Chapter-1 Introduction

Introduction

The rural-urban interface is the most dynamic spatial feature of a mega city. The
transition that the interface offers of due to urbanization is as much an impact as it
results in growth. Urbanization result in transformation of land use, environment and
culture of communities, specifically, in the interface and there-by, change the attire of
the city-regions ecology. The interface is a territory of urbanizing village with
different intensities and different scales of urbanization. The process leads to the
formation of ‘urban villages', which, unlike the western realities, often turns into
slums.

Urban sprawl is a natural phenomenon accompanying rapid urban growth. The

rapidly growing urban population in the large cities and high rate of migration spills
into the rural areas surrounding the city boundaries. The settlement of the urban
population into the surrounding areas and location of economic activities like
factories, amusement parks, commercial complexes etc. gradually brings about a
change in the land use pattern in the rural areas. This gives rise to the problem of
rural-urban fringe, which is a transition zone between urban and rural settlement
sharing the features of both.

Simon, (2006:3) described that a peri-urban area is not only a zone of direct
impact experiencing the immediate impacts of land demands from urban growth and
pollution but is also a wide market related zone of influence that is recognizable in
terms of the handling of agricultural and natural resource product. Commonly known
as rural-urban fringe a peri-urban, the rural-urban interface is the territory in
transition, spatially located on the urban periphery

The emergence of rural-urban fringe brings about significant changes in the

land use as well as in the occupational pattern, cultural behavior, environment and
quality of life of the people in the rural areas adjoining the cities. While creating new
job opportunities for the local residents, this process also brings about significant
changes in the quality of life of the rural people both negative and positive. The
phenomenon of rural urban fringe which happens to be unplanned and haphazard
leads to the problems of rise in land values, dispossession of farmers from land,

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 Chapter-1 Introduction

increasing congestion, deterioration in physical environment, pressure on

infrastructural facilities, cultural shock, social tensions and proliferation of criminal
activities. The changes in the land use from agricultural to non-agricultural activities
have larger implications for food security at the family and the country level. The
problems of rural-urban fringe thus pose a major challenge to urban and policy
planners.

Peri-urban Area

Rural-urban fringes in India may be defined as per Ramchandran (1989)

view. According to him, "The rural-urban fringe is an area of mixed rural and urban
population and land use. This begins at the point where agricultural land use appears
near the city and extends up to the point where village have distinct urban land use or
where some persons, at least, form the village community commute to the city daily
for work or other purposes”.

Blizzard also opines about the rural-urban fringe. "It is that area of mixed
urban and rural land uses between the point where full city services cease to be
available and the point where agricultural land uses predominate". According to
Douglas (2006) "A peri-urban area (a specific and non-neutral space) refer to a
transition or interaction zone, where urban and rural activities are juxtaposed, and
landscape features are subject to rapid modification induced by human activities."

Peri-urban areas, which might include valuable protected areas, forested hills,
preserved woodlands, prime agricultural lands and important wetlands, can provide
essential life support services for urban residents. A peri-urban zones are often far
more environmentally unstable then either urban or rural setting. From ecosystem
point of view, physical, chemical and biological factors generally interact among
themselves, and are interrelated with socio-economic forces. These factors have their
own functions, which can be enhanced or reduced depending on the conditions of
other factors in the same system. A peri-urban area is not only a zone of direct impact
experiencing the immediate impacts of the land demands from urban growth and
pollution, but is also a wider market related zone of influence that is recognizable in
terms of the handing of agricultural and natural resource products. When urban cities
grow disorderedly and sprawls to peri-urban areas, this process can be referred as

2
 Chapter-1 Introduction

peri-urbanization can be regarded both as a driver and an effecter of global

environmental changes. Observing land-use and land cover change over time can
perceive effects and impacts of urbanization on peri-urban areas. The complex
interaction between urban-land-use, environmental change, and socio-economic
system on peri-urban area may be approached from system perspective to understand
their dynamic interactions and function.

In this way we can say that peri-urban areas are outside formal urban
boundaries and urban jurisdictions which are in a process of urbanization and which
therefore progressively assume many of the characteristics of urban areas. Peri-urban
areas can be defined as areas having all or some of the following interrelated
characteristics:

 Fast and unplanned growth resulting in, amongst other things, negative
environmental health issues and environmental degradation.

 Jurisdiction is unclear or duplicated in matters of planning, land transfer.

 Tenure of residents is not always based on clearly defined and enforceable

title.

 Planning and building guidelines and regulations, the Rating Act, and
provision of urban services are not applied.

 Service infrastructure does not fulfill basic need.

 A significant proportion of residents are in lower income categories.

 Unplanned settlements to cater to the growing rental market, the rental market
alone catering to demand.

On the basis of above discussion, we can safely conclude that the peri-urban
area is centre of great attention for scholars due to its specific characteristics. It has
varied culture, land-use patterns and socio-economic distinctions. It is generally
multi-cultural, multi-ethnic interface which largely remains responsible for inward
migration of people from rural areas. It provides shelter to the rural job seeker
migrants. Due to the centre of multi-facet activities, it has specific problems also.

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 Chapter-1 Introduction

Peri-urban interface, the zone where urban and rural areas meet, has the centre of
great attention by the researchers, planners as well as academicians due to its explicit
tribulations such as socio-cultural turmoil, problem of rapid urbanization inducing
intense pressure on scarcely available resources, slum formation, lack of adequate
services such as water, sanitation and transportation, poor planning and degradation of
lives of millions of people. The inhabitants of the peri-urban area face unique
problems which require distinct and innovative approach for its comprehensive
understanding and fruitful solutions.

The study of rural urban interface and formation of peri–urban areas is

important in the context of inclusive urban planning and development as envisaged in
the Eleventh and Twelfth Five years Plans.

During the first half of the 20th century, growth in Indian cities remained
largely confined within municipal boundaries (Brush 1968). Even as late as the 1970s,
Brush (1977:64) noted that in India, as contrasted with the west, “much of the
population growth and migration to cities has been accommodated by crowding more
and more people into existing urban areas rather than by expansion of cities into
suburbs and fringe areas.” This pattern of growth and population absorption has
changed significantly over the last three decades and the change has been the sharpest
in the metropolitan cities. The four metropolitan cities of Mumbai, Kolkata, Chennai
and Delhi have grown not only in population but also in their areal spread (Shaw
1999). The lateral spread of the larger cities in India is reflected in the census data
which indicate that the area for urban uses has increased from 38,504 sq kms in 1961
to 64,026 sq kms in 1991 (Shaw 2003:304). There has been a sharp increase in area
under urban use since 1971 with the decadal rate of growth of urban land area rising
from 8.72 per cent during 1961-71 to 20.54 per cent during 1971-81 to 21.81 per cent
between 1981-91, Kundu (2003) has noted that the contribution of lateral spread to
incremental urban population during 1991-2001 has been substantial. The lateral
spread of the city can be captured by the growth in urban population due to the
merging of towns and by jurisdictional changes in the urban agglomerations. This is
the addition to the urban population due to the extension of municipal limits, the
merging of old towns or the inclusion of new towns in old UAs. He has pointed out
that the number of towns merged with neighboring towns/cities was 221 in 2001

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 Chapter-1 Introduction

which was twice that of 1991. Also, the share of this component to incremental urban
population has gone up from 7.6 per cent in 1991 to 13 per cent 2001. In 1961-71, it
was only 2.9 per cent. Quite clearly, the lateral spread of the city is occurring at a
faster rate now than in the recent past. The outward expansion of the metros has
meant increasing and more complex interactions with the surrounding rural areas and
gradual changes in their land uses and occupations, transforming them into semi-
urban or ‘peri-urban’ areas. Such areas have been studied in the past, particularly in
terms of their economic and social linkages with the city (Ramchandran 1988). In an
early study by Nangia 1976. The metropolitan region of influence was demarcated on
the basis of flows of goods and people. The positive aspects of these flows and
interactions at the rural-urban fringe are also captured in McGee’s concept of the
‘Desakotta’ where both regions gain, the rural areas through increased earnings and
larger markets and the urban areas through savings on housing cost and less
congestion in the built-up areas (Ginsburg, Koppel & McGee 1991).

Since the 1990s, however, concerns have been raised about the possible
negative impact of spreading urbanization and this has come from scholars working
on the environmental impact of the spreading city and its effects on the peri-urban
(Bentinck 1996). These effects are the result of the processes of change that such
areas experience with spreading urbanization and they include changes in land use
from agricultural to residential and industrial/commercial, changes in the use of
natural resources, for instance, deforestation, water depletion and pollution, land
leveling because of excessive quarrying, land degradation because of brick kilns and
increased solid and liquid wastes. Such concerns are also voiced by international
development agencies for they seem to be common to developing countries,
threatening the quality of life of a significant proportion of the population, and
endangering life systems over considerable areas (Allen 2003). These same areas,
located at the fringe of the city, far away from the corridors of political power and
often without any official urban status, generally lack the institutional capacities and
governance structures to enable them to respond to the processes of change in a
positive way and not be overcome by them.

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 Chapter-1 Introduction

Definition and the descriptive models of the Rural-Urban Fringe

In the modern age of urban expansion the term “fringe” has assumed an
important significance. Many scholars in different disciplines have discussed the
“rural-urban fringe” but no precise definition has emerged as yet. Subjective
definitions based on individual areas of study are not adequate since the definition
should be capable of being universally applicable and not only to a particular region.
The term “rural-urban fringe” consists of three words- rural, urban and fringe. Rural is
a common word denoting countryside or villages. The Oxford dictionary defines rural
as “living in the country having the standing qualities or manners of peasants or
country-folk; engaged in country occupation; agricultural or pastoral, or pertaining to,
or characteristic of the country or country life as opposed to town”. Stevens (1946)
has said, “It is generally implied in geographical analysis that rural population is that
which is directly, maintained by the exploitation of the intrinsic resources of land”.
Aurousseau (1921) defined rural population as, those sections of the people who are
spread over countryside and are engaged in the production of the primary necessities
from the soil. Thus the term clearly implies a basic dependence of the inhabitants
upon primary occupation, mainly production of material goods from the land.

The urban term implies preponderance of secondary and tertiary occupations.

At present urban studies forms an important and distinct branch of geography and
sociology. The size, shape and character of urban unit are changing day by day.
According to Ratzel (1903), a city is a continuous and dense agglomeration of people
and dwellings occupying a large area and lying at the focus of great trade route. The
implications seems to be that cities develop through trade and transport, an idea which
is confirmed by Wagner (1923), who defines cities as a concentration point of human
commerce. Richthofen (1938) says that a town consists of an organized group in
which people are concerned with commerce and industry as opposed to agricultural
pursuits. Christaller (1933) has emphasized the role of commerce, administration and
small business in urban centers but relegates industry to second place. This idea has
been reciprocated by George (1958) who conceives city as a residential centre bound
up almost exclusively with agriculture.

An important characteristic of an urban centre is that the inhabitants, though

dependent upon the countryside for their daily requirement of agricultural products,

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 Chapter-1 Introduction

do not have to move out of the urban boundaries either for their livelihood or for
utility services. This is in direct contrast with the villages, which though self-
sufficient in material goods, have to look to the town for trade and utility services.
Thus Brunches and Deffontaines (1946) suggest that a town can be said to exist if the
majority of the population spends the greater part of time within the bounds of the
agglomeration. In the words of Smailes (1953), a town may be regarded first and the
foremost as a community of people pursuing distinctive way of life or it may be
considered as part of the earth’s surface differentiated from rural surroundings by a
particular type of human transformation with buildings and other distinctive structure.

The census of India has defined a town in different ways in different census
years. In 1951, towns included all municipal areas irrespective of their size and so
also all cantonments; in addition, some other places which had urban characteristics
about them were also treated as towns. The definition was necessarily vague and
subjective as it did not lay down any clear cut directives for treating small centers as
towns. The result was that a very large number of overgrown villages were declared
to be towns in 1951, which were classified after a decade. This classification was
changed in 1961 which lay down that the list of towns would include all municipal or
notified areas, while civil lines and cantonments were not included within municipal
limits. It would also include all places and all centers which (a) have 5000 population,
(b) have a density of 1000 people per square mile, and (c) at least seventy-five percent
adult male population should be engaged in non agricultural pursuits. Although this is
an improvement over the 1951 definition, the 1971 census slightly changed the
definition to include all centers in which the population was 5000 or more, with a
density of over 400 persons per square kilometer and at least three-fourth of male
working population was engaged in non-agricultural livelihood. By and large these
criteria were followed except in a very few cases which had tourist interest or
administrative importance, or some other urban characteristic.

The concept of urban agglomeration was introduced for the first time in the
1971 census. An urban agglomeration was defined as “a continuous urban spread
constituted of a town and its adjoining urban outgrowths or two or more physically
contiguous towns together with continuous well organized urban outgrowth of any
such town” (Das, 1972). The term “fringe” suggests a border-line case between the

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 Chapter-1 Introduction

rural and the urban, and actually lies on the periphery of urban areas, surrounding it
and distinguishing it from the truly rural countryside. The term rural-urban fringe is
comprised of two groups of words – “rural fringe” and “urban fringe”. These two
terms denote overlapping boundaries with respect to an area which is distinct in
matters of form and function. Research workers in different social sciences have tried
to define the term but none has given a clear and precise definition. The term urban
fringe was first used by Smith (1937) to describe the built-up area just outside the
corporation limits of the city. The variation in the form of fringe area has been
distinguished by several authors who have suggested different names for this
phenomenon. Thus Kurtz and Flitcher (1958) differentiate between “fringe” and
“suburbs”, “pseudo-suburbs”, satellites and “pseudo-satellites”. Schnore (1952)
distinguishes between “satellites” and “suburbs” and Martin (1957) has discussed
satellite rural areas.

The term “fringe” has been subjected to a lot of discussion. This distinction
has been made between “urban fringe” and “rural fringe” by Andrues (1942). Mckain
and Burnight (1953) have also discussed the “extended fringe” and the limit of fringe
respectively. Reinemann (1960) distinguishes between “outlying adjacent zone” and
“sub-urban zone” and Wissink (1962) between “inner fringe” and “outer fringe”
Mayers, and Beegle have discussed, “true fringe”, “partial fringe” and adjacent rural
township. Duncan and Reiss (1956) distinguish between urban fringe, rural non-farm
and rural farm with Chicago’s fringe. Whiteland (1967) has given the terms IFB
(Inner Fringe Belt), MFB (Middle Fringe Belt) and OFB (Outer Fringe belt). Singh
(1967) has described fringe as “the rural land with urban phenomenon”. He further
develops the idea of fringe on the basis of the study of Wehrwein (1942) by saying
that the rural land is “forced” into urban uses prematurely and is almost “frozen”
rarely being restored to agricultural uses. Thus an “institutional desert” is forced, or
else, one may term it as an urban erosion of rural lands. Wehrwein (1942) explains
that the rural-urban fringe “consists of rural territory pierced by fringe-like projections
of urbanized land uses because of the stellar growth of the city and is the area of
transition between well recognized urban land uses and the area devoted to agriculture
carried out in more or less modified form”.

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 Chapter-1 Introduction

Andrews (1942) defines “the adjacent peripheral zone of the urban fringe as
the intermingling zone characteristically agricultural and characteristically urban land
use structure obtained in the area”. Garnier and Chabot (1967) consider it suburbs
which begin where the continuous built-up town ends. “First, there is the built-up area
of houses with small gardens, forming dormitory, communities from which more than
half the active population works in the town”. Dickinson (1967) takes it to mean a
“rural area into which residential development is intruding and new residential site
and other urban uses are in process of development along its main lines of
communication, after being clustered around existing villages and small towns”.

The new built-up social and economic units adjacent to the town get facilities
from the rural authority after paying taxes but they get town facilities also like
electricity, gas, water and transport, etc. Pryor (1968) believes that “the rural-urban
fringe is the zone of transition in land use, social and demographic characteristics,
lying between (a) the continuously built-up urban and sub-urban areas of the central
city, and (b) the rural hinterland characterized by the almost complete absence of
nonfarm dwelling occupations and land use, and of urban and rural social orientation;
and incomplete range and penetration of urban utility services; uncoordinated zoning
or planning regulation; areal extension beyond although contiguous with political
boundary of the central city and an actual and potential increase in population density,
with the current density above that of surrounding rural districts, but lower than the
central city”. Thus the rural-urban fringe is really an extension of the city itself,
actually and potentially (Singh, 1967).

Pryor (1968) has tried to eliminate all the drawbacks of the previous
definitions, but his assumption regarding the non-farm dwelling is not justified. His
definition is quite long which also leads to ambiguity. However, his attempt is an
adequate guide for the research worker. The rural-urban fringe, in the real sense is a
narrow zone with varying width outside the political boundaries of an urban unit
which is neither urban nor rural in character. The rural-urban fringe is a bridge which
connects the two. It is the continuation of the declining tendency of urban
characteristics towards the rural area or the declining tendency of rural land towards
the urban unit. Its extension is convex along the transport lines leading from the town,
while it is concave as we move towards the town from rural areas.

9
 Chapter-1 Introduction

The modern age is one of rapid growth of urbanization consequent upon

transport development. Christaller in his central place theory has assumed that the
service centers form a hexagonal pattern at equal distances from other service centers
which surround the centre of the next higher order. They are linked together by
transport routes. The fringe of an urban complex forms a pattern depending upon the
physiographic and transportation facilities of the area. The emergence of the fringe
zone with its complex problems of adjustment between rural and urban ways of life
has assumed great topical importance and has drawn attention of planners and social
scientists. Yet the study of the urban fringe has been a neglected area of human
research. Even in the developed countries a few studies have been undertaken in this
regard through this developmental phase of urban morphology was experienced there
in the very beginning of the present century. Fringe studies have not received much
attention among Indians either from geographers or from scholars in any of the other
disciplines. Hence, we have one of the major gaps in geographical research in this
area of urban studies.

The rapid sprawl of the modern city outside its political boundaries and
beyond its real physical-cultural domain possesses several attendant problems
(Christaller, 1933). Many research workers in social sciences such as urban
geographers, sociologists, land economists, local urban government; regional planners
and others talk about the rural-urban fringe but none has attempted to solve its real
problems. The fringe zone has been neglected by everyone mainly because it is
transitional as well as controversial in nature. Wehrwein (1942) has drawn attention to
this fact by asserting that the students of agricultural and land problems stop when
they come to „city land and urban land economists and planners usually stay away
within the city limits, unless they are studying the region and making regions plans.
The most important problem is to precisely delimit the rural-urban fringe area. Queen
and Carpenter (1953) have studied area within the SMA which is outside the
urbanized area (equivalent of the Melbourne Statistical Division minus the Melbourne
Metropolitan Area of the 1966 Census.) Similarly, Duncan and Reiss (1956) have
used the category of non-suburban population of territory in urbanized area outside
Chicago City. Zimmer and Hawley (1956), Martine (1957), Rohrer and Hirzel (1957),
Golledge (1960), Reinemann (1960), Andrews and Eshlemann (1963 a,b), Pahl

10
 Chapter-1 Introduction

(1965), Goldsmith and Lee (1966), and Johnson (1966), are other authors who have
delineated their study area by Census or administrative areal units.

Wehrwein (1942) has taken the metropolitan city with a maximum density of
150 inhabitants per square mile around the city of Indianapolis for demarcating the
fringe. Blizzard and Anderson (1952) have emphasized on agricultural land use and
decrease in city utility service. Smith’s (1937) idea of continuous built-up area for
fringe delimitation is not justified as some cities may not have continuously built-up
area within the town, and in such cases the consideration of continuity beyond the city
limit for the fringe area is not proper. Pryor (1969) has divided the fringe into rural
and urban fringe and has suggested the upper and the lower rates of increase in
population (residential, industrial, commercial and commuters) which were quite
vague. The words higher and lower are relative terms which differ from person to
person and from area to area. Pryor has not given thought to the lines of transport
along which the fringe belt is bound to fluctuate. Although he has considered “farm
land” as a factor, he has not examined whether the land is good for crops or
vegetables, and whether the area supplies vegetables and milk to the parent city or
not. Pryor (1969) in another paper has concluded that the rural-urban fringe is
characterized by the incomplete network of utility services; an inadequate network of
public transport, a relatively high car ownership ratio; and that the majority of the
work places and retail purchases of residents of the fringe will be in the urban place
itself. He has assumed that the above characteristics in the fringe area are natural.
Some of these conclusions do not appear to be valid in the Indian context. For
example, a high ratio of cars will be possible only when the fringe area is fully
developed in a planned way. A planned fringe area may, therefore, become a part of
the town itself, in which case it will no longer be a fringe zone. However, it may be
applicable to large metropolitan centers or industrial and mining towns, where the
people may try to escape the noise and traffic of the city centre. Similarly, while the
inadequacy of transport and utility services in the fringe zone is understandable, the
question is one of degree and not of absolute number, for in many Indian cities, these
are inadequate in most parts of the city itself. A question of degree also arises in the
case of the commuting population and when the transport network is poor, the
residents of the fringe zone may rely on the city proper for the purchase of higher
order goods only. As a matter of fact, the percentage of commuters in India for work,

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 Chapter-1 Introduction

recreation and medical services is appreciably higher than for retail purchases.
As the fringe is a bridge between the rural area on the one side and urban centre on
the other, all the characteristics of urbanity and ruralism are medium in the fringe
area. These characteristics are travel time, urban habits, land value, public utility
services, commuting population, non-agricultural activities, population density,
primary activities, built-up area and sex ratio, literacy rate and agricultural activities,
etc. the characteristics may vary from town to town. But if all factors are considered
together with suitable weightages according to their relative importance, the resulting
index values are likely to be a reasonable guideline for fringe demarcation. An
important problem in the rural-urban fringe area is the problem of land use. The
pattern of land use in the area is dynamic and changes from rural land use to urban
land use over short periods of time and distance. A shift from non-residential land to
residential use and food crop land to cash crop land is some of the important changes.
The resultant pattern is complex and its real value is difficult to assess. Scattered
settlements, vacant land, small proportion of farm workers and the return from the
land are some of the important associated considerations; all these factors are guided
by location.

Literature Review

Considerable amount of research work has been done by different scholars on

Peri-urban areas. It is essential to have a glimpse of all those studies so as to derive a
comprehensive understanding of the process of Peri-urbanization. For convenience of
understanding, the process under question is broadly bracketed into different
categories in the following passage:-

Definitional Aspect

The study of the available literature reveals that most of the studies regarding
rural-urban fringe appeared during the period from the mid -1940s to the beginning of
the 1960s, in which attention was mainly focused on the physical delimitation and the
defining features of fringe. The term fringe was introduced by Smith (1937) to
describe built-up area just outside the corporate limit of the city “through the word,
“urban” as synonymous to fringe was used by Gaplin as early as in 1915 for „rural
land in process of conversion to “urban”. Smith’s definition was mainly concerned

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 Chapter-1 Introduction

with the demographic characteristics of the area; therefore, it presented a general

rather than a specific conceptualization of the fringe. Further, Salter (1940), in his
excellent study “The Rural-Urban Fringe” defined the fringe as a mixture of land uses
that are related to the rural-urban fringe is not and Indian phenomenon; it has its
origin in the west. It is, therefore, useful to examine western notions and definitions of
the rural-urban fringe. Wehrwein (1942) was the first social scientist to define the
rural-urban fringe. According to him, "this is the area of transition between well
recognized urban land use and the area devoted to agriculture". Billzzard and
Anderson (1952) have attempted a more specific definition, and according to them
"the rural-urban fringe is that an area of mixed urban and rural land uses between the
points where full city services cases to be available and the point where agricultural
land use predominate." Singh (1967) has described fringe as "the rural land with
urban phenomena." He further develops the idea of fringe on the basis of the study of
Wehrwein (1942) by saying that "The rural land is 'forced' into urban uses
prematurely and is almost 'Frozen' rarely being restored to agricultural uses. Thus an
'institutional desert’ is forced, or else, one may term it as an urban erosion of rural
lands." The new built up social and economic units adjacent to the town receive
facilities from the rural authority after payment of taxes but they get town facilities
also like electricity, gas, water and transport etc.

With the evolution of the concept, many scholars tried to bring out its
definition as well as pointed out various inherent limitations. Kurtz and Eicher (1958)
have figured out that "The 'fringe' and 'suburb' have been used as interchangeable
term in individual studies and need definite differentiating criteria on the basis of
location, and characteristics, growth and density, Occupation and governmental
structure". Pryor (1968) defined the rural-urban fringe as the zone of transition in land
use with social and demographic characteristics, lying between (a) the urban and
suburban areas of the central city and (b) the rural hinterland. The transition takes
place from intense use to presence of non-farm-dwellings, occupation and land use
respectively, as well as urban to rural social orientation. However, these
characteristics may differ both zone wise and sector wise and will be modified
through time. Thus the rural urban fringe is really an extension of the city itself.
Oosthwizen (1969) has given an alternative terminology of ‘suburban area' as 'rural
suburb', 'quasi-urban area', or 'quasi-urban township.' According to the definition of

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 Chapter-1 Introduction

the census bureau, "sub-urban areas are the residential areas situated outside but
adjoining the municipal boundaries. they have no form or urban local administration
and can for all practical purposes be regarded as part of the town or city, because they
usually have distinct urban character and are closely linked to the parent municipality,
economically, socially and otherwise, and there is also a considerable amount of
daily travel between the suburban area and the parent municipality". Mishra (1980) is
of the view that the concept of Rural-Urban Fringe and The Rural-Urban Fringe-Its
concept and Importance in Planning highlights the fallacy of dichotomizing the
settlement continuum. The dichotomy, an administrative designation, according to
him, is anachronous and pragmatic. He has also enumerated a number of factors to be
essentially considered in the delimitation of the fringe. McGee (1991) used the term
desktop. He claims that in Asian context, where the concept of traditional settlement
pattern evolves, distinguishing urban and rural areas are not valid, given the
emergence of high growth rural areas close to cities and along highway corridors.
These areas are composed of highly productive, but mainly small holding agriculture
with participation in non-agricultural occupations and high spatial integration of
economics activities. Peri-urban areas, within the desakota region, are closest to the
cities and this trend is further enhanced by the possibility of daily commuting to work
place. The 'Peri-urban' term has been used to define 'a place, concept or processes' by
Narain and Nischal (2007). Peri-Urban area thus refers to the urban fringe and the
geographic edge of cities as a place; it refers to the movement of goods and services
between physical spaces and to transition from rural to urban. Finally, as a concept, it
refers to an interface between rural and urban culture, ecology, and environment
institution and perspectives. Wehrwein (1942) has called it an “Institutional Desert”
because of the uncontrolled location there of unpleasant and noxious establishments
such as slaughter houses, junkyards and wholesale oil storage, and of utilities such as
sewage plants and cemeteries. In his opinion, fringe is the area of mixed land uses
lying beyond those sections of the city that are customarily serviced by urban utilities
and transport systems. Further, he describes it as an area of transition between well-
recognized urban land uses and the area devoted to agriculture. Thus, Wehrwein is
very clear that the fringe area can better be identified in terms of land uses than in any
other way. Andrews (1942) contributed new thought to the fringe studies by
attempting to differentiate the urban fringe from the rural-urban fringe. The urban

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 Chapter-1 Introduction

fringe, as he puts it, is the active expanding sector of the compact economic city and
the rural-urban fringe lies adjacent to the periphery of the urban fringe. The year 1942
bore a special significance for such studies as after Wehrwein and Andrews, Klow
(1942) and Alpake were also to emerge on the scene. Alpake (1942) has defined the
urban fringe as “that cultural development that takes place outside the boundaries of
central cities and extends to the areas of predominantly agricultural activities”.

Walter Fiery (1946) said “the rurban fringe is a marginal land use area not
because of its geographical location, its soil type or its topography, but rather because
of its particular degree of accessibility (relative to that of other land use) to some
central transportation point”. Rodehaver (1947) in his study “Fringe settlement as a
two directional movement” reiterates that new residents converge upon the fringe
both from urban places and rural areas. While Dewey (1948) marked that the
movement of population in to rural-urban fringe was a movement of urban people. He
further adds “…in the fringe area there is mingling of people of some of whom work
in and are oriented towards agriculture while at the same time the remainder pursue
urban occupations and an urban way of life”. The end of the forties saw a well marked
deviation from the traditional line of definition and division in rural-urban fringe
studies as Aschman (1949) and Blizzard and Anderson (1952) confined to land use
and Martin (1953) to patterns of population. Balk (1954) added a new term, as he
found the fringe area an area of “urbanization”. Duncan (1956) used the term fringe to
denote the non-suburban population of the territory in urbanized areas outside the
central cities. His urbanized area contained three components- central city, suburb and
urban fringe. The urban fringe is limited to the corporate limit of the city and often it
is found outside the limit also. Kurtz and Eicher (1958) attempted to differentiate
between fringe and suburb. Golledge (1960) used the term geographical no-man’s
land for this contact zone between rural and urban land uses. Similarly, Russwurm
(1969) refers to this area as frontier of discontinuity between the city and country,
while Conzen (1960) has recognized the fringe belt as significant determinants of the
morphology of urban settlements. Defining its character, he identifies, the fringe belt
itself as composed of two sections, the proximal or inner margin where development
is closer and more continuous and the distal or outer margin where growth is more
sporadic and the development more dispersed in character. Wissink (1962) in an
extensive survey of the fringe areas of American cities identifies “fringe”, “suburbs”,

15
 Chapter-1 Introduction

“pseudo-suburbs”, “satellites” and “pseudo-satellites” and in land use terms has called
it an area of great differentiation. Pastalan (1967) giving an operational definition of
the fringe has defined it as an area in transition where rural land uses are giving way
to urban land uses. Seeing all these differentiations in the definition, Whiteland (1967)
called the fringe a “heterogeneous region”. In his view, they are examples of regions
that derive their unity not from homogeneity of forms but from certain factors that
influenced their location.

Pryor (1968-69) is of the view that the rural-urban fringe may quantitatively
be sub-divided into an “urban fringe” and a “rural fringe” on the basis of its land use
composition. The urban fringe exhibits a density of the total rural-urban fringe and a
higher rate of increase in population density, land use conversion and commuting. By
contrasts, the rural fringe exhibits a low density and lower rate of increase. During
1960 s different scholars have attempted to analyze some particular character of the
rural-urban fringe. Young (1962) studied some geographic features of the urban fringe
while Morrill (1965) was more specific as to the mode of its expansion. Harvey
(1965) considered the nature and economics of urban sprawl in general.
Socioeconomic problems pertaining to the fringe and fringe dwellers have attracted
the attention of various scholars of this time. The study to throw light on current
processes within fringe area is that undertaken by Pahl (1965). His work focuses
largely upon the social character of London’s fringe. He recognizes four main
processes under way. There is a tendency towards social and spatial segregation,
selective immigration, changing commuting character and collapse of geographical
and social hierarchies.

Singh (1967) has described fringe as “the rural land with urban phenomena”.
He further develops the idea of fringe on the basis of the study of Wehrwein (1942)
by saying that the rural land is forced into urban uses prematurely and is almost
“frozen” rarely being restored to agricultural uses. Thus an “institutional desert” is
forced, or else, one may term it as an urban erosion of rural lands. In the less
developed and developing countries, a slightly different situation has been marked.
Some studies of the villages close to the major cities in these countries exhibit two
main characteristics: they are closely affected by ideas and innovations flowing from
the city, and they provide a permanent labour force by migrating of a temporary

16
 Chapter-1 Introduction

labour force by commuting to supplement that of the city. None of these commuters
are ever former urban residents. (Connell,1974, Barclay et al., 1970). Rikkinen (1972)
has analyzed the way in which ownership boundaries affect urban growth and land
use change, while Schnore and Klaff (1972) have measured the speed of
suburbanization over the last decade in the United States, compared to the earlier
decades.

Some researches on related theories and demonstration were carried out at

home and abroad, such as metropolis fringe area (Hall, 1996), edge cities (Keil,
1994), extended metropolitan regions (Ginsburg et al., 1991), urban-rural integration
(Jones and Pravin, 1997), peri-urbanization (Webster, 2002), etc. Over the past 20
years, spatial differentiation in terms of land use, transportation, housing,
environment, and socio-economic aspects has been documented by a number of urban
scholars (Landis, 1995; Kahn, 2000). The suburb has been the locus for much
physical change during the twentieth century-first in the development of new forms of
extensive low-density urban landscapes. Subsequently, change has been either at the
small scale of personalization, the intermediate scale of house building in the back
garden' (Whitehand and Larkham 1991) or rarely, demolition and rebuilding. The
story of changing suburbs has become more about changes to existing suburbs than
about creating new ones (Whitehand and Carr 1999).

Despite demographers reporting dynamic U.S. population change at the

interface between large urban and relatively rural areas (Fuguitt, 1985; Heimlich and
Brooks, 1989; Johnson, 2003; Johnson, et al., 2005), study of the rural-urban fringe
has received modest attention from urban and community sociologists. While some
scholars have systematically examined matters of land-use policy and growth
management at the rural-urban fringe (Daniels, 1999; Davis, 1993; Davis, et al., 1994;
Healy, 1981; Nelson, 1992; Nelson and Sanchez, 1997), this dynamic region of
change has arguably received less attention than more purely urban or rural areas. It is
easier for metropolis fringe area to obtain opportunities and develop rapidly because it
is close to metropolitan area. Counties related to the metropolitan statistical areas
consist of both urban and rural territory (Isserman, 2005; George and Brian, 2007).

As per the view of Hammer et al., 2004, the pattern of random, unplanned
growth of urbanized areas, commonly known as sprawl, has become the most

17
 Chapter-1 Introduction

common form of land use/land cover change around cities throughout the world. Even
though urban sprawl is considered by some landscape architects and planners as an
opportunity to emphasize qualities such as attractiveness, pedestrian-friendliness, or
stimulating regional economic growth according to a considerable amount of studies,
it creates numerous environmental and social problems, both within cities and in their
surroundings. The worldwide deterioration of natural and human systems due to the
expansion of the urban population and urbanized areas occur at all geographic scales
(Botkin and Beveridge 1997; UN 2006). This state of affairs has triggered a
considerable amount of research aimed at the study of causes and consequences of
this phenomenon, including the development of methods and indicators for the
assessment of urban sprawl (Hasse and Lathrop 2003; Hammer et al., 2004; Herold et
al., 2005); studies of the dynamics of the phenomenon (Berling-Wolff and Wu 2004;
Yu and Ng, 2007); the ecological effect of urban expansion on wildlife (Blair, 1996,
2004; Theobald et al., 1997; McKinney, 2002); various aspects related to loss and
fragmentation of agricultural lands (Fischel, 1982; Brabec and Smith, 2002; Carsjens
and van der Knaap, 2002); urban management and the effects of land use policies
(Conway and Lathrop 2005; Marcotullio and Boyle 2003; Wasilewski and Krukowski
2004). The literature includes a discussion regarding the driving forces of urban
sprawl, among which the more cited are increases in numbers of households, housing
preferences, industrial restructuring, geo-morphological patterns and processes,
infrastructure investment (Alberti et al., 2003); land and real estate markets pressures
(Ottensmann, 1977; Morello et al., 2003); changes in economic scenarios, in social
conditions, and local government policies (Wasilewski and Krukowski 2004; Morello
et al., 2003). Most of the studies focus on land use changes in the urban rural fringe;
that is, the advancement of the urban borders in the metropolitan areas with the
eventual incorporation of existing small urban centers to form a dense agglomeration.

Disjoint or leapfrog development has become a matter of concern to

researchers and planners (Hammer et al., 2004; Nassauer et al., 2004; Theobald,
2001, 2005). This form of scattered sprawl consists of the development of urban
patches within the existing matrix, and may have even more dramatic effects on the
matrix fragmentation than edge land cover changes (Franklin and Forman, 1987; 288
Urban Ecosyst (2009) 12:287–310 Theobald et al., 1997), since they drive changes at
a disaggregate scale. Leapfrog land use change has increased since the 1990 s; and it

18
 Chapter-1 Introduction

occupies far larger extensions than urban and suburban areas. For example, Theobald
(2005) reports for the US, that exurban land conversion has been growing at a rate of
about 10–15 per cent per year, which exceeds the rate of urban development, and
occupies five to ten times more area than urban and suburban lands. Morello and
Solbrig, 1997, studied urban fringe expansion and its consequences in agricultural
land loss in the Buenos Aires metropolitan area, which occupies the best agricultural
lands of Argentina. In their study of urban growth during seven periods between the
censuses from 1869 to 1991, they found that at all time intervals, urban growth
occurred on prime farmland rated as capability class II, according to the US Soil
Conservation Service land capability classification (Morello et al., 2000a,). Their
findings did not differ greatly from those of Nizeyimana et al. (2001) for the
conterminous USA, notwithstanding the differences in extension and resolution.
Socio-economic Aspect

Majority of the scholars who studied fringe in sixties, have concentrated

themselves particularly on the socio-economic problems of the fringe and its
residents. They were more concerned about some particular features of the fringe.
Morril (1955) for instance, considered more specifically about the mode of its sprawl,
while Harvey and Clark (1965) took noted of the nature economics of its expansion in
general. Pahul 91965 focused attention to the contemporary processes of the social
character of the fringe account London. He summarized these salient characteristics
under four heads. The main processes underway include a tendency towards: (1)
social and spatial segregation; (2) Selective immigration; (3) Changing commuting
character; and (4) collapse of geographical and social hierarchies. He further
contended that the creation and evaluation of the fringe was more a process of social
transformation. It brings class consciousness through which is woven the dynamism
of urban life style. His departure from the hackney of the physical and static feature of
land-use characteristics is a major theme and is worth-noting. Sjoberg (1960) revealed
that peri-industrial cities had a simple land use patter with a core and a periphery. The
post-industrial cities, however, display a great complexity in the land use pattern,
which is manifestation of an equally complex social and economic structure. While
Desai and Gupta (1987) studied Ahmadabad city and found that loss of agricultural
land, land acquisition, lack of infrastructure and dual character of the fringe in terms
of socioeconomic conditions of the people are some of the problems which have come

19
 Chapter-1 Introduction

up due to the change in Land use. Bentinck (2000) in his studies on Delhi fringe
found that unauthorized part of the village outside land Dora or colonies usually don't
have paved roads and cemented sewage system, unless the residents and the
colonizers have put in these feature themselves. Carter (1972) in his study on peri-
urban, found that there are two most important aspects which attracted the attention of
people. It can be primarily designated by characteristic land-use association. Second,
there is a notion that the social characteristics of the population of the fringe area are
intermediate between those of the town and those of the county. Socio-economic
problems pertaining of the fringe and fringe dwellers have attracted the attention of
various scholars. The study to throw light on current processes within fringe area is
that undertaken by Pahul (1965). His work focuses largely upon the social character
of London's fringe. He recognizes four main processes under way. There is a tendency
towards social and spatial segregation, selective immigration, changing commuting
character, and collapse of geographical and social hierarchies. Sinha, (1980) has made
a qualitative assessment of the fringe and its physical characteristics and problems in
Patna City. Delimiting the fringe, the author has studied its physical characteristics
and assessed the impact of location, transport, recreational, medical and institutional
facilities on the living conditions of the people in the fringe areas, in terms of their
housing, food habits and dress etc. The author has further examined the influence of
Patna on the nine sample fringe using primary data.
Poverty Aspect

The research on peril-urban poverty in India is relatively of recent origin as

compared to rural poverty. The causes of peri-urban poverty at the household level
have been studied comprehensively by Mittar (1986), Gupta (1989), Hanumapa
(1991) and Vashishta (1993). These studies have emphasized mostly on the
demographic and socio-economic factors which is responsible for the growth of
poverty in the periphery areas. D'souza (1979) attributed the socio-cultural
marginality aspect for the problem of poverty and said that it is that it is the
intersection of the poverty and socio-cultural marginality which creates the special
problems of the slum-dwellers and their isolation from the rest of community. Sjoberg
(1960) reveled that in the classical structure of a pre-industrial type, human resources
and capital migrate from the periphery to the city centre resulted in rich centre and
poor periphery. Alam and khan (1987) held that rapid industrialization and

20
 Chapter-1 Introduction

urbanization has led to lack of basic services and mushrooming of slums which in turn
has made these cities extremely vulnerable. Pocket of poverty on the fringe, we
undoubtedly would have found them. Nonetheless, popular conceptions of fringe
communities a homogeneous agglomeration of the poor should be revised. The
metropolitan fringe is much more heterogeneous in social composites as
homogeneous agglomeration of the poor should be revised. The metropolitan fringe is
much more heterogeneous in social composition and economic structure than
conventional stereotype acknowledge (Browder et al, 1995). Townsend (1979) has
listed a few factors which could associate with poverty at the household level. The
factors are: unskilled manual families, illiteracy and unemployment. But on the other
hand Musgrove (1980) does not full agree with Townsend’s views. According to him
the low wages and unemployment also poses some relation of poverty. He adds the
household size and low employment rates are also closely associated with poverty.

Migration Aspect

In the most of developing countries like India, land is the principal source of
national income and agricultural comprise the major activity of a large majority of the
population. The availability of good agricultural land continues to be one of the most
powerful factors determining magnitude and direction of population migration. In
other words, land scarcity increases the propensity for rural exodus. A number of
studies have shown a positive relationship between high man/land ratios and
propensity to migrate (Preston, 1969, Walsh and Trlin 1973, et.al). Substantial
increase in the size of urban population in the level of urbanization and consequently
a sharp rise in the number and size of big cities is a major cause as well as effect of
rural out-migration (Cushing, 1993). There are a host of attractions that the cities hold
out like a variety of amenities, health services, social welfare and relief programs,
entertainment activities, etc. which attract more migrants due to greater job
opportunities and a greater availability of infrastructural facilities. On the other hand,
due to problems like underemployment, environmental hazards such as air, water and
noise pollution, congestion etc. recently a reverse flow from urban to peri-urban and
rural areas is experienced, especially in advanced countries. On the whole, we can say
that the relationship between urbanization and rural-urban migration is unpredictable
(Hadi, 2004).

21
 Chapter-1 Introduction

India is undergoing radical changes in demographic paten as streams of people

migrate to regions which offer better opportunities than their home. Much of this
improvement is from rural areas to urban with large cities and mage cities as strong
loadstones, attracting people with the promise of better living (Kurukshetra, 2009).
Bryant, Russwurm and McLellan (1982) in their study on relations between the city
and the countryside have attempted to identify bands of urban and rural influences
resulting in a continuum though this may not be equal in all directions around cities.
Favorable conditions overlapping natural, economic and cultural environment in the
cities countryside provide opportunities for increased mobility of people and leads to
dispersion of urban functions. Desponded (1980) in his study has examined and
analyzed the rural-urban interaction with special reference to the impact of
metropolitan city Bombay on the south Koala rural-urban interaction with special
reference to the impact of metropolitan city Bombay on the south Kolaba region of
Maharashtra. The author found that the influence of Bombay has resulted in the
increased transport and demographic imbalance and economic stagnation in the
region. Thus the traditional hierarchical spatial network of the region is seriously
disturbed. It was concluded in the study that the traditional 'pull' factor rather than the
'puch' factor prevails in this rural-urban interaction. Khan (1982) worked out on the
rural-urban migration and urbanization in Bangladesh and concluded that the
economic and administrative decentralization with increased emphasis on
comprehensive rural development is imperative to tackle the problems of rapid
urbanization. William (1988) suggested that there are two principal hypotheses
regarding the growth of urban centers and urbanization, they are (1) the rapid growth
of population pressing on limited farm acreage pushing landless labor into city and (2)
economic force pulling migrants into the cities. Lewis (1954) point out that as a
consequence of migration, wage pattern of the modern sector favors pulling migrants
into the cities. Lewis (1954) point out that as a consequence of migration, wage
pattern of the modern sector favors the capitalist in augmenting their investment and
there-by profits. This two sector model explains the movements of excess labor in the
traditional agricultural sector to the modern industrial sector in search of higher
wages. The wages, which is assumed to be constant, is higher in the modern sector
compared to the subsistence wage in view of the fact that the migration product of
labor in the traditional sector is zero. This peculiarity helps the capitalists in keeping

22
 Chapter-1 Introduction

the wages constant. Babi Readdt (1988) in his study concluded that the rural urban-
migration is an inevitable socio-economic phenomenon as a result of high standard of
living in the urban areas. He suggested better living conditions, housing loans,
provision of basic amentias and skill development programmers as short term action
plans in the rural area to prevent rural-urban migration, Yap (1977) concluded that
migration improve the income over their rural-option immediately upon finding an
urban job. Over time, there seems to be very few earning differences between
migrations and non-migrants of the same, age, sex and education group. Guglar and
flkanagen (1978) quoted that migrants provide village with access to urban amenities
(Health care), assist in village with access to urban amenities (Health care), assist in
village development and press for village interests with officials at regional or
national level. Yadava and Yadava (1988) mentioned high population density, surplus
of labour force, high unemployment rates, meager income increasing housing
demand, rural urban wage differentials, pattern of land possession and the prior
migration pattern were identified as some of the determinates of rural out migration in
most of the developing countries.

Development of Slums

D' Souza (1979) concluded that the cause of slum formation and squatter
settlements are neither due to industrialization nor because of the size of the city but
due to urban provety. Alam and Khan (1987) held that rapid industrialization and
urbanization has led to tack of basic services and mushrooming of slums which in turn
has made these cities extremely vulnerable. Lewis (1968) developed, a much talked
about concept concerning slums and poverty which is known as 'culture of poverty '.
The term applies to those who are at the very bottom of the socio-economic scale i.e.
the poorest workers. In India, during 1970s and even in early 1980,s urban poor used
to be equated with slum-dwellers. (Dandekar and Rath, 191, Majumdar 1978). They
were identified as those living in slums and the pavement-dwellers and the persons
living in squatter settlement. (Singh & D'souza, 1980, Basu, 1988). All these
researcher advance rerual-urban migration as the main causefor slum formation
because migrants from rural areas depend upon kinship, caste and regional network
not only for decisions regarding the place of their destination but also for their
adjustiment to the harsh living conditions of urban areas. According to mitra, (1988)

23
 Chapter-1 Introduction

and Bose (1995), some recent studies have shown that not only rural-urban migration
but natural increase in urban areas in equally responsible for the emergence of slums.
D'sourza (1979) opines that it is only the poverty and socio-cultural marginality of the
poor that leads to the breeding of slums. Some others consider poverty itself as main
cause for slum formation.

Environmental Problem

Today's world is rapidly urbanizing, with particularly radical urban expansion

predicted in developing countries. Increasing urbanization and its impact on the peri-
urban areas is characterizes in terms of changes in land use, new forms of household
composition, differential access to urban bandits such as health infrastructure and
employment and increased pressure on common natural resources. Urbanization
creates new opportunities but it dramatically increases the poverty and environmental
degradation in peri-urban zones (UNFPA 2007). In a study on American cities, Hart
(1967) has pointed out that the encroachment of urban into rural areas has brought
about uncontrolled urban development which is economically unviable. Urban
expansion deprives the nation of prime agricultural land and urban sprawl irreparably
damages the environment and ecology. An investigation was carried out by raw at and
sing (2009) to estimate nitrogen pollutants in the drinking and surface water of Luck
now city. It was reported that nitrogenous pollutants were found higher mostly in
urban region as compared to the peri -urban and rural region. The peri-urban poor, in
particular, are subject to increased prevalence of 'Shocks and stresses' (Allen et al
2006). Mc Granahanetal (2004) observed that peri-urban zone are often far more
environmentally unstable that either urban or rural settings. From ecosystem’s point
of view, physical, chemical and biological factors, these factors in the same system.
Simon, (2006) described that a peri-urban area is not only a zone of direct impact
experiencing the immediate impacts of land demands from urban growth and
pollution but is also a wide market related zone of influence that is recognizable in
terms of the handling of agricultural and natural resource product.

The peri-urban environment receives waste form organized collections in the

city, the form of landfill sites, refuse, mountains and polluted rivers, Both indoor and
outdoor air pollution is found as a consequence of road transport, energy production,
industrial activity, and cooking. In the peri-urban areas of cities throughout the world,

24
 Chapter-1 Introduction

the traditional diseases poverty generated such as dysentery, cholera, heart disease
and stress are commonly found. A part from a hazardous, polluted work and living
environments, the social determinants of ill health and access to services are services
are known to profoundly affect vulnerable peri-urban population. Air and water
pollution associated with industries sited in peri-urban areas present a series of direct
and indirect impact on human health. The environmentally precipitated and
communicable diseases are long associated with 'slum' conditions and can certainly be
found amongst the more disadvantaged inhabitants of peri-urban spaces in India. A
low social status, material deprivation, poor education and limited access to health
care can compound an already unhealthy situation for the most marginalized.

The challenges faced rapidly peri-urbanizing society is not only by developing

growth and future megacities are located in developed countries. Sustainable peri-
urban development will require providing healthy and sustainable living environments
with all the necessary basic services for all. It is argued that a sound multifunctional
green structure of peri-urban areas is one of the basics requirements. As green spaces
can contribute to local livelihoods economics, provide essential environmental and
other social services, and which should not be considered as luxury goods. The
concept of urban and peri-urban forestry is one of the innovative approaches
developed for management of green structures.

Trends of Urbanization and Growth of the Cities

Urbanization is critical for development of a nation however; urbanization in

India has been changing the face of existing cities. Over the last decades, many
countries in Asia have experienced rapid economic growth, resulting in increase in
urban population however; urbanization in India has been haphazard and unplanned.
Urban centers are characterized by squatter settlements, traffic congestion, and
deficient of urban basic civic services. While the national governments pursue the
goals of economic development, it is generally left to the local governments to
manage rapidly growing urban centers and provide basic services to its residents.
India is one of the least urbanized countries in the world because between 1951 and
2001, the level of urbanization increased by 13 percentage points only. However, it
has the second largest urban population in the world and more than two third of it

25
 Chapter-1 Introduction

lives in the 393 cities that have population of over one lakh. The four mega cities
viz., Mumbai, Kolkata, Delhi and Chennai with a population of more than 6 million
each in 2001 accounted for almost one fourth of population living in cities. As per
2001 census, 285 million population i.e. 27.8 per cent of 1027 million total population
of India is residing in 4368 cities and towns in the country, where as in 1991, 25.7 per
cent population lived in urban areas. The decadal growth in urban population during
1991-2001 has been 31.2 per cent whereas at the beginning of the 20th century, only
10.8 per cent of total 218 million population of the country resided in cities and
towns. The number of million plus cities has increased to 35 in 2001 from 12 in 1981
and 23 in 1991. These 35 million plus cities account for 107.9 million urban
population of the country. As per 2011 census, urban population was reported to be
377.1 million constituting 31.6 per cent population of the country Urbanization is
imperative for over all development of country. About 30 percent of India’s
population resides in urban centers which account for about 340 million persons in
absolute term. The urban population of India is likely to increase by 590 million,
constituting about 40 percent of total population by the year 2030. India will have the
largest growing work force for the next 20 years, as 270 million Indians will join the
working age population by the year 2030. Job growth in cities will be for more robust,
growing at around 3.6 percent annually increasing from around 100 million today to
220 million in 2030. Cities will account for 70 percent of all new jobs created in India
during 2010 to 2030.

Trends of Urbanization in Uttar Pradesh

Uttar Pradesh occupies the central position in the northern India. It is the most
populous state in the country. The state witnessed a tremendous growth in its urban
population during the last three decades. During 1971-81 the decadal growth was
about 60.62 per cent, the highest in the country. In 1981-91 the growth had been
about 38.97 per cent, second after Orissa. As per 2001 census, every fifth person in
the state is residing in urban centers. The total urban population of the state has been
raised to 347 million showing an increase of about 33 per cent over the decade of
1991-2001. Uttar Pradesh is the most populous state in the country which accounts
for 16.4 per cent of the country's population. It is also the fourth largest state in
geographical area, covering 9 per cent of the country's geographical area. The pace of

26
 Chapter-1 Introduction

urbanization has been lower in the state. The level of urbanization has been reported
lower than most of the other states. In 2001, 20.78 per cent population of the state
was found living in urban areas. During 1991-2001, urban population grew by 2.84
per cent per annum. The urban population of the state in 2011 was reported to be 4.44
corer, constituting 20.78 percent of the total p[population of the state (Table 1.1).

Table: 1.1

Trends of Urbanization in Uttar Pradesh

Census No. of Total Urban Percentage of Decadal Annual

year UA's and Population Urban Growth Growth
Towns ( Corer ) Population
1901 349 0.52 11.20 - -
1911 350 0.47 10.26 -9.61 -1.01
1921 367 0.47 10.61 0.16 0.02
1931 375 0.53 11.28 13.24 1.24
1941 385 0.67 12.52 26.06 2.31
1951 410 0.82 13.65 21.86 2.31
1961 215 0.90 12.81 9.23 0.88
1971 256 1.16 13.90 29.72 2.60
1981 598 1.87 17.83 60.89 4.76
1991 631 2.60 19.68 38.52 3.26
2001 670 3.45 20.78 32.88 2.84
2011 915 4.44 22.28 28.70 2.87

Source: Census of India, 2001, Uttar Pradesh

As per 2001 census, there were 670 towns and cities in the state. Most of the
towns and cities are categorized as class IVth and Class IIIrd having population in
between 10,000 to 50,000. However, urban population is concentrated in large towns
and cities. During 2011, 267 census towns and 648 statutory towns were reported in
the state. During 2002, there were 3641 urban local bodies. Out of total urban local
bodies in India, 107 ULB, were Municipal Corporations, 1443 Municipal Councils,
and 2091 Nagar Panchayats. The highest number of local bodies were reported in
Tamil Nadu (719) followed by Uttar Pradesh, Madhya Pradesh and Maharastra. In the
state of Uttar Pradesh, there are 630 urban local bodies. Out of these there are 13
Municipal Corporations, 194 Nagar Palika Parishads and 423 Nagar Panchayats.
About 40 per cent population lives in Nagar Palika Parishads while about 37 per cent
population lives in Municipal Corporations.

27
 Chapter-1 Introduction

Map of Lucknow City along with Peri-Urban Areas

Lucknow is the capital of the state of Uttar Pradesh and a second largest city
after Kanpur in Uttar Pradesh. This metro city is the administrative headquarters of
Lucknow District and Lucknow Division. Lucknow has always been known as a
multicultural city, and flourished as a cultural and artistic capital of North India in the
18th and 19th centuries. Hindi is the city's official language. However, the most
prominent language spoken in Lucknow is the Hindi-Urdu language. Though it is an
ancient language, and is often referred to as Lucknawi Urdu. As the seat of the
government of Uttar Pradesh, Lucknow is the site of Vidhan Sabha, the High Court
and numerous government departments and agencies. It is also the location of many
social and cultural institutions of national significance, such as the Kathak, Khayal,
Nawabs and Classical music. With reference to health care Sanjay Gandhi Post
Graduate Institute at Rae Barely road has got attraction of the U.P. State. As for as
with relation to tourism several historical buildings constructed by Nawab’s are
situated in the city and attracting the tourist. The city's design was heavily influenced

28
 Chapter-1 Introduction

by the several emperors and incorporates significant areas of natural imperial that
have earned Lucknow the title of the "city of Nawab's". It is also known as the Golden
City of the East, Shiraz-i-Hind and The Constantinople of India. Be it the cultural
charm or the monumental one, all is well conserved here to make Lucknow. It was
surpassed in population, as well as economic strength. Today it continues as an
important centre of commerce, aerospace, finance pharmaceuticals, technology,
design, culture, tourism, music and poetry.

Lucknow, the capital of Uttar Pradesh is situated 23 Mts. above sea level. It is
situated on 26° 30’- 27° 10’ North latitude and 80° 30’- 81° 13’ East longitude.
Lucknow covers an area of 2528 km2. It is surrounded on the eastern side by District
Barabanki, on the western side by district Unnao, on the southern side by Raebareli
and on the northern side by Sitapur and Hardoi districts. City is located on the
northwestern shore of Gomti river, which flows through the city. Some of the
tributaries of this river are Kukrail, Loni, Beta etc. Sai river flows from the south of
the city and in the east enters district Raebareli. Lucknow is accessible from every
part of India through Air, Rail and Road.

The administrative divisions of Lucknow district are shown in Table 1.10.

Lucknow district has 4 tehsils viz., Lucknow Sadar, Malihabad, Bakshi Ka Talab and
Mohanlal Ganj. The district has been further divided into 8 development blocks viz.,
Kakori, Sarojini Nagar, Chinhat, Malihabad, Mall, Bakshi Ka Talab, Mohanlal Ganj
and Gosainganj. The total geographical area of Lucknow district has been reported to
be 2528.00 sq. km. and out of total geographical area 85.78 per cent area falls under
rural areas. The urban areas are scattered in 359.50sq km. However, the urban area is
increasing gradually as government has declared around 40 km. radius into urban
periphery. As per 2001 Census, total population of the district has been reported to be
4588455 persons. Out of total population, 66.2 per cent population lives in urban
areas while 33.80 per cent population was reported living in rural areas.

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 Chapter-1 Introduction

Table: 1.2

Administrative Divisions of Lucknow District

Name of Name of Block area Number of Number of Number of

Tehsil and Block in sq.km Villages Nayay Gram
area in Sq.Km. Panchayats Panchayats
I. Lucknow i. Kakori 191.72 83 10 50
(616.13)
ii. Sarojni 316.13 93 13 68
Nagar
iii. Chinhat 108.28 59 08 33
ll. Malihabad iv. Malihabad 220.36 100 11 58
(471.84)
v. Mal 251.48 87 11 55
III. Bakshi- vi. Bakshi-Ka- 350.42 183 17 99
Ka-Talab Talab
(350.42)
IV. vii. 361.51 113 14 75
Mohanlalganj Mohanlalganj
(644.07)
viii. Gosaiganj 282.56 117 13 73
Total Rural -- 2168.50 835 97 511
Total Urban -- 359.50 -- -- --
Total District -- 2525.00 -- -- --
Source: State Planning Institute 2001, Lucknow

Awadh, known as the granary of India, was important strategically for the
control of the fertile plain between the Ganges and the Yamuna rivers known as the
Doab. Situated in the heart of the great Gangetic plain, Lucknow city is surrounded by
its rural towns and villages like the orchard town of Malihabad, historic Kakori,
Mohanlal ganj, Gosainganj, Chinhat, Itaunja. On its eastern side lies Barabanki
District, on the western side is Unnao District, on the southern side Raebareli District,
and on the northern side the Sitapur and Hardoi districts. The Gomti River, the chief
geographical feature, meanders through the city, dividing it into the Trans-Gomti and
Cis-Gomti regions. Lucknow city is located in the seismic zone III. Lucknow has a
warm humid subtropical climate with cool, dry winters from December to February
and dry, hot summers from April to June. The rainy season is from mid-June to mid-
September, when Lucknow gets an average rainfall of 896.2 millimeters (35.28 in)
from the south-west monsoon winds, and occasionally frontal rainfall will occur in
January. In winter the maximum temperature is around 25 °C (77 °F) and the
minimum is in the 2 to 3 degrees Celsius range. Fog is quite common from late

30
 Chapter-1 Introduction

December to late January. Summers are extremely hot with temperatures rising to the
40 to 45 degree Celsius range.

In the peripheral area of the city there are a number of ‘Ruurban Centres’. The
immediate ring of peri –urban areas surrounding Lucknow city are Chinhat,
Ismileganj, Bakshi-ka Talab, Mohana, Nigona, Malihabad, Sarojani Nagar, Banthras,
utratia, Mohanlalganj and Gosainganj. The study conducts in four blocks of the
lucknow periphery. These blocks are:-

S. No Study Block

Ist block Mohanlalganj

IInd block Kakori

IIIrd block Chinhat

IVth block Bakshi-ka-Talab

These blocks surrounds Lucknow city and are approximately 20-27 kms away
from the city centre and represent the peri-urban areas of Lucknow. All these areas of
Lucknow periphery are administrated by a single suthority and thus become difficult
to properly plan and execute development initiatives. As these peri-urban areas are
centre of inter-mixing of rural and urban cultures and focal point of socio-cultural,
political, religious and environmental turmoil, it becomes centre of great interest and
research for the scholars and academicians.

31
 Chapter-1 Introduction

MAP OF INDIA

32
 Chapter-1 Introduction

Block-wise Map of Lucknow District

33
 Chapter-1 Introduction

Statement of Research Problem

The rural-urban fringe has different manifestations in the literature in terms of

the way it is conceptualized and delimited. The term fringe was introduced by Smith
(1937) to describe built-up area just outside the corporate limit of the city, though the
word, “urban” as synonymous to fringe was used by Gaplin as early as in 1915 for
“rural” land in process of conversion to “urban”. Smith’s definition was mainly
concerned with the demographic characteristics of the area; therefore, it presented a
general rather than a specific conceptualization of the fringe. Wherein, (1942) was the
first to use the term rural-urban fringe, applying it in his work on cities in the United
States, his example was followed in India by many others, including Nangia (1976),
Yadav (1987), Ramachandran (1989), Thakur (1991), Lin (1994), and Lucas and Van
Oort (1993). Many other terms are found in the literature, implying different
delimitations and levels of analysis. The following list illustrates the diversity in
terminology: rurban fringe (Schenk, 1997), urban fringe (Kabra, 1980; Hill, 1986;
Kumar, 1998), rural hinterland of the city (Kundu, 1991), the city’s countryside
(Bryant et al., 1982), peri-urban fringe (Swindell, 1988), rural fringe of the city
(Leeming and Soussan 1979), peri-urban areas (Dupont, 1997; McGee, 1991),
desakota regions (McGee, 1991), and metropolitan fringe (Browder et al., 1995; Rao
1991; Saini 1989). Research in languages other than English includes descriptions
such as the Dutch ruraal-urbane overgangszone tussen stad en platteland (Druijven,
1996) and the French Périurbanisation (Dupont, 1997), le périurbain (Banzo, 1998),
espace péri-urbains (Vennetier, 1989). The rural urban fringe is a zone or frontier of
discontinuity between city and country in which rural and urban land use are
intermixed. The fringe is defined in relation to the city and exists in the agricultural
hinterland where land use is changing. The rural urban fringe lies between the
continuous built-up area of a city and the urban shadow and ecologically it can be
viewed as an area of invasion in which population density is increasing rapidly and
land values are rising, (Siddhartha, 2003). The fringe consists of an inner fringe
(sometimes called the urban fringe) which is characterized by land in an advanced
stage of transition from rural to urban land use. In this area new construction is taking
place, which have been approved or planning permission granted by the authority.
The second area in the fringe is the outer fringe (sometimes called the rural fringe)
which is an area in which rural land use continues to dominate the landscape but there

34
 Chapter-1 Introduction

is infiltration by those urban land uses which take up too much land to be easily
located elsewhere, for example, airports, cremations, sewage works, etc. Urban
research during the past few decades has put an emphasis on the transformation of
urban peripheries because it is here that the most dynamic changes are happening. In
demographic terms, the analysis of large urban centers shows rapid growth rates
particularly in developing countries like India and China because of exponential
growth in human population. Urban growth has accelerated during the last two
decades, and small towns and rural peripheries are progressively incorporated into a
wider and more complex urban system (Aguilar, 2008). Urban centers do not spread
uniformly, however, because urban expansion is not a consistent process in all
directions beyond the built-up area. As an effect, a formation of a wide urban fringe
emerges with more and more diffused limits between the urban and rural areas. Urban
fringe on account of its dynamic nature has been the focus of interest for geographers
and town planners who have observed that understanding the nature of fringe is as
challenging as to make predictions about it. They have attempted to map, quantify and
predict the direction rate and spatial extent of probable urban expansion. From the
point of view of urban expansion, the spatial context of land use and land cover
changes in the urban fringe is important since it comprises a critical consideration for
decision-making in urban land use (Reenberg & Fog, 1995 in Liu & Zhou, 2005).

The occurrence of rural urban fringe is rather a recent phenomenon around

Indian cities, though its occurrence around western cities was observed long ago. It
has been asserted that the rural-urban fringe was non-existent even around the largest
metropolitan cities in India before 1950. The main reason for the absence of Rural-
Urban fringe was the very slow growth of cities in that period. Any small increase in
the population of a city was generally absorbed within the existing residential areas.
An important development in the urban settlement during the past few decades has
been the rapid expansion of population and built-up area into unincorporated suburb
and in areas surrounding large towns and cities. This recent finger like trend of
development at the margins has been made possible by the mechanized transportation
and the extension of public utility services such as electricity, water and sewage, etc.
beyond the city’s limit. The process of accretion which takes place outside the city
has generated a zone of transition between the rural and urban landscape, popularly
known as the rural-urban fringe. In other words, the centrifugal forces which impel

35
 Chapter-1 Introduction

functions to migrate from the central zone of a city towards its periphery create an
amorphous territory around the cities, often called the rural-urban fringe (Lal, 1987).

India’s rapid urban development has increased the size of its urban population.
During the last fifty years the population of India has grown two-and-a-half times, but
urban India has grown nearly five times. In 2001, 306.9 million Indians (30.5 per
cent) were living in nearly 3700 towns and cities spread across the country, compared
to 62.4 million (17.3 per cent) who lived in urban areas in 1951. This is an increase of
about 390 per cent in the last five decades. The urban population is expected to
increase to over 400 million and 533 million by 2011 and 2021, respectively. In 1991
there were 23 metropolitan cities in India; the number increased to 35 in 2001.
Among the megacities of the world (those with a population greater than 10 million),
Mumbai with 16.37 million, Delhi with 13.78 million, Kolkata with 13.22 million,
and Chennai with 6.42 million people figure prominently (Raghavswamy et al.,
1996). The high rate of urban population growth is a cause of concern among India’s
urban and town planners. The term urbanization once conveyed an image of a city’s
radial expansion into its rural surroundings. Urban areas of today are more aptly
described as sprawling regions that became interconnected in a dendrite fashion
(Carlson and Arthur 2000). Due to an exponential increase of population in countries
like India and China, urban centres are expanding towards its environs at a rapid rate
(Fazal, 2000) which is causing transformation of land parcels from agriculture and
nature to urban, (Simonds et al., 1989). Forests were cleared, grassland ploughed or
grazed, wetlands drained and settlements expanded (Fazal, 2000). The positive
aspects of urbanization have often been overshadowed by deterioration in the physical
environment and quality of life caused by the widening gaps between supply and
demand for essential services and infrastructure. Substandard land and housing and
exorbitant increases in land prices have left the urban poor with virtually no
alternative to informal housing, leading to the mushrooming of slums in the periphery.

The rural-urban fringe offers the greatest challenges to the urban planners.
Urban sprawl is a natural phenomenon accompanying rapid urban growth. The rapidly
growing urban population in the large cities and high rate of migration spills into the
rural areas surrounding the city boundaries. The settlement of the urban people into
the surrounding areas and location of economic activities like factories, amusement

36
 Chapter-1 Introduction

parks, commercial complex etc. gradually brings about a change in the land use
pattern in the rural areas. This gives rise to the problems of rural-urban fringe, which
is a transition zone between urban and rural settlement sharing the features of both.
The main problems associated with the rural-urban fringe area are described by
Hindustan Time newspaper. It says, "Unfortunately, the urban village suffers from a
lack of infrastructure within these areas. The acuteness of the situation is magnified
by the high population density which leads to horrible living conditions during period
of seasonal stress such as during high summer or heavy rains” (Hindustan Time, 24
May, 2003, Hindustan Times. com).The emergence of rural-urban fringe brings about
significant change in the occupational pattern, cultural behavior, environment and
quality of life of the people in the rural areas adjoining the cities. While creation new
job opportunities for the local residents, this process also brings about significant
changes in the quality of life of the rural people both in negative and positive terms.
The phenomenon of rural-urban fringe which happens to be unplanned and haphazard
leads to the problems of rise in land values, dispossession of farmers from land,
increasing congestion, deterioration in physical environment, pressure on
infrastructural facilities, cultural shock, social tension and proliferation of criminal
activities. The change in the land use from agricultural to non-agricultural activities
has large implications for food security at the family and the country level. The
problems of rural-urban fringe thus pose a major challenge to urban policy planners.
The environmental degradation, natural resources, conflicts, health concerns, socio-
economic, cultural and psychological factors and social injustice are particularly acute
in the peri-urban situation and immediately needs attention of the academics, planners
and administrators.

Scope and Importance of the Study

One of the major challenges of rural urban fringe is the haphazard location of
major urban land uses. Most unpleasant land uses in the city are shifted to or located
in the fringe zone. In the recent times the fringe zone has been used for the relocation
of slums, which are uprooted from the city. This phenomenon underlines an attitude
which is basically unfair, and which has to change. While the fringe may have to be
developed for the physical expansion of city, this expansion ought to be well planned.
There is no reason why fringe areas cannot be developed keeping in view the quality

37
 Chapter-1 Introduction

of environment. The present rich poor relationship between city and fringe areas
ought to be reversed by appropriate policy and planning methods. This would require
land use planning and land zoning regulations as well as investment in urban
infrastructure and amenities, (Siddhartha, 2002). The problems of rural urban fringe
cannot be resolved within the existing administrative framework. There is a need to
evolve new patterns of administration of the fringe zone. Unfortunately, even the
constitution of supra-urban authorities such as Delhi Developmental Authority (DDA)
has not solved the problem of the fringe people. In fact, there is feeling that such
authorities are established for solving the problems of the city and not the fringe. The
fringe under these bodies is treated as the city’s dumping ground. The administrative
problems of the fringe zone can be solved by setting up separate bodies or authorities
for dealing with the zone, while conflicts between the city planning bodies and the
fringe administration are bound to arise. The interests of the fringe zone are not likely
to be served by the city based planning bodies. A fresh look at the administrative
framework for the city and city region planning in the Indian context is necessary
(Ramachandaran, 1989).

The structure of urban spaces and the metropolitan dynamics of great cities are
undergoing significant changes due to transformations in the global economy. Most of
these changes are modifying current trends in urbanization (Davis & Henderson,
2003) while at the same time altering the ecosystems on the cities periphery.
Together, these factors entail a transfer of environmental costs for different regional
production systems that interconnect with the urbanization process, such as
agriculture, grazing, and forestry. In response to population growth and urban
development, natural resources management and preservation of farmland have
become prominent research and policy issues in agricultural areas near large cities
(Sharp & Smith, 2003). Evaluation of the regional dynamics of peri-urban spaces or
of the spatial configuration of changes in land use must take into account the State’s
role in defining urban environmental policies that promote sustainable development of
local peri-urban communities (Thinh et al., 2002).

The negative impacts associated with rapid urbanization, particularly the

environmental consequences within the city and peri-urban areas, are some of the
most crucial issues in urban environmental research (Bernstein et al., 1994; World

38
 Chapter-1 Introduction

Bank 1997). Whether the studies are focusing on mega-cities or medium and small
sized urban places (Van den Berg et al., 2003; UNDP, 2000; Jenkins, 2003) there is
consensus of opinion in the literature on urbanization processes and the associated
consequences. For example, it has been noted that though, there are few mega cities
(cities with 10 million inhabitants or more) in Africa, urbanization process, unlike in
Asia and Europe is taking place in the absence of significant industrial expansion
(Kwasi, 2004). Furthermore, the process finds expression majorly in outward
expansion of the built up area and conversion of prime agricultural lands into
residential and industrial uses (Brennan, 1999; Kwasi, 2004) Documented impact of
city expansion on the hinterland range from encroachment on agricultural land
(Jaiyebo 2003; Adriana 2003; USDA, 2001, ) and land speculation (Adriana, 2003)
with its diverse implications on farming practices and food security (Van den Berg et
al., 2003), to pollution of the peri-urban areas where urban wastes are deposited
(Hardoy et al., 2001; UNCHS, 1996; Redman 1999; Bruce et al., 2002), again, with
the implications on environmental quality and by extension population morbidity
(Kates and Parris, 2003; Michael, 2000) Undoubtedly, the urban hinterland receive
the direct impact of urban expansion with enormous stress on the natural resources as
ecological footprints (Rees and Wackernagel, 1994; Rees, 1996; Chambers et al.,
2001). Further, as observed by (Kwasi, 2004) the conversion of farmlands and
watersheds for residential purposes have negative consequences on food security,
water supply as well as the health of the people, both in the cities and in the peri-
urban areas.

The emergence of the fringe zone with its complex problems of adjustment
between rural and urban ways of life has assumed great topical importance and has
drawn attention of planners and social scientists. Yet the study of the urban fringe has
been a neglected area of human research. Even in the developed countries a few
studies have been undertaken in this regard through this developmental phase of urban
morphology was experienced there in the very beginning of the present century.
Fringe studies have not received much attention among Indians either from
geographers or from scholars in any of the other disciplines. Hence, it is obvious that
there are considerable gaps in geographical research in this area of urban studies. The
rural-urban fringe in general is frequently ignored as a specific area within the study
of urbanization. It is symptomatic that urban studies and rural and regional studies

39
 Chapter-1 Introduction

prevail over “fringe studies” (Stren 1994; Ansari and Einsiedel 1998). The
traditionally dominant agricultural activities are under increasing pressure, although
new chances are emerging for market-oriented agriculture. There are great differences
in access to resources and opportunities among villagers, leading to interesting new
patterns of livelihood. For non-agricultural occupations, the villager’s options are
enhanced by their proximity to the expanding city. Land use and occupational trends
are highly interrelated. For example, Brookfield et al. (1991) found that in Kuala
Lumpurs fringe, as “educated children leave home to seek wage employment, leaving
an increasingly elderly population in the kampung, the land acquires an aspect of
neglect”. Other sources emphasize the stimulating effects on agriculture (e.g. Mulay
and Ray, 1973). The dynamic agricultural scenario in the rural-urban fringe prompts
“the development of new agricultural areas, which are cultivated by immigrating
farmers” (Hill, 1986).

Present study is confined to Lucknow city. Lucknow is the state capital of

Uttar Pradesh. Lucknow city is rapidly growing due to increase in urban population
and migration of people from rural areas. The city has composite culture however; it
is heavily influenced by culture of Awadh. The city has a large number of heritage
sites which are culturally and historically important.

Limitations of the Study

In a closer observation, it appears that most of the studies conducted earlier

were sectoral in nature. Studies were done while taking into account the interest of the
subject experts. Most of the studies conducted by the scholars lacked holistic
approach. Some methodological problems were also observed. The field studies were
conducted by untrained persons who lack professional approach. Synthesis of the
review of literature reveals that the research in the Peri-urban area was mainly
focused on the conversion of fertile land use and associated problems concerned with
agriculture. However, these sectoral studies do not provide a comprehensive picture
of the Peri-urban area so as to help the planers to formulate a plan for the sustainable
development of these areas. The review of literature simply demonstrates that there is
paucity of empirical data, research and literature on the subject in Indian perspective
and particularly in sociological context in Uttar Pradesh. Thus, the present study

40
 Chapter-1 Introduction

attempts to examine the rural urban interface and formation of peri-urban areas in
Lucknow metropolitan city in sociological perspective.

Objectives of the Study

The main objectives of the study are:

 To identifying and map the peri-urban area of Lucknow city.

 To probe into the relationship between urban sprawl and the socio- economic
transformation of dwellers of the city.

 The environmental implications of urbanization and migration into the peri-

urban area.

 To study the process of peri-urban development.

 To study the problems associated with peri-urban areas such as creation of

poverty and slums.

 To study the socio-economic interaction pattern between the communities in

city and fringe areas.

 The study will try to focus on the specific socio-cultural characteristics of the
inhabitants of peri-urban area as well as their psychological bent of mind.

 The study will chalk out the opportunities and challenges prevailing in peri-
urban area vis-à-vis the migrants.

 The impact of various government policies concerned with the planning and
development of peri-urban areas will be evaluated in the research work.

Research Methodology

Research is common parlance refers to a search for knowledge. Research is an

academic activity. According to Clifford Woody research comprises defining and
redefining problems, formulating hypotheses or suggested solutions; collecting,
organizing and evaluating data; making deductions and reaching conclusions; and

41
 Chapter-1 Introduction

lastly carefully testing the conclusions to determine whether they fit the formulating
hypotheses. Research is thus, an original contribution to the existing stock of
knowledge making for its advancement (Kothari, 2004:24). In order to get the
reliable, validate and objective data, a scientific research is desirable. There are
mainly three types of research designs viz., descriptive, explorative and explanatory.
The present study is mainly descriptive in nature however; it is based on quantitative
techniques of research. The research implies quantitative measures and use of
statistical analysis. The formulation of research problem is based on critical
appreciation of pertinent literature, in-depth discussion with experienced persons and
a pilot survey. Research process mainly involves data collection, data processing and
data analysis. However, proper identification and formulation of research problem,
hypotheses, and selection of research design, adopting sampling procedure,
developing research tools, collecting data, data processing and data analysis are some
of the important research processes. Present study attempts to examine the issue of
rural urban interface and formation of peri- urban areas in Lucknow city.

Research design essentially refers to the plan or strategy of shaping the

research. The present study is empirical in nature and based on quantitative technique.
In order to analyze the view perception of employees on the basis of statistical tools
and techniques, explorative and descriptive research design has also been considered.
There are basically two models of research processes. These models are known as
sequential model and cyclical model. In the sequential model research passes through
specific stages in pursuit of answers to stated research questions. In this model,
research process is considered to take a relatively fixed, linear path, with a clear start
and end (Henn, et. al., 2006:117).The cyclical model begin with a problem and
finishes in tentative generalization. The present study is empirical in nature and based
on primary data collected through field survey. Besides, collection and analysis of
primary data, secondary data and pertinent literature have been compiled from
published, documented and Internet sources. The secondary sources of information
mainly include publications of Ministry of Urban Development, Ministry of Housing
and Urban Poverty Alleviation, Planning Commission, Government of India, etc.
Previous studies, surveys and reports have been critically reviewed to get the insights
on the topic of research.

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 Chapter-1 Introduction

The sampling is based on the assumption that each and every element of the
universe cannot be surveyed due to the limitations of the research and therefore,
information collected from a sample of the universe may provide the desirable results
that can be replicated for the whole population, provided that the sampling is
scientific one. A sample is a portion of people drawn from a larger population. It will
be representative of the population only if it has same basic characteristics of the
population from which it is drawn. A large population cannot be studied in its entirety
for reasons of size, time, cost or inaccessibility. The main principle behind sampling
is that we seek knowledge about the total units by observing a few units and extend
our inference about the sample to the entire population. There are basically two
sampling techniques first is known as probability sampling and the second one is
called non-probability sampling. The scientific techniques of research always
emphasize on selecting probability sampling in order to get reliable and validate data
and information.

In the present study, Lucknow city has been selected. The immediate ring of
peri urban areas surrounding Lucknow city are Chinhat, Bakshi Ka Talab, Mohana,
Nigonha, Malihabad, Sarojni Nagar, Banthara, Ismailganj, Utratia, Mohanlal Ganj,
and Gosainganj. The study has been conducted in 8 villages locating in the four
development blocks of Chinhat, Malihabad, Bakshi Ka Talab, and Mohanlal Ganj.
Overall 500 households were randomly selected for the field survey (Table 1.3). In
the probability sampling procedure, simple random sampling procedure, stratified
random sampling procedure, systematic sampling, cluster sampling and multi-stage
sampling are included. For the purpose of the study, simple random sampling
procedure was adopted. In order to draw sample from the universe, lottery method
was used for selecting households.

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 Chapter-1 Introduction

Table: 1.3
Sample Villages and Number of Respondents selected for research

Blocks Name of the Villages Number of %age of Respondents

Respondents

Purshaini 62 12.40
Mohanlalganj
Harikanshgari 63 12.60

Sikrauri 62 12.40
Kakori
Bajnagar 63 12.60

Uttardhauna 62 12.40
Chinhat
Tiwariganj 63 12.60

Haridhaurpur 62 12.40
Bakshi Talab
Kathwara 63 12.60

Total 500 100.00

Source: Field Survey

Both primary and secondary data have been collected from published and
documented sources. The primary source mainly includes survey of villages and
households. The secondary data and pertinent literature have been compiled from
published, documented and internet sources. For the purpose of the study, different
academic libraries were visited. For purpose of field survey, interview schedule was
developed. The interview is verbal questioning. However, a research tool is adopted
for proper verbal questioning and recording the responses. The interview method is
best method for collection of data since it may create a favorable environment for
interaction with the respondents and according the responses. The interview method
may be structured and non-structured. The structured interview method requires a
structured interview schedules and face to face questioning with the respondents. The
questioning and recording of responses is the main responsibility of the interviewer or
researcher. For the purpose of the study, a structured interview schedule was
developed (A copy of the interview schedule is annexed). The interview schedule
contained the relevant questions, research points and scales of view perception related
to socio- cultural, educational, economic, political background, and issues of
environment, development policy, development programmes, schemes, poverty

44
 Chapter-1 Introduction

alleviation, etc. The Likart scale was developed to measure the perception of
employees regarding participation in management.

After collecting the data, the researcher has to perform six concerned activities
such as (i) checking the interview schedules, (ii) editing and correcting the
discrepancies, (iii) summarizing data in tabular form, (iv) analyzing facts and drawing
conclusions and inferences, (v) interpreting the results and conclusions, and (vi) draft
a report. For the present study, data has been classified both in terms of inclusive and
exclusive. The data tabulation has been ensured through application of statistical tools
and techniques, using SPSS (Statistical Package for Social Sciences). The first step in
tabulating statistical data is to work out a detailed system of classification.
Classification is a fundamental to any kind of scientific analysis. After classification
of data on the basis of set criteria, frequency distribution is the main task of
researcher. The construction of frequency distribution has to be determined on the
basis of number of class intervals to be used. For the present study, both ungrouped
and grouped forms of distributions of frequency have been considered. The tables
have been made on the basis of univariate, bivariate and multi-variate characteristics
of the population. In some of the cases, cross tables (a comparison of two or more
variables) have been used in the present study, however, in some cases; single tables
have been also used. Measures of central tendency (statistical averages) are significant
in statistical analysis of data. In the present study, percentage distribution,
mean/average and median have been considered. Median and mean analysis has also
been applied to a few selected tables. Significantly, the analysis of data has been of
two types viz., percentage of the frequency distribution and chi square test. Central
tendency such as mean, median has also been drawn out while analysis of the primary
data. The distribution of frequency of responses pertaining to awareness regarding
environmental pollution and the view points of the respondents regarding the value
system has also been considered for the drawing out inferences and results from the
analysis of data.

A variable is any quantity or characteristics which may possess different

numerical values or categories. Some variables can be differentiated according to the
number of units of some major which they possess. Other variables can be
differentiated only according to described characteristics (Young & Schmid,

45
 Chapter-1 Introduction

2004:280). Variables are classified in various groups as under- (i) dependent and
independent, (ii) experimental and measured, (iii) discrete and continuous, (iv)
quantative and qualitative and (v) categorical and numerical. In the present study,
educational, background, income, public sector and private sector, etc. variables have
been selected. Variables like age and marital status could not be considered in the
study since most of the respondents were belonging to the same age and mostly
unmarried.

The primary data has been analyzed, discussed and interpreted while critical
appreciation of pertinent literature has been also ensured in order to get the insight on
the subject of research. The analysis is based on selected variables. Inferences, results
and conclusions have been drawn out with the help of statistical tools and techniques
such as central tendency-mean, median and chi square analysis, percentage
distribution along with the frequency. The analysis of data and critical review of the
pertinent literature has been given in such a manner that depicts more clarity of ideas
and theoretical concepts.

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 Chapter-1 Introduction

Chapterization of the Thesis

The comprehensive research on peri-urban interface will be having seven

chapters in toto. The first chapter is "Introduction". This chapter begins with a
brief introduction of the peri-urban area, the salient features of the pertinent literature
reviews, its importance, objectives and problems of the Lucknow peri-urban area.

The second chapter is "Peri-Urban Lucknow: Social Structure and

Background of the Community". In this chapter, the research focuses on the
historical setting of the peri-urban Lucknow. The main highlighted area of discussion
is background of the communities, details of the head of the household and sample
undertaken, family structure and an sketch of the locality/ region where they are
residing such as educational facilities, hospitals, means of communication, road,
electricity, schools and colleges, potable water, housing, greenery, parks etc.

The third chapter is, "Peri-Urban Lucknow: Socio-economic Factors and

Political Aspect”. This chapter provides a brief account of socio-economic condition
of the peri-urban Lucknow. The relation between peoples on the basis of caste, creed,
religion and region is the prime area of interest. Dominant caste, if any and dominant
political trends has also been evaluated. Attention is given to decipher, if there is any
nexus between caste, politics and religion.

The fourth chapter is “Peri-Urban Lucknow: Cultural and Psychological

Aspect”. This chapter delves deep into the findings of the study pertaining to cultural
matrix such as norms, values, folkways, mores, festivals, customs, traditions, rites-de-
passages, generation gap etc. Psychological factors such as cause of migration in
terms of push and pull factors, creation of ‘reference group’ and imitation of behavior
of the dominant sections of the society is the prime area of interest of the chapter.

The fifth chapter is "Peri-Urban Lucknow: Environmental and Health

Aspect". This chapter focuses on existing environmental and health issues,
surrounding the periphery of the Lucknow. On the account of, this chapter will give
the environmental implication of urbanization to identify the health problems and
migration into the peri-urban area.

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 Chapter-1 Introduction

The sixth chapter is "Impact of Government Policies on Peri-Urban

Lucknow". This chapter covers various government policies and schemes run during
last decade and consequently the level of development in the peri-urban area.

Finally the seventh chapter is "Summary of findings". This chapter tries

to summarize the main findings of the research and provide policy level suggestion to
rectify the inherent weaknesses of the peri-urban Lucknow and also suggests some
remedial measure to improve existing socio-economic, ecological and environmental
situation.

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