Participatory Governance In Urban India Focus On The Urban Poor

National Core Group on Poverty Ministry of Housing and Urban Poverty Alleviation Government of India, New Delhi

RAMESH RAMANATHAN SUMIT SINGH

NANDITA ARAS JANAKI DIGHE

September 2008

4th Floor, UNI Building, Thimmaiah Road, Vasanthnagar, Bangalore 560 052 Ph: +91-80-4127 7102 / 103 Fax: +91-80-41277104 [email protected] www.janaagraha.org Participatory Governance In Urban India Focus On The Urban Poor

National Core Group on Poverty Ministry of Housing and Urban Poverty Alleviation Government of India, New Delhi Background

The Urban Ministry of Housing and Urban Poverty Alleviation has established a National Core Group on Urban Poverty with members drawn from civil society and academic institutions. The group’s role was to assist the ministry in formulation of various policies and programmes for poverty alleviation. Each group member led a separate thematic area along with the support institutions based on their thematic and operational areas of expertise. Janaagraha Centre for Citizenship and Democracy has been commissioned by the Ministry to prepare a thematic paper: Participatory Governance in Urban India – Focus on the Urban Poor.

About the Authors

Ramesh Ramanathan is co-founder of Janaagraha Centre for Citizenship and Democracy, a non-profit institution aimed at improving the quality of public governance by deepening democracy. He is also currently the Chairman, Janalakshmi Financial Services, working in the area of urban microfinance. He is a member of the National Core Group on Urban Poverty of the Ministry of Housing and Urban Poverty Alleviation. He possesses an MSc(Hons.) degree in Physics from BITS Pilani, an MBA from Yale University, and a Certified Financial Analyst (CFA) degree from the Association of Investment Management & Research (AIMR).

Sumit Singh is Advocacy Associate at Janaagraha. He holds a degree in Electrical engineering from Institute of Engineering and Technology, MJP Rohilkhand University, Bareilly and has been actively involved in various socio-political activities in Delhi before joining Janaagraha.

Nandita Aras is Coordinator of the Research Programme at Janaagraha. She has a Masters in Economics from Bombay University and a Ph.D. in Political Science from Columbia University, New York. She taught in the Political Science Department of the University of California, Irvine before moving to India in 2004.

Janaki Dighe is pursuing a Juris Doctor degree at the New York University School of Law. She interned as a research assistant at Janaagraha Centre for Citizenship and Democracy in the summer between her first and second years of law school. Prior to attending law school, Janaki served as a congressional aide to Congresswoman Jane Harman (D-California) and Congressman Jim Costa (D-California) in Washington, D.C. She received a Bachelor of Arts in political science from the University of California, Los Angeles in 2004.

Acknowledgement

This project has been supported by the United Nations Development Programme (UNDP). The authors are grateful to Alkesh Sharma, National Project Director, UNDP for his help in coordinating this project, and to Anjana Madhavan, Associate Project Coordinator, National Strategy for Urban Poor (NSUP), for her support. They are also thankful to Ms Sneha Palnitkar, Director All India Institute of Local Self Government (AIILSG), and Mukesh Kanaskar, Faculty (AIILSG) for support to the Members of the National Core Group on Urban Poverty in preparing policy papers, and holding national consultations on subjects pertaining to urban poverty. Contents 1 Introduction

1.1 Urbanisation and Urban Poverty were focused on rural development and rural poverty. Only India no longer lives only in its villages. The Census of India in the last ten years has the perception changed to view 2001 counted the urban population at over 28.5 crores, or urban poverty as more than the failure of rural poverty almost 28% of the country’s total population.1 The urban alleviation schemes. population is expected to grow to 45.8% of the total population by 2030 - a far-cry from India’s days as a rural country.2 The same report predicts that India will have the 1.2 Comparing Urban and Rural Poverty largest share of urbanites in the world by 2030, with one Since Independence, Indian policymakers focused on rural of every eight urbanites in the world living in India. By that development in response to Gandhi’s call that “India year, India’s share of the world urban population could grow lives in its villages.” Urban poverty was sidelined because to 12.39% or 63.4 crores out of 511.7 crores. rural poverty was viewed as the graver ill. However, the percentage of population living below the poverty line in Clearly, India has not been immune to the forces of urban areas has been only slightly lower than that in rural urbanisation spreading across the world. Between 1991 and areas (see figure 1). An estimated 23.6% of the urban poor 2001, India’s urban population grew over 31.13%, while the live below the poverty line7. Moreover, large states such as total population increased by 21.34%. An estimated 140 Andhra Pradesh, Goa, Gujarat, Haryana, Karnataka, Kerala, million people will move to cities by 2020 and a massive 700 Madhya Pradesh, Maharashtra, Rajasthan, Tamil Nadu, Delhi, million by 2050.3 While the nature and rate of urbanisation and the Union Territory of Pondicherry have levels of urban has varied from country to country, there are common poverty that are higher than rural poverty. threads which underlie the trend in this country, including the emergence of cities, diversified economic activity, the growth of service sectors, etc.4 In India, future economic and population growth is expected to be concentrated in the 60 - 70 cities with populations of over one million.

In 1998, the National Institute for Urban Affairs estimated that more than 50% of the country’s Gross Domestic Product arose out of urban India, a figure that has risen to over 60% today.5 However, this growth has been accompanied by parallel growth in urban poverty. And although the Census of India, United Nations, and Government of India (GoI) agree that India’s urban population growth is outpacing the rural population growth,6 for a very long time Indian policymakers Figure 1: Poverty Ratio (Percentage) Figure 1 shows that over the last few decades the percentage

1 Registrar General of India. Census of India-Final Population Totals. of persons below the poverty line in both urban and rural New Delhi: Government of India (2001). areas has declined. However, Figure 2 shows that overall, 2 World Urbanisation Prospects: The 1996 Revision. New York: while the absolute number of persons below the poverty Department of Economic and Social Information and Policy Analysis, Population Division. (United Nations 1996). line has been declining in rural areas, it has been steadily 3 Census of India, Goldman Sachs Economics Research, as reported by rising in urban areas. Only in the 2001 Census, can one see the Ministry of Urban Development (Sept. 30, 2007). 4 Supriti, et. al., Urban Poverty Alleviation in India, (Ramanathan a reduction in the absolute numbers of urban poor for the Foundation 2002). first time. 5 Loughhead, Susan and Mittal, Onkar, Urban Poverty and Vulnerability in India: A Social Policy Perspective, (Department for International Development, London 2001). 6 Supriti et al, Urban Poverty Alleviation Initiatives in India: A General Assessment and a Particular Perspective (Ramanathan Foundation 7 Planning Commission. 10th Five-Year Plan Volume II. Section 6.1 2002)., p.16. Urban Development

INTRODUCTION 1 victimised by weak delivery systems and poorly designed national pro-poor schemes. Notably, rural per capita spending on the poor is ten times the figure for the urban poor10.

In addition, it is difficult to identify and categorise the urban poor. While a significant number of the urban poor do live in slums, there are other urban poor. In 2002, the estimated urban poor population was 8 crores, while the slum population was only 4 crores11.

In his policy paper, M.P. Vasimalai identifies the most Figure 2: Number of Poor (Million) common indicators used to characterize urban poverty from Even as urban poverty grew in the last few decades, most conventional ones, like income or consumption, to social policymakers understood the phenomenon as the outgrowth indicators, like life expectancy, infant mortality, nutrition, of unchecked rural poverty, rather than a distinct issue. In proportion of the household budget spent on food, literacy, 1994, the Lakadwala Committee suggested rural poverty school enrollment rates, and access to health clinics or was declining faster due to the emphasis accorded by the drinking water12. GoI to rural poverty alleviation programmes8. While the ratio of urban to rural poor was 1:3.5, the ratio of funding of For the purpose of GoI programmes, the poverty line is poverty programmes was 1:35. defined in terms of minimum calorie intake, at 2100 calories per capita per day. But, poverty can take many forms among Today, most estimates suggest that the population of the individual households, as addressed by the 10th FYP which urban poor is increasing, while that of the the rural poor is attempts to categorise the urban poor, according to the decreasing, emphasising the need to focus on solutions that various types of vulnerability. address the unique challenges of the urban poor9. Urban poverty is a complex phenomenon and the policy responses Housing Vulnerability: Lack of tenure, poor quality for it cannot be ‘cut-and-paste’ solutions from rural poverty shelter without ownership rights, no access to individual programmes. water connection/toilets, unhealthy and unsanitary living conditions. 1.3 Unique Challenges of the Urban Poor The steady increase in urban poverty is often attributed to Economic Vulnerability: Irregular/casual employment, a rapid increase in urban population, serious deficiencies low paid work, lack of access to credit on reasonable in urban infrastructure and low investment in urban terms, lack of access to formal safety net programmes, development. Rapid economic growth of the cities does low ownership of productive assets, poor net worth, legal not necessarily correspond with a decline in urban poverty, constraints to self-employment. as the basic needs of the urban poor, such as shelter, civic amenities, health care, educational and social needs are not Social Vulnerability: Low education, lack of skills, low adequately met. social capital/caste status, inadequate access to food security programmes, lack of access to health services, As cities have rapidly expanded without developing the exclusion from local institutions. infrastructure for basic civic amenities, like clean drinking water, sanitation, garbage disposal, electricity and Personal Vulnerability: Proneness to violence or transportation, the urban poor end up living in slums where intimidation, especially women, children, the elderly, the living and working conditions are dismal. With more than disabled and destitute, belonging to low castes and 60 million people living in slums, our urban infrastructure is minority groups, lack of information, lack of access to severely stressed on multiple fronts. In one estimate, more justice. than 40% of urban households do not have proper sanitation and about 51% do not have on-site water access. Source: Planning Commission, 10th Five-Year Plan Volume II, Section 6.1 Urban Development. To compound the problem, municipal governments are Each challenge of the urban poor is exacerbated by the next, notoriously weak in many of India’s largest cities. The poor suffer the most from a weak governance structure. They are 10 Ramanathan, Ramesh. Urban Poverty Issues in India – Challenge and Responses (2007). 11 Supriti, p. 13. 8 Ibid 12 M.P. Vasimalai, Draft Policy Paper on Institution Building for 9 Loughhead, p. 1 Community Empowerment (July 2008).

2 PARTICIPATORY GOVERNANCE IN URBAN INDIA—FOCUS ON THE URBAN POOR so an identification or beneficiary vulnerability increases the of what constitutes urban poverty and who qualifies. The likelihood that the poor will not receive their entitlements next section outlines the evolution of government initiatives, or be included in the development of solutions to urban and the changes in the design of these programmes. Most poverty. The major challenges can be summarised into three important - and relevant to this paper - the section describes general categories: how the evolution of these programmes has begun to place 1. Develop a methodology to identify the urban poor which the community at the centre of the interventions for poverty factors in their various vulnerabilities (see box above) alleviation. Indeed, the logic to include this fairly elaborate 2. Create a system to apply the methodology and identify introduction on urban poverty and government programmes the urban poor is to highlight the context in which discussions on the issues 3. Meet the needs/deliver services to the urban poor of citizen participation and governance must take place. and involve them in the development of urban poverty programmes.

One programme, the Kudumbashree programme in Kerala has developed an interesting and arguably robust poverty scale, measuring poverty against numerous indicators rather than drawing a straight line at income level (see Section 3.3.1 for a further discussion of the programme). This type of approach (see box below) views poverty through a multi- dimensional lens, creating a more realistic index by which to identify beneficiaries.

Kudumbashree was the poverty alleviation mission of the Government of Kerala which came into effect in 1993. The mission was to eradicate absolute poverty in ten years through concerted community action under the leadership of local governments. A poverty index was introduced to estimate the beneficiaries rather than a poverty line.

Poverty Index - Urban Areas (2000) The Poverty Index was modified for the urban areas based on the feed back from the field. The following factors were used as indicators:

1. Less than 5 cents of Land / No Land 2. Dilapidated House / No house 3. No Sanitary Latrine 4. No access to safe drinking water within 150 meters 5. Women headed household 6. No regular employed person in the family 7. Socially Disadvantaged Groups SC/ST 8. Mentally retarded / Disabled / Chronically ill member in the family 9. Families without colour TY

••A family which has 3 risk factors including one from among the risk indices of 6,7,8 is a family at risk. ••A family which has only two risk factors out of the risk indices 6,7,8 also is a family at risk. ••All ST families who have no government employees other than an anganwadi worker / helper, last grade servants in government offices are also families at risk.

Source: Urban Reforms Report to 2nd Administrative Reforms Commission, Janaagraha, December 2006.

In order to design effective urban poverty alleviation initiatives, policymakers need to understand the challenges of urban poverty - beginning with the very classification

INTRODUCTION 3 2 Government Initiatives for the Urban Poor

Since Independence, urban poverty has been addressed by rural poverty. The 9th FYP integrated a new understanding the GoI in the Five-Year Plans (FYPs) and through Urban of urbanisation and urban poverty, as an independent force Poverty Alleviation Initiatives (UPAIs). For many years, however, with which to be dealt, rather than the outgrowth of rural policymakers misunderstood the complicated nature of urban migration. Urban poverty was viewed as more than the failed poverty and failed to provide comprehensive solutions to the attempt to stall rural-urban migration, as had been the focus complex issue. of previous FYPs. This period also marked the launch of one of the most successful poverty alleviation programmes, the 2.1 Urban Poverty and the Five-Year Plans Swarna Jayanti Shahari Rozgar Yojana (SJSRY) which took While urban population pressures, like the lack of housing a holistic approach to poverty alleviation by addressing and basic services, have been increasing since the 1950s, the housing, welfare, credit and employment concurrently. The problems of the urban poor have only recently become an lessons of SJSRY will be discussed in-depth in a later section issue of national importance. In the initial Five-Year Plans, of this report (see Section 4.2.2 ). urbanisation was regarded as a potential drain on the resources of the agricultural and rural economy, rather than The 10th FYP dedicates a section to “Urban Development” the inevitable consequence of economic growth. Therefore, and cites urban poverty alleviation as one of the objectives the Plans involved minimal investment in the urban of planning. The report advocates the following approach to infrastructure. The 4th Five-Year Plan illustrated policymakers’ urban poverty alleviation: negative attitudes towards urbanisation by attempting to prevent urban population growth and to disperse the urban ••State Governments should amend their laws to devolve the population. tasks of urban poverty alleviation to the Urban Local Bodies, in keeping with the mandate of the 74th Amendment. Urban poverty was not explicitly recognised as an issue until ••Urban poverty alleviation requires a multi-dimensional the 7th Five-Year Plan (1985 – 1990) which launched the strategy, focused on empowerment. The community Urban Basic Services for the Poor scheme. The UBSP was structure under the SJSRY should be made the common forward-thinking in its design considering the fact that pattern and the foundation of all programmes for the “community organisation, mobilisation, and empowerment” urban poor and slum dwellers. was listed among its objectives. During that time, the National ••SJSRY contains the two basic requirements of any poverty Commission on Urbanisation issued a report stressing the alleviation programme: community involvement and increasing pressures of rapid urban population growth. In empowerment and employment generation. that context, the 8th Five-Year Plan finally recognised the ••The community structures of SJSRY need to be strengthened importance of the urban sector to the national economy and and further diversified. cited statistics from the National Sample Survey Organisation ••There must be recognition of the many forms which urban that 41.8 million urbanites lived below the poverty line.13 poverty takes.

Still, urban issues, namely urban poverty, were only The approach taken by the GoI today signifies a dramatic comprehensively addressed by the GoI with the 9th Five- change in the perception and understanding of urban Year Plan (1997 – 2002). The 9th FYP acknowledged and poverty, providing a rich context for our discussion of the debunked “the common perception…that urban poverty is role of citizen participation by the urban poor. However, a transfer of rural poverty into urban areas.”14 For the first to fully understand this paradigm shift, it is necessary to time, the Planning Commission allocated a distinct section have a basic knowledge of the scope of the urban poverty to urban poverty, de-linking the approaches to urban and programmes since Independence.

2.2 Urban Poverty Alleviation Initiatives 13 Ministry of Housing and Urban Poverty Alleviation website, http:// While the GoI was not addressing urban poverty in a mhupa.gov.in/policies/index2.htm, viewed on August 7, 2008. 14 Planning Commission, 9th Five-Year Plan (1997). systematic way, solutions to the growing crisis have been

4 PARTICIPATORY GOVERNANCE IN URBAN INDIA—FOCUS ON THE URBAN POOR introduced over the last six decades. Since Independence, the 2.3 Paradigm Shift: From a delivery to an empowerment GoI has initiated several Urban Policy Alleviation Initiatives approach (UPAIs) which can be neatly categorised into three, nearly For years, experts have emphasized the importance of simultaneous, waves. The first wave did not stop before pursuing an “empowerment” approach vs. a “delivery” the second began, and all three waves continue today, as approach that treats beneficiaries as mere recipients, rather the number of UPAIs has increased yearly, indicating the than agents of change. In the last decade, an evolution has gradual rise in importance which urban poverty issues have taken place in the design of government schemes from being experienced among policy-makers. system-centric to citizen-centric. UPAIs shifted focus from providing visible primary goods, healthcare, and education 2.2.1 First Wave: Housing to address empowerment. Programmes which involve the In the first wave, the urban poor were equated with slum- poor allow them to integrate with mainstream economic dwellers. The Centre’s response was to address housing and activity and gain acceptance as legitimate citizens, not as the needs of slum-dwellers establishing, among other things, charity cases. the Ministry of Works and Housing in 1954, the forefather to the MHUPA. Today, housing programmes continue to However, there is a note of caution here as well: while dominate the UPAIs, as the homelessness crisis has not abated. the idea that participation of the poor has now become a central element in programme design in poverty alleviation 2.2.2 Second Wave: Welfare programmes of government, this still leaves open the issue In the second wave, beginning in the late 1950s, the of design and implementation to make this participation UPAIs included welfare schemes to provide education, successful and effective. The focus of attention therefore health, nutrition, sanitation, and drinking water. Various needs to shift from celebrating that participation has programmes addressed food security, nutrition for children, finally become legitimised, to exploring the design and slum improvements, etc. Many of the programmes were implementation issues surrounding participatory processes. consolidated into the Minimum Needs Programme. In 1986, As an example, SJSRY is a programme which incorporated the launch of Urban Basic Services (UBS) programme signified elements of community participation, with very mixed a paradigm shift in the perception of urban poverty as a single outcomes in different parts of the country. Two examples sector problem of housing to a multi-sector problem.15 are provided in this document itself, with widely different outcomes: one in Karnataka, and the second in Kerala. 2.2.3 Third Wave: Credit While SJSRY was unsuccessful in Karnataka for a variety of In 1977, the government recognised the usefulness of credit reasons, one key aspect was to do with the participatory in fulfilling various needs of the urban poor, from housing structures. On the other hand, in Kerala, the same SJSRY to welfare.16 Schemes were devised to provide subsidised programme, folded into a larger community empowerment loans for self-employment and vocational training. In 1986, programme called Kudumbashree, presents the most the contribution of women as income generators was successful implementation of the empowerment approach finally recognised with the UBS programme and others. The when designed and executed well (see section 4.2.3). This Swarna Jayanti Shahari Rozgar Yojana (SJSRY) was another holds important lessons, and forms the focus of the next exclusive credit and employment programme, launched to sections in this report. commemorate the fiftieth year of independence. Among the UPAI success stories, the UBS programme and SJSRY can be commended for involving community participation in their design structures, a lesson to the numerous failed programmes.

The three waves of UPAIs carried on in a piecemeal fashion for decades, multiplying exponentially, while minimally addressing the needs of the urban poor. In the last decade, a dramatic and much-awaited paradigm shift has accompanied the GoI’s awakening to the pressures of urbanisation and the challenges of the urban poor.

15 Supriti et al, “Urban Poverty Alleviation in India” Ramanathan Foundation, 2002,, p. 36. 16 Ibid. at 37.

Government Initiatives for the Urban Poor 5 3 Citizen Participation and Urban Governance

3.1 The value of participation – two different increase their influence over decision-making, which has perspectives an immediate impact on them. For all the discussion on the benefits of participation in India – and the evolution in the design of government The Second Dimension of Participation programmes, as seen in the earlier section - the popular However, there is a second attribute to participation that view of the value of participation has been on the outcomes is equally important, and this has to do with deepening that this produces: either of more equitable outcomes for democracy. Empowerment is about more than creating the poor, or for the accountability that such participation structures to facilitate citizen participation for better service creates on the part of various government bodies. Both of outcomes. In its most significant form, empowerment these are focused on the characteristic of participation that enables individuals to act as agents of change. The current could be termed “improving services”. approach in accessing entitlements by the poor is to create a powerful, collective voice of the poor that would be The First Dimension of Participation sufficient for forcing recognition and demanding results. Civic engagement17 at the local level improves the quality Federations of the poor have a forcefulness that is lacking in of life of citizens, especially in regards to the poor and the solitary voice of an impoverished citizen. However, while vulnerable and provides the following advantages: such collective structures are critical, they do not have to be at the expense of individual political empowerment as • Provides a forum for community stakeholders to voice well – i.e. there is no need for an “either-or” choice: both their concerns, needs and demands which will feed collective action and individual political empowerment can into the demand-driven provision of services. work together. • Creates opportunities for specific local issues to be addressed by allowing local stakeholders to identify Viewed in this perspective, participation is an end in itself. their priorities, analyze the causes of poverty, and Democracy only works when citizens see themselves as propose local viable solutions. actors in the decision-making process of government – more • Offers a less expensive alternative to large workshops, often, local government - engaging in the complex process since they can be organized with less lead time, and can of presenting views of varying interest groups to each other, provide more concrete inputs in setting priorities, evaluating the possibilities, making the compromises and selecting public actions and designing a monitoring negotiations which are the essence of political processes, and evaluation strategy. and arriving at collective outcomes. • Present diverse and representative views from informal grassroots groups, community organisations, those This second aspect of participation focuses much more on without the means to travel to larger venues to attend the processes of participation, and how these are connected workshops, and those who are normally excluded from to the instruments of representative government, so as to more formal discussions. deepen democracy. The aim is to get all classes of citizens • Disseminates information to local stakeholders about to participate and engage in common forums of negotiation, the process, the government intentions, and the content since it is by definition the engagement of all stakeholders of proposed policies, allowing them to fully participate. in the same platforms that creates the complex negotiation It may also motivate local stakeholders to mobilize and processes that are the essence of democracy. This view of organize to represent their interests. participation has much to do with the terms “citizenship” • Creates the space to build partnerships between and “democracy” - some would argue that it goes to the policymakers, service providers and local people can root of these terms.

In India, we have not articulated this value of participation as 17 Organising participatory processes in PRSP: Poverty reduction strategy much as the first one, which is why the predominant emphasis sourcebook, available at http://poverty2.forumone.com/library/ view/4835/ continues to be on outcomes - i.e. participation as a means

6 PARTICIPATORY GOVERNANCE IN URBAN INDIA—FOCUS ON THE URBAN POOR to an end – rather than on process – i.e. participation as an This paper is focused on citizen participation in urban end in itself. governance, especially as it concerns the urban poor. The general tendency would be to examine these ideas in the However, the very origins of local government in India are limited context of the first aspect of participation, i.e. rooted in this second aspect of participation. In a book ensuring equitable outcomes and services, with less attention titled “Ideologies of the Raj”,18 author Thomas Metcalf states, being devoted to the second value of participation – that of “Liberal ideology first took institutional shape in Indian local deepening democracy and investing in citizenship. However, government. During the 1860s and 1870s, municipalities it is important that the second aspect is also kept in mind with elected governments were conceded to most major when evaluating various structures of participation, as they Indian cities, though only in Calcutta and Bombay did elected are laid out later in this paper. Indians control the corporation.” Talking about the sweeping reforms that Lord Ripon instituted in Local Government, 3.2 History of Participatory Governance in India he states, “As a liberal appointed to the Viceroyalty by In India, the concept of decentralisation and participation Gladstone, Ripon introduced for the first time into Indian found constitutional support after the passing of the 73rd local government the objective of training Indians for self-rule. and 74th Constitutional Amendments in 1993. However, the He was prepared to even sacrifice administrative efficiency process began as far back as 1882 with the Resolution on for the purpose (emphasis added). As he put it in the 1882 Local Self-Government. A quick historical timeline on the resolution which proposed the establishment of municipal progress in decentralisation can be summarised as follows: and district boards throughout India, ‘It is not primarily with 21 a view to improvement in administration that this measure is put forward and supported. It is chiefly designed as an 1882 Resolution on Local Self-Government. instrument of political and popular education.’” 1907 Royal Commission on Decentralisation. 1948 Constitutional debates between Gandhi and Ambedkar Ripon’s views are said to be similar to those of A.O. Hume, on Grama Swaraj, ‘self-rule’. the founder of the Indian National Congress. In his book 1957 Balwantrai Mehta Commission – An early attempt titled “Foundations of Local Self-Government in India, to implement the Panchayat structure at district and Pakistan and Burma”19 , Hugh Tinker writes of how both block (Samithi) levels. men saw local governments as a way for the people of 1963 K. Santhanam Committee – Recommended limited India to receive “training in the working of representative revenue raising powers for Panchayats and the institutions.” Speaking of Ripon’s views, Tinker writes, establishment of State Panchayati Raj Finance “Ripon was concerned at an apparent confusion by British Corporations. administration in India of ‘means’ with ‘ends’, producing a 1978 Asoka Mehta Committee – Appointed to address the cult of efficiency for its own sake: efficiency being equated weaknesses of PRIs, concluded that a resistant with good, ‘politics’ with evil. He was determined that the bureaucracy, lack of political will, ambiguity about new local government machinery should not be constructed the role of PRIs, and élite capture had undermined only to suit administrative requirements; determined that previous attempts at decentralisation, recommending political education and administrative efficiency should be that the District serve as the administrative unit in the put into perspective.”20 PRI structure. Based on these recommendations, Karnataka, Andhra Pradesh and West Bengal passed It is indeed a pity that these stated desires of the author of new legislation to strengthen PRIs. decentralisation statutes in our country have been forgotten 1985 G.V.K. Rao Committee – Appointed to address by Indians themselves: by our politicians and administrators weaknesses of PRIs, recommended that the block who view local government today only through the monocle development office (BDO) should assume broad of efficiency, forgetting completely the other value that powers for planning, implementing and monitoring these institutions provide: that of educating the Indian in the rural development programmes. process of democracy and politics. This value can only be 1986 L.M. Singvhi Committee – Recommended that local realised through acts of genuine participation, by investing self-government should be constitutionally enshrined, in the political identity of each citizen. and that the Grama Sabha (the village assembly) should be the base of decentralized democracy in India. 1993 73rd Amendment to the Indian Constitution – PRIs at district, block and village levels are granted 18 Ideologies of the Raj, Thomas Metcalf, Cambridge University Press, 1997 19 Foundations of Local Self Government in India, Pakistan and Burma, Hugh Tinker, University of London, Athlon Press, 1954 21 Johnson, C. (2003). Decentralisation in India: Poverty, Politics and 20 Ibid, p45 Panchayati Raj,

Citizen Participation and urban governance 7 Constitutional status. The Grama Sabha is recognised 3.3 JNNURM and Citizen Participation as a formal democratic body at the village level. The JNNURM is a Rs 50,000 crore mission focused on the 74th Amendment, granting Constitutional status to integrated development of infrastructure services in cities municipal bodies, is passed soon after. and provisions of basic services to the urban poor.23 The 1996 Adivasi Act – Powers of self-government are extended mission period was launched on December 3, 2005 and is to tribal communities living in ‘Fifth Schedule’ areas. spread over seven years, 2005 – 2012, with 63 qualifying cities and nine eligible sectors. The thrust of JNNURM is While the list above indicates the evolution of decentralisation to ensure improvement in urban governance and service and participation, much of this is focused on rural India. delivery and thus it requires a set of mandatory reforms that As far as urban areas are concerned, the 74th Constitution State Governments and Urban Local Bodies have to enact Amendment Act (CAA) of 1992 was intended to focus as a prerequisite for accessing central assistance. One such the thrust of decentralisation and to create a democratic mandatory reform to be undertaken at the state level is the governance structure with responsibilities being assumed and Community Participation Law. managed at the local level. The Amendment was to address the inadequacies of the existing system of municipalities, to JNNURM is rooted in the process of participatory democracy, redefine the relationship between the states and municipal which emphasises the creation of a robust civil society in order bodies and to lay the foundations of a new approach to to build a healthy democratic state. In a truly participatory urban management and governance that could fulfil the democracy, the public sphere and the political realm are needs and aspirations of urban residents for development. distinct and powerful. This process can be distinguished from direct or representative democracy in which citizen With the passage of the 74th CAA, some attention was also participation is limited to voting. The model Community directed towards involving communities in urban planning. Participation Law, the Nagara Raj Bill24 , facilitates the However, the formal platforms for such participation were creation of formal participatory structures by which citizens woefully inadequate, limited to the establishment of Wards can participate directly in the democratic process. Citizens Committees.22 State governments were responsible for can get involved in municipal functions, like setting priorities enacting laws to ensure that reforms listed under the 74th and budgeting provisions, if participation is institutionalised CAA were fully implemented. Additional reforms to increase through state reforms. A well-implemented amendment at citizen participation would be necessary before citizen the state level will give every registered voter in urban areas participation could be fully realised. a legitimate platform to participate in his/her neighbourhood through a concept called the Area Sabha that is embedded In December 2005, the Government of India instituted the within the Ward Committee structure. Jawaharlal Nehru National Urban Renewal Mission (JNNURM) to address the increasing challenges that cities of urban India Municipalities are divided into constituencies called Wards face. The design of the mission not only provides financial which are further sub-divided into Area Sabhas under the assistance but – more importantly - includes several reforms. proposed model. The Area Sabha platform is defined as the One such reform was to make political space available to group of all registered voters living within the jurisdiction the urban citizen. While the 73rd Amendment formalised of a polling booth. The platform is the urban parallel to participatory structures for the rural population (Grama the Grama Sabha which was created for rural voters by the Sabhas), the reforms of the 74th Amendment did not ensure 73rd Amendment. Area Sabha creates a political space and adequate formal structures of participation for the urban connects to the city’s decision-making process, deepening citizen. One aspect of JNNURM was to provide a response the platform for citizen participation below the level of a to the demand for formal citizen participation in urban areas ward. – called Area Sabhas, seen as the urban equivalent of the rural Grama Sabhas. 3.3.1 Model Nagara Raj Bill The Nagara Raj Bill, proposes that each ward in a Municipality has a Ward Committee comprised of the representatives of all Area Sabhas in the ward, who are selected/elected by 22 “The idea that every registered voter is a member of a grama sabha, the members of the respective Area Sabha. The registered and should participate in decision making through this vehicle, is one that at least has formal sanction in rural decentralisation, if not voters of the Area Sabha reserve the right to recall their much track record. In contrast, urban areas have the concept of Representative, if s/he proves to be ineffectual, which ensures the ward committees, which are meant to be constituted for the city corporations. In Bangalore for example, there are meant to be 28 (recently revised to 31) such ward committees, which are fatally hampered by the combination of a debatable nomination 23 For more information about JNNURM, visit the GoI website at http:// process, limited citizen representation and an ambiguous mandate.” jnnurm.nic.in/. Federalism, Urban Decentralisation and Citizen Participation, Ramesh 24 See Appendix 1 for the Nagara Raj Bill and the Model Activity Ramanathan, Economic and Political Weekly, February 2007. Mapping for distribution of functions

8 PARTICIPATORY GOVERNANCE IN URBAN INDIA—FOCUS ON THE URBAN POOR a Representative is accountable to the citizens of that polling citizenry, improved city management, equitable outcomes, booth. Thus, an ordinary voter becomes integral to the city’s and increases stakeholder ownership for urban citizens. decision making processes. In order to comply with the JNNURM, state laws must (1) provide a platform for every registered voter, (2) which The Ward Committee shall be chaired by the Ward Councillor, equals the size of polling booths in class 1 cities and wards who will be elected by the ward and represent the ward at and (3) corresponds to a majority of representatives from the the Municipal council. According to the Nagara Raj Bill, the platforms comprising the ward committee. State governments Ward Councillor will be required to hold regular monthly which adopt the reforms of the JNNURM and create urban meetings of the Ward Committee at which resolutions will be governance structures, similar to those already enacted for debated and passed by a majority vote of those present. The the rural population will enable citizens to participate at the Ward Committee will meet to prepare Ward and Municipal local level, a true decentralisation of power. Plans and the budget, to maintain the finances of the ward, to provide administrative and infrastructure support to ward In serving the needs of all urban residents, including the projects, and to develop and plan works in the ward. The urban poor, the JNNURM creates linkages between existing Ward Committee shall also be responsible for integrating the structures (ward committees, Municipal Councils, etc.) and services and activities for the urban poor undertaken by the new space for participation, i.e. Area Sabhas. However, as government. this report will detail, while the space is available to the urban poor, the ability of the urban poor to utilise this A formal structure like the Area Sabha creates a stable, space to extract their entitlements is an area that requires legitimate, and inclusive platform by which citizens can come much greater examination. This report looks to assess the together to discuss and address local issues. The Community effectiveness of this space toward the empowerment of the Participation Law includes detailed Activity Mapping of the urban poor, among other aspects of participation. municipal functions to be performed by the Municipalities, Ward Committees, and Area Sabhas. The functions of the JNNURM has created a formal mechanism for citizen Area Sabha can include area level planning, monitoring participation in urban governance. However, the questions and supervision of development works, reporting and remain whether this formal political space will be accessible identification of issues, and other support features. Through to the urban poor and empower them sufficiently to seek these activities, citizens are involved in the decision-making their entitlements. process through legally recognized mechanisms thereby ensuring direct political participation.

Figure 1: Community Participation As Envisaged In JNNURM Community Participation Law

The community participation law envisions an engaged

Citizen Participation and urban governance 9 4 Making Participatory Democracy A Reality - The Details

This section attempts to move the needle on citizen of section 4.2.3. participation beyond the philosophical realm (i.e.“is citizen participation good or necessary”) to the practical realm Content of Questionnaire (i.e. “how do we ensure citizen participation”) - in other Any inquiry into citizen participation, whether generally or words, from the “why” of citizen participation to the “how” specifically related to the urban poor, requires an initial of citizen participation. It is therefore the most important consensus on the definitions of key terms, like urban poverty section in the paper. and citizen participation. For a characterisation of urban poverty in India, please refer to Chapter 1 of the report, The structure of this section is as follows: Section 4.1 uses particularly Sec. 1.3, which outlines the challenges faced by a Citizen Participation Questionnaire to elicit the views the urban poor. The concept of citizen participation upon of experts in the area of citizen participation and urban which our questionnaire is based is discussed below. governance. The next section (4.2) explores three alternative structures for participation by the poor. Finally, the section There are various definitions and interpretations of citizen ends with a discussion of the role for NGOs in facilitating participation. A useful model is Sherry Arnstein’s “Ladder participation by the urban poor (Sec. 4.4). of Participation”26 which is frequently cited in research and maintains strong levels of support today. Arnstein’s 4.1 The Citizen Participation Questionnaire – Views of conceptualisation of a hierarchy in participation forms the Experts framework upon which the questionnaire was based. Arnstein As a centrepiece of this paper on citizen participation with created a “Ladder of Participation” with approximately eight a special focus on the urban poor, a citizen participation levels of participation in hierarchical order, from the least to questionnaire25 was circulated to a range of experts from most inclusive. The eight rungs of the ladder are grouped different practice areas, in order to collect their views on into three basic categories: non-participation, tokenism, and the issues of citizen participation and urban governance, decision-making. Non-participation is illustrated by the lowest focusing on the urban poor. The respondents included two rungs on the ladder which are manipulation and therapy, urban planners, social activists, academic experts, members which Arnstein describes as contrivances to substitute for of slum cooperatives, and policy makers at state and central genuine participation. The next three rungs on the ladder levels. The study was designed to involve stakeholders from are informing, consultation, and placation. At this stage, diverse parts of the country to lend a national perspective citizens may have access to the decision-making process and to our research. The citizen participation questionnaire was the ability to be heard, but less direct decision-making role drafted and circulated to the experts to obtain their views in the outcomes. Finally, delegated power and citizen control on specific issues related to urban administration taken are defined as the highest forms of participation because from the XII Schedule of the 74th CAA. The questionnaire they confer decision-making power on citizens. Arnstein’s included two sets of research questions with a section of Ladder of Participation offers a useful common definition of close-ended questions where participants chose from a participation. set of pre-defined options and a section with open-ended questions where participants responded in their own words. With an established definition of participation in hand, As an additional aspect, the interviews were done as face-to- we turn to the substance of the questionnaire. Our goal face sessions in varying locations around the country, so as was to examine issues, which involve citizen participation to get the views of the experts on qualitative issues as well, in urban local government, since our research is directed that were possibly beyond the scope of the questionnaire. at the effectiveness of new and existing political spaces. Some of these additional comments are detailed in last part The XII Schedule lists the scope of the functions of urban

25 See Appendix 2 for the Citizen Participation Questionnaire; Appendix 26 There are several online sources for Sherry Arnstein’s Ladder of 3 for the list of participants and Appendix 4 for the details on the Participation. One such link is http://lithgow-schmidt.dk/sherry- responses to the questionnaire arnstein/ladder-of-citizen-participation.html

10 PARTICIPATORY GOVERNANCE IN URBAN INDIA—FOCUS ON THE URBAN POOR local governments and provides the set of issues in our platforms, mechanisms, and processes required for ensuring questionnaire. [Please see the appendix for a copy of the the desired level of citizen participation. The goal was to questionnaire and the XII Schedule.] Applying a simplified understand what kinds of processes are necessary for the three-step version of Arnstein’s ladder, we asked respondents desired forms of participation (as explored in Parts I and to categorise the appropriate level of participation for each II) to be realised. Rather than impose a particular platform, issue. In this, we have used only the second and third we asked our experts to examine the merits of demand- categories in Arnstein’s ladder, assuming that the first category side structures and formal structures. Some respondents of non-participation is not a choice that respondents would neglected Part III of the questionnaire, though responding choose. On issues related to planning and budgeting (Part to the first two parts, which provides evidence that much I of the questionnaire), the rungs of the ladder constituted more work and debate is required. The responses to Parts I, dissemination of information, consultation, and decision- II, and III of the questionnaire are discussed in detail below. making. For issues related to implementation (Part II of the questionnaire), the ladder included feedback, supervision, Summary of responses and partnerships. In both cases of Planning/Budgeting and Implementation, the range of options indicates an increasing Key aspects of feedback on Sections 1 and 2 (Table 1): role for citizens, from pure information acceptors or feedback Table 1 below provides a summary of the responses from providers to decision-makers or implementers. participants for sections 1 and 2 of the questionnaire, i.e. suggested levels of participation in the two aspects of In section III, the questionnaire attempts to probe the Planning/Budgeting and Implementation, for each of the 18 next set of issues related to participation: the “how” of functions of ULBs as required under Schedule XII of the 74th participation, in terms of the structures and processes by Constitutional Amendment. The numbers in the table reflect which the desired levels of participation can be realised. the number of respondents who ticked that particular box. This section has two structured questions, but also contains For example, 12 respondents out of 13 chose “consultation” a series of open-ended questions that invited members as their preferred level of participation for the first function to provide unstructured feedback and comments on the of “urban planning”.

Participation Level

Planning and Budgeting Implementation

Urban Functions as per Schedule XII NA 1: Information 2: Consultation 3: Decision-making NA 1: Feedback 2: Monitoring 3: implementation

1 Urban planning, including town planning 0 0 12 1 4 3 5 1

2 Regulation of land-use and construction of buildings 0 3 8 2 8 3 1

3 Planning for economic and social development 0 7 6 1 4 3 5

4 Roads and bridges 0 4 7 2 1 7 4 1

5 Water supply 0 3 6 4 1 6 4 2

6 Public health, sanitation, conservancy and solid waste 0 0 0 10 1 0 6 6 management 7 Fire services 0 7 4 2 1 8 4 0

8 Urban forestry, protection of the environment and 0 3 5 5 1 2 7 3 promotion of ecological aspects 9 Safeguarding the interests of weaker sections of society 1 0 5 7 1 1 7 4

10 Slum improvement and up-gradation 0 0 3 10 1 1 3 8

11 Urban poverty alleviation 0 1 3 9 1 2 5 5

Making Participatory Governance a Reality 11 Participation Level

Planning and Budgeting Implementation

Urban Functions as per Schedule XII NA 1: Information 2: Consultation 3: Decision-making NA 1: Feedback 2: Monitoring 3: Implementation

12 Urban amenities and facilities such as parks, gardens 0 0 4 9 1 0 10 10 and playgrounds 13 Cultural, education and aesthetic aspects 0 0 9 4 1 2 8 2

14 Burial grounds, cremations, cremation grounds and 0 1 7 5 1 3 7 2 electric crematoriums 15 Cattle pounds and prevention of cruelty to animals 0 2 8 3 9 3 1 0

16 Vital statistics including registration of births and 0 6 5 2 1 6 5 1 deaths 17 Public amenities including street lighting, parking lots, 0 0 8 5 1 3 8 1 bus stops and public conveniences 18 Regulation of slaughterhouses and tanneries 0 6 4 3 1 6 4 2

Assessment of feedback on Section 1 and 2: dissemination; and other functions where they prefer to see higher levels of participation, i.e. actual power - The categorisation of participation into three levels to decide, or actual ability to implement. and two phases actually helps in understanding views on - Respondents in general have indicated a higher participation quite well. This conclusion is reached preference for participation in planning/budgeting by seeing the wide variety of views on participation than in implementation. This is seen from the higher that the framework manages to capture, while scores for the higher levels of participation in planning/ simultaneously allowing us to see patterns of budgeting than in implementation. This possibly commonalities among respondents’ views. Respondents reflects the view that participation is more of a means have different preferences for participation for different to express citizen voice and hold the ULB accountable, functions of ULBs. Similarly, respondents want a certain rather than a way to move actual executive function level of participation for a particular function in away from the municipality. planning/budgeting, but a different level participation - Specific consensus areas in Planning/Budgeting: for the same function when it comes to implementation. These patterns of consensus among respondents still ƒƒ For function nos 5 and 18, i.e. fire services and do not take away from individual differences: slaughterhouse regulation, the highest respondent respondents have used the framework to truly depict count is only for information dissemination their positions. Hence, the framework helps to move ƒƒ For the functions numbers 1, 2, 4, 5, 13, 14, 15, 17 (see the debate away from universal statements like “more Table 1 for the functions): the highest respondent participation is necessary” (that nobody can disagree count is for participation level of consultation, the with, but nobody can implement either); and towards middle level of participation. more specific areas of focus, which has to do with the ƒƒ For 5 functions, viz 6, 9, 10, 11, 12: the highest respondent specific activities in which citizens can participate, and count is for participation is at the highest level of to what level. actual decision-making. - There is no universal desire for high levels of ƒƒ For one function, 3, i.e. planning for social and citizen participation, either in planning/budgeting economic development, the respondents are split or in implementation. There are certain functions between consultation and decision-making as the where respondents seem satisfied with “lower” preferred form of participation thresholds of participation, i.e. limited to information - Specific consensus areas in Implementation:

12 PARTICIPATORY GOVERNANCE IN URBAN INDIA—FOCUS ON THE URBAN POOR ƒƒ For functions 2, 4, 5, 6, 8: the highest respondent count When combined with the high scores from respondents for is for the lowest level of participation, i.e., feedback on some of the other functions that have a significant effect the implementation work being done by the ULB urban poor (urban planning, socio-economic development, ƒƒ For functions 8, 9, 12, 13, 14,15,17: the highest respondent public health and sanitation), it is clear that respondents felt count is for the middle level of participation, i.e., that the idea of citizen participation is more acutely needed monitoring of the works being carried out by the for urban poverty issues than the more general issues. This ULB creates a point of convergence between the views of the ƒƒ For function 10 alone, i.e., slum upgradation, the experts and the trend in the development of government highest respondent score is for actual implementation programmes, which have moved towards an empowerment to be taken up by the citizens themselves approach by including the urban poor in the design and ƒƒ For function 6, i.e. public health, sanitation and implementation of various poverty alleviation schemes, as SWM, the respondents are split between monitoring described in section 2.3. and implementation as their preferred form of participation Key aspects of feedback on Section 3 (Table 2):

Table 2: Feedback on Section 3, regarding structures for Implications of feedback for participation on urban participation poverty issues 1 Nature of the platform for citizen’s Count While the overall questionnaire can be used effectively to participation Count obtain feedback on citizen participation in general, the a) Informal community group, by invitation - respondent feedback has specific clarity on issues related to - urban poverty. Examining Table1, we can see the following b) Informal community group, open to all specific aspects related to urban poverty and participation: c) Formal community association, by 1 - Of the 18 functions of ULBs, one could legitimately invitation claim that all of them affect urban poor, as much d) Formal community association, open to 4 as they affect other citizens as well. Hence, the general all comments about participation that have been made e) Formal part of a nested municipal 6 above can apply as much to the urban poor structure - Within the 18 functions, there are some that are most specifically focused on the urban poor. These are: 2 Geographical footprint of the platform Count ƒƒ Functions 9, 10, 11: safeguarding the interests of weaker a) Neighbourhood level 2 sections of society; slum improvement and upgradation; 2 urban poverty alleviation b) Ward level - The views of the respondents on participation with c) Municipality level - respect to these 3 functions: d) Multi-tiered: Neighbourhood level and 1 ƒƒ By an overwhelming majority, respondents felt that ward level citizen participation must be at the highest level of e) Multi-tiered: Neighbourhood level, ward 4 decision-making when it comes to planning and level, and municipal level budgeting for these items. f) Multi-tiered: Ward level and municipality - ƒƒ On implementation issues, respondents were level somewhat less emphatic on the level of participation g) Other (please specify) 1 for these functions. On item 9 (safeguarding the interests of the weaker sections), 7 of 12 respondents As discussed earlier, the third part of the questionnaire deals felt that citizens should monitor the programmes, while with the platforms and mechanisms required to ensure the 4 felt that citizens should actually implement the desired level of participation. Here, the responses were programmes. On item 10 (slum improvement), 8 sought in two parts: the first part had two questions with respondents felt that this should be done by the citizens multiple choices (shown in Table 2); and the second part and communities themselves, while 3 felt that they which was more open-ended (responses captured and should at least be monitoring the works. On item 11, provided in Appendix 4). the respondents were equally divided on monitoring versus implementation roles for citizens. Analysis of each of these parts is provided below: - The average scores for levels of participation on these items Part a (Table 2): is far higher than the scores for the other functions. - When asked about the nature of the platform for citizen participation, and given 5 choices, ranging in a spectrum

Making Participatory Governance a Reality 13 between informal community groups that were invited by addressed. These specifics address issues like: which areas the ULB, to being a formal part of the municipal structure, or functions should citizens participate in; what should the nested within it, respondents were clear that they were level of participation be; what should the structures of not in favour of any informal structures (choices a and b). participation be; how should these be linked to the ULB’s Among the three formal options, six respondents preferred own decision-making structures; what roles do the elected a formal structure that was nested within the municipal representatives play; who finances these participatory structure, while four preferred a formal structure that was processes; and what guidelines are required for participation open to all to be meaningful, in terms of roles and conflict-resolution - When asked about the geographic footprint for their mechanisms. The feedback also sheds substantial light on recommended structure for participation, respondents once the specific issues of urban poverty, and the significant role again clearly expressed their negation of structures that were that citizen participation can play in addressing these issues. limited to the municipal level (choice c). Five respondents indicated their preference for structures that were multi- 4.2 Evaluating Different Structures for Participation tiered, and within this, a majority preferred a 3-tiered To what extent are current structures of participation able to structure at the neighbourhood/ward/municipality levels. meet the requirements laid out by the expert group in their feedback on the participation questionnaire? Against the Part b (See full details of this in Appendix 4): backdrop of the feedback from the questionnaire, it would This part dealt with questions of structure that broadly be useful to examine three broad categories of participatory related to the following areas: structures in terms of their effectiveness, as alternative - Relationship of the proposed structures to the government approaches to citizen participation with a specific focus on structure, specifically focused on the urban poor. These are: ƒƒ Legitimacy of the structure ƒƒ Relationship to elected representative 1. Formal participatory structures ƒƒ Funding needs for the structure 2. Demand-side participatory structures ƒƒ Sources of funding for the structure 3. A combination of formal and demand-side participatory - Processes of participation structures ƒƒ Roles and responsibilities of people in the structure ƒƒ Periodicity of meetings The following sub-sections analyse each of the above ƒƒ Procedures concerning conduct and agenda-setting structures and assesses their strengths and weaknesses by ƒƒ Conflict resolution mechanisms at various levels illustrating with examples.

The comments in this section were open-ended, given the 4.2.1 Formal Structures for Participation nature of the issues being probed. Hence, it is not possible The term ‘formal participatory structures’ implies structures to capture the aggregate views of the respondents in a for participation that are formally a part of local government quantitative manner, and it is recommended that Appendix functioning, where clear roles are given to citizens and 4 be perused for the actual comments. However, a general the platforms of participation. While it seems that summary of their comments is provided below: formal participatory structures would address the kinds of - A desire for formal legal mandate for community suggestions that have been provided in the participation participation questionnaire (detailing the various aspects of the ‘how’ of - A clearly acknowledged role for the Ward Councillor/ participation), it would be useful to examine the validity of Corporator in the structures this assumption by assessing the actual experiences of formal - Funds for community participation structures to be provided participatory structures. for by the ULB - Some role for citizens, even in a multi-tiered setup (i.e. not In India, formal structures of participation do not exist in completely a representative structure) urban areas, and currently exist only in rural areas. (Note - Clear need for well-defined procedures/agenda-setting/ that with the requirement of a community participation law taking minutes of meetings of community structures, i.e. not in JNNURM, this will change; but these statutory changes just an informal process by state governments have not yet resulted in grassroot - Clear need for well-defined conflict-resolution processes changes that can be measured). Therefore, while examining the performance and effectiveness of formal structures, this In sum, the feedback from the respondents in the section is restricted to rural experiences. questionnaire has helped to move the issue of participation from the realm of “why” to the realm of “how”: what are The 73rd Amendment to the Constitution sought to enhance the specifics of participation, and how should these be accountability and transparency in rural governance by

14 PARTICIPATORY GOVERNANCE IN URBAN INDIA—FOCUS ON THE URBAN POOR creating formal political space at the grassroots level. In rural are less likely to have heard of and attend Grama areas, a three-tier structure at district, taluka and village level Sabha meetings; while landless and SC/STs are more was created to devolve financial, political and administrative likely to attend these meetings. Importantly, illiterates, powers to engage rural citizens in the local development landless and SC/ST are more likely to participate even process. Importantly, the Amendment included a formal in the more literate villages, suggesting that there is a platform for participation called the Grama Sabha, which positive political externality to the Grama Sabhas. This is provided a formal platform for every registered voter. a very critical finding, especially in light of the discussions on the two values of participation, and the second value The actual practice of Grama Sabhas varies across states, of participation as an end in itself in raising the political with some states having taken greater interest in pursuing capacities of citizens (see section 3.1 of this report). the effectiveness of these participatory structures. The state 2. On outcomes: The paper specifically examines pro-poor of Karnataka, for example, has released detailed guidelines policy outcomes, not outcomes of the intrinsic political for the conduct of Grama Sabhas27. However, the reality is benefit that participation is claimed to have. The focus was that the functioning of Grama Sabhas has left a lot to be on the release of BPL cards.The study found: desired28. a. Identification of landless and illiterate individuals for BPL cards is higher in villages hoding Grama Sabha This raises the question of whether Grama Sabhas can meetings. actually work well, and deliver the outcomes that were b. Probability of these individuals receiving a BPL card is expected of such formal participatory structures. In a paper 8-10% higher in villages holding a Grama Sabha titled ‘Participatory democracy in action: survey from South meeting India’29 , authors Besley, Pande and Rao have conducted a detailed village and household survey of 522 villages and In summary therefore, the good news is that formal structures over 5000 villages households in the four southern states of participation address many of the recommendations made of Karnataka, Andhra Pradesh, Tamilnadu and Kerala. The by the respondents in the questionnaire on participation: they focus of this study was to study the determinants of holding clearly articulate the details of the “how” of participation, as a Grama Sabha and who attends Grama Sabha meetings; the circular of the Government of Karnataka shows. and secondly, to look for evidence that holding a Grama However, studies of rural participatory structures shows Sabha meeting affects public resource allocation specifically that much more ground needs to be covered, before it can towards the poor. This is perhaps the only study in India to substantially be established that Grama Sabhas are effective elucidate the conditions under which Grama Sabhas work in improving rates of participation, especially among the and also to explain how well-functioning Grama Sabhas are disadvantaged, and that outcomes of such processes are different from those which are not functioning well. The key pro-poor. Here, there seems to be some silver lining in the findings of the study are: cloud: we are perhaps beginning to see some evidence, as indicated in the Beasley et al report, that – under certain 1. On attendance and participation: enabling conditions – Grama Sabhas can indeed become a. More populous villages are more likely to hold Grama effective mechanisms of citizen participation, especially for Sabha meetings. the poor. b. More literate villages are more likely to have held Grama Sabha meetings, and are more likely that 4.2.2 Demand-side Structures for Participation villagers have heard of the Grama Sabha meetings. Formal structures for participation are relatively new in India, c. Among the disadavanted groups, women and illiterates even in rural areas (the Grama Sabha got its legitimacy only after the passage of the 73rd Constitutional Amendment in 1992, and these structures are still not fully functional across 27 GOK circular NO:RDP:222:GPA:2001dated 10th October 2001. 28 From “Grounding the State: Poverty, Inequality and the Politics of many states even today). However, there is a much longer Governance in India’s Panchayats” history of other structures of participation, where communities By Craig Johnson, Priya Deshingkar, Daniel Start, pp 7 “Micro-level have come together to work on common challenges. These studies have shown that Grama Sabha often fail to fulfil their role as deliberative bodies or as a mechanism for accountability (Alsop are true both across rural and urban India. et al., 2000; Deshpande and Murthy, 2002; Nambiar, 2001). This is partly attributed to low levels of participation among the electorate as well as the non-cooperation of local officials. Examples of the There are literally hundreds of thousands of such initiatives latter include officials delaying or postponing Grama Sabha meetings, across India, ranging from small community initiatives to officials not attending Grama Sabha, and, more generally, official decisions having no bearing on decisions reached during the Grama large-scale programmes spread across entire districts. It is Sabha (Crook and Manor, 1998: Chapter 2; Deshpande and Murthy, therefore impossible to create any structured framework to 2002; Nambiar, 2001).” assess the effectiveness of such initiatives. However, for the 29 Tim Besley, Rohini Pande and Vijayendra Rao: ‘Participatory Democracy in Action: Survey Evidence from South India’, Journal of the European purpose of this paper, a limited focus can be applied to these Economic Association, Vol 3, issue 2-3, 2005, pp 648-57.

Making Participatory Governance a Reality 15 structures, which is to examine them with reference to the While the results on improving the bank linkage through issues raised by the experts in the participation questionnaire. the SJSRY pilot were promising, Janaagraha’s purpose in Specifically therefore, the focus of examination would be on improving the functioning of the SJSRY programme in the effectiveness of these structures in addressing the “how” Bangalore was a different one, related to the structural of participation. presence of community groups in the scheme: a pyramidal clustering of neighbourhood groups (NHGs), neighbourhood In this limited context, such initiatives can be categorised to committees (NHCs) and community development societies be broadly of two types: the first, demand-side structures (CDSs), representing over 1,00,000 below poverty-line (BPL) that are supported or often even initiated by the state; and families in Bangalore. the second, demand-side structures that are driven from the grassroots, either directly by local communities themselves or The SJSRY platform not only provided a single platform supported and catalysed by NGOs. through which to link to what was supposed to be a ready- The term “demand-side participatory structures” refers to made community structure of the poor at the grassroots, both these categories of participation. but also one that was empowered to demand development outcomes from various arms of government that worked in the area of urban poverty (slum improvement boards, SJSRY in Karnataka30 housing boards, city corporations, etc.) through the articles Swarna Jayanthi Shahari Rozgar Yojana (SJSRY) is a government of association of the CDSs, which were registered societies. of India urban poverty alleviation programme, first mentioned in the 9th FYP. SJSRY aimed to provide gainful employment However, the experience was that the citywide SJSRY to the urban unemployed or underemployed poor through platform provided little tangible benefit to the poor in terms supporting the creation of self-employment ventures or of public service outcomes or governance outcomes. There providing wage employment.31 The programme components were several impediments to this process: incorporated aspects of credit through subsidies and bank loans, training in a variety of service and manufacturing 1. The formal mandate to demand outcomes was only trades and community organisation through the formation with the CDS, the apex institution, and not with the lower- of self-help groups to pursue saving and lending activities. level community structures like the NHC and NHG. The six CDSs that were established for the entire city meant that Unfortunately, the record of implementation of this programme each CDS had a massive coverage area of one-sixth of the was less than satisfactory in the Bangalore area. In 2002, city, covering approximately 15,000 urban poor families. Janaagraha conducted a survey of loans sanctioned under 2. There was little social connection among the members SJSRY and produced a report “Case studies on delivery of loans of the CDS, since they came from different parts of the to the urban poor.” This led to the creation of Alliance for city, with no prior interpersonal contact. Networked Kinship of Underprivileged Residents (ANKUR), a 3. Very little capacity building effort had been expanded platform which envisaged participation of all the stakeholders for the CDS members, who were officially vested with of SJSRY, i.e. the government, NGOs, beneficiaries, and a fair degree of authority to demand the presence of banks. A pilot project steered by the Karnataka government’s various government agencies, and pass binding resolutions department of municipal administration was undertaken over for actions by these agencies, but little real use of these a period of 12 months, with the following features: powers. 4. CDS meetings did not take place within the geographic •• Bringing all the stakeholders on a common platform; boundaries of each CDS (itself a vast geographic stretch), •• Identifying nodal branches for disbursal of loans; but at the nodal SJSRY office. Members did not get •• Standardising loan application forms; travel compensation or any pay for the time and cost in •• Jointly identifying beneficiaries of the community, participation in the CDS meetings. As a result, few of the bankers and NGOs; CDS meetings were well attended, and often did not even •• Requiring EDP training for beneficiaries before release have a quorum. of loan; 5. Even though the CDS platform for the poor provided •• Involving NGOs in the formation and nurturing of thrift a great level of formal legitimacy to the poor, there and credit groups were several lacunae that prevented it from being used appropriately. One possible explanation could have been that real political legitimacy needed to come at a level that was much more personal, much closer to home for 30 For a more detailed discussion of this case study, see “Federalism, the individual to feel empowered. Also, the CDS platform Decentralisation and Citizen Participation” by Ramesh Ramanathan, Economic and Political Weekly, February 2007 was a parallel form of political legitimacy, which – in the 31 Supriti et al, p.55.

16 PARTICIPATORY GOVERNANCE IN URBAN INDIA—FOCUS ON THE URBAN POOR long run – would only undermine the legitimate political watershed guidelines were further modified in 2003. Under structures of local government. It could be argued that this initiative which was named as Hariyali guidelines, all the demands of the poor are best achieved within the ongoing area development programmes namely, IWDP, DPAP institutional framework of governance, rather than and DDP were to be implemented through PRIs. establishing structures outside it. Prior to implementation of Hariyali guidelines, Village These lessons on the challenges in the implementation of the Watershed Committees were working as the main community structures in SJSRY are especially relevant when implementing agencies for watershed programme at seen in the context of the recommendations of the expert grassroots level under the control and supervision of the group, regarding the structures and processes for participation. Watershed Association with the guidance and support of It can be seen that SJSRY, an example of a demand-side WDT. The Hariyali guidelines of 2003 have handed over the participatory structure that is initiated and supported by VWS’s role to the Grama Panchayat and the WA’s role is the state, still falls short of the goals of participation on a taken up by the Grama Sabha. The idea behind this change number of counts. Central to this is possibly the fact that introduced by Hariyali guidelines was the commitment at the it is a parallel mechanism of participation to the existing central level to devolve financial and administrative powers decentralised system of governance of the municipality. to the PRIs for self governance particularly in planning, This same experience of state-sponsored demand-side implementation and management of economic development structures can be seen in the next example, of community- activities in rural areas. Water shed development has been based watershed programmes in rural areas. included in the list of subjects to be devolved to the PRIs and hence the issue of planning, implementation and management State-initiated demand side structures on water of watershed programme was brought directly under PRIs. management Another argument behind this transition was the fact that Grama Panchayat and Grama Sabha are “equipped with If there was any programme that emphasised the importance statutory rights and mandate for natural resource planning, of the “how” of participation, it is the rural watershed potentially equipped with the powers to impose local taxes management programme, which has evolved its processes or user charges and are committed to “reservations” for of community participation over the past two decades, and representation of women and weaker sections as per the offers important lessons for urban participatory structures. Constitutional provision.” Conflict resolution and equity are Management of watershed development in India evolved also important issues for watershed projects and so the significantly over the past there decades. During the 1970s implementing agency needs to be equipped with necessary to early 1980s, the main concentration was largely on legal and administrative powers to enforce the decisions. biophysical criteria. In late 1980s there were some significant The central role of PRIs and Grama Sabhas ensures this. In changes looking beyond soil and water conservation to the years since these revised Hariyali guidelines were issued, include improving the productivity of natural resources. High- there have been several challenges with the implementation level committees were constituted in 1993 (CH Hanumantha of watershed programmes, indicating that there is no magic Rao Committee) and 1995 (Dharia Committee) to look into wand in such programmes32 However, the same report makes the performance of watershed management and institutional one very important observation regarding the legitimacy of mechanisms to make them more effective and equitable. The the new guidelines, when it states, reviews of these committees resulted in the issuing of the ••“The Hariyali Guidelines (have) completely do away with ‘Common Guidelines for Watershed Development’ in 1995. the concept of the VWC which had till then been designated These guidelines were a paradigm shift in the sense that as the main implementing agency of the programme. The they first introduced community participation into watershed Hariyali Guidelines hand over the VWC’s role to the Grama development in India. The Guidelines for watershed Panchayat. And the Watershed Association’s role is taken management were modified in 2001 to have greater flexibility, up by the Grama Sabha. greater community participation in project implementation •• Let us first try and understand the spirit behind the and post project maintenance etc. through self help groups. change introduced by the Hariyali Guidelines. As stated Although the revision in 2001 did envisage the role of PRIs in the Preface, “The Ministry of Rural Development is in the implementation of watershed projects, the concept committed to empower Panchyati Raj Institutions (PRIs) of watershed associations and watershed committees were and has been impressing upon the State Governments retained. The past experience indicated that the institutional to devolve necessary financial and administrative powers framework of watershed association and watershed to the PRIs for self-governance particularly in planning, committee for the implementation of watershed programme have been working in parallel with Grama Panchayat, with 32 See “From Hariyali to Neeranchal – Report of the Technical Committee very little coordination between them. To overcome this, on Watershed Programmes in India”, Dept of Land Resources, Ministry of Rural Development, Jan 2006.

Making Participatory Governance a Reality 17 implementation and management of economic development Responsiveness and Leadership in Delhi Slums”33 , the activities in rural areas. Watershed Development has been authors describe Pradhans as informal leaders in urban areas included in the list of subjects to be devolved to the PRIs.” who are chosen for their political connections, access to service providers and education level. While some Pradhans •• We believe that these constitute very powerful arguments are selected through a consultative process in which they in favour of involving Grama Panchayat/Grama Sabha in the are acknowledged by the community to be the most watershed programme. We also believe that one of the knowledgeable and therefore best able to represent their most important issues that arises in the case of watershed urban community, most Pradhans obtain their power through projects is that of conflict resolution and equity. For this the coercion and falsely claim to have a democratic mandate. implementing agency needs to be equipped with necessary Pradhans improve access to service providers and protect legal and administrative powers to enforce its decisions. slum dwellers from the predatory actions of the police and The central role of PRIs ensures this.” from the whims of party politicians. Because the police are indifferent to the needs of slum dwellers and are complicit in In essence therefore, the new Hariyali guidelines addressed extortion, harassment and unlawful detention, slum dwellers one of the fundamental challenges of participation: how often have to pay to prevent being locked up without just to establish participatory structures that do justice to the cause. Slum dwellers take on the political patronage of idea of community involvement and empowerment, while Pradhans, as a defensive strategy. In turn, the Pradhans offer simultaneously strengthening and not undermining the security and protection. Pradhans also mediate quid pro quo legitimate institutional mechanisms of local government – in between slum dwellers and elected politicians – exchanging this case, PRIs and Grama Sabhas. blocks of votes and manpower at rallies for the provision of services and protection. The experience of both SJSRY and watershed development The presence of informal leaders hinders the empowerment programme for the past two decades offer cautionary of slum dwellers who cannot directly access their service tales to over-enthusiastic evangelists of participation who providers. But, without any formal participatory structures don’t pause to examine the various details of participation at the grassroots level, many slum dwellers have few options that are required to be addressed for such schemes to but to accept the patronage of these informal leaders. actually work on the ground. Both programmes validate Viewed once again in the specific context of this paper, and the point that demand side structures – even if initiated or the need to address the details of the “how” of participation, supported by the enormous power and machinery of the this experience demonstrates that communities don’t – and state - are not sufficient for effective implementation of can’t – stand still. The vacuum of access to decision-making poverty alleviation programmes and ensuring accountability; and the overwhelming day-to-day needs that the poor indeed, they sometimes actually end up undermining the are confronted with forces them to resort to alternative very institutional structures of decentralised government that mechanisms of resolution that at best solve their immediate ought to be the point of focus of participatory energies. This issues, but does little to either promote meaningful and is one of the critical aspects that is highlighted even in the sustained participation, or to empower them in an individual recommendations of the expert group, as they suggest that capacity. structures for participation need to be embedded into the fabric of the local governments, rather than be independent 4.2.3 Combination of Formal and Demand-side Structures of them. Beyond the pure formal or pure demand-led structures for Demand-side structures driven from the grassroots – the participation, a new third way is beginning to emerge. This experience of slum Pradhans third way is of a combination of formal and demand-side At the other end of the spectrum from state-supported structures, where bottom-up community led initiatives are demand-side structures are the organic, grassroot mechanisms connected to the formal structures of government. There are that emerge in the slums of our cities. The scale and already examples of successful initiatives that are showcasing intensity of poverty in the slums, and the fragility of the such processes – clearly, such processes are more complex to public services requires an extraordinary range of coping navigate, but when they work, they can truly deliver on all strategies on the part of residents. A gap exists between the benefits of participation. slum dwellers and formal government authorities and access to services is a major challenge for the urban poor. The following sub-sections illustrate these linkages with two examples, one driven by demand-side structures, and the This gap is generally bridged by informal leaders called Pradhans. In a paper, “Governance in the Gullies: Democratic 33 Jha, Rao and Woolcock (2005): Governance in the Gullies: Democratic Responsiveness and Leadership in Delhi’s Slums, World Bank Paper.

18 PARTICIPATORY GOVERNANCE IN URBAN INDIA—FOCUS ON THE URBAN POOR other, by formal structures. Kudumbashree experience 35

Combining formal and demand-side structures: Dhan The experience of the Kudumbashree programme in Kerala Foundation Experience34 exemplifies the positive consequence when linkages form between formal structures of participation and informal The experience of Dhan Foundation demonstrates that demand-side structures. demand-sides structures may be necessary in order to improve the quality of formal structures. Kudumbashree is a poverty eradication programme focused on the economic empowerment of indigent women in For the past ten years, the Dhan Foundation, a Madurai-based Kerala. The basic principles of the programme are to identify organisation, has been working in several districts of Tamil and organise the poor using non-monetary indicators so Nadu, Karnataka and other states to improve the livelihoods the BPL lists are inclusive and to empower poor women for of the rural poor. The foundation promotes community the betterment of the family and the community. While the organisations at various stages to engage the high-quality programme was initially focused on promoting the economic human resources accessible through the grassroots network. status of women through micro-finance and thrift and credit Through its consistent efforts, Dhan has created a network of societies, Kudumbashree has grown to encompass a myriad self-help group (SHG) federations to undertake development of initiatives which address the needs of the poor. The work with a focus on various themes like microfinance, dry mission statement of Kudumbashree is to eradicate absolute land agriculture, etc. poverty in ten years through concerted community action under the leadership of Local Governments, by facilitating Early on, the Dhan Foundation acknowledged the importance organisation of poor for combining self-help with demand- of formal structures to rural development. However, formal led convergence of available services and resources to institutions like the Grama Sabhas at the village level were tackle the multiple dimensions and manifestation of poverty not contributing their part to local development. Many holistically. factors accounted for the poor participation of people in Grama Sabhas, including the lack of democratic practices, The hallmark of the programme is that it is implemented shortage of funds, and the poor status of weaker sections. through a pyramidal structure of community-based Additionally, many rural citizens lack the literacy skills to organisations (CBOs) in cooperation with local self-government contribute effectively while others are simply unaware of the institutions. The neighbourhood group (NHG) is the building existence of participatory platforms. block of the programme consisting of 15 – 40 women from poor families. The women elect a committee consisting of Through its experiences, the foundation realised that the the President, Secretary, Volunteer for Income Generation alleviation of poverty demanded constant coordination and Activities, Volunteer for Infrastructure Development, and cooperation between different stakeholders like government, Volunteer for Community Health Activities. All the NHGs in a SHGs and other community organisations. There was a need ward are formed into an Area Development Society (ADS). At to link formal institutions with competent informal ones the apex of the pyramid, the Community Development Society, by actively encouraging informal community organisations a registered charity under the Charitable Society Act, works to participate in the panchayat system. In 2001, Dhan at the local level to give women a voice on crucial issues, announced a new pilot programme of ‘Democratising like water, power, and housing. The demand-led structure of Panchayats’ to help the panchayats function as a democratic the programme has allowed poor women to become active unit at the village level. The programme has been successful participants in the planning and implementation process of in village communities by increasing awareness of panchayat the anti-poverty programmes. functions and mobilizing local resources, thereby reducing the dependence of panchayats on the state. Through its At the weekly meetings of the NHG, women are encouraged experience, Dhan discovered that the panchayat system could to share their feelings, discuss their problems and work not function without support from informal community together to craft solutions with the support of volunteers. The organisations. group dynamic builds self-confidence among the individuals. In addition, the women practice small savings to increase their economic stability. Micro-plans generated from the Combining formal and demand-side structures: the NHG meetings are discussed and prioritised at the ADS level. Finally, at the level of the CDS, the mini-plans are formed into

34 “Working with Panchayats,” Dhan Foundation, (as viewed on Aug. 14, 2008). For the full text of the article, please visit www.dhan. 35 “Kudumbashree At A Glance,” http://www.sjsry-kudumbashree.org/ org. Publication/KS_short_article.doc,

Making Participatory Governance a Reality 19 a “CDS Plan” which becomes the anti-poverty sub-plan of the local government. Through the process, women become important stakeholders and participants in the planning process. In terms of implementation, the local government works with the CDS. Thus, the CDS system establishes linkages with the local government, yet maintains a level of autonomy. Women, who were previously represented only by proxy in the male-dominated Panchayat system, become participants in the Grama Sabha and secure outcomes for themselves outside of the Kudumbashree programme.

The Kudumbashree programme has been more successful in rural areas where the Grama Sabha model exists and provides the linkage to a legitimate, formal participatory structure. The convergence creates an outcome which is much more powerful than either structure standing alone. Unfortunately, the programme has had limited success in urban areas, because the formal structures of participation like the Grama Sabha do not exist as yet in urban areas. With the community participation law of JNNURM, this gap will be addressed via the Area Sabha structure, designed as an urban equivalent to the Grama Sabha.

20 PARTICIPATORY GOVERNANCE IN URBAN INDIA—FOCUS ON THE URBAN POOR 5 Recommendations on Citizen Participation Structures

In the previous section, we began by examining two has clearly defined processes and rules of engagement and different approaches for ensuring citizen participation: conflict-resolution. These formal structures are strengthened formal structures where citizen participation opportunities by demand-side structures that emerge based on the felt are woven into the fabric of local government functioning; needs of local communities, but where such demand-side and demand-side structures, either supported by the state structures engage synergistically with the formal structures. or driven from the grassroots. Formal structures address the various aspects of the “how” of participation in manner that During our deliberations with the expert respondent group on is not only sustainable, but also results in an investment in the participation questionnaire, members agreed unanimously the political identity of the individual and empower citizens that citizen’s engagement in planning and implementation to participate in the political and democratic process. of welfare schemes is crucial for enhancing accountability When citizens understand their individual identities, they and transparency in urban governance. We received mixed are empowered not only to cast votes, but to exercise their responses on the nature of platform required for ensuring rights. Formal structures create the political space to allow the desired level of participation. Many of the members felt the nurturing of that identity. that though formal structures like Area Sabhas at grassroots level are essential, they are not sufficient in themselves for However, while formal structures provide legitimate space ensuring active participation of urban poor. to citizens for addressing local problems, they are not a guarantee for participation by the urban poor, as there are several challenges which hinder this process – ranging Jokin Arputam, who is President of National Slum Dwellers from elite capture, to the lack of awareness and capacities Federation said that right now, we have elite oriented system of the poor. Clearly, therefore, while formal structures seem in urban administration. Ward committees are not effective in to possess desirable characteristics of participation in the implementation of UPAIs as the agenda of ward committee long run, they are not an immediate panacea to address the is hijacked by wealthy class and poor people do not have needs of citizens, especially of the urban poor. any say in these matters. For meaningful participation, poor people need separate forums to address their problems. On the other hand, demand side structures - especially those Community based organisations provide such forum and established from the grassroots - truly represent the needs of hence they should be given recognition by formal structures the poor, and can be quite effective in solving their problems, like ward committees. and giving negotiating power to the poor by aggregating their voice. Unfortunately, we have also seen that demand- side structures are also substantially flawed in many respects. Dinesh Mehta, who is now Faculty Emeritus in CEPT Most importantly, demand-side structures suffer from the Ahemedabad and has a long experience of working in following constraints: they are often independent of the India, Brazil and other countries on issues of participatory structures of local government, sometimes even undermining governance, said that both formal and informal institutions local governments; they do not have accountability or are needed for empowerment of urban poor. Formal sustainability; and they do not necessarily empower the institutions at local level are enabling structures for effective individual, rather often only the collective. What emerges implementation of UPAIs. However, these are often politicised from the discussion is the need for a combination of the and captured by the elite class of society due to lack of two types of structures: both formal and demand-side awareness among the people. To minimise these demerits structures that reinforce each other and create sufficient of formal structures, he felt that demand side structures are political space for the urban poor to participate and access needed. their entitlements. In the ideal scenario, there would be formal structures that offer opportunities for participation in a manner that has formal power vested in the platforms of participation; can access resources of the local government;

Recommendations on Citizen Participation Structures 21 In a paper titled “Decentralisation and Community Empowerment”36 , authors Derek Brinkerhoff and Omar Afzar write, “Bottom-up, demand-driven pressures from communities on local government will be successful only to the extent that decentralised institutional arrangements support an effective supply response. Local public institutions and actors need to be receptive to, and capable of accommodating, citizen engagement aimed at affecting policy decisions and service delivery. The demand side of democratic local governance cannot function effectively without the supply side.”

In summary, given the challenges of pure formal structures or pure demand-side structures of participation, the case for linkages between these two types of structures for participation seems quite solid. In specific terms, for urban India, this means that the formal structure of participation that have now become available through JNNURM – the Area Sabhas – can be strengthened and supplemented by a variety of demand-side structures, which can be different for different issues, and also vary by city. Such participatory structures that combine formal and demand-side structures can be seen to address the complete set of recommendations of the expert group in the citizen participation questionnaire: they offer clear answers on the levels of participation for different functions of ULBs under Schedule XII; they provide clear guidelines on the linkages between the participatory structures and the local government, and on the procedures for such participation. In addition, they can ensure that bottom-up demands of the people can be channelised through various community initiatives. The Kerala Kudumbashree example of SHGs engaging with Grama Sabhas in rural areas can be extended to urban settlements, where the platform of engagement will be Area Sabhas.

Critically, these combined structures will not only address the service and equity issues that are the critical need of the urban poor, but can also serve as the means by which the urban poor can begin to exercise and invest in their individual political identity. These structures provide answers to both the aspects of participation that were articulated earlier in this report (section 2.1). Hence, participation can be a means to an end, and also an end in itself. In this sense, these structures can give true meaning to the term “participatory governance”.

36 Decentralization and Community Empowerment: Does community empowerment deepen democracy and improve service delivery? Derick W. Brinkerhoff, with Omar Azfar, October 2006, Paper prepared for U.S. Agency for International Development, Office of Democracy and Governance Contract No. DFD-I-00-05-00128-00, Task Order No. 2

22 PARTICIPATORY GOVERNANCE IN URBAN INDIA—FOCUS ON THE URBAN POOR Appendix 1

MODEL NAGARA RAJ BILL

GOVERNMENT OF INDIA MINISTRY OF URBAN DEVELOPMENT NEW DELHI

A P P E N D I X 1 23 Contents

Sections Page No. Sections Page No.

Part-I Part-VI

Preliminary Functioning of Ward Committees

1. Short title, commencement and extent 25 17. Additional Meetings of Ward Committees 31 2. Definitional provisions 25 18. Agenda 31 19. Preparation of Ward Budget 32 Part-II 20. Procedure for Conducting Ward Committee meetings 33 Area Sabha 21. Power to make rules 32

3. Determination of Areas 25 4. Area Sabha Representative 25 SCHEDULE I - BUDGET CALENDAR 32 5. Qualifications for being an AreaSabha Representative 25 6. Election of Area Sabha Representative 25 7. Procedure for nomination of Area Sabha Representative. 26 8. Term of office 26 9. Functions and duties of the Area Sabha 27 10. Rights and powers of the Area Sabha 27

Part-III

Constitution and Governance of Ward Committees

11. Area Sabha Representative to be ex-officio member of Ward Committee 27 12. Ward Committee 27

Part-IV

Right and Duties of Ward Committees

13. Functions of the Ward Committee 28 14. Rights of the Ward Committee 28 15. Duties of the Ward Committee 29

Part-V

Activities of the Ward Committees

16. Activities of the Ward Committee 29

24 Nagara Raj Bill A Part-II Bill AREA SABHA Constitution and Governance of Area Sabhas to amend the laws relating to the Municipalities in the State of …… to institutionalise citizens’ participation in municipal Determination of Areas functions, e.g. setting priorities, budgeting provisions etc. by setting up of Area Sabha and to provide for matters 3. The State Government shall by order determine – connected therewith or incidental thereto. (a) the Areas into which each Ward, and in the absence of a Ward, the Municipality, may be divided; and Be it enacted by the Legislature of the State of …………….. in (b) the territorial extent of each Area, which shall the ……………… year of the Republic of India as follows: necessarily include the entire geographical territory in which all persons mentioned in the electoral roll of any polling booth in such territory, or, if the Government so decides, two or more contiguous Part-I polling booths (not exceeding five such polling Preliminary booths) in such territory, are ordinarily resident.

Short title, extent and commencement Area Sabha Representative

4. There shall be an Area Sabha Representative for each Area. 1. (1) This Act may be called the Nagara Raj Bill, ….. (2) It extends to the whole of the State of ……. Disqualifications for being an Area Sabha Representative excluding cantonment areas therein (3) It shall come into force on such date as the State 5. (1) Any registered voter in an Area may file his Government may, by notification, appoint in this nomination for the office of Area Sabha behalf. Representative, unless he is disqualified for being chosen as, and for being, an Area Sabha Definition Representative – (a) By or under any law for the time being in force for 2. In this Act, unless the context otherwise requires: the purposes of elections to the Legislature of the (a) Area means an Area as determined in the manner State, or for the purposes of elections to the prescribed in sub section (b); Municipality; (b) Area Sabha means, in relation to an Area, the body Provided that no person shall be disqualified on of all the persons registered in the electoral the ground that he is less than twenty five years of rolls pertaining to every polling booth in the Area, age, if he has attained the age of eighteen years; in a Municipality; or (c) Budget year. –means the period for which the State (b) If he is an elected representative under either government lays down the “annual financial the Representation of the People Act, 1951 or this statement”. Act. (d) Chairperson. - The councilor of each ward shall be the chairperson of that ward committee. Election of Area Sabha Representative (e) Member. - The Area Sabha Representative, elected or appointed in the manner as provided under this 6. (1) Any person eligible for contesting the elections to act, shall be a ‘member’ of the ward committee. the office of Area Sabha Representative in that Area (f) Ward Infrastructure Index. – Ward Infrastructure may file in accordance with the procedures that Index means a composite index generated may be laid down under the rules framed in by a taking into account the condition of all public this behalf, his nomination for contesting the infrastructure elements in that Ward. elections to such post within a period of four weeks (g) Ward Committee. – Means the committee from the date of announcement of results of the constituted under Section 12 of this act. elections to the Municipality.

A P P E N D I X 1 25 (2) Nomination papers for the office of Area Sabha eight weeks from the last date on which the Representative shall be available with the Ward elections, as described in section 6, ought to have Councillor, at all Municipal offices and at other been held. public places where the public can easily procure the same, one week after the undisputed results of (4) A registered voter of the Area Sabha may ward elections have been declared. nominate any registered voter of the Area Sabha for the office of Area Sabha Representative, by (3) Upon filing his duly completed nomination papers filing the nomination papers in the manner with the election officer notified in this behalf by prescribed in this behalf. The eligible nominee with the State Election Commission within the period the highest number of registered voter nominations stipulated in sub-section (1), the nominee shall be from that Area shall be declared as the Area Sabha entitled to receive a due acknowledgement in Representative for that Area, by the Ward respect of the same from the election officer. Councillor. (5) In the event of the failure of the Ward Councillor (4)The election to the office of Area Sabha to call for nominations for the office of Area Representative in the various Areas in any Sabha Representative for any or all of the Areas Municipality shall be conducted under the aegis within the Ward in the time prescribed, the State of the State Election Commission or an agency Government shall, in accordance with the rules that may be appointed in its place by the State prescribed in this behalf, nominate such persons as government, within a period of four weeks from it may deem fit to those offices of Area Sabha the last date for filing of nominations for the post Representatives not filled by the Ward Councillor; of Area Sabha Representative, in the manner and it may also initiate such disciplinary or other prescribed in the rules framed in this behalf by the action against the Ward Councillor as the rules State Government. prescribed in this behalf by the Government may allow. Procedure for nomination of Area Sabha Representative

Term of office 7. (1) In the event of the failure of the State Election Commission, or the agency appointed in its place by the State government, for any reason 8. An Area Sabha Representative shall ordinarily hold whatsoever, to conduct elections to the office of office for a duration that is co-terminus with that of the Area Sabha Representative for the Areas in any Municipality concerned. Municipality, each Ward Councillor shall, within Provided that no person shall continue to hold office a period of eight weeks from the last date on as Area Sabha Representative if, at any time during his which the elections ought to have been held as tenure, he incurs any of the disqualifications prescribed described in section 6, call for nominations for the by or under any law for the time being in force for office of Area Sabha Representative for every Area the purpose of elections to the Legislature of the State in his ward, in accordance with rules framed in this concerned; behalf. Provided further that no person shall be eligible to (2) A “call for nominations”, as described in sub- continue to hold office as Area Sabha Representative if at section (1), may be made by the insertion of an any time 6 months after his election to such post he is advertisement for the purpose in at least two recalled by a written representation to the Ward Councillor prominent newspapers in wide circulation, of or the Municipality, as the case may be, supported by not which at least one shall be a regional language less than one-half of the total members of the Area Sabha newspaper. Additionally, every call for nominations concerned; must be notified on a prominent notice board in every municipal office or building in the ward. And provided further still that no person shall be entitled, or continue to be entitled, to hold office as Area (3) Nomination papers for the office of Area Sabha Sabha Representative of an area in which he is not ordinarily Representative shall be available with the Ward resident. Councillor, Municipal offices and other public places where the public can easily procure the same,

26 Nagara Raj Bill Functions and Duties of the Area Sabha rights and powers, namely:

9. An Area Sabha may, having regard to its managerial, (i) to get information from the officials concerned as technical, financial and organizational capacity, and the to the services they will render and the works they actual conditions obtaining in the municipal area, perform propose to do in the succeeding period of three and discharge the following functions and duties, namely - months after the meeting;

(a) to generate proposals and determine the priority of (ii) to be informed by the Ward Committee about every schemes and development programmes to be decision concerning the jurisdiction of the Area implemented in the jurisdiction of the Area Sabha and Sabha, and the rationale of such decisions made by forward the same to the Ward Committee, or in its the Ward Committee or the Government, absence, the Municipality, for inclusion in the developmental plans of the Ward Committee or (iii) to be informed by the Ward Committee of the Municipality as the case may be; follow up action taken on the decisions concerning the jurisdiction of the Area Sabha; (b) to identify the most eligible persons from the jurisdiction of the Area Sabha for beneficiary- (iv) to impart awareness on matters of public interest oriented schemes on the basis of criteria fixed by such as cleanliness, preservation of the environment the Government, and prepare list of eligible and prevention of pollution; beneficiaries in order of priority and forward the same for inclusion in the developmental plans of (v)to promote harmony and unity among various the Ward or Municipality; groups of people in the area of the Area Sabha and arranging cultural festivals and sports meets to (c) to verify the eligibility of persons getting various give expression to the talents of the people of the kinds of welfare assistance from Government such as locality; and pensions and subsidies; (vi) to co-operate with the Ward Committee in the (d) to suggest the location of streetlights, street or provision of sanitation arrangements in the area. community water taps, public wells, public sanitation units, and such other public amenity schemes within Part-III the area of the Area Sabha; Constitution and Governance of Ward Committees

(e) to identify the deficiencies in the water supply and street lighting arrangements in the Area Sabha Area Sabha Representative to be ex-officio member of jurisdiction and suggest remedial measures; Ward Committee

(f) to assist the activities of public health centres in 11. The Area Sabha Representative of any Area shall be a the area, especially in disease prevention and family member of the Ward Committee constituted for the ward welfare and create arrangements to report on the within which that Area is situated. incidence of epidemics and natural calamities; Ward Committee (g) to provide and mobilise voluntary labour and contributions in cash and kind for development 12. (1) There shall be a Ward Committee for each ward programmes, and to supervise such development in a Municipality, to be constituted within 6 months works through volunteer teams; of the constitution of the Municipality.

(h) to undertake and support tax mapping, and to (2) Each Ward Committee shall consist of — remind Area Sabha members of their obligations to pay municipal taxes and user charges; (a) the member of the municipality representing the ward, who shall be the Chairperson of the Rights and Powers of the Area Sabha Ward Committee; (b) not more than ten persons representing the civil 10. An Area Sabha may, subject to the procedures that society from the ward, nominated by the may be prescribed in this regard, exercise the following municipality:

A P P E N D I X 1 27 PART IV Provided that if the population of the ward is RIGHTS AND DUTIES OF WARD COMMITTEES not more than ten thousand, the number of nominated members shall be four, and, thereafter, there shall be one additional member for every four thousand Functions of the Ward Committee population or part thereof:

Provided further that in reckoning the number of 13. The Ward Committee shall discharge the following additional members of the Ward Committee exceeding functions, namely: four, any part of less than two thousand population may be ignored; a) Provide assistance in solid waste management in the ward; Provided further that not less than two-thirds of b) Supervision of sanitation work in the ward; the members of such Committee shall be the Area c) Provide assistance for the preparation and Sabha Representatives resident in that ward. encouragement of the development scheme for the ward; Explanation- For the purposes of this section, ‘civil society’ d) Encourage harmony and unity among various means any non-government organisation or association or groups of people in the ward; persons, established, constituted, or registered under any law e) Mobilize voluntary labour and donation by way of for the time being in force and working for social welfare, goods or money for social welfare programmes; and includes any community-based organisation, professional f) Provide assistance in the implementation of institution and civic, health, educational, social or cultural development schemes relating to the ward; body or any trade or industrial organisation and such other g) Provide assistance for identification of beneficiaries association or body as the Municipality may decide. for the implementation of development and welfare schemes; (3) A person shall be disqualified for being nominated h) Encourage art and cultural activities and activities as a member of the Ward Committee under clause of sports and games; (b) of sub-section (2) or to continue as such i) Ensure people’s participation in the voluntary member, if under the provisions of this Act or any activities necessary for successful implementation other law for the time being in force, he would of the developmental activities of the municipality; be disqualified for being elected as a member of a j) Assist in the timely collection of taxes, fees and municipality. other sums due to the municipality; (4) The Chief Municipal Officer or the Zonal Officer shall k) Ensure maintenance parks in the ward; be entitled to take part in the meetings and l) Ensure maintenance of street lighting in the ward; deliberations of the Ward Committee. The Chairman m) Perform such other functions as may be assigned of the Ward Committee may request the to it by the municipality. representatives of concerned departments as special invitees to participate in the meetings whenever Rights of the Ward Committee problems respecting their departments are to be discussed. 14. (1) The chairman and the members of the Ward (5) The sanitary inspector, or the Zonal Officer wherever Committee shall have the right to seek information available, or any other official, as nominated by the from the Chief Municipal Officer regarding any matter Chief Municipal Officer, shall be the secretary of relating to the ward. the Ward Committee. All minutes of the (2) The committee shall make periodical reports to the proceedings of the meeting of the Ward Committee municipality in respect of the matters specified. shall be recorded by the secretary and a copy (3) Every Ward Committee shall have the right to: of minutes of the proceedings of each meeting shall be forwarded by him to the municipality. a) Obtain full information about the District and (6) The term of office of the Ward Committee Municipal Plans; shall be co-extensive with the term of office of b) Obtain the full Municipal Budget, within such the municipality. time as may be reasonable, to verify, seek clarifications and suggest changes that need to be incorporated; c) Obtain the requisite financial and administrative

28 Nagara Raj Bill support from the Municipality in managing bank 1. The convener of a Ward Committee from adding accounts; additional agenda for any meeting of the Ward d) Be consulted in the development of land use and Committee. zoning regulations within its jurisdiction; 2. Any other member of the Ward Committee may, e) Obtain full details on all revenue items including at a meeting of the Ward Committee, move a taxes and budgetary allocations which should be resolution to add to the specific obligatory agenda presented in a simplified manner which is decided upon for the meeting in question or any manageable by the Ward Committee; subsequent meeting. f) Retain up to 50% of the Ward Revenues for local development, until a predefined minimum level of b) Preparation and compilation of plans – The Ward Ward Infrastructure index, which shall be notified committee shall prepare the Annual Ward Plan and forward by the State Government, has been created in the the same to the concerned Municipality for its integration Ward; with the Annual Municipal Plan. g) Have a proportionate claim on Municipal Development expenditures, based on the Ward c) Preparation of Ward budget – Infrastructure Index of that ward compared to the other Wards in the Municipality. (i) A ward level budget calendar shall be prepared annually in accordance with Schedule I. The ward committee shall ensure Duties of the Ward Committee that the budget calendar is strictly adhered to and prepare the budget for their ward six weeks before the Municipal 15. (1) Every Ward Committee shall have the duty to: budget. The Municipality may suggest changes that may be effected into the Ward level Budget after discussion with the a) Produce the Ward Plans in a manner consistent Ward Committee. with the District Plans and complete this exercise within the time specified by the state government; (ii) The Municipality budget shall b) Prepare the Ward budget in accordance with the Ward Plans and complete this exercise within the (1) aggregate all the ward budgets which have been time specified by the state government; prepared in accordance with subsection (i) of this c) Encourage local-level alternatives for implementation Section in all the areas that the Ward Committee has (2) have additional account heads for specific receipts responsibility for; and expenditures at the municipality level d) Ensure optimal collection of all revenue sources as specified in the schedule; d) Maintenance of Accounts – e) Map the Ward Infrastructure Index for that ward. 1) Constitution of the Ward Finance Committee - A Committee of three persons shall be constituted in every PART V Ward as the Ward Finance Committee. ACTIVITIES OF THE WARD COMMITTEE (i) The constitution of the Ward Finance Committee shall be through nomination held within 1 month of the constitution of the Ward Committee. The Activities of the Ward Commitee chairperson shall nominate the ward finance committee. 16. This section mentions the activities to be performed by (ii) The Ward Finance Committee shall also appoint the Ward Committees. These activities are: from amongst themselves, one person as the Chairperson, who shall be the authorised signatory a) Preparation of a Calendar: At the first meeting of the for maintenance and use of accounts. Ward Committee for each budget year, the Ward Committee shall decide upon specific obligatory agenda 2) Functions and Duties of the Ward Finance for each of the monthly meetings of the Ward Committee – Committee, remaining in that calendar year, in addition (i) The Ward Finance Committee shall prepare the to the specific obligatory agenda for the first meeting annual budget for the Ward and place it before the of the following budget year. meeting of the Ward Committee which will deliberate upon, and approve the budget. The Budget shall be Nothing in subsection (a) shall prevent: presented by the Ward Finance Committee within seven

A P P E N D I X 1 29 months from the closure of the previous financial (2) The Ward Committee shall create mechanisms for year. checks and balances over the government personnel (ii) The Ward Finance Committee shall also maintain in their ward. Ward committees shall have the ward-level bank accounts for all the receipts and power to recommend to the competent authority expenditure activities of the ward. for imposition of penalties in respect of a (iii) The Ward Finance Committee shall ensure that Government employee for misconduct and all funds transfers shall be made out of this account negligence of duties. to appropriate account heads of the municipality. (iv) The Ward Finance Committee shall present accounts (f) Ward Development: every three months at the meeting of the Ward There shall be a Ward Information and Statistics Committee Committee. which shall be formed for various developmental and planning (v) The Ward Finance Committee shall prepare a works. The constitution and functions of the Committee are quarterly report of the financial transactions of the given below. Ward Committee, which shall include details of its receipts and expenditures and also its projections (1) Constitution of the Ward Information and Statistics and suggestions for the next quarter. This report Committee shall be made available to every member of the (i) A committee of three persons shall be constituted Ward Committee one week prior to the designated in every Ward as the Ward Information and Statistics meeting for discussion of the report. Committee. (vi) The report of the Ward Finance Committee shall be (ii) The constitution of the Ward Information and made available for public scrutiny. Statistics Committee shall be through nominations by the Chairperson held within one month of the 3) Penalties – constitution of the Ward Committee. i) Non-compliance of the provisions in (2) (i) – (vi) above would incur penalty for the concerned Provided that members of the Ward Finance Committee member in default. shall not be members of the Ward Information and Statistics ii) The Chairperson of the Ward Committee shall Committee. take appropriate action, including penalty to the Ward Committee member after giving adequate (iii) The Ward Information and Statistics Committee notice in writing and reasonable opportunity to be shall also appoint from amongst themselves, one person heard to the nominee; as the presiding member who will preside over the meetings of the Ward Information and Statistics Provided that, if the Chairperson of the ward Committee Committee. deems it necessary to impose a fine or other such penalty, the decision shall come into force only upon it being approved (2) Duties of the Ward Information and Statistics by a majority vote at the meeting of the Ward Committee; Committee (i) It shall be the duty of the Ward Information and Provided further that the power to impose penalty shall not Statistics Committee to compile, maintain and update extend to the dismissal of the concerned Ward committee annually the following information about the ward in member. the format prescribed by the concerned Municipality for this purpose. Such information shall include: 4) Perusal of Bills – (i) For every expenditure, the members of the Ward (A) Economic Information including the number Committee shall requisition the required amount and nature of commercial establishments in the from the Chairperson and will present bills for the ward and employment data in these expenditure incurred. establishments; (ii) The Chairperson shall make available the sum so requisitioned in keeping with the budgetary (B) Information relating to Land Use includes allocation. the changes in patterns of land use, data relating public spaces and civic amenity sites, traffic (e) Supervisory Mechanism: patterns and public transportation hubs and (1) The municipality shall take up the responsibility of preservation and restoration of environment, natural providing administrative and infrastructure support resources and heritage sites to the Ward Committee for its proper functioning.

30 Nagara Raj Bill (C) Infrastructure Index including the extent of infrastructural development, current and pending (h) Ensure Universal Access for Selected Public projects, and the infrastructural requirements of Services: the ward. The Ward Committee shall be responsible in ensuring universal (ii) The report prepared in accordance with subsection access in selected public services like education, health care, (f) (2) (B) shall be used by the Ward Committee in water supply and sanitation. determining and enforcing the Zoning provisions. It shall be made available on a quarterly basis to (i) Alternative Options the meetings of the ward Committee, reflecting changes since the presentation of the previous Without prejudice to the generality of the foregoing report. provision, (iii) The report prepared in accordance with (f) (2) (C) a) Ward Committee shall be responsible for decentralised above shall be used by the Ward Committee in management of the following functions: allocation of development expenditure by the Ward Finance Committee. It shall be made available on (i) Primary collection of Solid Waste Management and a quarterly basis to the meetings of the Ward decentralised management of solid waste; Committee, reflecting changes since the presentation (ii) De-silting of drains; of the previous report. (iii) Maintenance of street-lights; (iv) Spatial Planning: The Ward Committee shall: (iv) Maintenance of parks; (v) De-weeding of paths; 1.participate in all development plans of the city (vi) Road works including construction maintenance 2.Enforce zoning and land use regulations and restoration of; and 3.Participate in the creation and enforcement of (vii) General beautification of the locality. new instruments like transferable development rights, etc. b) The Ward Committee shall be specifically empowered to examine various alternative implementation options (3) Penalties in the above mentioned areas i) Non-compliance of the provisions in (2) (i) – (iv) above would incur penalty for the concerned c) The proposal with respect to the alternative member in default. implementation option by the local communities shall ii) The Chairperson of the Ward Committee shall be submitted to the Ward Committee and shall be take appropriate action, including penalty to the taken up for discussion at the next meeting of the Ward Committee. Ward Committee.

Provided that, if the Chairperson of the ward Committee PART VI deems it necessary to impose a fine or other such penalty, the FUNCTIONING OF WARD COMMITTEES decision shall come into force only upon it being approved by a majority vote at the meeting of the Ward Committee; Additional Meetings of Ward Committees Provided further that the power to impose penalty shall not extend to the dismissal of the concerned Ward Committee FUNCTIONING OF WARD COMMITTEES member. 17. It shall be the duty of the Ward Committee Chairperson (g) Comprehensive Intervention for Urban Poor to conduct Ward Committee meetings at least annually Activities: for consultation, on, the following subjects: The Ward Committee shall be responsible for i. Preparation of Ward Plan; (i) Integrating all existing activities undertaken by the ii. Preparation of Ward Budget; Government. iii. Preparation of Ward Maps, Ward Infrastructure (ii) Preparing and maintaining beneficiary list for all the Index and other alternate functions. programmes and schemes undertaken by the government in coordination with the relevant Agenda government agencies. (iii) Preparing a report on the housing and public 18. The Chairperson shall set the agenda for each ward distribution system in each ward. committee meeting.

A P P E N D I X 1 31 made under this Act. Preparation of Ward Budget (2) In particular and without prejudice to the generality of the foregoing power, such rules may provide for 19. To facilitate the proper preparation of the budget, a all or any of the following matters namely: Ward Committee meeting shall compulsorily be held at least a. Procedure for election of the Chairperson of the three weeks before the preparation of the Ward Budget. All Area Sabha; reports presented by the Ward Finance Committee for the b. Convening and conducting the meetings of the past year shall be discussed. Area Sabha and Ward Committee; c. Preparation and compilation of development plans for the Ward; Procedure for Conducting Ward Committee meetings d. Preparation of annual budget of the Ward; and e. Maintenance of Accounts. 20. Following procedure shall be followed while conducting meetings of the Ward Committee: SCHEDULE I- BUDGET CALENDAR i. Reasonable notice of the Ward Committee meetings should be given at least one week in advance and Month Primary Activity Secondary Activity placed in the notice boards of all municipality APRIL area plan offices in the ward. ward plan ii. All residents of the ward shall be entitled to MAY participate in the Ward Committee. The media will JUNE ward plan be encouraged to actively participate in the JULY area budget proceedings. AUGUST area budget iii. Minutes of the Ward Committee meetings shall be SEPTEMBER ward budget maintained. These minutes shall be made available to the general public for perusal. They shall be kept OCTOBER ward budget at the office of the Ward Committee. NOVEMBER municipalities budget iv. These minutes shall be presented at the next DECEMBER municipalities budget meeting of the Ward Committee and this JANUARY works review information shall be made use of by the appropriate FEBRUARY works review sub-committees in their functions. v. Grievances: MARCH works review Grievances for not holding or improperly conducting Ward Committees shall be addressed to the Chairperson of the Ward Committee. The Chairperson shall take appropriate action, including penalty to the Ward Committee member after giving adequate notice in writing and reasonable opportunity to be heard to the nominee;

Provided that, if the Chairperson deems it necessary to impose a fine or other such penalty, the decision shall come into force only upon it being approved by a majority vote at the meeting of the Ward Committee;

Provided further that the power to impose penalty shall not extend to the dismissal of the concerned Ward Committee member.

Power to make rules

21. (1) Subject to the provisions of this Act, the State Government may make rules to provide for any matter which is to be or may be prescribed by rules

32 Nagara Raj Bill Model Activity Mapping of Municipal Functions Functions to be performed by Municipalities/ Ward Committees/ Area Sabhas

Note: These are based on the list of functions provided in Schedule XII (article 243W) of the Constitution, as per the 74th Constitutional Amendment

No Item Municipality Ward Commitee Area Sabha 1 Urban planning a. Prepare city plans in a. Prepare ward plans in coordination a. Discuss the Area’s planning needs including town coordination with the MPC/DPC with city & regional plans as part of the Master Plan for the planning of the region b. Integrate Area Sabha needs into region and the city b. Integrate the Ward Plans into Ward Plans b. Submit Area’s planning the City Plan c. Develop Annual Ward Budgets requirements to the WC c. Develop medium-term financial consistent with these plans, and c. Review the Ward Plans and the plans consistent with the plans with the city’s financial plans City plans d. Develop annual city budgets d. Ensure that ward budgets and city consistent with the medium- budgets are consistent with their term financial plans plans

2 Regulation of land-use a. (Large set of regulations on a. Provide all administrative support a. Enforce the zoning and land-use and construction land-use and construction) to AS in zoning and land-use parameters defined in the city and of buildings. management ward plans b. Receive and process all applications b. Receive and resolve applications for building construction for change in land use in AS c. Receive all appeals on land-use jurisdiction change decisions of AS, and resolve them

3 Planning for a. Work with agencies outside a. Have a Ward Information and a. Provide information support to economic and social Municipality on collection, and Statistics Committee to track the WC on collection of necessary development. dissemination of economic and economic activity in the Ward economic and social information social indicators b. Undertake systematic and organised b. Undertake systematic and b. Maintain key economic and street numbering, in coordination organised street numbering, in social indicators for the with the municipality coordination with the WC municipality on regular basis c. Undertake systematic and organised street numbering, in coordination with external agencies

4 Roads and bridges a. Survey, technical feasibility, road a. Survey, technical feasibility, a. Monitoring and supervision of alignment, and formulation of approval, allocation and sanction quality of works road development projects of funds. b. Assist the WC in the preparation b. Approval, allocation and b. Annual repairs and maintenance of of Ward Infrastructure Index sanction of funds of roads ward roads, culverts and bridges covering more than one block c. Approval, allocation and sanction including District roads. of funds for improvement and c. Acquiring land, assessment and maintenance of Ward roads. grant of compensation. d. Monitoring and supervision of the d. Awarding contracts, quality of works and reporting procurement of material / progress. equipment for construction of e. Ward Infrastructure Committee to roads and bridges. maintain Ward Infrastructure Index e. Monitoring the specifications of in manner prescribed road /bridges and supervision f. Budgetary allocations formulae to of the quality of works. be based on Ward Infrastructure Index

A P P E N D I X 1 33 No Item Municipality Ward Commitee Area Sabha 5 Water supply for c. Assessing city’s water supply needs a. Developing annual water a. Identifying need for water domestic, industrial on short, medium and long term requirements for various ward schemes and locations and commercial basis needs b. Reporting progress on water purposes. d. Formulation of major water supply b. Providing administrative assistance supply schemes schemes to AS c. Monitoring water supply service e. Technical appraisal and approval c. Procuring and compiling reports on levels, complaints and repairs to the schemes proposed by the water service levels, complaints and WCs repairs f. Awarding contracts for the execution of major schemes and enforcing Service Level Agreements

6 Public health, a. Planning through the health a. To assist in supervision and a. Upkeep of sanitation (cleaning sanitation conservancy committees maintenance of sub-centres and of roads, drainage etc.) in the and solid waste b. To coordinate Communicable deployment of field staff Area management Diseases Programme (Eg.TB, b. To organise health family welfare b. Mobilising and organising Leprosy) with the State camps and conduct demonstration- people for health, family c. To coordinate, construction and cum-exhibition programmes planning and immunisation maintenance and supervision of on health, family welfare and camps. Primary Health Centres (PHCs) sanitation. c. Chlorination tanks and spraying d. Periodic conduction of c. To assist in inspection/ assessment of etc. Epidemiological surveys of quality of public health inputs d. Reporting of out-break of e. To construct and manage drainage and services. epidemics. and sewerage systems in the city d. To prepare Ward SWM Plans in e. To assist/ coordinate emergency f. To set aside budgets for street and consultation with AS (floods etc.) Medical Relief public spaces e. To award SWM contracts Services g. Prepare city SWM plans, including f. To monitor and review SWM f. Support local community-based adequate provision for safe disposal contracts SWM composting solutions, in of SWM g. To prepare budgets for street collaboration with Municipal h. Prepare long-term SWM strategy cleaning and public spaces in SWM dept for the city, in coordination with consultation with AS g. Supervise SWM contracts MPC and DPC h. To award contracts for street h. Supervise street cleaning i. Review city SWM contracts and cleaning contracts provide support to WC in contract i. Prepare plans for sufficient public i. Identify locations for public formulation, execution and toilets in the ward in consultation toilets and submit AS plans to monitoring with AS WC j. To prepare policy documents for j. Award contracts for construction j. Supervise maintenance of public construction of public toilets and maintenance of public toilets, toilets in consultation with municipality

7 Fire services a. To extinguish fire and protect life and property when fires occur b. To ensure sufficient levels of Fire Service infrastructure in the city

8 Urban forestry, a. Reclamation of waste lands, a. Compile a list of all urban forestry a. Prepare a list of all urban protection of the promotion of social forestry and and environmental assets in the forestry and environmental environment and maintenance of open spaces Ward assets in the Area promotion of b. Establishment and maintenance of b. Prepare detailed plans to conserve b. Identify their environmental ecological aspects nurseries for plants, vegetables and and protect environmental assets,in health trees and promotion of greenery consultation with AS c. Suggest measures for the c. Organisation of flower-shows and c. Work with the municipality to conservation and protection of promotion of flower-growing as a integrate these plans into the such assets civic culture municipal budget d. Monitor hazardous impact d. Promotion of measures for d. Prevent hazardous impact on on environmental assets, and abatement of all forms of environmental assets report to WC pollution e. Promote measures for abatement of all forms of pollution

9 Safeguarding the a. Provide all support to the WC for a. Preparation of lists of identification a. Identification of disabled interests of identification of weaker sections of disabled persons/ street persons/ street children/ weaker sections of b. Coordinate with all concerned to children/ unassisted aged/ beggars/ unassisted aged/ beggars/ society, including procure relief for weaker sections juveniles and coordination with the juveniles and coordination with the handicapped c. Set aside appropriate funds in municipality to procure assistance the WC for their rehabilitation. and mentally municipality budget for their rehabilitation. retarded

34 Nagara Raj Bill No Item Municipality Ward Committee Area Sabha 10 Slum improvement and a. Compile city-wide slum information, a. Prepare a list of all slums in the a. Prepare a list of all slums in the up-gradation. including service levels Ward AS b. Prepare medium-term plans to b. Establish the legal veracity of b. Prepare slum up-gradation plans complete slum up-gradation each slum for provision of public for each slum, with community c. Prepare action plans for provision services members in the concerned of sufficient stock of legitimate c. Compile slum up-gradation plans in slums low-income housing in the city coordination with AS c. Work with WC to ensure d. Coordinate with various agencies d. Prepare Ward Budgets to include budgetary allocation for slum involved in slum identification, allocations for slum up-gradation up-gradation works upgradation and services e. Release contracts for slum up- d. Monitor quality of slum up- gradation work gradation works f. Make payments based on AS monitoring

11 Urban poverty a. Preparation of plan for poverty a. Assist the AS in providing technical a. Identification of beneficiaries for alleviation alleviation programmes at and managerial assistance for various government schemes municipality level. implementation of schemes. b. Implementation of employment b. Scrutiny and consolidation of b. Implement schemes at WC level generation programmes WC plans for Poverty Alleviation c. Collection and distribution of c. Inform the WC and municipality Programmes data regarding development and about any misuse of assets, grant c. Release of funds to Banks for management at the WC level. and loan by the beneficiaries. subsidy adjustment. d. Assist in the evaluation of d. To assist IP for the distribution d. Coordination with other schemes. of identity cards departments / agencies e. Preparation of plans at the WC e. To ensure proper utilisation e. Development of training level of any funds allocated for infrastructure f. Review the plans prepared by the poverty programmes from the f. Procurement and supply of quality AS and accord technical approval municipality or external sources assets / machinery / equipments and assistance for beneficiary schemes. g. Integrate other Poverty Alleviation g. Assist in extending technical programmes assistance for planning at WC level. h. Supervision and review of implementation of different Poverty Alleviation Programmes. i. Monitoring and supervision of the progress of the programmes.

12 Provision of urban a. Assist the WC in the discharge of a. Assist the AS in the discharge of a. Submit AS plans for upgradation amenities and their responsibility their responsibility. and maintenance of urban facilities such as b. Compile city-wide urban amenities b. Prepare ward budgets based on AS amenities parks, gardens information inputs or urban amenities b. Keep all common property of playgrounds c. Prepare medium-term plans for local nature in good condition. urban amenities in consultation c. Ensure they are not encroached with WCs, MPC and DPC upon or converted to uses not in d. Provide budgetary support for the interest of the community. urban amenities

13 Promotion of cultural, a. Promotion of civic education, adult educational and education, social education and aesthetic aspects non-formal education b. promotion of cultural activities including music, physical education, sports and theatres and infrastructure c. advancement of science and technology in urban life d. publication of municipal journals, periodicals and souvenirs e. organisation, establishment and maintenance of art galleries and botanical or zoological collections f. conservation and maintenance of monuments and places of historical, artistic and other importance g. construction, establishment, maintenance or contribution to the maintenance of public libraries, museums, reading rooms etc.

A P P E N D I X 1 35 No Item Municipality Ward Committee Area Sabha

14 Burials and burial a. Constructing and maintaining a. Assist the municipality in the a. Inform the WC and municipality grounds; cremations, burial grounds and cremation discharge of their responsibility. of deaths in the AS cremation grounds and grounds electrical crematoriums b. Acquiring, maintaining, changing and regulating places for the disposal of the dead

15 Cattle pounds; a. Establish and maintain cattle a. Assist to AS in the discharge of a. Monitor stray animals in AS prevention of cruelty ponds their responsibility. b. Work with appropriate agencies to animals. b. Ensure the prevention of cruelty to to treat stray dogs on a regular animals basis c. Undertake appropriate measures to limit stray animals

16 Vital statistics a. Register all births and deaths in a. Register all births and deaths in the a. Support the WC in registering including registration the municipality Ward births and deaths of births and deaths. b. Maintain key economic and social b. Ward Information and Statistics indicators for the municipality on Committee to compile information regular basis on Ward

17 Public amenities a. Communication systems beyond a. Compile list of street lighting, a. Prepare list of street lights, including street construction and maintenance parking lots, street furniture, bus parking lots, street furniture, bus lighting, parking lots, of roads: footpaths, pedestrian stops and public conveniences in stops and public conveniences bus stops and public pathways, transportation terminals, the ward, with the assistance of the in the Area conveniences both for passengers and goods, AS b. Provide assistance to the WC in bridges, over-bridges, subways, b. Prepare plans for creation and developing plans for creation ferries, and inland water transport maintenance of such amenities and maintenance of such system; c. Coordinate with the municipality amenities b. Provide transport system accessories for the provision of such amenities c. Monitor contracts to maintain including traffic engineering d. Coordinate with the AS for the such amenities schemes, street furniture, parking monitoring and maintenance of areas, and bus stops; such amenities

18 Regulation of slaughter a. Regulate the functioning of a. Prepare a list of all slaughter houses a. Monitor slaughter houses and houses and tanneries slaughter houses and tanneries and tanneries in the ward tanneries for environmental b. Assist the AS in its activities impact and ethical practices c. Report any violations to the municipality

36 Nagara Raj Bill Appendix 2

CITIZEN PARTICIPATION QUESTIONNAIRE

Name: Date:

Department/Organisation:

This questionnaire assumes that the question of WHETHER citizens should participate is already answered in the affirmative, and the focus is really on HOW citizens should participate. Only detailed description of the HOW of participation can result in constructive participation by large numbers of citizens, in a consistent and sustainable manner. To answer this question, we are requesting your inputs in the following Disseminating Information – citizens are only given three categories of issues: information on plans

1. What are the issues that citizens should participate Consultation – citizens are invited to comment on plans n i 2. For each issue, what kind of participation would you Deciding Together – citizens are invited to be part of the suggest? planning process . 3 What are the platforms and mechanisms through which such participation should happen? Below is a list of issues that are now the responsibility of local governments. They are taken from Schedule XII. Some While this questionnaire attempts to understand the issue of the issues have been classified into three or four major of participation for all citizens, there is a need to add components to have a more accurate analysis of the issue. an additional focus on the issues of participation of the Please indicate the level of participation from the ladder urban poor. We, therefore, request you to kindly use all of participation that you would like citizens to have with this space provided to put down your ideas on both these regards to each issue. A separate box has been provided to dimensions. invite suggestions on women’s participation.

This document is divided into three components: Part 1, Part 2 Please note: In each box, insert a number from 1-3 where 1 and Part 3. Part 1 addresses citizen’s participation in Planning corresponds to Dissemination of Information, 2 corresponds and Budgeting. Part 2 addresses citizen’s participation in the to Consultation and 3 corresponds to Deciding Together. Use Implementation. Part 3 addresses Platforms, Mechanisms the square box for your suggestions on the level of citizen and Processes. participation in general. For those issues which in your opinion, need to have special focus on women’s participation, There are many levels at which citizens can participate. use the circular box for giving your suggestions. The Ladder of Participation is a commonly-used tool to define these levels of participation. Below is one Ladder Example: of Participation for Planning and Budgeting and another If on the issue of urban and town planning, I want citizens Ladder of Participation for Implementation. Disseminating to be involved in Consultation with the government, then I Information – citizens are only given information on plans would fill in the boxes as shown below: 1. Urban planning, including town planning 2 ¡

A p p e n d i x 2 37 lanes, sewers, community latrines, etc. o ¡

Part 1: The Ladder of Planning and Budgeting c) Social amenities like pre-school education, non-formal education, maternity, child health care etc. o ¡ For the following issues, what level of participation would d) Provision of Shelter o ¡ you suggest as per the Ladder of Participation for Planning and Budgeting? 11. Urban poverty alleviation a) Capacity building and training programmes o ¡ Group 1: The list of issues that are the responsibility of city b) Security of tenure o ¡ governments, based on the 74th Constitutional Amendment c) Access to credit for business o ¡ d) Schemes for providing employment o ¡ 1. Urban planning, including town planning o ¡ a) Planning for new residential zones o ¡ b) Planning for SEZ’s and other 12. Urban amenities and facilities such as parks, commercial zones o ¡ gardens and playgrounds o ¡ c) Acquiring agricultural land for development projects o ¡ 13. Cultural, education and aesthetic aspects o ¡

2. Regulation of land-use and construction of 14. Burial grounds, cremations, cremation buildings o ¡ grounds and electric crematoriums o ¡

3. Planning for economic and social 15. Cattle pounds and prevention of cruelty to o ¡ development o ¡ animals

4. Roads and bridges a) Flyovers and overbridges o ¡ 16. Vital statistics including registration of births b) National and state highways o ¡ and deaths o ¡ c) Arterial roads and roads o ¡

5. Water supply for 17. Public amenities including street lighting, a) Domestic purposes o ¡ parking lots, bus stops and public b) Industrial purposes and o ¡ conveniences o ¡ c) Commercial purposes o ¡ 18. Regulation of slaughterhouses and tanneries o ¡ 6. Public health, sanitation, conservancy and solid waste management a) Provision for community health centres. o ¡ Group 2: Any other issues (please list issues) b) Schemes for sanitation and conservancy o ¡ c) SWM in residential and commercial areas o ¡ o ¡

7. Fire services o ¡ o ¡

8. Urban forestry, protection of the environment o ¡ and promotion of ecological aspects o ¡ o ¡ 9. Safeguarding the interests of weaker sections of society, including the handicapped and o ¡ the mentally retarded o ¡

10. Slum improvement and up-gradation

a) Provision of physical amenities like water supply, widening and paving of existing

38 CITIZEN PARTICIPATION QUESTIONNAIRE

2.Regulation of land-use and construction of Feedback – citizens are invited to give feedback on project buildings o ¡ implementation 3. Planning for economic and social Supervision – citizens are invited to supervise the project development o ¡ implementation 4. Roads and bridges Partnering – citizens are invited to take ownership of the a) Flyovers and overbridges o ¡ project implementation itself, either in part or completely b) National and State Highways o ¡ c) Arterial roads o ¡ Below is a list of issues that are now the responsibility of local governments. They are taken from Schedule XII. Please 5. Water supply for indicate the level of participation that you would like citizens a) Domestic purposes, o ¡ to have with regards to each issue. If you have other issues b) Industrial purposes and o ¡ to add to this list, please add them at the end in the space c) Commercial purposes o ¡ provided, indicating the level of participation you would suggest for these issues. 6. Public health, sanitation, conservancy and solid Please note: In each box, insert a number from 1-3 where 1 waste management corresponds to Feedback, 2 corresponds to Supervision and a) Provision for community health care centres. o ¡ 3 corresponds to Partnering. b) Schemes for sanitation and conservancy o ¡ c) SWM in residential and commercial areas o ¡

Part 2: The Ladder of Implementation 7. Fire services o ¡

8. Urban forestry, protection of the environment and promotion of ecological aspects o ¡ For the following issues, what level of participation would you suggest as per the Ladder of Participation for 9. Safeguarding the interests of weaker sections Implementation? of society, including the handicapped and the mentally retarded o ¡ Group 1: The list of issues that are the responsibility of city governments, based on the 74th Constitutional 10. Slum improvement and up-gradation Amendment. a) Provision of physical amenities like water 1. Urban planning, including town planning supply, widening and paving of existing a) Planning for new residential zones o ¡ lanes, sewers, community latrines, etc. o ¡ b) Planning for SEZ’s and other commercial b) Provision of Community centers for zones o ¡ pre-school education, adult education, c) Acquiring agricultural land for development recreational activities etc. o ¡ projects o ¡

A p p e n d i x 2 39 c) Social amenities like pre-school education, non-formal education, maternity, Part 3: Platforms, Mechanisms and Processes child health care etc. o ¡ d) Provision of Shelter o ¡

Having decided on a level of participation, the third area 11. Urban poverty alleviation of questions is related to the platforms and mechanisms a) Capacity building and training programs o ¡ through which such participation should happen. b) Security of tenure o ¡ (Please select the appropriate option and insert a, b, c, d c) Access to credit for business o ¡ or e into the box) d) Schemes for providing employment o ¡

1. What should be the nature of the platform for citizen’s 12. Urban amenities and facilities such as participation? o parks, gardens and playgrounds o ¡ a) Informal community group, by invitation (e.g. self-help 13. Cultural, education and aesthetic aspects o ¡ groups) b) Informal community group, open to all (e.g. all 14. Burial grounds, cremations, cremation grounds residents of an area) and electric crematoriums o ¡ c) Formal community association, by invitation (e.g. residents welfare association) 15. Cattle pounds and prevention of cruelty to d) Formal community association, open to all (e.g. ward- animals o ¡ level federation) e) Formal part of a nested municipal structure (e.g. area 16. Vital statistics including registration of births sabha by polling booth) and deaths o ¡

2. What should be the geographical footprint of the 17. Public amenities including street lighting, platform for citizen’s participation? o parking lots, bus stops and public conveniences o ¡ a) Neighbourhood level b) Ward level c) Municipality level 18. Regulation of slaughterhouses and tanneries o ¡ d) Multi-tiered: Neighbourhood level and ward level e) Multi-tiered: Neighbourhood level, ward level and municipality level Group 2: Any other issues (please list issues) f) Multi-tiered: Ward level and municipality level g) Other (please specify) That can be easily demarcated as a geographical constituency at sub-ward level o ¡ Please write in the space provided below each question o ¡

3. Relationship to the Government o ¡ a) Relationship to the Government – How should

the platform get legitimacy from the municipality/other o ¡ agencies for citizen’s participation? (Please use the space

below, and add any additional page(s) to complete, if o ¡ necessary)

b) In relation to this platform, what is the role of A) A local councillor/corporator B) An MLA C) An MP ?

c) What are the funding needs for your suggested platform for citizen’s participation?

40 CITIZEN PARTICIPATION QUESTIONNAIRE

Dimension Household Community Broader d) Where will these funds be procured from? level level arenas Economic

4. Please respond to the following questions related to the processes of participation (Please provide detailed answers).

a) Roles and responsibilities of individuals in the Socio-cultural platforms you are suggesting

b) Periodicity of meetings

Familial c) Procedures concerning conduct of meetings

d) Setting the agenda of the meetings Legal

e) Procedures concerning taking decisions at the meetings

f) Conflict resolution at the citizen’s participation Political platform – among the citizens themselves

g) Conflict resolution at the citizen’s participation platform – between residents and commercial interests

h) Conflict resolution and negotiation between platforms for citizen’s participation and the municipality

5. In the following table, please suggest measures which need to be taken in various dimensions to ensure a gender sensitive approach in all the three domains of equality, i.e. capabilities, access to resources and opportunities, and the ability to influence or contribute to outcomes.

A p p e n d i x 2 41 Appendix 3

List of Experts

S.No Name Designation

1 Celsa Antao President, Desterro Eves Mahila Mandal, Goa 2 Jockin Arputham President, National Slum Dwellers Federation, Mumbai 3 Prof. Dinesh Awasthi Director, Entrepreneurship Development Institute of India, Ahmedabad 4 Sharad Chopdekar Former Chairperson, Mormugaon Municipal Council, Vasco, Goa 5 Ramnath Jha Principal Secretary, Transport and State Excise, Govt. of Maharashtra 6 Mukesh Kanaskar Faculty, All India Institute of Local Self Government, Mumbai 7 Alka Karande Former Deputy Municipal Commissioner, Bombay Municipal Corporation 8 Ruth Manorama President. National Alliance of Women (NAWO)

9 A.K. Mehta Joint Secretary, Ministry of Urban Development, Govt. of India 10 Dinesh Mehta Former Director, National Institute of Urban Affairs

11 Jyoti Mhapsekar President, Stree Mukti Sangathana, Mumbai 12 Sneha Palnitkar Director, All India Institute of Local Self Government, Mumbai 13 T.R. Raghunandan Secretary, Ministry of Panchayati Raj, Govt. of India 14 Chanda Sarkar Director, State Urban Development Authority, West Bengal 15 N. Gitkumar Singh Chief Town Planner, Town Planning Deptt, Govt. of Manipur 16 Alkesh Sharma National Project Director, UNDP 17 Manorama Dobriyal Sharma President, Dehradoon Municipal Corporation and Chairperson, Asean Mayor’s Council

18 M.P. Vasimalai President, Dhan Foundation, Madurai

42 LIST OF EXPERTS Appendix 4

Responses to PART 3 of Questionnaire - ( Relationship to the Government )

and education to public representatives. The local a) How should the platform get legitimacy from the councillor’s role, however, would be greater since the municipality/other agencies for citizen’s issues would be local. Care, however, would have to participation? be taken that the platform remains essentially a people’s platform and does not get hijacked by political parties. 1. It should be a formal democratic institution of the Urban (Ramnath Jha) Local Body at sub-ward level with an elected 4. Councillor should participate or lead the participatory representative of its own. (Mukesh Kanaskar) ward level meeting. (Ajit Kr. Jain) 2. Institutionalisation; this can be done through a resolution 5. Local Councillor should convene general citizens’ meetings by the municipal corporation or by amendment to the at the Sub-Ward for preparing a ward plan and other Municipal Act. (Sneha Palnitkar) issues, An MLA/ Municipality Chairman/Corporator should 3. The legitimacy would come out of the citizen being a ensure that decision making process is adopting from down resident of that area. However, if the numbers get too to top and Grievances executing authority and big, an election process may have to be built in, especially implementing authority/department should not be same. in the larger cities. (Ramnath Jha) (Dinesh Awasthi) 4. Should be within the legal framework to ensure legitimacy 6. The role of MLA and MP should be that of a facilitator and sustainability. (Ajit Kr. Jain) and mentor to ensure the participation of citizen in the 5. The existing ward may be further subdivided into small planning and development process of the city as a whole. geographical area and should get the constitutional status (Alkesh Sharma) and may be followed as Gram Sabha functions in 7. a) Councillor: as Chairperson of the Ward level Committee, Panchayat. (Dinesh Awasthi) b) MLA: Co-ordinate the functioning of ward committees 6. The CBOs or the formal organisation of citizens have to in different municipalities ward in his assembly constituency be registered with the concerned ULBs. (Alkesh Sharma) and c) MP: Co-ordination at Parliamentary Constituency 7. P.P.P. (Manorama D. Sharma) level. (N. Gitkumar Singh) 8. By legislating the ‘Municipalities Community Participation 8. The local councillor must be mandated to consult and Law’. (N. Gitkumar Singh) discuss his plans and programmes with the platform. 9. The platform should be formally recognised under M.P.’s and MLA’s are better off dealing at state and the municipal legal framework, with clear duties and central levels and should not have any role to play for this responsibilities assigned to it. (T.R. Raghunandan) platform. (T.R. Raghunandan)

c) What are the funding needs for your suggested b) In relation to this platform, what is the role of A) platform for citizen’s participation? A local councillor/corporator B) An MLA C) An MP? 1. Funding needs would be twofold: Administrative & 1. A ward committee could be constituted by the elected Developmental. (Mukesh Kanaskar) representatives from the respective sub-ward (? Polling 2. Funds will be required for meetings, implementing action booth demarcated) units. They in turn would elect ward in various departments, sensitisation/awareness building level elected representative (i.e. Councillor/ Corporator). activities. (Sneha Palnitkar) (Mukesh Kanaskar) 3. The funding needs should be extremely small. (Ramnath 2. The local councillor/corporator would play a proactive Jha) role at the Neighbourhood & ward level in implementing 4. For logistics only. (Ajit Kr. Jain) the plans of the platform. The MLA and MP can play 5. The requirement of funds will be mainly for the roles of facilitating or carrying forward the initiatives at management of the group which includes funding support their respective levels of authority. (Sneha Palnitkar) for taking up small projects and its implementation, 3. The platform should be open for attendance, awareness organising awareness meetings and to meet the

A p p e n d i x 4 43 administrative costs and social audit at various levels of participation. They can participate primarily in the poverty implementation. (Alkesh Sharma) reduction programme right from planning to evaluation. 6. P.P.P (Manorama D. Sharma) Currently, both under Government and NGO sector, various 7. For providing administrative & infrastructure support to CBOs have been organised. As an organisation, rather the ward committee (N. Gitkumar Singh) than individual, these organisations can participate in the 8. A clear normative location of funds based on: a) norms service delivery for the city including poor, capacity of development and b) incentives for good performance. building, social policing, awareness creation, social auditing (T.R. Raghunandan) etc. In short the organisation of citizen can be a watch dog for the entire development process. (Alkesh Sharma) d) Where will these funds be procured from? 5. a) To generate proposals and determine the priority of schemes and development programmes to be 1. Funds for the administrative needs will be procured from implemented in the jurisdiction of the Area Sabha the ULB. For developmental activities, they will come from and forward the same to the Ward Committee, govt schemes and/or PPP and/or community contribution, or in its absence, the Municipality, for inclusion depending on the nature of the work and negotiations in the developmental plans of the Ward Committee or that take place. (Mukesh Kanaskar) Municipality as the case may be; 2. The funds can be inbuilt into the municipal budget. These b) To identify the most eligible persons from the funds could be supplemented by other interested jurisdiction of the Area Sabha for beneficiary- stakeholders among citizens. (Sneha Palnitkar) oriented schemes on the basis of criteria fixed by 3. Should be provided by the urban local body. (Ramnath the Government, and prepare list of eligible beneficiaries Jha) in order of priority and forward the same for inclusion in 4. ULB should budget for this. (Ajit Kr. Jain) the developmental plans of the Ward or 5. Complete Decentralised tax/fees collection method. Tax & Municipality; fees should be collected at Ward level & fund provision for c) To verify the eligibility of persons getting various kinds of Citizen Participation could be managed from this. Some welfare assistance from Government such as pensions kind of local e-governance with charge for collecting and subsidies; information. (Dinesh Awasthi) d) To suggest the location of streetlights, street or community 6. The funds can be procured either from ULBs, NGOs, MP/ water taps, public wells, public sanitation units, MLA funds or through the membership. (Alkesh Sharma) and such other public amenity schemes within the 7. Step govt. L.B+PPP (Manorama D. Sharma) area of the Area Sabha; 8. By retaining some percentage of ward revenue, based on e) To identify the deficiencies in the water supply and street Ward Infrastructure Index (WII). Also, the ward committee lighting arrangements in the Area Sabha jurisdiction and will have a proportionate claim on the municipal suggest remedial measures; development expenditure, based on WII (N. Gitkumar f) To assist the activities of public health centres Singh) in the area, especially in disease prevention and family 9. Sub allocations through budgetary allocations in welfare and create arrangements to report on the municipal budget. (T.R. Raghunandan) incidence of epidemics and natural calamities; g) To provide and mobilise voluntary labour and contributions 4. Processes of Participation in cash and kind for development programmes; h) To undertake and support tax mapping, and to remind a) Roles and responsibilities of individuals Area Sabha members of their obligations to pay municipal in the platforms you are suggesting taxes and user charges. (N. Gitkumar Singh)

1. The representative at sub-ward level will be accountable b) Periodicity of meetings to her/ his constituency, will anchor participatory annual planning, facilitating negotiation within the constituency 1. There could be 3 types of meetings: & with outside stakeholders, will represent the constituency in ward committee. (Mukesh Kanaskar) a) Annual meeting: To review the progress, to assess 2. These need to be agreed upon on the platform itself. performance of the representative, to prepare annual plan (Ramnath Jha) that will go as an input to the ULB plan (subject to the 3. Every citizen should be actively involved in local issues negotiations at ward committee level and subsequently at and participation in sub-ward meetings could be a duty. the ULB level) (Dinesh Awasthi) b) Monthly meeting: For discussing operational issues 4. The Citizen can play an important role in enabling c) Quarterly Meeting: For review of the activities planned

44 RESPONSES TO PART 3 OF QUESTIONNAIRE - ( RELATIONSHIP TO THE GOVERNMENT ) There could be need-based emergency meeting/s e.g. in For quarterly meeting, mandatory part of agenda would event of disasters. (Mukesh Kanaskar) be review. Additional agenda points could be invited through public notification and internet (a pre-requisite 2. Twice a year. (Ajit Kr. Jain) is well established mechanisms of e-governance). 3. Thrice a Year. (Dinesh Awasthi) Agenda for monthly meetings could be decided through 4. The forum should be met at least once every month for public notification and internet. (Mukesh Kanaskar) ward level and below and every quarter at Municipal 2. Except for the first agenda, the meeting should decide level for proper monitoring and evaluation. (Alkesh the next agenda. (Ramnath Jha) Sharma) 3. ULBs should evolve standard format. (Ajit Kr. Jain) 5. Three Monthly (Manorama D. Sharma) 4. Ward Committee. (Dinesh Awasthi) 6. As decided by the Chairperson of the Area Sabha/ Ward 5. The agenda should be plan in accordance with the need/ Committee. (N. Gitkumar Singh) problems of the areas and the concerns of the people. 7. Fortnightly or monthly as per need. (Ramnath Jha) (Alkesh Sharma) 6. Discussion (Manorama D. Sharma) c) Procedures concerning conduct of meetings 7. The agenda for the meeting should relate to formulation of annual ward plan, ward budget and discussion on 1. The elected representative would be the Chair development activities of the area. The Chairman of the 2. These also need to be determined in the meeting. They ward committee may also set agenda on case to case should be kept flexible and the outcomes should not get basis. (N. Gitkumar Singh) caught in procedural webs. (Ramnath Jha) 3. On the lines of Gram Sabhas in rural areas. (Ajit Kr. Jain) e) Procedures concerning taking decisions at the 4. Gram Sabha type. (Dinesh Awasthi) meetings 5. As I said earlier, the citizen should participate in the 1. Decisions on annual plan & budget should be by two- decision making process of the city government as a thirds of presence (above quorum). Others could be by member of a group. The group should have a committee, majority vote. (Mukesh Kanaskar) primarily to look after the day today function and to deal 2. By voice or if contentious by majority. (Ramnath Jha) with the authorities. (Alkesh Sharma) 3. By ministry the discussion, Questionnaires could be used 6.i. Reasonable notice of the Ward Committee meetings for prioritising the issue. (Ajit Kr. Jain) should be given at least one week in advance and placed 4. Consensus Building. (Dinesh Awasthi) in the notice boards of all municipality offices in the 5. The decisions have to be made in a democratic way ie; ward. taking the opinion of majority through consensus. ii. All residents of the ward shall be entitled to (Alkesh Sharma) participate in the Ward Committee. The media will 6. Majority (Manorama D. Sharma) be encouraged to actively participate in the 7. By majority vote (N. Gitkumar Singh) proceedings. iii. Minutes of the Ward Committee meetings shall be maintained. These minutes shall be made available to f) Conflict resolution at the citizen’s participation the general public for perusal. They shall be kept at platform – among the citizens themselves the office of the Ward Committee. iv. These minutes shall be presented at the next 1. Through persuasion, negotiation. (Mukesh Kanaskar) meeting of the Ward Committee and this information 2. By discussion and deliberation. Finally by majority. shall be made use of by the appropriate sub- (Ramnath Jha) committees in their functions. 3. This is not possible immediately. (Ajit Kr. Jain) The Executive Officer of the concerned Municipal Council shall 4. Voting Issue based, Signature Campaigning. (Dinesh be entitled to take part in the meeting. The Chairman of the Awasthi) Committee may also request representatives of concerned 5. The peer group mechanism can be used for conflict departments as special invitees. (N. Gitkumar Singh) resolution at the group level and individual level. (Alkesh Sharma) d) Setting the agenda of the meetings 6. Majority (Manorama D. Sharma) 7. By promoting awareness on communal harmony, unity 1. This will be the responsibility of the elected representative among different groups of people. (N. Gitkumar Singh) of the sub-ward level. For annual meeting, the agenda would be fixed: Review of progress, performance, g) Conflict resolution at the citizen’s participation participatory planning & budgeting platform – between residents and commercial interests

A p p e n d i x 4 45 1. Through negotiation 2. In a democratic polity, if an issue needs to be put to vote, then by vote, if needed by secretary ballot. (Ramnath Jha) 3. Dispute solution by third party or special committee set up independently (Dinesh Awasthi) 4. Municipal Authorities may be designated or they may designate an independent agency for this purpose. (Alkesh Sharma) 5. The platform should ensure that the grievances of both the sides are brought forward. While resolving such issues, the platform should take into consideration the sensibilities and interests of the residents. However, this should not lead to unfair discrimination of the party/ies with commercial interests. (N. Gitkumar Singh) h) Conflict resolution and negotiation between platforms for citizen’s participation and the municipality

1. The representative to act as the link between the two, and pursue the process. (Mukesh Kanaskar) 2. The arbiter could be a regulatory authority or the Government. (Ramnath Jha) 3. Separate Adhoc Cpmmittee/ Court. (Dinesh Awasthi) 4. This has to be done through mutual discussions with the authorities concerned and if necessary District Magistrate may be involved in this case. (Alkesh Sharma) 5. Debate (Manorama D. Sharma) 6. If any conflict arises between the platform and the municipality, such issues should be brought to the notice of the concerned ward councillor, who is also the chairman of the ward committees in his ward. The councillor has to raise the matter at municipality level and a solution is to be worked out/ negotiated. (N. Gitkumar Singh)

46 RESPONSES TO PART 3 OF QUESTIONNAIRE - ( RELATIONSHIP TO THE GOVERNMENT ) Appendix 4a

Urban Issues

Appendix 4a 47 Appendix 5

GOVERNMENT OF KARNATAKA

NO:RDP:222:GPA:2001dated 10th October 2001. (d) Fourth Quarter’s Meeting : January - February

Karnataka Government Secretariat, 2. Subjects to be taken up in Grama Sabha meetings: Multistoried Building, Bangalore, The following shall form part of the agenda that shall be taken up for discussion in the above four Grama Sabha CIRCULAR meetings. I. First Quarter’s Meeting: Sub: Guidelines for the conduct of the Grama Sabhas. •• Consideration and review of progress of previous year programmes; The cornerstone of any system of decentralized governance •• Approval of the Annual Plan of Grama Panchayat; is people’s participation, which becomes meaningful only if •• Finalization of Beneficiaries list for all the Beneficiary they are empowered. A well functioning institution of Grama oriented Programmes; Sabha is an essential institutional mechanism for ensuring people’s empowerment. Thus, the ideals of decentralization II. Second Quarter’s Meeting: rests on the foundation of a vibrant institution of the Grama • Review of the work in the first quarter of the year; Sabha. III. Third Quarter’s Meeting: Section (3) of Karnataka Panchayat Raj Act 1993 makes it •• Consideration of the report of the Panchayat Jamabandi, mandatory for the Grama Panchayats to convene Grama which would have been completed by September 15th Sabha at regular intervals. Several guidelines have been as per the existing guidelines; issued in the past regarding the conduct of Grama Sabhas; •• Action taken on the points mentioned in the Panchayat the latest being circular No. RDP.41.GPA. 99-dated 26-4- Jamabandi report; 1999. •• Half-yearly review of the approved Annual Plan of Grama Panchayat including monitoring of works; There is a need to empower Grama Sabhas to function •• Review of Demand Collection and Balance; as effective forums for the articulation of people’s needs, prioritization of such needs through the determination IV. Fourth Quarter’s Meeting: of plans and schemes of the Panchayat and as effective •• Initial discussions and Preparatory work for the instruments of ensuring downward accountability of the development of next year’s plan of the Panchayat; Panchayat to their voters. With the above Objectives in view, •• Initiating the process of selection of Beneficiaries; the Government is pleased to withdraw all earlier guidelines •• Revision and Review of New taxes, fees, if any in this regard and issue the following new guidelines to enable smooth and effective conduct of Grama Sabha, in 3. Background work before the conduct of Grama conformity with the Karnataka Panchayat Raj Act 1993 and Sabha: the true spirit of democratic decentralization. Grama Sabhas are to be conducted with adequate notice 1. Frequency of the Grama Sabha and a proper agenda. The background work will have to start sufficiently in advance to ensure this. To this end the The Grama Sabha shall be convened once at every three following instructions shall be strictly adhered to: months as specified below in all the villages of Grama Panchayat:- a. The proposed agenda for any ensuing Grama Sabha (a) First Quarterly Meeting : April- May meeting shall be discussed in a meeting of the Grama (b) Second Quarter’s Meeting : July- August Panchayat convened for the purpose; (c) Third Quarter’s Meeting : October - November b. All elected representatives shall be given a role in the

48 GOVERNMENT OF KARNATAKA organization and conduct of Grama Sabhas and not only •• Representatives of Non Governmental Organizations / the Adhyaksha and Upadhyaksha. Grama Panchayat •• Mahila Mandal / youth clubs functioning in the members are free to conduct meetings within their village; constituency or ward to elicit suggestions regarding beneficiary selection and on schemes and programmes 5. Method of deciding question as a prelude to the Grama Sabha and shall be provided assistance if they so require for the same; a. All matters required to be decided or recommended c. The public notice of Grama Sabha shall be issued at least by Grama Sabha shall be in the form of resolutions to be fifteen days prior to the date of meeting, necessarily passed by majority of the votes of the members present through public announcements and beating of tom-tom, and voting. handouts and posters exhibited on notice board of Grama Panchayat, Gram Chavadi and other conspicuous places, b. The voting shall be ordinarily by show of hands or specifying the time and place at which such meeting is if necessary the presiding authority may resolve that any to be held and the business to be transacted. The time question or class of questions shall be decided by secret and place shall be fixed so as to meet the convenience of ballot. the people, including women and landless labourers; 6. Form of resolution 4. Meetings of the Grama Sabha:- A resolution may be in the form of a declaration or opinion, (a) The quorum for a meeting of the Grama Sabha shall a recommendation, a suggestion, recording of approval or be one-tenth of the total electorate of the village or disapproval, request of an action or a call attention to a hundred members, whichever is less. As far as possible one matter or situation for consideration of the Grama Panchayat. third of the members present shall be women and Scheduled Caste and Scheduled Tribe members shall be 7. Minutes of proceedings represented in proportion to their population. a. The proceedings of meetings shall be kept in Kannada and read over and recorded by the Panchayat Secretary (b) The Adhyaksha, Upadhyaksha and all Panchayat members in a book provided for this purpose, which shall be signed shall attend the Grama Sabha. The Adhyaksha of the by the Presiding Authority. A proper record of the members Grama Panchayat shall convene and preside the Grama of the Grama Sabha, Grama Panchayat and Officers Sabha. present shall also be made in the proceedings book. (c) All the Grama Sabhas shall be attended by the Panchayat b. The Secretary shall forward the copies of all decisions, Secretary. If it appears to the convener that the attendance recommendations and suggestions to the Grama of any other official of the Panchayat is desirable at the Panchayat, meeting, the Convener shall by a letter addressed to such officer request that officer to be present at the meeting 8. Documentation and the officer shall attend the meeting. In particular the following officers may be required to participate in • Wherever possible, photography record of the meeting the meetings of the Grama Sabha. may be kept. •• Headmasters of the schools situated in the village; •• Chairman of School Betterment Education Committee; (S.L.GANGADHARAPPA) •• Medical Officer of the concerned Primary Health Principal Secretary to Government, Center Rural Development & Panchayath Raj Deptt. •• Veterinary Doctor or Veterinary Assistant of the concerned Veterinary dispensary; To: •• Manager of the concerned commercial Bank or Regional 1. All the Chief Executive Officers of Zilla Panchayat Rural Bank; 2. All the Executive Officers of Taluk Panchayat •• Concerned Agricultural Assistant of the Assistant Agricultural Officer; Copy to: •• Concerned Village Accountant and the Revenue 1. Private Secretary to Minister for Rural Development & Pan.Raj Inspector; 2. Private Secretary to State Minister for Rural Development •• Anganawadi workers; & Pan.Raj •• Chairman of Neeru Panchayat or Village Water and sanitary Committee; •• Social forestry Official;

A p p e n d i x 5 49 Participatory Governance In Urban India Focus On The Urban Poor

National Core Group on Poverty Ministry of Housing and Urban Poverty Alleviation Government of India, New Delhi

RAMESH RAMANATHAN SUMIT SINGH

NANDITA ARAS JANAKI DIGHE

September 2008

4th Floor, UNI Building, Thimmaiah Road, Vasanthnagar, Bangalore 560 052 Ph: +91-80-4127 7102 / 103 Fax: +91-80-41277104 [email protected] www.janaagraha.org