Formats & Guidelines For Survey and Preparation of Slum, Household and Livelihood Profiles of Cities/Towns
Formats & Guidelines For Survey and Preparation of Slum, Household and Livelihood Profiles of Cities/Towns
Formats & Guidelines For Survey and Preparation of Slum, Household and Livelihood Profiles of Cities/Towns
GOVERNMENT OF INDIA
MINISTRY OF HOUSING AND URBAN POVERTY ALLEVIATION
NATIONAL BUILDINGS ORGANISATION
Formats and Guidelines
GOVERNMENT OF INDIA
MINISTRY OF HOUSING AND URBAN POVERTY ALLEVIATION
(1)
National Buillding Organization
CONTENTS
(2)
Formats and Guidelines
1. Introduction
1.1 The National Buildings Organization (NBO) has been functioning as an apex
organization in the country for collection, tabulation and dissemination of statistical
information on housing and building construction activities. Having regard to the changing
requirements under various socio-economic and statistical functions connected with
housing, construction, slum development, urban poverty alleviation and related activities,
and also to ensure that the schemes of the Ministry of Housing & Urban Poverty Alleviation
(MoHUPA) are supported with appropriate database, MIS and knowledge inputs, the
National Buildings Organization was restructured in March 2006.
1.2 The restructuring has assumed special significance in the context of the Jawaharlal
Nehru National Urban Renewal Mission (JNNURM), launched on 3rd December 2005.
JNNURM is the single largest initiative ever launched in the country to address the issues
of urban infrastructure and basic services to the urban poor. The Mission will be implemented
over a period of 7 years (2005-2012). The Government of India has committed Additional
Central Assistance to States to the tune of Rs.50,000 Crore. The National Buildings
Organisation is designated by MoHUPA as the nodal agency for coordination of appraisal,
sanction, monitoring and review of projects under Basic Services to the Urban Poor (BSUP)
and Integrated Housing & Slum Development Programme (IHSDP) components of
JNNURM.
1.3 In view of the restructured role of NBO and the launching of JNNURM, it has been
decided that NBO will coordinate the conduct of various types of socio-economic surveys
required for the effective implementation of JNNURM and other urban poverty alleviation
programmes and preparation of statistical profiles on aspects relating to urban poverty,
slums, housing, construction, projects taken up under JNNURM etc. at State and National
levels.
2. Imperatives of JNNURM
2.1 JNNURM comprises two broad segments, namely (i) the Sub-Mission on Urban
Infrastructure and Governance and (ii) the Sub-Mission on Basic Services to the Urban
Poor (BSUP) covering 63 identified mega, metro, capital and cities of heritage and
historical importance. The other cities and towns in the country are covered under the
Urban Infrastructure Development Scheme for Small and Medium Towns (UIDSSMT) and
Integrated Housing and Slum Development Programme (IHSDP). The Ministry of Housing
& Urban Poverty Alleviation (MoHUPA) is the nodal Ministry for BSUP and IHSDP which
cater to housing and basic amenities for the urban poor, especially slum dwellers.
(1)
National Buildings Organization
2.2 The Basic Services to the Urban Poor (BSUP) and Integrated Housing & Slum
Development Programme (IHSDP) aim at the integrated provision of the following basic
amenities and services to the urban poor and slum-dwellers:
Education, health and social security are to be provided through convergence of existing
universal services of the Government. Care should be taken to see that the urban poor are
provided housing near their place of occupation. Securing effective linkages between
asset creation and asset management is a must to ensure optimal outcomes from the use
of JNNURM and other resources.
2.3 JNNURM aims at achieving the following outcomes at the end of the Mission period
by the Urban Local Bodies:
• Modern and transparent budgeting, accounting, financial management systems,
designed and adopted for all urban services and governance functions;
• City-wide framework for planning and governance will be established and become
operational;
• All urban poor people will have access to a basic level of urban services;
• Financially self-sustaining agencies for urban governance and service delivery will
be established, through reforms to major revenue instruments;
• Local services and governance will be conducted in a manner that is transparent
and accountable to citizens;
• e-Governance applications will be introduced in core functions of ULBs resulting in
reduced cost and time of service delivery processes.
• Earmarking at least 20-25% of developed land in all housing projects (both public
and private Agencies) for EWS/LIG category with a system of cross-subsidization;
(2)
Formats and Guidelines
• Internal earmarking within local body budgets for basic services to the urban poor,
eventually leading to the establishment of Basic Services to the Urban Poor Fund;
and
These reforms are to be undertaken in conjunction with other reforms aimed at creating
an enabling framework for good urban governance for the sustainable development and
effective management of cities and towns and eradication of urban poverty.
2.5 The essence of the above reforms are: (i) the urban poor should be enabled to
have access to land and not squeezed out of land market in the face of sky-rocketing land
prices; (ii) all basic services have to be provided to the urban poor based on agreed
milestones and deliberately planned efforts to develop “inclusive” cities; and (iii) a dedicated
budget/fund be created at the city/state level to ensure steady flow of resources for urban
poverty alleviation and slum upgradation, including provision of land and housing to the
poor.
2.6 JNNURM provides a new hope for the urban poor, including slum-dwellers and
disadvantaged sections of the urban society. The 11th Five Year Plan has adopted inclusive
growth as the new paradigm of development in the country for the next 5 years. The Plan
recognizes that economic growth must include focus on employment, income generation
and inclusion of the poor to be sustainable. In the context of achieving the goal of inclusive
growth, reforms are emphasized at the State and Urban Local Body levels under JNNURM
to plan and achieve a vision of “inclusive” cities. The Ministry of Housing & Urban Poverty
Alleviation has already launched a national campaign for slum-free and poverty-free cities/
towns under which every city/town would prepare and implement a time-bound action plan
for the provision of basic minimum amenities and affordable housing to the urban poor.
.
2.7 JNNURM and programmes for urban poverty alleviation such as Swarna Jayanti
Shahari Rozgar Yojana have to be implemented in convergence with other Government of
India initiatives. The issues of quality healthcare, primary education, social security and
the like will have to be addressed in conjunction with the provision of basic physical
amenities in slums and low-income settlements by converging programmes to reduce
urban poverty with the schemes of Health Mission, Sarva Siksha Abhiyan, Aam Aadmi
Bima Yojana, Rashtriya Swasthya Bima Yojana, Prime Minister’s Employment Generation
Programme etc. Hon’ble Prime Minister of India has addressed all the State Chief Ministers
in the country to accord priority to improving the conditions of the poor in cities and towns.
Hon’ble Minister for Housing & Urban Poverty Alleviation has also written to Chief Ministers
of all States in the country to develop vision of Slum-free Cities and Towns, design and
implement a time-bound action plan to provide all basic services to the urban poor in
each city/town. The preparation of municipal level action plans will require a considerable
amount of data. (3)
National Buildings Organization
3. Survey Objectives
3.1 The Ministry of Housing and Urban Poverty Alleviation (MoHUPA), along with its
attached office, namely the National Buildings Organization, are engaged in design,
implementation, monitoring and evaluation (DIME) of a variety of programmes and schemes
pertaining to urban poverty alleviation. The advent of JNNURM has led to a realization that
the data base for undertaking such a huge programme like JNNURM is grossly inadequate.
JNNURM calls for the preparation of City Development Plans (CDPs) and meaningful
development of CDPs requires a strong data base. In the absence of adequate and reliable
data, the CDPs of cities and towns already prepared after the launching of JNNURM have
not adequately addressed the concerns of the urban poor, especially slum-dwellers. The
Ministry of Urban Development and the Ministry of Housing & Urban Poverty Alleviation
are currently undertaking an exercise for the preparation of second-generation CDPs.
3.2 For the effective implementation of JNNURM and other programmes like Swarna
Jayanti Shahari Rozgar Yojana (SJSRY), a large amount of data pertaining to the state of
urban poverty and slums in various parts of the country needs to be collected. Given the
enormity of the Mission and the magnitude of the issues posed by the multiple dimensions
urban poverty in India, a need is perceived to systematize the data collected for effective
design, implementation, monitoring and evaluation of schemes. The data is also proposed
to strengthen the central statistical systems pertaining to urban poverty, slums and housing
for a better understanding of the issues for dissemination at local, provincial, national and
international levels.
3.3 The implementation of both projects and reforms under JNNURM calls for support
to Central and State Governments and Urban Local Bodies by way of data base, MIS,
action research and capacity building. There is a need for the development of a national
information system and knowledge base with focus on urban poverty for the purpose of
planning, policy-making, project formulation, implementation, monitoring and review,
especially in the areas of slum development, provision of basic services to the poor, and
affordable housing. This is in consonance with the objective of the 11th Five Year Plan
which has adopted ‘inclusive growth’ as the key development paradigm for the country.
3.4 It is essential that for statistical, administrative and other reasons, the data relating
to urban poverty, slums, livelihoods, delivery of civic amenities and housing to the poor
are collected and collated at a single source. State Governments and Urban Local Bodies
have been conducting their own surveys and maintaining data base. However, such data
lacks broad uniformity across the country.
3.5 In this background, it has been decided to provide part financial support to the
State Governments/ULBs for the development of Slums, Urban Poverty and Livelihoods
Profiles including socio-economic surveys under the 1% JNNURM funds and Plan Scheme
of Urban Statistics for HR & Assessments (USHA), being implemented by NBO.
(4)
Formats and Guidelines
4.1 The specific role and responsibility of the Urban Local Bodies (ULBs) will include,
but not be limited to:
a. Preparation of work plan, design and development of survey.
b. Work plan must clearly indicate tangible deliverables from each of the tasks assigned
along with the time frame.
c. Seeking validation and approval of competent authority of the State Government/
SLNA.
d. Quality assurance and testing of datasets created using approved formats, including
sampling size, criteria, coverage and measure of representative nature of sample,
logical strength of findings, exceptions etc.
e. Maintenance of the data base on slum, poverty and livelihood profiles.
f. Facilitate processes to ensure that the requirements of urban poor are adequately
reflected with supporting database in the City Development Plans (CDPs) prepared
by the city.
g. Facilitate processes to ensure that the requirements of urban poor are adequately
reflected with supporting database in the DPRs prepared by cities under JNNURM
(BSUP & IHSDP).
h. Management of funds received from Central and State Government for the purpose
i. Submission of utilization certificates in the format as prescribed by the Ministry
4.2 The formats of the slum, poverty and livelihood profiles to be undertaken by the
ULBs are annexed.
5.1 National Buildings Organisation, Ministry of Housing and Urban Poverty Alleviation
will provide a one time grant-in-aid for the development of slums, urban poverty and
livelihoods profiles including socio-economic surveys to the State Governments / Municipal
Corporations, Municipalities and District Administration selected for Basic Services to
Urban Poor (BSUP) and Integrated Housing & Slum Development Programme (IHSDP)
in this First Round of National Survey. This one-time grant to State Governments / UT
Administrations will be at the following scales:
• Rs.10 lakhs per city for cities with population more than 4 million,
• Rs. 7 lakhs per city with population between 1 and 4 million,
• Rs.5 lakhs per city for cities with population between 5 lakh and 1 million,
(5)
National Buildings Organization
• Rs.3 lakhs per city for cities with population between 1 lakh and 5 lakhs and
• Rs.2 lakhs per city for cities with population less than 1 lakh
5.2 The costs will be fully met under Urban Statistics for HR & Assessments (USHA)
scheme being implemented by NBO. Additional amounts, required if any, will have to be
met by State Governments/Urban Local Bodies which have been undertaking surveys
from time to time with their own funds – without any support from the Government of India
so far. The present support under USHA is meant to incentivise the development of a
national information system.
6. Selection of Cities
State Government will be supported for the development of slum, urban poverty
and livelihoods profiles for all the 63 identified cities under JNNURM (BSUP) and other
cities/towns covered under IHSDP as selected by the State Governments, in a phased
manner. The selection will be made by the State Level Nodal Agency for JNNURM/
Department dealing with Municipalities. In case of States where the nodal agency is located
outside the Municipal Administration/Local Governments, coordination is a must with the
Department dealing with Urban Local Bodies.
7. Components Admissible
7.1 The support from Ministry for the ULBs/District Administration (in case of States
which are implementing JNNURM projects with agencies other than Urban Local Bodies)
would be limited to:
7.2 The following items are ineligible for support from NBO under USHA:
The above items and other administrative costs will have to be borne by the State
Government/Urban Local Body concerned.
(6)
Formats and Guidelines
8. General Instructions
8.1 The State Department in charge of Municipalities/ Urban Local Bodies or State
Level Nodal Agency for JNNURM (BSUP/IHSDP) will coordinate the conduct of slum/
poverty/livelihood surveys in cities and towns. In case the SLNA is located in a Department
other than that dealing with Urban Local Bodies, a coordination mechanism should be in
place with the assignment of a central role to the Urban Local Bodies (ULB). Every City/
Town covered under the survey will designate a Nodal Cell (drawing personnel from Urban
Community Development departments) for the purpose of survey with a team of supervisors
headed by the Municipal Commissioner / Chief Executive of the City/Town. The resource
persons engaged under the Project Implementation Unit (PIU) / UPA Cell in the ULB could
be assigned the tasks of conducting training programmes / administering the surveys and
providing technical support to the team. At the Central level, Director (NBO) will be the
overall in charge officer for the conduct of the three surveys across the country. At the State
level, the concerned Nodal Agency / Department will identify a senior officer who will be in
charge of coordinating with Director (NBO) and guiding the conduct of surveys in the
State, compiling survey information and sending the required details to the Government of
India. The Municipal Commissioner / Chief Executive of the city will be responsible for the
actual conduct of surveys at the city/town level.
8.2 The survey should be participatory duly involving community structures like NHGs,
NHCs & CDS and reputed NGOs working in the area.
8.3 Each supervisor will head a team consisting of 5-10 investigators/ surveyors
depending upon the population and area to be covered for the survey. The supervisor will
be responsible for timely and accurate canvassing of schedules and will frequently visit
the field for random inspections. It shall be the duty of the supervisor to scrutinize the
information collected by the investigators and make the necessary corrections, if any.
Once vetted/approved by the supervisor, the PIU / UPA cell/nodal cell in the municipal
authority will compile the information recorded in the schedule.
Coverage:
Part A
Part A of the schedule contains general information of the City/town covered under the
survey. Part A of the schedule will be filled by the nodal cell in the municipal authority.
State code: Each state has been assigned a State specific code in the Census
2001, the same code has to be used in this survey.
District code: The District code will be the one used in the Census 2001 for the District
where the city is located.
City/Town code: The City/Town code will be the one used in the Census 2001.
Part-B
Part B of the schedule contains the general information of slums located in the city/town/
ULB. The information will be filled in by the nodal cell in Urban Local Body for conduct of
the survey in the municipal area.
Ø A spatial/sketch map of the City/Town/ULB with location of every slum will be drawn
indicating the location of the particular slum under survey.
Part- C
Comments by other supervisory officer: The views of the supervisory officer on any aspect
pertaining to the characteristics under enquiry in this schedule relating to the household
may be recorded in this block.
(8)
Formats and Guidelines
Slum code: A 3-digit unique code for each slum will be generated by the Urban Local
Body responsible for conducting the survey.
Information on each slum, notified or non-notified, located within the boundaries of the
City/Town/ULB will be collected through Annexure-I. This schedule is meant for recording
of some broad information about the particular slum.
The information is to be collected by interviewing one or more knowledgeable persons.
Information for most of the items is to be recorded in code. If more than one code is
applicable for any particular item, then the code which applies to the major part of the
slum will be recorded. Information like Name, Area, Notified, Non-notified, Date of
notification of the slum, Ownership or land where slum is located, Type of Area surrounding
the Slum, Whether located in Core City/Town or Fringe area, Physical location of Slum,
Whether the Slum has Electricity, Dwelling Units Structure (for Majority of Houses), Approach
Road/Lane/Constructed Path to the Slum, Distance from the nearest Motorable Road,
Internal Road, Major Source of Drinking Water, Latrine Facility used by most of the
Residents, Type of Drainage system, Does the Slum have Underground Sewerage System,
Garbage Disposal Arrangement, Frequency of Garbage Collection, Location of Pre-
primary School, Location of Primary School, Existence of Adult Education Centre, No. of
Adult Education Centres, Non-Formal/vocational Training Institutions, Existence of Health
Facilities, Distance of Health Facilities, Availability of Facilities within the Slum and Self-
help Groups/ Slum Dwellers Association in slum, etc. will be recorded using the codes
given under each item. Since all the items are self explanatory, further instructions for
each item are not required.
Coverage: Information for every household located within the boundaries of the particular
slum area under survey will be collected through Annexure-II.
Head of the Household: The head of the household is a person who is recognized as
such by the household. He/she is the person generally who bears the chief responsibility
for managing the affairs of the household and need not necessarily be the principal earning
member of household.
(9)
National Buildings Organization
Coverage: Information for every member of the household under survey will be collected
through Annexure-III.
The National Buildings Organisation will develop a suitable tabulation plan for entering
the data collected, compiling and collating the same. NBO will develop an e-tool with the
participation of select State Governments so that State-wise uniformity can be maintained
and a national information system can be developed. Director (NBO)/Deputy Director
(Data & MIS) in NBO will render assistance to states in the preparation and implementation
of tabulation plans.
(10)
Formats and Guidelines
ANNEXURE
Government of India
Ministry of Housing & Urban Poverty Alleviation
(National Buildings Organisation)
……..
[Attention: Shri D. S. Negi, Director (NBO) & OSD (JNNURM, Room No.210,
Nirman Bhavan, New Delhi -110108,Tel. No. 011- 23061692, Fax No. 011-23061542,
Email: dpsnegi@yahoo.co.in ]
(For all clarifications & submission of data please contact the above address)
(11)
National Buildings Organization
PART- A
PART-B
Notified Slums
Sl. Name Ownership Area Slum No. of BPL No. of
No. of Slum of Land in Sq. Popula- Slum Popula- BPL
where slum Kms tion House- tion House-
is located* holds holds
Total - -
Non-Notified Slums
Sl. Name Ownership Area Slum No. of BPL No. of
No. of Slum of Land in Sq. Popula- Slum Popula- BPL
where slum Kms tion House- tion House-
is located* holds holds
Total - -
Grand - -
Total
* Public: Local Body -01, State Government - 02, Central Government – 03;
Private – 04, Other - 05
(12)
Formats and Guidelines
(13)
National Buildings Organization
PART-C
Investigator/Surveyor Supervisor
7. Name
8. Date(s) of DD MM YY DD MM YY
(a) Survey
(c) Scrutiny
9. Signature
(14)
Formats and Guidelines
Annexure-I
Slum Survey/Profile
(Enclose Map of the Slum being surveyed)
1. Name of Slum
Dwelling Units
With Electricity
Dwelling
Units Nos.
(17)
National Buildings Organization
(18)
Formats and Guidelines
20. Sanitation
Latrine Facility used by the households
Public/Community Shared Own Latrine Open
Latrine Latrine Defeca-
Septic Service Pit Septic Service Pit Septic Service Pit tion
tank/ latrine tank/ latrine tank/ latrine
flush flush flush
No.
of
H.Hs
b. Municipal pre-school
c. Private pre-school
b. State Government
c. Private
b. State Government
c. Private
Government Hospital
Maternity Centre
Private Clinic
Ayurvedic Doctor/Vaidya
X. Social Development/Welfare
Community Hall
Livelihood/Production Centre
Night Shelter
(21)
National Buildings Organization
(22)
Formats and Guidelines
Annexure-II
1. Name of Slum
3. House/Flat/Door No.
5. Father’s name
7. Caste
[General-01, SC-02, ST-03, OBC-04]
8. Religion
[Hindu-01, Muslim-02, Christan-03, Sikh-04, Jainism-05,
Buddhism- 06, Zoroastrianism-07, Others-49]
Total
(24)
Formats and Guidelines
(25)
National Buildings Organization
(28)
Formats and Guidelines
Annexure-III
Livehoods Survey/profile
I. Details of Earning Members of the Household
1. Earning Members:
Educational qualification (Code): No education – 01, Primary school – 02, Middle school
– 03, Matriculate – 04, Certificate – 05, Diploma – 06, Graduate – 07, Post-graduate –
08, Technical (e.g. Engineering) – 07, Any Other - 49
Skill training acquired (Code): Pre-employment Training – 01, In-Service Training – 02,
Skill Upgradation – 03, Apprenticeship – 04, Soft Skills/Life Skill Programme - 05,
Entrepreneurship - 06, Hereditiary-07, Any Other – 49, No skills training – 99
Type of institution from which skills training acquired (Code): ITI – 01, Polytechnic –
02, Vocational schools – 03, Technical Schools/Institutes – 04, Any Other – 49
(29)
National Buildings Organization
Employment status (Code): Self-employed (01), Salaried (02), Regular wage ((03),
Casual labour (04), Others (05)
Place of work (Code): Within the slum area – 01, Outside the slum area: within distance
Less than 0.5 kms - 02, 0.5 to 1.0 km.- 03, 1.0 km to 2.0 km. - 04, 2.0 km to 5.0 km. -05,
more than 5.0 km-06
Time of work (Code): Whole day- 01, Half day-02, Part time-03, 3 Months in a year- 04,
6 Months in a year-05, Whole year-06
Monthly earning (Code): Less than Rs. 500 – 01, 500 to 1000 – 02, 1000 to 1500 – 03,
1500 to 2000 – 04, 2000 to 3000 – 05, More than 3000 - 06
Skilled Labour: Electrician -11, Electronics gadget repairing – 12, Plumbing – 13, Tailoring
- 14, Weaving – 15, Artisan / craftsman/ handicraft and cottage based production work -16,
Beautician, hairdressing & related work – 17, Driving – 18, Auto repair/motor mechanic
work –19, Mechanical engineering related works – 20, Chemical engineering related works
– 21, Shoe-making/leather-related work - 22, Photography and related work – 23, Work
related to childcare, nutrition, pre-schools and crèche-24, Health and paramedical services
related work - 25, Office related work – 26, Printing related work - 27, Hotel and restaurant
related work - 28, Tourism related activity - 29, Security-related work – 30, Computer-related
work – 31, Creative arts / artists – 32, Laundry related work - 33, Toy-making - 34, Candle-
making - 35, Artificial jewellery -36, Embroidery/knitting - 37, Cooking-38, Bakery - 39, Mason
- 40, Carpenter-41, Painter-42 Food processing/preservation-43
(30)
Formats and Guidelines
Illiterate - 01, Lack of vocation skill - 02, Lack of job opportunity - 03, Disability - 04, Low
wage-05, Lack of capital to invest-06, Loss of earlier job-07, Closure of unit-08, Lack of
work in the enterprise (for self-employed person) - 09, Lack of work in the area (for casual
labour)-10, Lay-off without pay-11, Employer harsh-12, Health hazard-13, Other - 49
(31)
National Buildings Organization
Annexure - IV
Form GFR 19
Deleted
Total
2. Certified that I have satisfied myself that the conditions on which grants-in-aid was
sanctioned have been duly fulfilled / are being fulfilled and that I have exercised the following
checks to see that the money was actually utilized for the purposed for which it was
sanctioned.