Study on RAY and Slum Networking Projects in India

Study on RAY and Slum Networking Projects in India- A Summer Internship Project Report

Submitted by

Namesh Killemsetty (MIEM 1111),

M.Tech in Infrastructure Engineering & Management

CEPT University,

Ahmedabad.

Project: Indo-German Environment Partnership

Duration of the Internship: 21st May, 2012 – 29th July, 2012 (10 weeks)

Office: Deutsche Gesellschaft fuer Internationale Zusammenarbeit (GIZ) GmbH

2nd Floor, B-5/2, Safdarjung Enclave

New Delhi – 110029, India

Report Submitted to: Ms. Aparna Das

Senior Program Advisor

GIZ, New Delhi

Summer Internship Project Report 2012 Page 1

Acknowledgement

I would like to express my deepest gratitude to Ms. Aparna Das, Senior Program Advisor, GIZ-ASEM, for providing me an opportunity to work on this project. I am thankful for her encouragement, support and invaluable advice throughout the internship tenure. I am grateful to her for making my concepts clear and for all the time spent in the meetings and the discussions. I would also like to thank Ms. Regina Dube, Senior Advisor and Head, Sustainable Urban Habitat (SUH), GIZ, Ms. Vanessa Suess, Mr. Akhilesh Gautam and all others in the ASEM-IGEP Project for allowing me to be a part of the GIZ family for this period of two months and making this internship a memorable experience.

Finally, I would like to thank Prof. Tushar Bose, CEPT University, Ahmedabad for providing me an opportunity to do my summer internship at GIZ-Gmbh India as part of the partial fulfilment of award of M.Tech in Infrastructure Engineering and Management (MIEM).

Namesh Killemsetty


Declaration by the organization

This is to certify that the Project Report entitled “Study on RAY and Slum Networking Projects in India” done by Mr. Namesh Killemsetty (MIEM 1111) at Deutsche Gesellschaft fuer Internationale Zusammenarbeit (GIZ) GmbH, New Delhi has been carried out as a Summer Internship Project under my guidance for partial fulfillment of M. Tech in Infrastructure and Engineering Management, CEPT University, Ahmedabad, Gujarat.

Place: New Delhi Aparna Das

Date: Senior Program Advisor

GIZ-ASEM Office,

New Delhi.


Declaration

I, Namesh Killemsetty, do hereby declare that the project entitled “Study on RAY and Slum Networking Projects in India” has been done as a part of my summer internship at GIZ India from May 21 2012 to July 29 2012.The contents of this project report reflects the work done by me during the Summer Internship component of M.Tech in Infrastructure and Engineering Management, CEPT University, Ahmedabad, Gujarat.

Place: New Delhi Namesh Killemsetty

Date: (MIEM 2011-2013)


Contents

Acknowledgement.......................................................................................................................................2

Declaration by the organization..................................................................................................................3

Declaration..................................................................................................................................................4

List of figures...............................................................................................................................................6

Acronyms used............................................................................................................................................7

Executive Summary.....................................................................................................................................8

1. Introduction.......................................................................................................................................10

1.1. Defining Slums...........................................................................................................................13

1.2. National Missions for Slum Development and Poverty Reduction:...........................................14

2. Rajiv Awas Yojana (RAY)....................................................................................................................16

2.1. Scope:........................................................................................................................................16

2.2. Approach and Methodology......................................................................................................18

2.3. Prioritization and Phasing..........................................................................................................20

3. Study of RAY DPR’s............................................................................................................................22

4. Slum Networking...............................................................................................................................27

4.1. Slum Networking in Ahmedabad...............................................................................................32

4.2. Slum Networking in Indore........................................................................................................35

5. Energy Efficiency on the Brick Kiln Industry in India..........................................................................38

6. Tasks Assigned...................................................................................................................................42

7. References.........................................................................................................................................43


List of figures

Figure 1 - Decadal increase in urban population.......................................................................................10Figure 2 - Characteristics of Urban Slums..................................................................................................11Figure 3-Tenets of Slum Development.......................................................................................................12Figure 4 - Comparison of Parameters used by different agencies while defining any area slums..............14Figure 5- Methodology for Preparation of Slum free City Plan..................................................................18Figure 6- Infrastructure Deficiency and Poverty Matrix.............................................................................20Figure 7- Implementation Strategies for Slum Upgradation......................................................................22Figure 8 -Comparative study of ray projects in India.................................................................................23Figure 9 - Project Components of Slum Networking Project......................................................................28Figure 10 - Implementation structure for Slum Networking......................................................................30Figure 11- Type of partner support............................................................................................................33Figure 12 - Slums and river correlation in Indore.......................................................................................35Figure 13 - Indore slum before and after SNP............................................................................................36Figure 14 – Infrastructure development in the slums of Indore.................................................................37Figure 15 – Types of brick kilns in India.....................................................................................................38


Acronyms used

BPL Below Poverty LineCBO Community Based OrganizationCDP City Development PlanDPR Detailed Project ReportEWS Economical weaker sectionFGD Focussed Group DiscussionGOI Government of IndiaGIS Geographic Information SystemGIZ Gesellschaft fuer Internationale ZusammenarbeitIGEP Indo German Enviromental PartnershipIHSDP Integrated Housing and Slum Development ProgramJNNURM Jawaharlal Nehru National Urban Renewal MissionMEPMA Mission for Elimination of Poverty in Municipal AreasMIS Management Information SystemMoUD Ministry of Urban DevelopmentMoHUPA Ministry of Housing and Urban Poverty AlleviationNGO Non Government OrganizationNSDP National Slum Development ProgramNSSO National Sample Survey OrganizationPPP Public Private PartnershipRAY Rajiv Awas YojnaSFCPoA Slum free City Plan of ActionSFSPoA Slum free City Plan of ActionUDPFI Urban Development Plan Formulation and

ImplementationULB Urban Local Bodies


Executive Summary

Urbanization has gathered considerable momentum over the last 50 years. The proportion of urban

population to total population has increased from 17% in 1951 to 31% in 2011. It is estimated that

India’s urban population will reach to 600 million by 2031 i.e. 40 % of the India’s population, more

than double that in 2001. About one-fourth (24%) of the urban population of India is poor i.e.

their expenditure on consumption goods is less than the poverty line benchmark. The benefits of

urbanization have eluded this burgeoning 67 million urban poor population, most of who live in slums.

To improve the situation in urban areas, the Government of India (GoI) launched Rajiv Awas Yojana

(RAY) under Ministry of Housing and Urban Poverty Alleviation (MoHUPA) on June 2009 with the vision

of a 'Slum free India' that aims at encouraging States/Union Territories to progress beyond JNNURM,

and tackle the problem of slums holistically. RAY envisages in creation of inclusive and equitable cities in

which each citizen has access to basic civic and social services and decent shelter.

The Indo-German Environment Partnership (IGEP), GIZ is supporting the Municipal Corporations of

Raipur and Tirupati in selected interventions under the Jawaharlal Nehru National Urban Renewal

Mission (JNNURM)1 through technical cooperation. Upon request from MoHUPA, GoI and the Municipal

Corporations, GIZ is supporting these Municipal Corporations in the preparation of Detailed Project

Reports (DPR’s) for slum upgradation under RAY. The DPRs would detail out the short, medium and long

term plan for the issues related to governance, technical, financial, capacity building, awareness

generation and inclusiveness. It would also identify the key areas where further strengthening is

required in various interventions while planning and implementation process (e.g. baseline studies,

feasibility studies, etc.) are required.

GIZ would assist the Municipal Corporations of Raipur and Tirupati to prepare a Slum Free City Plan of

Action (SFCPoA) as envisaged in RAY for a holistic coverage on upgradation of all slums in the city with

provision of all basic civic infrastructure and services as well as decent housing, with emphasis on

planned layouts (after reconfiguration of plots based on existing / modified building bye-laws wherever

necessary) and on total sanitation (by provision of individual toilets and water supply to each

household). The major outcomes of this intervention are updating and refinement of city level baseline

1 Launched in December 2005, JNNURM is a large scale urban renewal mission aiming at improvement of urban infrastructure and basic services for urban poor


data, ward/slum level service assessment for the formulation of two DPRs of two slums in Raipur and

Tirupati respectively. GIZ would support MoHUPA in integrating lessons learnt from the Raipur and

Tirupati exposure in RAY policies and support the respective municipality corporations to tender the

pilot DPRs and also assist the local ULBs to adapt relevant by laws and regulation in alignment with Slum

Free Cities Plan of Action (SFCPoA) and Slum Free State Plan of Action (SFSPoA).

As a part of the summer internship project report

I. Review of Slum Networking Projects in Ahmedabad and Indore to get an understanding how

slums can be integrated with the existing city wide infrastructure to bring forward the

upgradation and bring the slums to the same level as the rest of the city

a. Study of Slum Networking Project Reports of Ahmedabad and Indore

b. Preparation of a concept note for Slum Networking Projects

c. Support organizing an exposure trip on Slum Networking Project for Raipur Municipal

Corporation (RMC) officials to Ahmedabad held on 1-2 June, 2012.

d. Support in preparation of the report on the exposure trip to learn about Slum

Networking Project in Ahmedabad held between 1-2 June, 2012

II. Support in rolling out of the design studio project on “Slum Upgrading - Shaping cities in the

times of Climate Change” – a cooperation between GIZ, Jawaharlal Architecture and Fine Arts

University, Hyderabad and Municipal Corporation of Tirupati.

a. Support in preparation of a concept note on “Slum Upgrading - Shaping cities in the

times of Climate Change”.

b. Support in liaisoning and preparation of terms of reference for the design studio project

between the concerned authorities.

III. Study on the energy efficiency of the Brick kiln Industry to understand the possible use of energy

efficient bricks for Housing in Slum Upgradation Programs in India.

IV. Study of successfully implemented RAY based Slum Upgradation Projects in India and a

comparative study of 5 Detailed Project Reports of the RAY Pilot Projects implemented in 5

different states of India


1. Introduction

Urbanization is fast becoming the defining

process in shaping the course of social

transformation & ensuing development concerns in

India. About 377 million persons or about 31% of

India’s population of 1.21 billion lived in urban areas

in 2011, spread over 5161 towns. Population

projections by the United Nations indicate that

by 2030, India’s urban population will grow to 576

million and constitute 40 percent of the total

population. In 2001, there were 35 cities with million

plus population and 393 cities above 100,000

population. It is estimated that the number of million plus cities in India will grow to 51 by 2011

and 75 by 2021; In addition there would be 500 large cities with population above 100,000 by 2021.

The benefits of urbanization have eluded this burgeoning 67 million urban poor population, most of

who live in slums. An analysis of population growth trends between 1991 and 2001 shows that while

India grew at an average annual growth rate of 2%, urban India grew at 3% mega cities at 4% and slum

populations rose by 5%.

This rapid and unplanned urbanization and simultaneous growth of urban population in the limited

living spaces has a visible impact on the quality of life of the slum dwellers of the city. Existing

infrastructure and services are hard-pressed to cater to this growing urban population and the urban

poor bear the brunt of this burden. When infrastructure and services are lacking, slums and other

vulnerable settlements are amongst the world’s most live threatening environments.

Slums are plagued with numerous issues and constitute one of the fundamental global challenges

of present times though development plans have been under implementation since many years.

Many of such schemes adopted earlier have laid substantial stress on adaptive approaches at the cost of

proactive approaches, thus not being able to address the subtleties of slum development in the right


Figure 1 - Decadal increase in urban population

perspective. It is now recognized that a permanent resolution to improving lives of the slum

dwellers is not the only perspective of slum development because equal efforts should be taken

towards planning a new urban growth in a way which ensures future migrants are not forced to live

in slums. Therefore cutting edge approaches are required which deal with the problems of slums as a

whole.

Figure 2 - Characteristics of Urban Slums

Adaptive approaches are economically feasible strategies for improving the existing slums in order to

integrate them into the social-economic fiber of the city. Some such approaches are:

Security of land tenure through issue of ownership rights which requires new legislations

in the area of urban land use.

Provision of adequate physical infrastructure like water supply, sanitation, sewerage, drainage,

roads and electricity.

Provision of adequate health infrastructure through primary health centres.

Provision of appropriate education facilities through primary schools.

Provision of livelihood centres / skill improvement programmes for economic betterment.


Figure 3-Tenets of Slum Development

These measures enable upgradation of physical and social infrastructure and economic services in the

slums to a level at par with the rest of the city. The most important characteristic of the adaptive

approach is the implementation of a practical solution to the issue of land tenure in order to provide

ownership of the land to the residents. In contrast with the adaptive approach, the proactive

approach concentrates on conceptualization and implementation of measures that ensure that

rapid urbanization does not compel future slum formation. In the long run, the proactive approach

will be more cost-effective and simpler that provides social and financial benefits to the urban poor,

the city and the nation. Some such approaches are:

Earmarking adequate land for EWS and LIG segments of the Society with tenure security,

thereby addressing the issues of demand for land, housing, physical and social infrastructure

and priorities for land use should be established. E.g. Transportation etc.

The city bylaws should be practically formulated in order to provide greater FSI to these sections

of the society.

Provision of adequate physical, social, and economic infrastructure in rural areas in order to

discourage migration to urban centres.

Develop satellite towns, cluster towns, and urban corridors with employment opportunities in

order to decongest the core urban area and reduce land demand for housing.


Slum development

Housing

Sanitation

Drainage

Uncontaminated water supply

Approach roads

Lighting

Devise and implement “Regional Development Plan” in conjunction with the CDP in order to

reduce regional imbalances and encourage development of counter-magnet towns.

1.1. Defining Slums

The definition of “slum” varies from country to country. In India, each state has its own definition of

slum. Slum areas were first notified under Section 3 (1) under Slum areas (improvement and clearance)

Act 1956 enacted in Delhi defined as “Any area unfit for human habitation by reason of dilapidation,

Overcrowding, faulty arrangement and design of such buildings, narrowness or faulty arrangement of

streets, lack of ventilation, light or sanitation facilities, or any combination of above factors, are

detrimental to safety, health or morals. The Definition however does not provide any measurable

parameters for area unfit for human habitation, and declare it as slum.

“UN Habitat” define slum as “as a group of individuals living under the same roof that lack one or more

(in some cities, two or more) of the following conditions:

I. security of tenure,

II. structural quality and

III. durability of dwellings,

IV. access to safe water,

V. access to sanitation facilities and

VI. sufficient living area.

The Census of India has adopted the definition of slums specified/declared “slums” through State/UT or

local government under any act. In additions it considers any area as slum having a compact area of at

least 300 populations or about 60-70 households of poorly built congested tenements, in unhygienic

environment usually with inadequate infrastructure and lacking in proper sanitary and drinking water

facilities.

According to the National Sample Survey Organization (58th Round), Slums have been defined as “A

compact settlement with a collection of poorly built tenements, mostly of temporary nature, crowded

together usually with inadequate sanitary and drinking water facilities in unhygienic conditions . Such an

area, for the purpose of this survey, was considered as “non-notified slum” if at least 20 households

lived in that area. Areas notified as slums by the respective municipalities, corporations, local bodies or

development authorities are treated as “notified slums”.


DEFINITIONS

PROVIDED BY:

Lack of

ventilation, light

or sanitation

Access to

safe drinking

water

Structural

Quality

Over

crowding

Living

Area

Security

of Tenure

Slum Area

(Improvement

and Clearance)

Act 1956

√ √ √ √ × ×

UN-Habitat √ √ √ √ √ √

Census of India √ √ √ √ × ×

NSSO √ √ √ √ × ×

Figure 4 - Comparison of Parameters used by different agencies while defining any area slums.

1.2. National Missions for Slum Development and Poverty Reduction:

The Government of India is committed to creating a slum free India as part of the Jawaharlal Nehru

National Urban Renewal Mission (JNNURM) sub mission on Basic Services for the Urban Poor

(BSUP). It also launched Rajiv Awas Yojana (RAY) for affordable housing for the poor for inclusive,

sustainable and equitable urban development and to address the ‘problem of slums in a definitive

manner’ (RAY guidelines). GoI’s Ministry of Housing and Urban Poverty Alleviation (MHUPA) is

providing technical and financial assistance in achieving the objectives of the two Missions.

a) Jawaharlal Nehru National Urban Renewal Mission (JNNURM)

JNNURM is a reform-linked urban development and slum upgrading programme launched in 2007.

Under JNNURM, the Government of India has been providing central assistance to 65 metro and large

cities to invest in infrastructure improvements with governance reforms under sub mission on

Urban Development.

b) Basic Services for Urban Poor (BSUP)

BSUP sub mission II is focused on slum upgrading and poverty reduction through creating access and

networking slums to urban infrastructure improvements. BSUP also has a 7-Point Charter that

envisages integration of urban slum upgrading activities with social development


programmes/missions such as for health, education, social welfare, etc. to ensure comprehensive

development.

c) Rajiv Awas Yojana (RAY)

More recently, the Ministry of Housing and Urban Poverty Alleviation has launched the Rajiv Avas Yojna

(RAY), a mission to ensure affordable housing to all slum dwellers. Towards implementation of

RAY, the city governments are required to create spatial and household databases and prepare a

citywide slum upgrading plan.

d) National Slum Development Programme (NSDP)

A Centrally assisted Slum Development Programme NSDP is mainly for improvement in the environment

in the slums as a broader objective through provision of infrastructure facilities and shelter for

improving living conditions in the slums ILCS. This scheme is for low cost sanitation in the slum

areas .

e) Valmiki Ambedkar Awas Yojana (VAMBAY)

VAMBAY is a central government scheme to provide housing to the poor. It was launched in the state of

MP in the year 2001. Under VAMBAY scheme, an amount of Rs. 50,000 is extended to a beneficiary in a

city with more than 10 lakhs population while in cities having population less than 10 lacs, each

beneficiary getting Rs40, 000. Fifty percent of the amount is central government grant while the

rest could be taken as loan from HUDCO/other nationalized banks, state government/Urban local

bodies.

f) Integrated Low Cost Sanitation Scheme (ILCS)

Integrated Low Cost Sanitation (ILCS) Scheme started with the objective of eradicating all dry latrines

and thereby liberating manual scavengers from inhuman practice of carrying night soil. The scheme also

has provision for construction of new latrines for the Economically Weaker Section (EWS) households

who have no latrine facility. The objective of the Scheme is to convert/ construct low cost sanitation

units through sanitary two pit pour flush latrines with superstructures and appropriate variations to

suit local conditions (area specific latrines) and construct new latrines where EWS household have no

latrines and follow the inhuman practice of defecating in the open in urban areas. This would

improve overall sanitation in the towns.


2. Rajiv Awas Yojana (RAY)

Rajiv Awas Yojana (RAY) for slum dwellers and the urban poor is a mission mode programme recently

launched by the government of India under the leadership of Ministry of Housing and Poverty

Alleviation (M/o HUPA). It envisages a “Slum-free India” by encouraging States/Union Territories to

tackle the problem of slums in a definitive manner. This programme is in alignment with the National

Eleventh Five Year Plan (plan period 2007- 2012) that at its core promotes “inclusive growth”. Even the

forthcoming Twelfth National Five Year Plan (Plan Period 2012-2017) recognizes the significance of

inclusive growth in cities as these contribute approximately 60 per cent in the country’s Gross Domestic

Product (GDP).

The basic concept of RAY is an integrated approach aimed to bringing within the formal system

those who are forced to live in extra-formal spaces and in denial of right to services and amenities

available to those with legal title to city spaces, and at correcting the deficiencies of the formal system

of urban development and town planning that have failed to create conditions of inclusiveness and

equity; to that, hence forth, new urban families, whether by way of migration or natural growth of

population, have recourse to housing with municipal services, and are not forced to create

encroachments and slums and live extralegal lives in conditions of deprivation of rights and amenities.

2.1. Scope:

RAY is aimed at to provide the support to ULB’s to redevelop all existing slums in a holistic and

integrated way and to create new affordable housing stock for urban poor & the existing scheme of

affordable housing are proposed to be dovetailed into this scheme. A ‘whole city’, all slum’

approach will be adopted, rather than a piecemeal, isolated approach, to ensure that all slums within a

city, whether notified or non-notified, in small clusters or large, whether on lands belonging to

State/Central Govt. Urban Local Bodies, public undertakings of State/Central Govt. any other public

agency and private land, are covered; a holistic assessment is made of the size and scope involved and

available land is put to the best use by designing slum specific solutions and negotiating the best

possible utilization of the land.


The scope of slum development has been enlarged to embrace slum improvement by providing the

basic minimum amenities like Housing, sanitary-latrines, drainage, uncontaminated water supply,

approach roads, paved streets and lighting, to the identified Slum dwellers in pilot phase of Jabalpur, in

order to prevent them from spoiling both the physical and social environment and also uplifting

them from a degrading quality of life. Slum dwellers are more prone to disease because of the

sub-human conditions, which prevail due to unawareness and neglect. In order to solve this, it has

been analyzed in the present scheme that how proper efforts should be made to educate them in the

direction of health and hygiene. In computing this shortage, the fundamental assumption or the Project

Concept was that each household should have a pucca dwelling unit, a reasonably permanent

structure to provide minimum standards of comfort and safety.

RAY calls for a multi-pronged approach focusing on:

Bringing existing slums within the formal system and enabling them to avail of the same

level of basic amenities as the rest of the town;

Redressing the failures of the formal system that lie behind the creation of slums; and

Tackling the shortages of urban land and housing that keep shelter out of reach of the urban

poor and force them to resort to extra-legal solutions in a bid to retain their sources of

livelihood and employment.

RAY envisages the following:

1. Enacting necessary legislation for conferring inheritable, mortgagee, but inalienable property

rights to all the slum dwellers;

2. Incorporate amendments to legislations under which land is obtained for expansion of urban

areas, to enable expansion of urban land at the expected rate of growth of the city, taking a 20

year perspective; reserving a certain proportion of land / developed space in all public and

private housing projects for the EWS and LIG categories in future development layouts to

prevent formation of new slums.

3. Bringing in amendments to enactments governing town planning to enable revision of

population density, FAR, land use etc. and permit local zoning and other relaxations required

for accommodation of in-situ regularization.


2.2. Approach and Methodology

Preparation of Slum Free City Plans for a city under guidelines of RAY- issued by MoHUPA, Govt of India

includes analysis of available data, mapping of land use of slums to determine tenability as per the data

available, formulation of slum development plans such as categorization of slums, evaluating

options available for slum communities for development, reconfiguration of slums- choice of slum

development model with assistance from the local ULBs by conducting FGD's with slum dwellers and

formulation of slum free city plans circulated by MoHUPA Govt. of India.

The Slum Free City Plan of Action would include two strategies – improvement of existing slums

(curative strategy) and prevention of formation of new slums (preventive strategy) by organizing

supply of affordable housing for the urban poor. Thus the broad methodology of the planning listing out

the various steps and activities are:

Figure 5- Methodology for Preparation of Slum free City Plan


As per the RAY guidelines, the process of preparation of Slum-free City Plan will broadly involve

Slum Redevelopment / Rehabilitation Plans based on

a) Survey of all slums – notified and non-notified

During this stage, delineation of the areas under slums will be undertaken along with demographic and

social profiling of the slum dwellers. The most important information gathered during this stage of the

study would be the type of housing in the slums (Katcha or Pucca). The survey would also include data

gathering about several important parameters like land ownership pattern (patta or encroachment),

Land use and FSI pattern, Adequacy of physical infrastructure facilities like water supply,

sewerage, drainage, solid waste management system, roads, electricity etc. Yet another important

parameter that would emerge from this survey is the tenure pattern of the dwellers. Lastly, the social

infrastructural facilities like education, health, banking, community hall, livelihood centres would be

covered in the survey.

b) Mapping of slums using the state-of-art technology

All the slums are to be mapped using GIS technology with detail filling through total station survey.

Satellite images will be used, as appropriate in order to generate the base map of the city/slum under

consideration.

c) Integration of geo-spatial and socio-economic data

In this stage the data collection in steps (a) and (b) above is integrated in to a single entity using GIS

platform. This will enable ushering of greater accessibility and transparency thereby making the entire

exercise responsive to public needs.

d) Identification of development model proposed for each slum.

At this stage the selection of development model for the slums is to be taken up. The choice of the

model may be Public-Public Partnership model or public-private partnership model.

e) Implementation strategy

The implementation strategy consists of three components: Prioritization, phasing and measures for

preventing future growth of slums. The first two components are important because the scheme

extends for a period of five years and the total slums in the city have to be taken up under the

scheme for development in a phased manner.


f) Preparation of Detailed Project Report

The Detailed Project Report is to be prepared by encompassing all the components of Slum-Free City

Plan. The DPR would include detailed designs and drawing along with detailed costing of the project.

2.3. Prioritization and Phasing

The priority of implementation of the Slum Free City Development Plan is based on the prioritization

process which is based on construction of the Poverty Index Vs. Infrastructure Deficiency Index Matrix.

The matrix construction a technical tool for incorporating multiple parameters in the decision making

process. Phasing is done in order to spread over the implementation process over a five year

period. The prioritization results are utilized for the purpose of phasing of the slums.

Settlements are given scores for each of the indicators. The average scores for poverty and

infrastructure deficiency are then determined separately and clustered into three ranges representing

the worst, not so bad, and best settlements. These ranges of one to three are used to rank poor

settlements according to poverty and infrastructure deficiency and represent them on a simple matrix

format (see Figure 1).

Figure 6- Infrastructure Deficiency and Poverty Matrix


The settlements that are poorest and most deficient in infrastructure are in the cell in the bottom right-

hand corner (p3/i3). The 3x3 matrix, as it is now called, has emerged as an appropriate tool for targeting

poor settlements for infrastructure improvement. It gives a comparative picture of poor settlements in a

town.

It is simple enough to be understood and used as a working tool by a diverse group of stakeholders,

including representatives of poor communities. It is transparent and non-controversial and acceptable

to local politicians, poor communities, and municipal officials. The analysis is carried out by the working

group on poverty and infra-structure which includes representatives from the major stakeholder groups.


3. Study of RAY DPR’s

Rajiv Awas Yojana is expected to cover 250 cities, mostly with a population of greater than 1 lakh

population, across the entire country by the end of the 12th five year plan (2017). The duration of Rajiv

Awas Yojana will be in two phases: Phase-I, for a period of two years from the date of approval of the

scheme and Phase-II which will cover the scheme and Phase-II which will cover the remaining period of

the twelfth Five year Plan 2013-17 RAY will be run in a Mission Mode.

Out of the 9 pilot projects that have been implemented in various cities of India over the last 1 year, the

Detailed Project Reports (DPR) of 5 pilot projects implemented under Rajiv Awas Yojana at cities in 5

different states of the country were given a thorough study. A comparative table was prepared between

the 5 projects in order to get a clear picture in the difference and the mechanism of the implementation

of RAY in the slums of Hyderabad, Jaipur, Bhubaneswar, Jabalpur and Vizhingham. The differences were

identified on various parameters such as the age of the slum, land ownership pattern, the occupational

profile of the slum residents, etc. On the basis of those parameters, the type of strategy and the

development to be followed was identified which can be summed down to the following options:

Mode of Implementation Strategy

Public- Public Partnership Remodeling of Slum

Gap filling(Housing and Infrastructure)

Public-Private Partnership Gap filling(Housing and Infrastructure)

Remodeling of Slum

Remodeling and Gap filling of slums

Local ULB Remodeling and Gap filling of slums

Gap filling(Housing and Infrastructure)

No housing and only physical and social infrastructure.

Hazardous slums- development by relocating to a nearby slum or new

premises/colony

Figure 7- Implementation Strategies for Slum Upgradation

The difference in cost sharing between the central govt., the state govt., the local ULB and the slum

beneficiaries was also identified. The role of community participation in the successful implementation

of slum upgradation is greatly discussed in all the pilot projects and the kind of community involvement

initiated has been observed in all the projects taking in care the needs and requirements of the

beneficiaries.


Figure 8 -Comparative study of ray projects in India


S.No. State Project Age of slum Land ownership Occupational profile Adopted StrategyType of development

No. of households accomodated

1 Andhra PradeshKeshavnagar Slum - Hyderabad

not specifiedland falls within the GHMC circle

76%- casual laborers In situ redevlopmentremodelling and gap filling

334

2 Rajasthan Kiron ki dhani- Jaipur20 years JDA land79%- casual laborers 13% - regular wages

1.In situ devlopment 2.slum relocation development

remodelling and gap filling

1104=920HH + 184 rental

3 OrissaRangamatia cluster(5 slums)- Bhubaneswar

previous revenue village absorbed in expanding city

21.69%- govt. land 42.73% - private land

individual based incomes

1. in situ development for authorised lands 2.redevelopment of unauthorised settlements on public lands


1453(1069 DU's & 384 transit housing)

4 Madhya PradeshCluster of slums- Jaipur

not specified govt. landfield/industrial laborers

in situ upgradation remodelling 107

5 Kerala Mathipuram colony- Vizhinghamtraditionally fishing hamlet

local muslim juma-ath

61%-unemployed 18%-fishing

1.In situ devlopment 2.slum relocation development


986

Project costs(in crores) Cost sharing Community participation Mode of implementation Nodal Agency Period of completion

1.housing -32 2.infrastructure-9.51 3.social infra.-2.93

1.Central govt. - 50% 2.State govt. - 20% 3.beneficiary- 30% (housing) 4.ULB-30% not mentioned public public partnership

Greater Hyderabad Municipal Corporation (GHMC) 18 months

1.housing-41.82 2.infrastructure-12.15 3.social infra-2.38

1.Central govt. - 50% 2.State govt.- 10% 3.beneficiary-10-12% ( housing) 4.ULB- 28-30%

community involved in the planning and a proceeding letter from the parishad taken and signed public public partnership

Jaipur development authority(JDA) 27 months

1.housing-22.52 2.infrastructure11.78 3.social infra-1.38

1.Central govt. - 50% 2.State govt. - 30% 3.beneficiary- 20% (housing) 4. ULB- 20%(infra) community consultation public public partnership

Bhubaneswar Municipal Corporation (BMC) 24 months


1.Central govt. - 50% 2.State govt. - 20% 3.beneficiary- 30% (housing) 4.ULB-30% not mentioned public public partnership

Jabalpur municipal corporation (JMC) 24 months


1.Central govt. - 50% 2.State govt. - 28% 3.beneficiary- 7% 4. ULB- 12% 5.PPP-3%

cluster level meeting in the plan finalization phase public private partnership

Thiruvananthapuram municipal corporation (TMC) 24 months

In the 5 projects considered, it has been observed that around 70% of the total project costs have been

dedicated for development of housing in slums either by creation of new structures of redevelopment of

existing slims. Around 25% of the project cost has been dedicated for development of infrastructure

such as roads, water supply, sanitation, solid waste management and so on. Finally approx. 5% of the

project cost has been allotted for development of social infrastructure like provision of livelihood

centres, primary school, primary health centres, parks and civic amenity centres.

The criterion for prioritization of slums for resettlement or for in situ development/ redevelopment is

based on various parameters such as:

1. Criteria for prioritization of slums for resettlement:

o Settlements in high risk areas: Environmentally Vulnerable Topographic conditions –

steep slopes (more than 30 degree slope), low lying/floodable area, area vulnerable to

landslides, high tides.

o Land use constraints: Slums on Non-Confirming uses, settlements in areas earmarked in

the Master Plan for non-residential use or earmarked for large e or earmarked for large

infrastructure of city-wide interest –projects of public interest

o Land ownership: Slum Settlements on Forest land, Railway land, Defense land , airport

land, etc.

2. Criteria for Prioritization of slums for in-situ improvement/redevelopment

o Tenure of slum pockets: Settlements without security of tenure- “encroachments” are

most vulnerable and should be given priority in selection for improvement.

o Public Land ownership: slum pockets on Public sector ownership of land should be

prioritized for improvement, as Slums on private land would either require negotiations

with owner or would require time-consuming acquisition

o Willingness of Private Land Owners: Where there is a squatter settlement on private

land and the land owner conveys his willingness for land sharing slum improvement in

infrastructure conditions.

o Infrastructure deficiency: Settlements with critical poverty and infrastructure

deficiency as indicated by appropriate indicators and a high-incidence of waterborne

diseases should be given high priority to improve.

o Private Developer/Real Estate firm ready to take-up slum redevelopment : selective

pockets can be taken up based on techno- financial feasibility


o Status of community organization: Homogeneity of the community can facilitate

mobilization of Community and create consensus of the residents regarding priorities

and requirements the implementation of improvement inputs and

responsiveness/willingness for voluntary redevelopment may be given priority.

o Existence of trunk infrastructure: - Areas near existing spare capacity of trunk

infrastructure can be given priority, since investments will be more cost effective.

o Settlements with illegal land-sub-divisions- where plot sizes are small (upto 50 sq. mts),

there is infrastructure deficiency and community is willing for improvements in

infrastructure. Such settlements can be taken up for in-situ slum up gradation.

o Population Density – It is desirable to take up improvement of small and medium size

slums with low or moderate densities. It is difficult to improve very high density /large

slums.

o Economic potential (including land Value) on which slum is located

o Vacant/ underutilized lands available within 1 km public transport corridor.

Under RAY, while the Centre gives 50% of the project cost to redevelop existing slums and create new

affordable housing stock, the remaining 50% cost has to be borne by states, municipalities and the

beneficiaries. The cost sharing between the state govt., the local ULBs and the slum beneficiaries have

seen are varying in different projects in terms of various parameters and also the involvement of the

community in the cost sharing process for upgradation of their housing. The beneficiaries are told to

contribute a certain amount for upgradation of their housing while the upgradation of the infrastructure

and the social amenities are taken care of by the local ULB.

But after a year of its implementation, RAY has been taken back to the drawing board with many states

expressing reluctance to comply with mandatory provisions for availing central funds under the scheme

such as according property rights to slum dwellers and earmarking 25% of the municipal budget for

spending in colonies and slums where the urban poor live.2 Many states have also expressed inability to

foot 50% of the bill and want the Centre to increase its share. In the revised version, MoHUPA is

considering to shift the focus of RAY on developing infrastructure in existing slums. While the central

govt. would provide funds for improving basic amenities, the slum dwellers would be given interest

subsidies on loans to improve their homes.

2 http://www.hindustantimes.com/India-news/NewDelhi/Rajiv-Awas-Yojana-back-on-draft-board-to-get-a-facelift/Article1-885402.aspx


http://www.hindustantimes.com/India-news/NewDelhi/Rajiv-Awas-Yojana-back-on-draft-board-to-get-a-facelift/Article1-885402.aspx

http://www.hindustantimes.com/India-news/NewDelhi/Rajiv-Awas-Yojana-back-on-draft-board-to-get-a-facelift/Article1-885402.aspx

Besides the central and the state govt.’s contribution, the slum dwellers are also supposed to contribute

20% as their share. But it has been observed that besides land, arrangement of funds for slum dwellers

are one of the biggest issues in implementation of RAY. It was found that the banks agree to fund the

dwellers only if they have the title deed of the house. However, the scheme does not permit the

authorities to allot the houses or the title deed before entire residential complex is completed. A

possible solution of this would be a creation of a community user group of dwellers should be created so

that slum-dwellers can be allotted houses before they are constructed and strict monitoring can be

maintained. The State government should agree to establish a mortgage risk guarantee fund to facilitate

lending for urban poor for housing purpose.3

A critical part of Rajiv Awas Yojana was development of rental accommodation or transit housing with a

motive to prevent squatter settlements, involving a private player partnership (PPP) mode of

implementation. The government has made it mandatory going forward that all housing projects in the

EWS category under RAY will have a minimum 25% of the residential stock dedicated to rental housing.

However, it had been observed that no private players have been coming forward to involvement in

these projects for poor incentives and low returns. It has been observed that developing an organized

rental market is a challenge because of restrictive government policies, very low rental yields, restrictive

rent control Acts and lack of incentives and opportunity4. To encourage private sector participation in

slum re-development, central assistance can also be used by the states and cities towards viability gap

funding.

3 http://www.business-standard.com/india/news/multiple-setbacks-push-rajiv-awas-yojana-into-oblivion-in-mp/456449/4 http://www.livemint.com/2012/05/28225901/Rajiv-Awas-Yojana-builders-no.html


http://www.livemint.com/2012/05/28225901/Rajiv-Awas-Yojana-builders-no.html

http://www.business-standard.com/india/news/multiple-setbacks-push-rajiv-awas-yojana-into-oblivion-in-mp/456449/

http://www.business-standard.com/india/news/multiple-setbacks-push-rajiv-awas-yojana-into-oblivion-in-mp/456449/

4. Slum Networking

Alleviating poverty is a priority in developing countries but it consumes an enormous portion of fiscal

allocations and sustainability is often difficult, resulting in sporadic and non-integrated development .

Upgrading - or slum improvement on the other hand is a package of basic services: clean water supply

and adequate sewage disposal to improve the well-being of the community with minimal financial

allocations. In the upgrading model, dwellers obtain an improved, healthy and secure living environment

without being displaced. The investments they have already made to their properties remain and are

enhanced - this is significantly better than removing them to costlier alternatives that are often less

acceptable to them. Recognizing title and security of tenure makes a positive contribution to both the

economic prospects of the poor, as well as to the national economy. Experience has shown that slum

upgrading projects are associated with social and economic benefits that are particularly high.

To make upgrading work and successful the most important element is commitment by all: the city, the

community, and the families. A sense of partnership must be developed among them. And secondly

upgrading must meet a real need - people must want it and understand the value. To implement right

institutional arrangements are must: give incentives for agencies to work with the poor, keep everyone

informed and coordinate between stakeholders, and define clearly the roles of the various agencies.

And to keep upgrading going, sustainability concerns must be a priority in financing, institutions, and

regulations.

Slum Networking Project (SNP) conceptualized by Himanshu Parikh is one such model of upgrading

which is a community based sanitation and environmental improvement programme that regards urban

slums not as resource draining liabilities but as opportunities to make sustainable changes and

improvement to the city as a whole. The concept of the networking project is to integrate the slums into

the main stream of the city through a city wide approach - connecting create and efficient urban

infrastructure that in turn would help to upgrade the slums. SNP started in Indore which helped in

alleviating the poverty of the slums, and later similar networking programmes successfully have been

taking place in cities of Baroda, Ahmedabad, Jodhpur and Mumbai.

Himanshu Parikh was trained as a structural engineer and after a number of years working in the United

Kingdom, he returned to India to work on a low-income housing scheme in Indore. Based on this

experience, Parikh went on to develop a plan to address the housing problems evident in slums


throughout India, calling that plan ‘Slum Networking’. At the heart of the idea was the belief that the

slum problem could only be addressed in the context of the entire city and not in isolation. Parikh,

therefore, rejected the notion that slums could be eliminated by simply providing better quality

alternative housing for the slum dwellers, and instead, he stressed the need to improve the

infrastructure in the slum settlements as a means to integrate them into the rest of the city. The

networking approach also visualized providing in-house services under individual control, as opposed to

common facilities envisaged under most of other methods. If these things were done, Parikh believed,

then the slum dwellers themselves, inspired by the improved surroundings, would upgrade their own

dwellings, consistent with the available resources and their needs.

Slum networking is a method for integrated upgradation of the entire city using the slums as an urban

net and not as isolated islands. The spatial spread of slums over a city together with contiguity between

slum settlements gives an opportunity to

strengthen the city level infrastructure

networks. There is a close correlation

between the slum locations and the

natural drainage path of a city. This helps

to build up low cost service trunks,

particularly for gravity based systems of

sewerage and storm drainage, together

with environmental improvements such

as creation of fresh water bodies,

cleaning up of polluted rivers,

development of green pedestrian spines and restoration of waterfront structures.

The slums naturally benefit from the improved city level support. For the city too, the slums offer

opportunities of change through this symbiotic process. Unconventional concepts such as topography

management, earth degradation and constructive landscaping are introduced. The service infrastructure

is simplified and modified so that individual services (instead of shared facilities) can be offered to slum

families at low costs. At the same time the maintenance burden is reduced and can be shifted from the

local government to individual householders.


Figure 9 - Project Components of Slum Networking Project

The Approach

This prescribed strategy, requires sensitive and intense participation of the public in its development

process. NGO's plays an important role in motivating the communities, mobilizing resources from the

slum dwellers and converging the efforts of the people with the inputs from the local government and

the business community of the city. The mechanism involved for community interaction can be extended

for health, education and income generation programs. The net effect is holistic development which

changes the functional, physical, socioeconomic and environmental qualities of a city at a fraction of the

costs of a conventional approach.

An iterative design process is adopted with the preparation of alternative sketch proposals for

discussions with community groups. Once a broad consensus is reached, the details of chosen options

are then formed up in joint consultation. The process not only prepares the communities for the

changes to come but also increases their willingness to pay for and maintain the systems. Partnership

agreements between community organizations and municipal corporations are drawn up to maintain

the services, and a number of slum communities are involved in garbage collection and cleaning of roads

and drains in their areas.

This method ties up the micro level improvements with the whole city and in the process makes possible

solutions which are otherwise mutually exclusive. Networking, though a more sensitive and painstaking

process, essentially involves a constructive intervention rather than replacement. Because of its

incremental nature it consumes lesser resources. Topography and land management coupled with the

locational attributes of the slums with respect to the water courses and low lying areas tend to form the

nuclei around which slums cluster. By sensitive treatment of these lands several advantages are

possible.


Figure 10 - Implementation structure for Slum Networking

Site topography has a powerful influence on the layout and functioning of the gravity based

infrastructure.

Coordinating the roads, storm drainage and sewerage to natural gradients results in better

functions and economy.

The surface cleanliness of the margins is achieved with grading and planting instead of

expensive paving.


As far as possible, all roads are placed so as to have a positively downward slope from the high

points of the water courses.

The road edges are protected by curbs.

For the reason of hygiene, open sewers have not been considered. The piped sewerage

proposed is designed to carry both the sewerage and foul water.

In view of the scarcity of water in cities concerned, nodular networks are used to increase the

flows and at same time reduce the number of manholes.

Expensive appurtenances such as drop manholes and vent shafts are omitted by making suitable

changes in the design. The inspection chambers for the house connections, which account for a large

part of the sewerage cost, are replaced by small, inexpensive intercepting traps developed specially for

the projects. By using the natural grades, pumping was avoided which reduced the capital, running and

maintenance costs. For water supply, selective repair and upgradation is preferred to the total

replacement. New networks are proposed only in the remote or newly developed sites. The existing

hand pumps and wells are salvaged and integrated into the system to the extent possible.

Thoughtful planting can improve the micro environment of the settlements. Shade trees cool the streets

in the summer and at the same time reduce the dust in the air. Landscaping attenuates the rain peaks,

resulting in smaller pipe sizes of storm drains. The decorative trees and the flowering plants add to the

beauty. Vegetable, herb and fruit yielding plants, in addition, supplement the daily needs of the families.

Earth management and grassing very significantly reduce the costs of roads and pavings, the most

expensive components of urban infrastructure. Moreover, the work is undertaken directly by the

communities because they have the knowledge and the sensitivity towards the surrounding

environment.


4.1. Slum Networking in Ahmedabad

In the mid 1990's Ahmedabad city had about 20% population comprising of 1,76,754 families lived in

sub-human (slums) conditions at 710 pockets. There profile could be described as under:

Total or partial absence of critical infrastructure like water supply, drainage, roads, toilets and

street lighting.

Over populated and congested.

Temporary structures with inadequate maintenance.

Lack of basic minimum education and insufficient skills.

Low income and poor standard of living.

From 710 slum pockets, as per Town Planning Department of AMC it is possible to provide the services

to 417 slum pockets. Out of which 190 slums comprising of 47,300 families are living with inadequate

facilities. These slums are prime target by AMC for the provision of basic services.

The Slum Networking approach adapted by Ahmedabad Municipal Corporation (AMC), though based on

the slum networking approach of the Indore Habitat Improvement Project (IHIP), is substantially

different in its settlement level approach and to partnerships with NGOs and communities. In

Ahmedabad, SNP is undertaken only in those slums where all slum households arrive at a consensus for

contributing a proportion of the implementation costs (Rs 2000) for getting household level water

supply, sewerage and drainage connections. NGOs partner with AMC for generating awareness about

the project and in motivating all slum residents to agree to participate in the project. This task is quite

difficult because simultaneously, other government schemes enable slums residents to access

community level services at no cost. The well-off households in the slums often have illegal connections

and hence participation in the programme is not a priority for them.

The approach for provision of a package of basic infrastructure services at the household and slum level

in an affordable and sustainable way has evolved since it was first introduced in Ahmedabad as a

partnership project with the Private Sector in 1995. The first requirement was to make slums part of the

city by providing service-activity linkages between the two. These included

• Provision of Solid Waste Management service

• Strengthening of sewage network

• Extension of city storm water drains to reach slum concentration and low lying areas

• Improvement of water supply pressures around slum localities


Figure 11- Type of partner support

• Plantation

• Improving the city roads on the periphery of the slums

The second step was to make the project participatory by involving the slum dwellers in the decision

making process and in the maintenance of essential services. Various neighborhood groups, women’s

groups and youth groups were given credit facilities and were trained in income generating activities

Transparency

• Monthly Monitoring Meeting: AMC as well as the NGO partners hold monthly meetings to review the

progress of the work. The meetings provide a forum for all partners, including the community to share

their views and facilitate the implementation of the programme.

• Joint Planning: The layout plans of the design though prepared by AMC, are shared with the partners,

and necessary amendments made.


• Trainings: The AMC engineers jointly conduct trainings with NGO Mahila Housing Trust (MHT), to

orient the community on the technical aspects to ensure community consent and support for smooth

programme implementation.

• Interaction with Public: The post lunch office hours of the AMC officials are allocated for open

interaction with community and partners

Sustainability

SNP has sustained itself since its inception maintaining its partnership character. It has grown

tremendously reaching 8,703 families, making a significant contribution in the lives of 43,515 people

over 41 slum communities of Ahmedabad. The key elements that made this programme sustainable are:

• Long Term Commitment: The AMC has set up a separate cell for implementing the programme. The

AMC provides the people a written assurance that they will not be evicted for 10 years if they join

the scheme. Last installment of Community contribution is released only after the work is completed

to their satisfaction.

• Community Involvement: Complete involvement of the slum dwellers at all the stages of the

programme, is ensured by setting up neighborhood groups which are duly registered by MHT and

SAATH. The cost sharing by the community instills a sense of ownership in the slum dwellers.

• Demand based innovations: Introduction of Demand Based Innovations, like inclusion of individual

toilets in the programme by the SNP Cell.

• Financial Viability: Following an amendment in the BPMC Act in 1978, the Corporation has been

regularly spending upto 10% of funds from its own revenues towards improvement of services in the

slums. So far the slums were being treated as a separate entry devoid of linkages with the city level

services. SNP brings about complete transformation of the slum to integrate into the main stream of

the society.


4.2. Slum Networking in Indore

As a leading Industrial city, Indore exercises a great pull on the adjoining hinter lands. This, coupled with

the natural increases in population, has meant that the city has seen a mushrooming 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. In 1991, the population of the city was 1.25 million

out of which slum dwellers accounted for 0.35 million.

As per a 1990 survey, over two thirds of the slum families lived below the poverty line earning less than

RS. 1000 per month. Suppressing the age group 0-5 years, about 40 percent of the slum dwellers were

illiterate. 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 hand pumps. About 76 percent of families were theoretically served by

public or individual toilets. However, most of the public toilets which served 68 percent of the

household were ill maintained and unusable.

The Impact

The objectives of SNP in Indore were:

(1) A holistic approach to environmental issues in order to upgrade the slums and the entire city

(2) A significant reduction in the cost of the utilities and housing

(3) The mobilization of material resources for the development of settlements

(4) The increase in community responsibility and control and

(5) The improvement of overall

quality of life in terms of education,

health and income.

In a project executed by Indore

Development Authority, and financed by

Overseas development Administration,

UK, The objectives were realized through

innovativeness and low cost engineering

solutions like connecting slum sewerage

lines to the main artery along the river.

This solution was implemented at two

levels. At the city level, a main sewerage


Figure 12 - Slums and river correlation in Indore

artery funded by the Indore Development Authority and Great Britain's Overseas Development

Administration (now DFID) was constructed along the river bank. At the slum level, slum dwellers paid

for and built their own toilets and connections to water and sewerage lines at an average cost of Rs.

10,000 per family. A state government ordinance that gave

Indore Slum dwellers long term land leases, effectively

legalising their unauthorised colonies, was an investing for

making the sewerage investment.

In the 1980s, slum improvement projects typically provided

facilities such as community toilets and wash rooms. Sharing

such facilities gave rise to communal riots, crime and abuse.

For privacy, women frequented the toilets early in the

morning, where they were often subjected to rape or

assault. Now, with each house equipped with an individual

toilet and washroom, not only is the housing upgraded, the

slums are also nearly crime free.

Over a period of six years, the slum matrix of the city covering 450,000 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. The table below shows the accumulated totals of all the new infrastructure and

environmental improvements planned in the slums of Indore.

New Infrastructure in Slums of Indore


Figure 13 - Indore slum before and after SNP

Total length of new roads 360 Ams.

Total length of new sewer lines 300 Kms.

Total length of new storm drains 50 Kms.

Total length of new water lines 240 Kms.

New trees to be planned 120,000 .

Total area of grassing/shrubbing 500,000 sq.m.

New community halls 158 .

Figure 14 – Infrastructure development in the slums of Indore

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. The cost of improvements in Indore slums are a fraction of the conventional

methods and the benefits extend go beyond the slum fabric. Indore shows that it is possible to address

the problem of the urban poor, in terms of the physical and socioeconomic environment and at micro

and macro scales, parallel to infrastructure and environmental improvements of the city as a whole.

5. Energy Efficiency on the Brick Kiln Industry in India

- A study to understand the possible use of energy efficient bricks for Housing in Slum

Upgradation Programs


India’s brick kiln industry is the second largest in the world which producing 140 billion bricks annually

through approx. 1, 00,000 brick kilns giving an employment to 10 million workers. The Indo-Gangetic

plain accounts for 65 per cent of the production and Punjab, Haryana, Uttar Pradesh, Bihar and West

Bengal are the major brick-producing states.

The Indian brick industry with an estimated coal consumption of 15 - 20 million tons per year is the third

largest consumer of coal in the country after power plants and steel industry. Burning of coal results in

the release of several air pollutants in atmosphere such as carbon dioxide (CO2), carbon monoxide (CO),

sulphur dioxide (SO2), nitrogen oxides (NOx) and particulate matter. At local level (in the vicinity of a

brick kiln) some of these pollutants are injurious to human health, animal and plant life. At global level,

pollutants like CO2 contributes to the phenomena of global warming and climate change. According to

UNDP, total carbon dioxide emissions from brick productions are estimated at 41.6 million tonnes per

year or equivalent to 4.5% of India’s total GHG emissions.

The various types of existing kiln designs can be summed up as given in the table below:

CATEGORY ON THE

BASIS OF

PRODUCTION

VOLUME

ANNUAL

PRODUCTION

(BRICKS/ YEAR)

TYPE OF KILN MAIN FUEL

Small < 10 lakh Clamp, Scotch, Scove,

Downdraught, etc.

Biomass- firewood, rice husk, dung

Coal and lignite

Medium 10-25 lakh Moving chimney Bull trench

Kilns(BTKs),clamps, etc.

Coal

Large > 25 lakh Fixed chimney, moving chimney

BTKs, High Draught

Coal

Figure 15 – Types of brick kilns in India

Out of the total heat supplied to a kiln, only the heat which is not recoverable afterwards is the useful

energy component [Clews, 1969]. Rest of the energy supplied to a brick kiln is wasted, in Indian kilns the

percentage of heat that is wasted generally varies from 40 -90%. The main energy loss components in

brick kilns are: heat loss in flue gases; convection and radiation heat loss from kiln surface; heat required


for heating of ground and kiln structure. The difference between specific energy consumption among

various kilns is primarily due to differences in the magnitude of these heat losses.

Over the last decade a total shift from bricks with moving chimneys to fixed chimneys industry was

achieved that lead to around 10-15% of energy savings. The implementation of further energy efficiency

improvement measures in the sector leads to another 10-15% of energy savings, which by today are

only tapped to a small degree. Comprehensive regulations, provision of state of the art technology and

awareness raising are required to achieve further improvement to energy efficiency in the brick sector.

With growing environmental consciousness at all levels of society, the pollution caused by the brick

industry is coming under close scrutiny from environmentalists and the government. Successful climate

change mitigation and energy efficient policies must therefore address the brick sector and enhance the

energy efficiency of the sector. This energy savings can be obtained by two means.

Improving the production processes of brick kilns energy wise.

Manufacture and usage of new, non- traditional and green types of bricks (eg-hollow bricks)

leading to significant energy savings.

The manufacturing of green bricks requires less resources of energy and reduces the energy

consumption of the buildings due to better thermal insulation. Various policy initiatives have been taken

by the Govt. of India to promote energy efficiency and use of Green construction material.

National Action Plan on Climate Change- 2008 (8 missions)

The Mission on Sustainable Habitat broadly covers the extension of the energy conservation

building code and addresses the design of new and large commercial buildings to optimize their

energy demand.

Ministry of New and Renewable Energy

GRIHA: Green Rating for Integrated Habitat Assessment is a National green building rating

system (conceived by TERI and developed jointly with the Ministry of New and Renewable

Energy, Government of India)

o All projects undertaken by CPWD shall comply with GRIHA guidelines and benchmarks.

o All new buildings of Central Government / Public sector undertakings shall comply with

the mandatory guidelines and benchmarks of at-least a GRIHA 3 star rating.


o Fast track environmental clearance for buildings and construction sector projects

having green rating (Pre-Certification or Provisional Certification) under the rating

programmes of GRIHA and IGBC.

o MNRE scheme on “Energy Efficient Solar/ Green Buildings” to promote widespread

construction of green buildings in the country through a combination of financial and

promotional incentives.

Ministry of Power – Energy Conservation Act 2001

o Establishment of Bureau of Energy Efficiency Mission is to assist in developing policies

and strategies with a thrust on self-regulation and market principles, within the overall

framework of Energy Conservation Act, 2001 with the primary objective of reducing

energy intensity of Indian economy.

o Energy Conservation Building Code (ECBC) 2007 to provide minimum requirements for

the energy-efficient design and construction of buildings.

Ministry of Environment and Forests

o Design and demonstration of energy efficient and environmental friendly design of

clamp kilns and development of emission norms and siting criteria

o UNDP- GEF project on ‘Energy Efficiency Improvements in Indian brick industry’

o Fly ash notification to promote use of fly ash from coal based thermal power plant (TPP)

as construction material within a radius of 100 km from TPP.

Ministry of Consumer Affairs, Food & Public Distribution

Bureau of Indian Standards is revising the existing standards on hollow blocks to include the

sizes which are popular in market.

Initiatives by the State Government

Inclusion of EE walling material like clay-fly ash bricks, hollow concrete blocks, Fal-G bricks and

Aerated autoclaved concrete blocks etc. in their respective State PWD specifications.

Energy efficient bricks like hollow bricks have a market share in India of only around 0.1%. Hollow

concrete bricks and fly ash bricks hold a major advantage over the conventional clay bricks especially for

construction of residential housing structures as they can be constructed to the specifications of curing

as required, have better insulation properties, better sound insulation, no efflorescence, lower water


absorption as compared to clay bricks and its excellent applications as an exposed material. However,

the use of hollow concrete bricks has not been widely prevalent in the country as there are very few

vendors available and the challenge of manufacturing involved in it. Therefore there is a need of

intervention of the government and various bilateral and multilateral agencies in:

Focused research and development on mechanization in green brick molding for production of

energy efficient perforated bricks/ hollow blocks.

Incentives for adoption of mechanization by supporting entrepreneurs taking lead in

experimentation.

Creation of training institutes to create a pool of trained work force on better kiln operation

practices, operation and maintenance of machinery and construction practices using different

walling techniques.

Address the aspect of lack of technology suppliers and local service providers (LSPs) in terms of

Varying production capacities / fuel usage / soil characteristics / product quality

Sector specific / tailor made financial packages for adoption of mechanization by brick kiln

entrepreneurs and availability of technology know-how / technology suppliers.

6. Tasks Assigned

V. Study of Slum Networking Projects in Ahmedabad and Indore to get an understanding of the

working and the mechanism behind the successful implementation of slum networking in the

two cities.


VI. Support organizing an exposure trip on Slum Networking Project for Raipur Municipal

Corporation (RMC) officials to Ahmedabad held on 1-2 June, 2012.

VII. Support in preparation of the concept note for rolling out of the design studio project on “Slum

upgrading - Shaping cities in the times of Climate Change” – a cooperation between GIZ,

Jawahar Lal Architecture and Fine Arts University, Hyderabad and Municipal Corporation of

Tirupati.

VIII. Preparation of the report on the exposure trip to learn about Slum Networking Project in

Ahmedabad held between 1-2 June, 2012

IX. Study on the energy efficiency of the Brick kiln Industry to understand the possible use of energy

efficient bricks for Housing in Slum Upgradation Programs in India.

X. Study of successfully implemented RAY based Slum Upgradation Projects in India and a

comparative study of 5 Detailed Project Reports of the RAY Pilot Projects implemented in 5

different states of India

7. References

DPR for In situ redevelopment of Keshavnagar Slum in GHMC under RAY

DPR for slum upgradation at Vizhingham under RAY

Rangamatia Improvement Project Report, Bhubaneswar, Orissa


Detailed Project Report- RAY for Jabalpur Municipal Corporation

Detailed Project Report –Kiron Ki Dhani, Jaipur Municipal Corporation

RAY Guidelines – MoHUPA

Slum Networking in Ahmedabad- the Sanjay Nagar Pilot Project - Dwijendra Tripathi

Reaching the poor- Slum Networking Project – CEPT University, Ahmedabad

Slum Networking of Indore City- Himanshu Parikh

Situation Analysis of Poverty Pockets in Indore – UN Habitat, Indore Municipal Corporation and

WATERAid.

Regional Dialogue on Energy Efficiency in the Brick Industry In the frame of the GIZ Programme “

Regional Energy Efficiency Programme (REEP)”

Typology of Slums and Land Tenure in Indian Cities – Prof. Nelima Risbud, School of Planning and

Architecture, New Delhi

Towards more Inclusive Cities – MoHUPA Brochure

Toolkit for Rajiv Awas Yojana- Deptt. Of Municipal Administration and Urban Development, Govt.

of Andhra Pradesh.


Documents

Study on RAY and Slum Networking Projects in India