STANDARD FRAMEWORK FOR SMART CITIES Work Plan Development and Fine Tuning 29 November 2014

Summary of Work Plan

MoUDs Concept Note for 100 Smart Cities in India Quality of Life Physical Infrastructure Power Water Supply Solid Waste Management, Sewage Multimodal Transport, Connectivity Cyber Connection, Disaster, Housing Social Infrastructure Education healthcare Entertainment (Parks & Green, Music, Culture & Heritage, Sports, Tourism) Inclusive Planning (SC/ST Backward incentives), Building Homes Institutional Infrastructure Speedy Service Delivery Enforcement, Environment Sustainability Security, Transparency & Accountability, Skill Development Taxation, Institutional Finance/Banking, Peoples Participation in Decision Making ICT Based Service Delivery, Citizen Advisory Committee Economic Infrastructure GDP Contribution Job Creation Livelihood Activities Market Growth

Guidelines for selection of 100 Smart Cities 100 cities would be selected according to the following criteria: One satellite city of each of the cities with a population of 4 million people or more (9 cities) Most of the cities in the population range of 1 4 million people(about 35 out of 44 cities) All State/UT Capitals, even if they have a population of less than one million (17 cities) Cities of tourist, religious and economic importance not included in above (10 cities) Cities in the 0.2 to 1.0 million population range ( 25 cities) Source: http://indiansmartcities.in/downloads/CONCEPT%20NOTE-13-10-2014_mkgnew.pdfhttp://indiansmartcities.in/downloads/CONCEPT%20NOTE-13-10-2014_mkgnew.pdf

Guide Lines for Selection of 100 Smart Cities Have an existing master plan or one that is likely to be approved shortly and have such a validity of at least 10 years Have digitized spatial and GIS maps Issue all clearances for projects in a collegiate manner using online processes and in a time bound manner Electronic/Online seeking and delivery of all Public Services Transparent and time-bound procedure of granting free right of way for laying optic fibre networks, water supply lines, sewerage systems, draining systems and other utilities (Not more than 7 working days) Create an IT-based platform for effective communication with the citizens and keep them abreast of various activities and plans of the city Adopt tariff structures that are affordable for the poor and yet enough to recover cost including Capital Expenditure. In doing so the State/Cities could use their own resources to bridge the gap between the revenue and expenses Create Open Data Platforms that are regularly updated Make all information and decisions taken available in the public domain Setup a regulatory body for all utility services such as water supply etc. so that a level playing field is made available to the private sector and tariffs are set in a manner that balances financial sustainability with quality All project first will be offered to Private Sector (PPP etc) for implementation and O&M

Standard Framework for Infrastructure Domains of A Smart City Several agencies are engaged in developing readiness guides, certification standards etc for Smart Cities. Prominent efforts are: Smart Cities Councils Smart Cities Readiness Guide released in Nov 2013 and updated in August 2014 ISO 37120 Standards (still in draft form) Salient features of these documents are briefed in the following slides

SCCs Smart Cities Readiness Guide 2013 & 2014 Smart City Responsibilities 1.Built Environment 2.Energy 3.Telecom 4.Transportation 5.Health and Human Service 6.Water & Waste Water 7.Public Safety 8.Payments Smart City Enablers 1.Instrumentation and Control 2.Connectivity 3.Interoperability 4.Security and Privacy 5.Data Management 6.Computing Resources 7.Analytics

Source: Smart Cities Readiness Guide Version 1.5, 2014 by Smart Cities Council

ISO 37120 Standards 1. Economy10. Safety 2. Education11. Shelter 3. Energy12. Solid Waste 4. Environment13. Telecommunication and Innovation 5. Finance14. Transportation 6. Fire and Emergency Response15. Urban Planning 7. Governance16. Wastewater 8. Health17. Water and sanitation 9. Recreation The salient features under the draft ISO-37120 are summarized

Standard Framework for Infrastructure for Indian Smart Cities Indian cities do not have reliable physical infrastructure hence primary focus is to be in building reliable infrastructure with high level of automation and ICT Ministry of Urban Development (MoUD) has prepared a Concept Note that describes Physical Infrastructure, Social Infrastructure. Institutional Infrastructure and Economic Infrastructure as 4 Pillars of a Smart City In a Workshop on 01 November 2014 at Delhi, the above 4 Pillars have been analyzed by ISGF and the domains where ISGF can prepare the detailed framework (Smart Cities Maturity Model) are explained in the following slides Lead responsibilities amongst ISGF Members (and few select organizations invited) and timelines also indicated Aim is to submit the Draft Framework to MoUD by 20 December 2014

Smart Cities Framework India Specific Themes and Domains (1/6) BROAD THEMES DOMAINS Sub-DomainsISGF Technical Committee Members PHYSICAL INFRASTRUCTURE ENERGY (Lead: Pradeep/IIT-H) Electricity Renewable Energy Gas Other Fuels (cooking, heating, manufacturing) Energy Efficiency IITH, IITM, IITK, Phoenix IT, Bosch, Bentley, SAP, Schneider, Microsoft WATER (Lead: Bentley) Potable Water Non-Potable Water Industrial Water Agricultural Water Bentley, Schneider, IITM (Wipro and Forbes Marshall to be invited) WASTE (Lead: IIT-M) Solid Waste - recyclable & non recyclable E-waste, medical waste Sewage Black water & Grey water Industrial Waste Water Rain Water/ Storm Water Drainage IITM, Bentley, Schneider, TRANSPORTATION (Lead: Vijayendran/Bosch) Surface Water Under Ground Air BOSCH, Schneider, IITM, SAP, Bentley

BROAD THEMES DOMAINS Sub-DomainsISGF Technical Committee Members PHYSICAL INFRASTRUCTURE BUILDINGS & MARKETS (Lead: Schneider) Buildings: Residential, Commercial, Industrial, Shopping Malls, Market Places (Mandis) Exhibition and Convention Centers Religious Centers e-Commerce Infra EV charging stations Schneider, Narnix, IITM, Bentley COMMUNICATION (Lead: Hem- ISGF) Voice Data Video Post & Courier Narnix, IITK, DoT, TCOE, Smart Cities Framework India Specific Themes and Domains (2/6)

BROAD THEMES DOMAINS Sub-DomainsBrief Description INSTITUTIONAL INFRASTRUCTURE GOVERNANCE TRANSARANCY & ACCOUNTABILITY E-Governance Service Delivery SECURITY (Lead: Microsoft) Physical Security Cyber Security Policing Surveillance Microsoft, SAP, Schneider, Narnix, Bosch EMERGENCY SERVICES Fire Ambulance Disaster Management ENFORCEMENT PLANNING (Lead: Amritha, ISGF) GIS Modelling Tools Data Collection and Analytics Bentley, SAP, Bosch ENVIRONMENT (should it be part of Physical Infrastructure ??) Environmental Sustainability Smart Cities Framework India Specific Themes and Domains (3/6)

BROAD THEMES DOMAINS Sub-DomainsBrief Description SOCIAL INFRASTRUCTURE EDUCATION Primary Education Higher Education UGs/PGs/PHDs Research Institution E-learning Vocational Training Centers HEALTH Primary Healthcare Centers Super Specialty hospitals Mobile Health care services Emergency Health care services Preventive Vaccination Child Mortality rate E-Healthcare RELIGIOUS & CULTURE Theater and Auditoriums Places of Worship Smart Cities Framework India Specific Themes and Domains (4/6)

Smart Cities Framework India Specific Themes and Domains (5/6) BROAD THEMES DOMAINS Sub-DomainsBrief Description SOCIAL INFRASTRUCTURE SPORTS RECREATION & ENTERTAINMENT Playgrounds/Gardens, Sports Clubs Training Centers INNOVATION (WHERE SHOULD IT GO?) Culture inspiring Innovation Development of Clusters PEOPLES PARTICIPATION IN DECISION MAKING RWAs Complaint/Suggestion Review Feedback Collection CITIZEN ADVISORY COMMITTEES Women/Children Welfare Bodies

BROAD THEMES DOMAINS Sub-DomainsBrief Description ECONOMIC INFRASTRUCTURE ECONOMY GDP Job Creation Incubation Centers Government Institutions Livelihood Activities Market Growth Skill Development FINANCE Banks & ATMs Taxation Micro Finance FDI & FII Investment Smart Cities Framework India Specific Themes and Domains (6/6)

Smart Cities Framework: Interdependency Matrix and Role of Technology Enablers Interdependency of each of domains and sub-domains mentioned in previous slides on each others Technology enablers can be leveraged to achieve the desired functions in the interdependency matrix

Smart Cities Framework: Smart City Maturity Model The levels of maturity of a city in each of the above city functions/responsibilities will be defined in clearly measurable characteristics This approach would help in cost-benefit analysis for smart cities projects in various domains Please go through the excel sheet

Model Concession Agreement (Draft) Concession gives a private operator responsibility not only for operation and maintenance of the assets but also for financing and managing all required investment. Concession agreements under various Indian statutes use the following principles: It is an agreement between a non-government entity and a government authority or government agency It relates to an infrastructure project It regulates private participation in relation to the infrastructure project Criteria for selection of the concessionaire are as follows: Concession period: Tariff is specified prior to bid for concession period Tariff for pre-determined operating period: Period is specified prior to bid for tariff Viability Gap Funding: Concession period and tariff are specified prior to bid for viability gap funding Methods to grant concession: Direct negotiation between state agency and the proposed concessionaire Competitive bidding process Swiss challenge process

Structure Model of Model Concession Agreement (Draft) PRELIMINARY DETAILS 1. Definitions And Interpretation 2. Scope Of Project GRANT OF CONCESSION 1. Grant Of Concession 2. Conditions Precedent 3. Performance Security 4. Fees and Concession Fees OBLIGATIONS AND UNDERTAKINGS 1. Obligations Of The Concessionaire 2. Obligations Of The Concessioning Authority 3. Representations And Warranties 4. Disclaimer PROJECT DEVELOPMENT AND OPERATIONS 1. Performance Security 2. Access to Service Area 3. Construction of the Project Facilities 4. Monitoring And Supervision Of Construction 5. Completion Certificate 6. Change Of Scope 7. Operation And Maintenance 8. Safety Requirements 9. Monitoring And Supervision During Operations 10. Independent Consultant/ Engineer FINANCING ARRANGEMENTS 1. Financial Close 2. Grants 3. Revenue Shortfall Loan 4.Escrow Account 5. State Support Agreement 6. Insurance 7. Accounts And Audit FORCE MAJEURE 1. Force Majeure SUSPENSION AND TERMINATION 1. Material Breach And Suspension 2. Compensation For Breach Of Agreement 3. Termination 4. Divestment Of Rights And Interests MISCELLANEOUS 1. Defects Liability 2. Assignments And Charges 3. Change In Law 4. Liability And Indemnity 5. Rights And Title Over The Site 6. Dispute Resolution/Disclosure 7. Redressal Of Public Grievances 8. Advertising On The Site 9. Governing Law And Jurisdiction 10. Miscellaneous

Concession Agreement Performance Parameters ParameterPowerDrinking WaterSewerageUrban Mobility Concessionaire Distribution Utility, Project Developer Urban Water Supply Company/ Infra Construction Agency Infra Construction Agency/ O&M Contractor/ Water Management Companies Private Carriage, Integrated Public Transit System SLA (draft) 24 x 7 reliable supply of electricity 24 x 7 supply of water 100% household with direct water supply connection 100% households should be connected to the waste water network 100% efficiency in the collection and treatment of waste water Maximum travel time of 30 minutes in small medium size cities and 45 minutes in metropolitan areas Methodology for selection Direct Negotiation Competitive Bidding Competitive Bidding Possible PPP Structures BOOT BOT O&M

Backup of ISO 37120 Smart Cities Standards Slides

ISO 37120: Smart Cities Standards (1/6) Sr. NoMain ThemesSub-Themes 1. Economy 1.Citys unemployment rate (C) 2.Assessed values of commercial and industrial properties as a % of total assessed value of all properties (C) 3.% city population living in poverty (C) 4.% of persons in full-time employment (S) 5.Youth unemployment rate (S) 6.Number of businesses per 1000000 population (S) 7.Number of patents per 1000000 population per year (S) 2.Education 1.% of female school-aged population enrolled in schools (C) 2.% of students completing primary education: survival rate (C) 3.% of students completing secondary education: survival rate (C) 4.Primary education students/teacher ratio (C) 5.% of male school-aged population enrolled in schools (S) 6.% of school-aged population enrolled in schools (S) 7.Number of higher education degrees per 100000 population (S) 3.Energy 1.Total residential electricity use per capita (C) 2.% of total energy derived from the renewable sources as a share of citys total energy consumption (C) 3.% of city population with authorized by electrical services(C) 4.Energy consumption of public buildings per year (kWh/m^2) 5.Total electricity use per capita(kWh/year) (S) 6. Average no. of electrical interruptions per consumer per year (S) 7. Average length of electrical interruptions (S) C CORE INDICATOR ; S SUPPORTING INDICATOR

ISO 37120: Smart Cities Standards (2/6) Sr. NoMain ThemesSub-Themes 4.Environment 1.Fine particular matter (PM2.5) concentration (C) 2.Particular matter (PM10) concentration (C) 3.Greenhouse gas emission measured in tones per capita (C) 4.NO2 (Nitrogen Dioxide) concentration (S) 5.SO2 (Sulfur Dioxide) concentration (S) 6.O3 (Ozone) Concentration (S) 7.Noise pollution (S) 8.% change in number of native species (S) 5. Finance 1.Debt service ratio (debt service expenditure as a % of municipalitys own service revenue) (C) 2.Capital spending as a % of total expenditure (S) 3.Own-source revenue as a % total expenditure (S) 4.Tax collected as percentage of tax billed (S) 6.Fire and emergency response 1.Number of firefighters per 100 000 population (C) 2.Number of fire related deaths per 100000 population (C) 3.Number of natural disaster related deaths per 100 000 population (C) 4.Number of volunteer and part-time firefighters per 100 000 population (S) 5.Response time for emergency response services from initial call (S) 6.Response time for fire department from initial call (S) C CORE INDICATOR ; S SUPPORTING INDICATOR

ISO 37120: Smart Cities Standards (3/6) Sr. NoMain ThemesSub-Themes 7. Governance 1.Voter participation in last municipal election (as a percentage of eligible voters) (C) 2.Women as a percentage of total elected to city-level office (C) 3.Percentage of women employed in the city government workforce (S) 4.Number of convictions for corruption and or bribery by city officials per 100000 population (S) 5.Citizens representation: number of local officials elected to office per 100000 population (S) 6.Number of registered voters as a percentage of the voting age population (S) 8.Health1.Average life expectancy (C) 2.Number of in-patient hospital beds per 100 000 population (C) 3.Number of physicians per 100 000 population (C) 4.Under age five mortality per 1 000 live Births (C) 5.Number of nursing and midwifery personnel per 100 000 population (S) 6.Number of mental health practitioners per 100 000 population (S) 7.Suicide rate per 100 000 population (S) 9.Recreation1.Square metres of public indoor recreation space per capita (S) 2.Square metres of public outdoor recreation space per capita (S) 10.Safety1.Number of police officers per 100 000 population (C) 2.Number of homicides per 100 000 Population (C) 3.Crimes against property per 100 000 (S) 4.Response time for police department from initial call (S) 5.Violent crime rate per 100 000 population (S) C CORE INDICATOR ; S SUPPORTING INDICATOR

ISO 37120: Smart Cities Standards (4/6) Sr.NoMain ThemesSub-Themes 11.ShelterPercentage of city population living in slums (C) Number of homeless per 100 000 population (S) Percentage of households that exist without registered legal titles (S) 12.Solid wastePercentage of city population with regular solid waste collection (residential) (C) Total collected municipal solid waste per capita (C) Percentage of the citys solid waste that is recycled (C) Percentage of the citys solid waste that is disposed of in a sanitary landfill (S) Percentage of the citys solid waste that is disposed of in an incinerator (S) Percentage of the citys solid waste that is burned openly (S) Percentage of the citys solid waste that is disposed of in an open dump (S) Percentage of the citys solid waste that is disposed of by other means (S) Hazardous waste generation per capita (S) Percentage of citys hazardous waste that is recycled (S) 13.Telecommunication and innovation Number of internet connections per 100 000 population (C) Number of cell phone connections per 100 000 population (C) Number of landline phone connections per 100 000 population (S) C CORE INDICATOR ; S SUPPORTING INDICATOR

ISO 37120: Smart Cities Standards (5/6) Sr. NoMain ThemesSub-Themes 14.TransportationKilometres of high capacity public transport system per 100 000 population (C) Kilometres of light passenger public transport system per 100 000 population (C) Annual number of public transport trips per capita (C) Number of personal automobiles per Capita (C) Percentage of commuters using a travel mode other than a personal vehicle (S) Number of two-wheel motorized vehicles per capita (S) Kilometres of bicycle paths and lanes per 100 000 population (S) Transportation fatalities per 100 000 population (S) Commercial air connectivity (number of non-stop commercial air destinations) (S) 15.Urban planningGreen area (hectares) per 100 000 population (C) Annual number of trees planted per 100 000 population (S) Areal size of informal settlements as a per cent of city area (S) Jobs/housing ratio (S) C CORE INDICATOR ; S SUPPORTING INDICATOR

Sr. NoMain ThemesSub-Themes 16.WastewaterPercentage of city population served by wastewater collection (C) Percentage of the citys wastewater that has received no treatment (C) Percentage of the citys wastewater receiving primary treatment (C) Percentage of the citys wastewater receiving secondary treatment (C) Percentage of the citys wastewater receiving tertiary treatment (C) 17.Water and sanitation Percentage of city population with potable water supply service (C) Percentage of city population with sustainable access to an improved water source (C) Percentage of population with access to improved sanitation (C) Total domestic water consumption per capita (litres/day) (C) Total water consumption per capita (litres/day) (S) Average annual hours of water service interruption per household (S) Percentage of water loss (unaccounted for water) (S) ISO 37120: Smart Cities Standards (6/6) C CORE INDICATOR ; S SUPPORTING INDICATOR

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STANDARD FRAMEWORK FOR SMART CITIES Work Plan Development and Fine Tuning 29 November 2014