about slum upgradation strategies in india

1. SLUM UPGRADING
STRATEGIES
SOCIOLOGY
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INTRODUCTION
India’s 10th Five Year Plan noted that the urban slum population is growing despite sharp
reductions in poverty and rising incomes. The central and several state governments recognized
the need for intervention by initiating, or enlarging existing urban housing and other slum subsidy
programs. With this in mind, the Government of India (GOI) has requested a loan from the World
Bank to implement a more effective strategy and delivery mechanism for the financing of urban
slum improvement and sanitation provision in underserved areas.
In order to support the GOI to achieve the goals delineated in 10th Five-year Development Plan
concerning slum improvement and poverty alleviation in urban areas, the Bank has agreed to
consider a program that will focus on (a) refining the national policy framework for the upgrad ing
of urban slums and sanitation in underserved areas in India; (b) working with the states and
various beneficiaries to establish a methodology which measures program performance of both
the GOI and the states, and identifies concrete monitorable steps that can be taken to improve
this performance; (c) developing appropriate monitoring mechanisms to enable the evaluation
and modification or redesign of the programs which would improve the transparency, efficiency,
administrative simplicity, and targeting of the assistance; and (d) developing funding schemes for
slum improvement and sanitation that could provide incentives so that resources are used more
effectively and the program reach expanded. In doing so, the program will: (i) contribute to
poverty alleviation in the poorest urban areas in India; (ii) strengthen human capital in poor
neighborhoods by increasing community participation in planning, delivery and maintenance of
public works and services; (iii) improve the efficacy of the use of more than $400 million of
annual government expenditures on these programs.
SLUMS:
The word “slum” is often used to describe informal settlements within cities that have inadequate
housing and squalid, miserable living conditions. They are often overcrowded, with many people
crammed into very small living spaces.
These settlements lack basic municipal services such as water, sanitation, waste collection,
storm drainage, street lighting, paved sidewalks and roads for emergency access. Most also do
not have easy access to schools, hospitals or public places for the community to gather. Many
slums have been unserviced and unrecognised for long periods, over 20 years in some cities.
Like all informal settlements, housing in slums is built on land that the occupant does not have a
legal claim to and without any urban planning or adherence to zoning regulations. In addition,
slums are often areas where many social indicators are on a downward slide; for example, crime
and unemployment are on the rise.
All slums are not the same, and some provide better living conditions than others. Likewise, slum
dwellers are not a homogeneous population, but a diverse group of people with different
interests, means and backgrounds.
Slums are also a significant economic force. In many cities, as much as 60 percent of
employment is in the informal sector of the urban population.

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Today, more than one billion people in the world live in slums. In the developing world, one out of
every three people living in cities lives in a slum.
UN-HABITAT defines a slum household as a group of individuals living under the same roof in an
urban area who lack one or more of the following:
 Durable housing of a permanent nature that protects against extreme climate conditions.
 Sufficient living space, which means not more than three people sharing the same room.
 Easy access to safe water in sufficient amounts at an affordable price.
 Access to adequate sanitation in the form of a private or public toilet shared by a
reasonable number of people.
 Security of tenure that prevents forced evictions.
SLUM DEVELOPMENT:
Slums are not a new phenomenon. They have been part of the history of most cities, particularly
in the early years of urbanisation and industrialisation as populations boomed. Slums are
generally the only type of settlement affordable and accessible to the poor in cities, where
competition for land and profits is intense.
There are two main reasons why slums develop: population growth and governance.
POPULATION GROWTH
Countries around the world are urbanising rapidly as more people migrate from rural areas to the
cities and natural population growth continues to occur. Today, more than half the world’s
population resides in urban areas. More than 90 percent of this urban growth is taking place in
the developing world.
Urban migration happens for a number of reasons:
1.The pushing and pulling forces of migration. Some people migrate because they are
pushed out of their place of origin by factors such as natural disasters or sustained ecological
changes. Others are pulled to a new destination by better job prospects, education, health
facilities, or freedom from restrictive social or cultural realities.
2.Low incomes from agriculture. Most people in rural areas work in the agricultural sector,
which is highly dependent on weather. Also, rural land is limited, its fertility sometimes low or
declining, land holdings are small, farm debts are high, and many households have become
landless. As a result, overall rural incomes are low.
3.Better job prospects. In comparison with rural areas, urban areas offer dramatically increased
job opportunities. In addition, because urban cultures are often less constrained than those in
villages, cities can also offer greater prospects of upward social mobility.
4.People know what cities can offer them. Most migrants make a deliberate choice to stay or
leave in rural areas. Improved transport, communications and links with earlier migrants have all

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made rural populations much more aware of the advantages and disadvantages of urban life,
especially regarding job opportunities and housing.
5.Urban migration is often a survival strategy for rural households. Sometimes, rural
households split into several groups located in different places—rural areas, small towns, and big
cities—in order to diversify their sources of income and be less vulnerable to economic
downturns.
GOVERNANCE
Another reason slums develop is bad governance. Governments often fail to recognise the rights
of the urban poor and incorporate them into urban planning, thereby contributing to the growth of
slums.
In addition, many countries simply cannot respond to rapid urbanisation quickly enough. People
are coming to cities far faster than the planning process can incorporate them. Often, they find
their own land and build a shack before the government has a chance to learn of their existence.
The attitude of a government towards urbanisation is also an important component. Some
governments take a hostile approach to urbanisation. They believe that if they provide urban
services to the poor, it will attract urbanisation and cause the slums to grow. The problem with
this view is that very few people come to the city for water or services—they come looking for
work.
In other cases, governments take more of a passive approach to urbanisation. They either do not
have the planning tools to deal with the rapid urbanisation that is happening, or the tools in pla ce
are not sufficiently responsive to the reality on the ground.
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PREVENTIONOF SLUM DEVELOPMENT:
There are basic things a government can do to prevent new slums from developing. One is to
recognise that urbanisation is going to happen. Sometimes governments believe that adopting
alternative policies, such as focusing on rural development, will stop urbanisation. This approach
is rarely effective.
Once governments accept the reality of urban growth, the next step is to plan for it and determine
where the new residents will live. Authorities should identify land and plan for its settlement even
if money is not available for urban services. Once people settle on that land and feel that they
have a right to live there, they will begin investing in it. Over time, the area will upgrade
incrementally.

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SLUM UPGRADATION
ABOUT:
Slum upgrading is a process through which informal areas are gradually improved, formalised
and incorporated into the city itself, through extending land, services and citizenship to slum
dwellers.It involves providing slum dwellers with the economic, social, institutional and
community services available to other citizens. These services include legal (land tenure),
physical (infrastructure), social (crime or education, for example) or economic.
Slum upgrading is not simply about water or drainage or housing. It is about putting into motion
the economic, social, institutional and community activities that are needed to turn around
downward trends in an area. These activities should be undertaken cooperatively among all
parties involved—residents, community groups, businesses as well as local and national
authorities if applicable.
The activities tend to include the provision of basic services such as housing, streets, footpaths,
drainage, clean water, sanitation, and sewage disposal. Often, access to education and health
care are also part of upgrading.
In addition to basic services, one of the key elements of slum upgrading is legalising or
regularising properties and bringing secure land tenure to residents.
Ultimately, upgrading efforts aim to create a dynamic in the community where there is a sense of
ownership, entitlement and inward investment in the area.
IMPORTANCE OF SLUM UPGRADING:
The main reason for slum upgrading is that people have a fundamental right to live with basic
dignity and in decent conditions.
On another level, it is in a city’s best interest to upgrade slums and prevent the formation of new
slums. If slums are allowed to deteriorate, governments can lose control of the populace and
slums become areas of crime and disease that impact the whole city.
Slum upgrading benefits a city by:
Fostering inclusion. Slum upgrading addresses serious problems affecting slum residents,
including illegality, exclusion, precariousness and barriers to services, credit, land, and social
protection for vulnerable populations such as women and children.
Promoting economic development. Upgrading releases the vast untapped resources of slum
dwellers that have skills and a huge desire to be a more productive part of the economy, but are
held back by their status and marginality.
Addressing overall city issues. It deals with city issues by containing environmental
degradation, improving sanitation, lowering violence and attracting investment.

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Improving quality of life. It elevates the quality of life of the upgraded communities and the city
as a whole, providing more citizenship, political voice, representation, improved living conditions,
increased safety and security.
Providing shelter for the poor. It is the most effective way to provide shelter to the urban poor
at a very large scale and at the lowest cost.
In addition, in-situ slum upgrading is:
Affordable. Slum upgrading costs less and is more effective than relocation to public housing.
Developing land with basic services costs even less.
Flexible. It can be done incrementally by the city and by the residents at a pace that is
technically and financially possible for both.
Viable. The poor can and are willing to pay for improved services and homes.
SLUM UPGRADING IN INDIA:
In order to help revitalize the physical and social infrastructure so that residents could improve
their habitats while strengthening their sense of community, CHF implemented the Sahbhagi
Yojana 2 Support Program (SY2SP) from 2003 to 2007. Funded by the US Agency for
International Development, CHF implemented SY2SP in three cities in India’s western state of
Gujarat, Ahmedabad, Surat and Vadodara.
Through SY2SP, CHF focused on improving the technical, financial and managerial
effectiveness of several groups within the Self-Employed Women’s Association (SEWA), a trade
union owned and developed by poor, self-employed Indian women. Some 92 percent of women
in India’s labor force earn their living in the informal sector, lacking regular salaries and welfare
benefits.
The overall goal of these efforts was to help SEWA and its affiliated groups to become effective
partners of the municipal corporations and slum communities in each city, so that they could
make tangible and lasting improvements to the physical infrastructure of local slums.
The program’s impact includes:
 Helped residents to form 148 community-based organizations and leveraged new
banking services for the community, including the first-ever pension program for women
working in the informal sector
 Provided nearly 10,000 people with training in health and hygiene
 Immunized over 2,000 children
 Provided 2,500 people with access to insurance
 Distributed low-cost generic medicines to nearly 30,000 people through 66 health centers
 Delivered services to over 143,000 people living in over 100 slums in the three cities.

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SY2SP was so successful that it piqued the interest of municipal corporations outside of Gujarat
that were eligible to receive funding from the Jawaharlal Nehru National Urban Renewal Mission
(JNNURM), a $27 billion city modernization program launched by the central Indian government.
Following consultations with CHF staff about its experiences and lessons learned during SY2SP,
three additional cities submitted applications for JNNURM funding.
FACTORSFOR UPGRADING SLUMS:
There are many factors that are needed for a slum upgrading programme to be successful. The
two most important ones are strong political will on behalf of government and strong buy-in on
the part of communities. There must also be a sense of partnership among all parties.
Moreover, the slum upgrading initiative must meet a real need; people must want it and
understand why it is important.
It is also beneficial if upgrading activities are city-wide and involve partners beyond the slums
themselves, which is especially important in implementation. There must be incentives for
agencies to work with the poor; good communication and coordination among stakeholders; and
clearly defined roles for the various agencies involved.
To keep slum upgrading going, it should be a priority in financing, institutions and regulations.
Slum upgrading is most effective when linked with other initiatives or goals, such as:
 Poverty alleviation
 Health and education
 Preservation of historic city centers
 Environmental and sanitation improvement
 City-wide infrastructure and transportation expansion.
PROGRAMMES UNDERTAKENBY INDIAN GOVT FOR UPGRADING
SLUMS:
-The National Slum Development Program (NSDP).
-Valmiki Ambedkar Awas Yojana (VAMBAY).
- Indira Awaas Yojana (IAY).
- Urban Ashraya Housing Program.
- Mythri Housing Scheme.
- Bhavanashree Housing Program.
- Pune Municipality Sanitation Project
- Nirmal Bharat Abhiyan.
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