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Knowledge, Voice, ParticiPation Participatory Settlement enumeration forSanitation SerViceS in JhanSi

Knowledge, Voice, Participation: Participatory Settlement Enumeration for Sanitation Services in Jhansi


Participatory Settlement Enumeration for

Knowledge, Voice, ParticiPation

Sanitation SErvicES in JhanSi

© 2018 PRIA

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iii Preface

Preface

The Sustainable Development Goals (SDGs) and New Urban Agenda envisage an inclusive, resilient, and sustainable city. This inclusivity cannot be achieved automatically, especially given the extent of entrenched inequalities that exist in Indian cities. A vast number of urban poor in India's cities are deprived of basic services such as, water, sanitation, health, education, and so on. A major reason for such continued and perpetuated deprivation is their invisibility or under visibility in the eyes of city authorities which are responsible for providing these services to the urban poor. At times, this oversight by city authorities is due to sheer ignorance, sometimes methodically deliberate, and still other times due to their lack of capacities. The urban poor bear the burden of this invisibility. It means not getting enough income to support family members; lack of access to public health services when sick; limited opportunities for children and young people in the absence of education and skills; insufficient access to safe drinking water and sanitation services – all of which traps them in the vicious cycle of poverty.

How do the urban poor then find a way to make themselves visible to other citizens including the city authorities? Many urban poor communities across the regions have found answer to this question in self-enumeration. A number of surveys and enumerations by various state authorities, including National Census Survey, often undercount informal settlements in a city and their residents who mostly belong to low-income families. In Participatory Settlement Enumeration (PSE), on the other hand, the residents of informal settlements design and conduct the enumeration, analyse the data generated through the enumeration, and communicate this data to the concerned authorities for participatory planning. Participation and inclusion in PSE thus becomes an empowering experience for the hitherto unaccounted and voiceless urban poor.

PRIA through its “Engaged Citizens, Responsive City (ECRC)” initiative implemented PSE in collaboration with the Settlement Improvement Committees (SICs) formed under the program in three Indian cities – Ajmer, Jhansi, and Muzaffarpur. SICs are organisations of the urban poor. PRIA adopted a number of innovations in PSE, choosing to use mobile smart phone based technology for enumeration. Young girls and boys from the community who were SIC members were trained on mobile-based participatory enumeration. This gave them enormous confidence – they now had a new skill, their settlement was visible, and their community had a voice. These youth are now on their way to becoming champion citizen leaders, active in their communities.

Knowledge, Voice, Participation: Participatory Settlement Enumeration for Sanitation Services in Jhansiiv

The report Knowledge, Voice, Participation: Participatory Settlement Enumeration for Sanitation Services in Jhansi”. presents the consolidated findings of PSEs from 43 informal settlement in Jhansi. The analysis includes demographics of the households including sex, age, education, and occupation of household members. It also presents data on various legal documents such as, Bank Accounts, Aadhaar card, Ration cards and Birth Certificates possessed by each household member. Finally, it presents an analysis on the state of access to water and sanitation facilities in these settlements.

The findings of PSE can help the community and municipality to plan for improved sanitation services and increased access to various legal documents. We sincerely hope that the development actors, concerned with improvements of informal settlements and the urban poor residing in these locations will benefit from this report.

Dr. Kaustuv Kanti BandyopadhyayDirector

Participatory Research in Asia

viiAcknowledgements

acKnowledgements

Society for Participatory Research in Asia (PRIA) is implementing the “Engaged Citizens, Responsive City” project in three Indian cities – Ajmer in Rajasthan, Jhansi in Uttar Pradesh, and Muzaffapur in Bihar. The project is supported by the European Union. The purpose of this initiative is to strengthen the capacities of urban poor for participating in planning, monitoring and evaluation of sanitation services. This initiative contributes to making Swachh Bharat Mission more inclusive and effective from the vantage point of urban poor. It organises the urban poor in Settlement Improvement Committees which then undertakes community mobilisation as well as interfaces with Urban Local Bodies and other city authorities.

Data is a critical requirement to effectively seek interventions from Urban Local Bodies, but is usually scantily available at the granular level. Data sources like the Census of India are difficult to utilise for planning because collection is decennial, and information at the level of informal settlement/slum is not always provided. Such limitations deter citizen participation, specifically the urban poor, as lack of access to data prevents understanding or monitoring real situations at local level. For cities to develop, and for informal settlements to have better access to basic services, a close coordination between the urban poor, municipality and other stakeholders is critical. PRIA believes that one of the first steps towards participatory planning and decision-making is to empower communities with critical data.

To meet this goal, PRIA designed a mobile-based PSE method and systematically enumerated households from informal settlements across the city of Jhansi. A mix of mobile based as well as paper-based enumeration was used to ensure representation from all informal settlements.

The current study was undertaken by PRIA in Jhansi. We are grateful to the community enumeration team which includes Gaurav, Shubham (Kanchan), Satyam, Deepak, Kaushar, Neha, Savita, Juli, Mahendra, Sahil, Rupam, Rajeev, Pavan, Pratibha, Irfan, Nagma, Rajesh and Amit. This process was supervised by Omkar, Satish, Pooja, Satyam, Sanjay, Birjesh, Rajni, Seema, Shubham (Sharma), Saroj and Ragini. Nikhil Desai, as the technical consultant, has provided valuable technical support to mobile based survey and handling of data. We sincerely acknowledge his contribution. The team at Dimagi enabled us to effectively manage our data with useful support.

Knowledge, Voice, Participation: Participatory Settlement Enumeration for Sanitation Services in Jhansiviii

We acknowledge the support of PRIA Jhansi team consisting of Sudhir Singh, Suruchi Sharma and Pooja Singh. Sumitra Srinivasan and Saon Bhattacharya helped edit this report and made sure that it is free of errors. Shri Pratap Singh Bhadauria (PCS), Commissioner, Jhansi Municipal Corporation (JMC) has kindly granted us his time and support. We acknowledge the support of Shri Rohan Singh – Prabhari A.M.C., Shri Ravi Niranjan, Chief Sanitation Inspector, Dr. Rakesh Babu Gautam – NSA, Shri Mahesh Verma, Zonal Sanitary Officer, Shri Rakesh Sahu, IT and M&E Specialist and Shri Manoj Srivastava, Sanitation Inspector.

Dr. Kaustuv Kanti Bandyopadhyay, Director, PRIA provided the overall direction, guidance and leadership for which we are sincerely grateful. Lastly, this report would not have been possible without the direction provided by Dr. Rajesh Tandon, President, PRIA. We sincerely acknowledge his contribution.

Nilanjana Bhattacharjee, Programme Officer, PRIA

Sukrit Nagpal, Senior Programme Officer, PRIA

Sudhir Singh, Senior Programme Officer, PRIA

Suruchi Sharma, Senior Programme Officer, PRIA

Dr. Anshuman Karol, Senior Programme Manager, PRIA

Knowledge, Voice, Participation: Participatory Settlement Enumeration for Sanitation Services in Jhansi ix Contents

contents

Preface iii

Message from Municipal Commissioner, Jhansi v

Acknowledgements vii

List of Acronyms xii

Section 1: Introduction 1About Participatory Settlement Enumeration 1

City profile 3

General poverty profile of the city 4

Section 2: Methodology 5City-wide identification and mapping of informal settlements 6

Organising SICs 6

Facilitating Participatory Urban Appraisal (PUA) 7

Orientation of SICs 8

House listing 8

Designing and administering the questionnaire 9

Selecting and training the enumeration team 10

Monitoring the enumeration process 10

Analysis, validation and sharing 12

Section 3: Findings from the Participatory Settlement Enumeration 13Demographic and Socio Economic Profiles 13

Respondents 13

Religion and caste 13

Distribution of sex 14

Sex and age-wise distribution of educational status 14

Sex-wise distribution of occupation 16

Type of ration card 17

Access to legal documents 17

Birth registration 18

Aadhaar card 18

Knowledge, Voice, Participation: Participatory Settlement Enumeration for Sanitation Services in Jhansix Knowledge, Voice, Participation: Participatory Settlement Enumeration for Sanitation Services in Jhansi

Bank account 18

Voter card 19

Household profile 19

Type of housing 19

Years of stay 20

Land ownership 20

Toilet Facilities 21Availability of toilets 21

Reasons for not having toilets 23

Use of individual / shared toilets by household members 23

Type of toilets 24

Desire to have individual toilet at home and availability of space to construct toilets 24

Application for toilets 25

Acceptance of toilet application 25

Water outlet for kitchens/bathing water 22

Solid waste management (SWm) 26

Collection of waste 26

Water 27

Section 4: Conclusion Recommendations and Way Forward 29Conclusion 29

Recommendations and Way Forward 30Toilets 30

Sewerage 32

Solid waste management (SWm) 33

Access to legal documents (ration and Aadhaar cards) 33

Accountability, communication and complaints 34

References 35

Annex 1: House Listing 37

Annex 2: List of Informal Settlements/Slums 39

List of Tables Table 1: Roles and responsibilities of different team members 10

Table 2: Checklist used in monitoring of data 11

Table 3: Sex disaggregated access to Aadhaar card 18

Table 4: Sex disaggregated access to bank account 19

Table 5: Sex desegregated access to voter card 19

List of Figures Figure 1: Process of PSE 6

Figure 2: Various aspects of questionnaire 9

Knowledge, Voice, Participation: Participatory Settlement Enumeration for Sanitation Services in JhansiKnowledge, Voice, Participation: Participatory Settlement Enumeration for Sanitation Services in Jhansi xi Contents

List of ChartsChart 1: Religion of the household 13

Chart 2: Distribution of male-female to total population 14

Chart 3: Age distribution of household members 14

Chart 4: Sex wise education status of household members 15

Chart 5: Age wise education status of household members 16

Chart 6: Sex wise occupation status of household members 16

Chart 7: Type of ration card 17

Chart 8: Access to legal documents 17

Chart 9: Ownership of house 19

Chart 10: Type of house 20

Chart 11: Years of stay 20

Chart 12: Availability of land patta 20

Chart 13: Source of land patta/agreement letter/authority letter 21

Chart 14 Availability of toilets 21

Chart 15: Availability of toilets and type of ration card 22

Chart 16: Availability of toilets and ownership of house 22

Chart 17: Reasons for lack of toilet facility at home 23

Chart 18: Type of toilet 24

Chart 19: Availability of space for toilet construction 25

Chart 20: Application for toilet 25

Chart 21: Acceptance of toilet application 25

Chart 22: Water outlet connections for kitchen and bathroom 26

Chart 23: Type of household waste collection facility 23

Chart 24: Waste disposal, if household collection unavailable 23

Chart 25: Primary source for drinking water and other purposes 38

Knowledge, Voice, Participation: Participatory Settlement Enumeration for Sanitation Services in Jhansixii

list of acronyms

AMRUT Atal Mission for Rejuvenation and Urban Transformation

APL Above Poverty Line

BPL Below Poverty Line

CBO Community Based Organisation

CPHEEO The Central Public Health and Environmental Engineering Organisation

ECRC Engaged Citizens, Responsive City

EU European Union

HRIDAY Heritage City Development and Augmentation Yojana

JMC Jhansi Municipal Corporation

OBC Other Backward Classes

PRIA Society for Participatory Research in Asia

PSE Participatory Settlement Enumeration

RAY Rajiv Awas Yojana

SBM Swachh Bharat Mission

SC Scheduled Caste

SIC Settlement Improvement Committee

SLB Service Level Benchmark

ST Scheduled Tribe

ULB Urban Local Body

Knowledge, Voice, Participation: Participatory Settlement Enumeration for Sanitation Services in Jhansi Section 1: Introduction 1

introductionSection 1

About Participatory Settlement Enumeration

The fast pace of urbanisation across India has provided many opportunities as well as challenges. It provides significant employment opportunities and access to amenities, which rural areas often lack. More than half of India’s population is expected to live in cities by 2030. Alongside these opportunities, the current form of unplanned urbanisation has contributed to urban sprawl by multiplying informal settlements, increasing poverty, and rising inequalities between the rich and the poor. The consequence of such rapid urbanisation is visible in the large number of urban citizens living in insecure conditions and suffering from the combined impact of social exclusion, inadequate income, and limited access to water, sanitation, liveable housing, and other civic services. With such challenges, many organisations have been trying to develop new approaches and innovative responses to bridge the gap between informal settlement dwellers and their local governments.

Invisibility is one of the greatest sources of powerlessness for a large urban population residing in numerous informal settlements across most Indian cities. Counting is often regarded and used as a tool for public policy making. Yet, more often than not, a large number of urban informal settlements and their inhabitants remain unaccounted for in urban planning and governance.

Participatory Settlement Enumeration (PSE) is an alternative public policy tool, which ensures nobody remains unaccounted and ‘nobody is left behind’. It is a process of gathering information about a community by its own community members. Unlike traditional enumerations, in a PSE method the community is directly and significantly involved to enumerate itself. Right from the inception and design to data collection, data analysis and data utilisation—the entire process is participatory. The origin of the PSE method is rooted in the tradition of Participatory Research. PSE as a methodology is developed on the belief that the experience and knowledge of people are indispensable to inform and guide development policies.

There are multiple features that define the PSE methodology. It creates, strengthens and deepens networks of slum dwellers in the city. It disaggregates data based on informal settlements and their inhabitants and facilitates community networks to establish their priorities. Through this, it enables dialogue between communities and their local governments—re-establishing the voice of the people and their active participation in the development of their city. PSE is, therefore, different from traditional enumerations or surveys. Traditional enumerations or data gathered by professionals and external third parties make communities passive “givers” of information.

Knowledge, Voice, Participation: Participatory Settlement Enumeration for Sanitation Services in Jhansi2 Knowledge, Voice, Participation: Participatory Settlement Enumeration for Sanitation Services in Jhansi

In such cases, the data gathered remain in the possession of enumeration agencies and is not accessible to the urban poor. Especially in the case of enumerating dynamic informal settlements, the collated data changes regularly and becomes obsolete by the time planning policies are finalised. However, when members of the community step in as active data collectors and analysts through PSE, the community can identify, address, and work towards solving relevant issues in a cohesive and sustainable manner. Standard traditional surveys lack granular data regarding these settlements (concerning boundaries, population, contextual needs, etc.), which result in their exclusion from government policies. However, through PSE, the poor and marginalised communities themselves become the catalysts of change as professionals. They add to their existing local knowledge, which they then use to negotiate and achieve their objectives. A deep sense of ownership of the data emerges, which makes all positive changes sustainable—unlike traditional surveys that merely scratch the surface of communities deeply embedded with multiple contexts.

Information collected by the community produces authentic knowledge regarding the settlement and the issues affecting it. The nature of knowledge becomes very self-instructive and powerful since it is collected by the community itself. PSE becomes an empowering process that lends insights and motivates the community to organise itself into organisations and use the data for its own benefit. The method identifies local leaders, the composition and needs of the settlement. A community-driven enumeration process enables local organisations to create data representing their current challenges and fosters a collective representation—a “we” factor. This encourages greater participation, and since the communities have the same set and levels of information as their local authorities, a sense of confidence to explore and negotiate various entitlements and facilities is instilled. The data is used in different ways by each member of the community and becomes a process of self-transformation for the community

and its families. Young boys and girls utilise this as an opportunity to engage with the process to learn about the outside world. Non-traditional processes like visual mapping enable the inclusion of illiterates—valuing their voice as much as that of the educated. The process of exploring the data through a collective identity is in itself an important education and is not contested by the leading men of the settlement, as it is non-threatening. The inclusion of women’s inherent knowledge on some settlement issues ameliorates their status as members of the community as well. The sheer numerical strength involved in this process paves the way for negotiation with the local government with equal weightage on both ends.

Like all processes of development, PSE comes with a set of challenges. It is difficult to build trust since most informal settlements have experienced empty promises of change from external agencies in the past. The lack of access to the data gathered through such past experiences make communities cynical and hinders participation. Local leaders and politicians could be hostile and stir up political interference since informal settlements are often major vote banks. Due procedures in terms of securing agreement to conduct PSE or involving them are sensitive processes that require tact, and maintaining transparency in such situations becomes challenging. Furthermore, informal settlements are often built upon contested land and the fear of eviction is persistent among residents. Wrongful interpretation of the enumeration can raise suspicions of eviction and prevent participation by the community. Nevertheless, steady, transparent engagement with communities by building partnerships with local members can enable trust building.

Believing in the spirit and importance of participation, the Society for Participatory Research in Asia (PRIA) began a PSE process through the ‘Engaged Citizens Responsive City’ (ECRC) initiative. Supported by the European Union (EU), the objective of the ECRC project is to enhance capacities of the urban poor to enable

Knowledge, Voice, Participation: Participatory Settlement Enumeration for Sanitation Services in JhansiKnowledge, Voice, Participation: Participatory Settlement Enumeration for Sanitation Services in Jhansi Section 1: Introduction 3

and increase their participation in planning and monitoring of sanitation services in the three Indian cities of Ajmer (Rajasthan), Jhansi (Uttar Pradesh), and Muzaffarpur (Bihar).

The ECRC project makes sanitation an entry point to build capacities of the urban civil society, specifically focussing on the urban poor in informal settlements. Following a rigorous mapping of the settlement using tools of participatory methods like settlement mapping, transect walks, trend analysis, and stakeholder analysis, the team holds meetings with community members and involves them in the formation of Settlement Improvement Committees (SICs). The members and leaders of such committees are chosen through democratic processes involving youth, women and men. These representatives converge to identify and represent the needs of residents and articulate their rights and entitlements with Urban Local Bodies (ULBs) and other stakeholders. This process helps in bridging the gap between citizens and ULBs as well as other urban/municipal authorities. SICs allow residents (especially women and youth) to become active participants in the development process by engaging as equal stakeholders in people-centric urban planning and development, instead of remaining passive recipients.

PRIA realises the need to bring stakeholders together and the ECRC project has devised various strategies to incorporate them into the project and to bridge the gap between the middle

class and the urban poor. Thus, while discussing the PSE method, this report also maps Jhansi city by conducting sample enumerations in each ward. This has allowed for a holistic understanding of Jhansi. Through the enumerations, deficiencies in sanitation services have emerged, solutions to which can stem from a coordinated effort between municipalities and residents. These findings and PRIA’s efforts could help establish a platform for residents of Jhansi’s slums to congregate and pursue a common interest that furthers that of the city as well.

The enumeration initiative is also in line with the objectives of the Swachh Bharat Mission (SBM) and acts as an assessment of the ground realities in Indian cities. It can provide critical feedback and play an essential role in planning, monitoring and evaluation. That apart, the enumeration has identified relevant aspects through Service Level Benchmarks (SLB), which are defined as a minimum set of standard performance indicators that are commonly understood and used by all stakeholders across the country. SLB encourages municipalities and utilities to collect data to report performances; however, the feedback process does not involve citizens. To a certain extent, PSE addresses this gap. PRIA has previously been involved with the World Bank's Water and Sanitation Programme. As a result, lessons from that project have found their way into this participatory enumeration of Jhansi's informal settlements.

City profile

The historic city of Jhansi, situated in the southern extreme of Uttar Pradesh, is the cultural and economic hub of the Bundelkhand region. In recent years, it has been implementing many urban flagship programmes, such as the Smart City Mission, the Atal Mission for Rejuvenation and Urban Transformation (AMRUT), and the Swachh Bharat Mission (SBM).

According to the 2011 Census, the average decadal growth rate of Jhansi over 1991-2001 was 36%, which dropped to 19% between 2001 and 2011. The population of Jhansi city was 505,693 in 2011, which is expected to rise to 604,349 by 2020. An area of 150 square kilometres falls under the Jhansi Municipal Corporation (JMC).

Knowledge, Voice, Participation: Participatory Settlement Enumeration for Sanitation Services in Jhansi4

The average population density of the city is 398 per square kilometre (Census, 2011), which is less than the state average of 829 persons per square kilometre. The city has some high-density areas in the inner city that include Gudri, Kushtiyana, Nayi Basti, Sarai, Madakhana, Datiya Gate (Outside), Pachkuiyan, Daru Bhendala and Aligole. Low-density areas include Bijouli, Picchor, Bileshwar and Garigaon, which are located in the periphery of the city.

Increasing population has forced the development of the peripheral areas of the city. The city’s newer neighbourhoods include Hasari, Bhagwantpura, Kochabhawar, Simardha, Pal Colony, Budha, Karari and Gadiya Gaon. The most densely populated wards are located in the inner city. In areas of high concentration like Ward Nos. 08, 10, 16, 29, 31, 32, 41, 44 and 45, population density is

higher, which is one of the reasons for sanitation problems and the poor quality of life in these areas.

The slums or informal settlements in the outer areas of Jhansi city are inhabited by new migrants, mostly from the adjoining state of Madhya Pradesh and from other neighbouring states. These settlers work as daily labourers at construction sites, brick kilns, quarry and bidi making. Some of them also work as mobile hawkers, or drive tempos and auto rickshaws.

In terms of literacy, Jhansi holds a better position in comparison to the state literacy rate. The average literacy rate of Jhansi is 83.02% against the state literacy rate of 67.68%. Male literacy stands at 88.90% and female literacy rate at 76.57% (Census, 2011).

General poverty profile of the city

According to Section 3 of the Uttar Pradesh Slum Areas Act, 1956, an area is considered as a slum if the majority of the buildings in the area are “…in any respect unfit for human habitation by reasons of dilapidation, overcrowding, faulty arrangements and designs of such buildings, narrowness or faulty arrangement of streets, lack ventilation, light, sanitation facilities or any combination of these factors which are detrimental to safety, health and morals” (Census of India, 2013). Some of these ‘slums’ are more than three or four decades old with generations living in these neighbourhoods, where ownership of land is mostly on private land parcels. With time, the houses have become concrete structures that have slowly begun receiving civic utility services on a more regular basis.

In 2011, the Rajiv Awas Yojana (RAY) made efforts to provide low cost houses to some

1 Personal interviews with local councillors at Jhansi Municipal Corporation.

communities in Jhansi. In addition, the state government’s scheme, Manyawar Shri Kanshiram Ji Shahri Garib Awas Yojana, provided free housing to people from the Economically Weaker Sections (EWS) in Jhansi. These houses were located near the city’s Engineering College and Pal Colony area. Further, the National Urban Livelihood Mission operating through DUDA has been giving vocational training in computer and mobile skills, beautician and other livelihood courses to people from all sections of society. This scheme has targeted youth from 12 to 13 wards across Jhansi. Individual and community toilets are being built across the city through Swachh Bharat Mission – Urban (SBM-U), while efforts at creating parks around the city have been under way under AMRUT.1 These efforts are aimed at providing better sanitation services as well as at improving the environmental conditions of the city.

Knowledge, Voice, Participation: Participatory Settlement Enumeration for Sanitation Services in Jhansi Section 2: Methodology 5

methodology

Participatory Settlement Enumeration (PSE), unlike traditional enumeration or survey, is designed, conducted and managed by the communities living in informal settlements of a city. Traditional enumerations conducted solely by ‘outsiders’—whether government personnel or agencies appointed by the government—often appropriate data or information from the community and use it for planning at the city, state or national level. PSE, on the other hand, is managed by ‘insiders’ in the community, sometimes with facilitation from the ‘outsiders’, leading to ownership of data, its analyses and community-led planning at the local level. However, an effective and empowering PSE would require a lot of preparation and facilitation within the community.

PSE ensures that all the households in an informal settlement within a ward must be numbered and enumerated. Later in this section we have discussed the process of household listing and numbering. In Jhansi, there were 75 informal settlements according to the 1998 record of District Urban Development Authority (DUDA). A comprehensive situation analysis of the field reflected that many informal settlements do not conform to the characteristics of slums as defined under UP Slum Areas Act, 1956. Most of these settlements now have well built houses with basic infrastructures and services. Following the criteria as defined in UP Slum Areas Act, the enumeration

team has identified 43 informal settlements where the enumeration was conducted.

A total of 3,665 households were enumerated, spread across 43 slums (a list of informal settlements / slums is provided in Annex.2). Out of 3,665 households, data from a total of 3,185 households in 35 slums were collected through a mobile-based enumeration process. A total of 479 households in eight slums were enumerated through traditional paper-based enumerations, the reasons for which are explained later in this report. The total population of household members covered through these enumerations stood at 14,100.

The PSE in Jhansi was conducted between August 2016, and May 2017. Surveying was designed as an iterative process, and not one that amassed data. After an informal settlement was surveyed, the data was analysed, verified, and validated with the community. This process is elaborated in the following pages. SIC meetings were held to discuss the findings with the community and prioritise actions for improvements to the settlement, and to its residents. This pivotal step was necessary to ensure utilisation of data.

The PSE in Jhansi charted the following steps, as shown in Figure 1, to prepare the community in informal settlements to assess sanitation conditions and planning for its improvement.

Section 2


City-wide identification and mapping of informal settlements

A process of mapping and listing informal settlements2 was organised the city. In this exercise, settlements were physically identified and plotted on a map. Basic information regarding the legal status of the settlement was collected as well. While this exercise began by gathering secondary data and records on the lists of notified and non-notified slums, the PRIA team did not restrict this process to settlements that were recognised by governments and state authorities alone. Information on informal settlements available with city authorities/agencies is often outdated. As a result, people are often found living in unrecorded settlements.

The mapping process provided for a first-level interaction with communities living in these settlements. It helped in the identification of active citizens and leaders of the community, along with other Community-Based Organisations (CBOs)

and social institutions operational or active in these settlements. Field teams also interacted with relevant stakeholders, such as community leaders, ward councillors, and other elected representatives.

The PRIA team simultaneously adopted various methods of participatory research in rapport and trust building, information collection and secondary data verification with the community. Such methods included walks, settlement mapping and timelines, which are explained later in this report.

The community interactions revealed that only a few CBOs existed in these settlements. The team approached the active members of these groups and explained the initiative, by discussing the objectives and the role that these groups can play in the future. The active members then played instrumental roles in reaching out to other community members.

2 Several socially derogatory terminologies are used for settlements of the urban poor in government records and policies (e.g., ‘Kacchi Basti’ in Rajasthan, ‘Malin Basti’ in Bihar and Uttar Pradesh, and ‘Jhuggi Jhopari’/’Gandi Basti’ in many other states). This project has named these settlements as ‘Informal Settlements’ instead of using the local terminology for the dignity of the people living in such areas.

Organising SICs

Community organisation is a prerequisite for designing and executing a PSE exercise. Joining hands with the communities for such processes ensures the inclusion of local knowledge and the

collection of authentic data. When a community enumerates, evaluates and monitors itself, the sustainability of the positive changes increases. There emerges a sense of ownership, unlike situations where unknown third parties undertake

Figure 1: Process of PSE

Organising SICs House listing Monitoring the enumeration process

Facilitating Participatory Urban Appraisal (PUA) Orientation of SICs

Validating and sharing enumeration findings with community and other

stakeholders

City-wide identification and mapping of informal settlements

Designing and administering the questionnaire

Selecting and training the enumeration team

Knowledge, Voice, Participation: Participatory Settlement Enumeration for Sanitation Services in JhansiKnowledge, Voice, Participation: Participatory Settlement Enumeration for Sanitation Services in Jhansi Section 2: Methodology 7

the same processes. Community participation holds high importance for generating real-time, validated data from the field, where the enumerators are themselves inhabitants of the slums being enumerated, apart from being aware of local contexts, formal/informal arrangements and the people.

Community organisation processes are aimed at the formation of local institutions that advocate for the interests and needs of the urban poor. The ECRC project created 250 SICs in the three project cities, including 40 SICs in Jhansi. These SICs were developed and managed by the residents of these settlements. This formation was aimed at providing a safe space for discussing and reflecting

on the settlement’s problems, identifying community needs, and finding solutions to these problems and needs by working with other institutions.

SICs are representative bodies established with nominated residents of the informal settlement. Each SIC has a total of 8-15 core members. The project made conscious effort towards larger involvement of youth and women as member of these committees.

When facilitating the formation of SICs, PRIA facilitators tried to ensure the engagement of all households in the settlement. To ensure sustainability of the SIC, barriers of caste, class, gender and age needed to be broken.

Facilitating Participatory Urban Appraisal (PUA)

The process of mapping was combined with Participatory Urban Appraisals (PUAs), a participatory action research method used for mobilising communities, understanding local context, raising awareness and building a collective understanding on the issues faced by residents. Communities are often hesitant to interact with outsiders. This process, however, was essential because it is a non-threatening, non-extractive approach, which is community-centric and non-directive. It ensured a collective learning process for the community and broke prevalent power barriers. Such a process also offers a chance to the ‘outsider’ (PRIA, in this case) to understand the local context.

This process helped to a certain extent at ensuring that the PSE questionnaire included all issues relevant to the communities in terms of service provision and social climate. The PRIA team undertook an in-depth understanding of the same through various processes:

Transect Walks: The PRIA team undertook transect walks with members of the community to collectively form an understanding of the informal settlement by identifying its location, geographical spread, housing conditions, and availability of services. Transect walks were used as an entry point, allowing the team to ‘observe’ through the eyes of local people, and help in building a rapport with the community.

Settlement Improvement Committee (SIC)SICs are representative institutions established with nominated

residents of the informal settlement community. SICs act as bridges between service providers and the community. These SICs work as institutions that speak in unison about the community’s

needs and rights. They are the focal points through which external stakeholders can connect with the community in question.


Timeline: This approach provided a historical perspective and helped the PRIA team understand the nature of changes that have taken place in the settlement. The timeline approach was used with community members to get an overview of key events in a chronological order.

Participatory Social and Resource Mapping: This process allowed the team to work with community members to generate a social and resource map to gather information on the spatial layout, location of houses, and infrastructure facilities. This process also mapped landmarks, roads, intersecting railway

tracks, as well as local social infrastructure such as, schools, health centres, mosques and temples. Public areas such as parks, service points like hand pumps and ration shops were also identified.

Stakeholder Analysis: The SIC core members along with the community members, enumerators and field team conducted a stakeholder analysis of primary, secondary and tertiary level stakeholders to identify the key people in the community. This process charted out the individuals and institutions that could be engaged in community building processes.

Orientation of SICs

After the formation of SICs, the PRIA team provided regular mentoring and coaching support to the core members. Regular meetings were held with each SIC to understand the nature of their problems, priorities as well as ideas on how to solve these issues. Concurrently, the team prepared profiles of each SIC member to assess their learning needs. Based on this, orientation and training programmes were designed to create an understanding of the role of the SIC, as well as the rights of residents of these settlements. These orientations were planned in three to four rounds of short, interactive sessions and were conducted in a participatory manner focusing on topics such as the need for organising community, leadership development, conducting community meetings, etc. The orientation sessions were organised for a cluster of SICs (with three to four SICs in each cluster). These orientation sessions helped

SIC members to widen their perspective of the issues/problems faced by informal settlements and to deal with them in a more informed and constructive manner.

As SICs advanced, core members were nominated to participate in orientations held by PRIA. These orientations furthered their understanding and built on their existing knowledge, while providing for leadership development, articulation of problems, and role of municipality and other state agencies. Some SIC members became interested in conducting enumerations along with the selected enumeration team of animators, details of which are mentioned in the respective sections on enumeration team selection. The SIC members who were trained in the PSE method, became involved in the participatory process of house listing and subsequent steps.

House listing

The PSE included all the households in a particular settlement. It required a clear demarcation and house numbering or house

listing process for each settlement. It was essential for the house numbering activity to be a participatory process to ensure that every


Designing and administering the questionnaire

A total of 3,665 households were enumerated, spread across 43 informal settlements (a list of informal settlements/slums is provided in Annex 2). Out of 3,665 households, data from a total of 3,185 households in 35 settlements were collected through a mobile-based enumeration process. A total of 479 households in eight settlements were enumerated through traditional paper-based enumerations, the reasons for which are explained later in this report. The total population of household members covered through these enumerations stands at 14,100.

The administered questionnaire was divided into sections for ease of data filling and analysis. While the thrust of the questionnaire was to gauge the level of sanitation facilities in the informal settlements, it also captured basic information about households, which was often important for correlation analysis.

The questionnaire design (Figure 2) was prepared and used for mobile-based

enumeration. On visiting the field, the team identified eight settlements spread over six wards that were marked as slums under the official DUDA list, but in reality did not have slum like conditions. Out of these eight slums, five slums (Budha, Mairi, Nagari Kua, Piriya, Leher Girdh) were part of three wards (Ward nos. 10, 39 and 24), which were designated Gram Panchayats until the delimitation process in 2005, after which they were brought under the jurisdiction of the JMC. Fifteen wards, including the three mentioned above, were declared as slums and fell within the municipal limit.

These five slums as well as the remaining three slums (Bhandari Gate Outside, Khushipura and Narsingh Rao Tauriya in wards 46, 14 and 56, respectively) were either built up areas with multi-storey residential units with basic infrastructure in place or were area patches that displayed slum-like characteristics. Furthermore, these slums were above-average large settlements for which conducting mobile-based PSEs would have been time consuming.

Figure 2: Various aspects of questionnaire

Registration form Classification of settlement• Basic details including name of respondent and head of household, mobile number, address•

Basic household information

Type of house• Ownership and registration • Family income • Religion and caste •

Household members' details

Household members and their gender, age, level of education, occupation• Access to documents like birth certificate, aadhaar card, bank account, and voter card by • household members

Toilet, water, SWM and sewerage

Type of toilet facility available and its utilisation • Desire and availability of space for toilets and application process for the same • Waste water outlets •

household bore a systematically assigned number. The team, comprising the SIC members and community enumerators, were trained by

PRIA on the process of house numbering. A full description of the house listing method is presented in Annex 1.


Selecting and training the enumeration team

A semi-structured one-day training was organised for 15 community enumerators who were selected from the youth residing in various informal settlements. They were identified during the PUA processes and often played a crucial role in SIC formation. All settlements covered for the enumeration in the city were divided within these 15 members. Their presence made communities feel more comfortable.

The training session introduced the participants to the questionnaire, followed by an intensive discussion on the rationale and logical flow of various questions. Once an understanding of the questionnaire had developed, the participants were taken through the customised mobile application designed to capture the enumerations. Following this, the key areas of monitoring and verification of the enumeration were discussed.

Additionally, understanding on smart phone-based enumeration was also discussed. This focussed on basic aspects like the use of GPS, power management, data connections, etc.

These trained enumerators and the PRIA team hosted a half-day orientation session for some SIC members who were keen to work along with enumerators to conduct enumerations in their own settlements. Many enumerators and SIC members had never utilised a smart phone before, and an additional step thus was to demystify technology.

The execution of PSE required a planned delegation of responsibilities with checks and balances. The first step was to define the roles and responsibilities of the three-layered team, as elaborated in Table 1.

Table 1: Roles and responsibilities of different team members

Team member Key responsibilities

Community Enumerator and SIC Members

Identifying households to be enumerated•

Conducting household level enumerations•

Responding to all queries raised by the coordinator and administrator for various • records

The Survey Coordinator Supervising the implementation of the enumeration•

Providing guidance in the implementation and monitoring of enumerations•

Quality check of enumeration records •

Survey Administrator Random monitoring and quality checking of enumeration records•

Providing support and guidance to supervisors and enumerators•

Troubleshooting of errors and any other issues faced •

Updating application when required •

Therefore, to avoid confusion, the team worked with their official status as slums and decided to conduct a paper-based sample enumeration for the area patches that displayed slum

characteristics. The team focussed particularly on patches where households dominantly practiced open defecation despite good infrastructure in all the eight slums.


Monitoring the enumeration process

Enumeration monitoring is an essential part of ensuring data quality. One of the advantages of a mobile-based application lies in the fact that a large number of monitoring aspects can be built right into the application. It is to be noted that the enumeration was created with built in skip logic, which means that subsequent questions were based on previous answers and the selection of certain variables. Additionally, to avoid common mistakes, the application was built to reject and warn against certain errors.

Apart from such back-end precautions, a strict horizontal and vertical division of responsibility with checks and balances was set up as a system. A pre-enumeration planning procedure secured responsibilities into a three-tier system as discussed in Table 1. Once a settlement was enumerated, a Survey Coordinator checked the data for consistency. The Survey Administrator conducted random evaluations as well. Some of the aspects checked by the Coordinator and Administrator are mentioned in Table 2.

Table 2: Checklist used in monitoring data

Form 1 Check spelling of respondent / Head of the household, and surname. •

Check address of house and format for entry.•

Check slum name and slum code.•

Check date of enumeration.•

Check for non-participants, and whether these houses can be visited again.•

Check for total number of houses and corresponding number of enumerations.•

Since house numbering has been conducted, check to see if all addresses are a part of the • enumeration.

Form 2 Check type of house.•

Depending on notification status of slum, check responses received for land ownership • (patta, etc.). Ensure that responses are in line with others received in the settlement.

Check religion and caste.•

Form 3 Check for total number of members in house (using the definition of household as provided in • National Census).

Check for spellings of family members.•

Ensure that age is written in complete years. In case of children less than 1 years of age, • enumerators are to write 0.

Check to see if the age of members matches with education and occupation profile; Use • appropriate filters to check this.

Form 4 Check for type of toilet.•

Check to see if outlets of Bathroom, Kitchen, and Toilet match. If not, probe to understand why. • Also check if certain responses stand out from those that are general to that slum.

Check for facility of garbage collection and if it matches with facilities available in the settlement.•

Check similarly for drinking water sources.•

Check if source of drinking water matches other water sources. If not, probe to understand why.•

Form 5 Check if mobile numbers have been entered. •

Form check This is elaborated above. Make sure there are no incomplete enumerations and ensure that • enumerations are completed in adequate time (neither too fast nor too slow).


Analysis, validation and sharing

The entire enumeration process came full circle through the analysis, validation and sharing of the data generated. The analysis consisted of the tabulation of settlement-wise breakdown of the demographics of all respondents and their households. Basic household information, inclusive of cross-tabulation between the type of houses with ration cards and income, as well as ownership and registration of houses were analysed. A few cases included the cross-tabulation of member level details such as gender, age, education and occupation with access to legal documents. The analysis also exhibited the state of access to sanitation facilities, such as toilets, and the kind of structural set up dominant in the settlements.

Keeping in mind the dynamic nature of informal settlements, these analyses were then validated at multiple rounds of group meetings with the community members. Dated information was changed and modified as per changes on the ground. This process kept the community engaged and participative in ensuring that the data reflected the current status of their settlements. Once validated, the data was shared with the other stakeholders, including elected councillors and municipal officials. The community and other stakeholders discussed the results of the enumeration for potential solutions and positive changes.

This report presents the data in a consolidated form. The researchers believe that any comparison across settlements should be conducted with caution, especially pertaining to data about toilets

and Aadhaar cards, since the data points are dynamic and evolving. The annex contains a list of settlements surveyed along with the month and year of survey.

Knowledge, Voice, Participation: Participatory Settlement Enumeration for Sanitation Services in Jhansi Section 3: Findings from the Participatory Settlement Enumeration 13

findings from the ParticiPatory settlement enumeration

3 Only the two most dominant categories of religion have been displayed in the chart, as the respondents from other religions formed a minor percentage.

Demographic and Socio Economic Profiles

Respondents

Fifty eight per cent (2,109) respondents were head of households. The other respondents included members of households, including parents, children, sons-in-law, grandchildren, and in a few cases, other relatives.

Religion and caste

Similar to the findings of the 2011 Census (91.26% Hindu and 7.40% Muslim), the households predominantly belonged to the Hindu religion with

89% (3,252). Eleven per cent (400) households belonged to the Muslim religion, and other religions included Sikhism and Christianity.3

As far as the distribution of caste is concerned, 6% (226) households enumerated in the slums belonged to the General category. As per Census 2011, Scheduled Castes (SC) constituted 28.14% of the city’s population. Compared to that, the current enumeration showed that a total of 53% (1,948) SC households lived in the enumerated slums and a significant 40% (1,354) belonged to Other Backward Classes (OBC). It clearly showed that the slums were inhabited by significantly larger number of SC and OBC communities as compared to the General category. This also reflected the disadvantaged social and economic conditions of the SC and OBC communities and lack of access to basic services, rights and entitlements to them.

Findings for the Scheduled Tribe (ST) category are also in line with the Census 2011 report, which places the ST population at 0.19% for the city. As per our findings, 4% (131) households belong to the ST category.

Chart 1: Religion of the household (N=3,665)

Hindu Muslim

400, 11%

3,252, 89%

Section 3

* Includes paper surveys


Distribution of sex

As per Census 2011, males constituted 53% of the slum population in India, while females constituted 47%. The analysis generated through the current enumeration exhibited a similar trend of a male population of 54% (7,558) and female population of 46% (6,540).4 This feeds well into various possibilities. One would be the unfortunate and persistently disparate sex ratio in India. Another possibility is that a higher part of the male population migrate from poor villages to cities for livelihood and affordability makes slums an obvious choice of residence. This hypothesis also reflected on the data where a dominant portion (67%) of the slum population belonged to the category of working age group.

working population, of which a significant portion is constituted by youth. Only 6% (893) of the population belonged to the age group of 60 years and above. This was followed by the age group between 10-14 years at 10% (1,305).

Sex and age-wise distribution of educational status

The questions related to gender and age-wise disaggregation of the educational status for household members was not asked in the paper enumeration. Therefore, the analysis of age distribution in slum settlements was based on 35 slums covered through mobile-based enumerations. Based on this, the total population of all household members was 13,621 (N=13,621).

The literacy rates (Census of India, 2013) for slums in India reflect a gender disparity, with male literacy at 83.7% and female literacy at 71.2%. A similar and more jarring disparity is reflected in the literacy rates in Census 2011 for Uttar Pradesh, with male literacy rate at 77.28% and female literacy rate at 57.18% (Census of India, 2011). The current analysis revealed a similar trend. It must be kept in mind, however, that this question

Chart 2: Distribution of male-female to total population (N=14,100)

Chart 3: Age distribution of household members (N=13,621)

Men Women

6,540, 46%

7,558, 54%

0 to 4 years 5 to 9 years 10 to 14 years

15 to 59 years 60 years and above

893, 6%

9128, 67%

1058, 8%

1237, 9%

1305, 10%


The question regarding the age of individual members in households was not asked in paper-based enumeration, and therefore the analysis of the age distribution in the slums is based on the 35 slums covered through the mobile-based enumeration process. This reduces the sample to N=13,621 in Chart 3.

Sixty seven per cent of the population belonged to the age group of 15-59 years. This is the

4 There were two transgender respondents who have not been included in Chart 2 due to their numerical value being less than 0% compared to the total percentage.

Knowledge, Voice, Participation: Participatory Settlement Enumeration for Sanitation Services in JhansiKnowledge, Voice, Participation: Participatory Settlement Enumeration for Sanitation Services in Jhansi Section 3: Findings from the Participatory Settlement Enumeration 15

was not administered to the age group of five years and below. Twenty nine per cent (1,863) of the male and a staggering 43% (2,534) of the female population in the enumerated slums were found to be illiterate. Only 14% (930) of the male population and 13% (748) of the female population had received an upper primary education. The results are slightly better for those educated till secondary schooling with men at 26% (1,684) and women at 18% (1,077). The graduate population remained under 8% for both genders as shown in Chart 4.

This is a vital area that the JMC could focus on. Government programmes like National Urban Livelihood Mission, which aims to promote self-employment, as well as corporations like National Skill Development Corporation that aims to create quality skill training institutes for the youth could be partnered with for improving the skill and education of the youth. Improved and equal access to education will have a bottom up effect in terms of living conditions, social and civil responsibilities and equitable opportunities for women and men. Without these, a large chunk of the youth and working population will dwell in informal economies with unprotected and exploitative jobs, wherein traditional notions of gender roles will remain unchallenged, perpetuating the vicious cycle of

Chart 4: Sex wise education status of household members

unequal right to education between girls and boys.

The analysis of age-wise distribution of education (Chart 5) suggests that dominantly, 67% (597) of the population in the age group of 60 years and above, and 39% of those between 15 – 59 years were illiterate. This is largely attributable to a lack of access to education in the earlier generation’s childhood, or even to any kind of adult education.

Another disappointment is visible in the analysis of the 5 to 9 year bracket. While 61% of this bracket is enrolled in school, 22% have been listed as functionally literate, and 16% as illiterate. This highlights the higher drop out rates and substantiates the explanation that many children in these informal settlements end up helping their families in livelihood generation or domestic chores.

The state of education disaggregated by age is very grim, especially keeping in mind the disabling effect it has on the most productive age group of any nation. It is essential for the JMC to look at this as a motivation to ensue serious adult education programmes and incentive schemes like mid-day meals and free stationary/uniforms to reach out to a larger population across ages to impart equal and quality education.

5 This figure can vary by 3–5% as there may have been some students currently attending school who may have been captured here.

Percentag

e

60

40

20

0Illiterate

Men (N=6,435) Women (N=5,828) Other (N=2)

Functional literate

Primary educated

Upper primary educated

Secondary schooling

Upper secondary schooling

Graduate Graduate or above

Other

29%

43%

50%

5% 4%

0%

9% 8%

50%

14%

13%

0%

26%

18%

0%

8%

6%

0%

7% 6%

0% 1% 1% 0% 0.4%

0.2%

0%


Chart 6: Sex wise occupation status of household members (N=14,097)

Chart 5: Age wise education status of household members (N=12,265)P

erce

ntag

e

80

Illiterate

5 to 9 (N=943) 10 to 14 (N=1,305) 15 to 59 (N=9,128) 60 and above (N=889)

Functional literate

Primary educated

60

40

20

0Upper

primary educated

Secondary schooling

Upper secondary schooling

Graduate Graduate or above

Other

16%

10%

39%

67%

22%

3% 3% 4%

56%

22%

2% 1%

5%43

%11

%7%

21%

0%

26%

13%

0% 1%9%

5%

0% 0%8%

2% 0% 0% 2% 1% 1% 1% 0.2%

0.1%

Sex-wise distribution of occupation

From enumeration of 43 slums, a clear pattern of traditional gender roles emerged. As demonstrated in Chart 6,6 men were engaged in jobs outside homes, whereas a significant 49% (3,190) of women were homemakers. A dominant 46% (3,503) of men were engaged as daily labourers, followed by a small percentage in private (6%) and government jobs (4%). Apart from being homemakers, 9% (562) of women were engaged as daily labourers.

Traditional notions of gender roles, and factors like safety, maternity, access to transport are factors that limit women’s agency to work outside their homes. It is important to note these patterns of gender disparities in educational attainment and remunerative employment as signs of inadequate public policies and programmes.

A cross tabulation of age wise occupation also exhibited a few records (31) of children under the age of 15 working as daily labourers or engaged in their own business. This indicates the presence

Per

cent

age

0.2%3%

Men (N=7,555) Women (N=6,539)

60

40

20

0Own business Government

job Private job Daily labour Unemployed Housewife Not applicable

1%4%

1%

6%

9%

46%

5%9%

49%

0.3%

36%32%

6 The value of N in this chart is a few numbers short of the total sample population (14,100). This is because responses were not provided or were skipped.



of child labour and is a matter that requires immediate attention at the municipal level. It is essential to raise awareness among settlements regarding the importance of education of children. This finding also shows an important pattern of disparities in educational attainment and reiterates the inadequacy of schemes and programmes aimed at children’s literacy and education programmes.

Type of ration card

Among the households enumerated in the slums, 81% had ration cards. Fifty five per cent (2,031) households had Above Poverty Line (APL) cards, while an approximate 21% (766) had Below Poverty Line (BPL) cards. 5 per cent of the households had Antyodaya cards.7

While possessing a ration card, especially for those below the poverty line, is essential for receiving food and other goods such as kerosene, at subsidised rates, it is also used as proof of residence for property transaction and ownership issues. It is important to recognise the relationship that exists between ownership of a house and a ration card.

It must also be noted that while it has not been captured in this enumeration, many of the households have been converting their APL or BPL cards to Patra Grihasti card8—a process ongoing in Jhansi currently.

Access to legal documents

Access to birth certificates, bank accounts, Aadhaar cards and voter ID cards determine one’s ability to access certain public services,

7 Antyodaya Anna Yojana (AAY) is a Government of India sponsored scheme to provide subsidised food to those households living in extreme poverty. 8 Priority’ and ‘non-priority’ ration cards are replacing BPL and APL ration cards under the National Food Security Act 2013. These are Patra

Grihasti cards, which decide the quantum of ration based on the eligibility of each household.

Chart 7: Type of Ration card (N=3,665)

693, 19%

APL BPL Antyodaya No card

2031, 55%

175, 5%

766, 21%


Chart 8: Access to legal documents


100

80

60

40

20

0

87%

44%

23% 22%

12%

55%

77% 78%

0% 0.1%0.1% 0.2% 0.1% 0.1%0.1% 0.2%

Per

cent

age

No

Birth Certi�cate (N=13,549) Aadhaar Card (N=14,029) Bank Account (N=13,994) Voter Card (N=9,713)

Yes Not eligible/applicable

Tried but couldnot get


Table 3: Sex disaggregated access to aadhaar card

Aadhaar Card (N=14,029)

Male Female

No 21% (1,604) 24% (1,579)

Yes 78% (5,898) 75% (4,911)

while 23% (3,183) did not. In fact, when the age group between 0-4 was left out, the percentage of population with Aadhaar cards rose to 82%. It is unfortunate to note that fewer women (75%) have Aadhaar cards than men (78%).

The Aadhaar card is a matter of national identity in India today. It is required to open a bank account, which is a prerequisite for receiving any direct transfer of benefits from the government, for example, subsidy money from the municipality for construction of toilets. Educational institutions require Aadhaar cards for enrolment purposes as well as for students receiving government scholarships, mid-day meals, ration, etc. All government related subsidies like LPG subsidy and pensions are linked to an Aadhaar card; it is, therefore, essential to provide Aadhaar cards to the 23% slum population who do not have access to it, as the benefits mentioned above are needed most by the urban poor living in slums.

Many SICs in various informal settlements have made efforts to organise camps for residents who did not have Aadhaar cards to get one from the Aadhaar centres. A total of 625 Aadhaar cards were issued through SIC efforts. Municipalities have often obliged in response to such requests from SIC members and could continue to facilitate setting up camps in wards. This would allow residents to obtain Aadhaar cards.

Bank account

Among the households enumerated in the slums, 55% (7,744) had bank accounts and 44% (6,214) did not. However, on restricting the subset to those 18 years and above, the access to bank account grows significantly to 77%.

rights and entitlements as a citizen. The enumeration captured these aspects of household members. This was done to understand their eligibility to legally demand certain services, particularly in claiming subsidies for individual household toilets.9

Birth registration

Only 12% (1,692) of the enumerated slum population have birth registration. A staggering 87% (11,848) do not have birth certificates. Having a birth certificate secures the basic human right to a legal proof of name, parentage, age and most importantly, one’s citizenship. The lack of a birth certificate not only leads to social stigma for an already vulnerable urban poor population, but also enables exclusion from basic government services, including education and limited access to justice (Stark, 2016).

When 87% of the enumerated slums do not have their birth registered, it disables the government from planning, budgeting, and monitoring its population’s access to basic services, especially health. Birth certificates are an essential input for a national vital statistics system, which enables countries to know their fertility rate; a statistic that influences social policy, designs programmes, monitors and evaluates them.

On the basis of the settlement level data and with support from PRIA, SIC members were able to pursue JMC to provide birth registrations for several children. However, JMC should look into this gap in birth registrations and prioritise the registration of this invisible population, especially for children still under 14 years (2,470) as it is easier to obtain birth certificates for minors.

Aadhaar card

The enumeration showed that access to Aadhaar cards was much better compared to that of birth certificates. Seventy seven per cent (10,812) of the enumerated population had Aadhaar cards,

9 Many respondents tried to get these documents but could not obtain them or were not eligible/applicable for the same – they have been excluded from the analysis in table numbers 3, 4 and 5 for clarity.


Table 4: Sex disaggregated access to bank account

Bank Account (N=13,994)

Male Female

No 42% (3,167) 47% (3,047)

Yes 58% (4,316) 53% (3,425)

What emerges as a problematic, which was noticed in the analysis of Aadhaar card possession as well, is the constant lag of access to these legal documents based on gender. As per our analysis, women have lower access than men; 42% (3,167) of the men did not have their own bank accounts, while 47% (3,047) of the women did not have access to bank accounts. Five per cent is a significant gap, especially when it has to do with legal schemes and documents that grant access to government benefits, subsidies and services.

With support from PRIA, the SICs facilitated opening of new bank accounts for some of its members, although addressing this issue would improve financial inclusion and the economic agency of slum residents. It can also address a bigger question of gender-based discrimination that penetrates all legal systems, making women and girls more vulnerable to lack of financial independence or claims. This specially also feeds into BPL cases where bank accounts are more vital than others for direct benefit transfer of public subsidy.

Voter card

Seventy eight per cent (7,545) of residents in the enumerated slums had access to voter cards. A clear gender discrepancy trend emerged in this analysis as well—while 81% (4,266) of men had access to voter cards, the figure reduced significantly to 74% (3,276) for women.

This difference confirms that at least as per the current analysis, a gender bias exists in access to all legal documents that enable the political, economic and social agency of a citizen.

Table 5: Sex desegregated access to voter card

Voter Card (N=9,713)

Male Female

No 19% (4,266) 26% (1,151)

Yes 81% (4,266) 74% (3,276)

This gender gap along with a general lag in access to legal identity-based documents is a task that requires immediate attention. Campaigns must be launched to encourage people to register as voters to nourish a two-way relationship between the urban poor and ULBs; one of rights and responsibilities. It is worth mentioning that the SICs, with support from PRIA, were able to prepare 436 voter cards through voter awareness camps.

Household profile

Among the 3,665 households enumerated, 89% (3,250) of the slum respondents owned the houses they lived in, while 11% (415) lived in rented accommodation.

Type of housing

Sixty eight per cent of the households enumerated were ‘pucca’10, while 32% were ‘kutcha’. Areas where migrant populations reside usually have lower quality housing due to their meagre incomes

Chart 9: Ownership of house (N=3,665)

415, 11%

Yes, owned house No, rented house

3250, 89%


10 Households using concrete and / or other materials of solid nature have been combined, but are separately depicted in the graph.


and transient stay periods. Moreover, houses that are given on rent are not invested in greatly by their owners. Finally, in a few cases, the fear of demolition of houses built on contested land discourages people from constructing better houses. Some households were located in areas that were earlier the rural outskirts of the city and have now been included into the municipal limit after the last delimitation process (13th October, 2005), and typically witness slower development.

Years of stay

Sixteen per cent of the households had been living in their place of residence for up to 10 years. 20 per cent of households reported that they had occupied their dwellings for periods between

11-20 years. The remaining majority of 64% had been staying in their localities for over 21 years, some staying for over 50-100 years as well. Large parts of the old city were situated in the periphery of the fort, and many generations continue to live in the same houses, in some cases for more than a 100 years.

Land ownership

As elaborated earlier, among the 3,665 households enumerated, 89% (3,250) of the slum respondents owned the houses they lived in, while 11% (415) lived on rent. The question of house ownership was not administered in the paper-based enumeration. The analysis below (Chart 12) captures those living in the remaining 35 slums who owned their houses (2,794) and were asked about land rights documents supporting the same.

Chart 12: Availability of land patta (N=2,794)

Chart 10: Type of house (N=3,665)

1174, 32%

Pucca house with concrete roof

Pucca house with any other kind of roof

1436, 39%

Kutcha house

1054, 29%


Chart 11: Years of stay (N=3,665)

2350, 64%

0 to 5 6 to 10 11 to 20 21 and above

339, 9%

238, 7%

738, 20%


Per

cent

age 40

20

40%

0No Yes, registry Yes, patta Yes, agreement

letter/authority letter

49%

5% 7%

60


Among those who owned their houses (2,794), 49% (1,362) had registered their lands, while 5% (140) had pattas (land tenure); 7% (183) had sahamati/adhikar patra (acknowledgement letters). A significantly larger percentage—40% (1,109)—of slum households did not have any documents that helped secure tenure rights. Assigning property

rights is a critical step in empowering people and helping them live better lives. Without these rights, residents are hesitant to invest in better standards of living since they fear the risk of displacement. Allotting property rights to the urban poor, however, is difficult to implement since slums often come up on disputed land. A make-shift solution that could be applied is the use of ‘user rights’ that could enhance a feeling of security of tenure. ULBs could bring a no-eviction policy, which would bring about a desire in people to invest in their households, while ULBs take up the role of extending basic services.

Forty four per cent households (742) received their land pattas/sahamati/aadhikar patras by the government. In most cases, these were given by the municipality, while a few claimed to have received documents from DUDA or other government departments. 56% (943) of the households said they received their documents from an individual or private agency.

Chart 14: Availability of toilets (N=3 665)

1739, 48%

Yes, own toilet at home

Yes, public /community toilet

Yes, shared toilet

Open defecation

1530, 42%

163, 4%

233, 6%


Chart 13: Source of land patta/agreement letter/authority letter (N=1,685)

943, 56%

By government By private person/institution

742, 44%

Toilet Facilities

Availability of toilets

Access to a secure toilet facility is a basic right that goes a long way in building hygiene, as well as ensuring safety and security. In the enumerated slums of Jhansi, only 42% (1,530) of households had a toilet at home. Approximately 4% (163) of the slum households utilised shared toilets with household members who live close by. The remaining 233 households utilised community toilets.11 A shocking 48% (1,739) of the households defecated in the open, exposing themselves to huge risks, both in terms of disease as well as safety. Reports showed how vulnerable adolescent girls and women are to molestation and rape, when practicing open defecation. PRIA has been working closely with SICs that help articulate the interests of the community, advocating for toilets at home. Chart 14 highlights our findings.

11 Owing to the small sample size, this section has not been analysed.


The enumeration found links between access to toilet, type of ration card and ownership of houses. It must be noted that 70% of those holding Antyodaya Cards and 52% of those households holding BPL cards defecate in the open. Furthermore, 41% of those holding APL cards also defecate in the open. In the former, apart from behavioural problems, it could dominantly be the lack of funds to construct individual toilets at home or the inconvenience of money coming in phases from the government, making it difficult for the households to afford such financial delay. Whereas for the APL households, it is perhaps dominantly a behavioural problem despite access to funds. Only 46%, that is, less than half of the households holding APL cards, have their own toilets at home.

Clearly, a targeted policy change as well as behavioural campaigns are essential to overcome the issue of funds and behaviour. Chart 15 highlights the findings in more detail.

On cross tabulating the data between access to toilets and ownership of houses, the enumeration found further proof of behavioural resistance to constructing and using toilets. Among the households that owned their houses, 43% had individual toilets at home while only 31% of those living in rented houses had personal toilets. This could be due to lack of ownership and resistance to spending money on building toilets in houses owned by other people. However, what is more disconcerting is that 48% of the households

Chart 15: Availability of toilets and type of ration card (N=3665)

Chart 16: Availability of toilets and ownership of house (N=3,665)



Per

cent

age

80

60

40

20


APL (N=2,032) BPL (N=765) Antyodaya No Card (N=692)

Yes, shared toilet Open defecationYes, public /community toilet

46%

26%

41%

34%

4% 2%4%7% 8%

4% 4%2%

41%

52% 54%

70%

0

Per

cent

age 43%

31%

60

40

20


Own House (N=3 250) Rented House (N=415)

Yes, shared toilet Yes, public /community toilet

Open defecation

3%

19%

6%8%

48%43%

0


who own their houses defecate in the open—a number higher than those who do not own their houses and defecate in the open (43%). Chart 16 highlights our findings in more detail.

Reasons for not having toilets

Those utilising community toilets as well as those defecating in the open were asked why they did not have individual toilets. The most prominent reason cited by 61% (1,641) of households was that they were too expensive. Another reason cited by18% (475) was lack of awareness about the procedure to avail subsidised toilet facility from the municipality. The third dominant reason claimed by 11% (296) of household respondents was that there is a severe lack of water. The main reasons for not having toilets reflect a mix of issues related to funds, procedure and access

to basic services—all three of which can be addressed by the JMC to ensure availability of individual toilets at home.

Use of individual/shared toilets by household members

Those using individual or shared toilets were asked which members of the household used the toilets. Ninety nine per cent (1,898) of the respondents said that all household members used the toilet. One percent (20) said that a few members used the toilets, while only nine households said nobody used the toilets. While most household members used toilets, those who did not were asked reasons for their lack of usage. The lack of water, lack of outlet for waste water and the lack of air and unhygienic conditions were among the main reasons given in response.


Chart 17: Reasons for lack of toilet facility at home (N=2,679)

Percentage

0

11%

1%

18%

4%

2%

3%

Too expensive

Insuf�cientwater

Prefer goingoutside

Unaware of howto avail the facility

RentedAccomodation

Dif�cultto clean

Insuf�cientspace

Others

70

61%

40 50 603010 20

1%


Type of toilets

Respondents from households who chose individual or shared toilet facilities were asked about the types of toilets they utilised at home, as well as their corresponding outlets. A majority of 61% (1,038) households used flush/ pour flush toilets connected to septic tanks. Out of these, 77% (797) households said that wastewater flows from the septic tank into the drainage. Twenty per cent (209) households said that their wastewater remained in the septic tank. The remaining respondents were not sure about their drainage connectivity.

As seen in Chart 18, the next dominant practice of 22% (379) of households is the use of flush/pour flush toilets that open into nallahs. A major difference here lies in the type of flush, as colony residents are able to afford automated systems, while slum residents utilise traditional pour flush methods.

Desire to have individual toilet at home and availability of space to construct toilets

Those defecating in the open were asked about their desire for having individual household latrines

as it was presumed that those using community toilets would prefer individual household latrines. Ninety nine per cent (1,759) household respondents desired to have individual toilets at home.

Furthermore, those defecating in the open as well as those using community toilets were asked about whether they had space in their homes to construct toilets. Ninety one per cent (1,789) of the household respondents said that they did have the space, while 9% (183) did not.

While space for toilets is something that is being tackled through community toilets, it is the desire to have toilets that must be encouraged aggressively as a good practice by the JMC. This would not only ameliorate hygiene situations for all slum residents, but also help combat the kind of unsafe environments women, girls and children are put in while defecating in the open, especially during the night or early hours of the day.

Application for toilets

Households defecating in the open as well as those using community toilets were asked if they had applied for individual household toilets. It must be noted that the sample here has decreased

Chart 18: Type of toilet (N=1,693)

Per

cent

age

60

40

20

80

0

35%

2%

61%

1%

Flush/pour �ushtoilets connected toopen nallah outside

Flush/pour �ush toiletsconnected to covered

nallah outside

Flush/pour �ushtoilets connected to

septic tank

Soakpit/doublesoakpit toilets



from 1,972 (households with available space to construct toilets) to 1,962 (households that sent applications for toilet construction) as 10 households from the latter group did not know if they had applied.

Out of 1,962 households, more than half or 52% (1,027) said they had applied for toilet construction, while 45% (876) had not. The remaining 3% said they had not applied as they lived in rented houses.

Acceptance of toilet application

The question of whether their applications for toilets had been accepted or not was only asked of those responding to the mobile-based enumeration. This question was not asked in paper-based enumerations in eight slums. Therefore, a total of 866 responses were analysed for this aspect. Sixty eight per cent (586) of the household respondents said that their applications had been accepted, while 32% (280) said otherwise. Most household respondents said that no reason was given for the rejection of their applications.

Water outlet for kitchens/bathing water

The households enumerated who had water outlets were asked about their water outlet connection for the waste water generated from their kitchens and bathrooms. Majority of the responses revolved around two types of water outlets as shown in Chart 22.

Eighty seven per cent (3,185) households said that the waste water from kitchens flowed into nallahs that were connected to main drainage facilities. Eighty five per cent (3,108) of the households

Chart 20: Application for toilet (N=1,962)

Chart 21: Acceptance of toilet application (N=866)


Chart 19: Availability of space for toilet construction (N=1,972)


183, 9%

Yes No

1789, 91%

Yes No No, rented house

59, 3%

1027, 52%

876, 45%


280, 32%

Yes No

586, 68%


said the same about the waste water from their bathrooms.

What was worrisome to observe was that 11% of the households said that the waste water from the kitchen and bathroom flowed out into the open. These households said that water outlets were not connected to any proper drainage or septic tanks, which raised serious health concerns. Stagnant wastewater can lead to a plethora of problems including mosquito borne diseases as well as many forms of infections.

Solid waste management (SWM)

JMC has recently prioritised a door-to-door household waste collection drive in all 60 wards of Jhansi. In line with SBM initiatives, JMC has contracted five agencies to collect waste from each household daily at the rate of Rs. 40 per month. However, not all households pay the amount, at present. The segregation of dry and wet waste is being carried out by an NGO, Muskaan Jyoti, in 12 wards and there is an ongoing effort at converting the wet waste collected from these wards into manure. All 60 wards are served by waste collecting vans of private agencies and while these vans have separate sections for wet and dry waste, both

kinds of waste are dumped together in the dumping ground since a waste treatment/compost plant is still in the pipeline. If the speed of the construction of the compost plant continues at the current rate, the plant will be functional from March 2018—significantly reducing garbage piles around the city. It will also reduce the danger of toxic gases from wet waste by using the same to create compost. Behaviour change campaigns and awareness raising is also being carried out in all wards to uphold the spirit of waste segregation and treatment.

Collection of waste

In the enumerated slums, 25% (911) of households have some kind of arrangement for collection of waste generated by the households. Out of these, 25% of households responded positively to household collection of waste, 16% (584) said that the municipal corporation collected waste from their households, while 9% (327) said private agencies approved by the municipal corporation collected waste. In the city of Jhansi, NGOs and organisations like Muskaan Jyoti Samiti, Arva Associate Jhansi, S.R. Techno Gwalior, Om Motors and Construction Jhansi, Society for Education and Welfare for All Jhansi and J.R.M. Group Jhansi play a significant role in collection of waste

Chart 22: Water outlet connections for kitchen and bathroom

Per

cent

age

100

80

60

40

20

0Nallah, connectedto drainage system

Nallah, not connected todrainage system

Open areaoutside house

Kitchen (N=3659) Bathroom (N=3661)

87% 85%

2% 4%11% 11%



from households. Nine per cent slum households mentioned they utilise the services of such NGOs and private service providers.

Chart 23: Type of household waste collection facility (N=3,665)


584, 16%

None

Municipal Corporation

Municipality approved agency

327, 9%

2754, 75%

Chart 24: Waste disposal, if household collection unavailable (N=2,754)


1110, 4%13, 1%

58, 2%

2573, 93%

Throw in open space in the basti

Throw in street/outside the house

In dustbin/dumper placed by the municipal corporation

Throw in nallah outside home

What emerges as a concern in the analysis was that 75% (2,754) of households do not receive any garbage collection facilities. This severe gap in SWM services is further confirmed by the analysis, which shows that 96% (2,644) of households throw all their waste out in the open due to the absence of waste collection services. These practices included waste disposal in open spaces, in ponds or nallahs, in streets, as well as burning of waste. This indicates that a large number of households were regularly turning to unsanitary and improper waste disposal, which could cause large-scale hygiene problems.

Water

A critical aspect of sanitation and improved health is access to clean water, especially for drinking purposes. In Jhansi, the Jal Sansthan a body governed by JMC supplies water.

Thirty eight per cent (1,195) of households said that they depended on the government household piped connection by Jal Sansthan as their primary source of drinking water (Chart 25). 37% (1,169) said they depended on the same for water used for other purposes. Another 47% (1,494) of the households depend considerably on government hand pumps as their primary source of drinking water and 46% (1,464) of the households use the same for other purposes as well. 4% of the slum households depended on government stand posts for drinking water as well as other purposes as their primary source.

It was interesting to note that 7% (227) of households for their drinking purposes and 9% (292) households for other purposes were, respectively, dependent on private sources of water like personal bore wells /tube wells, hand pumps, etc.


Chart 25: Primary source for drinking water and other purposes (N=3,185)

2%

2%

47%

46%

38%

37%

0 50

Drinking water Water for other purposes

Percentage

4%

4%

0.03%

0.1%

0%

0.03%

2%

2%

7%

9%

0.2%

0.2%

Government householdpiped connection

Government stand post

Government tankers

Government hand pump

Government open well

Government covered well

From neighbours

Private covered sources(For example, hand pumps, wells,

borewells, submersibles, etc)

Open sources (for exampleindividual open well/pond/lake)

20 403010


Knowledge, Voice, Participation: Participatory Settlement Enumeration for Sanitation Services in Jhansi Section 4: Conclusion, Recommendations and Ways Forward 29

conclusion, recommendations and ways forward

Conclusion

The findings from the PSE exercise and the methodology in itself is an effort by PRIA to enable the urban poor of Indian cities to evaluate, influence and organise sanitation services within their cities. 17% of India’s urban population resides in slums, of which 31% do not have access to toilets (Census, 2011). Keeping this in mind, under ECRC, PRIA has pledged to organise and capacitate the urban poor of Jhansi, Ajmer and Muzaffarpur to obtain basic sanitation services in their homes and slums. This report aims to help JMC identify slum level hurdles to sanitation services and work towards alleviating the situation for the urban poor of Jhansi.

The findings from the enumeration of 43 slums and their 3,665 households suggest that the residents of informal settlements/slums of Jhansi have a mixed experience of accessing sanitation services. As noted earlier, the list of slums prepared by DUDA is outdated and should be revised to reflect the actual condition of informal settlements in the city. The history and culture of the city plays a huge role in the citizen’s attitude towards its sanitation practices, for example, open defecation, which is influenced by social structures and traditional practices. The areas in the outskirts of the city that were included into the municipal limit after the last delimitation process may witness slower development. It is important to evaluate these areas, specifically in

terms of basic services like access to water and sanitation.

The access to tenure rights surfaces as a serious issue among the slums of Jhansi. The lack of property rights constantly disempowers them from leading better lives. It also makes them hesitant from investing in their homes or constructing toilets since they fear arbitrary displacement. While it is difficult to assign property rights to slums due to their incidence on disputed land, applying ‘user rights’ or the guarantee to put a hold on eviction would bring about a desire in people to invest in their households, while municipal and other city authorities take up the role of extending basic services.

An unfavourable sex ratio and literacy rate among women is another aspect that requires urgent attention as reflected by our analysis. Such biases, clubbed with the most important as well as dominant workforce age group of 15-59 years plagued with illiteracy, are the bedrock of lack of development and behavioural change. It is important to look at women, girls and the working age group as an asset whose skills need to be honed and capacities enriched. Attention is needed in the creation of formal jobs, technical skill training programmes and better quality education. Municipalities and other city authorities must find partners to facilitate and provide skill

Section 4


and capacity building programmes and institutions in the city working on gender sensitive education along with behavioural change campaigns on gender sensitisation and traditional roles. Access to legal documents like voter cards, bank accounts, Aadhaar cards and birth certificates, with a special emphasis on women, also needs to be continuously assessed and provided to the residents of informal settlements by JMC.

The ownership of toilets, ration cards and homes seem to have a connection as suggested by the PSE. However, the research also revealed that even for people with APL ration cards, who owned the houses they lived in, constructing and using toilets was a distant concept due to traditional customs and behaviours. The enumeration has shown that the expense of constructing toilets is often more than the amount provided by the government. Unfamiliarity with the procedure of accessing government subsidies and the lack of available water also demotivates people from constructing toilets at home, despite having the space for it. These multiple reasons related to funds, procedure, social practice and access to basic services a can all be addressed by the JMC to ensure availability of individual toilets.

With nearly half of the slum population defecating in the open, it is pivotal for the JMC to launch targeted behavioural change campaigns to overcome the issue of funds and social practices. PRIA has been working closely with SICs that help local communities advocate their own needs, including toilets for residents. A collaborative effort for sanitation campaigns could be an excellent potential worth exploring.

Due to the open drainage system in Jhansi, it is vulnerable to overflows and the consequent unhygienic conditions affecting the entire city during monsoons, particularly its informal settlements. It was encouraging to note that in terms of kitchen and bathroom outlets, most household waste water flows into nallahs that are connected to the main drainage facility. However, a significant portion of slum households use

flush/pour flush toilets that are not connected to nallahs. This is an unhygienic practice that further degrades the community health in slums. As already pointed out, a major difference lies in the type of flush used, since colony residents are able to afford automated systems, while slum residents utilise traditional pour flush methods. Furthermore, as more than half the households in the slums enumerated do not receive any garbage collection services, they resort to highly unsanitary practices like throwing all their garbage out into the streets, which can cause serious hygiene problems. These practices include waste disposal in open spaces, in ponds or nallahs, in streets, as well as the burning of waste. There have been lesser complaints against these dismal conditions by the community members due to the lack of response from the JMC. For example, JMC hardly provides reasons for rejecting applications for toilet constructions and other service related complaints.

Taking into account the high dependency of slum households on piped water as reflected by the enumeration, it is important for Jal Sansthan in alliance with Jal Nigam to ensure properly treated water that is free from infection. It is likely that households living in slums do not filter their water before consumption; which could aggravate already prevalent issues of hygiene.

Recommendations and Way Forward

Toilets

Over the past couple of years, the JMC has launched Open Defecation Free (ODF) drives in the city, under the Swachh Bharat Mission. However, the enumeration results and continued interaction with the communities show that the effects of such drives are still limited. People often return to open defecation out of habit or due to lack of resources. In many areas, inadequate water availability forces people to defecate in the open despite the presence of toilets. The way in which JMC has roped in private agencies for waste

Knowledge, Voice, Participation: Participatory Settlement Enumeration for Sanitation Services in JhansiKnowledge, Voice, Participation: Participatory Settlement Enumeration for Sanitation Services in Jhansi Section 4: Conclusion, Recommendations and Ways Forward 31

collection and segregation, municipalities could similarly rope in NGOs, CSOs, and CBOs who work with communities and move towards a more accurate measurement of open defecation and use of toilets. Municipalities can also use community-led sanitation approaches in consultation and coordination with organisations like PRIA that work closely with local communities.

Of late, shaming campaigns have become popular that involve members from communities or vigilance squads who visit and shame those practicing Open Defecation (OD) through methods including photography, whistling, public ridicule, etc. JMC has launched a similar campaign called “triggering”. While these methods evoke shame, they are problematic and can evoke extreme reactions from community members. Instead, municipalities should utilise behavioural change campaigns that focus on the importance of privacy. Others believe in the importance of functional sanitation infrastructure (Gopalakrishnan, 2016).

Behavioural change and targeted awareness campaigns are required to urge users to utilise toilets. Reasons for the same vary from the personal and traditional to the cultural. For some people, morning cleansing is a time for socialisation. For others, it is a habit they have grown up with and mere access to a toilet is not a reason that is compelling enough. Many behavioural change campaigns have been conducted, but the crux has always been the achievement of targets on construction of toilets, rather than on actually using them.

Dedicated behavioural change is important for many reasons. For example, ritual purity and the sanctity of sacred spaces are important concepts for Hindu households and the impure nature of faeces and its containment within or near the home is thought of as blasphemous. This can often lead to a reduced interest in the construction of a toilet. This is true of community toilets as well. Many people may not use toilets due to beliefs that the structure is oriented/faces a particular way, or that its location is inauspicious. In such cases, it is also

important to include local residents in planning processes. Municipalities should break myths and propagate the use of toilets. Many households build toilets citing the safety and security of women as a primary reason. Convenience and time saved are other factors that could be factored in when creating awareness campaigns. Municipalities could also target women and the well-being of young children when convincing residents to build toilets (Alexander et al, 2016). Municipalities should also target schools and empower children to be messengers of change on sanitation and hygiene. Activities can include rallies, seminars and various competitions for children.

As evident from the enumeration results, the pace of constructing household toilets under the SBM could do with enhanced momentum. In many informal settlements, municipalities display an inability to facilitate construction of toilets due to issues of contested land; in such cases, community toilets could be constructed to meet people’s needs. These too are covered under the SBM and a notice has extended the SBM’s ambit to slums, even if they are on government land. A separate notice has been issued by the Environment Ministry, which has granted general approval for using forest land up to one hectare for building community toilets under the SBM (Agarwal, 2016). States like Maharashtra have delinked land tenure issues with provision of toilets. The State Government of Maharashtra has clarified that No Objection Certificates (NOCs) will not be required from government authorities for constructing toilets on government lands (Urban Development Department supported by Government of Maharashtra, n.d.). As per a recent clarification provided by the Ministry of Urban Development (MoUD), Government of India, individual household toilets can also be provided to slum households irrespective of the status of land. In many informal settlements, SICs are being encouraged by PRIA to apply for household toilets and municipalities are being provided with lists to which they are responding positively. The PRIA team has also seen situations where community toilets have been constructed, but are still not


being used by the community as their formal inauguration has been pending for months. These too have been brought to the notice of JMC by SICs.

Community toilets have often failed in India due to hygiene and maintenance issues, and their use is often effected by functionality, cleanliness and water supply. The involvement of communities (SICs) in the operation, maintenance and overall management can solve this problem. A notification by the Ministry of Housing and Urban Affairs (MoHUPA), Government of India, states that the involvement of community in the operation and management of community toilets should be encouraged. The Tiruchirappalli City Corporation, for instance, experimented with volunteerism and local initiative when it joined hands with a city-based NGO, Gramalaya, to encourage women from local slums to care for their community sanitation complexes. The women took it upon themselves to make sure the facilities were well maintained, thereby ensuring the continued patronage by most fellow residents. Residents were also willing to pay for improved services. Models like these lead to a feeling of ownership, and outcomes of programmes like these are so favourable that the city corporation is considering trying it out across the city (Gopalakrishnan, 2016).

Sewerage

There is no sewerage connection in Jhansi. The enumeration exercises found that there was a high level of reliance of on-site sanitation disposal systems and most households relied on septic tank-based toilets. Many of these toilets discharge effluents into road side drains and do not follow The Central Public Health and Environmental Engineering Organisation’s (CPHEEO) norms that mandate septic tank cleaning every two to three years. The findings indicated that huge numbers of households discharged their waste water from toilets into the open. The municipality needs to urgently advertise the importance of having water outlets connected to proper drainage systems as well as

initiate waste treatment policies to ameliorate the health of the residents living in slums in Jhansi.

Since Jhansi will continue with a decentralised management of sewerage, it is pivotal that proper septic tanks be constructed. The National FSSM Policy 2016 mandates regular cleaning of septic tanks through systematic processes of extraction and collection to check environmental pollution. The frequency of cleaning must be based on operational support system for local conditions. Illegal manual scavenging, limited access to tanks, inappropriate tank sizing and design were warned against as barriers to regular tank cleaning.

According to the Prohibition of Employment as Manual Scavengers (and their rehabilitation) Act, 2013, manual cleaning / emptying of pit and tank toilets is prohibited. As a corollary to this act, ULBs are mandated to adopt mechanical processes of cleaning. While not directly dealt in the enumeration, the issue of drainage also brings forth the question of how the drains of Jhansi are being cleaned. Having conducted an in-depth sample survey on sanitation issues, along with this PSE in colonies and slums, PRIA’s research results showed that 36% of city respondents said that toilets were cleaned with hands, while 18% said a combination of mechanical and manual processes were utilised. This is a serious offence that the municipality must address. Fines must also be imposed on private contractors who often force local labourers to practice manual scavenging. The municipality must also distribute safety kits to local labourers and offer them contractual jobs if the body is under-staffed. An emphasis on regular cleaning is necessary, because infrequent cleaning leads to solidification of sludge at the bottom of the tank / pit that is hard to remove with low powered machines. Proper trucks also need to be put in place to carry septage hygienically to Septage Treatment Plants (STPs). Cities like Bengaluru are in the process of implementing 24*7 monitoring processes for STPs. This too is something that JMC could implement.

Knowledge, Voice, Participation: Participatory Settlement Enumeration for Sanitation Services in JhansiKnowledge, Voice, Participation: Participatory Settlement Enumeration for Sanitation Services in Jhansi Section 4: Conclusion, Recommendations and Ways Forward 33

Solid waste management (SWM)

SWM is a critical aspect of sanitation services. JMC has recently embarked on a door-to-door household waste collection drive in all 60 wards of the city, but is yet to launch a formalised segregation drive. Despite such a focus, majority of the slum dwellers do not receive any waste collection services and resort to further littering their streets.

It is essential for the municipalities to look into this lag of services by instilling a system of raising awareness and ensuring accountability. Along with waste collection, municipalities can organise awareness drives, in collaboration with CSOs and CBOs. It can also develop by-laws that empower officials to fine households that do not practice source segregation and practice unsanitary waste disposal methods. As per Solid Waste Management (SWM) Rules, 2016, municipalities are empowered to collect charges for waste collection and levy fines. At its own end, municipalities need to ensure vehicles that transport waste have compartments so that waste does not get mixed. Once this is done, organic waste can be composted, while dry waste can be further processed as per requirements. Processes like these reduce the load on the environment as well. Waste material can either be reused or recycled. Some municipalities utilise innovative techniques that produce biogas, which can be used as a sustainable source for energy generation.

Many cities have distributed two dustbins to residents so that waste can be segregated. While some cities have charged residents, others have used funds from the SBM or the Smart City Mission. The JMC must also follow suit and implement the SWM Rules, 2016. To gain a lead over other cities, the JMC could advocate a three-bin strategy, where a third bin is reserved for sanitary waste. Mixing of sanitary waste with dry waste contaminates the waste and makes processing difficult. Waste collectors too are at risk since they often handle waste without gloves, and

while the municipality must endeavour to provide the required safety equipment, it must also realise that manually segregating sanitary waste is often a topic of taboo, exposing those segregating this waste to disease. On this note, municipalities must also implement another section of the SWM Rules, 2016, which pertains to the involvement of rag pickers. The new rules help in the integration of rag pickers, kabadiwaalas, and waste pickers from the informal sector to the formal sector.

Other cities have displayed high levels of motivation and carried out many activities to address the problem of waste management. ULBs in West Bengal have been granted stationary and mobile solid waste compactor machines, which allow for effective garbage management. These compactors allow for extended use of dumping grounds as they reduce the overall volume of the accumulated waste in addition to being instrumental in reducing transportation costs. In Pune, rules are being introduced for new housing societies to have their own waste processing plants. Many experts believe that decentralised waste management is the way forward. Such a measure will require an amendment in the development control rules (Manohari, 2016). The initiative will involve door-to-door garbage collection, segregation at source, processing of recyclable waste, green waste and e-waste, along with collection and transportation of silt from drains (ibid).

JMC could also develop an application like the Swachh Delhi app that could be used to register complaints, based on which waste can be collected from public areas, roads and streets.

Access to legal documents (ration and Aadhaar cards)

Many residents of informal settlements have been working closely with PRIA and their respective SICs to seek BPL cards so that they can derive benefits provided to them by the State. SICs have also requested for Aadhaar camps that have allowed them to be a part of


the scheme. Municipalities have often obliged and could continue to set up camps in wards, allowing residents to obtain these services as well as connect their cards to biometric systems so that benefits can be sought under the Food Security Scheme. PRIA’s coverage in the informal settlements of Jhansi, through SICs, could be utilised to meet this goal.

Accountability, communication and complaints

Questions regarding applications sent and rejected by the municipality for toilet construction were enumerated. While the number of rejections were lower than the number of acceptances, this should not be misunderstood as satisfaction with respect to service delivery. Many respondents commented that they felt the current situation would never improve and having given up, did not complain further. Slum dwellers said they feared action and did not want to chance eviction, as a result of which they did not lodge complaints. Such fear and the lack of any urge to seek accountability from ULBs are the causes that create a larger gap

between the urban poor and their elected leaders. It also perpetuates social isolation for an already economically and politically vulnerable community of dwellers.

The municipality needs to formulise a system that necessitates reasons to be given when applications to basic services are rejected. It should also formalise a system that allows for complaints to be filed easily and such a system should allow for process tracking, as well as escalation. A system needs to be put in place, which provides a guaranteed and timely redressal of requests and complaints. The municipality could set up a 24*7 central helpline, SMS service, and a dedicated mobile phone application with provisions for photo capture and detailing about queries and complaints. JMC’s online complaint system (Jansunwai Portal, Uttar Pradesh government website) should be advertised and awareness on how to use the system and its benefits needs to be created. These could be the initial steps. Systems should be made less complicated and bilingual so that most people can access them.

Knowledge, Voice, Participation: Participatory Settlement Enumeration for Sanitation Services in Jhansi 35References

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Census of India (2013). Primary Census Abstract

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Stark, Lindsay. “Invisible to the System: Life Without A Birth Certificate.” The Huffington Post, TheHuffingtonPost.com, 28 March, 2016, www.huffingtonpost.com/lindsay-stark/living-without-a-birth-ce_b_9546662.html; accessed on 24 January, 2018

Ministry of Urban Development (2014). Guidelines for Swachh Bharat Mission (SBM), Ministry of Urban Development, Government of India, http://www.swachhbharaturban.in:8080/sbm/content/writereaddata/SBM_Guideline.pdf ; accessed on 1 December, 2017

Gopalakrishnan, Seetha (2016). ‘Revised Septage Management Rules to be Implemented Across Bhubaneswar’, published in India Water Portal, May, 2016; http://sanitation.indiawaterportal.org/english/node/4616; accessed on 1 December 2017

Alexander et. al, (2016). ‘Ending Open Defecation in India: Insights on Implementation and Behavioural Change for Swachh Bharat Abhiyan’; Princeton University; https://wws.princeton.edu/sites/default/files/content/India%20Workshop%20Report_FINAL_2.25.2016.pdf; accessed on 1 December, 2017

Agarwal, Mayank (2016). ‘Forest land diversion for building community toilets gets green light’, published in Livemint on 15 November, 2016; http://www.livemint.com/Politics/arl4fn0UAV2kUHZAiYKfbI/Forest-land-diversion-for-building-community-toilets-gets-gr.html; accessed on 1 December, 2017

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Free: Systematic Approach in Maharashtra’; https://swachh.maharashtra.gov.in/Site/Upload/Pdf/SMUU.pdf; accessed on 1 December, 2017

Gopalakrishnan, Seetha (2016). ‘Swachhta Status: Keeping Latrines Clean and Functional’, published in India Water Portal, April, 2016; http://sanitation.indiawaterportal.org/english/node/4585; accessed on 1 December, 2017

“f'kdk;r iathdj.k” Jansunwai Portal, Uttar Pradesh

Government, jansunwai.up.nic.in/.

Manohari, Mayant (2016), ‘S-Corporation embarks on making best of waste’, published in Times

of India on 16 June, 2016; https://timesofindia.indiatimes.com/City/Delhi/S-Corporation-embarks-on-making-best-of-waste/articleshow/52773672.cms ; accessed on 1 December, 2017

Knowledge, Voice, Participation: Participatory Settlement Enumeration for Sanitation Services in Jhansi Annex 1: House Listing 37

house listing

The implementation of an exhaustive enumeration over a large scale such as PSE required a clear demarcation and house numbering or house listing process. It was essential for the house numbering process to be a participatory process to ensure each household was systematically assigned an identification number. The SIC members and the community enumerators were trained by the PRIA team about the process of house numbering.

House numbering means that each household bears a systematically assigned number. For buildings that were already given numbers by the municipal corporation, the same numbering was adopted. However, for new buildings that came up after the buildings were numbered by the municipal corporation, they were given sub-numbers/new numbers. For example, if a building is found unnumbered or a new building comes up between buildings numbered 10 and 11, the same should be numbered as 10/1. In case the numbering given by the municipal corporation ends with No. 120, then a new number '121', in continuation of the numbering given by the municipal corporation, may be given.

In cases where no numbering for buildings or houses existed, the team was trained to give numbers to the houses through the following method:

Assigning numbers to buildings

i. If an informal settlement consists of a number of streets, the buildings in various streets should be numbered continuously. Streets should be taken in uniform order from North-West to South-East. The best way of numbering buildings is to continue with one consecutive serial on one side of the street and complete numbering on that side before crossing over to the end of the other side of the street and continuing with the same series, finally stopping opposite the building where the first number was allotted.

ii. If a pattern is such that the buildings are scattered or located in clusters or in isolated parts like fields, boundaries, along the side of a railway track or a canal/river/nallah, then to the extent possible, house numbers should be assigned by following the method described (i) above. However, if it is not possible to follow the procedure laid down in (i) above, it should be ensured that all the buildings are numbered and the direction in which the building numbers are assigned should be indicated by arrow marks on the Layout Map wherever the number jumps.

For example, if a building is found unnumbered or a new building comes up between building

Annex 1


numbers 10 and 11, the same should be numbered as 10/1.

iii. If a new building is found after the house numbering has been completed or in the midst of buildings already numbered, it should be given a new number, which may bear a sub-number.

Building number as assigned by the Municipal Corporation

Number of households House number

7/1 2 7/1 (1) and 7/1(2)

7 (1) 2 7(1) (1) and 7(1)(2)

7 (A) 2 7(A) (1) and 7(A)(2)

7/A 2 7/A (1) and 7/A(2)

Assigning number to households

Each house should be numbered. If a building by itself is a single household, then the number of the house will be the same as the building number. But if different parts or constituent units of a building qualify to be treated as separate households, then each household should be given a sub-number within brackets after the building number as 10(1), 10(2), etc., or 11(1), 11(2), 11(3), etc.

Examples of assigning census house numbers:

Knowledge, Voice, Participation: Participatory Settlement Enumeration for Sanitation Services in Jhansi Annex 2: List of Informal Settlements/Slums 39

list of informal settlements/slums

Annex 2

Sl. No. Slum Name Ward No. Month, Year No. of HHs enumerated

1 Hasari 02 August, 2016 198

2 Bhattagaon 04 October, 2016 103

3 Maharajpura 07 October, 2016 34

4 Villeshwar 07 October, 2016 35

5 Schoolpura 07 January, 2017 33

6 Talpura 08 August, 2016 91

7 Khushipura 09 August, 2016 45

8 Simardha 10 October, 2016 59

9 Pal colony 10 December, 2016 52

10 Karari 10 December, 2016 239

11 Budha* 10 April, 2017 to May, 2017 110

12 Mery* 10 April, 2017 to May, 2017 68

13 NagariyaKuan* 10 April, 2017 to May, 2017 68

14 Talpura (2) 12 September, 2016 107

15 Gadiyagaon 13 August, 2016 166

16 Khushipura* 14 April, 2017 to May, 2017 36

17 Bijoli 15 August, 2016 73

18 Rajgarh 15 November, 2016 80

19 Purabiyatola 16 January, 2017 31

20 Gudri 18 January, 2017 73

21 Laxmi Gate 20 October, 2016 304

22 Banglaghat 20 October, 2016 96

23 Biharipura 22 January, 2017 39

24 Bhagwantpura 23 September, 2016 153


Sl. No. Slum Name Ward No. Month, Year No. of HHs enumerated

25 Leher Gird 2* 24 April, 2017to May, 2017 45

26 Kochhabhawar 26 September, 2016 141

27 Pichhor 29 August, 2016 52

28 Karguwa 29 August, 2016 47

29 Gumnawara 29 January, 2017 33

30 Sagar gate 30 January, 2017 54

31 Outside Orchha Gate 33 April, 2017 48

32 Madakkhana 35 April, 2017 29

33 Outside Bhanderi Gate* 37 April, 2017to May, 2017 26

34 Chhaniyapura 38 December, 2016 154

35 Inside Orchha Gate 38 April, 2017 24

36 Piriya* 39 April, 2017 to May, 2017 20

37 Kustyana 40 December, 2016 144

38 Outside Badagaon Gate 41 September, 2016 121

39 Outside Datiya Gate (Aligole) 44 September, 2016to October, 2016 115

40 Dadiyapura 45 August, 2016 to September, 2016 120

41 Inside Bhanderi Gate 46 March, 2017 19

42 Singhlpura 49 January, 2017 113

43 ToriyaNursingh Rao* 56 April, 2017to May, 2017 34

*The informal settlements that were enumerated using paper based surveys.


About PRIA

Established in 1982, PRIA (Participatory Research in Asia) is a global centre for participatory research and training based in New Delhi. Currently, PRIA has field offices in several states of India and partnerships with 3000 NGOs across the global North and South to deliver its programmes on the ground. Over 35 years, PRIA has promoted ‘participation as empowerment’, capacity building of community organisations, and people’s participation in governance. Initiatives are undertaken in the overall perspective of ‘making democracy work for all’ – in the political system; democratic culture in families, communities, and society; and participatory democracy with active citizenship. PRIA’s programmes on the ground focus on promotion of participation of the poor, especially women and youth, to claim rights and basic services.

Through building knowledge, raising voice and making democracy work for all, PRIA realises its vision – of a world based on values of equity, justice, freedom, peace and solidarity.

About Engaged Citizens, Responsive City

Engaged Citizens Responsive City is a four-year long intervention supported by the European Union which focuses on strengthening civil society of the urban poor to participate in planning and monitoring of sanitation services. The project works across three cities in India (Ajmer in Rajasthan, Jhansi in Uttar Pradesh, and Muzaffarpur in Bihar). It primarily engages the urban poor through capacity building activities to enable them to become active citizens, and to use the new skills learnt to participate in planning (at city level) and monitoring (at the ward level) of sanitation services. Partners in this change include urban poor and middle-class residents, with leadership of young women and men; mayors, elected councillors and related government departments; traders and market associations; civil society, academia and media; and women sanitation workers.

To know more about the programme, please visit https://pria.org/projectsdetails-engaged-citizens-responsive-city-30-549 .

For more information contact PRIA 42, Tughlakabad Institutional Area New Delhi- 110062 Phone Nos.: +91-011-29960931/32/33 Email: [email protected]

This project is funded by the European Union

This project is implemented by PRIA

The contents of this publication are the sole responsibility of PRIA and can in no way be taken to reflect the views of the European Union

Connect with us: www.pria.org pria.india PRIA_India

This report is the outcome of a survey that was co-facilitated by PRIA to enumerate the

households in the informal settlements of Jhansi. PRIA and the community members

used Participatory Settlement Enumeration (PSE) in this survey. PSE is an alternative

process of gathering information about a community by its own community members in

order to prepare community driven plans for public policies and programmes. This survey

focussed on the demographic and socio-economic profiles of the community, access

to toilet facilities and water among other aspects concerning the residents of informal

settlements in Jhansi. In our efforts to establish a platform that allows all residents to

collectively voice their aspirations and develop strategies, authentic data collected and

analysed by PRIA and community members emerged as a crucial piece of the puzzle.

The survey was undertaken under the “Engaged Citizens, Responsive City” project

supported by the European Union. The project aims to enhance participation of the urban

poor in citywide sanitation planning and monitoring.

Keeping in mind the lack of access to such granular and locally validated data, the

survey results will be helpful for the municipalities, parastatals, civil society organisations,

development agencies and engaged citizens working towards making Indian cities

responsive, inclusive and sustainable.

ABOUT THE REPORT