UBC Theses and Dissertations

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UBC Theses and Dissertations

The Indian urban slum : myth and reality Malhotra, Deshpal Singh 1972

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THE INDIAN URBAN SLUM: MYTH AND REALITY by DESHPAL SINGH MALHOTRA B .A rch ( H o n s . ) , I n d i a n I n s t i t u t e o f T e c h n o l o g y , I n d i a , 1967 A THESIS SUBMITTED IN PARTIAL FULFILMENT OF THE REQUIREMENTS FOR THE DEGREE OF MASTER OF ARCHITECTURE i n t h e S c h o o l o f ARCHITECTURE We a c c e p t t h i s t h e s i s as c o n f o r m i n g to the r e q u i r e d s t a n d a r d THE UNIVERSITY OF BRITISH COLUMBIA September, 1972" In present ing th i s thes is in p a r t i a l f u l f i lment o f the requirements for an advanced degree at the Un iver s i t y of B r i t i s h Columbia, I agree that the L ib ra ry sha l l make it f r e e l y ava i l ab le for reference and study. I f u r ther agree that permission for extensive copying of th i s thes i s f o r s cho la r l y purposes may be granted by the Head of my Department or by h i s representat ives. It is understood that copying or pub l i c a t i on o f th i s thes i s fo r f i nanc i a l gain sha l l not be allowed without my wr i t ten permiss ion. Department of /^&#IT&<z7cSA& The Un ivers i ty of B r i t i s h Columbia Vancouver 8, Canada Date •§<30b&* 6 ^ i ABSTRACT The population of India i s made up of an i n f i n i t e variety of castes, rel i g i o n s and language groups which have l i v e d side by side i n an i n t r i -cate d i v i s i o n of labor for hundreds of years. Many customs and much of the s o c i a l structure, h i s t o r i c a l l y isolated from modern technological and i n d u s t r i a l developments, have remained essentially unchanged. Such deeply embedded ideologies and patterns of relationship and behaviour do not respond easily to change. The urban centers i n India are a study i n contrast between the old and the new, survival of the r u r a l past and innovations from the West. The vast majority of the inhabitants i n the c i t i e s are recent migrants from r u r a l areas. Although the rate of urbanization i s low, i t neverthe-less involves the movement of large numbers of people because of the high population base of the country. In 1971 the urban population was 108.8 m i l l i o n out of a t o t a l of 548 m i l l i o n . I t has been estimated that i f the present rate of rural-urban migration continues, millions more can be expected to be added to the already overcrowded urban areas. A result of this migration has been the continued growth of the urban slums which receive the bulk of in-migrants and provide them with the only available shelter. The migrant i s ill-equipped to define his role i n the largely a l i e n urban environment; he has responses to his old culture of the v i l l a g e and c o n f l i c t s and tensions within the new urban context. For him i t i s not only a physical survival but also a survival i n the largely a l i e n socio-economic and c u l t u r a l environment. The govern-ment's neglect of these communities has led to th e i r physical deterior-ation and s o c i a l and c u l t u r a l stagnation with the result that once a i i migrant has moved into the slum, he i s forced by circumstances beyond h i s control to l i v e out the rest of h i s urban l i f e i n i t . This study examines the process and patterns of rural-urban migra-t i o n . It outlines the s o c i a l , c u l t u r a l , economic and p o l i t i c a l e f f e c t s of the urban environment on the migrants and i l l u s t r a t e s t h e i r i n a b i l i t y to have any control over the environment i n which they must l i v e . It describes the nature and problems of the Indian slum and points out the inadequacy of the e x i s t i n g government concepts and p o l i c i e s to ameliorate t h i s s i t u a t i o n and the necessity of designing the kind of environment that can cope with the high population and the s c a r c i t y of economic resources. It i s the contention of t h i s thesis that slums are an important feature of the Indian urban environment: they have provided the migrant with the only a v a i l a b l e shelter^ have fostered group associations and have provided many of the e s s e n t i a l ingredients necessary for the ac c u l t u r a t i o n of the r u r a l migrant into the urban environment. It i s the purpose of t h i s study to show that i f the physical environment of the slum can be r e v i t a l i z e d i t then has the p o t e n t i a l to serve as a c u l t u r a l bridge between the urban centers and the t r a d i t i o n a l r u r a l hinterland. In other words, urban slums are envisaged as communities which can function as e c o l o g i c a l , s o c i o l o g i c a l and c u l t u r a l zones of t r a n s i t i o n between the urban environment and the r u r a l areas. Proposals are made for r e v i t a l i z i n g the slum environment and for creating a new organic community for the future migrants to the c i t i e s . There are seven basic conclusions of t h i s study: the f i r s t i s that rural-urban migration i s not only an i n t e g r a l part of i n d u s t r i a l i z a t i o n , urbanization and economic development but also a major means for achieving s o c i a l change. The s o c i a l and c u l t u r a l differences between the urban centers and the r u r a l areas can be bridged through the processes of the shuttle and reverse patterns of migration. The second conclusion i s that under conditions of rapid moderniza-tion and urbanization, slums are functional and i n this sense normal. The problem l i e s not i n the existence of these settlements but i n the fact that they are uncontrolled and that their forms are often distorted. The third conclusion i s that existing government po l i c i e s on low-income housing and slum clearance are c l e a r l y inadequate to deal with the problem. A l l prevailing ideas of slum clearance as a solution to the problem should be abandoned. The fourth conclusion i s that any solution intended for the improve ment i n the standard of l i v i n g of the slum dwellers must be commensurate with the limited economic resources of the country. The f i f t h conclusion i s that any comprehensive program aimed at improving the environment of the slum must be based on the resources most readily available - the labor of the community dwellers themselves. The objective should be the encouragement and stimulation of l o c a l community participation. The sixth conclusion i s that any housing program for the low income slum dwellers must benefit large numbers of people. I t follows, therefore that for any slum housing program the t o t a l community l i v i n g environment is the c r i t i c a l variable and NOT the individual housing unit. The seventh and f i n a l conclusion i s that a l l possible housing stock i n the slums must be preserved. Government po l i c i e s must be directed towards expanding the t o t a l housing'stock and NOT towards replacing slum housing with standard public housing. i v TABLE OF CONTENTS CHAPTER PAGE I. PATTERNS OF RURAL-URBAN MIGRATION . . . . . . 1 Introduction . . . . . . 1 Causes of Migration 4 Scope of Migration . 7 Migration D i f f e r e n t i a l s . 14 Patterns of Migration . . . . . . . . . 16 Conclusions . . . . . . . . . . . 21 Notes to Chapter I . . . . . 24 I I . THE MIGRANT IN' THE URBAN ENVIRONMENT . . . . . . . . . . . . . 26 Introduction . . . . . .-. . . . . . . . . . . . . ... . . . 26 The City and the Slum . . . . . . . . . . . ... . . . . . . 32 Culture of the Slum . . . • . . . . . . . . . . 53 Summary and Conclusions . . . 62 Notes to Chapter II . . . . . . . . . . . . . . . . . . . . . 66 I I I . ANALYSIS OF PREVAILING CONCEPTS OF SLUM MANAGEMENT . . . . . . . . . . . . . • 6 8 Introduction .*. . . . . . . . . . . . . . . . . 68 The Government P o l i c y on Public Housing . . . . . . . . . . 69 The Concept of Slum Clearance . . .-. . . . 74 The Concept of Providing Welfare Services and Greater Opportunity for the Slum Dwellers . . . . . . . 80 Summary and Conclusions - 84 Notes to Chapter III 89 V CHAPTER PAGE IV. THE URBAN SLUM: CONTINUITY AND CHANGE . . . . . . 91 Introduction 91 Presuppositions f o r R e v i t a l i z i n g the Bustee Environment . . . . . . . . . . ... . . ... . . . 93 R e v i t a l i z i n g the Bustee Environment: Towards a New Organic Pattern 104 Urban V i l l a g e : A Shelter Program for \\ the Future Migrants . . . . . . . . ... . . . . . . ... . . 117 Summary and Conclusions 124 Notes to Chapter IV 127 BIBLIOGRAPHY . . . . . . . . . . . . . . ... . . . . . 128 / v i ILLUSTRATIONS GRAPHS P A G E I. The Public Sector Housing Gap 73 PLATES I. T y p i c a l Katra. Jama Masjid, Delhi -.• 45 I I . Inter-mixture of Incompatible Land-Uses in a Typical Residential Area. Jama Masjid, Delhi . . . . . . . 46 I I I . Typical Bustee. Motia Khan, Delhi . . . . . . . . . . . . . 47 IV. Lane as an Extension of the Individual Housing Unit. Motia Khan, Delhi . 48 V. Community Water Tap. Motia Khan Bustee, Delhi . . . . . . . . . . . . . 49 VI. Community School. Subjimandi Bustee, Delhi . . . . . . . . . . . . . . . . •. . 50 VII. Commercial Land-Use i n a Residential Area. Subjimandi Bustee, Delhi . . . . 51 VIII. Small Scale Industry i n a Residential Area. Ajmeri Gate Bustee, Delhi . . . . . . . 52 SCHEMATICS 1. Process and Patterns of Migration 18 2. The Migrant i n the Urban Environment 30 3. The Migrant i n the Urban Environment: Process of Acculturation . . . . . . . . . . . . . . . . . . 61 4. Pre-suppositions for R e v i t a l i z i n g the Bustee Environment . . . . . . . . . . . 95 5. Housing Cluster and Mohalla . -. • 107 6. Residential Unit and Neighborhood . . . . . . . . 108 TABLES I. Population Growth and Projections for India, 1921-1976 . . . 8 v i i TABLES PAGE I I . Population Growth of Major Metropolitan C i t i e s i n India During 1931-1971 . . . 9 I I I . Estimated Size of the Ten Major C i t i e s i n India i n the Year 2000 10 1 CHAPTER I PATTERNS OF RURAL - URBAN MIGRATION IN INDIA I. INTRODUCTION Urbanized societies i n which a majority of the people l i v e crowded together i n towns and c i t i e s represent a new and fundamental step i n India's so c i a l evolution. Although c i t i e s themselves f i r s t appeared some 5500 years ago, at that time they were small and the overwhelming majority of the people l i v e d i n the surrounding r u r a l areas. The urban-ized societies of today not only have urban agglomerations of a size never before attained but also have a high proportion of thei r population concentrated i n such agglomerations. The eleven largest c i t i e s of India contain 31.6 m i l l i o n people (as per the 1971 census) or approximately one-third the t o t a l urban population. In addition, the population of these urban centers i s growing at an extremely rapid rate. The large and dense agglomerations comprising the urban population involve a degree of human contact and of so c i a l complexity never before experienced i n the Indian context. A discussion of urbanization i n India i s fundamentally a discussion of net r u r a l to urban migration. An analysis of the forces that underlie urbanization i s also an analysis of the migration stimulating effects of various demographic, economic and s o c i a l forces which are at work. Urbanization usually i s said to be taking place when the proportion of t o t a l population that i s residing i n places defined as urban i s increas-ing, or when urban population i s growing at a faster rate than the average rate of growth for the country. 2 K.C. Zachariah-- points out that an analysis of a l l urban population growth reveals that i t has two components: ( i ) Reproductive change or natural increases; which i s the excess of b i r t h s over the deaths. In India today the rate of repro-ductive change i s approximately the same i n the urban and r u r a l areas. In f a c t , i n the c i t i e s death rates may tend to be lower than i n the r u r a l areas but b i r t h rates also tend to be lower, so that the rate of growth of population of urban and r u r a l areas from the process of reproductive change i s roughly the same. Thus, very l i t t l e urbanization can be said to take place by the v i t a l processes alone. ( i i ) Net migration of people from the r u r a l to the urban areas."*" It Is the purpose of t h i s chapter to i l l u s t r a t e that since the process of reproductive change i s not the mechanism f o r urbanization, r u r a l to urban migration i s by far the most important component of urbanization i n India today. Although the rate of urbanization i n India i s one of the lowest of any major country i n the world, i t nevertheless involves the movement of large numbers of people because of the very high population base (548 m i l l i o n according to the 1971 census). A migration of even a small percentage of t h i s enormous population can mean the addition of m i l l i o n s of people to the already overcrowded Indian c i t i e s . Within the urban areas natural increase i s taking place at the rate of 1.5-2.0 per cent per year. Since the urban population i n 1971 was estimated to be 108.8 m i l l i o n , the process of reproductive change at the'present rate would mean the addition of 80 m i l l i o n b i r t h s during the next twenty-five years at a time when the death rate i s d e c l i n i n g . Migration i s expected to add m i l l i o n s more. Urbanization i s a c r i t i c a l process i n the development of modern India. H i s t o r i c a l l y , a l l complex and advanced Indian c i v i l i z a t i o n s have 3-sprung from the c i t y , and i n the contemporary world urban l i f e i s the dynamic basis for most of the a c t i v i t i e s and processes that we associate with modernity and s o c i a l and economic progress. Therefore, any system-a t i c effort to transform the t r a d i t i o n a l Indian society into a modern nation must envisage the development of the c i t i e s and modern urban societies. Urbanization i s also a profoundly disruptive process. In nearly a l l t r a n s i t i o n a l societies the early emergence of the urban centers has produced a fundamental cleavage between the separate worlds of the more modernized e l i t e s and the more t r a d i t i o n a l and village-based people. In the psychological sphere the rapid t r a n s i t i o n from the compact and intimate world of the v i l l a g e to the highly impersonal and anonymous world of the c i t y can leave people with deep personal i n s e c u r i t i e s . Thus, i n a multitude of ways urbanization can cause s o c i a l , economic and psychological divisions and tensions which, translated i n the p o l i t i c a l sense, can become sources of i n s t a b i l i t y and obstruct effective nation building. Both the v i t a l r o l e of urbanization and i t s potentially disruptive consequences create enormous and perplexing problems for those formu-l a t i n g public p o l i c i e s . The simple formula of al l o c a t i n g more funds, energy and resources may be appropriate for coping with most problems of development, but no easy solutions are possible with respect to issues related to housing the r u r a l migrants i n the urban environment. Unfortunately, i t i s extremely d i f f i c u l t to achieve any sort of sound p o l i c i e s because there i s so l i t t l e accurate information and knowledge about both the dynamics of the urbanization process and the 4 motivations of the migrants who swell the c i t i e s and become the objects of public concern. The lack of r e l i a b l e knowledge has often led to con-fused and contradictory impressions about the migrants. Policy makers i n many instances view the new a r r i v a l s to the c i t y as ru s t i c s and simple souls who require l i t t l e attention and few public services, and see them as an anonymous,-, a l i e n mass separate from the rest of the urban society. The current surge of people to the c i t i e s seems to be quite d i f -ferent from the old style urbanization of B r i t i s h India, p a r t i c u l a r l y with reference to the migrants and t h e i r o b j e c t i v e s . For example, the contemporary stream flows with enormously large numbers of people; i t involves migrants coming into the c i t i e s with new types of relationships, not just as domestic servants but as potential factory workers; not just for an interim period of time, but for permanent settlement. I I . CAUSES OF MIGRATION Who i s a migrant? In ordinary parlance the word migration means the movement of individuals or groups from one place of abode to another or from one country to another. For the sake of c l a r i t y the in t e r n a l movement of peoples within t h e i r own country from one region or place ( v i l l a g e , town or c i t y ) to another i s sometimes referred to as in-migration or internal migration.^ For the purposes of convenience we w i l l speak of migration and other derivative words to refer to the internal migration of individuals or groups from one place or region to another. Very l i t t l e i s known about the factors which impel residents of r u r a l areas to make their way into the c i t i e s . There i s a great deal of 5 controversy as to whether they are "pushed" towards the urban areas because of circumstances over which they have no control or whether the compelling reason for moving to the urban areas i s the " p u l l " which the urban area exerts over those who l i v e elsewhere. The "push" versus " p u l l " controversy i s d i f f i c u l t to d i f f e r e n t i a t e . However, i t i s quite apparent that both the "push" and the " p u l l " factors have a sig n i f i c a n t impact upon the patterns of migration of the r u r a l population into the urban areas. Gerald Breese points out that among the factors which constitute the "push" that forces r u r a l residents to migrate must be included the following: (i ) Overpopulation i n r u r a l areas which has implications i n terms of available food or opportunities for work. ( i i ) Too l i t t l e opportunity for securing land that can be worked upon to produce a l i v i n g . ( i i i ) Reduced opportunities i n government and business which may not expand at a rate required by the increase i n r u r a l population. (iv) Among people whose f a m i l i a l bonds are loosening. Among the factors which constitute the " p u l l " that encourages the ru r a l residents to migrate to urban areas must be included the following: (i ) The economic opportunities which are present i n the urban areas. ( i i ) The variety of environments i n the target area. ( i i i ) The di v e r s i t y among people i n the target area. (iv) The reduction i n the cost of intervening obstacles, e.g. distance.-' Breese goes on to say that there may be a sense of r e l a t i v e depri-vation which arises i n r u r a l areas once the inhabitants recognize that there are other, notably urban, areas where they might l i v e and presumably where l i v i n g standards are higher than those they are accustomed to i n the v i l l a g e . Rural residents want more of what the c i t y has to o f f e r and they view with great i n t e r e s t the reportedly higher incomes and access to other f a c i l i t i e s i n the c i t y . They also view with i n t e r e s t the greater freedom from the r e s t r a i n t s of the caste system i n urban areas i r r e s p e c t i v e of the fact that these expectations may be f a l s e . The lure or " p u l l " of the "great" c i t y i s generated p a r t l y from experiences such as these and p a r t l y from "feedbacks" about the benefits of l i f e i n the c i t y , i r r e s p e c t i v e of t h e i r a t t a i n a b i l i t y . Better roads, systems of communication, reverse migration, government representatives moving through the countryside and other s i m i l a r influences have much to do with the nature and q u a l i t y of feedback to r u r a l areas from the c i t y and the d i f f e r e n t i a l sorting out of claimed advantages. Donald J . Bogue and K.C. Zachariah i n t h e i r study on the patterns of migration i n India come to the conclusion that: (i ) Rural to urban migration i n India i s not n e g l i g i b l e , but i s a very widespread phenomenon. ( i i ) Streams of migrants are flowing not only towards the very largest c i t i e s but also to hundreds of smaller s i z e and medium si z e c i t i e s i n a l l regions, except those adversely affected by p a r t i t i o n . ( i i i ) Although o r i g i n a l l y t h i s migration may have had some aspects of a pioneering movement, comprised predominantly of males, the 1941-51 decade witnessed the removal to the c i t i e s of almost as many women as men. (iv) There i s l i t t l e evidence of reluctance on the part of the v i l l a g e r s to seek t h e i r fortunes i n the c i t y . In f a c t , the unemployment data suggest that they crowd into the c i t i e s looking for work. Very possibly, unemployment i n the c i t i e s rather than the r e s t r i c t i v e e f f e c t of c u l t u r a l t r a d i t i o n i n the v i l l a g e s , i s the major brake upon the r u r a l - urban migration at the present time. (v) This upswing i n urbanward migration probably i s a f a i r l y recent 7 phenomenon which began i n the l a t e 1930's. It has now pro-gressed to a point where the residents of almost every v i l l a g e have r e l a t i v e s or fellow v i l l a g e r s l i v i n g i n at l e a s t one (and possibly several) of the major c i t i e s . Family and v i l l a g e t i e s are s u f f i c i e n t l y strong to create an o b l i g a t i o n upon the successful migrant to help sponsor new entrants to the c i t y . With v i l l a g e r s becoming progressively more oriented towards the new urbanized economy, and with migration channels f i r m l y established the nation seems to be a l l set to enter a phase of unprecedented urbanization, a s s i s t e d by p r e v a i l i n g family system and culture rather than hindered by i t . ' 7 I I I . SCOPE OF MIGRATION Although India's urbanization rate has been slow as compared to that of such countries as Japan and the United States, there has been a steady increase i n India's urban population. Kingsley Davis believes that the slow growth rate has been the r e s u l t of a slow rate of past i n d u s t r i a l and economic growth i n India as a r e s u l t of B r i t i s h p o l i c y of r e s t r i c t i n g i n d u s t r i a l development i n the c o l o n i a l areas. 8 In 1921, the urban population was 11.4 per cent of the t o t a l popu-l a t i o n ; i n 1941 13.9 per cent; i n 1951 17.3 per cent; and in.1971 19.8 per cent; or approximately o n e - f i f t h of the t o t a l population of India. As i n d u s t r i a l development i s accelerated there are bound to be r e l a t i v e increases i n the population of the urban areas. Davis estimates (Table III) that by the year 2000, the percentage of the Indian popula-t i o n l i v i n g i n c i t i e s of 20,000 or more inhabitants w i l l have r i s e n to 30.8 per cent, with 21.2 per cent l i v i n g i n c i t i e s which have a population of 100,000 or more. Urban growth has been p a r t i c u l a r l y great i n the larger c i t i e s and t h i s trend w i l l i n t e n s i f y . Table II indicates that i n 1941 only two Indian c i t i e s had populations of more than a m i l l i o n inhabitants, i n 1951 TABLE I POPULATION GROWTH AND PROJECTIONS FOR INDIA 1921-1976 YEAR INDIA POPULATION (million) 1921 251 1931 279 1941 319 1951 361 1961 439 1971 548 URBAN PERCENTAGE 11.4 12.1 13.9 17.3 18.0 19.8 (108.8 million) PROJECTIONS 1976 625 20.3 Sources: ( i ) 1961-Study Group of the Planning Commission (Third Five Year Plan - Notes on Population and Employment, Table I, Column 4, p. 750). ( i i ) 1971 Census of India i n The Hindustan Times July 1, 1972. 9 TABLE I I POPULATION GROWTH OF MAJOR METROPOLITAN CITIES IN INDIA.DURING 1931-1971 NAME OF CITY POPULATION (add 000) 1931 1941 1951 1961 1971 Calcutta Metropol-i t a n D i s t r i c t 2,485 4,054 5,253 6,575 12,250 Greater Bombay 1,303 1,695 2,839 4,152 5,970 Delhi 447 696 1,437 2,344 3,647 Madras 647 777 1,460 1,729 3,170 Hyderabad 667 739 1,086 1,251 1,796 Ahmedabad 314 607 828 1,206 1,741 Bangalore 311 411 786 1,207 1,654 Kanpur 244 487 708 971 1,275 Lucknow 275 387 497 656 not aval. Poona 263 351 600 737 1,135 Nagpur 242 329 485 690 not avai Sources: ( i ) Census of India 1931-1961 and Government of India Ministry of Health, Town and Country Planning Organization, "Population Growth and Urban and Regional Planning" - A Background Paper contributed to the Asia Population Conference - 1963. ( i i ) 1971 Census of India i n The Hindustan Times, July 1, 1972. TABLE I I I ESTIMATED SIZE OF THE TEN MAJOR CITIES IN INDIA IN THE YEAR 2000 METROPOLIS TYPE OF ESTIMATE OF POPULATION IN CITIES (in millions) LOW HIGH Calcutta 35.6 .66.6 Delhi 17.8 33.0 Bombay 11.9 22.0 Madras 8.9 16.5 Bangalore 7.1 13.2 Ahmedabad 5.9 11.0 Hyderabad 5.1 9.4 Kanpur 4.5 8.3 Poona 4.0 7.3 Nagpur 3.6 6.6 Source: Kingsley Davis, "Urbanization i n India" i n India's Urban Future, (ed., Roy Turner). 11 there were f i v e . In 1961 there were seven and by 1971 there were close to eleven (Table I I I ) . In 1951, seventy-seven c i t i e s had populations of 100,000 or more, and i n 1971, the number was one hundred and forty-two, thus representing an increase of over 50 per cent. K.C. Zachariah^ has estimated that during the years 1936-71 the population of the ten l a r g -est c i t i e s of India has increased more than four times. During the seventy-year period 1901-1971 there has been, i n general, an upward trend i n the volume and rate of migration to the c i t y accompanied by a downward trend i n the r e l a t i v e contribution of migration to the t o t a l intercensal population growth. The upward trend i n migra-t i o n was interrupted by sharp downward swings during the depression years of 1930's and the 1950's.-^ These aberrations i n the o v e r a l l trend, i n -asmuch as they are responses both to the " p u l l " of the c i t y and also to the "push" of the r u r a l areas, help to explain the r e l a t i v e importance of the various factors associated with migration. The decades of 1951-1961 and 1961-71 are of great importance from the point of view of migration of people from the r u r a l hinterlands to the c i t i e s . K.C. Zachariah"'"! points out that the intercensal rate of population increase i n India was up by eight percentage points during this period; the density of population i n the r u r a l areas increased from 284 per square mile to 297; the l i t e r a c y l e v e l of the r u r a l population i n the age group f i f t e e n and over increased from 15 to 22 per cent; and that the transportation and communication systems i n the country had improved enormously. Moreoever, the f i r s t two Five Year Plans for the s o c i a l and economic development of the country had met with a consider-able measure of success and per capita income increased by nearly one-fourth from Rs.266.00 i n 1951 to Rs.326.00 i n 1961. A l l these changes favor an increase i n ru r a l - urban migration, p a r t i c u l a r l y to the major c i t i e s . The consensus among authorities on urbanization i n India seems to be that the country i s i n the midst of tremendous urban population increase and that this trend of r u r a l to urban migration i s expected to increase. Marshall B. Clinard-1-^ i n his study points out that the expected migration w i l l result i n almost incalculable consequences for the c i t i e s . A staggering volume of new housing, water supply, transportation and urban employment w i l l be required. When the growth from migration i s added to the natural population increases the problem of accommodation i n Indian c i t i e s almost defies imagination. The effects of migration on the ten major Indian c i t i e s are i l l u s t r a t e d i n Table I I I . Not only are the larger c i t i e s increasingly and dangerously overcrowded but the trend of population increase w i l l continue. The Bombay and Calcutta connurba-tions combined now contain about 40 per cent of a l l Indian i n d u s t r i a l plants; however, such a degree of concentration does not necessarily distinguish India from the i n d u s t r i a l countries of the West. What does d i f f e r i s that the Indian c i t i e s lack even a fraction of the economic resources of th e i r Western counterparts to deal e f f e c t i v e l y with such a growth. The biggest c i t i e s w i l l continue to grow r e l a t i v e l y ^rapidly and w i l l continue to generate overcrowding and need an urgent comprehensive planned environment for the millions of low income families. According to the estimates, Calcutta w i l l probably remain the largest c i t y with sixteen to twenty m i l l i o n i n habitants by 1980 and between t h i r t y - s i x and s i x t y - s i x m i l l i o n by the year 2000. The second largest c i t y , Delhi, w i l l have between eighteen and thirty-three m i l l i o n people within the next t h i r t y years (Table I I I ) . It seems d i f f i c u l t to comprehend the impact of c i t i e s of such enor-mous population pressures, and i t should be remembered that no country with a projected population of one b i l l i o n by the year 2000 has ever experienced a t r a n s i t i o n from a v i l l a g e economy to an urban i n d u s t r i a l one. If India experiences the obvious i n d u s t r i a l development that the population projections imply and the economic plans envisage, there i s every l i k e l i h o o d that i t w i l l have c i t i e s of such tremendous populations. On the basis of the estimated one b i l l i o n population i n the year 2000, the p r i n c i p a l Indian c i t y of s i x t y - s i x m i l l i o n w i l l contain only 6.6 per cent of the t o t a l population, which i s actually a f a i r l y modest percentage for the premier c i t y of a large country. There has been a great deal of research done on the p o s s i b i l i t y of decentralizing urban growth i n India to prevent people from concentrating i n the major urban centers. Decentralization could be accomplished, i n part, by developing new i n d u s t r i a l towns and by locating new industries i n areas away from the major c i t i e s . This procedure could siphon off a certain percentage of r u r a l migrants i f done on a s u f f i c i e n t l y large scale. However, the potential volume of migration to the c i t i e s i s so tremendous that the major urban centers can be expected to continue to increase the i r popu-lations because of increased pressures on r u r a l a g r i c u l t u r a l land. Although improvements i n r u r a l l i f e and the development of small-scale industries might prevent some migration, the consolidation of land hold-ings and the mechanization of a g r i c u l t u r a l techniques might drive even more people to the c i t i e s . Any r e s t r i c t i o n s on such migrations seem to 14 be almost impossible under a democratic framework. IV. MIGRATION DIFFERENTIALS The summary of the c h a r a c t e r i s t i c s of urban migrant residents covers age, sex, education, occupation, income, morbidity and mortality, mental health and f e r t i l i t y . Information about many of these subjects i s r e l a t i v e l y scarce and not uniformly a v a i l a b l e so that i t w i l l be necessary to make c e r t a i n generalizations from which s p e c i f i c instances may depart to some extent. The migrants generally include an excess of adolescents and young adults. About 43 per cent of the migrants are between the ages of 20 and 35 (compared with 24 per cent i n the a l l - I n d i a population), and over 70 per cent are i n the working ages 15-59 (compared with 53 per cent i n the a l l - I n d i a population)."' - 4 The sex composition of migrants seems to favor males. The r a t i o of males per 1000 females i s almost normal (1,045) between the ages 0 - 4 but increased to 2,367 between the ages 40 - 44. Distance from the place of o r i g i n to the urban area seems to be an important factor i n determin-ing the sex composition of the migrant stream. K.C. Zachariah"'-^ says that the greater the distance the greater the proportion of males. In each age - sex group, the proportion s i n g l e was found to be less among migrants than among non-migrants i n the metropolis but greater than i n the general population of the States of o r i g i n . The high sex r a t i o among migrants i s due not only to high rates of in-migration of s i n g l e males as compared to single females but also to.the migration of married males unaccompanied by t h e i r wives and c h i l d r e n . 15 The occupational c h a r a c t e r i s t i c s of the migrant population are i n t e r e s t i n g and serve as s i g n i f i c a n t i n d i c a t o r s of the r e l a t i v e a t t r a c -tiveness of l i f e i n urban areas. Almost without exception the r u r a l migrant comes to the c i t y t o t a l l y unprepared to compete su c c e s s f u l l y -i . e . above the day laborer r o l e - i n the urban so c i e t y . This i s p a r t l y because he lacks the s k i l l s and sometimes even the language as we l l as ways of the c i t y by which he can introduce himself into the more produc-t i v e aspects of the labor market. The m u l t i p l i c i t y of urban occupational differences seems to be increasing. Most migrants do not have any fi x e d "occupation," but work wherever they can get a job. The marginally unemployable always gravitate toward marginal services. It should also be pointed out that the urban labor force also includes a f a i r l y s u b s t a n t i a l number of c h i l d r e n who must be counted on as a part of the labor force alhtough they are only p a r t i a l l y employed from time to time. In addition, out of necessity to supplement the meagre wages of t h e i r husbands, there are also a substantial number of women i n the labor market. The wages earned by the u n s k i l l e d migrants are extremely low and barely permit a subsistence l e v e l of l i v i n g . Even the t o t a l family income i s not enough to support i t with a l l i t s obligations i n an urban environment. There are very great income d i f f e r e n t i a l s i n the labor force of the c i t y . The r a t i o of professional to i n d u s t r i a l workers' income, for example, may be 15 or 20 to 1, or even greater. It i s also important to remember that most of the migrants are common laborers rather than i n d u s t r i a l workers and, therefore, there i s even a greater income d i f f e r e n t i a l between professional and laborer occupations; I 6 A United Nation's report"^ on the world s o c i a l s i t u a t i o n points out that sickness and death are subjects about which not much i s known. It i s c l e a r , however, that medical f a c i l i t i e s i n urban areas have had a sub-s t a n t i a l impact on the reduction of death rates p a r t i c u l a r l y i n comparison to r u r a l and remote areas where medical f a c i l i t i e s are not l i k e l y to e x i s t . M o r t a l i t y , i n other words, i s generally lower i n urban areas than i n r u r a l areas. Data on length of l i f e and i t s r e l a t i o n s h i p to i l l n e s s rates are very hard to f i n d ; however, i t i s to be expected that the generally low n u t r i t i v e d i e t and a very densely populated environment i n which migrants tend to l i v e are not conducive to the maintenance of a high l e v e l of health. In addition to t h e i r impact on the general health of the urban population, these conditions frequently have a noticeable e f f e c t on the mental health of the migrant resident. As has been pointed out e a r l i e r the b i r t h rates are f a i r l y s i m i l a r i n both the r u r a l and urban areas. V. PATTERNS OF MIGRATION Very l i t t l e i s known about the patterns of migration from r u r a l to urban areas. There i s some evidence to suggest that migration occurs f i r s t from r u r a l or v i l l a g e areas to small towns and then to the bigger towns and c i t i e s . However, there i s also considerable c o n f l i c t i n g e v i -dence which indicates that t h i s gradual step-by-step migration may not take place, but rather that r u r a l migrants may move st r a i g h t to the bigger c i t i e s . It also appears that there i s a c e r t a i n amount of " f l o a t i n g migra-t i o n , " composed of people who wander from one c i t y to another, desperately t r y i n g to make a place for themselves i n an urban environment. M. B. 18 Deshmukh noted i n h i s study on Delhi that no l e s s than 65 per cent of the migrants had attempted to f i n d s u i t a b l e employment i n s i x to f i f t e e n other towns before coming to Delhi. Selective migration, i n terms of the education of the migrant, i s also i n t r i g u i n g . Although the evidence i s l i m i t e d , there are i n d i c a t i o n s that the r e l a t i v e l y higher educated r u r a l inhabitants move i n larger numbers. I f taken from another point of view, i t might be implied, as 19 Wilbert E. Moore has indicated, that perhaps i t i s the r u r a l " m i s f i t s " who f i n d themselves incompatible with r u r a l society and therefore are impelled to move to the urban areas. Obviously the use of the word " m i s f i t " does not n e c e s s a r i l y imply anyone with i n f e r i o r i n t e l l i g e n c e , but rather " m i s f i t s " r e f e r to i n d i v i d u a l s who seek a new and d i f f e r e n t environment i n which to explore t h e i r own p o t e n t i a l i t i e s and c a p a b i l i t i e s . For general purposes of analysis and p o l i c y planning i t i s useful to d i s t i n g u i s h four d i s t i n c t i v e patterns of migration and urban growth within the Indian context. (Schematic 1). The most common and w e l l known i s the shuttle-pattern common to extended families i n which there i s a f a i r l y widespread and constant movement back and f o r t h between family establishments i n r u r a l and urban areas. The movement i s frequently highly seasonal following the a g r i -c u l t u r a l cycle and consists l a r g e l y of able-bodied males. In such s i t u -ations, both the urban and r u r a l areas show a remarkable absorptive capacity, as even the most sudden and severe inf l u x e s of population are e a s i l y handled and with very l i t t l e demand being made on the public i n s t i t u t i o n . The family t i e s seem to be able to provide the necessary support. In such situations, the t r a d i t i o n of sharing f a c i l i t i e s proved 20 to be extremely useful. Another pattern i s of -isolated individuals moving more or less permanently into psychologically and s o c i a l l y a l i e n urban settings. This i s l i k e l y to have far-reaching and dangerous consequences, whether the people are primarily "pushed" off the land or "pulled" to the c i t y the res u l t i s a sense of rootlessness. Therefore, the fear i s that urbaniz-ation b u i l t on such patterns of disorganization lacks firm foundations and i s not l i k e l y to develop into a creative urban c u l t u r e . This i s p a r t i c u l a r l y true i f the rate of population increase i n the c i t y i s not related to an increase i n the economy. This i s to say that i f people coming into the c i t i e s i n search of a better existence cannot find the s a t i s f a c t i o n of being suitably employed they are l i k e l y i n time to turn 21 to a n t i - s o c i a l a c t i v i t i e s i n order to find a sense of belonging. A t h i r d pattern of urban migration i s based upon communal groupings i n which people of a common ethnic, r e l i g i o u s , or regional background move together into the c i t i e s . Often such people assume that they w i l l be p e r i o d i c a l l y returning to t h e i r r u r a l origins (as i n the shuttle pattern), but i n fact, the movement tends to be permanent and most t i e s with the old locations w i l l be broken. Such groups tend to c l i n g to-gether i n the urban setting; and committed to mutual support, they often appear to present a united front i n opposition to the rest of the urban • - 22 society. S o c i a l l y , this communal pattern of migration might appear to per-petuate devisive tendencies, yet often these anxieties are excessive and based upon a myth rather than a r e a l i t y . In fact, aggressive p o l i c i e s designed to break up such communal associations may drive these minority groups into greater h o s t i l i t y towards the urban society. It c a l l s for t r u l y wise statesmanship to be able to measure the point at which communal groupings become more than an association of human beings seeking.the security of c o l l e c t i v e i d e n t i t y and become a threat to the larger community. The phenomenon of reverse migration, that i s , when the migrant returns to his ancestral v i l l a g e , i s extremely interesting. With the exception of cases where there might be an attempt to migrate for a short period of time the evidence seems to suggest that the primary goal of the rur a l inhabitants i s to return to their ancestral v i l l a g e s i n the l a t e r years of their l i v e s . The evidence seems to indicate that there i s very l i t t l e reverse migration i n the age group 12 - 40. Although the exact figures are not available, the percentage of people i n the age group 40 and above returning to t h e i r ancestral v i l l a g e s i s comparatively higher. It i s d i f f i c u l t to interpret the significance of th i s pattern because available figures include the following factors: (i) V i s i t o r s to the c i t y . ( i i ) Government workers and others on transfer of service. ( i i i ) I ndustrial workers and unskilled laborers returning to the i r ancestral v i l l a g e s after ten-fifteen years of work i n the c i t y to take up the c u l t i v a t i o n of ancestral lands. (iv) Retired government workers going "home." (v) Low income workers who decide to send the i r wives and children back to the v i l l a g e so that t h e i r children can be brought up i n the cheaper and t r a d i t i o n a l environment of the v i l l a g e . (vi) Those migrants who came to the c i t y looking for work but f a i l e d to find suitable employment.^3 The significance of these patterns of migration i s that they remind 21 us t h a t no u n i f o r m o r g e n e r a l i z e d p o l i c y can be advanced f o r h a n d l i n g t h e prob lems o f u r b a n i z a t i o n . D i f f e r e n t p a t t e r n s o f deve lopment c a l l f o r q u i t e d i f f e r e n t a p p r o a c h e s , and no t a l l s i g n s o f even d i s o r d e r l y growth need to be c l a s s i f i e d as a t h r e a t to s t a b l e u r b a n deve lopment . V I . CONCLUSIONS R u r a l - u r b a n m i g r a t i o n i s no t o n l y an i n t e g r a l p a r t o f i n d u s t r i a l i z -a t i o n , u r b a n i z a t i o n and economic deve lopment , b u t i t may a l s o become a major instrument o f s o c i a l change . The u rban s e t t i n g i s a f e r t i l e ground f o r the g e n e r a t i o n o f s o c i a l and economic changes , and t h e s e can be s p r e a d to r u r a l a rea s by the p r o c e s s o f m i g r a t i o n . R e t u r n m i g r a t i o n o f worker s a f t e r r e t i r e m e n t and the r e g u l a r s h u t t l e movements between v i l l a g e s and c i t y p r o v i d e t h e b a s i s o f many c o n t a c t s between the m i g r a n t s and the r u r a l p o p u l a t i o n . E v e r y t ime a m i g r a n t goes back t o h i s v i l l a g e , he t ake s w i t h h im some urban i d e a s and customs - t he d i s c i p l i n e o f t h e f a c t o r y , t he concep t o f a j o b w i t h f a i r wages, t he advantages o f t r a d e u n i o n o r g a n i z -a t i o n , new i d e a s on h e a l t h and h y g i e n e , t he c o n v e n i e n c e o f p i p e d w a t e r s u p p l y and o f e l e c t r i c i t y , the u s e f u l n e s s o f books and newspapers , t h e r a d i o and the c i nema, the b i c y c l e and the bus s e r v i c e , and the needs f o r e d u c a t i o n o f c h i l d r e n , b o t h boys and g i r l s . The r u r a l p o p u l a t i o n can thus be exposed to u r b a n ways o f l i f e . O f t e n , however, we o b s e r v e a u t h o r i t i e s t r y i n g t o b r e a k t h i s p a t t e r n o f p o p u l a t i o n movement e i t h e r f rom a m i s p l a c e d f e a r o f t he p o s s i b l e s o c i a l and p o l i t i c a l consequences o f what may appear to be unrea soned mass m o b i l i t y o r f rom i n c o r r e c t u n d e r s t a n d i n g o f t he c o n d i t i o n s i n w h i c h the s e n t i m e n t s b a s i c t o ex tended f a m i l i e s c an r e t a r d and i n h i b i t u rban and i n d u s t r i a l g rowth . 22 Policywise the p o l i t i c a l problems of migration c a l l for two types of a c t i v i t i e s . There are, f i r s t of a l l , problems related to public admin-i s t r a t i o n and the need to provide s o c i a l services and shelter for the crowded populations. There i s , secondly, the inherently p o l i t i c a l problem of providing such populations with a sense of par t i c i p a t i o n i n the larger policy. I t i s important to distinguish the l i m i t s and u t i l i t i e s of each of these aspects of policy. Modern governmental bureaucratic i n s t i t u t i o n s have emerged to cope with the problems of r i s i n g urban populations, and certainly every depart-ment of government has a role to play i n dealing with the swelling of urban populations i n a t r a n s i t i o n a l society. Unfortunately there are no easy solutions to such problems, and the compelling need i s only for governments to r e a l i z e t h e i r r e s p o n s i b i l i t i e s and try patiently to carry out effective programs to the best of their a b i l i t i e s and i n l i n e with their limited resources. There i s a fundamental need for the swelling populations to be given new channels of p o l i t i c a l p a r t i c i p a t i o n so that they may come to f e e l that the national policy i s responsive to t h e i r needs, aspirations and anxieties. With reference to the s p e c i f i c problems of urban growth, i t appears that some of the patterns of migration contain within them some s t a b i l i z -ing elements that should be respected during the d i f f i c u l t phase of the t r a n s i t i o n a l period. In both the shuttle pattern and the communal one, mechanisms exist for reducing s t r a i n , and the task for the policymakers should be one of devising ways to permit the degree of parochialism necessary for preserving the sense of community to be maintained while at the same time exposing to people new opportunities and new patterns of 23 l o y a l i t y . The problem i s thus e s s e n t i a l l y one of a s s i s t i n g people as they are inducted into a new society so that they can emerge from the experience as constructive c i t i z e n s and not f r u s t r a t e d subjects. To bring large numbers of people into urban l i f e always means inducting them into some form of p o l i t i c s . The question i s only whether they w i l l turn to some constructive and legitimate form of p o l i t i c s or whether they w i l l become an a n t i - s o c i a l force. Lucian Pye says that h i s t o r i c a l l y the experience of a l l modern i n d u s t r i a l s o c i e t i e s has involved the c r i t i c a l issue of inducting the urban population into the p o l i t i c a l system. If the process can be c a r r i e d out without a l i e n a t i o n and damaging consequences the p o l i t y can r a p i d l y gain i n benefits of an enlarged c i t i z e n r y ; but i f the process i s marred by tension and c o n f l i c t then permanent scars can be l e f t on the p o l i t y which w i l l be a constant source of trouble for the e f f e c t i v e operation of the p o l i t i c a l and c u l t u r a l process. Thus, the phenomenon of urbanization can either increase the danger-ous gap between the established urbanite and the newly arrived migrant, which i s so c h a r a c t e r i s t i c of any t r a n s i t i o n a l society, or i t can become a process i n which t h i s gap i s greatly reduced. For the l a t t e r pattern to occur i t i s e s s e n t i a l for the a u t h o r i t i e s to demonstrate that they f u l l y appreciate the problems, the sentiments, and even the parochial i n c l i n a t i o n s of the new urban masses. 24. CHAPTER I. PATTERNS OF RURAL-URBAN MIGRATION IN INDIA K. C. Z a c h a r i a h , " U r b a n i z a t i o n and M i g r a t i o n i n I n d i a , " i n India's Urban Future, e d . , Roy T u r n e r , 1962, p. 43. 2 The Hindustan Times, J u l y 1, 1972, p. 1. 3 G e r a l d B r e e s e , Urbanization in Newly Developing Countries, 1966, p. 75. 4 J a l F. B u l s a r a , Problems of Rapid Urbanization in India, 1964, p. 25. ^ B r e e s e , p. 81. ^Ibid., p. 81. ^ Z a c h a r i a h , p . 45 . g K i n g s l e y D a v i s , " U r b a n i z a t i o n i n I n d i a : P a s t and F u t u r e , " i n India's Urban Future, e d . , R. T u r n e r , 1962, p. 11. 9 Z a c h a r i a h , p. 46. " ^ D a v i s , p. 16. "'"•he. C. Z a c h a r i a h , "Bombay M i g r a t i o n S tudy : A P i l o t A n a l y s i s o f M i g r a -t i o n t o an A s i a n M e t r o p o l i s , " i n - The-. City in Newly Developing Countries, e d . , G e r a l d B r e e s e , . 1969, p. 361. 12 M a r s h a l B. C l i n a r d , Slums and Community Development, 1966, p. 71. 13 ' Ibid., p. 72. 14 Z a c h a r i a h , "Bombay M i g r a t i o n S t u d y , " i n The City in Newly Developing Countries, e d . , B r e e s e , p. 364. 15 ' Il)id., p. 165. 16 W i b e r t E. Moore, " I n d u s t r i a l i z a t i o n ,and S o c i a l Change , " i n Industrial-i z a t i o n and Society, e d s . , B. F . H o s e l i t z and W. E. Moore , 1965, p . 332. " ^ U n i t e d N a t i o n s Department o f Economics and S o c i a l A f f a i r s , Report on the World Social Situation, 1961, pp . 135-136. 18 B r e e s e , Urbanization in Newly Developing Countries, p; 83. 19 Moore, p. 333. 20 L u c i a n W. P y e , " T h e P o l i t i c a l I m p l i c a t i o n s o f U r b a n i z a t i o n and t h e Development P r o c e s s , " i n The City in Newly Developing Countries, e d . , B r e e s e , p. 402. ALIbid.3 p. 402. 22Ibid.3 p. 403. 2 3Zachariah, "Bombay Migration Study i n The City in- Newly Developing Countries, ed., Breese, p. 363. 2 4Pye, p. 405. 26 CHAPTER I I THE MIGRANT IN THE URBAN ENVIRONMENT I INTRODUCTION In studying the ru r a l migrants i n the urban environment, i t must be remembered that they have migrated to the c i t i e s from an ancestral v i l l a g e which has i t s own highly developed culture, much of which they carry to the c i t y with them no matter how intensely they may attempt to reject i t . They come to the urban areas with an overlay of r u r a l t r i b a l traditions and established ways of doing things, l o y a l t y and obligation patterns, economic arrangements and systems of constraints i n channels of communication which do not readily die i n the urban context. The migrant i s unequipped to define his role i n the largely a l i e n urban environment. He has responses to his old culture and c o n f l i c t s and tensions within the urban context. For him i t i s not only a physical survival but also a survival i n the largely a l i e n socio-economic and cu l t u r a l environment. He cannot easily detach himself from his r u r a l background and yet he i s provided -with few c r i t e r i a to decide what aspects of the new culture he should embrace and what he should re j e c t , what he should refashion and r a t i o n a l i z e as the new way, and what aspects of his past l i f e and practices he should either preserve or push into the back-ground. These c o n f l i c t s arise partly from a necessary rate of change from a ru r a l to an urban way of l i f e : a kind of compulsive conversion on which he has to pay a very high price. As w i l l be shown l a t e r i n this chapter, this compulsive conversion has negative and a n t i - s o c i a l r e s u l t s , there being evidence that the related tensions and s t r a i n s are associated with higher rates of alcoholism, crime, j u v e n i l e delinquency and mental disorders."'' Mere physical presence i n the urban environment does not nec e s s a r i l y imply an i n d i v i d u a l ' s p a r t i c i p a t i o n i n urban l i f e - a migrant may very well be i n the c i t y but not s o c i a l l y involved i n i t . His sphere of con-tact and his r e l a t i o n s h i p with the established urbanite may be extremely l i m i t e d , e s p e c i a l l y i n the early stages of h i s residence i n the c i t y . This arises p a r t l y from h i s u n f a m i l i a r i t y with the urban way of l i f e . Furthermore, his experience - or lack of i t - his dress, his language and his customs may e f f e c t i v e l y cut him o f f from the rest of urban society with whom he i s l i k e l y to come i n contact. His tendency to seek out h i s "own kind" i n the urban area s t i l l further r e s t r i c t s him. This may lead to p a r t l y self-imposed segregation that derives from the f a c t that the many people around him have come from d i f f e r e n t t r i b e s , d i f f e r e n t geo-graphic areas or d i f f e r e n t c u l t u r a l backgrounds of which he i s inherently suspicious. Often the r e s i d e n t i a l sorting out and the c l u s t e r i n g of peoples from d i f f e r e n t backgrounds and o r i g i n s leads to the emergence of settlements populated almost e n t i r e l y by people from a p a r t i c u l a r t r i b e , t r a d i t i o n or d i s t r i c t . The i n - f e e l i n g of these groups may become so great that because of t h e i r f r u s t r a t i o n i n dealing with the society at large they may develop t h e i r own s p e c i a l i z e d and o r i g i n - r e l a t e d i n s t i t u t i o n s . The phenomenon of " r u r a l transplants" or the s u r v i v a l of c e r t a i n r u r a l customs and t r a d i t i o n s i s f a i r l y common; indeed, i t i s often these r u r a l transplants which insu l a t e the newly arrived migrant against his new urban environment. Perhaps the most overwhelming phenomenon of a l l characteristics of the r u r a l migrants i s the subsistence l e v e l of l i v i n g to which they are exposed and from which they are unlikely to escape even after a long period of residence i n the c i t y . This grossly low l e v e l of subsistence urbanization may be so close to the subsistence l e v e l of l i v i n g i n the r u r a l a g r i c u l t u r a l economy that the only difference may be one of location. One d e f i n i t e alternative to this urban subsistence condition i s for the r u r a l inhabitants not to migrate to the c i t i e s ; an alternative that seems to be generally unacceptable to them. The future prospects for the migrants seem to be that i f the present migration trend continues the conditions w i l l get much worse before they start to improve. A high degree of physical urbanization - i n terms of where people l i v e -i s quite l i k e l y to be characterized by a low degree of s o c i a l urbaniza-t i o n , i n the sense of providing s o c i a l amenities for an urban way of l i f e . Nevertheless, r e - s o c i a l i z a t i o n of the migrant i s required for what i s e s s e n t i a l l y a new way of l i f e . Generally, this w i l l proceed d i f f e r -e n t i a l l y i n terms of rate of change of s p e c i f i c urban practices. The migrant may, for example, accept certain urban relationships but s t i l l r e tain his b e l i e f s i n certain t r i b a l t r a d i t i o n s . The differences i n the acceptability of certain urban practices and customs may lead to strains, discontinuities and c o n f l i c t s within him. Free from the v i l l a g e and t r i b a l restraints he may also appear to have a good opportunity to escape the s o c i a l and caste s t r a t i f i c a t i o n s of his ancestral v i l l a g e . However, there i s the danger that the familiar r u r a l s t r a t i f i c a t i o n may be replaced by a form of urban s t r a t i f i c a t i o n which i s a complex product of urbanization and i n d u s t r i a l i z a t i o n . As has been pointed out i n the previous chapter, India today i s 29 experiencing a movement of population from the r u r a l areas to the urban centers which i n sheer volume i s without p a r a l l e l i n i t s h i s t o r y . A re s u l t of t h i s process of urbanization has been the continued growth of the slum population due to the fact, that most i n t e r n a l migration has been concentrated i n the slums. The Indian c i t i e s have always had t h e i r bustees (slums). They receive the bulk of in-migrants and provide them with the only a v a i l a b l e s h e l t e r . The reasons vfor t h i s are primarily economic but beyond that they are s o c i a l and c u l t u r a l ; the migrant without any resources i n the a l i e n urban environment has a better chance of f i n d -ing a means of l i v e l i h o o d and the way of l i f e he i s accustomed to i n the slum, rather than anywhere else i n the c i t y even i f he could a f f o r d the rent. The prime function of the slum i s therefore a constant, but the r e l a t i v e s i z e and d i s t i n c t i v e n e s s of character are varia b l e s . Relative s i z e i s a consequence of the volume of in-migration and the rate of as s i m i l a t i o n . Distinctiveness of character, the degree to which the slum d i f f e r s i n culture and s o c i a l structure from the c i t y , whose o f f s p r i n g i t i s , varies i n r e l a t i o n to the c u l t u r a l alienness of the migrant. The difference i n c u l t u r a l l e v e l and type between the established urbanite and the e x - v i l l a g e r j u s t a r r i v e d i n the c i t y i s so great that the rate of a s s i m i l a t i o n and accult u r a t i o n i s extremely low. The r e s u l t i s that the capacity and the c a p a b i l i t y of i n s t i t u t i o n s and agencies of control and service have f a l l e n further and further behind the need, r e f l e c t i n g a condition of saturation and i n c i p i e n t breakdown. This has aggravated the already severe problem of heavy i n f l u x to the point that i n some instances the aggregate s i z e of the s o c i a l l y unintegrated slums i s now close to the s i z e of the c i t y proper. (Schematic 2). r 30; 31. This chapter i s concerned with the causes and consequences of t h i s serious phenomenon: the overburdening of the regulative and assimilative .institutions i n the urban centers by excessive growth of the slums and the problems this poses to the orderly and effective accomplishment of nation building. W i l l the c i t i e s be able to s t a b i l i z e and manage the flow of in-migrants from the t r a d i t i o n a l hinterlands, and integrate them c i v i c a l l y , bring them into the body p o l i t i c fast enough to keep pace? Or w i l l the present tense sit u a t i o n grow worse? Although the slums are characterized by physical deterioration and decay, and a severe lack of s o c i a l and c u l t u r a l f a c i l i t i e s , they are an important feature of the Indian urban environment. In p a r t i c u l a r , they have provided the migrant with cheap shelter, have fostered group associations and have provided many of the essential ingredients necessary for the acculturation of the r u r a l migrant i n the urban environment. However, the government's neglect of these communities has led to thei r physical, s o c i a l and c u l t u r a l stag-nation. The result i s that once a migrant has moved into the slum he i s forced by circumstances beyond his control to l i v e out the rest of his urban l i f e i n i t . I t i s the purpose of this study to show that i f the slum environment can be r e v i t a l i z e d , i t then has the potential to serve as a c u l t u r a l bridge between the urban centers and the t r a d i t i o n a l r u r a l hinterland. In other words, urban slums are envisaged as communities which can function as ecological, sociological and c u l t u r a l zones of trans-i t i o n between the urban environment and the r u r a l areas. In order to c l a r i f y the problem i t w i l l be useful to set forth a provisional explan-ation of why the slums exist and assume the character they have, and how the acculturative process works i n them. Charles Abrams says, 32 Slum l i f e i s not always the symbol of retrogression. It may i n fact be the f i r s t advance from homelessness into s h e l t e r , or the way s t a t i o n on the road from abject poverty to hope. The slum exists because no nation i s able to produce adequate housing at a cost that the workers can a f f o r d . It i s the sh e l t e r that the i n d u s t r i a l age provides for i t s rank and f i l e . 2 The discussion i s organized i n two sections. The f i r s t examines the negative aspects of the slum, analyzing i t s r e l a t i o n s h i p to the c i t y and describing i t s s o c i a l and p h y s i c a l c h a r a c t e r i s t i c s . The second section deals with the p o s i t i v e aspects of slum l i f e , examining the culture, the group associations and the process of a c c u l t u r a t i o n . II THE CITY AND THE SLUM The widespread b e l i e f that Indian society i s predominantly r u r a l and a g r i c u l t u r a l , has i n fact minimized the important and e s s e n t i a l r o l e that Indian c i t i e s have played i n the past and are s t i l l playing today. Indeed, f o u r - f i f t h s of India's population resides i n i t s h a l f a m i l l i o n v i l l a g e s , yet the country should no longer be referred to as a "nation of v i l l a g e s . " The preceding chapter has i l l u s t r a t e d that several of the Indian c i t i e s are huge metropolitan centers. The Indian metropolis tends to be a massive urban center of government, culture, economic and s o c i a l a c t i v i t y . It stands, however, as a sort of s o c i o l o g i c a l and c u l t u r a l i s l a n d within a t r a d i t i o n a l subsistence-minded r u r a l hinterland. The c i t i e s of India have become the important centers of technology and i n them must l i e the country's hope for the future. They are the core of the country's commercial and i n d u s t r i a l power and the strength of i t s transportation, d i s t r i b u t i o n and communication systems. They have played an important r o l e i n breaking away from t r a d i t i o n bound s o c i a l practices 33 and most of the modernizing processes have radiated from them. P o l i t i c a l and s o c i a l reform movements have l a r g e l y originated i n the c i t i e s and then spread throughout the country. Indian c i t i e s can be expected to play an even more dynamic r o l e i n the future i n the s o c i a l , economic and p o l i t i c a l transformation of the country. The slum comes into existence and continues to exist because i t meets c e r t a i n needs: the migrants from the pre-urban hinterland need a place to l i v e , and the c i t y needs them for t h e i r labor. The migrant has the best chance of putting up and keeping a sub-standard dwelling on pro-perty not h i s own - on land not i n use e i t h e r within the c i t y or outside i t , waste land, land held for speculation or p u b l i c l y held land acquired fo r some p a r t i c u l a r purpose to be r e a l i z e d i n the future. Such lands are geographically within the c i t y but f u n c t i o n a l l y they are outside i t since the l o c a l governments do not consider i t f e a s i b l e to include them i n the public u t i l i t i e s network: water, sewerage and e l e c t r i c a l power. The migrant i s a home owner and yet he i s not, he owns his dwelling under common law but he lacks t i t l e to the land i t stands on; he gains h i s l i v e -lihood from the c i t y but i s excluded from f u l l p a r t i c i p a t i o n i n i t s s o c i a l and c u l t u r a l l i f e ; he i s a c i t i z e n of the c i t y yet he i s denied the f u l l r i g h t s of c i t i z e n s h i p . In addition, since he i s very often an i l l e g a l tenant, he i s i n an extremely poor p o s i t i o n to demand his r i g h t s . He i s , therefore, forced to keep his c u l t u r a l roots i n h i s ancestral v i l l a g e . He i s an example of a "marginal man": he has existence i n each of two separate s o c i a l and c u l t u r a l orders and i s f u l l y and f i n a l l y involved i n neither. The l o c a l government, with i t s lack of economic resources, i s 34 i n s t i t u t i o n a l l y underequipped to react to t h i s s i t u a t i o n . Its o f f i c i a l s are often confused and demoralized and lack the w i l l to act while the migrants are sucked into the vacuum, as i t were, and improvise t h e i r own i n s t i t u t i o n a l solutions. They put up shacks on unused land, and l i t t l e by l i t t l e by aggregation, the shacks constitute settlements and the settlements constitute communities with t h e i r own sub-culture and s o c i a l order. The r e s p o n s i b i l i t y for the existence of the slums i n the i r present form must be shared by the landlords, the tenants and the community at large: the landlords because of the i r indifference to the poverty of the migrants and t h e i r willingness to p r o f i t from the overcrowding; the tenants because they are too poor, too ignorant or too indifferent to maintain their dwellings properly, and the community at large because i t permits the slums to persist and develop i n t h e i r present form. Social and Physical Characteristics of- the Slum Slums have a long history i n India and the s o c i a l and physical conditions of the Indian slum are generally considered the worst and _most extensive of any country i n the world today. Although India i s a large, heterogenous country whose di v e r s i t y often makes generalizations d i f f i c u l t , slum conditions can s t i l l be characterized i n general terms. The streets, lanes and open drains i n t y p i c a l slum areas are f i l t h y and people sleep as many as s i x to twelve i n a room, shack or hovel. The Indian slum, however, i s far more complex than the mere aggregate of these appalling physical surroundings. Sociologically i t i s a way of l i f e , a sub-culture with i t s own set of norms and values. Rates of disease, chronic i l l n e s s and infant mortality remain high, and there i s l i t t l e knowledge of health 35 and s a n i t a t i o n , n u t r i t i o n and c h i l d care. I l l i t e r a c y i s extremely high and c u l t u r a l and re c r e a t i o n a l f a c i l i t i e s are almost e n t i r e l y lacking except those provided by such commercial enterprises as movies and gam-b l i n g . Most slum dwellers are apathetic and s u f f e r a great sense of f u t i l i t y i n dealing with the "outside world." They have l i t t l e community pride or even consensus and they often blame the l o c a l a u t h o r i t i e s f o r th e i r p l i g h t . They have become antagonistic towards the municipal personnel and seldom co-operate with them i n t h e i r e f f o r t s to improve either t h e i r immediate area or the c i t y as a whole. Non-Conforming Land Use Patterns. The physical growth of the Indian slums does hot seem to have any organic pattern and v i s u a l l y gives the impression of a conglomeration of structures of varying shape, s i z e and construction, c r i s s - c r o s s e d throughout by an i r r e g u l a r street pattern. There i s no orderly arrangement according to which structures for d i f -ferent uses have been segregated i n d i f f e r e n t areas. Indiscriminate intermixture of uses i s such a common feature that there are no areas which may be now c a l l e d purely r e s i d e n t i a l neighbourhoods. The older tenements are often also the center of the commercial a c t i v i t y of the c i t y and, consequently, shops of a l l types and sizes are found spread a l l over the area. The ground f l o o r of structures abutting the main streets are i n v a r i a b l y flanked by shops, commercial units and i n d u s t r i e s . (Plate VI). An examination of the Walled City area of Old Delhi gives a good i n d i c a t i o n of the inter-mixture of various incompatible land uses i n a r e s i d e n t i a l area. The Walled C i t y , a p h y s i c a l l y compact area of 1240 acres, i s bounded by the r i v e r Jamuna, the old c i t y w a l l and a s t e e l band of railways. It was b u i l t i n 1648 to accommodate about 60,000 people. 36 In 1961, the same area had 420,000 people. The gross r e s i d e n t i a l density has arisen to 350 persons per acre and there are several areas here where the densities are as high as 500 persons per acre. 43 per cent of the structures are put to non-residential uses, and a large percentage of these uses are incompatible with any r e s i d e n t i a l neighbourhood. Trades l i k e leather tanning, pottery, slaughtering of animals, keeping animals such as milch c a t t l e , tonga horses, donkeys and pigs, and a host of other trades are conducted right i n the heart of the neighbourhood resulting i n unhygenic l i v i n g conditions. Out of a t o t a l of 1240 acres the land use pattern i s as follows: Residential Use 43.11% 534.58 acres Roads and Streets 25.14% 311.79 acres Public and Semi-Public F a c i l i t i e s 8.62% 106.91 acres Commercial Use 10.50% 130.19 acres Industrial Use 3.91% 48.49 acres Government Use less than 1% Open Spaces 5.20% (less than 0.17 acre for 1000 population) 3 Density in the Slums. I t has been estimated that the slum popula-tions i n the large Indian c i t i e s run from 7 per cent to a high of 60 per cent of the t o t a l population of the c i t y . I f , however, the slum areas were to be defined by Western standards the percentage of slum dwellers would be far greater. I t has also been estimated that three-fourths of the population of the c i t y of Calcutta proper l i v e i n overcrowded tenements and slum quarters.^ A study group of the Bombay municipal government reported at least 144 slum areas i n the city.-* Indian slum dwellers l i v e under conditions of extreme population densities. For example, the 1951 average population density was 136,536 per square mile i n Delhi, 77,300 i n Calcutta, 38,834 i n Ahmedabad, and 37 25,579 i n Greater Bombay. These figures can be compared to 27,308 for London county and 11,318 for Greater London i n 1956, 27,000 for Paris i n 1956, 16,721 for New York Ci t y i n 1950 and 15,830 for Chicago i n 1956. These differences are f a r greater i f we are to consider the densities within some of the Indian slum areas: i n three of Delhi's eighteen wards the densities are more than 400,000 to the square mile, another four wards have densities i n excess of 275,000, and only f i v e of the wards have den s i t i e s less than 100,000. In comparison, Manhattan Borough had the highest density (76,156) i n New York Ci t y i n 1956, which means that Delhi's average density was nearly twice the most densely populated borough i n New York Ci t y . These high densities occur despite the absence of t a l l buildings since most of the people l i v e i n buildings which are three or four story walkups. If an average of 2.5 people to a room i s an index of overcrowding, for example, then more than 90 per cent of the population of Bombay l i v e i n overcrowded conditions.^ Housing Conditions. Rural migrants, on reaching the c i t y and look-ing for s h e l t e r , are faced with two a l t e r n a t i v e s : e i t h e r they can seek accommodation i n the older tenements of the c i t y where space i s at a premium (and often unavailable), or they can move into a community of squatters and shanty town dwellers that have sprung up on vacant public or private land. The older tenements or katras are small, s i n g l e room structures, normally constructed i n rows within large courtyards or enclosures having single entrances. Many of the Delhi katras were o r i g i n a l l y parts of o l d Muslim homes which were dark and dingy because they were o r i g i n a l l y con-structed for security against depredations of robbers and s e c u r i t y of the 38 womenfolk. Such protection was provided by b u i l d i n g the walls with only a si n g l e entrance and no windows. (Plates I and I I ) . The mul t i s t o r i e d buildings i n the Bombay slums are c a l l e d chawls and they often house as many as eighty fa m i l i e s or more apiece. In many of t h e i r one-room tenement cubicles they get no sunlight and even at mid-day the rooms are dark. More than seven people, sometimes as many as two or three related f a m i l i e s , l i v e i n one room. For the twenty or t h i r t y families whose l i v e s center around a single a i r shaft there may be one or two l a t r i n e s and a few taps of cold running water. Cooking i s done on a brazi e r on the f l o o r of the cubicle and often without the benefit of a chimney. The doors and windows are d i l a p i d a t e d , the p l a s t e r has dropped from the walls (many of which have never been whitewashed), and the general odor and squalor of the staircases makes these buildings extremely unhealthy. Bustees are usually thick c l u s t e r s of small, dilapidated mud huts, often with roofs and with walls made of scraps of wood, gunny sacks, scrap metal or other waste materials. Located i n rather open areas of the c i t y or away from the c i t y center, usually on unauthorized land, they are of two types: jhompries, huts made of stone and wood, and jhuggies, huts made of wood and straw. In c i t i e s l i k e Kanpur, they are c a l l e d ahatas and are b u i l t within compounds or enclosing walls. These small, dingy rooms are usually overcrowded with as many as eight to ten persons l i v i n g i n them. (Plates I I I , IV, V and V I I I ) . In-the southern c i t i e s of India such as Madras, Madurai, and Cochin, slums are-called oheris, These usually consist of mud and thatched huts s i m i l a r to those of the v i l l a g e s or as b u i l t of old kerosene-tin plates. 39 The average hut i s approximately eight by s i x feet and poorly constructed; i t e a s i l y collapses i n r a i n storms and admits almost no l i g h t , and i n a l l cases does not have the minimum basic sanitary f a c i l i t i e s . Pavement dwellers also abound i n many Indian c i t i e s . It has been estimated that Calcutta, where the s i t u a t i o n i s the worst, has several hundred thousand pavement dwellers, consisting mainly of f a m i l i e s , many of whose members have been born and reared on the sidewalks. They cook, eat, sleep and die on the st r e e t s . Some of these families l i v e there because they cannot afford housing of any sort , others l i v e there because they want to be near t h e i r place of employment and thus save transporta-t i o n costs. During the day t h e i r meagre possessions may be stored with nearby people, but at n i g h t f a l l the sidewalks become a l i v e with hundreds of cooking f i r e s and sleeping people r o l l e d up l i k e mummies l y i n g beside the b u i l d i n g s . Problems of Sanitation in the Indian Slum. Some c r i t i c a l observers have c a l l e d the slums of India the f i l t h i e s t i n the world. In f a c t , there are very few slums anywhere that are generally clean since the very nature of l i v i n g i n such areas presents problems of cl e a n l i n e s s . The Indian slums are, however, generally characterized by open drains and stagnant water because of poor gradients. Refuse i s everywhere and the few a v a i l a b l e containers are seldom properly used. More often trash, garbage and refuse are shoved into the open drains or l e f t on the s t r e e t s . The municipal sweepers may even dump refuse i n the drains and the ch i l d r e n usually use them as l a t r i n e s . Whereas i n d i v i d u a l dwellings, even i n the worst slum areas, may be well swept and clean, a sense of cleanliness i s seldom extended beyond the l i m i t s of the i n d i v i d u a l dwelling. 40 Some of the factors that account for the unsanitary conditions are c i t i z e n apathy, the poor sanitation practices of v i l l a g e India, insuf-f i c i e n t l a t r i n e s , drains and trash bins and r e l i g i o u s b e l i e f s . The general attitude of the slum dwellers i s that either the muni-ci p a l government or the landlord i s responsible for the provision and maintenance of l a t r i n e s , drains, trash bins and water taps. There i s l i t t l e sense of r e s p o n s i b i l i t y for taking proper care of the few public f a c i l i t i e s that might exist i n the neighbourhood. Most Indian families i n s i s t upon the cleanliness of t h e i r own brass cooking utensils and upon the cleanliness of t h e i r personal l i v i n g quarters, yet they appear to think l i t t l e of adding to the general disorder i n t h e i r streets and a l l e y s . Gandhi once characterized the v i l l a g e s as "dung heaps": "Instead of having graceful hamlets dotting the land, we have dung heaps.""^ Few v i l l a g e residents use l a t r i n e s , preferring the open f i e l d s near the i r homes. People are prejudiced against l a t r i n e s because others use them and because they are a source of caste p o l l u t i o n . Attitudes towards human feces are intense, highly charged and negative. Gradual changes i n envi-ronmental sanitation practices are being brought about i n the v i l l a g e s through various r u r a l community-development programs and they w i l l un-doubtedly improve the sanitation practices of future r u r a l migrants to the c i t i e s . Progress has not been great enough to a l t e r the s i t u a t i o n suf-f i c i e n t l y and to affect materially the pattern of l i v i n g that r u r a l migrants bring with them to the urban environment. Religious b e l i e f s and attitudes also play important roles i n the problem of sanitation. Stray c a t t l e wander through the slum lanes and effective action i s often barred by public sentiments of charity and 41 tolerance towards animals, p a r t i c u l a r l y cattle.. For centuries, r e l i g i o n has exhibited concern for cleanliness, purity and avoidance of po l l u t i o n . However, this concern has largely involved r i t u a l rather than b i o l o g i c a l p o l l u t i o n . A pious housewife may make sure that no d i r t from the street i s brought into her kitchen on the sandals of family members, but she may be impervious to the contaminated drinking water i n the water jug or the f l i e s that swarm over her food. Although the individual may bathe d a i l y before his morning prayers or before going to the temple, he i s seldom bothered by the unsanitary conditions around the t y p i c a l temple. For centuries i t has been customary for a municipal or privately hired sweeper to clean the c i t y streets once or twice every day.. However, the use of such a sweeper system accounts for many inadequacies i n the sanitation practices. The system diminishes community r e s p o n s i b i l i t y since the residents f e e l that a l l trash w i l l be removed sooner or l a t e r . The problem, however, i s that few sweepers'are assigned to the slum and the result i s that the trash i s seldom cleared. One contributing factor here i s the absence of s u f f i c i e n t l a t r i n e s and proper drains. Approximately two-thirds of the slums of the c i t y of Kanpur have no community l a t r i n e f a c i l i t i e s , one l a t r i n e being used by an average of eighteen people."'""'" Two-thirds of the slums of the c i t y of Agra have no drainage system and an average of eighty people use a single l a t r i n e . In most of the slums of Delhi there are either no l a t r i n e s or they are i n s u f f i c i e n t . Out of 1,724 katras surveyed, 27 per cent, housing 12 33 per cent of the population, had no l a t r i n e s . Not only are these f a c i l i t i e s inadequate in.areas where people l i v e , but few are available to pedestrians i n many areas. No receptacles are provided for trash and consequently most of the garbage i s thrown on the streets or i n the open drains. Outdoor Community Living. The inhuman densities i n the slum dwel-l e r s ' s h e l t e r are often r e l i e v e d by the space outside, but too often the only space outside i s a narrow rutted path that must provide room f or the movement'of people, the carrying o f f of waste and r a i n water, cooking, peddling one's wares, and sometimes space f o r draf t animals as w e l l . Where streets are paved and a l i t t l e wider, however, they have assumed some of the functions that the home unit l a c k s . In the Indian slum the stre e t i s often the mass dining room f or the family and the place where one gets h i s oxygen amid the miscellaneous odors of culinary a c t i v i t y . Wastage of Water. Water i s an extremely precious commodity i n any urban community. In most Indian c i t i e s i t s importance i s magnified by generally short supplies, inadequate d i s t r i b u t i o n to people i n the slum areas and frequent contamination. The f i l t e r i n g of water i s an expensive undertaking in.India and i s often one of the largest items of a municipal budget. In order to conserve f i l t e r e d water, the supply i s often r e s t r i c t e d . Public water taps are the chief source of water for drinking and bathing i n the slum areas. In one survey of Delhi i t was revealed that one-third of the katras had no water taps and the water had to be c a r r i e d some distance from public hydrants. The common water taps were shared by an average of eight families or f o r t y people. In bus tees the s i t u a t i o n was even worse with 16 of 61 bustees having no water taps. In the remaining 45, approximately 134 people used each tap, with as many as 500 people u t i l i z i n g single taps i n some areas. (Plate V). 43 Despite acute shortages and high costs, large amounts of water are wasted i n the slums. In Delhi, for example, an estimated t h i r t e e n m i l l i o n gallons each day, or about 15 per cent of the t o t a l supply, are wasted through carelessness. Public water taps are either not properly turned o f f or are l e f t open; they may also be plugged open by the slum residents to keep them running constantly. In either case the water seems to be wasted incessantly. In most Indian c i t i e s the water i s pure upon leaving the f i l t e r i n g plant but frequently becomes contaminated i n the d e l i v e r y process. The reasons for t h i s seems to be that, due to the shortage of water, the flow i s often stopped during the day, a vacuum i s thereby created i n the pipes and external impurities can be sucked i n through the weak j o i n t s of the pipes. This problem i l l u s t r a t e s the r e l a t i o n s h i p s between a pure water supply, the wastage of water and the unsanitary practices of the slum residents. Lack of Community F a c i l i t i e s . Poor slum housing i s i n v a r i a b l y associated with poor f a c i l i t i e s and a severe lack of community serv i c e s . Along with the p h y s i c a l d i l a p i d a t i o n , the parks and open spaces are at a premium, the schools are of poor q u a l i t y and i n short supply and other p u b l i c f a c i l i t i e s are e i t h e r inadequate or t o t a l l y l a c k i n g . Slum dwellers are usually i l l i t e r a t e . Although there i s a great need for mass adult education programs and f a c i l i t i e s are often a v a i l a b l e , a major drawback to e f f e c t i v e l i t e r a c y campaigns has been the urban slum dweller's lack of desire. They often associate l i t t l e economic advantage with learning to read and write. In addition to the problems of adult i l l i t e r a c y , few pre-school f a c i l i t i e s are a v a i l a b l e for the c h i l d r e n i n these areas. These conditions have led Nirmal Bose to say that the "slums i n India are 44 chaotically occupied, unsystematically developed, generally neglected, over-populated and crowded with i l l - r e p a i r e d and neglected structures, i n s u f f i c i e n t l y equipped with proper communications and physical comforts, and inadequately supplied with s o c i a l services and welfare agencies to deal with the 'needs' and the s o c i a l problems of the families who are 'victims' of the b i o l o g i c a l , psychological and s o c i a l consequences of the physical and s o c i a l environment of the slum.""'"4 Lack of Recreational Facilities. The constant pressure of poverty and poor l i v i n g conditions along with the added pressures of montonous jobs makes recreational outlets even more important i n the Indian slums."^ Such a need, however, has not been recognized by the authorities, partly because of the f a i l u r e to comprehend the importance of this human need. The absence of adequate open space and the limited experience of the com-munity i n assuming i n i t i a t i v e for organizing recreational programs has led to the decline i n enthusiasm for pursuing even those t r a d i t i o n a l a c t i v i t i e s of the v i l l a g e such as dance and music. Young children, p a r t i c u l a r l y those of school age, seem to suffer most from the lack of these f a c i l i t i e s . Hundreds of children roam about aimlessly looking for something to do. Some parks and organized recre-ation do exist but they are often inaccessible to the slum children and their limited equipment i s often i n disrepair. Studies have shown that the men of the slum spend money that they c a n . i l l afford on frequent attendance at movies or on gambling."''^ Deviant Behaviour. As i n other countries, deviant behaviour such as juvenile delinquency, crime, p r o s t i t u t i o n , professional begging, and the use of alcohol and drugs i s also associated with the Indian slums."'"7 COMMUNITY WATER TAP - MOTIA KHAN BUSTEE, DELHI COMMERCIAL LAND-USE IN A RESIDENTIAL AREA - SUBJIMANDI BUSTEE, DELHI 53 However, these problems are not as serious as they are i n the Western slums; i n fact, studies of the Indian slum indicate that poverty alone does not explain deviant behaviour i n slum communities. In the Indian c i t i e s , the family, and to a certain extent the caste system, operate as a s o c i a l control over such behaviour. I t i s questionable whether such controls w i l l continue to be effective i n the face of increasing urbaniz-ation, i n d u s t r i a l i z a t i o n and a urban way of l i f e . One can, however, expect r i s i n g rates of deviant behaviour i n Indian c i t i e s , and i n pa r t i c u l a r , i n the slum areas. I l l CULTURE OF THE SLUM Culture may be defined as a system of symbols and meanings for norm-ative conduct and having three d i s t i n c t properties: i t i s transmittable, i t i s learned and i t i s shared. The slum has a culture of i t s own and this culture i s a way of l i f e d i s t i n c t from the culture of the c i t y . This learned way of l i f e i s passed along from generation to generation with i t s own rationale, structure and defence mechanisms, which provide the means to continue i n spite of d i f f i c u l t i e s and deprivations encountered by the inhabitants of the slum. The culture of the slum affects every facet of the l i f e of the slum dwellers. I t i s largely a synthesis of the "culture of poverty." The overwhelming majority of the slum dwellers are of the lower class and l i v e at the poverty l e v e l . The culture of the slum has a number of char-a c t e r i s t i c s and may vary only i n degree and d e t a i l from one slum to another, from one ethnic group to another and from c i t y to c i t y . Every indiv i d u a l i n the slum i s influenced to a different degree by the general 54 slum culture. L i f e i n the slum i s t y p i c a l l y gregarious and largely centered i n the immediate area where are found friends, shops and possible c r e d i t . There i s l i t t l e privacy, and noise and confusion seldom abate; l i f e , however, has a certain spontaneity and behaviour i s unrestrained. Throughout the slum there i s the generalized suspicion of the "outside world," which includes governments and p o l i t i c i a n s , welfare groups and the upper and middle classes. Slum dwellers often f a i l to adequately u t i l i z e public and private agencies such as the health department, schools and even the police. Very often these agencies are feared as possible dangerous sources of interference i n everyday l i v i n g . Unemployment, underemployment and low wages are the rule i n the slums. There i s a constant struggle for economic s u r v i v a l . Work patterns are l i k e l y to be i r r e g u l a r , and the lack of steady employment often con-tributes to unstable family patterns. There i s almost a complete absence of savings or even of the desire to save, and there i s l i t t l e a b i l i t y to plan for the future. Food reserves are often non-existent, personal pos-sessions are frequently pawned and l o c a l money lenders constantly v i s i t e d . Any treatment of the slum solely as a product of poverty, however, i s far too simple. "Poverty" i s both an absolute and r e l a t i v e term. In a n r absolute sense i t means the lack of resources for s p e c i f i c needs; i n a r e l a t i v e sense i t refers to the extent of these resources i n comparison to what other individuals i n the society might seem to have. The s o c i a l aberration among the poor of the slums as w e l l as the i r apathy i s a product of the i r being the poorest rather than of t h e i r being "poor," and their alienation, apathy and withdrawal from the general 55 society appear to be maximized under urban slum conditions. In r u r a l areas the r e l a t i v e effects of poverty are counterbalanced by stronger traditions and group t i e s . In areas of extensive urbanization and indus-t r i a l i z a t i o n , where t r a d i t i o n a l and primary group t i e s are weakening, the lack of power and status among the poor, p a r t i c u l a r l y those i n the slums, i s much greater. Commenting on the attitude of society at large towards the slum dwellers, Clinard says: A slum a l s o has an image i n the eyes of the larger urban community; there i s a so c i e t a l reaction to the slum dweller. The non-slum dwellers often associate the physical appearance and d i f f i c u l t l i v i n g conditions of the slum with the b e l i e f i n the "natural i n f e r -i o r i t y " of those who l i v e i n i t . I t i s a common b e l i e f that since a slum i s i n f e r i o r to the rest of the c i t y , those people who l i v e i n the slum must also be i n f e r i o r to the rest of the people of the c i t y . This reaction has important consequences i n the s o c i a l i s o -l a t i o n of slum dwellers and thei r exclusion from p a r t i c i p a t i o n i n urban society. The slum dwellers lack an effective means of com-munication with the "outside world" because of t h e i r apathy, lack of experience i n communicating with outsiders, and their own power-lessness to make their voices heard. Thus the common denominator of the slum i s i t s submerged aspect and i t s detachment from the c i t y as a whole. ...The l o c a l p o l i t i c i a n often becomes the "ambassador to the outside world" and one who often t r i e s to 1 8 manipulate i t for his own benefit. In any community there i s a d i s t i n c t relationship between i t s physical characteristics and i t s culture i n that a deterioration i n the physical environment produces a correspondingly negative effect i n i t s culture. The government's f a i l u r e to understand the culture and function of the slum has led to o f f i c i a l p o l i c i e s of neglect. The result has been the physical decay and the c u l t u r a l stagnation of these communities. Con-sequently, once a migrant moves into the slum, he i s assimilated into the general slum culture and cannot escape i t to become an urbanite. I t i s the contention of this study that i f the physical environment of the slum can be r e v i t a l i z e d , then the slum can emerge as a dynamic force with i t s 56 own i d e n t i t y within the general culture of the c i t y . The slum can thus function as a zone of t r a n s i t i o n between the cultures of the c i t y and the v i l l a g e . The Process of Acculturation. Acculturation i s the taking on of culture. I t i s an evolutionalry process, i f we understand by that term a patterned and i r r e v e r s i b l e movement from one mode of existence to another. Every ind i v i d u a l has to learn new roles from time to time as his status, a c t i v i t i e s , interests and the expectations others have of him change. The learning of new roles of the sort not envisaged i n one's native h e r i -tage, and therefore, not patterned, c a l l s for acquiring new modes of thinking, feeling and experiencing. To say that the slum can be made to function as a sociological and c u l t u r a l zone of transition, is to say that it is a place where acculturation CAN occur: the migrant arrives from the rural hinterland to the city with the wrong kit of "cultural baggage" and w i l l pass through it to enter the city as a new urbanite - only i f the process is- successful - with the right skills, habits, attitudes and values for coping with and eventually finding a secure place in the urban social order. This hypothesis hinges on the assumption that the stagnant physical environment of the slum can be r e v i t a l i z e d . The process of r e v i t a l i z a t i o n w i l l be discussed i n l a t e r chapters. The purpose of t h i s chapter i s only to show that the slum has a potential for providing the necessary ingredients for the acculturative process and how t h i s acculturative process works. The Role of Mediating Groups in- the. Transitional Stages. The i n d i v -idual i s made to f i t and i s able to l i v e successfully i n society through 19 pa r t i c i p a t i n g i n the l i f e of a group. As he moves from early childhood towards adulthood and the end of moral and economic dependency he learns the roles appropriate to his changing age, status and destined l i f e a c t i v i t y . In the course of doing so he becomes encultured, that i s , he takes on the culture of the community into which he was born and i n which, i t i s taken for granted, he w i l l remain. Social pressures to learn to do the " r i g h t " things and develop the " r i g h t " understanding of what they mean makes i t s e l f f e l t through the actual real_ group i n which he participates. Acculturation, on the other hand, i s the giving up of an old c u l t u r e and the taking on of a new one. I t i s not the purpose of this thesis to go into the d e t a i l about the types of mediating groups. However, i t i s essential that we under-stand that the mediating group i s no less s i g n i f i c a n t as the single most important agency of acculturation for the adult who has migrated to the c i t y than i t i s for the c h i l d during the process of enculturation i n the v i l l a g e of his b i r t h . Moreover, i n both cases i t assumes a somewhat d i f -ferent character at successive stages of the process: the id e a l movement i s from small intimate family-type groups towards larger, impersonal and interest-based associations. 2^ A functional mediating group within the slum can serve to bring the newly arrived migrant d i r e c t l y into the orbit of urban l i f e . The advan-tage i n such a situation i s that there i s s t i l l enough looseness i n the i n s t i t u t i o n a l linkage these formations provide between the slum and the c i t y proper to permit the individual some freedom to maneuver i n terms of role playing and moral commitments. The group cannot function without becoming i n some measure a part of the i n s t i t u t i o n a l fabric of the c i t y , whether this be the result of urban i n s t i t u t i o n s "reaching i n " to the slum as i n the case of sports clubs, mutual aid societies etc., or of "reaching out" by an indigenous slum group formation such as neighbourhood improvement associations. x The Role of Meliorative Institutions and Agencies. A modernizing society develops formally established i n s t i t u t i o n s necessary for s o c i a l control and for the r e a l i z a t i o n of welfare objectives, i n the broad sense of the term, as the need becomes apparent and the means necessary to meet i t become available. Typically, the e a r l i e r ones are the product of private philanthropic enterprise rather than government. Schools, dispen-saries, hospitals, asylums, monastries, meeting h a l l s and places of worship are the more obvious examples. Welfare i n s t i t u t i o n s began, and to a considerable extent s t i l l remain, i n what we have become accustomed to c a l l the private sector. Control i n s t i t u t i o n s l i k e law courts, the police and the m i l i t a r y have been i n the public sector. Both welfare and control i n s t i t u t i o n s are formally meliorative. Moreoever, both have a s o c i a l i z i n g and acculturating mission. We.have to determine thei r effect on the slum and see how their role i n the acculturative process compares with that of the mediating groups discussed e a r l i e r . The question i s extremely hard to answer because government policy and the government's w i l l and a b i l i t y to carry out i t s policy i s such a large factor and varies so greatly from si t u a t i o n to si t u a t i o n . However, i t i s possible to make some tentative observations. The migrant i n the urban environment discovers that the r e l a t i v e l y bureaucratic non-discriminatory administration of j u s t i c e and enforcement of law can be just as onerous as the p a r t i s a n - p o l i t i c i z e d mode he fl e d from i n the v i l l a g e : there are more laws to break and less chances of 59 pleading extenuating circumstances or bringing pressure to bear for len-iency. At the same time the valued amenities of urban l i f e such as education, material comfort and medical care are t a n t a l i z i n g l y near, although just about impossible to reach and use. The slum creates a v i s i b l e need for bureaucratically organized, meliorative i n s t i t u t i o n s and agencies because of the concentration of 22 people with s o c i a l and c u l t u r a l needs. However, the physical character-i s t i c s of the slum - t y p i c a l l y either a jumble of older tenements or ^ "^j squatters huts along narrow pedestrian paths, without even the most elem-entary f a c i l i t i e s and u t i l i t i e s - make i t extremely d i f f i c u l t for such agencies to do anything for the inhabitants. Individuals are not easy to locate because of the high density and, very often, because they do not want to be located. Government o f f i c i a l s appear to them as h o s t i l e outsiders. The result has been that the government has neglected these communities and there are no legitimate private organizations to help the people. One may conclude here that the sheer concentration of people's needs, which favors r a t i o n a l i z e d , meliorative intervention, i s largely neutralized by the slum's characteristic disorder and i t s suspicious attitude towards the outsiders and the government o f f i c i a l s . I f bureau-c r a t i c procedure i s frustrated i t w i l l seem unlikely that meliorative i n s t i t u t i o n s can play a very s i g n i f i c a n t acculturative r o l e . However, thi s i s a tentative conclusion. In r e a l i t y the outcome may depend on the nature and attitude of the government. A government bent on t o t a l improvement may find,, the s o c i a l , c u l t u r a l and physical disorder of the slum to be a d i s t i n c t advantage i f i t had a program with mass appeal and the necessary framework to carry i t out. The content of i t s work with people would f i r s t include the encouragement of l o c a l community p a r t i c i p -ation and s e l f - a s s i s t a n c e organization and then, only i n the l a t e r stages, the provision of welfare services and agencies. The important point i s that a s i t u a t i o n which i s extremely d i f f i c u l t f o r an ordinary welfare bureaucracy to deal with e f f e c t i v e l y i n a developing country l i k e India, can be highly favorable ground to c u l t i v a t e from the standpoint of 23 e s t a b l i s h i n g i n s t i t u t i o n s with grass roots anchorage. Patterns of Individual Response to Acculturative Change. Mediating groups and meliorative i n s t i t u t i o n s are p o s i t i v e l y a c c u l t u r a t i v e i f they work. They can p u l l and push the migrant through the slum thus providing him with a zone of t r a n s i t i o n . In the ideal slum the new migrant would settle in, be "processed" over a period of time and then finally emerge "finished" into the urban environment. However, t h i s i s a s i m p l i f i e d d e s c r i p t i o n of an i d e a l pattern. Actual patterns are much more complex i n any given s i t u a t i o n . The accu l t u r a t i v e mechanisms they are l i k e l y to embody may vary not only i n form, r e f l e c t i n g the need to adapt to l o c a l circumstances, but also i n functional adequacy: in-some slums most people might su c c e s s f u l l y graduate and speedily move out of the slum "onwards and upwards" into the c i t y proper, while i n others they might not. The former pattern makes for a healthy and hopeful climate by providing models for those s t i l l s truggling, and making room for newcomers. In other circumstances, as i s the case i n Indian c i t i e s today, there i s r e l a t i v e l y no movement up and out of the slum while there i s s t i l l a r e l a t i v e l y rapid rate of in-migration. In such s i t u a t i o n s new slums spring up and the older ones stagnate; the e f f e c t on the residents i s 61 • ; ? Z • | v— ;•; :: VA < 5 -a: 5' < "IT i i •a 5* 62 l i k e l y to be the growth of disillusionment and frust r a t i o n such as anger, apathy and t o t a l withdrawl from the rest of urban society. If the slum environment can be r e v i t a l i z e d and the acculturative process be successful then the migrant can be expected to learn, f i r s t l y , a new and different d i s c i p l i n e of interpersonal relations: how to accept r e l a t i v e l y impersonal authority, how to relate to another person as a source of convenience and how to s o c i a l i z e with neighbors or work mates who are v i r t u a l strangers. Secondly, he would learn a new and different kind of s e l f - d i s c i p l i n e . This means building into the se l f d i s t i n c t i v e l y urban standards of conduct and the values and attitudes that validate them. The new urbanite would thus become time conscious and learn to value r e l i a b i l i t y ; he would become money-conscious and value t h r i f t ; and, i n becoming self-conscious, he would value individualism and e t h i c a l uni-versalism. Thirdly, he would learn a marketable s k i l l , some sort of "know-how" - even common labor involves "knowing how to work" - that makes i t economically as well as psychologically possible to sever his t i e s with the v i l l a g e . F i n a l l y , he would take on a new i d e n t i t y . (Schematic 3). IV SUMMARY AND CONCLUSIONS It i s seen that the Indian c i t y i s r e l a t i v e l y "westernized" while i t s hinterland remains t r a d i t i o n a l and p r e c a p i t a l i s t i c . This si t u a t i o n gives r i s e to the condition of dual s o c i a l structures and cultures. The v i l l a g e r ' s need for sustenance, security, services and urban amenities has pushed him and pulled him to the c i t y where he tends to s e t t l e either as a squatter i n the slum shanty towns that ring the c i t y or i n the older more established slum communities. 63 Unless the process of urbanization can be reversed, and unless there are r e a l and immediate a l t e r n a t i v e s for the m i l l i o n s of migrants and the new born i n the slums, i t cannot be said that urban settlement, even i f i t i s anarchic, should not e x i s t . Obviously there must be urban settlements. People must l i v e somewhere - except for those that are l i t e r a l l y prepared to l i v e out i n the open and on the s t r e e t s . Thus the basic conclusion of this chapter i s that i t i s the uncontrolled and d i s -torted nature of the urban slum settlements that i s the main problem for India, and not the existence of the slums themselves. In s p i t e of t h e i r many physi c a l , s o c i a l and c u l t u r a l deficiences, slums have performed t h e i r primary function of providing cheap she l t e r and f o s t e r i n g group a s s o c i -ations for the lowest income groups i n the urban society. For the econ-omically deprived r u r a l migrants they have provided the f i r s t base i n the c i t y at the lowest possible p r i c e s . Yet from the government's point of view, uncontrolled urban settlement i s a very serious phenomenon even when there are no serious or immediate consequences for the inhabitants. This type of a haphazard development points out the l i m i t a t i o n s i n the e x i s t i n g government machinery for planning, and reduces the proportion of urban physical growth that can be e f f e c t i v e l y influenced by the govern-ment - that part which i s c a r r i e d out l e g a l l y within a technical and i n s t i t u t i o n a l framework to accommodate a s i t u a t i o n of slow s o c i a l and economic change. That these settlements are necessary and are bound to p e r s i s t as long as no reasonable a l t e r n a t i v e s are a v a i l a b l e for those whom they serve, i s undeniable. The physical planning and development problems these settlements create for t h e i r inhabitants and the c i t y , and which 64 are due to extreme overcrowding, can have serious s o c i a l , p o l i t i c a l and economic consequences - both physical disorder and disease undoubtedly contribute to c i t y overheads and reduced productivity. The many reasons for the existence of these settlements make i t inevitable that they w i l l continue to exist i n an economically impoverished country l i k e India, for as long as the poor remain poor. Government p o l i c i e s of neglect, on the other hand, have contributed towards the physical and c u l t u r a l stagnation of these communities. I t i s the contention of this thesis that the slums should not be eradicated but should be made l i v a b l e . A theme basic to the analysis that ought to be reiterated here i s : under conditions of. rapid modernization and urbanization, slums are functional, and in this sense' normal. This does not mean that slums are desirable any more than the fact that human mortality i s functional and normal makes i t desirable; i t does mean that the absence of slums indicates either that l i t t l e or no urbanization i s going on, or else there i s a t o t a l i t a r i a n regime i n power - perhaps both. The positive feature of the Indian slums i s th e i r culture and their potential to serve as a c u l t u r a l bridge between the urban centers and the t r a d i t i o n a l r u r a l hinterland. I believe that i f the slum environment can be r e v i t a l i z e d then these communities can function as so c i o l o g i c a l , eco-l o g i c a l and c u l t u r a l zones of t r a n s i t i o n . I f the acculturative process works, mediating groups and associations w i l l spontaneously take root and form a rough evolutionary series of acculturative stages. Efforts at meliorative intervention by formal i n s t i t u t i o n s of government and of private agencies close to the government may or may not show some success i n affecting the process depending on how effective they are i n mobilizing p a r t i c i p a t i o n . The i n d i v i d u a l c an be e x p e c t e d to re spond t o the a c c u l t u r -a t i v e c h a l l e n g e by l e a r n i n g new ways o f t h i n k i n g , f e e l i n g and b e h a v i n g . T h i s w i l l p e r m i t the m i g r a n t t o be g r a d u a l l y a s s i m i l a t e d i n t o the u r b a n env i ronment and c u l t u r e so t h a t he can be encouraged to l e a v e t h e s lum and make way f o r newcomers. Beyond t h a t , however , t h e r e i s t he l a r g e r q u e s t i o n o f how the a c c u l t u r a t i v e p r o c e s s w i l l a f f e c t the c h a r a c t e r o f the n a t i o n . U r b a n i z -a t i o n i s no t a one-way s t r e e t . T r a d i t i o n a l s o c i e t y i s s l o w l y b u t s u r e l y b e i n g d e s t r o y e d by the W e s t e r n i z e d c i t y , b u t i n e n a c t i n g i t s r o l e as t h e d e s t r o y e r i t i s i t s e l f b e i n g t r a n s f o r m e d . I t cannot c o n t i n u e w i t h i t s f a c e f i x e d g a z i n g towards the West ; i t i s under p r e s s u r e to l o o k w i t h i n , even l o o k to the r e a r t o f i n d i t s own i d e n t i t y . The s e a r c h f o r t h e s e c l u e s to change must c o n t i n u e i n t he s l u m , f o r i t must be t h e r e , t h a t the c u l t u r e and i n s t i t u t i o n a l forms o f t he f u t u r e can be e x p e c t e d to t a k e s h a p e . CHAPTER I I . THE MIGRANT IN THE URBAN ENVIRONMENT ^ W i l b e r t E. Moore, " I n d u s t r i a l i z a t i o n and S o c i a l Change , " i n Industrial-ization and Society, e d s . , B. F. H o s e l i t z and W i l b e r t E. Moore, 1965, p. 343. 2 C h a r l e s Abrams, Man's Struggle for Shelter in an Urbanizing World, 1964, p. 5. 3 D e l h i Development A u t h o r i t y , Master Plan for Delhi, 1959, p. 7.2." 4 N i r m a l K. Bose, Calcutta: A Social Survey, 1968, p . 40. ^ M i n i s t r y o f Works, Hous ing and S u p p l y , The Problems of Housing in India, 1957, p. 16. ^Mpore, p. 223. 7 S . M. Mamor ia , Population and Family Planning in India, 1963, p. 158. Q W i l l i a m and P a u l Paddock , Hungry Nations, 1964, p. 119. 9(ibid., p. 120. 1 0 M . K. Gandh i , India of My Dreams, 1963, p. 134. " '" ' ' 'Ministry o f Works, Hous ing and S u p p l y , op. cit., p. 15. 1 2 B h a r a t Sewak Samaj, The Slums of Delhi, 1958, p. 30. 13Ibid., p. 28. 14 Bose , p. 60. -*-^B. H. Mehta , "Community O r g a n i z a t i o n i n Urban A r e a s , " i n Towards a S e l f - R e l i a n t Economy, Government o f I n d i a P u b l i c a t i o n , 1961, pp . 79-80. 16 A. Bopegamage, Delhi: A Study in. Urban Sociology, 1957, pp. 157 & 161. 1 7 S h a n k a r S. S r i v a s t a v a , Juvenile Vagrancy: A Socio-Ecological Study of Juvenile Vagrants in the Cities of Kanpur and Lucknow, 1963. 18 -M a r s h a l l B. C l i n a r d , Slums and Community Development, 1966, p. 14. 1 9 H o r t e n s e Powdermaker, Coppertown: Changing .Africa, 1962, p. 116. 20 Kenneth L i t t l e , West African Urbanization, 1965, p. 64. 2 l R e i n h a r d B e n d i x , Nation Building and Citizenship, 1964, p. 5 f f . 22 Powdermaker, p. 120. 67 'Philip Selznick, The Organizational Weapon, 1962, p. 72. 68 CHAPTER I I I ANALYSIS OF PREVAILING CONCEPTS OF SLUM MANAGEMENT I INTRODUCTION. Over the years many groups of rural migrants have l i v e d i n the slums; few have l e f t while the vast majority have stayed on. The slums of Indian c i t i e s have not only persisted for many years but have grown i n size and new slums are being constantly formed. It was observed i n the preceding chapters that t h e i r formation i s a self-perpetuating process: they are either replenished from within or established through migration from outside the c i t y . Several t r a d i t i o n a l approaches have been developed and applied to deal with t h i s problem. Some policy makers have advocated the policy of destroying the slums, tearing them down physically, erasing t h e i r houses and shacks. Others believe that the provision of welfare services to the inhabitants of the slums i s the ideal way to bring about changes and solve the problem. S t i l l others stress the importance of providing greater economic opportunities to the slum dwellers. The basic premise of the various approaches proposed so far by the decision makers has been to regard the slum primarily as a physical problem. The proponents of these approaches assume that by providing a new physical environment for the slum dwellers, the problems confronting the slums w i l l automatically disappear. Although these various approaches appear on the surface to be sound, and have been applied i n many c i t i e s over the years, they have serious l i m i t a t i o n s as solutions either alone or together, to the problems of the slum. The basic shortcoming of these 69 approaches has been t h e i r f a i l u r e to c o n s i d e r t he i m p o r t a n t p o s i t i v e a s p e c t s o f s lum l i f e . T h e r e seems to be s u r p r i s i n g l y l i t t l e u n d e r s t a n d i n g o f t h e c u l t u r e o f the s lum and the p r o c e s s o f a c c u l t u r a t i o n w i t h i n i t . F u r t h e r m o r e , a u t h o r i t i e s f a i l t o r e a l i z e t h a t even the most p h y s i c a l l y decayed s lums do i n d e e d p r o v i d e t h e e c o n o m i c a l l y i m p o v e r i s h e d r u r a l m i g -r a n t s w i t h the o n l y s h e l t e r t h a t they can a f f o r d i n t he c i t y . The p r e c e d -i n g c h a p t e r has i l l u s t r a t e d the r o l e o f t he I n d i a n s lum i n the u r b a n environment., T h i s c h a p t e r a n a l y s e s the v a r i o u s t r a d i t i o n a l approaches u n d e r t a k e n by the government and o t h e r a g e n c i e s towards the s o l u t i o n o f t h e s lum p rob lem and i n d i c a t e s t h e i r d e f i c i e n c i e s . I t w i l l be shown t h a t i n s p i t e o f t h e s e approaches t h rough the y e a r s , I n d i a n slums have g e n e r a l l y c o n t i n u e d to r e s i s t e f f o r t s t o change them. I I THE GOVERNMENT POLICY ON PUBLIC HOUSING The f i r s t c h a p t e r i n d i c a t e d t h a t a l t h o u g h u r b a n i z a t i o n i s no t o c c u r -i n g a t an u n u s u a l l y f a s t pace the t o t a l p o p u l a t i o n f i g u r e s o f u rban I n d i a a r e s t i l l e x t r e m e l y h i g h . W i t h i n the u r b a n a r e a s n a t u r a l i n c r e a s e i s t a k i n g p l a c e a t t he r a t e o f 1.5-2.0 pe r c e n t p e r y e a r . T h i s on top o f t h e 108.8 m i l l i o n 1971 u rban p o p u l a t i o n means a p p r o x i m a t e l y 80 m i l l i o n b i r t h s d u r i n g the n e x t 25 y e a r s a t a t ime when the d e a t h r a t e i s d e c l i n i n g . M i g -r a t i o n f rom t h e r u r a l a r e a s i s e x p e c t e d to add m i l l i o n s more. B e s i d e s t he s h e e r magn i tude o f t h e u r b a n p o p u l a t i o n , t h e r e i s t h e a d d i t i o n a l p r o b l e m o f low incomes f o r t he v a s t m a j o r i t y o f t h i s u r b a n p o p u l a t i o n . The p r e s e n t Government o f I n d i a p u b l i c h o u s i n g p r o v i s i o n f a l l s m a i n l y under f o u r schemes. Maximum funds have been a l l o c a t e d f o r t h e Industrial Bousing Scheme where the maximum a l l o w a b l e r e n t i s Rs.36 pe r 70 month and the income l i m i t a t i o n i s s e t a t R s .4 ,200 pe r y e a r . An e q u i v a l -ent amount o f money has been s e t a s i d e f o r t he Low Income Scheme where the maximum a l l o w a b l e r e n t has been s e t a t Rs.27 p e r month and the a l l o w a b l e a n n u a l income o f t he t e n a n t i s f i x e d a t R s . 6 , 0 0 0 . The Slum Clearance and Economically Weaker Section Housing Scheme has had l e s s i n v e s t m e n t b u t s e r v e s f a m i l i e s w i t h a maximum a n n u a l income o f R s .3 ,000 w i t h maximum a l l o w a b l e month ly r e n t o f R s . 2 5 . F i n a l l y , t he Middle Income Housing Scheme wh ich i s e s s e n t i a l l y on a l o a n b a s i s , s e r v e s p e o p l e i n the a n n u a l income range o f R s . 6 , 0 0 0 - 1 5 , 0 0 0 . E x p e n d i t u r e s on h o u s i n g have i n c r e a s e d i n each F i v e Y e a r P l a n f rom an i n i t i a l o f Rs. 33;5 c r o r e s ($23.9 m i l l i o n ) i n t h e F i r s t P l a n to a p r o -posed Rs. 250 c r o r e s ($178.5 m i l l i o n ) i n t h e F o u r t h P l a n . However, t h e p e r c e n t a g e o f t h e t o t a l P l a n fund has rema ined a r e l a t i v e l y c o n s t a n t 1.7 pe r c e n t . The Government o f I n d i a ' s p o l i c y has c o n s i s t e d o f p r o v i d i n g h o u s i n g f o r government employees and some s o c i a l h o u s i n g schemes, t he l a t -t e r c o n s i s t i n g o f a v a r i e t y o f programs d e s i g n e d to make h o u s i n g a v a i l a b l e to p e o p l e o f low and m i d d l e incomes by a comb imat ion o f l o a n s and g r a n t s . The t o t a l funds a v a i l a b l e f o r t he d i f f e r e n t schemes a r e a l l o t t e d to t h e v a r i o u s S t a t e Governments by t h e P l a n n i n g Commiss ion f o r each P l a n p e r i o d . The fund i s g i v e n to the S t a t e s f o r a p a r t i c u l a r p r o j e c t and the C e n t r a l Government e x e r c i s e s d e t a i l e d c o n t r o l i n i m p l e m e n t i n g the i n d i v i d -u a l p r o j e c t . The S t a t e Government, f o r example, cannot t r a n s f e r funds a l l o c a t e d f o r one s a n c t i o n e d p r o j e c t , even under the same scheme, w i t h o u t t h e e x p l i c i t a p p r o v a l o f t he C e n t r a l a u t h o r i t y . 60 per c e n t o f t he h o u s e h o l d s i n u r b a n I n d i a e a r n l e s s t h a n Rs. 2,000 ($286) pe r y e a r . 25 p e r cen t o f t he h o u s e h o l d s e a r n l e s s t h a n Rs . 1,000 71 annually. I f i t can be assumed that households at these income l e v e l s cannot a f f o r d more than 15 per cent of t h e i r income for rent, then monthly rentals of not more than Rs. 10 ($1.50) should be considered for them. This low rent paying capacity precludes these families from u t i l i z i n g the present Government of India schemes regardless of the amount of subsidy provided or the attractiveness of the project. Against the background of a massive urban population and the extremely low incomes i t i s not sur-p r i s i n g that the public housing programs have been t o t a l l y inadequate i n dealing with the problem. The various programs r e l y on subsidies of between 60-70 per cent of the rent for each housing u n i t . The problem of massive subsidies required to rehouse slum fa m i l i e s was g r a p h i c a l l y i l l u s t r a t e d i n a paper by o Stanislaw W e l l i s z . Using figures on the average income of a slum family, he concluded that the subsidy required to rehouse one slum family would amount to Rs.680 per year for a 60 year period. This means a t o t a l subsidy of $700 m i l l i o n to rehouse the slum fa m i l i e s l i v i n g i n Calcutta. Even more i n t e r e s t i n g i s Wellisz's conclusion about who a c t u a l l y pays for t h i s subsidy. He points out that because of i n d i r e c t taxes the burden f a l l s l a r g e l y on the poorest f a m i l i e s . Over one-half of the subsidy for t h i s type of housing comes from families with monthly incomes of l e s s than Rs.150 ($20). In short, the poorest families are c a l l e d upon to bear the burden of housing those fortunate few who l i v e i n the public housing projects. Accepting the maximum allowable annual income as the c e i l i n g of the income group served and e s t a b l i s h i n g a f l o o r by assuming that a family can a f f o r d 15 per cent of i t s annual income as rent, i t i s possible to 72 d i s t r i b u t e the percentage of funds sanctioned for housing among the income d i s t r i b u t i o n of urban households. When th i s curve i s compared to the one of income d i s t r i b u t i o n of urban households (see Graph I ) , i t can be seen that the bulk of public investment i s made to benefit the upper 25 per cent of the income' groups of the country. For most of the lower 75 per cent of urban households there i s i n s i g n i f i c a n t b e n e f i t . Naturally there are i s o l a t e d examples where fam i l i e s with an annual income of less than Rs.2,000 are housed i n some of the public housing projects, but these are r e a l l y exceptions. I t should be noted here that even though the f u l l investment of housing funds i s assigned to the population with incomes between Rs.2,000-15,000 i t s t i l l f a l l s f a r short of the t o t a l need. How-ever, t h i s i s i n c i d e n t a l to the main point of the graph which i s to under-score the need f o r a new housing program that w i l l be directed towards the lowest income'groups i n urban India. There i s a need for complete rethinking, leading to a reorganization of the government's r o l e i n housing. More emphasis i s required on estab-l i s h i n g procedures of. public or private financing so that f a m i l i e s with steady incomes can secure housing outside the government programs. There i s a need to improve the designs and construction techniques, to conserve scarce materials, rewrite b u i l d i n g codes, introduce a constructive tax p o l i c y , e s t a b l i s h v i a b l e savings i n s t i t u t i o n s , and increase the density of new r e s i d e n t i a l areas within the urban centers. A l l these fac t o r s , as v i t a l as they are, do not provide a s o l u t i o n f o r the fam i l i e s i n the slums. There can be no so l u t i o n for th i s group u n t i l there i s a r e a l i s t i c understanding of the problem factors of population, per capita income and the lack of government resources. 74 III THE CONCEPT OF SLUM CLEARANCE There have been numerous obstacles that have impeded progress i n dealing with the problems of the slums i n urban India. They include the enormous extent of the problem, the gap between shelter cost and national finance l i m i t a t i o n s , lack of savings, absence of a well established b u i l d -ing industry, lack of control over land values, land speculation, and the transfer of the public housing units to private owners. Problems of f i n -ance are p a r t i c u l a r l y d i f f i c u l t because of i n s u f f i c i e n t c a p i t a l for housing, lack of mortgages and co-operative savings programs. Many experts and decision makers think that the obvious remedy f or the slums i s t h e i r physical destruction. However, i t i s obvious from the conclusions of the'previous chapter that t h i s would solve nothing and would, i n f a c t , lead to s i m i l a r conditions on the ruins of the old slums. Proponents of the physi c a l destruction of slums argue that they plan to b u i l d new and su i t a b l e housing f a c i l i t i e s to replace the older settlements. The l o g i c of such a program and i t s f e a s i b i l i t y need c a r e f u l examination because of four main d i f f i c u l t i e s : the immensity of the physi c a l problems i n terms of li m i t e d government resources, the l i k e l i h o o d of increasing urbanization, the fac t that the majority of the problems of the slum can-not be at t r i b u t e d to physical conditions alone, and f i n a l l y , the fac t that the destruction of the present housing stock i n the slums w i l l also involve the destruction of the p o s i t i v e human associations that already exist i n the area. The Report of the Advisory Committee on Slum Clearance, by the Govern-ment of India, estimated that as many as 60% of the people i n the large Indian c i t i e s l i v e i n p h y s i c a l l y poor conditions that can be c l a s s i f i e d as 75 slums and, i n addition, 1.5 m i l l i o n 'houses i n Indian c i t i e s are u n f i t f or 3 human habitation without substantial improvements. The backlog of the demand for urban housing has been estimated at nearly 5 m i l l i o n . At the present rate of urban growth, t o t a l slum clearance would require 115 years 4 and expenditures equal to at l e a s t two n a t i o n a l Five Year Plans. Taking only the estimated increase i n population for the f i v e years ending 1966, the cost of providing housing for t h i s increase i n population, at the present conservative f i g u r e of Rs. 2,500 per u n i t , would amount to Rs. 2,880 crorers ($5.76 b i l l i o n ) . " ' I f the cost of land were also to be included, a t o t a l f i g u r e of Rs.3,500 crores would not be disputed. In r e l a t i o n to these f i g u r e s , the t o t a l housing development outlay for the Third Five Year Plan was only Rs.1,000 crores - an amount which was only one-half the allotment for a l l s o c i a l s e r v i c e s . Furthermore, the contem-plated housing would consist of only one or two room units of simple design. I t i s important to note here that housing of the type the Western trained observers consider representative of good and decent l i v i n g would be a v a i l a b l e to only a small f r a c t i o n of the people who must l i v e i n the 6 c i t i e s of India. L i t t l e help towards achieving adequate low cost housing can be expected from the private investors who provided nearly a l l the low cost slum housing p r i o r to World War I I . The p r i v a t e investor formerly received a f a i r l y good return on h i s investment even with the low rents. The reasons for t h i s were the low labour and construction costs. In most cases, however, the buildings were of an extremely sub-standard nature, being l a r g e l y devoid of the necessary f a c i l i t i e s . Today, very few, i f any of the private investors are interested i n 76 p r o v i d i n g h o u s i n g f o r t he low income g r o u p s . The low r e n t p a y i n g c a p a c i t y o f t he s lum d w e l l e r s and t h e m i g r a n t s means t h a t t he p r i v a t e i n v e s t o r c a n -no t e x p e c t a r e a s o n a b l e r e t u r n on h i s i n v e s t m e n t - he i s , t h e r e f o r e , u n w i l l i n g to make the i n v e s t m e n t . The p r i v a t e r e n t a l o f an a ve rage one room tenement i s Rs.26 ($3.75) p e r month; f o r two rooms Rs.41 ( $ 5 . 7 5 ) , a sum t h a t i s beyond the means o f the m i g r a n t and the s lum d w e l l e r s . 7 The t o t a l income o f more than 50% o f the u r b a n h o u s e h o l d s does no t exceed Rs . 100 ($14) p e r month, and i n o n l y 10% o f t h e h o u s e h o l d s i s t h e income g g r e a t e r t han Rs .300 p e r month. P a r k p o i n t s ou t t h a t , i n C a l c u t t a , an i n v e s t m e n t o f a p p r o x i m a t e l y R s .8 ,400 ($1200) p e r tenement u n i t , w i t h a 5% a n n u a l r e t u r n , would r e q u i r e a p p r o x i m a t e l y Rs .350 ($50) r e n t pe r annum. In compar i s on i t s h o u l d be p o i n t e d out t h a t t h e ave rage month ly r e n t o f t he s lum d w e l l e r s i n C a l c u t t a i s o n l y R s . l 4 ( $ 2 ) , w h i l e i n D e l h i t h e month ly ave rage i s Rs .7 ( $ 1 ) . I t i s q u i t e o b v i o u s f rom t h e s e f i g u r e s t h a t t h e p r i v a t e i n v e s t o r cannot be e x p e c t e d to a c c e p t such a low r e t u r n on h i s i n v e s t m e n t . I t i s d i f f i c u l t to b e l i e v e t h a t f o r e i g n exchange would be made a v a i l -a b l e i n s u f f i c i e n t sums to r e b u i l d t he I n d i a n c i t i e s s i n c e l a r g e amounts o f any a v a i l a b l e money a r e a l l o c a t e d by the government f o r t h e deve lopment o f h y d r o e l e c t r i c power, s t e e l m i l l s , f e r t i l i z e r p l a n t s , f a c t o r i e s and m i l i t a r y d e f e n s e s . 9 L a r g e amounts o f f o r e i g n exchange wou ld have to be d i v e r t e d f o r t h e i m p o r t a t i o n o f b u i l d i n g s u p p l i e s such as c o r r u g a t e d i r o n s h e e t s and c a s t i r o n p i p e s , cement, and o t h e r c o n s t r u c t i o n m a t e r i a l s . Because o f i n c r e a s i n g u r b a n i z a t i o n and i n s p i t e o f new h o u s i n g p r o -grams, the h o u s i n g s i t u a t i o n s i n I n d i a n c i t i e s has i n a c t u a l f a c t been g e t t i n g worse r a t h e r t h a n b e t t e r . I t has been o b s e r v e d t h a t a l t h o u g h the p e r c e n t a g e o f u rban growth i n r e c e n t y e a r s has no t been r a p i d , i t has s t i l l r e s u l t e d i n g r e a t i n c r e a s e s i n t he number o f new u r b a n i t e s . T h i s f a c t , t o g e t h e r w i t h the l i m i t e d government r e s o u r c e s , and the p o v e r t y o f t h e m i g r a n t s and the s lum d w e l l e r s , means t h a t n e i t h e r p u b l i c n o r p r i v a t e r e s o u r c e s have been a b l e to cope w i t h t h e h o u s i n g p r o b l e m . I n 1951, t h e t o t a l u rban p o p u l a t i o n o f 61.9 m i l l i o n o c c u p i e d 10 .3 m i l l i o n houses and t h e number o f h o u s e h o l d s was 12.8 m i l l i o n . I t was e s t i m a t e d i n 1957 t h a t by 1961, when t h e r e wou ld be 78 m i l l i o n u rban r e s i d e n t s , the t o t a l d e f i c i t i n h o u s i n g would be about 8.9 m i l l i o n . Even w i t h the c o n s t r u c t i o n o f 3 m i l l i o n new d w e l l i n g u n i t s , t h e r e would be a d e f i c i e n c y o f a p p r o x i m a t e l y 5.96 m i l l i o n h o u s i n g u n i t s . T h i s e s t i m a t e has t u r n e d ou t t o be s u b s t a n -t i a l l y c o r r e c t , f o r , i n 1961 the u r b a n h o u s i n g s h o r t a g e was t w i c e as g r e a t as i t had been t e n y e a r s e a r l i e r . The s h o r t a g e o f 5.5 m i l l i o n u r b a n d w e l l i n g s was a g a i n e s t i m a t e d as l i k e l y t o i n c r e a s e r a t h e r t h a n d e c r e a s e , so t h a t t h e p l a n n e r s a r e now f a c e d w i t h a d e f i c i t o f a p p r o x i m a t e l y 12-16 m i l l i o n u n i t s . These a r e some o f t he prob lems c o n f r o n t i n g t h e I n d i a n p l a n n e r s i n m e e t i n g immedia te h o u s i n g n e e d s , a n d , w i t h t h e l a r g e s c a l e p r e d i c t e d m i g r a t i o n t o t h e c i t i e s , t h e prob lems o f f u r n i s h i n g adequa te h o u s i n g i n s lum a reas becomes i n c r e a s i n g l y i m p e r a t i v e . The T h i r d F i v e Y e a r P l a n o f t h e Government o f I n d i a p o i n t e d out t h a t t h e two major prob lems i n i m p l e m e n t i n g s lum c l e a r a n c e and r e l o c a t i o n p r o -grams were the s lum d w e l l e r s ' i n a b i l i t y t o pay even s u b s i d i z e d r e n t s and t h e i r r e l u c t a n c e to be r e l o c a t e d f rom a r e a s s e l e c t e d f o r s lum c l e a r a n c e p rog rams . The i n h a b i t a n t s ' d i s s a t i s f a c t i o n a r i s e s , f i r s t , f rom such economic d i s l o c a t i o n c o s t s as h i g h e r t r a n s p o r t a t i o n e x p e n s e s , f rom i n a d e q u a c i e s o f most u r b a n t r a n s p o r t a t i o n s y s tems , and the l o s s o f some 78 marginal employment opportunities that can be found i n the slum. Sec-ondly r e l o c a t i o n programs have grave consequences i n the d i s r u p t i o n of community relationships and group t i e s among the slum dwellers. When they are rehoused i n a manner that f a i l s to take these c r i t e r i a into account, the r e s u l t i n g disruptions can have severe s o c i a l and c u l t u r a l consequences. The slum dweller w i l l usually attempt to f l e e from a public rehousing scheme and attempt to f i n d " f a m i l i a r " accommodation i n some other slum i n the c i t y . Housing projects are b u i l t because of the necessity of providing sh e l t e r for people who would otherwise not have adequate s h e l t e r , but the a u t h o r i t i e s who b u i l d them always have the a d d i t i o n a l hope that the con-s t r u c t i o n of these projects w i l l also improve the general l i f e s t y l e and l i v i n g conditions. However, i n Indian c i t i e s , the move to such housing projects can have tremendous implications. I t means moving from small houses to apartment buildings, from wooden or mud construction to masonry, from squatters' rights to tenancy, from s h i f t i n g day by day to planned administration. Charles Abrams says that a l l p r e v a i l i n g ideas of wholesale slum clearance must be abandoned and that new ideas be developed to solve the she l t e r problem. "The p r o v i s i o n of bare es s e n t i a l s may have to be the world's sad but only reasonable a l t e r n a t i v e . Once we understand the enormity of the problem, however, there may be ways of dealing with i t . It i s only when hope i s given up and eyes are closed to r e a l i t y that the 13 c r i s i s becomes i n e v i t a b l e . " Problems of r e l o c a t i o n and the lack of resources do not mean the slums of Indian c i t i e s must-exist forever i n t h e i r present form. Rather, i t i s suggested that the chances f o r t h e i r 79 complete elimination are indeed remote. Commenting on the plans being developed for Calcutta through the Calcutta Metropolitan Organization (CMPO), Bose points out that "for the same gross expenditures that might rehouse 7000 of the slum inhabitants, i t i s estimated that the present 14 bustees can be made more habitable for at least 70,000 people." In add-i t i o n to t h i s , properly organized, motivated and guided, the people i n the bustees can make substantial improvements i n the physical conditions of t h e i r environment. Physical improvements i n slums can consist of repairing houses, both inside and outside, paving lanes and open drains and providing better water supply, sanitary f a c i l i t i e s and e l e c t r i c i t y i n the communities. Abrams says that "without a program that acknowledges the i n e v i t a b i l i t y of the slums, costly permanent and unimprovable slum formations w i l l be the product.""^ Abrams has also suggested that a r e a l i s t i c plan for the improvements i n slum housing must proceed i n two stages. The f i r s t would minimize slum clearance and allow for dense occupancy and increased reliance on self-help through savings and mortgage mechanisms, improved l o c a l production of building materials, and better suburban transportation to bring workers into the c i t y , thus somewhat r e l i e v i n g the housing pressures. The second stage, to be reached i n the distant future, would involve improving the general standard of l i v i n g and economic development. In the f i r s t stage, slums would have to be accepted as a t r a n s i t i o n a l phase of urban indus-t r i a l change i n the face of unavoidable mass r u r a l to urban migration. The slums could then be guided i n their development. Cheap land i n less densely populated parts of the c i t y could be acquired and planned i n such a way that the houses could be improved and expanded over the years. As 80 Abrams says, a "planned slum i s better than an unplanned slum when i t 16 consists of separate shelters that are i n d i v i d u a l l y owned." IV THE CONCEPT OF PROVIDING WELFARE SERVICES AND GREATER ECONOMIC OPPORTUNITY FOR THE SLUM DWELLERS Despite the enormity of thei r slum problems, most Indian c i t i e s today have continued to rely mainly upon s o c i a l welfare centers to bring about changes and improvements among the masses i n the slums by providing ser-vices of various types. Social welfare services give the slum dwellers the feeling something i s being done for them and make both the government and the decision makers more secure about t h e i r efforts to improve l i f e for the poor. Closer inspection, however, raises serious questions both about the philosophy.behind them and thei r a b i l i t y to solve complex urban problems on a broader and more permanent basis. Theoretically, the provision of such services i s supposed to.change the slum by exposing the slum dwellers to a different set of norms and values. Typically, centers such as rooms or separate buildings might be provided i n the neighbourhood where services l i k e sewing, handicrafts, and l i t e r a c y classes as we l l as occasional c u l t u r a l a c t i v i t i e s are offered. The area served by such centers i s seldom carefully defined. Space and fund l i m i t a t i o n s , however, make i t impossible for such centers to serve more than a fr a c t i o n of the residents i n what i s often a very large area. The s t a f f usually consists of a few professional s o c i a l workers and a number of volunteers, most of whom do not l i v e i n the area they serve. These volunteers, and even some of the professional workers, are usually from a higher s o c i a l class with more economic advantages, and are almost 81 without exception much better educated than the t y p i c a l resident of the area. The p o l i c y boards of the d e c i s i o n makers generally consist of people who reside outside the area, although there i s sometimes token p a r t i c i p a t i o n by the residents of the area. Cli n a r d gives t h i s example to i l l u s t r a t e the inadequacy of welfare centers as a s o l u t i o n for the Indian slum problem: Two centers served an area of t e x t i l e workers' ehawXs housing some 200,000 persons. One had a creche f o r 50 c h i l d r e n , another f o r 100, both groups being neat and clean and supervised by experienced teachers. The area, however, must have at l e a s t 25,000 c h i l d r e n under the age of seven who were not i n school. Nearby was the only r e c r e a t i o n a l center i n the area, c o n s i s t i n g of one rather long and large room and four smaller ones. The d a i l y attendance was from 200-600 persons, the women p a r t i c i p a t i n g i n a sewing group of 30, the men placing on two ping-pong tables and using two wrestling platforms. This attendance i s a small percentage of the 200,000 people i n the area and m^st of them come from areas immediately adjacent to the center. Very often s t a f f members, p a r t i c u l a r l y the volunteers, are i n t e r e s t e d i n "doing something for the underprivileged." Such an approach often tends to create dependence among the people on the center and i t s s t a f f rather than to develop a desire on t h e i r own part to work out solutions to t h e i r own problems. While accepting the services from the center, the residents often resent having to depend upon others or they develop an e x p l o i t a t i v e a t t i t u d e , seeking free services and even supplies of food from as many sources as possible and often, i n the case of the l a t t e r , s e l l i n g them. This p r a c t i c e i s p a r t i c u l a r l y common i n the larger Indian c i t i e s . The s t a f f s of the welfare centers hope to change the way of l i f e of the slum dwellers through the l i m i t e d t r a i n i n g they can provide and through examples and exhortations. Gans has suggested that the welfare center people are "missionaries," i n that they want the residents of the 18 area to adopt t h e i r own behaviour and values. Because of the middle and 82 upper cla s s o r i g i n s and the p r ofessional t r a i n i n g of most members of the welfare center s t a f f s , i t i s d i f f i c u l t for them to share the perspectives of the people they work with. Too often t h i s type of "welfare work" appears to involve a p a r t i c u l a r channel through which the wealthier people, p a r t i c u l a r l y women, are able to achieve a s p e c i a l status or even p o l i t i c a l p r e s tige. There i s also a tendency among these people to a t t r i b u t e the behaviour and the way of l i f e of the slum dweller to economic deprivation, poor housing, and the absence of i n d i v i d u a l i n i t i a t i v e . In general, welfare programs involve i n d i v i d u a l s , consequently, the e f f e c t on the t o t a l community may be n e g l i g i b l e . Some welfare center s t a f f s are aware of t h i s problem and t r y to organize clean up campaigns, usually with the help of outside youth volunteers, to help improve s a n i -t a t i o n . These campaigns are seldom successful as improvements u s u a l l y do not l a s t long. Such e f f o r t s generally f a i l to adequately involve groups of l o c a l residents i n s e l f - h e l p e f f o r t s . Unless a group approach i s made, the e f f e c t s of such programs have no permanence. Because of the p e c u l i a r organization of the center, c r e d i t f or any accomplishment often goes to the s t a f f , whereas f a i l u r e s are a t t r i b u t e d to the people's apathy. Another unfortunate element with the social-welfare centers i s t h e i r connection, either d i r e c t or i n d i r e c t , with p o l i t i c a l parties* The r e s u l t i s that people of opposing p o l i t i c a l b e l i e f s may not be prepared to use the center and i t s fortunes may f l u c t u a t e with p o l i t i c a l change. It i s , therefore, u n r e a l i s t i c to hope that conventionally oriented centers can su c c e s s f u l l y create'an impact on the large-scale problems of the slums. This statement does not imply that centers should be abolished, but rather, t h e i r approach should be re-examined and reinvigorated with new and better 83 techniques to stimulate self-help, f u l l neighbourhood p a r t i c i p a t i o n , and indigenous leadership among the residents. Many of the Indian decision makers believe that by providing increased economic opportunities to the slum dwellers they w i l l move out of the slum. There.is widespread b e l i e f that as each group rises on the economic scale i t becomes acculturated to the general values of the larger society and many of i t s members w i l l move out of the slum. There i s no question that measures to bring about improved economic conditions w i l l be of great value to the slum dwellers. These include adequate wages, guar-anteed minimum wages, accessible and inexpensive c r e d i t , programs to t r a i n and r e t r a i n youths and adults, improved s o c i a l security and public • - 1 9 assistance. The fact that the slum has continued to exist to s o c i a l i z e and acculturate new migrants, however, has often escaped the attention of those who take this approach, as has the fact that the many problems of the slum cannot be attributed e n t i r e l y to economic deprivation. A l l these programs are important but there seems to be too much emphasis on provid-ing greater economic opportunities. The assumption that most people w i l l automatically grasp such opportunities i s indeed questionable. The per capita costs of such programs, even with government support, are l i k e l y to be disproportionately high for the results achieved i n any given area. At most, with the limited government resources, a r e l a t i v e l y small proportion of people can be reached, and meanwhile there are continued additions to the areas through natural increase and r u r a l to urban migration. Unless the slum way of l i f e i s s i g n i f i c a n t l y altered, there i s l i k e l y to be limited p a r t i c i p a t i o n and a high drop-out rate for such programs. The 84 basic problem i s not the a c q u i s i t i o n of s k i l l s by a few but a f f e c t i n g changes i n the way of l i f e of the majority of the slum dwellers. It i s also questionable whether or not the so-called social-psycho-l o g i c a l aspects of urban p o v e r t y — apathy, powerlessness, lack of plan-ning, and h o s t i l i t y to outside agencies — can be d i r e c t l y a t t r i b u t e d to poverty alone. A given l e v e l of income does not necessarily produce c e r t a i n consequences i n psychological a t t i t u d e s . In f a c t , subgroups among the urban poor may display reactions quite d i f f e r e n t from the psychological aspects of poverty. For example, very low income families may have high l e v e l s of as p i r a t i o n ; leaders with high l e v e l s of motivation may be found among the poor; lower middle class f a m i l i e s with high aspirations may act u a l l y have lower incomes than do many poor groups re c e i v i n g economic aid and other benefi t s ; and, i n f l u e n t i a l i n t e l l e c t u a l leaders i n India often receive very low incomes. Despite r u r a l improvement programs, one can assume continued large scale migration to c i t i e s and the slums. This migration means that job t r a i n i n g of slum dwellers w i l l present a constant problem but w i l l i t s e l f not m a t e r i a l l y a l t e r the slum as a s o c i a l and c u l t u r a l system. V SUMMARY AND CONCLUSIONS. The basic premise of the preceding chapter was that i f the processes that produce autonomous slum settlements are e s s e n t i a l l y normal processes of urban growth then i t follows that autonomous urban settlements are both the product of and the v e h i c l e f o r a c t i v i t i e s which are e s s e n t i a l i n the process of urbanization. It w i l l be useful to once again i d e n t i f y the functions these settlements perform f o r t h e i r inhabitants. These are n a t u r a l l y the functions of any dwelling environment. The dwelling i s an address - i t gives an i n d i v i d u a l or a family a place i n society, and therefore, an i d e n t i t y . The dwelling provides l o c a t i o n - however long or short the period of residence - and without a l o c a t i o n the dwelling cannot e x i s t . But i f the dwelling cannot be occupied for the minimum period required or, i f there i s no tenure, i t i s useless as a dwelling. And of course, the dwelling must provide a minimum degree of s h e l t e r . The demands for r e s i d e n t i a l l o c a t i o n i n the c i t y f o r low income groups vary greatly with the s o c i a l and economic s i t u a t i o n of the inhabitant: those who cannot a f f o r d to commute long distances, and those who are economi-c a l l y impoverished and must spend every free hour looking for a job, must l i v e near t h e i r sources of employment. I t therefore follows that the very poor or u n s k i l l e d or casually employed with very low and insecure incomes, must be free to change t h e i r residence at very short notice i n order to follow jobs — t h e construction laborer's next job may be on the other side of the c i t y . The decision makers have f a i l e d to r e a l i z e that these groups need accommodation at very low cost and within walking distance of t h e i r sources of employment and l i v e l i h o o d and they must have the freedom to give up t h e i r habitat at very short notice. As was indicated i n the previous chapter, the i n n e r - c i t y tenements and the slums of the very poor, and the p e r i p h e r a l squatter settlements do, i n f a c t , perform the p r i n c i p a l functions demanded of them by t h e i r inhabitants. So, i n s p i t e of t h e i r many drawbacks, they can act as forward-moving vehicles of s o c i a l and c u l t u r a l change. On the other hand, many p u b l i c l y financed housing projects, i n s p i t e of t h e i r improved phys-i c a l conditions, act i n the opposite d i r e c t i o n . By d i s l o c a t i n g the low 86 income groups from t h e i r settlements - by divorcing them from t h e i r oppor-t u n i t i e s and by loading the wage earners with a mortgage, the conventional projects act more often as b a r r i e r s rather than as vehicles f o r s o c i a l improvement. The problem here i s not the physical aspect of the settlement. I t i s the s e t t l e r and h i s community. What i s important i s the r e l a t i o n s h i p between the inhabitant and his habitat. The word "environment" i s used i n i t s l i t e r a l sense of "surroundings" - a concept that has no meaning with-out reference to that which i s surrounded. The values assumed, therefore, are not the conventional values based on q u a l i t a t i v e material standards. A ma t e r i a l l y "poor" house may be better than a ma t e r i a l l y "good" one ( i . e . one b u i l t according to high material standards) i n a given s i t u a t i o n . For instance:, the same tenement court with one room dwellings may be adequate f o r the very poor young couple, recently a r r i v e d from a v i l l a g e to seek t h e i r l i v e l i h o o d i n the c i t y , but extremely demoralizing f o r a larger family that has been re s i d i n g i n the c i t y f o r some time. Autonomous urban slum settlement i s the product of the differe n c e between the nature of the popular demand for dwellings and those supplied by the i n s t i t u t i o n a l society. The focus of th i s problem - the loss of i n s t i t u t i o n a l control over the urban settlements and i t s consequences - i s pri m a r i l y i n s t i t u t i o n a l and only secondly a by-product of poverty. I argue that the values and the p r i o r i t i e s of the dec i s i o n makers have not been compatible with the needs of the majority of the urban society, i . e . the low income groups. P o l i c y objectives and the i n s t i t u t i o n a l framework for the f u l f i l l m e n t of these values and p r i o r i t i e s are too often geared to only one sector of the urban society (the r e l a t i v e l y wealthy minority) and are economically and c u l t u r a l l y unacceptable to the remainder who comprise f o u r - f i f t h s of the urban population. I t i s argued that the loss of co n t r o l over urban settlements - as d i s t i n c t from the d e f i c i t of standard modern housing units - i s the consequence of i n s t i t u t i o n a l maladjustments which, of course, are p a r t l y due to erroneous b e l i e f s and s o c i a l attitudes of the decision makers. But while the housing unit d e f i c i t i s only i n d i r e c -t l y an i n s t i t u t i o n a l problem, the extremely bad physical condition of the environment i n which the poor of the Indian c i t i e s l i v e i s c e r t a i n l y made worse by i n s t i t u t i o n a l demands and f a i l u r e s . Guided very often by erron-eous notions of slum clearance and the p r o h i b i t i o n of any form of b u i l d i n g not considered to be "modern" enough for the Indian c i t y , o f f i c i a l p o l i c i e s have frequently contributed d i r e c t l y to the worsening of the housing conditions and to the d i r e c t encouragement of squatting and haphazard development for the masses. The i n s t i t u t i o n a l control of urban settlement must depend upon the encouragement and support of popular i n i t i a t i v e through the government s e r v i c i n g of l o c a l resources. It i s economically impractical f o r the government to i n s i s t on development procedures and p o l i c i e s based on the experiences of Western countries with t h e i r developed economies. The costs of such development are f a r greater than the people can a f f o r d while State subsidies on a s u f f i c i e n t scale are out of the question. The basic needs and e s s e n t i a l functions of a sh e l t e r f o r the r u r a l migrants i n urban areas are served much more su c c e s s f u l l y by the more t r a d i t i o n a l and organic forms of autonomous settlement which follow t r a d i t i o n a l procedures with regards to b u i l d i n g techniques and physical development. The con-c l u s i o n seems to be inescapable: i f governments are to co n t r o l urban settlement and development, procedures and p o l i c i e s must be based on the nature of l o c a l demand. Alte r n a t i v e l y , i t i s impossible to obtain the contribution of the mass of the people on whose c o l l e c t i v e resources the development of the Indian c i t i e s rests.. I t should be stressed that govern-ment, especially since i t does not possess or control the resources needed for environmental development should not attempt to substitute for l o c a l direction action - but should support i t - i n ways that bring i t into the i n s t i t u t i o n a l framework of the country. 89 CHAPTER I I I . ANALYSIS OF PREVAILING CONCEPTS OF SLUM MANAGEMENT " ' 'Leland S. B u r n s , Housing as Social Overhead Capital. Essays in - Urban Land Economics, 1966, p. 13. 2 S t a n i s l a w H. W e l l i s z , " I n d i a ' s Slum C l e a r a n c e P o l i c y : An Economic E v a l u a t i o n " ( u n p u b l i s h e d p a p e r , C a l c u t t a M e t r o p o l i t a n P l a n n i n g O r g a n i z a t i o n , J a n . , 1967). 3 Government o f I n d i a , The Report of the Advisory Committee on Slum Clearance, 1964, p. 5. ^Asoka Mehta , " T h e F u t u r e o f I n d i a n C i t i e s : I s sue s and G o a l s , " i n India's Urban Future, e d . , Roy T u r n e r , 1962, p. 418. ^ S a c h i n C h a u d h u r i , " C e n t r a l i z a t i o n and A l t e r n a t e Forms o f D e c e n t r a l i z -a t i o n : A Key I s s u e , " i n India's Urban Future, e d . , T u r n e r , p. 223. R i c h a r d L . M e i e r , " R e l a t i o n s o f T e c h n o l o g y t o t h e D e s i g n o f Very L a r g e C i t i e s , " i n India's Urban Future, e d . , T u r n e r , pp . 229-307. ^ M i n i s t r y o f Works, H o u s i n g and S u p p l y , The Problems of. Housing in India, 1957, p. 7. ^ R i c h a r d L. P a r k , " T h e Urban C h a l l e n g e to L o c a l and S t a t e Government: West B e n g a l , w i t h S p e c i a l A t t e n t i o n to C a l c u t t a , " i n India's Urban Future, e d . , T u r n e r , p. 338. 9 J o h n P. L e w i s , Quiet Crisis in-India, 1964. " ^ M i n i s t r y o f Works, H o u s i n g and S u p p l y , op cit., p. 10. "^Government o f I n d i a , Third Five Year Plan, 1961, p . 687. 12 H. S. D h i l l o n , "Group Dynamics i n a Bu s tee - A S tudy o f Groups and L e a d e r s h i p , " Report of the Seminar on Urban Community Development, 1964, p. 128. 13 C h a r l e s Abrams, Man's Struggle for Shelter in an Urbanizing World, 1964, p. 54. 1 4 N i r m a l K. Bose , Calcutta: A Social Survey, 1968, p. 64. C h a r l e s Abrams, p. 252. 16Ibid., 253. " ^ M a r s h a l l B. C l i n a r d , Slums and Community Development, 1966, p. 102. 1 8 H e r b e r t J . Gans, The Urban Villagers, 1962, C h a p t e r 7. 90 'David Hunter, The Slum; Challenge and Response, 1968, pp. 143-170. 91 CHAPTER IV THE URBAN SLUM: CONTINUITY AND CHANGE I INTRODUCTION\ Local authorities i n urban slum areas have been unable to provide even the basic f a c i l i t i e s for the vast majority of the i r inhabitants. Accommodations are l i m i t e d , r e s i d e n t i a l areas are congested, there are great health hazards, and there i s a high percentage of urban i l l i t e r a c y . Recreational f a c i l i t i e s are minimal or completely lacking, and poverty and unemployment haunt the people. Municipal governments and voluntary organizations, always limited i n funds and competent personnel, are unable to cope with the problems that confront them i n the face of rapid and chaotic growth of the slums. The country faces the task of bringing about tremendous basic changes in the economy through rapid i n d u s t r i a l i z a t i o n , increased a g r i c u l t u r a l production, and r e s t r i c t i o n s on population growth; while simultaneously providing greater economic opportunities, increased housing, and physical amenities for the urbanites. Considering India's limited economic resources such vast and basic changes cannot be brought about i n a short time. In the meantime and certainly for many years to come the people of the slums must have substantially improved l i v i n g conditions. It has been observed from the preceding chapter that the reasons for the poor performance of Indian planners i n the i r treatment of the urban slum has been thei r reliance on three apparently' reasonable but as yet unworkable assumptions which, to a greater or lesser extent, have been imported from the concepts and housing programs of the Western countries. They are: (i ) Slums must be cleared, ( i i ) The i n d i v i d u a l housing u n i t i s the basic v a r i a b l e i n any housing program. ( i i i ) The government must subsidize the low-cost housing program. These assumptions are r e f l e c t e d i n a strongly stated e d i t o r i a l i n the Journal of the Indian I n s t i t u t e of Town Planners. The basic standards i n housing and planning are arrived at not only from consideration of cost but also from consideration of creating the desirable s o c i o l o g i c a l and ph y s i c a l environment necessary for the healthy growth of i n d i v i d u a l s and the community. Such standards have been established by many committees and technical missions. The Environmental Hygiene Committee recommended a two room house as the minimum for a family. The U. N. Technical Mission on Housing, the l a t e r Seminar and Conference on Housing and Town Planning, and other reports published by natio n a l and i n t e r n a t i o n a l agencies con-cerned with housing and town planning a l l recommended the two room house with adequate sanitary and other f a c i l i t i e s as the barest minimum i f the normal aspirations of healthy l i v i n g are to be achieved.... These standards cannot be lowered, whatever be the community, what-ever be the economic s i t u a t i o n i n the country. Substandard housing i s but a step towards slums. Deliberate substandard housing w i l l defeat the very purpose of housing as i t w i l l lead to the c r e a t i o n of future slums. The basic standard must be adhered to at a l l costs. The opposing p o s i t i o n i s stated by Charles Abrams who suggests that for a country with l i m i t e d economic resources: ... a l l p r e v a i l i n g ideas of wholesale slum clearance and the b u i l d i n g of c o s t l y housing must be abandoned and that some fresh thinking must be brought to bear on the sh e l t e r program. The p r o v i s i o n of the bare es s e n t i a l s may have to be the world's sad but only reasonable a l t e r -native. Once we understand the enormity of the problem, however, there may be ways of dealing with i t . It i s only when hope i s given up and eyes are closed to r e a l i t y that the c r i s i s becomes i n e v i t a b l e . It is the contention of this thesis that any decision on a housing policy that does not take into consideration the limited resources of the 93 country and bases its assumptions solely on the individual housing unit, would in effect, condemn millions of urban slum dwellers of this and a subsequent generation to continued misery and would undoubtedly delay the entire development program of the country. A solution must therefore be found, one that is likely to result in substantial changes not for a few but for the millions of slum dwellers, not only for the future but more important, for the immediate present. Any such plan must- be realistic in terms of the enormity of the problems, the density and the rapid growth of the urban population, and the limited f i n a n c i a l resources available. I I PRESUPPOSITIONS FOR REVITALIZING THE BUSTEE ENVIRONMENT. In t h i s chapter, the o b j e c t i v e w i l l be to bridge the p h i l o s o p h i c a l gap between the p o s i t i o n taken by the Indian planners and that of Charles Abrams by suggesting that i t i s p o s s i b l e to o b t a i n the r a p i d and dramatic improvement i n the standard of l i v i n g of the urban slum dwellers as sought by the s o c i a l l y concerned w h i l e at the same time r e c o g n i z i n g the t i g h t c o n s t r a i n t s imposed by the economists. The hypothesis hinges on a break-through created by no longer t h i n k i n g of the housing problem i n terms of the i n d i v i d u a l l i v e s . Recognizing the s u b s t a n t i a l evidence that under no circumstances can a l l the slums be er a d i c a t e d , i t becomes obvious that i f a s o l u t i o n i s to be found i t must be based on an e n t i r e l y new set of assumptions. These are: ( i ) The encouragement and s t i m u l a t i o n of l o c a l community p a r t i c i p a t i o n , ( i i ) The t o t a l community l i v i n g environment i s the c r i t i c a l v a r i a b l e -not the i n d i v i d u a l housing u n i t . -94 ( i i i ) The existing housing stock, even i n the slums, must be preserved. (iv) Minimum adequate standards of l i v i n g for the slum residents must be commensurate with the available economic resources. So enormous are the problems of the slums, so limited the resources, and so urgent the time factor that some immediate solution has to be found to deal with the si t u a t i o n . With rapidly increasing urbanization, govern-ment and welfare agencies alone cannot be expected to meet the s o c i a l and physical needs of the slums. The cost of any comprehensive program for slum clearance, improved l i v i n g conditions, and the provision of addi-t i o n a l c i v i c f a c i l i t i e s w i l l require resources far greater than the government can hope to raise. I t i s apparent that large scale slum clear-ance or improvement programs are beyond the capacity of the government at the present time. (Schematic 4). It i s proposed, therefore, to design a r e a l i s t i c approach to the problem; to attempt changes largely through the resources most readily available - the labor of the many community dwellers themselves and the limi t e d f i n a n c i a l resources of the government. In other words to stimu-l a t e local community participation and provide f i n a n c i a l assistance for self-assisting programs to solve the problems of the slum and enable the residents to develop a sense of c i v i c consqiousness. The concept of community p a r t i c i p a t i o n i s based on the nature of slum l i f e and the problems i t presents. F i r s t , i t i s assumed that s o c i a l change can be accomplished most e f f e c t i v e l y where people l i v e , that i s , i n the lanes, bustees and alleys of the c i t i e s , and secondly, that such s o c i a l change can best be achieved by working with groups of people rather than with individuals. Most urban slum families, p a r t i c u l a r l y the 96 women and c h i l d r e n , l i v e most of t h e i r d a i l y l i v e s i n the l i m i t e d area of t h e i r neighbourhood. If s o c i a l change i n the attitudes of the people can be encouraged within these areas then a c e r t a i n continuity i n patterns of thought can be established. Slum l i f e i s l a r g e l y a product of group prac-t i c e s , so that any change must come from within the group. The people's desire f or change must precede any development program and permanent change w i l l only occur when the community r e a l i z e s the need for change and develops the capacity for making changes. The growth of the Indian c i t y has produced a complexity of s o c i a l r e l a t i o n s h i p s which are a l i e n to the r u r a l migrant. Urbanism as a way of l i f e tends to be characterized by extensive c o n f l i c t s of norms and values, by increased mobility of the people, by emphasis on material goods and individualism, and by marked decline i n e f f e c t i v e communication between the government and the people. Clinard points out that these character-i s t i c s are generally products f i r s t l y of s i z e , which as the number of inhabitants increases beyond a c e r t a i n l i m i t brings about changes i n people's r e l a t i o n s h i p s and i n the nature of the community; secondly, the great heterogeniety of the c i t y i s i n part a product of the migration of many people of diverse backgrounds and o r i g i n s . 4 As a r e s u l t of t h i s heterogeniety there are few common norms and values and i n d i v i d u a l s are confronted with c o n f l i c t i n g standards of behaviour. Rural migrants accustomed to c e r t a i n rules and patterns may become s k e p t i c a l of the v a l -i d i t y of urban controls and standards. In general, the move to the c i t y opens up a new way of l i f e c a l l e d "urbanism" which i s quite d i s t i n c t from that of the more t r a d i t i o n a l v i l l a g e l i f e . " * A p a r t i c u l a r c h a r a c t e r i s t i c of the r a p i d l y expanding urban areas 97 has b een the ever i n c r e a s i n g i n s t i t u t i o n a l i z a t i o n of s o c i e t y and the i n d i v i d u a l i z a t i o n of the people. I n s t i t u t i o n a l i z a t i o n can.be seen i n the scope of governmental and non-governmental s e r v i c e s i n the c i t y , a l l of which have been the i n e v i t a b l e r e s u l t s of the presence of l a r g e numbers of people concentrated i n p a r t i c u l a r areas of the c i t y . Govern-ments have grown l a r g e r , there are more s p e c i a l i s t s to take care of the v a r i e d s e r v i c e s w h ile the p a r t i c i p a t i o n of the i n d i v i d u a l i n the d e c i s i o n making process has decreased. Often the l i n e s of communication between the c i t y o f f i c i a l s and the people are non-existent; consequently, they cease to f e e l p e r s o n a l l y i n v o l v e d and have no c o n t r o l over t h e i r community environment. 7 Thus, both the r u r a l migrants and the o l d e r r e s i d e n t s become bewildered by the i m p e r s o n a l i t y of the c i t y and the l o c a l a u t h o r i t i e s . I t i s the contention here that some way needs to be found by which the newly a r r i v e d r u r a l migrants l i v i n g i n . the slums can develop a sense of u n i t y and community w i t h i n the s t r u c t u r e of the c i t y . The s o l u t i o n l i e s i n an approach to community p a r t i c i p a t i o n and s e l f - a s s i s t a n c e . Paul Y l v i s a k e r p o i n t s out that "the urban s o c i a l order cannot be per f e c t e d by c l e v e r manipulation, no matter how w e l l t r a i n e d or by eager p h i l a n t h r o -p i s t s working from above and from the o u t s i d e . The toughest problem i s that of generating indigenous l e a d e r s h i p and the s p i r i t of s e l f - a s s i s t -Q ance." The goal i s to speed up the process of s o c i a l and c u l t u r a l change w i t h i n the slum communities and at the same time to a f f e c t l a r g e numbers of people. Urban community p a r t i c i p a t i o n o f f e r s two fundamental i d e a l s : the development of e f f e c t i v e community f e e l i n g w i t h i n an urban context and 98 the development of a concept of self-assistance, c i t i z e n p a r t i c i p a t i o n and individual i n i t i a t i v e i n seeking community changes. In other words, this approach l i e s d i r e c t l y with the slum dwellers; i t i s essential that the i r apathy and indifference be overcome so that they can be made aware of the i r own human resources. The ingredients of a community p a r t i c i p a t i o n program are the people, the government and voluntary resources available to stimulate s e l f - a s s i s t -ance, and the community organizers necessary to encourage indigenous leadership and to translate th e i r problems i n such a way that they can be adequately interpreted by the governmental agencies. In this sense, com-munity participation i s a c o l l e c t i v e i n i t i a t i v e of the people l i v i n g i n the same community. I t also involves the support of their e f f o r t s through services "rendered to them by a higher l e v e l of government. I t involves democratic action, stressing c i t i z e n p a r t i c i p a t i o n , self-assistance, and self-determination through group action i n meeting the problems posed by the urban environment and an al i e n way of l i f e . I t i s essential that people become involved i n responsible action directed towards solving mutual problems. Such p a r t i c i p a t i o n i s a process through which citizens can have a say i n the government decisions a f f e c t -ing t h e i r l i v e s and th e i r environment. Obviously t h i s approach i s based on the assumption that the community has the capacity to deal with i t s own problems. We must accept the premise that even i n the most helpless slums and among the most apathetic residents their latent s k i l l s can be harnessed to a l t e r and improve thei r environment. The four main objectives of an urban community p a r t i c i p a t i o n program applicable to the slum environment are development of community feeli n g , 99 encouragement of self-assistance, development of indigenous leadership, and co-operation between the people and the government i n the use of essential services. The f i r s t requires the creation of effective commun-i t y relationships for the purpose of bringing into urban l i f e some of the organization that unites people i n the v i l l a g e s and the larger family units of the ru r a l areas. Such t e r r i t o r i a l units would tend to induce neighborliness, to decrease the i s o l a t i o n of urban l i v i n g , and to make possible the development of progressive community action. The establish-ment of effective community relationships i s important since the t i e s that bind people together i n the v i l l a g e s often weaken or disappear i n the urban context. Ethnic, regional, t r i b a l , caste and even family t i e s often become less meaningful and i n most cases no new ti e s develop to replace the older ones. People may l i v e i n close physical proximity and yet not constitute a community. Asoka Mehta points out that "while" family t i e s and caste l o y a l t i e s have proved remarkably resistant to urban influences and have p a r t i a l l y compensated against the anonymity and indifference of the urban environment, i t w i l l be useful to seek leverages of change i n the s o l i d a r i t y of small neighbourhood groups and groups with l i n g u i s t i c a f f i n i t i e s - so c i a l cohesions that appear to be s i g n i f i c a n t . " The second goal i s the stimulation of self-assistance and active c i t i z e n p a r t i c i p a t i o n i n urban a f f a i r s among the slum residents. As a form of s o c i a l and economic development, such a program must use self-help with technical assistance from the outside to implement i t . As many of the needs are only vaguely f e l t and as the conditions of the slum are often accepted, the objective should be to help people r e a l i z e t h e i r needs i n ways that w i l l result i n the attainment of desired goals. Permanent 100 improvement i n slum l i v i n g conditions cannot be achieved by a l a r g e l y apathetic c o l l e c t i o n of i n d i v i d u a l s ; the people must desire change and be prepared to exercise t h e i r own i n i t i a t i v e i n planning and carrying out projects and programs to meet t h e i r own needs. It i s a common assumption that the slum residents w i l l move up the s o c i a l scale merely by re c e i v i n g economic and educational opportunities from outside sources of power. Yet i t i s t h i s very dependence on others that leads to apathy, further dependence and f a i l u r e to develop necessary economic and educational s k i l l s . This dependence over a period of time becomes embedded and i n s t i t u t i o n a l i z e d i n the habits, t r a d i t i o n s and organizations i n the slum. T h i r d l y , without some sense of community f e e l i n g i n a heterogenous area i t i s d i f f i c u l t to promote ideas of s e l f - a s s i s t a n c e . On the other hand, improvement of the community environment i t s e l f , comes through recog-n i t i o n of the need for change and c i t i z e n co-operation i n such a c t i v i t i e s as b u i l d i n g community washrooms, l a t r i n e s , r e p a i r i n g houses, paving lanes, keeping t h e i r environment clean, maintaining schools.and community s e r v i -ces and dealing with deviant behavior. The people themselves need to be involved i n the i d e n t i f i c a t i o n of t h e i r needs, the s e l e c t i o n of p r i o r i t i e s and the carrying out of various a c t i v i t i e s . To su c c e s s f u l l y bring about change, p o t e n t i a l indigenous leadership i n l o c a l areas needs to be i d e n t i f i e d and encouraged. Such leadership can then carry d i r e c t responsi-b i l i t y for i n i t i a t i n g change within the community. F i n a l l y , the nature of slum l i f e makes i t d i f f i c u l t f o r people to improve t h e i r patterns of l i f e and t h e i r surrounding environment without the a id of governmental agencies. It i s obvious that the community e f f o r t 101 would require some sort of f i n a n c i a l and technical assistance i n programs such as sanitation, public health, education and recreation. A program of self-assistance alone cannot provide a satisfactory substitute for these essential services. I t can, however, by creating a functional r e l a t i o n -ship with the l o c a l authorities not only help to f i l l the gap i n many essential services but also make more meaningful the proper use of these services by the public. "Urban community p a r t i c i p a t i o n i s , therefore, concerned not only with stimulating c i t i z e n p a r t i c i p a t i o n and s e l f - a s s i s t -ing schemes but i n helping to mobilize public voluntary services i n association with the people's own e f f o r t s . " ' ^ Charles Abrams has sugges- x ted that there are many p o s s i b i l i t i e s for such an approach to slum housing p a r t i c u l a r l y when the migrant comes from a r u r a l background where things have been t r a d i t i o n a l l y done on a voluntary assistance b a s i s . ^ The emphasis on most research and experimentation with the problems of low cost housing has been with the i n d i v i d u a l housing unit. In the warm climate of India, where l i v i n g i s largely done i n the outside public spaces of the neighbourhood, the stress on the individual housing unit as a c r i t i c a l variable i s misplaced. Since the public spaces are largely an extension of the individual house the total community environment should be the c r i t i c a l variable. I suggest that there i s a housing threshold: a point along the income d i s t r i b u t i o n curve below which i t i s not feasible to provide stand-ard housing, either publicly or privately, on a massive scale commensurate with the needs at any reasonable set of minimum standards. The housing threshold may fluctuate among the various c i t i e s , but at some point, the mass of low income people to be served, the costs of housing i n any form, 102 the administrative mechanism -required, and the shortage of permanent building materials available, a l l combine to establish the lower l i m i t below which standard housing cannot be made available to the low income people on a widespread basis. I f the concept of a housing threshold i s to be recognized i n the development of a t o t a l program for shelter, i t w i l l be possible to maxi-mize the amount of return from the investment of a housing rupee by con-centrating on environmental improvement programs for the low income groups and establishing mechanisms such as savings i n s t i t u t i o n s , housing co-operatives, self-help housing programs for those who can be assisted at a reasonable cost to cross the housing threshold. Subsidized housing programs, more the equivalent of public housing now being b u i l t i n many of the economically advanced countries, becomes p r a c t i c a l only for those people who are higher up on the income d i s t r i b u t i o n curve but not yet prepared to command standard housing i n the private market. The re a l problem, therefore, i s not the ind i v i d u a l housing unit no matter how humble, but the uncontrolled human wastes, the polluted stag-nant waters which do not drain away, the inadequate water supply, the dark u n l i t and unpaved lanes, the l i t t e r and the f i l t h , the lack of community services, the lack of open spaces, and the s o c i a l and legal problems involved with squatting. The t o t a l community l i v i n g environment i s the c r i t i c a l variable and any housing program below the housing thres-hold should essentially be a t o t a l community development program and not just a series of unrelated indi v i d u a l housing projects. As long as Indian c i t i e s are faced with rapidly increasing demand for shelter, coming on top of a very large existing housing d e f i c i t , i t 103 must be recognized that p r i o r i t y must be given to expanding the total housing supply. This means undertaking slum clearance programs only when there i s a c l e a r and important reuse of the land required. It must be resolved that no slum clearance should be undertaken when the only purpose i s to replace slum housing with standard housing. Such projects do not add housing units to the t o t a l supply, yet take substantial amount of pu b l i c resources, both f i n a n c i a l and administrative, which could be other-wise used to provide much needed environmental improvements for the neighbourhoods so as to benefit the majority of slum dwellers. A program aimed at providing housing for the future migrants to the c i t y i s discussed l a t e r i n t h i s chapter. There i s constant debate about what standards should be applied i n housing projects f or the low income groups. The debate centers on the i n d i v i d u a l or minimum housing unit and the conclusions reached generally r e s u l t i n recommending standards far too high to permit a program at a scale massive enough to meet the basic needs of a very high population. There w i l l never be a program capable of solving the housing problem i f i t i s constrained by standards meant only for the i n d i v i d u a l housing u n i t . This i s not to say that standards for housing, which i n f a c t , represent reasonable goals by which to measure the effectiveness of a given housing program should not be developed. Such standards should only be used, however, a f t e r c a r e f u l consideration of the means a v a i l a b l e for achieving them. The test of any proposed s o l u t i o n to the low income she l t e r program w i l l be whether or not i t i s capable of massive a p p l i c a t i o n to meet the basic needs of the majority of the low income groups. There i s l i t t l e value i n investing s u b s t a n t i a l public resources i n any program that 104 benefits only a f r a c t i o n a l percentage of people below the housing thres-hold. As has been pointed out i n e a r l i e r chapters such a s o l u t i o n only serves to c a l l on other low income groups to pay, through i n d i r e c t taxes, for the benefits given to the fortunate few. Such an approach i s bound to f a l l even before i t begins and the more housing units that are b u i l t under such a program the more un f a i r i t becomes. It i s proposed that any shelter •program for the low income migrants should be commensurate with the available economic resources. I l l REVITALIZING THE BUSTEE ENVIRONMENT: TOWARDS A NEW ORGANIC PATTERN. On the basis of the four assumptions that have been discussed, t h i s concept envisages a p o s i t i v e action for achieving better l i v i n g conditions for the majority of the urban slum dwellers and the broader and more spec-i f i c goal of integrating these communities with the c i t y proper. I t s aim i s to energise and r e v i t a l i z e the bustee environment by i n j e c t i n g into i t such elements that are necessary for i t s proper functioning as a v i a b l e community within the c i t y . The process ultimately involves the whole pattern of population d i s t r i b u t i o n and the functional organization of these communities within a well planned and co-ordinated layout of the c i t y . Such a concept should endeavour to shape the community structure so that a l l human a c t i v i t i e s may take place i n environments conducive to t h e i r proper functioning and i n harmony with a l l other a c t i v i t i e s . I t i s thus, not merely a physical operation, but a major s o c i a l , c u l t u r a l and economic one, involving the people, t h e i r ways of l i f e and encompassing the aspirations of the community. I t i s much more comprehensive than 105 slum clearance and implies the correction of the mistakes of the past and focuses attention on the r e v i t a l i z i n g of the p h y s i c a l l y and s o c i a l l y deteriorated areas. To evolve a well integrated new community pattern that would f i t into the changed l i v i n g conditions of the new age and promote'genuine democratic growth i s v i t a l i n planning f or a new environment. Such a broad aim cannot be r e a l i z e d merely through the provision of she l t e r . Shelter represents only one of many community functions. F u l l consider-ations of an "organic community" as an indispensable framework has to precede any housing development. Without i t even new housing may degener-ate r a p i d l y into blighted areas and become burdensome wastes. Without a basic medium of cohesion of common c i v i c i n t e r e s t and l o y a l t y , the pros-pects of improved s o c i a l contacts, which o r i g i n a l l y made urban l i f e desirable now make i t hazardous. The s o c i a l i n i t i a t i v e of the people and t h e i r own l i f e has to f l o u r i s h at a l o c a l l e v e l , v i z . , the neighbourhood or r e s i d e n t i a l area and gradually reach out into the wider region, v i z . the c i t y or metropolis. Thus t h i s concept holds the main hope of a compromise between the basic human needs and the material requirements of the present age. The concept envisages a complete urban complex, which i s the e n t i r e c i t y or metropolis, comprising a number of r e l a t i v e l y self-contained communities, which have at the lowest t i e r a "housing c l u s t e r . " This corresponds to the t r a d i t i o n a l "mohalla," and which, i n f a c t , i s found i n i t s most rudimentary form i n almost a l l Indian c i t i e s and towns. The t r a d i t i o n a l "mohallas" were housing c l u s t e r s which were often grouped around a s t r e e t , small a l l e y or some sort of an open court, and though 106 d e f i c i e n t i n many basic community f a c i l i t i e s , served to propogate a l o c a l f r a t e r n i t y . I t i s proposed that the basis of any planning p o l i c y should be to t r y and achieve the goals of i d e a l "mohallas" within the bustees. These "mohallas" comprising 150-200 fam i l i e s each, can once again form the basic smallest unit thus promoting the c h a r a c t e r i s t i c s of intimate personal family contacts. Mohallas grouped together around some f o c a l point such as a small primary school or some convenience shops and some sort of open space can form, what may be c a l l e d , a " r e s i d e n t i a l u n i t " containing a population of between 3,500-5,000. A group of these units w i l l ultimately form a complete neighbourhood with a high school, a com-munity h a l l and adequate neighbourhood shopping as the f o c i i . In th i s c e l l u l a r pattern, the neighbourhood area would form the "planning module" and would generally represent the s i z e of the now e x i s t i n g bustee. It would be a s e l f contained community that i s bounded by streets but not pierced by them. (Schematics 5 and 6). It i s the purpose of th i s chapter to explore a program f o r the improvement of the environment of the bustee. As has already been stated, the s a l i e n t feature of t h i s hypothesis i s that bustees cannot and should not be cleared i n the near foreseeable future and, therefore, very sub-s t a n t i a l improvements i n the standard of l i v i n g of the bustee dwellers must be achieved within the confines of the e x i s t i n g bustees and within the f i n a n c i a l constraints set by the economists by u t i l i z i n g the concept of community p a r t i c i p a t i o n . The goal of such a program i s the r e v i t a l i z i n g of the blig h t e d neighbourhoods where slum conditions p r e v a i l . These areas can be converted into healthy neighbourhoods by judicious planning, i . e . by 107 109 providing essential services, by regulating the density of the area, by removing dilapidated structures that are-hazardous and cannot be revived, by reorganizing street and lane patterns, by providing more open spaces, parks and playgrounds, by removing incompatible land uses which have a bl i g h t i n g effect on the appropriate uses on land and the inhabitants. Once such a goal has been achieved, i t w i l l be the r e s p o n s i b i l i t y of the l o c a l municipal authorities to provide protection to (these communities against undesirable elements such as squatting on open land and the i n f i l t r a t i o n of incompatible and c o n f l i c t i n g land uses. The Process of Change Once the problem areas have been i d e n t i f i e d i n the c i t y , certain comprehensive policy decisions have to be made as to the nature of the measures to be taken for the r e v i t a l i z a t i o n of these areas. These w i l l have to be influenced by the enormity of problems, f i n a n c i a l , physical, and human. One of the basic assumptions has been that there w i l l be no mass scale demolition of structures i n these areas. Instead, i t i s hoped that systematic weeding out of noxious industries and incompatible trades w i l l reduce congestion to some extent. Each year a large number of houses either collapse or are demolished by the municipal authorities on the basis that they are unsafe for human habitation. These structures should not be allowed to be r e b u i l t by thei r owners, but instead, the land should be acquired for community f a c i l i t i e s . The Delhi Municipal Authorities recommend a density of no more than 250 people per acre i n these neigh-bourhoods. For a population i n each neighbourhood arrived at on the basis of such a recommendation every e f f o r t should be made to provide schools, open spaces, health centers and other f a c i l i t i e s on the basis of l o c a l 110 community p a r t i c i p a t i o n . Realizing that i f space and density standards for new communities are adopted, i t would be extremely d i f f i c u l t to open up the existing b u i l t up areas without involving a large scale dislocation of the popula-t i o n , i t i s proposed to lower the space standards for community f a c i l i t i e s . Playgrounds w i l l have to be smaller, and so too w i l l l o c a l parks and other open spaces. At present, t r a f f i c conditions are deplorable and the right of way A streets are inadequate to cope with the t r a f f i c generated by high r e s i -d ential density and intense commercial and small scale i n d u s t r i a l uses. I t . i s proposed to work out a system of t r a f f i c streets and pedestrian ways resulting only i n the minimum demolition of buildings. Non-conforming land uses have to be controlled and incompatible industries gradually weeded out from the r e s i d e n t i a l areas. I t i s recog-nized, however, that this process must be largely governed by the fact that there should be minimum amount of dislocation of production and. the industries should not be put to undue hardship. Such industries should be shifted from t h e i r present location i n the heart of the r e s i d e n t i a l areas to i n d u s t r i a l areas earmarked i n the Master Plans for the c i t i e s . Since the government i s f i n a n c i a l l y incapable<gf^making improvements i n the physical environment available to.the slum dweller, i t - i s imperative to secure the w i l l i n g consent, co-operation,.and p a r t i c i p a t i o n of the bustee dwellers themselves, to the maximum extent possible, i n the implementation of the program of ..bustee improvement. I t has been pointed out that community p a r t i c i p a t i o n i s the only effe c t i v e and viable a l t e r -native available to achieve through indi v i d u a l response and c o l l e c t i v e I l l r e s p o n s i b i l i t y of the bustee dwellers, the most effective use and mainten-ance of the physical improvements i n s t a l l e d . The concept of Bustee Improve-ment recognizes that bustees cannot be cleared i n the near foreseeable future, but very substantial improvements can be made at very reasonable cost. The following are the physical, educational, recreational and cu l t u r a l improvements proposed: Concerted efforts must be made to encourage the bustee dwellers to formulate a self-assistance scheme to improve the physical condition of the i r individual housing units. S e l f - a s s i s t i n g efforts can be extremely successful because of the simple design and construction of the structures-the majority of the tenements are constructed of mud and brick. A star t can be made by repairing the exterior of the homes by f i l l i n g i n bricks and rubble that have f a l l e n out and replastering the walls with mud after which they can be whitewashed. I t i s proposed that this procedure w i l l give the residents an inexpensive s t a r t towards more substantial improve-ments that can be made with governmental aid i n terms of construction materials. Such a program that u t i l i z e s l o c a l co-operative labor on the one hand and governmental f i n a n c i a l assistance on the other, can consider-ably improve the physical appearance of the neighbourhood and i n s t i l l i n the residents a sense of pride and c i v i c consciousness. It i s essential to provide an adequate water system for the supply of clean and safe water for the dai l y needs of the bustee residents. I t ' i s proposed that whereever possible, tube wells should be used for this purpose and the t y p i c a l system should include tube wells, pump houses, chlorination reservoirs and the necessary d i s t r i b u t i o n system. The l o c a l government should be responsible for providing a l l the necessary equipment 112 and materials while the l o c a l residents should be encouraged to provide the required labor. Minimum adequate standards w i l l have to be adopted for community water taps and baths. These standards must be commensurate with the available resources. A reasonable standard can be the provision of one water tap for every 100 persons and two baths for 100 persons, located i n such a way so as to be convenient for a l l residents. The design of the fixtures should be extremely simple so as to minimize t h e i r maintenance. The strong t r a d i t i o n a l background of the residents suggests that complete privacy be afforded i n the community baths. I t i s assumed that bath taps w i l l also be used for the supply of water, thus the effective water tap standard w i l l be one water point per 33 persons. Perhaps the greatest threat to the health of the residents of the bustees i s the complete lack of proper sanitary f a c i l i t i e s . I t . i s pro-posed that the municipal governments should immediately undertake.the construction of reasonable sanitary sewer systems including the necessary sewers and other appurtenances. The l o c a l authorities can once again employ the labor of the l o c a l residents. I t i s proposed that a standard be established of at least four water closets per 100 people to provide for the basic needs of the community. It -should be pointed out, here that this would only be a tentative standard and could vary from one community to another; i t should, however, provide reasonable basis for further estimation i f and when the resources of the l o c a l government permit an expansion of the system. These f a c i l i t i e s should be located so as to provide maximum a c c e s s i b i l i t y to the residents. Inadequate or often non-existent storm drainage f a c i l i t i e s i n the 113 bustees have resulted i n perpetually stagnant open drains that are chron-i c a l l y unsanitary and are of constant concern to the l o c a l health a u t h o r i t i e s . The s i t u a t i o n i s e s p e c i a l l y c r i t i c a l during the monsoons when the drains overflow and r e s u l t i n the flooding of the neighbourhood. I t i s suggested that these d e f i c i e n c i e s could be corrected to a large extent i f the l o c a l government would provide the necessary material resources f o r an adequate storm drainage system with a l l the necessary i n l e t s . There i s no doubt that the l o c a l residents could be encouraged to provide the required labor. Narrow winding lanes and a l l e y s , either unpaved or i n extremely poor condition characterize most bustees and con s t i t u t e a major problem during the monsoons when they are often completely washed out. These conditions have existed for years with the r e s u l t that the residents have been forced to accept them for what they are. I t i s proposed that the residents be encouraged to organize a s e l f - a s s i s t a n c e program and be provided with the necessary resources to pave and repair the lanes and a l l e y s i n t h e i r neighbourhood. These lanes serve an important function not only f o r transportation within the community but also form an extension of the i n d i v i d u a l house and are the basis of outdoor community l i v i n g . It i s e s s e n t i a l , therefore, that they be paved and constantly maintained by the community. Bustees i n the Indian c i t i e s have always had co n s i s t e n t l y poor str e e t l i g h t i n g systems. Because of the outdoor community l i v i n g charac-t e r i s t i c of bustee l i f e i t i s important to provide an adequate s t r e e t l i g h t i n g system for the safety and convenience of the residents. It i s proposed that the c i t y provide street l i g h t i n g at regular i n t e r v a l s and 114 at a l l important lane intersections within the bustee. Various'other physical improvements to the bustee environment can be carried out by the residents on a s e l f - a s s i s t i n g basis, these include the provision of dust bins, the making and i n s t a l l a t i o n of name plates for houses and street numbers to give the residents a sense of i d e n t i t y , clearing space for recreational a c t i v i t i e s , construction of reading rooms, and the erection of b u l l e t i n boards. Some of these programs w i l l be discussed l a t e r . I t i s essential that improvements be made, i n the environmental sani-tation practices of the community. I t i s a complex and d i f f i c u l t task to change the old sanitation practices of the people who have been accustomed to l i v i n g i n poor and unsanitary conditions. They have learned to accept these conditions and for them i t i s now a way of l i f e . I t i s hoped that community p a r t i c i p a t i o n i n the various programs directed at the improve-ment of the bustee environment w i l l serve to encourage the general stan-dards of cleanliness of the community. The c i t y must compliment t h i s by providing a regular and e f f i c i e n t garbage c o l l e c t i o n service. Residents should be encouraged to organize voluntary clean-up campaigns to remove accumulated refuse and debris. Environmental sanitation practices can also be changed when an attitude of censure can be developed against the transgressors within the community. It i s proposed that bustee dwellers be encouraged to participate i n and carry out community programs i n the f i e l d of education which would include adult l i t e r a c y classes, schools for young children, l i b r a r i e s , reading rooms, b i r t h control programs and organized, discussion groups dealing with the problems of the community and i t s relationship with the 115 l o c a l government and other communities * Some of these programs are discussed below: I l l i t e r a c y i s a widespread phenomenon i n the bustees and i s p a r t i c -u l a r l y high among the women. It i s proposed that voluntary groups be organized within the community to encourage more adults to l e a r n how to-read and write. Part time teachers can be engaged with the l o c a l govern-ment paying for t h i s s e r v i c e along with a l l . the other expenses l i k e p e n c i l s , books, notebooks and blackboards. Classes .can.be organized i n lanes and courtyards within the community so as to encourage maximum adult p a r t i c i p a t i o n . Because of the overcrowded conditions i n the' bustees i t has not been always possible for l o c a l c i t y a u t h o r i t i e s to provide adequate pre-school and primary school f a c i l i t i e s f o r the c h i l d r e n of the bustee dwellers. Even when f a c i l i t i e s are a v a i l a b l e , the education of.bustee c h i l d r e n has presented d i f f i c u l t i e s as parents see l i t t l e advantage i n seeing t h e i r c h i l d r e n , p a r t i c u l a r l y the g i r l s , going to schools. They question the value of educating t h e i r c h i l d r e n when they would rather have them work and gain some f i n a n c i a l assistance for the family. In the absence of adequate schools, i t i s proposed that the l o c a l a u t h o r i t i e s provide the material resources f o r s e t t i n g up the schools i n these communities. The' c i t y should r e c r u i t the teachers from the commun-i t y and also provide the i n i t i a l expenses for s e t t i n g up the schools. The residents should be encouraged to b u i l d the f a c i l i t i e s through community p a r t i c i p a t i o n . These schools can furnish the necessary t r a i n i n g i n l i t -eracy and elementary subject matter and a f f o r d the c h i l d r e n an a l t e r n a t i v e to replace t h e i r idleness. Since few bustee dwellers are able to read, the l o c a l a u t h o r i t i e s have not f e l t the need to provide l i b r a r y f a c i l i t i e s f o r them. The few that can read cannot a f f o r d the luxury of purchasing books or even the d a i l y newspaper and the few c h i l d r e n that do go to school are not provided with any f a c i l i t i e s where they may read or study. It i s proposed that several reading rooms can be provided e i t h e r by b u i l d i n g simple s h e l t e r s on vacant spaces or the c i t y could rent a vacant b u i l d i n g from the com-munity for t h i s purpose. The c i t y should also provide the necessary f u r n i t u r e while the residents can subscribe for newspapers and magazines. Mobile l i b r a r i e s can be.set up by the c i t y and r e g u l a r l y s ervice these communities. The reading rooms should be equipped with radios and t e l e -v i s i o n provided for by the l o c a l government. Residents can also be encouraged to p a r t i c i p a t e i n discussion groups on appropriate subjects depending on community i n t e r e s t s . Recreational and c u l t u r a l f a c i l i t i e s i n the c i t y are, for the most part, located away from areas where bustee dwellers reside. These f a c i l -i t i e s are, therefore, used by only a small percentage of the c i t y ' s , population most of whom are i n the higher income group and who l i v e near these f a c i l i t i e s . Parks, playgrounds and community centers need to be provided by the l o c a l a u t h o r i t i e s and community organized r e c r e a t i o n a l and c u l t u r a l programs need to be encouraged. Community organized recre-a t i o n a l and c u l t u r a l a c t i v i t i e s represent means of developing, sustaining and increasing the s o c i a l organization of the people of the area. It i s hope that such programs w i l l also enable the people to get acquainted with each other through common p a r t i c i p a t i o n and help bridge the d i f f e r -ences among them based on r e l i g i o n , region and caste. Indigenous singing 117 groups can be encouraged to perform for the community and c u l t u r a l > programs of music, dance and drama can also be arranged. Most bustees . are inhabited by heterogenous groups from different regions and each group has i t s own unique c u l t u r a l background. Cultural programs involving these diverse groups can afford opportunities for " c u l t u r a l transfer" between them and also enhance the s o c i a l l i f e of the community at large. A salient feature of this concept i s that wherever bustees are s i t u -ated on private land the landowners' interest should,be purchased by a combination of bonds and cash, so that the land w i l l become an urban Zand bank for the future development of the c i t y . As clearance of the bustees becomes f i n a n c i a l l y possible or when important new uses must be sit e d within the c i t y , land w i l l be available, and the p r o f i t s from the reuse of the land w i l l accrue to the community. It i s not proposed to disturb the rights of the bustee tenants who w i l l then pay ground rents to the government. The basis of any compensa-tion to the landowners' w i l l depend obviously on various factors; I t i s proposed that the compensation be set at a certain percentage of the annual rent received by the•landlords. I t i s expected that they w i l l not object since this c a p i t a l w i l l fetch them a far better return than what they are receiving at the present. IV URBAN VILLAGE: A SHELTER PROGRAM FOR THE FUTURE MIGRANTS. In the face of increased r u r a l to urban migration, i f uncontrolled slum formation i s to be prevented i n the future, i t w i l l be necessary to devise a program to provide adequate cheap shelter for the migrants. Such a program cannot look'to large government subsidies to meet i t s 118 requirements but must r e l y on the people themselves to pay for t h e i r own s h e l t e r . This means that housing of the type now being b u i l t by the migrants must form the e s s e n t i a l ingredient i n any mass housing program. The funds a v a i l a b l e from the government should be a l l o c a t e d to providing an urban environment where the migrants can be allowed to put up t h e i r t r a d i t i o n a l dwelling and thereby be gradually introduced to an. urban way of l i f e . Such a program c a l l s f o r the a c q u i s i t i o n of large land areas to provide project s i t e s and the i n s t a l l a t i o n of the e s s e n t i a l services and community f a c i l i t i e s necessary for a decent and healthy l i f e . I t i s proposed that t h i s low-cost s h e l t e r program be a l o g i c a l extension of the Bustee Improvement Programs that have already been d i s -cussed for the e x i s t i n g slum areas. The same kinds of services and f a c i l i t i e s w i l l be provided at the same standards. In addition, there would be an o v e r - a l l development plan for each area which would lay out the communities i n r e l a t i o n to the proposed Master Plan of the c i t y . These areas would then be equivalent to the improved bustees with perhaps better community f a c i l i t i e s and f a r superior to the slum accommodations which are"presently the only a l t e r n a t i v e for the migrants. The ultimate Indian megalopolis i s conceived as possessing thousands of r e l a t i v e l y autonomous communities representing scores of sub-cultures which are, nevertheless, only way stations on the road to a cosmopolitan urban cul t u r e . Therefore, the "urban v i l l a g e " i s seen as a l o c a l e f or education, a place where the tasks of subsistence are met, and attention i s c o n t i n u a l l y drawn to the world of technology and new s o c i a l r o l e s that e x i s t outside the community i t s e l f . The concept of community p a r t i c i p a t i o n and s e l f - a s s i s t a n c e or the 119 " l e a r n i n g by d o i n g " p r o c e s s , f o r d e v e l o p i n g a new community i s t h e most r e a s o n a b l e t e c h n i q u e ' i n a v e r y poor c o u n t r y . I n d i a ' w i l l n o t have the c a p i t a l r e q u i r e d f o r a f o r m u l a t h a t wou ld p r o v i d e h o u s i n g f o r t h e i m m i -g r a n t s when and where i t i s n e e d e d . These m i g r a n t s f rom r u r a l a r e a s must c r e a t e t h e i r own f a c i l i t i e s , and b u i l d up t h e i r o w n ' s k i l l s i n r e s h a p i n g t h e i r p h y s i c a l e n v i r o n m e n t . The r o l e o f " p l a n n i n g " i n t h i s framework i s n o t f a r d i f f e r e n t f rom t h a t o f a t e a c h e r who r e c o g n i z e s t h a t h i s s t u d e n t s a r e l e a r n i n g more, f rom e a c h . o t h e r t h a n f rom f o r m a l p r e s e n t a t i o n s . The' s p e c i a l s k i l l o f t h e p l a n n e r i s i n p r e s e n t i n g deve lopment t a s k s to t h e community i n an o r d e r and s c a l e t h a t would n o t be too o v e r w h e l m i n g . When t h e t a s k i s too g r e a t t o be h a n d l e d by s e l f - o r g a n i z a t i o n e m p l o y i n g l o c a l c o n t r i b u t i o n s ' o f c a p i t a l and l a b o r , a p l a n n i n g and deve lopment agency must be ready to i n t e r v e n e and f i n d some means o f a s s i s t a n c e . The Process of Acquiring Land Land i s a lmos t n e v e r a v a i l a b l e to a new immigrant community i n s u f -f i c i e n t q u a n t i t y and c o n t i g u i t y . In p r e s e n t p r a c t i c e , t he r e s p e c t i v e f a m i l i e s f i t i n t o t h e c i t y as b e s t they c a n and l a t e r a t tempt to f o rm a r e l i g i o u s c e n t e r o r a c l u b as a f o c u s o f t h e i r s u b - c u l t u r e . T h e r e f o r e , p l a n n e r s must have a l a n d a c q u i s i t i o n p o l i c y t h a t wou ld encourage the as sembly o f l a n d i n b l o c k s l a r g e .enough to accommodate a community. The d i f f i c u l t y w i t h l e g a l p r o c e d u r e s i s . t h a t they p r o c e e d much too s l o w l y to a l l o w a m e t r o p o l i s t o d o u b l e i t s a r e a i n the c o u r s e o f a decade and keep on r e d o u b l i n g i t i n subsequent d e c a d e s . P l a n n e r s a r e coming t o r e c o g n i z e t h a t t h e s e d i f f i c u l t i e s can be overcome by the p r o f i t m o t i v e , bu t t he p r o c e s s must be i n s t i t u t i o n a l i z e d so t h a t t h e outcomes a r e s o c i a l l y u s e f u l as w e l l as i n d i v i d u a l l y p r o f i t a b l e . No . such i n s t i t u t i o n has been 120 encountered i n the documentation on India, but some variants on what has been done elsewhere i n the world ( p a r t i c u l a r l y I s r a e l and Japan) appear to be f e a s i b l e . Once the boundaries of a proposed urban v i l l a g e on the fringes of the c i t y have been surveyed a "land t r u s t " corporation should be automa-t i c a l l y declared. Each present owner w i l l get a share of the stock pro-p o r t i o n a l to the amount of developable land he contributes. The land t r u s t w i l l i n s t a l l the aqueduct, storm sewers, and s t r e e t alignments using l o c a l labor at going rates, thus many farmers gain extra income as workers. When the land i s occupied the t r u s t pays the o r i g i n a l a g r i c u l t u r i s t s at a value halfway between a g r i c u l t u r a l land and urban land less the develop-ment costs. The land t r u s t then reassigns the land to immigrant fa m i l i e s i n convenient l o t sizes on long term leases. The l o t s i z e and the length of the lease w i l l depend on the s i z e of the family and the recommendations of the "panchayat" or the new community government. Both government and the leasors become the new stockholders. As the land'is further developed with gutters, sewers, paving, water supply, e l e c t r i c i t y , and s t r e e t lightn-ing i n s t a l l e d , the increased value of the land accrues to the community. As long as the land t r u s t owes money to the State, the State w i l l have a d i r e c t o r on hand to review the procedures.. I f the land i s l a t e r converted to metropolitan core, again the p r o f i t s can be d i s t r i b u t e d , t h i s time among the old leasors and the new community members. Since the very f i r s t urban v i l l a g e s to be formed are most l i k e l y to benefit from further trans-formation a generation or so l a t e r , much les s r i s k i s e n t a i l e d in.the a c q u i s i t i o n of experience that would enable the land trusts to f i l l the desired f u n c t i o n . 1 The important'feature about t h i s procedure i s that ' • 121 leases and contracts can have terms set so that urban development i s not held back, and w i n d f a l l p r o f i t s are averaged out so that large numbers of people can make modest gains. r . Developing the Urban Village. The basic assumption of the concept for an urban v i l l a g e i s that these areas w i l l provide temporary accommodation. I t -has often been sa i d that there i s nothing so permanent as temporary housing. The d i f f i c u l t y of moving people - p a r t i c u l a r l y low income people - from t h e i r homes i s w e l l known. However, the concept of "temporary" as used i n t h i s program i s somewhat d i f f e r e n t i n that i t assumes occupancy of up to 15-20 years. A l l houses w i l l be b u i l t on a s e l f - a s s i s t i n g basis employing t r a d i t i o n a l materials and techniques. The government w i l l provide the financing f o r the materials and the f i n a n c i a l arrangements w i l l be such that the units are completely amortized at the end of the time period when i t i s proposed, to replace these structures either f or new housing projects or for some other use as determined by the Master Plan. This program i s based on the assumption of an.on-going.development program b u i l d i n g upwards of 40,000 units per year. This w i l l insure a constant supply of r e l o c a t i o n housing always within a short distance of the e x i s t i n g housing, which might be eliminated f o r other higher economic uses. Basic to the concept, and underlying the need for housing of t h i s type to be temporary, i s the assumption of the continuous growth of the c i t y . The s i t e s selected f or temporary housing areas w i l l be on lands at' the fringes of the c i t y , which i n 15-20 years w i l l be required for perman-ent construction of industry or other types of housing. The necessary roads and u t i l i t i e s can be i n s t a l l e d i n advance, as already discussed and 122 then converted to permanent uses l a t e r on. The residents of,the urban v i l l a g e can then be relocated to a s i m i l a r f a c i l i t y a short distance away. The c i t y can thus expand i n a l o g i c a l and economical pattern - the urban land required for permanent construction coming into the market i n a systematic and organized process i n the locations required by,the o v e r - a l l development plan. I f temporary occupancy of land on.the urban f r i n g e by low-cost housing, followed by the use of the land f o r permanent urban construction, C' can be made to work, many problems of the c i t y related to the.growth dynamics can be solved. At the moment, the f r i n g e of the c i t y i s r a p i d l y p r o l i f e r a t i n g into a new r i n g of slums that threaten to choke the c i t y ' s future growth. In the absence of enforceable p o l i c e powers and i n the face of the overwhelming need for s h e l t e r space, the c i t y stands powerless to c o n t r o l this growth. Low-income housing projects can only be success-f u l i n areas where land costs are'low enough to permit such p r o j e c t s . By -introducing the idea of temporary use of urban fr i n g e land both problems are solved. The development, which i s going on regardless, becomes co n t r o l l e d and the l o c a t i o n i s close enough to be a t t r a c t i v e . Another advantage of the concept of low-cost temporary housing i s the opportunity of b u i l d i n g at higher standards l a t e r on. The great short-age of funds and the pressures of the problem have combined to produce so- c a l l e d minimum standards for permanent housing that are so low that they may w e l l produce future slums. Housing of the type which i s b u i l t today with a l i f e expectancy of at l e a s t s i x t y years, sets the form of the future c i t y i n b r i c k and concrete. I t i s not unreasonable to expect that the Indian c i t y of the twenty-first century can be a v a s t l y better place 123 to l i v e : b i r t h control can become e f f e c t i v e , a l t e r n a t i v e places of rural-urban migration developed; the n a t i o n a l economy greatly strengthened; and new construction technology become a v a i l a b l e . To postpone as much as possible the commitment of large areas of urban space to forms of develop-ment that may prove t o t a l l y unsatisfactory i n the future seems l o g i c a l and appropriate at this stage i n India's development. The land acquired under such a program would form an urban land bank of great value i n a s s i s t i n g the eventual renewal of the c i t y i n the years ahead. The best that can be done today may be unacceptable i n the future, but i f temporary housing communities are b u i l t and the land brought under public c o n t r o l , the renewability of the c i t y i s assured, and eventual permanent construction can be i n tune with the conditions of the future. The obvious d i f f i c u l t y with t h i s approach to temporary housing and the organized expansion of the c i t y i s the demonstrated reluctance of the government to take the necessary actions required to relocate f a m i l i e s . This problem, i n the end, must be faced i f progress of any sort i s to be made. Development progress throughout h i s t o r y has. never been p a i n l e s s . The le s s resources a v a i l a b l e the more p a i n f u l the t r a n s i t i o n of development has been for the people. There i s no s u b s t i t u t e f or the rigorous pursuit of the development program. No plan, no matter how promising, w i l l ever implement i t s e l f . The f i n a l t e s t of progress w i l l be whether or not the d i f f i c u l t decisions are made that w i l l permit an aggressive management of the program. 124: V SUMMARY AND CONCLUSIONS. There i s a substantial body of l i t e r a t u r e that has been developed over the years on the general subject of "Who are the slum dwellers?" Yet, the r e s u l t s of these studies have not been s u c c e s s f u l l y translated into the design of the housing p r o j e c t s . The present slum clearance pro-grams have been c r i t i c i z e d i n t h i s report f o r t h e i r lack of a d a p t a b i l i t y of the r e a l needs of the slum dwellers. The low-cost temporary urban settlement concept of the Urban V i l l a g e o f f e r s an opportunity to correct some of these f a i l i n g s . The types of shel t e r proposed here represents a general continuation of the t r a d i t i o n a l forms of housing to which the migrants are accustomed. The bustee hut with i t s confined physical space defines one l e v e l of s o c i a l space i n the slum area - i t sets the pattern of neighboring. Even i n cases where there are d i s t i n c t r e l i g i o u s d i f f e r e n c e s , the proximity of l i v i n g areas seems to stimulate i n t e g r a t i o n . This close proximity i s not possible i n the design of four-story walk-up structures b u i l t by the government to replace slum housing. The one-story structure i s also generally preferred -by the bustee residents. It represents the t r a d i t i o n a l and f a m i l i a r form of housing and has the p r a c t i c a l advantage of immediate access to the open areas where so much of the bustee dwellers' time i s spent i n both work and l e i -sure. The fac t that the structures proposed f o r the Urban V i l l a g e w i l l be t r a d i t i o n a l and, therefore, provide a very f l e x i b l e arrangement f o r i n t e r i o r space, i s another s u b s t a n t i a l advantage over the permanent hous-ing projects. Bustee dwellers, because of t h e i r low incomes and marginal standards of l i v i n g , need to make the maximum use of t h e i r l i v i n g space. 125: Permanent apartments allow no adjustment to the very wide range of family sizes, and incomes of the slum dwellers. The proposed temporary s h e l t e r s , however, would have complete f l e x i b i l i t y , they would permit the develop-ment of workshops, home industries,, schools, and sanitary animal shelters w i t h i n the project areas. They w i l l permit a family to acquire as much space as t h e i r income can permit. This f l e x i b i l i t y i s possible because of the nature of the t r a d i t i o n a l structures to be provided and.the basic f a c t that the management of the area w i l l be i n the hands of the community "panchayat" thereby minimizing the number of rules and regulations that accompany government projects. The process whereby a p a r t i c u l a r Urban V i l l a g e becomes developed and occupied requires c a r e f u l planning. At present, the new migrant to the c i t y comes alone and leaves his family i n the v i l l a g e u n t i l he i s s e t t l e d . He goes to f r i e n d s , usually from the same v i l l a g e , i n a p a r t i c u l a r bustee and stays.with them. I t i s quite possible that these new migrants might not be immediately attracted to the Urban V i l l a g e . The very long term bustee residents who have l i v e d more than 20 y e a r s • i n a p a r t i c u l a r bustee may also be reluctant to move to a new l o c a t i o n . I t seems that i n the beginning the people most l i k e l y to be attracted to the new areas are the more recent residents of the bustee - those that have been i n the c i t y from one-ten years and are somewhat s e t t l e d but s t i l l have not established permanent attachments to the bustee where they are located. In the beginning i t might be necessary to a t t r a c t people to the new areas by extensive p u b l i c i t y and by taking groups of p o t e n t i a l f a m i l i e s out to the s i t e s to see the areas f o r themselves. An organized e f f o r t to do t h i s w i l l be necessary on the part of the 0 government organization 126 responsible f o r the project. Once the s o c i a l character of the p a r t i c u l a r settlement i s established i t w i l l tend to be self-perpetuating, as new migrants w i l l then come to stay with those residents already i n the pro-j e c t area. Once again, the f l e x i b i l i t y of the physical plan of the Urban V i l l a g e s makes accommodations of these future residents much easier than would be the case with permanent structures. This study was undertaken with the view-to understanding the enorm-i t y of the problems of the urban slum and i t s inhabitants. Rural-urban migration i s leading to the formation of new bustees every day and i t i s imperative that immediate action be undertaken to a l l e v i a t e the l i v i n g conditions i n these communities. The concepts that have been proposed i n th i s report may appear humble, but for the residents of the bustees lack-ing i n every basic necessity these proposals can mean the dif f e r e n c e between disease and healthy l i v i n g . Indian d e c i s i o n makers must face the harsh economic r e a l i t i e s and abandon Western concepts of providing s t e r i l e p u blic housing projects that benefit only a f r a c t i o n of the slum popula-t i o n ; instead they must r e a l i z e that the only hope i s the pr o v i s i o n of the environmental improvements f o r the many; Among the many professionals i n the f i e l d the f u t i l i t y of past low-cost housing projects f o r the slum dwellers i s w e l l documented. In a country with l i m i t e d resources, environmental improvement programs along with s o c i a l , c u l t u r a l and rec r e a t i o n a l opportunities o f f e r the only reasonable a l t e r n a t i v e . 127 CHAPTER IV. 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