Slum Rehabilitation Authority, Mumbai A Performance Analysis Report 04/11/2017
Prepared For: Young Leaders for Active Citizenship Prepared By: Aditi Nair Anamika Misra Chavvi Ahuja Prerna Thacker Shreya Kapoor Zahra Jeena
Disclaimer: The views expressed in this brief are solely those of the authors and do not represent the views of Young Leaders for Active Citizenship (YLAC)
1
Social equity, inclusion, economic growth and sustainable development continue to be the most prevalent challenges of the urbanized city. In the first official survey that Mumbai conducted in 1956, 8 percent of the total population lived in slums. Over the years, the population of the city grew exponentially and so did the number of slum dwellers. Today, 5.2 million people in Mumbai live in slums1 equalling the population of Singapore.2 Slums are an integral component of the convoluted mosaic of the urban fabric. Although considered squalid, repulsive and overcrowded, slums are a kernel for socially vibrant spaces that serve as a hub for many micro-industries and are an indispensable part of the city’s’ working,3 and thus a deep understanding of the functioning of slums is required when working towards slum rehabilitation and upliftment of their living conditions.
1)
Framework for Slum Rehabilitation
To promote development of slum areas, improve housing for the urban poor and address the needs of slum dwellers, the Slum Rehabilitation Authority (SRA) was constituted by the Maharashtra government in 1995.4 Development of SRA as an authority in the state of Maharashtra can be studied in 3 distinct phases: 1991-1996 Under the Maharashtra Regional Town Planning (MRTP) Act, the Municipal Corporation had a Slum Redevelopment Department (SRD) which oversaw redevelopment procedures according to local demands. Here it wasn’t a free housing scheme and the slum dweller had to pay Rs. 15,000 for a house. 1997- 2002 Under the reign of BJP led Shiv Sena, the Slum Improvement Act was initiated which transferred decision making from the local body to the state government, with declaration of free housing for slum dwellers. 2002-2007 During this phase, SRA became the planning authority and nodal agency for slum redevelopment. The housing incentive executed through the Floor Space Index (FSI) and Transfer of Development Rights (TDR) became a generative economy for the state government. The government earned a premium on the income generated through TDR which is paid to the Municipal Corporation of Greater Mumbai (MCGM) by the builder.
1.1. Structure of SRA: The SRA consists of the Chairman (Chief Minister of Maharashtra), the Chief Executive Officer (CEO), and 14 other members appointed by the State Government.5 They include Ministers, members of the State Legislature, Secretaries of State Government Departments and some non-official members who are experts in the field of Building Construction, Planning, Architecture, Social Services, etc.6 Although this committee delivers in theory, the reality of its functioning is quite different. Conversations with stakeholders suggest 1
https://www.wilsoncenter.org/article/building-slum-free-mumbai www.worldometers.info/world-popzulation/population-by-country/ 3 https://www.wilsoncenter.org/article/building-slum-free-mumbai 4 http://www.sra.gov.in/pgeConstiandFunction.aspx 5 Section 3A(2) Maharashtra Slum Areas (Improvement, Clearance and Redevelopment) Act, 1971 6 http://www.sra.gov.in/pgeConstiandFunction.aspx 2
2
that most committee members are mere figureheads, unaware of the nitty-gritties of the functioning of the SRA. Decisions are taken by people inexperienced in the sphere of urban planning and social housing. Involvement of important departments such as urban development7 is lacking, and this reduces the efficacy of the planning process.
1.2. Overall functioning of the SRA: The powers, duties, and functions of the SRA include:- surveying and reviewing the existing slum areas in greater Mumbai, formulating schemes for rehabilitation of slum areas and ensuring their implementation.8 The SRA is a quasi-judicial authority; developer and consumer grievances are reported to and represented by the SRA itself. It has the power to grant land for slum buildings and additional incentives for areas that are difficult to rehabilitate. For example, it can grant city land like gardens and open spaces to builders to build under the SRA scheme. For places like Dharavi where intervening is difficult, the SRA also has the power to grant additional incentive FSI and decide the component that may be used through TDR.9 However, our analysis and stakeholder interviews suggest that the SRA is not exercising its powers, duties and functions fully, thereby gravely affecting its performance. Though SRA’s data suggests that over 12 lakh families stay in slums, only 1.6 lakh tenements have been built so far. A contributing factor influencing the above is the dominant builder lobby influence in Mumbai, which often tries to tweak rules, regulations and procedures to suit their needs and seek methods to obtain additional FSI and TDR from the SRA (elaborated under section 3). There is general consensus that SRA schemes have become builder driven: many schemes have remained incomplete for years when the builders saw falling market returns. What should have been a people’s movement has become dominated by the construction industry.10
1.3. Institutional Constraints: 1.3.1 Lack of Engagement with Localized Efforts SRA lacks engagement at the ward level. Each ward level Corporator is allotted a sum of up to one crore per year for development and upgradation of slum areas. However these funds remain untapped or discreetly used. Presence of an engineer from SRA at the ward level can help in establishing local needs assessment, cost benefit analysis and overlook the workings of local slum federations for more effective utilization of funds.11
1.3.2 Constraints to SRA’s Powers a. Appointments and Orders: According to the Slum Act, the conditions of appointment and service along with the pay scale of the CEO shall be determined by the State Government.12 Even general meetings of the SRA are to be determined by 7
interview with senior officials of the Urban development department http://www.sra.gov.in/pgeSRAInfo.aspx [Section 3A(3)] 9 Interview with Amita Bhide, Dean - School of Habitat Studies, T.I.S.S 10 Changing the rules - guidelines for the revision of regulations for urban planning by Sundar Burra, September 2003 ( http://www.sparcindia.org/pdf/articles/CRZpaper.pdf) 11 Interview with MESN CEO, Trupti Amritwar 12 Section 3G (1) of the Maharashtra Slum Areas (Improvement, Clearance and Redevelopment) Act, 1971 8
3
the Chief Minister and not the body itself.13 The State Government can suspend the execution of such order/resolution of the SRA that it feels exceeds the power of the SRA or is likely to lead to misuse funds.14 The State Government has the power to dissolve the SRA in totality if it so deems fit. b. Funding: SRA maintains its own fund which comprises of moneys received from the State Government, by way of grants, subventions, all fees, costs and charges received by the SRA under the Slum Act and all moneys received by the SRA through disposal of lands etc.[Section 3M]. The SRA has to submit an annual financial statement and program of work for every succeeding year to the State Government. [Section 3O] Some commentators believe that excessive executive control is detrimental to SRA’s functioning, especially given the pulls and pressures from the massive builder lobby. It might be advisable to make the SRA more independent and shield it from interference.
1.3.3 Institutional and Organizational Disconnect The SRA comes into the picture only when a developer approaches it with plans to redevelop an area, or if some co-operative society established in the slum approaches it. As a body, the SRA usually does not conduct survey/ mapping/ needs or impact assessment. Hence there are no proactive measures taken by the rehabilitation authority itself.15 While developers are represented by an association, there is usually no federation representing the interests of slum dwellers and no specific framework for the involvement of CBOs (Community Based Organizations) in rehabilitation projects. CBOs are also often constrained by lack of information which limits their capacity to negotiate.
R.1. Recommendations – Institutional framework of the SRA: i. Slum rehabilitation is an issue that requires undivided attention of the body that governs it.16 The people currently responsible for the working of SRA are involved with many other governing tasks. Moreover, there is no provision in the structure of the SRA for the involvement of qualified town planners and local representatives. This is important because rehabilitation requires properly planned sewage systems, clean drinking water, local amenities like schools, hospitals etc. and good planning can make a very big difference in the development of slum areas. ii. Although the power to make independent decisions would be a boon to the performance of the SRA, uncontrolled freedom can also become a problem. Therefore a careful balance of powers and system of checks should be maintained between the State government and the SRA iii. Considering the number of houses needed, the speed of the process followed by the SRA needs to be increased by identifying and clearing bottlenecks. iv. There should be a transparent bidding process for appointing developers and each stage of development of SRA buildings should be checked by way of regular progress reports uploaded 13
Section 3G (1) of the Maharashtra Slum Areas (Improvement, Clearance and Redevelopment) Act, 1971 Section 3K (2a) of the Maharashtra Slum Areas (Improvement, Clearance and Redevelopment) Act, 1971 15 Interview with Amita Bhide,Dean - School of Habitat Studies, T.I.S.S 16 Section 3K (1) of the Maharashtra Slum Areas (Improvement, Clearance and Redevelopment) Act, 1971 14
4
mandatorily to the SRA website. This would automatically bring builders in the public eye and help lessen the influence of the builder lobby. v. A mechanism similar to RERA should be instituted within the SRA to create a strong check on builders. A separate escrow account should be maintained by builders for SRA projects and the release of funds should depend on progress reports to ensure smooth flow of construction.
2)
Working of the SRA
2.1. Criteria for Selection of Slums: 2.1.1 Definition: The Census definition of ‘Identified Slums’ is narrowed down by the condition that a slum must be a compact area of at least 300 people or 60‐70 households. Thus, a collection of poorly built/serviced tenements do not satisfy this condition and are not counted as a slum enumeration block, resulting in possible underestimation of the slum population.17
2.1.2 Eligibility: As per general rules of the SRA, only slums that have come into existence before 01.01.1995 are treated as eligible for the scheme18 drawing a line as to the legality of informal constructions in later years. However, this rule excludes 30% of slums in Mumbai; a huge number to not receive the option for rehabilitation from a citywide scheme.19 Moreover, 50% of slum dwellers living in slums today are tenants who have been living in their houses since a long time.20 It is not clear if they are eligible to get houses under the Scheme. The draft DCR 2016-2034 has extended the cut-off from 1995 to 2001 making it more inclusive.
2.1.3 Survey: In 2016, SRA officials undertook the task of surveying slum areas. However, there were concerns around the process as well as the competence of some of the deputy collectors appointed to carry out the manual survey. In Malad, a mere 5% of the survey has been completed so far. The surveys in Bandra (13%) and Andheri (18%) are also way behind schedule.21 While the SRA has recognized the need for an integrated slum database and GIS mapping system22 and external institutions like UDRI23 and MESN24 have done considerable work on the issue, not much has been done on the ground. In contrast, the slum rehabilitation body in Pune has already undertaken this process to create a slum atlas that will be used for planning.25
17 Praja.Org,
November 2014, “Report on The State of Affordable Housing in Mumbai” http://www.sra.gov.in/pgeSRAInfo.aspx 19 Centre for Urban Policy and Governance, "20 years of SRA: A Review of Slum Rehabilitation in Mumbai” 2016 20 Interview with Ar. Prasad Shetty 21 Nauzer. Bharucha June 2016 - “World's biggest slum count on in Mumbai” http://timesofindia.indiatimes.com/city/mumbai/Worlds-biggest-slumcount-on-in-Mumbai/articleshow/52931923.cms 22 Slum Rehabilitation Authority - http://www.sra.gov.in/Data/SRA_Presentation_2016.pdf 23 Urban Design Research Institute 24 Mumbai Environmental and Social Network 25 Interview with Ar. Sandeep Mahajan 18
5
2.2. People per Household: As per norms, 5-6 people living together are usually considered as one household. However, in slums, many households have 13 - 14 people. In the informal ecosystem of the slum, houses are expanded incrementally as and when funds are available. Transitioning these extended families into a fixed 300 sq. ft formal housing is not healthy and should be looked into.
2.3. Schemes under the SRA: There are three schemes under the SRA: (1) the in-situ scheme; (2) the PAP (Project Affected People) scheme for slums that need to be moved for any upcoming projects; and (3) the Transit scheme for transit housing. In the text that follows, we talk about some issues observed in these schemes.
2.3.1 Problems with the relocation of slums (PAP) a. Denial of Ownership and Use of Space The SRA frees valuable land from low-profit use such as slums and allows development towards market needs. This ability to either divide plots directly, or relocate slum dwellers to low value land leads to a splintering of urban space.26 It also disrupts the life of slum dwellers who have been inhabiting the land for a long time.27 b. Disruptions to Social Structure There exist several dependencies and connections between the formal and informal sectors28 in slums in the form of strong social and economic ties built over time. Relocation of slums leads to loss of employment and wastage of time and money in commute to jobs.29 c. Provision of Amenities: Basic provisions of water and electricity also do not reach the rehabilitated areas in time, as these are often underdeveloped areas, not well connected to the grid30 Considering all the circumstances, repair and retrofitting of existing houses and in-situ rehabilitation should be explored before the option of relocation is considered.
2.3.2 Transit Housing: In cases of in-situ rehabilitation, slum dwellers are moved to temporary transit camps. In most cases, these temporary transit camps lack amenities like water, sanitation and community facilities and serve slum dwellers for many years while SRA projects continue to be delayed. For example, slum dwellers in a transit camp in Lower Parel were housed for 10 years31 because of a delay in the project. Owing to the quality and safety of the transit camps, the BMC asked the dwellers to evacuate the camp. In a newspaper report, residents of the camp expressed their hesitation about leaving the campsite even though declared unsafe because they were not given any assurances about their original flats.
26
Birkinshaw, M,. 2013. “Battle for Golibar” in Open Democracy. https://www.opendemocracy.net/opensecurity/matt-birkinshaw/battle-for-golibarurban-splintering-in-mumbai 27 Interview with Ar. Prasad Shetty 28 Living and Working in Slums of Mumbai - Denis Gruber et al, 2005 29 These were the key issues highlighted in the interaction with residents relocated to the M-East ward from the Western suburbs. Since the M-East ward caters to middle and lower income housing, opportunities for employment in the area are sparse. 30 Interview with the residents at M – East ward 31 Jain and Marpakwar, Mumbai Mirror report https://mumbaimirror.indiatimes.com/mumbai/civic//articleshow/52933153.cms
6
R.2. Recommendations - Working of the SRA: i. An institutional system needs to be established to undertake surveys for understanding not only the demographic shifts in slums, but also the social aspects related to liveability, relocation, crime, employment, income capacity and the ability to pay for maintenance. This will help take an informed decision on the definition of slums and the processes of construction and rehabilitation. ii. Relocation options must be mandated only under significant and special circumstances. SRA should make a case for relocation only if the land under consideration is identified as an indispensable parcel for ‘Public Purpose’, has geographical constraints like marshes or is on a hilltop, or is unsafe for residence. iii. In case relocation is absolutely needed, provisions should be made to ensure employment as well as easy and affordable public transport to places of work. Relocation should be done within mixed use areas to ensure availability of employment opportunities, to foster economic ties and to prevent isolation. iv. For transit housing, the SRA must mandate a minimum quality of housing as well as provisions of basic facilities. To ensure that the delivery of flats is done in a timely manner, construction activities should be time bound and penalties must be imposed for non-compliance.
3)
Development and Construction
3.1. Procedure for Appointment of Developers: The criteria used by SRA for the selection of developers are not clear. But, the SRA does ask developers to get consent from at least seventy percent of slum residents for redevelopment.32 With this consent, the developer can move forward with the project. In return for this, the developer receives rights to sell an equivalent amount of residential or commercial space at market rates.
3.2. The Requirement of Consent: As mentioned above, the SRA guidelines require consent from a minimum of 70% eligible slum dwellers for any rehabilitation scheme.33 Although this rule is aimed at inclusion and participation of slum dwellers, in practice it has opened the doors for potential corruption. In some cases, builders are reported to have have forged the 70% consent needed from residents for redevelopment or manipulated the number and identities of 'beneficiaries' eligible for housing. An RTI request last year by SRA ‘beneficiaries’ from Golibar’s Panchasheel Cooperative Housing Society found Sulochana Pawar, dead for some years, listed by Shivalik Ventures as having consented to the project.34
32
http://www.sra.gov.in/pgeSRAInfo.aspx http://www.sra.gov.in/pgeSRAInfo.aspx 34 Birkinshaw, M,. 2013. “Battle for Golibar” in Open Democracy. https://www.opendemocracy.net/opensecurity/matt-birkinshaw/battle-for-golibarurban-splintering-in-mumbai 33
7
3.3. Project deadlines and delays: Another RTI request filed last year by Golibar’s Panchasheel Cooperative Housing Society found that their flats were reported to have been built in 2007, even though work had not even started on the project.35 It seems that lack of effective regulation allows some developers to forge documents to make profits at the expense of the slum dwellers. However, some developers also complain that delays are primarily caused by the levels of bureaucracy in the SRA36 and the multi-step process that has to be followed once the contract for redevelopment is signed.37 Also, developers get into conflicts with slum dwellers who are not eligible and have to be evicted.38 Finally, developers often face liquidity issues as they are not allowed to sell flats before the completion of the rehabilitation component.
3.4. Quality of space and construction: 3.4.1 Quality of Construction The foremost problem is that an SRA project is allotted to any builder who has managed to obtain consent. Infrastructure in terms of public space, access roads, drainage is often of poor quality. Leaking roofs, inferior quality of fenestrations, and low quality of sewage systems are common in most projects. R&R colony in Govandi is a case in point where residents have been facing the brunt of inferior construction for the past 10 years. Sewage water from each floor in the 7 floored building is drained into the public ground creating a pool of unhygienic stagnant water.
3.4.2 Living and Working Spaces A study by the Centre for Environmental Planning & Technology found that Dharavi has close to 5,000 informal businesses, which produce goods worth about $600 million a year.39 An advantage of having such a large population living and working in a small area is that workers produce goods that are not only sent out but also consumed locally. This enables Dharavi to have a self-sustaining economy with manufacturing, service and food sectors that serve its residents.40 Unfortunately, this integral part of the resident’s lifestyle and livelihood is often ignored in the redevelopment process.
3.5. Relaxation of Rules in the DCR: 3.5.1 Quality of Open Space SRA buildings do not have to comply with the H/5 rule (which requires every building to have open space greater than ⅕th the height of the building). As per the definition of slums under the Slum Act (Chapter 2, section 4), slums are characterized by a ‘lack of ventilation and light.’ Ironically, with the relaxation of the H/5 rule, SRA buildings end up too close to each other, leaving dingy alleyways that do not allow enough
35
Birkinshaw, M,. 2013. “Battle for Golibar” in Open Democracy. https://www.opendemocracy.net/opensecurity/matt-birkinshaw/battle-for-golibarurban-splintering-in-mumbai 36 Ardhanari, M, A comprehensive analysis of the slum redevelopment market in Mumbai, 2014 37 This involves appointments of the various professionals, drafting the plan, its review and approval and the provision of transit camps. 38 Ardhanari, M, A comprehensive analysis of the slum redevelopment market in Mumbai, 2014 39 Report by Harward business school 40 https://www.pri.org/stories/2011-05-17/shiva-rules-lessons-indias-largest-slum
8
sunlight to reach the lower floors. Due to this rule and other similar relaxations, living conditions in SRA buildings are often substandard.
3.5.2 Misuse by Builders: The relaxed rules that apply to SRA projects often attract the wrong developers – who wish to circumvent BMC rules and get approval under SRA. For example, a developer under SRA is known to have received approval for constructing an elevation of 2.25 meters beyond the balcony line (BMC permits only 0.75mts to avoid misuse) and on possession these spaces were illegally taken into the usable space.41
3.6. High Density Housing: Mumbai is an extremely populated and dense city and slums are ten times denser than the rest of the city. Slum density equals approximately 380,000 people per sq. km.42,43 Other high density areas in the city have a density of 30,000 persons per sq. km. As per regulations under 33(10), Minimum Tenement Density permissible for slum redevelopment is 65,000 people per sq. km. Redevelopment usually focuses on constructing tall buildings and accommodating people by going high. But raising the height of buildings without providing for open spaces just complicates the problem.
3.6.1 High Density and High Rises: Does increasing the number of floors address the density issue? This is a major concern. If one considers living conditions needed for a good quality of life, the higher you go, the more open space you should have around the building. However, given the constraints of space as well as poor planning and design, redevelopment structures often end up being tall, dense and unsightly spaces. Therefore, going high often fails to serve the purpose. In 1998, CIDCO commissioned Architect Raj Rewal to plan 1000 residential units for low income groups. Owing to area restrictions, the project was designed as a high density structure. However, instead of constructing a tall dense housing, the project was ‘fragmented into smaller clusters creating a hierarchy of spaces.’ 3 – 4 storied walk-up housing was created with interconnected pedestrian walkways. To replicate a naturally developed traditional village, the units were arranged to create a network of courtyards and terraces fostering community interaction. Such alternative designs should be proactively considered in the redevelopment process.
3.6.2 Need for Basic Amenities to Support the System: In accordance with good design, high density housing requires the presence of day to day amenities and public facilities around it. Increasing FSI alone, without enlarging road systems and public facilities, will only diminish the quality of life for everyone.4445 In the absence of these amenities, slum dwellers will either be
41
Dilip Shah, Redevelopment of Housing society http://www.redevelopmentofhousingsociety.com/index.php/realty-frauds-scams/174-disregard-bmcrules-approach-sra-and-get-multi-fold-fsi-under-dcr-33-14. 42 https://www.theguardian.com/cities/2014/apr/01/urbanist-guide-to-dharavi-mumbai 43 https://mumbaiindia.jimdo.com/slums/ 44 Praja.Org, November 2014 “Report on The State of Affordable Housing in Mumbai” 45 According to the study, if we give a builder FSI of 4 on his one hectare plot, we will need a further 6.4 hectares of area for institutions, open spaces and streets to service the population housed on his one hectare plot. Even with FSI of 3, we will need 4.8 hectares of land area for each hectare of the developer’s plot.
9
forced to spend more or live in poor conditions. In many cases, they might just be forced to give their houses on rent and move out.46,47
3.7. Maintenance: 3.7.1 Need for Maintenance SRA schemes are usually high-rise schemes, with the elevator catering to approximately 200 people on a daily basis. Increased use of elevators results in higher maintenance requirements which are often harder (and expensive) to undertake. As the elevator infrastructure deteriorates, the usability of the building decreases.
3.7.2 Cost Incurred for Maintenance DCR regulations require the developer to deposit an amount to serve as the corpus fund. The interest on this fund is meant to be used for the maintenance of buildings for the first 10 years after which the entire fund has to be transferred to the housing federation for use in further years. However, in most cases, the federation is loosely structured, lacks operational capabilities and is often unable to deliver.48 This makes it convenient for actors to take advantage of the situation.
3.7.3 Free Housing and Accountability Often slum dwellers do not assume ownership of SRA buildings. They give the building on rent for added money and move back to another slum. Out of the 1.6 lakh tenements made so far, only 1.2 lakh tenements are occupied. Some commentators pin the blame on the policy of giving away houses for free. In the case of the Yerwada slum redevelopment scheme, beneficiaries were expected to pay 10% of the cost of construction. This ensured that inhabitants had a vested interest in the proper construction and maintenance of the slum.
R.3. Recommendations - Development and Construction under SRA i. The incentives under the SRA schemes sometimes attract the wrong kind of builders who are looking to make profits at the expense of slum dwellers. SRA should adopt a transparent bidding system for choosing developers and lay out a systematic checklist for the developer to follow. Checks and evaluations should be included at every stage of the redevelopment process and findings should be shared publicly. The process should also be simplified to eliminate delays, and norms should be changed to allow for easy financing options for builders. ii. Adequate compensation (or extended rent) should be given to slum dwellers in case of delays at the developer’s end. iii. In order to avoid the negative impacts of high density, thorough planning and appropriate density control are essential.49 Basic open space regulations should not be compromised. Not only does this 46
Interview with Residents of the SRA scheme M-East ward The opposite was seen in UK in the case of the rehabilitation policy of 1979, wherein about 3.70 million people (15% of the total population of Britain) were relocated. Most of the families were happy to move from squalid, unsanitary accommodations to a house which offered better amenities such as hot running water, electric lights, and heating - Hindman, Michelle et al, Addressing Slum Redevelopment Issues in India.” Dow Sustainability Fellowship. 48 Intervsiew with Residents of the SRA scheme M-East ward 49 Vicky Cheng, “Designing High-Density Cities for Social & Environmental Sustainability - Ch1 - Understanding Density and High Density” 47
10
impact the quality of life, it also skews incentives for developers. It is also important to keep in mind that high rises inevitably add to maintenance requirements which are often not undertaken in time. iv. Studies should be conducted to analyse the existing infrastructure (schools, hospitals, markets) around the rehabilitation site. Rules for provision of amenities within a reasonable distance should be detailed. v. As part of the common area, flexible spaces that can transform into workspaces should be provided. This will allow the community to continue the pursuit of their self-employment opportunities. The SRA should also bring on board architects and planners who have experience and expertise in low cost housing. vi. A study should be conducted to understand the paying capacity of residents to devise a system wherein residents pay a part of the expense and feel a sense of ownership. The government can also explore an MOU with relevant NGOs to sensitize residents and ensure regular collections (as in the case of the Slum Networking Programme, Gujarat mentioned in the Appendix). vii. Active engagement from the government is needed to ensure a basic sense of awareness of rights and shared duties (especially maintenance and usage of a building). NGOs already working in this space could be roped in. In each redeveloped slum, a strong community organization in the form of a wellinformed society/federation needs to be set put to manage shared resources and assert the community’s rights.
4)
Learnings from Case Studies
Based on the cases studied in the Appendix, a few learnings are summarized below in the form of recommendations:
R.4. Recommendations based on Case Studies i. Community Participation – Having the community involved right from the planning stage is essential. This helps in designing better buildings that serve the needs the community. – It is advisable that the selection of committee members be done by election to have fair community representation and ensure awareness. ii. Financial Participation – Slum dwellers are often resistant or unable to make a financial contribution. In such cases, provisions of loans from banks at low interest rates should be explored. iii. Use of Local Labour – While builders often have their own teams, having people from the community work on their houses will help instil a much needed sense of ownership. iv. Involvement of NGOs – Involvement of NGO’s that have prior experience in dealing with social housing/ interacting with slum dwellers should be considered for improving community engagement and mobilization.
11
v. Sustainable Projects – Builders should be incentivized to create sustainable structures such as rain water harvesting systems to reduce costs in the longer term.
5)
Overall Summary
Below, we have highlighted the broad points that need to be addressed at the institutional and policy level: i. A comprehensive mapping of slums should be carried out documenting demographics, social and economic conditions. ii. The institutional setup of the SRA should be reworked by adding local representation and a team of experts in town planning and design, with a strengthened system of checks and balances between the government, SRA, developers and slum residents. iii. An assessment report suggesting upgradation or redevelopment should be made available to the public so that people are empowered to make informed decisions. iv. The relaxation of rules and additional FSI in the DCR should be revisited to prevent its translation into badly planned/ congested spaces v. Houses should not be given free of cost and attempts should be made to instil a sense of ownership. vi. Increased awareness and capacity building at the local slum level should be a priority for the SRA. Strong societies/federations should be created in the redeveloped communities to manage shared resources and assert the community’s rights.
12
Appendix - Case Studies PUNE [YERWADA] POLICY/SCHEME Basic Services for the Urban Poor (BSUP) ●
Under the JNNURM
MP [PROJECT UTTHAN]
GUJARAT
BRAZIL
THAILAND
Madhya Pradesh Urban Services for the Poor (Project Utthan)
Slum Networking Programme (SNP)50
Minha Casa, Minha Vida (My House, My Life) Programme (MCMVP)
Baan Mankong Collective Housing Program
MCMVP is considered by the UN "an example for the world” to provide housing for residents.
Provided housing for 15% of slum dwellers in Thailand
●
RATIONALE FOR SELECTION Work displayed at international exhibition at the United Nations (UN) in New York in 201251
Department for International Development (DFID) UK assisted project for improving infrastructure and making the urban slum areas environment-friendly.
WHAT IS THE SCHEME? Engaged community in all stages of the decision making process
Project ‘Utthan’ has three components –
●
●
●
10% funding from beneficiaries – increased accountability for post occupancy maintenance Use of local labour
●
DFID partnership with Government of Madhya Pradesh (GoMP)
Infrastructure upgradation
●
Social Development
●
Employment & Livelihoods Scheme –
Under the Regulation for the Rehabilitation & Redevelopment of the Slums 2010
2010 Regulations prepared on similar lines of the SRS scheme.
Slum improvement program involving participation of beneficiaries. ●
Partnership with two city-based NGOs, corporate sector and slum residents – active
●
Served 12,708 families
●
Helped build 4,531 homes
●
Under the National Housing Authority of Thailand
●
96,000 households in 1,800 communities (CODI, 2014)
●
Amount spent per family = $570 only52
The goal for the program was to build 1 million new homes within 2016.
Instructive and locallyadaptable solution that can work at scale.
●
●
Innovation, long term sustainability and environmental concerns were the key deriving factors
Foundation of the program based on the principle of community-based financial mobilization
50
Mahadevia et. al, Slum Rehabilitation Schemes (SRS) across Ahmedabad: Role of an External Agency, CUE Working Paper 27, November 2014 http://timesofindia.indiatimes.com/city/pune/Punes-slum-rehab-scheme-to-be-showcased-at-UN/articleshow/10237588.cms 52 Bhatkal and Lucci, Community-Driven Development In The Slums: Thailand’s Experience, Urban Poverty Report 2015 51
13
‘Unnati’ in select slums
FUNDING MECHANISM Cost of each unit of housing = Rs 3 lakh53
DFID to provide up to £3.7 million as a grant
●
10% from the beneficiary
●
●
50% from the Central government
●
10% each from the corporation and the state government
●
£3.25 million for Financial Assistance (FA) - support consulting agencies, staff training, expenses & operations
community participation.
In-situ redevelopment of slums (irrespective of ownership – public or private) through participation of the private sector (developer)
towards this housing program.
Federal government budgeted 34 billion BRL ●
●
£0.45 million for Technical Assistance (TA) - capacity building, crosslearning activities & project reviews
Divided into five different sub-programs, depending on income level and other special conditions. States and municipalities participated through financial resources, land donation, infrastructure, taxes reduction and the registration of demand.
and participation
Communities required to form cooperatives to develop housing in order to access Baan Mankong loans ●
CODI provides loans to community cooperatives at 4% annual interest
●
Allocates a grant to each community of 20,000 Baht ($610) per family
●
Cooperatives then onlend to members
APPROACHES In - Situ redevelopment project ●
Residents had to put up with extensive demolition and construction
●
Fabric of neighborhood — including the social & business connections woven into it — remained intact
MPUSP collaborating with ULBs and slum communities for extending infrastructure through in-situ upgradation
A memorandum of understanding between the developer & Mahila Housing Trust [NGO]
●
●
Improving water supply, drainage, roads, street lights, waste management, sanitation & community assets
●
53
Developers role to develop the slum occupied land & rehabilitate the slum dwellers MHT’s role facilitating & ensuring
Participants of the program offered financing options to either buy a home constructed by the government or to renovate an existing one. ●
Families with monthly incomes of less than R$5,000 invited to apply, with priority given to families who
Land tenure solutions identified by communities can take many forms & depend on what people want & are able to negotiate. Allowed for joint land between landowners & community
Bhatkal and Lucci, Community-Driven Development In The Slums: Thailand’s Experience, Urban Poverty Report 2015
14
a welfare oriented process Engaging residents at all levels of design & decision making
Community participation during all stages of the development including the micro-planning process viz. conducting multipurpose HH survey, lane mapping etc
Developer had to acquire consent of at least 75% occupants; had to form a registered association of the members to ensure postcompletion maintenance
Enables families to organize themselves into cooperatives; private, nonprofit organizations and urban associations to act as promoters/organizers of social interest housing programs which strengthen citizenship.
Residents required to save 10% of the amount they borrow in a community savings account in order to qualify for a loan. Instead of delivering housing units to individual families, loans are extended collectively to the community cooperative.
Community participation
NG or external organization involvement
Transit-Oriented Development to secure access to urban services
Use of Local Labor
Formation of subcommittees from the members of the community to monitor and evaluate the work
Investment in PostConstruction Evaluation & Maintenance
Sustainable features in social housing that benefit residents: solar water heating/ power, biodigesters.
Financial & social participation – interactive community based funding system. Inclusion of the vulnerable population in the planning process
Instilled a sense of pride, responsibility & accountability for post occupancy maintenance by engaging beneficiaries to pay a percentage of the construction costs.
Investing in social programs related to curbing addictions, awareness generation regarding health issues
●
Local women group was a key player.
●
Offered local knowledge & connections
●
Connection point for advocacy on behalf of the residents BEST PRACTICES Financial & social participation54
54
earn less than R$1,600 per month.
Leveraging Community Resources
http://citiscope.org/story/2015/seven-lessons-successful-slum-upgrading-project
15