participatory-governance-in-india-fin by Janaagraha

Participatory Governance In Urban India Focus On The Urban Poor

National Core Group on Poverty Ministry of Housing and Urban Poverty Alleviation Government of India, New Delhi

R AMESH R AMANATHAN

SUMIT SINGH

NANDITA AR AS

JANAKI DIGHE

September 2008 4th Floor, UNI Building, Thimmaiah Road, Vasanthnagar, Bangalore 560 052 Ph : + 91-80 -4127 7102 / 103 info @ janaagraha.org

Fa x : + 91-80 -41277104

www.janaagraha.org

Participatory Governance In Urban India Focus On The Urban Poor

National Core Group on Poverty Ministry of Housing and Urban Poverty Alleviation Government of India, New Delhi

Background The Urban Ministry of Housing and Urban Poverty Alleviation has established a National Core Group on Urban Poverty with members drawn from civil society and academic institutions. The groupâ&#x20AC;&#x2122;s role was to assist the ministry in formulation of various policies and programmes for poverty alleviation. Each group member led a separate thematic area along with the support institutions based on their thematic and operational areas of expertise. Janaagraha Centre for Citizenship and Democracy has been commissioned by the Ministry to prepare a thematic paper: Participatory Governance in Urban India â&#x20AC;&#x201C; Focus on the Urban Poor.

About the Authors Ramesh Ramanathan is co-founder of Janaagraha Centre for Citizenship and Democracy, a non-profit institution aimed at improving the quality of public governance by deepening democracy. He is also currently the Chairman, Janalakshmi Financial Services, working in the area of urban microfinance. He is a member of the National Core Group on Urban Poverty of the Ministry of Housing and Urban Poverty Alleviation. He possesses an MSc(Hons.) degree in Physics from BITS Pilani, an MBA from Yale University, and a Certified Financial Analyst (CFA) degree from the Association of Investment Management & Research (AIMR). Sumit Singh is Advocacy Associate at Janaagraha. He holds a degree in Electrical engineering from Institute of Engineering and Technology, MJP Rohilkhand University, Bareilly and has been actively involved in various socio-political activities in Delhi before joining Janaagraha. Nandita Aras is Coordinator of the Research Programme at Janaagraha. She has a Masters in Economics from Bombay University and a Ph.D. in Political Science from Columbia University, New York. She taught in the Political Science Department of the University of California, Irvine before moving to India in 2004. Janaki Dighe is pursuing a Juris Doctor degree at the New York University School of Law. She interned as a research assistant at Janaagraha Centre for Citizenship and Democracy in the summer between her first and second years of law school. Prior to attending law school, Janaki served as a congressional aide to Congresswoman Jane Harman (D-California) and Congressman Jim Costa (D-California) in Washington, D.C. She received a Bachelor of Arts in political science from the University of California, Los Angeles in 2004.

Acknowledgement This project has been supported by the United Nations Development Programme (UNDP). The authors are grateful to Alkesh Sharma, National Project Director, UNDP for his help in coordinating this project, and to Anjana Madhavan, Associate Project Coordinator, National Strategy for Urban Poor (NSUP), for her support. They are also thankful to Ms Sneha Palnitkar, Director All India Institute of Local Self Government (AIILSG), and Mukesh Kanaskar, Faculty (AIILSG) for support to the Members of the National Core Group on Urban Poverty in preparing policy papers, and holding national consultations on subjects pertaining to urban poverty.

Contents

1 Introduction

1.1 Urbanisation and Urban Poverty India no longer lives only in its villages. The Census of India 2001 counted the urban population at over 28.5 crores, or almost 28% of the country’s total population.1 The urban population is expected to grow to 45.8% of the total population by 2030 - a far-cry from India’s days as a rural country.2 The same report predicts that India will have the largest share of urbanites in the world by 2030, with one of every eight urbanites in the world living in India. By that year, India’s share of the world urban population could grow to 12.39% or 63.4 crores out of 511.7 crores. Clearly, India has not been immune to the forces of urbanisation spreading across the world. Between 1991 and 2001, India’s urban population grew over 31.13%, while the total population increased by 21.34%. An estimated 140 million people will move to cities by 2020 and a massive 700 million by 2050.3 While the nature and rate of urbanisation has varied from country to country, there are common threads which underlie the trend in this country, including the emergence of cities, diversified economic activity, the growth of service sectors, etc.4 In India, future economic and population growth is expected to be concentrated in the 60 - 70 cities with populations of over one million. In 1998, the National Institute for Urban Affairs estimated that more than 50% of the country’s Gross Domestic Product arose out of urban India, a figure that has risen to over 60% today.5 However, this growth has been accompanied by parallel growth in urban poverty. And although the Census of India, United Nations, and Government of India (GoI) agree that India’s urban population growth is outpacing the rural population growth,6 for a very long time Indian policymakers 1 Registrar General of India. Census of India-Final Population Totals. New Delhi: Government of India (2001). 2 World Urbanisation Prospects: The 1996 Revision. New York: Department of Economic and Social Information and Policy Analysis, Population Division. (United Nations 1996). 3 Census of India, Goldman Sachs Economics Research, as reported by the Ministry of Urban Development (Sept. 30, 2007). 4 Supriti, et. al., Urban Poverty Alleviation in India, (Ramanathan Foundation 2002). 5 Loughhead, Susan and Mittal, Onkar, Urban Poverty and Vulnerability in India: A Social Policy Perspective, (Department for International Development, London 2001). 6 Supriti et al, Urban Poverty Alleviation Initiatives in India: A General Assessment and a Particular Perspective (Ramanathan Foundation 2002)., p.16.

were focused on rural development and rural poverty. Only in the last ten years has the perception changed to view urban poverty as more than the failure of rural poverty alleviation schemes.

1.2 Comparing Urban and Rural Poverty Since Independence, Indian policymakers focused on rural development in response to Gandhi’s call that “India lives in its villages.” Urban poverty was sidelined because rural poverty was viewed as the graver ill. However, the percentage of population living below the poverty line in urban areas has been only slightly lower than that in rural areas (see figure 1). An estimated 23.6% of the urban poor live below the poverty line7. Moreover, large states such as Andhra Pradesh, Goa, Gujarat, Haryana, Karnataka, Kerala, Madhya Pradesh, Maharashtra, Rajasthan, Tamil Nadu, Delhi, and the Union Territory of Pondicherry have levels of urban poverty that are higher than rural poverty.

Figure 1: Poverty Ratio (Percentage) Figure 1 shows that over the last few decades the percentage of persons below the poverty line in both urban and rural areas has declined. However, Figure 2 shows that overall, while the absolute number of persons below the poverty line has been declining in rural areas, it has been steadily rising in urban areas. Only in the 2001 Census, can one see a reduction in the absolute numbers of urban poor for the first time. 7 Planning Commission. 10th Five-Year Plan Volume II. Section 6.1 Urban Development

INTRODUCTION

victimised by weak delivery systems and poorly designed national pro-poor schemes. Notably, rural per capita spending on the poor is ten times the figure for the urban poor10. In addition, it is difficult to identify and categorise the urban poor. While a significant number of the urban poor do live in slums, there are other urban poor. In 2002, the estimated urban poor population was 8 crores, while the slum population was only 4 crores11.

Figure 2: Number of Poor (Million) Even as urban poverty grew in the last few decades, most policymakers understood the phenomenon as the outgrowth of unchecked rural poverty, rather than a distinct issue. In 1994, the Lakadwala Committee suggested rural poverty was declining faster due to the emphasis accorded by the GoI to rural poverty alleviation programmes8. While the ratio of urban to rural poor was 1:3.5, the ratio of funding of poverty programmes was 1:35. Today, most estimates suggest that the population of the urban poor is increasing, while that of the the rural poor is decreasing, emphasising the need to focus on solutions that address the unique challenges of the urban poor9. Urban poverty is a complex phenomenon and the policy responses for it cannot be ‘cut-and-paste’ solutions from rural poverty programmes. 1.3 Unique Challenges of the Urban Poor The steady increase in urban poverty is often attributed to a rapid increase in urban population, serious deficiencies in urban infrastructure and low investment in urban development. Rapid economic growth of the cities does not necessarily correspond with a decline in urban poverty, as the basic needs of the urban poor, such as shelter, civic amenities, health care, educational and social needs are not adequately met. As cities have rapidly expanded without developing the infrastructure for basic civic amenities, like clean drinking water, sanitation, garbage disposal, electricity and transportation, the urban poor end up living in slums where the living and working conditions are dismal. With more than 60 million people living in slums, our urban infrastructure is severely stressed on multiple fronts. In one estimate, more than 40% of urban households do not have proper sanitation and about 51% do not have on-site water access. To compound the problem, municipal governments are notoriously weak in many of India’s largest cities. The poor suffer the most from a weak governance structure. They are 8 Ibid 9 Loughhead, p. 1

In his policy paper, M.P. Vasimalai identifies the most common indicators used to characterize urban poverty from conventional ones, like income or consumption, to social indicators, like life expectancy, infant mortality, nutrition, proportion of the household budget spent on food, literacy, school enrollment rates, and access to health clinics or drinking water12. For the purpose of GoI programmes, the poverty line is defined in terms of minimum calorie intake, at 2100 calories per capita per day. But, poverty can take many forms among individual households, as addressed by the 10th FYP which attempts to categorise the urban poor, according to the various types of vulnerability. Housing Vulnerability: Lack of tenure, poor quality shelter without ownership rights, no access to individual water connection/toilets, unhealthy and unsanitary living conditions. Economic Vulnerability: Irregular/casual employment, low paid work, lack of access to credit on reasonable terms, lack of access to formal safety net programmes, low ownership of productive assets, poor net worth, legal constraints to self-employment. Social Vulnerability: Low education, lack of skills, low social capital/caste status, inadequate access to food security programmes, lack of access to health services, exclusion from local institutions. Personal Vulnerability: Proneness to violence or intimidation, especially women, children, the elderly, disabled and destitute, belonging to low castes and minority groups, lack of information, lack of access to justice. Source: Planning Commission, 10th Five-Year Plan Volume II, Section 6.1 Urban Development. Each challenge of the urban poor is exacerbated by the next, 10 Ramanathan, Ramesh. Urban Poverty Issues in India – Challenge and Responses (2007). 11 Supriti, p. 13. 12 M.P. Vasimalai, Draft Policy Paper on Institution Building for Community Empowerment (July 2008).

PA RTICIPATORY GOVERNA NCE IN URBA N INDIA — FOCUS ON THE URBA N P OOR

so an identification or beneficiary vulnerability increases the likelihood that the poor will not receive their entitlements or be included in the development of solutions to urban poverty. The major challenges can be summarised into three general categories: 1. Develop a methodology to identify the urban poor which factors in their various vulnerabilities (see box above) 2. Create a system to apply the methodology and identify the urban poor 3. Meet the needs/deliver services to the urban poor and involve them in the development of urban poverty programmes.

of what constitutes urban poverty and who qualifies. The next section outlines the evolution of government initiatives, and the changes in the design of these programmes. Most important - and relevant to this paper - the section describes how the evolution of these programmes has begun to place the community at the centre of the interventions for poverty alleviation. Indeed, the logic to include this fairly elaborate introduction on urban poverty and government programmes is to highlight the context in which discussions on the issues of citizen participation and governance must take place.

One programme, the Kudumbashree programme in Kerala has developed an interesting and arguably robust poverty scale, measuring poverty against numerous indicators rather than drawing a straight line at income level (see Section 3.3.1 for a further discussion of the programme). This type of approach (see box below) views poverty through a multidimensional lens, creating a more realistic index by which to identify beneficiaries. Kudumbashree was the poverty alleviation mission of the Government of Kerala which came into effect in 1993. The mission was to eradicate absolute poverty in ten years through concerted community action under the leadership of local governments. A poverty index was introduced to estimate the beneficiaries rather than a poverty line. Poverty Index - Urban Areas (2000) The Poverty Index was modified for the urban areas based on the feed back from the field. The following factors were used as indicators: 1. Less than 5 cents of Land / No Land 2. Dilapidated House / No house 3. No Sanitary Latrine 4. No access to safe drinking water within 150 meters 5. Women headed household 6. No regular employed person in the family 7. Socially Disadvantaged Groups SC/ST 8. Mentally retarded / Disabled / Chronically ill member in the family 9. Families without colour TY •• A family which has 3 risk factors including one from among the risk indices of 6,7,8 is a family at risk. •• A family which has only two risk factors out of the risk indices 6,7,8 also is a family at risk. •• All ST families who have no government employees other than an anganwadi worker / helper, last grade servants in government offices are also families at risk. Source: Urban Reforms Report to 2nd Administrative Reforms Commission, Janaagraha, December 2006. In order to design effective urban poverty alleviation initiatives, policymakers need to understand the challenges of urban poverty - beginning with the very classification

INTRODUCTION

2 Government Initiatives for the Urban Poor

Since Independence, urban poverty has been addressed by the GoI in the Five-Year Plans (FYPs) and through Urban Poverty Alleviation Initiatives (UPAIs). For many years, however, policymakers misunderstood the complicated nature of urban poverty and failed to provide comprehensive solutions to the complex issue. 2.1 Urban Poverty and the Five-Year Plans While urban population pressures, like the lack of housing and basic services, have been increasing since the 1950s, the problems of the urban poor have only recently become an issue of national importance. In the initial Five-Year Plans, urbanisation was regarded as a potential drain on the resources of the agricultural and rural economy, rather than the inevitable consequence of economic growth. Therefore, the Plans involved minimal investment in the urban infrastructure. The 4th Five-Year Plan illustrated policymakers’ negative attitudes towards urbanisation by attempting to prevent urban population growth and to disperse the urban population.

rural poverty. The 9th FYP integrated a new understanding of urbanisation and urban poverty, as an independent force with which to be dealt, rather than the outgrowth of rural migration. Urban poverty was viewed as more than the failed attempt to stall rural-urban migration, as had been the focus of previous FYPs. This period also marked the launch of one of the most successful poverty alleviation programmes, the Swarna Jayanti Shahari Rozgar Yojana (SJSRY) which took a holistic approach to poverty alleviation by addressing housing, welfare, credit and employment concurrently. The lessons of SJSRY will be discussed in-depth in a later section of this report (see Section 4.2.2 ). The 10th FYP dedicates a section to “Urban Development” and cites urban poverty alleviation as one of the objectives of planning. The report advocates the following approach to urban poverty alleviation:

Urban poverty was not explicitly recognised as an issue until the 7th Five-Year Plan (1985 – 1990) which launched the Urban Basic Services for the Poor scheme. The UBSP was forward-thinking in its design considering the fact that “community organisation, mobilisation, and empowerment” was listed among its objectives. During that time, the National Commission on Urbanisation issued a report stressing the increasing pressures of rapid urban population growth. In that context, the 8th Five-Year Plan finally recognised the importance of the urban sector to the national economy and cited statistics from the National Sample Survey Organisation that 41.8 million urbanites lived below the poverty line.13

•• State Governments should amend their laws to devolve the tasks of urban poverty alleviation to the Urban Local Bodies, in keeping with the mandate of the 74th Amendment. •• Urban poverty alleviation requires a multi-dimensional strategy, focused on empowerment. The community structure under the SJSRY should be made the common pattern and the foundation of all programmes for the urban poor and slum dwellers. •• SJSRY contains the two basic requirements of any poverty alleviation programme: community involvement and empowerment and employment generation. •• The community structures of SJSRY need to be strengthened and further diversified. •• There must be recognition of the many forms which urban poverty takes.

Still, urban issues, namely urban poverty, were only comprehensively addressed by the GoI with the 9th FiveYear Plan (1997 – 2002). The 9th FYP acknowledged and debunked “the common perception…that urban poverty is a transfer of rural poverty into urban areas.”14 For the first time, the Planning Commission allocated a distinct section to urban poverty, de-linking the approaches to urban and

The approach taken by the GoI today signifies a dramatic change in the perception and understanding of urban poverty, providing a rich context for our discussion of the role of citizen participation by the urban poor. However, to fully understand this paradigm shift, it is necessary to have a basic knowledge of the scope of the urban poverty programmes since Independence.

13 Ministry of Housing and Urban Poverty Alleviation website, http:// mhupa.gov.in/policies/index2.htm, viewed on August 7, 2008. 14 Planning Commission, 9th Five-Year Plan (1997).

2.2 Urban Poverty Alleviation Initiatives While the GoI was not addressing urban poverty in a systematic way, solutions to the growing crisis have been

PA RTICIPATORY GOVERNA NCE IN URBA N INDIA — FOCUS ON THE URBA N P OOR

introduced over the last six decades. Since Independence, the GoI has initiated several Urban Policy Alleviation Initiatives (UPAIs) which can be neatly categorised into three, nearly simultaneous, waves. The first wave did not stop before the second began, and all three waves continue today, as the number of UPAIs has increased yearly, indicating the gradual rise in importance which urban poverty issues have experienced among policy-makers. 2.2.1 First Wave: Housing

In the first wave, the urban poor were equated with slumdwellers. The Centre’s response was to address housing and the needs of slum-dwellers establishing, among other things, the Ministry of Works and Housing in 1954, the forefather to the MHUPA. Today, housing programmes continue to dominate the UPAIs, as the homelessness crisis has not abated. 2.2.2 Second Wave: Welfare

In the second wave, beginning in the late 1950s, the UPAIs included welfare schemes to provide education, health, nutrition, sanitation, and drinking water. Various programmes addressed food security, nutrition for children, slum improvements, etc. Many of the programmes were consolidated into the Minimum Needs Programme. In 1986, the launch of Urban Basic Services (UBS) programme signified a paradigm shift in the perception of urban poverty as a single sector problem of housing to a multi-sector problem.15 2.2.3 Third Wave: Credit

In 1977, the government recognised the usefulness of credit in fulfilling various needs of the urban poor, from housing to welfare.16 Schemes were devised to provide subsidised loans for self-employment and vocational training. In 1986, the contribution of women as income generators was finally recognised with the UBS programme and others. The Swarna Jayanti Shahari Rozgar Yojana (SJSRY) was another exclusive credit and employment programme, launched to commemorate the fiftieth year of independence. Among the UPAI success stories, the UBS programme and SJSRY can be commended for involving community participation in their design structures, a lesson to the numerous failed programmes.

2.3 Paradigm Shift: From a delivery to an empowerment approach For years, experts have emphasized the importance of pursuing an “empowerment” approach vs. a “delivery” approach that treats beneficiaries as mere recipients, rather than agents of change. In the last decade, an evolution has taken place in the design of government schemes from being system-centric to citizen-centric. UPAIs shifted focus from providing visible primary goods, healthcare, and education to address empowerment. Programmes which involve the poor allow them to integrate with mainstream economic activity and gain acceptance as legitimate citizens, not as charity cases. However, there is a note of caution here as well: while the idea that participation of the poor has now become a central element in programme design in poverty alleviation programmes of government, this still leaves open the issue of design and implementation to make this participation successful and effective. The focus of attention therefore needs to shift from celebrating that participation has finally become legitimised, to exploring the design and implementation issues surrounding participatory processes. As an example, SJSRY is a programme which incorporated elements of community participation, with very mixed outcomes in different parts of the country. Two examples are provided in this document itself, with widely different outcomes: one in Karnataka, and the second in Kerala. While SJSRY was unsuccessful in Karnataka for a variety of reasons, one key aspect was to do with the participatory structures. On the other hand, in Kerala, the same SJSRY programme, folded into a larger community empowerment programme called Kudumbashree, presents the most successful implementation of the empowerment approach when designed and executed well (see section 4.2.3). This holds important lessons, and forms the focus of the next sections in this report.

The three waves of UPAIs carried on in a piecemeal fashion for decades, multiplying exponentially, while minimally addressing the needs of the urban poor. In the last decade, a dramatic and much-awaited paradigm shift has accompanied the GoI’s awakening to the pressures of urbanisation and the challenges of the urban poor.

15 Supriti et al, “Urban Poverty Alleviation in India” Ramanathan Foundation, 2002,, p. 36. 16 Ibid. at 37.

Government Initiatives for the Urban Poor

3 Citizen Participation and Urban Governance

3.1 The value of participation – two different perspectives For all the discussion on the benefits of participation in India – and the evolution in the design of government programmes, as seen in the earlier section - the popular view of the value of participation has been on the outcomes that this produces: either of more equitable outcomes for the poor, or for the accountability that such participation creates on the part of various government bodies. Both of these are focused on the characteristic of participation that could be termed “improving services”. The First Dimension of Participation

Civic engagement17 at the local level improves the quality of life of citizens, especially in regards to the poor and vulnerable and provides the following advantages: • • • • • •

Provides a forum for community stakeholders to voice their concerns, needs and demands which will feed into the demand-driven provision of services. Creates opportunities for specific local issues to be addressed by allowing local stakeholders to identify their priorities, analyze the causes of poverty, and propose local viable solutions. Offers a less expensive alternative to large workshops, since they can be organized with less lead time, and can provide more concrete inputs in setting priorities, selecting public actions and designing a monitoring and evaluation strategy. Present diverse and representative views from informal grassroots groups, community organisations, those without the means to travel to larger venues to attend workshops, and those who are normally excluded from more formal discussions. Disseminates information to local stakeholders about the process, the government intentions, and the content of proposed policies, allowing them to fully participate. It may also motivate local stakeholders to mobilize and organize to represent their interests. Creates the space to build partnerships between policymakers, service providers and local people can

17 Organising participatory processes in PRSP: Poverty reduction strategy sourcebook, available at http://poverty2.forumone.com/library/ view/4835/

increase their influence over decision-making, which has an immediate impact on them.

The Second Dimension of Participation However, there is a second attribute to participation that is equally important, and this has to do with deepening democracy. Empowerment is about more than creating structures to facilitate citizen participation for better service outcomes. In its most significant form, empowerment enables individuals to act as agents of change. The current approach in accessing entitlements by the poor is to create a powerful, collective voice of the poor that would be sufficient for forcing recognition and demanding results. Federations of the poor have a forcefulness that is lacking in the solitary voice of an impoverished citizen. However, while such collective structures are critical, they do not have to be at the expense of individual political empowerment as well – i.e. there is no need for an “either-or” choice: both collective action and individual political empowerment can work together. Viewed in this perspective, participation is an end in itself. Democracy only works when citizens see themselves as actors in the decision-making process of government – more often, local government - engaging in the complex process of presenting views of varying interest groups to each other, evaluating the possibilities, making the compromises and negotiations which are the essence of political processes, and arriving at collective outcomes. This second aspect of participation focuses much more on the processes of participation, and how these are connected to the instruments of representative government, so as to deepen democracy. The aim is to get all classes of citizens to participate and engage in common forums of negotiation, since it is by definition the engagement of all stakeholders in the same platforms that creates the complex negotiation processes that are the essence of democracy. This view of participation has much to do with the terms “citizenship” and “democracy” - some would argue that it goes to the root of these terms. In India, we have not articulated this value of participation as much as the first one, which is why the predominant emphasis continues to be on outcomes - i.e. participation as a means

PA RTICIPATORY GOVERNA NCE IN URBA N INDIA — FOCUS ON THE URBA N P OOR

to an end – rather than on process – i.e. participation as an end in itself. However, the very origins of local government in India are rooted in this second aspect of participation. In a book titled “Ideologies of the Raj”,18 author Thomas Metcalf states, “Liberal ideology first took institutional shape in Indian local government. During the 1860s and 1870s, municipalities with elected governments were conceded to most major Indian cities, though only in Calcutta and Bombay did elected Indians control the corporation.” Talking about the sweeping reforms that Lord Ripon instituted in Local Government, he states, “As a liberal appointed to the Viceroyalty by Gladstone, Ripon introduced for the first time into Indian local government the objective of training Indians for self-rule. He was prepared to even sacrifice administrative efficiency for the purpose (emphasis added). As he put it in the 1882 resolution which proposed the establishment of municipal and district boards throughout India, ‘It is not primarily with a view to improvement in administration that this measure is put forward and supported. It is chiefly designed as an instrument of political and popular education.’” Ripon’s views are said to be similar to those of A.O. Hume, the founder of the Indian National Congress. In his book titled “Foundations of Local Self-Government in India, Pakistan and Burma”19 , Hugh Tinker writes of how both men saw local governments as a way for the people of India to receive “training in the working of representative institutions.” Speaking of Ripon’s views, Tinker writes, “Ripon was concerned at an apparent confusion by British administration in India of ‘means’ with ‘ends’, producing a cult of efficiency for its own sake: efficiency being equated with good, ‘politics’ with evil. He was determined that the new local government machinery should not be constructed only to suit administrative requirements; determined that political education and administrative efficiency should be put into perspective.”20 It is indeed a pity that these stated desires of the author of decentralisation statutes in our country have been forgotten by Indians themselves: by our politicians and administrators who view local government today only through the monocle of efficiency, forgetting completely the other value that these institutions provide: that of educating the Indian in the process of democracy and politics. This value can only be realised through acts of genuine participation, by investing in the political identity of each citizen.

18 Ideologies of the Raj, Thomas Metcalf, Cambridge University Press, 1997 19 Foundations of Local Self Government in India, Pakistan and Burma, Hugh Tinker, University of London, Athlon Press, 1954 20 Ibid, p45

This paper is focused on citizen participation in urban governance, especially as it concerns the urban poor. The general tendency would be to examine these ideas in the limited context of the first aspect of participation, i.e. ensuring equitable outcomes and services, with less attention being devoted to the second value of participation – that of deepening democracy and investing in citizenship. However, it is important that the second aspect is also kept in mind when evaluating various structures of participation, as they are laid out later in this paper. 3.2 History of Participatory Governance in India In India, the concept of decentralisation and participation found constitutional support after the passing of the 73rd and 74th Constitutional Amendments in 1993. However, the process began as far back as 1882 with the Resolution on Local Self-Government. A quick historical timeline on the progress in decentralisation can be summarised as follows: 21

1882 1907 1948 1957 1963 1978 1985 1986 1993

Resolution on Local Self-Government. Royal Commission on Decentralisation. Constitutional debates between Gandhi and Ambedkar on Grama Swaraj, ‘self-rule’. Balwantrai Mehta Commission – An early attempt to implement the Panchayat structure at district and block (Samithi) levels. K . Santhanam Committee – Recommended limited revenue raising powers for Panchayats and the establishment of State Panchayati Raj Finance Corporations. A soka Mehta Committee – Appointed to address the weaknesses of PRIs, concluded that a resistant bureaucracy, lack of political will, ambiguity about the role of PRIs, and élite capture had undermined previous attempts at decentralisation, recommending that the District serve as the administrative unit in the PRI structure. Based on these recommendations, Karnataka, Andhra Pradesh and West Bengal passed new legislation to strengthen PRIs. G.V.K. Rao Committee – Appointed to address weaknesses of PRIs, recommended that the block development office (BDO) should assume broad powers for planning, implementing and monitoring rural development programmes. L.M. Singvhi Committee – Recommended that local self-government should be constitutionally enshrined, and that the Grama Sabha (the village assembly) should be the base of decentralized democracy in India. 73rd Amendment to the Indian Constitution – PRIs at district, block and village levels are granted

21 Johnson, C. (2003). Decentralisation in India: Poverty, Politics and Panchayati Raj,

Citizen Participation and urban governance

1996

Constitutional status. The Grama Sabha is recognised as a formal democratic body at the village level. The 74th Amendment, granting Constitutional status to municipal bodies, is passed soon after. Adivasi Act – Powers of self-government are extended to tribal communities living in ‘Fifth Schedule’ areas.

While the list above indicates the evolution of decentralisation and participation, much of this is focused on rural India. As far as urban areas are concerned, the 74th Constitution Amendment Act (CAA) of 1992 was intended to focus the thrust of decentralisation and to create a democratic governance structure with responsibilities being assumed and managed at the local level. The Amendment was to address the inadequacies of the existing system of municipalities, to redefine the relationship between the states and municipal bodies and to lay the foundations of a new approach to urban management and governance that could fulfil the needs and aspirations of urban residents for development. With the passage of the 74th CAA, some attention was also directed towards involving communities in urban planning. However, the formal platforms for such participation were woefully inadequate, limited to the establishment of Wards Committees.22 State governments were responsible for enacting laws to ensure that reforms listed under the 74th CAA were fully implemented. Additional reforms to increase citizen participation would be necessary before citizen participation could be fully realised. In December 2005, the Government of India instituted the Jawaharlal Nehru National Urban Renewal Mission (JNNURM) to address the increasing challenges that cities of urban India face. The design of the mission not only provides financial assistance but – more importantly - includes several reforms. One such reform was to make political space available to the urban citizen. While the 73rd Amendment formalised participatory structures for the rural population (Grama Sabhas), the reforms of the 74th Amendment did not ensure adequate formal structures of participation for the urban citizen. One aspect of JNNURM was to provide a response to the demand for formal citizen participation in urban areas – called Area Sabhas, seen as the urban equivalent of the rural Grama Sabhas.

22 “The idea that every registered voter is a member of a grama sabha, and should participate in decision making through this vehicle, is one that at least has formal sanction in rural decentralisation, if not much track record. In contrast, urban areas have the concept of the ward committees, which are meant to be constituted for the city corporations. In Bangalore for example, there are meant to be 28 (recently revised to 31) such ward committees, which are fatally hampered by the combination of a debatable nomination process, limited citizen representation and an ambiguous mandate.” Federalism, Urban Decentralisation and Citizen Participation, Ramesh Ramanathan, Economic and Political Weekly, February 2007.

3.3 JNNURM and Citizen Participation JNNURM is a Rs 50,000 crore mission focused on the integrated development of infrastructure services in cities and provisions of basic services to the urban poor.23 The mission period was launched on December 3, 2005 and is spread over seven years, 2005 – 2012, with 63 qualifying cities and nine eligible sectors. The thrust of JNNURM is to ensure improvement in urban governance and service delivery and thus it requires a set of mandatory reforms that State Governments and Urban Local Bodies have to enact as a prerequisite for accessing central assistance. One such mandatory reform to be undertaken at the state level is the Community Participation Law. JNNURM is rooted in the process of participatory democracy, which emphasises the creation of a robust civil society in order to build a healthy democratic state. In a truly participatory democracy, the public sphere and the political realm are distinct and powerful. This process can be distinguished from direct or representative democracy in which citizen participation is limited to voting. The model Community Participation Law, the Nagara Raj Bill24 , facilitates the creation of formal participatory structures by which citizens can participate directly in the democratic process. Citizens can get involved in municipal functions, like setting priorities and budgeting provisions, if participation is institutionalised through state reforms. A well-implemented amendment at the state level will give every registered voter in urban areas a legitimate platform to participate in his/her neighbourhood through a concept called the Area Sabha that is embedded within the Ward Committee structure. Municipalities are divided into constituencies called Wards which are further sub-divided into Area Sabhas under the proposed model. The Area Sabha platform is defined as the group of all registered voters living within the jurisdiction of a polling booth. The platform is the urban parallel to the Grama Sabha which was created for rural voters by the 73rd Amendment. Area Sabha creates a political space and connects to the city’s decision-making process, deepening the platform for citizen participation below the level of a ward. 3.3.1 Model Nagara Raj Bill

The Nagara Raj Bill, proposes that each ward in a Municipality has a Ward Committee comprised of the representatives of all Area Sabhas in the ward, who are selected/elected by the members of the respective Area Sabha. The registered voters of the Area Sabha reserve the right to recall their Representative, if s/he proves to be ineffectual, which ensures

23 For more information about JNNURM, visit the GoI website at http:// jnnurm.nic.in/. 24 See Appendix 1 for the Nagara Raj Bill and the Model Activity Mapping for distribution of functions

PA RTICIPATORY GOVERNA NCE IN URBA N INDIA — FOCUS ON THE URBA N P OOR

a Representative is accountable to the citizens of that polling booth. Thus, an ordinary voter becomes integral to the cityâ&#x20AC;&#x2122;s decision making processes. The Ward Committee shall be chaired by the Ward Councillor, who will be elected by the ward and represent the ward at the Municipal council. According to the Nagara Raj Bill, the Ward Councillor will be required to hold regular monthly meetings of the Ward Committee at which resolutions will be debated and passed by a majority vote of those present. The Ward Committee will meet to prepare Ward and Municipal Plans and the budget, to maintain the finances of the ward, to provide administrative and infrastructure support to ward projects, and to develop and plan works in the ward. The Ward Committee shall also be responsible for integrating the services and activities for the urban poor undertaken by the government. A formal structure like the Area Sabha creates a stable, legitimate, and inclusive platform by which citizens can come together to discuss and address local issues. The Community Participation Law includes detailed Activity Mapping of the municipal functions to be performed by the Municipalities, Ward Committees, and Area Sabhas. The functions of the Area Sabha can include area level planning, monitoring and supervision of development works, reporting and identification of issues, and other support features. Through these activities, citizens are involved in the decision-making process through legally recognized mechanisms thereby ensuring direct political participation.

citizenry, improved city management, equitable outcomes, and increases stakeholder ownership for urban citizens. In order to comply with the JNNURM, state laws must (1) provide a platform for every registered voter, (2) which equals the size of polling booths in class 1 cities and wards and (3) corresponds to a majority of representatives from the platforms comprising the ward committee. State governments which adopt the reforms of the JNNURM and create urban governance structures, similar to those already enacted for the rural population will enable citizens to participate at the local level, a true decentralisation of power. In serving the needs of all urban residents, including the urban poor, the JNNURM creates linkages between existing structures (ward committees, Municipal Councils, etc.) and new space for participation, i.e. Area Sabhas. However, as this report will detail, while the space is available to the urban poor, the ability of the urban poor to utilise this space to extract their entitlements is an area that requires much greater examination. This report looks to assess the effectiveness of this space toward the empowerment of the urban poor, among other aspects of participation. JNNURM has created a formal mechanism for citizen participation in urban governance. However, the questions remain whether this formal political space will be accessible to the urban poor and empower them sufficiently to seek their entitlements.

Figure 1: Community Participation As Envisaged In JNNURM Community Participation Law The community participation law envisions an engaged

Citizen Participation and urban governance

4 Making Participatory Democracy A Reality - The Details

This section attempts to move the needle on citizen participation beyond the philosophical realm (i.e.“is citizen participation good or necessary”) to the practical realm (i.e. “how do we ensure citizen participation”) - in other words, from the “why” of citizen participation to the “how” of citizen participation. It is therefore the most important section in the paper. The structure of this section is as follows: Section 4.1 uses a Citizen Participation Questionnaire to elicit the views of experts in the area of citizen participation and urban governance. The next section (4.2) explores three alternative structures for participation by the poor. Finally, the section ends with a discussion of the role for NGOs in facilitating participation by the urban poor (Sec. 4.4). 4.1 The Citizen Participation Questionnaire – Views of Experts As a centrepiece of this paper on citizen participation with a special focus on the urban poor, a citizen participation questionnaire25 was circulated to a range of experts from different practice areas, in order to collect their views on the issues of citizen participation and urban governance, focusing on the urban poor. The respondents included urban planners, social activists, academic experts, members of slum cooperatives, and policy makers at state and central levels. The study was designed to involve stakeholders from diverse parts of the country to lend a national perspective to our research. The citizen participation questionnaire was drafted and circulated to the experts to obtain their views on specific issues related to urban administration taken from the XII Schedule of the 74th CAA. The questionnaire included two sets of research questions with a section of close-ended questions where participants chose from a set of pre-defined options and a section with open-ended questions where participants responded in their own words. As an additional aspect, the interviews were done as face-toface sessions in varying locations around the country, so as to get the views of the experts on qualitative issues as well, that were possibly beyond the scope of the questionnaire. Some of these additional comments are detailed in last part

25 See Appendix 2 for the Citizen Participation Questionnaire; Appendix 3 for the list of participants and Appendix 4 for the details on the responses to the questionnaire

of section 4.2.3. Content of Questionnaire Any inquiry into citizen participation, whether generally or specifically related to the urban poor, requires an initial consensus on the definitions of key terms, like urban poverty and citizen participation. For a characterisation of urban poverty in India, please refer to Chapter 1 of the report, particularly Sec. 1.3, which outlines the challenges faced by the urban poor. The concept of citizen participation upon which our questionnaire is based is discussed below. There are various definitions and interpretations of citizen participation. A useful model is Sherry Arnstein’s “Ladder of Participation”26 which is frequently cited in research and maintains strong levels of support today. Arnstein’s conceptualisation of a hierarchy in participation forms the framework upon which the questionnaire was based. Arnstein created a “Ladder of Participation” with approximately eight levels of participation in hierarchical order, from the least to most inclusive. The eight rungs of the ladder are grouped into three basic categories: non-participation, tokenism, and decision-making. Non-participation is illustrated by the lowest two rungs on the ladder which are manipulation and therapy, which Arnstein describes as contrivances to substitute for genuine participation. The next three rungs on the ladder are informing, consultation, and placation. At this stage, citizens may have access to the decision-making process and the ability to be heard, but less direct decision-making role in the outcomes. Finally, delegated power and citizen control are defined as the highest forms of participation because they confer decision-making power on citizens. Arnstein’s Ladder of Participation offers a useful common definition of participation. With an established definition of participation in hand, we turn to the substance of the questionnaire. Our goal was to examine issues, which involve citizen participation in urban local government, since our research is directed at the effectiveness of new and existing political spaces. The XII Schedule lists the scope of the functions of urban

26 There are several online sources for Sherry Arnstein’s Ladder of Participation. One such link is http://lithgow-schmidt.dk/sherryarnstein/ladder-of-citizen-participation.html

PA RTICIPATORY GOVERNA NCE IN URBA N INDIA — FOCUS ON THE URBA N P OOR

local governments and provides the set of issues in our questionnaire. [Please see the appendix for a copy of the questionnaire and the XII Schedule.] Applying a simplified three-step version of Arnstein’s ladder, we asked respondents to categorise the appropriate level of participation for each issue. In this, we have used only the second and third categories in Arnstein’s ladder, assuming that the first category of non-participation is not a choice that respondents would choose. On issues related to planning and budgeting (Part I of the questionnaire), the rungs of the ladder constituted dissemination of information, consultation, and decisionmaking. For issues related to implementation (Part II of the questionnaire), the ladder included feedback, supervision, and partnerships. In both cases of Planning/Budgeting and Implementation, the range of options indicates an increasing role for citizens, from pure information acceptors or feedback providers to decision-makers or implementers.

platforms, mechanisms, and processes required for ensuring the desired level of citizen participation. The goal was to understand what kinds of processes are necessary for the desired forms of participation (as explored in Parts I and II) to be realised. Rather than impose a particular platform, we asked our experts to examine the merits of demandside structures and formal structures. Some respondents neglected Part III of the questionnaire, though responding to the first two parts, which provides evidence that much more work and debate is required. The responses to Parts I, II, and III of the questionnaire are discussed in detail below. Summary of responses Key aspects of feedback on Sections 1 and 2 (Table 1): Table 1 below provides a summary of the responses from participants for sections 1 and 2 of the questionnaire, i.e. suggested levels of participation in the two aspects of Planning/Budgeting and Implementation, for each of the 18 functions of ULBs as required under Schedule XII of the 74th Constitutional Amendment. The numbers in the table reflect the number of respondents who ticked that particular box. For example, 12 respondents out of 13 chose “consultation” as their preferred level of participation for the first function of “urban planning”.

In section III, the questionnaire attempts to probe the next set of issues related to participation: the “how” of participation, in terms of the structures and processes by which the desired levels of participation can be realised. This section has two structured questions, but also contains a series of open-ended questions that invited members to provide unstructured feedback and comments on the

Participation Level

Regulation of land-use and construction of buildings

Planning for economic and social development

Roads and bridges

Water supply

Public health, sanitation, conservancy and solid waste management

Fire services

3: implementation

3: Decision-making

2: Monitoring

2: Consultation

Urban planning, including town planning

1: Feedback

1: Information

Implementation

Planning and Budgeting

Urban forestry, protection of the environment and promotion of ecological aspects

Safeguarding the interests of weaker sections of society

Slum improvement and up-gradation

Urban poverty alleviation

Urban Functions as per Schedule XII

Making Participatory Governance a Reality

Participation Level

1: Information

2: Consultation

3: Decision-making

1: Feedback

2: Monitoring

3: Implementation

Urban amenities and facilities such as parks, gardens and playgrounds

Cultural, education and aesthetic aspects

Burial grounds, cremations, cremation grounds and electric crematoriums

Cattle pounds and prevention of cruelty to animals

Vital statistics including registration of births and deaths

Public amenities including street lighting, parking lots, bus stops and public conveniences

Regulation of slaughterhouses and tanneries

Urban Functions as per Schedule XII

Assessment of feedback on Section 1 and 2: - -

Implementation

Planning and Budgeting

The categorisation of participation into three levels and two phases actually helps in understanding views on participation quite well. This conclusion is reached by seeing the wide variety of views on participation that the framework manages to capture, while simultaneously allowing us to see patterns of commonalities among respondents’ views. Respondents have different preferences for participation for different functions of ULBs. Similarly, respondents want a certain level of participation for a particular function in planning/budgeting, but a different level participation for the same function when it comes to implementation. These patterns of consensus among respondents still do not take away from individual differences: respondents have used the framework to truly depict their positions. Hence, the framework helps to move the debate away from universal statements like “more participation is necessary” (that nobody can disagree with, but nobody can implement either); and towards more specific areas of focus, which has to do with the specific activities in which citizens can participate, and to what level. There is no universal desire for high levels of citizen participation, either in planning/budgeting or in implementation. There are certain functions where respondents seem satisfied with “lower” thresholds of participation, i.e. limited to information

- -

dissemination; and other functions where they prefer to see higher levels of participation, i.e. actual power to decide, or actual ability to implement. Respondents in general have indicated a higher preference for participation in planning/budgeting than in implementation. This is seen from the higher scores for the higher levels of participation in planning/ budgeting than in implementation. This possibly reflects the view that participation is more of a means to express citizen voice and hold the ULB accountable, rather than a way to move actual executive function away from the municipality. Specific consensus areas in Planning/Budgeting:

For function nos 5 and 18, i.e. fire services and slaughterhouse regulation, the highest respondent count is only for information dissemination For the functions numbers 1, 2, 4, 5, 13, 14, 15, 17 (see Table 1 for the functions): the highest respondent count is for participation level of consultation, the middle level of participation. For 5 functions, viz 6, 9, 10, 11, 12: the highest respondent count is for participation is at the highest level of actual decision-making. For one function, 3, i.e. planning for social and economic development, the respondents are split between consultation and decision-making as the preferred form of participation Specific consensus areas in Implementation:

PA RTICIPATORY GOVERNA NCE IN URBA N INDIA — FOCUS ON THE URBA N P OOR

For functions 2, 4, 5, 6, 8: the highest respondent count is for the lowest level of participation, i.e., feedback on implementation work being done by the ULB For functions 8, 9, 12, 13, 14,15,17: the highest respondent count is for the middle level of participation, i.e., monitoring of the works being carried out by the ULB For function 10 alone, i.e., slum upgradation, the highest respondent score is for actual implementation to be taken up by the citizens themselves For function 6, i.e. public health, sanitation and SWM, the respondents are split between monitoring and implementation as their preferred form of participation

Implications of feedback for participation on urban poverty issues While the overall questionnaire can be used effectively to obtain feedback on citizen participation in general, the respondent feedback has specific clarity on issues related to urban poverty. Examining Table1, we can see the following specific aspects related to urban poverty and participation: - Of the 18 functions of ULBs, one could legitimately claim that all of them affect urban poor, as much as they affect other citizens as well. Hence, the general comments about participation that have been made above can apply as much to the urban poor - Within the 18 functions, there are some that are most specifically focused on the urban poor. These are: Functions 9, 10, 11: safeguarding the interests of weaker sections of society; slum improvement and upgradation; urban poverty alleviation - The views of the respondents on participation with respect to these 3 functions: By an overwhelming majority, respondents felt that citizen participation must be at the highest level of decision-making when it comes to planning and budgeting for these items. On implementation issues, respondents were somewhat less emphatic on the level of participation for these functions. On item 9 (safeguarding the interests of the weaker sections), 7 of 12 respondents felt that citizens should monitor the programmes, while 4 felt that citizens should actually implement the programmes. On item 10 (slum improvement), 8 respondents felt that this should be done by the citizens and communities themselves, while 3 felt that they should at least be monitoring the works. On item 11, the respondents were equally divided on monitoring versus implementation roles for citizens. - The average scores for levels of participation on these items is far higher than the scores for the other functions.

When combined with the high scores from respondents for some of the other functions that have a significant effect the urban poor (urban planning, socio-economic development, public health and sanitation), it is clear that respondents felt that the idea of citizen participation is more acutely needed for urban poverty issues than the more general issues. This creates a point of convergence between the views of the experts and the trend in the development of government programmes, which have moved towards an empowerment approach by including the urban poor in the design and implementation of various poverty alleviation schemes, as described in section 2.3. Key aspects of feedback on Section 3 (Table 2): Table 2: Feedback on Section 3, regarding structures for participation 1

Nature of the platform for citizen’s participation Count

Count

a) Informal community group, by invitation

b) Informal community group, open to all

Formal invitation

community

association,

by 1

d) Formal community association, open to 4 all e)

Formal part structure

nested

municipal 6

Geographical footprint of the platform

Count

a) Neighbourhood level

b) Ward level

c) Municipality level

d) Multi-tiered: Neighbourhood level and 1 ward level e) Multi-tiered: Neighbourhood level, ward 4 level, and municipal level f) Multi-tiered: Ward level and municipality level g) Other (please specify)

As discussed earlier, the third part of the questionnaire deals with the platforms and mechanisms required to ensure the desired level of participation. Here, the responses were sought in two parts: the first part had two questions with multiple choices (shown in Table 2); and the second part which was more open-ended (responses captured and provided in Appendix 4). Analysis of each of these parts is provided below: Part a (Table 2): - When asked about the nature of the platform for citizen participation, and given 5 choices, ranging in a spectrum

Making Participatory Governance a Reality

between informal community groups that were invited by the ULB, to being a formal part of the municipal structure, nested within it, respondents were clear that they were not in favour of any informal structures (choices a and b). Among the three formal options, six respondents preferred a formal structure that was nested within the municipal structure, while four preferred a formal structure that was open to all - When asked about the geographic footprint for their recommended structure for participation, respondents once again clearly expressed their negation of structures that were limited to the municipal level (choice c). Five respondents indicated their preference for structures that were multitiered, and within this, a majority preferred a 3-tiered structure at the neighbourhood/ward/municipality levels. Part b (See full details of this in Appendix 4): This part dealt with questions of structure that broadly related to the following areas: - Relationship of the proposed structures to the government structure, specifically focused on Legitimacy of the structure Relationship to elected representative Funding needs for the structure Sources of funding for the structure - Processes of participation Roles and responsibilities of people in the structure Periodicity of meetings Procedures concerning conduct and agenda-setting Conflict resolution mechanisms at various levels The comments in this section were open-ended, given the nature of the issues being probed. Hence, it is not possible to capture the aggregate views of the respondents in a quantitative manner, and it is recommended that Appendix 4 be perused for the actual comments. However, a general summary of their comments is provided below: - A desire for formal legal mandate for community participation - A clearly acknowledged role for the Ward Councillor/ Corporator in the structures - Funds for community participation structures to be provided for by the ULB - Some role for citizens, even in a multi-tiered setup (i.e. not completely a representative structure) - Clear need for well-defined procedures/agenda-setting/ taking minutes of meetings of community structures, i.e. not just an informal process - Clear need for well-defined conflict-resolution processes In sum, the feedback from the respondents in the questionnaire has helped to move the issue of participation from the realm of “why” to the realm of “how”: what are the specifics of participation, and how should these be

addressed. These specifics address issues like: which areas or functions should citizens participate in; what should the level of participation be; what should the structures of participation be; how should these be linked to the ULB’s own decision-making structures; what roles do the elected representatives play; who finances these participatory processes; and what guidelines are required for participation to be meaningful, in terms of roles and conflict-resolution mechanisms. The feedback also sheds substantial light on the specific issues of urban poverty, and the significant role that citizen participation can play in addressing these issues. 4.2 Evaluating Different Structures for Participation To what extent are current structures of participation able to meet the requirements laid out by the expert group in their feedback on the participation questionnaire? Against the backdrop of the feedback from the questionnaire, it would be useful to examine three broad categories of participatory structures in terms of their effectiveness, as alternative approaches to citizen participation with a specific focus on the urban poor. These are: 1. Formal participatory structures 2. Demand-side participatory structures 3. A combination of formal and demand-side participatory structures The following sub-sections analyse each of the above structures and assesses their strengths and weaknesses by illustrating with examples. 4.2.1 Formal Structures for Participation

The term ‘formal participatory structures’ implies structures for participation that are formally a part of local government functioning, where clear roles are given to citizens and the platforms of participation. While it seems that formal participatory structures would address the kinds of suggestions that have been provided in the participation questionnaire (detailing the various aspects of the ‘how’ of participation), it would be useful to examine the validity of this assumption by assessing the actual experiences of formal participatory structures. In India, formal structures of participation do not exist in urban areas, and currently exist only in rural areas. (Note that with the requirement of a community participation law in JNNURM, this will change; but these statutory changes by state governments have not yet resulted in grassroot changes that can be measured). Therefore, while examining the performance and effectiveness of formal structures, this section is restricted to rural experiences. The 73rd Amendment to the Constitution sought to enhance accountability and transparency in rural governance by

PA RTICIPATORY GOVERNA NCE IN URBA N INDIA — FOCUS ON THE URBA N P OOR

creating formal political space at the grassroots level. In rural areas, a three-tier structure at district, taluka and village level was created to devolve financial, political and administrative powers to engage rural citizens in the local development process. Importantly, the Amendment included a formal platform for participation called the Grama Sabha, which provided a formal platform for every registered voter. The actual practice of Grama Sabhas varies across states, with some states having taken greater interest in pursuing the effectiveness of these participatory structures. The state of Karnataka, for example, has released detailed guidelines for the conduct of Grama Sabhas27. However, the reality is that the functioning of Grama Sabhas has left a lot to be desired28. This raises the question of whether Grama Sabhas can actually work well, and deliver the outcomes that were expected of such formal participatory structures. In a paper titled ‘Participatory democracy in action: survey from South India’29 , authors Besley, Pande and Rao have conducted a detailed village and household survey of 522 villages and over 5000 villages households in the four southern states of Karnataka, Andhra Pradesh, Tamilnadu and Kerala. The focus of this study was to study the determinants of holding a Grama Sabha and who attends Grama Sabha meetings; and secondly, to look for evidence that holding a Grama Sabha meeting affects public resource allocation specifically towards the poor. This is perhaps the only study in India to elucidate the conditions under which Grama Sabhas work and also to explain how well-functioning Grama Sabhas are different from those which are not functioning well. The key findings of the study are: 1. On attendance and participation: a. More populous villages are more likely to hold Grama Sabha meetings. b. More literate villages are more likely to have held Grama Sabha meetings, and are more likely that villagers have heard of the Grama Sabha meetings. c. Among the disadavanted groups, women and illiterates

27 GOK circular NO:RDP:222:GPA:2001dated 10th October 2001. 28 From “Grounding the State: Poverty, Inequality and the Politics of Governance in India’s Panchayats” By Craig Johnson, Priya Deshingkar, Daniel Start, pp 7 “Micro-level studies have shown that Grama Sabha often fail to fulfil their role as deliberative bodies or as a mechanism for accountability (Alsop et al., 2000; Deshpande and Murthy, 2002; Nambiar, 2001). This is partly attributed to low levels of participation among the electorate as well as the non-cooperation of local officials. Examples of the latter include officials delaying or postponing Grama Sabha meetings, officials not attending Grama Sabha, and, more generally, official decisions having no bearing on decisions reached during the Grama Sabha (Crook and Manor, 1998: Chapter 2; Deshpande and Murthy, 2002; Nambiar, 2001).” 29 Tim Besley, Rohini Pande and Vijayendra Rao: ‘Participatory Democracy in Action: Survey Evidence from South India’, Journal of the European Economic Association, Vol 3, issue 2-3, 2005, pp 648-57.

are less likely to have heard of and attend Grama Sabha meetings; while landless and SC/STs are more likely to attend these meetings. Importantly, illiterates, landless and SC/ST are more likely to participate even in the more literate villages, suggesting that there is a positive political externality to the Grama Sabhas. This is a very critical finding, especially in light of the discussions on the two values of participation, and the second value of participation as an end in itself in raising the political capacities of citizens (see section 3.1 of this report). 2. On outcomes: The paper specifically examines pro-poor policy outcomes, not outcomes of the intrinsic political benefit that participation is claimed to have. The focus was on the release of BPL cards.The study found: a. Identification of landless and illiterate individuals for BPL cards is higher in villages hoding Grama Sabha meetings. b. Probability of these individuals receiving a BPL card is 8-10% higher in villages holding a Grama Sabha meeting In summary therefore, the good news is that formal structures of participation address many of the recommendations made by the respondents in the questionnaire on participation: they clearly articulate the details of the “how” of participation, as the circular of the Government of Karnataka shows. However, studies of rural participatory structures shows that much more ground needs to be covered, before it can substantially be established that Grama Sabhas are effective in improving rates of participation, especially among the disadvantaged, and that outcomes of such processes are pro-poor. Here, there seems to be some silver lining in the cloud: we are perhaps beginning to see some evidence, as indicated in the Beasley et al report, that – under certain enabling conditions – Grama Sabhas can indeed become effective mechanisms of citizen participation, especially for the poor. 4.2.2 Demand-side Structures for Participation

Formal structures for participation are relatively new in India, even in rural areas (the Grama Sabha got its legitimacy only after the passage of the 73rd Constitutional Amendment in 1992, and these structures are still not fully functional across many states even today). However, there is a much longer history of other structures of participation, where communities have come together to work on common challenges. These are true both across rural and urban India. There are literally hundreds of thousands of such initiatives across India, ranging from small community initiatives to large-scale programmes spread across entire districts. It is therefore impossible to create any structured framework to assess the effectiveness of such initiatives. However, for the purpose of this paper, a limited focus can be applied to these

Making Participatory Governance a Reality

structures, which is to examine them with reference to the issues raised by the experts in the participation questionnaire. Specifically therefore, the focus of examination would be on the effectiveness of these structures in addressing the “how” of participation. In this limited context, such initiatives can be categorised to be broadly of two types: the first, demand-side structures that are supported or often even initiated by the state; and the second, demand-side structures that are driven from the grassroots, either directly by local communities themselves or supported and catalysed by NGOs. The term “demand-side participatory structures” refers to both these categories of participation.

SJSRY in Karnataka30 Swarna Jayanthi Shahari Rozgar Yojana (SJSRY) is a government of India urban poverty alleviation programme, first mentioned in the 9th FYP. SJSRY aimed to provide gainful employment to the urban unemployed or underemployed poor through supporting the creation of self-employment ventures or providing wage employment.31 The programme components incorporated aspects of credit through subsidies and bank loans, training in a variety of service and manufacturing trades and community organisation through the formation of self-help groups to pursue saving and lending activities. Unfortunately, the record of implementation of this programme was less than satisfactory in the Bangalore area. In 2002, Janaagraha conducted a survey of loans sanctioned under SJSRY and produced a report “Case studies on delivery of loans to the urban poor.” This led to the creation of Alliance for Networked Kinship of Underprivileged Residents (ANKUR), a platform which envisaged participation of all the stakeholders of SJSRY, i.e. the government, NGOs, beneficiaries, and banks. A pilot project steered by the Karnataka government’s department of municipal administration was undertaken over a period of 12 months, with the following features: •• •• •• •• •• ••

Bringing all the stakeholders on a common platform; Identifying nodal branches for disbursal of loans; Standardising loan application forms; Jointly identifying beneficiaries of the community, bankers and NGOs; Requiring EDP training for beneficiaries before release of loan; Involving NGOs in the formation and nurturing of thrift and credit groups

30 For a more detailed discussion of this case study, see “Federalism, Decentralisation and Citizen Participation” by Ramesh Ramanathan, Economic and Political Weekly, February 2007 31 Supriti et al, p.55.

While the results on improving the bank linkage through the SJSRY pilot were promising, Janaagraha’s purpose in improving the functioning of the SJSRY programme in Bangalore was a different one, related to the structural presence of community groups in the scheme: a pyramidal clustering of neighbourhood groups (NHGs), neighbourhood committees (NHCs) and community development societies (CDSs), representing over 1,00,000 below poverty-line (BPL) families in Bangalore. The SJSRY platform not only provided a single platform through which to link to what was supposed to be a readymade community structure of the poor at the grassroots, but also one that was empowered to demand development outcomes from various arms of government that worked in the area of urban poverty (slum improvement boards, housing boards, city corporations, etc.) through the articles of association of the CDSs, which were registered societies. However, the experience was that the citywide SJSRY platform provided little tangible benefit to the poor in terms of public service outcomes or governance outcomes. There were several impediments to this process: 1. The formal mandate to demand outcomes was only with the CDS, the apex institution, and not with the lowerlevel community structures like the NHC and NHG. The six CDSs that were established for the entire city meant that each CDS had a massive coverage area of one-sixth of the city, covering approximately 15,000 urban poor families. 2. There was little social connection among the members of the CDS, since they came from different parts of the city, with no prior interpersonal contact. 3. Very little capacity building effort had been expanded for the CDS members, who were officially vested with a fair degree of authority to demand the presence of various government agencies, and pass binding resolutions for actions by these agencies, but little real use of these powers. 4. CDS meetings did not take place within the geographic boundaries of each CDS (itself a vast geographic stretch), but at the nodal SJSRY office. Members did not get travel compensation or any pay for the time and cost in participation in the CDS meetings. As a result, few of the CDS meetings were well attended, and often did not even have a quorum. 5. Even though the CDS platform for the poor provided a great level of formal legitimacy to the poor, there were several lacunae that prevented it from being used appropriately. One possible explanation could have been that real political legitimacy needed to come at a level that was much more personal, much closer to home for the individual to feel empowered. Also, the CDS platform was a parallel form of political legitimacy, which – in the

PA RTICIPATORY GOVERNA NCE IN URBA N INDIA — FOCUS ON THE URBA N P OOR

long run – would only undermine the legitimate political structures of local government. It could be argued that the demands of the poor are best achieved within the institutional framework of governance, rather than establishing structures outside it. These lessons on the challenges in the implementation of the community structures in SJSRY are especially relevant when seen in the context of the recommendations of the expert group, regarding the structures and processes for participation. It can be seen that SJSRY, an example of a demand-side participatory structure that is initiated and supported by the state, still falls short of the goals of participation on a number of counts. Central to this is possibly the fact that it is a parallel mechanism of participation to the existing decentralised system of governance of the municipality. This same experience of state-sponsored demand-side structures can be seen in the next example, of communitybased watershed programmes in rural areas. State-initiated management

demand

side

structures

water

If there was any programme that emphasised the importance of the “how” of participation, it is the rural watershed management programme, which has evolved its processes of community participation over the past two decades, and offers important lessons for urban participatory structures. Management of watershed development in India evolved significantly over the past there decades. During the 1970s to early 1980s, the main concentration was largely on biophysical criteria. In late 1980s there were some significant changes looking beyond soil and water conservation to include improving the productivity of natural resources. Highlevel committees were constituted in 1993 (CH Hanumantha Rao Committee) and 1995 (Dharia Committee) to look into the performance of watershed management and institutional mechanisms to make them more effective and equitable. The reviews of these committees resulted in the issuing of the ‘Common Guidelines for Watershed Development’ in 1995. These guidelines were a paradigm shift in the sense that they first introduced community participation into watershed development in India. The Guidelines for watershed management were modified in 2001 to have greater flexibility, greater community participation in project implementation and post project maintenance etc. through self help groups. Although the revision in 2001 did envisage the role of PRIs in the implementation of watershed projects, the concept of watershed associations and watershed committees were retained. The past experience indicated that the institutional framework of watershed association and watershed committee for the implementation of watershed programme have been working in parallel with Grama Panchayat, with very little coordination between them. To overcome this,

watershed guidelines were further modified in 2003. Under this initiative which was named as Hariyali guidelines, all ongoing area development programmes namely, IWDP, DPAP and DDP were to be implemented through PRIs. Prior to implementation of Hariyali guidelines, Village Watershed Committees were working as the main implementing agencies for watershed programme at grassroots level under the control and supervision of the Watershed Association with the guidance and support of WDT. The Hariyali guidelines of 2003 have handed over the VWS’s role to the Grama Panchayat and the WA’s role is taken up by the Grama Sabha. The idea behind this change introduced by Hariyali guidelines was the commitment at the central level to devolve financial and administrative powers to the PRIs for self governance particularly in planning, implementation and management of economic development activities in rural areas. Water shed development has been included in the list of subjects to be devolved to the PRIs and hence the issue of planning, implementation and management of watershed programme was brought directly under PRIs. Another argument behind this transition was the fact that Grama Panchayat and Grama Sabha are “equipped with statutory rights and mandate for natural resource planning, potentially equipped with the powers to impose local taxes or user charges and are committed to “reservations” for representation of women and weaker sections as per the Constitutional provision.” Conflict resolution and equity are also important issues for watershed projects and so the implementing agency needs to be equipped with necessary legal and administrative powers to enforce the decisions. The central role of PRIs and Grama Sabhas ensures this. In the years since these revised Hariyali guidelines were issued, there have been several challenges with the implementation of watershed programmes, indicating that there is no magic wand in such programmes32 However, the same report makes one very important observation regarding the legitimacy of the new guidelines, when it states, •“The • Hariyali Guidelines (have) completely do away with the concept of the VWC which had till then been designated as the main implementing agency of the programme. The Hariyali Guidelines hand over the VWC’s role to the Grama Panchayat. And the Watershed Association’s role is taken up by the Grama Sabha. •• Let us first try and understand the spirit behind the change introduced by the Hariyali Guidelines. As stated in the Preface, “The Ministry of Rural Development is committed to empower Panchyati Raj Institutions (PRIs) and has been impressing upon the State Governments to devolve necessary financial and administrative powers to the PRIs for self-governance particularly in planning, 32 See “From Hariyali to Neeranchal – Report of the Technical Committee on Watershed Programmes in India”, Dept of Land Resources, Ministry of Rural Development, Jan 2006.

Making Participatory Governance a Reality

implementation and management of economic development activities in rural areas. Watershed Development has been included in the list of subjects to be devolved to the PRIs.” •• We believe that these constitute very powerful arguments in favour of involving Grama Panchayat/Grama Sabha in the watershed programme. We also believe that one of the most important issues that arises in the case of watershed projects is that of conflict resolution and equity. For this the implementing agency needs to be equipped with necessary legal and administrative powers to enforce its decisions. The central role of PRIs ensures this.” In essence therefore, the new Hariyali guidelines addressed one of the fundamental challenges of participation: how to establish participatory structures that do justice to the idea of community involvement and empowerment, while simultaneously strengthening and not undermining the legitimate institutional mechanisms of local government – in this case, PRIs and Grama Sabhas. The experience of both SJSRY and watershed development programme for the past two decades offer cautionary tales to over-enthusiastic evangelists of participation who don’t pause to examine the various details of participation that are required to be addressed for such schemes to actually work on the ground. Both programmes validate the point that demand side structures – even if initiated or supported by the enormous power and machinery of the state - are not sufficient for effective implementation of poverty alleviation programmes and ensuring accountability; indeed, they sometimes actually end up undermining the very institutional structures of decentralised government that ought to be the point of focus of participatory energies. This is one of the critical aspects that is highlighted even in the recommendations of the expert group, as they suggest that structures for participation need to be embedded into the fabric of the local governments, rather than be independent of them. Demand-side structures driven from the grassroots – the experience of slum Pradhans At the other end of the spectrum from state-supported demand-side structures are the organic, grassroot mechanisms that emerge in the slums of our cities. The scale and intensity of poverty in the slums, and the fragility of the public services requires an extraordinary range of coping strategies on the part of residents. A gap exists between slum dwellers and formal government authorities and access to services is a major challenge for the urban poor.

Responsiveness and Leadership in Delhi Slums”33 , the authors describe Pradhans as informal leaders in urban areas who are chosen for their political connections, access to service providers and education level. While some Pradhans are selected through a consultative process in which they are acknowledged by the community to be the most knowledgeable and therefore best able to represent their urban community, most Pradhans obtain their power through coercion and falsely claim to have a democratic mandate. Pradhans improve access to service providers and protect slum dwellers from the predatory actions of the police and from the whims of party politicians. Because the police are indifferent to the needs of slum dwellers and are complicit in extortion, harassment and unlawful detention, slum dwellers often have to pay to prevent being locked up without just cause. Slum dwellers take on the political patronage of Pradhans, as a defensive strategy. In turn, the Pradhans offer security and protection. Pradhans also mediate quid pro quo between slum dwellers and elected politicians – exchanging blocks of votes and manpower at rallies for the provision of services and protection. The presence of informal leaders hinders the empowerment of slum dwellers who cannot directly access their service providers. But, without any formal participatory structures at the grassroots level, many slum dwellers have few options but to accept the patronage of these informal leaders. Viewed once again in the specific context of this paper, and the need to address the details of the “how” of participation, this experience demonstrates that communities don’t – and can’t – stand still. The vacuum of access to decision-making and the overwhelming day-to-day needs that the poor are confronted with forces them to resort to alternative mechanisms of resolution that at best solve their immediate issues, but does little to either promote meaningful and sustained participation, or to empower them in an individual capacity. 4.2.3 Combination of Formal and Demand-side Structures Beyond the pure formal or pure demand-led structures for participation, a new third way is beginning to emerge. This third way is of a combination of formal and demand-side structures, where bottom-up community led initiatives are connected to the formal structures of government. There are already examples of successful initiatives that are showcasing such processes – clearly, such processes are more complex to navigate, but when they work, they can truly deliver on all the benefits of participation. The following sub-sections illustrate these linkages with two examples, one driven by demand-side structures, and the

This gap is generally bridged by informal leaders called Pradhans. In a paper, “Governance in the Gullies: Democratic 33 Jha, Rao and Woolcock (2005): Governance in the Gullies: Democratic Responsiveness and Leadership in Delhi’s Slums, World Bank Paper.

PA RTICIPATORY GOVERNA NCE IN URBA N INDIA — FOCUS ON THE URBA N P OOR

other, by formal structures.

Kudumbashree experience

Combining formal and demand-side structures: Dhan Foundation Experience34

The experience of the Kudumbashree programme in Kerala exemplifies the positive consequence when linkages form between formal structures of participation and informal demand-side structures.

The experience of Dhan Foundation demonstrates that demand-sides structures may be necessary in order to improve the quality of formal structures. For the past ten years, the Dhan Foundation, a Madurai-based organisation, has been working in several districts of Tamil Nadu, Karnataka and other states to improve the livelihoods of the rural poor. The foundation promotes community organisations at various stages to engage the high-quality human resources accessible through the grassroots network. Through its consistent efforts, Dhan has created a network of self-help group (SHG) federations to undertake development work with a focus on various themes like microfinance, dry land agriculture, etc. Early on, the Dhan Foundation acknowledged the importance of formal structures to rural development. However, formal institutions like the Grama Sabhas at the village level were not contributing their part to local development. Many factors accounted for the poor participation of people in Grama Sabhas, including the lack of democratic practices, shortage of funds, and the poor status of weaker sections. Additionally, many rural citizens lack the literacy skills to contribute effectively while others are simply unaware of the existence of participatory platforms. Through its experiences, the foundation realised that the alleviation of poverty demanded constant coordination and cooperation between different stakeholders like government, SHGs and other community organisations. There was a need to link formal institutions with competent informal ones by actively encouraging informal community organisations to participate in the panchayat system. In 2001, Dhan announced a new pilot programme of ‘Democratising Panchayats’ to help the panchayats function as a democratic unit at the village level. The programme has been successful in village communities by increasing awareness of panchayat functions and mobilizing local resources, thereby reducing the dependence of panchayats on the state. Through its experience, Dhan discovered that the panchayat system could not function without support from informal community organisations.

Combining

formal

and

demand-side

structures:

the

34 “Working with Panchayats,” Dhan Foundation, (as viewed on Aug. 14, 2008). For the full text of the article, please visit www.dhan. org.

Kudumbashree is a poverty eradication programme focused on the economic empowerment of indigent women in Kerala. The basic principles of the programme are to identify and organise the poor using non-monetary indicators so the BPL lists are inclusive and to empower poor women for the betterment of the family and the community. While the programme was initially focused on promoting the economic status of women through micro-finance and thrift and credit societies, Kudumbashree has grown to encompass a myriad of initiatives which address the needs of the poor. The mission statement of Kudumbashree is to eradicate absolute poverty in ten years through concerted community action under the leadership of Local Governments, by facilitating organisation of poor for combining self-help with demandled convergence of available services and resources to tackle the multiple dimensions and manifestation of poverty holistically. The hallmark of the programme is that it is implemented through a pyramidal structure of community-based organisations (CBOs) in cooperation with local self-government institutions. The neighbourhood group (NHG) is the building block of the programme consisting of 15 – 40 women from poor families. The women elect a committee consisting of the President, Secretary, Volunteer for Income Generation Activities, Volunteer for Infrastructure Development, and Volunteer for Community Health Activities. All the NHGs in a ward are formed into an Area Development Society (ADS). At the apex of the pyramid, the Community Development Society, a registered charity under the Charitable Society Act, works at the local level to give women a voice on crucial issues, like water, power, and housing. The demand-led structure of the programme has allowed poor women to become active participants in the planning and implementation process of the anti-poverty programmes. At the weekly meetings of the NHG, women are encouraged to share their feelings, discuss their problems and work together to craft solutions with the support of volunteers. The group dynamic builds self-confidence among the individuals. In addition, the women practice small savings to increase their economic stability. Micro-plans generated from the NHG meetings are discussed and prioritised at the ADS level. Finally, at the level of the CDS, the mini-plans are formed into

35 “Kudumbashree At A Glance,” http://www.sjsry-kudumbashree.org/ Publication/KS_short_article.doc,

Making Participatory Governance a Reality

a “CDS Plan” which becomes the anti-poverty sub-plan of the local government. Through the process, women become important stakeholders and participants in the planning process. In terms of implementation, the local government works with the CDS. Thus, the CDS system establishes linkages with the local government, yet maintains a level of autonomy. Women, who were previously represented only by proxy in the male-dominated Panchayat system, become participants in the Grama Sabha and secure outcomes for themselves outside of the Kudumbashree programme. The Kudumbashree programme has been more successful in rural areas where the Grama Sabha model exists and provides the linkage to a legitimate, formal participatory structure. The convergence creates an outcome which is much more powerful than either structure standing alone. Unfortunately, the programme has had limited success in urban areas, because the formal structures of participation like the Grama Sabha do not exist as yet in urban areas. With the community participation law of JNNURM, this gap will be addressed via the Area Sabha structure, designed as an urban equivalent to the Grama Sabha.

PA RTICIPATORY GOVERNA NCE IN URBA N INDIA — FOCUS ON THE URBA N P OOR

5 Recommendations on Citizen Participation Structures

In the previous section, we began by examining two different approaches for ensuring citizen participation: formal structures where citizen participation opportunities are woven into the fabric of local government functioning; and demand-side structures, either supported by the state or driven from the grassroots. Formal structures address the various aspects of the “how” of participation in manner that is not only sustainable, but also results in an investment in the political identity of the individual and empower citizens to participate in the political and democratic process. When citizens understand their individual identities, they are empowered not only to cast votes, but to exercise their rights. Formal structures create the political space to allow the nurturing of that identity. However, while formal structures provide legitimate space to citizens for addressing local problems, they are not a guarantee for participation by the urban poor, as there are several challenges which hinder this process – ranging from elite capture, to the lack of awareness and capacities of the poor. Clearly, therefore, while formal structures seem to possess desirable characteristics of participation in the long run, they are not an immediate panacea to address the needs of citizens, especially of the urban poor. On the other hand, demand side structures - especially those established from the grassroots - truly represent the needs of the poor, and can be quite effective in solving their problems, and giving negotiating power to the poor by aggregating their voice. Unfortunately, we have also seen that demandside structures are also substantially flawed in many respects. Most importantly, demand-side structures suffer from the following constraints: they are often independent of the structures of local government, sometimes even undermining local governments; they do not have accountability or sustainability; and they do not necessarily empower the individual, rather often only the collective. What emerges from the discussion is the need for a combination of the two types of structures: both formal and demand-side structures that reinforce each other and create sufficient political space for the urban poor to participate and access their entitlements. In the ideal scenario, there would be formal structures that offer opportunities for participation in a manner that has formal power vested in the platforms of participation; can access resources of the local government;

has clearly defined processes and rules of engagement and conflict-resolution. These formal structures are strengthened by demand-side structures that emerge based on the felt needs of local communities, but where such demand-side structures engage synergistically with the formal structures. During our deliberations with the expert respondent group on the participation questionnaire, members agreed unanimously that citizen’s engagement in planning and implementation of welfare schemes is crucial for enhancing accountability and transparency in urban governance. We received mixed responses on the nature of platform required for ensuring the desired level of participation. Many of the members felt that though formal structures like Area Sabhas at grassroots level are essential, they are not sufficient in themselves for ensuring active participation of urban poor.

Jokin Arputam, who is President of National Slum Dwellers Federation said that right now, we have elite oriented system in urban administration. Ward committees are not effective in implementation of UPAIs as the agenda of ward committee is hijacked by wealthy class and poor people do not have any say in these matters. For meaningful participation, poor people need separate forums to address their problems. Community based organisations provide such forum and hence they should be given recognition by formal structures like ward committees.

Dinesh Mehta, who is now Faculty Emeritus in CEPT Ahemedabad and has a long experience of working in India, Brazil and other countries on issues of participatory governance, said that both formal and informal institutions are needed for empowerment of urban poor. Formal institutions at local level are enabling structures for effective implementation of UPAIs. However, these are often politicised and captured by the elite class of society due to lack of awareness among the people. To minimise these demerits of formal structures, he felt that demand side structures are needed.

Recommendations on Citizen Par ticipation Structures

In a paper titled “Decentralisation and Community Empowerment”36 , authors Derek Brinkerhoff and Omar Afzar write, “Bottom-up, demand-driven pressures from communities on local government will be successful only to the extent that decentralised institutional arrangements support an effective supply response. Local public institutions and actors need to be receptive to, and capable of accommodating, citizen engagement aimed at affecting policy decisions and service delivery. The demand side of democratic local governance cannot function effectively without the supply side.” In summary, given the challenges of pure formal structures or pure demand-side structures of participation, the case for linkages between these two types of structures for participation seems quite solid. In specific terms, for urban India, this means that the formal structure of participation that have now become available through JNNURM – the Area Sabhas – can be strengthened and supplemented by a variety of demand-side structures, which can be different for different issues, and also vary by city. Such participatory structures that combine formal and demand-side structures can be seen to address the complete set of recommendations of the expert group in the citizen participation questionnaire: they offer clear answers on the levels of participation for different functions of ULBs under Schedule XII; they provide clear guidelines on the linkages between the participatory structures and the local government, and on the procedures for such participation. In addition, they can ensure that bottom-up demands of the people can be channelised through various community initiatives. The Kerala Kudumbashree example of SHGs engaging with Grama Sabhas in rural areas can be extended to urban settlements, where the platform of engagement will be Area Sabhas. Critically, these combined structures will not only address the service and equity issues that are the critical need of the urban poor, but can also serve as the means by which the urban poor can begin to exercise and invest in their individual political identity. These structures provide answers to both the aspects of participation that were articulated earlier in this report (section 2.1). Hence, participation can be a means to an end, and also an end in itself. In this sense, these structures can give true meaning to the term “participatory governance”.

36 Decentralization and Community Empowerment: Does community empowerment deepen democracy and improve service delivery? Derick W. Brinkerhoff, with Omar Azfar, October 2006, Paper prepared for U.S. Agency for International Development, Office of Democracy and Governance Contract No. DFD-I-00-05-00128-00, Task Order No. 2

PA RTICIPATORY GOVERNA NCE IN URBA N INDIA — FOCUS ON THE URBA N P OOR

Appendix 1

MODEL NAGARA RAJ BILL

GOVERNMENT OF INDIA MINISTRY OF URBAN DEVELOPMENT NEW DELHI

APPENDIX 1

Contents

Sections

Page No.

Sections

Part-I

Part-VI

Preliminary

Functioning of Ward Committees

1. 2.

Short title, commencement and extent Definitional provisions

25 25

Part-II Area Sabha 3. Determination of Areas 25 4. Area Sabha Representative 25 5. Qualifications for being an AreaSabha Representative 25 6. Election of Area Sabha Representative 25 7. Procedure for nomination of Area Sabha Representative. 26 8. Term of office 26 9. Functions and duties of the Area Sabha 27 10. Rights and powers of the Area Sabha 27 Part-III Constitution and Governance of Ward Committees 11. Area Sabha Representative to be ex-officio member of Ward Committee 12. Ward Committee

27 27

Part-IV Right and Duties of Ward Committees

13. Functions of the Ward Committee 14. Rights of the Ward Committee 15. Duties of the Ward Committee Part-V

28 28 29

Activities of the Ward Committees 16.

Activities of the Ward Committee

Nagara Raj Bill

17. 18. 19. 20. 21.

Additional Meetings of Ward Committees Agenda Preparation of Ward Budget Procedure for Conducting Ward Committee meetings Power to make rules

SCHEDULE I - BUDGET CALENDAR

Page No.

31 31 32 33 32

A Part-II AREA SABHA Constitution and Governance of Area Sabhas

Bill to amend the laws relating to the Municipalities in the State of …… to institutionalise citizens’ participation in municipal functions, e.g. setting priorities, budgeting provisions etc. by setting up of Area Sabha and to provide for matters connected therewith or incidental thereto. Be it enacted by the Legislature of the State of …………….. in the ……………… year of the Republic of India as follows:

Part-I Preliminary Short title, extent and commencement

1. (1) This Act may be called the Nagara Raj Bill, ….. (2) It extends to the whole of the State of ……. excluding cantonment areas therein (3) It shall come into force on such date as the State Government may, by notification, appoint in this behalf. Definition 2. In this Act, unless the context otherwise requires: (a) Area means an Area as determined in the manner prescribed in sub section (b); (b) Area Sabha means, in relation to an Area, the body of all the persons registered in the electoral rolls pertaining to every polling booth in the Area, in a Municipality; (c) Budget year. –means the period for which the State government lays down the “annual financial statement”. (d) Chairperson. - The councilor of each ward shall be the chairperson of that ward committee. (e) Member. - The Area Sabha Representative, elected or appointed in the manner as provided under this act, shall be a ‘member’ of the ward committee. (f) Ward Infrastructure Index. – Ward Infrastructure Index means a composite index generated by a taking into account the condition of all public infrastructure elements in that Ward. (g) Ward Committee. – Means the committee constituted under Section 12 of this act.

Determination of Areas 3. The State Government shall by order determine – (a) the Areas into which each Ward, and in the absence of a Ward, the Municipality, may be divided; and (b) the territorial extent of each Area, which shall necessarily include the entire geographical territory in which all persons mentioned in the electoral roll of any polling booth in such territory, or, if the Government so decides, two or more contiguous polling booths (not exceeding five such polling booths) in such territory, are ordinarily resident. Area Sabha Representative 4. There shall be an Area Sabha Representative for each Area. Disqualifications for being an Area Sabha Representative 5. (1) (a) (b)

Any registered voter in an Area may file his nomination for the office of Area Sabha Representative, unless he is disqualified for being chosen as, and for being, an Area Sabha Representative – By or under any law for the time being in force for the purposes of elections to the Legislature of the State, or for the purposes of elections to the Municipality; Provided that no person shall be disqualified on the ground that he is less than twenty five years of age, if he has attained the age of eighteen years; or If he is an elected representative under either the Representation of the People Act, 1951 or this Act.

Election of Area Sabha Representative 6. (1) Any person eligible for contesting the elections to the office of Area Sabha Representative in that Area may file in accordance with the procedures that may be laid down under the rules framed in this behalf, his nomination for contesting the elections to such post within a period of four weeks from the date of announcement of results of the elections to the Municipality.

APPENDIX 1

(2)

Nomination papers for the office of Area Sabha Representative shall be available with the Ward Councillor, at all Municipal offices and at other public places where the public can easily procure the same, one week after the undisputed results of ward elections have been declared.

(3)

Upon filing his duly completed nomination papers with the election officer notified in this behalf by the State Election Commission within the period stipulated in sub-section (1), the nominee shall be entitled to receive a due acknowledgement in respect of the same from the election officer.

(4)The election to the office of Area Sabha Representative in the various Areas in any Municipality shall be conducted under the aegis of the State Election Commission or an agency that may be appointed in its place by the State government, within a period of four weeks from the last date for filing of nominations for the post of Area Sabha Representative, in the manner prescribed in the rules framed in this behalf by the State Government.

eight weeks from the last date on which the elections, as described in section 6, ought to have been held.

(4) (5)

A registered voter of the Area Sabha may nominate any registered voter of the Area Sabha for the office of Area Sabha Representative, by filing the nomination papers in the manner prescribed in this behalf. The eligible nominee with the highest number of registered voter nominations from that Area shall be declared as the Area Sabha Representative for that Area, by the Ward Councillor. In the event of the failure of the Ward Councillor to call for nominations for the office of Area Sabha Representative for any or all of the Areas within the Ward in the time prescribed, the State Government shall, in accordance with the rules prescribed in this behalf, nominate such persons as it may deem fit to those offices of Area Sabha Representatives not filled by the Ward Councillor; and it may also initiate such disciplinary or other action against the Ward Councillor as the rules prescribed in this behalf by the Government may allow.

Procedure for nomination of Area Sabha Representative Term of office 7. (1) In the event of the failure of the State Election Commission, or the agency appointed in its place by the State government, for any reason whatsoever, to conduct elections to the office of Area Sabha Representative for the Areas in any Municipality, each Ward Councillor shall, within a period of eight weeks from the last date on which the elections ought to have been held as described in section 6, call for nominations for the office of Area Sabha Representative for every Area in his ward, in accordance with rules framed in this behalf.

(2) A â&#x20AC;&#x153;call for nominationsâ&#x20AC;?, as described in subsection (1), may be made by the insertion of an advertisement for the purpose in at least two prominent newspapers in wide circulation, of which at least one shall be a regional language newspaper. Additionally, every call for nominations must be notified on a prominent notice board in every municipal office or building in the ward.

(3) Nomination papers for the office of Area Representative shall be available with the Councillor, Municipal offices and other public where the public can easily procure the

Nagara Raj Bill

Sabha Ward places same,

8. An Area Sabha Representative shall ordinarily hold office for a duration that is co-terminus with that of the Municipality concerned. Provided that no person shall continue to hold office as Area Sabha Representative if, at any time during his tenure, he incurs any of the disqualifications prescribed by or under any law for the time being in force for the purpose of elections to the Legislature of the State concerned; Provided further that no person shall be eligible to continue to hold office as Area Sabha Representative if at any time 6 months after his election to such post he is recalled by a written representation to the Ward Councillor or the Municipality, as the case may be, supported by not less than one-half of the total members of the Area Sabha concerned; And provided further still that no person shall be entitled, or continue to be entitled, to hold office as Area Sabha Representative of an area in which he is not ordinarily resident.

Functions and Duties of the Area Sabha

rights and powers, namely:

9. An Area Sabha may, having regard to its managerial, technical, financial and organizational capacity, and the actual conditions obtaining in the municipal area, perform and discharge the following functions and duties, namely -

(i) to get information from the officials concerned as to the services they will render and the works they propose to do in the succeeding period of three months after the meeting; (ii) to be informed by the Ward Committee about every decision concerning the jurisdiction of the Area Sabha, and the rationale of such decisions made by the Ward Committee or the Government,

(a) to generate proposals and determine the priority of schemes and development programmes to be implemented in the jurisdiction of the Area Sabha and forward the same to the Ward Committee, or in its absence, the Municipality, for inclusion in the developmental plans of the Ward Committee or Municipality as the case may be; (b) to identify the most eligible persons from the jurisdiction of the Area Sabha for beneficiary oriented schemes on the basis of criteria fixed by the Government, and prepare list of eligible beneficiaries in order of priority and forward the same for inclusion in the developmental plans of the Ward or Municipality; (c) to verify the eligibility of persons getting various kinds of welfare assistance from Government such as pensions and subsidies; (d) to suggest the location of streetlights, street or community water taps, public wells, public sanitation units, and such other public amenity schemes within the area of the Area Sabha; (e) to identify the deficiencies in the water supply and street lighting arrangements in the Area Sabha jurisdiction and suggest remedial measures; (f) to assist the activities of public health centres in the area, especially in disease prevention and family welfare and create arrangements to report on the incidence of epidemics and natural calamities;

(iii) to be informed by the Ward Committee of the follow up action taken on the decisions concerning the jurisdiction of the Area Sabha; (iv) to impart awareness on matters of public interest such as cleanliness, preservation of the environment and prevention of pollution; (v)to promote harmony and unity among various groups of people in the area of the Area Sabha and arranging cultural festivals and sports meets to give expression to the talents of the people of the locality; and (vi) to co-operate with the Ward Committee in the provision of sanitation arrangements in the area. Part-III Constitution and Governance of Ward Committees

Area Sabha Representative to be ex-officio member of Ward Committee 11. The Area Sabha Representative of any Area shall be a member of the Ward Committee constituted for the ward within which that Area is situated. Ward Committee

(g) to provide and mobilise voluntary labour and contributions in cash and kind for development programmes, and to supervise such development works through volunteer teams; (h) to undertake and support tax mapping, and to remind Area Sabha members of their obligations to pay municipal taxes and user charges; Rights and Powers of the Area Sabha 10. An Area Sabha may, subject to the procedures that may be prescribed in this regard, exercise the following

12. (1) There shall be a Ward Committee for each ward in a Municipality, to be constituted within 6 months of the constitution of the Municipality.

(2) Each Ward Committee shall consist of â&#x20AC;&#x201D;

(a) the member of the municipality representing the ward, who shall be the Chairperson of the Ward Committee; (b) not more than ten persons representing the civil society from the ward, nominated by the municipality:

APPENDIX 1

Provided that if the population of the ward is not more than ten thousand, the number of nominated members shall be four, and, thereafter, there shall be one additional member for every four thousand population or part thereof:

Provided further that in reckoning the number of additional members of the Ward Committee exceeding four, any part of less than two thousand population may be ignored;

Provided further that not less than two-thirds of the members of such Committee shall be the Area Sabha Representatives resident in that ward.

Explanation- For the purposes of this section, â&#x20AC;&#x2DC;civil societyâ&#x20AC;&#x2122; means any non-government organisation or association or persons, established, constituted, or registered under any law for the time being in force and working for social welfare, and includes any community-based organisation, professional institution and civic, health, educational, social or cultural body or any trade or industrial organisation and such other association or body as the Municipality may decide. (3) A person shall be disqualified for being nominated as a member of the Ward Committee under clause (b) of sub-section (2) or to continue as such member, if under the provisions of this Act or any other law for the time being in force, he would be disqualified for being elected as a member of a municipality. (4) The Chief Municipal Officer or the Zonal Officer shall be entitled to take part in the meetings and deliberations of the Ward Committee. The Chairman of the Ward Committee may request the representatives of concerned departments as special invitees to participate in the meetings whenever problems respecting their departments are to be discussed. (5) The sanitary inspector, or the Zonal Officer wherever available, or any other official, as nominated by the Chief Municipal Officer, shall be the secretary of the Ward Committee. All minutes of the proceedings of the meeting of the Ward Committee shall be recorded by the secretary and a copy of minutes of the proceedings of each meeting shall be forwarded by him to the municipality. (6) The term of office of the Ward Committee shall be co-extensive with the term of office of the municipality.

Nagara Raj Bill

PART IV RIGHTS AND DUTIES OF WARD COMMITTEES

Functions of the Ward Committee

13. The Ward Committee shall discharge the following functions, namely: a) Provide assistance in solid waste management in the ward; b) Supervision of sanitation work in the ward; c) Provide assistance for the preparation and encouragement of the development scheme for the ward; d) Encourage harmony and unity among various groups of people in the ward; e) Mobilize voluntary labour and donation by way of goods or money for social welfare programmes; f) Provide assistance in the implementation of development schemes relating to the ward; g) Provide assistance for identification of beneficiaries for the implementation of development and welfare schemes; h) Encourage art and cultural activities and activities of sports and games; i) Ensure peopleâ&#x20AC;&#x2122;s participation in the voluntary activities necessary for successful implementation of the developmental activities of the municipality; j) Assist in the timely collection of taxes, fees and other sums due to the municipality; k) Ensure maintenance parks in the ward; l) Ensure maintenance of street lighting in the ward; m) Perform such other functions as may be assigned to it by the municipality. Rights of the Ward Committee 14. (1) The chairman and the members of the Ward Committee shall have the right to seek information from the Chief Municipal Officer regarding any matter relating to the ward. (2) The committee shall make periodical reports to the municipality in respect of the matters specified. (3) Every Ward Committee shall have the right to: b) c)

a) Obtain full information about the District and Municipal Plans; Obtain the full Municipal Budget, within such time as may be reasonable, to verify, seek clarifications and suggest changes that need to be incorporated; Obtain the requisite financial and administrative

d) e) f) g)

support from the Municipality in managing bank accounts; Be consulted in the development of land use and zoning regulations within its jurisdiction; Obtain full details on all revenue items including taxes and budgetary allocations which should be presented in a simplified manner which is manageable by the Ward Committee; Retain up to 50% of the Ward Revenues for local development, until a predefined minimum level of Ward Infrastructure index, which shall be notified by the State Government, has been created in the Ward; Have a proportionate claim on Municipal Development expenditures, based on the Ward Infrastructure Index of that ward compared to the other Wards in the Municipality.

Duties of the Ward Committee 15.

(1) Every Ward Committee shall have the duty to:

a) b) c) d) e)

Produce the Ward Plans in a manner consistent with the District Plans and complete this exercise within the time specified by the state government; Prepare the Ward budget in accordance with the Ward Plans and complete this exercise within the time specified by the state government; Encourage local-level alternatives for implementation in all the areas that the Ward Committee has responsibility for; Ensure optimal collection of all revenue sources as specified in the schedule; Map the Ward Infrastructure Index for that ward. PART V ACTIVITIES OF THE WARD COMMITTEE

Activities of the Ward Commitee 16.

This section mentions the activities to be performed by the Ward Committees. These activities are: a) Preparation of a Calendar: At the first meeting of the Ward Committee for each budget year, the Ward Committee shall decide upon specific obligatory agenda for each of the monthly meetings of the Ward Committee, remaining in that calendar year, in addition to the specific obligatory agenda for the first meeting of the following budget year.

Nothing in subsection (a) shall prevent:

1. The convener of a Ward Committee from adding additional agenda for any meeting of the Ward Committee. 2. Any other member of the Ward Committee may, at a meeting of the Ward Committee, move a resolution to add to the specific obligatory agenda decided upon for the meeting in question or any subsequent meeting. b) Preparation and compilation of plans – The Ward committee shall prepare the Annual Ward Plan and forward the same to the concerned Municipality for its integration with the Annual Municipal Plan. c) Preparation of Ward budget – (i) A ward level budget calendar shall be prepared annually in accordance with Schedule I. The ward committee shall ensure that the budget calendar is strictly adhered to and prepare the budget for their ward six weeks before the Municipal budget. The Municipality may suggest changes that may be effected into the Ward level Budget after discussion with the Ward Committee. (ii) The Municipality budget shall (1) aggregate all the ward prepared in accordance Section (2) have additional account and expenditures at the

budgets which have been with subsection (i) of this heads for specific receipts municipality level

d) Maintenance of Accounts – 1) Constitution of the Ward Finance Committee - A Committee of three persons shall be constituted in every Ward as the Ward Finance Committee. (i) The constitution of the Ward Finance Committee shall be through nomination held within 1 month of the constitution of the Ward Committee. The chairperson shall nominate the ward finance committee. (ii) The Ward Finance Committee shall also appoint from amongst themselves, one person as the Chairperson, who shall be the authorised signatory for maintenance and use of accounts. 2) Functions and Duties of the Ward Finance Committee – (i) The Ward Finance Committee shall prepare the annual budget for the Ward and place it before the meeting of the Ward Committee which will deliberate upon, and approve the budget. The Budget shall be presented by the Ward Finance Committee within seven

APPENDIX 1

months from the closure of the previous financial year. (ii) The Ward Finance Committee shall also maintain ward-level bank accounts for all the receipts and expenditure activities of the ward. (iii) The Ward Finance Committee shall ensure that all funds transfers shall be made out of this account to appropriate account heads of the municipality. (iv) The Ward Finance Committee shall present accounts every three months at the meeting of the Ward Committee. (v) The Ward Finance Committee shall prepare a quarterly report of the financial transactions of the Ward Committee, which shall include details of its receipts and expenditures and also its projections and suggestions for the next quarter. This report shall be made available to every member of the Ward Committee one week prior to the designated meeting for discussion of the report. (vi) The report of the Ward Finance Committee shall be made available for public scrutiny. 3) Penalties â&#x20AC;&#x201C; i) Non-compliance of the provisions in (2) (i) â&#x20AC;&#x201C; (vi) above would incur penalty for the concerned member in default. ii) The Chairperson of the Ward Committee shall take appropriate action, including penalty to the Ward Committee member after giving adequate notice in writing and reasonable opportunity to be heard to the nominee; Provided that, if the Chairperson of the ward Committee deems it necessary to impose a fine or other such penalty, the decision shall come into force only upon it being approved by a majority vote at the meeting of the Ward Committee; Provided further that the power to impose penalty shall not extend to the dismissal of the concerned Ward committee member. 4) Perusal of Bills â&#x20AC;&#x201C; (i) For every expenditure, the members of the Ward Committee shall requisition the required amount from the Chairperson and will present bills for the expenditure incurred. (ii) The Chairperson shall make available the sum so requisitioned in keeping with the budgetary allocation. (e) Supervisory Mechanism: (1) The municipality shall take up the responsibility of providing administrative and infrastructure support to the Ward Committee for its proper functioning.

Nagara Raj Bill

(2) The Ward Committee shall create mechanisms for checks and balances over the government personnel in their ward. Ward committees shall have the power to recommend to the competent authority for imposition of penalties in respect of a Government employee for misconduct and negligence of duties. (f) Ward Development: There shall be a Ward Information and Statistics Committee which shall be formed for various developmental and planning works. The constitution and functions of the Committee are given below. (1) Constitution of the Ward Information and Statistics Committee (i) A committee of three persons shall be constituted in every Ward as the Ward Information and Statistics Committee. (ii) The constitution of the Ward Information and Statistics Committee shall be through nominations by the Chairperson held within one month of the constitution of the Ward Committee. Provided that members of the Ward Finance Committee shall not be members of the Ward Information and Statistics Committee.

(iii) The Ward Information and Statistics Committee shall also appoint from amongst themselves, one person as the presiding member who will preside over the meetings of the Ward Information and Statistics Committee.

(2) Duties of the Ward Information and Statistics Committee (i) It shall be the duty of the Ward Information and Statistics Committee to compile, maintain and update annually the following information about the ward in the format prescribed by the concerned Municipality for this purpose. Such information shall include: (A) Economic Information including the number and nature of commercial establishments in the ward and employment data in these establishments; (B)

Information relating to Land Use includes the changes in patterns of land use, data relating public spaces and civic amenity sites, traffic patterns and public transportation hubs and preservation and restoration of environment, natural resources and heritage sites

(C) Infrastructure Index including the extent of infrastructural development, current and pending projects, and the infrastructural requirements of the ward. (ii) The report prepared in accordance with subsection (f) (2) (B) shall be used by the Ward Committee in determining and enforcing the Zoning provisions. It shall be made available on a quarterly basis to the meetings of the ward Committee, reflecting changes since the presentation of the previous report. (iii) The report prepared in accordance with (f) (2) (C) above shall be used by the Ward Committee in allocation of development expenditure by the Ward Finance Committee. It shall be made available on a quarterly basis to the meetings of the Ward Committee, reflecting changes since the presentation of the previous report. (iv) Spatial Planning: The Ward Committee shall: 1.participate in all development plans of the city 2.Enforce zoning and land use regulations 3.Participate in the creation and enforcement of new instruments like transferable development rights, etc. (3) Penalties i) Non-compliance of the provisions in (2) (i) â&#x20AC;&#x201C; (iv) above would incur penalty for the concerned member in default. ii) The Chairperson of the Ward Committee shall take appropriate action, including penalty to the Ward Committee.

(h) Ensure Universal Access for Selected Public Services: The Ward Committee shall be responsible in ensuring universal access in selected public services like education, health care, water supply and sanitation. (i) Alternative Options Without prejudice to the generality of the foregoing provision, a) Ward Committee shall be responsible for decentralised management of the following functions: (i) Primary collection of Solid Waste Management and decentralised management of solid waste; (ii) De-silting of drains; (iii) Maintenance of street-lights; (iv) Maintenance of parks; (v) De-weeding of paths; (vi) Road works including construction maintenance and restoration of; and (vii) General beautification of the locality.

b) The Ward Committee shall be specifically empowered to examine various alternative implementation options in the above mentioned areas

c) The proposal with respect to the alternative implementation option by the local communities shall be submitted to the Ward Committee and shall be taken up for discussion at the next meeting of the Ward Committee.

Provided that, if the Chairperson of the ward Committee deems it necessary to impose a fine or other such penalty, the decision shall come into force only upon it being approved by a majority vote at the meeting of the Ward Committee;

PART VI FUNCTIONING OF WARD COMMITTEES

Additional Meetings of Ward Committees Provided further that the power to impose penalty shall not extend to the dismissal of the concerned Ward Committee member. (g) Comprehensive Intervention for Urban Poor Activities: The Ward Committee shall be responsible for (i) Integrating all existing activities undertaken by the Government. (ii) Preparing and maintaining beneficiary list for all the programmes and schemes undertaken by the government in coordination with the relevant government agencies. (iii) Preparing a report on the housing and public distribution system in each ward.

FUNCTIONING OF WARD COMMITTEES 17. It shall be the duty of the Ward Committee Chairperson to conduct Ward Committee meetings at least annually for consultation, on, the following subjects: i. Preparation of Ward Plan; ii. Preparation of Ward Budget; iii. Preparation of Ward Maps, Ward Infrastructure Index and other alternate functions. Agenda 18. The Chairperson shall set the agenda for each ward committee meeting.

APPENDIX 1

Preparation of Ward Budget 19. To facilitate the proper preparation of the budget, a Ward Committee meeting shall compulsorily be held at least three weeks before the preparation of the Ward Budget. All reports presented by the Ward Finance Committee for the past year shall be discussed.

Procedure for Conducting Ward Committee meetings

made under this Act. (2) In particular and without prejudice to the generality of the foregoing power, such rules may provide for all or any of the following matters namely: a. Procedure for election of the Chairperson of the Area Sabha; b. Convening and conducting the meetings of the Area Sabha and Ward Committee; c. Preparation and compilation of development plans for the Ward; d. Preparation of annual budget of the Ward; and e. Maintenance of Accounts.

20. Following procedure shall be followed while conducting meetings of the Ward Committee: SCHEDULE I- BUDGET CALENDAR i. ii. iii. iv. v.

Reasonable notice of the Ward Committee meetings should be given at least one week in advance and placed in the notice boards of all municipality offices in the ward. All residents of the ward shall be entitled to participate in the Ward Committee. The media will be encouraged to actively participate in the proceedings. Minutes of the Ward Committee meetings shall be maintained. These minutes shall be made available to the general public for perusal. They shall be kept at the office of the Ward Committee. These minutes shall be presented at the next meeting of the Ward Committee and this information shall be made use of by the appropriate sub-committees in their functions. Grievances: Grievances for not holding or improperly conducting Ward Committees shall be addressed to the Chairperson of the Ward Committee. The Chairperson shall take appropriate action, including penalty to the Ward Committee member after giving adequate notice in writing and reasonable opportunity to be heard to the nominee;

Provided that, if the Chairperson deems it necessary to impose a fine or other such penalty, the decision shall come into force only upon it being approved by a majority vote at the meeting of the Ward Committee; Provided further that the power to impose penalty shall not extend to the dismissal of the concerned Ward Committee member. Power to make rules 21. (1) Subject to the provisions of this Act, the State Government may make rules to provide for any matter which is to be or may be prescribed by rules

Nagara Raj Bill

Month

Primary Activity

APRIL

area plan

MAY

ward plan

JUNE

ward plan

JULY

area budget

AUGUST

area budget

SEPTEMBER

ward budget

OCTOBER

ward budget

NOVEMBER

municipalities budget

DECEMBER

municipalities budget

JANUARY

works review

FEBRUARY

works review

MARCH

works review

Secondary Activity

Model Activity Mapping of Municipal Functions Functions to be performed by Municipalities/ Ward Committees/ Area Sabhas Note: These are based on the list of functions provided in Schedule XII (article 243W) of the Constitution, as per the 74th Constitutional Amendment Municipality

Ward Commitee

Area Sabha

Urban planning including town planning

Item

a. Prepare city plans in coordination with the MPC/DPC of the region b. Integrate the Ward Plans into the City Plan c. Develop medium-term financial plans consistent with the plans d. Develop annual city budgets consistent with the mediumterm financial plans

a. Prepare ward plans in coordination with city & regional plans b. Integrate Area Sabha needs into Ward Plans c. Develop Annual Ward Budgets consistent with these plans, and with the cityâ&#x20AC;&#x2122;s financial plans

a. Discuss the Areaâ&#x20AC;&#x2122;s planning needs as part of the Master Plan for the region and the city b. Submit Areaâ&#x20AC;&#x2122;s planning requirements to the WC c. Review the Ward Plans and the City plans d. Ensure that ward budgets and city budgets are consistent with their plans

Regulation of land-use and construction of buildings.

a. (Large set of regulations on land-use and construction)

a. Provide all administrative support to AS in zoning and land-use management b. Receive and process all applications for building construction c. Receive all appeals on land-use change decisions of AS, and resolve them

a. Enforce the zoning and land-use parameters defined in the city and ward plans b. Receive and resolve applications for change in land use in AS jurisdiction

Planning for economic and social development.

a. Work with agencies outside Municipality on collection, and dissemination of economic and social indicators b. Maintain key economic and social indicators for the municipality on regular basis c. Undertake systematic and organised street numbering, in coordination with external agencies

a. Have a Ward Information and Statistics Committee to track economic activity in the Ward b. Undertake systematic and organised street numbering, in coordination with the municipality

a. Provide information support to the WC on collection of necessary economic and social information b. Undertake systematic and organised street numbering, in coordination with the WC

Roads and bridges

a. Survey, technical feasibility, road alignment, and formulation of road development projects b. Approval, allocation and sanction of funds of roads covering more than one block including District roads. c. Acquiring land, assessment and grant of compensation. d. Awarding contracts, procurement of material / equipment for construction of roads and bridges. e. Monitoring the specifications of road /bridges and supervision of the quality of works.

a. Survey, technical feasibility, approval, allocation and sanction of funds. b. Annual repairs and maintenance of ward roads, culverts and bridges c. Approval, allocation and sanction of funds for improvement and maintenance of Ward roads. d. Monitoring and supervision of the quality of works and reporting progress. e. Ward Infrastructure Committee to maintain Ward Infrastructure Index in manner prescribed f. Budgetary allocations formulae to be based on Ward Infrastructure Index

a. Monitoring and supervision of quality of works b. Assist the WC in the preparation of Ward Infrastructure Index

APPENDIX 1

Item

Municipality

Ward Commitee

Area Sabha

Water supply for domestic, industrial and commercial purposes.

c. Assessing cityâ&#x20AC;&#x2122;s water supply needs on short, medium and long term basis d. Formulation of major water supply schemes e. Technical appraisal and approval to the schemes proposed by the WCs f. Awarding contracts for the execution of major schemes and enforcing Service Level Agreements

a. Developing annual water requirements for various ward needs b. Providing administrative assistance to AS c. Procuring and compiling reports on water service levels, complaints and repairs

a. Identifying need for water schemes and locations b. Reporting progress on water supply schemes c. Monitoring water supply service levels, complaints and repairs

Public health, sanitation conservancy and solid waste management

a. Planning through the health committees b. To coordinate Communicable Diseases Programme (Eg.TB, Leprosy) with the State c. To coordinate, construction and maintenance and supervision of Primary Health Centres (PHCs) d. Periodic conduction of Epidemiological surveys e. To construct and manage drainage and sewerage systems in the city f. To set aside budgets for street and public spaces g. Prepare city SWM plans, including adequate provision for safe disposal of SWM h. Prepare long-term SWM strategy for the city, in coordination with MPC and DPC i. Review city SWM contracts and provide support to WC in contract formulation, execution and monitoring j. To prepare policy documents for construction of public toilets

a. To assist in supervision and maintenance of sub-centres and deployment of field staff b. To organise health family welfare camps and conduct demonstrationcum-exhibition programmes on health, family welfare and sanitation. c. To assist in inspection/ assessment of quality of public health inputs and services. d. To prepare Ward SWM Plans in consultation with AS e. To award SWM contracts f. To monitor and review SWM contracts g. To prepare budgets for street cleaning and public spaces in consultation with AS h. To award contracts for street cleaning i. Prepare plans for sufficient public toilets in the ward in consultation with AS j. Award contracts for construction and maintenance of public toilets, in consultation with municipality

a. Upkeep of sanitation (cleaning of roads, drainage etc.) in the Area b. Mobilising and organising people for health, family planning and immunisation camps. c. Chlorination tanks and spraying of etc. d. Reporting of out-break of epidemics. e. To assist/ coordinate emergency (floods etc.) Medical Relief Services f. Support local community-based SWM composting solutions, in collaboration with Municipal SWM dept g. Supervise SWM contracts h. Supervise street cleaning contracts i. Identify locations for public toilets and submit AS plans to WC j. Supervise maintenance of public toilets

Fire services

a. To extinguish fire and protect life and property when fires occur b. To ensure sufficient levels of Fire Service infrastructure in the city

Urban forestry, protection of the environment and promotion of ecological aspects

a. Reclamation of waste lands, promotion of social forestry and maintenance of open spaces b. Establishment and maintenance of nurseries for plants, vegetables and trees and promotion of greenery c. Organisation of flower-shows and promotion of flower-growing as a civic culture d. Promotion of measures for abatement of all forms of pollution

a. Compile a list of all urban forestry and environmental assets in the Ward b. Prepare detailed plans to conserve and protect environmental assets,in consultation with AS c. Work with the municipality to integrate these plans into the municipal budget d. Prevent hazardous impact on environmental assets e. Promote measures for abatement of all forms of pollution

a. Prepare a list of all urban forestry and environmental assets in the Area b. Identify their environmental health c. Suggest measures for the conservation and protection of such assets d. Monitor hazardous impact on environmental assets, and report to WC

Safeguarding the interests of weaker sections of society, including the handicapped and mentally retarded

a. Provide all support to the WC for identification of weaker sections b. Coordinate with all concerned to procure relief for weaker sections c. Set aside appropriate funds in municipality budget

a. Preparation of lists of identification of disabled persons/ street children/ unassisted aged/ beggars/ juveniles and coordination with the municipality to procure assistance for their rehabilitation.

a. Identification of disabled persons/ street children/ unassisted aged/ beggars/ juveniles and coordination with the WC for their rehabilitation.

Nagara Raj Bill

Item

Municipality

Ward Committee

Area Sabha

Slum improvement and up-gradation.

a. Compile city-wide slum information, including service levels b. Prepare medium-term plans to complete slum up-gradation c. Prepare action plans for provision of sufficient stock of legitimate low-income housing in the city d. Coordinate with various agencies involved in slum identification, upgradation and services

a. Prepare a list of all slums in the Ward b. Establish the legal veracity of each slum for provision of public services c. Compile slum up-gradation plans in coordination with AS d. Prepare Ward Budgets to include allocations for slum up-gradation e. Release contracts for slum upgradation work f. Make payments based on AS monitoring

a. Prepare a list of all slums in the AS b. Prepare slum up-gradation plans for each slum, with community members in the concerned slums c. Work with WC to ensure budgetary allocation for slum up-gradation works d. Monitor quality of slum upgradation works

Urban poverty alleviation

a. Preparation of plan for poverty alleviation programmes at municipality level. b. Scrutiny and consolidation of WC plans for Poverty Alleviation Programmes c. Release of funds to Banks for subsidy adjustment. d. Coordination with other departments / agencies e. Development of training infrastructure f. Procurement and supply of quality assets / machinery / equipments for beneficiary schemes. g. Assist in extending technical assistance for planning at WC level. h. Supervision and review of implementation of different Poverty Alleviation Programmes. i. Monitoring and supervision of the progress of the programmes.

a. Assist the AS in providing technical and managerial assistance for implementation of schemes. b. Implement schemes at WC level c. Collection and distribution of data regarding development and management at the WC level. d. Assist in the evaluation of schemes. e. Preparation of plans at the WC level f. Review the plans prepared by the AS and accord technical approval and assistance g. Integrate other Poverty Alleviation programmes

a. Identification of beneficiaries for various government schemes b. Implementation of employment generation programmes c. Inform the WC and municipality about any misuse of assets, grant and loan by the beneficiaries. d. To assist IP for the distribution of identity cards e. To ensure proper utilisation of any funds allocated for poverty programmes from the municipality or external sources

Provision of urban amenities and facilities such as parks, gardens playgrounds

a. Assist the WC in the discharge of their responsibility b. Compile city-wide urban amenities information c. Prepare medium-term plans for urban amenities in consultation with WCs, MPC and DPC d. Provide budgetary support for urban amenities

a. Assist the AS in the discharge of their responsibility. b. Prepare ward budgets based on AS inputs or urban amenities

a. Submit AS plans for upgradation and maintenance of urban amenities b. Keep all common property of local nature in good condition. c. Ensure they are not encroached upon or converted to uses not in the interest of the community.

Promotion of cultural, educational and aesthetic aspects

a. Promotion of civic education, adult education, social education and non-formal education b. promotion of cultural activities including music, physical education, sports and theatres and infrastructure c. advancement of science and technology in urban life d. publication of municipal journals, periodicals and souvenirs e. organisation, establishment and maintenance of art galleries and botanical or zoological collections f. conservation and maintenance of monuments and places of historical, artistic and other importance g. construction, establishment, maintenance or contribution to the maintenance of public libraries, museums, reading rooms etc.

APPENDIX 1

Item

Municipality

Ward Committee

Area Sabha

Burials and burial grounds; cremations, cremation grounds and electrical crematoriums

a. Constructing and maintaining burial grounds and cremation grounds b. Acquiring, maintaining, changing and regulating places for the disposal of the dead

a. Assist the municipality in the discharge of their responsibility.

a. Inform the WC and municipality of deaths in the AS

Cattle pounds; prevention of cruelty to animals.

a. Establish and maintain cattle ponds b. Ensure the prevention of cruelty to animals c. Undertake appropriate measures to limit stray animals

a. Assist to AS in the discharge of their responsibility.

a. Monitor stray animals in AS b. Work with appropriate agencies to treat stray dogs on a regular basis

Vital statistics including registration of births and deaths.

a. Register all births and deaths in the municipality b. Maintain key economic and social indicators for the municipality on regular basis

a. Register all births and deaths in the Ward b. Ward Information and Statistics Committee to compile information on Ward

a. Support the WC in registering births and deaths

Public amenities including street lighting, parking lots, bus stops and public conveniences

a. Communication systems beyond construction and maintenance of roads: footpaths, pedestrian pathways, transportation terminals, both for passengers and goods, bridges, over-bridges, subways, ferries, and inland water transport system; b. Provide transport system accessories including traffic engineering schemes, street furniture, parking areas, and bus stops;

a. Compile list of street lighting, parking lots, street furniture, bus stops and public conveniences in the ward, with the assistance of the AS b. Prepare plans for creation and maintenance of such amenities c. Coordinate with the municipality for the provision of such amenities d. Coordinate with the AS for the monitoring and maintenance of such amenities

a. Prepare list of street lights, parking lots, street furniture, bus stops and public conveniences in the Area b. Provide assistance to the WC in developing plans for creation and maintenance of such amenities c. Monitor contracts to maintain such amenities

Regulation of slaughter houses and tanneries

a. Regulate the functioning of slaughter houses and tanneries

a. Prepare a list of all slaughter houses and tanneries in the ward b. Assist the AS in its activities c. Report any violations to the municipality

a. Monitor slaughter houses and tanneries for environmental impact and ethical practices

Nagara Raj Bill

Appendix 2 CITIZEN PARTICIPATION QUESTIONNAIRE

Name:

Date:

Department/Organisation:

This questionnaire assumes that the question of WHETHER citizens should participate is already answered in the affirmative, and the focus is really on HOW citizens should participate. Only detailed description of the HOW of participation can result in constructive participation by large numbers of citizens, in a consistent and sustainable manner. To answer this question, we are requesting your inputs in the following three categories of issues: 1. What are the issues that citizens should participate in 2. For each issue, what kind of participation would you suggest? 3. What are the platforms and mechanisms through which such participation should happen? While this questionnaire attempts to understand the issue of participation for all citizens, there is a need to add an additional focus on the issues of participation of the urban poor. We, therefore, request you to kindly use all this space provided to put down your ideas on both these dimensions. This document is divided into three components: Part 1, Part 2 and Part 3. Part 1 addresses citizen’s participation in Planning and Budgeting. Part 2 addresses citizen’s participation in the Implementation. Part 3 addresses Platforms, Mechanisms and Processes. There are many levels at which citizens can participate. The Ladder of Participation is a commonly-used tool to define these levels of participation. Below is one Ladder of Participation for Planning and Budgeting and another Ladder of Participation for Implementation. Disseminating Information – citizens are only given information on plans

Disseminating Information information on plans

–

citizens

are

only

given

Consultation – citizens are invited to comment on plans Deciding Together – citizens are invited to be part of the planning process Below is a list of issues that are now the responsibility of local governments. They are taken from Schedule XII. Some of the issues have been classified into three or four major components to have a more accurate analysis of the issue. Please indicate the level of participation from the ladder of participation that you would like citizens to have with regards to each issue. A separate box has been provided to invite suggestions on women’s participation. Please note: In each box, insert a number from 1-3 where 1 corresponds to Dissemination of Information, 2 corresponds to Consultation and 3 corresponds to Deciding Together. Use the square box for your suggestions on the level of citizen participation in general. For those issues which in your opinion, need to have special focus on women’s participation, use the circular box for giving your suggestions. Example: If on the issue of urban and town planning, I want citizens to be involved in Consultation with the government, then I would fill in the boxes as shown below: 1. Urban planning, including town planning 2 ¡

Appendix 2

Part 1: The Ladder of Planning and Budgeting

For the following issues, what level of participation would you suggest as per the Ladder of Participation for Planning and Budgeting? Group 1: The list of issues that are the responsibility of city governments, based on the 74th Constitutional Amendment 1. Urban planning, including town planning a) Planning for new residential zones b) Planning for SEZ’s and other commercial zones c) Acquiring agricultural land for development projects

lanes, sewers, community latrines, etc.

c) Social amenities like pre-school education, non-formal education, maternity, child health care etc. d) Provision of Shelter

o o

¡ ¡

11. Urban poverty alleviation a) Capacity building and training programmes b) Security of tenure c) Access to credit for business d) Schemes for providing employment

o o o o

¡ ¡ ¡ ¡

o o

¡ ¡

12. Urban amenities and facilities such as parks, gardens and playgrounds

13. Cultural, education and aesthetic aspects

2. Regulation of land-use and construction of buildings

14. Burial grounds, cremations, cremation grounds and electric crematoriums

3. Planning for economic and social development

15. Cattle pounds and prevention of cruelty to animals

o o o

¡ ¡ ¡

16. Vital statistics including registration of births and deaths

o o o

¡ ¡ ¡

17. Public amenities including street lighting, parking lots, bus stops and public conveniences

18. Regulation of slaughterhouses and tanneries o

Roads and bridges a) Flyovers and overbridges b) National and state highways c) Arterial roads and roads

5. Water supply for a) Domestic purposes b) Industrial purposes and c) Commercial purposes 6. Public health, sanitation, conservancy and solid waste management a) Provision for community health centres. b) Schemes for sanitation and conservancy c) SWM in residential and commercial areas

o o o

¡ ¡ ¡

Group 2: Any other issues (please list issues)

7. Fire services

8. Urban forestry, protection of the environment and promotion of ecological aspects o

9. Safeguarding the interests of weaker sections of society, including the handicapped and the mentally retarded 10. Slum improvement and up-gradation a) Provision of physical amenities like water supply, widening and paving of existing

CITIZEN PA RTICIPATION QUESTIONNA IRE

Feedback – citizens are invited to give feedback on project implementation Supervision – citizens are invited to supervise the project implementation Partnering – citizens are invited to take ownership of the project implementation itself, either in part or completely Below is a list of issues that are now the responsibility of local governments. They are taken from Schedule XII. Please indicate the level of participation that you would like citizens to have with regards to each issue. If you have other issues to add to this list, please add them at the end in the space provided, indicating the level of participation you would suggest for these issues. Please note: In each box, insert a number from 1-3 where 1 corresponds to Feedback, 2 corresponds to Supervision and 3 corresponds to Partnering.

3. Planning for economic and social development

4. Roads and bridges a) Flyovers and overbridges b) National and State Highways c) Arterial roads

o o o

¡ ¡ ¡

5. Water supply for a) Domestic purposes, b) Industrial purposes and c) Commercial purposes

o o o

¡ ¡ ¡

6. Public health, sanitation, conservancy and solid waste management a) Provision for community health care centres. o b) Schemes for sanitation and conservancy o c) SWM in residential and commercial areas o 7. Fire services

Part 2: The Ladder of Implementation

For the following issues, what level of participation would you suggest as per the Ladder of Participation for Implementation? Group 1: The list of issues that are the responsibility of city governments, based on the 74th Constitutional Amendment. 1. Urban planning, including town planning a) Planning for new residential zones o b) Planning for SEZ’s and other commercial zones o c) Acquiring agricultural land for development projects o

2.Regulation of land-use and construction of buildings

¡ ¡ ¡

8. Urban forestry, protection of the environment and promotion of ecological aspects o

9. Safeguarding the interests of weaker sections of society, including the handicapped and the mentally retarded o 10. Slum improvement and up-gradation

¡ ¡

a) Provision of physical amenities like water supply, widening and paving of existing lanes, sewers, community latrines, etc. b) Provision of Community centers for pre-school education, adult education, recreational activities etc.

Appendix 2

c) Social amenities like pre-school education, non-formal education, maternity, child health care etc. o d) Provision of Shelter o

11. Urban poverty alleviation a) Capacity building and training programs b) Security of tenure c) Access to credit for business d) Schemes for providing employment

o o o o

¡ ¡ ¡ ¡

12. Urban amenities and facilities such as parks, gardens and playgrounds

13. Cultural, education and aesthetic aspects

14. Burial grounds, cremations, cremation grounds and electric crematoriums o

15. Cattle pounds and prevention of cruelty to animals

16. Vital statistics including registration of births and deaths

17. Public amenities including street lighting, parking lots, bus stops and public conveniences

18. Regulation of slaughterhouses and tanneries o

Group 2: Any other issues (please list issues)

CITIZEN PA RTICIPATION QUESTIONNA IRE

Having decided on a level of participation, the third area of questions is related to the platforms and mechanisms through which such participation should happen. (Please select the appropriate option and insert a, b, c, d or e into the box) 1. What should be the nature of the platform for citizen’s participation? o

a) Informal community group, by invitation (e.g. self-help groups) b) Informal community group, open to all (e.g. all residents of an area) c) Formal community association, by invitation (e.g. residents welfare association) d) Formal community association, open to all (e.g. wardlevel federation) e) Formal part of a nested municipal structure (e.g. area sabha by polling booth)

2. What should be the geographical footprint of the platform for citizen’s participation? o o

Part 3: Platforms, Mechanisms and Processes

¡ ¡

a) Neighbourhood level b) Ward level c) Municipality level d) Multi-tiered: Neighbourhood level and ward level e) Multi-tiered: Neighbourhood level, ward level and municipality level f) Multi-tiered: Ward level and municipality level g) Other (please specify) That can be easily demarcated as a geographical constituency at sub-ward level

Please write in the space provided below each question 3. Relationship to the Government a) Relationship to the Government – How should the platform get legitimacy from the municipality/other agencies for citizen’s participation? (Please use the space below, and add any additional page(s) to complete, if necessary)

b) In relation to this platform, what is the role of A) A local councillor/corporator B) An MLA C) An MP ?

c) What are the funding needs for your suggested platform for citizen’s participation?

d) Where will these funds be procured from?

Dimension

Household level

Community level

Broader arenas

Economic

4. Please respond to the following questions related to the processes of participation (Please provide detailed answers).

a) Roles and responsibilities of individuals in the platforms you are suggesting

Socio-cultural

b) Periodicity of meetings Familial

c) Procedures concerning conduct of meetings

d) Setting the agenda of the meetings Legal

e) Procedures concerning taking decisions at the meetings

f) Conflict resolution at the citizen’s participation platform – among the citizens themselves

g) Conflict resolution at the citizen’s participation platform – between residents and commercial interests

h) Conflict resolution and negotiation between platforms for citizen’s participation and the municipality

Political

5. In the following table, please suggest measures which need to be taken in various dimensions to ensure a gender sensitive approach in all the three domains of equality, i.e. capabilities, access to resources and opportunities, and the ability to influence or contribute to outcomes.

Appendix 2

Appendix 3 List of Experts

S.No

Name

Designation

Celsa Antao

President, Desterro Eves Mahila Mandal, Goa

Jockin Arputham

President, National Slum Dwellers Federation, Mumbai

Prof. Dinesh Awasthi

Director, Entrepreneurship Development Institute of India, Ahmedabad

Sharad Chopdekar

Former Chairperson, Mormugaon Municipal Council, Vasco, Goa

Ramnath Jha

Principal Secretary, Transport and State Excise, Govt. of Maharashtra

Mukesh Kanaskar

Faculty, All India Institute of Local Self Government, Mumbai

Alka Karande

Former Deputy Municipal Commissioner, Bombay Municipal Corporation

Ruth Manorama

President. National Alliance of Women (NAWO)

A.K. Mehta

Joint Secretary, Ministry of Urban Development, Govt. of India

Dinesh Mehta

Former Director, National Institute of Urban Affairs

Jyoti Mhapsekar

President, Stree Mukti Sangathana, Mumbai

Sneha Palnitkar

Director, All India Institute of Local Self Government, Mumbai

T.R. Raghunandan

Secretary, Ministry of Panchayati Raj, Govt. of India

Chanda Sarkar

Director, State Urban Development Authority, West Bengal

N. Gitkumar Singh

Chief Town Planner, Town Planning Deptt, Govt. of Manipur

Alkesh Sharma

National Project Director, UNDP

Manorama Dobriyal Sharma

President, Dehradoon Municipal Corporation and Chairperson, Asean Mayorâ&#x20AC;&#x2122;s Council

M.P. Vasimalai

President, Dhan Foundation, Madurai

LIST OF EXPERTS

Appendix 4 Responses to PART 3 of Questionnaire - ( Relationship to the Government )

a) How should the platform get legitimacy from the municipality/other agencies for citizen’s participation? 1. It should be a formal democratic institution of the Urban Local Body at sub-ward level with an elected representative of its own. (Mukesh Kanaskar) 2. Institutionalisation; this can be done through a resolution by the municipal corporation or by amendment to the Municipal Act. (Sneha Palnitkar) 3. The legitimacy would come out of the citizen being a resident of that area. However, if the numbers get too big, an election process may have to be built in, especially in the larger cities. (Ramnath Jha) 4. Should be within the legal framework to ensure legitimacy and sustainability. (Ajit Kr. Jain) 5. The existing ward may be further subdivided into small geographical area and should get the constitutional status and may be followed as Gram Sabha functions in Panchayat. (Dinesh Awasthi) 6. The CBOs or the formal organisation of citizens have to be registered with the concerned ULBs. (Alkesh Sharma) 7. P.P.P. (Manorama D. Sharma) 8. By legislating the ‘Municipalities Community Participation Law’. (N. Gitkumar Singh) 9. The platform should be formally recognised under the municipal legal framework, with clear duties and responsibilities assigned to it. (T.R. Raghunandan)

b) In relation to this platform, what is the role of A) A local councillor/corporator B) An MLA C) An MP? 1. A ward committee could be constituted by the elected representatives from the respective sub-ward (? Polling booth demarcated) units. They in turn would elect ward level elected representative (i.e. Councillor/ Corporator). (Mukesh Kanaskar) 2. The local councillor/corporator would play a proactive role at the Neighbourhood & ward level in implementing the plans of the platform. The MLA and MP can play roles of facilitating or carrying forward the initiatives at their respective levels of authority. (Sneha Palnitkar) 3. The platform should be open for attendance, awareness

and education to public representatives. The local councillor’s role, however, would be greater since the issues would be local. Care, however, would have to be taken that the platform remains essentially a people’s platform and does not get hijacked by political parties. (Ramnath Jha) 4. Councillor should participate or lead the participatory ward level meeting. (Ajit Kr. Jain) 5. Local Councillor should convene general citizens’ meetings at the Sub-Ward for preparing a ward plan and other issues, An MLA/ Municipality Chairman/Corporator should ensure that decision making process is adopting from down to top and Grievances executing authority and implementing authority/department should not be same. (Dinesh Awasthi) 6. The role of MLA and MP should be that of a facilitator and mentor to ensure the participation of citizen in the planning and development process of the city as a whole. (Alkesh Sharma) 7. a) Councillor: as Chairperson of the Ward level Committee, b) MLA: Co-ordinate the functioning of ward committees in different municipalities ward in his assembly constituency and c) MP: Co-ordination at Parliamentary Constituency level. (N. Gitkumar Singh) 8. The local councillor must be mandated to consult and discuss his plans and programmes with the platform. M.P.’s and MLA’s are better off dealing at state and central levels and should not have any role to play for this platform. (T.R. Raghunandan) c) What are the funding needs for your suggested platform for citizen’s participation? 1. Funding needs would be twofold: Administrative & Developmental. (Mukesh Kanaskar) 2. Funds will be required for meetings, implementing action in various departments, sensitisation/awareness building activities. (Sneha Palnitkar) 3. The funding needs should be extremely small. (Ramnath Jha) 4. For logistics only. (Ajit Kr. Jain) 5. The requirement of funds will be mainly for the management of the group which includes funding support for taking up small projects and its implementation, organising awareness meetings and to meet the

Appendix 4

administrative costs and social audit at various levels of implementation. (Alkesh Sharma) 6. P.P.P (Manorama D. Sharma) 7. For providing administrative & infrastructure support to the ward committee (N. Gitkumar Singh) 8. A clear normative location of funds based on: a) norms of development and b) incentives for good performance. (T.R. Raghunandan) d) Where will these funds be procured from? 1. Funds for the administrative needs will be procured from the ULB. For developmental activities, they will come from govt schemes and/or PPP and/or community contribution, depending on the nature of the work and negotiations that take place. (Mukesh Kanaskar) 2. The funds can be inbuilt into the municipal budget. These funds could be supplemented by other interested stakeholders among citizens. (Sneha Palnitkar) 3. Should be provided by the urban local body. (Ramnath Jha) 4. ULB should budget for this. (Ajit Kr. Jain) 5. Complete Decentralised tax/fees collection method. Tax & fees should be collected at Ward level & fund provision for Citizen Participation could be managed from this. Some kind of local e-governance with charge for collecting information. (Dinesh Awasthi) 6. The funds can be procured either from ULBs, NGOs, MP/ MLA funds or through the membership. (Alkesh Sharma) 7. Step govt. L.B+PPP (Manorama D. Sharma) 8. By retaining some percentage of ward revenue, based on Ward Infrastructure Index (WII). Also, the ward committee will have a proportionate claim on the municipal development expenditure, based on WII (N. Gitkumar Singh) 9. Sub allocations through budgetary allocations in municipal budget. (T.R. Raghunandan) 4. Processes of Participation a) Roles and responsibilities in the platforms you

of are

individuals suggesting

1. The representative at sub-ward level will be accountable to her/ his constituency, will anchor participatory annual planning, facilitating negotiation within the constituency & with outside stakeholders, will represent the constituency in ward committee. (Mukesh Kanaskar) 2. These need to be agreed upon on the platform itself. (Ramnath Jha) 3. Every citizen should be actively involved in local issues and participation in sub-ward meetings could be a duty. (Dinesh Awasthi) 4. The Citizen can play an important role in enabling

participation. They can participate primarily in the poverty reduction programme right from planning to evaluation. Currently, both under Government and NGO sector, various CBOs have been organised. As an organisation, rather than individual, these organisations can participate in the service delivery for the city including poor, capacity building, social policing, awareness creation, social auditing etc. In short the organisation of citizen can be a watch dog for the entire development process. (Alkesh Sharma) 5. a) To generate proposals and determine the priority of schemes and development programmes to be implemented in the jurisdiction of the Area Sabha and forward the same to the Ward Committee, or in its absence, the Municipality, for inclusion in the developmental plans of the Ward Committee or Municipality as the case may be; b) To identify the most eligible persons from the jurisdiction of the Area Sabha for beneficiary oriented schemes on the basis of criteria fixed by the Government, and prepare list of eligible beneficiaries in order of priority and forward the same for inclusion in the developmental plans of the Ward or Municipality; c) To verify the eligibility of persons getting various kinds of welfare assistance from Government such as pensions and subsidies; d) To suggest the location of streetlights, street or community water taps, public wells, public sanitation units, and such other public amenity schemes within the area of the Area Sabha; e) To identify the deficiencies in the water supply and street lighting arrangements in the Area Sabha jurisdiction and suggest remedial measures; f) To assist the activities of public health centres in the area, especially in disease prevention and family welfare and create arrangements to report on the incidence of epidemics and natural calamities; g) To provide and mobilise voluntary labour and contributions in cash and kind for development programmes; h) To undertake and support tax mapping, and to remind Area Sabha members of their obligations to pay municipal taxes and user charges. (N. Gitkumar Singh) b) Periodicity of meetings 1. There could be 3 types of meetings: a) Annual meeting: To review the progress, to assess performance of the representative, to prepare annual plan that will go as an input to the ULB plan (subject to the negotiations at ward committee level and subsequently at the ULB level) b) Monthly meeting: For discussing operational issues c) Quarterly Meeting: For review of the activities planned

RESP ONSES TO PA RT 3 OF QUESTIONNA IRE - ( REL ATIONSHIP TO THE GOVERNMENT )

There could be need-based emergency meeting/s e.g. in event of disasters. (Mukesh Kanaskar)

2. Twice a year. (Ajit Kr. Jain) 3. Thrice a Year. (Dinesh Awasthi) 4. The forum should be met at least once every month for ward level and below and every quarter at Municipal level for proper monitoring and evaluation. (Alkesh Sharma) 5. Three Monthly (Manorama D. Sharma) 6. As decided by the Chairperson of the Area Sabha/ Ward Committee. (N. Gitkumar Singh) 7. Fortnightly or monthly as per need. (Ramnath Jha) c) Procedures concerning conduct of meetings 1. The elected representative would be the Chair 2. These also need to be determined in the meeting. They should be kept flexible and the outcomes should not get caught in procedural webs. (Ramnath Jha) 3. On the lines of Gram Sabhas in rural areas. (Ajit Kr. Jain) 4. Gram Sabha type. (Dinesh Awasthi) 5. As I said earlier, the citizen should participate in the decision making process of the city government as a member of a group. The group should have a committee, primarily to look after the day today function and to deal with the authorities. (Alkesh Sharma) 6.i. Reasonable notice of the Ward Committee meetings should be given at least one week in advance and placed in the notice boards of all municipality offices in the ward. ii. All residents of the ward shall be entitled to participate in the Ward Committee. The media will be encouraged to actively participate in the proceedings. iii. Minutes of the Ward Committee meetings shall be maintained. These minutes shall be made available to the general public for perusal. They shall be kept at the office of the Ward Committee. iv. These minutes shall be presented at the next meeting of the Ward Committee and this information shall be made use of by the appropriate sub committees in their functions. The Executive Officer of the concerned Municipal Council shall be entitled to take part in the meeting. The Chairman of the Committee may also request representatives of concerned departments as special invitees. (N. Gitkumar Singh) d) Setting the agenda of the meetings 1. This will be the responsibility of the elected representative of the sub-ward level. For annual meeting, the agenda would be fixed: Review of progress, performance, participatory planning & budgeting

For quarterly meeting, mandatory part of agenda would be review. Additional agenda points could be invited through public notification and internet (a pre-requisite is well established mechanisms of e-governance). Agenda for monthly meetings could be decided through public notification and internet. (Mukesh Kanaskar) 2. Except for the first agenda, the meeting should decide the next agenda. (Ramnath Jha) 3. ULBs should evolve standard format. (Ajit Kr. Jain) 4. Ward Committee. (Dinesh Awasthi) 5. The agenda should be plan in accordance with the need/ problems of the areas and the concerns of the people. (Alkesh Sharma) 6. Discussion (Manorama D. Sharma) 7. The agenda for the meeting should relate to formulation of annual ward plan, ward budget and discussion on development activities of the area. The Chairman of the ward committee may also set agenda on case to case basis. (N. Gitkumar Singh) e) Procedures concerning taking decisions at the meetings 1. Decisions on annual plan & budget should be by two thirds of presence (above quorum). Others could be by majority vote. (Mukesh Kanaskar) 2. By voice or if contentious by majority. (Ramnath Jha) 3. By ministry the discussion, Questionnaires could be used for prioritising the issue. (Ajit Kr. Jain) 4. Consensus Building. (Dinesh Awasthi) 5. The decisions have to be made in a democratic way ie; taking the opinion of majority through consensus. (Alkesh Sharma) 6. Majority (Manorama D. Sharma) 7. By majority vote (N. Gitkumar Singh)

f) Conflict resolution at the citizen’s participation platform – among the citizens themselves 1. Through persuasion, negotiation. (Mukesh Kanaskar) 2. By discussion and deliberation. Finally by majority. (Ramnath Jha) 3. This is not possible immediately. (Ajit Kr. Jain) 4. Voting Issue based, Signature Campaigning. (Dinesh Awasthi) 5. The peer group mechanism can be used for conflict resolution at the group level and individual level. (Alkesh Sharma) 6. Majority (Manorama D. Sharma) 7. By promoting awareness on communal harmony, unity among different groups of people. (N. Gitkumar Singh) g) Conflict resolution at the citizen’s participation platform – between residents and commercial interests

Appendix 4

1. Through negotiation 2. In a democratic polity, if an issue needs to be put to vote, then by vote, if needed by secretary ballot. (Ramnath Jha) 3. Dispute solution by third party or special committee set up independently (Dinesh Awasthi) 4. Municipal Authorities may be designated or they may designate an independent agency for this purpose. (Alkesh Sharma) 5. The platform should ensure that the grievances of both the sides are brought forward. While resolving such issues, the platform should take into consideration the sensibilities and interests of the residents. However, this should not lead to unfair discrimination of the party/ies with commercial interests. (N. Gitkumar Singh) h) Conflict resolution and negotiation between platforms for citizenâ&#x20AC;&#x2122;s participation and the municipality 1. The representative to act as the link between the two, and pursue the process. (Mukesh Kanaskar) 2. The arbiter could be a regulatory authority or the Government. (Ramnath Jha) 3. Separate Adhoc Cpmmittee/ Court. (Dinesh Awasthi) 4. This has to be done through mutual discussions with the authorities concerned and if necessary District Magistrate may be involved in this case. (Alkesh Sharma) 5. Debate (Manorama D. Sharma) 6. If any conflict arises between the platform and the municipality, such issues should be brought to the notice of the concerned ward councillor, who is also the chairman of the ward committees in his ward. The councillor has to raise the matter at municipality level and a solution is to be worked out/ negotiated. (N. Gitkumar Singh)

RESP ONSES TO PA RT 3 OF QUESTIONNA IRE - ( REL ATIONSHIP TO THE GOVERNMENT )

Appendix 4a Urban Issues

Appendix 4a

Appendix 5 GOVERNMENT OF KARNATAKA NO:RDP:222:GPA:2001dated 10th October 2001.

Karnataka Government Secretariat, Multistoried Building, Bangalore,

2. Subjects to be taken up in Grama Sabha meetings:

CIRCULAR

(d) Fourth Quarter’s Meeting : January - February

The following shall form part of the agenda that shall be taken up for discussion in the above four Grama Sabha meetings. I. First Quarter’s Meeting:

Sub: Guidelines for the conduct of the Grama Sabhas. The cornerstone of any system of decentralized governance is people’s participation, which becomes meaningful only if they are empowered. A well functioning institution of Grama Sabha is an essential institutional mechanism for ensuring people’s empowerment. Thus, the ideals of decentralization rests on the foundation of a vibrant institution of the Grama Sabha.

•• •• ••

Consideration and review of progress of previous year programmes; Approval of the Annual Plan of Grama Panchayat; Finalization of Beneficiaries list for all the Beneficiary oriented Programmes;

II. Second Quarter’s Meeting:

• Review of the work in the first quarter of the year; III. Third Quarter’s Meeting:

Section (3) of Karnataka Panchayat Raj Act 1993 makes it mandatory for the Grama Panchayats to convene Grama Sabha at regular intervals. Several guidelines have been issued in the past regarding the conduct of Grama Sabhas; the latest being circular No. RDP.41.GPA. 99-dated 26-41999. There is a need to empower Grama Sabhas to function as effective forums for the articulation of people’s needs, prioritization of such needs through the determination of plans and schemes of the Panchayat and as effective instruments of ensuring downward accountability of the Panchayat to their voters. With the above Objectives in view, the Government is pleased to withdraw all earlier guidelines in this regard and issue the following new guidelines to enable smooth and effective conduct of Grama Sabha, in conformity with the Karnataka Panchayat Raj Act 1993 and the true spirit of democratic decentralization. 1. Frequency of the Grama Sabha The Grama Sabha shall be convened once at every three months as specified below in all the villages of Grama Panchayat: (a) First Quarterly Meeting : April- May (b) Second Quarter’s Meeting : July- August (c) Third Quarter’s Meeting : October - November

GOV ERNMEN T OF K A RN ATA K A

•• •• •• ••

Consideration of the report of the Panchayat Jamabandi, which would have been completed by September 15th as per the existing guidelines; Action taken on the points mentioned in the Panchayat Jamabandi report; Half-yearly review of the approved Annual Plan of Grama Panchayat including monitoring of works; Review of Demand Collection and Balance;

IV. Fourth Quarter’s Meeting:

•• •• ••

Initial discussions and Preparatory work for the development of next year’s plan of the Panchayat; Initiating the process of selection of Beneficiaries; Revision and Review of New taxes, fees, if any

3. Background work before the conduct of Grama Sabha: Grama Sabhas are to be conducted with adequate notice and a proper agenda. The background work will have to start sufficiently in advance to ensure this. To this end the following instructions shall be strictly adhered to: a. The proposed agenda for any ensuing Grama Sabha meeting shall be discussed in a meeting of the Grama Panchayat convened for the purpose; b. All elected representatives shall be given a role in the

organization and conduct of Grama Sabhas and not only the Adhyaksha and Upadhyaksha. Grama Panchayat members are free to conduct meetings within their constituency or ward to elicit suggestions regarding beneficiary selection and on schemes and programmes as a prelude to the Grama Sabha and shall be provided assistance if they so require for the same; The public notice of Grama Sabha shall be issued at least fifteen days prior to the date of meeting, necessarily through public announcements and beating of tom-tom, handouts and posters exhibited on notice board of Grama Panchayat, Gram Chavadi and other conspicuous places, specifying the time and place at which such meeting is to be held and the business to be transacted. The time and place shall be fixed so as to meet the convenience of the people, including women and landless labourers;

•• ••

Representatives of Non Governmental Organizations / Mahila Mandal / youth clubs functioning in the village;

5. Method of deciding question

a. All matters required to be decided or recommended by Grama Sabha shall be in the form of resolutions to be passed by majority of the votes of the members present and voting.

b. The voting shall be ordinarily by show of hands or if necessary the presiding authority may resolve that any question or class of questions shall be decided by secret ballot.

6. Form of resolution 4. Meetings of the Grama Sabha:(a) The quorum for a meeting of the Grama Sabha shall be one-tenth of the total electorate of the village or hundred members, whichever is less. As far as possible one third of the members present shall be women and Scheduled Caste and Scheduled Tribe members shall be represented in proportion to their population. (b) The Adhyaksha, Upadhyaksha and all Panchayat members shall attend the Grama Sabha. The Adhyaksha of the Grama Panchayat shall convene and preside the Grama Sabha. (c) All the Grama Sabhas shall be attended by the Panchayat Secretary. If it appears to the convener that the attendance of any other official of the Panchayat is desirable at the meeting, the Convener shall by a letter addressed to such officer request that officer to be present at the meeting and the officer shall attend the meeting. In particular the following officers may be required to participate in the meetings of the Grama Sabha. •• Headmasters of the schools situated in the village; •• Chairman of School Betterment Education Committee; •• Medical Officer of the concerned Primary Health Center •• Veterinary Doctor or Veterinary Assistant of the concerned Veterinary dispensary; •• Manager of the concerned commercial Bank or Regional Rural Bank; •• Concerned Agricultural Assistant of the Assistant Agricultural Officer; •• Concerned Village Accountant and the Revenue Inspector; •• Anganawadi workers; •• Chairman of Neeru Panchayat or Village Water and sanitary Committee; •• Social forestry Official;

A resolution may be in the form of a declaration or opinion, a recommendation, a suggestion, recording of approval or disapproval, request of an action or a call attention to a matter or situation for consideration of the Grama Panchayat. 7. Minutes of proceedings a. The proceedings of meetings shall be kept in Kannada and read over and recorded by the Panchayat Secretary in a book provided for this purpose, which shall be signed by the Presiding Authority. A proper record of the members of the Grama Sabha, Grama Panchayat and Officers present shall also be made in the proceedings book. b. The Secretary shall forward the copies of all decisions, recommendations and suggestions to the Grama Panchayat, 8. Documentation

• Wherever possible, photography record of the meeting may be kept.

(S.L.GANGADHARAPPA) Principal Secretary to Government, Rural Development & Panchayath Raj Deptt. To: 1. All the Chief Executive Officers of Zilla Panchayat 2. All the Executive Officers of Taluk Panchayat Copy to: 1. Private Secretary to Minister for Rural Development & Pan.Raj 2. Private Secretary to State Minister for Rural Development & Pan.Raj

Appendix 5

Participatory Governance In Urban India Focus On The Urban Poor

National Core Group on Poverty Ministry of Housing and Urban Poverty Alleviation Government of India, New Delhi

R AMESH R AMANATHAN

SUMIT SINGH

NANDITA AR AS

JANAKI DIGHE

September 2008 4th Floor, UNI Building, Thimmaiah Road, Vasanthnagar, Bangalore 560 052 Ph : + 91-80 -4127 7102 / 103 info @ janaagraha.org

Fa x : + 91-80 -41277104