ANUSHA FATIMA - MAULANA AZAD NATIONAL INSTITUTE OF TECHNOLOGY , BHOPAL

REPORT ON PLANNING PRACTISES- IN INDIA ABSTRACTA comprehensive report on the typology and definition of slums, Urbanization trends and the working organizations.

SUBMITTTED BY :ANUSHA FATIMA – 141109028B.PLANNING , FOURTH SEMDEPT. OF PLANNING AND ARCHITECTUREMANIT, BHOPAL

SLUMS IN INDIA : TYPOLOGY AND REASONS

ANUSHA FATIMA - MAULANA AZAD NATIONAL INSTITUTE OF TECHNOLOGY , BHOPAL

ContentsCHAPTER 1............................................................................................................................................................................5

SLUMS AND ITS DEFINATION.............................................................................................................................................5

SLUM DEFINATION BY VARIOUS ORGANISATIONS- INDIAN ORGANISTAIONS..................................................................5

SLUM DEFINATION BY WORLD ORGANISATIONS..............................................................................................................5

SLUM DEFINATIONS BY VARIOUS RESEARCHERS AND SCHOLARS.....................................................................................6

TYPOLOGY OF SLUMS........................................................................................................................................................7

SLUM TYPOLOGY BY UN HABITAT.....................................................................................................................................7

SLUM TYPOLOGY– CENSUS OF INDIA................................................................................................................................8

SLUM TYPOLOGY BY NSSO................................................................................................................................................8

SLUM TYPOLOGY – UN HABITAT.......................................................................................................................................8

SLUMS ON THE CITY FRINGES............................................................................................................................................8

SLUMS TYPOLOGY INDIAN CONTEXT (MUMBAI )..............................................................................................................8

SLUM TYPOLOGY BY BERGAL E.E., DESAI A.R. AND PILLAI D., 1970...................................................................................9

REASONS FOR SLUM FORMATION....................................................................................................................................9

RURAL-URBAN MIGRATION...........................................................................................................................................9

URBANIZATION............................................................................................................................................................10

POOR HOUSING PLANNING.........................................................................................................................................10

COLONIALISM AND SEGREGATION..............................................................................................................................11

POOR INFRASTRUCTURE, SOCIAL EXCLUSION AND ECONOMIC STAGNATION............................................................12

POVERTY......................................................................................................................................................................12

POLITICS......................................................................................................................................................................12

SOCIAL CONFLICTS.......................................................................................................................................................13

NATURAL DISASTERS...................................................................................................................................................13

CHARACTERISTICS OF SLUMS..........................................................................................................................................13

COUNTERMEASURES – PLANS AND POLICIES..................................................................................................................14

Slum removal..............................................................................................................................................................14

Slum relocation...........................................................................................................................................................15

Slum upgrading...........................................................................................................................................................15

Urban infrastructure development and public housing..............................................................................................15

SCHEMES AND POLICES OF INDIAN GOVERNMNENT FOR POVERTY ALLEVIATION.........................................................16

SWARNA JAYANTI SHAHARI ROZGAR YOJANA (SJSRY)................................................................................................16

JAWAHARLAL NEHRU NATIONAL URBAN RENEWAL MISSION (BSUP & IHSDP)..........................................................17

RAJIV AWAS YOJANA...................................................................................................................................................17

NATIONAL URBAN LIVELIHOOD PROGRAMME............................................................................................................17

ANUSHA FATIMA - MAULANA AZAD NATIONAL INSTITUTE OF TECHNOLOGY , BHOPAL

National Urban Social Assistance Programme (NUSAP)..............................................................................................18

CHAPTER 2 WORKING OF DIFFERENT ORGANISATIONS......................................................................................................19

BHOPAL MUNICIPAL CORPORATION...............................................................................................................................19

Location...........................................................................................................................................................................19

........................................................................................................................................................................................ 19

About..............................................................................................................................................................................19

HISTORY OF BHOPAL MUNICIPAL CORPORATION...........................................................................................................19

ORGANISATION STRUCTURE...........................................................................................................................................19

FUNCTIONS.....................................................................................................................................................................20

Departments of BMC...................................................................................................................................................21

Public Works....................................................................................................................................................................21

Revenue and Tax.............................................................................................................................................................21

Water Supply...................................................................................................................................................................21

Planning and Development.............................................................................................................................................21

Fire Brigade.....................................................................................................................................................................21

Health and Sanitation......................................................................................................................................................21

Finance and Accounts......................................................................................................................................................21

Garden............................................................................................................................................................................21

General Administration...................................................................................................................................................22

Heritage Cell....................................................................................................................................................................22

Public Relations...............................................................................................................................................................22

Computer........................................................................................................................................................................22

Roles and Responsibilities of Development Authority....................................................................................................22

Powers of Development Authority..................................................................................................................................22

BHOPAL DEVELOPMENT AUTHORITY..................................................................................................................................23

Objectives of development authorities are-....................................................................................................................23

BHOPAL DEVELOPMENT AUTHORITY..............................................................................................................................23

INTRODUCTION...............................................................................................................................................................23

REASON FOR ESTABLISHMENT........................................................................................................................................23

BDA AND ITS POWERS.....................................................................................................................................................23

MAIN FUNCTIONS...........................................................................................................................................................24

ORGANISATIONAL STRUCTURE.......................................................................................................................................24

PROCESSES IN BDA..........................................................................................................................................................25

PARAMETERS ON WHICH BDA WORKS...........................................................................................................................25

CHAPTER 3 -PUBLIC PRIVATE PARTNERSHIP MODE............................................................................................................26

ANUSHA FATIMA - MAULANA AZAD NATIONAL INSTITUTE OF TECHNOLOGY , BHOPAL

MODELS OF PPP..............................................................................................................................................................26

PPP MODE – A CASE STUDY OF AMRITSAR INTERCITY BUS TERMINAL...........................................................................27

Project Description......................................................................................................................................................27

Current Status.............................................................................................................................................................28

Process Analysis..........................................................................................................................................................28

12TH FIVE YEAR PLAN PPPP MODE.................................................................................................................................31

CHAPTER 4- APPROACHES IN PLANNING............................................................................................................................34

PARTICIPATORY PLANNING.............................................................................................................................................34

INCREMENATLISM...........................................................................................................................................................34

MIXED SCANNING MODEL...............................................................................................................................................35

TRANSACTIVE PLANNING................................................................................................................................................35

ADVOCACY PLANNING....................................................................................................................................................35

BARGAINING MODEL.......................................................................................................................................................35

COMMUNICATIVE APPROACH.........................................................................................................................................36

REFERENCES........................................................................................................................................................................36

ANUSHA FATIMA - MAULANA AZAD NATIONAL INSTITUTE OF TECHNOLOGY , BHOPAL

CHAPTER 1

SLUMS AND ITS DEFINATION A slum is a heavily populated urban informal settlement characterized by substandard housing and squalor. While slums differ in size and other characteristics from country to country, most lack reliable sanitation services, supply of clean water, reliable electricity, timely law enforcement and other basic services. Slum residences vary from shanty houses to professionally built dwellings that because of poor-quality construction or provision of services have deteriorated into slums

Slums were common in the 19th and early 20th centuries in the United States and Europe.[3][4] More recently slums have been predominantly found in urban regions of developing and undeveloped parts of the world, but are also found in developed economies.

SLUM DEFINATION BY VARIOUS ORGANISATIONS- INDIAN ORGANISTAIONS CENSUS OF INDIA- The Census of India defines a slum as "a compact area of at least 300 in population

or about 60-70 households of poorly built, congested tenements in an unhygienic environment usually with inadequate infrastructure and lacking proper sanitary and drinking water facilities..

URDPFI GUIDELINES- slums are legal/ illegal substandard settlements with a lack of adequate services .

'Slums' have been defined under Section 3 of the Slums Areas (Improvement and Clearance) Act, 1956 as ‘areas where buildings are in any respect unfit for human habitation; are by reason of dilapidation, overcrowding, faulty arrangement and design of such buildings, narrowness or faulty arrangement of streets, lack of ventilation, light, sanitation facilities or any combination of these factors which are detrimental to safety, health and morals’.

RAY -A slum is a residential are a where dwellings are unfit for human habitation. Reasons include overcrowding, faulty arrangements ,poor design, narrowness of street, lack of ventilation, light and/or sanitation facilities.

NSSO - A “non-notified slum” is a compact urban area with a collection of poorly built tenements, mostly of temporary nature, crowded together usually with inadequate sanitary and drinking water facilities in unhygienic conditions, if at least 20 households lived in that area. .

SLUM DEFINATION BY WORLD ORGANISATIONS UN HABITAT – heavily populated area, characterized by substandard housing , high density ,inadequate

services and are often not recognized by public authorities as an integral part of the city.

WORLD BANK – places in cities where poor are concentrated in substandard condition .

The definition, adopted by the U.S.A. Housing Act of 1949, declared that “slum may be said to include any predominantly residential area where the dwelling, which by reason of dilapidation, overcrowding, faulty arrangement of designs, lack of ventilation, light or sanitary facilities or any combination of these factors, are detrimental to safety, health and morals.”

According to the United Nations , “A slum is a building, group of buildings or area characterized by overcrowding, deterioration, insanitary conditions or absence of facilities or amenities which because

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of these conditions or any of them, endanger the health, safety or morals of its inhabitants or the community”

The Economic Survey (1978) defines slums as those parts of the city which may be unfit for human habitation either because the structure therein are old, dilapidated, grossly congested and out of repairs because it is impossible to preserve sanitation for want of sanitary facilities including ventilation, drainage, water supply, etc. or because the sites by themselves are unhealthy.

SLUM DEFINATIONS BY VARIOUS RESEARCHERS AND SCHOLARS• In her paper :A Comparative Study of Living Conditions in Slums of Three Metro Cities in India, sugata

bag defines slum as slums an unfortunate reflection of exclusionary socio-economic policies.

• According to her, migrants find shelter either in existing settlements or squatters in and around economic hubs within the city limits or form new ones in the outer fringes of cities, which are often referred to as ‘slums’.

• Benjamin Marx, Thomas Stoker, and Tavneet Surislums in their paper “The economics of slums in developing world” define slum as a transitory phenomenon characteristic Slums

• According to their thinking, slums are a transitory phenomenon characteristic of fast-growing economies, and they progressively give way to formal housing as economic growth trickles down and societies approach the later stages of economic development.

• In their paper, Slums: perspectives on the definition, the appraisal and the management of an urban phenomenon by Henning Nuissl and Dirk Heinrichs word ‘slum’ is a term that immediately conjures up strong images of poverty and misery , danger and decay.

• The term ‘slum’ is used to identify the poorest quality housing and the most unsanitary conditions; a refuge for marginal activities including crime and drug abuse, a place apart from all that was decent and wholesome

• According to Cist and Halbert “slum is an area of poor houses and poor people. It is an area of transition and decadence, a disorganized area, occupied by human derelicts, a catch of the entire criminal for the defective, the down and out.”

• According to Websters , “Slum is a populous area characterized by Poverty, poor housing etc.”

• According to Urban sociologist Bergel conceives slums as “Area of substandard housing condition within city.”.In their paper , the study of women's health in chennai slums , slum is a unchecked, unplanned and haphazard growth near the industrial area or peripheral area with improper sanitation, unhygienic environmental conditions, social, economic, health, educational and cultural problem

ANUSHA FATIMA - MAULANA AZAD NATIONAL INSTITUTE OF TECHNOLOGY , BHOPAL

MAP SHOWING PERCENTAGE OF SLUM POPULATION

TYPOLOGY OF SLUMS

SLUM TYPOLOGY- CENSUS OF INDIA SLUM TYPOLOGY- UN HABITAT SLUM TYPOLOGY-NSSO

SLUM TYPOLOGY BY UN HABITAT• SLUM OF HOPE-progressing settlement characterized by new , self built structures that have recently

been through process of development and improvement

• SLUM OF DESPAIR- declining settlement in which environment condition and services are undergoing a process of deterioration

ANUSHA FATIMA - MAULANA AZAD NATIONAL INSTITUTE OF TECHNOLOGY , BHOPAL

SLUMS

NOTIFIED RECOGNISED IDENTIFIED

SLUMS

SLUMS OF HOPE

SLUM OF DESPAIR

SLUMS

DECALRED UNDECLARED

SLUM TYPOLOGY– CENSUS OF INDIA• NOTIFIED SLUMS- slums declared by the state government under the slum acts.

• RECOGNISED SLUMS- may not be notified but are acknowledged by the local authorities and corporations.

• IDENTIFIED SLUMS- compact area with atleast 300 residents or 60-70 household ,in poorly build congested tenements, in unhygienic condition usually with lack of proper sanitary and drinking water facilities.

SLUM TYPOLOGY BY NSSO• DECLARED SLUMS: Areas, which had been formally declared as slum by the respective municipalities,

corporations, local bodies or the development authorities.

• UNDECLARED SLUMS : an aerial unit having twenty five or more katcha structures mostly of temporary nature, or inhabited by persons with practically no private toilets and provision for clean drinking water”.

SLUM TYPOLOGY – UN HABITAT• INNER CITY SLUMS

Inner-city slums gave birth to the concept of the slum the process whereby central, prosperous residential areas of cities undergo deterioration as their original owners move out to newer, more salubrious and more fashionable residential areas.

• PERIPHERAL SLUMS

SLUMS ON THE CITY FRINGES squatter settlements in which households have invaded (usually public) land, or they occupy land

that has been subdivided and for which they have paid or entered a rentpurchase arrangement with the developer or landowner. The urban periphery has distinct advantages over more central and urbanized areas as there is less competition for the use or control of land,it is located outside of the municipal boundaries.

Peripheral slums can be quite large settlements - rarely constrained by competing development. In many cases, quality of housing is relatively good – significantly better than is to be found in the adjoining rural areas – but the level of services is generally low

SLUMS TYPOLOGY INDIAN CONTEXT (MUMBAI )• The first type consists of single or multistoried buildings, built long ago as per, standards prevailing

then and which today are dilapidated conditions.

• In the second type of slums semi-permanent structures both authorized and unauthorized types are found. Some of these consist of semipermanent structures built of corrugated iron sheets. They are commonly known as „patra‟ chawals. The Koliwada area in worli (Mumbai) is full of such single stored structures built well over a hundred years ago by fishermen.

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• The third type of slum is the hutment colony on the squatter colony, called “jhoppad patties”. These huts are built with an assortment of “Geographical assessment of slums and its effect on urban environment” 12 materials consisting of hardboard, zinc sheets, flattened in post and gunny bags.

SLUM TYPOLOGY BY BERGAL E.E., DESAI A.R. AND PILLAI D., 1970.There are three main types of slums

One is the original slum - area which from the beginning consisted of unsuitable buildings. These sections are beyond recovery and need to be razed. The Mexican slum in Wichita is an example of an original slum.

The second type - slums created by the departure of middle and upper class Families to other sections and subsequent deterioration of the area.An example is the south end slum in Boston.

The third and most unpleasant type of slum is mainly a phenomenon of transition

REASONS FOR SLUM FORMATIONSlums form and grow in many different parts of the world for many different reasons. Some causes include rapid rural-to-urban migration, economic stagnation and depression, high unemployment, poverty, informal economy, poor planning, politics, natural disasters and social conflicts. Strategies tried to reduce and transform slums in different countries, with varying degrees of success, include a combination of slum removal, slum relocation, slum upgrading, urban planning with city wide infrastructure development, and public housing projects

Some of the major reasons are :

RURAL-URBAN MIGRATION

Rural-urban migration is one of the causes attributed to the formation and expansion of slums.[1] Since 1950, world population has increased at a far greater rate than the total amount of arable land, even as agriculture contributes a much smaller percentage of the total economy. For example, in India, agriculture accounted for 52% of its GDP in 1954 and only 19% in 2004 in Brazil, the 2005 GDP contribution of agriculture is one-fifth of its contribution in 1951.]Agriculture, meanwhile, has also become higher yielding, less disease prone, less physically harsh and more efficient with tractors and other equipment. The proportion of people working in agriculture has declined by 30% over the last 50 years, while global population has increased by 250%.

Many people move to urban areas primarily because cities promise more jobs, better schools for poor's children, and diverse income opportunities than subsistence farming in rural areas. For example, in 1995, 95.8% of migrants to Surabaya, Indonesia reported that jobs were their primary motivation for moving to the city.] However, some rural migrants may not find jobs immediately because of their lack of skills and the increasingly competitive job markets, which leads to their financial shortage. Many cities, on the other hand, do not provide enough low-cost housing for a large number of rural-urban migrant workers. Some rural-urban migrant workers cannot afford housing in cities and eventually settle down in only affordable slums. Further, rural migrants, mainly lured by higher incomes, continue to flood into cities. They thus expand the existing urban slums.

ANUSHA FATIMA - MAULANA AZAD NATIONAL INSTITUTE OF TECHNOLOGY , BHOPAL

URBANIZATION

The formation of slums is closely linked to urbanization. In 2008, more than 50% of the world’s population lived in urban areas. In China, for example, it is estimated that the population living in urban areas will increase by 10% within a decade according to its current rates of urbanization. The UN-Habitat reports that 43% of urban population in developing countries and 78% of those in the least developed countries are slum dwellers.

Some scholars suggest that urbanization creates slums because local governments are unable to manage urbanization, and migrant workers without an affordable place to live in, dwell in slums.[55] Rapid urbanization drives economic growth and causes people to seek working and investment opportunities in urban areas.[56] However, as evidenced by poor urban infrastructure and insufficient housing, the local governments sometimes are unable to manage this transition. This incapacity can be attributed to insufficient funds and inexperience to handle and organize problems brought by migration and urbanization. In some cases, local governments ignore the flux of immigrants during the process of urbanization. Such examples can be found in many African countries. In the early 1950s, many African governments believed that slums would finally disappear with economic growth in urban areas. They neglected rapidly spreading slums due to increased rural-urban migration caused by urbanization. Some governments, moreover, mapped the land where slums occupied as undeveloped land.

Another type of urbanization does not involve economic growth but economic stagnation or low growth, mainly contributing to slum growth in Sub-Saharan Africa and parts of Asia. This type of urbanization involves a high rate of unemployment, insufficient financial resources and inconsistent urban planning policy. In these areas, an increase of 1% in urban population will result in an increase of 1.84% in slum prevalence.

Urbanization might also force some people to live in slums when it influences land use by transforming agricultural land into urban areas and increases land value. During the process of urbanization, some agricultural land is used for additional urban activities. More investment will come into these areas, which increases the land value.[64] Before some land is completely urbanized, there is a period when the land can be used for neither urban activities nor agriculture. The income from the land will decline, which decreases the people’s incomes in that area. The gap between people’s low income and the high land price forces some people to look for and construct cheap informal settlements, which are known as slums in urban areas.[59] The transformation of agricultural land also provides surplus labor, as peasants have to seek jobs in urban areas as rural-urban migrant workers.[55]

POOR HOUSING PLANNING

Lack of affordable low cost housing and poor planning encourages the supply side of slums.[66] The Millennium Development Goals proposes that member nations should make a “significant improvement in the lives of at least 100 million slum dwellers” by 2020.[67] If member nations succeed in achieving this goal, 90% of the world total slum dwellers may remain in the poorly housed settlements by 2020.[68] Choguill claims that the large

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number of slum dwellers indicates a deficiency of practical housing policy. Whenever there is a significant gap in growing demand for housing and insufficient supply of affordable housing, this gap is typically met in part by slums. The Economist summarizes this as, "good housing is obviously better than a slum, but a slum is better than none".

Insufficient financial resources [70] and lack of coordination in government bureaucracy [63] are two main causes of poor housing planning. Financial deficiency in some governments may explain the lack of affordable public housing for the poor since any improvement of the tenant in slums and expansion of public housing programs involve a great increase in the government expenditure.[70] The problem can also lie on the failure in coordination among different departments in charge of economic development, urban planning, and land allocation. In some cities, governments assume that the housing market will adjust the supply of housing with a change in demand. However, with little economic incentive, the housing market is more likely to develop middle-income housing rather than low-cost housing. The urban poor gradually become marginalized in the housing market where few houses are built to sell to them.

COLONIALISM AND SEGREGATION

Some of the slums in today’s world are a product of urbanization brought by colonialism. For instance, the Europeans arrived in Kenya in the nineteenth century and created urban centers such as Nairobi mainly to serve their financial interests. They regarded the Africans as temporary migrants and needed them only for supply of labor. The housing policy aiming to accommodate these workers was not well enforced and the government built settlements in the form of single-occupancy bedspaces. Due to the cost of time and money in their movement back and forth between rural and urban areas, their families gradually migrated to the urban centre. As they could not afford to buy houses, slums were thus formed.[75]

Others were created because of segregation imposed by the colonialists. For example, Dharavi slum of Mumbai – now one of the largest slums in India, used to be a village referred to as Koliwadas, and Mumbai used to be referred as Bombay. In 1887, the British colonial government expelled all tanneries, other noxious industry and poor natives who worked in the peninsular part of the city and colonial housing area, to what was back then the northern fringe of the city – a settlement now called Dharavi. This settlement attracted no colonial supervision or investment in terms of road infrastructure, sanitation, public services or housing. The poor moved into Dharavi, found work as servants in colonial offices and homes and in the foreign owned tanneries and other polluting industries near Dharavi. To live, the poor built shanty towns within easy commute to work. By 1947, the year India became an independent nation of the commonwealth, Dharavi had blossomed into Bombay’s largest slum. [72]

Similarly, some of the slums of Lagos, Nigeria sprouted because of neglect and policies of the colonial era.[76] During apartheid era ofSouth Africa, under the pretext of sanitation and plague epidemic prevention, racial and ethnic group segregation was pursued, people of color were moved to the fringes of the city, policies that created Soweto and other slums – officially called townships.[77] Large slums started at the fringes of segregation-conscious colonial city centers of Latin America.[78] Marcuse suggests ghettoes in the United States, and elsewhere, have been created and maintained by the segregationist policies of the state and regionally dominant group

ANUSHA FATIMA - MAULANA AZAD NATIONAL INSTITUTE OF TECHNOLOGY , BHOPAL

POOR INFRASTRUCTURE, SOCIAL EXCLUSION AND ECONOMIC STAGNATION

Social exclusion and poor infrastructure forces the poor to adapt to conditions beyond his or her control. Poor families that cannot afford transportation, or those who simply lack any form of affordable public transportation, generally end up in squat settlements within walking distance or close enough to the place of their formal or informal employment. Ben Arimah cites this social exclusion and poor infrastructure as a cause for numerous slums in African cities. Poor quality, unpaved streets encourage slums; a 1% increase in paved all-season roads, claims Arimah, reduces slum incidence rate by about 0.35%. Affordable public transport and economic infrastructure empowers poor people to move and consider housing options other than their current slumsInformal economy.

Many slums grow because of growing informal economy which creates demand for workers. Informal economy is that part of an economy that is neither registered as a business nor licensed, one that does not pay taxes and is not monitored by local or state or federal government.[86] Informal economy grows faster than formal economy when government laws and regulations are opaque and excessive, government bureaucracy is corrupt and abusive of entrepreneurs, labor laws are inflexible, or when law enforcement is poor.[87]Urban informal sector is between 20 to 60% of most developing economies’ GDP; in Kenya, 78 per cent of non-agricultural employment is in the informal sector making up 42 per cent of GDP.[1] In many cities the informal sector accounts for as much as 60 per cent of employment of the urban population. For example, in Benin, slum dwellers comprise 75 per cent of informal sector workers, while in Burkina Faso, the Central African Republic, Chad and Ethiopia, they make up 90 per cent of the informal labour force.[88] Slums thus create an informal alternate economic ecosystem, that demands low paid flexible workers, something impoverished residents of slums deliver. In other words, countries where starting, registering and running a formal business is difficult, tend to encourage informal businesses and slums. Without a sustainable formal economy that raise incomes and create opportunities, squalid slums are likely to continue. The World Bank and UN Habitat estimate, assuming no major economic reforms are undertaken, more than 80% of additional jobs in urban areas of developing world may be low-paying jobs in the informal sector. Everything else remaining same, this explosive growth in the informal sector is likely to be accompanied by a rapid growth of slums

POVERTY

Urban poverty encourages the formation and demand for slums.[2] With rapid shift from rural to urban life, poverty migrates to urban areas. The urban poor arrives with hope, and very little of anything else. He or she typically has no access to shelter, basic urban services and social amenities. Slums are often the only option for the urban poor.

POLITICS

Many local and national governments have, for political interests, subverted efforts to remove, reduce or upgrade slums into better housing options for the poor.[12] Throughout the second half of the 19th century, for example, French political parties relied on votes from slum population and had vested interests in maintaining that voting block. Removal and replacement of slum created a conflict of interest, and politics prevented

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efforts to remove, relocate or upgrade the slums into housing projects that are better than the slums. Similar dynamics are cited in favelas of Brazil, slums of India, and shanty towns of Kenya

SOCIAL CONFLICTS

Millions of Lebanese people formed slums during the civil war from 1975 to 1990. Similarly, in recent years, numerous slums have sprung around Kabul to accommodate rural Afghans escaping Taliban violence

NATURAL DISASTERS

Major natural disasters in poor nations often lead to migration of disaster-affected families from areas crippled by the disaster to unaffected areas, the creation of temporary tent city and slums, or expansion of existing slums.[103] These slums tend to become permanent because the residents do not want to leave, as in the case of slums near Port-au-Prince after the 2010 Haiti earthquake,[104][105] and slums near Dhaka after 2007 Bangladesh Cyclone Sidr

CHARACTERISTICS OF SLUMS Lack of basic services

Lack of basic services is one of the most frequently mentioned characteristics of slum definitions worldwide. Lack of access to improved sanitation facilities and improved water sources is the most important feature, sometimes supplemented by absence of waste collection systems, electricity supply, surfaced roads and footpaths, street lighting and rainwater drainage.

Substandard housing or illegal and inadequate building structures Many cities have building standards that set minimum requirements for residential buildings. Slum areas are associated with a high number of substandard housing structures, often built with non-permanent materials unsuitable for housing given local conditions of climate and location. Factors contributing to a structure being considered substandard are, for example, earthen floors, mud-and-wattle walls or straw roofs. Various space and dwelling placement bylaws may also be extensively violated.

Overcrowding and high density Overcrowding is associated with a low space per person, high occupancy rates, cohabitation by different families and a high number of single-room units. Many slum dwelling units are overcrowded, with five and more persons sharing a one-room unit used for cooking, sleeping and living. Bangkok requires at least 15 dwelling units per rai (1600 square metres). Unhealthy living conditions and hazardous locations

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Unhealthy living conditions are the result of a lack of basic services, with visible, open sewers, lack of pathways, uncontrolled dumping of waste, polluted environments, etc. Houses may be built on hazardous locations or land unsuitable for settlement, such as floodplains, in proximity to industrial plants with toxic emissions or waste disposal sites, and on areas subject to landslip. The layout of the settlement may be hazardous because of a lack of access ways and high densities of dilapidated structures.

Insecure tenure; irregular or informal settlements A number of definitions consider lack of security of tenure as a central characteristic of slums, and regard lack of any formal document entitling the occupant to occupy the land or structure as prima facie evidence of illegality and slum occupation. Informal or unplanned settlements are often regarded as synonymous with slums. Many definitions emphasize both informality of occupation and the non-compliance of settlements with land-use plans. The main factors contributing to non-compliance are settlements built on land reserved for non-residential purposes, or which are invasions of non-urban land.

Poverty and social exclusion Income or capability poverty is considered, with some exceptions, as a central characteristic of slum areas. It is not seen as an inherent characteristic of slums, but as a cause (and, to a large extent, a consequence) of slum conditions. Slum conditions are physical and statutory manifestations that create barriers to human and social development. Furthermore, slums are areas of social exclusion that are often perceived to have high levels of crime and other measures of social dislocation. In some definitions, such areas are associated with certain vulnerable groups of population, such as recent immigrants, internally displaced persons or ethnic minorities.

Minimum settlement size Many slum definitions also require some minimum settlement size for an area to be considered a slum, so that the slum constitutes a distinct precinct and is not a single dwelling. Examples are the municipal slum definition of Kolkata that requires a minimum of 700 square metres to be occupied by huts, or the Indian census definition, which requires at least 300 people or 60 households living in a settlement cluster.

COUNTERMEASURES – PLANS AND POLICIES

Slum removal

Some city governments and state officials have simply sought to remove slums.This strategy for dealing with slums is rooted in the fact that slums typically start illegally on someone else’s land property, and they are not recognized by the state. As the slum started by violating another's property rights, the residents have no legal claim to the land.

Critics argue that slum removal by force tend to ignore the social problems that cause slums. The poor children as well as working adults of a city’s informal economy need a place to live. Slum clearance removes the slum, but it does not remove the causes that create and maintain the slum

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Slum relocation

Slum relocation strategies rely on removing the slums and relocating the slum poor to free semi-rural peripheries of cities, sometimes in free housing. This strategy ignores several dimensions of a slum life. The strategy sees slum as merely a place where the poor lives. In reality, slums are often integrated with every aspect of a slum resident’s life, including sources of employment, distance from work and social life.

Slum upgrading

Some governments have begun to approach slums as a possible opportunity to urban development by slum upgrading. This approach was inspired in part by the theoretical writings of John Turner in 1972. The approach seeks to upgrade the slum with basic infrastructure such as sanitation, safe drinking water, safe electricity distribution, paved roads, rain water drainage system, and bus/metro stops.The assumption behind this approach is that if slums are given basic services and tenure security – that is, the slum will not be destroyed and slum residents will not be evicted, then the residents will rebuild their own housing, engage their slum community to live better, and over time attract investment from government organizations and businesses. Turner argued to demolish the housing, but to improve the environment: if governments can clear existing slums of unsanitary human waste, polluted water and litter, and from muddy unlit lanes, they do not have to worry about the shanty housing.Squatters have shown great organizational skills in terms of land management and will maintain the infrastructure that is provided.

Urban infrastructure development and public housing

Urban infrastructure such as reliable high speed mass transit system, motorways/interstates, and public housing projects have been responsible for the disappearance of major slums in the United States and Europe from the 1960s through 1970s. Charles Pearson argued in UK Parliament that mass transit would enable London to reduce slums and relocate slum dwellers.

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TIMELINE OF VARIOUS SLUM IMPROVEMENT POILICIES

SCHEMES AND POLICES OF INDIAN GOVERNMNENT FOR POVERTY ALLEVIATIONThe M/o HUPA currently runs the following major programmes that are targeted towards urban poverty reduction and improving the access of the poor to basic services39. These include the Swarna Jayanti Shahari Rozgar Yojana (SJSRY); Sub-mission II on Basic Services to the Urban Poor (BSUP) under Jawaharlal Nehru National Urban Renewal Mission (JNNURM); Integrated Housing and Slum Development Programme (IHSDP); and the Rajiv Awas Yojana (RAY)

SWARNA JAYANTI SHAHARI ROZGAR YOJANA (SJSRY)

Skill development has been neglected in the past and needs much faster expansion. Over 90 per cent of our labour force at present has received no formal training prior to employment and skills are typically acquired only on the job”40. The scheme of SJSRY targeting urban livelihoods for the poor has been revised once in 2009. Prior to the revision, the M/o HUPA commissioned two reports, the first being a general evaluation of SJSRY across the nation41, and the second, a concurrent evaluation of SJSRY in nine states42. In particular, it was found that there was lack of awareness about the scheme, a lack of staff to implement the scheme in the states and a reluctance of bank officials to extend loans for micro-enterprises under the scheme.

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JAWAHARLAL NEHRU NATIONAL URBAN RENEWAL MISSION (BSUP & IHSDP)

The scheme of JNNURM has been implemented in mission-mode since 2005; with a revision of its guidelines in 2009. There are three official reviews of JNNURM. The first is the mid-term appraisal of the 11th Five Year Plan by the Planning Commission47, the second is an independent appraisal of JNNURM commissioned by the M/o UD48, and the third is the report of the High Powered Expert Committee (HPEC) for Estimating the Investment Requirement for Urban Infrastructure Services49. In general, JNNURM has mixed reviews. It is widely acknowledged that JNNURM has renewed focus on the urban sector throughout the country creating a facilitative environment for critical reforms in many states. Much of the investment has been directed towards the provision of basic services to the urban poor50.In addition, the programme is credited with creating a space for states and ULBs to raise their aspirations for capital investments and generation of financial resources for targeted cities/states. Critiques of JNNURM focus on the lack of community participation, capacity building and lukewarm implementation of reforms.

RAJIV AWAS YOJANA

The scheme of RAY is a very recent scheme, which evolved from the Scheme for Slum-Free City Planning (SFCP) under RAY, after the announcement of RAY by the President of India in June 2009 to the full-fledged scheme of RAY approved by the Cabinet Committee of Economic Affairs (CCEA) in June 2011. On 30th July 2011, the M/o HUPA organised a Conference of State Ministers of Housing, Urban Development, Municipal Administration/Local Self-Government to announce the launch of, discuss, and solicit feedback on the scheme. The key suggestions that emerged from the discussions include52: • Increase of central support from 50 per cent to a higher percentage (most suggested 80 per cent). • IHSDP (under JNNURM) served the small and medium towns. However under RAY, there is no emphasis on the small and medium towns. Therefore, there should be no mid-course change of IHSDP, and IHSDP should continue to service the small and medium towns not covered under RAY; RAY envisage covering cities with a population of 3 lakh persons and above. • Basic minimum civic facilities to the urban poor should be guaranteed. • RAY is technologically intensive and this may prove counter-productive especially for smaller cities. • States should be given the flexibility to implement reforms and not be straitjacketed in this issue with prescriptions from the central government. • In promoting the construction of houses under RAY, flexibility to states should be given in the norms of house construction across different city sizes.

NATIONAL URBAN LIVELIHOOD PROGRAMME

NULP should tackle occupational vulnerability by focusing on skills training and micro-enterprise development. In keeping with the principles of a holistic convergent approach, the Working Group proposes the dovetailing of the SJSRY scheme as a submission of NUPAM at the central level in the 12th Five Year Plan. NULP will aim at inclusion of the urban poor and vulnerable as an integral and valued part of urban life and economics. It will build up capacities and skills in sectors with growing employment opportunities, and organise the urban poor through the formation of occupation-based and neighbourhood-level institutions, federating them at higher levels. It will promote equitable access to basic services necessary for livelihoods including water supply, sanitation, electricity and transport. And finally, NULP will promote equitable access to financial services and credit for employment and enterprise generation among the urban poor.

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National Urban Social Assistance Programme (NUSAP)

The Concurrent List of the Constitution of India refers issues of social security, insurance, employment, unemployment, and labour welfare including conditions of work, provident funds, employers' liability, workmen's compensation, invalidity and old age pension, and maternity benefits. Social security programmes of the government of India for the poor have long focused on programmes such as rural employment guarantee through the National Rural Employment Guarantee Act (NREGA), 2005, insurance for informal sector workers through the Rashtriya Swastha Bima Yojana (RSBY), and social assistance benefits for poor households focusing on the aged, widows, and the disabled through the National Social Assistance Programme (NSAP).

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CHAPTER 2 WORKING OF DIFFERENT ORGANISATIONSBHOPAL MUNICIPAL CORPORATIONLocation

BHOPAL Municipal Corporation abbreviated as ‘BMC’ is the municipal corporation for the capital city of Madhya Pradesh. It is located in the heart of the capital city of Bhopal, near the upper lake. BMC is situated at following distances from the prominent landmarks within the city.

Bhopal Railway Station: 3.3kms Raja Bhoj (Bhopal) Airport: 11.7kms Habibganj Railway Station: 7.5kms

About BMC is responsible for the maintenance and development of the civic infrastructure and administration in the Bhopal city. It administers an area of about 648.24km2. This is termed as the municipal boundary or the municipal limit.

Majlis-e-intezamia was the Mosque name of first municipal body of Bhopal, which came into being in 1907 in the erstwhile Bhopal State. The funding for the different projects under BMC is done in collaboration with the public sector undertakings or with the private entities.

HISTORY OF BHOPAL MUNICIPAL CORPORATIONBMC was initially Bhopal Municipality, a 20 member committee headed by a non – governmental president. First city survey was conducted in 1916 after the enactment of Municipal act. The Municipal Board was constituted for the first time in 1952 with Shri. Abdul karim Babu Miya as president and Shri. Deendayal as vice-president of Bhopal. Up to 1956 the area under Bhopal Municipal limit was very small, but after that few more surrounding villages were added to it. Further, it was upgraded to a Municipal Council with an IAS as the chief administrator.

The area under the Bhopal Municipal Corporation expanded to 71.23km2 by 1975. Finally, in 1983 Municipal Corporation was formed with 56 wards and Mr. R.K. Bisaria as the first mayor. Further, by 1999, 66 wards were added to the municipal limits. Currently, Bhopal Municipal Corporation holds 72 wards under its jurisdiction.

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Master Plan (TNCP)

Schemes (BMC)

Permission from IAS

Acquisition of land

ORGANISATION STRUCTUREAt the organisation level Authority is sub divided into two parts:

1. Administrative level1. Revenue Department: Headed by Revenue Inspector2. Food Department : Headed by Food Inspector3. Women and Child Development4. Sanitation Department : Headed by Sanitation Inspector5. Public Work Department: Headed by Assistant Engineer6. General Administration :Headed by Office Sectary7. Water Supply

These departments have sub heads and field workers along with head of the department.

2. Public Representative1. Adhyaksh : Elected at town/city level2. Upadhyaksh: Elected at town/city level3. Sabhapati: For each of the seven Departments and elected among Paarshad4. Paarshad: Elected at ward level

Headed by an IAS officer.

Council consists of:

Mayor Chairman Mayor board Corporators

Organisation works with collaboration of both these units the public representative one interact with public and find out the solution and at the department level get merged with administration and work.

FUNCTIONSPlanning Functions and Management and Disposal of Property

Preparation of schemes for the execution of these plans. Preparation of housing schemes and execution of other plans. Registration of properties and Launching of housing schemes. Allotment of developed plots and houses Maintenance of properties under its jurisdiction

Development Control Acquisition of land if approved by IAS. Power to stop, seal, demolish and remove encroachments/ unauthorized construction Approval of layouts

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Development, Construction and Maintenance of Amenities & Services Infrastructure development related to water supply, drainage, sewerage, electricity, parking, street

lighting, etc. Provision of different commercial and community facilities Slum improvement and redevelopment schemes, and their execution. Development of community spaces. Timely maintenance of amenities and services and balancing of funds

Departments of BMC

Public Works This department is responsible for public works, maintenance of civic amenities and comprises of the Mechanical division and the Electrical division

Revenue and Tax This department is responsible for the collection of revenue and all kinds of taxes including property tax, housing tax etc. within the city

Water SupplyThis department is responsible for the supply of fresh water, cleaning of water pipelines, up keeping and fixing of leakages in water pipes, cleaning and management of lakes across the city

Planning and Development This department is responsible for the civil infrastructure and other infrastructure projects

Fire Brigade This department is responsible for the availability of fire brigades and ensures their timely availability to tackle high rising flames

Health and Sanitation This department is responsible for providing medical facilities, sewage cleaning, cleaning of city, maintenance of public toilets and bathrooms

Finance and Accounts This department is responsible for the finance and accounts for various projects in the city

Garden This department is responsible for the maintenance of parks and gardens, planting new varieties of herbs and shrubs, cutting and trimming of hedges etc.

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General Administration This department is responsible for the recruitment process and for creating awareness about issues and delivering a transparent system for the people of Bhopal.

Heritage Cell This department is responsible for the management of heritage in the city

Public Relations This department governs public relation in Bhopal

Computer To enhance e-governance in the city .

Roles and Responsibilities of Development Authority• Helps to keep the upkeep of civil infrastructure and administration of the city.• Responsible to look after the public works of the city.• Responsible for all the revenues and taxes.• BMC administers the work of cleaning and management of the lakes in Bhopal city.• Accountable for water supply in the city.• Accountable for the planning and development of the city.• Controls the fire brigade.• Looks into the health and sanitation of all.• Manages finance and accounts for various aspects of the city.• Responsible for the management of heritage in the city.• Maintenance of gardens and parks.• Governance of public relation in Bhopal.• Governance of general administration in the city.

Powers of Development Authority• Power for any type of development control action after approval from IAS or chief advisor.• Power to provide amenities and services or carry out development.• Power to levy development charges and land use conversion charges.• Power to levy toll on amenities.• Power to grant license for development on land.• Power to make schemes.

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BHOPAL DEVELOPMENT AUTHORITYObjectives of development authorities are-

Promote and secure the development of the development area according to plan Acquire, hold, manage & dispose of land & other property Carry out building, engineering, mining and other operations Execute works in connection with the supply of water and electricity, to dispose of

sewage Provide and maintain other services and amenities Do anything necessary or expedient for purpose of such development

BHOPAL DEVELOPMENT AUTHORITYINTRODUCTIONApex body for planning and co-ordination of development activities in MP comprising of Bhopal and its influence area. It conceives, promotes and monitors the key projects for developing new growth centres and brings improvement in sectors like transport, housing and water supply in the region.

REASON FOR ESTABLISHMENTUntil 1973, the city had a 'City Improvement Trust', to assist the Bhopal municipal body in its developmental activities. In 1973, the Improvement Trust converted to Bhopal Development Authority (BDA) under the Madhya Pradesh Town and Country Planning Act, 1973.

Primarily, BDA develops new residential areas, responsible for developing basic infrastructure.

Once a sizable number of plots are sold, the area is formally transferred to BMC, which is then responsible for the maintenance of the infrastructure in the area. BDA transfers the developed Residential areas to BMC for maintenance.

BDA has taken up a number of development schemes like construction of some major roads, traffic squares etc.

The Constitution of the Body of BDA is done by State Government where members are notified as the provisions of the Act; Commissioner BMC is member of the BDA Board in that capacity.

BDA AND ITS POWERSThe BDA functions directly under the jurisdiction of the Madhya Pradesh State Government and is an independent body otherwise.

The BDA works in the field of-

1. Sanitation2. Water supply3. Road network and,4. Housing

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MAIN FUNCTIONS1. Master Plan implementation- it is one of its main function as after the approval of the master plan by

T&CP department it is the work of BDA to do the implementation.2. NOC is given from this department(Gives NOC)3. Affordable housing (for LIG, EWS only)- These houses can be sold at range of 5 lakhs-10 lakhs only. No

variation other than this is allowed.4. Maintenance of roads(All coming in the municipal limits of Bhopal)5. Design approval – Sewage6. Building permissions are also given in this department7. Land based government policies are handled by the department.8. Land is given on lease basis.9. Scheme Coordination and land use.

ORGANISATIONAL STRUCTURE

Figure 1 slum population

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Authority Board

Chairman

CEO

Sub CEO

PLANNING

BRANCH

Main Architectu

ral Planner

Architectural

Assistant Planner

TECHNOLOGY BRANCH

Superintending

Engineer

EE

Assistant Engineer

Sub Engineer

REVENUE BRANCH

Property Officer

Revenue Officer

ACCOUNTS

Account Officer

Accountant

ADMINISTRATIVE

BRANCH

Administrative

Officer

Superintendent

PROCESSES IN BDA• Acquisition of government land

• Formulation of schemes

• Approval from TNCP

• Building permission from BMC

Note: - financing of projects is done via the govt. land.

• Jurisdiction upon the planning area of Bhopal

• Over 25 running schemes and projects

PARAMETERS ON WHICH BDA WORKS Sanitation- Jurisdiction over the sanitation system of the colonies developed under the DEVELOPMENT

AUTHORITY. Design Approval of Sewerage systems Water Supply- Installation of overhead tanks in their colony and the demand water supply lines from

the BMC. Road Network- : Development of the roads which are given to them by the state govt. and the roads

around the projects developed by them. Ex: ring road around AEROCITY. Housing- Affordable Housing. Provides building permits. Gives NOC for distribution of Plots. Checks

that the construction takes place in accordance to the bye laws.

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CHAPTER 3 -PUBLIC PRIVATE PARTNERSHIP MODEPublic-private partnership (PPP) is a funding model for a public infrastructure project such as a new telecommunications system, airport or power plant. The public partner is represented by the government at a local, state and/or national level. The private partner can be a privately-owned business, public corporation or consortium of businesses with a specific area of expertise.

PPP is a broad term that can be applied to anything from a simple, short term management contract (with or without investment requirements) to a long-term contract that includes funding, planning, building, operation, maintenance and divestiture. PPP arrangements are useful for large projects that require highly-skilled workers and a significant cash outlay to get started. They are also useful in countries that require the state to legally own any infrastructure that serves the public.

MODELS OF PPPDifferent models of PPP funding are characterized by which partner is responsible for owning and maintaining assets at different stages of the project. Examples of PPP models include:

Design-Build (DB): The private-sector partner designs and builds the infrastructure to meet the public-sector partner's specifications, often for a fixed price. The private-sector partner assumes all risk.

Operation & Maintenance Contract (O & M): The private-sector partner, under contract, operates a publicly-owned asset for a specific period of time. The public partner retains ownership of the assets.

Design-Build-Finance-Operate (DBFO): The private-sector partner designs, finances and constructs a new infrastructure component and operates/maintains it under a long-term lease. The private-sector partner transfers the infrastructure component to the public-sector partner when the lease is up.

Build-Own-Operate (BOO): The private-sector partner finances, builds, owns and operates the infrastructure component in perpetuity. The public-sector partner's constraints are stated in the original agreement and through on-going regulatory authority.

Build-Own-Operate-Transfer (BOOT): The private-sector partner is granted authorization to finance, design, build and operate an infrastructure component (and to charge user fees) for a specific period of time, after which ownership is transferred back to the public-sector partner.

Buy-Build-Operate (BBO): This publicly-owned asset is legally transferred to a private-sector partner for a designated period of time.

Build-lease-operate-transfer (BLOT): The private-sector partner designs, finances and builds a facility on leased public land. The private-sector partner operates the facility for the duration of the land lease. When the lease expires, assets are transferred to the public-sector partner.

Operation License: The private-sector partner is granted a license or other expression of legal permission to operate a public service, usually for a specified term. (This model is often used in IT projects.)

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Finance Only: The private-sector partner, usually a financial services company, funds the infrastructure component and charges the public-sector partner interest for use of the funds.

PPP MODE – A CASE STUDY OF AMRITSAR INTERCITY BUS TERMINAL

Project Description

Located along the Grand Trunk (G.T.) road, Amritsar city is not only the spiritual centre for the Sikh community but has traditionally been a hub for trade related activities in this region. Given the city’s religious heritage, Amritsar attracts large number of tourists (as high as 50,000 per day) who visit the Golden Temple. The proximity of Amritsar to the Wagah (India-Pakistan) border has also provided an opportunity for it to develop as a trading centre for cross border commercial activities. In addition, a significant section of the local population uses public transport such as buses for movement across the state. These factors have had a growing impact on the existing urban infrastructure, especially the transport infrastructure. Spread on an area of 8.5 acres, the existing bus terminal of Amritsar city, which functioned as an intercity terminus, was established in 1965 on the G.T. Road. This bus terminal complex included all administrative areas, passenger waiting areas as well as amenities. As per the bus schedules drawn up by the Department of Transportation (DoT), Government of Punjab (GoP), there were as many as 1,800 to 2,000 bus arrivals per day at the Amritsar bus terminal. With the growing demand pressures, traffic at the terminal far outstripping the available facilities and the existing terminal building being in a state of disrepair, the DoT, GoP facilitated by the Punjab Infrastructure Development Board (PIDB) decided on modernising and developing the existing Amritsar bus terminal through the Build, Operate, Transfer (BOT) route. This project was among the first bus terminal projects in India to be built and operated by the private sector through the BOT route. The Intercity Bus Terminal of Amritsar city was developed at the same location as the existing bus terminal. The project involved demolishing the existing terminal building and complex and development of a modern state of the art Intercity Bus Terminal to cater to the growing demands of the city. The project is under operation by a private operator for a period of 11 years and 5 months, which includes the construction period. At the end of the concession period, the project will transfer back to the concessioning authority free of all encumbrances. PPP structure of the Project Through a two stage bidding process, DoT, GoP awarded the contract to Rohan Rajdeep Infrastructure (a partnership between Rohan Builders (India) Pvt Ltd., Rajdeep Buildcon Pvt Ltd and Rajdeep Road Developers Pvt. Ltd.) to undertake the development and operation of a modern bus terminal at Amritsar

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on a BOT basis. Subsequent to signing of the concession agreement, the private operator established a Special Purpose Vehicle (SPV) called the Rohan Rajdeep Infrastructure (India) Pvt Ltd. for executing the project. Under the concession agreement, the private operator was responsible for finance, building, operations and maintenance of the Amritsar Intercity Bus Terminal complex for a concession period of 11 years and 5 months. The private operator was required to pay a project development fee of ` 35 lakhs for the project site lease and a lease rental of ` 50,000 per month for use of the project site over the concession period.

Current Status

Subsequent to the signing of the concession agreement in February 2004, Rohan Rajdeep Infrastructure (India) Pvt. Ltd. was able to complete project development before the predetermined time frame and the Amritsar Intercity Bus Terminal complex was commissioned in October 2005. The project is operational. The bus terminal presently services, on an average, 1,100 normal buses and 600 mini buses a day and about 80-100 buses are parked within the Terminal complex overnight. While the Bus Terminal was expected to handle 2,000 to 3,000 buses per day, it presently handles approximately 1,700 buses a day. One of the reasons for these lower bus numbers is the inability of the private operator to ensure that all buses use the Intercity Bus Terminal facilities as per the schedules.Financing Information: The project cost for the Amritsar Intercity Bus Terminal was expected to be approximately ` 19 crores at the time of project conception. But on account of an escalation in input costs during the construction period and quality assurances maintained by the private operator, the project cost finally worked out to ` 21.34 crores. Of this amount, the debt component was ` 12 crores of 11 years tenure while the equity component was ` 9.34 crores.

Process Analysis

Inception:

Given the growing pressure on the existing transport infrastructure at the bus terminals in Punjab and the dismal state of the existing bus terminal buildings, the Government of Punjab decided to modernise bus terminals in Amritsar and Jalandhar through a private operator. With the objective of modernising the existing bus terminal in Amritsar city, the Department of Transport, GoP facilitated by the PIDB appointed project advisors to configure and structure the project as well as assist in the bid process. Given the large volumes of traffic at the Amritsar Intercity Bus Terminal and extensive use of the terminal by private bus operators who were currently paying “adda fees”, it was believed that if the Government operated buses were also required to pay such “adda fees” then a secure revenue stream could be provided to the private operator resulting in a financially viable model for modernisation of the Amritsar Intercity Bus Terminal through the BOT route. In a number of other bus terminal projects, commercial real estate development was coupled with the development of the bus terminal facility. However in the case of Amritsar, a

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conscious decision was made not to include commercial real estate development along with the development of the Intercity Bus Terminal primarily on account of the existing congestion in and around the project site. Hence the project concept was to develop a modern Intercity Bus Terminal at Amritsar which would provide a comfortable and convenient environment for passengers to travel to and from Amritsar. It was to be financed, built, operated and maintained by the private operator. In return the Government was to receive a monthly lease rental from the private operator for use of the project site as well as a one time project development fee. Procurement: Based on the scope of work and project configuration identified, a two stage bidding process was adopted. The RFQ for the project was issued on 28th November 2002 and 16 bids were received of which 14 prequalified to the RFP stage. The RFP for the project was issued in April 2003 and a proposal security in the form of a bank guarantee for ` 10 lakhs was sought. To avoid any ambiguities in bid evaluation with respect to different bus terminal designs, the Amritsar Intercity Bus Terminal design was frozen at the time of issue of RFP and the bid variable was defined as the concession period. The private operator demanding the lowest concession period while meeting the project criteria was to be identified as the successful bidder. At the RFP stage four bids were received. Subsequent to meeting the evaluation criteria specified in the RFP document, Rohan Rajdeep Infrastructure Developers Pvt. Ltd was declared the successful bidder and was issued a notice of award for the concession agreement in September 2003. In February 2004 the concessioning authority - the Secretary, Department of Transport, Government of Punjab - entered into a concession agreement with Rohan Rajdeep Infrastructure Developer Pvt. Ltd. for a period of 11 years and 5 months which included the project construction period.

Development:

The project development was undertaken in two stages. The first was the Conditions Precedent period of 90 days and thereafter the Construction period of 18 months. Conditions Precedent: As per the concession agreement, the private operator and the concessioning authority were required to fulfil the terms of the Conditions Precedent within 90 days of signing of the concession agreement which could be extended based on mutual consent. The concessioning authority was required to undertake the following: • Support the project through issue of necessary notifications authorising the private operator to collect “adda fees” from buses using the Intercity Bus Terminal. 141• Given the impact of the “adda fees” on the financial viability of the project, issue necessary notifications to make it mandatory for all intercity buses to halt and provide for embarkation and disembarkation of passengers within the Amritsar Intercity Bus Terminal complex. • Facilitate the transfer of land at the project site from theAmritsar Municipal Corporation to GoP and thereafter possession under a lease to the private operator along with the registration of the land lease. • Temporary shifting of the existing bus terminal to a different location. The private operator on his part was required to: • Obtain all necessary clearances and approvals, • Furnish the performance security and bank guarantees as well as pay the project development fee of ` 35 lakhs to the concessioning authority.

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• Ensure financial closure of the project and submit proof of the same to the concessioning authority. The concession terms specified that both the parties were required to issue compliance certificates regarding attainment of Conditions Precedent. Based on the issue of such compliance certificates by both parties, the concessioning authority was required thereupon to issue a notice to commence to the private operator.

Construction:

Keeping in mind the financial viability of the project, the concessioning authority agreed that during the concession period, it would not undertake, on its own or permit any other private operator, to develop a similar Intercity Bus Terminal within a 10 km radius of this project. During the construction period, it was also responsible for construction, operations and maintenance of a temporary bus terminal at a separate location. Within 30 days of receiving the notice of commencement, the private operator was required to mobilise resources to undertake construction activities. The project was to be developed based on the standards specified in the concession agreement. The private operator was required to prepare, maintain and get necessary approvals of the detailed drawing regarding the project design. As per the concession terms, the private operator was required to institute a quality assurance system of record keeping and timely inspection and was also required to submit monthly progress reports to the concessioning authority. The construction was required to be completed within 18 months of commencement. The private operator was able to complete the work and commission the Intercity Bus Terminal within 17 months itself. Necessary tests were carried out by the concessioning authority prior to issue of completion certificate. Two months prior to the end of the construction stage, the private operator was given the right to advertise license allotments for the passenger amenities in the Intercity Bus Terminal.

Delivery:

The Amritsar Intercity Bus Terminal construction was completed and commissioned in October 2005. The Intercity Bus Terminal includes 53 embarkation and 8 disembarkation bays covering long distance and local bus routes. The Terminal has parking provision for 54 cars, 102 rickshaws/autos and 1838 two-wheelers / cycles and 300 passenger seating berths. In addition to basic bus terminal facilities, the Intercity Bus Terminal has other commuter requirements in terms of convenience stores, refreshment stalls etc. For the convenience of passengers as well as drivers, provision for 10 dormitories has been made. Subsequent to receiving the completion certificate from the concessioning authority, the O&M period for the project commenced. During this period, the private operator was required to operate and maintain the project based on the performance standards laid down in the concession agreement. The private operator was also required to deploy necessary trained staff to undertake operations of the Intercity Bus Terminal. The private operator had the right to levy, collect, retain 142 Public Private Partnership projects in India Compendium of Case Studies “adda fees” from all buses using the Intercity Bus Terminal as well as user charges for amenities provided to passengers based on the rates specified in the concession agreement. Monthly traffic reports covering the daily “adda fees” collections and bus traffic movements had to be

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submitted to the concessioning authority. For the duration of the concession period, the private operator had to pay a monthly lease rental of ` 50,000 to the concessioning authority for lease of Intercity Bus Terminal site.

Exit:

At the end of the concession period all immovable and movable property relating to the project will transfer to the concessioning authority, free of all encumbrances. The concessioning authority will be entitled to appoint a consulting engineer, six months prior to the termination date, for inspection of the terminal facilities. The concessioning authority will issue a vesting certificate as proof of transfer of all rights, titles and interests in the Amritsar Intercity Bus Terminal assets and facilities.

12TH FIVE YEAR PLAN PPPP MODEOne of the main reasons of Mahatma Gandhi’s success while leading the freedom movement was that he could involve people on a very large scale in the movement for independence. Similarly for any Government to be successful, public participation in policy formation as well as execution is a must. Unless people partner the Government in its initiatives, many a goals remain on paper and may not yield desirable results. Perhaps one of the lesser known reasons behind the success of Narendra Modi has been his ability to make development a mass movement by empowering people & harnessing their potential for the success of government’s efforts.

When you make people part of the policy formulation and also make partner in execution, the people assumes the ownership of the project and hence will leave no stone unturned to make the programme successful. Narendra Modi has always remained committed to make policy initiatives or project executions a “Jan Andolan” (Peoples’ movement) with total Jan Bhagidari (Peoples’ participation).

While certain initiatives like Vanche Gujarat, Beti bachao, Vave Gujarat, Samaydan though initiated and supported by Government, were more or less designed, successfully executed and even to major extent funded by people themselves at local level.

Narendra Modi’s style of functioning and public-oriented governance is based on reviving people’s lost pride and diverting the emerging latent energy on that account towards development and human endeavours.

ANUSHA FATIMA - MAULANA AZAD NATIONAL INSTITUTE OF TECHNOLOGY , BHOPAL

As a part of empowering people and pro active and pro people governance, in Gujarat, the administration goes to people, may it be for enrollment of girl students, distribution of tools and kits to skilled workers or for total health checkup of children in schools.

In Vanche Gujarat (Read Gujarat) which has been one of its first kind of project in India and perhaps globally to inculcate reading habits amongst people and particularly children met phenomenal success largely because of large scale Jan Bhagidari. For the first time in state history the executive responsibility was assigned to non government officers i.e. citizens. Not only that at district and taluka level it was totally funded by people through these committees. While this unique and innovative movement in itself needs a dedicated research, it is because of this mass movement it could inspire 25 lakh children to read 10 million books in a span of 8 months and a record was created by 6 million people by reading collectively together for one hour in public places .

Samydaan was also an initiative where during celebration of 50 years of Gujarat’s inception people took vows to donate time for public service of their choice and by its implementation huge human resources were invested in various projects One Swarnim Sankalp by each Gujarati in the service of Gujarat / India which he asked from people during celebration of fifty years was another contribution by people in the march towards peace, progress and development.

Beti Bachao Abhiyan (Save the Girl Child) has been another wonder. By igniting and sensitizing & touching the hearts of the people, he inspired a large number of social organizations and NGOs to take up this mammoth task. The motivation has been so powerful that it has till date remained a flagship programme of some very powerful social organizations. Much of the reason for the rising sex ratio at birth is the outcome of this mass movement. It is needless to say that though there may be acts and rules but social reforms can only be brought about by Jan Jagruti and Jan Andolan.

ANUSHA FATIMA - MAULANA AZAD NATIONAL INSTITUTE OF TECHNOLOGY , BHOPAL

Under the Vave Gujarat thought world record has been created by planting more than a million trees in Ahmedabad in a single day, that too by people on their own with logistical support by government.

The rehabilitation of earthquake damaged Gujarat and Kutch in particular is subject research in many spheres and dimensions. The way Kutch has been revived and is marching ahead is a story which unfortunately has not been adequately covered. But it is a glorious tale of people’s participation and public partnership, may it be housing, health, education, adoption of orphan children or even physical infrastructure. It is needless to state that it was the vision and courage of pro active Chief Minister who not only designed pro active and pro people policies but also decentralized power to administrative machinery in partnership with public and people at large.

ANUSHA FATIMA - MAULANA AZAD NATIONAL INSTITUTE OF TECHNOLOGY , BHOPAL

An unprecedented experiment in India’s history was celebration of national festivals like 15th August & 26 January and at a different district every year. The celebrations of national festivals which had become Government programmes without any public participation and had remained mere routine formalities were transformed into a people’s movement for patriotism resulting into devotion and commitment to nation. It not only rekindled the government machinery but also brought about oceans of enthusiasm in people who saw government working at their doorstep, bringing out everybody’s involvement and which gave opportunities to children, artists and cultural organization at local level for exhibiting talent and thereby nourishing the talent. This also created pride among people, bringing in oneness and ushering in development in far-flung areas.

Thus by unearthing peoples’ power, the tremendous strength of Jan Shakti has resulted into Shri Narendra Modi’s vision of bringing peace, prosperity and growth in Gujarat. The development model evolved in Gujarat in the last decade has been a cynosure of many eyes. It is not being seen as a model just for other Indian states but also for the entire developing world. He has made people partners in the process, rather than mere recipients at the end.

CHAPTER 4- APPROACHES IN PLANNINGPlanning Theory is the body of scientific concepts, definitions, behavioral relationships, and assumptions that define the body of knowledge of urban planning. There are eight procedural theories of planning that remain the principal theories of planning procedure today: the rational-comprehensive approach, the incremental approach, the transactive approach, the communicative approach, the advocacy approach, the equity approach, the radical approach, and the humanist or phenomenological approach

PARTICIPATORY PLANNING

Participatory planning is an urban planning paradigm that emphasizes involving the entire community in the strategic and management processes of urban planning; or, community-level planning processes, urban or rural. It is often considered as part of community development.[11] Participatory planning aims to harmonize views among all of its participants as well as prevent conflict between opposing parties. In addition, marginalized groups have an opportunity to participate in the planning process

INCREMENATLISMBeginning in the late 1950s and early 1960s, critiques of the rational paradigm began to emerge and formed into several different schools of planning thought. The first of these schools is Lindblom’s incrementalism. Lindblom describes planning as “muddling through” and thought that practical planning required decisions to be made incrementally. This incremental approach meant choosing from small number of policy approaches that can only have a small number consequences and are firmly bounded by reality, constantly adjusting the objectives of the planning process and using multiple analyses and evaluations. Lane (2005) explains the public involvement implications of this philosophy. Though this perspective of planning could be considered a large step forward in that it recognizes that there are number of “public interests” and because it provides room for the planning process to be less centralized and incorporate the voices other than those of planners, it in practice would only allow for the public to involved in a minimal, more reactive rather than proactive way.

ANUSHA FATIMA - MAULANA AZAD NATIONAL INSTITUTE OF TECHNOLOGY , BHOPAL

MIXED SCANNING MODELThe mixed scanning model, developed by Etzioni, takes a similar, but slightly different approach. Etzioni (1968) suggested that organizations plan on two different levels: the tactical and the strategic. He posited that organizations could accomplish this by essentially scanning the environment on multiple levels and then choose different strategies and tactics to address what they found there. While Lindblom’s approach only operated on the functional level Etzioni argued, the mixed scanning approach would allow planning organizations to work on both the functional and more big-picture oriented levels. Lane explains though, that this model does not do much more at improving public involvement since the planner or planning organization is still at its focus and since its goal is not necessarily to achieve consensus or reconcile differing points of view on a particular subject.

By the late 1960s and early 1970s, planners began to look for new approaches because as happened nearly a decade before, it was realized that the current models were not necessarily sufficient. As had happened before, a number of different models emerged. Lane (2005) notes that it is most useful to think of these model as emerging from a social transformation planning tradition as opposed to a social guidance one, so the emphasis is more bottom-up in nature than it is top-down

TRANSACTIVE PLANNINGTransactive planning was a radical break from previous models. Instead of considering public participation as method that would be used in addition to the normal training planning process, participation was a central goal. For the first time, the public was encouraged to take on an active role in the policy setting process, while the planner took on the role of a distributor of information and a feedback source. Transactive planning focuses on interpersonal dialogue that develops ideas, which will be turned into action. One of the central goals is mutual learning where the planner gets more information on the community and citizens become more educated about planning issues

ADVOCACY PLANNINGFormulated in the 1960s by lawyer and planning scholar Paul Davidoff, the advocacy planning model takes the perspective that there are large inequalities in the political system and in the bargaining process between groups that result in large numbers of people unorganized and unrepresented in the process. It concerns itself with ensuring that all people are equally represented in the planning process by advocating for the interests of the underprivileged and seeking social change. Again, public participation is a central tenet of this model. A plurality of public interests is assumed, and the role of planner is essentially the one as a facilitator who either advocates directly for underrepresented groups directly or encourages them to become part of the process

BARGAINING MODELThe bargaining model views planning as the result of give and take on the part of a number of interests who are all involved in the process. It argues that this bargaining is the best way to conduct planning within the bounds of legal and political institutions.The most interesting part of this theory of planning is that makes public participation the central dynamic in the decision-making process. Decisions are made first and foremost by the public, and the planner plays a more minor role.

ANUSHA FATIMA - MAULANA AZAD NATIONAL INSTITUTE OF TECHNOLOGY , BHOPAL

COMMUNICATIVE APPROACHThe communicative approach to planning is perhaps the most difficult to explain. It focuses on using communication to help different interests in the process understand each other. The idea is that each individual will approach a conversation with his or her own subjective experience in mind and that from that conservation shared goals and possibilities will emerge. Again, participation plays a central role under this model. The model seeks to include as a broad range of voice to enhance the debate and negotiation that is supposed to form the core of actual plan making. In this model, participation is actually fundamental to the planning process happening. Without the involvement of concerned interests there is no planning.[10]

Looking at each of these models it becomes clear that participation is not only shaped by the public in a given area or by the attitude of the planning organization or planners that work for it. In fact, public participation is largely influenced by how planning is defined, how planning problems are defined, the kinds of knowledge that planners choose to employ and how the planning context is set.[10] Though some might argue that is too difficult to involve the public through transactive, advocacy, bargaining and communicative models because transportation is some ways more technical than other fields, it is important to note that transportation is perhaps unique among planning fields in that its systems depend on the interaction of a number of individuals and organizations

REFERENCES• http :// www.swaniti.com/wp-content/uploads/2014/05/RAY_edited_formatted.pdf

• http://mospi.nic.in/rept%20_% 20pubn/486_final.pdf ( NSSO definition )

• City alliance report – 2003

• Planet of slums- mike dewis

• World population prospect – 2015

• HPEC report- H.J . Ahluwalia

• NSSO report – slum survey -2008-2009

• Amitabh kundu – trends and processes of urbanization n India

• Compendium of Government of India

• http://planningcommission.gov.in/plans/planrel/12thplan/pdf/12fyp_vol2.pdf

ANUSHA FATIMA - MAULANA AZAD NATIONAL INSTITUTE OF TECHNOLOGY , BHOPAL

ANUSHA FATIMA - MAULANA AZAD NATIONAL INSTITUTE OF TECHNOLOGY , BHOPAL