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Press Information Bureau =
Government of=20 India

Saturday, September 12, = 2009
  Ministry of Housing = and Urban=20 Poverty Alleviation  
 
MINISTRY OF = HOUSING AND=20 URBAN POVERTY ALLEVIATION ISSUES GUIDELINES FOR SURVEY & = PREPARATION=20 OF SLUM PROFILE, POVERTY PROFILE AND LIVELIHOOD PROFILE OF = CITIES/TOWNS=20
 
  15:15 IST  
 
 

 

           =20 The=20 Housing & Urban Poverty Alleviation and Tourism minister = Kumari Selja=20 today unveiled guidelines for survey & preparation of slum = profile,=20 poverty profile and livelihood profile of cities/towns to the = media on the=20 occasion of presenting Bharat Nirman Quarterly Report. Following = are the=20 guidelines.

 

1.        =20 Introduction

 

1.1       =20 The National Buildings Organization (NBO) has been = functioning as=20 an apex organization in the country for collection, tabulation and = dissemination of statistical information on housing and building=20 construction activities. Having regard to the changing = requirements under=20 various socio-economic and statistical functions connected with = housing,=20 construction, slum development, urban poverty alleviation and = related=20 activities, and also to ensure that the schemes of the Ministry of = Housing=20 & Urban Poverty Alleviation (MoHUPA) are supported with = appropriate=20 database, MIS and knowledge inputs, the National Buildings = Organization=20 was restructured in March 2006.

 

1.2       =20 The restructuring has assumed special significance in the = context=20 of the Jawaharlal Nehru National Urban Renewal Mission (JNNURM), = launched=20 on 3rd December 2005. JNNURM is the single largest = initiative=20 ever launched in the country to address the issues of urban = infrastructure=20 and basic services to the urban poor. The Mission will be = implemented over=20 a period of 7 years (2005-2012). The Government of India has = committed=20 Additional Central Assistance to States to the tune of Rs.50,000 = Crore.=20 The National Buildings Organisation is designated by MoHUPA as the = nodal=20 agency for coordination of appraisal, sanction, monitoring and = review of=20 projects under Basic Services to the Urban Poor (BSUP) and = Integrated=20 Housing & Slum Development Programme (IHSDP) components of = JNNURM.=20

 

1.3       =20 In view of the restructured role of NBO and the launching = of=20 JNNURM, it has been decided that NBO will coordinate the conduct = of=20 various types of socio-economic surveys required for the effective = implementation of JNNURM and other urban poverty alleviation = programmes=20 and preparation of statistical profiles on aspects relating to = urban=20 poverty, slums, housing, construction, projects taken up under = JNNURM etc.=20 at State and National levels.

 

 

2.        =20 Imperatives of JNNURM

 

2.1       =20 JNNURM comprises two broad segments, namely (i) the=20 Sub-Mission on Urban Infrastructure and Governance and (ii) the=20 Sub-Mission on Basic Services to the Urban Poor (BSUP) covering 63 = identified mega, metro, capital and cities of heritage and = historical=20 importance. The other cities and towns in the country are covered = under=20 the Urban Infrastructure Development Scheme for Small and Medium = Towns=20 (UIDSSMT) and Integrated Housing and Slum Development Programme = (IHSDP).=20 The Ministry of Housing & Urban Poverty Alleviation (MoHUPA) = is the=20 nodal Ministry for BSUP and IHSDP which cater to housing and basic = amenities for the urban poor, especially slum dwellers.

 

2.2       =20 The Basic Services to the Urban Poor (BSUP) and Integrated = Housing=20 & Slum Development Programme (IHSDP) aim at the integrated = provision=20 of the following basic amenities and services to the urban poor = and=20 slum-dwellers:

 

=A7 =20 Security=20 of tenure at affordable prices;

=A7 =20 Improved=20 housing;

=A7 =20 Water=20 supply;

=A7 =20 Sanitation;

=A7 =20 Education;=20

=A7 =20 Health;=20 and

=A7 =20 Social=20 security.

 

Education,=20 health and social security are to be provided through convergence = of=20 existing universal services of the Government. Care should be = taken to see=20 that the urban poor are provided housing near their place of = occupation.=20 Securing effective linkages between asset creation and asset = management is=20 a must to ensure optimal outcomes from the use of JNNURM and other = resources.

 

2.3       =20 JNNURM aims at achieving the following outcomes at the end = of the=20 Mission period by the Urban Local Bodies:

 

=B7        =20 Modern=20 and transparent budgeting, accounting, financial management = systems,=20 designed and adopted for all urban services and governance=20 functions;

 

=B7        =20 City-wide=20 framework for planning and governance will be established and = become=20 operational;

 

=B7        =20 All=20 urban poor people will have access to a basic level of urban=20 services;

 

=B7        =20 Financially=20 self-sustaining agencies for urban governance and service delivery = will be=20 established, through reforms to major revenue=20 instruments;

 

=B7        =20 Local=20 services and governance will be conducted in a manner that is = transparent=20 and accountable to citizens;

 

=B7        =20 e-Governance=20 applications will be introduced in core functions of ULBs = resulting in=20 reduced cost and time of service delivery = processes.

 

2.4       =20 Governance reforms are central to successful implementation = of=20 JNNURM. Linked to Government of India=92s support to States, they = are based=20 on an enabling strategy. JNNURM envisages a series of reforms at = the State=20 and Urban Local Body levels to address issues of urban governance = with a=20 view to providing basic amenities to the poor in a sustainable = manner.=20 BSUP and IHSDP contemplate the following three key reforms in = areas of=20 pro-poor governance:

 

  • Earmarking = at least 20-25% of developed land in all housing projects (both = public=20 and private Agencies) for EWS/LIG category with a system of=20 cross-subsidization;

 

  • Implementation=20 of 7-Popint Charter, i.e. provision of basic services to urban = poor=20 including security of tenure at affordable prices, improved = housing,=20 water supply, sanitation and ensuring delivery of already = existing=20 universal services of the Government for education, health and = social=20 security within the Mission period as per agreed timelines;=20 and=20

 

  • Internal=20 earmarking within local body budgets for basic services to the = urban=20 poor, eventually leading to the establishment of Basic Services = to the=20 Urban Poor Fund; and

 

These=20 reforms are to be undertaken in conjunction with other reforms = aimed at=20 creating an enabling framework for good urban governance for the=20 sustainable development and effective management of cities and = towns and=20 eradication of urban poverty.

 

2.5       =20 The essence of the above reforms are: (i) the urban poor = should be=20 enabled to have access to land and not squeezed out of land market = in the=20 face of sky-rocketing land prices; (ii) all basic services have to = be=20 provided to the urban poor based on agreed milestones and = deliberately=20 planned efforts to develop =93inclusive=94 cities; and (iii) a = dedicated=20 budget/fund be created at the city/state level to ensure steady = flow of=20 resources for urban poverty alleviation and slum upgradation, = including=20 provision of land and housing to the poor.

 

2.6      =20 JNNURM provides a new hope for the urban poor, including=20 slum-dwellers and disadvantaged sections of the urban society. The = 11th Five Year Plan has adopted inclusive growth as the = new=20 paradigm of development in the country for the next 5 years. The = Plan=20 recognizes that economic growth must include focus on employment, = income=20 generation and inclusion of the poor to be sustainable. In the = context of=20 achieving the goal of inclusive growth, reforms are emphasized at = the=20 State and Urban Local Body levels under JNNURM to plan and achieve = a=20 vision of =93inclusive=94 cities. The Ministry of Housing & = Urban Poverty=20 Alleviation has already launched a national campaign for slum-free = and=20 poverty-free cities/towns under which every city/town would = prepare and=20 implement a time-bound action plan for the provision of basic = minimum=20 amenities and affordable housing to the urban = poor.

.=20

2.7       =20 JNNURM and programmes for urban poverty alleviation such as = Swarna=20 Jayanti Shahari Rozgar Yojana have to be implemented in = convergence with=20 other Government of India initiatives. The issues of quality = healthcare,=20 primary education, social security and the like will have to be = addressed=20 in conjunction with the provision of basic physical amenities in = slums and=20 low-income settlements by converging programmes to reduce urban = poverty=20 with the schemes of Health Mission, Sarva Siksha Abhiyan, Aam = Aadmi Bima=20 Yojana, Rashtriya Swasthya Bima Yojana, Prime Minister=92s = Employment=20 Generation Programme etc. Hon=92ble Prime Minister of India has = addressed=20 all the State Chief Ministers in the country to accord priority to = improving the conditions of the poor in cities and towns. = Hon=92ble Minister=20 for Housing & Urban Poverty Alleviation has also written to = Chief=20 Ministers of all States in the country to develop vision of = Slum-free=20 Cities and Towns, design and implement a time-bound action plan to = provide=20 all basic services to the urban poor in each city/town. The = preparation of=20 municipal level action plans will require a considerable amount of = data.   =20

 

 

3.        =20 Survey Objectives

 

3.1       =20 The Ministry of Housing and Urban Poverty Alleviation = (MoHUPA),=20 along with its attached office, namely the National Buildings=20 Organization, are engaged in design, implementation, monitoring = and=20 evaluation (DIME) of a variety of programmes and schemes = pertaining to=20 urban poverty alleviation. The advent of JNNURM has led to a = realization=20 that the data base for undertaking such a huge programme like = JNNURM is=20 grossly inadequate. JNNURM calls for the preparation of City = Development=20 Plans (CDPs) and meaningful development of CDPs requires a strong = data=20 base. In the absence of adequate and reliable data, the CDPs of = cities and=20 towns already prepared after the launching of JNNURM have not = adequately=20 addressed the concerns of the urban poor, especially = slum-dwellers. The=20 Ministry of Urban Development and the Ministry of Housing & = Urban=20 Poverty Alleviation are currently undertaking an exercise for the=20 preparation of second-generation CDPs.

 

3.2       =20 For the effective implementation of JNNURM and other = programmes=20 like Swarna Jayanti Shahari Rozgar Yojana (SJSRY), a large amount = of data=20 pertaining to the state of urban poverty and slums in various = parts of the=20 country needs to be collected. Given the enormity of the Mission = and the=20 magnitude of the issues posed by the multiple dimensions urban = poverty in=20 India, a need is perceived to systematize the data collected for = effective=20 design, implementation, monitoring and evaluation of schemes. The = data is=20 also proposed to strengthen the central statistical systems = pertaining to=20 urban poverty, slums and housing for a better understanding of the = issues=20 for dissemination at local, provincial, national and international = levels.

 

3.3       =20 The implementation of both projects and reforms under = JNNURM calls=20 for support to Central and State Governments and Urban Local = Bodies by way=20 of data base, MIS, action research and capacity building. There is = a need=20 for the development of a national information system and knowledge = base=20 with focus on urban poverty for the purpose of planning, = policy-making,=20 project formulation, implementation, monitoring and review, = especially in=20 the areas of slum development, provision of basic services to the = poor,=20 and affordable housing. This is in consonance with the objective = of the=20 11th Five Year Plan which has adopted =91inclusive = growth=92 as the=20 key development paradigm for the country.

 

3.4       =20 It is essential that for statistical, administrative and = other=20 reasons, the data relating to urban poverty, slums, livelihoods, = delivery=20 of civic amenities and housing to the poor are collected and = collated at a=20 single source. State Governments and Urban Local Bodies have been=20 conducting their own surveys and maintaining data base. However, = such data=20 lacks broad uniformity across the country

 

3.5       =20 In this background, it has been decided to provide part = financial=20 support the State Governments/ULBs for the development of Slums, = Urban=20 Poverty and Livelihoods Profiles including socio-economic surveys = under=20 the 1% JNNURM funds and Plan Scheme of Urban Statistics for HR = &=20 Assessments (USHA), being implemented by = NBO.

 

 

4.        =20 Role and Responsibility of ULBs

 

4.1       =20 The specific role and responsibility of the Urban Local = Bodies=20 (ULBs) will include, but not be limited to:

a.=20      = Preparation=20 of work plan, design and development of = survey.

b.      = Work plan=20 must clearly indicate tangible deliverables from each of the tasks = assigned along with the time frame.

c.=20      = Seeking=20 validation and approval of competent authority of the State=20 Government/SLNA.

d.=20      = Quality=20 assurance and testing of datasets created using approved formats,=20 including sampling size, criteria, coverage and measure of = representative=20 nature of sample, logical strength of findings, exceptions=20 etc.

e.      = Maintenance=20 of the data base on slum, poverty and livelihood=20 profiles.

f.=20      =20 Facilitate processes to ensure that the requirements of = urban poor=20 are adequately reflected with supporting database in the City = Development=20 Plans (CDPs) prepared by the city.

g.      = Facilitate=20 processes to ensure that the requirements of urban poor are = adequately=20 reflected with supporting database in the DPRs prepared by cities = under=20 JNNURM (BSUP & IHSDP).

h.      = Management=20 of funds received from Central and State Government for the=20 purpose

i.      =20 Submission of utilization certificates in the format as = prescribed=20 by the Ministry

 

4.2       =20 The formats of the slum, poverty and livelihood profiles to = be=20 undertaken by the ULBs are annexed.

 

 

5.        =20 Financing Pattern & Eligibility=20 Criteria

 

5.1       =20 National Buildings Organisation, Ministry of Housing and = Urban=20 Poverty Alleviation will provide a one time grant-in-aid for the=20 development of slums, urban poverty and livelihoods profiles = including=20 socio-economic surveys to the State Governments / Municipal = Corporations,=20 Municipalities and District Administration selected for Basic = Services to=20 Urban Poor (BSUP) and Integrated Housing & Slum Development = Programme=20 (IHSDP) in this First Round National Survey. This one-time grant = to State=20 Governments / UT Administrations for will be at the following = scales:=20

 

  • Rs.10=20 lakhs per city for cities with population more than 4 million,=20
  • Rs.=20 7 lakhs per city with population between 1 and 4 million,=20
  • Rs.5=20 lakhs per city for cities with population between 5 lakh and 1=20 million,=20
  • Rs.3=20 lakhs per city for cities with population between 1 lakh and 5 = lakhs and=20
  • Rs.2=20 lakhs per city for cities with population less than 1 lakh=20

 

5.2       =20 The costs will be fully met under Urban Statistics for HR = &=20 Assessments (USHA) scheme being implemented by NBO. Additional = amounts,=20 required if any, will have to be met by State Governments/Urban = Local=20 Bodies which have been undertaking surveys from time to time with = their=20 own funds =96 without any support from the Government of India so = far.  The present support = under USHA is=20 meant to incentivise the development of a national information=20 system.

 

 

6.        =20 Selection of Cities

 

State=20 Government will be supported for the development of slum, urban = poverty=20 and livelihoods profiles for all the 63 identified cities under = JNNURM=20 (BSUP) and other cities/towns covered under IHSDP as selected by = the State=20 Governments, in a phased manner. The selection will be made by the = State=20 Level Nodal Agency for JNNURM/Department dealing with = Municipalities. In=20 case of States where the nodal agency is located outside the = Municipal=20 Administration/Local Governments, coordination is a must with the=20 Department dealing with Urban Local Bodies.

 

 

7.        =20 Components Admissible

 

7.1       =20 The support from Ministry for the ULBs/District = Administration (in=20 case of States which are implementing JNNURM projects with = agencies other=20 than Urban Local Bodies) would be limited to: =

 

=96        =20 Development=20 of Slum Profile

=96        =20 Development=20 of Urban Poverty Profile

=96        =20 Development=20 of Livelihoods profiles

(including=20 socio-economic surveys).

 

7.2       =20 The following items are ineligible for = support from=20 NBO under USHA:

 

=96        =20 Capital=20 expenditure on equipment like computers, photo copier, telephone = etc.=20

=96        =20 Construction=20 / renovation of office space / office furniture =

=96        =20 Purchase=20 of vehicles

=96        =20 Regular=20 salary.

 

The=20 above items and other administrative costs will have to be borne = by the=20 State Government/Urban Local Body concerned. =

 

 

8.        =20 General Instructions

 

8.1       =20 The State Department in charge of Municipalities/ Urban = Local=20 Bodies or State Level Nodal Agency for JNNURM (BSUP/IHSDP) will = coordinate=20 the conduct of slum/poverty/livelihood surveys in cities and = towns. In=20 case the SLNA is located in a Department other than that dealing = with=20 Urban Local Bodies, a coordination mechanism should be in place = with the=20 assignment of a central role to the Urban Local Bodies (ULB). = Every=20 City/Town covered under the survey will designate a Nodal Cell = (drawing=20 personnel from Urban Community Development departments) for the = purpose of=20 survey with a team of supervisors headed by the Municipal = Commissioner /=20 Chief Executive of the City/Town. The resource persons engaged = under the=20 Project Implementation Unit (PIU) / UPA Cell in the ULB could be = assigned=20 the tasks of conducting training programmes / administering the = surveys=20 and providing technical support to the team.  At the Central level, = Director=20 (NBO) will be the overall in charge officer for the conduct of the = three=20 surveys across the country. At the State level, the concerned = Nodal Agency=20 / Department will identify a senior officer who will be in charge = of=20 coordinating with Director (NBO) and guiding the conduct of = surveys in the=20 State, compiling survey information and sending the required = details to=20 the Government of India. The Municipal Commissioner / Chief = Executive of=20 the city will be responsible for the actual conduct of surveys at = the=20 city/town level.

 

8.2       =20 The survey should be participatory duly involving community = structures like NHGs, NHCs & CDS and reputed NGOs working in = the area.=20

 

8.3       =20 Each supervisor will head a team consisting of 5-10 = investigators/=20 surveyors depending upon the population and area to be covered for = the=20 survey. The supervisor will be responsible for timely and accurate = canvassing of schedules and will frequently visit the field for = random=20 inspections. It shall be the duty of the supervisor to scrutinize = the=20 information collected by the investigators and make the necessary=20 corrections, if any. Once vetted/approved by the supervisor, the = PIU / UPA=20 cell/nodal cell in the municipal authority will compile the = information=20 recorded in the schedule.

 

Coverage:=20

 

=D8 =20 The=20 schedule is to be canvassed for each urban block having slum(s).=20

 

=D8 =20 Information=20 on each slum, (irrespective of whether notified or non-notified) = found in=20 the entire town/City will be collected. As per the state = government / ULB=20 identification the slum will be regarded as notified and non = notified slum=20 and the schedule will be canvassed accordingly. =

Structure=20 of the schedule

During=20 the survey, the following schedules of enquiry will be=20 canvassed:

Part=20 A:           &nbs= p; =20 General Information of Slum Area

 

Part=20 B:           &nbs= p; =20 Slum Profile of Urban Local Body

 

Part=20 C:           &nbs= p; =20 Particulars of Survey Operations

 

Part=20 A

 

Part=20 A of the schedule contains general information of the City/town = covered=20 under the survey. Part A of the schedule will be filled by the = nodal cell=20 in the municipal authority.

 

State=20 code:            &nbs= p;=20 A=20 2-digit unique code for each State/UT will be generated and = intimated by=20 the Ministry /NBO to all the States/UTs.

 

District=20 code:       =20  A=20 2-digit unique code for each district will be generated by the = state level=20 nodal agency responsible for conducting the survey. The SLNA will = intimate=20 the codes to each city/district prior to conduct of the survey. = The codes=20 adopted by the State Planning Departments based on Census = operations / for=20 State level surveys will be followed.

 

City/Town=20 code:   = A=20 2-digit unique code for each city/town of the district will be = generated=20 by the State Level Nodal Agency / Department responsible for = conducting=20 the survey. The SLNA / Department will intimate the codes to each=20 city/district prior to conduct of the = survey.

 

 

For=20 Example: WWXXYY

 

WW=20 =E0=20 code for the State as intimated by the = Ministry.

XX   =E0=20 code for the District as generated by SLNA / Nodal=20 Department.

YY   =E0=20 code for the City/Town/ULB covered for survey in the District as = generated=20 by SLNA / Nodal Department.

 

 

 

 

 

Part-B

 

Part=20 B of the schedule contains the general information of slums = located in the=20 city/town/ULB. The information will be filled in by the nodal cell = in=20 Urban Local Body for conduct of the survey in the municipal area.=20

 

=D8 =20 A=20 spatial/sketch map of the City/Town/ULB with location of every = slum will=20 be drawn indicating the location of the particular slum under = survey.=20

 

Part-=20 C

 

Part=20 C of the schedule contains particulars of the survey operation.=20

 

Remarks=20 by investigator: Any relevant remarks relating to the problems = encountered=20 in collecting the data will be recorded in this block by the = investigator.=20 If the investigator feels that certain information given by the = informant=20 is of doubtful nature, it may also be indicated with comments, if = any. Any=20 other comment, which may help to make proper assessment of the = entries=20 made in the schedule, may also be recorded = here.

 

Comments=20 by other supervisory officer: The views of the supervisory officer = on any=20 aspect pertaining to the characteristics under enquiry in this = schedule=20 relating to the household may be recorded in this block.=20

*****

 

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