling
common kitchen. Examples of Institutional units constructed in a defined area is defined
Households are boarding houses, messes, as housing stock. This will include occupied
hostels, hotels, rescue homes, observation and vacant houses
homes, beggars' homes, jails, ashrams, old
age homes, children homes, orphanages, Migration rate is taken as the ratio of total
etc. migrants counted in the Census to its total
population multiplied by 1000. While
If in a building which is occupied by an discussing the migration result, the term
Institutional Household, the families of the population mobility is taken as a synonym to
warden and peon are also living in migration rate.
separate Census houses and cooking for
themselves separately, then each family Obsolescence Factor in housing is defined as
will be treated as a separate household the reduction in the usefulness or desirability
and the houses occupied by them will be of a house because of its outdated design
treated as separate Census houses. In this feature or condition, usually one that cannot
situation there will be one building, three be easily changed. The first component of
Census houses and three households, i.e., unacceptable housing is non serviceable units.
one Institutional Household and two The second component is obsolescent units
Normal Households. which can be (a) all bad houses that are less
than 40 years of age and (b) all houses aged
People staying in a normal household may 80 years or more
be related or unrelated or a mix of both,
whereas in an institutional household the Out growth should be a viable unit such as a
persons are unrelated. village or part of a village contiguous to a
statutory town and possess the urban
Houseless household do not live in features in terms of infrastructure and
buildings or census houses but live in the amenities such as pucca roads, electricity,
open or roadside, pavements, under fly- taps, drainage system, education institutions,
overs and staircases, or in the open in post offices, medical facilities, banks etc.
places of worship, mandaps, railway Examples of out growths are railway colonies,
platforms, etc., are to be treated as university campuses, port areas that may
Houseless households. come up near a city or statutory towns
outside its statutory limits but within the
Housing demand is a market driven concept revenue limit of a village or villages
and relates to the type and number of houses contiguous to the town or city.
that households will choose to occupy based
on preference and ability to pay.

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Pradhan Mantri Awaas Yojana (PMAY) was address the processes by which slums are
launched in June 2015 as a social welfare created and reproduced. It was introduced by
flagship program with an aim to provide the Indian government's Ministry of Housing
affordable housing to urban poor. Under and urban poverty Alleviation, which ran from
PMAY, it is proposed to build 2 crore houses 2013 to 2014. The scheme aimed to make
for urban poor including EWS & LIG in urban India slum-free by 2022 by providing people
areas by the year 2022 through a financial with shelter or housing, free of cost.
assistance of ₹2 trillion (US$30 billion) from
central government. Slum, for the purpose of Census, has been
defined as residential areas where dwellings
This Mission has four components: are unfit for human habitation by reasons of
dilapidation, overcrowding, faulty
a) In-situ Slum Redevelopment with private arrangements and design of such buildings,
sector participation using land as resource narrowness or faulty arrangement of street,
lack of ventilation, light, or sanitation facilities
b) Affordable Housing through Credit
or any combination of these factors which are
Linked Subsidy
detrimental to the safety and health.
c) Affordable Housing in Partnership with
Urban agglomeration is a continuous urban
private and public sector
spread constituting a town and its adjoining
d) Beneficiary-led house construction urban out growths or two or more physically
/enhancement. contiguous towns together with or without
urban out growths of such towns.
Rajiv Awas Yojana (RAY) was an Indian
government program that attempted to help Urban area comprises statutory towns,
slum dwellers gain appropriate housing and Census towns, and outgrowths

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List of abbreviations

10-YFP 10-Year Framework of DRI Differential Rate of Interest

Programmes DST Decision Support Tool
AAC Autoclaved aerated concrete DU Dwelling Unit
AEGR Average Annual Exponential ECBC Energy Conservation Building
Growth Rate Code
AHIP Affordable Housing in ECBC Energy Conservation Building
Partnership Code
AHP Affordable Housing in ECBC Energy Conservation Building
Partnership Code
AMRUT Atal Mission for Rejuvenation EEFP Energy Efficiency Financing
and Urban Transformation Platform
AP Andhra Pradesh EPI Energy Performance Intensity
APHB AP Housing Board EPS Expanded Polystyrene
APL Above poverty line ERG Environmental Reference Guide
APRSCL Andhra Pradesh Rajiv Swagruha LCI Life Cycle Inventory
Corporation Limited
EVALOC Evaluating Low-Carbon
APSHCL Andhra Pradesh State Housing Communities
Corporation Limited
EWS Economically Weaker Section
BCA Building and Construction
FAQ Frequently Asked Questions
Authority
BDA Bangalore Development FAR Floor Area Ratio
Authority FEEED Framework for Energy Efficient
BEES Building for Environmental and Economic Development
Economic Sustainability FSI Floor Space Index
BIM Building Information Modelling FYP Five Year Plan
BMRDA Bangalore Metropolitan Regional GBCSA Green Building Council South
Development Authority Africa
BMTPC Building Materials & Technology GDP Gross domestic product
Promotion Council GERES Groupe Energies Renouvelables,
BPL Below Poverty Line Environnement et Solidarites
BREEAM Building Research Establishment GFRC Glass fiber reinforced concrete
Environmental Assessment GHG Greenhouse Gas
Method GIM Green India Mission
BSUP Basic Services for Urban Poor GJ Gigajoules
C&D Construction and Demolition GRIHA Green Rating for Integrated
C&DMA Commissioner and Director of Habitat Assessment
Municipal Administration GRIHA- GRIHA - the National Rating
CBRE Commercial Real Estate Services NRS System
CEF Connecting Europe Facility HAPI Management of Housing
CEPT Centre for Environmental Performance Information
Planning and Technology HDB Housing & Development Board
CPF Central Provident Fund HFA Housing for All Scheme
CPWD Central Public Works Department HIG High Income Group
CRSBS Centre for Research on HK-BEAM Hong Kong Building
Sustainable Building Science Environmental Assessment
CSO Central Statistics Office Method

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HMDA Hyderabad Metropolitan MoHUPA Ministry of Housing and Urban

Development Authority / MHUPA Poverty Alleviation
HRIDAY National Heritage City MSAHPU Model State Affordable Housing
Development and Augmentation A Policy for Urban Areas
Yojana MTEE Market Transformation for
HUDCO Housing and Urban Development Energy Efficiency
Corporation NAPCC National Action Plan on Climate
IAY Indira Awaas Yojana Change
IGBC Indian Green Building Council NAPCC National Action Plan on Climate
IGBC-CII Indian Green Building Council Change
(IGBC), part of the Confederation NCAER National Council of Applied
of Indian Industry (CII) Economic Research
IHSDP Integrated Housing and Slum NGO Non Government Organisation
Development Programme NHB National Housing Bank
IIEC International Institute for Energy NMEEE National Mission for Enhanced
Conservation Energy Efficiency
IITD Indian Institute of Technology NMSH National Mission on Sustainable
INDC Intended Nationally Determined Habitat
Contribution NSDP National Slum Development
INR Indian Rupee Programme
IPE International Panel of Experts NTFP non-timber forest produces
ISHUP Interest Subsidy Scheme for NUHHP National Urban Housing and
Housing the Urban Poor Habitat Policy
JNNURM Jawaharlal Nehru National Urban NURHP National Urban Rental Housing
Renewal Mission Policy
KHB Karnataka Housing Board O&M Operation & Maintenance
KRNK Karnataka Rajya Nirmana Kendra PAT Perform, Achieve and Trade
KSCB Karnataka Slum Clearance Board Scheme
PMAY Pradhan Mantri Awaas Yojana
KUIDC Karnataka Urban Infrastructure
Development & Finance PMGAY Pradhan Mantri Gramin Awaas
Corporation Yojana
LCA Life Cycle Assessment PNG Papua New Guinea
LCCA Life Cycle Cost Analysis PPP Public-private partnership
LEED Leadership in Energy and PPPP Public Private People
Environmental Design Participation
LIG Lower income group PRI Panchayati Raj Institutions
MaS-SHIP Mainstreaming Sustainable Social PVC Poly Vinyl Chloride
Housing in India project R&D Research & Development
MEPMA Mission for Elimination of RAY Rajiv Awas Yojana
Poverty in Municipal Areas RCC Reinforced Cement Concrete
mha Million Hectares RGRHC Rajiv Gandhi Rural Housing
MND Ministry of National Corporation
Development RICS Royal Institution of Chartered
MNP Minimum Needs Programme Surveyors
MNRE Ministry of New and Renewable RRY Rajiv Rinn Yojana
Energy SC/ST Scheduled Castes and Scheduled
MoEF&CC Ministry of Environment Forests Tribes
and Climate Change SCM Smart Cities Mission

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SDG Sustainable Development Goals UNEP United Nations Environment

SEPF Slovenian Environmental Public Programme
Fund UN- United Nations Habitat
SHD Sustainable Habitat Division Habitat
SI Sustainability Index UP Uttar Pradesh
SIDBI the Small Industries USAID United States Agency for
Development Bank of India International Development
SPR Singapore Permanent Resident UT Union Territory
STBA Sustainable Traditional Buildings VAMBAY Valmiki Ambedkar Awas Yojana
Alliance ZEB Zero Energy Building
SVA- Small Versatile Affordable GRIHA
GRIHA
TERI The Energy and Resources
Institute
ULB Urban Local Bodies
ULCRA Urban Land Ceiling and
Regulation Act

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Contents

Research Team .................................................................................................. ii

Glossary of terms .............................................................................................. iv
List of abbreviations......................................................................................... vii
Executive Summary.......................................................................................... xii
1. The Aspiration: Commitments ..................................................................... 1
1.1 THE 2030 AGENDA FOR SUSTAINABLE DEVELOPMENT ...................................................................................... 1
1.2 THE PARIS AGREEMENT ............................................................................................................................... 2
1.3 THE NEW URBAN AGENDA .......................................................................................................................... 3

2. The Reality: (Social) Housing in India ........................................................... 4

2.1 DEFINING ‘SOCIAL HOUSING’ IN THE INDIAN CONTEXT ....................................................................................... 4
2.2 CURRENT HOUSING SHORTAGE ..................................................................................................................... 6
2.3 HOUSING AS A DRIVER OF ECONOMIC GROWTH AND RESOURCE USE IN INDIA ....................................................... 7

3. National Response: Housing Policies and Programmes (1951-2017) ........... 9

3.1 HOUSING IN INDIA’S FIVE YEAR PLANS (1951-2017) ....................................................................................... 9
3.1 RECENT HOUSING AND URBAN DEVELOPMENT POLICIES, CODES AND REGULATIONS............................................. 12
3.2 RECENT HOUSING AND URBAN DEVELOPMENT PROGRAMMES AND ‘MISSIONS’ ................................................... 13
3.3 RECENT ‘MISSIONS’ ON CLIMATE CHANGE ADAPTATION AND MITIGATION ......................................................... 16
3.4 CONCLUSION ........................................................................................................................................... 17

4. State-level Response: Housing Sector Review ............................................ 18

4.1 CASE STUDY SELECTION ............................................................................................................................. 18
4.2 HOUSING SECTOR REVIEW OF SELECTED STATES............................................................................................. 23
4.2.1 Rajasthan ........................................................................................................................................ 23
4.2.2 Andhra Pradesh .............................................................................................................................. 23
4.2.3 Uttar Pradesh .................................................................................................................................. 24
4.2.4 Karnataka ....................................................................................................................................... 24
4.2.5 Uttarakhand.................................................................................................................................... 24
4.2.6 Common Building Materials and Typologies for Low-Income Housing .......................................... 24

5. Building Sustainability Benchmarking and Assessment Systems ................ 28

5.1 INTERNATIONAL SYSTEMS .......................................................................................................................... 29
5.1.1 Building for Environmental and Economic Sustainability (BEES) .................................................... 29
5.1.2 ATHENA ........................................................................................................................................... 29
5.1.3 Environmental Reference Guide (ERG) ............................................................................................ 29
5.1.4 IMPACT ........................................................................................................................................... 30
5.1.5 Responsible Retrofit Guidance Wheel (Sustainable Traditional Buildings Alliance) ....................... 30
5.1.6 Management of Housing Performance Information (HAPI) ........................................................... 31
5.1.7 Evaluating Low-Carbon Communities (EVALOC) ............................................................................. 32

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5.1.8 Building Research Establishment Environmental Assessment Method (BREEAM) ......................... 34

5.1.9 Hong Kong Building Environmental Assessment Method (HK-BEAM) ............................................ 35
5.1.10 Leadership in Energy and Environmental Design (LEED) ............................................................ 36
5.2 NATIONAL SYSTEMS.................................................................................................................................. 37
5.2.1 Green Rating for Integrated Habitat Assessment (GRIHA) ............................................................. 37
5.2.2 IGBC-CII Rating tool ........................................................................................................................ 38
5.2.3 CPWD Sustainability Tool ................................................................................................................ 39
5.2.4 ECOnirman ...................................................................................................................................... 40
5.3 CONCLUSION ........................................................................................................................................... 41

6. Case Studies............................................................................................... 43
6.1 BUILDING RESTORATION FOR SOCIAL HOUSING PURPOSES - CELSO GARCIA, 787 ................................................. 43
6.2 LOW ENERGY AND PASSIVE HOUSING IN LJUBLJANA ......................................................................................... 45
6.3 TECHNICAL TEAM PLANNING FOR SELF-HELP HOUSING IN THE KAMBI MOTO COMMUNITY ...................................... 47
6.4 CATO MANOR GREEN STREET .................................................................................................................... 49
6.5 THE NEW GENERATION OF YAODONG CAVE DWELLINGS, LOESS PLATEAU........................................................... 51
6.6 IMPROVED TRADITIONAL HOUSING IN PAPUA NEW GUINEA .............................................................................. 53
6.7 PASSIVE SOLAR HOUSING IN THE COLD DESERT OF THE INDIAN HIMALAYAS ......................................................... 55
6.8 JAUNAPUR SLUM RESETTLEMENT ................................................................................................................ 57

7. Singapore: Government-led Mainstreaming of Sustainability .................... 59

7.1 BACKGROUND ......................................................................................................................................... 59
7.2 SINGAPORE’S GREEN BUILDING MASTERPLANS AND PROGRAMMES (2005 – PRESENT) ......................................... 60
Eco-Precincts: Treelodge@Punggol ............................................................................................................. 63
7.3 APPLICABILITY TO THE INDIAN CONTEXT AND LESSONS LEARNED........................................................................ 64

8. Limitations of the Study ............................................................................. 65

9. Main Findings and Recommendations ....................................................... 65
10. Annex – Selected State Profiles ................................................................. 67
RAJASTHAN .......................................................................................................................................................... 67
ANDHRA PRADESH ................................................................................................................................................ 69
UTTAR PRADESH ................................................................................................................................................... 71
KARNATAKA ......................................................................................................................................................... 73
UTTARAKHAND ..................................................................................................................................................... 74

References ....................................................................................................... 76

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Executive Summary sustainability into low-income housing and

the development of tools to help in making
While more often than not, ‘housing’ is such decisions. The report is also developed
defined as a basic need which provides a to form a stand-alone output in its own right.
family access to shelter and basic amenities,
The report concludes that ‘social housing’ may
also enabling the creation of demand for
be a more useful term than ‘affordable
resources, physical infrastructure, labour,
housing’ in the Indian context, and redefines
technology, finance and land. Housing is a the term for this purpose. A historical
physical manifestation of social and cultural
retrospective of urban development, and in
practices and forms an integral part of the
particular housing-related policies and
assessment of the development and health of programmes in India over the last half century
an economy. Thus housing refers not only to
outlines recurring ‘themes’ in the national
the physical structure of a house but its
response to the housing challenge, while
forward and backward linkages to job creation, pointing out their substantial, yet still
resource requirements, institutional and
insufficient impact. In addition, the lack of
regulatory systems, supporting infrastructure,
development of urban development policies
services, and social cohesion. through the lens ofclimate resilience, or more
The 10YFP-funded project “Mainstreaming specifically resource efficiency, this project
Sustainable Social Housing in India (MaS-SHIP)” aims to highlight such policies that call of a re-
is designed to build upon the work previously look through these approaches
undertaken in the field of sustainable social
Furthermore, the housing deficit and status of
housing globally and India in particular while
social housing at state level is examined, while
recognizing the priorities set by the
five ‘high priority’ states are identified as
Government of India, as well as their inherent
suitable for further inclusion in the
constraints. development of the project’s Decision
All consortium partners have been working in Support Tool (DST). Existing building
the field of construction supply chain, sustainability assessment and benchmarking
integration of sustainability principles in tools similar to the DST are reviewed in an
buildings, building rating systems, housing effort understand common and unique
policy advice to governments with the goal of approaches, and to identify a ‘market gap’ (if
integrating sustainability principles in housing any can be found in India in particular) which
sectors the world over. The present study is the DST could potentially fill. Lastly,
constituted of an analysis of ‘the problem’ of exemplary ‘social’ housing projects are
social housing provision in India, the response profiled to highlight influencing factors
with which India has met this challenge in the contributing to project’s perceived higher
past, how it translated into state level level of sustainability. The case of Singapore is
responses, and what could be learned from used in particular to outline the interplay of
national and international case studies to policy measures, national legislation and
positively influence the Government of India’s regulation, as well as advocacy and training
prerogative to provide housing for all. The efforts to increase the housing sector’s
study provides to the MaS-SHIP project, sustainability, while acknowledging the
background evidence on and insights into inherent differences between the Indian and
policy drivers (and barriers) for integrating Singaporean context.

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The graph below illustrates the general to highlight particular notable observations.
outline of the report, leading to the
Brief description of the main chapters can be
recommendations provided in the conclusion
section. seen in the table below.

Throughout the report, a blue textbox is used

The India’s relevant commitments under the 2030 Agenda for Sustainable
Aspiration Development, the Paris Agreement and the New Urban Agenda are briefly
outlined.
The Reality The current state of the Indian housing sector is described, with a focus on
Economically Weaker Sections (EWS) and Low-Income Groups (LIG).

National National housing policies and programmes in India are summarised with a focus
Response on those impacting social housing and resource efficiency in the last decade.

State-level The housing deficit is disaggregated by state. Five states are selected for a more
Response detailed analysis of their individual responses to the housing challenge.

Tools Building sustainability assessment and benchmarking tools at the national and
international level are outlined, including their discerning characteristics and
uptake.
‘Best International and national project level ‘best practices’ are presented, including
Practices’ one example—Singapore—at national programme level.

Limitations Limitations of the report are briefly outlined.

Take-home Based on the study’s findings, the main take-home lessons for both the present
Lessons project and the provision of sustainable social housing in India are presented.

State A housing data collection for five selected states is presented in the Annex.
Profiles

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fast enough, with substantial impacts on the

1. The Aspiration:
achievement of other SDG2’s.
Commitments
Goal 8: Promote sustained, inclusive and
sustainable economic growth, full and
On an international level, three major
productive employment and decent work for
agendas have been supported by the all
Government of India which have a bearing on
urban development in general as well as Labour productivity (GDP per worker) in
climate change mitigation and resource Southern Asia is growing but remains low with
efficiency in particular: the 2030 Agenda for 3.5 constant US dollars, compared to 68.2 US
Sustainable Development, the Paris dollars in developed regions. Considering the
Agreement and the New Urban Agenda. housing sector being India’s third largest
industry, the potential for local economic
1.1 The 2030 Agenda for Sustainable development in associated construction and
Development service industries is substantial.

The 2030 Agenda for Sustainable Goal 9: Build resilient infrastructure,

Development, the implementation of which promote inclusive and sustainable
officially began on 1 January 2016, is a plan of industrialization and foster innovation
action based on 17 Sustainable Development The construction market in India is forecast to
Goals, many of which relate to the objectives become the world’s third largest by 2022
of this project. Below a list of Sustainable (Global Construction Perspectives and Oxford
Development Goals and targets and how they Economics, 2013). The sector is expected to
relate to the present project (United Nations, grow at a rate of 7013). The sector is expected
2016). to grow at a rate ofc demand (DMG Events,
2015) and enhanced proposed spending of
Goal 7: Ensure access to affordable, reliable, USD 1 trillion in the 12th five-year plan period.
sustainable and modern energy for all Overall residential construction demand is
expected to increase more than fourfold by
While the proportion of the population in 2030 from its 2005 level. In addition,
Southern Asia with access to electricity has switching to more energy efficient
increased from 63% to 79% between 2000 construction technologies, once identified,
will contribute towards further reducing
and 2012, a substantial proportion is still
carbon dioxide emissions per unit of value
being left out. In addition, 80% of those who added; a process which has already seen a
gained access to electricity since 2010 were 14% reduction between 2000 and 2013.
urban dwellers, highlighting at the same time
the need for energy efficiency interventions in Goal 11: Make cities and human settlements
the urban domain. In addition, energy inclusive, safe, resilient and sustainable
intensity, calculated by dividing total primary
Goal 11 represents the biggest alignment with
energy supply by GDP, has been falling in
this project. Target 11.1 seeks to “By 2030,
Southern Asia between 2000 and 2012 from
ensure access for all to adequate, safe and
6.8 to 5.4 mega joules per 2011 US Dollars
affordable housing and basic services and
PPP1. This indicator is, however, not falling
upgrade slums”. While the Government of
India has allocated tremendous resources to
1 2
Purchasing power parity Sustainable development goals

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achieving its share of this particular target, 1.2 The Paris Agreement
the delivery of less sustainable housing still
represents a challenge to other sustainability The Paris Agreement, which entered into
dimensions, which is where this project will force on November 4th, 2016, commits its
intervene. In addition, Target 11.c specifically ratifying member countries to, among others,
calls to “Support least developed countries, “holding the increase in the global average
including through financial and technical temperature to well below 2 °C above pre-
assistance, in building sustainable and industrial levels and to pursue efforts to limit
resilient buildings utilizing local materials.” the temperature increase to 1.5 °C above pre-
What constitutes a ‘sustainable and resilient industrial levels”.
building’ and to what extent ‘local materials’
India’s INDC under the Paris Agreement
must be sustainable from a life-cycle
targets a 33% to 35% reduction in emissions
perspective, will also be a direct contribution
intensity per GDP compared to 2005 by 2030.
of this project to this particular goal and
Some of the building related policies
target.
highlighted in the INDC include the mandatory
Goal 12: Ensure sustainable consumption and use of fly ash within a 100km radius of
production patterns thermal power plants. The commercial
building sector is highlighted by reference to
The increase of the material footprint of non- the Energy Conservation Building Code (ECBC),
metallic minerals in developing regions while the housing sector’s role is implied
between 2000 and 2010 from 5.3 to 6.9 through reference to India’s “Design
kilograms per unit of GDP at constant 2005 US Guidelines for Energy Efficient Multi-Storey
dollars is an indicator that the increasing Residential Buildings”. The importance of the
development pressure marks the construction building sector as a whole furthermore
industry as one of the primary battlegrounds features by reference to India’s native
for this particular SDG. building energy rating system GRIHA (Green
Goal 13: Take urgent action to combat Rating for Integrated Habitat Assessment),
climate change and its impacts and the fact that, at the time, India had 2.68
billion sq. ft. of “registered green building
Both Targets 13.2 “Integrate climate change space across 3,000 projects (second largest in
measures into national policies, strategies and the world), of which 600 are certified and fully
planning” and 13.3 “Improve education, functional”. The important difference
awareness-raising and human and between “registration” and “certification” is
institutional capacity on climate change discussed in section 5.2.2 of this document.
mitigation, adaptation, impact reduction and
early warning” will be read in conjunction The World Bank notes that the political
with the commitments of each country’s commitment for adoption and
Intended Nationally Determined Contribution implementation of the INDC, as of November
(INDC), including India’s, and will rely heavily 2016, is still very low with no adoption at
on built environment actors for their Head of State level, inter-ministerial level,
realization. parliamentary or Ministry level (World Bank
Group, 2016). Nevertheless, sectorial
approaches to (I)NDC implementation are
receiving increased international attention,

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most recently at COP22 in Marrakesh, and “to support sub-national and local
should be used as a leverage point for the governments, as appropriate, to develop
present project. sustainable, renewable, and affordable energy,
energy efficient buildings and construction
1.3 The New Urban Agenda modes, and to promote energy conservation
and efficiency.” Similarly, Paragraph 74
The 2016 New Urban Agenda is the successor
acknowledges the need “to make sustainable
document to the 1996 Habitat Agenda and is
use of natural resources and to focus on the
intended as „an action-oriented document
resource-efficiency of raw and construction
which will set global standards of
materials like concrete, metals, wood,
achievement in sustainable urban
minerals, and land, establish safe material
development, rethinking the way we build,
recovery and recycling facilities, and promote
manage, and live in cities”. It was adopted at
development of sustainable and resilient
the Third United Nations Conference on
buildings, prioritizing the usage of local, non-
Housing and Sustainable Urban Development,
toxic and recycled materials, and lead-
Habitat III, held in Quito, Ecuador, in October
additive-free paints and coatings”.
of 2016. Other objectives of the Conference
were to secure renewed political commitment All the above instruments, while not legally
for sustainable urban development, assess binding, exert international pressure to put
accomplishments to date, address poverty policies and tools in place for steering the
and identify and address new and emerging Indian social housing sector towards greater
challenges. sustainability.

Buildings and housing construction feature

strongly in the document. Paragraph 73 calls

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2. The Reality: (Social) what constitutes ‘affordable housing’ are

listed in Table 1.
Housing in India
In contrast to these commitments at both the Semantically, housing can be ‘affordable’ at
international and national level stands the any income level. For this reason, this project
current reality of adequate housing provision will use the term ‘social housing’ to signify
in India, which will be outlined in this chapter. housing which serves the housing needs of
This constitutes the problem statement based low-income groups with the provision of
on which responses have been formulated ensuring access to physical, social,
and implemented in the past. environmental and financial well-being.

2.1 Defining ‘Social Housing’ in the Traditionally, social housing has been defined
Indian context as housing that receives some form of public
subsidy or social assistance, either on the
Before an analysis of the status of social supply or demand side (Europian Union, 2013).
housing can be undertaken, the term needs to However, in the Indian context, it does not
be defined in a way which is In the Indian cover all forms of housing for the lower-
context, the term ‘affordable housing’ is more income which do not receive public support.
commonly used than ‘social housing’ by both For this reason, the following definition of
government and external housing sector social housing in the Indian context is put
analysts. The most common understanding of forward.

Government Organisation  Size of DU for EWS: <30 sqm (Super Built-up area), for LIG:
Pradhan Mantri Awaas Yojana 30-60 sqm, for MIG: 60- 120 sqm
(Ministry of Housing and  Repayment of home loans in monthly installments not
Urban Poverty Alleviation,
exceeding 30% to 40% of the monthly income of the buyer
Government of india)

Research Institute  Provision of ‘adequate shelter’ on a sustained basis,

Making Urban Housing Work ensuring security of tenure within the means of the
in India (RICS, LEVVEL, CBRE) common urban household
 Affordable housing is that provided to those whose needs
are not met by the open market
Private Sector Defined in terms of three main parameters
Affordable Housing – A Key  income level (independent variable)
Growth Driver in the Real  the size of dwelling unit (independent variable)
Estate Sector by KPMG
 affordability (dependent variable)

Table 1 Definitions of affordable housing

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Figure 1 Definition of social housing as employed by that of an LIG5 housing unit at up to INR 7
the present project
Lakhs (US$10,300), Deloitte (2013) states that
low-income housing developers sell EWS/LIG
houses at INR 1400-1700/ sq ft, or between
As in most other parts of the world, in India US$6,650 and US$8,070 for a 30m² dwelling
the Government is primarily focused on unit6. On the demand side, the affordability
housing provision for the lower-income, while condition is met if the household expenditure
the private sector caters to the middle- for rent or mortgage servicing does not
income and high-income strata. In addition, exceed a maximum threshold, usually given at
new forms of social housing, such as housing 30% of monthly household income. Contrarily,
provided through cooperatives, community the report of the high level task force on
groups, non-profit private firms and political affordable housing for all (Deepak Parekh
organizations other than state or national Committee, 2008) and the annual report by
governments have emerged. the Ministry of Housing and Urban Poverty
Alleviation (Ministry of Housing and Urban
The definitions in Figure 1 can in addition be
Poverty Alleviation, Government of India,
supplemented with average per unit costs.
2012) define affordability as a ratio of housing
While the Royal Institution of Chartered
expenditure to annual household income,
Surveyors (2010) listed the average price of an
EWS3 housing unit (no floor area given) at the
time at around INR 5 Lakh4 (US$7,352), and 5
and Low-Income Groups
6
It is noteworthy that, for the LIG segment,
construction costs constitute 50-60% of the total
3
Economically Weaker Sections sale price. compared to 18-20% in the HIG
4
Indian numbering system equal to one hundred segment. Industry reports have noted an average
thousand (100,000) annual price increase of 11.2% during 2008-2013.

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with the former setting it at four times the Residence

annual income of EWS and LIG households. cum other Other
Shop / use 3%
Office 3%
6%
2.2 Current Housing Shortage
Non
residential
The urban housing shortage (excluding the
11%
larger rural housing shortage) is officially
estimated to be around 18.78 million dwelling
units, aggregating households living in
congested, obsolescent, and homeless
conditions, or in non-serviceable kutccha (see
Figure 2) (Government of India, Ministry of Residence
Housing and Urban Poverty Alleviation, 2012). 77%
Figure 3: Use of census houses, India, 2011
As Figure 1 shows, poor living conditions are
heavily skewed towards the poor, with 96% of
the housing shortage pertaining to the EWS The housing stock includes so-called ‘census
LIG. houses’ in residential use, residential cum
other use and non-residential census houses
12% irrespective of whether occupied or vacant
5% (see Error! Reference source not found.).
3% According to a recent assessment by MoHUPA
(2015), a total of 25% of houses constructed
under the JNNURM scheme7 are still to be
occupied with the scheme having drawn to a
close in March 2014. While some states have
fared well in their occupancy ratio, namely
Tripura, West Bengal, Assam and Odisha
80%
(99%), other States have performed very
Households living in congested houses required poorly namely Delhi (98% of houses
new houses
Households in homeless conditions
unoccupied), Punjab (78%) and Himachal
Pradesh (63%) (Ministry of Housing and Urban
Households living in non-serviceable kuccha Poverty Alleviation, Government of India,
houses
2015).
Figure 2 Distribution of urban housing shortage (2012)
Households living in congested conditions
were found to be one of the main factors
leading to these housing shortages. Among
caste and ethnic groups, housing shortages
were found to be higher for Scheduled Caste
households than Scheduled Tribes and other
households, mainly due to congestion.

7
A city-modernization scheme launched by the
Government of India

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2.3 Housing as a Driver of Economic real estate, ownership of dwellings and real
Growth and Resource Use in India estate related business services was 11.4
percent; thus construction and real estate
The construction sector is disaggregated into contribute nearly one-fifth of India’s GDP. In
residential, non-residential and other terms of employment during 2009-10, a little
construction sector. The residential over 616 lakh workers were engaged in the
construction sector refers to the housing construction sector and another 7.6 lakh in
sector which makes the fourth largest real estate8.
employment generating sector in India and
The Indian construction industry is estimated
accounts for (NCAER, 2014):
to be one of the largest consumers by volume
 1.24% of the total output of the of raw materials/natural resources and
economy (total construction sector at construction materials/products
11.39%) manufactured. Reddy has estimated in his
 1.00% of GDP (total construction assessment of energy consumption of
sector at 8.2%) materials that the total energy expenditure on
 6.86% of employment (total these materials is 3155x106 GJ per annum,
construction sector at 11.52%) which further is estimated to be 22% of the
total GHG emission contribution in India
The high percentage of construction-related
(Reddy B. V., 2009). Table 2 indicates the
jobs relative to the housing sector’s smaller transition that the construction sector has
contribution to GDP signifies that productivity been through, from the use of zero-energy
in the housing sector is relatively low, relying materials to high-energy materials. Table 3
predominantly on informal, low value adding
indicates the annual consumption of
jobs which contribute 99.41% of the total job
construction materials and the energy
creation in this sector. expenditure from these materials.
Investment in housing always results in inter-
industry linkages and thus investment in
housing creates strong multiplier effects by
the generation of income and employment. A
unit increase in final expenditure on the
construction sector would help to create
additional income for the economy as a whole,
which is estimated to be five times the direct
income generated by the public sector itself.
Any further investment in the housing sector
has an employment multiplier effect of 8
indicating that an additional unit of final
expenditure in the housing sector induces an
overall employment generation in the
economy eight times the direct employment
generated by the sector itself (NCAER, 2014).
8
As per the National Accounts prepared by the It may be noted that this employment does not
mean that all the workers in these sectors had full
CSO for 2009-10, the contribution to GDP by
time employment.

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Prior to 4000 BC 4000 BC-1800 AD 1800 AD- to date

Aluminium, steel, glass,

Soil, stones, reeds/thatch, Burnt clay bricks, lime, cast iron
Portland cement, plastics,
Sun dried bricks, adobe, and products, lime-pozzolana
other smart materials, nano-
unprocessed timber. cement
materials, etc.
Zero-energy materials Medium-energy materials High-energy materials

Table 1: Energy consumption and developments in building materials, Source: (Reddy B. V., 2009)

Type of material Annual consumption Raw materials Energy

Burnt clay bricks 150 x 109 nos. Fertile soil (500 x 106 tonnes) 600 x 106 GJ

Cement 187 x 106 tonnes Limestone, gypsum, oxides 650 x 106 GJ

Structural Steel 45 x 106 tonnes Iron ore, limestone 1800 x 106 GJ

Coarse Aggregates 250 x 106 m3 Granite/basalt rock 30 x 106 GJ

Fine Aggregates 350 x 106 m3 River sand/rocks 75 x 106 GJ

Table 2: Construction materials produced in bulk slag, and fly ash are by-products generated
quantities in India, Source: (Reddy B. V., 2009) from large-scale mining, industries and
thermal power plants. These waste products
Energy resources used for production of
can be utilized for the manufacture of bricks,
materials include electricity, coal, oil, gas, and
substitute for fine aggregates in concrete,
biomass. The energy consumption in the
partial replacement of cement in concrete,
manufacturing and transportation of building
lime-pozzolana cements and others. Other
materials is directly related to GHG emissions
construction techniques like stabilized mud
and related environmental consequences
blocks and rammed earth walls are also low-
which range from land degradation, air and
energy techniques which can reduce total
water pollution, loss of habitat, to global
embodied energy by up to 50%. Section
warming potential. In addition, apart from the
1.14.2.6 provides additional information on
energy demand of construction materials,
the different alternative and conventional
their sustainable use is also a point for
construction materials and techniques used
concern. It has been estimated that 300mm
for low-cost housing projects in India.
depth of fertile top soil of the entire country
will be consumed for burnt clay brick
production in about sixty years, assuming a
compounded growth rate of 5% (Reddy B. V.,
2009). In recent years, the increased demand
of construction materials and the need to
sustain construction activity, have ensured
the exploration of alternative construction
materials that are manufactured out of
industrial/mining waste. Red-mud, coal ash,

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3. National Response: Housing 3.1 Housing in India’s Five Year Plans

(1951-2017)
Policies and Programmes
(1951-2017) The proliferation of poor sections of society in
‘mega cities’ and metropolitan areas seeking
Housing demand in India is met by households employment are the primary factors causing
themselves, community groups, private the soaring demand for social housing. Ever
builders and government agencies. While the since India’s independence, trends of gradual
direct contribution of government agencies to industrialization and urbanization pushed the
building houses, in numeric terms, is limited, Government to consider housing as one of its
this segment of the housing stock, due to its main agenda points, which is reflected in its
potential for more effective oversight and repeated mention in India’s main policy
inclusion of sustainability measures, shall be document: the Five Year Plan.
reviewed in this chapter. The following section outlines the extent to
Given the extent of the housing challenge in which the housing sector was considered
India, numerous policies and ‘missions’ have under the particular policy instrument of the
been enacted at the national level. Their Five Year Plan from 1951 to 2017
limited impact has been attributed to some (Government of India). The intent behind this
degree to their lack of interconnectedness exercise is twofold: to provide a panorama of
and policy disincentives toward an urban the policy levers deemed appropriate in the
economy (Tiwari & Rao, 2016). The major past, and to link the put current and future
national housing policies, programmes and policy responses into context.
missions targeting EWS/LIG are outlined
below, alongside more recent initiatives
related to resource-efficiency and green
growth.

Five Year
Key features/coverage
Plan (FYP)
First FYP - Housing for industrial workers;
(1951- - National Building Organization (for cost reduction and improving building
1956) techniques) and Housing Boards (statutory autonomous bodies for
implementation) (Tiwari & Rao, 2016);
- Tax on vacant land (ibid.);
- Low Income Group Housing Scheme (1954) led to addition of 1.3 million houses at
year’s end.

Second - Industrial Housing Scheme extended to cater to EWS/LIG housing needs;

FYP - Construction of 1.9 million houses envisioned under National Housing
(1956- Programme covering rural housing, ‘sweeper’s housing’ and MIG housing (no
1961) figures on actual achievement)
- Life Insurance Corporation of India provided housing finance to MIGs and to State
Governments for undertaking rental housing for low paid state employees;
- State Housing Corporations (1957) to furnish debt finance for projects with CG
subsidies.

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Third FYP - Research: building techniques, statistical housing data for effective programme
(1961- planning;
1966) - Regional and urban development accorded recognition and development plans for
72 urban centres developed.

Fourth - Town Planning legislation introduced in all states;

FYP - Emphasis on prevention of population growth or dispersal of population;
(1969- - A special provision for water supply, sewerage and drainage was included;
1974) - Housing and Urban Development Corporation (HUDCO), 1970, to enhance
housing conditions of EWS/LIG.

Fifth FYP - Financial/loan assistance for developing necessary infrastructure in Bombay,

(1974- Madras, Calcutta and other cities;
1979) - Programmes directed towards construction of EWS ‘housing colonies’ by Housing
Boards.
- Urban Land (Ceiling and Regulation) Act 1976 (ULCRA) to prevent land
speculation and to ensure optimal allocation of land.
Sixth FYP - R&D grant to improve formulation of policy on urbanization and urban
(1980- development.
1985)
Seventh - Promotion of self-help housing, assistance to rural families
FYP - Promotion of low-cost housing techniques9 and standards along with
(1985- modifications in building bye-laws, land use control, minimum plot sizes and
1990) others in order to reduce costs.
- Minimum Needs Programme (MNP) to tackle rural housing deficit;
- National Housing Bank (NHB), 1987;
- National Housing Policy, 1988
Eighth - Importance of urban sector for national economy recognized;
FYP - National Housing Policy replaced by National Housing and Habitat Policy, 1998,
(1992- focussing on fiscal concessions, carry out legal and regulatory reforms and creating
1997) strong PPPs to resolve housing problem.

Ninth FYP - Affordable housing program for Below Poverty Line (BPL) category
(1997- - Social schemes with credit assistance from HUDCO and other monetary
2002) institutions.
- Indira Awaas Yojana (IAY) to deliver free housing units to BPL rural poor
- ULCRA, 1976, deemed unsuccessful: Urban Land (Ceiling and Regulation) Repeal
Act, 1999

9
The Building Materials and Technology Promotion Council was established in 1990 to promote innovative and
emerging building materials and technologies in the construction sector. Under the Technology Sub-Mission
established for the mission on Housing for All (MHUPA), the BMTPC has been entrusted with the responsibility
of providing the technical and knowledge support for promotion of such materials and technologies. The
BMTPC has so far developed several compendiums of ‘Prospective Emerging Technologies for Mass Housing’,
and ‘Best Practices for Habitat Planning, Design & State Policies’. In addition, it has developed a multi-attribute
evaluation methodology for emerging housing technologies and a virtual platform, i.e. a web-based knowledge
network for technical information on building products, materials, technologies, systems, and processes
encompassing sustainable habitat,.

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Tenth FYP - National Urban Housing and Habitat Policy, 2007, to increase and strengthen
(2002- housing stock in vulnerable regions for EWS/LIG;
2007) - Expansion of housing for weaker sections in rural areas; provisions for free of cost
housing only to landless SC/ST families and shift to credit-cum subsidy system for
other BPL families.

Eleventh - Housing finance disbursals expected to increase along with growth in the volume
FYP of outstanding housing loans from commercial banks to households10.
(2007- - Initiatives for development of secondary mortgage market to increase liquidity of
2012) housing finance for EWS, LIG and MIG highlighted by National Housing Bank (NHB).
- BMTPC to provide financial support for improving layout and design of EWS/LIG
housings.
- Proposal: five-year 5% pa interest subsidy to commercial lenders for lending to
EWS/LIG
- 1.24 crore houses constructed under Indira Awaas Yojana (IAY)

Twelfth - Availability of land to implement affordable housing plans recognized as major

FYP hurdle.
(2012- - Phase II of Rajiv Awaas Yojana (RAY), discontinued in 2015, subsumed under
2017) PMAY-HFA (U)
- Suggestions: reorienting the role of SLBs, establishing an agency under
Metropolitan Development Authorities for delivery of affordable housing,
promotion of PPPs, increasing the Credit Risk Guarantee Fund and simplification of
approval processes for affordable housing projects;
- Need for greater financial support, smoother transfer of funds, abolition of APL-
BPL distinction, enhanced land access for the poor, improving quality of IAY
houses, developing rural building centres, emphasis on disaster risk reduction,
training of masons and artisans, and partnerships with civil society and Panchayati
Raj Institutions (PRIs).
- Increased assistance for house construction under IAY to adjust for increasing
costs; increase in Differential Rate of Interest (DRI) loans to IAY families.

Table 3 Housing and Urban Development in India's Five Year Plans

10
Indeed, the volume of outstanding housing loans from commercial banks to households grew by 21%
between 2006 and 2011 annually, even though loans to the cooperative sector shrank by 21.5% annually,
though from much a much lower starting point (Singh, 2013).

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In 2016, the Five Year Plans were abolished in Year plans lacked the ‘long-term focus present
favour of a 15-Year Development Agenda, in other countries’ (The Economic Times,
containing a seven-year action plan with 2016).
reviews every three years for ‘course
corrections’. It was felt that the previous Five

If one were to crystallise broad themes or rationales emerging from this review of India’s main
policy instrument on housing and urban development, the following ten key points might emerge:

1 Repeatedly recognize the public sector’s responsibility for housing the poor.
2 Establish both finance and implementing agencies at national and state level to fund
and/or construct social housing.
3 Make affordable land available either through regulation or taxation; this remains a
barrier.
4 Design housing programmes according to a) how much the target group earns (EWS, LIG,
or MIG), and b) where they live (urban or rural).
5 Data is important to make actionable plans.
6 R&D into building technologies could still deliver a ‘silver bullet’ to reduce housing costs.
7 While slum clearance has been largely abandoned, slum upgrading or relocation to
peripheral ‘housing colonies’ for the poor, are worth pursuing, with the more recent
additions of assisted self-help, creating an enabling environment and full-scale public-
private partnerships.
8 Housing policies should be updated regularly.
9 The housing finance ecosystem needs to be supported on both the demand and supply
side.
10 The focus is on affordability and quantity rather than sustainable social housing.

While many of these ‘rationales’ can and should be questioned, the last point especially is
essential for the present project which will argue that both housing and resource-efficiency
objectives under both national and international agendas should be pursued concurrently.

3.1 Recent Housing and Urban  National Urban Housing and Habitat
Development Policies, Codes and Policy (NUHHP), 2007: The foremost
objective of NUHHP is to promote and
Regulations
ensure sustainable development in the
India has a long history of formulating housing country with a focus on urban human
policies. According to Tiwari and Rao (2016), settlements, duly served by ensuring
their impact on ameliorating the shortage has equitable supply of land, shelter and
been marginal due to limited resources services at affordable prices. NUHHP has
allocated to their implementation, but also critically analyzed the ways and means of
the obvious gap between the cost of housing providing ‘Affordable Housing to All’ with
construction and persistently low income special emphasis on EWS and LIG sectors
levels. The two most recent housing policies so that they are fully integrated into the
are profiled below. mainstream of ecologically well-balanced
urban development. The NUHHP aims at

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urban planning, affordable housing by housing). It also encourages public-private

fostering fund generation, better partnerships in the rental sector.
management information system (MIS),
employment generation, public private National Building Code of India,
partnership (PPP), special incentives 2005: In 2013, a new Part 11 was
scheme (increase in FAR)11 etc. added to the NBC entitled ‘Approach
to Sustainability’. This past covers the
 Model State Affordable Housing Policy parameters required to be considered
for Urban Areas (MSAHPUA), 2014: to be considered for planning, design,
MSAHPUA is intended as a step towards construction, operation &
implementing the NUHHP 2007. The maintenance of building and those
policy empowers individual states to relating to land development from the
achieve housing policy objectives as listed point of view of sustainability. In
under NUHHP 2007 by inclusion of legal 2016, revised and updated version of
and regulatory reforms, fiscal whole document is reprinted as NBC
concessions, financial sector reforms and 2016.
innovations. The Policy aims to provide  Indian Standard IS 8888-1 (1993) –
“affordable housing for all” with special Requirements of Low Income Housing
emphasis on EWS and LIG and other (Guide): This standard provides guidelines
vulnerable sections of society such as for the planning and general building
Scheduled castes/Scheduled Tribes, requirements of low income housing for
Backward Classes, Minorities and senior houses having a maximum plinth area of
citizens, physically challenged persons in 40m2. It applies to low income ‘housing
the State and to ensure that no individual colonies’ by government bodies and
is left homeless. The policy further aims to private agencies.
promote Public Private People
3.2 Recent Housing and Urban
Participation (PPPP) for addressing the
shortage of adequate and affordable Development Programmes and
housing. ‘Missions’

Similarly, housing and urban development

 National Urban Rental Housing Policy
programmes have been plentiful over the
(NURHP), 2015: NURHP focuses on
years. The most recent ones are briefly
promoting rental housing provided by the
profiled below, one of which, JNNURM, ended
private sector, cooperatives, NGOs,
in 2014, and four others, with overlapping
industry (for workers’ housing) and the
mandates, currently in implementation RAY,
services/institutional sector (for employee
AMRUT, SMC, and PMAY:
11
The NUHHP 2007 is not without its puzzling
elements. Article 5.1 iv), for instance, states that
 Jawaharlal Nehru National Urban
“10 to 15 percent of land in every new Renewal Mission (JNNURM), 2005-2014:
public/private housing project or 20 to 25 percent
of FAR / Floor Space Index (FSI) which is greater
- allocated Rs. 66,085 crores (US$9.732bn)
will be reserved for EWS/LIG housing through over its nine year duration12;
appropriate legal stipulations and spatial
incentives”. It is difficult to see how a percentage
12
of a ratio (FAR) can be reserved for EWS/LIG A final evaluation report of the programme was
housing. produced in 2011 which, due to JNNURM’s

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- Focussed on providing basic infrastructure - Intends to improve housing, basic civic

services, as well as heritage spaces on PPP infrastructure and social amenities in
basis and redevelopment of inner (old) targeted slums;
city areas; shifting industrial/ commercial - Focuses on slum prevention by providing
establishments to conforming areas; affordable housing stock to urban poor,
- umbrella programme for thematic sub- for instance, through Affordable Housing
schemes like Basic Services for Urban in Partnership (AHP) scheme 13;
Poor (BSUP), Integrated Housing and - Financial support including Operation and
Slum Development Programme (IHSDP), Maintenance (O&M) of scheme target
Interest Subsidy Scheme for Housing the assets provided to implementing agencies
Urban Poor (ISHUP) and Affordable (states/UTs/Urban Local Bodies/National
Housing in Partnership (AHIP); Agencies)
- BSUP to provide seven basic entitlements - Scheme extended to rental and transit
(security of tenure, affordable housing, housing
water, sanitation, health, education and - Carries forward JNNURM’s Interest
social security) to low-income segments in Subsidy Scheme for Housing the Urban
65 cities; Poor (ISHUP), now renamed Rajiv Rinn
- IHSDP to combine existing schemes of Yojana (RRY), to provide 5% interest
Valmiki Ambedkar Awas Yojana (VAMBAY) subsidy on 15-20 year loans with
and National Slum Development maximum loan amount of 5 lakh for EWS
Programme (NSDP); and 8 lakh for LIG.
- Envisioned to cover Delhi, Greater
(Ministry of Housing and Urban Poverty
Mumbai, Hyderabad, Bangalore, Chennai,
Alleviation, Government of India, 2016a)
Kolkata and Ahmedabad, 28 million-plus
cities and 34 cities with less than one  Atal Mission for Rejuvenation and Urban
million inhabitants; Transformation (AMRUT), 2015-2035:
- JNNURM’s rules and guidelines did not - Focus on providing basic infrastructure,
contain requirements for the but also development of green spaces,
environmental sustainability of housing parks and recreation centres, capacity
projects and associated supply chains. building and reform implementation;
- 500 Cities to be covered (capital
cities/towns, heritage cities as per HRIDAY
 Rajiv Awas Yojana (RAY), originally 2011- Scheme, hill states/islands/tourist
2022, subsumed under PMAY-HFA (U) in destinations and all cities/towns with
2015: populations of over one lakh with notified
- Preparatory phase (2011-2013), municipalities);
implementation phase (2013-2022); - Fund investment over twenty years
- The two-step implementation strategy: estimated at 59.1 lakh crores
preparation of a ‘Slum Free City Plan of
Action’ and preparation of projects for 13
Central Government grant of INR 75,000 per
selected slums; EWS/LIG dwelling unit (DUs) of up to 40 m²;
minimum project size of 250 DUs; DUs a mix of
EWS/LIG-A/LIG-B/Higher Categories/ Commercial
of which at least sixty percent of floor area to be
extension from 2012 to 2014, now constitutes a used for DUs with carpet area of not more than 60
de-facto mid-term report (Grant Thornton, 2011). m²

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(US$870.5bn), to be invested under linked subsidy and in partnership with

different components in addition to public and private sectors and subsidy for
Operation & Maintenance (O&M); beneficiary-led individual house
construction;
 Smart Cities Mission (SCM), 2015-2020: - Designed in three phases to cover 4041
- Aims to cover sustainability in broader statutory towns falling under 500 class-I
terms with objective to promote cities cities
that provide core infrastructure and - States/UTs, either through their agencies
decent quality of life, a clean and or in partnership with the private sector
sustainable environment and application ‘encouraged to develop affordable
of ‘smart’ solutions; housing projects’
- Focus on compact areas, spanning either - Central financial assistance of Rs.1.5 Lakh
more than 50 acres (city renewal), 250 (US$2,211) per EWS house declared
acres (green field city extension), or 500 - Rural scheme, Pradhan Mantri Awaas
acres (city improvement through Yojana – Gramin (Housing For All – Rural)
retrofitting), providing as replicable model is also being implemented), with identical
for other aspiring cities; per unit subsidies as PMGAY (see below)
- Apart from basic infrastructure, SCM (Prime Minister's Office, Government of
covers affordable housing, robust IT India, 2016)
connectivity and digitalization, good
governance (especially e-Governance) and  Indira Awaas Yojana (IAY), 1996
citizen participation, sustainable onwards, renamed Pradhan Mantri
environment, safety and security of Gramin Awaas Yojana (PMGAY) in 2016:
citizens (particularly women, children and - Aims to provide housing for the rural poor
the elderly), health and education; (figures in parenthesis apply since 2016)
- Will cover one hundred cities with - financial assistance provided for new
continuation subject to evaluation; construction at Rs.70,000/- (Rs 1.20 lakh)
- Includes so-called ‘Pan-city Initiative’ in per unit in ‘plain areas’ and Rs.75,000/-
which ‘smart’ solutions are applied to (Rs 1.30 lakh) for hilly areas; beneficiaries
larger parts of city; can avail of a top-up loan upto Rs 20,000/-
- Rs. 48,000 crores (US$7.081bn) over five (Rs 70,000/-) under the Differential Rate
years i.e. on an average Rs. 100 crore of Interest (DRI Scheme) from any
(US&14.75m) per city per year; equal Nationalized Bank at an interest rate of
amount to be contributed by the 4% pa.
State/ULB, doubling the total amount - construction of the houses sole
available for Smart Cities development. responsibility of beneficiary; engagement
of contractors strictly prohibited, though
 Pradhan Mantri Awas Yojana (PMAY) OR technical assistance is provided
Housing for All Scheme (HFA), 2015-2022: (Ministry of Urban Development,
- Envisions to provide housing for all by the Government of India)
end of 2022 through slum rehabilitation
with participation of private developers
using land as a resource, promotion of
affordable housing for EWS through credit

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and urban waste management with focus

Despite the higher housing shortage, in
on Waste-to-Energy;
absolute terms, in rural as opposed to urban
- No information on the level to which
areas (43.7m units in rural India vs 18.78m in
NMSH is resourced.
urban areas) the government-led housing
and infrastructure programmes have
primarily focussed on urban areas (Tiwari &  National Mission for Enhanced Energy
Rao, 2016; Government of India, Ministry of Efficiency (NMEEE):
Rural Development, 2011), although - Information on NMEEE is limited, with
specifically rural programmes do exist. In four main components listed:
addition, it is evident that, at least at first - Perform, Achieve and Trade Scheme
glance, quite a bit of overlap exists between (PAT), a regulatory instrument to reduce
these separate schemes and sub-schemes, specific energy consumption in energy
and it is unclear at present how these intensive industries;
significant resources, should they in fact be - Market Transformation for Energy
made fully available, will be allocated to Efficiency (MTEE), for accelerating the
ensure their most effective use. shift to energy efficient appliances;
- Energy Efficiency Financing Platform
3.3 Recent ‘Missions’ on Climate (EEFP), for creation of mechanisms that
would help finance demand side
Change Adaptation and Mitigation
management programmes in all sectors
Lastly, the recent focus on energy and general by capturing future energy savings;
resource efficiency has spawned a number of - Framework for Energy Efficient Economic
national initiatives, mostly notably as a Development (FEEED), for development of
product of the National Action Plan on fiscal instruments to promote energy
Climate Change (NAPCC), which could offer a efficiency.
number of synergies with the housing sector: - Building sector not mentioned despite
potential for reductions in energy
 National Mission on Sustainable Habitat consumption.
(NMSH), 2010:
- promoting understanding of climate  Green India Mission (GIM):
change, its adaptation and mitigation, - To increase forest/tree cover to the
energy efficiency and natural resource extent of 5 million hectares (mha) and
conservation; improve quality of forest/tree cover on
- On adaptation, climate change impacts on another 5 mha of forest/non-forest lands;
human settlements and infrastructure - To improve/enhance eco-system services
‘addressed’ in relation to water, like carbon sequestration and storage (in
sanitation, energy, transportation, health- forests and other ecosystems),
care, fire services and other forms of hydrological services and biodiversity;
emergency measures; along with provisioning services like fuel,
- On mitigation, covers extension of Energy fodder, and timber and non-timber forest
Conservation Building Code (ECBC) into produces (NTFPs); and
commercial and residential sector, better
urban planning, modal shift towards
public transport, recycling of materials,

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- To increase forest based livelihood

PMAY programmes
income of about 3 million households14.
3 It is important to sequence
3.4 Conclusion
infrastructure provision, e.g. through
It is one thing to present what a policy or AMRUT, to precede housing provision,
programme says the government will do, or in e.g. through RAY or PMAY or state-led
this case, an entire array of policies and programmes (see following section).
programmes spanning a number of decades.
It is another thing entirely to assess what has 4 There is little written reference
in fact materialized on the ground, an exercise connecting climate change and urban
which would arguably provide more insight development agendas in the design of
into what should be done next. central government programmes.

While the latter would clearly exceed the

scope of this project and report, the former
allows us at least to draw a number of Although there is increasing knowledge on
cautious conclusions based on the sustainable development globally, one critical
observations in the previous two sections: dimension of urban housing problems is that
sustainable housing is yet to gain its widely
1 Central government with experience in acknowledged importance in a country like
designing and implementing large-scale India. This is due to the lack of understanding
housing and urban development of the social, economic, cultural and
programmes. environmental components of sustainability in
housing development. India’s urban
2 Current set of programmes exists with programmes and policies do not yet make a
some thematic, and most probably also sufficient link with India’s environmental
geographic, overlap, in the housing commitments at the national and
sector especially between the RAY and international level. The present project aims
to address this particular shortcoming both
through stakeholder engagement and
eventually a series of policy briefs which will
14
A number of natural building materials, most make the case for the social housing sector as
notably timbers and certain species of bamboo,
the most cost-effective leverage point for
the latter particularly in the tropical belt, have a
tremendous potential for achieving and supporting achieving environmental and poverty
this Mission’s stated goals. Bamboo’s mechanical reduction objectives of India’s development
properties, for instance, are similar to wood, but it agenda.
produces up to 6 times more biomass per hectare
as many conventional timber plantations. In The next chapter is then aimed at
addition, a number of livelihood and biodiversity
objectives can be simultaneously achieved by understanding how these national
increasing this resource base. The excellent anti- programmes have been implemented at state
seismic properties of engineered bahareque level, in addition to separate state initiatives,
(vernacular/traditional construction system)
which will be used to identify case studies to
housing could furthermore increase the disaster
resilience of communities in earthquake prone feed into the project’s future outputs.
areas of India (International Network for Bamboo
and Rattan, 2016).

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4. State-level Response: 4.1 Case Study Selection

Housing Sector Review These case studies, however, present only

one of three levels of case studies examined
Sustainability in social housing differs from during the course of this project. These are
place to place. In a country the size of India, outlined in table 4.
this requires bespoke solutions depending on
geography, climate, culture and economy. For In order to identify Level 2 case studies, an
this reason, the project intends to develop a assessment of the demand for social housing
Decision Support Tool which is adaptable to a across all states and climatic zones is
variety of contexts. To ensure maximum conducted. Error! Reference source not
representativeness, the five climatic zones of found.Figure 3 outlines the project’s
India are used as the first of five selection methodology for state selection.
criteria for identifying states in which social
housing projects will then be analysed to
develop the Tool’s core indicators. The multi-
attribute evaluation methodology for
emerging housing technologies developed by
the Buildings Materials Technology Promotion
Council under the Technology Sub-mission
Table 4 Case study levels

Levels Purpose (What) Need (Why)

Level 1 Study of national and international best - Pros and cons of existing examples of
practices, housing projects (see Section 6 social housing.
and 1).
- Detailing influencing factors for
sustainable social housing.
- Relevance and learning for Indian
scenario.

Level 2 Housing projects from each of the - Assessment of Social Housing demand.
selected states in different climatic zones.
- Establishing basis of parameters.
Selection criteria of states in different
climatic zone is mention in Table 2. - Data base building for development of
SI.
Selection criteria of case study is
mentioned in figure 3.

Level 3 Housing projects which are in the initial Development, Testing, Validation and
stages of designing and thus can Refinement of the SI and DST.
incorporate suggested changes after
validation of the SI and DST.

(MHUPA, 2015) will underpin the indicators

adopted in this project.

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Figure 3: Detailed methodology for selection of State

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Criteria Methodology Assumptions taken Rational

1 Climatic Categorisation State boundaries do not Housing typology is greatly

Zones (See of States necessary comply with that dependent on climatic
Figure 8) of climatic zones. A State regions, reflected in the kind
whose area falls primarily of building materials,
within one climatic zone is construction techniques
designated as belonging to used, and the type of
that climatic zone. amenities required.

2 Size and Qualifying A State with at least three* Since in this study, and
number of threshold of Class I cities (i.e. population following the geographic
cities (See States of 100,000 and above) focus of the GoI’s urban
Figure 9) qualifies to be selected in development programmes,
the subsequent criteria. social housing is primarily
aimed at urban areas, a
* for better statistical state’s number and size of
representation urban areas is chosen as a
qualifying criterion.

3 Share of Factor Analysis- The census definition for The need for social housing
urban Representation housing shortage is used in a State with a greater
housing of data and disaggregated at state housing shortage in relation
shortage in a according to level. to the number of urban
State (See importance households is considered to
Figure 10) (Criteria 3 and 4 be more critical. Since the
are given equal majority of the housing
weight). shortage affects EWS/LIG,
the ratio given complies with
the project’s definition of
social housing.

4 Average Factor Analysis- State with high AEGR will States with high AEGR are
Annual Representation indicate greater relevant to the study since
Exponential of data infrastructure required infrastructure
according to requirements, a component expansion will lead to an
Growth Rate
importance of which will be providing increasing demand for
(AEGR) (See (Criteria 3 and 4 housing. material resources.
table 6. are given equal
weight)

5 Recently Ranking based States with a high In order to identify case

completed on percentages percentage of completed studies from each State it is
social of social housing projects are ranked in important to evaluate the
housing projects decreasing order. status of States which have
projects completed in completed and delivered
each State *An exemption has been dwelling units under Central
made for the State of Government programmes
Rajasthan. Even though in such as RAY or PMAY.
factor analysis it scores very

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low, it has shown a

remarkable completion rate
of Central Government
programmes.

Table 5 Rational for selection criteria of States for assessment of Social Housing Demand

Figure 5 Class I cities of India and climatic zones Figure 6 Urban housing shortage and AEGR by state

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Coloum 1 Coloumn 2
Housing
shortage/ Factor
Housing AEGR Urban analysis Completed
Climatic Urban Housing shortage (population) household AEGR 2001-2011 based projects Ranking for State
Zones States Household shortage % 2001-2011 % (%) % ranking under RAY selection
Maharashtra 108.1 19.4 15.2 2.1 17.9 2.1 16.0 33% 2
Hot and
Rajasthan 30.9 11.5 27.1 2.6 37.2 2.6 4.0 19% 3
Dry
Gujarat 54.2 10 15.6 3.1 18.5 3.1 15.0 68% 1

West Bengal 63.5 13.3 17.3 2.6 20.9 2.6 12.0 58% Not applicable (a)
Andhra Pradesh 77.8 12.7 14.0 3.1 16.3 3.1 17.0 71% 1
Warm and Tamil Nadu 89.3 13.4 13.0 2.4 15.0 2.4 18.0 57% 3
Humid Orissa 15.1 4.1 21.4 2.4 27.2 2.4 8.0 43%
Kerala 36.2 5.4 13.0 6.6 14.9 6.6 19.0 60% 2
Assam 9.9 2.8 22.0 4.0 28.3 2.4 6.0 19%

Uttar Pradesh 74.5 30.7 29.2 2.5 41.2 2.5 3.0 42% 1
Madhya Pradesh 38.4 11 22.3 2.3 28.6 2.3 5.0 29% 2
Bihar 20.1 11.9 37.2 3.0 59.2 3.0 1.0 6% 3
Haryana 17.5 4.2 19.4 3.7 24.0 3.7 11.0 60%
Composite
Punjab 20.9 3.9 15.7 2.3 18.7 2.3 14.0 13%
NCT of Delhi* 32.6 4.9 13.1 2.4 15.0 2.4 20.0 22%
Jharkhand 14.9 6.3 29.7 2.8 42.3 2.8 2.0 6%
Chhattisgarh 12.4 3.5 22.0 3.5 28.2 3.5 7.0 35%

Temperate Karnataka 53.2 10.2 2.7 19.2 2.7 13.0 78% 1

Cold Uttarakhand 5.9 1.6 3.5 27.1 3.5 9.0 20% 1

Jammu & Kashmir 5.2 1.3 3.1 25.0 3.1 10.0 24% 2(b)

(a) No data on Growth rate of GSDP)

(b) Presently politically unconducive

Table 6: Selection of States

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4.2 Housing Sector Review of Selected 4.2.1 Rajasthan

States With an urban population of 17 million
(24.87%) and a housing shortage of 1.15
In the following chapter, the housing sector in
million units (6.76%) (Census of India, 2011),
each of the selected states will be profiled.
Rajasthan demonstrated a high completion
Apart from providing a general demographic
rate, especially under JNNURM of 75%,
overview, the profiles look at the institutions
delivering 32,660 units, with a vacancy rate of
involved in the social housing field as well as
only 11%. While a state-level programme was
some of the national and state-level housing
launched in 2015 (Mukhyamantri Jan Awas
programmes which have been undertaken,
Yojana), it can be surmised that Rajasthan will
including their challenges of implementation.
continue to concentrate on implementing
Given India’s federal structure, states have a
PMAY in the years to come. The main
number of regulatory levers at their disposal
challenges encountered in the delivery of
to incentivize both low-income housing as
JNNURM were a lack of capacity of ULBs, lack
well as resource-efficiency measures in the
of political support in some areas, and
built environment. These levers, as far as they
resistance from the state and local level to
exist, are therefore also briefly outlined.
implement reforms. Rajasthan offers FAR
The review reveals a large spread both in increases and land use conversion fee waivers
terms of implementation rates of national as to the private sector when delivering units to
well as state-level housing programmes, with the EWS/LIG segment.
some states, like Andhra Pradesh, far
4.2.2 Andhra Pradesh
outpacing other states in the implementation
of national programmes, but faltering with Andhra Pradesh’s housing shortage of 1.27
state-level implementation. Information on million units has been tackled with an
sustainability indicators for government-led aggressive implementation of the JNNURM
housing projects (occupancy rates, access to programme, delivering 127,234 units or 70%
livelihoods, security, household energy of the target. With a vacancy rate of 38%,
consumption, health etc.) is yet to be however, Andhra Pradesh clearly has room for
gathered once the appropriate case studies improvement. With regards to challenges,
have been identified. BSUP and IHSDP, the two JNNURM sub-
programmes primarily responsible for housing
The varying extent to which states offer delivery, suffered from a lack of community
incentives for GRIHA or IGBC registration of engagement and long-term, integrated
projects, once correlated with inter-state data planning vision. Valmiki Ambedkar Yojana
on actual uptake, will then provide insights for (VMBAY), which was subsumed under BSUP,
policy recommendations during the course of had issues of identification of beneficiaries
the project. and convincing people to claim their dwelling
units because of the lack of basic services.
The chapter closes with an overview of
commonly used conventional as well as The state level programme Rajeev Gruhakalpa
alternative building technologies in low- which targeted the delivery of 200,000 units
income housing provision. only delivered 332 units which in addition
suffered from poor infrastructure provision.
The programme in general is said to have

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exhibited a lack of understanding of the need constitute 54% of the target. The main
of the low income residents. challenge in the state is geological. Due to the
hilly terrain there is a problem of soil stability
4.2.3 Uttar Pradesh to hold the foundation of the structure. As
India’s most populous state is tackling a Uttarakhand is an earthquake prone area,
substantial housing shortage of over 3 million solid structures and innovative technologies
units. Under JNNURM, 64,130 units, or 77% of are required. No data on state sponsored
the target, were completed, 24% of which housing programmes could be obtained.
stood vacant as of December 2015.
4.2.6 Common Building Materials and
Samajwadi Awas Yojana, an ambitious state-
Typologies for Low-Income Housing
level affordable housing scheme was to
develop 300,000 MIG homes by 2016. At the outset, the bulk of housing for the Low-
However, as of January 2017, only allotment income segment in India has employed
of plots have begun. Reduced land conversion conventional construction technologies to
fees are offered to developments serving create the building stock. The structural
EWS/LIG. In addition, a 5% FSI increase is design of these buildings is based on RCC
offered to GRIHA certified projects exceeding framed construction. Consequently, cement,
5,000 sqm. steel and masonry are the principal building
materials used for the building envelope. LIH
4.2.4 Karnataka housing typology is predominantly low-rise up
Karnataka is tackling a housing shortage of to G+6, with (up to) G+3 being the most
currently 1.02 million dwelling units. Under common typology, wherein each floorplate
JNNURM, of the 45,525 targeted dwelling has a cluster of four dwelling units with a
units, 35,351 units (77%) were completed. common staircase-corridor access.
Vacancy rates, as of December 2015, stood at
The following table shows the most common
around 17%. The main challenges revolved
specifications of construction materials which
around delays in the selection of beneficiaries
have been used in low-income housing in
or inaccurate identification of beneficiaries.
most states in Indi.
Drastic increases in the price of land and non-
availability of Government lands in both rural
and urban areas represented a major
challenge in the reaching JNNURM targets.
Interestingly, the state-level Vajpayee Housing
Scheme (formerly called the Ashraya Scheme)
delivered 165,614 units in urban areas
between 2000 and 2015, a multiple of
JNNURM’s delivered units, though no vacancy
figures were available at the time of this
report.

4.2.5 Uttarakhand
Uttarakhand’s housing shortage currently
stands at 160,000. Only 2,143 units were
delivered under JNNURM, though these

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Building Element Specification options

Structure Most common for more than G+1 structures - RCC frame structure as per
codal provisions for seismic design, using M20 strength concrete

Optional for up to G+1 – Load bearing construction with strip footing and
RCC plinth beam
Building envelope 230/250mm thick burnt clay brick masonry in cement-sand mortar (1:6)

150-200 mm thick concrete block masonry in cement mortar (1:6)

Fly ash bricks have become a feasible alternative to burnt clay bricks over
the last few years in government projects, wherever the project is within
about 100 km
Flooring Ceramic/ vitrified tiles

Locally available (pre polished) stone tiles 20-30mm thick

Plain Cement Concrete floor
Openings Pressed steel door-window frames (125mmx65mm double rebate or
100mmx50mm single rebate)

Solid Core Flush doors 30mm thick or PVC shutter for internal door

6mm thick float glass for glazed parts, 450mm wide RCC sunshades for
windows
Finishes Cement-Sand Plaster 20mm thick (external), 15mm thick (internal)
White cement based putty
Cement Paint external and internal or White wash internal

It should be acknowledged that the majority for at least 40% of the project cost. In this
of construction materials in India are sourced context, the choice of construction technology
from the informal sector. Any attempt to is an important means for achieving cost
design a tool for material selection must efficiency in low-income housing.
consider this scenario, and its impact on
material quality, price and environmental There are alternative construction
performance. technologies, mainly for walling and roofing,
which can reduce construction costs by 15-
Construction cost is a significant component 20%. Some of these technologies can reduce
of the total cost of low-income housing embodied energy, CO2 emissions (resulting
projects especially, accounting for about 60% chiefly from material production) and, given
of the total project cost. At a typical 20% labor appropriate architectural design, also enhance
component, construction materials account the thermal comfort of occupants. Till now,

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their use has been mostly limited to construction, seismic safety and rapid
demonstration projects with technical support construction are their main advantages.
from institutions like BMTPC and regional However, the social aspect of sustainability is
technical institutes. Each of the selected a challenge with these systems, because they
states (for the project) have at least one such are designed to provide uniform box-like
demonstration project. Although many of structures, which curtails cultural expression
these technologies have been certified by and in-situ modifications which are commonly
BMTPC for their performance, they have not carried out by the households. Also, indoor
yet been absorbed into building codes and thermal comfort of occupants may be
regulations. compromised if their climate-compatibility is
not carefully considered. Two prominent
Different forms of pre-fabricated building options in this category are Glass Fibre
technologies are emerging for application in Reinforced Gypsum panels for wall and roof
social housing and have mostly been (certified by BMTPC) and monolithic concrete
demonstrated at small scale in Andhra technology (shear walls) with plastic /
Pradesh and Karnataka (among the selected aluminum composite formwork.
states). These systems have a centralized eco-
system for production, delivery and assembly
at site. High strength for multi-story

Alternative Building Application in Low-income Housing (existing)

material/systems Rajasthan AP Karnataka UP Uttarakhand

Fly ash bricks

Concrete blocks
Stone filler blocks
AAC blocks
Rat-trap bond walls in
burnt clay bricks
Filler slab roof
Precast brick panel roof
Precast Plank Joist roof
Jack Arch roof
EPS panels for walling
and roofing
GFRC wall and roof
Monolithic concrete
technology
Natural Fibre Composite
door shutters
Precast RCC door-
window frames

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overview of some of the existing assessment

5. Building Sustainability
and benchmarking schemes developed
Benchmarking and internationally and for the Indian context in
particular. The intention is to identify the gap
Assessment Systems
which the DST could be envisioned to fill while
One of the present project’s major outputs at the same time building on what has already
will be a Decision Support Tool (DST) based been accomplished.
on a Sustainability Index (SI). While the For the proven benchmarking of building
former will be the interface which “lays down sustainability various performance evaluation
the fundamentals and methodology for methods have been developed internationally
planning, implementation and operation and nationally. The due responsiveness
practices, necessary for achieving towards climate change and environmental
sustainability in housing projects and protection globally has given building
developments”, the latter represents “the sustainability benchmarking and assessment
comparative analysis of parameters related to methods new urgency to ascertain the impact
materials, construction systems, socio- of buildings, finished building materials, and
economic considerations based on case increasingly neighbourhoods, on the
studies and best practices.” environment, economy and society. Distinct
Since this particular output falls in the realm indicators, or benchmarks based on a single
of building sustainability assessment and criterion, have been developed to assess,
benchmarking, a field which has seen evaluate and monitor various aspects of
remarkable expansion since 1990 with now building performance such as operational
more than one hundred different systems, energy use, indoor air quality, comfort levels,
this section endeavours to only give a brief or material resource use (Forsberg &
Malmborg, 2003).

International BEES International HAPI National GRIHA

ATHENA EVALOC IGBC-CII

ERG BREEAM CPWD

IMPACT HK-BEAM ECOnirman

STBA LEED

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5.1 International Systems 5.1.2 ATHENA

ATHENA is an LCA tool whose foremost
5.1.1 Building for Environmental and
objective is to “encourage the selection of
Economic Sustainability (BEES)
material mixes and other design options that
Building for Environmental and Economic will minimise a building’s potential life-cycle
Sustainability (BEES) is a computerised tool environmental impact and foster sustainable
for choosing environmentally preferable development” (Trusty, Meil, & Norris, 1988).
building materials (Lippiatt & Ahmad, 2005). The results for the assessment can be
The purpose of BEES has been to “develop presented in terms of:
and implement a systematic methodology for
selecting building products that achieve the  Absolute totals of selected measures of
most appropriate balance between the complete design.
environmental and economic performance  Absolute values on a per unit area basis.
based on the decision makers values” (Lippiatt  Values normalized to a selected design
& Ahmad, 2005). The BEES environmental that may be one of the alternatives
performance assessment is based on the Life designated as a base case or design of a
Cycle Assessment (LCA) standard formalised in similar building.
ISO standards 14040 and 14044. The
processes include the manufacturing of The user phase and demolition is excluded
materials; their installation and use in from the evaluation, as are economic aspects.
buildings; and their eventual reuse, recycling,
The functional units in ATHENA are specific
or disposal at the time buildings are designs of a building. With the background of
renovated or demolished, together in impact an LCI (Life Cycle Inventory) database, the tool
categories, normalised by dividing by the U.S.
automatically breaks down the elements into
emissions per year per capita, and weighing products that are available in the database
by relative importance. The economic (Banani, 2011). From data in the LCI database,
performance is based on Life Cycle Cost the program assesses the environmental
calculation, and normalised by dividing by the properties of different design alternatives.
highest life cycle cost, thereby ranking the
ATHENA is for use at the conceptual design
materials from 0 to 100. Finally, an overall stage wherein a range of indicators without
evaluation involves the environmental score weighting are generated to show
and the economic score being weighted environmental effects of changes in shape,
together using relative importance decided by design, or material make-up of a building
the user. BEES allow assessing products on a
(Carmody & Trusty, 2002).
functional unit basis so that the comparisons
made are true substitutes for one another. 5.1.3 Environmental Reference Guide
Trade-offs are important as a product may (ERG)
contain a negative impact constituent, but if
The Environmental Reference Guide (ERG) is
that constituent is a small portion of an
a printed guide aimed at architects and
otherwise relatively benign product, its
designers (Demkin & The American Institute
significance decreases dramatically (Lippat &
of Architects, 1988). Similar to BEES, its goal is
Boyles, 2001).
to “help design professionals make
environmentally informed choices when they
select and specify building materials”.

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Generally, alternative materials are available stage of design onwards. Initially, the user
for any given architectural application, and selects a building template with predefined
each alternative carries environmental material information. As the design
burdens and may offer environmental progresses the predefined material
benefits. The ERG addresses these issues information is refined and expanded by
along with other considerations relevant to selecting building elements (e.g. complete
functionality, interactions with adjacent roofs, external walls, windows) from a library
materials, ease of installation, and life-cycle of alternatives. During the detailed design
impact. The ERG analyses materials on a stages the user increases accuracy further by
generic basis and does not advise which replacing library assemblies with building-
product or material to use. The ERG also specific components and material information
points the user to other external information thereby increasing the accuracy of
sources. environmental impact assessment.

5.1.4 IMPACT 5.1.5 Responsible Retrofit Guidance

Wheel (Sustainable Traditional
IMPACT is a specification and database for
Buildings Alliance)
software developers to incorporate into their
tools to enable consistent Life Cycle Analysis Accessibility is a necessary condition for a
(LCA) and Life Cycle Cost Analysis (LCCA). tool’s uptake. The Sustainable Traditional
IMPACT compliant tools works by allowing the Building Alliance’s ‘Responsible Retrotfit
user to attribute environmental and cost Guidance Wheel’ deserves special mention in
information to drawn or scheduled items in this regard. More than 50 retrofit measures
Building Information Modelling (BIM). Simply are displayed around a wheel according to the
put, IMPACT multiplies building material building element or function they relate to.
quantities from a building information model Each measure is analysed with regard to
with the environmental impact and/or life- technical, heritage and energy concerns,
cycle cost factors to produce an overall impact listing both advantages, disadvantages and
and cost for the whole (or a selected part) of connections with other measures which are
the design. The results generated by IMPACT also visualised by means of color-coded
allow the user to: arrows along the wheel.

 Analyse the design to optimise cost Measures can be added to the list of
and environmental impacts. interventions which can then be used to
 Compare whole-building results to a generate a report on the eventual effects of
suitable benchmark to assess the retrofit (Sustainable Traditional Buildings
performance, which can be linked to Alliance, 2016). The Wheel is a clever tool to
building assessment schemes. visualise the complex interdependencies
between interventions, and allows for both a
IMPACT is therefore an attempt to integrate linear and non-linear exploration by the user.
LCA, LCCA and BIM. IMPACT works with a
wide range of building types from the earliest

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Figure 4 Sustainable Retrofit Guidance Wheel (Source: Sustainable Traditional Buildings Alliance)

Brookes University and Oxford Brookes

Enterprises in collaboration with the Joseph
5.1.6 Management of Housing Rowntree Housing Trust under the Supply
Performance Information (HAPI) Chain Integration in Construction competition
Given the known possible discrepancy by the UK government. The platform aims to
between predicted and actual performance, “provide designers, specifiers and housing
and the need for accountability in monitoring providers with hindsight on actual
building performance, the Management of performance of previous housing projects,
Housing Performance Information (HAPI) insight on ongoing projects and foresight to
platform, currently at prototype stage, is improve future specification, design and
noteworthy. It is developed by Oxford performance” (Oxford Brookes University,
2016).

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Figure 9 Management of housing performance information (HAPI)

(Source: HAPI research: http://lcbgroup.wixsite.com/hapi)

5.1.7 Evaluating Low-Carbon Given the focus on the community scale by,
Communities (EVALOC) for instance, the Indian Green Building
Council’s Green Villages, rating scheme,
Building on the DECoRuM methodology, the
possible linkages between the EVALOC project
Evaluating Low-Carbon Communities project
and the current research could be explored.
(EVALOC) pursues a broader community-level
assessment of energy demand reduction
measures. It aims to determine how
community-based organisations can best
monitor and communicate their own
effectiveness at energy demand reduction,
learn from their work, and identify limits and
barriers, for instance, in the use of the
DECoRuM tool. The project also attempts to
answer sociological research questions such
as determining the role of social networks in
promoting or suppressing the communication
and take-up of new energy technologies, and
how far these interconnect with local
community networks (EVALOC UK, 2016).

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Figure 10 EVALOC energy and communities toolkit (ENACT)

(Source: EVALOC low carbon communities research: www.evaloc.org.uk)

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5.1.8 Building Research Establishment biodiversity protection. Within each category,

Environmental Assessment developments score points – called credits –
Method (BREEAM) for achieving targets, and their final total
determines their rating. This system can be
carried out as early as at the initial stages of a
Initially developed in 1990, Building Research
project and changes can be made accordingly
Establishment Environmental Assessment
to meet pre-designed criteria (BRE Global Ltd.
Method (BREEAM) was the first
, 2016).
environmental building assessment method
and remains the most widely used. BREEAM Up until April 2016, more than 540,000
evaluates the procurement, design, developments had been covered under
construction and operation of a development BREEAM (roughly half of which are domestic)
against performance benchmarks. and over 2,230,000 buildings have been
Assessments are carried out by independent, registered for assessment BREEAM has been
licensed assessors, and developments rated adopted in about 77 countries till date,
and certified on a scale of Pass, Good, Very although the large majority (over 95%) of
Good, Excellent and Outstanding. these were projects within Europe (BRE
Global Ltd. , 2016). Canada, Australia, Hong
BREEAM measures different sustainability
Kong and other countries have developed
dimensions, ranging from energy to ecology.
their own environmental building assessment
Each of these categories addresses the most
methods based on the BREEAM methodology.
influential factors, including low impact design
Noteworthy is BREEAM’s limited uptake to
and carbon emissions reduction; design
date in the Global South (see Figure 11).
durability and resilience; adaptation to
climate change; ecological value and

Figure 11 Certified BREEAM Assessments, 2008 schemes onwards (Source: Green Book Live, 2016)

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5.1.9 Hong Kong Building presence or absence of desirable features or

Environmental Assessment for compliance with a threshold value (as per
Method (HK-BEAM) codes) 15 . The total score awarded is the
Hong Kong Building Environmental aggregation of the total number of credits
Assessment Method (HK-BEAM) is a obtained under the assessment scheme, then
voluntary scheme launched 1996 as a providing a ‘label’ for building quality in terms
significant private sector initiative in Hong of safety, health and comfort, important
Kong to promote environmentally friendly considerations for building users (buyers,
design and construction practice for air- tenants, occupants), and levels of
conditioned office buildings only. The HK- performance in respect of environmental and
BEAM assessment system has since social dimensions (HK-BEAM Society, 2004).
undergone several revisions to adhere to the
Credits related to energy use and indoor
government policy to foster sustainable
environmental quality issues are
development in various building typologies
comparatively more significant than the other
(including residential) in Hong Kong. It
environmental categories. It thus differs from
covered a wide range of issues related to the
the assessment framework of other major
impacts of buildings on the environment in
green building assessment systems. Credits
the global, local and indoor scales (Lee, Yik, &
for energy, water and IEQ-related aspects,
Burnett, 2006). HK-BEAM seeks to measure,
weighted in alignment with the goals, indicate
improve and label the performance of
that the design-based assessment
buildings over their life cycle through
methodology for assessing the energy credits
adoption of a set of best practice criteria. The
does not guarantee the energy saving for
intention is that HK-BEAM for new buildings
certified buildings (Leu, 2012). The correlation
merges with that for existing buildings, such
analysis for the relationship between post-
that a building rated under HK-BEAM ‘new’
occupancy energy use and energy credits
and suitably operated and maintained would
earned indicates that the eventual rating does
achieve a similar rating under HK-BEAM
not reflect actual energy savings.
‘existing’ some years later. Both versions of
HK-BEAM aim to reduce impacts of buildings
using the best available techniques and within
reasonable cost.

The comprehensive assessment framework 15

The HK-BEAM structure comprises of two
encompasses exemplary environmental criteria namely-prescriptive (or feature-specific)
practices in planning, design, construction, and performance-based for covering a wide range
commissioning, management and operation, of energy-efficient measures that can potentially
and maintenance (Chu & Chan, 2005). Indeed, be incorporated in the building design. Prescriptive
the assessment system is comprised of a criteria award credits based on the presence or
mixture of ‘performance specific’ and ‘feature absence of certain desirable feature. They do not
specific’ criteria. Performance specific criteria necessarily mean achieving a certain performance
target but are often established with reference to
are those credits awarded once the desired
good practices. (Lee, Chau, Yik, Burnett, & Tse,
performance level is achieved (Cole, Howard,
2002)
Ikaga, & Nibel, 2005), while the feature
specific criteria awards credits based on the

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5.1.10 Leadership in Energy and  Materials and resources,

Environmental Design (LEED)  Indoor environmental quality, and
Leadership in Energy and Environmental  Innovation (to test new strategies).
Design (LEED) is a voluntary, commercially
It adopts a whole-building approach that
marketed and performance-based tool for
encourages and guides a collaborative,
determining the environmental impact of a
integrated design and construction process.
facility from the whole-building perspective
Due to its prominence and popularity in the
(Kibert, 2013). It was designed by the U.S.
community of building owners, designers and
Green Building Council (USGBC) in 1998
managers, the LEED system has received a
through a consensus process (Ding, 2004). It is
higher level scrutiny than other benchmarking
a green building rating system for commercial,
schemes, resulting in several critical reviews
institutional and residential new builds,
pointing out its unintended consequences in
neighbourhoods, as well as retrofits covering
encouraging ‘perverse behaviour’ (Humbert S.
seven areas of sustainability:
, Abeck, Bali, & Horvath, 2007).
 Location and transportation,
Similar to BREEAM and other tools, uptake in
 Sustainable sites, the Global South has been limited (see Figure
 Water efficiency, 12).
 Energy and atmosphere,

Figure 12 Distribution of LEED projects globally (Source: USGBC 2016)

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5.2 National Systems Under GRIHA, buildings are assessed on their

predicted performance from inception
Below four national or India specific through operation. This rating system is
sustainability assessments tools are being divided into (importance in parentheses):
profiled: GRIHA, IGBC-CII, CPWD Sustainability sustainable site planning (21.2%), health and
Tool and ECOnirman Prescriptive. While they well-being (9.6%), building planning and
pursue similar objectives, and follow a similar construction (7.7%), energy: end use (36.5%),
approach and structure to rate a building’s renewable energy (7.7%), recycle, recharge
performance, their rating methodology varies and reuse of water (6.7%), and waste
considerably (Kshirsagar, Mane, Saharkar, & management (4.8%), building operation and
Salunke, 2015). maintenance (1.9%), and innovation points
(3.9%) (Sande & Phadtare, November 2014-
5.2.1 Green Rating for Integrated
October 2015).
Habitat Assessment (GRIHA)
Green Rating for Integrated Habitat In India, GRIHA as a nationally adopted rating
Assessment (GRIHA) evaluates the system is increasingly linked to state and
environmental performance of a building municipal governments’ promotional policies
holistically over its entire life cycle. It is based for green buildings: five state governments
on accepted energy and environmental offer increased FARs for GRIHA registered
principles, seeks to strike a balance between projects, while four municipal governments
the established practices and emerging have similarly followed the Ministry of Urban
concepts, both national and international. It Development’s notification to the same effect.
covers commercial, institutional, and In addition, the Ministry of Environment and
residential new builds, and, in the case of Forestry promotes fast-track project approval
schools, existing buildings. for GRIHA registered or pre-certified projects16,
while the Small Industries Development Bank
The projects can be registered under GRIHA, of India (SIDBI) is offering concessional rates
GRIHA-LD, SVA-GRIHA or GRIHA-Prakriti of 50 basis points (0.5%) at present. The
depending on the building use and scale. Pimpri Chinchwad Municipal Corporation has
SVAGRIHA (Small Versatile Affordable GRIHA) announced incentives for developers and
is applicable only for projects which are less owners who voluntarily comply with GRIHA.
than 2500 m2 of built-up area, and applies to
all building uses, except industrial buildings. A The MNRE granted the following incentives to
need was felt to create a framework to assess various stakeholders under its ‘Energy-
the environmental performance of larger efficient solar/green buildings’ scheme to
developments with a site area greater than or GRIHA-NRS projects for implementation
equal to 50 hectares. Hence, a rating system during 2013-14 under the 11th Five Year Plan
for large developments, GRIHA LD (Large and the remainder of the 12th Five Year Plan.
Developments), was developed. The GRIHA-
Prakriti rating system was developed with the  Incentives for Capacity Building and
intent to assist schools to reduce their Awareness Activities: A financial support
environmental footprint. This is the first rating
16
system for existing buildings under the GRIHA However, pre-certification is only a commitment.
rating system (GRIHA Council). There is no legal provision requiring the project to
actually achieve the level of rating promised in the
pre-certification application.

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of up to Rs. 2.00 lakh (US$2,950) for one activities, lecture series orientation
to two day and Rs. 3.0 lakhs (USD$4,421) programmes and related activities.
for three day training programmes,  (Ministry of New and Renewable Energy,
workshops, conferences, seminars, Government of India, 2009)
publications, awareness campaigns, and
Despite the broad institutional support, there
orientation programmes will be awarded
are currently only 800 registered GRIHA
to implementing agencies.
projects in the country, covering 32 million m2.
 Awards to ULBs: Every year, a onetime
Considering that 650,000 m2 of office space
cash award of Rs.10 lakh (US$14739)will
alone were added in the two month period of
be given to the top three ULBs per year
April to June 2016 alone (India Brand Equity
selected through competition for
Foundation, 2016), the relative impact of
adopting and promoting Energy Efficient
India’s most successful green building rating
Solar/Green Buildings to be rated under
system can still be considered marginal.
the rating systems GRIHA, LEED India or
ECBC.
The project will benefit from a critical
 Awards to individual buildings for analysis of the barriers which may have
renewable energy use: cash award of prevented GRIHA’s wider uptake to-date.
Rs.15 lakh (US$22,109) , 10 lakh Considering the wide-ranging institutional
(US$14,739) and 5 lakh (US$7,370) along support granted to GRIHA, the present
will be given to the three top-ranked project needs to consider what would
encourage project designers and owners to
buildings per year.
use the to-be-developed Decision Support
 Incentive to architects / design Tool and thus possibly forego tangible
consultants: Cash awards of Rs. 5 lakh incentives either in terms of faster approval
(US$7,370), 3 lakh (US$4,422) and 2 lakh processes, direct grants or higher FARs.
(US$2,948) are given to the three top- Otherwise, the added value of the DST as
ranked architects /design consultants for an addition to GRIHA must be clarified.
the three top-ranked buildings in any of
5.2.2 IGBC-CII Rating tool
the recognized green building rating
systems. The Indian Green Building Council (IGBC) was
 Other activities: Funds will be provided formed in 2001 with a vision, "To enable a
for other activities to promote Energy sustainable built environment for all and
Efficient Solar/Green Buildings in the facilitate India to be one of the global leaders
country. These activities may include: in the sustainable built environment by 2025".
development of web based tools, short Indian Green Building Council (IGBC) has
films on best practices, literature on licensed the LEED Green Building Standard
green buildings, FAQs on MNRE website, from the USGBC for local adaptation.
course contents as part of curriculum,
It works on a national level with a whole-
training modules, e-learning modules,
building approach to sustainability by
organizing specific groups to initiate
recognizing performance in the seven key
changes in the National Building Code,
areas listed above, and covers both homes
support to architectural magazines to
(through the separate IGBC Green Homes
bring out special features on green
system), townships, Special Economic Zones,
buildings, evaluation studies, R&D
green factory buildings and green landscapes.
The rating is a point-based system labelling

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buildings as “LEED Certified”, “LEED Certified

In general, it should be noted that there
Silver”, “LEED Certified Gold”, and “LEED
does not seem to be consistency as to
Certified Platinum”. which green building rating systems, i.e.
The Ministry of Environment and Forests’ GRIHA or LEED India, receive support from
(MoEF) notification on green buildings states which national, regional or local authority,
faster environmental clearances to projects and whether registration for certification is
applying for IGBC or GRIHA certification. sufficient, as opposed to certification itself.
However, as the Centre for Science and This may point to an already beginning level
Environment (Centre for Science and of fragmentation in the interplay between
Environment, 2012) rightfully points out, green building agencies and government
MoEF is offering these incentives “with the policies which could limit the overall impact
faith that the green rating agencies have of these initiatives. A more unified
carried out the due-diligence of these project approach, as was done in Singapore, may be
designs and will be accountable for the more effective.
environmental performance of such projects.
However, pre-certification is only a pledge In India all three ratings systems are
and there is no legal provision for requiring primarily whole building rating systems and
the project proponents to achieve the level of are not limited to only building material and
rating promised in the pre-certification technologies only. They do not, as such,
application.” provide a comparative assessment of
trade-offs between different green
Nevertheless, also in Maharashtra the building materials and construction
Environment Department is developing green technologies available.
building guidelines along with the IGBC. The
NOIDA Development Authority allows an FSI
increase of 5% above the maximum to 5.2.3 CPWD Sustainability Tool
projects with plot size above 5,000 m2 that
The Sustainability tool, issued by the Central
achieve a minimum IGBC gold rating. The
Public Works Department in 2014, is a set of
Hyderabad Metropolitan Development
guidelines for a sustainable habitat. The
Authority's (HMDA) ‘green channel’ initiative
guidelines have been divided into four parts: 1)
provides faster clearances for IGBC compliant
architectural design and layout, 2) CPWD
residential, commercial and industrial
Sustainability Index and guidelines for
buildings, and a 50% reduction of the
materials, 3) selection of equipment for
approval fee. NOIDA Development Authority
electrical and mechanical services, and 4)
has gone one step further to award a 5 per
guidelines on reuse and recycling of
cent maximum FSI increase to projects
construction and demolition waste.
which commit to achieving a LEED gold rating
(Centre for Science and Environment, 2012). Part Two the sustainability index, consists of a
As of yet, there does not seem to be any data set of parameters based upon which a relative
on whether these relatively minor FSI evaluation can be made between two
increases (say from an FSI of 150 to 155) have materials of the same product category,
had any impact on (pre-) certification levels. covering walling, partitioning, roofing,
fenestrations and other building elements.
The evaluation parameters include recycled

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content, embodied energy, rapidly renewable,

The obvious similarities between the
locally available material, functional life
CPWD’s Sustainability Index to the present
period, capital cost, maintenance cost,
project’s proposed output (in addition to
construction waste management, fly ash
being an already developed, government-
content, reduced weight, reduced time of
sanctioned, home-grown solution) strongly
construction and toxicity/indoor air
suggest that the reasons for its possibly
quality/safety. It is unclear how these
limited degree of uptake should be
parameters were selected and whether all of
examined thoroughly before an additional
them are equally applicable to the functional
methodology is developed independently.
unit of ‘building material’, as maintenance
costs, for instance, also strongly depend on
site location, weather effects, and building
5.2.4 ECOnirman
design.
ECOnirman Tool is energy simulation software
Similarly, weightages of either 5 or 10 points provided by BEE to assist architects and
out of a total of 100, have been assigned to engineers in assessing the conformance of
each parameter based on CPWD's working buildings with the ECBC (USAID ECO-III Project,
experience. While every weighting system is 2011). The tool is mainly used to check
an exercise in subjectivity (even assigning no conformity with the ECBC. A building complies
weighting at all is, in effect, a weighting with the whole building performance method
implying equivalence), this particularly when the estimated annual energy use of the
‘symmetric’ system could be considered open proposed design is less than the standard
to criticism (Central Public Works Department, design, even though it may not comply with
March, 2014). the specific requirements of the prescriptive
requirements as per the ECBC. It is a web-
The Guidelines on Architectural Design and
based compliance tool, which has been made
Layout broadly cover the parameters required
available to users over the Internet with
to be considered for planning and design of
minimal software requirements and building
buildings and relate to energy efficient design
science or simulation expertise (International
and process, site design, building orientation
Institute for Energy Conservation (IIEC) & the
and shading; design strategies for day lighting,
United States Agency for International
building envelope, reduction in overall
Development (USAID, 2007).
embodied energy of building materials and an
integrated approach to water supply, water The ECOnirman tool virtually assists decision
waste and solid waste management. It also making while altering certain parameters like
gives design guidelines for different climatic window to wall ratio, U-values, vertical and
zones namely: cold, composite, warm and horizontal shading to minimize the energy
humid, hot and dry and moderate climate. requirement of the building to make it more
energy efficient. The tool compares the
baseline parameters from ECBC prescriptive
requirements to the proposed design to
compare the Energy Performance Intensity
(EPI).

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5.3 Conclusion costs, sustainability concerns take second

place behind affordability concerns,
Most building assessment and benchmarking limiting the demand for green building
tools and the results they produce need to be certification.
put into the context of their limitations. Their
relatively limited uptake globally (in relation In addition, and as mentioned previously,
to the total number of new builds and the some building assessment and benchmarking
existing stock) can be broadly attributed to tools have attracted significant critical
three major factors. scrutiny for a number of reasons, including:

1) Skill requirement: If benchmarking or 1) Lack of adaptability to local climate,

assessment is undertaken on an open- culture and resources.
source basis, i.e. without payment of 2) Lack of life-cycle inventory databases
certification fees to cover the cost of which make judgement calls about the
professional assessors as well as ‘labelling life-cycle impacts of materials difficult to
rights’, an example being the popular SB ascertain and call results into question.
tool, the skill required to correct gather 3) Attention primarily to the operational
and assess data may lie beyond the phase of building and insufficient
current expertise of many built attention to life-cycle energy
environment professionals. requirements of adjoining infrastructure,
2) Cost: In a fragmented building sector transport requirements of occupants, as
where the certification is fee based, well as process-based vs. input-outcome
incentives for the payment of certification based calculation of materials’ embodied
fees are limited. Also, the building energy.
designers, owners and occupants here, 4) Relative subjectivity of indicator
are often separate entities, and resource weightings.
efficiency measures implemented at the 5) Discrepancy between projected and
design stage will not benefit all actual performance of buildings, mainly
stakeholders in equal measure unless due to the user of the building as the
positive externalities are internalised unknown variable.
through higher sales or rental value. If
certification is fee based, then the Nevertheless, the institutional incentivisation
fragmentation of the building sector of, for instance, the GRIHA scheme
where building designers, owners and demonstrates the vast potential for building
occupants are often separate entities and assessment and benchmarking both as a
where resource efficiency measures requirement for building permits, fiscal
implemented at the design stage will not incentives or direct grants and awards, but
benefit all stakeholders in equal measure also as educational tools which utilise a
(unless positive externalities are common sustainability language.
internalised through higher sales or rental
The point made earlier, however, should be
values), incentives for payment of
highlighted again: there does not seem to be
certification fees are limited.
consistency as to which green building rating
3) Low demand: Especially in many
systems, i.e. GRIHA, LEED India, the CPWD
countries of the Global South, in particular
tool, or the ECBC, receive support from which
in temperate climates with low operating
national, regional or local authority, and

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whether registration for certification is a

sufficient condition to qualify for government
support, as opposed to certification itself. The
already apparent fragmentation of the green
building certification ‘market’ could limit the
overall impact of these initiatives. A more
unified approach, as was done in Singapore,
may be more effective.

It is agreed that comparing different tools is

not an easy task as it results from a wide
range of assessment criteria, application and
building life-cycles which are covered by
building assessment methods (Giama &
Papadopoulos, October 2012) (Giama (2009) ,
Poston et al. (2010)).

Despite the rapid growth of building

assessment schemes over the last fifteen
years, the construction industry is still
undergoing a cultural shift towards the
widespread use of such tools. These tools
must continue to evolve in order to maintain
the momentum developed, at the same time
expanding to include construction sectors and
markets not currently undergoing assessment.

Significantly divergent from current

philosophies, future assessment tools should:

 Establish a scoring system that accepts

both quantitative and qualitative data.
 Establish a structure that can be used at
various levels of detail, from broad-brush
assessments to detailed ones.
 Implement the assessment in a software
system that will facilitate the work of
making regional modifications and also
simplify the tasks of input and assessment
of building data.
 Recognise the cumulative impacts that
buildings have at local and regional scales.
 Address global environmental issues.
 Incorporate the effect of building users’
actions on a building’s performance.

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6. Case Studies
Context
In the following a number of Level 1 case
studies are presented, primarily highlighting Despite advances in public policies for housing
exemplary social housing projects, in the in the last two decades, Brazil’s housing deficit
broadest sense of the word, identified by the stands at 5.6 million housing units, 63 per
Building and Social Housing Foundation as cent of which is accounted for by families with
well as UN-Habitat. Each profile highlights a monthly income below US$250. In São Paulo,
how each project approach may be relevant Brazil’s largest city, an estimated one fifth of
to the Indian context and is followed by a the population of 17.5 million is currently
summary of ‘influencing factors’ which living in inadequate housing conditions, in
contribute to making the respective housing favelas (squatter settlements), cortiços
project more sustainable. (overcrowded tenement housing) or
clandestine land subdivisions. In recent years
6.1 Building Restoration for Social government offices, businesses and financial
Housing Purposes - Celso Garcia, institutions have left the city centre, leaving
787 30 per cent of buildings disused or under-
utilized. The city centre of São Paulo is filled
Unification of Tenement-Housing Struggles with empty buildings while, paradoxically,
(ULC) and Integra millions of people live in inadequate
conditions elsewhere.
São Paulo, Brazil
This Building Restoration for Social Housing
Purposes project works toward the reversal of
the process of exodus from the central area,
proposing housing alternatives in city areas
that have lost part of their population in the
last several years yet remain rich in urban
infrastructure.

Solution

In 1999, the ULC popular movement for

housing (Unification of Tenement-Housing
Struggles) occupied a derelict building, in the
centre of São Paulo. Feasibility studies were
carried out, as well as negotiations with the
owner and the public authorities for the
purchase of the property to enable the
conversion of the empty building into
apartments for 84 member families living in
inadequate housing conditions. Housing units
range from 26m² to 33m².

The project was approved by the public

authorities and received funding from Brazil’s

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federal savings bank, through the PAR government figures show that 23% of houses
Housing Lease Programme. The $600,000 built under JNNURM, RAY and PMAY-HFA,
package covered the costs of purchasing the totaling 238,448 houses, are yet to be
building, renovating and converting the space occupied (Ministry of Housing and Urban
into residential units, architectural design and Poverty Alleviation, Government of India,
engineering, and social/community 2016b; Dubbudu, 2016). Reasons cited include
development work. The project involved the “reluctance of slum dwellers / beneficiaries to
creation of 84 dwelling units at an average shift in cases of relocation projects” and “lack
cost of US$ 7,140 per unit (World Habitat of / incomplete basic infrastructure and
Awards, 2004). livelihood sources”.

Potential relevance for India It should be acknowledged therefore that

excess housing stock is often poor housing
The issue of vacant buildings and their reuse stock, locationally and structurally deficient or
has been raised in India before, especially as used purely for speculation. In such cases,
an option for housing the homeless (Times of takeover of vacancies to address
India, 2016). High vacancy rates also affect homelessness and the general housing
government-delivered social housing. Recent shortage may not be feasible or sensible.
Influencing factors

Climate change  Reduction of urban expansion protecting unused land.

mitigation  Reduced transportation emissions .
 Careful steps taken to ensure adequate natural ventilation and
lighting to each housing unit in the deep-plan, formerly air-
Environmental

conditioned and electrically lit building.

Climate change  First project within a national housing programme to involve
adaptation / change of use (commercial to residential).
resilience
Resource efficiency  Building reuse: recycling of derelict buildings in the city centre
into affordable housing for social purposes, making use of existing
buildings and urban infrastructure.

Affordability  The costs of project, funded by the CEF, repaid by residents in

affordable monthly instalments over fifteen years. Average
monthly payments of US$50 are cheaper than the rents charged
in cortiços (overcrowded tenement-style housing), which typically
range from US$83 to US$100 per month. Residents responsible
for ongoing service and maintenance costs of approximately
Economic

US$23.50 per month. At the end of the process, resident families

lease the housing units from the bank for a period of 15 years,
after which time they become owners of their apartments.

Job creation and  Urban location increases employment opportunities of occupants.

job access
Maintenance  Workshops with future residents and extensive follow-up support.

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Well-being and  Improved housing conditions and increased opportunities for an

comfort excluded segment of the population.
 Improved health conditions, particularly among children.
Respect of cultural  Revitalization of city centre, increasing its asset base.
heritage / local
building culture

Cultural & Social

Safety Reduced vulnerability of residents due to strict building codes.

Conducive to  Participatory workshops and extensive follow-up support
community  Residents as primary decision takers in design, planning and on-
cohesion, inclusion going management; involved in general weekly meetings,
and diversity meetings with the co-ordination committee, work group activities
and discussions on project design, building codes, conflict
resolution and community development. The objective was to
promote the integration and active participation of future
residents, to consolidate public spaces for talks and deliberations
and to provide ongoing support without creating a relationship of
dependence between the group of residents and the Technical
Advisory team.

housing stock and to construct new stock that

6.2 Low energy and passive housing in
is energy efficient.
Ljubljana
Solution
The Public Housing Fund of the Municipality
of Ljubljana The first project carried out was the
refurbishment of an existing block of 57
Ljubljana, Slovenia apartments with high levels of energy
efficiency. The work included putting
insulation on the external walls, basement
floor and attic ceilings, and replacing windows
and doors with energy efficient versions with
external thermal shutters. Other projects
followed with added benefits such as
mechanical ventilation systems with 75 per
cent heat recovery. As a result of all the
retrofit work, energy consumption fell by
nearly 40 per cent. Other projects followed
Context
including four new-build developments
Projects have been undertaken to reduce providing a total of 234 new apartments built
housing and maintenance costs and enhance to the PassivHaus standard in 2011. This
the quality of living conditions in municipally- standard uses high levels of insulation, careful
owned non-profit rented dwellings in design and mechanical ventilation to ensure
degraded parts of the city. The main activities that the total energy demand for space
of the project are to refurbish the existing heating and cooling is less than 15 kWh/m2/yr

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treated floor area, and that the total primary Data on heating and cooling requirements
energy use for all appliances, domestic hot for the residential sector in India are
water and space heating and cooling is less currently hard to come by. The National
than 120 kWh/m2/yr. A range of resources Sample Surveys on Household Expenditure
have been deployed by the municipality to currently only track household expenditure
carry out the refurbishment work to date. for cooking and lighting (the last time this
These include the municipalities’ own data was collected was during the 68th round
resources (20%) and loans from the Slovenian in 2011/2012). Nevertheless given the aging
Environmental Public Fund (SEPF) (80%) housing stock in urban areas, in conjunction
(World Habitat Awards, 2010). with the gradually growing need and ability
to pay for active heating and cooling in many
of India’s climatic zones, the role of
Influencing factors
retrofitting should not be underestimated
(Tiwari & Rao, 2016).
Potential Relevance for India

Climate change  Wherever possible materials used with low embodied energy.
mitigation  Reduction in energy usage and carbon emissions.
 Heat recovery ventilation units, pre-cooling and pre-heating of air
with liquid earth heat exchangers, solar thermal and PV systems.
Environmental

 Urban land reuse: reduced the need for private transportation

and other negative aspects of urban sprawl.
 Greater awareness of the need to save energy developed, in both
the private and social housing sectors. Schools and kindergartens
are also being built to low energy standards.
 Energy monitored, including online monitoring in the newest flats.
Resource efficiency  Brownfield site development
Affordability  Significant reductions in energy bills.
Job creation and  Temporary jobs created through construction programmes.
Economic

job access  Urban location increases employment opportunities of occupants.

Maintenance  Tenants instructed in management of their apartments’ energy.
 Residents contacted twice a year during periods of maintenance
and interviewed to monitor occupant satisfaction.
Well-being and  Improved quality of social rental housing improves status of social
Cultural & Social

comfort housing tenants; helps to increase self-esteem

Conducive to  These projects are carried out in degraded parts of the city and
community have had positive socio-economic impacts on surrounding areas.
cohesion, inclusion
and diversity

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6.3 Technical team planning for self- there is a need for value that can be added by
the technical and design professions.
help housing in the Kambi Moto
Community Solution

Kambi Moto community, Nairobi, Kenya The Technical Team, working in conjunction
with a local NGO, Nairobi City Planning
Department and two universities, engaged
with the residents of Kambi Moto. The
Technical Team is an informal network of
professionals (architects, planners and
surveyors) working alongside communities to
enable them to build their own homes and
gain security of land tenure. Further, by
training the community on procurement
procedures and management of the projects,
these tasks can be adopted by community
members, minimising future long-term
reliance on professional input.

The original informal plot was transferred to

the community as a whole, and each
household receives a sectional title, meaning
that if a family wishes to sell up then their title
is sold back to the community. All
construction-related costs , 80 hours of labour
and a 10 per cent down payment were
provided by households, covered by savings,
paid into the community savings scheme
during the preparation stage, while 90 per
cent of the construction cost is given as a loan,
although a follow-up in 2015 with the project
owners has revealed that repayment of the
loan has stopped due to the absence of the
threat of eviction. Despite this, the project
points to a possible model for combining pro-
Context bono professional expertise with community-
driven construction. The construction has
60 per cent of the inhabitants of Nairobi live been carried out incrementally and in-situ so
in informal settlements. In Kenya, the that the households did not have to move out
professional services of architects and of the community. During each construction
engineers are not affordable for a majority of phase between 20 and 30 homes are built.
the population. Although the urban poor Therefore only a small number of the
show impressive improvisation skills and community are affected and can be
innovation to better their housing situation,

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accommodated by their fellow community improve construction quality and assist

members (World Habitat Awards, 2009). builders and artisans in accurate costing. One
such initiative is the Budgeting and Planning
Potential relevance for India Tool, in both Hindi and English, by the Indian
The importance of owner-driven, informal think tank mHS City Lab (mHS City Lab, 2016).
housing construction in India has been Influencing factors
broadly recognized, as has been the need to
Climate change  Locally available stone and components fabricated on site reduced
mitigation need for expensive, energy-intensive materials, with community
members producing materials, providing skills and income.

Environmental

Climate change Planning of settlement took into account local knowledge of the site
adaptation / when considering storm-water run-off, path and road access.
resilience
Resource  Locally available lava stone blocks were used as building materials for
efficiency the new homes, rather than cement blocks.
 Floor slabs and roof terraces were built with pre-fabricated concrete
mini-floor slabs that use a fraction of steel and cement compared to
conventional concrete.
Affordability  In order to reduce the labour costs, the households provide unskilled
labour, developing skills for future tenants.
Job creation and  Due to the learned skills, community members applying and
Economic

job access qualifying for formal construction work outside the settlement.
 Catering group also formed and is developing its business.
 Community-led process of negotiation on every issue from the design
through to the conditions for loan repayment as a real and positive
example for other communities and technical professionals in
Huruma and across Nairobi.
Respect of  The local professionals involved in this project received training and
cultural heritage motivation to work locally and enhanced their skills by providing
/ local building better service to the community-built housing process.
culture
Safety  Urban layout combining pedestrian settlement plan with access for
emergency vehicles allowing all households to stay on site.
Cultural & Social

Conducive to  Community empowered to own and manage the whole process,

community developing skills and increasing capacity as they go.
cohesion,  Community developed skills and worked closely on all aspects of
inclusion and design, planning, saving, construction, project management and
diversity sharing experience through exchanges with other communities
 The community members have become better leaders and are
equipped to articulate their needs clearly to the city council.
 The community of Kambi Moto is and will be assisting other urban
poor communities in Nairobi and other towns in their struggle to
enhance and secure their housing situation.

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6.4 Cato Manor Green Street Zanemvula in the Eastern Cape have
demonstrated the economic and societal
Green Building Council of South Africa benefits of more sustainable design in low-
income housing. Not only do green
Durban, KwaZulu Natal, South Africa
interventions translate into energy, water and
financial savings, but also reduce associated
illness, safety risks, greenhouse gas emissions
and environmental impact. The South African
government has recognised the pressing need
for more sustainable social housing
programmes.

Solution

The project involved consultation with local

government to provide support and
equipment, e.g. LED streetlights, clean-up
campaigns, environmental monitoring devices
for monitoring stage, etc. Further consultation
took place with the community to ensure co-
operation and interest in the project. Among
other upgrades, the retrofit involved installing
insulation in the ceilings, electrical upgrade,
and solar hot water systems along with the
required plumbing. The project included a
monitoring and analysis stage which focused
Context on impact, notably electricity use, water use,
The South African government has built an comfort, cost-benefit and quality of life.
estimated 2.8 million low-cost homes since Learning from the project has been used to
1994 and a further 3 million are targeted by make important policy recommendations for
2025. Cost-cutting has been common to the construction of new homes, the
maximize delivery, but unfortunately this has retrofitting of existing houses, and the scaling
meant that these homes have generally been up of key interventions (GBCSA , 2012).
designed and constructed with no water Potential Relevance for India
heating system, and little regard for energy
and water efficiency, adequate insulation or Similar to the Singapore case presented in
other ‘green’ design considerations. For this Section 7, piloting sustainability measures
reason people living in these houses continue before introduction into policy, law or
to spend significant amounts of their income regulations, may be an absolute imperative
on energy, while suffering disproportionate considering the scale of India’s social housing
health burdens. programmes in the years to come and the
possible danger of lock-in effects. A number
A few pilot projects like those in Joe Slovo, of innovative projects can already be drawn
Kleinmond, Kuyasa and Witsands in the upon for inspiration, and which will be
Western Cape, Cosmo City in Gauteng, and

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supplemented by the Level 3 case studies of Influencing factors

the this project.

Climate change  Solar hot water systems; Insulated ceilings and low albedo roof
mitigation coating; Energy efficient lighting; Heat retention insulation
cookers.
 Energy reduced by 25%. 105 tonnes of carbon have been
Environmental

avoided, and the sale of carbon credits will generate funds to

be invested back into this community.
Climate change  Rainwater harvesting systems for water security, especially in
adaptation / times of erratic rainfall or droughts, and will keep water costs
resilience down in periods of municipal water shortages.
 Food gardens.
Resource efficiency  Rainwater harvesting systems.
 Water efficient plumbing.
Affordability  Sixty per cent of homes say that food costs decreased.
 Home prices increased.
Economic

Job creation and  Onsite job training.

job access  Training and work opportunities created: range of practical,
on-the-job training sessions and community education
workshops .
Well-being and  Permaculture and food gardening training.
comfort  Hot water on tap for first time through solar hot water
systems, before many residents could not afford the energy to
heat water.
 Greater human comfort and aesthetics inside homes, and
improved health and safety. Peak temperatures on summer
days have dropped by 4-6°C with insulated ceilings. Less need
for fuels like paraffin, coal and wood mean reduced health
Cultural & Social

problems and fire safety risks for these homes.

 Water and food security increased for residents.
Respect of cultural  Clean-up and rehabilitation of local stream.
heritage / local  Indigenous plants replace invasive plants.
building culture
Safety  Complete re-wiring of electrical for safety, Solid waste
disposal.
 The polluted stream in the area was cleaned up.
Conducive to  Community consultation.
community  Increased sense of community ownership.
cohesion, inclusion
and diversity

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6.5 The New Generation of Yaodong With the rapid growth of China’s economy,
Cave Dwellings, Loess Plateau most rural people want to live in new, modern
housing and tend to be dissatisfied with the
Loess Plateau, People’s Republic of China traditional yaodong dwelling, resulting in a
large increase in energy usage and pollution.
Valuable farm land is used, with impacts on
the natural ecosystem.

Solution

Starting with a pilot project of 85 houses in

Zaoyuan village (1996-2001), the project has
now seen the development of over 1,000
dwellings by families using self-help
construction in both rural and suburban areas.
A real-estate developer has built a further
1,200 dwellings plus two large hotels.

The new housing design is based on the

traditional design but increases the one-
storey yaodong to two-stories and includes a
sunspace at the front and earth-sheltered
roofs, which serve to increase the indoor
daylight levels, as well as improving natural
ventilation and humidity. Although the houses
are low-cost they are sufficiently modern to
be attractive to the local people.

The sense of cultural continuity is very

Context important. Surveys have shown that the
residents feel that the new Yaodong is not
Located in north central China, the Loess something imposed on them from the outside,
plateau covers nearly 500,000 km2, home to but is a continuity of their building tradition.
forty million people, 75 per cent of whom are Local people are involved throughout the
farmers. Living conditions are amongst the design and construction process and friends
lowest in China. Ninety per cent of the rural and neighbours of the residents help build the
population lives in various types of yaodong houses, using traditional building skills. The
(cave dwellings). The earliest types of these resident’s subjective opinion of the new
were dug into the hillsides and they have dwelling and involvement in the design and
since evolved into masonry dwellings that are construction process is considered to be an
more disengaged from the mountainside (only important aspect of the sustainability of the
10% are still in the dug-out form, 70% have housing, of equal importance as the energy-
their rear wall abutting the mountainside and and pollution-saving aspects (World Habitat
the remainder are entirely freestanding). Awards, 2006).

Potential Relevance for India

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Cultural adequacy is one of the seven housing is not considered culturally adequate
components of the Right to Adequate Housing „if it does not respect and take into account
which is included in the International the expression of cultural identity.”
Covenant on Economic, Social and Cultural
Rights, ratified by India in 1979, where Influencing factors

Climate change  Zero consumption of energy for heating, ventilation and air
mitigation conditioning due to the use of thermal mass, solar energy and
natural ventilation systems.
 Solar space provides heat and daylight - CO2 emission saving
per property is 2,400 kg (2.4 tonnes) for a 100 m2 dwelling.
Environmental

Climate change  Earth shelter thermal mass maintains even temperatures

adaptation / throughout the year.
resilience
Resource efficiency  Local topography provides housing structure, thereby reducing
the need for roofing and wall materials. The building materials
used are sourced locally and recycled building materials have
been used wherever possible.
 Use of two-storey construction rather than single-storey in
order to increase the amount of functional space available.
Affordability  The costs of the new dwellings are approximately half of that
Economic

of the new flats being built using western methods and

materials in the nearby towns.
 Utility bills are lower as a result of reduced need for heating.
Well-being and  Environmental monitoring found that indoor temperatures are
comfort higher on average by five degrees in the new buildings (i.e.
increasing from 10-15 °C at midday) and indoor daylight levels
and ventilation are much improved in the new buildings.
Respect of cultural  Establishing a new typology for the rural population that is
heritage / local connected to local and traditional roots, but that meets
Cultural & Social

building culture changing social and economic circumstances and expectations.

 The houses are cut into hill terraces on land that is infertile or
hard to farm, thus maintaining the amount of land available for
agriculture.
Conducive to  Retaining young people in the area with more modern and
community inexpensive housing helps boost the local economy and
cohesion, inclusion prevents rural depopulation.
and diversity  People work together with their friends and neighbours to
build their own homes. The design of the housing is more
conducive to people meeting their neighbours than living in
one of the new flats in the local towns.

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6.6 Improved traditional housing in Solution

Papua New Guinea The aim of the project was to develop a new
and constantly evolving form of housing for
Joint work between Community Based
PNG which maintains the inherent traditional
Building Program Ltd, SPK Projects, Niugini
architecture that is climatically, culturally,
Works, and Assaí
economically and ecologically appropriate and
Papua New Guinea sustainable. Furthermore to meet the modern
housing need the housing must be
competitive with modern methods and easily
taught, learned and replicated. Traditional
building skills are retained and enhanced
through the building process and through
general confidence and capacity building. As
an example, iron roofs replaced the
traditional thatch roofing whilst retaining the
original form and slope to provide shade, rain
shedding and a cooling air volume for the
interior. The iron roof allows for rainwater
Context harvesting and is longer lasting than the
thatch roofs (World Habitat Awards, 2003;
Papua New Guinea (PNG) with a population of
UN-Habitat, 2012).
seven million has a population density of 10
people per km2. The vast majority of housing Potential Relevance for India
in PNG is rural. In general, both housing
finance and land are very difficult to obtain. India’s housing shortage is, in absolute terms,
Although PNG possesses a rich traditional more pronounced in rural areas: 43.7m units
building heritage suited to the local material in rural India compared to 18.78m units in
base, climate, skills base, economy and way of urban areas (Tiwari & Rao, 2016; Government
life, this is increasingly being supplanted by an of India, Ministry of Rural Development, 2011).
imported modern architecture that is While the focus of India’s housing
unfamiliar to the local way of life, often very programmes is decidedly urban, bespoke
expensive and prone to rapid deterioration solutions for addressing the rural housing
due to poor design and inappropriate shortage will have to be found, taking account
materials choice. of both locally available materials, local
building cultures, climate and culture.

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Influencing factors

Climate change  Design of houses using traditional methods provide a naturally

mitigation cool house, excluding the need for air conditioning; Solar
power.
Environmental

Climate change  Rain water harvesting.

adaptation
Resource efficiency  Dry composting toilets; rain water harvesting.
 Sustainably sourced timber, along with other locally sourced
material, is used throughout the project with an emphasis on
affordability, durability and local income generation
opportunities.
Affordability  Costs are reduced beyond half the price of non-traditional
Economic

housing with imported materials and methods.

 Costs reduced from labour (building and material supply)
contribution from occupants.
 Emphasis upon affordability, durability and buildability.
Well-being and  Single lined wall frames with a latticed infilling which allow an
comfort increased amount of light into the house.
 Materials and designs used appropriate for climatic conditions
and produce healthier living environment.
Respect of cultural  Residents play and active role in the planning and building
heritage / local process.
building culture  New approach is taken to culturally sensitive, traditional
methods of construction for housing.
 Use of traditional architecture as a prime driver for design and
construction.
 The Assai design philosophy is to preserve and adapt the
Cultural & Social

traditional building culture in the face of modernisation and

inappropriate western housing models. The approach used by
Assai was to analyse traditional PNG architecture, to
understand and maintain its value and change it only where it
is necessary to respond to new demands.
Safety  Solutions to mosquito proofing, cleanliness, and sanitation.
Conducive to  Each housing project is designed with extensive end user
community consultation through a workshop process. Workshops were
cohesion, inclusion first held at the ‘pattern’ level, i.e. looking at what in general a
and diversity house in this area should be like and secondly with the
residents as part of the detailed design process. This approach
has also been used for schools and other community buildings
in the area.
 In addition to housing for low-income earners, the project
included high-income houses in an effort to increase the status
of traditional design with lower income earners.

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6.7 Passive Solar Housing in the Cold uncommon, with 15 members sometimes
Desert of the Indian Himalayas living in one house.

The target population is individuals living with

Groupe Energies Renouvelables,
less than one dollar a day. Scarcity of local
Environnement et Solidarites (GERES India)
fuel and the high price of imported fossil fuels
Kargill District; Leh District, Western Indian have resulted in a situation of energy
Himalayas vulnerability. Women and children spend
almost two months a year gathering dung and
bushes in pastureland. Very few activities are
possible during winter, even indoors, due to
the cold temperatures, however, the region
benefits from strong sunlight for more than
300 days per year.

Solution

The passive solar housing technologies used in

this programme of new housing construction
and retrofitting include solar gain (direct gain,
solar wall and attached greenhouse), thermal
mass and insulation. In the passive solar
houses, the average indoor temperature
remains continuously above 5°C as opposed
to -10°C in unimproved houses. Fuel
consumption has reduced by 50 to 60 per cent.
The average cost of installing energy
efficiency features is US$955 and households
provide approximately US$610 (64 per cent)
of this in cash and kind through local materials,
casual and part of the skilled labour. Benefits
include improved comfort, more social visits,
time saving, easier education and improved
Context
health. Local people have been trained in
The Western Himalayas is a cold desert with income generating skills which include local
300,000 inhabitants living in high altitude handicrafts (World Habitat Awards, 2011a).
villages. During the winter temperatures
Influencing factors
generally fall below -20°C. Traditional houses
are built of wood and stone and are thermally
inefficient, with room temperatures falling
below -10°C in winter. Family members tend
to live together in one room in winter which
facilitates disease transmission and the use of
stoves aggravates respiratory infections. Large
intergenerational households are not

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Climate change  Technical innovation in the use of energy efficiency techniques,

mitigation which combine passive solar features, thermal mass and thermal
insulation with local materials.
 Fuel consumption has reduced by 50 to 60 per cent.

Environmental

Greenhouse gas emissions reduction of 2.5 kgCO2 per

household per year (1.3 tonnes of biomass per household per
year saved).
 Following the success of the project development of a first draft
of the energy efficient building code has been submitted to the
national Ministry for New and Renewable Energy as well as to
the Local Authorities.
Resource efficiency  Locally available and renewable insulation materials: sawdust,
straw and wild grass.
Affordability  Cost savings from more efficient homes.
Job creation and  Trained and skilled artisans (in solar passive design, masonry and
Economic

job access insulation) a product of the development, training local masons

and carpenters in energy efficient construction techniques.
 Less time spent collecting biomass for heating translated to
more time for income generating activities.
Well-being and  Passive solar design to increase effortless warmth.
comfort  As a result of the project, people have the benefit of a warmer
and healthier indoor environment and they are able to earn
more money in the winter months.
 The average indoor temperature remains continuously above
5°C as opposed to -10°C in unimproved houses.
Respect of cultural  Local materials and dwelling configurations made more efficient.
heritage / local
building culture
Cultural & Social

Safety  Reduced dependency on stoves – reduced respiratory infections.

Conducive to  Community buildings have been provided on site using the same
community techniques.
cohesion, inclusion  Twelve grassroots-level networks have been established to date
and diversity consisting of village representatives, masons and carpenters
who work together to promote passive solar housing. In addition
to encouraging participation, the networks act as a pressure
group to advocate for improved local government policy in
respect of renewable energy.
 Less time spent collecting biomass for heating translated to
more time spent in community improvement and social
activities.
 Benefits include improved comfort, more social visits, time
saving, easier education and improved health.

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6.8 Jaunapur Slum Resettlement designed in clusters of nine grouped in a

‘through cluster’ rather than an enclosed
Anangpu Building Center & Ashra court. Each cluster is provided with two toilets,
one bath, one washing area and one court in
Southern Ridge area, Delhi, India
common. Each dwelling is 15.8m2 and is
capable of vertical extension to 31.6m2. The
overall density is 210 dwelling units per
hectare.

The pilot scheme has been successfully built

and at a cost of Rs.44,000 (US$ 1100)/ unit
(nearly half of that the government
department had estimated). The dwelling
units have been provided as skeletal
structures built with waste stone and other
resource efficient technologies to be
completed by the owners on a self-help basis
Context reusing walling materials from their erstwhile
homes. The project demonstrates the
In Delhi, one of the fastest growing advantages of natural drainage and onsite
metropolises in India, the slum population is waste disposal.
growing also. Where 30% of the population
live in degraded tenements, Delhi may soon The cluster grouping responding to the socio-
have the fastest growing slum in the world. cultural needs, optimising length of service
The major problems faced in Delhi, as in other lines and roads and allowing provision of basic
Indian cities are lack of funds, non-availability services at the cluster level. The rehabilitation
of land and infrastructure. These are scheme demonstrates that land classified as
exacerbated by incorrect planning, the `unfit for development' is really to be utilised
inadequacies of the government mechanism to create an environment responsive and
and the failure of past development sustainable human settlement that is also
approaches. Providing housing for the slum economical as opposed to the conventional
dwellers is an ongoing problem that seems to system (Anangpur Building Centre, n.d.;
defy all plausible solutions and the problem Building and Social Housing Foundation, 2016).
continues to outpace the solutions.

In 1996 a Supreme Court directive stated that

3,600 illegal squatters from Delhi's
ecologically sensitive Southern Ridge forest
area were to be resettled on its outskirts.

Solution

52 dwelling units were built in 1997 as a pilot

project for a scheme of re-housing the 3,600
former slum households of the Southern
Ridge area of Delhi. The dwellings are

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Influencing factors

Climate change  Lower embodied carbon from local and reused material.
mitigation
Resource efficiency  Residents encouraged to reuse materials from previous
settlement.
Environmental

 Sewerage and wastewater are treated locally, treated water to

be used to water fruit plantations.
 Funicular shell roofing gives greater strength and uses less
material than conventional roofing systems.
 Roofs are built with waste stone quarried locally on the site and
there is no need for steel reinforcement.
 Project demonstrates that land classified as ‘unfit for
development’ can be successfully used.
Affordability  Shell structures are provided for residents to take to completion
reusing materials from previous settlement.
Job creation and  Training will be provided by the local Building Centre to future
Economic

job access residents in how to make hollow concrete blocks for the walls.
 A range of income generating opportunities will be available to
residents. These include the provision of small retail spaces in
the communal areas of the final settlement and the provision of
a local transport system.
Well-being and  The provision of clean water, sanitation and adequately
comfort ventilated dwellings will ensure that the living conditions are
Cultural & Social

healthier than the slum areas of the city where the residents
lived previously.
Conducive to  Community facilities are provided at the centre of each cluster
community of dwellings.
cohesion, inclusion  Careful planning and layout of the settlement to ensure social
and diversity sustainability.

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7. Singapore: Government-led
Mainstreaming of
Sustainability

Figure 5 South East Asia Köppen Climate Classification and location of Singapore
(University of Melbourne, 2007)

7.1 Background drawn for the case of India as it embarks on

the Prime Minister’s Housing for All Mission.
The island city-state of Singapore, the
technical and financial services hub of south- Up until the 1960s, squatter settlements in
east Asia, differs from India in many respects. Singapore were common. Only 9% of the
It is 100% urbanized with a total population of population lived in social housing. Today, the
only 5.54 million. It is a high-income country national social housing program has delivered
with a per capita GNI of US$81,360 (2015 1,200,000 units and makes up 80.4% of the
international US$, PPP), compared to India’s total housing stock (Phang & Helble, 2016). Of
US6,030 (World Bank Group, 2017). The these, 94% are owner occupied under a 99-
political system also differs substantially. year lease, while the remaining 6% are rental
Contrary to India’s multi-party system, flats (Lee Kwan Yuu School of Public Policy,
Singapore’s People’s Action Party (PAP) has 2014).
been the dominant executive and legislative
Institutional Framework
force since 1959 and holds 93% of the seats in
parliament as of the 2015 election. The Housing & Development Board (HDB),
established in 1960 under the Ministry of
Nevertheless, some lessons in the large-scale
National Development (MND), finances and
delivery of social housing, and how to make
administers public housing and urban
these units more sustainable, can possibly be

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development initiatives. The Building and of household income (HDB, 2015a). After an
Construction Authority (BCA), also under the occupancy period of five-years, tenants are
MND, manages building inspections, allowed to sell their properties on the open
administers building policies and a market (Phang & Helble, 2016).
sustainability assessment program (BCA, n.d.).
The country is a melting pot of different
The Public Housing Scheme (1968 – present) cultures with four official languages and
diversified religions represented. Non-
Social housing in Singapore is, in comparison, national citizens are integrated into HDB
a tightly controlled system. On the supply developments through the 1989 Ethnic
side, the main responsibility for delivery of Integration Policy and the 2010 Singapore
units rests with the HDB which can resort to Permanent Resident (SPR) quota which
wide-ranging development rights within the mandates a neighborhood ethnic mix
legal framework. Beginning with the 1966 mirroring that of the nation as a whole (Phang
Land Acquisition Act, which allowed for the & Helble, 2016).
public appropriation of land for large-scale
city planning and housing development. In Aligning supply and demand of housing units,
1968, Singapore’s mandatory savings fund, even in a tightly controlled market like
the so-called Central Provident Fund (CPF), Singapore’s, has not always been easy.
was expanded to include the Public Housing Following a housing surplus in the 1990s, the
Scheme. This scheme, with the primary goal country switched to a Build-to-Order system
of home ownership for all (HDB, 2015a)17, in 2002, which has been attempting to
allowed ‘Singaporeans to pay for the manage demand with a small reserve supply
mortgages of their HDB flats using their CPF as a buffer (Bow Tan, 2010). This change
savings instead of having to use their take- reduced output through to 2010, resulting in
home pay” (Central Provident Fund Board, housing shortages by 2011 (Phang & Helble,
2016). The labour market’s formal, rather 2016).
than informal, character, which allows for the
utilisation of a national mandatory savings 7.2 Singapore’s Green Building
scheme for the purpose of financing housing, Masterplans and Programmes
is another fundamental difference to the (2005 – present)
Indian economy with its large informal sector.
Singapore covers only 697km². For
Up until today, financial assistance is offered comparison, Mumbai covers 603km². While
through first-time purchase subsidies, and Singapore has managed to increase its land
grant schemes to eligible Singaporeans with a area by 20% in the last forty years, primarily
monthly income between $6,000-$18,000 through aggregate-based land reclamation,
(BCA, 2015). The HDB aims to keep monthly with neighboring countries now limiting their
mortgage payments to less than one-quarter exports (UNEP, 2014), this limited supply of
land and natural resources has not only
17
This is not to say the rental tenure models resulted in waste disposal issues, but, on the
should not also be considered to cater to specific positive side, made the efficient use of land
target groups’ needs at certain stages in their lives,
and materials an absolute imperative.
such as students, young couples, divorcees and
tenants with a high requirement for job mobility
In addition, fossil fuel imports supply 95% of
(which may not apply as much in a context like
Singapore’s). the nation’s electricity (CIA, 2016). This

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dependency has prompted the need to o Centre for Building Research; $50 million
advance energy-efficiency measures and MND Research Fund for the Built
promote the use of renewables. Environment.
o International Panel of Experts (IPE) to
With the building sector a major leverage review and modernize building
point, building certification was readily standards.
o Information disseminated through
identified as one tool in reducing the
training and professional certification
country’s overall resource use. In 2005, the programs and guidelines.
BCA developed the ‘Green Mark’ o First Zero Energy Building (ZEB)
sustainability certification and rating scheme constructed to verify good practices
in response to the perceived unsuitability of (BCA, 2008). 19
existing tools for the country’s tropical and
sub-tropical climate (BCA, n.d.).
2008 – ‘Making green mandatory…for
some, not all, buildings’
In the following a brief timeline of the Green
Mark scheme and other initives is offered: o Green Mark certification now
mandatory, minimum requirements
1982 – ‘Support for prefab technology’18 introduced into Building Control Act:
three-year energy audits and the
o Investment Allowance Scheme conditions of review.
encourages purchase of advanced o Building Control (Environmental
construction equipment. used to support Sustainability) Regulations formulated:
uptake of prefabrication technology; Green Mark scores by building type and
expenditure incurred by companies on size, penalties for deviations from initial
new construction equipment eligible for scores with as-built ones.
investment allowance at a support level o New buildings and major retrofits with
of 50% (BCA, 2014); 30% of the floor area of over 2000 m² with minimum
investment allowance can additionally be of 50 points: 30 in energy and 20 in
deducted from the company’s taxable water-efficiency, environmental
income (APEC, 2015). protection, indoor-environmental quality,
and selected other features (BCA, 2008).
2006 – ‘Testing the waters’
2009- ‘Expansion, more incentives,
o first Green Building Masterplan including breaking down the resistance’
public outreach campaigns, industry
training programs, efforts to include o Second Green Building Masterplan
Green Mark in national building code. expands Green Mark certification to
o $20 million Green Mark Incentive existing buildings; new public buildings
Scheme for certified projects The over 5,000m² must reach a Platinum
Masterplan included. score; existing buildings over 10,000m²

2007 – ‘Research, dissemination and a

19
first trial’ The ZEB contains a single coil twin-fan air system,
advanced daylighting systems, personalized
ventilation, makes use of passive design and
rooftop greenery. Hot in-door air is removed from
the building by solar chimneys utilizing the stack
18
Since 1980 prefabricated housing has been effect.Its aim is to reduce energy demand by 60-
“indispensable to [the] building programme” for its 65%, while generating additional energy through
reduced onsite labor requirements and increased photovoltaics. Hot in-door air is removed from the
productivity” (HDB, 2015a). building by solar chimneys utilizing the stack effect.

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must be retrofitted to Gold by 2020 (BCA, and enterprises to develop cost-effective

n.d.). retrofit solutions.
o $100million Green Mark Incentive o Green Mark Incentive Scheme for Design
Scheme for Existing Buildings to Prototypes $5m for design workshops
encourage purchase of energy-efficient and simulation to optimize green building
equipment and energy audits. design.
o Green Mark Gross Floor Incentive
Scheme with extra FARs for Gold and 2014 – ‘Engaging everybody, consumers
Platinum projects. included’
o Resistance to the implementation
programs was resolved by intensive o Third Green Building Masterplan large-
industry consultations. scale training for 20,000 green building
specialists by 2020 through BCA
2011 – ‘More incentives, new financial Academy; partnering with universities to
partners’ develop Mechanical Engineering
programs with environmental focus;
o Building Retrofit and Energy Efficiency influence lifestyle-related consumption
Scheme for large-scale energy audits for behavior with software programs and
commercial building owners, advertising the business case for
management corporations, and energy changes.
service companies.
o BCA lending schemes with financial Green Mark certification scheme, now on its
institutions to finance energy-efficiency fifth iteration, continues to develop for both
purchases. existing and new builds as the government
advances its program, keeping realistic
2012 – ‘Into the neighbourhood, first
targets for gradual program evolvement20.
results, updating legislation’ Program advances are piloted before being
o HDB Green Print programme to retrofit introduced as the norm (BCA, 2016a). The
thirty-eight neighborhood blocks (HDB, results are evident in Figure 11.
2016b) extended to 40 more blocks,
supports green, community driven ‘test-
bedding’ solutions through the HDB
Greenprint Fund with up to $100,000 per
project (HDB, 2016c).
o First results are in: building retro-fits
reducing operating expenses by up to
13.5%, increasing property value by up to
2.7%, payback period of around 6.3
years; monitoring since 2008.
o Building Control Act was updated to
include minimum performance standards
for existing buildings, reporting by utility
companies, and regular energy-cooling
audits by owners.

2013 – ‘Inventives for bright ideas’

20
A full breakdown of all mandatory and
o Energy Innovation Research Programme optional metrics under the new program can
with $20m for higher education institutes
be found at BCA (2016a).

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Figure 6 Green Mark certified projects and major regulatory changes (BCA, n.d., p. 15)

Eco-Precincts: Treelodge@Punggol
In the spirit of the public sector leading by
example, the HDB began its first “Eco-
Precinct” called Treelodge@Punggol, boasting
numerous water, waste, and energy-efficiency
measures beyond legislative requirements, in
addition to green spaces, renewable energy
integration, and prioritized pedestrian
pathways. The goal is to test best practices
before replication elsewhere and eventual
adoption by law (HDB, 2015a; HDB, 2016d).
The development can be seen below in Figure
11.

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between Singapore and India surely outweigh

the similarities, some broad brushstroke
lessons can be drawn.

 Government-led social housing provides

an ideal, controlled environment for
interventions
 One national certification scheme gives
clarity and certainty to industry
stakeholders
 ‘Try before you buy’: piloting green
building interventions before
introduction into law is essential to
both assure the industry and avoid
negative lock-in effects; this requires
government to lead by example
 Industry resistance needs to be tackled
head-on through awareness raising,
training programmes, incentives and
Figure 7 Treelodge@Punggol (Surbana Jurong Private hard evidence of the benefits
Limited, 2016), (Tom, 2011)  Continuous programme refinement
based on monitored results is essential
7.3 Applicability to the Indian Context
to push improvements and capture
and Lessons Learned
additional market segments with
The role of Singapore’s particular geographical particular requirements
constraints in necessitating a reduction in the  The ‘city-state’ mindset of striving
demand for raw materials, energy and land towards increased independence could
can certainly not be overstated. Similarly, its be a useful mental device to drive
particular political system and manageable resource-efficiency in other localities
size certainly contribute to the way in which
the challenge of building sustainability and
social housing provision was handled.

Some parallels can, however, still be drawn.

While Singapore mandates, for instance, the
recycling and substitution of building
materials, reduced concrete use in general
(BCA, 2016e), as well as the use of concrete Demolition Rules which prohibit C&D waste
dumping on roadsides and drains, proscribe the
and sand from demolition and construction in establishment of C&D waste plants in million-plus
pavement construction (BCA, 2007), some of cities by September 2017, followed by smaller
these measures are already being cities in the following years. In addition,
21
implemented in India . While the differences submission of a waste management plan is made
part of the development control process. Use of
10-20 percent recycled materials is also made
21
The Indian Ministry of Environment recently mandatory for government contracts (Times of
published the 2016 Construction and Waste India, 2016).

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8. Limitations of the Study 9. Main Findings and

Due to time and resource constraints, several
Recommendations
factors influencing the supply and delivery of
The primary findings of this report relate to
social housing in India could not be addressed.
both the project’s strategy for influencing
First and foremost is a detailed analysis of the
policy development, government instruments
political economy around housing provision
most likely to have an impact and their
which would constitute a research project in
manner of delivery, as well as national and
itself. The reasons behind the poor
international best practices which could
connectivity of many social housing projects
provide useful guidance going forward.
implemented under government schemes,
which therefore contributes to the high “Social Housing” rather than “Affordable
vacancy rates in some states, in part go Housing”
beyond high land prices alone. The study was
also not able to examine the motivational Even the most expensive housing will be
barriers to private and public sector producers ‘affordable’ to somebody. “Social housing”
of housing’s seeming reluctance to may thus be a more useful term to signify
incorporate more sustainability measures in housing for lower income populations.
project designs. Considering the large number of low-income
housing providers acting independently of
While the study furthermore focused on the government support, Indian social housing
delivery of formal housing as part of, primarily, would furthermore not be equivalent to
government-led and formal private sector-led “public housing” as in other countries.
initiatives, the importance of the informal
sector for housing supply will not be left Piecemeal solutions and untapped potential
unacknowledged. Even if official figures for in linking housing and climate change
the current number of slum dwellers, for agendas
instance, may be questioned (Christ, 2016),
Existing central government urban
conservative estimates alone of 24% (UN-
development programmes currently address
Habitat, 2016) give an indication of the
environmental and socio-economic impacts of
significant proportion of housing needs which
housing and/or infrastructure only in a
are addressed informally. Given the focus of
piecemeal manner. In addition, there is
the project on formal sector stakeholders to
potential for housing sector interventions to
eventually be the users of the Decision
produce co-benefits for several missions
Support Tool, we feel this restriction of scope
under the NAPCC, whose relevance in the
is somewhat justified.
current policy ecosystem, however, appears
Above all, it was deemed paramount to strike to be uncertain. Both policy objectives offer
a manageable balance between compre- opportunities for synergy and should be
hensiveness and accessibility. pursued concurrently.

2017 opportune year to highlight sustainable

social housing for national development
frameworks.

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With the current review of the 2007 National national certification scheme with local
Urban Housing and Habitat Policy and the adaptation, large-scale training of
formulation of National Development Agenda professionals, piloting of interventions before
2017-2032 replacing the Five Year Plans, 2017 introduction into regulations, research and
offers a golden opportunity to highlight these development support, and awareness raising
synergies and integrate policy objectives from campaigns.
a number of sectors.
International examples adaptable to Indian
Fragmentation of green building certification context
market
A number of international housing projects
There is no consistency as to which green and programmes offer solutions to existing
building rating systems, i.e. GRIHA, LEED India, and emerging housing challenges in India,
or the ECBC, receive support from which such as vacancies and homelessness,
national, regional or local authority, leading to retrofitting and increase operational energy
a fragmentation of the green building use, cultural adequacy, training for builders
certification ‘market’ which could limit the and professional support for self-construction,
overall impact of initiatives. The CPWD and rural housing solutions.
Sustainability Index, its development and the
barriers to its wider uptake, may offer useful
lessons for the development of the project’s
own Sustainability Index, though it must be
acknowledged that there is a danger of the
project’s Decision Support Tool further
fragmenting the market if mentioned ‘selling
points’ do not materialise.

Policy incentives for registration rather than

certification

Currently, in most cases, registration for

certification with one of the main schemes is a
sufficient condition to qualify for government
support, as opposed to certification itself. This
may be counterproductive and lead to a large-
scale ‘green washing’ of projects.

Possibly limited impact of existing green

incentives based on regulatory benefits and
awards

Certification incentives are mainly of the

‘regulatory’ type offering marginally increased
FSIs of 1-5% for projects registered as green.
The Singapore case may point to possible
leverage points despite the differing
development context, e.g. focus on one

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10. Annex – Selected State Profiles

Rajasthan

State Profile
Urban Population 17,080,776 (24.90% of total population, census 2011)
(in lakh)
Urban AEGR (%) 2.57
Urban Decadal Growth (%) 21.40%
Population of target group (in
85% in EWS/LIG category
lakh)
Housing Shortage
11.5 lakhs
(in lakh)
Housing Shortage % 37.2 %

Institutional Social Housing Stakeholders

Urban Development Housing Department- Govt of Rajasthan, Rajasthan
Government Owned Housing Board.
Private owned
Community owned

Centrally-sponsored Housing Programmes/ Schemes/ Initiatives

Pradhan
Jawaharlal Nehru National
Mantri
Programmes Urban Renewal Mission Rajiv Awas Yojana (RAY) 2009
AwasYojana
(JNNURM) 2006
2015
Delivery
target 43,146 21,908 12,307
(no. of units)
Achievement
till date 32,660 7,264 Not applicable
(no. of units)
67 projects sanctioned under
Integrated Housing & Slum
Development Program, Affordable Housing in
Key initiatives primarily slum improvement Partnership (AHP) as part of RAY Not applicable
projects that included approved in 2013.
upgradation/ new
construction of houses and

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infrastructure facilities like

water supply and sewerage.
Lack of capacity of the ULB's Community participation for the Not applicable
construction of the houses was
Lack of political support in not up to the mark, as only
some areas those families staying in the
slums at the time of the survey
Challenges Resistance from state/ULB’s were considered and not those
to implement reforms who claimed ownership of the
hutment.
The Property Rights Bill had not
been introduced to prevent
eviction of slum dwellers.
Need to build capacity before Need for provision of legislation Not applicable
launching a programme of that would provide property
such scale rights to slum dwellers.

Special emphasis needed for Greater community participation

hand holding in states - and awareness generation
Learnings financial incentives required.
insufficient Preference for in-situ up-
gradation or in-situ
Sustained focus on reforms redevelopment versus
can be difficult - needs the relocation.
right visionaries - political
pressure on the investment

State sponsored housing programs/ schemes/ initiatives

Mukhyamantri Jan Awas Yojana 2015
Programmes
( Previously The Affordable Housing Policy – 2009)
Affordable housing for all and integrated habitat development in general
Goal
and for EWS and LIG in particular.
Delivery target
2368
(no. of units)
Achievement till
date 1654
(no. of units)
Incentives for Green building technologies and installing rain water
Key initiatives harvesting system. Use of alternate building construction materials
encouraged.

Regulatory framework:

 Model Rajasthan Bhawan Viniyam 2013 for towns having population more than 1 lakh-except

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Jaipur, Jodhpur and Bhiwandi

 Rajasthan State Industrial and Investment Corporation (RIICO) bye laws
 Jaipur Development Authority (Jaipur Region Building) Bye laws 2010
 Jodhpur Development Authority (Jodhpur Region Building) Bye Laws 2013

Rajasthan Urban Development and Housing Department- provisions under Jan Awa Yojana:
1. Residential Regulations- % of project floor area to be allocated for EWS/LIG:
For private developers: 7.5%
For ULB’s / Development Authorities: 25%
For RHB: 50%
For Industrial schemes: 5 %

2. Regular FAR: 1.33

3. Incentive for private developer on private land in partnership

If private developer constructs on private land in partnership in a scheme of 2 hectares, then
minimum 50% area will be used to construct EWS/LIG housing.
In this case land use conversion fee waiver will be given and an FAR of up to 2.25

4. Incentive for private developer on entirety of private land (flatted development, Multi-
storey format)
If private developer constructs 100% EWS/LIG housing on own land, then incentives like -
additional height, land use conversion fee waiver, or FAR of up to 2.25, will be given

Andhra Pradesh

1 State Profile
1. Urban Population
1.46 lakhs
1 (in lakh)
1.
Urban AEGR (%) 3.09
2
1.
Urban Decadal Growth (%) 11.1%
3
1. EWS
Population of target group (in lakh)
4 LIG
12.7 lakhs EWS: 7.1 lakhs (56.18% of total shortage)
1. Housing Shortage
(95% in
5 (in lakh)
EWS/LIG) LIG: 5 lakhs (39.44%of total shortage)
1.
Housing Shortage % 16.3%
6
2 Institutional Social Housing Stakeholders
1. AP State Housing Corporation Limited (APSHCL) is involved in the
implementation of housing schemes like BSUP, IHSDP, Rajiv GruhaKalpa and
Governmen INDIRAMMA (NTR Housing) for EWS.
2.1
t Owned 2. AP Housing Board (APHB) caters to the housing requirements of LIG, MIG
and HIG.
3. AP Rajiv Swagruha Corporation Limited (APRSCL) is a special purpose

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vehicle for the implementation of Rajiv Swagruha Scheme for the urban
middle class.
4. Commissioner and Director of Municipal Administration (C&DMA)
administratively controls the municipalities and municipal corporations in
the state.
5. Directorate of Country and Town Planning looks after the subject of
planning and development in urban and rural areas.
6. Mission for Elimination of Poverty in Municipal Areas (MEPMA) is
involved in the implementation of RAY in the state.

Other notable housing stakeholders include the AP Weaker Section Housing

Programs, AP Police Housing Corporation, AP Medical Health Housing
Corporation, AP Housing Federation, private developers, banks and
microfinance institutions.
Private
2.2
owned
Community
2.3
owned

3 Centrally-sponsored Housing Programmes/ Schemes/ Initiatives

Pradhan
Rajiv Awas
Jawaharlal Nehru National Urban Mantri
Yojana
Renewal Mission (JNNURM) Awas
(RAY)
Yojana
IHSDP
Programmes
Integrated
BSUP
Housing and
Basic Services to the
Slum
Urban Poor
Development
Programme
Delivery target 1,93,1
3.2 139854 39914 2,850
(no. of units) 47
3.3 Completed units 101685 25549 0 0
BSUP and IHSDP suffered from a lack of community engagement and
long-term, integrated planning vision. Valmiki Ambedkar Yojana
3.5 Challenges (VMBAY), which was subsumed under BSUP, had issues of
identification of beneficiaries and convincing people to claim their
dwelling units because of the lack of basic services.
It should be the responsibility of the State Governments to ensure a
3.6 Learnings separate provision for upkeep and maintenance of the public assets
created under the scheme.

4 State sponsored housing programs/ schemes/ initiatives

Programmes Rajeev Gruhakalpa Programme
Construction of 2 lakh housing units in 2005-2006 for the EWS and LIG
Goal
classes,
Delivery target 2,00,000
(no. of units)

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Only 332 houses were completed in 2008-09, of which only 49

Challenges dwelling units have been occupied. Poor infrastructure provision and
lack of understanding of the need of the low income residents

5 Regulatory framework:
Andhra Pradesh Tenancy Laws (Amendment) Act, 2002
To protect tenants from unjust eviction.
To regulate the fair rent payable by the tenant to the landlord.
To prescribe the minimum period for agricultural leases.
To provide for a right of first preference to tenant, in purchasing the land.

Andhra Pradesh Building Rules, 2012

Andhra Pradesh Buildings (Lease, Rent & Eviction) Control (Amendment) Act, 2005

The Andhra Pradesh Town Planning (Amendment) Act, 1996

Master Plans of Cities in Andhra Pradesh & Telangana

The Andhra Pradesh Town Planning (Amendment) Act, 1996

The Andhra Pradesh Urban Areas (Development Amendment) Act, 1986

Andhra Pradesh Slum (Identification, Redevelopment, Rehabilitation and Prevention)Act,

2010
Andhra Pradesh Urban Areas (Development) Act, 1975

Uttar Pradesh

1 State Profile
Urban Population
1.1 44,495,063
(in lakh)
1.2 Urban AEGR (%) 2.53
1.3 Urban Decadal Growth (%) 20.10

Population of target group (in EWS: 30%

1.4
lakh) LIG: 24%
Housing Shortage
1.5 30.7
(in lakh)
1.6 Housing Shortage % 41.2%

2 Institutional Social Housing Stakeholders

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Ministry of Housing & Urban Poverty Alleviation ,

2.1 Government Owned Uttar Pradesh Housing & Development Board,
Housing & Urban Planning Department

2.2 Private owned Micro Housing Finance Corporation Ltd.

2.3 Community owned

3 Centrally-sponsored Housing Programmes/ Schemes/ Initiatives

Jawaharlal Nehru
National Urban Rajiv Awas Yojana Pradhan Mantri
3.1 Programmes
Renewal Mission (RAY) Awas Yojana
(JNNURM)
Delivery target
3.2 82,327 8,409 Not Applicable
(no. of units)
Achievement till date
3.3 64,130 2,039 Not Applicable
(no. of units)
Under Urban Statistics and HR Assessment (USHA) scheme headed
by the National Building Organisation a comprehensive Slum Profile,
Household Survey & Livelihood Survey was
3.5 Challenges
supposed to be initiated, that has not been done properly. Thus the
Plan of Action (PoA) is being formulated without completing the
survey.

4 State sponsored housing programs/ schemes/ initiatives

Programmes Samajwadi Awas Yojana
4.1 Goal Samajwadi Awas Yojana is an ambitious affordable housing
scheme of UP government in which UP aimed to develop
about 3 Lakh MIG homes by 2016. As of January 2017, only
allotment of plots had begun, however.
4.2 Challenges --

5 Regulatory framework:
The affordable housing policy allows maximum 2.5 FAR and a density of 450 housing units
per hectare.
Rebates are to be given to developers on external development fee and land conversion
charges while converting agricultural land into residential land for EWS/LIG housing.
In projects above 1 hectare, a builder has to pay land conversion charges on only 45% of the
total land on which he would develop dwellings. The remaining 30% land will be allocated for
building parks, green spaces, roads and other infrastructures while 25% will belong to the
respective authority.

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Municipal Development Authorities formulate the building bye-laws.

6 Incentives for green certification

If any, they include:
a) conditions for incentives: Has to be approved by GRIHA.
b) extent of incentives: The state government will allow 5% extra FSI for green developments
exceeding 5,000 m².

Karnataka

1 State Profile’s

Urban Population
1.1 23.6 lakhs
(in lakh)
2.72
1.2 Urban AEGR (%)
Urban Decadal
1.3 15.67%
Growth (%)
Population of EWS: 217.8 lakh
1.4 target group (in
lakh) LIG: 28.9 lakh
Housing Shortage
1.5 3.63 lakhs
(in lakh)
1.6 Housing Shortage % 19.2%

2 Institutional Social Housing Stakeholders

Karnataka Housing Board (KHB)
Rajiv Gandhi Rural Housing Corporation (RGRHC)
Bangalore Development Authority (BDA)
Karnataka Slum Clearance Board (KSCB)
Government Bangalore Metropolitan Regional Development Authority (BMRDA)
2.1
Owned Karnataka Rajya Nirmana Kendra (KRNK)
Karnataka Urban Infrastructure Development & Finance Corporation
(KUIDC)
Urban Local Bodies
Departmental Agencies and Government Departments.
Private
2.2
owned
Community
2.3
owned
3 Centrally-sponsored Housing Programmes/ Schemes/ Initiatives
Jawaharlal Nehru National Urban
Pradhan
Renewal Mission (JNNURM)
Rajiv Awas Yojana Mantri
Programmes BSUP IHSDP
(RAY) Awas
Basic Services to Integrated
Yojana
the Urban Poor Housing and Slum

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Development
Programme
Delivery target
3.1 28288 17237 2272 16522
(no. of units)
Completed Not
3.2 20704 14647 78%
units applicable
 Delay in selection of beneficiaries, wrong identification of
beneficiaries
 In case of distribution of sites to site less families, due to drastic
3.4 Challenges
increase in the land cost and non-availability of Government lands in
both rural and urban areas the Government could not able do much
in this scheme as compared to the total demand.
4 State sponsored housing programs/ schemes/ initiatives
Delivery Achievemen
Programmes
target t till date Key initiatives
(no. of (no. of
units) units)
Vajapayee 300,000 165,614 This scheme will provide houses to
Housing Scheme urban units houseless persons whose annual income
is less than 11800/- in the below
(Ashraya-Urban) mentioned ratio.
4.1 SC : 30%
ST: 3%
BCM: 15%
Minorities : 4%
Others: 48%
Special Housing 10,000 1000 Houses are reserved for persons with
Scheme disabilities, leprosy cured persons, HIV-
affected families, devadasis, nomadic
tribes, safai karmacharies, people
4.2 affected by communal riots, exploits,
free bonded labourers, widows,
houseless orphans, transgenders, and
others.

5 Regulatory Framework
Karnataka Housing Board Regulations, 1983

Karnataka Housing Board Act, 1962

Uttarakhand

1 State Profile
Urban Population
1.1 (in lakh) 30.91

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1.2 Decennial AEGR (%) 3.5%

Urban Decadal
1.3 growth 41.9%
Population of target
1.4 group (in lakh) 36.5% Below Poverty Line (Urban)
Housing Shortage
1.5 (in lakh) 1.6
1.6 Housing Shortage % 27.1%

2 Institutional Social Housing Stakeholders

Uttarakhand Housing and Urban Development Authority, Mussoorie
2.1 Government Owned Dehradun Development Authority
2.2 Privately owned -
2.3 Community owned -

3 Centrally-sponsored Housing Programmes/ Schemes/ Initiatives

Jawaharlal Nehru
National Urban
Renewal Mission Rajiv Awas Yojana Pradhan Mantri
Programmes (JNNURM) (RAY) Awas Yojana
3.1 Target 491 302 -
Delivery target
3.2 (no. of units) 3915 3130 2757
Achievement till date
3.3 (no. of units) 2143 346 -

Stability of soil: Due to hilly terrain there is a problem of soil stability

Challenges to hold the foundation of the structure. As Uttarakhand is an
earthquake prone area, solid structures and innovative technologies
3.4 are required.

4 State sponsored housing programs/ schemes/ initiatives

No data on state sponsored housing programmes could be obtained

5 Regulatory Framework

Uttarakhand Building Bye-laws and Regulations (Amendment, 2016)

Town & Country Planning Department

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Sustainable Social Housing in India
MaS-SHIP
Mainstreaming Sustainable Social Housing in India Project

ISBN: 978-0-9929299-8-5