The Housing & Urban Poverty Alleviation and Tourism minister Kumari
Selja today unveiled guidelines for survey & preparation of slum profile,
poverty profile and livelihood profile of cities/towns to the media on the
occasion of presenting Bharat Nirman Quarterly Report. Following are the
guidelines.
1. Introduction
1.1 The
National Buildings Organization (NBO) has been functioning as an apex
organization in the country for collection, tabulation and dissemination of
statistical information on housing and building construction activities. Having
regard to the changing requirements under various socio-economic and
statistical functions connected with housing, construction, slum development,
urban poverty alleviation and related activities, and also to ensure that the
schemes of the Ministry of Housing & Urban Poverty Alleviation (MoHUPA) are
supported with appropriate database, MIS and knowledge inputs, the National
Buildings Organization was restructured in March 2006.
1.2 The
restructuring has assumed special significance in the context of the Jawaharlal
Nehru National Urban Renewal Mission (JNNURM), launched on 3rd
December 2005. JNNURM is the single largest initiative ever launched in the
country to address the issues of urban infrastructure and basic services to the
urban poor. The Mission will be implemented over a period of 7 years
(2005-2012). The Government of India has committed Additional Central
Assistance to States to the tune of Rs.50,000 Crore. The National Buildings
Organisation is designated by MoHUPA as the nodal agency for coordination of
appraisal, sanction, monitoring and review of projects under Basic Services to
the Urban Poor (BSUP) and Integrated Housing & Slum Development Programme
(IHSDP) components of JNNURM.
1.3 In
view of the restructured role of NBO and the launching of JNNURM, it has been
decided that NBO will coordinate the conduct of various types of socio-economic
surveys required for the effective implementation of JNNURM and other urban
poverty alleviation programmes and preparation of statistical profiles on
aspects relating to urban poverty, slums, housing, construction, projects taken
up under JNNURM etc. at State and National levels.
2. Imperatives of
JNNURM
2.1 JNNURM comprises
two broad segments, namely (i) the Sub-Mission on Urban Infrastructure and
Governance and (ii) the Sub-Mission on Basic Services to the Urban Poor (BSUP)
covering 63 identified mega, metro, capital and cities of heritage and
historical importance. The other cities and towns in the country are covered
under the Urban Infrastructure Development Scheme for Small and Medium Towns
(UIDSSMT) and Integrated Housing and Slum Development Programme (IHSDP). The
Ministry of Housing & Urban Poverty Alleviation (MoHUPA) is the nodal Ministry
for BSUP and IHSDP which cater to housing and basic amenities for the urban
poor, especially slum dwellers.
2.2 The Basic Services to
the Urban Poor (BSUP) and Integrated Housing & Slum Development Programme
(IHSDP) aim at the integrated provision of the following basic amenities and
services to the urban poor and slum-dwellers:
§ Security of tenure at affordable prices;
§ Improved housing;
§ Water supply;
§ Sanitation;
§ Education;
§ Health; and
§ Social
security.
Education, health and social security are to be provided through
convergence of existing universal services of the Government. Care should be
taken to see that the urban poor are provided housing near their place of
occupation. Securing effective linkages between asset creation and asset
management is a must to ensure optimal outcomes from the use of JNNURM and
other resources.
2.3 JNNURM aims at achieving the following
outcomes at the end of the Mission period by the Urban Local Bodies:
·
Modern and transparent budgeting, accounting, financial management
systems, designed and adopted for all urban services and governance functions;
·
City-wide framework for planning and governance will be established and
become operational;
·
All urban poor people will have access to a basic level of urban
services;
·
Financially self-sustaining agencies for urban governance and service
delivery will be established, through reforms to major revenue instruments;
·
Local services and governance will be conducted in a manner that is
transparent and accountable to citizens;
·
e-Governance applications will be introduced in core functions of ULBs
resulting in reduced cost and time of service delivery processes.
2.4 Governance
reforms are central to successful implementation of JNNURM. Linked to
Government of India’s support to States, they are based on an enabling
strategy. JNNURM envisages a series of reforms at the State and Urban Local
Body levels to address issues of urban governance with a view to providing
basic amenities to the poor in a sustainable manner. BSUP and IHSDP contemplate
the following three key reforms in areas of pro-poor governance:
- Earmarking at
least 20-25% of developed land in all housing projects (both public and
private Agencies) for EWS/LIG category with a system of
cross-subsidization;
- Implementation of 7-Popint Charter, i.e. provision of basic
services to urban poor including security of tenure at affordable prices,
improved housing, water supply, sanitation and ensuring delivery of
already existing universal services of the Government for education, health
and social security within the Mission period as per agreed timelines; and
- Internal
earmarking within local body budgets for basic services to the urban poor,
eventually leading to the establishment of Basic Services to the Urban
Poor Fund; and
These reforms are to be undertaken
in conjunction with other reforms aimed at creating an enabling framework for
good urban governance for the sustainable development and effective management
of cities and towns and eradication of urban poverty.
2.5 The
essence of the above reforms are: (i) the urban poor should be enabled to have
access to land and not squeezed out of land market in the face of sky-rocketing
land prices; (ii) all basic services have to be provided to the urban poor
based on agreed milestones and deliberately planned efforts to develop
“inclusive” cities; and (iii) a dedicated budget/fund be created at the
city/state level to ensure steady flow of resources for urban poverty
alleviation and slum upgradation, including provision of land and housing to
the poor.
2.6 JNNURM provides a new hope for the urban
poor, including slum-dwellers and disadvantaged sections of the urban society.
The 11th Five Year Plan has adopted inclusive growth as the new
paradigm of development in the country for the next 5 years. The Plan
recognizes that economic growth must include focus on employment, income
generation and inclusion of the poor to be sustainable. In the context of
achieving the goal of inclusive growth, reforms are emphasized at the State and
Urban Local Body levels under JNNURM to plan and achieve a vision of
“inclusive” cities. The Ministry of Housing & Urban Poverty Alleviation has
already launched a national campaign for slum-free and poverty-free
cities/towns under which every city/town would prepare and implement a
time-bound action plan for the provision of basic minimum amenities and
affordable housing to the urban poor.
.
2.7 JNNURM
and programmes for urban poverty alleviation such as Swarna Jayanti Shahari
Rozgar Yojana have to be implemented in convergence with other Government of
India initiatives. The issues of quality healthcare, primary education, social
security and the like will have to be addressed in conjunction with the
provision of basic physical amenities in slums and low-income settlements by
converging programmes to reduce urban poverty with the schemes of Health
Mission, Sarva Siksha Abhiyan, Aam Aadmi Bima Yojana, Rashtriya Swasthya Bima
Yojana, Prime Minister’s Employment Generation Programme etc. Hon’ble Prime
Minister of India has addressed all the State Chief Ministers in the country to
accord priority to improving the conditions of the poor in cities and towns.
Hon’ble Minister for Housing & Urban Poverty Alleviation has also written
to Chief Ministers of all States in the country to develop vision of Slum-free
Cities and Towns, design and implement a time-bound action plan to provide all
basic services to the urban poor in each city/town. The preparation of
municipal level action plans will require a considerable amount of data.
3. Survey Objectives
3.1 The
Ministry of Housing and Urban Poverty Alleviation (MoHUPA), along with its
attached office, namely the National Buildings Organization, are engaged in
design, implementation, monitoring and evaluation (DIME) of a variety of
programmes and schemes pertaining to urban poverty alleviation. The advent of
JNNURM has led to a realization that the data base for undertaking such a huge
programme like JNNURM is grossly inadequate. JNNURM calls for the preparation
of City Development Plans (CDPs) and meaningful development of CDPs requires a
strong data base. In the absence of adequate and reliable data, the CDPs of
cities and towns already prepared after the launching of JNNURM have not
adequately addressed the concerns of the urban poor, especially slum-dwellers.
The Ministry of Urban Development and the Ministry of Housing & Urban
Poverty Alleviation are currently undertaking an exercise for the preparation
of second-generation CDPs.
3.2 For
the effective implementation of JNNURM and other programmes like Swarna Jayanti
Shahari Rozgar Yojana (SJSRY), a large amount of data pertaining to the state
of urban poverty and slums in various parts of the country needs to be
collected. Given the enormity of the Mission and the magnitude of the issues
posed by the multiple dimensions urban poverty in India, a need is perceived to
systematize the data collected for effective design, implementation, monitoring
and evaluation of schemes. The data is also proposed to strengthen the central
statistical systems pertaining to urban poverty, slums and housing for a better
understanding of the issues for dissemination at local, provincial, national
and international levels.
3.3 The
implementation of both projects and reforms under JNNURM calls for support to
Central and State Governments and Urban Local Bodies by way of data base, MIS,
action research and capacity building. There is a need for the development of a
national information system and knowledge base with focus on urban poverty for
the purpose of planning, policy-making, project formulation, implementation,
monitoring and review, especially in the areas of slum development, provision
of basic services to the poor, and affordable housing. This is in consonance
with the objective of the 11th Five Year Plan which has adopted
‘inclusive growth’ as the key development paradigm for the country.
3.4 It
is essential that for statistical, administrative and other reasons, the data
relating to urban poverty, slums, livelihoods, delivery of civic amenities and
housing to the poor are collected and collated at a single source. State
Governments and Urban Local Bodies have been conducting their own surveys and
maintaining data base. However, such data lacks broad uniformity across the
country
3.5 In
this background, it has been decided to provide part financial support the
State Governments/ULBs for the development of Slums, Urban Poverty and
Livelihoods Profiles including socio-economic surveys under the 1% JNNURM funds
and Plan Scheme of Urban Statistics for HR & Assessments (USHA), being
implemented by NBO.
4. Role and
Responsibility of ULBs
4.1 The
specific role and responsibility of the Urban Local Bodies (ULBs) will include,
but not be limited to:
a. Preparation of work plan, design and development
of survey.
b. Work plan must clearly
indicate tangible deliverables from each of the tasks assigned along with the
time frame.
c. Seeking validation and approval of
competent authority of the State Government/SLNA.
d. Quality assurance and testing of datasets
created using approved formats, including sampling size, criteria, coverage and
measure of representative nature of sample, logical strength of findings,
exceptions etc.
e. Maintenance of the data base on slum,
poverty and livelihood profiles.
f. Facilitate processes to ensure that the
requirements of urban poor are adequately reflected with supporting database in
the City Development Plans (CDPs) prepared by the city.
g. Facilitate processes to ensure that the
requirements of urban poor are adequately reflected with supporting database in
the DPRs prepared by cities under JNNURM (BSUP & IHSDP).
h. Management of funds received from Central
and State Government for the purpose
i. Submission of utilization certificates in
the format as prescribed by the Ministry
4.2 The formats of the slum, poverty and
livelihood profiles to be undertaken by the ULBs are annexed.
5. Financing Pattern
& Eligibility Criteria
5.1 National
Buildings Organisation, Ministry of Housing and Urban Poverty Alleviation will
provide a one time grant-in-aid for the development of slums, urban poverty and
livelihoods profiles including socio-economic surveys to the State Governments
/ Municipal Corporations, Municipalities and District Administration selected
for Basic Services to Urban Poor (BSUP) and Integrated Housing & Slum
Development Programme (IHSDP) in this First Round National Survey. This
one-time grant to State Governments / UT Administrations for will be at the
following scales:
- Rs.10 lakhs per city for cities with
population more than 4 million,
- Rs. 7 lakhs per city with population
between 1 and 4 million,
- Rs.5 lakhs per city for cities with
population between 5 lakh and 1 million,
- Rs.3 lakhs per city for cities with
population between 1 lakh and 5 lakhs and
- Rs.2 lakhs per city for cities with
population less than 1 lakh
5.2 The
costs will be fully met under Urban Statistics for HR & Assessments (USHA)
scheme being implemented by NBO. Additional amounts, required if any, will have
to be met by State Governments/Urban Local Bodies which have been undertaking
surveys from time to time with their own funds – without any support from the
Government of India so far. The present
support under USHA is meant to incentivise the development of a national
information system.
6. Selection of Cities
State
Government will be supported for the development of slum, urban poverty and
livelihoods profiles for all the 63 identified cities under JNNURM (BSUP) and
other cities/towns covered under IHSDP as selected by the State Governments, in
a phased manner. The selection will be made by the State Level Nodal Agency for
JNNURM/Department dealing with Municipalities. In case of States where the
nodal agency is located outside the Municipal Administration/Local Governments,
coordination is a must with the Department dealing with Urban Local Bodies.
7. Components
Admissible
7.1 The
support from Ministry for the ULBs/District Administration (in case of States
which are implementing JNNURM projects with agencies other than Urban Local
Bodies) would be limited to:
–
Development of
Slum Profile
–
Development of
Urban Poverty Profile
–
Development of
Livelihoods profiles
(including socio-economic surveys).
7.2 The
following items are ineligible for support from NBO under USHA:
–
Capital
expenditure on equipment like computers, photo copier, telephone etc.
–
Construction /
renovation of office space / office furniture
–
Purchase of
vehicles
–
Regular salary.
The above items and other administrative costs will have to be
borne by the State Government/Urban Local Body concerned.
8. General
Instructions
8.1 The
State Department in charge of Municipalities/ Urban Local Bodies or State Level
Nodal Agency for JNNURM (BSUP/IHSDP) will coordinate the conduct of
slum/poverty/livelihood surveys in cities and towns. In case the SLNA is
located in a Department other than that dealing with Urban Local Bodies, a
coordination mechanism should be in place with the assignment of a central role
to the Urban Local Bodies (ULB). Every City/Town covered under the survey will
designate a Nodal Cell (drawing personnel from Urban Community Development
departments) for the purpose of survey with a team of supervisors headed by the
Municipal Commissioner / Chief Executive of the City/Town. The resource persons
engaged under the Project Implementation Unit (PIU) / UPA Cell in the ULB could
be assigned the tasks of conducting training programmes / administering the
surveys and providing technical support to the team. At the Central level, Director (NBO) will be
the overall in charge officer for the conduct of the three surveys across the
country. At the State level, the concerned Nodal Agency / Department will
identify a senior officer who will be in charge of coordinating with Director
(NBO) and guiding the conduct of surveys in the State, compiling survey
information and sending the required details to the Government of India. The
Municipal Commissioner / Chief Executive of the city will be responsible for
the actual conduct of surveys at the city/town level.
8.2 The
survey should be participatory duly involving community structures like NHGs,
NHCs & CDS and reputed NGOs working in the area.
8.3 Each
supervisor will head a team consisting of 5-10 investigators/ surveyors
depending upon the population and area to be covered for the survey. The
supervisor will be responsible for timely and accurate canvassing of schedules
and will frequently visit the field for random inspections. It shall be the
duty of the supervisor to scrutinize the information collected by the
investigators and make the necessary corrections, if any. Once vetted/approved
by the supervisor, the PIU / UPA cell/nodal cell in the municipal authority
will compile the information recorded in the schedule.
Coverage:
Ø The schedule is to be canvassed for each urban block having
slum(s).
Ø Information on each slum, (irrespective of whether notified or
non-notified) found in the entire town/City will be collected. As per the state
government / ULB identification the slum will be regarded as notified and non
notified slum and the schedule will be canvassed accordingly.
Structure of the schedule
During the survey, the following
schedules of enquiry will be canvassed:
Part A: General
Information of Slum Area
Part B: Slum
Profile of Urban Local Body
Part C: Particulars
of Survey Operations
Part A
Part A of the schedule contains
general information of the City/town covered under the survey. Part A of the
schedule will be filled by the nodal cell in the municipal authority.
State code: A 2-digit unique code for each State/UT will be
generated and intimated by the Ministry /NBO to all the States/UTs.
District code: A
2-digit unique code for each district will be generated by the state level
nodal agency responsible for conducting the survey. The SLNA will intimate the
codes to each city/district prior to conduct of the survey. The codes adopted
by the State Planning Departments based on Census operations / for State level
surveys will be followed.
City/Town code: A 2-digit unique code for each
city/town of the district will be generated by the State Level Nodal Agency /
Department responsible for conducting the survey. The SLNA / Department will
intimate the codes to each city/district prior to conduct of the survey.
For Example: WWXXYY
WW à
code for the State as intimated by the Ministry.
XX à code for the
District as generated by SLNA / Nodal Department.
YY à
code for the City/Town/ULB covered for survey in the District as generated by
SLNA / Nodal Department.
Part-B
Part B of the schedule contains the
general information of slums located in the city/town/ULB. The information will
be filled in by the nodal cell in Urban Local Body for conduct of the survey in
the municipal area.
Ø A spatial/sketch map of the City/Town/ULB with location of every
slum will be drawn indicating the location of the particular slum under survey.
Part- C
Part C of the schedule contains
particulars of the survey operation.
Remarks by investigator: Any
relevant remarks relating to the problems encountered in collecting the data
will be recorded in this block by the investigator. If the investigator feels
that certain information given by the informant is of doubtful nature, it may
also be indicated with comments, if any. Any other comment, which may help to
make proper assessment of the entries made in the schedule, may also be
recorded here.
Comments by other supervisory
officer: The views of the supervisory officer on any aspect pertaining to the
characteristics under enquiry in this schedule relating to the household may be
recorded in this block.
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AD/DB