1.3 - Basic Services To The Urban Poors - RTP - MOD

III.
BASIC SERVICES TO THE URBAN POOR
JNNURM Rapid Training Programme
Governance & Reforms
Foreword 1. 2. 3. 4. Urban Poverty in India Internal Earmarking of Funds for Services to Urban Poor (L5) Provision of Basic Services to Urban Poor (L6) Earmarking Developed Land for EWS/LIG Category in all Housing Projects with a System of Cross Subsidisation (O4) Best Practices in Urban Poverty Alleviation (i) Urban Services to the Poor - Andhra Pradesh (ii) Kudumbashree Kerala (iii) Ashray Nidhi (Shelter Fund) Madhya Pradesh (iv) Housing for All - Rajiv Grihakalpa: Andhra Pradesh (v) Urban Sustainable Livelihood Programme (vi) Self Employed Womens Association (SEWA) (vii) The Society for the Promotion of Area Resource Centers (SPARC) (viii) Access to Water for the Poor: Andhra Pradesh Initiative (ix) Making Cities Open Defecation Free - Experience of Kalyani Municipality, West Bengal (x) Slum Networking
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Centre for Good Governance
Administrative Staff College of India
Foreword
With urbanization and growth of cities, there is need and urgency for better governance. Urban governance is no more limited to provision of infrastructure and operation of civic services. Conventional methods of governance with top-down approaches are considered inadequate, inappropriate and restrictive. Good urban governance is characterized by sustainability, equity and efficiency, transparency and accountability, civic engagement, security development of partnerships, etc. Livability, competitiveness and bankability are the other features of a modern city. There is a need for prudent and efficient financial and asset management to increase their capacity to facilitate market borrowing for investment in city development. Keeping these emerging challenges of 21st century, the Government of India launched Jawaharlal Nehru National Urban Renewal Mission with three interrelated and complimentary components governance, infrastructure development and provision of basic services to poor. Implementation of governance reforms like enactment of community participation and public disclosure laws, earmarking of funds for poverty alleviation by local bodies, levy and collection of user charges, simplification of procedures, etc., in identified areas is a precondition for accessing funds under JnNURM. The Mission was launched in 2005 and has a timeframe of seven years. The Ministry of Urban Development, GoI has initiated a Capacity Building Program to all municipal functionaries mayors, chairpersons, councilors, commissioners and executive officers, engineers, town planners, project officers, etc., who are responsible to implement the project to bring an awareness on the need, significance and urgency of implementation of reforms to improve civic management as well as the quality of life of the civic communities. The objectives of the programme include: Awareness building and understanding on the context, mission, objectives and significance of reforms and expected impact on the city; To develop political will and administrative commitment; Explain their roles and responsibilities in initiation and implementation of reforms and projects relating to infrastructure and basic services to the poor; To develop ownership and positive attitude towards the programme; and To create an enabling environment & managerial capabilities to accelerate and manage change The capacity building programmes are organized jointly by the Administrative Staff College of India and Center for Good Governance with the support of Ministry of Urban Development, Government of India. The training material, developed and prepared by CGG and ASCI, is presented in six volumes each of them dealing with a set of reforms. This volume covers reforms relating to urban poverty viz., Internal Earmarking of Funds for Services to the Poor (L5), Provision of Basic Services to Urban Poor (L6), and Earmarking at least 20-25% of Developed Land in all Housing Projects (both Public and Private agencies) for EWS/LIG Category with a system of Cross Subsidisation (O4). We hope the material presented in six volumes will help the municipal functionaries in understanding the context of reforms and taking them forward with a view to ensure their impact on the city and the community within the Mission period. It is also hoped that implementation of these reforms make the cities participative, financially vibrant, transparent and accountable, sustainable and livable. Every effort has been made to ensure that the material and data presented is correct and authentic. We take the responsibility for mistakes that may have crept in inadvertently. Centre for Good Governance Administrative Staff College of India
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Centre for Good Governance Administrative Staff College of India
III. BASIC SERVICES TO THE URBAN POOR
1. Urban Poverty in India 1.1 Poverty in India is defined in terms of calorie norm of 2400 per capita per day for rural areas and 2100 per capita per day for urban areas. The poverty line is taken as the per capita expenditure level, which meets these calorie norms. In order to arrive at the estimates of the number of poor, Planning Commission makes adjustments in the NSS data on distribution of households by consumption expenditure levels. Estimates of poverty both urban and rural are made by the Planning Commission at five-year intervals. The data on slums and slum population are being published periodically by the Town and Country Planning Organisation, Ministry of Urban Development, Government of India. In 2001, for the first time, Census captured the slum demography details. States have also been conducting poverty surveys in urban local bodies as part of SJSRY and other programs for better targeting the poverty programs. State wise poverty statistics published by the Planning Commission and slum details published by the Census 2001 are presented in Tables 1, 2, 3 and 4. Table 1 Percentage of Population below Poverty Line 1973-74 to 2004-05 Year Rural Urban Total 1973-74 48.41 50.61 48.86 1977-78 38.11 43.55 39.31 1983 26.53 36.30 28.91 1987-88 33.80 26.10 25.86 1993-94 15.92 38.33 22.19 1999-2000 11.05 26.63 15.77 2004-2005 28.3 25.7 27.5 Source: Ministry of Housing and Urban Poverty Alleviation, GoI, Compendium on Urban Poverty and Urban Slums, 2006
Table 2 State-Specific Poverty Line 2004-05 S.N o 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24
Table 3 State-wise Slum Population-2001 % to the total Population 32.69 6.28 10.53 13.24 13.24 18.45 8.28 11.79 33.07 18.60 12.80 11.50 1.81 24.31 31.66 41.33 22.54 14.10 20.38 16.18 17.85 15.52 22.12 18.98 26.82 16.23 22.59
States/UTs Andhra Pradesh Arunachal Pradesh Assam Bihar Chattisgarh Delhi Goa Gujarat Haryana Himachal Pradesh Jammu & Kashmir Jharkhand Karnataka Kerala Madhya Pradesh Maharashtra Orissa Punjab Rajasthan Tamil Nadu Uttar Pradesh Uttarakhand West Bengal D & Nagar Haveli India
Rural 292.95 387.64 354.36 322.41 410.38 362.25 353.93 414.76 394.28 391.26 366.56 324.17 430.12 327.78 362.25 325.79 410.38 374.57 351.86 365.84 478.02 382.82 362.25 356.30 292.95
Urban 542.89 378.84 435.00 560.00 612.91 665.90 541.16 504.49 504.49 553.77 451.24 599.66 559.39 570.15 665.90 528.49 466.16 559.63 547.42 483.26 637.67 449.32 665.90 538.60 542.89
S.No. 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26
States Andhra Pradesh Assam Bihar Chandigarh Chattisgarh Delhi Goa Gujarat Haryana Jammu & Kashmir Jharkhand Karnataka Kerala Madhya Pradesh Maharashtra Meghalaya Orissa Pondicherry Punjab Rajasthan Tamil Nadu Tripura Uttar Pradesh Uttaranchal West Bengal A&N Islands India
Source: Ministry of Housing and Urban Poverty Alleviation, GoI, Compendium on Urban Poverty and Urban Slums, 2006
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Table 4 Number and Percentage of Population below Poverty Line by States 2004-05 Rural S.No. States/UT No. of Persons (Lakh) % of Persons 4 11.2 22.3 22.3 42.1 40.8 6.9 5.4 19.1 13.6 10.7 4.6 46.3 20.8 13.2 36.9 29.6 22.3 22.3 22.3 22.3 46.8 9.1 18.7 22.3 22.8 22.3 33.4 40.8 28.6 22.9 7.1 39.8 5.4 13.3 22.9 28.3 Urban No. of Persons (Lakh) 5 61.40 0.09 1.28 32.42 19.47 22.30 1.64 27.19 10.60 0.22 2.19 13.20 63.83 17.17 74.03 146.25 0.20 0.16 0.16 0.12 26.74 6.50 47.51 0.02 69.13 0.20 117.03 8.85 35.14 0.32 0.67 0.15 0.14 0.06 1.59 807.96 % of Persons 6 28.0 3.3 3.3 34.6 41.2 15.2 21.3 13.0 15.1 3.4 7.9 20.2 32.6 20.2 42.1 32.2 3.3 3.3 3.3 3.3 44.3 7.1 32.9 3.3 22.2 3.3 30.6 36.5 14.8 22.2 7.1 19.1 21.2 20.2 22.2 25.7 Combined No. of Persons (Lakh) 7 126.10 2.03 55.77 369.15 90.96 22.93 2.01 90.69 32.10 6.36 5.85 116.39 138.89 49.60 249.68 317.38 3.95 4.52 1.18 3.99 178.49 21.63 134.89 1.14 145.62 6.38 590.03 35.96 208.36 0.92 0.74 0.84 0.21 0.11 2.37 3017.20 % of Persons 8 15.8 17.6 19.7 41.4 40.9 14.7 13.8 16.8 14.0 10.0 5.4 40.3 25.0 15.0 38.3 30.7 17.3 18.5 12.6 19.0 46.4 8.4 22.1 20.1 22.5 18.9 32.8 39.6 24.7 22.6 7.1 33.2 10.5 16.0 22.4 27.5
2 3 Andhra Pradesh 64.70 Arunachal 1.94 2 Pradesh 3 Assam 54.50 4 Bihar 336.72 5 Chattisgarh 71.50 6 Delhi 0.63 7 Goa 0.36 63.49 8 Gujarat 9 Haryana 21.49 Himachal 6.14 10 Pradesh Jammu & 3.66 11 Kashmir 12 Jharkhand 103.19 13 Karnataka 75.05 14 Kerala 32.43 15 Madhya Pradesh 175.65 16 Maharashtra 171.13 3.76 17 Manipur 18 Meghalaya 4.36 19 Mizoram 1.02 3.87 20 Nagaland 21 Orissa 151.75 15.12 22 Punjab 23 Rajasthan 87.38 24 Sikkim 1.12 25 Tamil Nadu 76.50 6.18 26 Tripura 27 Uttar Pradesh 473.00 27.11 28 Uttarakhand 29 West Bengal 173.22 A & N Islands 0.60 30 31 Chandigarh 0.08 32 D & Nagar Haveli 0.68 33 Daman & Diu 0.07 0.06 34 Lakshadweep 35 Pondicherry 0.78 All-India 2209.24 Source: Planning Commission
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Functional Domain of ULBs and Urban Poverty 1.2 The 74th CAA has identified 18 functions as core to be undertaken by the ULBs and incorporated them in the 12th schedule of the Act. As part of conformity legislation the states are expected to incorporate them in their respective state legislations. Of the 18 functions two are directly related to poverty, Viz. Slum improvement (10) and Urban poverty alleviation (11). Status of states on functions the above functions are shown in Table 5. 1.3 There are others, which impact the entire city including the poor, like planning for social and economic development, promotion of educational aspects, provision of water supply, etc. over the last 15 years most states have incorporated these two functions into their municipal Acts. The table on the right side gives an idea on the current status of the functional domain of ULBs in different states in respect to slum improvement and urban poverty alleviation. S.No . 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20
Table 5 States status on functions 1 & 2 Functions States 1 2 Andhra Pradesh Yes Yes Arunachal NA NA Pradesh Assam Yes Yes Chattisgarh Yes Yes No No Gujarat Haryana Yes Yes Himachal Yes Yes Pradesh Jammu & Yes Yes Kashmir Karnataka Yes Yes Kerala Yes Yes Yes Madhya Pradesh No Maharashtra No Yes Manipur Yes Yes Nagaland Yes No Orissa Yes Yes Yes Yes Punjab Rajasthan Yes Yes Tamil Nadu Yes Yes Uttaranchal NA NA Yes Yes Uttar Pradesh
1 Slum improvement and upgradation ((10) 2 Urban Poverty Alleviation (11) Source: MOAs of cities across states Basic Services to the Urban Poor - Mission and the Progress 1.4. The objective of JnNURM is to provide basic services to the urban poor. As the Government of India accords highest priority for urban poverty alleviation, the second Submission under JnNURM deals with Basic Services to the Urban Poor (BSUP). The National Steering Group under the Mission is common to both the Submissions and the Minister of State for Housing and Urban Poverty Alleviation is its Cochair. The objectives of the Sub-mission are: Focused attention on integrated development of basic services to the urban poor; Provision of basic services to the urban poor including security of tenure, improved housing, water supply and sanitation and ensure convergence of universal services for education, health and social security; Secure effective linkages between assert creation and asset management; Ensure adequate investment of funds for basic services to the urban poor; and Scale up delivery of civic amenities and provision of utilities with emphasis on universal access to the poor. 1.5. There is a separate Central Sanctioning and Monitoring Committee under the Sub-mission, which appraises and sanctions the projects submitted by the cities. The Submission Directorate is under the charge of Joint Secretary, Ministry of Housing and Poverty Alleviation who is designated as Submission Director. The Mission Directorate is responsible for ensuring effective coordination with state and city governments in the implementation of projects sanctioned by the Mission. At the State Level Steering Committee and State Level Nodal Agency are common in most states to both the Submissions. At the national level there is also a Technical Advisory Group comprising of professionals and civil society representatives to advice the Mission on aspects of community
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participation, securing transparency and accountability, to find ways and means to involve citizens in service delivery at grass root level, etc. 1.6. JnNURM aims to achieve the eleventh five year plan objectives of inclusive growth. Developing inclusive cities and slum free urban India are major challenges and thrust areas. The Ministry of Housing and Urban Poverty Alleviation jointly with UNDP has initiated a National Strategy for Urban Poor with a view to: Enhancing, understanding on trends and directions of urban poverty in India; To establish an all India network on urban poor livelihoods; Develop innovative and promising livelihood initiatives of urban poor; Capacity building; and Support to community associations and NGOs 1.7. As part of the strategy the Ministry has started several initiatives, which are presented in Figure 1 below. Figure 1
Researchers Colloquium Mayors Forum City Managers Forum
Ministry of Housing & Urban Poverty
National Group on Poverty
Core Urban
Alleviation &United Nations Development
City Poverty Profiles and Municipal Action Plans for Poverty
National Network of Resource Centers
Policy Interventions
Capacity Building
City Development Plan, Detailed Reports, Project Reform
Technology Support EGovernance State and Municipal UPA Cells Synergy JnNURM for & Effective other Impact of City Livelihoods Exchanges
MoHUPA
Interventions and Schemes
1.8. The BSUP has made substantial progress over the last three years and the details are given below. Total projects approved Number of mission cities received approvement of projects Total cost of the approved projects Central Share in the total cost Number of dwelling units covered under these projects Additional assistance from central by Ministry of Finance
: 170 : 39 : Rs.10, 512 Crore : Rs.5236 Crore : 5, 20, 772 :Rs.1138.28 Crore
1.9.
The following Figure 2 gives state-wise details of the projects sanctioned under BSUP. Figure 2
Andhra Pradesh 15%
Rajasthan 3% Meghalaya 0%
Tamil Nadu 9%
Chandigarh (UT) 6% Chattisgarh 4% Delhi 7% Gujarat 11%
Maharashtra 34%
Madhya Pradesh 6%
Kerala 1%
Karnataka 3%
Haryana 1% Himachal Pradesh 0%
1.10. The BSUP aims at integrated provision of basic amenities and services to the urban poor and slum communities. They include security of tenure, improved housing, water supply, sanitation, education, health and social security. The latter three services are to be provided through convergence of existing universal services of the Government. Governance reforms are central to improve urban governance and provide basic services to the poor in a sustainable manner. BSUP inter alia identified three key reforms viz., Internal earmarking within local body budgets for basic services to the poor in proportion to the share in total population; Implementation of seven point charter i.e., provision of basic services to the urban poor; and Earmarking at least 20-25 per cent of developed land in all housing projects (both public and private agencies) for EWS and LIG category with a system of cross subsidisation. In the following sections an overview and the current scenario of each reform are discussed. Reforms for Alleviating Urban Poverty 1.11 One of the major reforms of alleviating poverty is to ensure that access to basic services is made available to the urban poor. The objective of JnNURM is to provide basic services to urban poor. As the Govt. of India accords high priority for urban poverty reduction, a separate Sub-Mission on Basic Services to Urban Poor was constituted as part of JnNURM implementation. Three reforms under JnNURM directly impact the urban poor Viz., Internal Earmarking of Funds for Services to Urban Poor (L 5) Provision of Basic Services to Urban Poor (L 6) Earmarking alteast 20 25% of Developed Land in all housing projects (both public and private) for EWS / LIG category with a system of cross subsidisation (O 4) In this section an overview and the current scenario of each reform are discussed.
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2. Internal Earmarking of Funds for Services to Urban Poor (L5) 2.1 Internal earmarking of funds for basic services to the urban poor is one of the mandatory reforms under JnNURM. Under this, the urban local bodies are expected to allocate a specific percentage of funds in their budget for service delivery to the poor. Each local body has to commit itself in the MoA as to what percentage of its resources will be allocated and utilized for provision of basic services to the poor. They also have to undertake reforms in the budget and accounting systems to track the expenditure incurred in the delivery of services to the poor. Some states and cities have a policy to allocate resources to the poor either on their own or as per the state policy. The existing status on budgetary allocations in some states is discussed. Kerala 2% of revenue receipts from ULBs to CBOs towards poverty alleviation fund. (As per Sec. 284 of Kerala Municipality Act, 1994). Andhra Pradesh 40% of infrastructure funds allocated for basic services to poor (G.O. Ms. Mo.265 Municipal Administration and Urban Development (K2) Department Dated 12.11.1986). Gujarat 10% of municipal income, excluding income on transport and others specified by the Government of Gujarat. (Sec. 63 (2) Bombay Provincial Corporations Act, 1949). Unspent balances can be carried forward to next year. Madhya Pradesh Five percent of own resources are earmarked in the budget for the delivery of service to the poor in addition to this amount received from government of M P towards grant for implanting various schemes. Karnataka Needs of the slums in terms of infrastructure are assessed by the welfare department and incorporated in the budget There is a dedicated budget head called Comprehensive Development of Slums for which allocations are made based on demand. Jammu More than 20% of the budget allocation is provided for basic services to poor. Haryana Separate budget provision for upgrading of slums is made. Mumbai In Brihan Mumbai Municipal Corporation separate allocations are made for provision of services to the poor. Budget B is exclusively meant for the slum dwellers and those living in municipal chawls. Budget E, deals with education particularly for the urban poor as the municipal schools cater exclusively to the urban poor. A part from this, from the year 200607 onwards, there is a specific earmarking of funds for the urban poor living in slums and chawls. Budget G, deals with water supply and sewerage disposal.
3. Provision of Basic Services to Urban Poor (L6) 3.1 One of the mandatory reforms at ULB level is provision of basic services to urban poor. The ULBs are expected to update their database, prepare a comprehensive policy with stake holder involvement on basic services to all urban poor including tenure security and housing at affordable prices, rank and prioritise the poor settlements in a participatory manner to facilitate investment decisions and benchmark the services and prepare a time frame to achieve them during the Mission period. Current Scenario 3.2 One of the serious limitations is the absence of authentic database on slums and slum population. Similarly, data on basic services to the poor is also not adequate to gain a comprehensive understanding of the current situation in different states and cities. The data available in the Centre for Good Governance Administrative Staff College of India 9
Memorandum of Agreement gives an idea about the seriousness of the problem and provides direction to articulate strategies. The table below gives an idea on the wide variations between cities on access to basic services like water supply, sanitation, solid waste management, and housing etc. Table 6 shows the current scenario of basic services to urban poor.
Table 6 Basic Services to Urban Poor - Current Scenario Services Highest City Lowest City Mathura Kohima Mumbai Coimbatore Raipur Ludhiana Bangalore 10 30 min/day 45 lpcd 0 5 <5 0
Water Supply % of HSCs & PSPs Coimbatore 100 Hrs of Supply Ludhiana 12 hrs/day lpcd Agra 180 lpcd % without access Mathura 90 Sanitation % of HHs with individual Dehradun 80 toilets % of HHs with Coimbatore 95 Community toilets % of HHs with open Bhubaneshwar 97 defecation Housing % of HHs with Pucca Nainital 90 housing SWM % access to SWM Mumbai 99 **Bhopal has mentioned no access so it has been taken as 0%.
Faridabad
**Bhopal
Figure 3 Access to water to Urban Poor
Only two thirds of urban poor living in slums and squatters have access to safe and potable water as can be seen from the accompanying Figure. They have access to tap water either through house connection or public stand post. Provision of safe water to remaining one third of urban poor is a concern and priority. Figure 3 shows the access to water for urban poor.
None others 4% 18%
Tubewells/ Hand pumps 11%
Taps 67%
Source: The Times of India, Hyderabad, 31st August, 2007, p.2. 3.3 Each local body in their Memorandum of Agreements gave its commitment to provide basic services to urban poor. They also indicated a time frame along with milestones for different steps that go with the provision of services.
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4. Earmarking Developed Land for EWS/LIG Category in all Housing Projects with a System of Cross Subsidisation (O4) 4.1 Earmarking of developed land for the poor is one of the optional reforms under JnNURM. Under this at least 20-25% of developed land in all housing projects -both public and private sectorsshould be earmarked to the EWS and LIGs in order to meet the housing needs. The current status on earmarking of developed land for the urban poor in some states is given below in Table 7: Table 7 Current status on earmarking of developed land for the urban poor in some states
S.No State Mandatory Reforms Yes No Yes % Of Reservation of Developed Land 20% 25% in case of joint venture project of KHB 30% by Urban Development Authority 20 25% of land in all housing projects 25% Applicable for Govt. & Pvt. Both No Remarks
1 2 3
Haryana (Faridabad) Kerala (Thiruvanathapuram) Karnataka (Bangalore)
4 5 6
Andhra Pradesh (Vijayawada) Jammu & Kashmir (Srinagar) Tamil Nadu (Chennai)
Yes Yes -
Both No Both
Reform under implementation
7 8 9 10 11
Maharashtra Uttar Pradesh (Allahabad, Varanasi) Chattisgarh (Raipur) Gujarat Madhya Pradesh
No No No Yes
20% of land in all housing projects
Both
State Govt. has set up committee for the implementation of this reform -
Source: MOAs signed respecrtive cities across states 4.2 States like Haryana, Karnataka, Andhra Pradesh, Jammu & Kashmir, and Madhya Pradesh earmark a specific percentage of developed land in all housing projects, both public and private sectors, to the EWS and LIGs in order to meet the housing needs as per the mandatory reforms. There appear to be ad-hoc allocations in most states/cities for EWS and LIG category to meet their housing needs other states did not give details on the status of allocations.
5. Best Practices in Urban Poverty Alleviation (i) Urban Services to the Poor - Andhra Pradesh 5.1 Andhra Pradesh made concerted efforts to provide basic services to the poor through the Andhra Pradesh Urban Services for the Poor (APUSP) project an externally aided Project supported by DFID, UK - in the forty-two class 1 cities in the state. The Project aims at sustained reduction in vulnerability and poverty of the urban poor and to benefit the poor from improved access to more appropriate and sustainable services. APUSP comprises three distinct linked and complementary components viz., reforms, infrastructure provision and strengthening civil societies. Participatory processes in planning and implementation, performance based fund releases, capacity building, preparation of municipal action plan for poverty reduction (MAPP) and poor settlement matrix prioritizing the slums, micro planning, and convergence are its key features. The MAPP 5.2 The preparation of MAPP involves a nine-stage process in a participatory and transparent way. Community involvement is very extensive in the first five stages and the remaining stages
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involve preparation of MAPP document, appraisal and approval, preparation of detailed estimates, review and fund release. Poor Settlement Matrix 5.3 The heart of APUSP is preparation of a poor settlement matrix based on two indicators viz., poverty - BPL and the number of SC and ST population and infrastructure - like water, roads, drains, etc., deficiency in the slums. (As part of provision of basic services to the poor under JnNURM, it is mandatory for all ULBs to rank and prioritize the urban poor settlements in a participatory manner.) All the poor settlements are ranked in order of priority by the communities contributing to greater ownership and acceptability to the prioritisation. Slums are selected for development from the matrix based on availability of financial resources. This process is objective, participatory and transparent. A sample matrix is given below in Figure 4. Figure 4 Poverty and EID Matrix Poverty SCORE 1 1/1 1/2 1/3 2 2/1 2/2 2/3 3 3/1 3/2 3/3 1 2 3
Infrastructure Deficiency
Micro-planning 5.4 Action plan for slum development is prepared through a participatory process by the community groups incorporating infrastructure and human development needs like education, health, livelihoods, SHGs, vulnerable groups, etc., through micro-planning process involving all members of the community. The micro-plans of different poor settlements are consolidated at the city level, to make it city level action plan for poverty reduction. The MAPP consists of three components viz., reform, infrastructure and social development. The reform action plan covers financial improvement plan, institutional development plan, communication strategy and capacity enhancement plan. Infrastructure plan includes general town plan and O&M plan and plan for the development of identified poor settlements. The social development plan covers health, education, vulnerable groups, strengthening community-based organizations, etc. Livelihoods and SHGs 5.5 Livelihood development is another important component of APUSP undertaken through UPADHI urban programme for advancement of household incomes. One significant feature of livelihoods development is the market scan, which surveys the local economy, skill requirements of the economy and available skills in the communities. The skill training is imparted based on employment potential and local market needs. While selecting the people for training poorest of the poor are given priority. Strengthening self-help groups and providing linkages with the banking institutions to support livelihood activities and micro-enterprises is another project taken up under APUSP. Three important features of implementation of APUSP are focus on community contracts, community monitoring of the implementation and third party quality assurance. Impacts and Outcomes 5.6 APUSP made significant impact on local institutions and poverty. Reforms streamlined the financial management including audit and accounts, improved finances of the municipalities; build the capacities of the officials, elected functionaries and communities. MAPP process participatory planning, matrix preparation, micro planning, UPADHI, strengthening SHGs, etc., have been extended to all the local bodies in the state. Transparent and participatory decisions; resource allocation based on analysis and prioritization, active civic engagement in city governance, etc., are its other significant contributions. The Andhra Pradesh poverty reduction strategy, which is based on the APUSP experience, is holistic, participatory, convergent and process oriented. (ii) Kudumbashree Kerala
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5.7 A multi-pronged bottom up approach to poverty reduction was launched in Kerala in early nineties and this evolved into Kudumbasree considered a best practice in poverty alleviation by the United Nations. Kudumbashree is a community based, women oriented, participatory and convergent approach for poverty eradication. It aims at eradication of absolute poverty in ten years through concerted community action within the framework of local-self government institutions. It is envisaged as a step to further decentralization by enabling the organization of the poor to function as delivery system of poverty schemes. The philosophy of Kudumbasree is convergent community action and convergence with government departments and agencies like education, health, social welfare, municipal administration and rural development. The Mission 5.8 Kudumbashree addresses the multi-faceted phenomena of poverty adopting a holistic approach to tackle its variegated manifestations. Its goal is eradication of poverty in the state within a decade. The ultimate goal of Kudumbashree is to reach out the family through women and the community through family. Strategies 5.9 Convergence of various government programmes and resources, participatory anti-poverty planning and implementation, formation of thrift and credit groups and development and nurturing of micro-enterprises is central to Kudumbashree strategy. The other aspects of the strategy include: Formation of women collectives. Training to share experiences and to broaden outlook on health, education, social and economic status. Skill upgradation to facilitate economic development and livelihoods Skill upgradation trainings Self-employment opportunities and infrastructural development through wage employment schemes, development of micro enterprises, Thrift - credit operations and 24 hour banking system. Small savings generated at the families are pooled at various levels as thrift and used to attract credit from banks, which will operate as 24-hour bank for the poor, acting as a subsystem of the formal banks. Better living conditions - infrastructure facilities. The micro-plans formulated by the NHGs are integrated into mini plans at ADS level and action plan at city level. This will be the anti-poverty sub plan of the local body and this will facilitate convergent delivery of Government programmes meant for the poor. Kudumbashree promote self-help approach for building houses, toilets, water and sanitation facilities etc. Individual facilities are supported and strengthened by the common infrastructural facilities. Micro-enterprises for sustainable economic development. Kudumbashree gives necessary resource support and facilitate forward/backward linkages to promote micro-entrepreneurship among poor women. Power to the people; especially the poor women. The skill for identification of needs, fix priorities, availing resources, bridging gap between needs and resources in a cost effective manner are imparted to the women groups. In the decentralization pattern of Kerala, Kudumbashree acts as a healthy sub-system facilitating participation of poor women in planning, implementation and monitoring of the programme. Leadership - Decision making power. Approach 5.10 The approach adopted under Kudumbasree is flexible and evolving based on the needs and experiences. It emphasizes on inclusiveness and organizes the women from poor families and networks them. These organisations facilitate community action with handholding and capacity building support from government and non-government agencies. It is demand driven and convergence of public services is central to planning and implementation. The objective is to move towards public action for responsive governance Risk Indictors
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5.11 The beneficiaries are identified through a nine point risk indicators. The transparent and noneconomic nine risk indicators are: Landless Houseless Without access to drinking water Without access to toilet Women headed households Unemployed Belonging to SC / ST Physically/mentally challenged person (at least one member) Illiterate adult member (at least one member). 5.12 The risk index is simple, inclusive, and takes into consideration non-economic criteria including various manifestations of deprivation. It is based on a community self survey and enables the decision makers to initiate corrective steps. The families with more than four points are identified as families in risk needing support. At present all the risk elements are given equal weightage. Efforts are being made to prioritise these risk elements and give weightages to each element so that the beneficiaries can be identified based on intensity of the risk. A Convergent Model 5.13 One of the significant features of Kudumbasree is that it is a convergent programme. Convergence is achieved in planning and implementation through community based organizations. It mobilizes resources and other inputs from several convergent departments and agencies as shown in the Figure 5 given below: Figure 5 Convergent Model
Social Welfare Dept. UD/RD Dept.
Women and Child Dev. Dept.
Agriculture & Animal Husbandry Dept.
Private Sector
NGOs.
Banking Institutions
CBOs of the Poor
R&A Institutions
Health Department
Industries Dept.
Education Dept.
Dept. for Socially Disadvantaged
Impact 5.14 Kudumbasree enabled the communities, particularly the women, to participate actively and effectively in the development process; particularly poverty reduction. The development plans prepared by the communities are based on local needs and priorities through a bottom up participatory process and they are consolidated at municipal and district levels. Kudumbasree facilitated convergence of resources and services and their integration into anti-poverty plans. Another aspect of the programme is the community monitoring. The programme brought the local political functionaries, community based organizations and the poor into partnership. Scientific principles replaced patronage in the prioritization of needs and identification of beneficiaries. Both infrastructure and human development aspects are accorded high priority in the plans and the marginalized are included. Interaction in women collectives helped them to have a better
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understanding of the local situation contributing to the emergence of leadership. A large number of women trained in Kudumbasree are getting elected to the urban local bodies. The other impacts of Kudumbasree include: Improved access to services and programme benefits; Confident women capable voicing their needs and priorities; Generation of savings through thrift and credit societies and access to credit facilities through banks; Development of individual and group micro-enterprises; Public action against social and economic injustices like domestic violence through collective action; Women empowerment; and Universal coverage of the poor. 5.15 Decentralisation, government ownership of the initiative, vision of a few government functionaries facilitated the conception and sustained growth of the anti-poverty programme like the Kudumbasree. Empowerment of women and the poor for driving their own development is the antipoverty strategy of Kudumbasree. (iii) Ashray Nidhi (Shelter Fund) - Madhya Pradesh 5.16 Madhya Pradesh has launched an innovative programme called Ashray Nidhi or Shelter Fund to ensure that the economically weaker sections of the society gain access to residential plots or houses. Rule 10 of the Madhya Pradesh Nagar Palika (Registration of Coloniser, Terms and Conditions) Rules, 1998, as amended in 2000, seeks to ensure the availability of Plots/ Houses for the economically weaker sections (EWS) of the society. The specific provisions include: Sub Rule (1): In every residential colony developed by private colonizers/developers, 15% of the total developed area having fully developed plots equal to the size of 32 to 40 sq.m. area shall be reserved for persons belonging to EWS. Sub Rule (2): The colonizer can construct houses of 20-24 sq.m. size in 25 % of the developed area instead of developed plots in the colony for the EWS. Sub Rule (3): The colonizers who don't want to opt either of the above two options have to deposit shelter fee in the Ashraya Nidhi (Shelter fund) for the total area of the colony at the following rates: i) For towns having population upto 3 lakhs: @ Rs 40 per sq.m. ii) For towns having population of 3,00,000 to 5,00,000: @ Rs. 60/- per sq.m., and iii) For towns having population of more than 5,00,000: @ Rs. 100/- per sq.m. 5.17 The shelter fee so collected is deposited in a joint account of the district collector and Project Officer of District Urban Development Agency. The Fund can be used for the following purposes: As an interest free loan to Local bodies / Madhya Pradesh Housing Board / Madhya Pradesh Slum Clearance Board / Development Authority. As margin money to obtain loan from financial institutions for the construction of houses for EWS. For providing basic services like sewerage, drinking water, public toilets etc in the slum areas. The scheme affords scope for mobilizing additional funds for housing and water and sanitation projects in slum areas. Experience so far shows that in larger cities the colonizers preferred using the Shelter Fund option only. 5.18 For allotment of plots or houses reserved for weaker sections committees under the chairmanship of Divisional Commissioner at the divisional level and District Collector at lower levels were constituted. The committees determine the cost of the plot on the basis of the rate at which the colonizer purchased the land of the colony concerned or the prevailing rate as the case may be. The resources generated under the shelter fund are allocated as loans without interest to ULBs, housing board, slum clearance board and development authorities.
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(iv) Housing for All - Rajiv Grihakalpa: Andhra Pradesh 5.19 Rajiv Grihakalpa is a dream come true for economically weaker section families of urban areas of Andhra Pradesh. There is a wide gap between demand and supply of good quality housing for lower income groups. In order to improve the quality of urban life and to provide affordable houses with improved infrastructure to the urban poor, the government of Andhra Pradesh formulated a project called Rajiv Grihakalpa, an innovative and first of its kind programme in the country. Its objectives are construction of housing stock for the poor and lower income groups. Eligibility Criteria 5.20 The Project is targeted at economically weaker section families but having the ability to pay the loan in easy installments over a period of 20 years to banks. The other conditions include: The first applicant will be the lady of the house and co-applicant will be either husband/father, Should have the income in the range of Rs.2,000/- to Rs.3,000/- per month. Have 5 years of proven residence in the concerned municipal corporation/ municipality, Not have any house either in is individual capacity or in the name of spouse or any other name. The applicant while submitting the request letter has to deposit Rs.1,000/- as against his total contribution of 10% of the cost i.e., Rs.7,500/- this money will be used for opening the Bank Account in his name. Features 5.21 Out of the cost of the flat, i.e. Rs.75,000/- the beneficiary contributes 10% i.e., Rs.7,500/- and the balance i.e., Rs.67,500/- is raised from Bankers as loan to be repayable over a period of 20 years or less as the case may be on interest not exceeding 8% p.a. The beneficiaries offer personal or group guarantee. There shall be a moratorium period of 5 years on transfer of houses. The registration charges are exempted. The title of flat ownership will be mortgaged with the financing banks that will be given the right of recourse. The title will' be transferred to the applicant after the bank dues are fully met. 5.22 The plinth area of the flat is 250 Sft. including common spaces and the carpet area will be about 217 8ft. In 217 Sft., one bedroom of 60 Sft., and living room of 102 Sft., with standing kitchen provision along with separate toilet and wet area with storage on top. Each flat is very well ventilated. Each floor consists of eight and a total of 32 flats in a G+3 block. Number of blocks will vary according to the availability of land. The flat is designed giving due consideration to the privacy of the occupant. The layout includes roads, water supply, sewerage line and electricity etc., provided by the ULB at their cost. Greening and tree plantation will be taken-up under social forestry schemes. District Collectors coordinate the provision of other social infrastructure such as schools, shopping complex, and community centers through the concerned agencies. Implementing Agency 5.23 The A.P. Housing Board and A.P. State Housing Corporation implement the project. In order to build in community mobilization component, as an innovative measure Non-Governmental Organizations (NGOs) with known track record will be working in tandem with the Government as facilitators to liaise with individual beneficiary and groups for timely repayment and community building. (v) Urban Sustainable Livelihood Programme 5.24 In the context of urbanisation of poverty in India there is an emergent need to address the employment gaps among the most disadvantaged youth - women and men. In recent years a livelihood-training model in the age group of 18-35 years from economically weakest sections enabling them to gain access to opportunities for sustainable livelihoods and growth in the new economy is emerging. Its objectives are to: Facilitate disadvantaged youth to gain access to new economy jobs, Catalyze citizen-community-corporate partnerships to provide market based access and opportunity to meet human resource needs, and
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Develop institutionalized mechanisms for public private partnerships, Organise sustainable employment and livelihood training, and Provide placement services to the skilled youth to gain access to employment opportunities. 5.25 The program supports both employment opportunities oriented workforce preparation as well as micro-enterprise development, specifically oriented towards identified labor market requirements and opportunities. It bridges the emerging demands in the new economy with changes that need to happen in the educational pipeline for workforce preparation in the country. This implies involvement of business and industry professionals in developing integral components to education reform including contextual employability competencies; work based learning, career academies, acquiring workplace skills and advancement of employability competencies. 5.26 Core principles and strategies indicate paradigm shift in workforce development. The projects are designed to address the key gaps in education and vocational training, demand and supply of work force development and employment, coverage and equity in training and employment opportunities, employability training and employment industry interface and courses and certification of new entry level competencies for service industries. Linking learning with livelihoods is one of the key strategies that promotes aspirational and flexible learning module to facilitate educationally disadvantaged youth to become life long learners and move towards security and growth stages in their career Employability Model 5.27 Ek Mouka is a demonstrated and tested employability training model that provides access to market oriented employability & entrepreneurship training to the most deprived youth, effectively addressing the disconnect between the skills acquired through the education system and those demanded by the new economy. This model aims to provide: an access barrier free learning model specific to the age, aspiration, location & category of vulnerable youth; market oriented competency based employability skill development; a model feeder line for higher education (many of the youth, after working for a few years, return back to the school to complete their education); active and continuous participation of the private sector at every stage and institutionalized process tools. The model has demonstrated a new paradigm in terms of community based sustainable replicable integrated learning and livelihood promotion opportunities for youth at risk. The aspirational learning model specific to vulnerable youth has been demonstrated across a variety of age groups, locations and categories. Key activities of the Ek Mouka Model is presented in the Figure 4 below. Figure 4
E m p lo y a b ility M o d el
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2
M a rk e t Scan
C u rric u lu m D e v e lo p m ent
P ro g ra m R e vie w E m p lo ya b ility M o d el
Road Show s
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P la c e m e n ts
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In d u c tio n
W o rk R e a d in es s M o d u le
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A s s ig n m e n ts
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C la s s ro o m T ra in in g
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Market scans 5.28 For demand driven work force development, it essential to undertake a detailed market survey to analyze labor demand and supply to feed the vacuum in employment generation. The
Based on CAP Foundations experience.
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process begins with identification of profiles in sectors that have long-term livelihood prospects and growth opportunities. The market scan results are scrutinized and evaluated by the industry, economists, and experts from different sectors to strategize intervention and design customised training courses for identified profiles of youth groups. The results form the basis for deciding course, content and requisite competencies of trainers. Curriculum Development 5.29 Significant investments are made in development of market oriented competency based, accelerated learning curriculum for acquiring entry-level competencies. The full fledged 100 day curriculum for the 10 core competencies viz., computer literacy, listening, speaking, reading, writing, numeracy, spoken English, life skills, customer relations and entrepreneurship are used besides developing the curriculum for the courses catering to the entry level profiles identified through the market scans. Delivery of the curriculum is through face-to-face interaction; Computer based training as well as technology enabled distance education channels Road Shows 5.30 The road shows organized through the local NGO partners aim at mobilizing the community and youth - vulnerable groups, community leaders and marginalized community representatives in the project areas. The process of road shows includes: Awareness creation regarding the programme done by the partner NGO or government agency or by direct public advertisement Registration of participants for participation in the programme Aptitude test and counseling with the candidates to match the candidate with industry Providing details of when training programme. 5.31 Adequate attention is paid to counselling, keeping in mind the gender aspects. Special drives are undertaken to identifying young women as potential participants in the programme. Involving government departments at the level of municipal councilors, corporators, etc., will strengthen the community partnerships. The vulnerable youth include out of school individuals and high school graduates between 15 and 30 years of age, without opportunities for study, jobless or underemployed. They lack income-earning skills and training and are therefore considered vulnerable to poverty and exploitation. Induction 5.32 Before starting the training there will be a is a short induction module aimed at breaking the ice and to introduce the trainee into the self-reliant learning mode. The trainees get oriented to the pedagogical perspectives that promote the learning to learn values in them and the modalities of entering into a learning contract that is supported by self learning, group learning and experiential learning. Training / Classroom Practices 5.33 Customized, contemporary and quality training for market oriented work force development is the key objective of the organization. Parallel to the selection of trainees, CAP will also liaison with various business houses through a Market Scan / Labor Market Inventory to look for possible employment options. Training programs are implemented through the Employment Training Centres. Contents of the courses for youth are of 4 components basic academics, technical, life-skills and workplace preparedness. These courses are not, however, taught in a distinct or modular manner; instead the life skills course runs throughout the duration of the training and is integrated into every aspect of learning that takes place. Assignments & Assessment of Trainees 5.34 Integrated into the learners support module is the assessment component on the competencies acquired and demonstrated by the trainee. The student portfolio developed through learning by doing technique then becomes the evidence of the acquired knowledge, attitude, skills and competencies and therefore greatly supports placements. This serves as the internal assessment report for the trainees Work readiness
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5.35 The course is also ended on a preparatory note for the student to enter the placement stage. Before entering placement the student is put through work preparedness or a Market Readiness module. This module is aimed at making the student emotionally and technically equipped for the world of work into which he/she is about to enter. Placement 5.36 A placement cell to interact with industries that represent labor demand in the economy is setup during the interface stage. At the level of the participants, the participants who complete the vocational and life skills courses are put through a work readiness plan to prepare them for their actual employment. Design of this plan, as also apprenticeship /on the job training are all part of the interface stage. Moreover, systems are established for feedback from the employers as well as the alumni who are placed with the industries. Program Review 5.37 Reviewing the programme interventions for mid-course corrections to facilitate quality assurance and effectiveness. The model has been tested and demonstrated at various urban and sub-urban locations and adopted by business orghanisations, NGOs and government indicating a paradigm in community based sustainable, replicable and integrated learning and livelihood promotion opportunities for disadvantaged youth. 5.38 The model works in line with the governments policies of creating employment in emerging sectors to enable the vulnerable groups to take advantage. On the other hand, it also works in tandem with corporate houses, which are the emerging sources of employment, using them for placement as also for business mentoring. This enables a holistic cycle of employment whereby a balance is struck between the needs of the vulnerable communities and the needs of the emerging growth sectors in the economy. Its holistic education and livelihood promotion module combines formal education with vocational training skill development training, life skill modules, job placement and career exploration opportunities, through an experiential mode, aimed at developing confident individuals capable of self directed growth through Integrated learning modules that include life skills and academics; Long-term career option pathway exploration; and Access to market-oriented livelihood opportunities. (vi) Self Employed Womens Association (SEWA) 5.39 SEWA is an organisation of poor, self-employed women workers. These are women who earn a living through their own labour or small businesses. Shri Mahila Sewa Sahakari Bank, a separate bank of poor self-employed women workers was established at the initiative of 4,000 self-employed women workers in 1974. The bank is owned by the self-employed women and policies are made by their own elected board. Today it has large number of depositors and good working capital, which provides all finance-linked supportive services to its members and has started a work security insurance scheme and a housing programme. 5.40 here are four types of self-employed or unorganized sector workers. (i.) Hawkers, vendors and small business women selling vegetable, fruit, fish, eggs and other food items, household goods and clothes. (ii.) Home-based workers like weavers, potters, bidi and agarbatti workers, papad rollers, ready-made garment workers, women who process agricultural products and artisans. (iii.) Manual labourers & service providers like agricultural labourers, construction workers, contract labourers, handcart pullers, head-loaders, domestic workers and laundry workers. (iv.) Producers. 5.41 A group of such self employed women first formed their own organization in 1972 when the Self Employed Womens Association (SEWA) was registered as a trade union in Gujarat, with the main objective of "strengthening its members bargaining power to improve income, employment and access to social security." SEWA is not merely as a workers organization, but is a movement. It is in fact, a confluence of three movements - labour, co-operative and women. Gandhian Philosophy is the source of inspiration for SEWA. SEWA has spread all over India today with its growing membership. Through its joint strategy, SEWA has helped workers organize around various issues, resulting in their
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being able to raise these with Government as well as in the society in general. Empowerment of Women 5.42 Over the years, SEWA has organized for poor self-employed women using the dual strategy of struggle and development, thus enabling them to enter the mainstream of the economy. In this process, women have become more confident and autonomous. Through the initiative of the SEWA Bank, the poor women have been given control of natural and financial resources. This has, for example, helped them build their own water structures (like wells, ponds, hand pumps, etc.) By establishing a relationship of trust and getting involved with the whole life of the borrowers, high recovery rates have been established. This has not only enabled the members to come out of the clutches of private moneylenders, but has also enabled them to develop the skills of dealing with formal organizations. In the process, their self-confidence has been enhanced. The vicious circle of indebtedness and dependence on middlemen and traders has been broken. This has changed the bargaining position of these women. They can now organize themselves, bargain for higher wages and, in case of a need, form their own economic units like cooperatives. Most importantly, the Bank provides its members with monetary security (as the members have savings accounts in the Bank) and gives them a control over their own incomes. It has also provided the badly needed banking infrastructure that serves the self-employed and small businesses. Gradually the members are trained in the habit of banking. This inculcates a sense of thrift and the members learn to make their money more productive. Poverty Alleviation 5.43 The SEWA Bank has thus contributed directly in achieving, to some extent, the larger SEWA goals of organizing and creating visibility for self-employed women, enabling them to get a higher income and to have control over their own income. A large number of members now have their own handcarts, sewing machines, looms and tools of carpentry and blacksmith to work with. Many of them have upgraded their skills and developed more business. For example, vegetable vendors who used to sell their products with baskets on their heads and now have their own little street-corner shops with a municipal license. The SEWA Bank is innovative in many ways organizationally, institutionally, and financially. Its most important contribution has perhaps been to encourage the women to participate fully in all phases of banking, lending and saving activities. The SEWA Bank has targeted its efforts of banking not just towards the "symptoms" of homelessness or poverty and their alleviation, but on the structural causes, including long-term capacity building of the poor women and their institutions. Internationally, the SEWA bank is an inspiration for the Women World Banking. Lessons Learnt

Poor Women can save - Poor women have a basic instinct for saving. They can and do save, if motivated and facilitated. Poor do Repay Loans - Majority of the poor, particularly women, are economically active. They are involved in multiple economic activities; they have short period business cycles with high rates of return, and can do repay loans, provided their repaying capacity is assessed properly. Poor do Pay Market Rates of Interest - When poor borrow from informal financial sources, they pay much higher interest rates than the prevailing market rate in the country. They do and are ready to pay the market rate of interest.
(vii) The Society for the Promotion of Area Resource Centers (SPARC) 5.44 The Society for the Promotion of Area Resource Centers (SPARC) is one of the largest Indian NGOs working on housing and infrastructure aspects for the urban poor. In 1984, when SPARC was formed, it began working with the most vulnerable and invisible of Mumbai's urban poor the pavement dwellers. SPARC's philosophy is that if we can develop solutions that work for the poorest and most marginalised in the city, then these solutions can be scaled up to work for other groups of the urban poor across the country and internationally. Since 1986, SPARC has been working in partnership with two community-based organisations the National Slum Dwellers Federation (NSDF) and Mahila Milan. Together, they are known as the Alliance. Today, the Alliance works in about 70 cities in the country and has networks in about 20 countries internationally. 5.45 The roles of each member of the Alliance are clearly defined. The NSDF organises and mobilises the urban poor and negotiates with resource providing institutions, Mahila Milan supports
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and trains women's collectives to administer and manage their community's resources and participate in NSDF activities, and SPARC provides the administrative, financial, policy, documentation and other support necessary for these processes to be successful on the ground. Goals 5.46 The urban poor in most cities across the world have inadequate access to housing and infrastructure. Therefore the immediate aim of the Alliance is to create the institutional arrangements that are necessary for large numbers of the poor to access and housing and infrastructure. The longterm vision is to support a process where organised groups of the urban poor can participate in making decisions about how their cities are developed and managed. Strategies 5.47 Over the past twenty years, the Alliance has developed what is called the federation strategy to achieve its goal of ensuring secure housing and infrastructure for the urban poor. This involves: Setting up community centers, is called Area Resource Centers, Encouraging communities to join savings and credit groups that simultaneously builds trust within a settlement and strengthens the financial assets of participating families, Supporting communities to collect detailed information about themselves, which is called "Enumeration, Mappings and Surveys" so that they can negotiate with local authorities from an informed position, Facilitating communities to visit each other, share ideas and learn from each other's experiences and lessons through Peer Exchanges, Organising Housing and Toilet Exhibitions, which showcase affordable housing and sanitation solutions to government authorities as well as local populations, Demonstrating through pilot or precedent setting projects the kinds of housing and infrastructure models that work for the poor as well as the city and can be scaled up substantially, and Finally, based on all our grassroots mobilisation work and experience, advocating for pro-poor Policy Changes. 5.48 All these tools and strategies are geared towards strengthening bonds between poor communities and building their financial, managerial and organisational capacities so that they can take on not only housing and infrastructure projects themselves, but also participate in larger issues of city redevelopment and management. (viii) Access to Water for the Poor: Andhra Pradesh 5.49 In Andhra Pradesh, 73 percent urban population has access to water supply - 50 percent through house service connections (HSC) and 23 percent through public stand posts. The remaining largely depend on unsafe sources like bore wells, tube wells, open wells, etc. Though there are several legal, political and economic barriers to get water connections to the poor households, high connection cost - euphemistically called donation- is the most critical. The policy makes no distinction between the poor and the non-poor and the households has to pay an amount of Rs. 6,000 to Rs.10,500. Because of high connection costs, the poor are unable to access water connections. To ensure access to the poor to potable water, Government initiated several policies, which include: Subsidy to the poor to access to HSC Notification of non-notified slums, which facilitates slum communities to access the basic services to which they are not, entitled without notification. Allocation of 40% of net municipal funds for slum improvement and accordingly priority to water and sanitation services.
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Water Connection with Subsidy 5.50 The Government in 1998 subidised the connection cost to the poor by 50 percent through NSDP funds. The number of connections to be given was predetermined by the government based on the funds available under NSDP. As a result, only the better off among the poor - only over a lakh households, covering about half a million poor population, gained access to water under the scheme between 1998-2004 and others continue on depend on public stand posts or other sources. The government in 2005 decided to extend HSC to BPL families at Rs.1200 with the option to pay the cost in twelve equal installments. Under the scheme the cost of the tap should be born by the beneficiary and the connection costs such as pipes and road cutting charges, etc., by the ULB. About one lakh eligible BPL households applied for HSC under the scheme and the local bodies sanctioned over twothirds of the applications and four-fifth got installed. The reasons for delay in providing HSC include approval from the PHED, limitations of water sources, awaiting completion of construction of ELSR and distribution lines, procurement delays, financial constraints, non-availability of distribution network, etc. Through the two schemes about 15-20 % additional BPL households gained access to HSCs. Impact of the Initiative 5.51 The policy initiatives have a positive impact both on the poor and local bodies. After this initiative, potable water is available at the doorstep, heightened self-respect and dignity of the poor reduced expenditure of time and costs and increased work mandays. From the utilitys end, enhanced image of the local body, less scope for pilferage and illegal connections, improved efficiency, reduced expenditure on adhoc arrangements, support for continuous water supply initiative, willingness to pay due to assured service, etc., are the benefits to the local bodies. However, with this initiative, the local bodies began to feel the immediate loss of revenue and increased expenditure on operation and maintenance due to lowered connection costs. Issues and Way Forward 5.52 Insufficient guidelines, inadequate communication of policy, inadequate planning, poor not having ration cards and absence of ownership details, reservations, if not opposition of local bodies as they loose revenues, absence of adequate distribution network, poor financial position, and nonresponsive municipal bureaucracy are some of the issues and concerns in providing access to all the eligible BPL families. By far inadequate distribution network is a major problem. 5.53 The initiative brought smiles on the faces of the poor households along with health benefits. It freed the members of the poor families- particularly the women and the boys and girls - from the daily chore of collecting water from long distances investing their time and effort on productive activities including education. This improved the image of the local bodies. The success of the scheme indicates that the poor are eager to have HSCs and are willing to pay water tariff. The connection costs is the stumbling block and inhibiting factor. Wide publicity to the scheme including the health benefits and proactive response of the local body would enable the poor to benefit from the scheme. 5.54 The initiative lays the foundation to achieve the watsan MDGs. There is need, however, to strengthen the guidelines based on experience, support the local bodies with grants to augment source and expansion of distribution network, streamline tariff policy, and extend technical and financial support to implement 24/7 in all poor areas. It is also important to target properly by associating the CBOs in the selection of beneficiaries, provide automatic access to listed occupational groups, provision of meters to BPL households free of cost, incentives to wards with 100 % HSC coverage, etc. India is estimated to be spending over Rs.2, 50,000 crores annually treating water related illnesses. Considering the public health benefits that are likely to accrue, these investments are not high. (ix) Making Cities Open Defecation Free - Experience of Kalyani Municipality, West Bengal 5.55 Open defecation is widely prevalent in the slums of Kalyani Municipality in West Bengal. These slum dwellers endure indignity, shame and sickness and suffer the daily humiliation of having to relieve themselves in public. They are afflicted with soil-transmitted helminthes, malnutrition, anemia, cognitive impairment and other infectious diseases. To overcome this problem and to make the city open defecation free, a pilot Community Led Health Initiative was conceived in late 2005 by the Chairperson of the Municipality Dr Shantanu Jha supported by the Kolkata Urban Services for the Poor (KUSP) project.
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Objective and Process 5.56 The objective of the initiative is to empower the communities and enable them to work as pressure groups to initiate health and sanitation improvements. It also aims at mobilizing the communities towards achieving the sanitation objective of an open defecation free community. For piloting the project, the five poorest slums, with a 2500 population were selected. The municipality decided to stop individual household sanitation subsidies in favor of extending support and cooperation to colonies that stop open defecation and clean their neighborhoods. The process started with an orientation on Community Led Total Sanitation (CLTS) approaches for Health Officers, HHWs, CDS members, NGOs, community leaders, ward councilors and ward committee members. Participatory approaches like PRA tools, defecation area mapping, transect walk, fecal oral contamination analysis, calculation of feces, etc., were extensively used. This was followed by a participatory sanitation profile analysis. Care was taken to avoid outside prescriptions for the problems of open defection and the need to construct toilets. It was also made clear that there would be no subsidy for toilet construction and no toilet models were prescribed. Though initial efforts at Bhutta Bazar slum failed because the community was expecting a subsidy for toilet construction, the simultaneous efforts at Vidyasagar colony, Patal Khet, and Bidhan Pally succeeded. As the pilot was in progress, the idea gained momentum and other colonies began to spontaneously take interest. Subsequently, some of the trained HHW began to understand the approach and the shift in paradigm. They started motivating the local leaders and monitored their work rather than trying to direct it. Achievements 5.57 As the pilot gained momentum, communities began to participate extensively and made major progress toward the total elimination of open defecation. The experiment developed pride among the communities and leaders emerged to trigger the process and to eliminate the obnoxious practice of open defecation. It also motivated other communities to follow suit and eliminate open defecation through participatory efforts and without subsidies. 5.58 Vidyasagar colony emerged as a living example of good community participation within a short period of three months. All the 213 households eliminated open defecation, and constructed/repaired toilets with their own resources. 69 hand tube wells were repaired with very minimal support from the municipality. Clogged drains were cleared of garbage and the road was repaired. They are planning to start a primary school for the colony children with local contributions. Lessons Learned and an Alternative Vision The pilot experience of Kalyani municipality provides key lessons and an alternative vision for making cities open defecation free. Political will on the part of the chairperson and the municipality, capacity building of local leaders and officials, incentives instead of subsidies, provision of untied funds for development and a shift from stereotypical models to flexible community based approaches are all critical for success. Providing incentives for community leaders and the communities that eliminate open defecation would also make a significant contribution. The Kalyani experience shows that community based approaches help bring about behavioral changes, eliminate open defecation and enhance public health. The model is easy to replicate and is cost effective. (x) Slum Networking 5.59 Slum Networking provides a framework for an integrated upgrading of the entire city within which the slum areas are viewed not as individual settlements but as an urban network. The bases for the network are waterways along the citys where majority of slums are located. The waterways also offer potential for the installation of services, and environmental and aesthetic improvement. The Slum Networking approach provided for the development of additional infrastructure in the transition zones around slums, as well as for a main sewer and a treatment plant for the city. 5.60 Slum Networking is a 'Holistic Approach for Improvement of Urban Infrastructure and Environment'. The concept of slum networking makes use of the fact that in most towns slums are located along the drainage path in the city. This facilitates the physical networking for water supply, drainage and sewer lines using gravity to advantage. Slum networking is an integrated approach, which will influence the entire slum matrix of the city not as isolated pockets but an urban net.
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Slum networking is a method to bring about an integrated up-gradation of the entire city using the slums as urban net and not as isolated islands 5.61 The spatial spread of slums over a city together with contiguity between slum settlements gives an opportunity to strengthen the city level infrastructure networks. 5.62 Slum networking model has been successfully implemented in several cities in India; the foremost among them being Ahmedabad. It is considered a best practice for slum upgrading and several cities adopted the networking process with different degrees of success. In this section three cases of Ahmedabad, Indore and Baroda have been analysed. Ahmedabad 5.63 In Ahmedabad as per the 2001 census, the city population of 35,20,085 out of which 9,06,000 persons live in 740 slums and there are about 1383 chawls (tenement shanties) with about one million persons living there. The chawls, which were built primarily to house Industrial workers, had the most minimal facilities and the housing stock and the services have subsequently deteriorated to very poor conditions. 5.64 It is estimated that about 5,00,000 slum dwellers in Ahmedabad have no toilet facilities and defecate in the open. The condition of the public toilets is far from satisfactory with about 70 percent non-functional at any given time. The slums are in existence prior to 1976 have water supply through stand posts or individual connections, though the water pressure is generally poor. The slums that came up later lack this facility substantially and get water from shallow hand pumps or fetch it from long distances. Contact with surface water and open drains often contaminate the water. Sewers to the city system do not connect many slums in the city and in the peripheral areas where the city drains are not yet laid, the condition is even worse. This is compounded by the fact that many of the internal areas are unpaved and also without storm drainage. In monsoons these slums became quite treacherous, as many of the slums are on private lands, the corporation is not responsible for street sweeping and the garbage collection in these areas. 5.65 The Ahmedabad Municipal Corporation (AMC) initiated the Slum Networking Project in the year 1998 in collaboration with SAATH and Mahila Housing SEWA Trust (MHT). The NGOs spearheaded the Project in the respective slums where they had organized and mobilized the communities. The Slum Networking Project aims at providing quality physical infrastructure facilities for the slum dwellers, laying stress on social infrastructure, and, hence, extensively improving the quality of life of the slum dwellers. 5.66 In Ahmedabad, the slum networking approach was taken forward one stage further by replacing external aid by contributions from the city's industries so as to augment the resource needs of both the slum dwellers as well as the municipal corporation. 5.67 Over 70 percent of the Ahmedabad slums are located on the private lands, the rest being on municipal and government lands. Although ownership of land is not to be made a precondition of the project, it avoids legal and administrative delays. Ahmedabad Municipal Corporation has the statuary right to install essential services in private lands. In this situation the corporation has passed the resolution not to evict the slum dwellers for 10 years and at the same time to register them formally as ratepayers. These two measures imply sufficient perceived security of tenure for the slum dwellers to invest in shelter from their own resources. At a suitable juncture, the corporation will also consider bringing the private landowners and the slum dwellers on the same table to discuss land transfer on mutually agreeable terms. Impact 5.68 Over 11,000 slum households were provided with individual level water supply, individual toilets, and sewage connections. At the slum level, the project has provided paved roads, streetlights, storm water drainage and solid waste management. 5.69 The community contributed over Rs. 23,100,000 towards the basic services. The impact of the Project includes: Health status of people increased and incidence of diseases reduced, There is an increase in school enrollment, especially of girls,
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Individual and community health and hygiene has improved, There is a sense of security amongst people due to availability of services. Thus, they are now building more pucca houses, Time saved due to regular water supply (almost two hours everyday) also gives the residents more time to be engaged in work/income related activities, and People feel a boost in their social status. 5.70 The successful partnership of the Ahmedabad (Parivartan) slum up gradation programme reinforced and enhanced trust of the community in the approach of public-private partnership for service delivery. They realized that paying for the services would ensure delivery of quality services at their doorstep. The informal tenure comprising of non-eviction for 10 years provided by the Ahmedabad Municipal Corporations Slum Networking Project increased their readiness to invest in their houses. Almost 90% of the residents in the Slum Networking Programme voiced their demands for the legal supply of electricity. Indore 5.71 Indore is one of the largest cities in Madhya Pradesh state, central India. With a growing population, close to touching one million, the citys slums were proliferating and the urban poor living in these faced the consequences of poor living conditions. It was in this scenario that the Indore Habitat Project was taken up in 1990, with the objective of reducing the serious deficit in urban shelter and services in Indore. The eight-year project, which was implemented in 183 slums, demonstrated the potential of improvement of slums, rather than their clearance as a leading Industrial city. Due to the natural increases in population, has lead to the growth of slums with unhygienic living conditions. Although the city population doubled from 1971 to 1991, the slum population almost quadrupled over the same period. The city population as per census 2001 was 16,39,000 out of which slum population accounted for about 2,59,577 in 637 slums. 5.72 As per a 1990 survey, over two thirds of the slum families lived below the poverty line earning less than Rs.1000 per month. Although 86 percent of the slum families were served by the public water distribution system, the supply was mainly by the public taps and not individual connections. Others used alternative sources of water such as wells, hand pumps. Public or individual toilets theoretically served about 76 percent of families. However, most of the public toilets, which served 68 percent of the household, were ill maintained and unusable. Implementation 5.73 According to the project plan, individual toilets were to be connected to the underground sewage system and individual water supply connected to a piped network. Individual toilets, constructed for about 80,000 families, took into consideration the fact that these provided greater dignity in use, and responsibility in maintenance, than community toilets. Cost-effective mechanisms were used for construction. To keep costs low while providing individual water connections, first a network of water mains was laid, and then the existing sources integrated with it. 5.74 To facilitate drainage, contrary to common engineering practices, the roads were placed in a slight excavation with positive downward slopes from high points to the drainage courses. These roads functioned to carry away most of the storm water, thus attenuating the rain peak. Storm drains were also built, but they were cheaper to construct than normal as their length and depth were reduced because their function was partly taken over by the roads. 5.75 The project also envisaged a substantial amount of soft landscaping. This meant that only part of the overall ground within the slum was paved and the rest left for landscaping at the initiative of the community. 5.76 The slum-networking project has been implemented through a synergistic partnership between the State Legislative Assembly, community members, and private stakeholders. The direct beneficiaries have contributed considerably to the programme. All families contribute a proportion of the sewerage costs by paying for the house connections from the main line. The beneficiaries through self- help groups and largely at their own expense directly execute the earthworks and landscaping. The health, educational and social components are run at the grass root level by community volunteers. Centre for Good Governance Administrative Staff College of India 25
5.77 Cooperative groups of community members operate revolving fund schemes. Linkages have been formed between individual families and societies; with established financial institutions e.g. SelfEmployed Womens Association (SEWA) among others, while the Housing and Urban Development Corporation (HUDCO) financed housing provision and improvement in the area. Evaluation of the Indore project 5.78 A midterm evaluation of the Indore project showed that 79 neighborhood committees have already registered under the Societies Registration Act and 70 youth clubs formed. Many slums are heading towards full literacy, frequency of epidemics has dramatically reduced, and incomes, particularly of women, have increased. Indore shows that it is possible to address the problem of the urban poor, in terms of the physical and socio-economic environment and at micro and macro scales, parallel to infrastructure and environmental improvements of the city as a whole. Impact 5.79 In a project executed by Indore Development Authority, and financed by overseas development aid UK, the slum-networking concept has been demonstrated successfully in the city of Indore. Over a period of six years, the slum matrix of the city covering 4,50,000 persons has been upgraded with high quality environmental and sanitation improvement together with extensive community development programme related to health, education and income generation. The quantum of physical work in each slum pocket may be small but the aggregate impact of all the interventions is high on the city as a whole. 5.80 A basic framework was thus provided for the transition of the whole city from open gutters to an underground sewage system. Slum Networking helped considerably in making this happen because it utilized topographic advantages for routing the drainage courses, and by providing effective linkages from in-between the slums, avoiding expensive and time-consuming processes of land acquisitions and demolitions. Lessons from the Indore Habitat Improvement Project The Slum Networking Project supported by DFID provides Indore slum residents with an opportunity for infrastructure development in their localities. A well-intentioned project of over Rs. 605 million, the IHIP (1990-98) received international acclaim. Winning a Global Best Practices Award during the Habitat II Conference as well as the Aga Khan Award for Architecture. Though the project has left a good deal of infrastructure in the city, it remains a controversial and sensitive matter for Indore Development Authority, the implementing agency, and Indore Municipal Corporation, the agency responsible for maintenance of infrastructure at the completion of the project. Slum residents have suffered in the midst of all this with clogged drainage lines, water shortages and the functional public toilets. Land tenure remains uncertain in these slums. However, in part as a result of the inputs derived through the IHIP slums are older, the 183 slums in which this project was implemented are relatively better-off than other slums of the city. Baroda 5.81 The scenario in Baroda is not much different. In the last two decades the population of the city has doubled whereas the jump in the slum population has been almost four and half times. About 40 percent of males and 71 percent of females in Baroda slums are illiterate. Poor health and education reflects in the low monthly income. Approximately 58 percent of the families earn less than the minimum wages of Rs. 1,000 per month. As per census 2001 the city's population is about 13,06,227 out of which slum population is about 1,86,020. 5.82 The civic amenities in the slum are equally poor as per a 1982 survey, 27 percent of families did not have access to safe drinking water and 72 percent households did not have latrines. About 50 percent of slum settlements do not have paved roads and most have no storm drainage. At the city level, Baroda's watercourses are highly polluted. In the monsoons, the city gets flooded in spite of a good terrain because the streams interconnecting a series of natural retention ponds to the river have been blocked in places by insensitive development.
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5.83 In Baroda, the slum dwellers played an active role in the development of the project and in its execution and subsequent maintenance. External funding agencies like UNICEF, the Municipal Corporation and local industry were catalysts in the project. 5.84 In evolution of the slum-networking concept in Ramdevnagar slum of Baroda, substantial proportion of the development funds (over 50 percent) are being raised internally from the slum dwellers. In a pilot project covering 4,000 persons, Rs. 2.2 millions have been mobilized by the slum dwellers themselves with a matching support from UNICEF, Baroda Municipal Corporation and the local Industry. Strengths of Slum Networking The process of preparation of the community resource map was simple so that the problem identification is easy and efficient and solutions can be suggested to translate them into action, The project basically aims at the Upgradation of the existing infrastructure, The Project aims at active partnership between community organizations and municipal corporations to maintain the services, and The infrastructure cost is lower by the omitting expensive drop manhole and vent pipes with suitable design. Weakness of Slum Networking No targets / milestones were set to monitor the performance of the implementing agency, The slums were not developed on priority basis, The slum networking basically deals with notified slum and not with the other poor settlements, and The project doesn't talk about the participatory tools such as SWOT analysis, Ranking Matrix, etc.
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1.3 - Basic Services To The Urban Poors - RTP - MOD

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III.

BASIC SERVICES TO THE URBAN POOR

JNNURM Rapid Training Programme

Governance & Reforms

Centre for Good Governance

Administrative Staff College of India

JNNURM Rapid Training Programme

Governance & Reforms

JNNURM Rapid Training Programme

Governance & Reforms

III. BASIC SERVICES TO THE URBAN POOR

Centre for Good Governance

Administrative Staff College of India

JNNURM Rapid Training Programme

Governance & Reforms

Table 2 State-Specific Poverty Line 2004-05 S.N o 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24

JNNURM Rapid Training Programme

Governance & Reforms

Centre for Good Governance

Administrative Staff College of India

JNNURM Rapid Training Programme

Governance & Reforms

JNNURM Rapid Training Programme

Governance & Reforms

Researchers Colloquium Mayors Forum City Managers Forum

Ministry of Housing & Urban Poverty

National Group on Poverty

Alleviation &United Nations Development

City Poverty Profiles and Municipal Action Plans for Poverty

National Network of Resource Centers

City Development Plan, Detailed Reports, Project Reform

Interventions and Schemes

JNNURM Rapid Training Programme

Governance & Reforms

Chandigarh (UT) 6% Chattisgarh 4% Delhi 7% Gujarat 11%

Haryana 1% Himachal Pradesh 0%

JNNURM Rapid Training Programme

Governance & Reforms

JNNURM Rapid Training Programme

Governance & Reforms

Figure 3 Access to water to Urban Poor

None others 4% 18%

Tubewells/ Hand pumps 11%

JNNURM Rapid Training Programme

Governance & Reforms

Haryana (Faridabad) Kerala (Thiruvanathapuram) Karnataka (Bangalore)

Reform under implementation

20% of land in all housing projects

Administrative Staff College of India

JNNURM Rapid Training Programme

Governance & Reforms

JNNURM Rapid Training Programme

Governance & Reforms

Administrative Staff College of India

JNNURM Rapid Training Programme

Governance & Reforms

Social Welfare Dept. UD/RD Dept.

Women and Child Dev. Dept.

Agriculture & Animal Husbandry Dept.

CBOs of the Poor

Dept. for Socially Disadvantaged

JNNURM Rapid Training Programme