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BAREILLY

ADMINISTRATIVE STAFF COLLEGE OF IN

DRAFT CITY SANITATION PLAN


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CITY SANITATION PLAN BAREILLY

ADMINISTRATIVE STAFF COLLEGE OF INDIA, HYDERABAD Page 2

ACKNOWLEDGEMENT

PREFACE

ABSTRACT

LIST OF ABBREVIATIONS

LIST OF FIGURES/ CHARTS/ GRAPHS

LIST OF TABLES

CHAPTER 01

INTRODUCTION

1.1 CONTEXT1.2 CITY SANITATION RANKING1.3 EXPECTED OUTPUTS1.4 NUSP AND STATE SANITATION PLAN1.5 CSP PURPOSE AND OBJECTIVES1.6 CSP APPROACH, SCOPE AND LIMITATIONS1.7 CSP METHODOLOGY1.8 CSP COMMUNICATION NEEDS ASSESSMENTCHAPTER 02

CITY PROFILE

2.1 TOPOGRAPHY, CLIMATE & DEMOGRAPHY

2.2 ECONOMY

2.3 URBAN POVERTY & SLUMS

2.4 GOVERNANCE & INSTITUTIONAL ARRANGMENTS

CHAPTER 03

SITUATIONAL ANALYSIS OF SANITATION IN THE CITY

3.1 SERVICE PROFILE OF THE CITY3.1.AWATER SUPPLY3.1.BSEWERAGE3.1.C STORM WATER DRAINAGE3.1.DSOLID WASTE

3.2 ASSESSMENT OF SANITATION FACILITIES AND SITUATION IN POTENTIAL AREAS3.2.ASANITATION FACILITIES AND SITUATION AT HOUSEHOLD LEVEL3.2.BSANITATION FACILITIES AND SITUATION IN SLUM AREAS (COMMUNITY TOILETS)3.2.C SANITATION FACILITIES AND SITUATION IN PUBLIC AREAS (PUBLIC TOILETS)3.2.DSANITATION FACILITIES AND SITUATION IN INSTITUTIONAL AREAS3.2.E SANITATION FACILITIES AND SITUATION AT HOSPITALS3.2.F SANITATION FACILITIES AND SITUATION AT SCHOOLS


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3.2.GSANITATION FACILITIES AND SITUATION AT COMMERCIAL/ MARKET PLACES3.2.HSANITATION AND SITUATION AT INDUSTRIAL AREAS3.2.I SITUATIONAL ANALYSIS OF WATER BODIES

3.3 COST RECOVERY AND USER CHARGES

3.4 IEC AND AWARENESS ISSUES

CHAPTER 04

4.1 INFERENCES/ GAPS IDENTIFICATION AND REQUIREMENTS

4.2 IEC AND AWARENESS- MESSAGES & CHANNELS

CHAPTER 05

KEY POTENTIAL ISSUES

5.1 IDENTIFICATION AND ANALYSIS OF KEY POTENTIAL ISSUES USING MATRIX METHOD5.2 PRIORITIZING THE IDENTIFIED POTENTIAL ISSUES USING MATRIX METHOD5.3 SOLUTIONS TO KEY POTENTIAL ISSUES USING MATRIX METHODCHAPTER 06

PROPOSALS/ RECOMMENDATIONS

6.1 SWOT ANALYSIS6.2 VISION6.3 SANITATION OPTIONS

6.3.1 TECHNOLOGICAL OPTIONS6.3.2 FINANCING OPTIONS6.3.3 COMPARATIVE ASSESSMENT OF OPTIONS AND RECOMMENDATIONS OF MOST APPROPRIATE OPTIONS6.3.4 INSTITUTIONAL ARRANGEMENTS6.3.5 IMPLEMENTATION ARRANGEMENTS6.3.6 LINKAGE WITH STATE SANITATION PLAN6.3.7 IEC AND COMMUNITY ACTION PLAN6.3.8 MONITORING AND EVALUATION

ROAD MAP

REFERENCES

APPENDIX


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CHAPTER 01

INTRODUCTION

1.1CONTEXTThe population of India is 1027 million with approximately 28% or 285 million living in urban centers and

it is expected that the share of urban population will increase to about 40% of total population by the

year 2021. This is in sharp contrast to only 60 million (15 percent) who lived in urban areas in 1947 when

the country became independent. During the last fifty years the population of the country has grown

two and half times, while the urban India has grown by nearly five times. The positive role of

urbanization has often been over-shadowed by the deterioration in the physical environment and

quality of life in the urban areas caused by widening gap between demand and supply of essential

services and infrastructure. It is further associated with many problems, such as high levels of poverty,

environmental stress, risks to productivity, high health costs, and lack of access to basic services, such as

water supply, sanitation, and housing. The insufficient availability of services, inadequate awareness and

also poor operation and maintenance has also given rise to poor sanitation conditions. Hence, therefore,

proper allocation of resources both in terms of human and monetary will improve the sanitary

conditions and also awareness among people in turn improve the hygienic conditions of the city.

Since the level of investments and participation required for this sector i.e. on water supply, sanitation

and solid waste management is of very high order, it is felt that the national level initiatives are required

that would bring the Central, State and Local governments and on the other side Non-government

organizations and public participation are also required together to ensure proper flow of necessary

funds to bring about any kind of developments and improvements in these sectors to an acceptable

levels in tune with the international standards. The government should also recognize the urban issues

which require integrated approaches that specifically target the urban poor and slum areas, promote

sanitation and sewerage services at basic household levels to community levels and develop the city as a

living eco-sanitation and foster the involvement of private sectors and also the civil societies.

According to the survey organized by MoUD, Bareilly is ranking #187 out of 436 cities in India

considering different indicators. Bareilly has only scored 36.1/100 in these different considered

indicators.


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Considering Bareilly, this city and its development activities are the prime drivers of sanitation and

sewerage problems and also problems in solid and liquid waste management and in other key potential

areas such as slaughter houses, hospitals, public places, institutions, industries and schools, the Vision

provides incentives or development strategies at every possible potential areas at local level, and also

incentives that can be undertaken at institutional, structural and fiscal reform levels that are necessary

for improved and sustainable service delivery systems addressing all sectors/ groups of population and

also enhance the operation and maintenance of these services. The incentives also include IEC strategies

and action plans to bring awareness and improve the public participation in well-utilization of available

sanitation and sewerage services. Thus, in order to propose any strategies/ proposals for the

improvements of the citys sanitation and sewerage conditions and reduce the potential problems of the

city, it is very important to make a situational analysis of the current conditions. The following sectionprovides the city overview of Bareilly giving primary introduction to study area.

1.2 CSP SANITATION RANKING

The MoUD, GoI, proposal to commission agencies, appointed on the basis of competitive bidding

amongst short-listed ones, to carry out sanitation rating exercises for the 436 Class-I cities of India. In

order to ensure that bidders bid for providing standard outputs and these are administered uniformly

across cities to enable comparison, it was necessary to lay out a methodology (see Annexure 01) that

followed a standard set of steps, fixes the protocol for data collection and analysis, and uses a consistent

analysis and evaluation scheme leading to valid and comparable results. This note details the

methodology that will form a part of the Request for Proposals (RFP) from short-listed agencies. This will

become the basic framework that will guide the agencies rating exercises, and sets out the standard

tasks to be accomplished as a part of the rating exercise.

Three Categories of Indicators

The rating exercise will involve three categories of indicators:

1. Output Indicators: pertain to the city having achieved certain results or outputs in differentdimensions of sanitation ranging from behavioral aspects and provision, to safe collection,


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treatment and disposal without harm to the citys environment. There are nine main output-

indicators accounting for 50 points of the total of 100 points.

2. Process Related: indicators pertain to systems and procedures that exist and are practiced bythe city agencies to ensure sustained sanitation. There are seven main process-indicators

accounting for 30 points of the total of 100 points.

3. Outcome Related: indicators include the quality of drinking water and that of water in water-bodies of city, as also the extent of reduction in sanitation-related and water-borne diseases in

the city over a time period. There are three main outcome-indicators accounting for 20points of

a total of 100 points (The weights for output, process and outcome indicators are valid for this

round of rating. In later years, with improvements in the situation of cities and better availability

of data, greater importance and hence, weights will be accorded to outcome indicators).

Ideally, data for the above outputs, processes and outcomes are regularly collected by city authorities

but at present, very few cities will have, at best, partial data available. This rating exercise will help in

highlighting the need for regular data-collection and monitoring of indicators.

Based on CSP ranking methodology (see Annexure 01) which is applied to the current study city i.e.

Bareilly, following indicators at different levels and giving marks to each indicator resulted in overall

marks for Bareilly city as 36.01/ 100, which states the rank is # 188 for Bareilly city out of 423 cities in

India (see Annexure 02). The following chart shows the total points and secured points for the Bareilly

city for different indicators.


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City Sanitation Rating Project

CITY SCORE SHEET

City Name Bareilly (M Corp)

State Name UTTAR PRADESHCity category Other Class 1

Total score for the city (with color code) 36.101

Population (as per 2001Census) 720315

Population (as per projection) 828362

1.Total Of Output Related Indicators 16.6

2. Total Of Process Related Indicators 11.6

3. Total Of Outcome Related Indicators 8.0

1. OUTPUT RELATED INDICATORS

DETAILS:

Max

Marks

Marks

ObtainedDeduction

Marks

Awarded

1A_i

Access and use of toilets by urban poorand other un-served households

(including slums) by individual and

community sanitation facilities

Max

Marks -

4

3.0 3.0

Estimated population of the sample

slums practicing open defecation4.0

1A_ii

Access and use of toilets for floating and

institutional populations - adequate

public sanitation facilities

Max

Marks -

4

2.1 0.5 1.6

Proportion of Functional and working

Toilets to number of field visit points0.5

No. of instance of urination/ open

defecation1

1A_iii No open defecation visible

Max

Marks -

4

4.0 2.5 1.5

Proportion of field visits where OD was

visible to the total field visit points0.3

Instances of "OD" on railway track 21

1A_iv Manual Scavenging eliminated in City

Max

Marks -

4

4.0 0.0 4.0

Whether Manual scavenging being

practiced in ULBNo

1B

Proportion of total properties with safe

collection arrangements for human

excreta

Max

Marks -

6

4.0 1.5 2.5


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Percentage of properties having safe

collection arrangements of human

excreta

85.8

Total instances of breakage, ex-filtration

or overflow of fecal matter observed 3.0

1C

Proportion of total black waste water

generation that is treated and safely

disposed off

Max

Marks -

9

0.0 1.5 0.0

Percentage of black wastewater treated

and safely disposed off after Secondary

treatment

0.0

Total no. of instance of unsafe disposal

or dumping of black-water into water

courses, water bodies, or open areas

3.0

1E Proportion of treated wastewater that isrecycled and reused for non potable

applications

MaxMarks -

3

0.0 0.0

Percentage of treated wastewater

recycled and re-used (after Secondary

treatment)

0.0

1F

Proportion of total storm-water and

drainage that is efficiently and safely

managed (3 points for 100%)

Max

Marks -

3

3.0 0.0 3.0

Percentage Storm water Coverage 100.0

Percentage of drain-overflow and

breakage are found in more than 50% ofobservation points

0.0

Whether more than 50% of the road

network observed/reported to be prone

to recurrent flooding/water logging

No

1GProportion of total solid waste

generation that is regularly collected

Max

Marks -

4

3.0 2.0 1.0

Percentage of total solid waste

generated that is regularly collected91.0

Instances of solid waste observed to be

visibly littered in the city 8.0

1H

Proportion of total solid waste

generation that is treated and safely

disposed off

Max

Marks -

4

0.0 0.0

Percentage of total solid waste

generation that is treated and safely0.0


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disposed off

1ICity wastes cause no adverse impacts on

surrounding areas outside city limits

Max

Marks -

5

5.0 5.0 0.0

No. of locations where land or water

body outside the city receiving any

untreated human excreta or untreated

solid waste (including leachate)

3.0

Instances of untreated grey water

(water flowing in the drains)0.0

2. PROCESS RELATED INDICATORSMax

Marks

Marks

ObtainedDeduction

Marks

Awarded

2AM&E systems are in place to track

incidences of open defecation

Max

Marks -

4

0.0 0.0

Does the ULB have a mechanism in place

to monitor incidents of Open

Defecation? (Y/N)

NO

If yes, is data of OD incidents collected

on a monthly basis? (Y/N)NO

Is such data reported on a regular basis

(monthly) in public forums? (Y/N)NO

Are awards/ incentives given to

discourage Open Defecation? (Y/N)NO

2BAll sewerage systems in the city areworking properly and there is no ex-

filtration

MaxMarks -

5

4.0 5.0

Has the ULB provided gear and safety

equipment to the sanitary

workers?(Y/N)

YES

Whether Mechanical systems are being

used for monitoring and

cleaning/maintenance of sewers (Y/N)

YES

Are workers provided Insurance/

Provident Fund/ Gratuity? (Y/N)YES

Does the ULB have a complaint redressal

system for sewerage related

complaints?(Y/N)

YES

Cost Recovery for Sewerage Services 0.0


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2C

Septage / sludge is regularly cleaned,

safely transported and disposed after

treatment, from on-site systems in the

city

Max

Marks -

10

0.0 0.0

Has the ULB provided safety gear andequipment to the sanitary

workers?(Y/N)

NO

Whether the mechanical system is in

place for cleaning of Tanks and Pits (Y/N)NO

Whether the cleaning and disposal of

sludge from tanks and pits are

monitored (Y/N)

NO

whether there is functioning grievance

redressal mechanism for Septage

related complaints?(Y/N)

NO

Are workers provided Insurance/

Provident Fund/ Gratuity? (Y/N)NO

2DStorm water drainage systems

functioning and maintained

Max

Marks -

4

2.0 2.0

Is there centralized database/map of

drainage system available (Y/N)NO

Is cleaning, repairs and maintenance of

drains undertaken pre-monsoon (Y/N)YES

Is cleaning, repairs and maintenance of

drains undertaken at one other seasonthan pre-monsoon (Y/N)

YES

2ESolid waste management (collection and

treatment) systems are efficient

Max

Marks -

5

2.1 2.1

ULB has either framed their own rules or

formally adopted MSW 2000 rules for

SW Collection and Treatment (Y/N)

YES

Percentage of households and

establishments covered by daily door-to-

door solid waste collection system

100.0

Proportion of the citys streets

effectively covered by regular street-

sweeping (at least once a day)

0.1

Proportion of waste that is processed or

recycled (in a waste recycling facility

operated by ULB/agents)

0.0


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Percentage of Cost Recovery for SWM

Services0.0

2F

Documented operational system and

clear institutional responsibility assigned

for the services

Max

Marks -

4

0.0 0.0

Whether written manual and

procedures existing in practice for

Sewerage

NO


procedures existing in practice for

Septage

NO


procedures existing in practice for Storm

water drainage

NO


procedures existing in practice for Solidwaste management

NO

2G

Sanctions for deviance on part of

polluters and institutions is clearly laid

out and followed in practice

Max

Marks -

3

2.5 2.5

State/ULB Act explicitly provides for

punishing/fining offenders a)Letting out

untreated human excreta in the open

(Y/N)

YES

State/ULB Act explicitly provides for

punishing/fining offenders LitteringYES

Rules and regulations are framed and

being implemented in practice for a)

Letting out untreated human excreta in

the open(Y/N)

YES

Rules and regulations are framed and

being implemented in practice b)

Littering

YES

There are instances of fining or

punishing people in the last one year for

following (Y/N)

Letting out untreated human excreta in

the open (number of instances) NO

Littering (number of instances) YES

Whether monitoring system exists to

point out polluters (Y/N)YES

Whether reports produced (Y/N) YES


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3. OUTCOME RELATED INDICATORSMax

Marks

Marks

ObtainedDeduction

Marks

Awarded

3A Quality of drinking water

Max

Marks -

7

6.0 6.0

Number of samples passing quality tests 17.0

3BWater Quality in water bodies in and

around city

Max

Marks -

7

0.0 0.0

Number of samples passing quality tests 0.0

3CReduction in water Bourne disease

incidence amongst city population

Max

Marks -

6

2.0 2.0

Percentage reduction in diarrheal

disease over last 3 years

28.8

Thus, one of the main objective of the City Sanitation Plan is to increase the points of Bareilly in these

different indicators, which is only possible after detailed understanding and analysis of the existing

situation and ground realities. Based on the situational analysis, key potential issues and gaps are

identified and then recommendations are made which are economically feasible and ecologically

sustainable.

1.3 EXPECTED OUTCOMES

The expected outcomes of Bareilly City Sanitation Plan are as follows:

Brings out the Bareilly City Sanitation Situational Analysis Highlights the major sanitation gaps and recommendations to overcome them in a acceptable

timeframe

Roll out the Sanitation Vision and Goals for Bareilly City to become ODF city by 2015. IEC & Awareness action plan with indicative budget Suggest low cost and high impact initiatives before the DPRs are prepared /funding approved by

central/state governments

Suggest convergence of institutions and people participation in city sanitation Suggest institutional & regulatory framework to improve and sustain the sanitary services


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The following section provides the background information on goals, objectives and approach of

National Urban Sanitation Policy which is the prime basis for this study i.e. improving the sanitary

conditions of the city.

1.4 NUSP AND STATE SANITATION STRATEGIES

The National Urban sanitation Policy launched during 2008 envisages All Indian cities and towns

become totally sanitized, healthy and livable and ensure and sustain good public health and

environmental outcomes for all their citizens with a special focus on hygienic and affordable sanitation

facilities for the urban poor and women.

1.5CSP PURPOSE AND OBJECTIVESThe overall goal of National policy is to transform Urban India into community-driven, totally sanitized,

healthy and livable cities and towns. Specific goals include:

A. Awareness Generation and Behavior Change,B. Open Defecation Free Cities,C. Integrated City-Wide Sanitation,D. Sanitary and Safe Disposal, andE. Proper Operation & Maintenance of all Sanitary Installations.

The City Sanitation Plan (CSP) is aimed at developing and maintaining a clean, safe and pleasant physical

environment in Bareilly city to promote social, economic and physical well-being of all sections of the

population. It encompasses plan of action for achieving 100% sanitation in the city of Bareilly through

demand generation and awareness campaign, sustainable technology selection, construction and

maintenance of sanitary infrastructure, provision of services, O&M issues, institutional roles and

responsibilities, public education, community and individual action, regulation and legislation.

The principal components of city-wide approach include:

(a) Collection and sanitary disposal of wastes, including solid wastes, liquid wastes, excreta, industrialwastes, clinical and other hazardous wastes;

(b) Storm water drainage;


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(c) Cleansing of thoroughfares, markets and other public spaces;(d) Environmental sanitation education;(e) Inspection and enforcement of sanitary regulations;(f) Monitoring the observance of environmental standards.1.6 CSP APPROACH, SCOPE AND LIMITATIONS

The process detailed below for planning urban sanitation and wastewater management improvements

offers a step-by-step guide for:

Finalization of CSP at Stakeholder Workshop10

Initiating IEC Activities5

Stakeholder Analysis

Constituting: CSTF

Core TeamTechnical

Sensitisation / Orientation Workshop

Profiling ULB1

4

Developing and Consolidating CSP

Situation Analysis and Mapping Current Status

Formulation of Action Plans

Problem Analysis and Assessment of Options

Surveys

Transect walks

FGDs

Planning for:

Solutions

Selecting options

New facilities

Behavior change

Monitoring and

Evaluation

Data gaps

Quality6

7

8

9

3

2

Preparatory

Steps


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Profiling ULB: As a preparatory work, a preliminary profiling of ULBs using SLB indicators and City

Ratings to highlight the ODF status, sanitation situation, health indicators and current projects was

undertaken from secondary data sources.

Stakeholder Analysis: Urban Local Bodies (ULBs) are in the frontline of implementation and have a key

role in ensuring sanitation and should focus on demand responsive approach. Plan formulation through

stakeholder consultation will provide the foundation for CSP which has government endorsement as

well as an informed civil society to monitor its implementation. To play their part, as per the

requirements of CSP, institutions, organizations, individuals, NGOs, academics, journals, local

councilors, industry owners, consultants, representatives of private sector and etc are identified in

Nalgonda and analyzed the strengths and competencies required for sanitation.

Sensitisation / Orientation Workshop: With this background knowledge, a City level orientation

workshop involving CSTF and identified stakeholders had been organised at Bareilly on 15 December

2010 to highlight the need to engage with issues relating to toilets access and arrangement especially in

slums; awareness generation for changed behaviour and practices; community participation and

mobilization to accord sanitation priority at all levels from policy to action on ground; and a number of

technical, institutional and financial issues to be addressed in CSP and its various steps of preparation.

Constituting City Sanitation Task Force (ref annexure) : CSTF has been constituted headed by Mayor

of Bareilly city to mobilize Stakeholders to elevate the consciousness about sanitation in the mind of

municipal agencies, government agencies and amongst the people of the city. CSTF will organize a multi-

stakeholder, multi-party meeting in the preparatory stage, and take a formal resolution to make the city

100% sanitized.

Initiating IEC activities: The objective of well driven IEC has to be demand-driven with social marketing

approaches to increase demand for toilets and ensure hygiene behaviors, promote no subsidies for

household toilets in future and encourage diversity in technology and design. For this purpose ULBs may

utilize suitable player for inter-personal IEC and training from the existing system like; ward

development committees, health institutions, schools, National Service Scheme (NSC) volunteers, the

private sector (retailers, contractors, suppliers, plumbers, masons), neighborhood committees and

NGOs, Anganwadi workers.


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Situation Analysis and Mapping Current Status: The Situation Analysis, prepared by taking into

consideration the ground realities, local conditions, and assessment of the present sanitation situation

has been undertaken and broad framework is indicated below:

Sectors Spatial units Finances Institutional

Service levels and

benchmarks for:

Solid WasteManagement

Water Supply Storm Water Drainage

Health SituationStatistics and Anecdotal

Comment

Environmental Situation

Local and Downstream

and Groundwater.

Household Sanitation

Slums

Public Sanitary

Conveniences

School Sanitation

Institutional SanitationMap spatially

Any town specific areas.

Cost Recovery

PolicyTariffs

Collections

Budget Transfers.

PPPs.

Study of current

programmes (SJSRY,ILCS, etc)

Institutional

Arrangement

Policies, Plans,

implementation,

management.

Staffing,

Organization &

Competence

Tools Used: Data Templates, Survey Formats, Transect Walks along with schedules of interviews (Slums,

industrial areas, water bodies), Focus Group Discussions (FGDs), Technical Analysis, Impact, Indicators,

Stakeholder Consultations at city level (2-3), etc

Problem Analysis and Assessment of Options: Followed by situational analysis problem and challenges

have been identified in coverage, access, treatment and disposal, institutional, financial, social and

cultural aspects and capacity concerns. Also reviewed comprehensive range of sanitation and

wastewater management options, including industrial and municipal sewerage, sewage treatment ,

conventional and low cost, centralized and decentralized sewerage, separate and combined and

effluent disposal options, on-site sanitation options, separate programs for schools, public toilets,

sanitation in slums, community-based NGO-supported programs etc.

Purpose of options analysis is to identify plausible technical, financial and institutional solutions and

will consider (i) unit cost per beneficiary, (ii) maximizing both human and environmental benefits, (iii)


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sustainability, (iv) a long term plan, (v) government policy including land use zoning, (vi) piloting new

approaches, (vii) beneficiary participation, (viii) wastewater as a resource, (ix) lessons learned from the

past and (x) political commitment.

Developing and Consolidating CSP: Having completed above steps, CSP has been formulated to

articulate Sanitation Goals, specific quantifications both in terms of technical, capacities and financials

based on stakeholder consultations and the analysis of choices made depending on costs of capital

investments, operation and maintenance, monitoring, and evaluation.

Project priorities for sanitation considered the following:

(i) Serving the un-served urban poor(ii) Serving the un-served schools(iii) Serving the un-served public areas(iv) Institutional capacity building for sustainability and environmental monitoring(v) Grant elements for demonstration pilot projects for eco-sanitation (private developers)(vi) Rehabilitation of existing facilities.(vii) Improvement of existing sanitation (septic tank sludge and effluent treatment).(viii) Extension of existing sewerage and sewage treatment (as a last priority).

Action Steps and Fund Estimation in CSP:

Thus, to achieve the above mentioned goals and objectives of the current project with certain scope and

limitations as mentioned earlier requires a detailed methodology and well defined structure. The

following section illustrates the detailed methodology of the research project study considering theepistemology and ontology, appropriate strategies, methods and design. It also considers the ethical

issues in detail.


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1.7 CSP RESEARCH METHODOLOGY

The current project on City Sanitation Plan for Bareilly city highlights the extent of services provided at

city level and proposes strategies to improve the conditions of services with long term, medium term

and short terms strategies which are at-most low cost high impact strategies. This research study

requires wide range of data in various areas and population groups, to develop a robust analysis and

produce outputs; and this is only possible with well-established methodology to achieve the required set

of results. This chapter primarily focuses on the methodology of this research and illustrates that is

undertaken in the current project. The methods used within this project were varied and chosen in

order to achieve the most robust and valuable information in meeting the requirements of aims and

objectives. This chapter also outlines the epistemological research methods that are most appropriate

for this current research study.

EPISTOMOLOGY AND ONTOLOGY CONSIDERATIONS: The research study will consider the

epistemology, which acts as an important basis for any research in natural and social science projects

(Willis, 2007). Since the evaluation of existing situation of services require wide range of data, the

current project shall reflect on components such as water services, sewerage services, solid waste

management services at city level, making sure that it reflects upon the entire sanitation and solid waste

management scenario of the city. According to Sarantakos (2005), the diversity in ontology and

epistemology directly influence the research study. Further, there is no single fixed rule to conduct a

social research study; different people follow different methods and different ways to explain and

understand the research. Underlying these different explanations are paradigms which are considered

by Babbie (2007) to be fundamental models or frames of references we use to organize observations

and reasoning. These different paradigms are just different ways of looking at a research study; they are

neither true nor false way of approaches. These paradigms make their own assumptions about the

nature of the social reality and each inspires different kinds of research (see Babbie, 2007).

This research has recognized a positivist paradigm which focuses on applications that involve social

aspects in natural aspects. The social aspects in this current research would be of population and the

services available to them. The paradigm of positivist is the most suitable approach, since it emphasizes

on human behavior and surveying different groups of population i.e. in relevant to the current study,


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understanding the human behavior in terms of their usage of the available sanitation and sewerage

facilities of different respondents. This project study also considers the situational analysis of available

services provided and the usage patterns of these services by the population throughout the city. This

research project study also into qualitative analysis to support the interpretations made which includes

interviews, questionnaire surveys and analysis of primary and secondary data to estimate the current

status of sanitation and sewerage and other key potential issues and also to evaluate the possible

recommendations/ proposals to meet the goals of the project. Thus, positivism approach is most

appropriate to the current study. In addition, the other possible paradigm is Critical Realm which also

considers social factors involved in shaping the city and its infrastructure services and facilities. It was

expected that populations role in usage patterns of these available infrastructure facilities influence the

healthy and livable conditions of the city. Since the research project study considers the populationssocio-economic and demographic details and their behavior that influences the living conditions in the

city, the critical realism can also be considered as an apt approach. Further to epistemology

considerations, ontology of the research considered the constructive nature. This is primarily depended

upon the facts that the research being accomplished solely by population at the city level and also

unavoidable personal bias in carrying out the research.

RESEARCH STRATEGIES: The current research project is in assessment of key potential problems related

to sanitary, sewerage and solid waste management and provides suitable strategy options to overcome

them. Therefore, this involves robust and in-depth study for which Case Study Approach was used for

analyzing the situation and gaps in sanitary conditions. As the case study approach of research is more

precise to specific boundaries and make convenience in collection of data (Denscombe, 2007; Blaxter et

al, 2006), it became the appropriate strategy for the current project study. Therefore, the case study

population that was chosen for the current research study includes population at residential areas, slum

areas, institutional areas, schools, hospitals, public areas, industries, market places, commercial areas

and understanding the sanitary conditions at these places.

RESEARCH METHODS: As this research study involves qualitative analysis that involves statistical

methods to support the situational analysis and interpretations of the research team. And one of the

best qualitative methods is a closed questionnaire interview which directly helps in collecting the

required data and estimates the gaps and conditions based on which the proposal could be given to


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improve the existing conditions. In addition, there is also detailed analysis of policy reviews of various

documents in order to get the complete picture of present and future scenario of the city developments.

The prime objective of research study in assessing the situation of key potential problems related to

sanitary, sewerage, water supply and solid waste management in the city with the chosen research

paradigm is only possible with questionnaire interviews. The other possibility in the assessment includes

Focus Group Discussion. This would be used on various participants or respondents within the study

area, but taking care to cover entire city population and different possible potential areas those

affecting from poor sanitation and sewerage facilities and high rate of open defecation. The

questionnaires are the only means of gathering first hand information, thus they play vital role in any

research studies (Oppenheim, 2001). Further, Oppenheim (2001) also states, questionnaires are

cheapest means of data collection without any bias, less cost of processing and the best way to cover

wide range of population within the study region.

The questionnaire those used in this project study were of different categories and these categories are

based on the criteria that complete sanitary, sewerage, water supply and solid waste of the city is

understood and analyzed. The questionnaires are designed so as to get the complete picture and make

the situational analysis of the city sanitary conditions thus different questionnaires are designed for

different target areas such as for households include residential, slums and other possible potential

areas. The other set of questionnaires target areas such institutions, public areas (community toilets and

public toilets), hospitals, schools, commercial/ market areas, industries and other potential areas such as

slaughter houses and water bodies. There are separate questionnaires prepared for each category in

order to know the present conditions of toilet facilities and their usage conditions. On the other hand to

support these questionnaires, Focus Group Discussions are also conducted at slum areas, selected

residential areas, with elected representatives and other potential areas to understand the situation of

sanitary, sewerage, water supply and solid waste management conditions of the city. The following table

illustrates the different activities undertaken by the research team to make a situational analysis and

also the focused areas of the questionnaire interviews and the type of tools used to gather the required

information and also the sample sizes at each level to support and further understand the situations.


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S.NO. ACTIVITIES FOCUSED AREAS TOOLS SAMPLING SAMPLE SIZE

01 Household surveys Household level Questionnaire Random Sampling

Upto 500

households (can

be more in high

populated cities)

02Focused Group

Discussions

Slum areas,

residential areas,

elected

representatives,

and other

potential areas

Check list Random Sampling 12 15 FGDs

03 Institutions

Collector office,

Municipal office,

Bus & Rail station,

etc.,

Questionnaire Random Sampling 10 (in Nos)

04Community Toilets

All potential areas Questionnaire Random Sampling 50 100%

05Public Toilets

All potential areas Questionnaire Random Sampling 50 100%

06Hospitals

All Hospitals with

100+ beds (must)

or 50 100 beds

Questionnaire Random Sampling 10 15 (in Nos)

07School Sanitation

Primary,

Secondary, High

school and all

government

schools

Questionnaire Random Sampling50 100%; 10%

(>10 lacs)

08Slaughter Houses

Potential areas Questionnaire Random Sampling 2 3 (in Nos)

09 Commercial/

market areas

Potential areas

(include

questionnaires

both for

shopkeeper and

customers)

Questionnaire Random Sampling 10 15 (in Nos)

10 Industries Potential areas Questionnaire Random Sampling 5 10 (in Nos)

11 Secondary Data - Check list - -

12 Water Bodies Potential areas Questionnaire Random Sampling 50 100%


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ETHICAL ISSUES: The nature of the current study is highly sensitive, due to involvement of various

targeted population of the city. It was also important to make the respondents actively and positively

respond and participate in the questionnaire interviews and focused group discussions which was

done by making the questionnaires confidential and self-explanatory and focused group discussions

much more interactive and confidential. Further, these activities such as questionnaire interviews and

focused group discussions involved the research teams explanations to the respondents about the

project brief, process of the project study, role of respondents, and each question (if possible), assisting

them in filling up the questionnaire when he/she faces any difficulties. All the personal details were

remained anonymous in this current project study. It is also further important to consider the

communication needs assessment for any improvements or developments in a society.

1.8. CSP COMMUNCATION NEEDS ASSESSMENT

Bareilly Communication Needs Assessment for Information, Education and Communication Strategy

Introduction: Information, Education and Communication (IEC) & Capacity Building strategy are integral

to the core issue of developing the city sanitation plan. In fact it will lead to development of robust yet

effective awareness and communication strategy for promoting hygiene & sanitation in the city to

trigger behavior change and demand for sanitation. The strategy will aim for citizen participation in

improving city sanitation specifically reaching out to the slum dwellers and urban poor in the city. It will

evolve a methods, tools & techniques, and use of various media (interpersonal, print, electronic, folk

etc) including advocacy with opinion leaders, NGOs/CBOs and other stakeholders to deliver awareness

strategy in the city.

Objectives: The objective of IEC & Capacity Building Strategy is to evolve an effective plan of sustainable

programmes for capacity building and sensitization of implementers, education and enhanced

awareness for stakeholders specifically citizens regarding sanitation activities in Bareilly city. The

strategy is designed to:

Strengthening CSP implementation by Nagar Nigam Bareilly (NNB) through training and capacitybuilding;


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Sensitize citizens for adopting water wastage minimization, segregation & management of solidwaste and open defecation free practices through IEC campaign.

By working at both the levels mentioned above a culture of communications and consultations isfostered leading to participation.

Methodology: Bareilly is a prominent city of UP state. The city faces specific challenge of Water and

Sanitation services. This pose challenges to the city administration with respect to water supply, toilets,

solid waste management and storm water drainage. It is found that communication strategy is a crucial

element in improving service delivery standards. However, apart from educating citizens on health and

hygiene, improving municipal processes by way of citizen consultation and participation remains a

necessary goal; without citizen inputs right from the design stage to implementation of water and

sanitation projects risk failure.

Communication needs assessment identified three stages for implementation of Information, Education

and Communication strategy for improvement in water and sanitation services. These are 1) Awareness,

2) Process and 3) Compliance. While it is generally understood that these stages would lead to better

citizen participation in the schemes, it is in fact imperative for all stakeholders to be appraised of them

from their own specific stand points. Awareness includes an understanding of health and hygiene

related education specifically directed towards slums. Equally important is an awareness of municipal

officials about the problems face by all the city residents including slum & middle class households and

sanitation workers. This awareness is generally taken for granted. Here, we propose that open and

specific appraisals be carried out without assuming too much of prior knowledge regarding sanitation

issues. Next is to create processes which are essential to maintain improved services. These could

include citizen participation in community toilet maintenance, outsourcing of operations and

maintenance to private partners in public toilets, solid waste management and establishing citizen

grievance resolution systems to name a few. A consolidation of these gains can only occur when all

stakeholders comply with the laid down norms. As system of incentivizing desirable behaviors and

weeding out undesirable behaviors must be developed, these programmes, processes and goals will be

set by the Nagar Nigam.


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The key idea is to carry out a needs assessment within the existing infrastructure of service delivery.

Following steps were identified before visiting the field:

1. Identifying stakeholder groups and available channels of communication2. Focus Group Discussions, Interviews, Transect Walks3. Topic Guides and Probes prepared for each stakeholder group.4. Field assessment of communications needs to be carried out.

These methods helped us to evolve a case study approach towards communication needs assessment

for Bareilly city. Case study approach offers the best possible method for evolving a Information,

Education and Communications strategy for the city concerned. The random sampling based survey will

be labor intensive and time consuming. Moreover, such a survey is likely to conceal extreme situations

within the city. A case study approach utilizing information sampling can reveal much more through

discussions with citizens on the margins and those on the frontlines of implementation.

Stakeholders: Opinion leaders to be targeted as a high influence group both for interviews and

implementation of communications strategies among residents, establishments and Nagar Nigam

officials. Residents include all those living within city municipal limits; they can be classified as HIG, LIG

and slum dwellers. Shopkeepers and commercial establishments constitute a separate group especially

for generation of market waste. Specifically, in Bareilly a series of focus group discussions (FGDs)

conducted with slum residents in various parts of the city. Interview and discussions included officials

from various Nagar Nigam departments particularly Health & Sanitary officials, sanitation workers,

prominent citizens, residents in middle class areas, NGOs involved in water and sanitation sector,

shopkeepers, media persons etc.

Locations for FGDs& Transect Walks were selected to represent the variety of samples. Slum locations

can be classified based on local knowledge. Generally, slum in outskirts and those in interiors offer two

different typologies. The core city areas are predominantly by business class. Similarly there are slum on

the outskirts are predominant with Muslim, SC or ST population.

Probes for interviews and FGDs:


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1. Residents including slum residents

Awareness regarding Health and Hygiene: The current practices and awareness regarding ill-effects of lack of sanitation, ODF, hand washing, water logging etc.

Awareness regarding government schemes/policies for improving water and sanitation: NUSP,DUDA, sources and channels of such knowledge and communication.

Awareness regarding various technical options toilets. Willingness to upgrade sanitation facilities: financial, space and behavioral constraints Participation in any public awareness campaign regarding sanitation, agencies that carried the

campaign and learning from the campaign. Activities of local SHGs and other community organizations such as RWAs. Media consumption patterns reading newspapers, Cable TV etc Information regarding demography of the slum, quality of water supply etc. Complaint resolution system: complaints and mechanisms of resolution, how do they deal with

water and sanitation crisis, approaching local corporators, complain to Nagar Nigam, satisfaction

level with current arrangement.

2. Municipal officials

Role envisaged for communication for implementing CSP. Channels of communication at Nagar Nigams disposal, extent to which these channels are being

exploited.

Technological options, geographic and infrastructural issues involved in implementing Waterand Sanitation schemes.

M&E, feedback, support, rewards: Maintenance of citizen grievance records, discerniblepatterns in complaints, efficiency of complaint redressal.

Details of any specific communication campaign being taken up, Content, Channels used, budgetallocated, awareness regarding multiplying message through media.

Kinds of training given to Safai Karamcharies for safe disposal of waste etc and their satisfactionlevel what has been provided to them.


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3. Commercial establishment and Public places

Observation regarding sanitation is these places. Practices involved in disposal of commercial waste such as door to door collection, segregation. O&M practices, regular upkeep of public places. Major complaints, public redressal mechanisms and its effectiveness. Willingness to pay user charges for public toilets.


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CHAPTER 02

CITY PROFILE

INTRODUCTION

Bareilly pronunciation is a metro city in Bareilly district in the northern Indian state of Uttar Pradesh.

Standing on the Ramganga River, it is the capital of Rohilkhand Division and is a center for the

manufacture of furniture and for trade in cotton, grain, and sugar. This fast-growing city is also known as

Bans-Bareilly, due to its big bamboo market. Bareilly is also known as the counter-magnet city because it

is equidistant from New Delhi and Lucknow and has a lot of potential for setting up industries to attract

people to settle. It is one of the biggest city of Uttar Pradesh state. Historically it was the part of the

ancient kingdom of Panchal. In the Medieval period it was under the Rohillas. The modern city's

foundation was laid by Mukrand Rai in 1657.

The Bareilly city is located on the banks of river Ramganga, in the fertile indo-gangetic plain, and it is

also the head quarter of Rohilkhand division and Bareilly Commissionary. It is situated on NH 24 and 5

State and National Highways coverage on it. The adjoining districts are Nainital in north, Pilibhit in east,

Shahjahanpur in southeast and Budaun in south. It is the largest urban centre in western zone of Utter

Pradesh, outside the NCR and has been identified as the counter magnet city of the region in 1962.


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2.1 TOPOGRAPHY, CLIMATE & DEMOGRAPHY

TOPOGRAPHY

Bareilly is located at 2810N, 7823E, and lies in northern India. It borders Pilibhit and Shahjahanpur on

east and Rampur on west, Udham Singh Nagar (Uttarakhand) in north and Badaun in south. Bareilly lies

entirely in the Ganges plains. The low-lying Ganges plains provide fertile alluvial soil suitable for

agriculture. However, these some lower part of plains is prone to recurrent floods. Bareilly lies on the

bank of river Ramganga and there are seven rivers passing through this district. The

lower Himalayan range is just 40 km from it and it lies in north of it.

CLIMATE

Bareilly has a humid subtropical climate with high variation between summer and winter temperatures.

Summers are long, from early April to October, with the monsoon season in between. Winter starts in

October and peaks in January and is notorious for its heavy fog. Extreme temperatures range from 4 C

to 44 C. The annual mean temperature is 25 C (77 F), monthly mean temperatures range from 14 C

to 33 C (58 F to 92 F). The average annual rainfall is approximately 1714 mm (28.1 inches), most of

which is during the monsoons in July and August.

The temperature of the district fluctuates from a maximum of 44C in the months of May-June to a low

of 4C during the cool months of Dec-Jan. The climate of the district is influenced by its proximity to the

hills and the tarai swamps in the north. Although the air is dry in summers, it contains moisture during

the rest of the year. The district goes through a cycle of four seasons, during the year. The cool winters

from December to February, followed by the warm summers which continue till about the middle of

June, relief from the heat coming in the form of the South-West monsoons, ushering during the rainy

season which lasts till the end of September; October and November constitute the post-monsoon

season.

DEMOGRAPHY

According to the 2001 census report of the Government of India, the total population of Bareilly City

Region (Bareilly Municipal Corporation and Bareilly Cantt.) is 875,165 having distribution as 53% males

and 47% females nearly. The area under the city region is 123.46 km. The density of the population is

among the high in the country touching 5000 per km2. The main population consists


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ofJatavs and Balmikis, and other castes such as the Baniyas,Kurmi, Thakurs, Kayasthas & Punjabis

Hindus from 62% of population and Muslims 26% mainly Ansari, Behna, Rohilla, Rayeen, Ranghar and

Shaikh) of the population, Sikhs form about 10% of population and rest are Jain ,Buddhist and Christians.

Bareilly has an average literacy rate of 81%, higher than the national average of 59.5%, with 88% of the

males and 65% of females literate making it under top three districts in terms of literacy in Uttar

Pradesh . The main languages spoken are Hindi, Urdu, English, Punjabi, and Kumauni. For administrative

convenience, the district of Bareilly has been divided into six tehsils namely Aonla, Faridpur,

Bareilly, Mirganj, Nawabganj, and Baheri and 14 blocks.

2.2 ECONOMY

Since the period of Liberalization in India, Bareilly is one of the fastest growing cities in the region onaccount of its booming economy. Trade and commerce have flourished in the urban city and followed

diversification, though the rural economy of the district is largely agrarian.

Brands:Following the foray of Multi-national corporations in the city, a significant capital infusion and

various investments have occurred throughout the city in different sectors. Bareilly, today, has most of

the major global apparel brands including Adidas, Reebok, and Levis. Reebok has also opened their

Factory Outlet in Bareilly which is located at Pilibhit By-Pass Road. Nike is to open an outlet soon.

Accompanying these are all other well-known clothing, footwear and accessory brands which have theirauthorized show-rooms and commercial outlets in the 'Civil Lines areas' and 'D.D.Puram area' of the city.

Most of the major automobile companies like Toyota, Mahindra & Mahindra, Tata Motors, Maruti

Suzuki, General Motors, Hyundai, and Honda have their showrooms and service centers in the city.

Industries:Bareilly houses a lot of Industries in the industrial zone called the Parsakhera Industrial Zone.

Major Companies such as Coca- Cola, Camphor & Allied Products Ltd., Paras, Vadilal, Mercury and many

others are present in the City.

The Ahmadabad-based Ice-cream maker Vadilal has its manufacturing plant in Bareilly. The plant is the

sole plant in Northern and Eastern India and caters to both the zones. Vadilal enjoys a 10-12% market

share in the Rs 120-crore Delhi market and around 6-8% in the Rs 200-crore eastern market, which

comprises territories such as Kolkata, Orissa, Jharkhand and Bihar.
http://en.wikipedia.org/wiki/Jatavhttp://en.wikipedia.org/wiki/Balmikihttp://en.wikipedia.org/wiki/Casteshttp://en.wikipedia.org/wiki/Bania_(caste)http://en.wikipedia.org/wiki/Kurmihttp://en.wikipedia.org/wiki/Rajputhttp://en.wikipedia.org/wiki/Kayasthahttp://en.wikipedia.org/wiki/Hindihttp://en.wikipedia.org/wiki/Urduhttp://en.wikipedia.org/wiki/English_languagehttp://en.wikipedia.org/wiki/Aonla,_Uttar_Pradeshhttp://en.wikipedia.org/wiki/Faridpur,_Indiahttp://en.wikipedia.org/wiki/Mirganj,_Uttar_Pradeshhttp://en.wikipedia.org/wiki/Nawabganj,_Bareillyhttp://en.wikipedia.org/wiki/Baherihttp://en.wikipedia.org/wiki/Baherihttp://en.wikipedia.org/wiki/Nawabganj,_Bareillyhttp://en.wikipedia.org/wiki/Mirganj,_Uttar_Pradeshhttp://en.wikipedia.org/wiki/Faridpur,_Indiahttp://en.wikipedia.org/wiki/Aonla,_Uttar_Pradeshhttp://en.wikipedia.org/wiki/English_languagehttp://en.wikipedia.org/wiki/Urduhttp://en.wikipedia.org/wiki/Hindihttp://en.wikipedia.org/wiki/Kayasthahttp://en.wikipedia.org/wiki/Rajputhttp://en.wikipedia.org/wiki/Kurmihttp://en.wikipedia.org/wiki/Bania_(caste)http://en.wikipedia.org/wiki/Casteshttp://en.wikipedia.org/wiki/Balmikihttp://en.wikipedia.org/wiki/Jatav


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Media:A lot of Hindi Newspapers including Dainik Jagran, Hindustan, Amar Ujala, Aaj are printed in the

city. Various English Newspapers including the Times of India, The Hindu, Hindustan Times, and The

Economic Times can be found on the stalls at around 7 a.m. as they are published in the Delhi NCR and

sent to the city.

HT Media Ltd has recently come out with a printing facilities in Bareilly, printing of its Hindi newspaper

"Hindustan" starting October 10, 2009 and catering to the Rohilkhand area of western Uttar Pradesh

comprising of Bareilly, Pilibhit, Shahjahanpur, Lakhimpur and Badaun districts. They also plan to start

printing the local edition of their English Daily "The Hindustan Times" very soon.

The city also has its dedicated News Channel called the Alliance News Channel which broadcasts local

news at different slots throughout the day.

Agriculture: Corporate giant Hindustan Unilever has undertaken contract farming of rice in Bareilly and

Punjab and its success has ensured low-cost, better-quality produce for its products. The company now

plans to extend the experiment but feels an enabling environment in terms of agri-laws and

infrastructure facilities is required for the purpose.

Passport Office: The Passport Office, Bareilly was created in 1983 as a subordinate office of Ministry of

External Affairs under the supervision of Central Passport Organization. The issue of passport is a central

subject under the Indian Constitution and allotted to the Ministry of External Affairs, Initially Passport

Office, Bareilly was catering to the needs of residents of the State of Uttrakhand and 24 Districts of

Western Uttar Pradesh. Separate passport Office for the residents of Meerut, Aligarh and Agra Division

was opened in the year 1997 at Ghaziabad on bifurcation of this office. Again the office bifurcated and

another passport office at Dehradun was opened in June 2008 for the residents of the State of

Uttrakhand.

Today, this office deals with the issue of passport/travel documents to the citizens of 12 districts of

Uttar Pradesh i.e. Bareilly, Shahjahanpur, Pilibhit, Badaun, Moradabad, Rampur, Bijnor, Jyotiba Phule

Nagar, Firozabad, Kashi Ram Nagar, Etah & Mainpuri.

Electricity: In 2009, Uttar Pradesh Power Corporation Limited (UPPCL) moved a step ahead in

implementing the franchisee system in the power sector of the state. Under the new system, private


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players will be awarded contract to maintain and supply power in nine cities of the state. The same

companies will be the outsource points for collecting revenue on behalf of the state government. The

system will be implemented in nine cities of the state on a pilot basis. Bareilly, Agra, Kanpur, Moradabad

and Gorakhpur will be covered in the first phase.

Fuel:The Indian government initiated the ten per cent ethanol-blending programme on a pilot basis in

two districts - Bareilly in Uttar Pradesh and Belgaum in Karnataka. Bareilly also has CNG and Auto-LPG

outlets operated by Satya Service station owned by Hon. Shri Raj Kumar Agarwal, first mayor of the city.

Bareilly became the first district in India to implement Bio-fuel norms.

There are about 2500 commercial establishments registered at Nagar Nigam. The average growth rates

of commercial establishments are high compared to hotels & restaurants. This also increases additional

burdens on existing infrastructure facilities. The following table gives the statistical figures of trade and

commerce establishments for the year 2009 2010.

Total Number of establishments 2498

Commercial Number n/a

Hotels & Restaurants Number n/a

Offices & Institutions Number n/a

Markets Number n/a

2.3 URBAN POVERTY AND SLUMS

Though no recent study is available to accurately assess the extent of poverty levels in Bareilly but from

the discussions with various stakeholders we understand that poverty levels are quite high in Bareilly.

In addition to this, more than twenty percent of the population in Bareilly stays in areas marred with

unhygienic living conditions and lack of civic amenities. The urban infrastructure is not satisfactory


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enough to bring homogenous development in new areas. The growth of housing stock is not able to

keep pace with the population growth. This has increased the housing stock deficit which has given rise

to slum dwellings.

As per the survey conducted by DUDA and documents from NNB, total notified slums in Bareilly are 85.

According to census 2001, the slum population was 77109 i.e. 20.5 percent of total Population. As per

the survey conducted by S.U.D.A in 2000-01, the population was 77109 and total households were

10050. A large number of below poverty line (BPL) population (about 25%) also live-in slums. The

current slum population is about 2.44 lacs with 31850 of households i.e. about 26.47% of the total

population.

ULB Profile Year 2001 Year 2010

Slum Population 77109 244373

Slum Households 10050 31850

No. of slums 85 85

Water Supply Facilities: It may be seen that in slums access to individual water connections is low and

people generally use public stand posts, hand pumps, or wells in a few cases. Majority of households

(55%) get water from public stand posts and only 19% percent have individual taps. It has been observed

that main source of water supply in slum areas is hand pumps and wherever piped water supply is there,

either supply is inadequate or its not regular or its very dirty. They are only able to use the water after

carrying out the sedimentation and filtering. Out of total households in slum, about 30 percent have

electricity whereas others use either kerosene, wood etc.

Sanitation Facilities: Presently, access to sanitation services is markedly less than access to other basic

services. While, it may be worthwhile to note that the proportion of people having access to sanitation

in urban areas is considerably greater when compared to their rural counterparts, the problems are

more exacerbated in slums. Urban sanitation is perceived as being important because of the health


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factor. In case of slums, it has been observed that sanitation facilities are worst and in alarming

condition.

Majority of households use public toilets followed by households using individual flush. Even then open

defecation is still at a large scale i.e. about 35% of the slum households openly defecate. During the visit

in slums located at different part of the Bareilly city, it has been observed that sanitation condition is still

very poor in most of the slum areas considering only 20 percent people have individual toilets and the

others i.e. approx. 5 percent use community toilets and 35 percent still go for open defecation. The

present condition is shown in the situational analysis of sanitation facilities in slum areas

To minimize open defecation and to bring improvement in overall sanitation, two schemes have been

introduced: a) Low Cost Sanitation Scheme b) Construction of Community toilets. These provisions of

individual toilets and construction of community toilets has reduced the open defecation in Bareilly city

to some extent. The percentage share of slum population still open defecate is about 25% (details in

situational analysis).

During visit to different slums following observations were made:

Poor construction i.e. bad designing, usage of poor quality material etc. and maintenance Lack of proper management of community toilets Inadequate water supply and lighting in the toilets Cleaning service is not administered properly. Unhygienic condition of the public toilets Distance Lack of willingness to pay and use the community toilet facility


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Sewerage System and Solid Waste Management in slum areas:

In most of the slums, sewerage system is either non-existent or it is found chocked. The problem of

blocked sewerage also exists in the slums where people stay in pucca houses. The open drains in the

slums are of very small size and are mostly blocked due to lack of cleaning and solid waste finding its

way into drains. There is no proper way of solid waste disposal which exists at the slum level. In 30% of

the slums solid waste is collected by govt. or private persons but disposal sites are either non-existent or

are poorly managed. In many slums solid waste can be seen flowing in the drains leading to chocked

drains and health hazardous situation.

Key issues:

As per the DUDA and NNB, total notified slums in Bareilly are 85. The current slum population isabout 2.44 lakh with about 32000 of households i.e. about 26% of the total population.

Majority of households i.e. more than 51 percent live in Kutcha Houses made of grass, mud etc. andjhuggi jhopris. Only 21 percent stay in Pucca Houses. In slums, about 47 percent have their own

houses whereas 41% lives in as tenant whereas rest is living as unauthorized occupants.

It may be seen that in slums access to individual water connections is low and people generally usepublic stand posts, hand pumps, or wells in a few cases. Majority of households (55%) get water

from public stand posts and only 19% percent have individual taps.

It has been observed that main source of water supply in slum areas is hand pumps and whereverpiped water supply is there, either supply is inadequate or its not regular or its very dirty.

Lack of proper shelter, poor access to basic needs and lack of awareness make the slum dwellers lifestyle very poor. About 25 percent of the Bareillys population is living in slums; hence all housing

programmes should target provision of better shelter for them on priority basis.

In many of the slums water through public stand posts and hand pumps have been provided but ithas been observed that lots of water is wasted.

Only in a few slums sewerage lines have been provided and they were often chocked.


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No proper mechanism of solid waste disposal exists. Either the disposal sites are non-existent oreven if they exist, they are located at faraway place which the slum dwellers find inconvenient to

use. The few waste disposal sites that exist are in a sad state of affairs as they are not cleaned on a

daily basis and the waste gets scattered all over the place creating a health hazard.

In most of the slums, no provision has been made to provide storm water drains. Due to whichwater logging takes place adding to the unhygienic condition within the slums.

While the city has made provision for public sanitation facilities in a few slums, still about 25-30% ofslum population goes for open defecation, causing both a health hazard and a problem of safety.

At present the number of notified slum is 85 and strategies for rehabilitation and implementation ofcentral and state government schemes can only be carried out in the notified slums. There is a need

to carry out a fresh survey to cover all slums and poor communities so that the actual demand for

housing and basic services for urban poor can be ascertained and overall city environment can be

improved.

2.4 GOVERNANCE AND INSTITUTIONAL ARRANGEMENTS

'Good governance' is the overarching objective of public administration in the civic arena. In virtually all

sectors of public intervention and service delivery, it is now agreed that unless and until the state of

governance is 'good', service or product delivery will not be proper. In the recent past, a large number of

people and organizations have given a variety of definitions of what governance is all about.

Governance is defined differently in terms of the context. According to one definition, the ways in

which stakeholders interact with each other in order to influence the outcomes of public policies " is

public governance. According to the World Bank, the manner in which power is exercised in the

management of a country's economic and social resources for development " is good governance.

There are today dozens of definitions of what governance and good governance is. However, if one hasto summaries and list downs the ten characteristics of good governance, they would be:

Citizen involvement, participation and satisfaction Transparency in all decision making Accountability of actions taken


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Equality and social inclusion Ethical and honest behavior Ability to compete in a global environment Efficiency of service delivery Respect for democratic values Respect for the rule of law Use of appropriate technology and environmental sustainability

The United Nations-HABITAT launched a Global Campaign on Urban Governance in the year 1999 in

order to support the implementation of the Habitat Agenda goal of "sustainable human settlements

development in an urbanizing world ". The goal of the Campaign is to contribute to the eradication of

poverty through improved urban governance. It is now widely believed that the quality of governance is

the key factor for the eradication of poverty and the creation of prosperity in cities. The United Nations-

HABITAT has also been propagating the concept of the 'inclusive city'; a city which promotes growth

with equity, a place where everyone, regardless of their economic status, gender, race, ethnicity or

religion, is enabled and empowered to fully participate in the social, economic and political

opportunities that cities have to offer.

The definition of urban governance according to the Campaign is as follows: "Urban Governance is the

sum of the many ways individuals and institutions, public and private, plan and manage the common

affairs of the city. It is a continuing process through which conflicting or diverse interests may be

accommodated and cooperative action can be taken. It includes formal institutions as well as informal

arrangements and the social capital of citizens". Further, the Campaign also defines good urban

governance as follows: "Urban governance is inextricably linked to the welfare of the citizenry. Good

urban governance must enable women and men to access the benefits of urban citizenship. Good urban

governance, based on the principle of urban citizenship, affirms that no man, woman or child can be

denied access to the necessities of urban life, including adequate shelter, security of tenure, safe water,

sanitation, a clean environment, health, education and nutrition, employment and public safety and

mobility. Through good urban governance, citizens are provided with the platform which will allow

them to use their talents to the full to improve their social and economic conditions".


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In order to implement the good urban governance agenda, the United Nations HABITAT has proposed

that good urban governance is characterized by the following principles:

Sustainability Subsidiary Equity Efficiency Transparency and accountability Civic engagement and citizenship and Security

Based on the above, several nations have drawn up action plans for good urban governance in their

respective contexts. It is in this broad world view, taking into specific cognizance the peculiarities of

urbanization and urban local administration in India, for the better health of Government it is important

to have good coordination and self responsibility of the government organizations from central to local

level and also proper coordination with local NGOs, private organizations and community participation.

Thus, based on the same the recommendations/ proposals also focus on the capacity building of public

and private organizations at different levels. But, it is also important to consider the legal background of

different organizations and their functions and jurisdictions before proposing the strategies for

improvements.

Urban Areas are the engines of economic growth. The quality of civic infrastructure and civic services

has a critical bearing on economic development of the city and State as a whole. The 74th amendment

to the constitution devolved the role of management and development of the city to the elected

representatives of the city through the citys Urban Local Body (ULBs). Hence the ULBs are both the

custodians of civil infrastructure and providers of civic services. Thus, ULBs are catalysts of economic

growth of a city. However, the management of a city like Bareilly is a complex task and several

institutions are involved in it, as given below.

Agencies Involved In Providing Urban Services in Bareilly :

UP Housing & Development Board


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Functions of the Nagar Nigam Bareilly

The UP Municipal Corporation Adhiniyam, 1959 as amended from time to time provides for majority of

the function listed in the 12th schedule of the constitution. These are:

Urban planning including town Planning Regulation of land-use and construction of buildings Planning for economic and social development Roads and bridges Water Supply for domestic, industrial and commercial purposes Public health, sanitation, conservancy and solid waste management Fire services Urban forestry, protection of the environment and promotion of ecological aspects Safeguarding the interests of weaker sections of the society, including the handicapped and

mentally retarded

Slum improvement and up gradation Provision of Urban amenities and facilities such as parks, gardens, playgrounds Promotion of cultural, educational and aesthetics aspects Burials, burial grounds; cremations, cremation grounds and electric crematoriums Cattle Ponds; Prevention of cruelty to animals Vital Statistics including registration of births and deaths Public amenities including street lighting, parking lots, bus stops and Public Conveniences Regulation of slaughter houses


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Nagar Nigam Bareilly (NNB) :

The administrative chart of NNB is given below:

ENGINEERING

DEPARTMENT

HEALTH DEPARTMENT

Nagar Ayukt

Upper Nagar Ayukt

Sahayak Nagar Ayukt

Varishth Nagar Swasth Adhikari

Chief Sanitary Inspectors (2)

Zonal health officers

Sanitary Inspectors (5)

Supervisors

Safai karamcharis

Chief Engineer

Executive Engineers

Assistant Engineers

Junior Engineers


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U.P. HOUSING AND DEVELOPMENT BOARD

U.P. Housing and Development Board have been set up under the Act of 1965 in April 1966. It has

been established to implement the various housing and development schemes in a planned way and

to bring harmony by keeping in mind the state level and national level residential policy and

programmes.

The main objectives of U.P. Housing and Development Board are to:

Make the plan for all residence related activities in the urban areas and to get themimplemented fast and in effective way;

Receive grant and loan from central and state government, commercial bank, financialorganizations, public bodies etc.

Acquire the land and construct roads, electricity, water supply, and other urban facilities andto arrange and distribute the land and constructed houses according to the demand from

registered people

Make special arrangement for the houses for the backward class and scheduled caste andtribe, security workers and freedom fighters.

OVERLAP OF INSTITUTIONAL RESPONSIBILITIES

The multiplicity of organizations involved in providing urban services makes the management of

affairs of the city highly complex. It becomes essential to define the roles and responsibilities of each

of the Agencies very clearly. The inter-relationships of various departments play an important role in

making available good quality of services to the community /citizens of the city. More-over

overlapping of some of the functions requires a high level of coordination. The following table

indicates the service-wise planning, implementation and operation and maintenance function being

carried out by various agencies involved in providing services in Bareilly Urban Area. It will be seen

that many services are being provided by more than one agency resulting in avoidable delays at the

time of handing over the assets who has to ultimately maintain them.


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KEY ISSUES

The critical issues that emerge from the existence of multiple agencies include:

Spatial and functional fragmentation Overlapping functions Multiple accountability lines High service delivery gaps and Increasing Urban poverty

Lack of clarity in local functions: The Constitution 74th Amendment Act, 1992 envisages that the

functions listed in 12th schedule of the Constitution is entrusted to elected municipalities. This is

with a view to minimize ambiguities and overlapping functions between local bodies and other

authorities. However, in practice, several agencies are responsible for the functions and in some

cases local bodies have no role.

Inter-institutional conflicts: The large number of departments, institutions, agencies and officers

undertaking similar, related and overlapping functions or the functions not clearly defined lead to

conflicts in operation. Moreover the various agencies over the same or overlapping jurisdiction and

are not in a position to understand and evaluate the backward and forward linkages associated with

these functions.

Municipal-Parastatal Coordination: There is a lack of coordination between urban local bodies and

parastatals in areas such as inter-municipal, inter district and inter-state roads, Storm water drainage

and sewerage, common amenities like whole -sale markets, truck terminals, bus stations, garbage

dumping yards, landfill sites. The real problem is noticed in plan implementation. No clearly defined

mechanism exists to take up such works in an integrated manner taking into account the

geographical factors.

Managerial Coordination Issues: There are many managers connected with metropolitan service

delivery and infrastructure management. All these make the task of metropolitan management

highly complex and difficult. In addition to general coordination between urban and rural local


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authorities, there are several inter-departmental and inter institutional coordination issues, which

arise in day to day administration of the metropolitan area.

Jurisdictional Issues: It is very difficult to arrive at a common boundary for all services. The

geographical Area required for internalizing the costs and benefits of a service like urban transport,

water supply, storm water drainage etc.

If such matching is not ensured, there will be perennial problems of service revenues falling short of

service costs, mounting inter -institutional conflicts, increased cost of public administration, lack of

integrated development and imposition of high social cost on the public. Thus it is important that the

jurisdictional issues are sorted out carefully.

While it is important to keep the costs of metropolitan administration low, exploitation of

development potential of the metro area and its contribution to national wealth and income should

be the primary consideration for metropolitan spatial organization.

Grievance Redressal: The Grievance Redressal mechanism in the city is weak and the people are

made to run from pillar to post for grievance redressal. There is also no proper platform to provide

information to the citizens on all services. Lack of awareness and information is affecting the

citizens access to grievance redressal mechanisms. Though citizens charters are established for the

service providing agencies, majority of the public is not aware of the duties and rights under the

same.

Institutional Strategies

There is a need to address the institutional and other challenges to provide good governance to the

city. Unless the roadblocks are removed, economic development is hampered and efficient service

delivery becomes difficult. This adversely affects the community particular the poor. There is need,

therefore, to restructure the governance framework, remove the roadblocks and streamline the

lines of accountability. The governance reforms become all the more critical in the context of

Bareilly, which has got the dying city reputation to become more competitive and to become an

investment destination. The city should offer high quality services and promote inclusiveness and

citizen friendly governance institution. Only when it is environment friendly and is well governed,

the vision of the city can be realized. The institutional strategies required include:


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Spatial integration of NNB surrounding municipalities and their service providing agenciesfor better planning and delivery of services (Bareilly Metropolitan Area)

Establishing clear lines of accountability of service delivery agencies Constitutingautonomous service delivery agencies in different structures like water supply, sanitation,

sewerage, transport, roads, solid waste management etc. with NNB playing the role of a

regulator.

Performance based memorandum of understanding (MOU) between the Municipality (NNB)and various service

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