CHAPTER -I

Introduction
The definition of a slum varies from one form to another depending on the background or
country from which an individual comes from. Someone from a rich country may define
slums as old run down buildings, whereas someone from a poor country will define slums as
un-serviced haphazard constructions . The universal definition of a slum as found in the
dictionary is said to be a heavily populated urban area characterized by substandard housing
and filth . Slums are seen as a purely physical phenomenon. Slums are populated by two
groups of people, the poor and the strangers . Since in slums there is a lack of cleanliness,
serious diseases can spread easily and quickly. Slum inhabitants go through many problems, a
few being they lack of public transit, constant migration, lack of water, no sewage or solid
waste facilities, pollution, and shelter shortages . They also face poor ventilation, due to a lack
of windows and electricity. They also tend to establish homes on unused land that is usually
privately owned or government owned land. Therefore a concise definition for a slum would
be a crowded urban area, marked by poverty, where living conditions are very bad and in
poor condition .
Defining and measuring slums
The problem with measuring slums start with the lack of an agreed definition. As a result ,
enumeration of slums has not yet been incorporated within mainstream monitoring
instruments, such as natural population censuses, demographic and health surveys, and global
surveys. Some surveys provide proxies or related variables ‘such as proportion of
unauthorized housing’ pr ‘proportion of squatters’ . Participatory poverty assessments in least
developed countries (LDCs) generally provide only qualitative information on urban poverty.
The generic definition suggest that a slum is :
…..a contiguous settlement where the inhabitants are characterized as having inadequate
housing and basic seervices. A slum is often not recognized by the public authorities as an
integral or equal part of the city.
Other similar definitions are provided in many policy documents; for example the cities
alliance action plan describes slum as follows:
1
Slums are neglected part of cities where housing and living conditions are appalingly
poor.Slums range from high density, squalid central city tenements to spontaneous squatter
settlements without legal recognition of rights, sprawling at the edge of cities. Slums have
various names, favelas, kampungs. Bidonvilles, tugorios yet share the same miserable
conditions.
These general definition met the common perception of what a slum is ; yet, as it stands ,
they are not associated with operational definitions that would enable one to ascertain whether
or not a particular area is a slum.
In practice what has happened when it has been necessary to operationalize the concept is that
areas have been designated specifically as slums, usually by planners making impromptu
surveys or following popular usage. This was the case during the Housing Reform in U.K.
and subsequently in many other countries.More recently, definitions developed in 1993 in
India use housing conditions and availability of facilities as the main basis for defining areas
as slums- areas with dense, poorly built or mostly temporary housing, with inadequate
sanitary and water facilities.
Clearly, it would be better for a number of purposes to have a more universal and objective
definition- particularly when global measurement and MDG targets are involved. Yet, the
most important indicators associated with UN-Habitat work- slums, insecure tenure, and
poverty- are terms that do not have clear or universally agreed definitions.
Efforts to propose a more ‘quantitative’ definition of slums have been only recently started,
not only because of divergent opinions as to what constitutes the key determinants of slums,
but because of several features of the concept:
(i) Slums are too complex to define according to one single parameter.
(ii) Slums are a relative concept and what is considered as a slum in one city will be
regarded as adequate in another city- even in the same country.
(iii) Local variations in slums are too wide to define to define a iuniversally applicable
criteria.
(iv) Slums change too fast to render any criterion valid for a reasonable long duration of
time.

2
 (v) The spatial natire of slums means that the size of particular slum areas is vulnerable to
changes in jurisdiction or spatial aggregation.
What is agreed is that slums like poverty, and secure tenure are multi dimensional in nature.
Some of the characteristics of slum such as access to physical services or density, can bne
clearly defined, and others, such as social capital, cannot. Even with well defined indicators,
measurement can be very problematic, and acceptable benchmarks are not easy to establish.

3
Characteristics of Slums
A review of the definitions used by national and local governments, statistical offices,
institutions involved in issues and public perceptions reveals the following attributes of slums.
Lack of Basic Services
Lack of Basic Services is one of the most frequently mentioned characteristics of slum
definitions worldwide. Lack of access to sanitation facilities and safe water resources is the
most important feature, sometimes supplemented by absence of waste collection systems,
electricity supply, surfaced roads and foothpaths, street lighting and rainwater drainage.
Substandard housing or illegal and inadequate building structures
Many cities have bulding standards that set minimum requirements for residential buildings.
Slum areas are associated with a high number of substandard housing structures, often built
with non permanent materials unsuitable for housing given local conditions of climate and
location. Factors contributing to a structure being considered substandard are, for example,
earthen floors, mud-and-wattle walls or straw roofs. Various space and dwelling placement
bylaws may also be extensively violated.
Overcrowding and high density
Overcrowding is associated with low space per person, high occupancy rates, cohabitation by
different families and a high number of single-room units. Many slum dwelling unita are
overcrowded, with five or more persons sharing a one room unit used for cooking, sleeping
and living.
Unhealthy living conditions and hazardous locations
Unhealthy living conditions are the result of lack of basic services, with visible, open sewers,
lack of pathways, uncontrolled dumping of waste, polluted environments etc. Houses may be
build on hazardous locations or land unsuitable for settlement, such as floodplains, proximity
to industrial plants with toxic emissions or waste disposal sites, and on areas subject to
landslip. The layout of the settlement may be hazardous because of a lack of access ways and
high density of dilapidated structures.

4
Insecure tenure; irregular or informal settlements
A number of definition consider lack of security of tenure as a central characteristics of slums,
and regard lack of any formal document entitling the occupant to occupy the land or prima
facie evidence of illegality and slum occupation. Informal or unplanned settlements are often
regarded as synonyms with slums. Many definitions emphasize informality of occupation and
non-compliance of settlements with land use plans. The main factors contributing to non-
compliance are settlements built on land reserved for non-residential purposes, or which are
invasions of non-urban land.
Poverty and social exclusion
Income or capability poverty is considered, with some exceptions, as a central characteristic
of slum areas. It is not seem as inherent characteristic of slums, but as a cause land, to a large
extant, consequence of slum conditions. Slum conditions are physical and statutory
manifestations that create barriers to human and social development. Furthermore, slums are
areas of social exclusion that are often perceived to have high levels of crime and other
measures of social dislocation.In some definitions, such areas are associated with certain
vulnerable groups of population, such as immigrants, internally displaced persons or ethnic
minorities.
Minimum settlement size
Many slum definitions also require some minimum settlement size for an area to be
considered as slum, so that slum constitutes a distinct precinct and is not a single dwelling.
Examples are the municipal slum definition of Kolkata that requires a minimum of 700 square
meters to be occupied by huts, or the Indian census definition, which requires atleast 300
people or 60 households living in a settlement cluster.
The experience of ‘ living in a slum’, according to slum dwellers consist of a combination of
these multiple dimensions, not only one. Many slum areas show only few of these negative
attributes, while the worst may have them all. The ‘worst type of slum household’ is prone to
all of the above disadvantages, which, to an extant, also constitute some of the main obstacles
that have to be overcome in realizing the right to adequate housing; one that has no services,
has poor-quality housing on fragile land, does not have secure tenure and where the occupants

5
are poor, marginalized and belong to a vulnerable group. Less badly affected households may
carry one or more of these burdens.

6
 CHAPTER –II

SLUM DYNAMICS : CONDITIONS AND CHALLENGES

Situation Understanding
The concept of Slum Dynamics was developed based on the understanding of the lives of the
slum residents. The existing situation with regards to land tenure in the slums, occupation and
income of the slum residents, education, health, women and girls, children and adult males
was understood to develop this concept.
Land Status
The slum dwellers live in a constant fear of being evicted. In most cases
they have paid a middlemen for the land, which does not have legal title.
The city does not provide affordable housing with legal land title. The slum
dwellers cannot leverage any credit by using the house or land as
acceptable collateral. They cannot pay taxes even if they want to because
taxation gives them legal status. In short, lack of legal land tenure convert
the slum dwellers into secondary citizens of the city.
Basic Services
Slums do not have basic services. The ambiguity of land title and legal
status prevents provision of formal infrastructure. As a result, political
patronage becomes an alternative for planned development. Even when
they want to pay for these services, they are unable to get water, drainage
or sanitation. They have to make do with public toilets and water supply
with all associated problems. Even when they keep their houses clean,
they do not have option for solid waste removal from the slum settlement.
Occupation
Majority of the slum residents are first generation migrants from the rural
areas. They possess skills that do not have any significant market in the
cities. They have to learn new skills, which require long-term investment of
time and resources, which they do not have. Their only option remains is
7
getting engaged in occupations that are unskilled and menial, and where
the incomes are low. These are also casual jobs. Irregularity of
employment and no address of employment disqualify most of them from
accessing credit for small businesses. Even, the land title for the house not
being there, they are unable to offer collateral for any credit. Unscrupulous
companies too take advantage of the ignorance of slum residents and
cheat them. The banking in the formal sector does not welcome
disbursement of small loan amounts to the slum residents as that is quite
expensive for these organisations. Hence, the slum residents are forced to
borrow from usurious moneylenders.
Education
Majority of children in slums are first generation students, whose parents
may be illiterate. They do not get the parental support or guidance
required for coping with formal education. They lack learning materials.
Moreover, children from slums are not “properly” clothed. Shortage of
water prevents cleanliness. These factors, when compared to those of
other children attending school, leads to a condescending attitude from
teachers who label them as underachievers. Children from slums are
looked down upon. These reasons lead to a high failure and dropout rate.
For girls, formal schooling is more difficult because traditional attitudes do
not favour long-term education.
Even those few who manage to secure a college degree are disillusioned
when they fail to get employment. They then have to learn a new earning
skill. This leads to a belief that 12 or 15 years of formal education are a
waste of resources.
Lack of formal education closes opportunities for technical education,
making learning of formal earning skills difficult. Consequently, a majority
is forced to join the informal sector doing menial work.
Health

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Health is a major economic issue for slum residents. The unhealthy
physical environment leads to sickness, which leads to costs for continuing
medical treatment, which leads to reduction of workdays and economic
loss. Economic loss leads to inability to invest in clean environment. The
vicious cycle continues.
Treatment at government hospitals is apparently cheaper, but is
inconvenient to the slum residents because of time lost in waiting for the
treatment and often, indifferent attitude of the medical staff. Instead, they
prefer more expensive private treatment.
Low education and ignorance leads to continuation of wrong beliefs and
unscientific attitude towards health. The outcome is incomplete
immunisation, insufficient gynaecological check up during pregnancy,
unsafe deliveries at home and improper post-natal care of mothers and
children especially in terms of diet and immunisation. Incomplete
tuberculosis (TB) and malaria treatment leads to recurrences and relapses.
The need for fast cures helps propagate the myth that expensive
treatment is good treatment
Women and Girls
Women and girls in slums have a poor quality of life. The lack of basic
services affects them the most. They have to spend considerable time
collecting potable water and getting rid of wastewater. Having to defecate
in open spaces is a health and social hazard. Looking after children who
are frequently sick, husbands who do not earn adequately and can be
drunk and trying to ensure that the family gets a meal every day. Women
are most disadvantaged in slums.
Girls have to look after younger siblings when both parents go to work.
Combined with a traditional bias against educating girls they are often not
sent to school or drop out at an early stage. Girls do not have the
exposure to everyday city life situations, which men, women and young
men have. As a result they are often anxiety prone and stressed.
9
Children
The unhealthy and polluted environment, lack of immunisation,
malnutrition and absence of educational exposure affects children in
slums. Sadly, their physical, emotional and intellectual growth is stunted
from a very early age.
Men and Youth
Men in slums have inadequate earning skills leading to low incomes and
an inability to provide adequate resources for household expenses. This
leads to frustration, which is often expressed through escapism in
addiction of various types. The need to provide an adequate quality of life
combined with a lack of formal earning skills forces the option of extra
legal activities.
The youth are frustrated, as they do not have the opportunities that their better-off
peers have. This results in a cynical and diffident attitude, which becomes a handicap during
adulthood

Brief of Problem

It is imperative to keep in mind that the right to shelter has been recognized world over. As
such, in any urban development policy, the needs of those living in slums and slummish-type
settlements have to get priority. Proper rehabilitation is vital when relocation is planned. City
development has to be integrated with social and economic development, not just for the rich
but for the poor too. This should not be forgotten by the urban planners, whether in India or
elsewhere.
The main problem arise after regulatory framework is of finance and implementation
mechanism of the decisioins by various bodies. The poverty also needs to be addressed as it is
a result of unemployment leading to social offenses and crimes. A holistic solution is desired
to vanish poverty and slums as both of these are directly linked with economic growth of the
nation.

10
 CHAPTER – III

METHODOLOGY

Vanishing Poverty and Slums in India

Western media headlines as usual are as follows – twenty five percent of Indians live on less
than a dollar a day and seventy percent live on less than two dollars a day. The forgoing was
the headline of May 9, 2005 in a major international newspaper. Others headlines are not any
less mischievous. These are all meaningless analysis. It does not reflect that same amount of
money has differing values in different places. A more acceptable and bit accurate description
of incomes in countries is Purchase Power Parity (PPP), which is, pricing identical products
and services as needed by the local population in different countries, thus establishing a new

11
and a more equitable exchange rate. The foregoing is applicable mostly to tradable goods. The
PPP will put India’s GDP at $3.7 Trillion. This will raise daily monies of twenty five percent
of Indians at the lowest rung of the society to seven dollars. The latter is still low but is much
higher than the Western media would like to project. The forgoing is not the point; the point is
that poverty is a major shame in India’s otherwise decent, scientifically advanced, peace
loving and at times turbulent image. Poverty creates slums and slums breed hopelessness and
crime. Hence it needs to be tackled as an integral part of economic development.

The key question that arises - Is the current hype in economical development in India alter
landscape for the very poor?

The answer is that, not much will change in next 20 to 25 years. The real impact will be felt
later than twenty-five years. That is when 8% growth trajectory will take the PPP daily
income of the very poor in India from seven dollars to forty dollars. By then, a $20 Trillion
GDP economy (PPP basis) and $600 billion in exports (year 2001 basis) will add one hundred
and fifty million jobs, of which forty to fifty million will go to the very poor segment of the
society. This general prosperity will not only put food on the table but will add to better
living, better housings etc. In the intervening period of 25 years, rising income levels will
definitely add to the exodus from the slums to planned living areas. The forgoing also requires
massive governmental effort to house people properly.

Let us examine this issue of poverty and slums in Indian cities and its relationship to the
betterment of economic conditions of the masses, a bit further?

What Causes Slums in the Cities in the First Place?

It is vicious cycle of population growth, opportunities in the cities (leading to migration to the
cities), poverty with low incomes, tendency to be closer to work hence occupying any land in
the vicinity etc. The key reason out of all is the slow economic progress. After independence
in 1947, commercial and industrial activity needed cheap labor in the cities. Plentiful was
available in the rural area. They were encouraged to come to cities and work. People, who
migrated to the cities and found work, brought their cousins and rest of the families to the
cities. Unable to find housing and afford it, they decided to build their shelter closer to work.
12
First, one shelter was built, then two and then two thousand and then ten thousand and on and
on. Conniving governments provided electricity and drinking water. Politicians looked at the
slums as vote bank. They organized these unauthorized dwellers into a political force; hence
slums took a bit of a permanent shape. More slums developed as more population moved to
the cities. By mid sixties Mumbai, Kolkata, Delhi, Chennai and all other large cities dotted
with slums.
Very poor people live in slums. They are not the only one dwelling there. Fairly well to do
people also reside there. They are either offspring of the slum dwellers that found education
and an occupation. They have prospered but are unable to find affordable housing, hence have
continued to stay in the shantytowns. Others are avoiding paying rent and property taxes. The
latter is more often the case. It is not unusual that in the dirtiest of slums, where misery
prevails that TV sets, refrigerators and radios are also blaring music. This is quite a contrast
from the image which one gets in the media or from the opportunist politicians.
India’s capital of Delhi has a million and a half out of fourteen million living in slums.
Mumbai is worst with greater percentage living in slums. Other big urban centers have done
no better. Newly built cities like Chandigarh and surrounding towns where shantytowns could
have been avoided altogether have now slums. The forgoing is India’s shame despite huge
progress.
How will the growing Economy impact Poverty and the Slum dwellers?
As stated above, 8% growth rate of Indian economy will push per capita GDP to $2,000
level in about twenty to twenty-five years (PPP per capita GDP will be much higher). The
forgoing presupposes that the population does not explode in the near future but continue a
healthy 1.5 to 2% growth. That is where the magic equilibrium of prosperity and desire to
live a better life begins. These two together usually vanish poverty and slums. With
availability of affordable housing and jobs, slum dwelling is the last thought on people’s
mind.
On the other hand if the above does not happen then slums dwellers will triple in 25 years
and so will the poverty. Delhi will have four and a half million-slum dwellers. Kolkata and
Mumbai will have even bigger numbers. India’s shame will have no end. To avoid that,
India’s economy has to remain at a high state of growth. Jobs created by the economic
13
growth, hence higher incomes are key criteria for poverty reduction and slums elimination.
The forgoing together with the current urban renewal in progress in the urban areas today
will give cities in India a new look. Higher incomes will create a demand for in-expensive
housing, which will have to be met with innovative use of land and building techniques.
Government provided housing would be a great failure as it has been elsewhere in the world.
Instead sufficient cash has to be placed in the people’s hands together with in-expensive land
that people’s housing program become efficient and affordable. In addition slum living has to
be made unattractive with land taxes and denial of social services. Slum colonies, which opt
out of current hopelessness, should get a better deal in housing which replaces the slums.
This followed with rapidly growing rural economy will kill migration. That will also reduce
pressure on housing.

No single policy has ever brought an end to poverty and slums. It is a concerted effort and
better policies, which will end it. No country in the world has ever been able to end poverty
and slums completely. That includes the richest nation of the world – USA. The point is that
if economy progresses and special effort is made to uplift the poor, poverty and slums will be
overtaken by better economic conditions of the people.

INTEGRATED SLUM DEVELOPMENT (ISD) : NEED FOR

REHABILITATION
Concept
During 1990-91 period, ISD was developed from a theoretical framework to an
implementable programme based on the past personal experience and understanding the lives
of slum residents. Up to the 1990s, the existing development paradigm of central planning
considered slum residents as passive recipients of developmental inputs and not as active
participants in the development processes affecting them. This welfare approach to slum
development had created an overall feeling that the slum residents were inferior citizens of the
city and hence the government had to take the burden of developing the slums. From an
activist’s viewpoint, there was a greater concern; that slum residents themselves were
internalising this attitude, leading to decreased self-esteem and a diffident attitude. The ISD
concept was developed assuming that the slum residents themselves were willing to be active
14
participants in their own development process.
The critical need was to create opportunities through which slum residents became active
change agents of development. It was thought that meeting the basic developmental needs of
health, education, economic betterment and physical services in a tangible manner could
create the opportunities/options for the slum dwellers. It would enhance their quality of life
and in this proactive process bring about change and enhance the self-image of slum residents.
The ISD was conceptualised with programmes that would enable the slum residents to realise
their potential by:
i) Increasing their management and technical expertise,
ii) Nurturing leadership, and
iii) Enhancing their self-esteem and self-confidence
It was believed that these three activities would start a virtuous dynamic cycle of actions for
development. The intervention would begin with improvement in skills and capacities, that
would lead to improvement in quality of life, that would enhance their self worth, which
would lead to critical reflection and finally to more actions for development. This framework
provided design and structure of ISD. Based on that, a Frame of Reference (FOR) was
prepared. The main components in ISD’s (FOR) were:

i) To address all development needs of health, education, economic

betterment, physical upgradation and human aspirations,
ii) Slum residents would be participants by paying, deciding and
implementing,
iii) Development processes would proactively effect women,
iv) Partnerships with concerned institutions and individuals, and
i) Values of integrity, quality, sensitivity would be inherent.

15
Origin of Slums
Almost without exception, slum formation principally originated from four types of rapid
urban population expansion that were primarily triggered by:
1. Rural-urban migration;
2. Natural growth;
3. Combination of natural and migratory growth;
4. Population displacement following armed conflicts or internal strife and violence.

Adittionally, in some cities, demographic forces were compounded by urban specific

transformation processes with clear segregational implications, such as inner-city
deterioration, gentrification and counter urbanization.
16
Surges in urban population and the ofthen-related spatial segregation of urban population
segments on socio-economic and ethnic grounds have been problematic for a variety of
reasons, the utmost being:
• A relatively long period of laissez-faire attitude on the part of urban authorities
towards illegal occupation of urban lands and commensurate flouting of building
regulations and/or urban zoning prescriptions;and
• A general failure of housing and land markets to provide for the land and housing
requirements of rapidly growing urban low-income populations in a timely fashion
and in efficient numbers and locations.

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Statewise Slum Population in 2001

1.In case of Himachal Pradesh, Sikkim, Arunachal Pradesh, Nagaland, Manipur, Mizoram, Daman & Diu, Dadra & Nagar
Haveli and Lakshdweep no slum population has been reported at the Census of India - 2001
Note: 2.Delhi includes eleven census towns and Uttar Pradesh one.
3. Seven towns, one each in Bihar,Maharashtra and Meghalaya, two each in Gujarat and Madhya Pradesh include
population of outgrowths/urban agglomeration.
Sourc Census of
e: India 2001 (Provisional Population Totals)

http://www.niua.org/indiaurbaninfo/tablenew/table5.htm[4/4/2009 8:29:29 PM]

18
Operational definition of slums
The operational definition of slum that has been recently recommended [by a United Nations
Expert Group Meeting (EGM) held in Nairobi from 28 to 30 October 2002] for future
international usage defines a slum as an area that combines, to various extants, the following
characteristics [restricted to the physical and legal characteristics of the settlement, and
excluding the more difficult social dimensions:
• inadequate access to safe water;
• inadequate access to sanitation and other infrastructure;
• poor structural quality of housing;
• overcrowding;
• insecure residential status.
The proposed indicators and threshold in Table are based on MDG indicators, where
possible. These indicators are provisional and subject to international field testing for
appropriateness. Robustness and compliance with available sources, before reliable baseline
global estimates of the numbers of people living in slums are obtained. It is also intended that
local modification of indicators should be used as long as they are applied consistently over
time.

19
 Various Indicators and parameters as per MDG
Characteristic Indicator Definition
Access to water Inadequate drinking water supply A settlement has inadequate drinking water supply if less than 50% of
(adjusted MDG indicator 30) households have an improved water supply.
• household connection
• access to public stand-pipe
• rainwater collection
with at least 20 liters/person/day available within an acceptable collection distance.

Access to sanitation Inadequate sanitation
( MDG Indicator 31)
A settlement has inadequate sanitation if less than 50% have improved sanitation.
The factors are considered :
• public sewer;
• septic tank;
• pour-flush latrine;
• ventilated improved pit-latrine
The excreta disposal system is considered adequate if it is private or shared by a
maximum of two households.

Structural quality of housing a.Location
Proportion of households on or near a hazardous site. The following locations should be
considered :
 housing in geologically hazardous zones(landslide/earthquake and flood areas);
 housing on or under garbage mountaions;
 housing around high-industrial pollution areas;
 housing around other unprotected high risk zones(eg airports, energy transmission
lines)

b.Permanency of structures Proportion of households living in temporary or/and dilapidated structures. The following
factors should be considered when placing a housing unit in these categories:
• quality of construction (eg material used for wall, floor and roof);
• compliance with local building codes, standards and bylaws.
Overcrowding Overcrowding Proportion of households with more than 2 persons per room. The alternative is to set a
Minimum standard for floor area per person(eg 5 square meters)

Security of tenure Security of tenure (MDG 32) Factors are:

• Proportion of households with formal title deeds to both land and residence.
• Proportion of households with formal title deeds to either one land or residence.
20
 • Proportion of households with enforceable agreements or any document as a
proof
Of tenure arrangement.

Note: ‘well’ and ‘springs’ are considered acceptable sources in the original MDG indicator but are almost
certain to be polluted in urban areas.
Sources: adapted from UN-habitat 2002a, 2002b

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Current scenario in India
As regards India, the people living in slums, squatter settlements and refugee colonies
comprise 30 to 32 per cent of the urban population. Mumbai, Kolkata, and Delhi have a large
segment of this population and improving their conditions has been a matter of concern for
the State governments. As per present estimates, Maharashtra had the highest slum population
(around 18 to 20 million) followed by Andhra Pradesh (10 million) and West Bengal and U.
P. (around 8 to 9 million).

Obviously, the high population growth in these metropolises has put tremendous pressure on
the local authorities, incapable of handling huge influx. Around 35 per cent of the population
of Kolkata lives in slums while it is around 50 per cent in Mumbai. Apart from the total slum
population of both Mumbai and Kolkata, which is over 8-9 million (or 16-18 lakh families),
there are about another 4 million squatter settlements.

In the last few years, schemes such as the National Slum Development Project (NSDP) and
Valmike Ambedkar Awas Yojana (VAMBAY) have made a big dent towards upgradation
of urban slums by providing physical amenities and looking after social needs. In 2005-06,
the two schemes were combined to form a new scheme called “Integrated Housing & Slum
Development Programme” (IHSDP), which undertakes slum development in a holistic
manner.

With resources becoming a major problem, the Union Government formulated the Jawaharlal
Nehru Urban Renewal Mission (JNNURM), launched in December 2005. The project
envisages Rs 50,000-crore Central assistance and will be implemented in 63 cities, including
28 million plus cities over a seven-year period. The rationale being that individual cities are
currently inefficient both in raising resources to meet their needs and in governance.

At the same time, a significant amount is to be earmarked for basic services for the urban
poor, which gives hope of a significant change in the living conditions of these dwellers. In
fact, it is gratifying to note that the JNNURM would have one submission on basic services.
However, while decentralization has been accepted in letter and spirit, the JNNURM has
indicated once again that the ‘Centre knows best’ approach would be followed, which is a

27
cause for concern. It needs to be stressed that development of city infrastructure should
emerge after a debate between all the stakeholders, including slum dwellers, who constitute
around 35 per cent of the population.

Another aspect that has perturbed a section of sociologists, planners and social activists is the
demand for urban land to measure up to global standards so that investment flows into high-
end sectors. If slum lands are taken away and flats constructed for them, how will the poor
carry on their trade and earn their livelihood? The Mission is silent about this.

It goes without saying that the challenge of slum development is indeed quite critical thanks
to the dimension of the problem and resources needed to accomplish the task. As is generally
agreed, “plans and programmes drawn up by the Government so far have not effectively hit
the target”.
As has been emphasized repeatedly by experts, the involvement of NGOs and the private
sector is a must for upgradation of settlements to yield effective results. Various Five-Year
Plan documents have explicitly recognized the importance of involving NGOs in the
planning, implementation of anti-poverty and minimum needs programme. These include
environmental improvement of slum areas.
A beginning has already been made in Dharavi area of Mumbai. Each resident family is
being given a 225 sq. ft. apartment free of cost, with a portion of the surplus land being used
for commercial purposes. The Maharashtra government has taken a commendable initiative
as its Slum Rehabilitation Scheme, started in 1991, has gained momentum in the last five-
seven years. According to reports, “so far 280 Slum Rehabilitation Schemes have been
completed, providing self-contained rehabilitation tenements to about 62,000 families of
slum dwellers. And 626 schemes are at various stages of completion and will provide for
decent housing for another 162,000 families of slum dwellers”.
In another exemplary instance, 96 pavement dweller families of Ritchie Street, Chennai have
been rehabilitated in multi-storied buildings. They moved into their new apartments in
February 2001. This was possible thanks to the efforts of CODIAC, an NGO and an Rs 60
lakhs interest-free loan from German donor agency EZE and HUDCO’s loan of Rs 25,000 to
each family.

28
In Kolkata, evicted squatters have been rehabilitated in an area (Nonadanga) and given
apartments at very low cost. Around 300 families who had formed a cooperative are now
enjoying the privacy of an apartment (of around 250 sq. ft). Such initiatives are needed in
many other cities, so that squatters can live a dignified existence. Slums need to be upgraded
with minimum facilities of water, sanitation, education and health.

Characteristics of WSS

Water Supply Sanitation

1.Type of source 1. Type of Infrastructure
2. Distance 2. Distance
3. Exclusivity of use 3. Exclusivity of use
4. Quality of water 4. Cleanliness
5. Adequacy, Timeliness 5. Privacy, odor
6. Quality of Services 6. Services

29
30
National Slum Policy
Even after 55 years of independence, the country does not have a National Slum Policy
thought 30 percent of population is living in slum areas. Slums are the products of lack of
systematic national policies and bad governance, a fundamental lack of political will and a
callous indifference to human suffering on the part of the power elites. The Ministry of Urban
Development and Poverty Alleviation, Government of India finalized the National Slum
Policy Draft in April 1999. The Ministry received comments upto the 3rd December 2001.
Till date the Government of India had not announced the National Slum Policy. Slum
population was 40.3 million in 2001 Census, that is, about 14.2 percent of the total urban
population of India.

Critical Review of the Policy

1. "Inclusive" Approach to Definition of Slum/Informal Settlement
The Draft Policy follows the Census definition. The Census definition is partial because of
the exclusion of towns with less than 50,000 population, and slum clusters, which are not
formally or informally recognized if the population was less than 300. The Draft Policy is left
to the State and Union Territory in laying down the norms/criteria for categorizing an area as
under-serviced settlements. Now there is a need to bring about an amendment in the Central
Act in lieu of the lieu of the new Policy. Though the definition of slum has always referred to
area and living conditions, in India slum are identified on the basis of the nature of house
construction and the availability of basic amenities such as drinking water, drainage and
sanitation. The Draft National Policy has to deal with the insanitary, disoraganised, and
overcrowded collection of mostly hutments spread in the midst of cities and towns, described
by the United Nations as a menace to health and an affront to human dignity.

2. Listing and Registration

a. Comprehensive Listing of Slums/Informal Settlements
b. Registration of slum dwellers
c. Identity Card

31
d. Basic Service Eligibility: water, sanitation, electricity, health, etc
e. Other Entitlements: Schemes for economic support, credit, pensions, insurance etc
Registering Authority clearly specified. Registration and issue of the identity card should be
time bound.
3. De-listing
The sustainable level of basic services (including responsibility for provision of services and
accountability) and socio-economic indicators should be given in the Policy. Otherwise it
may lead to confusion.
4. Classification of Land Status/Tenability
The Classification of land not only on the basis of tenability and Private land and public land.
The issue of whether a settlement existence is against public interest shall be decided by the
District Magistrate in consultation with the Urban Local bodies and technical experts, after
giving full opportunity to the resident community to express their views in a public hearing.
The factors determining the untenability of slums and public interest have not been defined
clearly in the policy. The District Magistrate is supposed to take the decision in consultation
with Urban Local Bodies. Even though the residents community can give their views in the
public hearing. Public Hearing is not the Government's responsibility. Slum Dwellers have no
stakeholder status. It is left to the discretion of the District Magistrate.
5. Granting of Tenure
The Government should provide freehold plots to slum dwellers. This means that the slum
dwellers will also be the owners (with condition for right to transfer) of the plot and there
would be no Government lease. Government has to formulate policy to earmark certain lands
for slum dwellers. In the Draft National Slum Policy there is no percentage of allocation
specified.
6. Resettlement Rehabilitation
The policy does not speak clearly about the land use and tenability of the alternative site in
accordance with the prevailing Master Plan. It should be particularly made sure that the
alternative site is tenable and full tenure rights are provided immediately to resettlers. In the
resettled place at least 50 square meter of land per individual family is needed for providing

32
basic amenities. In addition to the residential area a similar area has to be provided for roads,
drainage, sewerage, community hall, children's playground, primary school, Creche facility,
health centre etc, in these zones. The issue of slum eviction and resettlement is linked to the
wider question of poverty and the related issue of the powerlessness and lack of entitlement to
and accessibility of basic social and physical vulnerability in terms of caste, ethnicity, gender,
mental and physical disability, ageing and problems relating to children.
Forced evictions, which are viewed by the UN as a gross violation of human rights, are
almost exclusively reserved for the poor and the socially excluded, and almost always
exacerbate the situation. Need to find local approaches to relocation, through negotiation and
the search for constructive solutions, can solve problems that forced evictions only worsen?
In short, forced evictions should be seen as a failure of public policy, and the lack of pro-
poor developmental perspective.
7. Planning for Integration
The Draft policy stresses about improvement and insitu upgradation to be made possible
through modification. The modification like conversion of the mixed use land occupation
will further squeeze working class residential lands into smaller pockets within the cities. The
policy will further go in favor of commercialization of land that is presently for residential
purposes.
As the policy has to deal with the people as much as with the area, policy makers may have
noted that there is little upward movement of slum-dwellers even in a State with good
economic growth. Cases of absorption of residents in better neighborhoods are exceptions and
not the rule, as most migrants enter slums not with an idea of a transitory arrangement.
Individual economic growth has takenplace in the slums of metropolitan cities, but with this,
an ambition to become slumlords sanctioned by political patronage to create vote banks rather
than a desire to shift to a better locality, catches the slum residents. The distinction as slums of
hope; and slums of despair is not relevant in India as the self-eliminating process contained in
the slums of hope is not present.
Urban slums in India are not considered temporary shelters or a stopgap arrangement by the
newcomers to the cities to prepare for proper housing, but have become permanent homes for
many generations for many families. The national policy must proceed on the premise that the
33
earlier attempts at the relocation of slum-dwellers have not succeeded in many places.

8. Environmental Improvement
For providing the physical infrastructure development like water supply, Sanitation, Pedestrian
and Vehicular access ways, Storm Water Drains, Electricity and Solid Waste collection, the
Draft Policy emphasizes the contracting out to the NGO and other Private Companies. The
services are as per the Local Bodies Act are mandatory duties.
9. Improving Access to Social Services-Health services, education, Child
Labour and Child Rights, Public Distribution System
Benefit-incidence studies have shown that a disproportionate share of the benefits of health
and education programs accrue to the non slum people, often because the facilities are located
closer to the non slum and the non-slum people make more use of the facilities because of the
income effect, i.e., they are richer. Government social service subsidies are not well targeted
and, consequently, are not efficient at redistributing income. The Policy is silent about how
the social services are going to deliver effectively. One of the strategies as mentioned in the
policy, is Demand for the service. Who will mobilise the community to demand services.
Private Sector partnership means profit. How can the poor slum dwellers benefit from the
private sector.
To improve the quality of life of these residents, slum policy should contain clauses to
enhance educational, health and moral standards. This requires coordination among
Ministries/Departments concerned. Compulsory schooling and a ban on child labour and
child marriage, for instance, must form part of the policy to be implemented, and an
atmosphere discouraging gambling, drinking and prostitution has to be created. Without this,
mere restructuring/relocation will not help. Any place can develop slum conditions unless the
occupants are mentally freed from a slum atmosphere.
10. Municipal Services to be brought under Consumer Protection Act
If the Municipal Services is to be brought under Consumer protection Act, there is a need for
the amendment in the Consumer Protection Act. Sustainability and efficiency of
interventions is enhanced where the same organization (Urban Local Bodies) has
responsibility for implementation, operation and maintenance of services, and where
34
institutional capacity for the same is in place. In India, this is in line with the 74th
Constitutional Amendment, which mandates local government with responsibility for urban
poverty reduction. However Municipal Corporations were found to be unreliable in
maintenance of assets and services. There is need for a clear strategy, agreed during initial
planning, with clarity on the financial management of services and clearly defined operation
and maintenance systems, especially for such things as cleaning and maintenance of roads,
drains and latrines.

11. Economic Empowerment

A. Financial Services for the Poor: Surveys of some of India's urban slums are reported to
indicate that 40-50 percent of slum households are living just below the poverty line while 11
percent are living just above it. The remaining 30-40 percent of slum dwellers lives well
above the poverty line. Conversely, it is estimated that only 40-60 percent of the urban poor
lives in slums or squatter settlements. The balance lives on pavements (close to sources of
income), overcrowded tenements, or commute daily to and from periurban areas. The
implication of this fragmented pattern of location of urban poor makes it difficult to target
without risk of some degree of leakage of benefits to the non-poor.

B. Economic Support/Enterprise Development: The poorest of the poor are the least likely to
benefit from vocational training, which is not targeted. Typical vocational training programs
are supply driven and particularly prone to capture. Provision of one time training in isolation
of financial support is unlikely to impact livelihoods. Lack of post-training financial support
as the key constraint to using skills gained through vocational training. The type of training
offered conforms to sex stereotypes.

In the present context of globalisation, liberalisation, Structural adjustments and

privatisation of essential services, the slum dwellers are facing hardship. A vast majority of
the homeless people, slum dwellers and pavement dwellers are from Dalit and Tribal
communities. Women, especially singly women, and children are the worst affected because
of the globalisation process.

35
12. Financing Sustainable Slum Improvement & Services
Draft Policy seems to reinforce and strengthen the role of private builders and financial
lobbies in controlling almost all the housing activities in India. For Financing Sustainable
Slum Improvement one of the recommendation is user charges. How can slum dwellers pay
user charges for the various facilities. The Government has given a low priority to provision
for shelter as reflected in the declining direct public investment on housing in the successive
Five Year Plans. It fails even to propose any viable alternative for providing and improving
the housing condition of the homeless people in the country.
13.Improving Creditworthiness of Slum Dwellers
Reforming subsidy and Rational use of Subsidy are the suggestions of World Bank and WTO.
The subsidy aspect is not feasible in our country. The poor often do not have the financial
resources to buy houses. Reviewing the housing finance system, including the access of the
poor to credit and targeted subsidies for housing, could also create opportunities for the poor.
14. Strengthening Municipal Governance and Management
The main problem in the Municipal Governance and Management are the lack of Municipal
managerial capability and financial capacity and, perhaps more importantly, the lack of
political and bureaucratic commitment to cost recovery and long term maintenance in
upgraded slums areas. The Policy does not address these issues.
Mainly due to lack of coordination between the different agencies responsible for providing
various infrastructures. In the Urban local Bodies there is a differential financial and
institutional capacity. The poorer municipalities found it very difficult to participate in the
slum development programme. Another Strategy to strengthen the Municipal Governance is
the Partnership development. Barriers to a participatory approach are likely when working
with Municipal Corporations. This is due to a rigid and hierarchical management and to lack
of experience with participatory techniques and methodologies. A significant gap in
perceptions between senior government staff ( policy makers) and field staff exists.
One of the components in the Strengthening Municipal Governance and Management is
establishment of Community Development unit in each and every local body (Sec. 14. d).

36
Community Development is the most complex and difficult component in slum development.
This is due to three main factors: a) institutional constraints, when working through
Government b) the role and characteristics of Neighborhood Committees and c) the difficult
and unpredictable nature of Community Development itself.
Community Development components are prone to capture by the middle class and are often
not available to slum dwellers. Despite similar inputs being given, the impact of community
development varies from slum to slum, much more than it does with infrastructure provision.
Community Development interventions need to be slum-specific and flexible.
15. Shelter Upgradation
The Draft National Slum Policy advocates almost exclusively slum upgrading. As an
alternative to "removal", slum upgrading is likely to find immense political support.
However, there is no empirical or conceptual basis to justify upgrading as a long-term,
durable solution to the slum problem as there are no paradigms endorsing the notion that a
large percentage of the urban population must live in a small and marginal proportion of the
urban landscape simply because this option has been considered to be a misplaced one in a
just society.
16. Monitoring and Evaluation (M&E)
There is a provision in the policy to ensure participation of the community in monitoring
and to use response as a constructive resource for improvement (Sec. 16). But in reality
there are monitoring constraints for the participation of the poor and political influence in
both project implementation and monitoring.
In the Draft policy there are 14 steps mentioned. None of them have a time frame. There is a
need for a Central Act. But the policy is emphasizing all States that have not formulated a
Slum Act should consider formulating and notifying an Act, which reflects the current Policy
principles and guidelines. There is need for guidelines for laws relating to encroachments on
Government land to be revised and modified in the light of the National Slum Policy.
Issues: The immediate steps provided in the Draft policy is meant only for the States and
Urban Local Bodies. No specific steps are mentioned for the Central Government and it's
various bodies like HUDCO etc.

37
Lacunae in Draft Policy
It was not based on a scientific research data base of existing slum settlement conditions,
resources and people's struggles.
It looks at housing as merely "shelter, buildings, housing-stock", that required capital
investment.
It primarily favoured the corporate sector, builders, construction firms, and real-estate
developers and was against the interests of the slum dwellers.
It abolished the State Policy and programme of subsidised/free housing and land for the
weaker sections and espoused a "free market policy".
While the Policy did address the Scheduled Castes, Tribes, Landless labourers and Women,
the strategies were so identified that affordable groups, upper classes and the commercial
sector would benefit.
It reiterated the political and policy thinking on land housing of the World Ban and its
related International Institutions.
The Draft National policy is expected to provide a new approach to an old problem evolved in
the recognition of the fact that slum residents are a major and important contributors to city
resources and form an indispensable sector, providing various kinds of skilled and unskilled
services to enrich city life and facilitate its functions. Without significant improvements in the
legal, regulatory and financial systems, the problem of slum and squatter settlements is only a
glimpse of the future. The problems of slum dwellers have multiplied in India demanding
some immediate and determined action so as to integrate the slum population with its
neighbourhood and remove the conditions that make these areas what they are today. A Draft
National Slum policy is not just a housing policy for providing shelter. One of the positive
things in the policy is they accepted that 'Much of the slum development is still "trial-and-
error" (Sec.16)

38
SLUM REHABILITATION SCHEMES
Three types of SLUM REHABILITATION SCHEMES are permissible.
These types are as per the provisions of different sections of Development Control
Regulations (DCR) under which they are approved. viz.
* under provisions of DCR 33(10) also called in-situ scheme
* under provisions of section 3.11 also called PAP scheme
* under provisions of DCR 33(14) also called transit scheme
33.10 scheme
In the schemes approved under the provisions of this DC regulation, the slums are
rehabilitated on the same site.
3.11 scheme
In the schemes approved under the provisions of this DC regulation, an owner of vacant
unencumbered land can use it for construction of PAP tenements for which he is compensated
by TDR for land and for construction.
33.14 scheme
In this scheme, the landowner is allowed to consume the existing FSI potential of the land,
owned by him. The additional potential of 1.5 for suburbs, 1.66 for difficult area & 1.00 for
islandcity (only for government or public sector plots) is granted under this scheme.
The developer constructs transit tenements out of a prescribed part of this additional potential.
The balance of the additional potential is allowed as free sale component.
Special Appendix IV dealing with slum rehabilitation schemes.
1. DCR 33(10) & 33(14) exclusively deal with slum rehabilitation.
2. Incentive commercial FSI of 5% granted to the society of slum dwellers or an NGO if the
project is run by them.
3. One Balwadi and welfare center and society office each of 20.90 sq.mt areas is to be
provided for every 100 rehab tenements or part thereof.
4. Area of Balwadi, welfare center, society office & common passage upto 2.0 m wide is
allowed free of FSI in rehab building.
5. These areas and area of eligible religious structure, other social infrastructure like school,
dispensary, gymnasium run by public authority or charitable trust as well as incentive
39
commercial area in addition to FSI for rehabilitation tenements are termed as Rehabilitation
component.
6. Sale component equal to 0.75 times the rehabilitation component in city areas; equal to
rehabilitation component in suburbs and extended suburbs and equal to 1.33 times the
rehabilitation component in difficult areas is allowed.
7. Maximum permissible FSI to be consumed at any site shall be restricted to 2.5 and balance
can be claimed as TDR, to be sold in open market.
8. Minimum density on plot shall be 500 tenements per net hectare.
9. All the activities existing in the slum even if non-conforming with the zone of the area shall
be allowed to be relocated.
10. All reservation plots upto 500 sq.mt. in area under slum shall be cleared of slums and the
slum dwellers shall be relocated elsewhere.
11. Plots reserved for non-buildable reservations and encumbered with slums shall be cleared
if the area is less than 500 sq.mt. or they are encumbered to an extent less than 25%.
12. Special concessions in building requirements are granted. Viz. Relaxations in open space
requirement; Relaxations in room size requirement.

SALIENT FEATURES
Features of Schemes
1. Every slum structure existing prior to 01/01/1995 is treated as protected structure.
2. Every slum dweller whose name appears in the electoral rolls as on 01/01/1995 and who
continues to stay in the slum is eligible for rehabilitation.
3. Every eligible residential slum structure is provided with an alternative tenement
admeasuring 225.00 sq. ft. preferably at the same site, irrespective of the area of slum
structure.
4. Every eligible slum structure that is being used for commercial purposes is granted an
alternative tenement having area equal to the structure subject to an upper limit of 225.00 sq.
ft.
5. A minimum of 70% of eligible slum dwellers in a slum pocket come together to form a co-
operative housing society for implementation of Slum Rehabilitation Scheme. (SRS)

40
6. The underlying land is used as a resource for the SRS.
7. The slum dwellers appoint a developer for execution of SRS.
8. The developer puts in resources in the form of money, men and material for construction of
free houses for the slum dwellers.
9. The developer is compensated for his efforts in the form of free sale component.
10. The developers are allowed to construct tenements for sale in the open market. The area
allowed for sale in the open market is equal to the area of tenements constructed for
Rehabilitation of slum dwellers.

Project Example:
Dharavi Redevelopment Project
1. Introduction: Dharavi is the largest and highly populated slum pocket in Asia. Govt. of
Maharashtra has accepted the proposal submitted by Architect, Mr. Mukesh Mehta for the
redevelopment of Dharavi which, after suitable modifications, will be implemented through
the Slum Rehabilitation Authority (SRA), according to the norms of S. R. Act of 1971.
2. Development Plan: According to SRA norms, the slum dweller whose name appear in the
voters list as on 01.01.1995 & who is actual occupant of the hutment is eligible for
rehabilitation. Each family will be allotted a self contained house of 225 sq.ft. carpet area free
of cost. The eligible slum dwellers appearing in Annexure II certified by the Competent
Authority will be included in the Rehabilitation scheme. Eligible slum dwellers will be given
rehab tenement in Dharavi.
3. Transit Tenements: During the implementation of this project, Dharavi residents will be
provided with transit tenements, in close proximity of Dharavi or in Dharavi itself. The
developer will bear the cost on account of rent of the transit tenements but the cost of
expenditure of consumables like water, electricity, telephone etc. will have to be borne by the
slum dwellers.
4. Sustainable Development: The development plan for Dharavi has many amenities in it;
viz. wider roads, electricity, ample water supply, playgrounds, schools, colleges, medical
centers, socio-cultural centers etc. For proper implementation, Dharavi has been divided into

41
10 sectors and sectors will be developed by different developers. The total duration of this
project is excepted to be of 5 to 7 years. Rehabilitation building will be of 7 storeys.
5. Development Procedure: After considering the redevelopment plan, a detailed plane table
survey has been carried out to know the ground realities. Also, consent of the slum dwellers to
join this project is being obtained. After obtaining suggestions & objectives from the public
for the revised development plan, the same will be finalized by Govt. For each sector a
detailed sectoral plan will be prepared by the selected developer in consultation with
SRA.This will be placed before the public for suggestion/objectives and then finalized after
due amendments.
6. Appointment of the Developer: Global tenders will be invited from developers for this
project. The developer will be evaluated technically and financially by a Committee headed
by the Chief Secretary of Government of Maharashtra. Each developer is required to explain
his development strategy in his sector and obtain objectives & suggestions from the residents
before starting the development process.
7. Development of local Industrial units: Taking into consideration the various industrial
units in Dharavi, it is being proposed that, non-polluting industrial / businesses will be
retained in Dharavi itself. All the established businesses and manufacturing units will be
encouraged and will be provided with modern technical and economical strategies for
sustainable development

42
Correlation Analysis on International Level
How did US Tackled its Slums?
US had its share of poverty and slums in around the immigrant dominated cities. New York
and Boston had great amount of poverty and slums at the turn of the twentieth century. These
slums were further worsened with the arrival of newly liberated African-American population
from Deep South. The era pictures give a glimpse of everyday life and it is not pretty. People
without job and with no prospects crowded cities in the North. A new word, Ghetto was
coined, which described these places. Immigrant from different background or race crowded
together and gave rise to Ghettos. At that time US did not have control over its economy and
Civil War debt and additional monies borrowed to rehabilitate agriculture and commerce after
the Civil War was unpaid. As twentieth century progressed a concerted effort was made to
clean up the Ghettos and push people inland with free grant of land and promise of prosperity.
Industrial Revolution, which was slow in reaching America from Europe, finally arrived. And
it made the difference. It provided the much-needed jobs to the immigrants and colored. Also,
free land in the West gave rise to food self-sufficiency and paying off of all Civil War and
post Civil War debts. First World War gave US economy a boost and America joined the
select group of countries of Europe in prosperity. Poverty by the end of the Second World
War was a thing of the past. In just fifty years, i.e. by 1950, US were nation of 160 million
souls, all prosperous and all well employed (forget the habitual lazy). That does not mean that
all the Ghettos disappeared. They continued to exist. They exist today, but on a much lower
scale. These are not eyesores.
One critical factors which vanished slums and poverty in US was quadrupling of the US
economy from 1900 to 1940. A free wheeling economy created industrial giants and a super
rich class. Need for war material during the WWII resulted in creation of huge industrial
infrastructure and innovation. Post war reconstruction in Europe added greater impetus to the
economy. General well being of the people living in the poorer section of the cities
dramatically improved. US raced ahead of Europe and are still ahead, 60 years after the
WWII. In most cities, ghettos disappeared or shrunk. Urban renewal and building boom in last
sixty years has completely changed the landscape of the country.

43
There is a parallel here. Poverty and slums in India are at the same level as they were in
beginning of the twentieth century in America. Economic growth over fifty years vanished
them. The same is possible in India if the economy sustains the 8% growth trajectory.

Slums and the Great Briton

Great Briton was a great big slum before they became a colonial power in the nineteenth
century. For eight hundred years prior, until 1800s, Great Briton was an agrarian society,
where the lord lived happily in his Manor and Castles and the masses lived in a great squalor.
Slums were everywhere. London had the biggest slums. Colonization brought prosperity and
prosperity brought in a huge effort to improve the lot of the people and clean up of the cities.
That is when the unemployed and slum dwellers were pushed to newly developing industrial
hubs of Sheffield, Birmingham, Liverpool and Manchester. Compared to that Delhi, Kolkata
were heavens. First slums in Kolkata appeared in 1850-70 as a result of systematic destruction
of textile industry in Bengal and destruction of trading infrastructure in and around Kolkata.
Slums elsewhere followed.
It took all the Victorian age from 1825 to 1900 to vanish poverty and slums in England.
Their GDP multiplied 8 times over this period. British factories produced goods and services
which were sold at profit in the in the colonies. Work for everybody in England was the
cornerstone of building well-serviced cities.
The point is that vanishing poverty and slums follow closely with economic development.
Faster the economic development, sooner will the poverty vanish and with it, the slums.

How did China handle its Poverty and Slums?

Chinese had a unique way of making slums disappear from its urban centers. Permit system to
live in a city or in a particular neighborhood was introduced just after the Communist took
control in 1949. That means that great rural population migration to the urban areas in search
of jobs was arrested. In addition the war ravaged eastern provinces where rural population had
moved to the cities and into the slums, were emptied out. Nobody questioned Mao Tse Tung’s
wisdom; hence he had a free hand. People were permitted to return to their homes in the cities
only after proof of their residency had been established. Outsiders were sent back to their own
homes and land in the rural area. Future residency in the cities was permitted on a permit
44
basis only. Hence major problem of unplanned urban squatting was prevented. Even today the
foregoing policy continues. The FDI built cities of Guangdong province carry on with the
permit system established in 1949. In order to move there, a person has to have a job and
place to reside. The latter could be a factory provided bunk bed. This prevents urban squat.
The above is no comparison to how poverty was vanished in UK, US and elsewhere. Major
economic progress in last 20 years has re-invigorated the cities with investment and
reconstruction. Whether the same is true in the China’s rural areas is a debatable issue. China
likes to pretend that poverty has been vanished.
Urban Renewal In India
Urban renewal is in progress in India in a big way for the last 50 years. The British starved
cities in India of the funds for two hundred years. They only built regal palaces for
themselves in Delhi, Shimla and Kolkota. No new monies was made available to the people
to renew and rebuild, hence Moghul Delhi presented a decaying and a rundown look, when
they finally left India in 1947. The problem got compounded with migration of people from
rural areas. Expanding industry and commerce needed them hence migration was
encouraged. Thus urban slums and squatting began in a big way. Today, some estimates
place 10 to 15% of Delhi population as slum dwellers. Slums in Kolkata predate Delhi
slums. So do the Mumbai slums. They all began the same way – people’s livelihood was
destroyed or they were invited to work in factories without adequate housing. The problem
grew acute with huge population growth after 1950. From 1950 to today, cities lacked funds
to renew themselves and help build additional housing. People lacked adequate jobs hence
are caught in the poverty cycle.
Only recently a huge building and construction boom has started in all cities in India.
Whereas governments are concentrating on building infrastructure and industrial base,
private construction is building work places, shopping districts and housing for the middle
class. The poor and slum dwellers are not there in any building equation. Cheap housing
projects are lowest in the category. Hence slum dwelling has become a way of life.

45
How Long the Poor have to wait?
If the experience elsewhere is a guide then poverty, slums and urban squat will be a vanishing
phenomenon, if the rapid economic progress keeps its pace. Today we would have smaller of
the slums, had economic policies of the present were in place 50 years back. Only now, all
signs point to a rapidly rising GDP together with rising per capita GDP. With rise in income
level, tendency to head to the slums has lessened. Die-hard slum dwellers that wish to pay no
taxes and spend nothing on housing will most certainly continue to stay there. Others will
prefer to move out. This is a normal phenomenon. It happened in US and elsewhere. It will
happen in India too. An economic equilibrium has not been reached in the society yet, where
enough money in people’s pocket will persuade them to vacate the slums. This won’t we
reached for another 20 to 25 years. By about middle of this period with increased availability
of housing and higher incomes, the growth in slum dwelling will be arrested. Decline will
begin only when much higher incomes are reached (as stated above), provided India does not
make the mistake of regularizing the slums/bustees with land tenure on tenable land and other
amenities. That is a sure fire method to keep the slums going. People will always wait for free
grant of land ownership even if these grants never materialize. Even the possibility of this
ever happening in a distant future will keep the slum dwellers in the slums.
.

46
 CHAPTER – IV

CONCLUSIONS

I VARIOUS REQUIREMENTS FOR SLUM DEVELOPMENT

Slum Development has four sectors and eight programmes that are
separate functional units but have intrinsic linkages. These programmes
address specific needs in the slum and are designed to be dynamic. All
programmes presuppose:
i) Tangible measurable actions and results,
ii) Community participation,
iii) Time bound management by CBO,
iv) Payment for services, and
v) Linkages with existing government/private initiatives.
ISD could start with any programme, either singly or in combination
depending on the need in the slum and availability of resources. There are
four sectors of the ISD, as listed below:
1 Services Sector - Community Health Programme
- Non-Formal Education Programme
2 Livelihood Sector - Skill Imparting Programme
- Savings and Credit Programme
- Income Generation Programme
3 Infrastructure Sector - Physical Upgradation Programme
4 Participation Sector - Community Participation Programme
- Partnerships

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Goals and Objectives of the Services Sector

Programmes Goal Objectives

Community Health To improve overall healthAwareness about prevention and
Programme status through preventive cure of common illness
and curative community · Community health services
based methods through slum based health
workers and OPD
· Reduce maternal and infant
mortality
· Address specific illness such
as TB and Malaria
· Linkages with government
health systems for referrals
· Demystify health belief
Non Formal Education To increase the education Increasing enrolment and
Programme status by making critical decreasing dropout rate
innovative interventions · Enable children cope
with school curriculum
· Use of Innovative
teaching methods
· Involve parents and
community in children’s
education
· Increase education levels
amongst dropout and
non-school going
children especially girls
· Increase literacy levels
amongst adult residents.

48
 Goals and Objectives of the Livelihood Sector
Programmes Goal Objectives
Skill Imparting Programme To increase and reinforce · Identify and Increase
earning skills of slum earning skills
residents · Impart and enable
training for acquiring
skills
· Create support for
practising these skills
Savings & Credit Programme To enable savings and access To create savings options of
to formal credit and reduce for affordable amounts
dependence on usurious · To form a credible
money lenders savings society
· To have a credible and
transparent record
keeping system
· To offer fast and
affordable credit
· To facilitate capacity
building of SHGs and
practitioner NGOs.
· To strengthen the
movement for using
micro-credit as a tool to
empowerment.
Income Generation To increase options and To identify market based
Programme infrastructure for increasing income generation options
incomes · To build capacities for
these skills (Human
and Institutional
Support)
· To set up institutions
that can independently
undertake IG
operations
· To mobilise financial
assistance,
programmes and other
resources from banks,
Govt.,voluntary

49

Goals and Objectives of the Infrastructure Sector
Programmes Goal
Physical Upgradation To ensure that every
Programme household has access to basic
services
Goals and Objectives of the Participation Sector
Programmes Goal
Community Participation · To enable long-term
Programme sustenance of ISD through
community participation in
implementation, management
and financial contribution.
· Partnerships To integrate municipal, state
and NGO/Private Sector
initiatives.
50
organisations.
Objectives
To facilitate access to basic
services such as water,
drainage, and toilets on a
household basis,
· To facilitate paved roads,
street lighting and solid waste
management
· Housing after infrastructure
· To ensure maintenance of
household and common
services
Objectives
To create technical,
managerial and leadership
capacities
· To enable and nurture
community based institutions
that can sustain relevant ISD
initiatives.
Reduce duplication of
efforts
· Proactive synergetic
working methods that lead to
attainment of objectives
· Holistic approach to
development
II PROGRAMMES NEED TO BE INITIATED
Awareness among residents towards
i) education
ii) health
iii) nutrition
iv) employment
Community Health Programme (CHP)
i) A 24-hour access to health consultation/services through the CHWs,
ii) An OPD where basic health services will be available,
iii) A comprehensive mother and child cared programme consisting of gynaecological care
and immunisation during pregnancy, enabling safer deliveries and postnatal care and
complete immunisation of children,
iv) Referrals to government and municipal clinics,
v) TB Control, and
vi) Awareness about preventive health methods.
There will be nutrition support inputs for Pregnant and Lactating Mothers (PLM) and TB
patients to change food habits and ensure compliance to check – ups, immunisation and
treatment. Residents would pay for consultation at the dispensary, conveyance costs during
referrals and nutrition support.
Non Formal Education Programme (NFEP)
The activities in the education programme are:
i) Pre-school nursery classes with a curriculum that would prepare children cope with
primary education,
ii) Supplementary classes with a curriculum that would enable children cope with regular
school curriculum, and
iii)Special classes for non-school going and dropout children.

51
The residents would pay monthly fees for balghar (pre-school), supplementary and special
classes and for conveyance costs for outings of the children. There have been regular
interactions with the parents through meetings and family visits.

Skill Imparting Programme (SKI)

A pressing need of the residents is to acquire skills that were marketable. Various types of

courses to impart such skills will be conducted in the slum. These are:

i) Tailoring and embroidery,

ii)Electric gadget repairing,

iii) Scooter repairing,

iv) Computer typing,

v) Electrician,

vi) Plumber etc

The tailoring and embroidery course has been run from 1993. The participants have been

women and adolescent girls who use these skills at home or for earning. The course has also

provided an important forum for the adolescent girls to discuss their anxieties relating to

marriage, marital home and sex. Like other programmes, for this also, the participants pay

monthly fees and bear material costs.

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III Case Study of Chandigarh:Basic Services To The Urban Poor
Introduction
In Chandigarh, more than one fifth of population reside in slums, squatters and other
rehabilitated colonies. Their contribution to city’s economy has been also been growing over
the period. In the absence of developed land and clear policy to address their problems, the
poor suffer from many inadequacies in terms of access to basic services, socio- economic
needs. It is necessary, therefore, to articulate policies and programmes to mainstream the slum
communities with the city, both in terms of infrastructure provision and social and economic
development.
Population below Poverty Line
As per the available data, the number of people living below the poverty line was 94485 as
per census 2001 and fresh survey is in the process in U.T., Chandigarh in rural and urban
sectors.
SOCIAL COMPOSITION OF POPULATION
Year Number of the poor*
1999 / 00 94485 (in 3/2000)
2004 /05 (Estimated) Fresh survey under process.
*Below poverty line
Growth of Slums and Slum Population
Chandigarh city is characterized by a very significant presence of the urban poor, with a
growing poverty profile. Slum settlements have multiplied over decades and the living
conditions of the poor have not improved. Environmental decline, vehicular pollution,
inadequate basic services and infrastructure in the poor settlements hit the poor hardest. Slums
are scattered around the city on its periphery, with high population densities and the number
of people inhabiting them estimated to be around 1.5 lacs. It is estimated that more than 90%
of these slums are on govt. land, and the rest on lands belonging to various farmers. Poverty
has a visible gender dimension too. The incidence of poverty among women is higher and
female-headed households constitute the poorest of poor. The number of slums and slum
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population in the city has been increasing at a faster pace over the decades. The slum
population is emerging on the out- skirting of city as detailed below:
1. Colony No.5 located in Sector 50 area of which is under development. This is the biggest
slum area of city.
2. Colony No.4 located near Industrial Area, Ph.I near Sukhna choe, which is being polluted
by open defication.
3. Bapu Dham Colony is located in northern eastern area Chandigarh near Timber Market,
Sec.26.
4. Janta & Kumhar Colony is located in Sector 25.
5. Lal Bahadur Shashtri slum is located in Sector 56 area on border to S.A.S.Nagar (Pb.).
6. Rajiv colony slum is located in Sector 38 (W) area.
Socio-economic Characteristics of slum population
Communities
Slum population in Chandigarh is not much heterogeneous in character – because Hindus are
in majority besides very less population of Muslims having migrated from U.P. and Bihar. A
language predominantly spoken in slums in Chandigarh is Hindi. These people have migrated
to Chandigarh in search of job. These workers are mostly engaged on construction work. The
mason, fitter, electricians and helpers are their main profession. Actually there is demographic
shift, the original professional work just carpenter, mason etc. have migrated to Gulf or
European country where people from U.P. and Bihar have shifted to Chandigarh to take lead
in construction work/activity, but Chandigarh Administration and Municipal Corporation used
to make efforts from time to time to provide protected water supply, common toilet block,
sanitation etc. Every slum in Chandigarh is provided with potable water supply as stand post
as well as community toilet block and mobile toilet vanes. But with increasing pace of
migration of slum population in Chandigarh, even then open defecation in certain area not
ruled out. Now Municipal Corporation has made elaborated arrangement to provide sulbh
sauchalyas in colony No.5 and 4 to eliminate open defecation from city.
Even Health Department Is also always on palm to avoid to any epidemic because usage of
raw fruit, unhygienic meat, cold drink by the slum people. Even because of lack of civic sense

54
by slum dwellers, the task of controlling the epidemic is very daunting. The status of water
supply and sewer for slum is as under :

ACCESS OF THE SLUM DEVELLERS TO BASIC SERVICES

Year Number of slum % of slum dwellers having access to dwellers Water supply
Drainage System
Waste service collection
1991 0.5 lac 100% 70% 70%
2001 1.25 lac 100% 75% 80%
2005 1.5 lac 100% 80% 90%
Environmental Conditions and Health Status
The environmental conditions in slums are no doubt poor and lack basic civic amenities.
Earlier studies have recorded that the common diseases prevalent in slums in Chandigarh
are gastro-enteritis & dysentery, liver, Typhoid. To overcome these hazards health
infrastructure have been geared up by distributing medicines and chlorine tablets and
preventing hygienic conditions.
Basic Infrastructure
Access of slum population to basic services is a key indicator of the quality of life in
slums in particular and the city in general.

55
IV Working Model
Initially, the project scope is defined and the appropriate methods for completing the project
are determined. Following this step, the durations for the various tasks necessary to complete
the work are listed and grouped into a work breakdown structure. The logical dependencies
between tasks are defined using an activity network diagram that enables identification of the
critical path. Float or slack time in the schedule can be calculated using project management
software. Then the necessary resources can be estimated and costs for each activity can be
allocated to each resource, giving the total project cost. At this stage, the project plan may be
optimized to achieve the appropriate balance between resource usage and project duration to
comply with the project objectives. Once established and agreed, the plan becomes what is
known as the baseline. Progress will be measured against the baseline throughout the life of
the project. Analyzing progress compared to the baseline is known as earned value
management.
The inputs of the project planning phase include Project Charter and the Concept Proposal.
The outputs of the Project Planning phase include the Project Requirements, the Project
Schedule, and the Project Management Plan.
Proposal for bulding houses for slum rehabilitation:
(i) Ten Buildings may be constructed having 10 floors with 20 households each of 225
sq. feet area mounting to 200 houses per building.
(ii) Total roof area covered around 6000 sq. feet n Grand area of 1200 sq. feet.
(iii) Solar panel installed on roof of the buildings for supply of electricity to
households.
(iv) Rain water harvesting system to ensure regular supply of water.
(v) Kitchen waste fed to biomass treatment plant and natural gas obtained would
be supplied in households and bathroom waste to water treatment plant for recycling.
(vi) Grievance committee should take care of any conflicts between residents.

56
 (vii) Federation would take care of carious facilities granted and their proper use
and report any illegal action.

Finance Pooling other than Govt.

(i) NGO or any PPP may take the project to make it financially viable and contribution
from residents by awareness among them.e.g. HUDCO.
(ii) Venture Capital Funds
(iii) Houses may be allotted with a nominal token money and rest of the amount may be
recovered in monthly installment with a very soft interest and term of 20 years.
(iv) Relaxation or grace period may be given till the person receives training.
(v) Ration cards and voter cards may be given for other privileges.
(vi) Leasing to Private Partner for commercial establishments.
(vii) Real Estate Investments by People on resale of plots.
Planning, Monitoring and Evaluation
(i) The annual plan mentions the type of resource persons required and duration of
their training. It also mentions the type and nature of involvement of the government
and other NGOs
(ii) When all the programme plans are ready, they are presented to the whole team,
where the integration of activities and programmes is clarified, and, everybody is aware
of the year’s activities and the method of implementation and monitoring.
(iii) The annual plans, with the local workers and co-ordinators would be made.
(iv) Involvement of local workers and other co-ordinators, and linkages of a single
component with other programmes and activities
(v) Two types of monitoring meetings are held every month in which monitoring
formats with relevant data are presented. One type is the monitoring at the
field/activity/ programme level, where the local workers fill and present their forms.
The second type is at the sector level where the co-ordinators report the work done to
the core team.
57
 (vi) At the end of the year, the year’s work is evaluated in a participatory method,
where major modifications are suggested, which are then incorporated into the next
year’s annual planning.
(vii) Encourage local participation.

V Flat Design

10'-1 1/2" X 15'

Room
F
4'6" X 4'-6"
BATH
SHELF

4'-6" x 3'-0"
W.C.

5'-3" X 8'-9"
VER

58
VI CRITICAL PATH METHOD – ACTIVITY ON NODE

59
The learnings or Recommendations:
60
 I Alternative Policy-Regulatory Framework
An Alternative Housing Policy as seen from the point of view of the slum dwellers
themselves. Firstly, it is clear that the vast majority of the city's population (77%) lives in
sub-standard or non-existent housing.
Secondly, the density in the slum clusters has increased six-fold in the last 25 years.
This policy will have the following components:
(i) Locate land within a one kilometre radius of the existing slum whose land use can
be appropriately notified as 'residential'.
(ii) Allot one plot of 50 Sq.m. to each family on leasehold basis on payment of a fee
not exceeding Rs. 10,000 per plot.
(iii) Provide connections to basic urban services (water, electricity, sewerage,
roads, drainage, dispensaries, schools) at the rate of Rs. 200 per Sq.m.
(iv)Supply services through public agencies, and not contractors, according to realistic
urban norms.
(v) Charge fees for supply of services on a monthly basis as per public policy.
(vi)Make available housing loans of up to Rs. 50,000 on easy terms against mortgage
of land.
Such a policy will provide security of tenure to enable investments in proper housing;
leave the earning capacity and available services of the household undisturbed;
maintain investment within the earning capacity of the family;
allow the entrepreneurial spirit of the people free rein;
give an adequate return on investment to public agencies; and
enhance the value additions in the quality of life in the city as a whole.

61
II Implementation:
(i) The planning, targets, budget and scheduling are realistic and generally attained because
residents, grassroots implementers and co-ordinators have been involved in decision-making.
(ii) As the budget and other resources available are known at the beginning of the year, there
is considerable confidence in implementing activities.
(iii) The amount of learning and self-confidence amongst co-ordinators and local workers is
considerable because the amount of work inputs and outputs seen are ‘black and white’, that
is transparent. This perhaps is the crucial aspect of the monitoring process amongst local
workers. Women, who may have studied up to class 7 or 10, working as health workers or
teachers, are involved in preparing an annual plan with a monitoring format, which is
regularly filled by them. This generates an enormous amount of self worth because their
achievements are recognised in very concrete terms.
(iv) A very effective management system is learnt and evolved, which has been found useful
in not only implementing activities and programmes, but in other aspects of daily living.
(v) Considerable amount of data is generated which enables better monitoring,
implementation and planning.
(vi) A sense of fulfilment, of having done work to one’s best ability is created which augurs
well for individuals and organisations in the short and long term.
(vii) For such a system to work, values of openness, trust and concern are of paramount
importance amongst all persons involved in various Slum Development programmes.
(vii) Partnerships and Participation in Slum Development.
III Mechanism:
The thread that holds System together is the inbuilt mechanism that facilitates partnership and
participation. Participation of residents has been for:
(i) Selection of qualitative and quantitative aspects and changes in Slum Development
programmes,
(ii) Selection of local workers,
(iii) Quantity of monetary contribution by residents,
(iv) Selection of ISD centres and
(v) Leadership and functioning of CBOs.
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IV Partnerships in Slum Development :
Partnerships with the Urban Local Bodies (ULBs), NGOs, State Government, private sector,
voluntary organisations, academic institutions and students. The partnerships have been in the
areas of:
(i) Slum Development programme and activity implementation,
(ii) Capacity building,
(iii) Evaluation and review and
(iv) Research.

V Sustainable Partnerships in Slum Development because:

(i) Structures that facilitate collaborative initiatives,
(ii) Proactive facilitation and integration of different objectives of the partners,
(iii) Acceptance and accommodation of differing working styles of the partners,
(iv) Recognition of efforts put in by all the partners,
(v) Sustainable processes that enhance partnerships established, and
(vi) Objectives of the partners are met.
Poverty, slums and urban squat are not going to go away in next 20 to 25 years. Reversal of
this phenomenon will begin after sufficient economic progress had been made. Eight percent
GDP growths is a good sign. With quadrupled GDP in 25 years, there is a good chance that
the new and upcoming generation may stay away from slum dwelling. It may take another 25
years before the slums are vacated.
Though the draft Slum Policy pretends to be pro-poor. This advocacy is more pretentious to
help the urban poor. But in practice it helps in increasing the prosperity, well being and illegal
income of PBIGs. The grass root struggle organizations in the country are well aware that this
draft has been designed contrary to providing land at an affordable rate to the urban working
class..

63
 CHAPTER – V

LIMITATIONS
1. Risk Analysis has not been covered as quantification is beyond scope as various risk
factors comes into play whrn yisualisation of such a project comes to ground reality.
2. Failure to collect and analyse data that would yield a quantitative assessment of the
relationship between time and cost of rehabilitation.
3. Old and out of date data as available on internet and other sources, as the slum
population is migrating and is easily influenced by other factors inhibiting accuracy
levels of data.
4. Long term treatment effects have not been dealt.

64
BIBLIOGRAPHY
1. www.google.com
2. www.sra.gov.in
3. The Challenge of Slums: Global Report on Human Settlements 2003
4. http://merachandigarh.in/panchkula-news/slum_dwellers_flat_huda_panchkula.html
5. https://jnnurmmis.nic.in/writereaddata/Sanctions/IHSDP/.../IHSDP-10.PDF
6. www.spaceofdemocracy.org/.../Node%20workshop%20Pradeep%20Abstract.doc
7. www.unescoihe.org/Integrated%20urban%20slum%20infrastructure%20development
8. www.developmentinpractice.org/.../role-government-and-ngos-slum-development-
situation-dhaka-city
9. www.tn.gov.in/gorders/maws/maws_e_87_2010_D.pdf
10. http://eau.sagepub.com/cgi/content/abstract/13/2/45
11. www.homeless-international.org
12. www.sparcindia.org and www.nirman.org
13. www.sdinet.org - for more information about SDI
14. http://www.economist.com/World/asia/displayStory.cfm?story_id=5636460

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