From Conflict to Collaboration: Nongovernmental Organizations and their Negotiations for Local

Control of Slum and Squatter Housing in Mumbai, India

Ramya Ramanath

Dissertation submitted to the faculty of the Virginia Polytechnic Institute and State University in partial fulfillment of the requirements for the degree of

Doctor of Philosophy

In

Environmental Design and Planning

Dr. Alnoor S. Ebrahim Dr. JoAnn S. Carmin Dr. Robert G. Dyck

Dr. C. Theodore Koebel Dr. Joseph L. Scarpaci

Dr. Max O. Stephenson Jr.

13th June 2005

Blacksburg, Virginia Keywords: Nongovernmental Organizations, Government, Strategies and Tactics, Slum

and Squatter Housing, Collaboration, India

Copyright © 2005, Ramya Ramanath

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From Conflict to Collaboration: Nongovernmental Organizations and their Negotiations

for Local Control of Slum and Squatter Housing in Mumbai, India

Ramya Ramanath

Abstract

Interorganizational arrangements, such as partnerships between non-governmental organizations (NGOs) and governmental organizations (GOs), are increasingly regarded by policymakers as critical to effective social sector development. This is particularly true in the arena of housing provision for residents of slums and squatter settlements. The recent pursuit of collaboration between NGOs and government housing agencies in large urban agglomerations such as Mumbai, India marks a significant shift from the adversarial climate that previously characterized NGO-GO interactions. In other words, NGOs engaged in housing issues appear to be evolving from ‘housing rights advocates’ to ‘housing developers.’ However, very little research has examined the struggles and pressures facing organizations as they travel from confrontational to collaborative relationships. This dissertation provides an empirical and theoretical basis for examining the evolution of NGO-GO relationships over time and, in doing so, links research on urban political economy of housing to research on organizational life cycles and strategic institutional change. Two questions are central to the dissertation: 1) How do shifts in state housing policies influence the strategies pursued by advocacy NGOs in housing the poor? 2) What are the factors that influence the emergence and sustenance of NGO-government housing partnerships? To address these, I use a multiple-case study analysis of critical incidents in the history (from 1981 to 2003) of three NGOs in Mumbai: Nivara Hakk Suraksha Samiti, Youth for Unity and Voluntary Action, and Society for the Promotion of Area Resource Centres. In addition, I examine five State and city level housing authorities. The dissertation’s findings address three broad themes of literature: i) NGO-GO Interaction Styles; ii) Institutional Isomorphism; and, iii) NGO Development Continuum. Findings related to these broad streams of literature suggest that NGO behavior is shaped both by public policy orientation and by internal strategies and decisions. In efforts to gain and retain legitimacy, NGOs will likely use multiple interaction styles both simultaneously and sequentially. Analysis of internal institutional processes in NGOs suggests that organizational responses to isomorphic demands are circumscribed by path-dependent factors and the variability in NGO resource environments. NGO development strategies have evolved towards greater complexity and sophistication.

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Acknowledgements

As this dissertation inched to the finish line, I realized that this would be the most difficult part to write. I owe so much, to so many. In particular, I owe my first and biggest debt to Dr. Alnoor S. Ebrahim for his steadfast intellectual and moral support. I express no less a sense of gratitude towards each and every member of my dissertation committee - Prof. Dyck, Prof. Koebel, Prof. Stephenson, Prof. Scarpaci, and Dr. Carmin. Their guidance, encouragement and friendship has made this long journey, very worthwhile. I could never have started, let alone completed this research, without the spirited cooperation of the NGOs. In particular, I am deeply grateful to Gurbir Singh, P.K. Das, Anna Kurien, Minar Pimple, Priya Gopalen, Sheela Patel, Sundar Burra, and Celine D’Cruz for their participation as well as their gracious hospitality. My gratitude extends to all NGO personnel, field staff and associates who provided invaluable insights to this research especially, Ruchira Aghi, Pallavi Matkari, K.S. Baroi, S. K. Joshi, Sharad Mahajan, Sucheta Chogle, Mohan Chavan, Suresh Kadam, Kousalya Tai, Umanath, Sampath, and Chandrakant Mama. I also benefited tremendously from conversations with many government officials in the Mumbai Metropolitan and Regional Development Authority, the Slum Rehabilitation Authority, the Maharashtra Housing and Area Development Authority, Municipal Corporation of Greater Mumbai, the Housing and Urban Development Corporation and sincerely appreciate the insights provided by Gautam Chatterjee, Dr. T. Chandra Shekhar, U.P.S Madan, Ujjwal Uke, Anand Jagtap, A.N. Krishnamurthy and Vaijayanti Mahabale. My meetings with several slum and squatter residents were also precious. I thank them all. I also thank my mentors, Dr. Amita Bhide, Dr. R.N. Sharma and Dr. Mouleshri Vyas at the Tata Institute of Social Sciences. Their guidance and moral support through the data collection process was of immense value. I express my fondest gratitude to my colleagues at Virginia Tech. I would, first of all, like to thank the magnificent seven of the “EDP Group.” Your insights and friendship have meant more than I can put into words. I especially thank Percy Summers, Joao Mil-Homens and Rachel Christensen. My appreciation and gratitude extends to all of my other colleagues and friends in the EDP program for their support and encouragement, oftentimes, when I have needed it most. Speaking of good friends, I thank Dhaval Makhecha for all of his very timely help. I could not have completed this research without the warmth and financial support from the Housing Development Finance Corporation in Mumbai. My special thanks to K.G. Krishnamurthy, Harish Khare, Tara Subramaniam, Manoj Nair, Bhaskar Baroi, Deepak Pangasa, Delnaz Paliwala and Suyash Valanju. Finally, I owe my deepest and most invaluable debt to my family: My parents, Ramanath Sankaran and Meera Ramanath, my grandparents, and Rajeev and Sumathi. I would never have dared come this distance without their love and support.

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Table of Contents

Abstract ………………………………………………………………………………….ii

Acknowledgements……………………………………………………………………...iii

Table of Contents………………………………………………………………………..iv

List of Tables……………………………………………………………………….……vi

List of Figures………………………………………………………………………..…vii

List of Abbreviations…………………………………………………………………..viii

Glossary of Hindi and Marathi Terms………………………………………………....x

INTRODUCTION .................................................................................. 1 Chapter 1: RESEARCH QUESTIONS AND METHODOLOGY........ 12 1.1 Introduction..................................................................................................................12 1.2 Motivations for Research.............................................................................................14 1.3 Key Research Questions ..............................................................................................16 1.4 Multiple Case Study Design ........................................................................................17

Chapter 2: CONCEPTUAL FRAMING: THE LANDSCAPE OF EVOLVING NGO-GO RELATIONS IN HOUSING........................... 46 2.1 Introduction..................................................................................................................46 2.2 Dynamics of NGO-GO Relations: A Complex Ecosystem.........................................47 2.3 Review of Literature ....................................................................................................56 Chapter 3: THE POLITICAL ECONOMY OF SLUM HOUSING, 1950-1981: LABOR MIGRATION AND SLUM POLICY................... 94 3.1 Introduction..................................................................................................................94 3.2 A Call for "Another Development": Political Climate in Pre-Emergency India, 1950-1974………………………….………………………………………………….…95 3.3 The Rise of "New" Social Movements………………………………........................99 3.4 Housing Policy Context: 1950-1981………………………………………………..111 Chapter 4: AGENDA BUILDING IN THREE HOUSING NGOs, 1981-1989....................................................................................................121 4.1 Introduction................................................................................................................121 4.2 The Olga Tellis Case .................................................................................................123 4.3 Formation of the Nivara Hakk Suraksha Samiti (NHSS) ..........................................130 4.4 Formation of the Youth for Unity and Voluntary Action (YUVA) ...........................159 4.5 Formation of the Society for the Promotion of Area Resouce Centres (SPARC) .....179 4.6 Concluding Discussions .............................................................................................201

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Chapter 5:GROWING PAINS: NGO RESPONSES TO SHIFTS IN STATE POLICY, 1991-1999............................................................................ 217 5.1 Introduction...................................................................................................……….217 5.2 Mumbai and its Housing Policy in the 1990s ............................................................219 5.3 NHSS and the SRD and SRS (1991-1995) ................................................................227 5.4 YUVA and the SRD and SRS (1991-1999)………………………………………. 237 5.5 SPARC and the SRD and SRS (1990-1998)..............................................................254 5.6 Concluding Discussions .............................................................................................271 Chapter 6: ORGANIZATIONAL EVOLUTION: ENTRY INTO PRODUCTION, 1997-2003……………………………………………..283 6.1 Introduction…………………………………………………………………………283 6.2 NHSS and Sanjay Gandhi National Park (SGNP), 1997-2003..................................285 6.3 YUVA and New Bhabrekar Nagar, 1997-2003…………………………………….306 6.4 SPARC and the Kanjur Marg Experiment, 1997-2003 .............................................335 6.5 Concluding Discussions .............................................................................................351

Chapter 7: CONCLUSION: CONCEPTUALIZING THE EVOLUTION OF NONGOVERNMENTAL ORGANIZATIONS.....368 Bibliography ....................................................................................... 374

Appendices

Appendix A Maps …………………………………………………………………..402 Appendix AA India: State and Union Territories………………………………402 Appendix AB Mumbai Metropolitan Region (MMR) …………………………403

Appendix AC Map of Greater Mumbai with Sites of the Key NGO-Government Housing Interventions…………………………………………...404

Appendix B Introductory Letter to NGOs sent by email in early June 2002………..405 Appendix C Informed Consent Form………………………………………………..406 Appendix D Letter to Government Officials………………………………………...411 Appendix E Agreement with YUVA………………………………………………..412 Appendix F Agreement with SPARC……………………………………………….417 Appendix G Research Proposal………………………………………………….…..422 Appendix H Chronology of Key Housing Policy Initiatives for Mumbai, 1943-present….…………………………………………………433

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LIST of TABLES Pages Table 2.1 Strategic Responses to Institutional Processes 72 Table 4.1 Formative Events at Sanjay Gandhi Nagar Slum 147 Table 4.2 Repertoire of Tactics in NHSS’s Formative Years 151 Table 4.3 Key Events in YUVA’s Formative Years 171 Table 4.4 Repertoire of Tactics in YUVA’s Formative Years 175 Table 4.5 Key Events in SPARC’s Formative Years 193 Table 4.6 Repertoire of Tactics in SPARC’s Formative Years 196 Table 4.7 Key Strategies of NGO-Government Collaborative Networks

in Formative Years 204 Table 4.8 Key Factors Influencing Early NGO-Government Interaction Strategies in Three Housing NGOs 205 Table 5.1 Repertoire of Tactics in YUVA’s Work with Three Cooperative Societies of Slum Dwellers 250 Table 5.2 Repertoire of Tactics in SPARC’s Work with the Markandeya

Cooperative Housing Society 267 Table 5.3 Key Strategies of NGO-Government Collaborative Networks

in the early 1990s 275 Table 5.4 Key Factors Influencing NGO-Government Interaction Strategies

in Three Housing NGOs in the 1990s 276 Table 6.1 NHSS’s Repertoire of Tactics in Sanjay Gandhi National Park 297 Table 6.1.1 Challenges Faced by NHSS in R&R work in SGNP 301 Table 6.2 YUVA’s Repertoire of Tactics in New Bhabrekar Nagar 321 Table 6.2.1 Challenges Faced by YUVA in New Bhabrekar Nagar 331 Table 6.3 SPARC’s Repertoire of Tactics in the Kanjur Marg Experiment 346 Table 6.4 Primary NGO-Government Strategies and Tactics, 1997-2003 360

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LIST of FIGURES Figure 2.1 Four C’s of NGO-Government Relations (Najam 2000) 71 Figure 4.1 Focus of Work: 1984-1990 (YUVA) 173

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LIST of ABBREVIATIONS ACHR Asian Coalition for Housing Rights AC(E) Additional Collector (Encroachments) BEAG Bombay Environmental Action Group BECC Bandra East Community Centre BMC Bombay Municipal Corporation BSES Baseline Socio Economic Survey BUTP Bombay Urban Transport Project CBO Community Based Organization CEO Chief Executive Officer CHS Cooperative Housing Society CRH Committee for the Right to Housing CRZ Coastal Regulation Zone CZMA Coastal Zone Management Authority DCR Development Control Regulations DVS Dharavi Vikas Samiti FAR Floor Area Ratio FCRA Foreign Control Regulation Act FSI Floor Space Index GO Governmental Organization HDFC Housing Development Finance Corporation HIC Habitat International Coalition HID Housing and Infrastructure Development HUDCO Housing and Urban Development Corporation IAS Indian Administrative Services IASC Indian Association for Savings and Credit IMF International Monetary Fund INC Indian National Congress IPHRC Indian People’s Human Rights Commission INR Indian Rupees JP Jayaprakash Narayan MCGM Municipal Corporation of Greater Mumbai MCZMA Maharashtra Coastal Zone Management Authority MHADA Maharashtra Housing and Area Development Authority MLA Member of Legislative Assembly MM Mahila Milan MMR Mumbai Metropolitan Region MMRDA Mumbai Metropolitan and Regional Development Authority MP Member of Parliament MSIB Mumbai Slum Improvement Board MUIP Mumbai Urban Infrastructure Project MUTP Mumbai Urban Transport Project NBS Naujavan Bharat Sabha NCHR National Campaign for Housing Rights NDZ No Development Zone

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NGO Nongovernmental Organization NHSS Nivara Hakk Suraksha Samiti NHWC Nivara Hakk Welfare Centre NN Nirmala Niketan NSDF National Slum Dwellers Federation PDHRE Peoples Movement for Human Rights Learning PMGP Prime Minster’s Grant Project PROUD People’s Responsible Organization of United Dharavi PUCL People’s Union for Civil Liberties R&R Resettlement and Rehabilitation RSDF Railway Slum Dwellers Federation SDI Slum/Shack Dwellers International SGNP Sanjay Gandhi National Park SPARC Society for the Promotion of Area Resource Centres SPPL ShivShahi Punarvasan Prakalp Limited SRA Slum Rehabilitation Authority SRD Slum Redevelopment Scheme SRS Slum Rehabilitation Scheme SRS Slum Rehabilitation Society TDR Transferable Development Rights TISS Tata Institute of Social Sciences UCDC Urban Community Development Centre ULCRA Urban Land Ceiling and Regulation Act UN United Nations UNDP United Nations Development Programme VP Vice President YUVA Youth for Unity and Voluntary Action

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GLOSSARY of HINDI and MARATHI TERMS Akhil Dharavi Vikas Samiti Committee for the development/welfare of all in

Dharavi Apna Zopadpatti Our slum Bal Adhikar Sangharsh Samiti Committee to struggle for the rights of the child Bandh Boycott Bharatiya Jan Sangh Committee of the people of India Bhoodan Gift of land Chai Indian tea Chawl Three to four storey buildings with one room

tenements Chipko Movement Tree-huggers movement (‘Chipko’ literally means

‘to stick or hug’) Dadagiri Goon-power Dalit Ex-Untouchable (literally means, the

‘downtrodden’) Dalit Vikas Samiti Committee for the development/welfare of Dalits Dharavi Vikas Samiti Committee for the development of Dharavi Dharna Street protest Footpathvasi Kruti Samiti Collective of the residents of sidewalks Footpathvaasi Nagarik Sangathana Organization of citizens living on sidewalks Garibi Hatao Remove poverty Gherao Blockade or encirclement Girni Kamgar Front/committee of textile workers Goondaism Hooliganism Hamara Shehar Our city Jan Sangh Committee of persons Jan Sunvai Public hearing Jharkhand Mukti Morcha Movement for the liberation of Jharkhand Kamgar Aghadi Workers’ front/committee Khadi Hand-spun and woven cloth made of cotton Khatiyaa Cot/bed Kisan Sabha Assembly of farmers Lathi Truncheon Lok Sabha House of the People Mahila Mandal Group/committee of women Mahila Milan Collective of Women Maidan Open field Mandal Group/committee Masjid Mosque Mazdoor Kisan Shakti Sangathana Organization for the empowerment of workers and

peasants Mazdoor Sangh Workers’ union

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Morcha Demonstration march/protest march Mumbai Nagrik Vikas Manch Forum for the development of citizens of Mumbai Naujavan Bharat Sabha Association of India’s youth Nav Nirman Yuvak Samiti Youth for reconstruction association Nirman Construction Nivara Hakk Suraksha Samiti Committee for the protection of housing rights Pucca In the context of this dissertation: a home made of

bricks and cement Rahivasi Sangh/Sanghatana Committee of residents Rajya Sabha Council of the States Rashtriya Mill Mazdoor Sangh National committee of mill workers Saamna Confrontation Samaj Seva Niketan Abode for the welfare/help of the public Sampurna Kranti Total revolution SPARC Samudaya Nirman Sahayak SPARC’s assistance to collective community

construction Sangharsh Samiti Committee for struggle Sangharsh Nagar City/neighborhood of struggle Saree Five to six yards of cloth worn with folds by women

in India Sarvodaya Welfare of all Satyagraha Non-violent resistance/civil disobedience (literally

means, ‘persuading by force of truth’) Seva Niketan Abode for welfare/help Shiv Sena Army of Shivaji, a Maratha king ShivShahi Punarvasan Prakalp Rehabilitation project for the State of Shivaji Stree Manch Women’s group Swaraj Self-rule Unnayan Development/self-realization (in the Bengali

language) Vikas Samiti Development committee Yuva Sangharsh Vahini Youth action squads Yuvak Mandal Group/committee of youth Zamindar Landlord Zopadpatti Slum

VITA Ramya Ramanath was born in New Delhi, India, on the 12th of December 1973. In 1994, she completed a Bachelors Degree in Economics from the Ethiraj College for Women in Chennai (Madras), India. She then went to Mumbai (Bombay), India, for a Masters Degree in Social Work at the Tata Institute of Social Sciences and specialized in Urban and Rural Community Development. While in Mumbai, she trained with two nongovernmental organizations (NGOs) -- a church-based NGO working with street children called ‘Shelter’ Don Bosco and, then, with a human-rights advocacy NGO, called the Youth for Unity and Voluntary Action. After completing her Masters in 1996, she joined the Indian Association for Savings and Credit (IASC), a joint-venture micro-finance initiative between the Housing Development Finance Corporation (HDFC), a leading private sector housing finance provider, and, an NGO called the Palmyrah Workers’ Development Society. IASC planned to extend credit to micro-entrepreneurs living in the hilly tracts of Southern India. She trained with HDFC in South India for six months before she was appointed to help assess community needs and prepare a business-plan for the proposed venture. In 1999, she joined the Housing and Urban Development Corporation (HUDCO), a leading public-sector housing finance provider, in New Delhi, India. At HUDCO, she worked with its Community Development Wing where her responsibilities included appraising and recommending housing loan applications from NGOs from across the country as well as to monitor and evaluate NGO-led housing projects in different States. After a brief time with HUDCO, she joined the Environmental Design and Planning program at Virginia Tech, USA, in the Fall of 1999. Her dissertation research at the School of Public and International Affairs is centered on NGOs working to address the housing needs of those living in slum and squatter settlements in developing countries.