DEVELOPMENT PLANNING UNIT, UNIVERSITY COLLEGE LONDON

ON THE RIGHT TRACK TO

TRANSFORMATION:
Relocation and Rehabilitation of Railway Slum
Dwellers under Mumbai Urban Transport Project
(MUTP)

REPORT PREPARED ON BEHALF OF DPU FOR THE SOCIETY FOR THE

PROMOTION OF AREA RESOURCE CENTRES (SPARC)

30TH MAY 2008

MSc Environment and Sustainable Development & MSc Urban Development Planning
Fieldtrip Mumbai, India

Waqas Batley Ogadinma Obianyor

Hannah Bishop Shivonne Peters
Desmond Kilroy Rajarshi Rakesh Sahai
Ronald Kraszewski Jasmin Sander
Katherine Lines Dilyara Satdinova
Chloe McLaren Webb Wilsa Wilson

35
ACKNOWLEDGEMENTS

We would like to sincerely thank everyone who has contributed to the completion of this
project. Firstly Adriana Allen for her guidance, support and feedback. Our gratitude goes to
the staff of the DPU for their constructive criticism that challenged us from the start; Eleni
Kyrou, Pascale Hoffman and Chris Jasko, and Caren Levy for her role as facilitator
throughout the project.

We would like to thank the members of SPARC for the opportunity to work with their
organisation for their knowledge, guidance and assistance. Special thanks to Mr. Sundar
Burra and Ms. Sheela Patel.

Finally we would like to thank the people in communities at Lallubhai and Mankhurd for
allowing us into their homes, lives and for sharing their personal experiences. Thank you to
Shehnaz Damad and Maria Lobo who, in addition to their role as translators, also shared
their personal experiences and provided us with invaluable information.

2
TABLE OF CONTENTS

Acknowledgements ………………………………………………………………………..2

Acronyms and glossary……………………………………………………………………..4

Executive summary………………………………………………………………………...5

Background………………………………………………………………………………...7

Terms of Reference………………………………………………………………………...8

Transformation Definition…………………………………………………………………9

Criteria……………………………………………………………………………………..9

Methodology……………………………………………………………………………...10

Limitations………………………………………………………………………………..12

Diagnosis………………………………………………………………………………….14

Proposal One……………………………………………………………………………...17

Proposal Two……………………………………………………………………………..19

Proposal Three……………………………………………………………………………20

Policy and Planning……………………………………………………………………….24

Conclusions……………………………………………………………………………….29

References……………………………………………………………...…………………31

Appendices………………………………………………………………………………..32

3
ACRONYMS AND GLOSSARY

BMC Bombay Municipal Corporation

CBO Community-based Organisation
CLIFF Community-Led Infrastructure Financing Facility
DPU Development Planning Unit, University College London
DisWES Displaced Women’s Empowerment Society
FSI Floor Space Index
GoM Government of Maharashtra
IR Indian Railway
MCGM Municipal Corporation of Greater Mumbai
MHADA Maharashtra Housing Area Development Authority
MM Mahila Milan
MMRDA Mumbai Metropolitan Regional Development Authority
MTSU Mumbai Transformation Support Unit
MUIP Mumbai Urban Infrastructure Project
MUTP Mumbai Urban Transportation Project
NGO Non-governmental Organisation
NSDF National Slum Dwellers Federation
PAP’s Persons Affected by Projects
PAH’s Person Affected Households
R&R Relocation and Rehabilitation
RSDF Railway Slum Dwellers Federation
RSD’s Railway Slum Dwellers
SPARC Society for the Promotion of Area Resource Centres
SRA Slum Rehabilitation Authority
SRS Slum Rehabilitation Scheme
SSI Semi-structured interview
TDR’s Transferable Development Rights
The Alliance NSDF, RSDF, MM and SPARC
ToR Terms of Reference
WB World Bank

4
EXECUTIVE SUMMARY

This report represents the review of the Mumbai Urban Transport Project and its effect on
the lives and livelihoods of people previously located along the railway tracks.

The MUTP project was aimed at improving the state of Mumbai’s transport system which in
the past was faced with problems of congestion, inefficiency, accidents and encroachment by
informal communities. As such, some 60 000 households needed to be relocated to facilitate
the expansion of the railway system under MUTP.

A twelve person team from the Development Planning Unit, University College London
were assigned by SPARC to explore the issue of transformation in the lives of railway slum
dwellers in Mumbai.

Over a five month period, from January to May, the team undertook secondary research
(including seminars, lectures and review of secondary material) as well as primary research in
the field (Mumbai) in order to understand the process of relocation and rehabilitation of
railway slum dwellers. The team conducted interviews with policy makers and other
influential actors to the transformation process and visited two sites which were home to
communities of relocated slum dwellers. (Lallubhai and Mankhurd).

The team’s findings proved that the relocation and rehabilitation process generally allowed
for the positive transformation in the lives of railway dwellers, most notably with respect to
community mobilization and empowerment, improvements to their living conditions as well
as their livelihoods. The findings also provided evidence that the process of R&R had not
positively influenced all persons affected by the MUTP project. In some instances, persons’
livelihoods have been negatively affected by their relocation; environmental conditions at
permanent housing settlements have deteriorated.

Consequently, the team concluded that several areas, both in practice and policy, needed to
be implemented and has consequently made three areas of recommendations to enhance
transformation under the R&R process. These include proposals to address the strain on

5
infrastructure and local services caused by population increase in new settlements,
strengthening the community’s physical and socio-cultural dimensions, and finally,
supporting existing livelihoods and creating new ones as a means to support community
members.

The report also suggests possible areas within the policy sphere where the long-term goals of
R&R can be incorporated to ensure a more holistic and sustainable transformative process.

6
BACKGROUND

Mumbai, the capital of the state of Maharashtra one of the richest in India has an increasing
population of 11.9 million people (census 2001). The city assumes the position of financial
and entertainment capital of the region and has the second highest price of land in the world.

The city is formed of seven islands which were merged together in a peninsular form
through extensive land reclamation and continues to grow northwards to form the Suburban
District (Appendix I). The city planning of Mumbai, often dubbed as ‘elitist’, has echoed
dominant capitalist interests, ensuring that the majority of land is used by the upper class
minority, whilst the poor are confined to sub-standard housing (slums) (Macalester, 2008).
The decline of industrial base of the city and a neo-liberal state has exacerbated issues of
poverty and slums.

The linear and fragmented landmass of the city depends heavily upon an overstrained railway
transport system that carries 6.3million people a day (MRVC, 2008). Trains are extremely
overcrowded, carrying roughly 5000 passengers in trains supposed to carry 1750 passengers.
Every year 3500 people - roughly 10 people a day, die due to the rail system. Accidents result
due to the close proximity between tenements and the tracks and the need for people to
cross the tracks to gain basic services, such as water. The Project, currently in its second
phase (due for completion in June 2009), has total investment of 45,260 million Indian
rupees (US$ 943 million). Figure one illustrates funding arrangements for MUTP phase I. It
aims to bring down the congestion in the trains, and provide faster and more efficient
service to the people of Mumbai. The project involves rehabilitation of 60,000 families,
giving project affected households an “honourable exit” (Sehgal, 2008) from the slums along
the railway tracks.

7
 Figure 1: Funding Arrangements for MUTP Phase I (adapted from MRVC 2008)

Terms of Reference
The main objective of this study was to address the costs and opportunities of relocation in
the transformation of living conditions of the railway slum dwellers within MUTP and
looking to the future for the railway slum dwellers still on the tracks. Proposals were formed
based on thorough analyses of the context. The Fieldtrip Report is intended to contribute to
the future work of the client-the Alliance, building upon previous studies by the DPU.

This report comes at an opportune time as MUTP has reached completion. The precedent
set by the rehabilitation of Railway Slum Dwellers and learning from the experiences of the
first phase of MUTP shall be carried forward and institutionalized in the next stage and for
future projects. Learning from projects like MUTP is of immense significance to ensure the
pro-poor aspect of development in the country.

8
Our client the ‘Indian Alliance’ comprising of NSDF, MM and SPARC is a consortium of
CBOs and NGOs, prominent in the civil right movements of slum dwellers across Mumbai
and beyond. Their extensive experience has ensured that they are the officially recognised
agency in MUTP to undertake enumeration and R&R of PAPs. For a more detailed ToR,
please refer to Appendix II.

DEFINITION

Throughout this report, transformation is defined as follows:

“A process of securing a profound, positive and lasting change in the living conditions and
sense of citizenship of railway slum dwellers: men, women, boys and girls.”

Transformation must challenge injustices in the status quo, within systems of power,
resources, social institutions and policy-making. This should include the equitable
redistribution of power and resources to all citizens in the long-term, adding value to the life
of relocated people, including morals, beliefs, planning and accessibility to the new
conditions. Thus, transformation has to incorporate physical, social, economic, natural and
political dimensions.

CRITERIA

From our definition the following criteria of transformation were developed on which our
diagnosis and proposals are based. (See Appendix III for indicators).

 Increased and enhanced perception of citizenship

 Improved housing conditions and living environment
 Organized, maintained and enhanced social relations
 Improved access to income and income management

9
 Social Dimension Economic
Criteria: Organised, Dimension
maintained Criteria: Improved
and enhanced access to
social relations income and income
management

Natural and Political

Physical Dimension
Dimension Criteria: Increased
Criteria: Improved Transformation and enhanced
housing perception of
and living citizenship
environment

Figure 2: Criteria

10
METHODOLOGY

This report is an outcome of a four month process involving secondary research (review of
literature, grey material and lectures) at the DPU, followed by fieldwork in Mumbai. The
diagram below shows collectively our methods used and those surveyed:

men Random
shopkeepers informal
interviews
Individual SSIs 24 hour survey
questionnaire
Railway
slum
Community dwellers
leaders 24 hour survey
Transect
women Individual SSIs
walks and
direct People in
Focus
transit
observation group
camps
discussion boys and girls
s
24 hour survey

Guided drawing

Figure 3: Methodology diagram

Primary research was carried out at this stage using various tools;
 Transect walk
 Informal interviews
 Semi-structured interviews (in the home)
 Questionnaires (regarding unit design, behaviour in the home, livelihoods and
provision of services) (Appendix V)
 24 hour surveys (Appendix VI)
 Workshops (with children) (Appendix VII)
 Observations

11
Our fieldwork was conducted at two different relocation sites. The first Mankhurd focused
on building 98 where most people moved in eight years ago. Our second site, Lallubhai, is
more recent with most people living there for four years. Our fieldwork began with focus
group meetings with MM women and community leaders. We also conducted transect walks
and area mapping on the first day at each site, which gave us a good overview of our study
site. Typically, our second day of fieldwork at each site was run with parallel sessions,
whereby teams of two to three people simultaneously conducted focus group meetings with
women and households, workshops with children and semi-structured questioning with
shopkeepers and business owners. For details of our fieldtrip itinerary and the fieldwork
methods used, please refer to Appendix VIII and IX.

Additionally, the group collected information while attending different meetings with city
officials and local intellectuals with knowledge of the Mumbai case study (see Appendix IV
for summaries). The group dedicated five full days in the field for the collection of primary
data and the remainder of the stay was devoted to analysing the data. Strategies resulting
from the fieldwork were presented to our client, SPARC. The process was shaped by
constructive feedback throughout, received from our mentors and the staff of SPARC.

Limitations
The group acknowledges that the clarity of the diagnosis was affected by several limitations,
such as personal biases, small sample size, time limit and language barriers. Additionally, the
outcome was limited by the number of sites visited (Mankhurd and Lallubhai). Most of our
respondents were women, (partly due to availability and visiting hours in the afternoon when
most men are at work) which can relate to the fact that they are most likely to spend their
time at home and thus have a good understanding of the details concerning the buildings
and service provision. Within these groups the number of our respondents descended into a
few spokespeople. Workshops were conducted with boys and girls aged 6-12, despite our
understanding that most of these were too young to have experienced the relocation process.
Nevertheless, they did convey to us a realistic picture of their daily lives and what they
disliked and liked of the area. Furthermore, our understanding of the relocation process was
not holistic, as we did not conduct any fieldwork in transit camps and the railway slums
(partly due to the finalization of MUTP), thereby giving us limited understanding of the

12
living conditions before and after. Finally, the entire research period was restricted to four
months.

13
DIAGNOSIS

The Web of Institutionalisation (Levy 1998) served as a platform whereby our working
definition of transformation and criteria helped to develop our preliminary diagnosis. The
full diagnosis presented in each component of the Web is shown in Appendix X.

Our secondary diagnosis was developed in field from direct observations and is grouped into
positive and negative findings below. Furthermore our negative findings have been grouped
into the three problem areas we identified.

Positive Findings
 MUTP recognised as a precedent for other projects, commitment to R&R by
agencies and increased cooperation between MMRDA and the Alliance. As a result
SPARC is assigned to enumerate the next MUTP phase.
 Creation of DisWES to supports women’s income generation and provide financial
empowerment
 Transit camps bridge the social and economic differences between original and new
locations
 Improvements to living, social and health conditions; reduced transport related
accidents, less exposure to dust, mosquitoes and contaminated water.

Negative Findings
Through primary data collection, principally focus groups and semi-structured interviews, we
identified the following problem areas and supporting information:

Lack of recreational space and social activities

 Existing social clubs for boys but none for girls (aged 8-16years)
 Need for reconstruction of existing play areas including the removal of hazardous
objects (stones and stumps) and the reinstallation of play equipment.
 Feelings of marginalisation by women and girls, no allocated space for the needs of
these groups

14
  Children expressed concerned about environmental issues such as rubbish and open
drains

Strain on infrastructure and services

 Water shortages were identified at both settlements
 Lack of local schools, and consequently distance travelled was noted as a problem
 Links to public transport were deemed limited and inadequate by residents at both
settlements, women travel 15-25 minutes from the settlement by auto-rickshaw
which is expensive and inconvenient.
 At Lallubhai the local train station is a 7 minute walk along railway tracks, which is
dangerous and inconvenient
 Maintenance charges are insufficient, hallways are unclean and rubbish a problem,
this is a direct contradiction of R&R policy whereby “relocated persons should be
assisted in improving or at least restoring their former living standards, income
earning capacity and production levels” (WB 2004, p.7).
 Conditions at transit camps fail to address the needs of the RSDs.

Livelihoods negatively impacted by relocation

Semi-structured interviews were held with individual business owners in both Mankhurd and
Lallubhai. The information gathered highlighted several common and often interrelated
issues:
 Need for second household income of women to assist with increased costs
 Businesses owners particularly selling high-order goods, observed decreases in
number of customers and therefore income, increased financial pressures due to
fees and charges and the loss of their established customer base
 Unprepared for both positive and negative changes in business
 Unaware of how to implement any changes or plans for the future of their
business
 Feelings of being “cut off” from the surrounding area particularly because of
poor transportation links
 Difficult for young graduates to find jobs to match their skills and qualifications.

15
 Pressure on income from increased charges has forced some to move from the
new location.
 MMRDA’s job fair to assist employment proved unsuccessful (450 applied, 200
were chosen-only 10 accepted employment)

16
PROPOSALS

From our diagnosis, we suggest the following three proposals. They have been developed to
address the negative findings above:

PROPOSAL ONE: Addressing the strain on infrastructure and local services caused
by increase in population in the area. Using needs and assets survey to strengthen
the Federation of Housing Cooperatives and promote collective action in issues
relating to:

• Drainage and waste collection

• Maintenance and upkeep of communal areas
• Water supply
• Adequate local schools
• Transport links
• Strengthening community responses and infrastructure to disasters and climate
adaptation.

Surveying needs within communities will clearly identify issues that need to be addressed.
This has two positive outcomes – individuals are united by common needs; and social capital
is built to strengthen their ability to initiate collective action. Enabling issues to be addressed
from within the community (i.e. community led maintenance of communal areas), or to
lobby responsible bodies to deliver services (for example for the BMC to increase water
supply).

Assets surveying, or a “capacity inventory”, can identify and record the skills, power and
resources (both time and money) of individuals, families, organisations and institutions
within the community. Assets surveying may be particularly useful in communities that
contain already federated groups such as the RSDF where individuals have previous
experience of collective organisation and negotiation. The survey will also reveal how willing
members of the community are to become involved in the Federation of Housing
Cooperatives and how much time they have to dedicate to communal activities.

17
In the same way that RSDF was formed originally to enable railway slum dwellers a voice to
negotiate with Indian Railways, the new Federation of Housing Co-operatives should enable
communities to negotiate with bodies such as the BMC to improve service provision. This
proposal builds on the success of the Alliances strategy of creating an “information base” as
a starting point for negotiations with governmental bodies.

In relation to the criteria of transformation previously developed, this proposal will improve
the living environment and enhance social relations within new communities.

Suggested Plan of Action

The survey could be conducted on an annual basis at each site. It should record the issues
that each household is concerned about – this may be for example, intermittent water
supply; lack of adequate recreational space for children; rubbish in communal areas. The
same survey should record what, if anything, each household is able to contribute to
community activities – this may be time each week for community meetings; contributions
of money for a particular project; experience in negotiations with governmental bodies.

Members of the Federation of Housing Cooperatives at each new settlement can be trained
in the survey process by the Alliance, this process can then make use of the “pyramid
structure” of information sharing - once a Federation is trained in the surveying process, its
members may then be able to train other communities as required.

The needs and asset survey can then serve as an agenda for the activities of the Federation of
Housing Cooperatives for the following year. Different needs will obviously have to be
addressed in different ways by the Federation. For example, if refuse in communal areas is
identified as a problem, the Federation can take action itself to address this - such as
disseminating information about how and where refuse is to be disposed.

Needs that cannot be met within the community can be addressed through negotiations with
responsible bodies. SPARC can support the Federations in lobbying governmental bodies if
needs are clearly identified and recorded and communities are organised effectively.
Monitoring and Evaluation

18
Continued needs and asset mapping on an annual basis can determine the increase in the
number of people positively affected. The success of Federations in addressing needs can
only be measured on a case by case basis.

Risks & Limitations

It is possible that the legitimacy of data collected by the Federations may be called into
question by governmental bodies if required for negotiations, though as the Alliance’s
enumeration surveys are already officially recognised by various bodies, this should not be a
problem.

PROPOSAL TWO: Strengthening new communities through:

 the re-appropriation of communal space
 the establishment of children’s social groups and children's activities.

This proposal encompasses the provision of social groups for boys and girls and the need
for the re-appropriation of available communal space through the physical re/construction
of play areas, and the equitable provision and distribution of spaces for socializing. This
would include gardens and green spaces, as well as the establishment of social groups and
the initiation of social activities for young girls.

In relation to the criteria of transformation previously developed, this proposal will improve
the living environment and enhance social relations within new communities.

Suggested Plan of Action

The formation of social groups for young girls and boys and the initiation of activities for
them requires the help of community members and could be identified through the Needs
and Asset survey described in proposal one. This could be done immediately as the main
resource is the willingness of participants to be engaged.

19
The re/construction of the physical environment is more complex as more resources and
expertise are needed. Again, the Needs and Asset survey could be expanded to include
mapping of areas for redevelopment and to identify the different uses of the available space.

With regards to financing, the Federation of Housing Co-operatives have the ability to lobby
the BMC to provide adequate communal space at new settlements (process as described in
proposal one).

Alternatively, collective communal action to design, build and maintain communal play areas
and gardens could also be implemented with CLIFF as a potential loan facility or possible
funding from the MMRDA.

Monitoring and Evaluation

The outcome of the proposal will be monitored and evaluated by the residents and
The Federation of Housing Co-operatives on an annual basis through continued Needs and
Assets surveying to determine the increase in the number of people positively affected.
Information can then be used for mainstreaming future projects.

Risks and Limitations

It is unrealistic to assume that an organisation will set aside its current commitments and
take on this new task immediately, invariably making this a long-term proposal and one only
realistically implementable in future projects.

There may be space constraints at future relocation sites, as observed at Mankhurd where
there was insufficient space for play areas. This problem could easily be mitigated if
incorporated by planners and designers from the outset.

PROPOSAL THREE: Supporting the livelihoods of men and women of all ages

“improving or at least restoring their former living standards, income earning capacity and
production levels” (WB 2004)

20
Proposal three directly relates to our first and fourth criteria; ‘increased and enhanced
perception of citizenship’ and ‘improved access to income and income management’,
specifically through the improvement to negatively impacted livelihoods. In recognising the
different needs of business owners and the employment needs of the wider community this
proposal is presented in two parts.

a) A Business Forum
b) Supporting and creating new livelihoods for men and women of all ages: DisWES
and the Directory

a) A BUSINESS FORUM
The purpose of the Business Forum is to create a place where both pre and post relocation
business owners and potential business owners can access information, advice and
experiences from other business owners and experts.
The key principle of this proposal is to help business owners to understand their new
situation and location from the perspective of their business and to mitigate any problems
whether anticipated or experienced with the potential to foster future business growth.

“Life here is better, but business is not as good” Tailor, Mankhurd

Suggested Plan of Action

It is suggested that the forum exists on two levels:
 An expert-led city-wide forum that will include workshops, seminars, question and
answer sessions for the broader business need
 A community-led forum in each area that builds on and strengthens local business
groups and provides a more local focus
It is also suggested that meetings are held regularly at both scales.

Monitoring and Evaluation

It is suggested that a committee be elected from business representatives across Mumbai that
allow for a formal process of complaints and suggestion procedures and progress monitoring

21
of the forum. Monitoring could also be done by and within the business groups at a more
local scale.

Risks and Limitations

With regards to the new market situation, clientele may be limited meaning there may be
little opportunities for expansion or for improving business statuses, similarly competition
may be increased through the location of more of the same type of business in the new
locality and also the new market and demand may be limited and therefore unable to support
new businesses.

Actors
Business schools- Purpose: To provide expertise
Motivation: Provides students with a learning opportunity

Banks- Purpose: For the provision of micro-credit if and where required

Motivation: Profit

SPARC- Purpose: To assist with the facilitating and networking process

Motivation: Further contributes to the process of transformation

Existing BGs- Purpose: To help to facilitate the business forum, important starting
point
Motivation: To strengthen groups

b) SUPPORTING AND CREATING NEW LIVELIHOODS FOR MEN AND

WOMEN OF ALL AGES: DisWES and The Directory

Aims to address wider employment issues found particularly amongst women at the
household level, but also project affected men. This section will expand an existing strategy
initially proposed by the Alliance: DisWES and the Directory, which collates employment
information and skills of community members.

22
DisWES, a new initiative by the Alliance, creates and facilitates women in income generating
activities. It seeks to build confidence at the household level and in so doing promotes
women’s empowerment. The focus upon women addresses the need to balance roles in
reproduction and production. The general idea is to identify products that are easily and
competitively produced. Women in Mankhurd are making files and envelopes in a scheme
established by Mr. Jockin (NSDF). Products are sold at 1 Rupee less than competitors in
order to hold competitive advantage. Whilst costs are met, no profits are made making the
sustainability of the scheme in the long-term difficult as no money is fed back into the
scheme for the purposes of expansion or development.

In addition to DisWES, the directory serves as an employment agency, where both men and
women can collectively display their skills and capabilities to residents and the local area.

Recommendations
Due to the exclusivity of DisWES, this proposal suggests recommendations for areas where
risks or limits may arise. The following points should be taken into account:
 Appropriate price setting for profit
 Development of skills for marketing and dealing with competitors
 Business skills for the negotiation of contracts (currently not undertaken by the
women)

Risks & Limitations of the existing Alliance strategy

With regards to the price-setting, the recommendation of this report may prove unviable for
DisWES as it may threaten their competitive advantage. The provision and learning of skills
is dependent on time and availability of experts as well as the community. For this scheme to
become a precedent and implemented in other locations, i.e. Lallubhai, new and diverse
products should be determined by women collectively with the Alliance.

This proposal does not intend to homogenise the ‘unemployed’, it is acknowledged that the
findings represent if only a small margin of society and other people may have different
needs and demands with regards to livelihoods.

23
POLICY AND PLANNING

The above proposals address ‘micro’-scale issues in the MUTP post relocation scenario;
however, there is a clear need for such problems to be avoided in all future resettlement of
slum-dwellers. Such post-resettlement issues need to be considered from the beginning of
any R&R process for the true transformation of slum-dwellers lives to occur. The following
section explores the various avenues open to the Alliance to influence R&R policy and
planning in Mumbai.

Figure 4: BMC policy chart

At the city level, the BMC has consistently played a negative role in the R&R of slum-
dwellers (Patel, Ms S, 2008), both in it’s approach to clearing slum lands and it’s failure to
deliver basic services to new settlements (as demonstrated by the lack of infrastructure and
services and failure to supply recreational space previously identified). The BMC is run by
elected representatives and thus, to change its policies, more pro-poor representatives need
to be elected. However, as it is against the Alliance’s policy to get involved in politics, there
is little room to affect change here.

In light of this, what are the alternative routes to influence planning in the city?

24
 Figure 5: Transformation Unit policy chart

A possible option at the city level is the Mumbai Transformation Support Unit (MTSU). The
MTSU is an influential think-thank that helps to formulate policies for Mumbai. The biggest
opportunity provided by the MTSU is its Forum, designed to provide a platform on which
different stakeholders can come together and share their views on policy on an equal footing.
With the many infrastructure projects planned by the MTSU, the displacement of large
numbers of slum-dwellers is inevitable. The forum may offer an opportunity for the
Alliance to ensure that post-resettlement issues are addressed within any policies related to
the relocation of households affected by MTSU projects.

Figure 6: MMRDA policy chart

One of the main opportunities for the Alliance to influence policy is through its relationship
with the MMRDA. The ability of the MMRDA to make an impact in Mumbai is derived
from its financial strength. It is also understood that the MMRDA has the full backing of the
State bureaucracy (Gaikwad, 2008). There is an opportunity here, for the Alliance to try to
ensure that post-resettlement planning is included in all State and MMRDA R&R projects.

25
Support for such planning has already been demonstrated by the MMRDA’s involvement in
DisWES.

Figure 7: National Legislative policy chart

At the national level, the R&R policy soon to be passed by parliament provides a great
opportunity to the Alliance to further the gains from MUTP. Under this policy, R&R will be
mandatory for all projects where displacement is involved. However, we should be careful
not consider the R&R policy as a ‘pro-poor’ policy, but rather as a policy which ensures that
land is cleared in a constitutional way (Phatak, 2008). Therefore, any opportunity to
influence this policy to ensure that post-resettlement issues are integrally addressed would
provide countless benefits to slum-dwellers nation-wide.

Figure 8: State Housing Policy

26
On the wider scale of planning in Mumbai, the new State Housing Policy and various tools
within the real estate market offer opportunities for the Alliance to change the way the
market works for the poor and to prevent the further expansion of the population of slum-
dwellers in the city.

The state housing policy, the first of its kind in India, provides opportunities through the
encouragement and endorsement of low income housing for the poor and the
encouragement of rental housing through repealing the Rental Act. Provision of rental
housing in the city will offer lower income groups an alternative option to slum-dwelling.
There is a clear danger however, that rent prices will be driven too high by the supply and
demand dynamics of housing in the city and the poor will be priced out. SPARC’s pilot
project to ensure a proportion of rental housing for low income groups is an excellent
strategy to avoid this situation.

Figure 9: Real Estate Market

Similarly, the real estate market provides opportunities and dangers for the Alliance. The
infrastructure fees policy, where a cost is levied per square metre in each development,
contributes towards infrastructure costs which can directly benefit the poor; however there is
a concern about the impact on house prices and also the effectiveness in financing
infrastructure in poor areas (Patel, Mr. S, 2008). Floor Space Index (FSI) and Transferable
Development Rights (TDR) help provide incentives for building free housing for low
income groups yet they only work in particular market situations. FSI and TDR alone

27
cannot be the answer to the housing problem in Mumbai (Phatak, 2008). For a detailed
summary of sessions held with policy-makers see Appendix IV.

28
CONCLUSION

Real transformation for Mumbai’s slum dwellers must be an ongoing process which is
flexible to their changing needs, expectations and experiences. Specifically, under MUTP
which is now nearing completion, these needs have largely been accommodated under R&R
policy and through participation of the Alliance. Achievements include secure homes
through legal tenure, improvements in self-esteem and a heightened perception of
citizenship by the rehabilitated slum dwellers. More significantly, MUTP has set a precedent
in the way it has built and engaged social capital throughout the process of relocation.
However new problems have occurred at the relocation sites, due in part to the
disintegration of social capital, the breakdown of capacity for collective action that existed at
the original sites and the failure to address and strength livelihood needs and policies.

Our proposals have been developed to address these problems from a bottom-up approach
that engages the community, whereby “organised groups of the urban poor can participate in
making decisions about how their cities are developed and managed” (SPARC 2008).

Techniques such as needs and asset surveying would be used to strengthen the community
and address strain on infrastructure, improve access to local services and amenities,
invariably expanding the capacity of the people. Further to this is the importance of tapping
into the positivism of the new ‘community of place’ by encouraging social and business
interaction, among the men and women and boys and girls of different organizations who
have been brought together in the new community.

These proposed advancements are realisable over different time scales and may be
dependent on the availability of social and financial capital; however, one very important
requirement is a progressive change in the thinking of policy makers whose decisions directly
impact the transformative process for the six million slum dwellers in Mumbai. These
strategies must therefore be incorporated into the wider policy and planning context of the
city, for them to be of relevance in the administration of future projects.

29
The group acknowledges the depth and recognises the complexities in the relationships
among different stakeholders. We hope that this report can further contribute not only to
the development of a real transformation of the lives of slum dwellers in Mumbai but to
further studies in this field.

30
REFERENCES

Faleiro, S (2005) Cosmopolis in Crisis. Mumbai’s Tall Claims Come Crashing, [online]
Available from: http://soniafaleiro.blogspot.com/2005/09/cosmopolis-in-crisis.html
Last viewed 27/05/08

Gaikwad, R. (2008). The Role of the MMRDA, Fieldtrip, Mumbai

Levy, C (1998) “Institutionalization of Gender Through Participatory Practice’ in I Guijt and

M K Shah (eds) The Myth of Community: Gender Issues in Participatory Development
Intermediate Technology Publication

Macalester (2008). City Planning,

http://www.macalester.edu/courses/geog61/espencer/planning.html last viewed 26/05/08

MMRDA (2008) Mumbai Urban Transport Project,

www.mmrdamumbai.org/projects_mutp.htm last viewed 27/05/08

MVRC (2008). Yesterday’s Memories, Today’s Lifeline, Tomorrow’s Technology, Mumbai

Patel, Ms. S. (2008). Informal interview, Fieldtrip, Mumbai

Patel, Mr. S. (2008). Housing Policy, Fieldtrip, Mumbai

Phatak, V.K. (2008). Planning in Mumbai, Fieldtrip, Mumbai

Sehgal, P.C. (2008). Meeting with MRVC, Fieldtrip, Mumbai

World Bank (2004) Bank Management Response to request for inspection panel review of the India-
Mumbai Urban Transport Project, Washington D.C.

World Bank (2005) Investigation report: India – Mumbai Urban Transport Project, The Investigation
Panel, Washington D.C.

31
APPENDIX CONTENTS

Appendix I- Maps………………………………………………………………………....33
Appendix II- Terms of Reference…………………………………………………………34
Appendix III- Criteria and Indicators ………………………………………………..……35
Appendix IV- Session summaries…………………………………………………………36
Appendix V- Example Questionnaire……………………………………………………..41
Appendix VI- Timelines: 24 hour Survey……………………...……….………………….42
Appendix VII- Workshop; Children’s drawings……………..……….……………………43
Appendix VIII- Fieldtrip Plan ……………………...…….……………………………….44
Appendix IX- Fieldtrip Methods ……………………....………………………………….47
Appendix X- Web of Institutionalisation...…………………………..…………………….48

32
APPENDIX I: MAPS

Schematic Map showing the physical expanse of Mumbai and the original 7 islands.

Mankhurd & Lallubhai

Source- en.wikipedia.org
http://www.mapsofindia.com/maps/maharashtra/mumbai-map.htm MUMBAI CITY MAP

33
APPENDIX II: TERMS OF REFERENCE

The main objective of this study was to address the costs and opportunities of relocation in
the transformation of living conditions of the railway slum dwellers within MUTP and
looking to the future for the railway slum dwellers still on the tracks.

The objectives of the study were as followed:

1. To explore the experienced and anticipated impact on livelihoods and living
conditions of the relocation of households and communities from poor and
vulnerable locations to more secure housing in the city;
2. To identify and assess the strengths and weaknesses of the strategies pursued by the
different actors involved in this case;
3. To explore with the different actors involved (household members and community
groups, NGO’s and relevant government and private sector organisations) proposals
which will strengthen the relocation of railway slum dwellers in the future in a
manner in which will contribute to their transformative intentions.

34
APPENDIX III: CRITERIA & INDICATORS

NATURAL AND PHYSICAL Indicators:

DIMENSION  Improved housing conditions
(needs based design, quality
Criteria: Improved housing and living housing stock, ventilation,
environment lighting)
 Access to affordable and adequate
clean water, sanitation, garbage
collection, electricity
 Proximity to public services
(schools, hospitals, places of
worship, public transport)
 Minimized exposure of residents
to health hazards
 Access to recreational space
 Public space secured from
physical hazards
 Earthquake and flooding-resistant
construction

SOCIAL DIMENSION Indicators:

 Maintained kinship and resilient
Criteria: Organised, maintained and social networks
enhanced social relationships  Reduced social conflict and anti-
social behaviour

ECONOMIC DIMENSION Indicators:

 Availability and proximity to
Criteria: Improved access to income diversified employment
and income management opportunities
 Access to formal and affordable
skills’ training
 Strategic investment in saving
schemes

POLITICAL DIMENSION Indicators:

Criteria: Increased and enhanced
perception of citizenship
 Equitable participation of men
and women in municipal elections
 Improved dissemination of
accountable and transparent
information on city-wide policies,
projects and programmes
 Increased community contribution
to policy making decisions

35
APPENDIX IV: SESSION SUMMARIES

Sundar Burra and Sheela Patel - 03/05/08 – SPARC

 The Statute of Representation will change the dynamics of power between Shiv Sena and Congress.
The Statute of Representation will mean that urban representation (representation of the city) will
change according to the demographics of the city. I.E. the ruling party of Mumbai city will hold more
weight than in the past.

SPARC and the Alliance

 The SPARC and the Alliance are based on persistent mobilisation of the poor. SPARC is only the
legal and professional face of the NSDF. SPARC will only get involved when the micro community
cannot sort the problem themselves.

JNURM
 JNURM is set up to finance infrastructure in cities and neglected areas. But financing methods and
providing resources is moving quicker than the progress made by poverty missions.

 Large scale infrastructure is handled by the urban development ministry.

 Housing and poverty initiatives are handled by the Housing and Poverty ministry. However there is a
failure to provide requisite amount of innovative instruments to invest in. Other options for the
regeneration of the city must be explored as if the money given by the JNURM is not spent
immediately than the money is lost.

 JNURM is only for projects, which cannot be financed by PPP.

Railway Demolition
 Railway demolished some houses without permission during R&R renegotiations. Although SPARC
do not believe in the transit process, SPARC sacrificed its position in this case for the greater good.
SPARC used this opportunity and exploited the opportunity to force the Railways through World
Bank pressure to provide housing for those who suffered from the illegal demolitions.

MUTP
 The alliance is seeking to address the issues of those not involved in MUTP. Negotiations for all
living on IR lands in Mumbai to be rehabilitated are being sought.

 IR does not look at rehabilitation as their responsibility. But has made an exception for this project
due to World Bank involvement.

36
 WORLD BANK
 India does not need the World Bank as much as the World Bank needs India.

 World Bank precedents have become the norm in the way that the state treats reformation. There has
been a change in attitude with in institutions.

TRANSIT CAMPS
 In general SPARC does not like the idea of transit camps. However there is the benefit that transit
camps allow for the production of benefits o transform from the formal to informal. Transit camps
also help to prevent distress sales.

Mr. Phatak – 03/05/08 – Former Chief Planner (MMRDA)

National R&R Policy
 The National Policy takes into account that investment does not override social effects.
 The National Policy is not a pro-poor policy, but is designed to fulfil other motives.

FSI
 FSI provide incentives for free low income housing construction when coupled with TDR. However,
the developer has to build 2 buildings (1 free and 1 for sale ) to get the TDR, the costs of
development increase.

 At the same time, better housing finance is making buying a house more affordable and therefore
raising the demand for houses.

 The higher demand backed by the higher costs will lead to an increase to an increase in house prices.

 This can lead to an increase in slum dwelling. Therefore FSI and TDR have to be used in conjunction
with appropriate market conditions and policy use for it to be effective.

New MMRDA Commissioner

 His appointment was due to partly the internal politics of the Indian Administration Service and
partly due to the political atmosphere. Nothing to do with his pro-poor outlook.

 3 year time period is a very big constraint, hard for any commissioner to create a culture within the
time. Last commissioner appointed was known for his ability to execute projects, this one is known
for R&R and it will be up to the next commissioner to choose his view.

 MMRDA’s ability to make an impact is entirely due to its financial power.

37
Swadheen Khastriya – 05/05/08 – Principal Secretary of Housing Department, State of Maharashtra
 Importance to create housing is explicitly linked to the bigger picture of the efficiency and growth of
the city. E.g. Airport Expansion.

 The R&R policy used has officially no direct continuity to the MUTP R&R policy but uses the basic
criteria and outlines as the MUTP policy.

Proofs
 With the requirement to show proof for housing benefits, the documents have been expanded to
include a wider range.

Slum Rehabilitation Authority

 Policy encourages using adjoining land to housing developments for commercial exploitation in order
to fund subsidies. (needs 70% approval from residents

 The new policy makes it compulsory for the developer to R&R existing occupiers and also provide a
maintenance fund of Rps 20,000 for every household. There is also recognition to use telescopic tax
to ease the transition to a formal lifestyle. Also by putting the name of the wife on the tenure, distress
sales are expected to drop.

Monsoon
 Monsoons cause great damage to the housing stock in Mumbai. This is due to poor maintenance of
the buildings. A cluster approach is being used to regenerate areas. The cluster approach allows for
planners to bring into context the area as a whole and create a more beneficial approach with more
synergy.

Mr. Shirish Patel – 08/05/08 – Urban Expert

Eminent Domain
 State land provides land for public purpose. State can requisite land for public purpose.
 Difficulties include:
 ‘Public Purpose’ is highly subjective.
 Difficult to curb and regulate this practice.

Why do we have Slums

 Rent Control Act
 Housing and services are not provided with the creation of jobs.
 Mixed use policies (commercial activity to subsidise costs) is a good political tool but does not
materialise into effective action for the masses.

38
 FSI
 Housing policies are mostly concerned with FSI. FSI are not the answer as there as to be a limit to
the density of an area.

Mixed Income and Mixed Use

 Mixed use is a positive step.
 Mixed Income? Will it work?
 Ghettoization is a major concern.

Semi-structured interview with Mr. D.R. Hadadare [Chief Engineer, MHADA]

Date: May 7, 2008
Location: MHADA Head Office, Mumbai
Conducted & Transcribed By: Desmond Kilroy
Key Issues: state/public housing and area development, infrastructure and environmental improvement of
slums, MHADA’s role and its limits

Summary of discussion
As the state housing agency MHADA’s normal role is the construction of housing for the weaker elements of
society, including slum dwellers. To date the MHADA has constructed 4 million units of housing for low
income and middle income groups which is made available for sale at a subsidised price. Higher income
groups are expected to rely on the private sector for their housing needs. MHADA also works to repair and
reconstruct some old buildings, including the redevelopment of textile mills from which a portion of land has
been used for public housing. About 70% of MHADA constructed housing is for low income groups and the
remainder for middle income groups. Clarification was given with regards to MHADA’s institutional
relationships and that no relationship is maintained with either SPARC or the MUIP/MUTP processes.
However, MHADA has some responsibility for the environmental improvement of slums – water supply,
toilets and small roads within slums and there is overlap of responsibility with the BMC. In terms of the
application process for public housing it was stated that notice of schemes is made via public advertisement
and that some eligibility criteria apply in terms of residency (15 years residency in the Municipal area) as well
as income and current property ownership to determine low-income status. Mention was made of the
National Urban Renewal Mission programme which includes initiatives to house slum dwellers as well as
infrastructure provision. 240 towns in the state are eligible under the programme although there has not to
date been demand from the people of Mumbai.
Findings: Not everyone eligible for the new MHADA housing is proactively informed of new schemes as
they become available which has implications for remaining slum dwellers. An article that appeared in the

39
Mumbai Mirror on the day this interview took place suggested that MHADA housing allocation policies are
complex and include quotas according to caste.

40
APPENDIX V: EXAMPLE SHOPKEEPER QUESTIONNAIRE

Date:
Location:
Business Type:

INTRODUCE SELVES AND UCL\DPU. BRIEFLY SAY WHAT WE ARE DOING

Name: Age: Gender: M\ F

Size of family/ Ages:
1) Previous location:
2) Business type before:
3) Time at new location:
Tenure type: Commercial (C) Residential & Commercial (R&C)

4) Number of employees: Before Now

5) How would you compare your business now and before?

Customers
Profits
6) How do you get your stock?: Before:
Now:

Is this EASIER\ SAME\ HARDER CHEAPER\ SAME\ MORE EXPENSIVE

Competition
7) Are you aware of any other businesses in the area the same as yours?
8) Is this similar to in your previous location?
9) Do you think this has any positive or negative impacts on your business?

New Location Information

10) What Charges\ Fees do you currently pay? For what? How much? How does this compare to before:
11) Thoughts on the provision of services:
12) Are there any other changes in expenses since moving?:
13) Where would you consider yourself best off? Why\ How?:
14) Did you get any advice before opening your shop here?
15) Would you have liked\ Would you like any?
16) Community groups\ organisations
Knowledge of: Member:
Business Groups
Knowledge of: Member:
Savings Groups

Knowledge of: Member:

The Future
17) Do you have any future plans for your business?
18) Is there anywhere you can go to find out information\ get help in order to do this?
General
19) What changes or improvements would like to see if any?
20) Additional notes\ Information

41
APPENDIX VI: TIMELINES 24 HOURS SURVEY RESULTS

Women Shopkeepers Boys

00.00 01.00 02.00 03.00 04.00 05.00 06.00 07.00 08.00 09.00 10.00 11.00 12.00

Day begins: Bath, Housework, Husbands and Children Household duties: Washing Clothes,
Cooking, Prepare breakfast for leave Cleaning House, Prepare Lunch
family

Travel to work. (The shopkeeper was only

Wake up awarded a commercial plot not a residential
plot within the settlement.)

Travel to school
for school
Get ready

(rickshaw)
Sleep School
Study

12.00 13.00 14.00 15.00 16.00 17.00 18.00 19.00 20.00 21.00 22.00 23.00 00.00

Lunch\ Collect children Collect water, afternoon duties Prepare Dinner Family time\ Talk with
from school husbands

Running the shop (without breaks)

Play &
study on Go to extra classes and Help fill
Sleep the Play Help parents do their work on the
Eat &

play sports. waster. computer.

computer
TV

42
APPENDIX VII: CHILDREN’S DRAWINGS (View of home)

43
APPENDIX VIII: FIELDTRIP ITINERARY€
Date Location & Time Activity Attended by
03/05 SPARC Office All groups
Saturday
09.00-09.30 Introduction by Mr. Sundar Burra

09.30-11.00 “The work of the Alliance” by

Mrs. Sheela Patel

11.00- 12.15 “Metropolitan Planning in Mumbai

and Slum Policy” by Mr. V.K.
Phatak

13.15- 18.00 Introductory site visits

05/05 SPARC Office All groups
Monday
09.00-09.45 Reflections on field visit

09.45-10.45 “Housing Policy of the

Government of Maharashtra” by
Mr Swadheen Kshatriya, Principal
Secretary of the Housing and
Special Assistance Department

11.00-12.15 “Mumbai Transformation” by Mr.

U.P.S. Madan, Project Manager
Mumbai Transformation Support
Unit

MRVC Office Meeting with Dr. P.C. Sehgal, M.D. of Hannah Bishop,
11.00-13.00 Mumbai Rail Vikas Corporation Kate Lines,
Jasmin Sander,
Wilsa Wilson,

13.15- 19.00 Fieldwork Mankhurd (refer to All members

Appendix IX) Group Two
06/05 MMRDA Office All groups, Sundar
Tuesday Burra and
10.00-12.00 “The role of MMRDA” by Mr. MMRDA officials
Ratnakar Gaikwad, Metropolitan
Commissioner MMRDA

“Resettlement and Rehabilitation

44
 under MUTP and MUIP” by Mr.
Milind Mhaiskar, Project Director
MUTP and Joint Metropolitan
Commissioner MMRDA

“Pavement Dwellers’
Rehabilitation” by Mr. A. Jokin,
President NSDF All members
Group 2
13.00-18.00 Fieldwork Mankhurd
07/05 All day Group work All members
Wednesday
Ms. Sharma’s Meeting with Ms. Kalpana Sharma, Chloe McLaren
residence Author and Journalist Webb
11.00-12.00

MHADA Office Meeting with Mr. D.R. Hadadare, Chief Desmond Kilroy
15.00-16.00 Engineer of MHADA
08/05 SPARC Office All groups
Thursday
09.00-09.30 Reflections on field visits

09.30-11.00 “Housing Policy” Mr. Shirish Patel,

Structural Engineer and Urban
Expert

11.00-12.15 “Principles of slum rehabilitation

and TDRs” Mr. A. K. Joshi,
Advisor to SPARC All members
Group 2
13.15-18.00 Fieldwork Lallubhai
09/05 SPARC Office
Friday
09.00-09.30 Reflection on field visits All groups

09.45-10.45 “Mills Lands in Mumbai: past,

present, future. Exploring power
relations across actors over land
redevelopment process” Ms. Neera
Adarkar

11.00-12.15 “Lending to the Poor” by Mr. All members

Abhisek Khanna, Senior Group Two
Relationships Manager Barclays

45
 Bank

13.15-18.00 Fieldwork Lallubhai

10/05 Sahil Hotel
Saturday
All Day Group work

11.00-12.00 Visit to Oshiwara Ronald Kraszewski

Kate Lines
14.00-15.00 Meeting with DisWES
Oga Obianyor
16.00-17.00 “CLIFF and Nirman” Meeting with
Ms. Aseena Viccajee, Manager SPARC
12/05 Sahil Hotel
Monday
All day Group Work All members
Group Two
11.00 Q&A Session with Mr. Sundar
Burra
13.30
Q&A Session with Ms. Sheela Patel
13/05 SPARC Office All groups,
Tuesday SPARC, MMRDA
09.30-13.00 Presentation of findings and representative, Ms.
strategies to SPARC and Panelists Sharma

46
 APPENDIX IX: FIELDWORK METHODS

DATE LOCATION ACTIVITY METHOD NUMBER OF WHO

RESPONDENTS
05/05 Mankhurd Transect Walk Observation and Mapping - -

Mankhurd Interviews Semi-Structured Questionnaire 18 Mahila Milan women (16+ yrs)

06/05 Mankhurd Interviews Semi-Structured Questionnaire 6 Shopkeepers (1 Woman, 1 Boy

(15 yrs), 4 Men
Mankhurd Interview and Workshop Informal Interviews & Drawings 20 8 Boys, 12 Girls (8-16 yrs)

Mankhurd Interviews Semi-Structured Questionnaire 5 Households (All Women)

08/05 Lallubhai Transect Walk Observation and Mapping - -

Lallubhai Interviews Semi-Structured Questionnaire 1 Community Leader & RSDF

Member
Lallubhai Transect Walk Observations & Informal 10 Existing RSDs (women, girls,
Discussion boys)
Lallubhai Interviews Semi-Structured Questionnaire 10 Mahila Milan Women (16+ yrs)

10/05 Lallubhai Interview and Workshop Informal Interviews & Drawings 20 12 Boys and 8 Girls (7-16 yrs)

Lallubhai Interviews Semi-Structured Questionnaire 8 Shopkeepers (All men)

Lallubhai Transect Walk Informal Discussion - Women, Men, Boys and Girls

Lallubhai Interviews Semi-Structured Questionnaire 5 Households; Women

47
APPENDIX X: WEB OF INSTITUTIONALISATION: DIAGNOSIS

48
35