AR 503 HOUSING

NIRUTI GUPTA

Urbanization Trends
Process of Urbanization:
1.
2.

Rural urban Immigration

Change of rural character to urban

Reasons for Rural Urban Migration

Rural Urban Disparities difference in income
levels
2. Regional Disparities
3. Urban Primacy
1.

AR 503 HOUSING

SLUMS IN INDIA

Urbanization Trends

Eastern Asia, Southern Asia and Africa will see a massive urbanization.
AR 503 HOUSING

SLUMS IN INDIA

Urbanization Trends

Urbanization in India is rapid and massive

AR 503 HOUSING

SLUMS IN INDIA

The Magnitude of the problem of Inclusive

Urbanization
o

>60 % of Indias GDP from cities; bulk of city services provided

by informal sector

Yet, about a quarter of the urban population is excluded

22% i.e. 93 M or 18 M HH live without adequate shelter or basic

civic and social infrastructure

In most cities of India, urban poor and slum dwellers who

constitute 25-65% of the city population rarely occupy more
than 3-5% of city land space

Inclusive and equitable cities possible with concerted action by

National, State Governments and Urban Local Bodies
AR 503 HOUSING

SLUMS IN INDIA

Slums in India

AR 503 HOUSING

SLUMS IN INDIA

Slums in India
Definition
The Encyclopaedia Britanica defines slums as ...
residential areas that are physically and socially
deteriorated and in which satisfactory family life is
impossible. Bad housing is a major index of slum
conditions. By bad housing is meant dwellings that
have inadequate light, air, toilet and bathing facilities;
that are in bad repair, dump and improperly heated;
that do not afford opportunity for family privacy; that
are subject to fire hazard and that overcrowd the land,
leaving no space for recreational use.
AR 503 HOUSING

SLUMS IN INDIA

Identification of Slums in Census

Definition
Registrar General of India, for the purpose of
Census, 2001, has categorized and defined
slums as of the following three types:

Notified Slums
Recognized Slums
Identified Slums

AR 503 HOUSING

SLUMS IN INDIA

Identification of Slums
Definition
Notified Slums
Recognized Slums
Identified Slums

All notified areas in a town or city

notified as Slum by State, UT
Administration or Local Government
under any Act including a Slum Act

AR 503 HOUSING

SLUMS IN INDIA

Identification of Slums
Definition
Notified Slums
Recognized Slums
Identified Slums

All areas recognised as Slum by State, UT

Administration or Local Government, Housing
and Slum Boards, which may have not been
formally notified as slum under any act

AR 503 HOUSING

SLUMS IN INDIA

10

Identification of Slums
Definition
Notified Slums
Recognized Slums
Identified Slums

A compact area of at least 300 population or

about 60-70 households of poorly built
congested
tenements,
in
unhygienic
environment
usually
with
inadequate
infrastructure and lacking in proper sanitary
and drinking water facilities.
AR 503 HOUSING

SLUMS IN INDIA

11

Identification of Slums
Definition
The NSSO (National Sample Survey Organization), for the
purpose of survey in 1976-77 defined slum as declared and
undeclared slums.
The declared slums were areas that have been formally declared
as slum by the respective municipalities, corporations, local
bodies or the development authorities.
The undeclared slums were defined as an aerial unit having
twenty five or more katcha structures mostly of temporary
nature, or inhabited by persons with practically no private toilet
and inadequate public toilet and water.

AR 503 HOUSING

SLUMS IN INDIA

12

Identification of Slums
Definition
For the purpose of the survey in 1993 and 2002, NSSO adopted the
definition of slums as:

A slum is a compact settlement with a collection of poorly built

tenements, mostly of temporary nature, crowded together usually
with inadequate sanitary and drinking water facilities in unhygienic
conditions. Such an area, for the purpose of this survey, was
considered as non notified slum if at least 20 households lived in
that area. Areas notified as slums by the respective municipalities,
corporations, local bodies or development authorities are treated
as notified slums.
AR 503 HOUSING

SLUMS IN INDIA

13

Identification of Slums
Definition
UN-HABITAT defines A slum is a contiguous settlement where the
inhabitants are characterized as having inadequate housing and
basic services.
A slum is often not recognized and addressed by the public
authorities as an integral or equal part of the city.
Slum households are a group of individuals living under the same
roof that lack one or more of the conditions listed below:
1.
2.
3.
4.
5.

Insecure residential status;

Inadequate access to safe water;
Inadequate access to sanitation and other infrastructure;
Poor structural quality of housing;
Overcrowding.

AR 503 HOUSING

SLUMS IN INDIA

14

Slum Definition in Different States

The definition of slum area adopted by the State Governments is based
on Slum Acts of the respective States i.e. based on legal stipulations
unlike the definitions adopted by RGI and NSSO.
The concept, perception and definition of slums vary across the states,
depending on their socio-economic conditions but their physical
characteristics are almost similar. Slums are usually a cluster of hutments
with dilapidated and infirm structures having common toilets facilities,
suffering from lack of basic amenities, inadequate arrangements for
drainage and for disposal of solid waste and garbage.
There are discrepancies between the parameters adopted by State
Governments, RGI and NSSO. Generally the state laws provide for a
procedure to notify or recognize slums but the stipulation regarding
the number of households in the definitions adopted by State laws which
do not place a limit on the number of households for the purpose of
identifying slums.
AR 503 HOUSING

SLUMS IN INDIA

15

Slum Definition in Different States

Andhra Pradesh
The definition of Notified Slum Area as provided in the Andhra
Pradesh Slum Improvement (Acquisition of Land) Act, 1956. Act.
No. XXXIII of 1956 is where the government are satisfied that
any area is or may be a source of danger to public health, safety
or convenience of its neighbourhood by reason of the area being
low lying, insanitary, squalid, or otherwise, they may by
notification in the Andhra Pradesh gazette declare such area to
be a slum area.
The Slum areas recognized by Local Governments but not
notified by the State Government as above are Non-notified
Slum Areas.
AR 503 HOUSING

SLUMS IN INDIA

16

Slum Definition in Different States

Madhya Pradesh

Slums are defined as per the Clause 3 given in the Madhya Pradesh
Gandi Basti Kshetra (Sudhar tatha Nirmulan) Adhiniyam, 1976
which states that:
where the Competent Authority upon report from any of its
officers or other information in its possession is satisfied in respect
of any area that the buildings in that area are in any respect unfit
for human habitation; or area by reason of dilapidation,
overcrowding, faulty arrangement and design of such buildings,
hazardous and unwholesome trade carried on therein, narrowness
and faulty arrangement of streets, lack of ventilation, light or
sanitation facilities, or any combination of these factors are
detrimental to safety, health or morals, it may, by notification,
declare such area to be a slum area.
AR 503 HOUSING

SLUMS IN INDIA

17

Slum Definition in Different States

Haryana

Government of Haryana had issued a notification on 16-04-1990 for

constitution of Haryana Slum Clearance Board and adopted the
Punjab Slum Areas (improvement and clearance Act 1961). As per
section 3(1) of this Act, the definition of Slum area is:
Where the competent authority upon report from any of its officers
or other information in its possession is satisfied as respect of any
area that the buildings in that area:
Are in any respect unfit for human habitation, or
Are by reason of dilapidation, overcrowding, faulty arrangements and
design of such buildings narrowness or faulty arrangements of streets
lack of ventilation, light or sanitation facilities, or any combination of
those factors detrimental to safety, health or morals it may by
notification in the official gazette, declare, such an area a slum area.
AR 503 HOUSING

SLUMS IN INDIA

18

Slum Definition in Different States

Haryana

In determining whether a building is unfit for human habitation for the

purpose of this act, regard shall be had to its condition in respect of the
following matters, that is to say
1. repairs,
2. stability,
3. freedom from damp,
4. natural light and air,
5. water-supply,
6. drainage and sanitary conveniences,
7. facilities for storage preparation and cooking of food and for the
disposal of waste water,
The building shall be deemed to be unfit as aforesaid if any only if it is so
far defective in one or more of the said matters that it is not reasonably
suitable for occupation in that condition.
AR 503 HOUSING

SLUMS IN INDIA

19

Slum Definition in Different States

Maharastra
There is no definition of Slum in the Maharastra Slum Areas
(improvement, Clearance & Redevelopment) Act, 1971.
However, Sec.2 (ga) defines Slum Area as
Slum Area means any area declared as such by the
competent authority under sub-section (1) of section 4:
As per the provisions of the sub-section (1) of section 4 to declare an
area as slum area, it must satisfy the following conditions:
Any area is or may be a source of danger to the health, safety or
convenience of the public of that area or of its neighbourhood, by
reason of the area having inadequate or no basic amenities, or
being insanitary, squalid, overcrowded or otherwise;
AR 503 HOUSING

SLUMS IN INDIA

20

Slum Definition in Different States

Maharastra

The buildings in any area, used or intended to be used for

human habitation are in any respect, unfit for human
habitation; or by reasons of dilapidation, overcrowding,
faulty arrangement and design of such buildings, narrowness
or faulty arrangement of streets, lack of ventilation, light or
sanitation facilities or any combination of these factors,
detrimental to the health, safety or convenience of the
public of that area.

AR 503 HOUSING

SLUMS IN INDIA

21

Slum Definition in Different States

Maharastra
To decide whether the buildings are unfit for the purpose of
human habitation, the following conditions should be fulfilled:
1. Repairs
2. Stability
3. Freedom from damp
4. Natural light and air
5. Provision for water-supply
6. Provision for drainage and sanitary conveniences
7. Facilities for the disposal of waste water

AR 503 HOUSING

SLUMS IN INDIA

22

Slum Definition in Different States

Uttar Pradesh
Where the competent authority upon information received or
otherwise in its possession is satisfied as respects any area that
a majority of the buildings in the area are1. By reason of dilapidation, overcrowding, faulty arrangement
of design of such buildings, narrowness or faulty
arrangement of streets, lack of ventilation; light or
sanitation facilities, or any combination of these factors,
detrimental to safety, health or morals of inhabitants in the
area, or
2. Otherwise in any respect unfit for human inhabitation, it
may by notification in the official Gazette, declare such area
to be slum area;
AR 503 HOUSING

SLUMS IN INDIA

23

Slum Definition in Different States

Uttar Pradesh
In determining whether a building is unfit for human habitation,
regard shall be bad to the following matters, that is to say1. Extent of necessary repairs
2. Stability
3. Extent of dilapidation
4. Water supply
5. Arrangements for privies, drainage and sanitation
6. Facilities for storage, preparation and cooking of food
and for the disposal of waste matter and water
And the building shall be deemed to be unfit as aforesaid if it is
so far defective in one or more of the aforesaid matters that is
not reasonably suitable for occupation in that condition.
AR 503 HOUSING

SLUMS IN INDIA

24

Slums in India
Definition
A compact settlement of at least 20
households with a collection of poorly
built tenements, mostly of temporary
nature, crowded together usually with
inadequate sanitary and drinking water
facilities in unhygienic conditions.
Source: Government of India. (2010). Report of the committee on slum statistics/census.

AR 503 HOUSING

SLUMS IN INDIA

25

Data on Slum from Census, 2011

It is for the first time in Census that datasets on Housing stock,
Amenities and Assets based on the Houselisting and Housing
Census are being released
In Census 2001, information on Slums were released only on
demographic characteristics based on the Population
Enumeration. For this purpose, Slum Blocks were identified in
Statutory Towns having a population of 20,000 by the local
authorities at the time of Population Enumeration phase
In Census 2011, Slum Blocks have been delineated in all
statutory towns irrespective of population size.
AR 503 HOUSING

SLUMS IN INDIA

26

Slums in India

Slum population has increased from 75M in 2001 to 93M in 2011.

AR 503 HOUSING

SLUMS IN INDIA

27

Towns Reporting Slums

India : Census 2011
Out of 4,041 Statutory Towns in
Census 2011 Slums reported from
2,543 Towns (63%)
Total Slum Enumeration Blocks
(SEBs) in Census 2011 is about
1.08 lakh in the country
Largest number of Slum EBs
reported
from
Maharashtra
(21,359)
AR 503 HOUSING

SLUMS IN INDIA

28

Number of Slum Blocks by Type of

Slums India : Census 2011
Notified Slums

37,072

Recognised Slums 30,846

Identified Slums
Total:

AR 503 HOUSING

SLUMS IN INDIA

40,309
1,08,227 Blocks

29

Households by Type of Slums

India : Census 2011
Notified Slums

49.65 lakh HHs

Recognised Slums 37.96 lakh HHs

Identified Slums

Total:

AR 503 HOUSING

49.88 lakh HHs

137.49 lakh HHs

SLUMS IN INDIA

30

Slum Households
Top 5 States
State
Andhra Pradesh
Chhattisgarh
Madhya Pradesh
Odisha
West Bengal

Proportion of Slum HHs

to Urban HHs (%)
35.7
31.9
28.3
23.1
21.9

Bottom 5 States
State

Chandigarh#
Gujarat
Jharkhand
Assam
Kerala

AR 503 HOUSING

SLUMS IN INDIA

Proportion of Slum HHs

to Urban HHs (%)
9.7
6.7
5.3
4.8
1.5

31

Why do slums proliferate in

India?
Lack of
economic
growth

Income
inequality

Poverty

In-migration

Excessive/obsolete
regulations

Lack of affordable
housing

Slum
formation
Source: UN-Habitat (2003) Challenge of slums
AR 503 HOUSING

SLUMS IN INDIA

32

Why are slums problematic?

Detrimental to health
Locking land for infrastructure/open spaces
Insecure tenure
Discrimination

Are they?

Slum of hope
Solutions to government failure
Community
Eco-friendly/sustainable

AR 503 HOUSING

SLUMS IN INDIA

33

Slum and Housing Policies & Programmes in

India:
1. Integrated subsidized housing scheme for industrial workers
and Economically Weaker Section of the community, 1952
2. Slum Clearance and Improvement Schemes, 1956
3. Schemes for environmental improvement of slums, 1972
4. Integrated Urban Development Programme, 1974
5. Scheme for Integrated Development of Small and Medium
Towns, 1979
6. Urban Basic Services Programme, 1985
7. Urban land Policy and Urban Land Ceiling & Regulation Act,
1976

AR 503 HOUSING

SLUMS IN INDIA

34

Slum and Housing Policies & Programmes in

India:
1. Jawaharlal
Nehru
National
Urban
Renewal
Mission(JnNURM): Basic Services for Urban Poor (BSUP) &
Integrated Housing & Slum Development Programme
(IHSDP)
2. Swarna Jayanti Shahari Rozgar Yojana (SJSRY)
3. Affordable Housing in Partnership (AHIP)
4. Interest Subsidy Scheme for Housing the Urban Poor (ISHUP)
5. Urban Statistics for HR and Assessments (USHA)
6. Integrated Low Cost Sanitation Scheme (ILCS)
7. Projects/ Schemes for the Development of North Eastern
States, including Sikkim

8. Rajiv Awas Yojana (RAY)

AR 503 HOUSING

SLUMS IN INDIA

35

Rajiv Awas Yojana (RAY)

Rajiv Awas Yojana announced by the President in June 2009

Over a year long process of consultation with all stakeholders

Objective to create a Slum-Free India through assignment of

property rights and housing for the poor

Scheme approved by the Cabinet on June 2nd 2011

RAY in two phases:

Phase I (2011-2013) covering innovative and pilot

projects and initial set of cities ready with City wide plans
; Outlay Rs 5000 Cr

Phase II (2013-2017) for the remaining period of the

Twelfth Five Year Plan

Selection of cities in consultation with the Centre

AR 503 HOUSING

SLUMS IN INDIA

36

Features of the Scheme

o

Large scale financial support from the Centre to States

planning, upgrading and redeveloping existing slums in cities

Support to cover whole city requirement to ensure that no slum/

no-slum dweller is left out

States expected to assign property rights for slum dwellers

State funding to be used to massively upgrade infrastructure and

services in slums to same level as the rest of the city

Concurrently, Central Government working with banks to enable

large scale credit for EWS/ LIG housing, both in-situ and fresh
stock

Credit Guarantee Fund

Mandatory earmarking of land for the poor as part of preventive

strategy
AR 503 HOUSING

SLUMS IN INDIA

for

37

Slum Free India

Every citizen has right to civic services,
social services and shelter
Shift from
project approach
to
Whole city, All slum approach

Community Participation

Support for investments

Policies for scale and sustainability

Curative Strategy

Preventive Strategy

Reform Pillar 1

Reform Pillar 2

Reform Pillar 3

Improvement
of existing
slums

Providing shelter
and services for
growth

Property Rights
to all

Reservation of
land

Earmarking of
funds

Decentralised
Shelter for
homeless

AR 503 HOUSING

Flexible

Transit
housing

Basic
services

SLUMS IN INDIA

Incentive led
Revelopment

Relocation

Involve markets
Rental
Housing

Affordable
Housing

38

RAY: Pattern of Central Support

o 50% of

slum redevelopment costs, including

provision of basic civic/ social infrastructure and
housing including ownership, rental and transit

o Centre + State + ULB to bear the cost of infrastructure

o State share for infrastructure to be minimum 20%

o Affordable Housing in Partnership Scheme and

Interest Subsidy Scheme for Housing the Urban Poor

(ISHUP) to be dovetailed with RAY
o 10 % for Capacity Building, Preparatory Activities, IEC

& Community Mobilization

AR 503 HOUSING

SLUMS IN INDIA

39

Approvals & Release of Funds

o

Releases and approvals to be on the basis of DPRs which need to

be submitted with approval of State Level Sanctioning and
Monitoring Committee

Innovative and pilot projects to be considered for sanction even

in the preparatory stage

Central Funds to be released in 3 installments to the State

Governments/SLNA
First Installment after sanction of DPR and on submission of

financing plan for State/ULB share for the project

The subsequent installments on receipt of Utilization

Certificate for 70% of the earlier release

o

3 Mandatory reforms within 1 year of DPR sanctions

AR 503 HOUSING

SLUMS IN INDIA

40

Steps in RAY preparation - approval

Slum database

Plan of Action

Community mobilisation
Slum Free City Plan
Part I Redevelopment

Slum Free City

Plan

Part II - Containment.

City Preparation

Act for property

rights

State Policy

State approval

DPR stage
States initiate
implementation

Central approval

Implementation

Slum Free City Plan

Property rights
legislation
State Plan of Action

AR 503 HOUSING

SLUMS IN INDIA

Quantum of central support

City specific reforms and targets
are finalised at this stage based
on State Plan of Action

41

RAY SUMMARY
Three-tiered approach
Improving existing slums
Relocation/upgrading/redevelopment

Preventing future slum formation

Lifting regulatory barriers
Subsidizing mortgage for the poor

Improving governance
Decentralization
Information base (e.g. Slum GIS)

AR 503 HOUSING

SLUMS IN INDIA

42

Slum Rehabilitation Scheme

in Mumbai

AR 503 HOUSING

SLUMS IN INDIA

43

Where is Mumbai?

Source: http://www.mmrdamumbai.org/showArticle.jsp?srv=j1Yq1L6SGeWUPa
AR 503 HOUSING

SLUMS IN INDIA

44

Floor Space Index

(FSI)

Island City
Western Suburbs

1.33
1.00

Eastern Suburbs

1.00
Source: Nakamura (2010)

AR 503 HOUSING

SLUMS IN INDIA

45

How Slum Rehabilitation Scheme works?

1. Get agreement from at least 70% of slum dwellers
2. Shift slum dwellers into transit accommodation and demolish the slum
3. Build new tenements for slum dwellers
4. Build (and sell) sale components as many as the FSI of the land allows
5. Sell the rest of incentive FSI or use it in other project sites to the north
of this site = Transfer of Development Rights

TDR
Sale Components

Market

Rehabilitated
Components

Other
projects

FSI Limit
( FSI=3.0 in
slum areas)

Slum
AR 503 HOUSING

SLUMS IN INDIA

46

Rehabilitated housing

AR 503 HOUSING

SLUMS IN INDIA

47

Rehabilitated housing

AR 503 HOUSING

SLUMS IN INDIA

48

Rehabilitated housing

AR 503 HOUSING

SLUMS IN INDIA

49

Rehabilitated housing

AR 503 HOUSING

SLUMS IN INDIA

50

Political economy in SRS

Governments
[1] Promise free
housing

[2] Provide political

support and work force
[3] Provide
developable floor
space through SRS/TDR

[4] Redevelop slums

and provide financial
support

[5] Surrender squatted

lands and appoint
developers

Slum Dwellers

Private Developers
[6] Provide free
housing

AR 503 HOUSING

SLUMS IN INDIA

51

Downsides/limitations of SRS

Not led by communities

Forced many to move out
Susceptible to volatile market
Built on obsolete regulations
Exacerbated congestion

AR 503 HOUSING

SLUMS IN INDIA

52

Concentration of TDR use has caused congestion

AR 503 HOUSING

SLUMS IN INDIA

53

Summary

Top down/bottom up
Community participation/development
Private-public partnership
Market and speculation
Planning regulations and easement
Informal sector/housing

AR 503 HOUSING

SLUMS IN INDIA

54