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Inclusive Urbanization - Social Protection for the Slum and Pavement Dwellers in India Darshini Mahadevia (CEPT University) Pooja Shah (CEPT University) A CEPT-MHT SEWA Project A presentation at SPA Annual Research Workshop Hanoi June 3-4, 2009 Contents Context • Social protection – conceptual framework • Urban Social Policies – Case of India • Social Policies in Gujarat • Why tenure is important – macro evidences from urban India • Forms of urban land tenure – policy implications • Tenure and social protection linkages Data • Introduction of Case Study cities • Tenure in slums in two case study cities • Community mobilization for basic services – Case in Ahmedabad • Formation of an informal settlement - Surat Research plan for Year 2 Conceptual Framework • Promotional aspects vs protectional aspects (Drèze and Sen 1991) • Promotional aspects are more ambitious as it takes care of wanting to eradicate the problems that have survived through centuries • Success with the promotional aspects makes protection easier. Urban Situation in India • 30% population living in urban areas amounting to 320 million population • 25.7% population (or 80 million) are below the official poverty line • 24.7 million is the housing shortage (for about 40% of urban households) • About 70% of the urban employed are in the informal sector • 42.6 million or 15% of urban population live in slums • Metropolitan cities, a quarter of urban population live in slums • In Mumbai, 60% population live in slums – a reflection on the land policies and dynamics Urban Situation in India (Continued) • Inspite of low level of urbanization, rural-urban migration has slowed down since 1980s • Low rate of urbanization attributed to capital intensive nature of industrialization & increasing hostility to the low income migrants in cities through various economic and non-economic means Urban Policies • Urban policies restricted to traditional areas of city planning and city infrastructure such as water supply, sanitation, land & housing, and roads and public transport • Urban policies and policy makers are not comfortable with the question of migrants • Urban policies across the developing world have discourage rural-urban migration (UNFPA 2007) Urban Policies Before Reforms • Pre-1991, Master Plan/ Development Plan excluded majority – 60% of Mumbai’s population live in slums that occupy 8% of lands & urban planning is for the rest 92% of lands for 40% of the population • Urban land reforms legislation, Urban Land Ceiling and Regulation Act, 1976, brought lands declared as surplus into informal market • Increase in informal housing and development • Gradual expansion of basic services Urban exclusions during reforms period • Urban exclusions linked to urban visions of World Class Cities • Urban visions are that of the real estate visions • Isher Ahluwalia HPC (High powered committee) looking into the question of use of land as a resource for raising urban finances • Lands transfers for SEZs, Townships and enclaves • Expulsions from urban space through evictions and displacements • Low income housing pushed out of the city, a process that begun in 1980s These policies have impacts on lands available for the housing of the poor First Year Study • Secondary data on urban deprivations in India and Gujarat – Data at lower level not available • Institutional structure for social protection in urban areas • Understanding the process of informal settlement formation • Understanding the question of land tenure and tenure mobility in Ahmedabad and Surat • Documenting the intervention of NGOs for a slum upgradation programme in Ahmedabad – SNP programme • Focused group discussions in slums in Ahmedabad and Surat on tenure and access to various social programmes Social policies in urban areas • The responsibilities of the urban governments restricted to urban infrastructure mentioned earlier. • In general, the state governments respond to disaster • In some disasters the urban governments step in • Approach is relief and compensation by the state government, rarely rehabilitation package (exception Gujarat 2002 communal violence) • Education, health, employment and social security by the state governments • Education and health expenditures left to the households – 85% of health care expenditures are by the households themselves in Gujarat • While rural areas has norms for public service provisions, urban areas do not have any Urban institutional structure • Urban local government – water supply & sanitation (preventive health), roads, public transport, land development & housing. Rarely education and health care • Parastatals - some of the functions of the urban local governments • State government - Education and health, plethora of small schemes on social security Institutional structure for SP Individual Group Market- State Non-state & based based provided public household provision Risk Coping Various To some Sale of Limited Relief & mechanisms, extent assets relief & rehabilitatio including compen- n in some migration sation cases back to home Risk Limited Limited Limited to Limited and Limited mitigation (wherever wherever inadequate ROSCAs) MFIs coverage Risk Migration Collective None Inadequate Mobilization reduction actions for addressal of , housing & deprivations empowerme basic nt & watch services dog role • Urban Poor & new migrants left to their own devices to access housing, basic services, employment, health and education • Believed that the urban population have higher incomes and would be able to cope with risks and shocks better than the rural population • Leaves question of access and reducing vulnerabilities to the notion of urban citizenship Financing • Inadequate resources for fulfilling the current functional mandate • Very large contributions of the poor households to financing shelter, basic services, education, health, etc. • Poor households contributing as coping mechanisms than as a choice Urban land tenure • Continuum of levels of security, from insecure to secure tenure • Land tenure broad typologies - Secure tenure (legal) - De facto secure tenure (intermediate tenure) - Insecure tenure Urban land tenure defined by • Tenure defined by possession of (in case study cities) - Legal land ownership or renting document - Certificate of legal development on the land (conferring to the Master / Development Plan and Development Control Regulations) - Property tax bill - Possession of voting card - Electricity bill or receipt of the payment of the bill The first two documents gives legal tenure, the rest defacto Stages of Tenure – how low income migrants consolidate Legalized Upgraded slums slums Slums with de facto tenure Temporar y dwellings / pavement dwellings Squatters Darshini Mahadevia and Pooja Shah (2009): Tenure security and Urban Poverty, Publication for Social Protection in Asia – a research advocacy Tenure regularization leads to • Urban land reforms – land redistribution • An address & identity – defining citizenship • An increase in access – basic services, PDS, education, health and social security • An increase in employment for those working at home • Improvement in QOL Tenure decides • Whether one is in or out of the city’s development processes • It decides where in city one is going to be geographically located • How long one would live in the city Vicious Cycle of Land Tenure Source : Darshini Mahadevia and Pooja Shah (2009): Tenure security and Urban Poverty, Publication for Social Protection in Asia – a research advocacy program. Virtuous Cycle of Land Tenure This policy was suggested for the first time in 1976 first Habitat Conference in Vancouver Policy Intervention Source : Darshini Mahadevia and Pooja Shah (2009): Tenure security and Urban Poverty, Publication for Social Protection in Asia – a research advocacy program. Tenure and shocks • After 2004-05 Mumbai demolitions, a section of population returned back to the villages they came from and some did not return • After 2002 communal violence in Ahmedabad, part of migrants (without shelter security) returned back to their villages, some were given a secure shelter); some with tenure security went back with the assistance of NGOs • Current economic crises, those having to incur high expenditure on housing through rent or protection money, returning back to their villages (e.g. diamond workers) • After late 1980s crises in the cotton textile mills in Ahmedabad, those living in rent control housing (housing security), survived Positive loop of Basic Services to Urban Poor Provision of basic services like water, sanitation, education, health, electricity and above all employment and access to credit to the urban poor Improved Health Saving of time and energy spent on accessing these facilities Reduction in Expenditure and Time for income generation higher labour productivity activities Higher participation in Women work labour market participation Increased income and savings Illustrated through case of Slum Upgrading under Slum Networking Programme (SNP) in a settlement, Pravinnagar Guptanagar, Ahmedabad Housing type by tenure Pucca Semi- Katcha (permanent) pucca (temporary) Notified 64.5 29.5 6.0 Non- 30.3 39.7 30.0 notified Notified = Notified for regularization. After notification, the urban local government steps in to provide basic services Water supply by tenure Tap Tube Well Others well Notified 83.9 9.8 2.4 3.9 Non- 71.3 21.7 2.4 4.6 notified Access to sanitation by tenure No latrines Septic tank/ Others flush latrine Notified 16.6 65.9 17.5 Non- 50.6 34.6 14.8 notified Sewerage & Drainage by tenure Underground Underground Open No drainage sewerage / closed drainage drainage Notified 30.0 25.4 59.6 15.0 Non- 14.7 12.6 43.4 44.0 notified Roads Quality by tenure Pucca roads Water logging within slum during monsoon Notified 71.0 26.0 Non- 37.1 49.3 notified Access to electricity by tenure Houses & Houses Street None streets only only Notified 84.3 10.6 4.1 0.9 Non- 53.4 25.1 5.7 15.8 notified National level data indicate significant improvement in physical quality of life with notification, that is granting of de facto tenure rights Ahmedabad • Located in Gujarat state • Gujarat the second most industrialized state, fourth in per capita income, 6th in HDI, 9th in health • Poverty alleviation through trickle down of growth and philanthropy than public policy • Major industry, that is textile industry declined in late 1980s and since then fragmentation of urban polity, rise in communal violence and city segmentation along communal lines AMC Population 3.5 million Ahmedabad AUDA Population 4.5 million Sex Ratio 886 Literacy Rate 79.89% Male Literacy 87.81% Female Literacy 71.12% Population in 439,843 slums No of slums/ 1668 chawls No of settlements 45 with SNP H /H with SNP 8348 Population with 39,045 SNP Source: AMC Ahmedabad - Slums No. of slums – 832 No. of chawls – 836 Surat Surat : Introduction of the city Surat is situated in western India, in the state of Gujarat. Surat is one of the oldest mercantile centres of the south Gujarat region. Surat – Area and Demography Particulars Surat Municipal Area Surat District Gujarat India Area (sq km) 326 7657 196022 2995470 Population (in million) 2.8 4.9 50 1028 Sex Ratio (female per 1000 males) 764 835 920 933 Density (per sq.km) 8812 652 258 324 Literacy (%) 82 75 69 65 Decadal Population Growth Rate(%) 59 40.6 23.9 23.9 Surat is India's twelfth and Gujarat’s second most populous city low sex ratio, indicates that the City is being dominated by male migrant labours. Surat has experienced very rapid population growth during the last 20 years. This rapid growth in a very short time span is actually the hallmark of Surat’s demographic trends. Source: Census Surat City Slums in Surat City Slum locations Slums in Surat City 17.2% city’s population live in slums Slums concentrated in south, south-east and south-west and west zones Owing to rapid industrialization in and around the city, a large influx of migrants has been observed, which has resulted in the formation of slums. Population in slums is highest in Southern Surat which has industrial area 64% of public land has been encroached upon by slums in the city. Encroachments on private land have been cleared off in certain areas, bringing down its share 37% in 1992 to 26% in 2000. Of the 312 slums in the city, 124 are within and around the city wall and another 85 are along transport corridors. plan (2006-2012) Source: Surat city development Slums in Surat City About 80% of the slum households in Surat are migrants. A survey in 1997 indicated that 86% of the dwelling units in the slums of Surat are one room units and 58% of them are less than 100 to 200 sq.ft in area. Migrant labour often share a single kutcha room on a shift basis. In a slum pocket called Nikhalas Nagar 15 people share 1 single semi kutcha room. 8 of them go for night shift in power looms and 7 people go in the day time. 35% households have individual latrines 72% households have individual water taps 45% households have individual electricity connections 80% slums have drainage Land tenure security and level of services - Ahmedabad Settlement Pravinnagar- Yogeshwarn Jadibanagar Om nagar Sorainagar Mangal Talav name Guptanagar agar No of 1317 90 650 710 900 650 Households Land Private Private Private Private Private Municipal Ownership Stamp paper, Stamp paper, Documents Property tax Property tax Stamp paper, Stamp paper, Stamp paper Electricity Bill with H/H bill, Electricity bill, Electricity Electricity bill Electricity bill Bill Bill Tenure Strong De Strong De Weak de Weak de Insecure Insecure Status Facto tenure Facto tenure facto tenure facto tenure Tenure Tenure Age of the 40 35 45 35 40 55 slum (years) Housing Semi Semi Semi Semi permanent Temporary condition permanent permanent permanent permanent SNP Yes Yes No No No No Individual Yes Yes Yes Yes No Yes water tap Individual Yes Yes Yes Yes Yes 50% H/H Toilets Who Individually/ provided SAATH MHT AMC AMC World Vision Settlement Pravinnagar- Yogeshwarn Jadibanagar Om nagar Sorainagar Mangal Talav name Guptanagar agar Individual Yes Yes Yes No No No Bath space Sewer line Yes Yes Yes Yes No Yes Rain water Yes No No No No No Drain Garbage Yes No Yes No No No collection Paved Roads Yes Yes Yes No No Yes Street lights Yes Yes Yes Yes No No Anganwadi Yes No No Yes No No Health Centre Yes No No No No No inside the settlement Electricity Yes Yes Yes Yes Yes Yes Building type - Pravinnagar - Guptanagar Strong de facto tenure Sorainagar – weak defacto tenure Slum Networking Programme BEFORE AFTER Source: MHT Land tenure security and level of services - Surat Settlement Jaijawan - Dalit Nikhalasnaga Apexanagar Tadkeshwar Rasulabad name Jaikisan Vasahat r No of Household 970 1984 337 382 350 s Partly Land Municipal & Private Private Municipal Municipal Municipal Ownership partly private Stamp Stamp paper, paper, Property tax Property Documents Property tax Property tax Electricity bill, tax bill, No with H/H bill, bill, Bill Electricity Electricity Documents Electricity Electricity Bill Bill Bill Bill Weak de Tenure Strong De Strong De Insecure Insecure Insecure facto Status Facto tenure Facto tenure Tenure Tenure Tenure tenure Housing Semi Semi Semi Permenant Temporary Temporary condition permanent permanent permanent Settlement Jaijawan - Dalit Nikhalasnag Apexanagar Tadkeshwar Rasulabad name Jaikisan Vasahat ar Individual Yes Yes Yes Yes Yes No water tap Individual Yes Yes No No Yes No Toilets Individual Yes Yes No No No No Bath space Sewer line Yes Yes No No No No Rain water Yes Yes No No No No Drain Garbage No No No No No No collection Paved Roads Yes Yes No No No On footpath Street lights Yes Yes No No No Yes Anganwadi Yes Yes No Yes Yes No Health Centre inside No No No No No No the settlement Electricity Yes Yes Yes Yes Yes No Difficulties in legalizing land tenure Records required for legalizing tenure • Latest 7\12 records - land ownership document (which generally has multiple land owners due to inheritance rights) • 6A records – land use document • Old documents regarding possession of Land • Town planning clearances • Revenue tax receipt (if original agricultural land) • Non-agricultural permission • Municipal tax bill – property tax bill and receipt of payment • Electric bill and receipt Property tax document Land Ownership document Original Owner - Government Multiple land owners Clause mentioning that, if construction takes place without the permission of the Government and depositing 50% of the market value of land with the Government, then the ownership will revert to the Government. Formation of informal settlement - Surat Formation of Informal Settlement – Apexanagar The land was originally put under housing reservation by SUDA. The SUDA Development Plan had marked the area as reserved for ‘EWS housing’ the land lied locked in because of reservation. The farmers could not sell it to private developers because the land was NA. The farmers sold the land to the dealers who was engaged in informal housing through power of attorney and the dealers sub plotted the land and sold it to the individuals. In fact it is not a sale in a legal sense but a sale on a stamp paper of Rs 500/-. The ownership is still in the hand of farmers as far as land registration is concerned and the land is not yet declared NA. The area now has a Town Planning Scheme and all the houses are numbered for property tax. The are paying taxes since last 15 years. Almost all the plots are 12’ X 35’ of size and the plot costs 30,000 Rs now. Apexanagar Rent for a kutcha house is Rs. 600 while for pucca house the range is 1000 Rs to 1500 Rs per month which is excluding electricity bill. Water supply, drainage, Street lights have been given by the SMC under section 63/2 of BPMC Act. After SMC brought the water supply and drainage line in the colony, MHT was involved in getting individual connections to 40 households. All the rest of the houses had to pay the cost for individual connections from the network. Almost all the houses have individual toilet and a bath space. The roads are wide and tarred. There are small shops in the houses. Most of the houses were only ground floor but some were ground plus one. There are anganwadis and schools in the settlements. Primary health centre is also nearby. Source: Personal interviews with slum dwellers Mobilization for basic services - Ahmedabad Pravinnagar – Guptanagar (NGO intervention) Parameters Statistics Total slum population 7750 No. of households 1314 Water supply Individual Sewerage network Main Storm water drainage roads Combined Solid waste management Main Toilets/Latrines roads Individual Education 1.5 to 2 Health km Nearby Community facilities Nil Playground/Open spaces Nil Anganwadi 3 nos Pravinnagar - Guptanagar The land of PG and surrounding settlements earlier was a grazing land of Vasna village which was basically a Inamdar land. This settlement was formed after the flooding in the River Sabarmati in 1973 and the slum dwellers on the river bank lost their houses and then they shifted to PG. That time only Bhil (Tribal Community) of about 250 to 300 households were staying here. The settlement started expanding because of influx of the relatives of the residents of PG and of surrounding settlements. Unlike in the other areas of Ahmedabad, different communities settled here. There are different chawls (Vas) for different communities, so in one slum people stay in their respective community chawl. Community Layout of Pravinnagar & Guptanagar Kathiyavadi Vaghri Vanjhara Marwadi Rabari Harijan Bhil Mixed Community Pravinnagar - Guptanagar This site developed as a slum because of its proximity to central Ahmedabad through nearby bus stand and affordable availability of land. A person called Hirabhai Govindbhai Patel was selling the the land plots on the 10Rs/- stamp paper. There were no basic services. For water there were two common taps outside the settlement for 1314 households Totally open defecation No schools No Health facilities Pravinnagar - Guptanagar In 1992, SAATH intervened and facilitated the settlement to bring out all the basic amenities with full support of the settlement under Slum Networking Programme in 1996. SNP contained the package of, Individual Water supply House level underground drainage Strom water drainage Solid waste management Roads and paving Street Lights Tree plantation and landscaping The four main stakeholders in Ahmadabad’s pilot projects were: Arvind Mills – Responsible for project execution Ahmedabad Municipal Corporation – As facilitator SAATH – Community Mobilization and development Community Pravinnagar - Guptanagar Initially people were hesitant to pay Rs 2100 (Rs 2000 as capital cost + Rs 100 maintenance cost - Around 42 $) AMC granted de facto land tenure to the residents to facilitate their participation. In 1996 AMC granted de facto tenure for 5 years and after 5 years in 2001, this security was renewed for 10 more years. Impacts of water supply and Sanitation SNP has ensured that almost all households have regular water supply, drainage connections and a toilet. Changes from 1997 to 2000 % Change SAATH Source: Increase in households having regular water supply 700.00 Increase in households having regular drainage 833.30 Decrease in use of hand pumps, soak pits, private drainage 100.00 Increase in Households having wash places 38.46 Increase in household having bathrooms 33.33 Regular supply of water has had a substantial effect on all residents, especially women. On an average women have begun to save two hours per day because of regular water supply and so they are occupying themselves in income generating activities. Occupation pattern and Income generation The income generation programme also started in June 1998. It concentrate on the service sector of the economy which makes the growth of PG faster and not the traditional home manufacturing of agarbattis, bidis, papads and pickles. Income generation programme activities are tailoring, market research support, vegetable sorting and preparing household servants which is called Home managers which has covered more than 100 ladies. Change from 1997 to 2000 % Change SAATH Source: Decrease in the number workers engaged in casual and 44.83 unskilled occupations Increase in number of people having Government jobs 27.27 Increase in the workers engaged in skilled occupations 15.09 Increase in the number of female workers 30.30 • Similar exercise Has been done for another ward called Amraiwadi in Ahmedabad and slum selected for documenting MHT intervention. Research year 2 • Quantifying impacts of different types on tenure on well being • Case studies of coping during different shocks – economic crises, 2002 communal violence Ratanben Ramji bhai Rathod : “I Feel like Indira Gandhi. Everybody listens to me in the house; after all I am the one who gave money for the house and the shop” Thank You
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