Slum Infrastructure Upgradation Standard Operating Procedure
This standard operating procedure outlines the process for identifying, listing, and upgrading slums in Odisha. It includes steps such as Participatory Infrastructure Needs Assessment, benchmarking, I-GAP preparation, slum intervention identification, and completion of upgradation projects. The procedure also covers delisting proposals and habitation renaming. Ward officers play a key role in anchoring this work.
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LAUNCHED ON 28TH SEPTEMBER 2020 BY HONORABLE CM 01
STANDARD OPERATING PROCEDURE OBJECTIVE OF THESTANDARD OPERATING PROCEDURE Identification and Listing of slumsa A Undertake Participatory Infrasturcture Needs Assessment(PNA)b at slum level for primary infrastructure facilities B To have a bench-marking in taking up the slum infrastructure upgradation Why are these proceduresrequired Prepare I-GAPc to assess the infrastructuregap at slum level and to plan for slum upgradation projects C In All Municipal Corporations Municipalities and Notified Area Councils (NACs) in Odisha Who all will becovered Slums requiringintervention Execution of slum upgradationprojects D Slum with adequate infrastructure Who will anchor this work WardOfficer Completion of slum upgradationprojects E Delisting Proposald submitted by SDA/RWA for evaluation by ULB Not recommended F Delisting proceduree,f G Renaming of the habitation (if agreed by SDA/RWA) and incorporation in the ULB and other recordsg H 02
Step A. IDENTIFICATION AND LISTING OF SLUMS Identification and Listing of slumsa A Undertake Participatory Infrasturcture Needs Assessment(PNA)b at slum level for primary infrastructure facilities B Prepare I-GAPc to assess the infrastructuregap at slum level and to plan for slum upgradation projects C Slums requiring intervention ULBs to identify all the slums within its jurisdiction based on the the Execution of slum upgradationprojects D Slum withadequate definitionundersection2(r)oftheLR infrastructure Act,2017 Completion of slum upgradationprojects E Formatformaintainalistofallslums to be maintained by the ULB as per Delisting Proposald submitted by SDA/RWA for evaluation by ULB Annexure1ofSOP Not recommended F Delisting proceduree,f G Renaming of the habitation (if agreed by SDA/RWA) and incorporation inthe ULB and other recordsg H 03
Step B. UNDERTAKE NEED ASSESSMENT (PNA) Identification and Listing of slumsa A Periodic slum level Participatory Infrastructure Needs Assessment (PNA) shall be undertaken by the concerned Undertake Participatory Infrasturcture Needs Assessment(PNA)b at slum level for primary infrastructure facilities B Ward officer on behalf of ULBs/ SDAs/ RWA . Prepare I-GAPc to assess the infrastructuregap at slum level and to plan for slum upgradation projects C The PNA will cover the status of access to the primary Slums requiring intervention infrastructure through survey and Group discussions with Execution of slum upgradationprojects D SDA/ RWA specifically - Water supply, Pucca roads, Pucca Slum withadequate infrastructure storm water drainage, Street lights, Access to toilet facilities Completion of slum upgradationprojects E and electricity supply. The concerned Ward Officer shall undertake the Delisting Proposald submitted by SDA/RWA for evaluation by ULB assessment together with SDA, through field visits and Not recommended F discussions with the residents. He/ she shall be the Nodal officerforPNAandwill besupportedbyteamdeputizedbythe ULB. Delisting proceduree,f G Format for capturing slum level data is enclosed as Annexure 2 ofSOP Renaming of the habitation (if agreed by SDA/RWA) and incorporation inthe ULB and other recordsg H 04
Step C: PREPARE GAP ANALYSIS (I-GAP) Identification and Listing of slumsa A Undertake Participatory Infrasturcture Needs Assessment(PNA)b at slum level for primary infrastructure facilities B Prepare I-GAPc to assess the infrastructuregap at slum level and to plan for slum upgradation projects I-GAP tool will be used to assess the vulnerability of C slums basedonavailabilityofprimaryinfrastructure Slums requiring intervention Execution of slum upgradationprojects D Slum withadequate Ifanyslumisidentifiedwithadequateinfrastructureas infrastructure per I-GAP,theslummaydirectlybetakenupfordelisting. Completion of slum upgradationprojects E Basedontheidentifiedinfrastructuregaps,theconcerned Ward Officer on behalfofULB will initiate thepreparationfor Delisting Proposald submitted by SDA/RWA for evaluation by ULB Not upgradingslumlevelinfrastructure. recommended F Delisting proceduree,f G Renaming of the habitation (if agreed by SDA/RWA) and incorporation inthe ULB and other recordsg H 05
Step D & E: EXECUTION AND COMPLETION OF PROJECTS Identification and Listing of slumsa A Undertake Participatory Infrasturcture Needs Assessment(PNA)b at slum level for primary infrastructure facilities B Execution: The slum upgradation projects shall be executed Prepare I-GAPc to assess the infrastructuregap at slum level and to plan for slum upgradation projects C under the supervision of the Ward Officer and SDA/RWA will be the ImplementationPartner. Slums requiring intervention Execution of slum upgradationprojects D Slum withadequate The details of the execution modalities of slum infrastructure upgradation projects and involvement of IP will be shared by the State Government from time to time. Completion of slum upgradationprojects E Completion: TheWardOfficeronbehalfofULB,shallensure Delisting Proposald submitted by SDA/RWA for evaluation by ULB Not recommended thecompletion oftheslumupgradationprojects F Delisting proceduree,f G Renaming of the habitation (if agreed by SDA/RWA) and incorporation inthe ULB and other recordsg H 06
Step F: DELISTINGPROPOSAL Identification and Listing of slumsa A Undertake Participatory Infrasturcture Needs Assessment(PNA)b at slum level for primary infrastructure facilities B 1. The SDA/RWA will submit the respective Proposal for delisting the concerned slum of evaluation the ULB. Prepare I-GAPc to assess the infrastructuregap at slum level and to plan for slum upgradation projects C Slums requiring intervention 2. The ULB shall evaluate the delisting proposal based on six Execution of slum upgradationprojects D primary infrastructurefacilitiesas per Annexure 4 Slum withadequate infrastructure Completion of slum upgradationprojects E 3. The ULB may undertake the evaluation either based on field level verification or its observations or a combination of both. The proposal will then be passed by a Council Delisting Proposald submitted by SDA/RWA for evaluation by ULB resolution. Not recommended F 4. Subsequently, the same may be forwarded UASRRC for delisting. Delisting proceduree,f G Renaming of the habitation (if agreed by SDA/RWA) and incorporation inthe ULB and other recordsg H 07
Step G: DELISTING PROCEDURE Identification and Listing of slumsa A UASRRC shall constitute a Delisting Scrutiny Sub- Committee to validate the slum delisting Undertake Participatory Infrasturcture Needs Assessment(PNA)b at slum level for primary infrastructure facilities B recommendation Prepare I-GAPc to assess the infrastructuregap at slum level and to plan for slum upgradation projects DSC based on its observations, may refer to the C SDA/RWA and ULB through UASRRC for attaining Slums requiring intervention adequate level of infrastructure works in the slums (or) Execution of slum upgradationprojects D may validate the process of delisting, as the case may Slum withadequate infrastructure be. Completion of slum upgradationprojects E UASRRC will issue a public notice inviting objections to the change of status of the slum with in a period of 15 Delisting Proposald submitted by SDA/RWA for evaluation by ULB days. Upon redressing of the objections(if any), it will Not recommended F direct the concerned ULB to issue an order for delisting oftheslums, asperAnnexure5oftheSOP And as per Annexure 6, the concerned SDAwill pass Delisting proceduree,f G a resolution converting the SDA to RWA with an intimationtoULBthroughthe concernedwardofficer Renaming of the habitation (if agreed by SDA/RWA) and incorporation inthe ULB and other recordsg H 08
Step H : RENAMING OF THEHABITATION Identification and Listing of slumsa A Undertake Participatory Infrasturcture Needs Assessment(PNA)b at slum level for primary infrastructure facilities B Upon formal delisting of the slum the ULB, RWA Prepare I-GAPc to assess the infrastructuregap at slum level and to plan for slum upgradation projects C mayseektochangethenamethrougharesolution Slums requiring intervention asperAnnexure7 Execution of slum upgradationprojects D Slum withadequate infrastructure The ULB through the concerned Ward Officer shall Completion of slum upgradationprojects E take following actions for incorporation of changed name: 1. Necessary corrections in the ULB and other Delisting Proposald submitted by SDA/RWA for evaluation by ULB records, Not recommended 2. Publication of change of name in the local F newspaper 3. Gazettenotificationwillbemade to the effect and 4. Intimation to the postal authorities informing the Delisting proceduree,f G changes. Renaming of the habitation (if agreed by SDA/RWA) and incorporation inthe ULB and other recordsg H 09
ANNEXURE 1 List of Slums in the Urban Local Body(ULB) Annexure 1 List of slums in the Urban Local Body District Name:..................................................................... ULB Name........................................................................... Sl. No. Ward Number Location with Geo-Coordinates Approx. Total Number of Household Date Remarks , if any Slum Name Land Classification & Ownership information Year of Formation 10
ANNEXURE 2 Format for Participatory Infrastructure Needs Assessment (PNA) Table 2 : Primary infrastructure facilities in the slum Annexure 2 A. WATER SUPPLY Format for Participatory Infrastructure Needs Assessment (PINA) (This format will be used to conduct a Participatory Infrastructure Needs Assessment (PINA) in all the slums of the ULB.) 1. Is piped water supply available at the slum street level? (inside slum area) [YES/NO] If NO, move to Q3 District Name ULBName . 2. Dwelling units with a water supply pipeline at the street level Number: Percentage: 1. Objective: Remarks: 3. Which is the primary source (if No in Q1)/supplementary source (if Yes in Q1) of potable water supply for residents? (Public tap 01; Tube well 02; Open well 03; Pond/river/canal 03; Bore well 04; other 05) B. PUCCAROADS 4. Dwelling Units having access to public road/street (within slum) Preparing a baseline of slum information & infrastructure gap Basis for preparing Slum Upgrading Plans 2. Methods to be used: Group Discussion: At least 2 Group Discussions in each slum Number: Percentage: Length: Percentage: 5. Length of inner pucca road/streets (in Km) 3. TeamComposition: C. PUCCA STORM WATERDRAINAGE Number: Percentage: 6. Dwelling Units connected/discharging to pucca drains D. STREET LIGHTS (whereveravailable) Number: Percentage: 7. Functional street lights 4. Discussion Pointers for conducting Group Discussion 8. Street length covered by functional street lights (in Km) Length: Percentage: Table 1 : General information about theslum A. GENERALPROFILE E. ACCESS TO TOILETFACILITY Length: Percentage: 9. Dwelling units with septic tank/pit/sewer system and functional IHHL 1. WardNo. 2. Slum name as per ULB record Length: Percentage: 10. No of HHs having access to toilets (IHHL+CT/PT) 3. Slum name as per local community (if different from the ULB record) 11. No. of community toilets 12. No. of seats available in community toilets 4. Total no. of slum households F. IN-HOUSEELECTRICITY 13. Dwelling units having individual authorised electricity connection 5. Total inner road/ street length in the slum (in km) Number: Percentage: B. DWELLING UNITTYPE 6. Total no of Dwelling Units Table 3 : Solid waste disposal facilities in the slum 7. No. of Pucca houses SOLID WASTE DISPOSAL 8. No. of Semi-Pucca houses Door-to-door collection of garbage and road cleaning taking place (Yes/No) 9. No. of Kutchha houses 11
ANNEXURE 3 Framework for Preparing I-GAP (Infrastructure Gap Assessment Profile) at Slum Level A. Water Supply % of HHs with water supply pipeline in the Street = (No. of HHs having access to water supply pipeline in the street/Total no. of households) x 100 Percentages (%) Annexure 3 Framework forpreparing (Data Source: Q2, Table 2 in Annexure 2) B. Pucca Road % of total pucca road length = (Total puccaroad length/Total road length) x100 Introduction I-GAPisadecision-makingtoolfortheULBtoobjectivelystrategizetheinterventioninslums.Thisassessmenthas to bedoneforalltheslumslistedasperAnnexure1,drawingonthedatafromAnnexure2.Thisdocumentwillbe the basisforidentifyingprimaryinfrastructuralgapswhichrequireupgradation,beforeaslumsettlementistaken (Data Source: Q5, Table 2 in Annexure 2) C. Pucca Storm Water Drainage % coverage of pucca drains = (No of HHs connected/ discharging to pucca drains /Total no. of households) x 100 his/her jurisdiction by displaying the same at the slum level. This tool will beuseful: To assess the infrastructure gap at the slum level and help the ULB in developing an informed multipronged and phasing strategy fordelisting. (Data Source: Q6, Table 2 in Annexure 2) To plan for slum upgradation projects addressing the gaps. D. Streetlights % of street length with functional street lights = (Length of street with functional street light/Total internal street length) x100 iii. SummaryofSlumI-GAPscoresattheCityLevel Asummary of all theslum scores is drawn out (Table3) for comparing thescores across all theslums in the city. This tablewill identify slums with ascoregreater thanor equalto 80%across the sixprimary infrastructure facilities which maybeprioritized for delisting. (Data Source: Q7, 8, Table 2 in Annexure 2) E. Access to Toilet Facilities % of HHs having access to safe functional toilet = HHs with IHHL for exclusive use+ no of HHs having access to CT/PT) /total number of households in the slum} x 100 Table 3: Summary of Slum IGAP scores at the City level {(No. of SlumName WardNumber Total Slum level score (Average of percentages of coverage of the six primary infrastructure facilities - Refer to Table2) if any (if the slum level scoreis =80% then Y, elseN) (Data Source: Q9,10, Table 2 in Annexure 2) F. In-house Electricity % of households having individual authorised electricity connection = (number of HHs with authorised electricity connections /the total number of households in the slum) x 100. Slum1 Slum2 Slum3 (Data Source: Q13, Table 2 in Annexure 2) Slum4 Slum5 Total slum score (Average of percentage of coverage of six primary infrastructure facilities) Slum6 12
ANNEXURE 4 Proposal for Delisting of Slum Submittedto: Annexure4 Observations by Commissioner/ E.O. of Municipal Corporation/Municipality/NAC: PROPOSAL FOR DELISTING OFSLUM District Name . ULBName . Before Upgradation based on I-GAP in % (refer Annexure 3) Sl. No. Infrastructurefacilities After upgradation 1. SlumName : 2. Location : a. WaterSupply 3. Number of Households: b. Pucca Roads 4. Infrastructure Facilities: (tick option) c. Pucca Storm Water Drainage Participatory Infrastructure Needs AssessmentConducted Slum upgrading projectsCompleted Sl.No. Parameters d. Streetlights e. Access to Toilets facilities 4.1 WaterSupply Ye Yes f. In-houseelectricity s No NA No Based on the of the primary infrastructure on the abovementioned parameters, by the Municipal Corporation/ Municipality/ NAC, 4.2 PuccaRoads Ye Yes (slum name) in WardNumber has s No NA Pursuant to Municipal Corporation/ Municipality/ NAC Council Resolution No. attached of Annexure B) the (slum name) is recommended/not recommended for delisting. /2020 dated (Copy No 4.3 PuccaStorm Ye Yes s No NA WaterDrainage No 4.4 Streetlights Ye Yes Submittedto: s No NA Observations by DSC Constituted underUASRRC: No 4.5 Access to toilets facilities Recommended/NotRecommended Ye Yes (MemberConvenor) (Chairperson) s No NA Signatures & designation of all other members of DSC: (Member) (Member) No (Member) (Member) 4.6 In-houseelectricity Ye Yes s No NA No CONCLUSION Recommended/NotRecommended Based on assessment of primary infrastructure by SDA/ RWA on the abovementioned parameters, the members of (slum name) SDA/RWA unanimously resolve to pass a resolution proposing the de-listing of the (slum name). The framework for resolution has been placed at AnnexureA. Signature of the Collector President Secretary Treasurer ____SDA/RWA ___SDA/RWA ____SDA/RWA 13
ANNEXURE 7 Renaming of Slum List and Signature of members in the meeting Annexure7 Sl.No. Name of the Member Designation Signature/ThumbImpression PROCEEDINGS OF THE MEETING OF THE EXECUTIVE COMMITTEE OF SDA/ RWA FOR CHANGING NAME OF 'ERSTWHILE'SLUM President Treasurer District .... ULB ... .. Slum ...... Member Date& Time: ; AM/PM Place: Member Member A meeting was organised under the Chairpersonship of Ms. /Mr. .. to discuss the proposal for change of name of slum earlier knownas to Corporation/Municipality/NAC. The list of members present in the meeting with their signatures/thumb in WardNo: under Municipal Member Member impressions is attached. The following points were discussed and resolution was passed: Enclosed asabove Resolution: / 2020 Copy for kind information and necessary action, submittedto: Municipal issued Pursuant to the delisting Corporation/Municipality/NAC along with the conversion of SDA to RWA viaRes by SDAnow will be changedto . /2020; dated issued by 1) MunicipalCorporation/Municipality/NAC /2020dated 2) PostalDepartment RWA, the members present discussed and resolved that the name of the SLUM/RWA 3) RevenueDepartment 4) District Town Planningand We, all members hereby agree to the above decision. 5) Concerned Urban Development Authority 14
