January - March 2013 - National Institute of Rural Development

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January - March 2013 - National Institute of Rural Development

Journal ofRural DevelopmentVol. 32 January - March 2013 No. 1CONTENTS1. Small and Medium Enterprises In the Era of Globalisation 1– D. Nagayya and P. Tirumala Rao2. Wage Employment : Impact of MGNREGS in Bardhaman, West Bengal 19– Biju Paul Abraham, Bhaskar Chakrabarti,Raghabendra Chattopadhyay, Suman Nath3. Socio-Economic Impoverishment Risks in Displacement of Tribes 33Under Polavaram Irrigation Project– K.P. Kumaran4. Empowerment from the Above – Responses and Impacts of 47Social Security Schemes in UP– Shyam Singh5. Drinking Water and Sanitation in Uttar Pradesh : A Regional Analysis 61– Rashmi Tiwari and Sanatan Nayak6. Economic Impact of Water Management : A Case Study 75– Arijit Roy7. Extent of People’s Participation In Sant Gadge Baba Sanitation 87Mission In Maharashtra : A Field Study– P. B. Umale, U.R. Chinchmalatpure and Punam Kadu


BOOK REVIEWS1. Microfinance India, State of the Sector Report 2012 97Editor : Venugopalan Puhazhendhi– Dr. B.K. Swain2. Dynamics of Rural Poverty in Bihar : Determinants and Strategies 98by Dr. Rashmi Prasad– Dr. Y. Gangi Reddy3. Anthropology and Tourism 100by Anupama Srivastava and Keya Pandey– Dr. S.N. Rao4. State of India’s Livelihoods Report 2011 102Edited by Sankar Dutta– Dr. Ch. Radhika Rani5. Depression Among the Elderly 104by Sumita Saha and Ruby Sain– Dr. C. Dheeraja6. Micro Finance India – The Social Performance Report 2012 105by Girija Srinivasan– Shri R. Koteswara Rao


Journal of Rural Development, Vol. 32, No. (1) pp. 1 - 17NIRD, Hyderabad.SMALL AND MEDIUMENTERPRISES IN THE ERAOF GLOBALISATIOND. Nagayya* andP. Tirumala Rao**ABSTRACTMicro, Small and Medium Enterprise (MSME) sector has been undergoing ametamorphosis in the era of globalisation for over a decade and a half. Manydevelopments of relevance to SMEs (Small and Medium Enterprises) have taken placewithin the country and internationally. Globalisation resulting in fierce competitionin various product lines has forced the SME sector to adopt strategies in tune with theglobal trends. A number of programmes of cluster–specific and firm-specificapproaches are being pursued by all India organisations with a wide network ofinstitutions associated with various functions supporting the SME sector at differentlevels. The present paper discusses a few key approaches, such as the MSMED Act, 2006,Policy of de-reservation, Greater equity participation, Cluster Development Approach(CDA), and National Manufacturing Competitiveness Programme (NMCP) which helpthe SME sector to reorient itself to face the challenges posed by increased competitionas a result of globalisation. In an increasingly globalised competitive scenario, SMEshave to upgrade their capabilities by innovation, and adoption of advancedtechnologies and modern management practices.IntroductionMicro, Small and Medium Enterprise(MSME) sector, also known as Small andMedium Enterprise (SME) sector has aprominent role to play in ensuring that growthis inclusive and regionally balanced. In thecontext of liberalisation from 1991, the sectorhas been integrating itself with globalisationand global trends in a phased manner as partof the overall strategies adopted for industryand trade at the national level. It has beensteadily reorienting itself to face thechallenges posed by increased competition,domestically and internationally. SMEs withtheir dynamism, flexibility and innovative spiritwill have to adapt themselves to the fastchanging needs of the market – driveneconomy, where the Government acts as afacilitator and promoter, no longer as aregulator. The strategies evolved in recentyears, from 2000 in particular, are to help the* Consultant on Small and Medium Enterprises at Guntur; and former Director (Industrial Development),National Institute for Micro, Small and Medium Enterprises (ni-msme), Hyderabad – 500 045. E-mail :dr_dnagayya2003@yahoo.co.inPresent Address: 4-5-2/1, Navabharat Nagar 2/1, Ring Road, Guntur – 522 006 (Andhra Pradesh)** Faculty, Krishna University P.G. Centre, Dr. M.R. Appa Row Campus, Nuzvid –521 201, Krishna District (AndhraPradesh). E-mail: tirumalarao_pagadala@yahoo.com


2 D. Nagayya and P. Tirumala Raosector to become globally competitive, andgraduate from micro to small, small tomedium, and from medium to large. Advancedmanufacturing techniques and managementpractices can be sourced and adopted withgreater ease. As participants in the globalvalue chain, the SMEs can gain entry into largeravenues, expand their markets, find new nichemarkets for their products, and becomeprominent in the global arena with “Made inIndia” brand. Gainful participation in the globalvalue chain can be used as a strategic measurefor SME development. Despite competitionfrom large enterprises, SMEs certainly have thepotential to enter global value chains providedthey adapt to the market shifts globally.The MSME sector contributes 8.7 percent of the country’s Gross Domestic Product(GDP), 45 per cent of the manufacturedoutput, and 40 per cent of the country’smerchandise exports. MSMEs provideemployment to about 60 million personsthrough 26 million enterprises, as revealed bythe Fourth All India Census on MSMEs coveringregistered and unregistered segments for thereference year 2006-07. As per the quickresults of the Census released by DevelopmentCommissioner (MSME), registered MSMEsaccount for 1.56 million (6 per cent), andunregistered 24.55 million (94 per cent),totalling 26.11 million enterprises, as againstthe earlier projected figure of 13 millionenterprises for 2006-07 based on the ThirdCensus of Small Scale Industries (UnionMinistry of MSME, Annual Report 2011-12).For the first time, the present Surveyincludes service enterprises, apart frommanufacturing and medium enterprises. TheSurvey covers MSMEs, Khadi and VillageIndustries, and Coir Enterprises, as thesegroups fall administratively under the UnionMinistry of MSME. In these categories,registered enterprises have been covered onCensus basis, and unregistered enterprises onSample basis. Unregistered enterprises areJournal of Rural Development, Vol. 32, No. 1, January - March : 2013generally much smaller in size compared toregistered enterprises; these are also referredto as informal sector enterprises; and nearlythree-fourths of them are in the service sector.Out of 26.11 million total MSMEs in 2006-07,manufacturing accounts for 28.6 per cent, andthe remaining 71.4 per cent are serviceenterprises. In the registered enterprisescategory, the corresponding percentages are67.1 and 32.9; and in the unregisteredenterprises, manufacturing accounts for 26 percent, and services for 74 per cent.Manufacturing enterprises are 7.47 million[1.05 million registered (14 per cent), and 6.42million unregistered (86 per cent)], and serviceenterprises are 18.65 million [0.52 millionregistered (2.8 per cent), and 18.13 millionunregistered (97.2 per cent)]. Out of 1.05million registered manufacturing enterprises,94.2 per cent are micro, 5.6 per cent small,and 0.3 per cent medium enterprises. Among0.52 million registered service enterprises,96.9 per cent are micro, 3.1 per cent small,and 0.1 per cent medium enterprises. Inrespect of employment, unregistered unitsaccount for 50.3 million (84.4 per cent)compared to 9.3 million for registered units(15.6 per cent). Registered units, thus, accountfor nearly 6 per cent of enterprises, and 15.6per cent of employment in the MSME sector.Out of 1.56 million MSMEs registered, 94.9 percent are micro-enterprises (1.48 million),followed by 4.9 per cent small enterprises(76,000), and 0.2 per cent medium enterprises(3,230) as per the current definition. Thecorresponding percentage share ofemployment of the three segments out of thetotal registered enterprises employment is70.2, 25.2, and 4.6, respectively. Womenpromotedenterprises are 1.92 million – 0.22million registered, and 1.70 millionunregistered (13.8 per cent of registeredMSMEs, 7 per cent of unregistered MSMEs, and7.4 per cent of all MSMEs).In 2006-07, production of MSMEs isestimated at ` 7,094 billion at current prices,JRD 2 (1)


Small and Medium Enterprises In the Era of Globalisation 3fixed investment ` 5,008 billion, employment59.5 million, and exports ` 1,825 billion (US$40.36 billion) at current prices. In relation toall India export figure of US $126.4 billion for2006-07, MSME sector’s contribution is 32 percent, and has grown at 18.9 per cent over theprevious year, compared to 22.6 per cent foroverall exports. The estimates for 2010-11 are31.15 million total MSMEs, ` 7,735 billion fixedinvestment, ` 10,958 billion production atcurrent prices, and 73.22 million employment.Data relating to MSME exports is available onlyup to 2007-08. During 2007-08, MSME exportsaccounted for ` 2,020.2 billion at currentprices (US $50.25 billion), which works out to30.8 per cent of the country’s total exports ofUS $163.13 billion; and has grown at 24.5 percent over the previous year compared to 29per cent for overall exports. From 2006-07,data relating to the newly registered mediumenterprises are included in the revisedestimates. For earlier years, data cover onlymicro and small enterprises (Union Ministry ofMSME, Annual Report 2011-12).In the context of enhancingcompetitiveness of MSME sector, it is importantto recall a few landmarks / recentdevelopments which have resulted inincreased fierce competition globally, andeven in the domestic market.July 1991April 2001Announcement of liberalisationpolicy in industry andtrade sectorsVirtual dismantling of all thequantitative restrictions (QRs)by India permitting liberalimport of goods from othercountriesJanuary 2010 Prime Minister’s Task Force onMSMEs submits its report to thePrime Minister. Vigorous action steps are beingtaken thereafter on various areas forovercoming the problems faced by the MSMEsector. Apart from the general decline inindustrial production during the period ofglobal recession from September 2008 in thecountry, labour intensive export oriented smallenterprises have been adversely affected to agreater degree. These include industries suchas textiles, readymade garments, gems andjewellery, leather, handicrafts, handlooms, silkcarpets, marine products, toys, and sportsgoods. Export oriented industrial enterpriseshave been hit hard in a number of directionssuch as fierce global competition because ofrelatively low competitiveness of some of theIndian products, and rupee appreciation apartfrom recession in developed countries.MSMED Act, 2006The Micro, Small and Medium EnterprisesDevelopment (MSMED) Act has becomeoperational from October 2006. Being acomprehensive legislation for the promotion,development, and enhancement ofcompetitiveness of the MSME sector, a numberof measures were provided for in the Act forenhancing competitiveness of SMEs, and forenabling the enterprises to avail of thebenefits of global markets.Under the Act, the enterprises have beencategorised into those engaged in (a)Manufacturing, and (b) Providing / Renderingof Services. Both categories have been furtherdivided into micro, small and mediumenterprises, based on their investment in plantJournal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


4 D. Nagayya and P. Tirumala Raoand machinery (for manufacturing) or inequipment (in case of service enterprises) asshown in Table 1.Table 1 : Classification of MSMEs byInvestment Limit(in ` million)Category Manufacturing Serviceof Enterprise (in plant & (in equipment)machinery)Micro up to 2.5 up to 1.0Small 2.5 to 50 1 to 20Medium 50 to 100 20 to 50The Act provides for a statutoryconsultative mechanism at the national levelwith wide representation of all stakeholders,and an advisory committee to assist theNational Board and the central and stategovernments. The other features include: (a)Establishment of specific funds for thepromotion, development and enhancement ofcompetitiveness of these enterprises; (b)Notifications of schemes / programmes for thispurpose; (c) Progressive credit policies andpractices; (d) Preference for governmentprocurement of products and services of MSEs;(e) Problem of delayed payments to MSEs; and(f) Simplification of the process of closure ofbusiness by all the three categories ofenterprises.De-reservation of Products for Manufacturein the MSE Sector, and Facilitating GreaterEquity Participation Including FDIThe policy of reservation of products forexclusive manufacture in the micro and smallenterprise (MSE) (earlier SSI) sector was startedin 1967. The objective of reservation was toprotect the interest of the SSI sector. However,with the gradual opening up of the economy,and policy of de-reservation, there has beenprogressive de-reservation of a number ofitems reserved for exclusive manufacture bythe MSE sector. The objective of progressivede-reservation was to provide foropportunities for technological upgradation,promotion of exports, and economies of scale,in order to encourage modernisation, andenhance the competitiveness of MSEs in viewof the liberalisation and globalisation of theeconomy. After due consultation with thestakeholders, the Advisory Committee of theMinistry of MSME de-reserved a number ofitems from the reserved list. The recent onesare 125 items in March 2007, 79 in February2008, and 14 in October 2008. The totalnumber of items continuing in the reservedlist by March 2009 stood at 21. In September2009, the remaining 21 items were alsonotified as de-reserved, with the condition thatmedium and large units entering these itemswith or without foreign direct investment (FDI)should commit for exporting 50 per cent oftheir production within a maximum period ofthree years. They should obtain an industriallicence. If the FDI is more than 24 per cent,big players had to obtain prior approval ofForeign Investment Promotion Board. TheSeptember 2009 Press Release removed thisprocess of obtaining permission if the FDI inequity is above 24 per cent, and permitted FDIor participation by other businesses in MSMEswithout a ceiling. This enabled MSMEs to attractFDI or investment from other companies to agreater extent. Other developments whichenabled MSMEs to attract FDI or investmentfrom other companies to a greater equity arepassing of two acts, Limited LiabilityPartnership Act, and single person promotedcompanies under the Companies Act. Dereservationhas, thus, led to availing thebenefits of economies of scale by bigger unitsby using advanced technologies.Cluster Development ApproachFor over a decade, the cluster approachis being implemented as a potent tool forJournal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


Small and Medium Enterprises In the Era of Globalisation 5achieving the overall development of clustersor groups of SMEs, covering artisan and microenterprisesas well. Various ministries anddepartments of the Centre are adopting thecluster approach as a pivotal strategy forenhancing productivity and competitivenessas well as capacity building of SMEs in thecountry. The primary characteristic of thecluster–based approach consists in nurturingthe value-chain through a range of carefullycrafted demand–side and supply-side policyinterventions. Key benefits of a cluster–basedapproach to developing the SMEs are : (a)Networking among enterprises, (b)Strengthening of the human capital, (c)Technology and skill upgradation, (d) Loweredcosts, (e) Improved bargaining power, (f ) Globalvisibility, (g) Easier access to finance, (h)Greater government support, and (i) Externalplayers within the value chain.Under the scheme of clusterdevelopment, the benefit of a whole varietyof interventions, ranging from exposure to skilldevelopment, from credit to marketing, andfrom technological improvements to betterdesigns and products is given toconcentrations of enterprises in a contiguousbelt. With the government funding andparticipation of cluster actors, developmentalinterventions are carried out for a period of 3-5 years to enhance the competitiveness andcollective efficiency of the clusters, and tointegrate them with the global economy, andglobal supply chain in addition to addressingthe need for enhancing domestic marketing.The Micro and Small Enterprises ClusterDevelopment Programme (MSE-CDP) wasreviewed in 2006-07 to accelerate holisticdevelopment of clusters, including provisionof common facility centres, developed sitesfor new enterprises, upgradation of theexisting industrial infrastructure, and provisionof exhibition grounds / halls, and also for thecreation and management of infrastructure–related assets in public–private partnershipmode. The ceiling on project outlay forinfrastructure development has been raisedto ` 10 crore per cluster. From October 2007,the scope of the scheme has been enlargedto include provisions for development /upgradation of physical infrastructure also.Modifications made to the scheme are : (a)The scheme of ‘Integrated InfrastructureDevelopment Centres’ has been subsumedunder the cluster development programme,with all its existing features and fundingpattern. Assistance under the scheme will alsobe available for the following purposes : (b)for setting up new clusters / industrial estates,and for improving infrastructure in the existingindustrial estates; (c) for clusters developedexclusively for MSEs operated, and / or ownedby women; and (d) to associations of womenentrepreneurs for establishing exhibitioncentres at central places for display and saleof products of women-owned MSEs. Theguidelines of the MSE-CDP were revised inFebruary 2010 with enhanced funding andsimplification of procedures. In the recentyears, the cluster approach has been made anintegral part of most of the schemes beingimplemented by the Ministry of MSME,covering all components of the NationalManufacturing Competitiveness Programme(NMCP). Other Union ministries such as Textiles,Food Processing Industries, etc. have alsoimplemented the cluster approach in respectof the product lines covered by them.Provisions under different phases of MSE-CDPof the Ministry of MSME are briefly recalledhere.Under MSE-CDP, financial assistance isprovided as grant-in-aid by the Governmentof India (GoI), Ministry of MSME, andadministered by the Office of DevelopmentCommissioner (MSME), and its field offices forfive identified phases of the clusterdevelopment programme.Journal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


6 D. Nagayya and P. Tirumala Rao1. For preparing a Diagnostic Study Report(DSR) for a cluster of MSEs, GoI grant percluster is a maximum of ` 2.5 lakh;2. For soft interventions like awarenessgeneration, capacity building, exposurevisits, technology upgradation, marketdevelopment, brand equity, trustbuilding, business development, etc.,GoI grant is 75 per cent of thesanctioned amount of the maximumproject cost of ` 25 lakh per cluster [90per cent for North Eastern & Hill States,and clusters with more than 50 per cent(a) micro/village, (b) women owned, and(c) SC/ST enterprises];3. For the preparation of a Detailed ProjectReport (DPR), GoI grant is up to ` 5 lakhper cluster;4. For hard interventions such as settingup of a Common Facility Centre (CFC),GoI grant is 70 per cent of the cost ofthe project, i.e., a maximum of `15crore [90 per cent for NE & Hill states,and clusters with more than 50 per cent(a) micro/village, (b) women owned, &(c) SC/ST enterprises]. Hardinterventions include creation oftangible assets like testing facility, designcentre, production centre, effluenttreatment plant, training centre, R&Dcentre, raw material bank / sales depot,product display centre, informationcentre, and any other need based facility;and5. For infrastructure development in acluster, GoI grant is 60 per cent of thecost of the project, i.e., a maximum of` 10 crore, excluding the cost of land[80 per cent for NE & Hill States, andindustrial estates / areas with more than50 per cent (a) micro, (b) women owned,& (c) SC/ST enterprises]. For existingclusters, upgradation proposals will bebased on the actual requirement. Thestate / UT governments will providesuitable land for the projects. In theestimated cost to set up an infrastructuredevelopment project (excluding cost ofland), GoI provides grant-in-aid. Theremaining amount may be obtained asloan from SIDBI/ banks / financialinstitutions or equity from state / UTgovernment. The state / UT governmentwill meet the cost in excess of `10 croreor any escalation in cost. Office of theDevelopment Commissioner (MSME)with the approval of the SteeringCommittee, may appoint CompetentProgramme Management ServiceProviders (PMSPs) for facilitatingformation of various proposals and theirimplementation.In the present scenario of knowledgebasedeconomy, formation of consortia, selfhelpgroups, dynamic associations may yieldbenefits for pursuing issue-based strategicinterventions in industrial clusters. A criticalmass of MSEs can join hands under theumbrella of a formal entity called cluster ledby a group of beneficiaries (Special PurposeVehicle – SPV). Confidence building and trustbuilding are the two main pillars of buildingup cluster development initiatives. Guidelinesunder MSE-CDP have been published in LaghuUdyog Samachar (LUS), November 2010, pp.3-22.Dimensions of ManufacturingCompetitivenessThe MSE-CDP was the major initiativegeared to enhancement of collectiveefficiency of firms and for promotingcollaborative efforts among firms located inthe vicinity. The rationale is that the thinningof promotional initiatives among a largenumber of individual firms would imply asignificant erosion of the intended benefits. Adecade of experimentation in the collectiveJournal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


Small and Medium Enterprises In the Era of Globalisation 7efficiency models indicates this. While thesemodels have contributed to enhancement ofoverall productivity of firms under clusters,manufacturing capabilities of the country havesuffered. It was in this context that the NationalManufacturing Competitiveness Programme(NMCP) was launched in 2005. The NMCPmainly deals with firm level competitiveness.The broad elements of manufacturingcompetitiveness policy are: (a) Technology andinnovation enhancement, (b) Protection ofintellectual property rights (IPRs), and (c)Entrepreneurship policy.The National ManufacturingCompetitiveness Council (NMCC) was set upin 2004, as an inter-disciplinary andautonomous body to energise and sustain thegrowth of the manufacturing industry. Broadly,the objectives of the Council are: identificationof manufacturing sectors having globallycompetitive potential, as also their problemsand constraints with respect to structure andsize, technology gaps, modernisation needs,etc., and evolving sector-specific strategies forenhancing the competitiveness ofmanufacturing sectors. Its functions would,inter alia include: sectoral and enterprise levelinitiatives, innovation and technologydevelopment (R&D), entrepreneurshippromotion, infrastructure and enablingfacilities, trade and fiscal policies, andemployment generation. The NMCC hashelped a number of enterprises in sunrisesectors such as food processing, textiles andgarments, pharmaceuticals, leather, andinformation technology (IT) in increasing theircapabilities for global competitiveness,minimising technological gaps, providinginfrastructure and enabling facilities, andsupporting with trade and fiscal policies.Globalisation of businesses hasincreasingly drawn SMEs into global valuechains through different types of activities. Thenetworking of globalisation has beendeveloped in recent years through joint effortsin selling, buying, technological development,quality standards, learning networks, andmarket research. Many SMEs are trained toestablish collaborative linkages with globalsuppliers in which the role of the governmentis important in promoting the network. TheMSMEs Development Act, 2006 has beendesigned to solve the constraints and problemsfaced by SMEs, and enable the enterprises toavail of greater market opportunities arisingfrom globalisation in the World TradeOrganisation (WTO) - administered foreigntrade.The NMCP that started in 2005 covers10 components of the SME sector. Thecoverage and main aspects of thesecomponents are explained here. Guidelines forimplementing each of the components ofNMCP are periodically published in LaghuUdyog Samachar (LUS) by DevelopmentCommissioner (MSME). The relevant issues ofLUS in which guidelines for each of theschemes have been published are indicatedat appropriate places in subsequentparagraphs. Some of them have also beenreleased as booklets. Websitewww.dcmsme.gov.in/schemes ofDevelopment Commissioner (MSME) furnishesprovisions of various schemes of the Ministryof MSME.Marketing Support and Assistance toMSMEs through Bar Coding (Bar Coding) : Barcode is a series of parallel vertical lines (barsand spaces), that can be read by Bar Codescanners. It is used worldwide on the productpackages, as price tags, carton labels, and evenon credit card bills. When it is read by scanners,the restored information on product profileand its other attributes is made available tothe consumer, and this facilitates bettermarketing of products. The Bar Coding is aunique, universal, and international conceptwhich can be recognised anywhere in theworld. Bar Coding is essential in many ways,inter alia, to eliminate delays and inaccuraciesJournal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


8 D. Nagayya and P. Tirumala Raoinherent in manual checking / identificationof each category of goods indicating price andother essential details, maintainingsimultaneous inventory entries, managementand control, ordering timely replacements,rapid issuing of printed memos, and receiptsafter accounting, etc. Bar Coding has becomea pre-requisite for all suppliers and buyers intoday’s digitalised market, and Indian MSEs willhave opportunities to grow by adopting it. BarCoding enables higher price realisation at theexporter’s end, instead of at the buyer’s end;and helps promote Indian value addedproducts globally. Using internationaldigitalised numbering standards represents asmall but significant step in accessing globaland ever growing domestic markets (LUS,February 2010, pp. 12-13).Bar Coding is an important marketingtool having wide global acceptability. In orderto encourage units in the sector to adopt barcoding, a provision for reimbursement of 75per cent of one-time registration fee fromJanuary 2002, and annual fees for the firstthree years from June 2007 paid to GlobalStandard One (GS1) India (formerly EAN India)(an autonomous body under the Ministry ofCommerce and Industry) by MSEs for adoptionof Bar Coding has been made under SSI–MDA(Market Development Assistance) Scheme.Besides, there is a provision for organising aone-day sensitisation awareness programmes,and preparation of publicity material for MSEsand other stakeholders concerned.Support for Entrepreneurial andManagerial Development of MSMEs throughIncubators (Business Incubator) : The conceptof business incubation is relatively new forMSMEs. The Incubator scheme makes availablea new window for supporting and nurturingbusiness based on new ideas. The idea is topromote development of knowledge-basedtechnological innovative ventures, and toimprove the competitiveness and survivalstrategies of MSMEs. Incubation of ideas underthe guidance of an incubator will facilitatesustainable development. Under the scheme,knowledge institutions like engineeringcolleges, research laboratories, and universityscience and technology departments areprovided financial assistance up to ` 6.25 lakhfor incubating each of the new ideas. Theincubator institution provides technologyguidance, workshop and laboratory support,and linkages with other agencies for thesuccessful launching of the business, andguides the entrepreneurs in running thebusiness for about three years. During the 11thPlan period up to March 2012, provision of` 135 crore has been made by GoI forincubating 2000 ideas (LUS, January 2011, pp.23-27).Under the scheme, 100 ‘BusinessIncubators (BIs)’ are to be set up undertechnology (host) institutions over a 4-yearperiod at 25 per year; and each BI is expectedto help the incubation of about 10 new ideasor units. For this service, which includes theprovision of laboratory / workshop facilitiesand other assistance / guidance to younginnovators, each BI will be given between ` 4-8 lakh per idea / enterprise nurtured by them,limited to a total of ` 62.5 lakh for 10 units. Inaddition, ` 4 lakh will be provided for theupgradation of infrastructure, orientation /training, and administrative expenses,resulting in a total of ` 66.5 lakh for promoting10 enterprises.Setting up of Mini Tool Room and TrainingCentres (Mini Tool Room) : Mini Tool Room andTraining Centres will be promoted on Public-Private Partnership (PPP) Model for providingtechnological support to MSMEs by creatingcapacities in the private sector, for designingand manufacturing quality tools, and forproviding training facilities in related areas.Total project cost for the scheme for the 11thPlan period is ` 210 crore including GoI’scontribution of ` 135 crore. Implementationis planned in three ways: (a) Private PartnerJournal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


Small and Medium Enterprises In the Era of Globalisation 9(Centre PPP Model); (b) SPV set up by the statesin partnership with private partners (State PPPModel); and (c) State or state agency other thanNGOs (Centre-State Model). The objectives ofMini Tool Rooms are as follows (LUS, December2010, pp. 9-16).* to improve the competitiveness of theMSMEs engaged in manufacturingactivity by creating capacities in theprivate sector for designing andmanufacturing quality tools;* to bridge the gap between demand andsupply of trained manpower in theindustry; &* to encourage Research andDevelopment, and optimisation of costand quality of delivery, leading toenhanced competitiveness of themanufacturing sector.In Model I (Centre PPP Model), the projectis to be set up and operated by a privatepartner. Financial assistance will be given byGoI to meet the viability gap on a case-to-casebasis, and it will be restricted to 40 per cent ofthe project cost (not exceeding ` 9 crore). InModel II (State PPP Model), the project is tobe set up by the state government incooperation with NGOs (SPVs), who will runthe project on mutually agreed terms. Financialassistance will be equal to 90 per cent of thecost of machinery, restricted to ` 9 crore.However, in order to retain a say in themanagement, at least 26 per cent of the shareshould be with the state government. ThisModel can be considered if Model I is notfound to be feasible. In Model III (Centre-StateModel), project is to be set up and managedby the state government / state governmentagency. Financial assistance will be equal to90 per cent of the cost of machinery, restrictedto ` 9 crore. Financial assistance equal to 75per cent of the cost of machinery, restricted to` 7.5 crore can also be sanctioned forupgradation of an existing state tool room. ThisModel could be resorted to only where bothModel I and Model II are not found to bepracticable. First preference will be to adoptModel I. Others can be considered in thesequence stated above. Project sponsor’scontribution should be at least 15 per cent ofthe overall project cost.Building Awareness on IntellectualProperty Rights (IPRs) : The objective is tocreate and enhance awareness about IPRsamong units in the sector so as to enable themto take appropriate measures for protectingtheir ideas and business strategies, and alsoavoiding infringement of the intellectualproperty belonging to others. IP refers to legalrights that result from intellectual activity inthe industrial, scientific, literary, and artisticfields to preserve the innovations and R&Defforts of individuals and companies. It couldbe in the form of patents, trademarks,geographical indications, industrial designs,layout designs of integrated circuits, plantvariety protection, and copyright. Utilisation ofIPR tools will enhance the competitiveness ofMSMEs through technology upgradation. Theseinitiatives are proposed to be developedthrough PPP mode to encourageeconomically sustainable models for theoverall development of MSMEs. The schemeprovides for financial assistance for taking upthe following identified initiatives on a clusterbasis: (a) Awareness / sensitisationprogrammes on IPRs; (b) Pilot studies inselected clusters / groups of industries; (c)Interactive seminars / workshops; (d)Specialised training; (e) Assistance for grantof patent / GI registration; (f ) Setting up of IPFacilitation Centre; and (g) Interaction withinternational agencies (LUS, February 2011,pp.11-20).Application of Lean ManufacturingTechniques (LEAN) : The focus is on helpingMSMEs adopt Lean Manufacturing (LM)Journal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


10 D. Nagayya and P. Tirumala Raotechniques so as to enhance their productivity,efficiency and competitiveness by reducingor eliminating manufacturing waste, andstreamlining the system through applicationof various LM techniques, e.g., 5S System,Visual Control, Standard Operating Procedures(SOPs), Just in Time (JIT), KANBAN SystemCellular Layout, Value Stream Mapping, PokaYoke or Mistake Proofing, Total ProductiveMaintenance (TPM), etc. Workerempowerment is also emphasised. Initially thescheme will be implemented in 100 miniclusters (each of a group of 10 enterprises) forone year at a total cost of ` 30 crore. Thescheme is in operation from July 2009. Later itwill be extended to 300-500 clusters in a fewyears. Results will be in the form of improvedprocess flows, reduced engineering time,proper personnel management, better spaceutilisation, scientific inventory management,etc. These will improve the quality of productsand reduce costs. LM counsellors appointedfor a few clusters will identify and implementappropriate LM techniques. The effort will bringabout improvement in the quality of productsat lower costs, which will enhance thecompetitive ability of enterprises. NationalProductivity Council, New Delhi has beenappointed the National Monitoring andImplementation Unit for the pilot project. TheMSME-Development Institute at the state levelhas nominated the nodal officer forcoordination with NPC at the local / field level.Awareness programmes will be conducted inthe clusters. Consultant’s fee for each clusterup to 80 per cent will be borne by GoI, and 20per cent by the beneficiary enterprises (LUS,November 2009, pp.6-8).Quality Management Standards (QMS)and Quality Technology Tools (QTT) : This waslaunched during 2008-09, with a budgetprovision of ` 40 crore for four years. Thescheme aims at improving the quality ofproducts in the MSME sector, and inculcatingquality consciousness among units of thesector. The major activities envisaged underthe scheme are: (a) Introduction of appropriatemodules for technical institutions with a targetcoverage of 2000 technical institutions; (b)Organising awareness campaigns every yearfor MSMEs; (c) Organising competition-watch(c-watch) every year in the two sectors; (d)Implementation of QMS and QTT in 100selected MSEs every year; and (e) Monitoringat least two international study missions peryear. The focus is on sensitising andencouraging MSMEs to adopt the latest QMSand QTT techniques so as to strengthen theiroperations, and to keep a watch on the sectoraldevelopments in the country by undertakingdefined activities (LUS, October 2009, pp. 16-19).Energy Efficiency and Quality CertificationSupport (Energy) : The focus is on sensitisingenterprises and spreading an awareness aboutthe need and benefits of adopting energyefficient technologies and using differentquality certification measures for reducingemission of green house gases (GHGs), andimproving the quality of products at reducedcosts so as to improve the competitiveness ofthe enterprises in the global arena. Thefollowing initiatives are being pursued underthis scheme: (a) Conducting awarenessprogrammes on energy efficient technologies,availability of energy efficient equipments, andbenefits from energy efficient techniques andclean development mechanism (CDM); (b)Supporting energy audits in sample units inclusters; (c) Promoting replication of modelenergy efficient technologies (EET) afterpreparing detailed project reports in theclusters, and implementation of the clusterplan; (d) An innovative concept of clusterbasedcarbon credit aggregation centres(CCACs) has been planned under the schemeto initiate MSMEs to CDM benefits; and (e)MSMEs are encouraged to acquire productcertification / licences from national /international bodies, and adopt otherJournal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


Small and Medium Enterprises In the Era of Globalisation 11technologies mandated as per global standards(LUS, March 2011, pp. 16-25).The activity will be implementedthrough SIDBI which will function as theimplementing agency. Both technical andoverall project appraisal by SIDBI / other Bankwill be taken into consideration prior to thesanction of assistance in the form of grants bythe Ministry of MSME. About 390 units will besupported for implementing EETs in MSMEs inpotential clusters under this activity. While 25per cent of the project cost will be providedas subsidy by GoI, the balance amount is to befunded through loan from SIDBI / other banks/financial institutions. The minimumcontribution as required by the funding agencywill have to be made by the MSME. Besidesreducing energy cost, the activity will alsoenable the implementing enterprises inobtaining credits, which are tradable in theNational and International CommodityExchanges. Clusters for setting up the CarbonCredit Aggregation Centres (CCACs) forintroducing and popularising CleanDevelopment Mechanism (CDM) will beidentified on the basis of the CDMimplementation potential in the cluster orapplications received from the stakeholders.Marketing Assistance and TechnologyUpgradation (Modern Marketing Techniques) :Competitiveness in marketing is sought to beimproved through Marketing Assistance andTechnology Upgradation Scheme, by using thelatest techniques and technologies suitable forspecific product groups on a cluster basis. Thebroad activities under the scheme includetechnology upgradation in packaging,development of modern marketingtechniques, competition studies, state / districtexhibition, corporate governance practices,marketing hubs, etc. Under the schemeintroduced in 2010, ten product groups havebeen identified for studies on packaging.Further, 140 units have been identified forparticipation in industry fairs and exhibitions(LUS, February 2011, pp. 7-10).Promotion of Information andCommunication Technology Tools (ICT Tools) :The scheme envisages that SME clusters, whichhave quality production and export potential,shall be identified, encouraged and assistedin adopting ICT applications to achievecompetitiveness in the national andinternational markets. The activities plannedunder the scheme include: identifying targetclusters for ICT intervention, setting up of E-readiness infrastructure, developing webportals for clusters, skill development of MSMEstaff in ICT application, preparation of localsoftware solution for MSMEs, construction ofe-catalogue, e-commerce, etc. and networkingMSME cluster portal on the national levelportals in order to outreach MSMEs into globalmarkets. The scheme launched in 2010 willinitially be implemented in 100 clusters (LUS,February 2011, pp. 7-10).To Bring Design Expertise through DesignClinics (Design Clinic) : The scheme brings designexperts on a common platform to enableMSMEs to access expert advice and solutionsfor their real time design problems, resultingin continuous improvement and value additionto the existing products. It also aims atdeveloping value added cost-effectivesolutions. The scheme introduced in 2010comprises two major parts – design awareness,and design project funding. The designawareness stage comprises activities likeseminars, workshops, diagnostic studies ofclusters. In design project funding, projects ofstudents, consultants / designers, andconsulting organisations are assisted by GoIby providing 60 per cent of the project cost byway of grant. The scheme will initially beimplemented in 200 MSME clusters (LUS,February 2011, pp. 7-10).Journal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


12 D. Nagayya and P. Tirumala RaoConclusion and SuggestionsSMEs in the competitive environmentneed to plan for globalisation as part of theirstrategy to enhance competitiveness, and notas a reaction to venture into new markets.Based on the experiences of recent years inthe country and the recommendations ofvarious studies, including the Prime Minister’sTask Force on MSMEs, whose recommendationsare currently being implemented, a fewsuggestions are made for improving theenvironment for SMEs in the globalisationcontext. Institutional framework and policyspecifications are important factors in helpingthe evolution and success of SMEs.Promoting Entrepreneurship and SkillDevelopment : Private sector organisations andnon-governmental organisations (NGOs) needto be involved to a greater degree withappropriate trainers’ training programmes toequip them to shoulder the responsibility onPPP mode. The corporate sector may take thelead role in infusing enterprise education, skillupgradation, and management inductionprogrammes. Promoting synergy is necessaryto achieve integration in order to attain thedesired goals by involving public sector andprivate sector organisations. Encouragementshould be given for private corporate sectorto establish business incubation supportnetwork, as also institutional framework andpolicy framework for business-turn around, forthe benefit of SMEs.Upgradation of Clusters and Creation ofValue Chain : SMEs can achieve high level ofcompetitiveness if they work in a clusterenvironment ensuring complementarities,common activities, and institutional stability.Collective innovations should flow from theseefforts. Through strengthening of linkages andcreation of value chain, clusters can beupgraded. These can include linkages amongfirms, strengthening the local position withinthe value chains, building cluster-specific skillcentres to develop cluster-specific labourforce, strengthening the linkages with the localsuppliers, and facilitating greater level ofinteractions among the stakeholders ofclusters.Strengthening Sub-contractingRelationships within the Region / Other Parts ofthe Country / Other Countries : Sustainabilityand growth of SMEs would largely depend ontheir capacity to become part of the strategiesof larger firms in the national and global arena.This is particularly important for technologyoriented and export-oriented SMEs, whichserve as sub-contractors for large enterprisesin sectors such as IT, biotech, pharmaceuticals,light engineering, electronics, and automobilecomponents. SMEs should be equipped tomeet the global standards and deliverymechanisms.Focussed R&D Institutions for SMEs : Thereis need for focussed institutions encouragingR&D activities in the SME sector in acoordinated manner. They may identify thrustareas for research, new areas for technologyapplication, opportunities forcommercialisation of R&D, and hand-holdingof SMEs in their R&D intensification. This canlead to higher level of technology intensivefirms coming up in various product lines inthrust areas.Linking SME Strategy with RegionalTrading Arrangements : Linking the SMEdevelopment strategy with regional tradingarrangements would encourage learningsfrom regional and cross-continental peergroups. Multi-national corporations (MNCs)may be encouraged to assist SMEs to upgradethem to meet quality standards that may berequired by them. They should become SMEfriendlyby developing suitable tenderingpolicies.Increasing SMEs’ Access to Finance : Thescreening methodology of financingJournal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


Small and Medium Enterprises In the Era of Globalisation 13institutions needs to consider non-financialparameters and management competencies,while evaluating loan proposals of SME units.Export-Import Bank of India, Mumbai incollaboration with International Trade Centre,Geneva has implemented an uniqueenterprise management developmentservices programme, which is an IT-based tool,loan.com to enable SMEs to prepare businessplans with international market in focus. Thisis implemented as a pilot project for SMEs atpresent, and needs to be extended to moreregions. The working group on credit flow toSMEs under the chairmanship of K.C.Chakrabarty and the Prime Minister’s TaskForce on SMEs have suggested a number ofmeasures for sustained development of theSME sector. These included establishment of afew funds in the SME sector for specificpurposes. Action is to be initiated on a prioritybasis to implement these recommendations.Pro-active Role of Industry Associations /Cluster Associations : It is suggested that thekey associations at the state level / clusterassociations at the cluster level should takethe lead in implementing various programmesin the interest of their members. Proactivenessfrom their side will enable theinstitutions concerned to perform in anappropriate manner, review the performanceof a programme in various locationsperiodically, and bring out lessons for thefuture. Periodic monitoring and review ofimplementation of programmes is to bepursued regularly. Interaction across states isalso necesssary.References1. Export-Import Bank of India (2009), MSMEs and Globalisation: Analysis of InstitutionalSupport Systems in India and in Select Countries, Occasional Paper No. 132 of the EXIMBank, Mumbai available at www. eximbankindia.in.2. ______(2012),Strategic Development of MSMEs: Comparison of Policy Framework andInstitutional Support Systems in India and in Select Countries, Occasional Paper No. 153of the EXIM Bank, Mumbai, available at www.eximbankindia.in.3. Government of India (2010), Report of the Prime Minister’s Task Force on Micro, Smalland Medium Enterprises (MSMEs), Prime Minister’s Office, New Delhi (Chairman of theTask Force : T.K.A. Nair).4. Government of India, Ministry of MSME (2012), Annual Report 2011-12, New Delhi, availableat www.msme.gov.in.5. Institute of Small Enterprises and Development (ISED) (2012), India Micro, Small andMedium Enterprises Report 2012 (MSMER 2012), ISED, Kochi (Kerala), available atwww.isedonline.org.6. Laghu Udyog Samachar (LUS) (Monthly Journal), Published by Development Commissioner(MSME), New Delhi – Various Issues of 2009 - 2012, available at www.dcmsme.gov.in.Journal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


14 D. Nagayya and P. Tirumala RaoAPPENDIX ISelect Websites of National Organisations and othersof relevance to MSME Organisations and MSMEs1. Ministry of MSME, New Delhi – www.msme.gov.in2. Development Commissioner (MSME), New Delhi – www.dcmsme.gov.in; andwww.smallindustryindia.com3. State level MSME Development Institute, e.g., for Hyderabad– www.msmehyd.ap.nic.in4. National Small Industries Corporation (NSIC), New Delhi – www.nsic.co.in; web portal forMSMEs - www.nsicindia.com; and International portal of NSIC - www.nsicpartners.com5. Small Industries Development Bank of India (SIDBI) – www.sidbi.com; and Web portal oninformation on technologies - www.techsmall.com.6. National Bank for Agriculture and Rural Development (NABARD), Mumbai –www.nabard.org7. Export-Import Bank of India, Mumbai - www.eximbankindia.in8. Reserve Bank of India, Mumbai – www.rbi.org.in9. Industrial Development Bank of India, Mumbai – www.idbi.com10. Department of Commerce, Ministry of Commerce and Industry, New Delhi –www.commerce.nic.in; and Special Economic Zones (SEZ): all India - www.sezindia.nic.in11. Ministry of Textiles, New Delhi – www.texmin.gov.in12. Ministry of Food Processing Industries, New Delhi - www.mofpi.nic.in13. Commissioner of Industries, Andhra Pradesh, Hyderabad – www.apind.gov.in; and SEZs ofAndhra Pradesh – www.apsez.com14. Khadi and Village Industries Commission (KVIC), Mumbai – www.kvic.gov.in15. National Institute for Micro, Small and Medium Enterprises (ni-msme), Hyderabad –www.nimsme.org16. Entrepreneurship Development Institute of India (EDI), Gandhi Nagar (Gujarat) -www.ediindia.org17. National Institute for Entrepreneurship and Small Business Development (NIESBUD), Noida(Uttar Pradesh) – www.niesbud.nic.in18. Indian Institute for Entrepreneurship (IIE), Guwahati (Assam) - www.iie.gov.in19. World Trade Organisation (WTO), Geneva – www.wto.org20. Global Information Network for SMEs covers information on SMEs in various countries –www.gin.ne.ipJournal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


Small and Medium Enterprises In the Era of Globalisation 15APPENDIX IIWeb Portal of NSIC to enhance the reach of MSMEs in the Global MarketWebsite www.nsicindia.com has been developed by National Small Industries Corporation(NSIC) at its headquarters in New Delhi as a B2B web portal for the benefit of MSMEs in Indiaand abroad. It provides an excellent opportunity for the MSME fraternity to not only promoteinformation exchange Pan-India but also enhance its reach to a large number of clients abroad,besides improving its service delivery. The Portal will also help MSMEs to enhance their inlandand global trade through promotion of their products and services. The portal provides anumber of helpful features such as product specific database searches, sector specific domesticand international tender notices with alert facility, business trade leads (buy / sell) from morethan 200 countries, and opportunities to MSMEs to develop their products, and showcase themthrough the portal, and reach out to the global markets. The portal helps MSMEs in expandingtheir trade opportunities Pan-India and in other countries. E-commerce is becoming a globaltrend, the advantages of which should be accessible to the smaller entities. The comprehensiveportal comprises more than 2.5 lakh MSME contacts, and helps the enterprises in reaching outto the buyers in the world from their work place by using information and communicationtechnology (ICT) tools.Journal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


16 D. Nagayya and P. Tirumala RaoAPPENDIX IIINSIC sets up MSME Info-call Centre at New DelhiThe call centre can be contacted on toll free number 1800-11-1955 which works from8.00 - 22:00 hrs. every day. This centre helps in providing the required information about thevendors and technology suppliers to the potential first generation entrepreneurs and existingsmall enterprises as and when required by them. Salient features of the information centre are:Customer care services and solutions including tele and internet marketing, and infomediaryservices. The centre has the state of the art technology computers and dedicated call centreequipment which are managed by NSIC trained staff conversant with call centre operationsand telemarketing applications. Some of the activities covered by the centre are as follows:* Tracking of all incoming and outgoing calls with date and time* Recording the entire conversation* Tele conferencing* Responding to the queries through Interactive Voice Response System (IVRS)* E-newsletters* E-mail notifications for unattended calls* Voice mails which can be forwarded to mail boxes* Report generation on the basis of different criteria such as pending queries, queriesconcerning relevant schemes, suggestions and complaints* Remote monitoring* Database integrationJournal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


Small and Medium Enterprises In the Era of Globalisation 17APPENDIX IVMinistry of MSME sets up Udyami Helpline at New DelhiThe call centre can be contacted on toll free number 1800-180-6763 which works from6:00 - 22:00 hrs., and responds in English and Hindi on all days of the year. The centre guidesMSMEs in providing the requisite information for existing and prospective entrepreneurs aboutopportunities and facilities available under various schemes of Government of India. The relevantwebsites are: www.msme.gov.in of the Ministry of MSME, and www.dcmsme.gov.in ofDevelopment Commissioner (MSME), New Delhi. Udyami Helpline provides assistance andguidance to entrepreneurs regarding marketing assistance, export promotion, credit support,cluster development, technology upgradation, skill development, process of setting up anenterprise, and details of various schemes of the Ministry of MSME.Journal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


Journal of Rural Development, Vol. 32, No. (1) pp. 19 - 31NIRD, Hyderabad.WAGE EMPLOYMENT : IMPACTOF MGNREGS IN BARDHAMAN,WEST BENGALBiju Paul Abraham, Bhaskar Chakrabarti,Raghabendra Chattopadhyay*, Suman Nath**ABSTRACTIn this paper, we study the impact of MGNREGS on the beneficiaries and analysepotential management problems of the implementing agencies in Bardhaman, arelatively prosperous district of West Bengal. Analysis of official documents andprimary data collection in all blocks over a period of three years indicates thatBardhaman has been successful in addressing the challenges of running the scheme.However, because of available alternative employment opportunities, conductingMGNREGS matching the Annual Action Plan is a serious challenge to the GPs. Thelocal people look for less labour intensive schemes, and political parties pressuriseGram Panchayats to initiate popular errands which makes it difficult to match villageneeds with demands.IntroductionThe National Rural EmploymentGuarantee Act, installed by the Congress ledUnited Progressive Alliance–I in 2005 ensuresa minimum of 100 days of employment toevery household of India, and has the potentialto become the strongest public employmentprogramme in history (Ambasta, Shankar &Shah, 2008; Bharghava, 2006; Jaffer, 2009). Atoperational level, Mahatma Gandhi NationalRural Employment Generation Scheme(MGNREGS) is a positive response to the a)grievances of increasing rural unemployment(Mukhopadhyay and Rajaraman, 2007), b) 80per cent people’s life under internationalpoverty line of $2 per day (World Bank, 2005),c) increasing poverty (Chen and Ravallion,2000) and marked rural urban inequality (Dattand Ravallion 2002), d) collapse of agriculture(Shah, 2007) and e) a decline in the rate ofagriculture extension. Even if agricultureproduction increases, there are problems ofmarketing and storage in states like WestBengal (Harris-White, 2008; Nath & Chakrabarti,2011). Prevailing social inequality andunintended politicisation forming fragments,and skewed resource allocation add to theexisting problems (Chattopadhyay, Chakrabarti& Nath, 2010; Mukhopadhyay and Rajaraman2007; Sundaram and Tendulkar, 2003). Theseshortcomings often compel farmers tocommit suicide (Shah, 2007).* Professor, Associate Professor, and Professor, Respectively, Public Policy and Management Group, IndianInstitute of Management, Calcutta email : bhaskar@iimcal.ac.in** Assistant Professor of Anthropology, Haldia Government College, Purba Medinipur, West Bengal 721657.


20 Biju Paul Abraham, Bhaskar Chakrabarti, Raghabendra Chattopadhyay, Suman NathThe National Sample Survey Dataindicate that West Bengal is low in ranking interms of education, poverty and health andnutrition. The State has high levels of nutritionaldeprivation, alarming poverty head count,stagnation in human development ranking andlow female participation in decision-makingprocesses (Sengupta and Gazder, 1997; Sen,2002; Ghosh, 2002; Macroscan, 2003). TheHuman Development Report shows one of thehighest differences in rural and urbanconsumption rate in West Bengal. People’sparticipation is alarmingly low in villagedevelopment meetings (Chattopadhyay,Chakrabarti & Nath, 2010).MGNREGS, with its triple underlyingobligations of a) creation of durable assets, b)strengthening the livelihood resource base ofthe rural poor, and c) providing training forupgradation of the skills of unskilled labourers(Chakraborty, 2007) is an unique opportunityto heal the existing maladies. With mammothfund devolution, MGNREGS is also expectedto rejuvenate local governance institutions(MoRD, 2008).In this paper, we explore MGNREGS atoperational level in the Bardhaman district ofWest Bengal. Bardhaman (literally means‘developing’) with a population of 6.9 millionin 2001 census, is an important hub foragricultural production (GoWB, n.d). Thedistrict has 50 per cent higher rate ofagriculture growth than West Bengal as a State,as a result of its inclusion in 1961’s IntensiveAgricultural District Programme, 1975’s HighYielding Variety Programme aided byDamodar and Ajay river networks of irrigation,substantiated by groundwater exploitation inthe 1980’s (Harris White, 2008; Moitra and Das,2004). Industrial growth in adjacent Durgapur,coalmines in nearby Ranigunj add toalternative employment opportunity of thedistrict. In consequence, less demand forMGNREGS work is evident in some areas. Inspite of this, our study shows that maximumnumber of days of employment providedrange between 91 to 100 days for forwardvillages, and 61-70 days for backward villages.In MGNRERS, Bardhaman is ranked first inexpenditure per Gram Panchayat, second onbasis of percentage of persondays achieved,third in percentage of BPL Households whohave been provided employment (http://nregsburdwan.com).Bardhaman being one of the prosperousdistricts should ideally require less MGNREGSsupport and therefore, success of continuingsuch a programme depends on ‘successfulmanagement’ of the programme.Consequently, our research attempts tounderstand the impact of MGNREGS over itsparticipants, as well as explores the challengesto MGNREGS and management responses toaddress such challenges.MGNREGS : Reflections from LiteratureMGNREGS’s potential to effectivelyaddress poverty-related issues is wellrecognised (Dreze and Sen, 1989; Ravallion,1991; Besley and Coate, 1992; Sen, 1995). Theexisting literature indicates that MGNREGSfrom its commencement faced problems ofimplementation because of imperfect design.Associated is the problem of determiningwages high enough to meet daily needs, butnot higher than the prevailing rate (Papola,2005). Other issues of concern include nonpayment,gender and caste biasedunderpayment (Chakrabarti, 2007; Khera andNayak, 2009; Khosla, 2011).A substantive understanding of the issuescreating bottlenecks for implementingMGNREGS at the operational level isimperative. Studies indicate two broaddifficulties in implementation of MGNREGS.First, the fiscal challenges. These primarilyinclude wage determination and cash transfer.Second, management problems with theimplementing agencies. These includeJournal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


Wage Employment : Impact of MGNREGS in Bardhaman, West Bengal 21instances of fund misappropriation that haslead to payment through Banks and PostOffices (Dey, Drèze and Khera, 2006; Drèzeand Khera, 2009; Siddhartha, 2008). However,a recent study by Adhikari and Bhatia (2010)indicates that our banking system largely failsto protect fund misuse as a result of haphazardaccount handling, presence of power groupsduring withdrawal, negligence of muster rollsand other record keeping mechanism. Afurther problem is the misunderstandingregarding the nature of work resulting inunderutilisation of MGNREGS’s full potential forwhich effective publicisation is needed (Bhatiaand Dréze, 2006; Jacob and Varghese, 2006;Louis, 2008). Ambasta, Shankar and Shah(2008) argue that MGNREGS can neverrecognise its full potential until the existinggovernance mechanism is transformed.Chakrabarti (2007) argues that MGNREGShas a tendency to become supply driveninstead of demand driven if an agency fails togenerate work after demand is placed, sinceunemployment allowance is to be paid by thestate government. Several scholars indicatethat such a large scale of work requiresinfrastructure in the form of strong localgovernance institutions and linkages with linedepartments, which are frequently unavailablein different parts of India (Chakrabarti,Chattopadhyay and Nath, 2011; Chathukulamand Gireesan, 2006; Chakrabarti, 2007; Bhatiaand Dréze, 2006).MethodologyIn this paper, we use a) MGNREGSperformance reports available from theBardhaman District Magistrate’s office and b)analyse primary data collected from each ofthe 31 blocks of Bardhaman during 2009-10.We focus on two aspects of MGNREGS: first,the impact of MGNREGS over its beneficiaries.Second, the nature of institutional challengesand reaction of the implementing agencies tothem.Our fieldwork covers two randomlyselected villages in two randomly selectedGram Panchayats (GP) in each block of thedistrict. In each village, ten households arerandomly selected for study. The study covers40 households in each block. A total of 1240households from 124 villages (of which 10 arebackward villages) are covered in the district.A structured questionnaire is used to interview2699 males and 2345 females from the villagesto have a direct exposure of the coverage andactual benefits of MGNREGS in the district. AnFigure 1 : Average Annual Income and Number of Days Employment GivenCode : 1–5 = A, 6–10 = B, 11–20 = C, 21–30 = D, 31–40 = E, 41–50 = F, 51–60 = G,61–70 = H, 71–80 = I, 81–90 = J, 91–100 = K, 101–110 = L, 111–120 = M above 121 = NJournal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


22 Biju Paul Abraham, Bhaskar Chakrabarti, Raghabendra Chattopadhyay, Suman Nathunderstanding of the nature of managementcrisis that the implementing agencies facerequired open ended interviews with theofficials from the three-tier Panchayat system,which was done by members of the studyteam.Impact, Distribution and ConflictingDemandsThe relationship between the days ofemployment provided and average annualincome in Bardhaman shows a diverse pattern(Figure 1).Therefore, in order to assess the impactof MGNREGS on intended beneficiaries, wefocus on the distribution of work and therelative contribution of MGNREGS to theincome of beneficiaries.Figure 2 shows a comparative appraisalof the family income and MGNREGS-income.Our primary data show that supplementaryincome from MGNREGS is high among familieswhich have comparatively lesser annualincome from other sources. The backwardvillages are equally benefited from thescheme.Figure 2 : A Comparative Analysis of Family Income and MGNREGS IncomeThe average annual family income ofbackward villages from the scheme is `3199.46, higher than ` 2795.23 in othervillages (Source : Survey Data, 2009-10).Evidently, work allocation follows the degreeof backwardness.As we studied the distribution of work in31 blocks, we realised that a significantcutback in the number of days of workgenerationis found in blocks Andal, Bhatar,Galsi, Kalna I, Katwa I, Mongolkot, andPurbasthali I. Among these underperformingblocks, Purbasthali I, Bhatar, Kalna I, Katwa I,and Mongolkot show a constant fall in the rateof employment generation. In Bardhaman I,Purbasthali I, Bhatar, Kalna I and Katwa I,alternative employment opportunity issignificantly high. As a result, demand forMGNREGS work is not always generated. InMongolkot, however, political turmoil in therecent past, which resulted from conflictsbetween the CPM and the Trinamul Congress,has significantly limited the scope ofundertaking MGNREGS (Source : Survey Data2009-2010).Journal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


Wage Employment : Impact of MGNREGS in Bardhaman, West Bengal 23Post-Panchayat election 2008 witnesseda political changeover in several blocks. TheLeft Front, headed by Communist Party of IndiaMarxist (CPM) now controls the Zilla Parishad,the district level office of the three-tierpanchayat system. The intermediate PanchayatSamities (PS) and lowest of the three-tiers, i.e.,Gram Panchayats (GP) in most places arecontrolled by the new ruling party of the State,Trinamul Congress (TMC). In many places,political difference between the GP and thePS results in problems of release of fund ofthe scheme. In Jamalpur, Jamuria andKetugram, political difference is identified asone of the major factors that sway theperformance of MGNREGS between 2008–09and 2009 – 10 (Source : Survey Data 2009-10).In spite of these, Bardhaman is largelysuccessful in providing supplementary incometo the needful through MGNREGS. Familiesliving Below Poverty Line (BPL) get moreemployment as part of the scheme thanfamilies with Above Poverty Line (APL) status(Figure 3).Figure 3 : BPL and APL Families Getting Number of Days EmploymentAvg. No. of daysemployment givenAdditionally, an increase in theemployment generated is reflected in Figure4. To have a better understanding of people’sneeds, we did an analysis of the demand ofwork and supply.Figure 4 : Work Demand and Supply in Bardhaman DistrictNo. of families and Avg. No. of daysNo. of households ingeneral villages & theirdemandsWork demanded in generalvillagesWork provided in generalvillagesNo. of households inbackward villages & theirdemandsWork demanded inbackward villagesWork provided in backwardvillagesJournal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


24 Biju Paul Abraham, Bhaskar Chakrabarti, Raghabendra Chattopadhyay, Suman NathOur analysis shows that a gap betweenthe demand and supply of MGNREGS work doesexist. The official record shows that noemployment allowance is distributed by thedistrict. Figure 4 shows that higher demandresults in the high demand–supply gap. Theofficials interviewed by the study team pointto three reasons that give rise to this gap. First,the seasonal factor plays an important role indetermining the success of MGNREGS. Thenature of work under this scheme is labourintensive. It primarily includes earth works.Therefore, if a demand of work is generatedduring monsoon, it is often difficult to meetthe demand. The seasonal distribution ofMGNREGS work shows that least amount ofwork is carried out during June and July whenmaximum summer temperature is followedby maximum rainfall (Figure 5, source: surveydata 2009-10).Figure 5 : Seasonal Distribution of MGNREGS Work in BardhamanInterestingly, during August even ifrainfall occurs, average number of days ofemployment generated increases rapidly. Thenature of work includes repairing of floodprotection barrage. Despite being a labourintensive task, villagers wilfully involve in thosejobs because of the potential threat of beingflooded (interview with Panchayat officials,October 2010).A second factor contributing to thedemand supply gap is labour crunch. Thosewho place demands earlier becomeunavailable in a suitable season when the GPscreate the works (interview with Panchayatofficials, October 2010).Third, there is sometimes a problem withthe nature of the work. People are interestedin less labour intensive occupations like treeplantation. It is not unusual to demand a typeof work and then declining to undertakelabour intensive assignments (interview withPanchayat officials, October 2010).Figure 6 substantiates that alternativeemployment opportunity is high in the district.A considerable number of villagers find theMGNREGS wage low. Bardhaman’s agriculturalproduction requires the labour of males andfemales equally. A sizeable amount of femalelabour is required for the preparation ofseedbed, harvesting and winnowing. Apartfrom their daily wage, they are incentivised interms of crop share. The absentee landownercreates a high-up system of share crop. Inconsequence, several villagers cultivate largepieces of land (interview with Panchayatofficials, September-October 2010).Journal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


Wage Employment : Impact of MGNREGS in Bardhaman, West Bengal 25Figure 6 : Reasons for not Participating in the MGNREGS Work (Multiple Responses)Apart from the strictly economic factors,where people are free to make rationalchoices between MGNREGS and alternatives,there are cultural factors which make somenot to participate in the scheme. Each femaleparticipant in our interviews indicates theirreservation to work with males in the field.They point to three reasons for this. First, theyare hesitant to work in the field as it ‘exposes’them to the village males. Second, they areoften teased as being soft and unable toperform heavy-duty. Third, the family memberssometimes stop the females from enteringinto MGNREGS scheme. ‘Family prestige’ stopsmany job cardholders from participating in thescheme. However, this results in an apparentcontradiction as they work together inMGNREGS, but not otherwise. This shows thepotential of MGNREGS to break culturalbarriers.As labour intensiveness is a matter ofconcern (Figure 6), it reflects our participants’reluctance to engage in particular types ofwork. To understand their preference, we didan analysis of the nature of work, and theirdemands and supply. It shows that forestation(10 per cent of the total work demanded and17 per cent of the total work provided) androad repairing work (13.19 per cent of demandand 21.52 per cent of the work generated)are valued in Bardhaman. The construction offlood protection barrage, being labourintensive, is less demanded (3.56 per cent),but it is given importance (5.81 per cent) asBardhaman has several rivers running acrossthe district. The same is true for irrigation canalrenovation (3.59 per cent of demand and 5.86per cent of the work generated).Since many job card holders are unwillingto engage themselves in certain categories ofwork, it indicates a lag in publicisation ofMGNREGS (Figure 7).Panchayat members, officers andpradhans act as information hub for theimplementation of the MGNREGS scheme.However, a significant number of people getthe information from neighbours. Formalannouncement for MGNREGS is barely done.A number of Pradhans indicate that most ofthe job cardholders do not know about thenature of work. It indicates a possibility ofhaving misunderstood the work. Jacob andVarghese (2006) find in Kerala a number ofeducated youth applying for job cards becauseof lack of understanding of the scheme, and asimilar problem could have been the reasonin Bardhaman.Journal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


26 Biju Paul Abraham, Bhaskar Chakrabarti, Raghabendra Chattopadhyay, Suman NathFigure 7 : Publicisation of MGNREGS Work in BardhamanGP members and Pradhans from all GPsargue that it is difficult to strike a balancebetween the nature of work demanded andthe nature of work needed for creation ofvillage assets. Conflicting interests of differentstakeholders lead to regular tension betweenbeneficiaries, political parties and GPmembers. Beneficiaries look for less labourintensive works. Political parties ask to initiateworks that help them gain or retain electoralsupport. These demands often mismatch withthe local needs and those prioritised in theAnnual Action Plans. In consequence, the GPstry to initiate a balancing system. In severalGPs, members ‘ask’ beneficiaries to executecertain days of labour intensive works to ‘gain’some days of work in less labour intensivetasks. This system, however, is not helpful inBardhaman where alternative employmentopportunity is high and people are well paidthrough them.Challenges and Institutional ResponsesMGNREGS makes the workload of the GPsconsiderably high. Consequent workallocation, execution and payment procedurebecome difficult tasks to perform (Bhatia andDréze 2006). A task involving job carddistribution, work plan, allocation, recordkeeping through different muster rolls, andbulk cash handling for a huge number ofbeneficiaries: all bring forth a challenge to theGPs. We find three specific institutionalchallenges in implementing MGNREGSschemes: 1) understaffing and lack ofprofessional personnel, 2) problemsassociated with huge cash handling, and 3)problems of data management. We find thatBardhaman has somehow coped with thesesituations to run the programme across thedistrict.In early 2009 we noted that a significantnumber of local people, usually party workersfrom all different political parties, activelyparticipated in the management of MGNREGS.In 2010, we found that recruitment of AssistantProgramme Officer, Technical and ComputerAssistants expedited the work. At the GP level,the requirement of an additional post is feltfrom the inception of the programme. The postof Gram Rojgar Sahayak, recruited directly bythe GP, helps in the process of implementationof schemes. The Nirman Sahayak, a diplomacivil engineer, manages the technical aspects,.They are responsible for codification,budgeting and field level monitoring of thescheme. Their technical knowledge isexpected to ensure better quality of createdasset. The Block Development Officer (BDO) -approved Gram Rojgar Sahayak is appointedto assist Nirman Sahayak since 2007. They areat least higher secondary qualified to beJournal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


Wage Employment : Impact of MGNREGS in Bardhaman, West Bengal 27appointed. This post is filled with the BDO’ssanction and Pradhan’s recommendation. Thefield supervisors, a class-ten qualified person,are chosen by the Gram Sabha. For every fiftylabourers, one field supervisor is appointed.They maintain muster rolls, and coordinatebetween the office and the stakeholders. Ourfield visits in different seasons during 2010show that Gram Panchayats have effectivelycoped with the extra workload because of thescheme after these recruitments.The actual work is managed by thesupervisors. They inform the stakeholdersabout the scheduled schemes by massannouncement and distribute the job amongthem. They upgrade job cards, notify thepayment date, and provide supportingaccessories to the workers. If and whenevernecessary, they coordinate with post officesand banks for fund disbursement.However, payment through banks andpost offices is still a source of problem. Thereare three interrelated issues with paymentthrough banks and post offices. First, there is awant of banks and post offices near the villages.Second, payment delay (3 to 5 days for banks,and 7 to 10 days for post offices) is usual. Third,lack of banking habits of the beneficiaries isstill a problem. Additionally, every GP memberin our study report that banks are not interestedin opening MGNREGS account as they a) donot find it profitable to bank with MGNREGSbeneficiaries where per capita exchange isconsiderably low but b) number of recipientsare high. Understaffing in banks and postoffices is also a serious matter of concern.Infrastructure problems like lack of vault inpost offices and cash transfer problems oftencontribute to payment delay.A change currently being proposed bythe Ministry of Rural Development,Government of India could address this issueof delays. This is to pay advance wages, forwork yet to be undertaken, to those who haveapplied for work under the scheme. Theseadvance payments are to be adjusted againstwork actually done (Economic Times,December 5, 2011). It is expected that thiswould reduce problems faced by workers whoare not paid despite completion of workbecause of delays in measurement andevaluation of work undertaken. Advancepayments could also reduce pressure on GPsto speed-up the process of evaluating andcertifying work undertaken to ensure thatpayments are made quickly. However, theexperience of states which have made suchadvance payments indicates that poor recordkeepingof advance payments leads toincreased corruption in the programme.(Upamanyu, 2008). Proper record-keeping toidentify recipients of advance payments andoversight to ensure that they undertake workwhen it is allocated would be critical toensuring that such changes improve theimplementation of the programme.DiscussionAs we speak up for MGNREGS’s potentialto mitigate poverty and allied issues,Bardhaman’s MGNREGS provides goodexample supporting such contention. It caterseffectively to the needful from backwardvillages and BPL families. However, our studysupports Chathukulam and Gireesan (2006),Chakrabarti (2007), and Bhatia and Dréze(2006) that MGNREGS poses a seriouschallenge to the local self-government. Weemphasise on the institutional issues relatedto fund and data management of MGNREGS.Bardhaman seems to cope with such troublesat initial stage by using the political-partynetwork in most places irrespective of thecolour of the party. Later, creation of additionalposts accelerated the process ofimplementation. Payment through bankingsystem, however, is a persistent problem inmost places.Journal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


28 Biju Paul Abraham, Bhaskar Chakrabarti, Raghabendra Chattopadhyay, Suman NathOur study shows a dimension ofconflicting demand that may be typical ofcomparatively prosperous districts. The villageAnnual Action Plan as prepared by thePanchayat focuses on village needs. A sizableamount of such work is possible under theMGNREGS scheme. In execution, however,villagers demand less labour intensive taskslike forestation. Political parties push GPs togenerate more such popular works. Thebalancing act adopted by some GPs that givesless labour intensive tasks to a person if s/heperforms certain days of more labour intensivetasks might be ineffective in the long run, asmany villagers often refuse to take suchemployment. The seasonal factor adds to thisproblem. During extreme summer andmonsoon, conducting MGNREGS workbecomes technically difficult. Twoconsequences are notable. A gap betweenwork demand and supply in the record persists.And more importantly, creation of durablevillage assets remains undone. As animmediate effect, it poses a threat to thedelivery of development related publicservices.In response to the problem of the gapbetween job demand and supply, GPs canstrengthen the publicisation of the scheme.As Figure 7 indicates, the formalannouncement of MGNREGS is barely done,and it can create misunderstanding regardingthe nature of work. GPs should inform at thebeginning to the applicants about the workthey expect to undertake. This would helpthem avoid any misunderstanding which leadsto the gap. However, publicisation alonecannot ensure sufficient participation in thescheme. The authors also agree with Papola’s(2005) findings that MGNREGS should considerthe local factor in determining the wage.supply driven instead of being demand driven.This problem demands policy attention. Aspeople’s reluctance is noted, GPs often usepolitical parties to mobilise people. This couldmake MGNREGS unintentionally politicised inthe future.Kornhouser (1997) and McAdam (1997)argue that social movements require carefulmobilisation of resources. MGNREGS as adevelopment initiative should be seen as asocial movement where cautious resourcemobilisation is possible. GPs should encouragepeople’s participation in village developmentrelated decisions by strengthening of GramSabhas and Gram Samsads where people areexpected to discuss, debate, include orexclude development initiatives (PlanningCommission of India, n.d). Chattopadhyay,Chakarabarti, Nath (2010) show depressinglylow level of people’s participation, andunintended politicisation in developmentrelated meetings in West Bengal. People’sunwillingness to play crucial role in MGNREGSfor the creation of village level assets may bea by-product of the same reluctance. GPstherefore, should involve more people indevelopment related decisions so that aparticipatory environment with strongcommunity sentiment can be generated.Creation and careful use of social capital (asadvocated by Putnam, 1995, 2000) could beuseful to augment people’s participation inMGNREGS.Our study indicates that even when aprosperous district like Bardhaman takesmanagement initiatives, successful executiondepends to a great extent on the stakeholders.When requirement is less, MGNREGS can slowdown development activities, which willrequire serious policy attention.Presently many regions of Bardhamanindicate the possibility of MGNREGS to becomeJournal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


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Wage Employment : Impact of MGNREGS in Bardhaman, West Bengal 3134. Putnam, R. D. (1995), Bowling Alone : America’s Declining Social Capital, Journal of Democracy, 6:65 – 78.35. Putnam, R. D. (2000), Bowling Alone : The Collapse and Revival of American Community, NewYork, Simon and Schuster.36. Ravallion, M. (1991), “Reaching the Rural Poor Through Public Employment : Arguments,Evidence, and Lessons from South Asia, ” The World Bank Research Observer 6(2) : 153–175.37. Sen, A. (1995), “The Political Economy of Targeting”, in D. van de Walle and K. Nead (eds.) PublicSpending and the Poor : Theory and Evidence, Baltimore, MD : Johns Hopkins UniversityPress.38. Sen, A. (2002), Agriculture Employment and Poverty : Recent Trends in Rural India, In V. K.Ramachandran and M. Swaminathan (Eds.) Agrarian Studies : Essays on Agrarian Relations inLess-Developed Countries, New Delhi, Tulika.39. Sengupta, S., and Gazder, S. (1997), Agriculture Policy and Rural Development in West Bengal,In J. Dreze and A. Sen (Eds.) Indian Development : Selected Regional Perspectives, New Delhi,Oxford University Press.40. Shah, M. (2007), Employment Guarantee, Civil Society and Indian Democracy, Economic andPolitical Weekly, 42 (45 & 46) : 43-51.41. Siddhartha, A.V. (2008), Bank Payments : End of Corruption in NREGA? Economic and PoliticalWeekly, 43(17): 33-39.42. Sundaram, K and Tendulkar, S.D. (2003), ‘Poverty among Social and Economic Groups in Indiain 1990s’, Economic and Political Weekly, 38 (50): 5263-5276.43. Upamanyu, Arjun. (2008), A Report on the NREGA Survey-2008, Adhaura Block, Kaimur District,Bihar, http://www.righttofoodindia.org/data/nrega08adhoura.doc44. World Bank. (2005), World Development Indicators 2005, http://www.worldbank.org/Journal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


Journal of Rural Development, Vol. 32, No. (1) pp. 33 - 46NIRD, Hyderabad.SOCIO-ECONOMIC IMPOVERISHMENTRISKS IN DISPLACEMENT OF TRIBESUNDER POLAVARAM IRRIGATIONPROJECTK.P. Kumaran*ABSTRACTDevelopment through displacement is part and parcel of the ongoing processof planned development. Annually, on an average 10 million people across the globeare getting affected by forced displacement to accommodate different types ofdevelopment projects. Among them, majority of the displaced belong to poor andmarginalised sections of the society. The number of people so far displaced in Indiaby different such projects range from 7.5 to 20 million. The involuntary displacementand resettlement often causes certain problems which have socio-economic andcultural implications. The objective of the paper is to understand and appreciate thenature and magnitude of social and economic risks of impoverishment beingundergone by the project-affected tribal families in the event of their displacement.Impoverishment risk is examined with special reference to customary rights andprivileges, land alienation and livelihood security. In the study area, it was found thatmany of the respondents were living in inaccessible areas that even lack minimumbasic services and facilities. However, the newly constructed resettlement colonieswith most of these facilities did not necessarily attract as a pull factor for them toleave their original habitat. Similarly, some of the study areas are often affected byfloods and the respondents incur huge loss in physical property like houses, crops,plantations, trees etc. Even such situation leading to heavy losses do not voluntarilypush them to move to safer places. Leaving apart some of the tribals who are landlessand marginalised, others by and large expressed their emotional attachment to forestand land and want to stay back in their old habitat where they survived and thrivedfor several generations. But they are not left with any option.IntroductionDevelopment through displacement ispart and parcel of the ongoing process ofplanned development. The life of people livingacross the globe is increasingly gettingaffected by forced displacement toaccommodate infrastructure projects such asindustries, power plants, roads and irrigation,defense, coal and mines includingsanctuaries and parks. Annually, on an average10 million people are being affected by such* Professor and Head (CMRD), National Institute of Rural Development, Rajendranagar, Hyderabad 500030, India. The author is thankful to Dr. T. Vijay Kumar and Dr. T. Brahmanandam (Assistant Professors , NIRD)for their help in collecting data from the field. The data required for the paper were drawn from a studyfunded by NIRD. Earlier version of the paper was presented at an international seminar on”Displacement,Division and Renewal” at Curtin University of Technology, Miri, Malaysia (July, 8–9, 2010).


34 K.P. Kumaranprojects and majority of them belong to poorand marginalised section of society. In India,among all the infrastructure projects, dams areconsidered as the single largest cause ofdisplacement. Though estimates vary, there isan agreement that dams were responsible fordisplacement of nearly three-fourths of thedisplaced. As per the latest informationavailable, a population of 21.3 million havebeen displaced between 1951 and 1990 inthe States of Andhra Pradesh, Bihar, Gujarat,Maharashtra, Madhya Pradesh, Rajasthan andOdisha. Of them, 8.54 million (40 per cent)are tribals and of those only 2.12 million (24.8per cent) tribes have been resettled so far. Theincomplete rehabilitation of the displacedtribals has further compounded their woes asthey are pushed into a vortex of increasinguselessness, unemployment, debt bondageand destitution (Planning Commission: 2002-2007).Displacement and ImpoverishmentInvoluntary displacement andresettlement causes certain problems andrisks, which have economic, social and culturalimplications. According to Cernea (1997) ,thefollowing are the recurrent characteristics orrisks that contribute to impoverishment ofdisplaced people. They are (1) landlessness,(2) joblessness, (3) homelessness, (4)marginalisation, (5) increased morbidity, (6)food insecurity, (7) loss of access to commonproperty assets, and (8) communitydisarticulation. Further, he clarified that theeight fundamental impoverishment risksdiscussed above, affect various categories ofpeople differently and tribal populations aremore vulnerable to those risks discussed above.The report of World Commission on Dams(UNDP: 2000) also reveals that a suddenincrease in impoverishment is the mostcommon visible impact on the lives of peopleaffected by development projects. Thecommission found that allover the world, damshave physically displaced an estimated 40-80million people. Many of the displaced werenot recognised (or enumerated) as such, andtherefore, were not resettled or compensated.Where compensation was provided it wasoften inadequate, and where the physicallydisplaced were enumerated, many were notincluded in resettlement programmes. Thosewho were resettled rarely had their livelihoodsrestored, as resettlement programmes havefocused on physical allocation rather than theeconomic and social development of thedisplaced. Indigenous and tribal people havesuffered disproportionate levels ofdisplacement and negative impacts onlivelihood and culture. According to Mc Cully(1996), the impact of displacement on tribalpeople affected by large dams has beenoverwhelmingly negative in India. In a reviewof studies made on the resettlement areas, hefound that majority of the ousters have endedwith lower income, less work opportunities,inferior housing, less access to resources ofthe commons such as fuel, wood and fodder.Studies have further shown that the genericrisk of displacement of tribal people getsaggravated everywhere because of differenteconomy and culture of tribal groups(Fernandez 1981, 1993; L.K.Mahopatra 1994).Tribals and Displacement in IndiaAccording to 2001 census, the scheduledtribes constitute 8.2 per cent of the totalpopulation. Scheduled tribes distinguishthemselves from other communities with theirdistinctive culture and isolated habitations andlay behind the rest of the society due to theirsocio-economic backwardness. A significantnumber of tribals have historically beendependent on natural and common propertyresources for their subsistence. Due todevelopment projects they were forced tomove out of the place where they lived forgenerations. Apart from depriving of theirlands and livelihoods, displacement alsoattracts other traumatic psychological andsocio-cultural disturbances as well. In thisJournal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


Socio-Economic Impoverishment Risks in Displacement of Tribes Under Polavaram ... 35process tribals were also victimised byscattering of kinship groups, family system etc.(Biswaranjan Mohanty: 2005). The workinggroup on development of scheduled tribes setup during the Seventh Five Year Plancautioned that displacement of tribals facesmore risks than that of non-tribal populationdue to the following reasons. The first andforemost is the cultural aspects of tribal life.The kinship of the tribal groups is confined totheir habitation which is limited to certainspecific areas. Therefore, any displacementleads to a crushing blow to their socioeconomiclife. The other factor is attributedto their low level of education, and a traditionof a life of comparative exclusiveness andisolation and their difficulty in adjusting in analien environment. The third and equallyimportant is their dependency for living onincluding trade, profession and calling, rootsand fruits, minor forest produce, forest rawmaterials, game and birds and the naturalsurrounding and endowment. And finally,scheduled tribes being economically theweakest of all communities, find it harder thanthe others to settle on new avocations on adifferent site settlement (Ministry of HomeAffairs : 1984).Arguments Relating to Displacement andRehabilitation of TribalsThe different views that have been putforward regarding the displacement andrehabilitation of tribals can be broadlyclassified into two schools of thought. The firstschool stressed the need for integrating thehitherto isolated tribal communities into themainstream society. Those who advocate suchrelocation argue that with this there will beimprovement in rural livelihoods of the tribalsat the same time help preserving the forestand its resources. The protagonists of antidisplacementschool feel that the life styles oftribals are closely linked to the surroundinglandscape and have over time developed afine balance with nature. Any disruption ofthis equilibrium results in irreparable damagesto not only the livelihood of thesecommunities but also the natural system ofthe area.In a study aimed at coming out with acomprehensive rehabilitation plan for thetribes in nine villages of Similipal Tiger Reservein Madhya Pradesh, Alexander et al. (1991)examined the various benefits and advantagesthat they can avail of by shifting to good sites.The main argument in this study was that tribalarea is characterised by lack of basic amenitiesand facilities. Still there exists complacencyin the community but such attitude is limitingthe scope for material prosperity andimproved standard of living. However, for acommunity living in such a condition, thenecessity for dislocation and any programmefor rehabilitation can be made into anopportunity for development. Althoughdevelopment or change involvesdisequilibrium, nevertheless it provides theimpetus for eventual betterment of oustees.Conversely, in one of the contributing papersto the World Commission on dams based onthe review of studies made in IndependentIndia , A. Patwardhan (2000) maintained thatmany tribal communities live in relativelyisolated areas, which are remote, hilly and inthe vicinity of the forest, characterised by poorinfrastructure and lack of basic civic amenities.Because of this, there are attempts to portraydisplacement as “development opportunity”for tribal people. Some of the evaluationstudies have shown that in the relocated areasaccess to basic infrastructure like health care,education, sanitation, drinking water hasimproved. But according to her, improvementsin amenities do not necessarily lead toimprovement in the standard of living of tribals.Therefore, displacement cannot be a preconditionfor the tribal people to get access tobasic public facilities like health care,education or transport. It is their right.Journal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


36 K.P. KumaranThe Polavaram ProjectThe construction of Polavarammultipurpose dam across the Godavari Riverwas first conceived by the Britishadministration in 1941. But it received majorthrust after Independence by variousGovernments formed in the linguistic State ofAndhra Pradesh. The Polavaram project islocated in Andhra Pradesh on the riverGodavari, near Polavaram village, where theriver emerges out of last range of the EasternGhats and enters the plains. The submergencewill stretch along the Sabari River, a tributaryto Godavari, up to the borders of Odisha andChhattisgarh. Multi-purpose in nature theproject envisages irrigation benefits to anextent of 7.20 lakh acres of the upland areasof East Godavari, Visakhapatnam districts underleft canal and generation of 960 MW hydroelectric power. In addition, this project underits left canal envisages 23.44 TMC of watersupply for industries in VisakhapatnamTownship and steel plant, besides domesticwater supply to villages and towns enroutdiversion of 80 TMC cft. of water through theright canal to Krishna river to augment thesupplies of Krishna basin. The projectsubmerges 37,782 ha (93,359 acre) of land ofat FRL (+150 ft). This includes Governmentlands, private lands and forest land (ProjectReport: 1995).Proportion of the DisplacedDifferent figures have been quoted byvarious authors and agencies in respect ofnumber of people and villages going to beaffected by the project apart from the extentof loss or damage that may occur to physicalproperties. The Centre for Economic and SocialStudies (Subba Reddy: 1996) has conducted amore systematic and reliable study to assessthe number of households and the number ofproject-affected people and nature and extentof damage caused to immovable property inthe project-affected areas. The data broughtout by this survey helped the Governmentwhile preparing for the rehabilitation andresettlement package. According to thesurvey, the number of families likely to beaffected is 27,798 with a population of 1,17,034 spread over 276 villages. About 75,000acres of cultivated land will be submerged,besides an extent of about 20,000 acres offallow land and some thousand acres of forestland. Among the households, 13401 (48 percent) represented tribal, followed by 6077 (22per cent) BC, 4246 (15 per cent) SC and 4074(15 per cent) FCs. Although the affectedpopulation are spread over three districts, themajor displacement will take place inKhammam district. Out of the 276 settlementscoming under submergence, 205 (74 per cent)settlements belong to Khammam district. EastGodavari and West Godavari respectivelyaccount for 11 and 15 per cent of thesettlements. About 42 per cent of the displacedpersons will be tribals and 15.27 per cent willbe scheduled castes, Thus, weaker sectionsaccount for 63.4 per cent of the displaced(Sarma : 2006 , Trinada Rao : 2006). The mainobjective of the paper is to understand andappreciate the nature and magnitude of socioeconomicimpoverishment risks beingundergone by the project- affected tribalfamilies in the event of displacement andrehabilitation. Impoverishment risk isexamined with special reference to customaryrights and privileges, land alienation andlivelihood security.MethodologyThe study is mainly based on primarydata collected from selected respondents inall the three affected districts following amulti-stage random sampling procedure. Tobegin with, from each district one or moremandals were selected depending on thenumber and size of people affected. Thus,Devipatnam from East Godavari, Polavaramfrom West Godavari, and three mandals viz,V.R. Puram, Kunavaram and Kukkunur fromJournal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


Socio-Economic Impoverishment Risks in Displacement of Tribes Under Polavaram ... 37Khammam were selected where the numberof people displaced is on the higher side. Thevillages / settlements selected from EastGodavari were (1) Paragasanipadu (2)Kondamondalu (3) Agraharam (4) Bodigudemand (5) Talluru. The district of West Godavariwas represented by (1) Thotagondi (2)Thutigunta (3) Kotha Mamidigondi (4)Singannapalli and (5) Mamidigondi. From thedistrict of Khammam the followingsettlements, viz,. (1) Sriramagiri (2)Venkatayapalem (3) Amaravaram and (4)Uppair were studied. From the selectedvillages of each district, names of the affectedhouseholds were listed down and from thelist 100 households were selected on a randombasis aggregating a total sample of 300. Theselected sample respondents were contactedin their respective residence and requiredprimary information was collected with thehelp of a semi-structured interview scheduleby trained local investigators. Some of theimportant variables covered in the study inrespect of impoverishment risks includecustomary rights and privileges, land alienationand livelihood security. Further, with the helpof Focused Group Discussion, additional datawere procured regarding magnitude ofdisplacement, extent of loss, suggestions tocombat displacement and properresettlement.Tribal Respondents Selected for the StudyThe tribals affected by the project in thestudy areas predominantly constitute Koyasand Konda Reddys. The rest include Koya Dora,Kole Dora and Konda Kammari. Koyas are oneof the major peasant tribes of AP and some ofthem still continue to practise slash and burncultivation. They also depend on forestresources to supplement their food andmeagre agricultural returns. Currently, theKoyas are in a stage of transition. Some ofthem have lost their best land, which they usedto cultivate and are getting reduced to therole of tenants and agricultural labourers.Konda Reddis (Rulers of Hill) are recognisedas Primitive Tribal Group of AP. They usuallylive in isolated hilly tracts, valleys, adjacentplains and cleared forest areas. They areprimarily shifting cultivators and largelydepend on flora and fauna of forest for theirlivelihood. Of late they take up settledcultivation as well. They also depend on forestto sustain their livelihood. The Koya Doras formanother tribal community of Andhra Pradesh,inhabiting the forests as well as the plain areasof East and West Godavari, Adilabad, Warangal,Khammam and Karimnagar districts thatdepend on agriculture for their living. TheKonda Kammaras are mostly seen in the EastGodavari district of Andhra Pradesh andtraditionally they subsisted mainly by makingagriculture implements to the neighbouringagricultural tribal populations. Now majorityof them have shifted to agriculture. KondaReddies who are economically better placedcome first in the social hierarchy followed byKoya Dora and Konda Kammara.Tribe-wisedistribution of the respondents selected forthe study is given in Table 1.In general the sample studied showedthat Koyas constituted more than half (57 percent) of the respondents studied while KondaReddys constituted one-fourth of the totalpopulation and the rest constituted KondaKammari, Koya Dora and Kole Dora.Resettlement and Rehabilitation PackageTo address the woes and grievances ofproject-affected people, the Government ofIndia came out with the national Resettlementand Rehabilitation (R&R) Policy in 2005. Themain objective of the policy is to minimisedisplacement and to identify non-displacingor least displacing alternatives and to plan theresettlement and rehabilitation of projectaffected families, including special needs oftribals as well as vulnerable sections. TheGovernment of Andhra Pradesh also came outwith a Policy on Resettlement andJournal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


38 K.P. KumaranTable 1 : District-wise Distribution of Tribal RespondentsName of tribe East Godavari West Godavari Khammam TotalKonda Reddy 40 17 17 74(25)Koya Dora 35 1 36(12)Konda Kammani 20 20(7)Kole Dora 4 4(1)Koya 1 82 83 166(55)Total 100 100 100 300(100)(Figures in parentheses indicate percentage)Rehabilitation (R&R) for the project affectedfamilies of the State in 2005 (For details seeR & R Benefits for project affected families,Government of AP). In line with theGovernment of India's guidelines, the Statepolicy also emphasised minimisingdisplacement by exploring non-displacing orleast displacing alternatives to the projectdesigns. The State policy suffers from variousdeficiencies as it assessed the loss mostly inmonitory terms without considering theirconstitutional rights and privileges includingtheir socio-political and cultural fabric.Moreover, no special provision has been madeto provide any special welfare measureincluding employment. However, the recentamendments made in the R&R policy videG.O.Ms.No. 119, dated June 26, 2006 made itmandatory to provide land for land to theproject-affected tribal families which is awelcome step.According to P.Trinadha Rao (2006), themajor deficiencies in the R&R packageannounced by the Government of AP for theProject Affected People (PAP) are thefollowing : To begin with, the R&R package isdefined in a narrow sense with major emphasison monitory terms of compensation withoutadequately considering the non-monetisedand self-sufficient economy of tribes in theregion. In addition, the package also does notmention anywhere that the rehabilitation andresettlement work will take place only in theScheduled Areas. In all the three districts,villages have been identified to providecompensatory land to the affected people andthe process of acquiring land from the affectedtribal families also initiated. Simultaneously,construction of model colonies is also takenup to rehabilitate the PAP. In East Godavari,one such model housing colony was built inPedda Bhimpally area. Here 194 houses wereconstructed for rehabilitation of PAP.Socio-economic Background of theRespondentsIn the sample studied, 83 per cent ofthe respondents were men and 17 per centwomen. Most of the respondents fall in theage group of 30-40 years. Further, it was notedthat those who were above 60 yearsconstituted only 3 per cent of the population.This indicated shorter life span of thepopulation due to poverty, malnutrition andlack of adequate health facilities prevailing inthe study area. Marital status showed thatmost of them were married. Examination offamily system followed by the respondentsindicated that most of them followed nuclearJournal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


Socio-Economic Impoverishment Risks in Displacement of Tribes Under Polavaram ... 39family and the rest either joint or extendedfamily. Leaving around one-third of those whoprofessed Christianity in the district of WestGodavari, rest of them professed Hindureligion. Educational status of the respondentsshowed that the highest number of illiterates(62 per cent) was reported in Khammam,followed by East Godavari (52 per cent) andWest Godavari (49 per cent). Among thesample studied, illiterates constituted 54 percent leaving a few who studied up to postmetricand rest of them completed theirstudies mostly either at primary or secondarylevel.Information about ownership of thehouses showed that except for a handful ofthose who stayed in leased houses, most ofthe respondents had their own houses. Thehousing scenario in the study area showedthat in Khammam three-fourths of therespondents and in East Godavari more thanhalf lived in kutcha houses and in WestGodavari more than half of the householdslived in pucca houses. In terms of number ofrooms more than half of the households inWest Godavari lived in single room, while inEast Godavari more than three-fourths stayedin houses with two rooms. But in Khammam,nearly half of them lived in houses with tworooms. Most of the villages studied werelocated in very interior areas and adjoiningforests without proper basic services andfacilities. A few of the study villages weretotally cut-off from the main land and the onlyway to reach out is through waterways.Cultivation is the main occupationfollowed by nearly half of the respondents. InEast Godavari most of the respondents eke outtheir living by working as wage labour.Similarly, in West Godavari also nearly twothirdsof the respondents derived their dailyliving by working as wage labourer, while inthe case of Khammam most of therespondents pursued cultivation as their mainoccupation. Due to very small holding and verylow productivity of the land, the tribalhouseholds eke out a living by engaging indiversified economic activities. In EastGodavari, the major source of income wasfrom Minor Forest Produce (MFP), followed bywage labour and agriculture. While in WestGodavari, the most important source ofhousehold income was earned from wagelabour, followed by MFP and agriculture. Theother sources include livestock and trees.While in Khammam, the main source ofincome was from agriculture followed bywage labour and MFP. The other major activitiesinclude livestock and toddy tapping.Distribution of income earned in a year at thehousehold level showed that in all the studyareas, nearly three-fourths of them had incomebelow ` 20, 000, indicating that most of therespondents live below poverty line.Ownership and Possession of LandIn general, land possessed or owned byrespondents was classified into those used forhomestead and agriculture based activities. Inthe study districts, the area under homesteadheld by the respondents ranged from one centto 40 cents. In Khammam, the plots in whichthe houses constructed were relatively biggerin size as compared to the other two. Most ofthe homestead land occupied by therespondents either belonged to thecommunity or inherited from forefathersexcept for a few who purchased or receivedthrough gift. Data showed that in the studyarea, among the sample respondents, 32 percent of them did not own any cultivable landand the rest 68 per cent owned cultivable landand pursued agricultural activities. Distributionat the district level showed that the highestnumber of landless (42 per cent) was reportedin the district of East Godavari followed byWest Godavari (41 per cent). Landlessrespondents were less in number inKhammam where they constituted only 10 percent of the respondents. Further, sampleshowed that 42 per cent of the respondentsJournal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


40 K.P. Kumaranpossessed private land. Out of this, 80 per centof them had valid patta and the rest do nothave any relevant land document. Most of thetransfer of private land among them was madepossible through family inheritance. Morenumber of respondents possessed irrigatedland in Khammam, followed by East Godavariand West Godavari. Among those whopossessed irrigated land, nearly half of themdid not have valid land titles. The commoncrops cultivated in the non-irrigated areaconstitute paddy, maize and chillies and inthe irrigated area paddy, maize, jowar, bajra,tobacco and chillies. Examination of thepossession of poramboku land showed that inEast Godavari only one per cent of therespondents occupied an area of less than oneacre, and the same distribution in Khammamis 2 per cent who held less than two acres.Those who encroached forestland were morein Khammam as compared to the other twodistricts. The above analysis showed thatthough nearly two-thirds of the respondentsowned cultivable land pursued agriculturalactivities, many of them do not have valid titleof the land possessed by them.Dependency on Forest ResourcesIn the study area, many marginal andsmall farmers, including landless tribals areunable to sustain their livelihoods for morethan six months particularly after rain as theyrely mostly on rainfed agriculture. During leanseason forest resources are serving as a sourceof subsistence. Therefore, after the rainyseason they depend heavily on fruits,vegetables, roots, tubers, flowers, fish, birds etc.Similarly, other forest items like forest wood iscollected for firewood and for making shelterand other essential household items likefurniture, agricultural and hunting implements.Dependency on MFP, fruits, medical plants andherbs is very high particularly in West Godavarifollowed by East Godavari and Khammam.More than three-fourths of the respondents inKhammam and one-third of the respondentsin East Godavari depend on forest for grazingand the proportion of those in West Godavariwas very small. Most of the respondents in EastGodavari and West Godavari reported that theydo not hunt animals or birds in the forest whilethe practice of hunting of animals and birds isstill prevalent among some of the respondentsin Khammam. Dependency on fish in thestreams available in the forest was reportedby some of the respondents in East Godavariand Khammam. The above description showedthat dependency of tribal respondents onforest resources for their sustainablelivelihood is very high in all the study areas.Problems Encountered in the VillagesApart from lack of basic services andfacilities, these villages are affected by naturalcalamities like flood, cyclone etc. invariablyevery year. Respondents informed about hugeloss that they incurred in floods almost everyyear. On certain occasions, flood washed awaytheir dwellings, damaged their standing crops,trees, plantations, cattle, etc. Therefore,information was collected from therespondents about the loss they incurred totheir physical properties during the last threeyears (2003- 2006). Those respondents whowere victims of flood constituted 81 per centin East Godavari, 97 per cent in West Godavariand 89 per cent in Khammam. In East Godavari,altogether 34 per cent of the respondentsreported loss of property in the floods duringthe period under reference with a total loss of` 2,40,000 indicating average loss of ` 7, 059per head. In the case of West Godavari, 80 percent of the respondents reported loss due todamage of their houses in the flood duringthe period. The cumulative and average lossstood at ` 5,90,000, and ` 7,375, respectively.In Khammam, data showed that floodsdamaged houses of 67 per cent of therespondents and the cumulative loss incurredby them amounted to ` 3,30,000 indicatingan average of ` 4,925 per head. Of the totalsample respondents, 60 per cent of theJournal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


Socio-Economic Impoverishment Risks in Displacement of Tribes Under Polavaram ... 41respondents' shelter was affected and thecumulative loss incurred by them during theperiod amounted to of ` 11,60,000, whichcomes to ` 6,409 per head.Those who were affected by crop lossconstituted 65 per cent of the respondents inthe study areas and the cumulative lossincurred amounted to ` 22,02,000 indicatingan average loss of ` 13,190 per head. Theextent of loss of crop was reported more inKhammam where 78 per cent got affected byflood, while the same distribution was 37 percent in East Godavari and 52 per cent in WestGodavari. The total loss incurred in EastGodavari and West Godavari stood, respectivelyat ` 6,08,700 and ` 8,55,000 with an averageof ` 18,451 and ` 16,442, while in Khammam,the same amounted to ` 7,39,100 and theaverage loss was ` 9,476 per head.Information in respect of value of cattle lost inthe flood showed that at the aggregate sampleonly 24 per cent of them reported to the tuneof ` 1,74,000 indicating an average value of` 7,250 per head. More loss was reported inEast Godavari due to the death of cattle. Atthe sametime less number of respondentsreported loss of trees and plantations in thestudy area. The above information showedthat the respondents were threatened bynatural calamities, like flood and cycloneleading to huge loss of their physical assets.Measures Taken for Rehabilitation of ProjectAffected PeopleThough acquisition of land is a slowprocess, efforts to acquire land from theproject-affected families (PAF) are going on.In East Godavari an area of 645 acres is to beacquired out of which all the area have beenacquired from the tribals. While in WestGodavari the area of land to be acquired fromthe tribals amounted to 667.85 acres. Out ofthis, an area of 253.16 acres have already beenacquired, whereas in the case of Khammamland acquisition is yet to take off due to theresistance exerted by the project-affectedfamilies. As a result of this, although an area of5370 acres have been earmarked foracquisition, so far no land was acquired fromthem. In West Godavari, land in three villageshas been acquired, but compensation has notbeen paid yet. In the district of Khammamthree locations in three different mandals wereselected for rehabilitation of PAF in modelcolonies. But so far not a single familyoccupied the houses constructed at the newsettlement. Similarly, the compensatory landfor distribution among the outstees has beenidentified. In the course of interaction withsome of the respondents who have seen theland identified for distribution among theoustees informed that they were not happywith the location and quality of land. Theycommented that the land is located very farfrom their original habitat and not at all fertile,as such not suitable for cultivation. To make itsuitable for cultivation, the land need to bedeveloped which require heavy investment.Model colonies were under constructionto rehabilitate the project-affected families.Pedda Bhimpally colony is one such housingcomplex constructed to rehabilitate them. Inthis complex 194 houses were constructed. Apublic function was organised on 2 October,2006, and keys of the houses were distributedto the affected families. In this colony, thereare two types of houses, the first category isfor a single occupant with single room withone door costing ` 40,000 and the otherconsists of two rooms with two doors and twowindows which costs ` 80, 000. Each house isprovided with a toilet cum bathroom. Thefollowing facilities are also made available tothe residents within the complex whichinclude primary school, anganwadi, and watersupply with common taps, handpumps,overhead tank with a capacity of 40,000 liters,open drainage system, a community hall, andplayground and a shopping complex andtemple under construction. When the studyJournal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


42 K.P. Kumaranwas conducted, 50 families were partiallyshifted retaining their old houses in the villageto cultivate their fields. Interaction with someof the oustees showed that they are not happywith the newly constructed houses in termsof its design and facilities. However, youthshowed satisfaction with the new facilities andsurroundings.Impoverishment Risks in Displacement andRehabilitationThe tribes covered in this study are a wellknit cohesive group. All of them live inScheduled Areas where they enjoy severalrights and privileges. Due to the persuasionand assurance given by the project officials,some of them partially shifted to the newcolonies constructed for the rehabilitation ofthe affected people. Others are undecided ornot ready to shift to the new settlement. Forthose who are reluctant to move out and atthe same time making the proposed shiftinginevitable are likely to face lots of mentalworries like tension, anxiety and insecurity. Inthe event of involuntary or forcedresettlement they will face a variety of socioeconomicproblems leading to theirimpoverishment. In the light of the datapresented in the earlier part of this paper, letus highlight some of them in brief.Customary Rights and PrivilegesAll the tribes affected by the projectreside in the Scheduled Areas. ScheduledAreas are created based on provision madeunder the Article 244 and the Fifth Scheduleof the Constitution. Such areas have specialrights and the governor of the respective stateshave powers to make regulations for bettergovernance and for protecting the traditionalrights of tribal communities. The introductionof Panchayat Extension of Scheduled Areas Act(PESA) in the Scheduled Areas furtherstrengthens the benefits extended to thetribes residing in these areas. It provides inprinciple control over natural resources andrecognises the traditional rights of tribalcommunities over the natural resources.Further, according to PESA directives, gramsabha should be consulted before making theacquisition of land in the scheduled areas fordevelopment projects and before resettlingpersons affected by such projects in theScheduled Area. Thus, the power of tribalcommunity in the Fifth Schedule Areas hasimplication not only for livelihood but it isequally relevant to the socio-cultural life ofthe inhabitants. But in the R&R package thereis no guarantee that they will be rehabilitatedin the Scheduled Areas. If this does nothappen, then with the moving out of theScheduled Areas they will be deprived ofspecial rights, like land transfer regulation,including certain protective measures.Land AlienationThe tribal groups covered in this studyare basically peasants sustaining theirlivelihood by undertaking cultivation.Traditionally most of them resorted to shiftingcultivation but now take up settled cultivationas well. Landholding data showed the extentof land alienation as so severe both in EastGodavari and West Godavari districts thatnearly half of the respondents are landless andeke out a living by engaging in wage labourand other means. However, the situation oflandholding among the respondents inKhammam is relatively better where threefourthsof them still hold agricultural land.The land cultivated by the respondentsbelongs to private land and Government land.Data showed that some of those whocultivated private land do not have any validpattas. Though the number of respondentscultivating irrigated land is small, among them,nearly half of them do not have valid land titles.Those who have encroached forestland forcultivation was reported in Khammam, and inthe same district few cases of those whoJournal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


Socio-Economic Impoverishment Risks in Displacement of Tribes Under Polavaram ... 43occupied poramboku land for cultivation alsowas reported. In the event of shifting, thosewho do not have valid land title particularly inrespect of private land may be deprived ofcompensatory land. Similarly, those tribals whohave been cultivating forest and porambokuland for quite some time may also be deprivedof their compensation under the R&R package,as the Government had not given them anyvalid patta to their land that they have beencultivating for generations. Such a situationmay lead to further marginalisation of thetribes.In the RR package there is a provision forproviding land to land compensation to theaffected tribal households. But the landidentified for distribution is very far from thepresent settlements. Moreover, the quality ofland is also very poor. To make it fertile andsuitable for cultivation requires additionalinvestment of money which is not earmarkedin the R&R package. If they are resettled inthe new area and make them cultivate in theland given to them using the traditionalmethod without either developing the landor by using any modern technology may endthem up in further pauperisation. Therefore,the above aspects need to be taken intoconsideration and the displaced should berehabilitated in the command area ensuringthat they get benefits from the project byavailing of irrigation facilities.Livelihood SecurityAlthough cultivation and wage labourare the main vocations of the people, the mainsource of income is derived from forest. Forestresources serve as a major source of livelihoodand employment for them. Dependency onforest resources for making agriculture onforest wood for making shelter, agriculturalimplements, household furniture and firewoodis very common in all the study areas. A varietyof MFP is gathered from the forest andmarketed that provide financial support tothem during lean season. Similarly, they collecta variety of food items like fruits, roots, tubersvegetables etc. that support their daily life.Once evicted from the present locality theywill be deprived of forest resources that theydepend on heavily for their very existence andsurvival. Any amount of money will notcompensate for the loss that they may incur ifthey are shifted from their original settlement.In the event of shifting, majority of therespondents in Khammam wanted to continuethe same old occupation, while those who arelandless agreed to take up new vocation. Forsuch people there is a need to identifyappropriate income generating programme byproviding adequate trainingConclusion and SuggestionsThe paper examines the nature andmagnitude of socio-economic impoverishmentrisks of project-affected people due toloss and deprivations undergone by them inthe event of their displacement andrehabilitation from their original habitat underthe multi-purpose Polavarm project in AndhraPradesh. Most of the project-affected familiesbelong to tribals and for them land and forestare very essential for their bare minimumsustenance. Although cultivation and wagelabour are the major vocations of therespondents, the major source of income inall the study areas is derived from the forestresources. In Khammam, nearly three-fourthsof cultivated land in the affected area is ownedby the tribals. Similarly, most of the encroachedforestland and poramboku land are held bytribals in Khammam where they take upcultivation. As a result of this, resistance againstthe project in Khammam is very strong ascompared to East Godavari and West Godavari.Due to these reasons acquisition of land forthe project and implementation of R&Rpackage is slow in Khammam.as compared tothe other districts.Journal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


44 K.P. KumaranThe tribes affected by the project arevery vulnerable and reside mostly near theforest and adjoining hilly tracks. Their life andculture and day-to-day activities are closelylinked to forests. Historically, they enjoy certaintraditional rights over the forest resources.They also enjoy special privileges and rightsas they live in the Scheduled Areas. But theymay lose all these privileges with theirdisplacement from the original settlement.There is also no guarantee that they will beshifted to Scheduled Areas so that they cancontinue to enjoy the same rights andprivileges. Since the kith and kin of the tribalfamilies are confined to certain geographicareas and as such their displacement to a newand alien environment negatively affects theirsocial life. For these tribes any amount ofmoney as compensation will not bring backtheir traditional environment where theyenjoy their traditional moorings and culture.Uprooting from their original habitat withoutensuring and creating similar environmentleads to their socio-economic impoverishment.In addition, involuntary resettlement isalso giving them psychological problems likemental worries, trauma, anxiety, tension andinsecurity.In the study area, it ‘was found that mostof the affected people are living ininaccessible villages located in remote areas.Some of the villages even lack minimum basicservices and facilities. However, the newlyconstructed colonies with most of the basicservices and facilities are not necessarilyacting as a pull factor for the people to comeand occupy. In the original settlementalthough they lack most of these facilities theylead a contended life with whatever resourcesthey have. Similarly, it was reported that mostof the villages are affected by floods and theyincur huge loss in physical property likehouses, crops, plantations and trees invariablyevery year. The recurring floods and the hugeloss that followed do not compel them to moveto safer places. Particularly, those whopossessed land and not ready to shift from theiroriginal settlements were ready to face thenature’s fury and associated huge financial loss.Therefore, either lack of basic services andfacilities in the village or the huge loss thatthey incur in the flood is not necessarily actingas a push factor for them to leave their originalhabitat. Leaving aside the tribals who agreedto shift due to deprivation of their land andpoor economic condition, others, by and large,expressed their emotional attachment toforest and land and want to stay back in theirold habitat where they thrived and survivedfor several generations. The following aresome of the important recommendations thatemerged from the study.* The benefits of Polavaram projectshould first go to the project-affectedfamilies. Those who preferred to resettlenear the command area should be givenpreference and provided with adequatequantity of water for irrigation.* Although some of the legislations haveimposed certain restrictions to thetribals in respect of their free access toforest resources, the study showed thattheir dependency on forest for their verysurvival is largely intact. Therefore,caution may be taken to ensure that theywere resettled in villages located verynear to the forest and ensure its benefitsto them.* Tribal villagers in the submergence areafall under Scheduled Areas notified inthe V Schedule of the Constitution.Under the 73 rd CAA, land can be acquiredfor the project in such areas with theconsent of local bodies by passingresolutions to that effect. Forcefultakeover of the land from the tribalsamounts to violation of the V Scheduleof the Constitution as it deprives themof control and ownership of naturalJournal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


Socio-Economic Impoverishment Risks in Displacement of Tribes Under Polavaram ... 45resources and land essential for theirway of life.* In the study area most of the homesteadland is in the name of the community.Respondents have occupied forestland,private land and some of them arecultivating the forestland. They alsopossessed fallow land and Governmentland without proper patta. If they getdisplaced they will get deprived of theownership right that they enjoy now.Appropriate measures should be takento ensure their right over land.* In all the three districts model colonieshave come up. The older generation areparticularly not happy with the houseconstructed for them. According tothem the room is too small, no backyardspace for vegetable cultivation, theplinth area provided in the toilet cumbathroom is too small and no provisionhas been made to construct shed for thebovine animals owned by them. Whileplanning of houses for the PAP, activeparticipation of beneficiaries and theircustoms and cultural practices need tobe taken into consideration.* Under the package, those who areeighteen years are eligible for anindependent house. Therefore, there isa need to fix a cut-off age whiledeciding allotment of houses to theoustees. This is because a man who is17 years old and being shifted and gotmarried at an age of 18 years is noteligible for an independent house. Inthe tribal area they can occupy anycommunity land and construct their ownhouse. But in the new settlement areathis is not possible. Therefore, the cutoffage for allotting independent houseshould be brought down from theexisting 18 years.References1. Alexander K.C., R.R. Prasad, M.P. Jahagirdar, (1991), Tribals, Rehabilitation and Development,Rawat Publications, Jaipur.2. Fernandes Walter, (1993), Tribes, Land, Natural Resources And Displacement, Administrator,Vol. XXXVIII, April-June 1993.3. Fernandez S and Chatterjee, (1981), A Critic of Draft National Policy, Lokayan Bulletin, 11(5),29-40.4. Indrasagar (Polavaram) Project Report Vol.I, : A Multi Purpose Major Irrigation Project –Environmental Impact Assessment (EIA) Agriculture Finance Corporation LTD, Hyderabad.2005.5. Mahapatra L K, (1991), Development For Whom? Depriving The Depressed Tribals, SocialAction, Vol.41, No.3, July-September.6. Mc Cully, (1996), Silenced Rivers : The Ecology And Politics of Large Dams, Zed Books, London.7. Michael Cernea, (1997), The Risks And Reconstruction Model For Resettling DisplacedPopulations, World Development, Vol.25, Issue 10, Pages 1569-1587.8. Ministry of Home Affairs, (1984), Report on The Working Group on Development of ScheduledTribes During 7 th Five Year Plan (1985-1990), Ministry of Home Affairs, Government of India,New Delhi.Journal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


46 K.P. Kumaran9. Mohanty Biswaranjan, (2005), Displacement And Rehabilitation of Tribals , Economic and PoliticalWeekly, Vol X L, No. 13.10. Pandey, (1996), ‘Impoverishment Risks : A Case Study of Five Villages In Local Mining Areas ofTalchal’, Orissa, Paper Presented At A Workshop on Involuntary Resettlement AndImpoverishment Risks, New Delhi, March.11. Patwardhan Amrita, (2001), Dams And Tribal People In India, Prepared For Thematic Review1.2, Dams, Indigenous People And Vulnerable Ethnic Minorities.12. Planning Commission, (2002), 07, X Five Year Plan, Vol. II, And Government of India, New Delhi.13. Rao Thrinadha P, (2006), Nature of Opposition to the Polavaram Project, Economic and PoliticalWeekly, April 15 Vol 41, Issue No 15.14. Sarma E A S, (2006), The Adivasi, The State and Naxalite, Case of Andhra Pradesh, Economic andPolitical Weekly, April 15.15. Subba Reddy N., (1996), Polavaram Project Resettlement and Rehabilitation of the Displaced,CESS, Hyderabad.16. UNDP (2000), Dams And Development : A New Framework For Decision-making : The Report ofThe World Commission on Dams, November 2000.Journal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


Journal of Rural Development, Vol. 32, No. (1) pp. 47 - 59NIRD, Hyderabad.EMPOWERMENT FROM THEABOVE – RESPONSES ANDIMPACTS OF SOCIAL SECURITYSCHEMES IN UPShyam Singh*ABSTRACTThe issue of empowerment of the marginalised groups in India is very muchrelated to the question of social change. People are not empowered because they aresocially discriminated. Since social hierarchy in India is not separate from the economichierarchy, people, who are enjoying higher social status also belong to economicallywell-off section of the society. Therefore, unless social discrimination is addressed inthe country, economic discrimination is also not supposed to be eliminated, and hence,the very agenda of empowering the marginalised people remains unfulfilled.Empowerment of the marginalised groups is an important and prioritised agenda ofthe democratic government in India. The policy responses from the government toaddress the issue have mainly been evolved around the ‘economic empowerment’. Itis being assumed that if socially and economically marginalised groups receiveeconomic benefits from the government that would enhance their economic statusand they would also feel their social status improved. The question this paperaddresses is whether policies that are targeting the economic empowerment alterthe social empowerment of the marginalised groups which reflects upon the changesin traditional social structure to remove social discrimination.IntroductionIndia is comparatively rare amongdeveloping countries in having maintained along tradition of liberal political democracy,with only brief interruption, sinceIndependence (Currie: 1996, p. 790). Despitehaving social and economic diversities, thecountry has maintained the competitivedemocratic political system based on theprinciple of popular representation. Theformation of the Constitution had set the toneof a welfare oriented state to which equityand equality are streamline issues that are tobe reflected in social policies. The policyresponses from the Indian state have beenreceived in same line. Being a poor country,India had to perform as a prompted welfarestate. One of the reasons that maintained theidentity of India as welfare state for long is thefailure of the welfare policies in eliminatingpoverty. It has been observed that“democracies have been slow and steady inattacking poverty” (Varshney : 2000, p. 718). Inprinciple, since poverty does not figure in thetheory of democracy because it encourages* PhD Scholar, Institute for Social and Economic Change (ISEC), Nagarbhai, Bangalore-560072, India. E-mail:shyamready@gmail.com


48 Shyam Singhinequality, there have been continuous effortsto eliminate inequalities, both social andeconomic.Welfare state in India is well guided bythe empowerment of the marginalised groupswhich became an important and prioritisedagenda of various governments in India. TheIndian Constitution reflects the commitmentand the priority of India to establish necessaryprovisions for the upliftment of socially andeconomically deprived sections of the society.The nature of welfare state in India is notvalidated only because the country has a hugechunk of poor population but it involves majorquestion of social inequalities which areinherited in Indian culture. People are notempowered because they are sociallydiscriminated. Since social hierarchy in Indiais not separate from the economic hierarchy,people, who are enjoying higher social statusalso belong to economically well-off sectionof the society.Therefore, unless social discrimination isaddressed in the country, economicdiscrimination cannot be eliminated; andhence, the very agenda of empowering themarginalised people remains unfulfilled. India,as being secular state, cannot disrupt thereligious traditions which determinesubstantial part of existing social relations inIndia. Therefore, only option that is left beforethe Indian state is to address the issue ofempowerment of marginalised groupsthrough adopting policies and programmesthat deliver economic benefits to these groups.But, the major question arises that whetherIndian state has been able to achieve the goalof social equality while delivering economicbenefits.The assumption that this paper adopts inthe view of above given argument is thatpolicies that are targeting the economicempowerment alter into the socialempowerment of the marginalised groupswhich should necessarily reflect upon thechanges in traditional social structure andpractices. This paper analyses implementationof these policies and programmes in sixvillages in Uttar Pradesh. Methodologically, thepaper is based on the primary survey andobservation. Information is collected throughstructured and unstructured interviews withthe beneficiaries of the policies andprogrammes related to social welfare andsecurity.Data and Information are also collectedthrough non-participatory observation of theauthor while staying in the villages during thefieldwork. First section discusses the nature ofpolicies and programmes that are beingimplemented at the ground in response toimprove economic and social conditions of thesocially and economically deprived sectionsof the society. This section reflects how thesepolicies are targeting at social and economicinequalities in UP. Second section looks intothe responses from targeted sectionsanalysing whether these policies andprogrammes are delivering what they areexpected to deliver. Third section analyseswhether these policies and programmes havebeen able to bring economic and socialempowerment to the targeted sections.Policy Responses to the Empowerment ofMarginalised GroupsThe policy responses from the nationaland state governments to address the issue ofmarginalisation have mainly been evolvedaround the ‘economic empowerment’. Eventhough, there are certain schemes andprogrammes that aim to promote humandevelopment status, these schemes offercontingencies rather than focusing on buildingsustainable human development. Since, InIndia, number of casual labour force is high,first priority of the government has been tofeed these people through immediateJournal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


Empowerment from the Above – Responses and Impacts of Social Security Schemes in UP 49consumerable contingencies. In this case, lessattention is given to sustainability of humandevelopment of marginalised sectionsbecause considerable efforts and resources ofthe government go into casual assistance.Therefore, Indian policies, right afterIndependence, could develop policies of ‘helpon the spot’. Public Distribution System can bean appropriate example which provides gainsand other daily needed things to the poor.Table 1 gives an account of few majorhuman development schemes andprogrammes which are being implementedby both Central and state governments. Nowwe should look at each of the components ofhuman development that aim to empowermarginalised and poor sections of the society.The main point of this analysis is to seewhether the nature of the benefit issustainable or not, and how far existingpolicies respond to existing problems. Theargument behind this enquiry is that if benefitswhich are being provided through differentschemes mentioned in Table 1 do not providesustainability to the beneficiary, then afterconsuming benefits beneficiary will be atsame position as he/she was before gettingthe benefit. The benefits should enable themto match themselves with those who haveability to grab major economic benefitsthrough streamline businesses and publicservices.In education sector, India does not enjoyhigher literacy rates (64 per cent). In UP,literacy rate is 56.3 per cent. Female literacyrate of UP is 42.2 per cent which is lower thanall India average of female literacy (53.7 percent). About 36 per cent of rural males and 70per cent of rural females in UP are illiterate.Only 15 per cent of rural persons and 37 percent of urban persons are reported to havereceived education up to secondary level orabove and only about 14 per cent of the urbanpeople and 2.8 per cent of the rural peoplehad received education up to graduate levelor above. Aggregate dropout rate in class I-Xin UP for 2005-06 is 42.26 per cent. Dropoutrate of boys and girls are 39.5 and 47.36 percent, respectively. In this respect, UP is inbetter position than average of all India whichclaims 60.41 per cent for boys and 63.44 percent for girls. Dropout rate in lower socialgroups in UP is very high. For SC community, itis 72.56 per cent which is more than the allIndia average 70.57 per cent.Let us see how existing schemes andprogrammes respond to the educational needsof marginalised groups of the country ingeneral and UP in particular. To address theissues of low enrolment and higher dropoutrate, two main major schemes- Mid Day Meal(MDM) and Kasturba Gandhi Balika Vidyalay(KGBV) - are being implemented. MDMprovides nutritious day meal to school childrenof primary and upper primary level duringschool hours. The main objective of MDM is toattract children from poor sections of societyto enroll and keep them coming to schools.Since poor families prefer their children to beengaged in labour activities rather thansending them to school; this scheme alsotends to prevent the practice of child labour.Similarly, KGBV provides elementary educationwith boarding facilities to girls from poorfamilies. The objective of KGBV is to check thedropout among girls. This scheme is beingimplemented in pre-identified backwardblocks. There is another scheme which wasstarted by the UP Government i.e. SavitribaiPhule Balika Shiksha Madad Yojana (SBSMY)which targets to attract girls at the secondarylevel by providing a bicycle and ` 25,000 intwo instalments in two years. Scholarship is anold scheme which offers an amount offinancial help to students of pre- and postmetricclasses to carry on their studies.Journal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


50 Shyam SinghTable 1: Major Social Security Programmes for the Marginalised Groups in UPSector Scheme Benefits BeneficiariesEducation Mid Day Meal Day food for Students of primary and upper(MDM) school children primary classesKasturba Gandhi Boarding facilities 75 per cent girls from SC, ST,Balika Vidyalay at elementary level OBC and minorities and 25 per(KGBV) for the girls cent from poor families ofbackward rural areasSavitribai Phule A bicycle and Girl students from 11 th andBalika Shiksha ` 25,000 in two 12 th ClassMadad Yojana instalments(SBSMY)Scholarships Vary from ` 25 to Pre- and post-metric students` 740 depending from all sections of societyupon the class andsocial affiliationHealth Janani Suraksha Maternal benefits: Pregnant women fromYojana (JSY) medical help and BPL familiescare during deliveryand ` 1400 for ruralareas and ` 1000 forurban areasSchool Health Medical check-up Students of primary and upperProgramme and medicine primary schoolsNational Health Hospitalisation Poor familiesInsurance Scheme coverage up to` 30,000Employment Mahatma Gandhi 100 days Poor familiesNational Rural employmentEmployment for a person in aGuarantee Scheme householdEducational schemes and programmesrespond to few important problems, but at thesame time ignore other vital problems. Thequality of education at the primary andsecondary levels is one of the important issues.Annual Survey of Education Report (ASER)2009 1 shows that only 24.2 per cent studentsfrom 1 st to 8 th std. of government schools canread capital letters of English. Similarly, theSurvey shows that only 18.7 and 17.6 per centstudents from 1 st to 8 th std. of governmentschools can subtract and divide, while 14.1 percent students cannot do Arithmetic. The badquality education has been a prominent reasonJournal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


Empowerment from the Above – Responses and Impacts of Social Security Schemes in UP 51for growing reluctance among people to sendtheir children to government schools. Table 2shows the perception of the people about thequality of the education in the selected villages.People are satisfied with the infrastructuralfacilities in government schools but areextremely dissatisfied with the quality ofteaching. Remarkably, all the respondents (100per cent) express their dissatisfaction with thequality of education being provided ingovernment schools. In case of attendance ofappointed teachers in schools, villagers arevery clear that teachers are not very honest totheir duties.Table 2: Quality of EducationIssues Good % Bad % Don’t % TotalKnowCondition of the school building 77 85.6 13 14.4 0 0 90Quality of education 0 0 90 100 0 0 90Yes % No % Don’t Know % TotalDo the numbers of teachers in 24 26.6 26 28.9 40 44.4 90the school/college meet localrequirement?Do teachers come properly? 4 4.4 64 71.1 22 24.4 90Source : Primary Survey.Table 3 presents perception of thevillagers about the MDM. More than 90 percent respondents opine that this scheme isbadly managed. More than 80 per centrespondents say that this scheme is undersevere corruption. When respondents use theterm ‘badly’, they do not mean only corruptionbut many other issues are also involved suchas: the schedule of cooking food, carelessnessof the cook while preparing food, quality offood material, vegetables and sanitation. Manyrespondents complain that responsibleteachers and other authorities like villagepradhan purchase low quality food materials.Respondents also point out that the quantityof food that is served to children is not enoughto meet the needs of the children andremaining uncooked food material is sold outby responsible functionaries.Table 3: Functioning of the Mid-Day MealIssues/Responses Going % Badly % Don’t % Totalon well managed KnowHow the MDM is being 2 2.22 83 90.22 5 5.55 90implementedIs corruption involved in the Yes % No % Don’t % Totalfunctioning of this schemeKnowSource: Primary Survey.Journal of Rural Development, Vol. 32, No. 1, January - March : 201373 80.11 5 5.55 12 13.33 90JRD 2 (1)


52 Shyam SinghScholarship is another educationalsecurity scheme aiming to attract children foreducation and to provide them monitorysupport to meet their educational expenses.Table 4 gives a picture of how scholarshipschemes are being implemented in thevillages.Table 4 : Functioning of ScholarshipIssues/Responses Yes % No % Don’t % TotalKnowIs scholarship being provided 18 20 39 43.33 33 36.67 90timely to the students?Do children get full amount 14 15.56 40 44.44 36 40 90of scholarship?If no, is corruption going 40 44.44 0 0 0 0 40on in this scheme?Source : Primary Survey.Corruption is a major issue involved withthe implementation of scholarship schemes.Considerable number of people (43.33 percent) complain that their children do not getscholarship in time. Responsible authoritiesalways delay in disbursing the scholarship.Similarly, 44.44 per cent people mention thattheir children do not get full amount ofscholarship because of the corruption goingon in the implementation of this scheme.School authorities pretend that they had spenttheir own money to get the clearance of thesescholarships from higher government offices.Therefore, they deduct that amount from theamount of the scholarship which is to be givento the children.Now, let us see how health relatedschemes and programmes are responding tothe needs of the people. UP is one of the stateswhich scores lowest in health relatedindicators. UP registered 60 per cent lifeexpectancy rate at birth between 2002 and2006, while the life expectancy rate of Indiafor the same period was 63.5 per cent. Infantmortality rate (IMR) in UP in 2007 was 80 (16thamong all Indian states), much higher than theaverage IMR of all-India (63). In 2008, the IMRin UP came down to 67, but it is still higherthan the all-India level (53). Only Odisha (71)and MP (72) are behind UP. In 2005-06, 47.3per cent children below the age of three yearsin UP were underweight and 85.1 per centwere suffering from anaemia, while the all-India averages for the same indicators were45.9 and 79.2 per cent, respectively (Singh:2010, p. 77).Existing schemes and programmes arenot enough to deal with health relatedchallenges in the State. Though CentralGovernment is implementing National RuralHealth Mission (NRHM), a programme whichprovides health infrastructure facilities alongwith the child and women health developmentprogrammes, this programme has notdelivered expected outcomes. JSY has beenan exception. JSY has increased the numberof institutional deliveries. But it is doubtfulwhether JSY has any impact on reducing InfantMortality Rate (Jain : 2010, p. 15). One of thecrucial parts of health services is propertraining and skill development in healthfacilitators. NRHM Review Mission notes thatJournal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


Empowerment from the Above – Responses and Impacts of Social Security Schemes in UP 53none of skill development trainings hasreached the ground (Mehrotra : 2008, p. 53).The only scheme that seems to provide asustainable health security is National HealthInsurance Scheme. It offers health insuranceto poor which provides emergency healthexpenditure of ` 30,000 which the poorcannot afford by themselves.Despite major attention being paid oninfrastructure development, field realities donot reflect any impressive picture. Only onevillage has Allopathic sub-centre for healthservices. One sub-centre has been constructedin another village very recently and it is yet tobe inaugurated. Rest five villages do not haveany Primary Health Centre (PHC) or sub-centre.The habitants of these villages are dependenton the PHCs at their nearest town. Distance ofthese towns from villages varies fromminimum two km to maximum seven km.Availability of doctors, other medical staff andfacilities of medicines and proper care arelacking in PHCs where villagers generally gofor first medical care. For example, 76 per centrespondents note that doctors appointed inthe PHC do not come regularly. Frequency ofattendance of the appointed doctors at theirduty place is very low. Responses on thefrequency of doctors’ availability in PHC vary,as 25 per cent say that doctors come twice ina week and 16 per cent say thrice in a week.Though 32 per cent respondents say that theycannot give exact figure about the presenceof the doctors and supporting staff at the dutyplace, they are quite sure that non-availabilityof doctors in PHCs is a major problem that theyoften face.None of respondents from all six villagesfeel that the facilities provided in the PHCsaround their locality are at the level of theirsatisfaction. It pushes people to rely on privatehealth services, even though private servicesare very expensive and do not suit to thebudget of villagers and poor. PHCs have alsobeen given very important responsibilities fordisseminating health related informationincluding information about vulnerablediseases, sanitation, health care and existingschemes and programmes. But, the fieldsurvey indicates that PHCs are not doing thiswork as part of their responsibilities. About 98per cent respondents say that PHC at theirvillage, or nearest village, do not provide anyinformation about health related schemes andprogrammes available for the common peoplein rural areas. Similarly, PHCs also have veryimportant responsibility to organise trainingcamps and workshops to make people awareabout health issues. But PHCs are failing indoing that. Reflections from the beneficiariesinterviewed for the study are as follows:* 98 per cent respondents say that notraining camp or workshop has beenorganised in their villages in the durationof last three years. Poor facilities andinfrastructure at the PHCs affect choiceof the common people to rely on thepublic health centres for their healthcare.* 94 per cent respondents say thatmedicines and other medical facilitiesare bad.* 71 per cent respondents say that theydo not prefer to go to nearest PHC incase their relatives are ill owing to poorfacilities and non-availability of medicalstaff on emergency call.* Remaining 29 per cent respondentswho prefer to go to PHCs do so notbecause PHCs are good in taking care oftheir problems but since they do nothave enough money to afford expensesof private nursing homes and doctors.* Out of 29 per cent respondents, only 10per cent say that PHCs are good while,in contrast, remaining 90 per cent sayJournal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


54 Shyam Singhthat they go to public health centresbecause they do not have enoughmoney to pay for private hospitals.Let us move to another important humandevelopment aspect – employment.Employment situation in UP has been veryunsatisfactory. In UP, only 10.9 per cent of theworking population has regular employment,while 62.9 per cent are self-employed. Amongthe self-employed, 65.9 per cent of peopleare engaged in agriculture, and out of them53.1 per cent people are casual labourers. Atotal of 21.69 per cent people are casuallabourers 2 . Presently, the government does nothave any substantive employment generationscheme, except the Mahatma Gandhi NationalRural Employment Guarantee Scheme(MGNREGS) which aims to provide 100 daysemployment to a household in rural areas. But,this benefit is not sufficient to feed a housewhere normally 5-6 members live and lacks inproviding sustainable employment benefits topoor families. Implementation of NREGS hasbeen faulty and unproductive. On thefunctioning of NREGS, 90 per cent respondentslabel it as mal-functioned scheme. Whilestating reasons for the malfunctioning ofNREGS, 39 per cent respondents say thatcorruption is responsible for bad implementationof the scheme; 22.5 per cent say thatdistribution of benefits under this scheme isdiscriminatory.People’s Responses : Have Policies ofEmpowerment of Marginalised GroupsDelivered?It is very important to see how peoplefrom marginalised groups feel after realisingthe implementation of such policies which,principally, aim to empower socially andeconomically disadvantaged groups in thecountry. This analysis contains three specificissues to be examined. One, whether benefitsoffered by such policies and programmes arereaching real beneficiaries. Second, whetherthese benefits are adequate to meet the basicneeds of the marginalised people. And third,whether the delivered benefits have translatedinto the real empowerment of marginalisedgroups. It is found that local politics plays animportant role in determining as to who willtake what benefit. About 50 per centrespondents accepted that they have takenhelp from different political leaders inensuring benefits of ongoing social securityschemes (Table 5). The intensity of the politicalintervention can be understood from the factthat 91 per cent respondents feel that withouttaking political help it is difficult to get benefitsof ongoing welfare and human developmentschemes. Beneficiaries’ intention to seek helpfrom political leaders at the local level showstwo patterns. First, most of the beneficiariesapproached the leader of their own caste.Second, majority of beneficiaries took helpfrom the leaders of those parties whichrepresent the same caste respondents belongto. This fact shows that patron-clientrelationship is well integrated in thedistribution of social welfare and securitybenefits.Political intervention in the process ofimplementation of social security schemes islimited to only selection of beneficiaries.Politics do not help beneficiaries in avoidingadministrative mal-practices like red-tapismand corruption. For instance, all respondentswho have taken help from political leadersconfirm that they paid bribe to governmentofficials to secure benefits (Table 5). Therefore,results suggest that political intervention isbecoming necessary to get benefits, no mattera person is eligible to get it; and administrativemal-practices have made their own reignirrespective of the political power andintervention.Further, the greater question that comeson the way is whether the benefits that arebeing delivered to the marginalised sectionsof the society are sufficient to meet the needs.Journal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


Empowerment from the Above – Responses and Impacts of Social Security Schemes in UP 55Table 5 : Political Intervention in the Implementation of SchemesYes % No % Asked but % Total %leaderdenied/don’tknowHave you taken 44 48.8 40 44.4 6 6.6 90 100help from anypolitical leader/s?If yes, do you feel 40 90.9 2 4.5 2 4.5 44 100that without taking helpfrom political leader,you could not havereceived the benefit?Have you paid bribe? 44 100 - - - - 44 100Source : Primary Survey.Field experiences reveal that the quantity ofthe benefits is insufficient. Majority ofbeneficiaries do not find benefits adequate tomeet their needs. For more than 86 per centrespondents said that provided benefits arenot sufficient to meet their needs. Out of thosewho could find benefits insufficient, 57 percent beneficiaries said that they had to investmore than what government provided. Resthave spent either less than or equal to theresources that they got from the governmentsupport. Interestingly, out of those who soughtmore resources to meet their needs, 29 percent have borrowed from others and rest haveinvested self-earned resources. From theseresults it is clear that the benefits aiming atempowerment of marginalised sections arenot adequate. And, since support from thepolicies and programmes are not adequate, itcompels poor people to borrow from otherswhich adds further misery into their lives.Now, let us see whether policies andprogrammes that aim to empowermarginalised groups are really empoweringthem. Though empowerment is an outcomewhich can never be felt overnight, no betterthan them (marginalised group) can tellwhether they feel empowered or not. In thisregard, it is worth to mention that in UP,Bahujan Samaj Party (BSP), a political partywhich claims that it represents ScheduledCastes (SCs), most marginalised section ofIndian society, is in power. BSP has adoptedthe Sarvajan policy that aims to deliver socialwelfare and human development benefits toall sections of society with more focus onsocially deprived sections. The philosophybehind this policy is to bring social coherence.Policy envisions that upper caste peoplewould mingle with lower caste people andwould prevail social harmony among themwhich would end social discrimination. Sinceimplementation of polices and programmesin UP are being carried away under the sloganof Sarvajan, it is interesting to see whetherthe policy has brought any change in theirsocial status. If social status of marginalisedgroups changes, economic inequalities wouldautomatically go down. In India, economicinequalities are predominantly driven by socialrelations.Journal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


56 Shyam SinghTable 6 reflects the responses from theSC community as well as all the respondents.One important point to be observed here isthat people from marginalised groups realisethat certain policies are being implementedfor them. In this study, out of 90 respondents49 belong to SC community. All SCrespondents feel that they are getting benefitsbecause they belong to SC community.Implication of this result is that there is a senseof realisation among the marginalised sectionsthat they get space in the policy domains andthere is an exclusive attention being paid bythe government for their upliftment. But, onthe issue whether these policies have reallydelivered the changes that would leadmarginalised groups to the empowerment,responses from marginalised people put aquestion on the feasibility of these policiesand programmes. While responding to thequestion whether people from marginalisedsections who have taken benefits of varioussocial welfare schemes feel that Sarvajanpolicy has resulted in any positive changes inthe relations between SCs and upper castes,92 per cent respondents answered negatively.It shows that these policies have not deliveredsocial change. It means that marginalisedsections, even though they are receivingvarious benefits, are discriminated socially, andtherefore, economic inequalities are likely toexist.Table 6 : People’s Response Over Impact of Policies and ProgrammesYes % No % Don’t % Total %knowDo you think that you are 48 97.9 - - 1 2.0 49 100getting benefits becauseyou belong to the SC community?Do you feel that Sarvajan 1 1.1 83 92.2 6 6.6 90 100policy has resulted in anypositive change in relationsbetween SCs and upper castes?Source: Primary Survey.Discussion and ConclusionResults presented in previous sectionshow that policies and programmes that aimto empower marginalised sections have notbeen successful in achieving their goals.Problems that come on the way to achievethis goal are occurring at three levels. One,policies do not address human developmentproblems fully. Many human developmentaspects are untouched by the existing policyinitiatives. Second, the implementation of suchpolicies is affected by administrativemalpractices and attracts involvement of localpolitics which has a cost for real beneficiaries.Third, benefits that are being delivered lacksufficiency and sustainability. Let us discussone by one.As discussed in the fist section, schemesand programmes aiming at humandevelopment do not reflect upon the realsituations. Both Central and State governmentsare implementing various policies andmissions which are inadequate to addresshuman development challenges that exist onthe ground. An appropriate question emergesas to why it is happening. There are two issuesJournal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


Empowerment from the Above – Responses and Impacts of Social Security Schemes in UP 57to look into in this regard. One, whether Indianstate has narrowed its scope as a welfare stateand is not allowing its treasury to be openedbeyond a limit. In this context, Jayal’s (1994)argument stands valid that India is not acomplete welfare state, but is aninterventionist state with a limited welfaristorientation. Jayal argues that the morale criticof the welfare state launched by neoliberalismhas been absent in Indian context.According to these critics, distributivemeasures under the umbrella of the welfarestate go against the individual freedom andrights. Rights have never been central to thephilosophy of welfare that underpin thewelfarist initiatives of the Indian state. Sincewelfare is not expressed in the language ofrights, its abandonment could arguably be arelatively simple matter, as there are neitherlegal/constitutional nor moral or politicalcriteria defining the claimants of welfare rights(Jayal: 1994, p. 19-20).Second issue is the politics of affirmativeaction and welfare. Indian Constitution allowsIndian state to provide special measure tothose who are socially and economicallymarginalised, and that has created the policyof affirmative actions. But this policy hasbecome a political instrument than a welfarecontingency. Since Indian polity is very diverseand fragmented, each State has its ownpolitical realm which is necessarily differentfrom others. This diversity has preventednational policies to be implemented inuniform shape. Since any policy has to beadjusted into the political dynamics of theparticular state and must bring incentives tothe politics; aims and objective of the policyget distant shape while travelling from onestate to another. This is one of the reasonswhich clarifies as to why some Indian Statesare doing well in certain areas of humandevelopment and social welfare, but at thesame time, few States have failed. Therefore,it is the politics which shapes social welfarepolicies, not needs of marginalised groups.Journal of Rural Development, Vol. 32, No. 1, January - March : 2013At the implementation level, policies andprogrammes have to face local politicaldynamics too, irrespective of administrativemalpractices, which make execution of policyinitiatives difficult. The local politics mayintervene in the process of distribution ofpublic goods in two ways. First, it may worknegatively, and may divert the flow of publicgoods towards those people who are notentitled to receive those goods. This kind ofpractice takes place either because of strongpatron-client relationship or due to theprevalence of corrupt practices amongpoliticians. Secondly, the local politics maywork positively in terms of either providinginformation about existing schemes andprogrammes or facilitating eligible people toaccess those services. In this study, the firsttrend of political intervention is allencompassing,while latter one is nearlyabsent. Local political dynamics changeaccording to changes in the government atthe State level. If a particular party is in powerin the State, local leaders of that party influencethe distribution of benefits of differentschemes.In addition to the political constructionof policies of empowerment and influence oflocal politics, policies themselves attractcriticism of not being adequate andsustainable to meet the basic needs of thepeople. This fact questions the eligibility ofpolicies of empowerment. Empowermentmeans that a person should be able to live adignified life in a society without lacking anybasic needs that are necessary to fulfill theconditions of a dignified life. A person cannotbe empowered by providing contingencies,but it should be made sure that thesecontingencies should enable a person to standon his/her feet to avoid further contingencies.Most of the policies that are beingimplemented to empower marginalisedprovide short-term benefits which areconsumable at one time. These policies lacksustainability.JRD 2 (1)


58 Shyam SinghBox 1: Suran Village- Local Politics and Distribution of BenefitsSuran is numerically dominated by the upper castes with sizeable part of SCs. VillagePradhan (chairperson) belongs to Brahmin (a high caste) community. Pradhan’s family, andmany other Brahmins of the village, were associated with the ruling party (BSP) at the time oflast State assembly elections 2007. SCs who are integral constituency of the ruling party areunhappy with the functioning of panchayat and distribution of benefits as Brahmin Pradhancares for his own people. Because, Brahmins are having political link with the BSP, SCs get stuckin going opposite to them but they are not happy with the way Brahmins treat them. One youthfrom SC community who is very active within the local party organisation said, “We are bondedwith the party, we can not resist since local MLA is their people and on other hand it is the partywhich keep us together, but they do not bother us, they do what is suited for their interest”. Thiskind of expression is the reflection of the way power has centralised in local dominant caste i.e.Brahmins and the way power is exercised. Since now upper castes are part of party they getbenefit of hesitation from the side of oppressed castes who are politically associated with theupper caste under the banner of same party.As one villager pointed out, “Pradhan gives benefits to those who are very close to him orhis family or people from his caste”. One villager further complained that the work scheduledunder NREGS, is being provided to Pradhan’s own people, and those who are not very wellacquainted with them get very less work. Since, Pradhan is himself from the ruling party, commonpeople or people from the BSP do not get scope to go against him. The domination of Brahminsin the village gets strengthened because of splits within the SC community itself. Nat (A subcasteof SC which traditionally plays shows in the village for the amusement of the people) andDohres (another sub-caste of SC) are two different groups which are against each other. Natusually support Brahmins, therefore, they are away from Dohres. Being with the Brahmins, Natgets more benefits of different schemes and programmes than Dohres.While summing up the discussion it canbe noted that policies of empowerment ofmarginalised groups have not deliveredeconomic empowerment, therefore,marginalised groups are also not sociallyempowered. These policies have potential toprovide benefits to the needy which can solvethe problem at one time but lackssustainability. Similarly, evidences show thatthese policies do not have ability to negotiatewith the social traditions and practices whichare major causes for the discrimination ofhuge chunk of population. Unless socialdiscrimination is addressed, there is very littlehope to empower those people who are atthe margin of society and deprived ofeconomic benefits.Journal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


Empowerment from the Above – Responses and Impacts of Social Security Schemes in UP 59Notes1 Annual Survey of Education Report for Rural UP 2009, Assessment Survey Evaluation Research(ASER), available in www.asercentre.org, viewed on May 15th, 2010.2 NSSO, 62nd round, Employment and Unemployment Situation in India, Report No. 522, 2005-06 and India Labour Report 2008.Reference1. Currie, Bob (1996), ‘Governance, Democracy and Economic Adjustment in India : Conceptualand Empirical Problems’, Third World Quarterly, Vol. 17 (4), pp. 787-807.2. Jain, Anrudh K (2010), ‘Janani Suraksha Yojana and Infant Mortality Rate, Economic and PoliticalWeekly, Vol. 45(11), pp. 15-16.3. Jayal, Niraja Gopal (1994),‘The Gentle Leviathan : Welfare and the Indian State’, Social Scientist,Vol. 22, Nos. 9-12, pp. 19-27.4. Mehrotra, Santosh (2008), ‘Public Health System in UP : What Can be Done? Economic andPolitical Weekly, December 6, pp. 46-53.5. Singh, Shyam (2010), ‘Three Years of the BSP Government in Uttar Pradesh’, Economic andPolitical Weekly, Vol. 45 (38), pp. 77-81.6. Varshney, Ashutosh (2000), ‘Have Poor Democracies not Eliminated Poverty- A Suggestion’,Asian Survey, Vol. 40 (5), pp. 718-736.Journal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


Journal of Rural Development, Vol. 32, No. (1) pp. 61 - 74NIRD, Hyderabad.DRINKING WATER AND SANITATIONIN UTTAR PRADESH : A REGIONALANALYSISRashmi Tiwari andSanatan Nayak*ABSTRACTThis paper highlights the inter-regional disparity in coverage of drinking waterand sanitation services in Uttar Pradesh and measures the impact of literacy rate,female literacy rate and per capita income on sanitation. The secondary level dataare collected from the National Family Health Survey, District Level Health Survey, UttarPradesh HDR Report, Census and NSSO to assess the above objective.The analysis of access to drinking water and sanitation shows that the provisionof piped water supply still remains an unachieved goal in Uttar Pradesh. Moreover, itshows that a large part of the Uttar Pradesh households depend on their own privatetubewells and pumps for their daily water needs. Uttar Pradesh has low coverage forboth household sanitation and drainage service compared to all India level. As perthe Census 2001, there are about 2.58 crores of households in the State and only 28 percent households have individual household toilets. The paper reveals inter-regionaldisparity in Uttar Pradesh in the availability of drinking water and sanitation.A multiple linear regression model is used to estimate the impact of variousdetermining factors, i.e. literacy rate, female literacy rate and per capita income onsanitation facilities. The results reveal that female literacy rate plays a significant rolefor improving access to sanitation facilities. So, the highest priority to female literacyand schooling should be given in the development programmes for improving theconditions.IntroductionAccess to basic amenities such as safedrinking water 1 and sanitation 2 is not only animportant measure of socio-economic statusof the household, but also a fundamentalelement to the health of the people.Inadequate and poor quality of drinking waternot only resulted in more sickness and deaths,but also augments health costs, low workerproductivity and school enrolment (Haq, M.,et. al, 2007).Definitions of improved drinking watersources and sanitation facilities are differentwithin and among countries and regions; JointMonitoring Programme (JMP) 3 has defined aset of categories for them. An improved sourceof drinking water includes, in addition to waterpiped (into the dwelling, yard or plot), water* Research Scholar and Associate Professor, Respectively, Department of Economics, Babasaheb BhimraoAmbedkar University, Lucknow - 226025, India. E-mail: rshukla1176@gmail.com.


62 Rashmi Tiwari and Sanatan Nayakavailable from a public tap or standpipe, atubewell or borehole, a protected dug well, aprotected spring, and rainwater. An improvedsanitation facility includes flush to piped sewersystem, septic tank, pit latrine, pit latrine withslab and composting toilet (WHO Report,2010). The major limitation of the method isthe assumption of households getting enoughwater for their consumption needs from suchsources.Disparity is a relative concept anddetermined by history and social conditioningand permits no universally acceptabledefinition. Disparities are natural, but extremedisparities are a sign of processes that do notwork and can cause problems (Moe &Rheingans, 2006). Inequitable access to waterand sanitation is the product of disparities infresh water resources, income, power andinstitutional capacity between and withincountries. Disparity in access to and use ofwater, and share in beneficial publicexpenditure in water sector, can beunderstood in at least four overlappingconnotations (Phansalkar, S.J., 2007).Spatial disparity refers to disparitybetween people living in different regions(rural-urban, less developed and moredeveloped regions, within and betweenregions etc.). Generally drinking water isliberally supplied to urban areas and withinthem to higher income groups. Kanmony(2003) found the urban-rural disparity in theprovision of drinking water. Rural people arediscriminated against and deprived of theirrights to enjoy basic services. There has beena positive relationship between the level ofeconomic development and access to drinkingwater (Kundu and Thakur, 2006; Zerah, 2006).There are considerable variations betweenlarge urban centres, small towns and cities inpiped water supply and sanitation services inIndia (Zerah, 2006; Shaban A. & R. N. Sharma,2007).Social disparity refers to disparitybetween different groups of people livingbroadly in the same locality (minority andmajority communities, poor and rich people,intra and inter-caste groups). The inequality inconsumption of water is not only confined tothe domestic sector but also in agriculture,industrial and other sectors. It is observed thatdisadvantaged groups are discriminatedagainst in the provision of safe drinking water(Kanmony, 2003; A. Shaban, R. N. Sharma, 2007& Darshan Singh, 2009). A study on review ofdevelopment of scheduled castes in India alsoshows clear disparity between scheduledcastes and other castes in access to drinkingwater source, distance and improvedsanitation facility (Singh, D., 2009). A recentstudy shows that there is a clear disparitybetween the public services received by theinhabitants, depending on their economicstrata (Mohan, P., 2005, Kamyotra & Bhardwaj,2011).Gender disparity refers to disparitybetween genders (male-female, within andbetween female and male population groups)in regard to share of labour costs, efforts inaccess to and use of water and share in itsbeneficial uses and products. Women and girlsare disproportionately burdened by waterscarcity and this increases inequalities: theysacrifice their time and education to collectwater (Moe & Rheingans, 2006).Inter-generational disparity refers toequity in enjoyment of natural resources,including water, across generations. In fact, inanother twenty years, half of our demand forwater could remain unmet if the presentpattern of demand and supply continues(Tiwari & Pandey, 2011). Inefficiency in wateruse and irresponsibility in the management ofwater resources pose a serious threat to ourwater security and sustainability.Journal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


Drinking Water and Sanitation in Uttar Pradesh: A Regional Analysis 63MethodologyBased on the above background ofdrinking water and sanitation, the paper studiesthe following aspects :1. To assess the inter-regional disparity incoverage of drinking water andsanitation services in Uttar Pradesh.2. To identify the determinants ofsanitation and subsequent policyimplications for the State.The study is based on the analysis ofsecondary data. The data from Surveysconducted by the National Family & HealthSurvey (NFHS-3), District Level Health Survey,Uttar Pradesh HDR Report (2003&06), NSSReport No. 435: (2008-2009) and Census(2011) are used for analysis.Multiple Linear Regression Model(normal and double log model) are used tostudy the impact of various determinants onsanitation. Various explanatory variables, viz.,literacy rate, female literacy rate and per capitaincome are considered to be significant factorson sanitation. Moreover, regional disparity isobserved by using various rounds of NFHS -2&3, DLHS, Uttar Pradesh HDR and NSSO data.Access to Drinking Water and Sanitation inUttar PradeshWater supply is a state subject, whereUnion Government is only responsible forsetting water quality standards, but StateGovernment has to establish departments orspecial agencies for supply of domestic waterto urban and rural areas. These Stategovernment agencies are also responsible formonitoring the quality of water supplied(Srikanth, R., 2009). Uttar Pradesh is the mostpopulous State having the largest urbansystem in the country with 628 municipalities.However, it ranks 18 th in the level ofurbanisation. The process of urbanisation in theState has been favourable towards larger cities.The emerging trends of urbanisation in theState necessitate two-pronged strategy forbalanced regional urban development, i.e.,better management of large cities andinducing planned growth of small andmedium towns (Uttar Pradesh Annual Plan,2010-11).Extent and Composition of DrinkingWater : Uttar Pradesh State Water Policy, 1999says, “Water for drinking and domestic use hasthe highest priority while allocating the waterresource of the state. The state has to provideadequate drinking water facilities (both forpeople and livestock) to the entire populationin both urban and rural areas up to the year2025. Sanitation facilities for entire populationin urban areas and most of the rural areasshould also be provided.”There are significant disparities betweenUttar Pradesh and India in regard to use ofsources for drinking water (Table 1). The bulkof the households in urban India depend onthe municipal water supply for their dailyneeds, i.e., more than 70 per cent depend ontap water. It may be noted that about 63.4 percent of urban households in Uttar Pradesh usetubewell/handpump as their major source. Thismeans that the main source of drinking waterin urban Uttar Pradesh is tubewell/handpump.One noticeable feature of urban householdsduring 1998-99 to 2005-06 can be observedfrom NFHS (2&3) that there has been a gradualdecrease in the share of “piped water”. On theother hand, there has been a gradual increasein the share of “tubewell/ handpump” for bothUttar Pradesh and India. The penetration ofmunicipal water supply is not only low, butalso quite poor in terms of access. Mosthouseholds depend on tap water either fromneighbours, or on basis of group sharing, orboth (Bajpai & Bhandari, 2001).Journal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


64 Rashmi Tiwari and Sanatan NayakTable 1: Per cent Distribution of Urban Households bySource of Drinking Water in Uttar Pradesh and IndiaMajor Source of Drinking Water NFHS-2 (1998-99) NFHS-3 (2005-06)Uttar Pradesh India Uttar Pradesh IndiaPiped Water 42.9 74.5 34.9 71.0Tubewell/Handpump 55.2 18.1 63.2 21.3Well Water 1.7 6.0 0.5 4.8Surface Water 0.1 0.4 0.1 0.3Others 0.1 1.0 1.4 1.8Source : Computed from the data provided by NFHS-2(1998-99) & NFHS-3(2005-06).In 1998-99, nearly 42 per cent in UttarPradesh and 74 per cent in India used tap assource of drinking water which decreased tonearly 40 per cent in Uttar Pradesh and 71 percent in all over India level. While in case oftubewell/handpump as major source nearly 55per cent in Uttar Pradesh and 18 per cent inIndia used it in 1998-99, which increased to63 per cent in Uttar Pradesh and 21 per centin all over India level.Table 2: Per cent Distribution of Rural Households bySource of Drinking Water in Uttar Pradesh and IndiaMajor Source of Drinking Water NFHS-2 (1998-99) NFHS-3 (2005-06)Uttar Pradesh India Uttar Pradesh IndiaPiped Water 5.5 25 2.0 28.9Tubewell/Handpump 76.7 47.3 89.8 53.2Well Water 15.7 23.5 7.8 15.4Surface Water 2.0 3.5 0.3 2.2Others 0.2 0.7 0.1 0.6Source : Computed from the data provided by NFHS-2(1998-99) & NFHS-3(2005-06).The pattern of drinking water fromvarious sources in urban sector is quitedifferent from rural areas in Uttar Pradesh aswell as India. In all over India, there has been agradual increase in the share of both thesources ‘tap’ and ‘tubewell/handpump’, and acorresponding decrease in the share of ‘well’.The situation in Uttar Pradesh shows distinctpattern, with that share of ‘tap’ as major sourceof drinking water has declined from 5.5 percent in 1998-99 to 2 per cent in 2005-06. Alarge part of the rural households depend onJournal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


Drinking Water and Sanitation in Uttar Pradesh: A Regional Analysis 65their own private tubewells and handpumpsfor their drinking water in Uttar Pradesh. It isobserved that the provision of basic necessitieshas an urban bias. Drinking water is not anexception. A simple measure of the bias, theurban-rural difference is examined in Tables 1& 2. It may be noted that considerable variation(urban and rural) exists within Uttar Pradeshand India.Piped water and tubewell/handpump,both are the major sources of drinking waterat all India level (Table 3). Many householdsdo not have access to water on tap in almostall cities and towns in Uttar Pradesh. About 83per cent households depend on their ownprivate tubewells and pumps for drinkingwater.Table 3 : Per cent Distribution of (Urban + Rural) Households bySource of Drinking Water in Uttar Pradesh and IndiaMajor Source of Drinking Water NFHS-2 (1998-99) NFHS-3 (2005-06)Uttar Pradesh India Uttar Pradesh IndiaPiped Water 13.5 38.7 10.3 42Tubewell/Handpump 72.1 39.2 83.1 42.8Well Water 12.7 18.7 6.2 11.9Surface Water 1.6 2.6 0.4 2Others 0.1 0.8 0.1 0.8Source : Computed from the data provided by NFHS-2(1998-99) & NFHS-3(2005-06).At the all India level, there has beengradual increase in the share of both thesources ‘tap’ and ‘tubewell/handpump’, but thepattern is different in Uttar Pradesh. The shareof ‘tubewell/handpump’ has been increasedfrom nearly 72 to 83 per cent and the share of‘tap’ has been decreased from about 13 to 10per cent in Uttar Pradesh. Population pressure,resource endowment, lack of infrastructureand low expenditure of Uttar Pradeshgovernment on water supply and sanitation(WSS) sector lie behind it (Uttar Pradesh HDRReport, 2006). It is clearly revealed that theallocation of revenues towards WSS has beendecelerated during first decade of this centuryin Uttar Pradesh. Uttar Pradesh spends around1.2 to 5.8 per cent of its social sectorexpenditure on WSS. The share of WSS in socialsector expenditure was 4.36 per cent in 1990-91, and reduced to 1.23 per cent in 2009-10.Uttar Pradesh spends between 0.66 to 1.5 percent of the total expenditure on WSS. In termsof percentage of aggregate expenditure, itwas 1.67 in 1990-91 and reached a higherlevel of 1.99 in 1997-98, then declined to 0.46in 2009-10 (Reserve Bank of India, 2010,Handbook of State Finances). Poor andintermittent supply may be one reason for lowcoverage of piped water for both urban andrural households compared to all India level.Extent and Dimension of Sanitation :Sanitation was defined to include connectionto a sewer or septic tank system, pour-flushlatrine, simple pit or ventilated improved pitlatrine, with allowance for acceptable localtechnologies. The excreta disposal system wasconsidered adequate if it was private or sharedJournal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


66 Rashmi Tiwari and Sanatan NayakTable 4 : Per cent Distribution of Urban, Rural and Total Householdsby Types of Latrine for U.P. and India in 2008-09Type of Latrine Urban Rural TotalUttar Pradesh India Uttar Pradesh India Uttar Pradesh IndiaNo Latrine 14.2 11.3 79.2 65.2 65 49.2Service Latrine 4.4 1.6 1.5 1.2 2.1 1.4Septic Tank/Flush 72.8 77.3 12.6 17.9 25.7 35.4Pit Latrine 6.5 8 5.9 14 6.1 12.2Others 1.6 1 0.5 1.2 0.7 1.2Source : Computed from the data provided by NSS Report No. 535, 2010.(but not public) and if it hygienically separatedhuman excreta from human contact (NSSReport No. 535, 2010, p.26). Definition ofsanitation 4 facilities are provided in detail inNotes. Based on these definitions, thestructure and extent of sanitation facility hasbeen assessed as follows.Table 4 reveals that the toilet coverageboth in rural and urban areas of Uttar Pradeshis much lower compared to all India level.About 50 per cent of households in India havetoilet facility, while only about 35 per centhouseholds in Uttar Pradesh have toilet facility(NSS Report, 2010). In Uttar Pradesh, there arelarge disparities between urban and rural areasin access to toilet facility. About 85 per cent ofhouseholds in urban areas have toilet facility;on the other hand, only 20 per cent ofhouseholds have toilet facility in rural areas.The general rural population is of the opinionthat owning and using a toilet is not ahousehold priority but a luxury. Opendefecation continues to be the norm in largeparts of the State especially in the rural areas(Arya, Y.B., 2009).According to census 2011 data, only 46.9per cent of Indian households and 35.6 percent of households in Uttar Pradesh havelatrine facility. Open defecation continues tobe a big concern. Sanitation facility in urbanareas is better than rural areas (Table 5). Variousstudies find urban-rural disparity in provisionof drinking water and sanitation facility(Kanmony, 2003; Moe & Rheingans, 2006).It may be noted that sanitation facility isnot as much improved in Uttar Pradesh ascompared to India. Census data show that thepercentage of Indian households having nolatrine declined from 78.1 to 69.3 in rural areasand from 26.3 to 18.6 in urban areas. In otherwords, there is 8.8 per cent improvement inrural areas and 7.7 per cent improvement inurban areas at all India level. While a mere 2.6per cent improvement in rural areas and 3.1per cent improvement in urban areas tookplace in Uttar Pradesh during last 10 years.There are many reasons for the failure toachieve sanitation coverage-* Sanitation and drinking water are grosslyunderfunded. There are inadequateinvestments for improving WSSinfrastructure.* Investments made in sanitation andwater do not yield proportionate resultsJournal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


Drinking Water and Sanitation in Uttar Pradesh: A Regional Analysis 67Table 5 : Per cent Distribution of Urban, Rural and TotalHouseholds by Types of Latrine for Uttar Pradesh and IndiaType of Latrine Urban Rural TotalUttar Pradesh2011 2001 2011 2001 2011 2001Water Closet 77.2 32 15.9 1.9 29.8 8Pit Latrine 2.9 18.1 4.5 8.3 4.2 10.3Other Latrine 3 30 1.3 8.9 1.7 15.2No Latrine 16.9 20 78.2 80.8 64.4 68.6IndiaWater Closet 72.6 46.1 19.4 7.1 36.4 18Pit Latrine 7.1 14.6 10.5 10.3 9.4 11.5Other Latrine 1.7 13 0.8 1.5 1.1 6.9No Latrine 18.6 26.3 69.3 78.1 53.1 63.6Source : Computed from the data provided by Census 2011.because of poor planning andimplementation.* Politically, sanitation and drinking waterare not a great priority.* The benefits of sanitation and watersupply are social and shared in nature,while the costs are private andgovernmental.* Poor cost recovery is also one of the mainreasons for poor condition of WSS sector.The tariff rates being charged from theconsumers are very low. The water andsewer tax is set at 12.5 per cent of theannual rental value of the property forunmetered consumers, which isassumed to depend on the size and othercharacteristics of property. Noconsiderations of coverage of capital orO & M expenditures or cost are takeninto account.Region-wise Access to Drinking Water andSanitationUttar Pradesh occupies the centralposition in the northern India. It is one of thelargest and most backward states in India witha diverse composition. Uttar Pradesh hassuffered from different types of inequality, i.e.regional disparity is one among them. Thereare four regions 5 in the State, viz., (1) Easternregion, (2) Western region, (3) Central region,and (4) Bundelkhand region (Diwakar, 2009).Economically, the Western region is themost developed with higher levels ofurbanisation, i.e., better infrastructure, higheragricultural productivity, higher per capitaincome levels, i.e., ` 18,959 in 2006-07 atJournal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


68 Rashmi Tiwari and Sanatan Nayakcurrent price, and lower poverty levels (Govt.of Uttar Pradesh, 2010-11). Eastern regionsuffers from high population pressure and lowdegree of diversification of the economy,while Bundelkhand region falls in the droughtpronedry region. The Central region scoresrelatively better in terms of economicindicators as compared to the two backwardregions (Government of Uttar Pradesh, 2010-11).The Government of India considers onlytap, tubewell, and handpump (TWHP) aspotable sources. According to the definitionof Census of India, if a household has accessto drinking water from a tap, tubewell orhandpump situated within or outside thepremises, it is considered as having access tosafe/improved drinking water (Lohia, Shital,2006). Based on the above definition, thestructure and extent of drinking water facilityhas been assessed as follows.As per the District Level HouseholdSurvey (DLHS-2&3), the coverage withTable 6 : Access to Improved Drinking Water in U. P. in Different Regions(in per cent)Region DLHS -2 DLHS -3 Difference of(2002-04) (2007-08) DLHS -2 & 3Eastern region 90.31 93.27 2.96Western region 93.75 97.99 4.24Central region 87.2 93.44 6.24Bundelkhand region 79.21 90.51 11.3Uttar Pradesh 90.8 94.8 4.0Source : Computed from the data provided by DLHS-2 and DLHS-3, Uttar Pradesh, IIPS, Mumbai.improved drinking water is 94.8 per cent inUttar Pradesh. This coverage only indicates thepercentage of households using potablesources for their drinking water needs. But thisdoes not mean that 94.8 per cent ofhouseholds have adequate drinking waterfacilities. Various studies also confirm that thecoverage figures do not reflect actualavailability of water supply, which is betterreflected by service quality indicators such ashours of supply, water quality and quantity(Mavalankar, F. & M. Shankar, 2004; Pandey, etal, 2006; Pushpangadan, 2006 and Mingxuan,F. & Bhano ji Rao, 2011).There are considerable inter-regionaldisparities so far as access to drinking waterwith improved source are concerned (Table6). Western region is the only region that hasreached above 95 per cent coverage withimproved drinking water. As various studiesconfirm, there is a positive relationshipbetween the level of economic developmentand access to drinking water. Developed statesreport a high percentage of households havingaccess to safe drinking water (Kundu & Thakur,2006 and Zerah, 2006).Bundelkhand region has lowest accessto drinking water in both surveys among allregions but it reports highest improvement incoverage (11.3 per cent) in between DLHS-2&3. This region has distinct naturalcharacteristics as compared to the otherJournal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


Drinking Water and Sanitation in Uttar Pradesh: A Regional Analysis 69regions. The region has also shown greatereconomic dynamism and poverty levels havedeclined sharply in late nineties (Uttar PradeshHDR Report, 2006).At the district level, there are glaringdisparities in access to improved drinkingwater facility. Bareily has reached almostuniversal coverage while only 75 per centhouseholds in Mirzapur obtain their drinkingwater from improved source.Sanitation facility is inadequate in almostall regions of Uttar Pradesh. As per the Census,percentage of households having sanitationfacility in Uttar Pradesh increased from 18.02in 1991 to 31.43 in 2001 and 35.6 in 2011. Infact the improvement works out to be loweri.e., 4.17 per cent during 2001-11 comparedto 13.41 per cent during 1991-2001.Bundelkhand region and Western region reporta relatively higher increase in coverage i.e.,5.22 and 5.17 per cent during 2001-11,respectively. Eastern region reports the lowestincrease in coverage i.e., 1.67 per cent during2001-11 (Table 7).Sanitation situation is much worse as 65per cent population of Uttar Pradesh do notTable 7 : Access to Sanitation Facility in U.P. in Different Regions(in per cent)Region 1991 2001 2011 Difference Differenceof 1991-01 of 2001-11Eastern region 9.47 19.47 21.14 10.00 1.67Western region 25.50 42.93 48.1 17.43 5.17Central region 17.59 28.14 30.87 10.55 2.73Bundelkhand region 13.33 23.82 29.04 10.49 5.22Uttar Pradesh 18.02 31.43 35.6 13.41 4.17Source : Computed from the data provided by U.P. HDR report, 2003 & 2006.still have access to sanitary latrines and basichygiene (Census 2011). Sanitation levelsespecially in the Eastern region of the Stateare far below the State average as only 21.14per cent households have sanitation facility.Highest per cent of households ofWestern region have accessibility to toiletfacility than those of in other regions. WesternUttar Pradesh is agriculturally prosperous andrelatively industrialised than other regions. Theworst condition of sanitation facilities isidentified in Eastern region. Only one-fifth ofhouseholds have a toilet facility in Easternregion. Among them Shravasti has theminimum percentage i.e., 12 of this facility.Varanasi district reports sanitation coverageabove 50 per cent in Eastern region, while inWestern region, 10 districts have above 50 percent household accessibility to toilet facility.The situation for sanitation facilities isalso worse in Central and Bundelkhand regions.Only 30 per cent households in Central regionand 29 per cent households in Bundelkhandregion have access to toilet facility.Bundelkhand region is the least developedregion in the State due to low agriculturalgrowth, less number of industrial units andlesser gross value of industrial products (UttarPradesh HDR Report, 2006).Journal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


70 Rashmi Tiwari and Sanatan NayakThe State has exhibited significantregional disparity in accessibility to toilets(Figure 1). Various studies confirm that lowlevels of latrine usage are due to lack ofawareness of the importance of sanitation,water scarcity, poor construction standards andthe expensive policy on standardised latrineby government (Arya, Y.B., 2009).Empirical AnalysisMultiple Regression Analysis by usingOrdinary Least Square method has been usedto study the impact of various explanatoryvariables on sanitation facility across districtsin Uttar Pradesh. It examines the impact ofliteracy rate, female literacy rate and per capitaincome on access to sanitation facility. Thefunctional form of both simple Regressionmodel and Log-Linear Regression model areas follows.SF = b 0+ b 1LR + b 2FLR + b 3PCI + U I(1)LSF = b 0+ b 1LLR + b 2LFLR + b 3LPCI + U I(2)Where SF is the sanitation facility; b 0isthe intercept; b 1,b 2and b 3are the co-efficientsassociated with LR, FLR and PCI, respectivelyand U Iis the error term. LR is the literacy rate,FLR is female literacy rate and PCI is per capitaincome.Table 8 : Results of Both MRF& LMRF in Uttar PradeshDetermining Factors Multiple Regression Multiple RegressionFunctionFunction (Log)Constant 39.46 (3.04) -0.73(0.36)FLR 2.26 (3.95*) 2.61 (3.44*)PCI 0.0018 (5.71*) 0.9(7.38*)R 2 51.95 61.58F-Statistics 23.78 35.25Note : The values in the parentheses are t-values.* indicates 1 per cent level of significance.Journal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


Drinking Water and Sanitation in Uttar Pradesh: A Regional Analysis 71In model (1), there is a positiverelationship between female literacy rate andper capita income with sanitation facility. Iffemale literacy rate and per capita incomeincrease by 1 unit, on average, sanitationfacility increases by about 2.26 and 0.0018units, respectively. However, R 2 value suggeststhat about 52 per cent of variation in access tosanitation facility is explained by femaleliteracy rate and per capita income.Similarly, model (2) explains that anincrease of 1 per cent in female literacy rateleads to increase of 2.61 per cent of sanitationfacility and 1 per cent increase in per capitaincome leads to 0.9 per cent increase insanitation facility (model 2). Adjusted R 2 valueis estimated at 0.5983. It reveals that about 60per cent of the variation in sanitation facility isexplained by female literacy rate and percapita income.Summary and ConclusionsThis paper clearly reveals that the currentstate of water supply in Uttar Pradesh isinadequate covering all standards, either it isfor urban areas or rural areas. In Uttar Pradesh,90 per cent households do not have access totap water. Tubewells and handpumps aredominant sources in Uttar Pradesh while pipedwater is the most common source of drinkingwater at all India level.Present status of sanitation facility in UttarPradesh is even worse compared to all Indialevel. No district in the State at present hasbeen able to ensure sanitation facilities for allthe houses. About one-third houses in urbanareas in the State do not have toilet facility.The paper has highlighted the wideinter-regional disparities in access to drinkingwater and sanitation facilities in Uttar Pradesh.Western region, the most developed regionof the State, reports the highest coverage inaccess to drinking water and sanitationfacilities among all regions. Inequalities arepervasive in the availability of drinking waterand sanitation facilities both in the rural andurban areas of the State.Regression analysis confirms significantinstrumental role of female literacy rate forimproving access to sanitation facilities. Thisunderlines the need for giving highest priorityto female literacy and schooling in thedevelopment programmes of Uttar Pradesh.Few aspects related to worse conditionsof drinking water and sanitation facility areaddressed in the present paper. Drinking waterand sanitation facility of Uttar Pradesh can beimproved by enhancing the share of WSSexpenditure in social sector and totalexpenditure, by increasing political and socialpriority to sanitation and water supply, byformulating the water tariff rates, etc.Notes1 Drinking water is defined as the water consumed by a human being for maintaining thebiological functioning of the body.2 Sanitation refers to the measures, methods and activities that prevent the transmission ofdiseases and safeguard public health.3 Joint Monitoring Programme (JMP) began in 1990 by WHO and Unicef to monitor progress inthe drinking water and sanitation sector.4 Open Defecation – When human faeces are disposed of in fields, forests, bushes, openbodies of water, beaches or other open spaces or disposed of with solid waste.Journal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


72 Rashmi Tiwari and Sanatan NayakUnimproved Sanitation Facilities – Unimproved facilities include pit latrines without a slabor platform, hanging latrines and bucket latrines.Shared Sanitation Facilities – Sanitation facilities of an otherwise acceptable type sharedbetween two or more households. Only facilities that are not shared or not public areconsidered improved.Improved Sanitation Facilities – Ensure hygienic separation of human excreta from humancontact (India Health Report, 2010).5 The Western region has five divisions and 26 districts, the Central region covers two divisionsand 10 districts, Bundelkhand has two divisions and seven districts, and the Eastern regionhas eight divisions and 27 districts.References1. Arya, Y.B. (2009), “Water and Sanitation in U.P.”, Fresh Water Action Network for South Asia(FANSA).2. Bajpai, P. and L. Bhandari (2001), “Ensuring Access to Water in Urban Households”, Economicand Political Weekly, Vol. 36, No.39.3. Bajpai, P. and L. Bhandari (2004), “Results of an NSSO Survey of Urban Water Access: Implicationsfor Policy”, India Infrastructure Report, 2004 : Ensuring Value for Money, Oxford UniversityPress, New Delhi.4. Bhandari, L. and A. Gupta (2010), “Inputs for Health” in Mahal, A. et al (ed), “India Health Report,B.S.Books, New Delhi.5. Devi, J. Sarla, et al. (2009), “People’s Attitudes Towards Paying for Water”, Current Science, Vol.97,No.9.6. Diwakar, D. M. (2009), “Intra-Regional Disparities, Inequality and Poverty in Uttar Pradesh”,Economic and Political Weekly, Vol. No. 26 & 27.7. GoI (2009), Position Paper on the Water and Sanitation Sector in India, Department of EconomicAffairs, Government of India, New Delhi.8. Government of Uttar Pradesh (GoUP) (2010), Annual Plan 2010-11, Department of Planning,Vol.1, Part.2, Lucknow.9. GoUP (Various years), Uttar Pradesh Human Development Report 2003 & 2006, Lucknow.10. Haq, M et. al (2007), “Household’s Willingness to Pay for Safe Drinking Water: A Case Study ofAbbottabad District”, The Pakistan Development Review, Vol.46, No.4.11. International Institute for Population Science (IIPS) (various years), National Family HealthSurvey 1,2&3, India & UP, International Institute for Population Science, Mumbai.12. IIPS (various years), District Level Household and Facility Survey, Uttar Pradesh 2 (2002-04 & 3(2007-08), International Institute for Population Science, Mumbai.Journal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


Drinking Water and Sanitation in Uttar Pradesh: A Regional Analysis 7313. Kamyotra, J. S. and R. M. Bhardwaj (2011), “Municipal Wastewater Management in India”, IndiaInfrastructure Report, 2011: Water: Policy and Performance for Sustainable Development,Oxford University Press, New Delhi.14. Kanmony, J. Cyril (2003), “Drinking Water in Kanyakumari”, Economic and Political Weekly, Vol. 38,No. 35.15. Kundu, A and Sandeep Thakur (2006), “Access to Drinking Water in Urban India: An Analysis ofEmerging Spatial Pattern in the Context of New System of Governance”, in V. Ratna Reddy andS. Mahendra Dev (eds), Managing Water Resources: Policies, Institutions and Technologies,Oxford University Press, USA.16. Lohia, S. (2006), “Quality of Drinking Water in India: Highly Neglected at Policy Level”, WorkingPaper 11, Centre for Development Alternatives (CFDA), Ahmedabad.17. Mavalankar, D. and M. Shankar (2004), “Sanitation and Water Supply: The ForgottenInfrastructure”, India Infrastructure Report 2004: Ensuring Value for Money, Oxford UniversityPress, New Delhi.18. Moe, C. and R. Rheingans (2006), “Global Challenges in Water, Sanitation and Health”, Journal ofWater and Health, 04 Supplement.19. Mohan, P. (2005), “Inequities in Coverage of Preventive Child Health Interventions: The RuralDrinking Water Supply Program and the Universal Immunization Program in Rajasthan, India”,American Journal of Public Health, Vol. 95, No. 2.20. NSSO (2010), “Housing Condition and Amenities in India”, 65 th Round (July 2008-June 2009),Report No. 535, Ministry of Statistics & Programme Implementation, Government of India,New Delhi.21. Pangare, et. al (2006), “Springs of Life: India’s Water Resources”, Academic Foundation, NewDelhi.22. Pangare, V. and G. Pangare (2007), “Implementing the Right to Water”, Yojana, Vol. No. 51, Sep.2007.23. Phansalkar, S. (2007), “Water, Equity and Development”, International Journal of Rural Management,Vol. 3, No.1.24. Pushpangandan, K. (2006), “Drinking Water and Well-being in India : Data EnvelopmentAnalysis”, in V. Ratna Reddy and S. Mahendra Dev (eds), Managing Water Resources : Policies,Institutions and Technologies, Oxford University Press, USA.25. Reserve Bank of India (2010), Handbook of State Finances : A Study of Budgets of 2009-10,Mumbai, pp.1-489.26. Shaban, A. and R. N. Sharma (2007), “Water Consumption Patterns in Domestic Households inMajor Cities”, Economic and Political Weekly, Vol. 42, No. 23.27. Singh, Darshan (2009), “Development of Scheduled Castes in India – A Review”, Journal of RuralDevelopment, Vol. 28, No. 4, NIRD, Hyderabad.28. Srikanth, R. (2009), “Challenges of Sustainable Water Quality Management in Rural India”,Current Science, Vol. 97, No. 3.Journal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


74 Rashmi Tiwari and Sanatan Nayak29. WHO Report (2010), “Progress on Sanitation and Drinking Water 2010 Update”, World HealthOrganisation, UNICEF.30. Zereh, M. H. (2006), “Urban Water and Waste Water”, India Infrastructure Report 2006 : UrbanInfrastructure, Oxford University Press, New Delhi.Journal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


Journal of Rural Development, Vol. 32, No. (1) pp. 75 - 85NIRD, Hyderabad.ECONOMIC IMPACT OF WATERMANAGEMENT : A CASE STUDYArijit Roy*ABSTRACTWater is commonly regarded as plentiful, especially in the medium to highrainfall areas. But water is not equally distributed over the earth’s surface. Theincreasing uncertainty over rainfall is hampering the normal economic activitiesespecially agriculture. In rural West Bengal, man-made “chowka” is a beautifulexample of water harvesting structure acting as lifeline to farmers during the dryseason and minimising the risk of water-logging during uncommon heavy rainfall.This paper attempts to assess the economic impact of water management practicesin a medium rainfall area in West Bengal. Also the effects of land size, expenditure oninputs and the role of panchayat are taken into account. The impact is evaluated interms of cropping pattern, productivity, income, employment, and household assets.The study reveals that the overall impact is positive and significant, and hence, itdemands a systematic and well-organised planning-execution approach to watermanagement projects.IntroductionIn high and medium rainfall areas, rainwateracts as the predominant input inagriculture. However, the uncertainty overrainfall in recent years is becoming a stumblingblock. Farmers are exploring alternativesources of water. Here comes the significanceof water resource management – to explorenew sources of water, to store water, tominimise water use for maximum output andto minimise water leakages and losses. Theinland small and medium scale agriculturemay find surface and groundwater as viablealternatives. However, groundwater extractionusing shallow pumps are prohibited indifferent areas for various reasons. So thesmall and medium farmers fall back heavilyon surface water resources. But very often,farmers are unaware or simply not interestedto collect surface water, even when there isno pond or water-body nearby. The theory,process and benefit of rain and surface waterharvesting is a new topic to many of them. Butsurface and rain-water harvesting in differentstructures within the landholding maycontribute significantly to the agriculturalproductivity and income of small and mediumfarmers.Pereira, H.C. (1973) has rightly pointedout that “the arable croplands carry the majorburden of sustaining human food needs. Thedifficulties in farming them increase with* Assistant Professor in Economics, Department of Commerce, V.M. Mahavidyalaya, Chaitanyapur, EastMidnapore, West Bengal - 721645. E-mail : aroy2003@gmail.comThe author is grateful to Dr. Madhusudan Datta for serious discussion and comments on the paper.


76 Arijit Royincreasing temperature and the decliningamount and reliability of rainfall “ and it is inthis context that “small –scale water harvestingtechniques are being studied afresh in Indiatoday” . He has also pointed out that “Tying ofridges and structures of water harvestingimprove rainfall penetration, increase cropgrowth and decrease soil erosion”. Dikshit, G.S.,Kuppuswamy, G.R. and Mohan, S.K. (1993) haveshown the significance of small reservoirs inthe context of water management practicesin India from ancient to current period andanalysed the structural, financial andinstitutional aspects of small reservoirs. SinghKatar (1994) finds that “tanks are still animportant and the least expensive means ofstoring rain water and using it for supplementalirrigation and other purposes in many parts ofIndia”. He also points out that “ the outcomesand impacts of management of irrigation tankscould be seen in crop pattern, input use, yieldrates, net returns, economic viability of tankirrigation; and some intangible environmentalchanges”. Baumann, P. (1998) has analysed thecontribution of small reservoirs in the contextof Panchayati Raj system in India. Goswami, S.(2006) has put forward an in-depth analysis ofthe practices and significance of tank irrigationin different parts of West Bengal. Nanda, P.,Panda, D.K., and Swain, M. (2008) have shownthe impacts of water harvesting measures interms of cropping pattern and productivity ofcrops, impact on household income andemployment, impact on employmentgeneration and so on in seven villages inDigapahandi block of Ganjam district of Odisha.Pal, R.C. and Prasad, R. (2008) have shown theeffects of water harvesting measures in sixvillages under the Rayachoty block of Kadapadistrict of Andhra Pradesh. The impacts uponthe standard of life including livestock, waterlevel in wells, change in cropping pattern,change in income generation activities,improvement in agriculture etc. are discussed.Although our central aim is to find theeconomic impacts of water harvestingJournal of Rural Development, Vol. 32, No. 1, January - March : 2013structures, we can find the effect of farm sizeon productivity as well. Economic theoriesshow that the effects may be either positiveor negative. Productivity does depend on theexpenditure on inputs which may betraditional (less expensive) as well as modern(more expensive).Traditional inputs includelow yielding seeds, plough and bullock, cowdungand similar organic manure etc. whilethe modern inputs include high-yieldingvariety seeds, pesticides and chemicalfertilisers, tractors, power-tillers, pumpsets etc.Economic theory postulates a positiverelationship between expenditure on inputsand productivity, other things remaining thesame. Here, we are in a position to verify thisrelationship.Impact of local governmentorganisations like panchayat on productivityis expected to be positive. Panchayats providevarious inputs (seeds, fertiliser, irrigation etc.)and extension services (training, warehousing,marketing etc.) which are very much crucialfor higher productivity. Panchayats organisetraining camps and workshops to impart newknowledge to the farmers. They try to spreadawareness regarding the growing need, scopeand mechanisms for water harvesting andwater management. We also examine the roleof panchayat in production and productivityof the farms.This paper, basically, attempts to evaluatethe economic impacts of simple rain-waterand surface water harvesting practices uponagricultural productivity and hence on thestandard of living of the farmers. However, theimpacts of land size, expenditure on inputsand role of panchayat are also taken intoaccount in this model. The economic impactsare evaluated in terms of differences inincome and assets, employment, croppingpattern, production and productivity ofdifferent crops.JRD 2 (1)


Economic Impact Of Water Management : A Case Study 77MethodologyTwo villages with similar geographicaland socio-economic features, namely,Keshabpur and Bajitpur under No.3,Chaitanyapur Gram Panchayat, Sutahata block,East Midnapore district of West Bengal werepurposively selected. A complete enumerationof households was made and the patternof land-use as well as the use of waterharvesting structures was noted. From the totalpopulation, 100 households were selected atrandom. The sample consists of two distinctivegroups. Group I consists of 80 households whoconstructed different water harvestingstructures and consequently cultivated theland thrice in a year. Group II includes 20households who did not care for waterharvesting and depended mostly on rain-water,cultivated their land twice in a year. The samplehouseholds were administered with welldesigned,semi-structured questionnaires toget required information. The data werecollected in the year 2009-2010.The pattern of crop production by thetwo groups of farmers is shown in the Tablebelow :Table 1 : Pattern of Crop ProductionKharif Season Rabi Season Pre-kharif SeasonGR-I Aman Paddy, Vegetables, Boro Paddy, Vegetables, Aus Paddy,Betelnut Betelnut Betelnut, VegetablesGr-II Aman Paddy, Vegetables Boro Paddy, Khesari ———-Source : Field Survey.Multiple regression technique has beenemployed to assess the impacts of waterharvesting structures along with land size,expenditure on inputs and role of panchayatson agricultural productivity and income.Study AreaKeshabpur and Bajitpur villages areunder No.3, Chaitanyapur Gram Panchayat,Sutahata block, East Midnapore district of W.B.The area comes under the gangetic plain agroclimaticzone of the State. The area liesbetween 22°7’ N to 22°9’ N latitude and 88°1’E to 88°8’ E longitude. The area is covered withloamy soil. The average temperature variesbetween 10° C – 35° C, while the averageannual rainfall varies between 150c.m. –175c.m. In both the villages, farmers interestedin water-harvesting techniques strengthenedthe existing bunds and built new bunds. Theyestablished vegetation on the upstream sideof the bund. The slope of an individual landwas made as minimum as possible. A grassedoutlet was made according to the slope of theland for draining of rain-water. At the end ofthe slope along the boundary, small farmpondswere dug out to collect the surfacerunoff as well as the rain-water. These arecommonly called “chowkas” which act as thelifeline to farmers during the dry season. Again,during uncommon heavy rainfall, thesechowkas act as buffer collecting the excessrain-water.Model SpecificationWe use the following log-lin equation:lnY =β1 + β2 ln S + β3 ln E + β4 (PN) + β5(CH) + uwhere Y is average agricultural income ( `)permonth per bigha,Journal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


78 Arijit RoyS is land size (in bigha),E is average expenditure ( `)on inputsper month per bigha,(PN) is the dummy for panchayat , (PN)= 1 if there is an influence of panchayat, (PN)= 0 if none,(CH) is the dummy for chowka, (CH) = 1if there is a role of chowka, (CH) = 0 if none.u is the random error term normallydistributed with zero mean and finite varianceand satisfying the assumptions of the ClassicalLinear Regression Model. β1 is the interceptcoefficient. β2, β3, β4 and β5 are the partialslope coefficients.Result and DiscussionTable 2 : Impact on Cropping PatternCrop % share of net sown % share of net sownarea for Gr—Iarea for Gr—IIAman Paddy 83 58Aus Paddy 40 —Boro Paddy 60 30Vegetables 30 20Khesari — 38Betelnut 10 —Source : Field Survey.Table 2 shows that the cropping patternis clearly better for the group using chowkas(Gr-I) compared to the group not usingchowkas (Gr-II). Except khesari (one kind ofinferior pulse), relative share of area under allother crops is more for Gr-I.The total landholdings for Gr-I and Gr-IIare 410 bigha and 90 bigha, respectively. Sofor Gr-I, the average landholding is 5.125 bighaand for Gr-II, it is 4.50 bigha. The croppingintensities for Gr-I and Gr-II are shown below.Table 3 displays the gross cultivated areasunder different crops for the two groups.Better availability of irrigation water fromchowkas results in multiple cropping andmixed cropping systems for the Group-Ifarmers. Consequently, the cropping intensityfor Gr- I is much higher than that for Gr-II.Journal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


Economic Impact Of Water Management : A Case Study 79Table 3 : Gross Cropped Area and Cropping IntensityGross Cropped AreaCropping IntensityGr-I Kharif season Aman Paddy – 340.30 bigha (914.3/410)*100 = 223Vegetables – 20.00 bighaBetelnut – 21.00 bighaRabi seasonPre-kharif seasonBoro Paddy – 246.00 bighaVegetables – 68.00 bighaBetelnut – 10.00 bighaAus Paddy – 164.00 bighaVegetables – 35.00 bighaBetelnut – 10.00 bighaGr-II Kharif season Aman Paddy – 52.20 bigha (131.4/90)*100 = 146Vegetables – 18.00 bighaRabi seasonBoro Paddy – 27.00 bighaKhesari – 34.20 bighaSource : Field Survey.Table 4 clearly shows that productivityfor different crops is better when farmersadopt water harvesting techniques andstructures. The productivity of Aman paddy andBoro paddy is higher for Gr-I farmers comparedto Gr-II farmers by 50 and 60 per cent,respectively. Vegetables register 300 per centhigher productivity for Gr-I compared to Gr-II.Table 4 : Impact on Productivity of Different Crops (Kg/ bigha)Crop Average Productivity Average Productivity % Increase in Yieldfor Gr –I for Gr –II Adopting ChowkasAman Paddy 900 600 50.00Aus Paddy 750 — —Boro Paddy 800 500 60.00Vegetables 400 180 122.22Khesari — 90 —Source : Field Survey.Journal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


80 Arijit RoyThe number of cattle per household inGr-I is 4.3 as against only 1.8 in Gr-II implyingTable 5 : Impact on Livestockthat average possession of livestock by Gr-I is138.89 per cent more than that by Gr-II.Total Number of Cattle Average Number of Difference (%)Cattle / HouseholdGr-I 344 4.3 138.89Gr-II 36 1.8Source : Field Survey.Table 6 : Impact on Employment GenerationActivity Gr—I Gr—II Difference in %Average Mandays/ household/year 290 195 48.72Average Power- tiller- days/ household/year 60 32 87.50Average Tractor - days/ household/year 20 5 300.00Total 370 232 59.48Source : Field Survey.The human labour utilisation for farmersin Gr-I is 48.72 per cent higher than Gr-II. Forpower-tiller-days and tractor-days, 87.50 percent more power-tiller-days and 300 per centmore tractor-days have been generated by Gr-I farmers. Pooling all the employmentgenerating activities, 59.48 per cent moreemployment opportunities have beengenerated by Gr-I farmers compared to Gr-IIfarmers and this difference can be attributedto more intensive agricultural activitiesundertaken by Gr-I farmers.Impact on Household Income and AssetsTable 7 : Average Household Income from AgricultureIncome/ Household /Month(`) Difference in %Gr-I 18,780 85.48Gr-II 10,125Source : Field Survey.The average monthly income of samplehouseholds from agriculture in Gr-I is ` 18,780compared to ` 10,125 in Gr-II, i.e., the averageincome in Gr-I is 85.48 per cent higher thanthat in Gr-II.Journal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


Economic Impact Of Water Management : A Case Study 81Table 8 : Valuable Assets of the HouseholdsAsset Gr-I Gr-IIHouse with concrete roof 40 05Fixed Deposit in Banks 12 01Cycle 75 10Motor cycle 18 01Power tiller 07 00Pumpset 11 00Husking machine 08 00T.V. 72 50Phone 75 8Refrigerator 08 01Source : Field Survey.Table 8 depicts that greater percentageof households in Group - I own differentvaluable assets as compared to households inGroup - II. The higher income and assets of thefarmers in Gr-I is basically due to increasedproductivity of crops and livestock and moreemployment generation. Those farmers havebeen encouraged to maintain and to undertakenew water conservation measures due tobenefits accrued from chowkas.Table 9 : Role of Panchayats1. Distribution of Seeds ` 3,500/household/year2. Direct Purchase of Agricultural Output ` 5,000/household/year3. Organising General Meetings One per month4. Organising General Training Camps One per six months5. Special Meeting with Agricultural One per six monthsDevelopment Officer (ADO) and Water Engineers6. Direct Supervision & Encouragement for 280 numbersBuilding Chowkas ( During last 3 years)7. Total Construction of Model Chowkas 18 numbers(During last 3 years)8. Total Allocation of Funds for Construction ` 31,520of Chowkas (During last 3 years)Source : Field Survey.Journal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


82 Arijit RoyThe role of Panchayats in agriculture andallied activities is evident from Table 9. In ourstudy villages, the Panchayats have distributedseeds worth ` 3,500 per household per year.They have made arrangements to purchaseagricultural output worth ` 5,000 perhousehold per year. They have organisedgeneral meetings once in every month andspecial training once in every six months. Theyhave arranged meeting with the ADO andwater engineers once in every six months.During the last three years, they haveundertaken direct supervision for building 280chowkas and have completely constructed 18model chowkas. During the last three years,the Panchayats have allocated a total of `31,520 for construction of chowkas.The Role of Chowkas in Irrigation : Ourstudy villages lie in the medium rainfallgangetic plain of West Bengal. The averagerainfall in the rainy season is 120-150 c.m. and20-30 c.m. in the rest of the year. The rainwateracts as the predominant source ofirrigation. There are two canals flowing throughthe villages. Canal water is available forirrigation in rainy season (kharif season) andwinter (rabi season). However, the canals areheavily silted so that water available in winteris much less compared to demand for it and inpre-kharif season, the canals becomecompletely dry so that they no longer remaina source of irrigation. On the other hand, fittingshallow pump is prohibited in both the villages.Under these circumstances, an alternativesource of irrigation becomes relevantespecially in the dry season. And, herein liesthe significance of chowkas.The model chowkas have thespecification of 10ft x 10ft x 6ft. However, thechowkas vary in size and depth. For land sizeof 1 bigha or more, a series of two or moreadjoining chowkas is suggested. Thesechowkas are built at the lower end of the slopeof the lands. The chowkas collect the surfacerunoff as well as the rain-water. Again, duringuncommon heavy rainfall, they act as bufferscollecting the excess rain-water. For greaterefficiency in storage, the inner walls and thebottom are suggested to be made of concrete.This will result in smaller loss of water.However, structures without concrete wallsare also abundant. During the dry season,these chowkas therefore, act as the majorsource of irrigation. The pattern of irrigationfor both the groups is shown in Table 10.Table 10 : Distribution of Gross Cropped Area in Bigha (with %) inDifferent Seasons under Alternative Irrigation Systems for Gr-I and Gr-IIGr-I Source of Irrigation TotalRain-water Canal water ChowkaSEASONKharif 275.00 76.50 29.80 381.30(30.10%) (8.36%) (3.25%) (41.71%)Rabi 52.00 186.00 86.00 324.00(5.68%) (20.34%) (9.41%) (35.43%)Pre-kharif 0.00 00.00 209.00 209.00(0.00%) (0.00%) (22.86%) (22.86%)Total 327.00 262.50 324.80 914.30(35.78%) (28.70%) (35.52%) (100.00%)(Contd.)Journal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


Economic Impact Of Water Management : A Case Study 83Table 10 : (Contd.)SEASONGr-I Source of Irrigation TotalRain-water Canal waterKharif 55.60 14.60 70.20(42.31%) (11.11%) (53.42%)Rabi 8.50 52.70 61.20(6.48%) (40.10%) (46.58%)Total 64.10 67.30 131.40(48.79%) (51.21%) (100.00%)Source : Field Survey.Determinants of Agricultural IncomeDisparity : We have shown a significantly largedifference in the income of Gr-I and Gr-IIfarmers in the study area. This difference canbe attributed to some important socioeconomicand farm characteristic variables. Wehave tried to analyse the contribution of landsize (S), expenditure on inputs (E), panchayats(PN) and chowkas (CH) to agricultural income(Y) disparity between sample households. Inour log-lin model, natural log of Y is regressedupon natural log of S, natural log of E, (PN)dummy and (CH) dummy. The estimatedregression results are shown in Table 11.Table 11 : Regression Results of Agricultural Income DisparityCoefficient Standard error t-statistic p valueIntercept 2.071 0.392 5.284 0.000ln S 1.142 0.277 4.124 0.000ln E 0.346 0.151 2.287 0.027PN 0.515 0.252 2.040 0.047CH 0.758 0.283 2.678 0.010n = 100, k = 5.F- (4,95) d.f. = 65.816, p value = 0.000.R² = 0.851, Adj R² = 0.838.n (= 100) is the sample size and k (= 5 )is the number of parameters to be estimated.The high t-values are indicative of the fact thatall the estimated coefficients are statisticallysignificant. The intercept coefficient β1 takesthe value of 2.071 and is significant at any level.The coefficient β2 (= 1.142) is the elasticity ofagricultural income with respect to land size.The positive sign of β2 establishes a positiverelationship between farm size and agriculturalincome. If land size increases by 1 per cent,average agricultural income increases by 114Journal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


84 Arijit Royper cent. β2 is significant at any level. Thecoefficient β3 (=0.346) is the elasticity ofagricultural income with respect to inputexpenditure. If input expenditure increases by1 per cent, average agricultural incomeincreases by 34 per cent. β3 is significant at 5per cent level. The panchayat dummycoefficient β4 takes the value of 0.515 and issignificant at 5 per cent level. β4 = 0.515signifies that the average agricultural incomeincreases by 67 per cent (approx.) for thehouseholds getting panchayat servicescompared to the others. The chowka dummycoefficient β5 takes the value of 0.758 and issignificant at 1 per cent level. β5 = 0.758signifies that the average agricultural incomeincreases by 113 per cent (approx.) for thehouseholds using chowkas for waterharvesting compared to the others. F = 65.816implies that all the coefficients are statisticallydifferent from zero and are significant at anylevel, d.f. = (4,95). R² = 0.851 signifies thatapproximately 85 per cent of the variation inthe dependent variable (lnY) is explained bythe regression model , R being the coefficientof multiple correlation. R² becomes 0.838when adjusted for the degrees of freedom.ConclusionThe case study supports chowkas as veryeffective tool for water harvesting andmanagement. The construction and use ofchowkas can enhance agricultural productivityand income. The paper argues that in our studyvillage, the average agricultural incomeincreases by 113 per cent for the householdswho use chowkas for agriculture compared toother households. This huge difference inagricultural productivity and income hasinduced the households and the panchayat totake interest in constructing chowkas.We have shown in this paper that if landsize increases by 1 per cent, averageagricultural income increases by 114 per cent.In small holdings, capital- labour ratio is lowand modern technology is hard to beemployed. But as farm size increases,agriculture becomes more capital intensiveand use of modern technology becomes moreprominent. Consequently, our case studyreveals a direct relationship between farmsizeand agricultural income.Expenditure on inputs has a directinfluence on agricultural income. From ourcase study, we can conclude that as inputexpenditure increases by 1 per cent, averageagricultural income increases by 34 per cent.The modern inputs compatible with moderntechnology are obviously more expensive andusing these inputs can increase agriculturalproductivity and income to a great extent.Last but not least, the panchayats canenhance agricultural productivity and incomeby providing various direct and indirect supportservices. Here, the average agricultural incomeincreases by 67 per cent for the householdswho get panchayat services compared to theothers.The panchayats should encourage thefarmers to construct small reservoirs/ chowkasand to maintain them properly. The technicalsupport has to be provided by the panchayats.They should organise awareness campaigns.They should chart out proper managementsystem of the chowkas and the system shouldbe monitored by the households andpanchayats jointly. This will be the key for asuccessful and sustainable managementpractice for the chowkas.Journal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


Economic Impact Of Water Management : A Case Study 85References1. Baumann, P. (1998), Panchayati Raj and Watershed Management in India : Constraints andOpportunities, Overseas Development Institute, Portland House, Stag Place, London.2. Dikshit, G.S., Kuppuswamy, G.R. and Mohan, S.K. (1993), Tank Irrigation in Karnataka : A HistoricalSurvey, Ford Foundation.3. Frank, B. & Netboy, A. (1978), Water, Land and People , Alfred A Knopf Inc. London.4. Goswami, S. (2006), Tank Irrigation in West Bengal : An Overview, The IUP Journal of AgriculturalEconomics, IUP Publications, Vol. 3(4), pp. 65-73, Oct, 2006.5. Nanda, P., Panda, D.K., and Swain, M. (2008), Economic Impact of Watershed Development :Evidence from a High Rainfall Area in Orissa, Journal of Rural Development, Vol- 27, No.(3), pp.487-500 , NIRD, Hyderabad.6. Pal, R.C. and Prasad, R. (2008) , Role of Watershed Development Programme in SustainableDevelopment – Palemgadda Experience from India, Journal of Rural Development, Vol- 27, No.(4),pp. 705-721 , NIRD, Hyderabad.7. Pereira, H.C. (1973), Land Use and Water Resources, Cambridge.8. Singh, K. (1994), Managing Common Pool Resources- Principles & Case Studies, Oxford Univ.Press.Journal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


Journal of Rural Development, Vol. 32, No. (1) pp. 87 - 96NIRD, Hyderabad.EXTENT OF PEOPLE’SPARTICIPATION IN SANT GADGEBABA SANITATION MISSION INMAHARASHTRA : A FIELD STUDYP. B. Umale, U.R. Chinchmalatpureand Punam Kadu*ABSTRACTWith a view to knowing the extent of participation and its correlation with thecharacteristics of the respondents, this study was undertaken in Amravati district ofMaharashtra State. Majority of the people were motivated due to their desire to makethe village an ideal one and also to obtain prize for the village. Majority participatedin the resolution day or commitment day, in village sweeping and freedom fromgarbage, and self-cleanliness awareness programme activities because they werehighly aware about sanitation. The major constraints for non-participation are lackof time due to busy schedule, being male dominated family and illiteracy etc.IntroductionThe Department of Water Supply andSanitation, Government of Maharashtraintroduced ‘Gadge Baba Gram SwachhataAbhiyan’ to all villages in the State ofMaharashtra in the year 2000-2001. It was aninvitation to all villages to participate in acompetition for ‘clean village’. The campaignreceived overwhelming response andtriggered phenomenal change in ruralMaharashtra. The Government has declaredprizes for encouragement of villages, districtsand divisions level for people’s achievement.The best Gram Panchayat, Panchayat Samitiand Zilla Parishad is awarded with a cash prizeof ` 10 lakh each. People’s participation inthis endeavour made the campaign a grandsuccess and brought laurels to Amravatidivision. The basic aim behind launching theseschemes was to encourage people to activelyparticipate in the process of development.Though Zilla Parishad and Panchayat Samiti areentrusted to ensure people’s participation,efforts must be made to obtain cooperationof the elected representatives.Sant Gadge Baba Gram SwachhataAbhiyan would be carried out from 2 Octoberto 17 October every year in all the villages ofthe State and villages would be judged on 95parameters including potable drinking water,hygienic cleanliness and basic amenities forgetting the award. There is now increasedawareness about knowledge of sanitationneeds, understanding constraints andpossibilities. This has stimulated public andprivate initiatives in the rural areas to evolveand apply simple, inexpensive and sociallyaccepted principles. This study was undertakento measure the awareness knowledge andparticipation of the sanitation programme. Thisstudy is also necessary because it is likely tothrow light on personal and socio-economic* Associate Professor, Assistant Professor and Ex M.Sc. Student, Respectively, Extension Education Section,College of Agriculture, Dr. PDKV, Akola. rcumesh@rediffmail.com ved2004@gmail.com


88 P. B. Umale, U.R. Chinchmalatpure and Punam Kaducharacteristics of the respondents thatinfluence knowledge and participation of therural people in the sanitation mission.Keeping in view the need for participationin the sanitation programme by the ruralpeople, this study was planned and carried outwith the following specific objectives :1. To study the personal, socio-economicand information characteristics of therespondents.2. To assess the participation level of therespondents in sanitation mission.3. To examine the reasons for nonparticipationof the people in sanitationmission.MethodologyThe present study was undertaken inAmravati district of Maharashtra State. Thereare 14 Panchayat Samities in Amravati districtout of which Morshi Panchayat Samiti wasselected for the present study. From thisPanchayat Samiti, Nashirpur village waspurposively selected as this village is awardedfour times at various levels. This village hasreceived two awards in the year 2002-2003,i.e. taluka level award and district level awardand also received division level award in 2003-2004 and State level award in 2004-2005.The list of respondents from this villagewas prepared with the help of Gram Sevak ofthe village. In all a total of 150 respondentswere selected who actually participated in SantGadge Baba Sanitation Mission. After theselection of the respondents, they werepersonally interviewed with the help of thestructured interview schedule prepared for thestudy. The interviews with the respondentswere conducted at their residences in aninformal atmosphere after establishingrapport with them for getting reliableinformation. Secondary data were alsoobtained from the records maintained bySarpanch and Gram Sevak of that village. Thedata so collected were again carefullyexamined before tabulation.RESULTS AND DISCUSSIONCharacteristics of the Respondents inSanitation MissionThe distribution of the respondents whoparticipated in sanitation mission according totheir selected personal, socio-economic andpsychological characteristics is presented inTable 1. It is expected that age is one of thefactors which may influence the participationof the respondents in Sant Gadge Babasanitation mission. Majority of respondentswho participated in sanitation mission werefound to be young (54 per cent) and middle(23.33 per cent) age group. A very few of them(22.67 per cent) were in old age category ofmore than 50 years age. The reason beingthat the respondents up to 50 years arecapable of participating in all the activitiesundertaken in sanitation mission with greaterefficiency. The above findings are similar tothe findings reported by Sudha Haridasan(1997) that majority of the respondents in fruitnurseries mostly belonged to middle agegroup of 19 to 35 years.Education : Education of the respondentsmay influence the participation level of therespondents in sanitation mission. With respectto education of the respondents, the datashowed that 30 per cent respondents hadeducation up to high school level (SSC),followed by 22.66 per cent respondents whohad primary school education. About 16.67per cent respondents had higher secondaryschool (HSSC) education and 13.33respondents had middle school educationfollowed by 8.67 per cent respondents whowere illiterate and only 8.67 per cent of therespondents had education up to college level(Table 1). Thus, it was concluded that majorityJournal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


Extent of People’s Participation In Sant Gadge Baba Sanitation Mission In Maharashtra... 89of the respondents had education up to highschool level. It is quite logical that their socialand economic conditions might have notallowed them to go in for further education.Therefore, it is concluded that majorityof respondents who participated in sanitationmission were found to have high school (SSC)and primary education.Annual Income : It is observed that 46.00per cent of the respondents had their incomeup to ` 25,000. followed by 26 per centrespondents who earned between ` 25,001to ` 50,000 followed by 14.66 per cent of therespondents whose income was between `50,001 to ` 75,000, ` 1,00,001 and aboveincome was earned by only 8.67 per cent ofthe respondents. However, 4.67 per cent ofrespondents earned ` 75,001 to ` 1,00,000(Table 1).From the above findings, it could beinferred that majority of respondents had theirannual income up to ` 25,000 being landlesslabour and having rare sources of income.Table 1 : Distribution of Respondents According to Their CharacteristicsS.No. Category Respondents (N=150)NumberPercentage(1) (2) (3) (4)Age1 Young 81 54.002 Middle 35 23.333 Old 34 22.67Total 150 100.00Education1 Illiterate 13 08.672 Primary school 34 22.663 Middle school 20 13.334 High school 45 30.005 Higher secondary school 25 16.676 College 13 08.67Total 150 100.00(Contd.)Journal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


90 P. B. Umale, U.R. Chinchmalatpure and Punam KaduTable 1 : (Contd.)(1) (2) (3) (4)Annual Income1) Up to ` 25,000 69 46.002) ` 25,001 to ` 50,000 39 26.003) ` 50,001 to ` 75,000 22 14.664) ` 75,001 to ` 1,00,000 07 04.675) Above ` 1,00,000 13 08.67Total 150 100.00Socio-economic Status1 Very low 43 28.662 Low 43 28.663 Medium 50 33.334 High 10 06.685 Very high 04 02.67Total 150 100.00Social Participation1 No participation 13 08.672 Low participation 32 21.333 Moderate participation 58 38.674 Moderately high participation 20 13.335 High participation 27 18.00Total 150 100.00Sources of Information1 Low 14 09.332 Medium 102 68.003 High 34 22.67Total 150 100.00Journal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


Extent of People’s Participation In Sant Gadge Baba Sanitation Mission In Maharashtra... 91Socio-economic Status : The socioeconomicstatus may be one of the importantdeterminants of the respondents' participationlevel in sanitation mission. It is observed fromTable 1 that one-third of the respondents(33.33 per cent) were in medium socioeconomicstatus category, 28.66 per cent ofthe respondents fall under very low and lowsocio-economic status category and 6.68 percent of the respondents were found to be inhigh socio-economic status category. Very fewrespondents were found in very high level ofsocio-economic status (2.67 per cent).Therefore, it could be concluded that majorityof the respondents who participated insanitation mission were found to be inmedium category of socio-economic status.Social Participation : The socialparticipation of the respondents mayinfluence their level of participation insanitation mission. The data revealed that38.67 per cent respondents had moderatelevel of participation followed by 21.33 percent respondents having low socialparticipation. This was followed by 18 per centrespondents who had high social participationand 13.33 per cent respondents hadmoderately high social participation. Very few,8.67 per cent, respondents had no socialparticipation.It is therefore, concluded that majorityof the respondents had moderate socialparticipation because majority of the peoplewere members of informal organisations like,Mahila Mandal, Bhajan Mandal, Ganesh Mandal,etc. The above findings are similar to thefindings reported by Katole (2001) thatparticipation in social organisation andactivities by higher percentage of therespondents (45 per cent) was of moderatedegree.Bhosle et al. (2000) observed that 64 percent had medium social participation, 21.33per cent had high and 14.67 per cent had lowsocial participation.Sources of Information : Sources ofinformation of the respondents may influencetheir level of participation in sanitation mission.It is observed that 68 per cent of respondentsbelonged to medium category of sources ofinformation followed by 22.67 per centrespondents having high sources ofinformation. It was found that only very fewrespondents (9.33 per cent) had low sourcesof information. Therefore, it is found thatmajority of the respondents were havingmedium sources of information.Motives Behind ParticipationMotives of the respondents aboutsanitation mission may influence theparticipation level of the respondents. Themotive-wise distribution of the respondentsshows that majority of the respondents (69.33per cent) participated because they have adesire to make the village an ideal one.Followed by 64.66 per cent respondentshaving the motive to obtain prize for the village,54.66 per cent respondents having a desire tomake the village progressive and 47.33 percent respondents having the motive to makethe village self-sufficient in all respects. About41 per cent have the motive of interest insocial work, 38.66 per cent respondents havethe motive to keep village atmosphere cleanand healthy and 36 per cent respondents havethe motive to eradicate diseases completelyfrom village. About 32.66 per centrespondents have the motive to make thevillage addiction free, 26.66 per centrespondents have the motive to give ideallession to future generation and to encourageit, 22.66 per cent respondents have the motiveto get publicity to the village. Only fewrespondents, 10 per cent, said that peopleparticipate because others also participate(Table 2).Journal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


92 P. B. Umale, U.R. Chinchmalatpure and Punam KaduTable 2 : Distribution of Respondents According to their Motives Behind ParticipationS.No. Motives Frequency Percentage(N = 150)1 For the progress of the village 82 54.662 To eradicate diseases completely from village 54 36.003 To make the village an ideal one 104 69.334 To get publicity to the village 34 22.665 To have an interest in social work 62 41.336 To obtain prizes for the village 97 64.667 To make the village self-sufficient in all respects 71 47.338 To give ideal lesson to future generation and to encourage it 40 26.669 To keep village atmosphere clean and healthy 58 38.6610 To make the village addiction free 49 32.6611 People participate because others also participate 15 10.00From the above findings, it could beinferred that majority of respondents have themotives like to make the village an ideal one,to obtain prize for the village and for theprogress of the village.Different Activities Undertaken andParticipation of People in SanitationMissionFor the assessment of the activitiesundertaken in sanitation mission, theresearchers consulted the Zilla Parishad andcollected information of Sant Gadge BabaSanitation mission and also collected usefulinformation beneficial for the present study.Internet was also used for getting informationabout sanitation mission. After going throughthoroughly from all these sources it has beennoticed that, following activities areundertaken in sanitation mission.According to the study objectives,attempts have been made to study theparticipation level of the respondents insanitation mission. The activities undertakenin Sant Gadge Baba sanitation mission wereconsidered for the study.Activity-wise Participation of Respondentsin Sant Gadge Baba Sanitation Mission : Theactivity-wise participation of the respondentsin sanitation mission was studied and theresults are presented in Table 3. It is revealedthat more than 50 per cent of respondentsalways participated in activities of sanitationmission like village sweeping and freedomfrom garbage, school and public buildingssanitation campaign day, house andenvironmental sanitation and decoration day,self-cleanliness awareness programme, cleanwater practical and training day, road repairs,sweeping and shramdan day, cattle sanitationJournal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


Extent of People’s Participation In Sant Gadge Baba Sanitation Mission In Maharashtra... 93Table 3 : Distribution of Respondents According totheir Activity-wise Participation in Sanitation MissionS.No. Activities Frequency Percentage(N = 150)1) Village sweeping and freedom from garbage 119 79.332) Cleaning/construction of soakpits 65 43.333) School and public buildings sanitation campaign day 84 56.004) House and environmental sanitation and decoration day 75 50.005) Exhibition of literature on sanitation campaign 62 41.336) Publicity, technical knowledge campaign 40 26.677) Latrine repairs/ construction campaign day 55 36.678) Self-cleanliness awareness programme 110 73.339) Clean water practical and training day 80 53.3310) Road repairs, sweeping and shramdan day 92 61.3311) Cattle sanitation campaign 78 52.0012) Ideal cattleshed and clean animal competition 75 50.0013) Conservation of trees, kitchen garden, protectionand non-conventional energy day 65 43.3314) Village level slogan and essay competition 80 53.3315) Freedom from addiction 84 56.0016) Healthy baby competition 78 52.0017) Mother & child care diagnosis and diseases 68 45.3318) Control of communicable diseases 71 47.3319) Disposal of sewage water 40 26.6620) Reuse of sewage water 44 29.3321) Resolution or commitment day 130 86.66campaign, ideal cattleshed and clean animalcompetition, village level slogan and essaycompetition, freedom from addiction, healthybaby competition and resolution orcommitment day.Besides the above activities, only thoseactivities with less than 50 per centparticipation of the respondents in sanitationmission are cleaning and construction ofsoakpits, exhibition of literature on sanitationJournal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


94 P. B. Umale, U.R. Chinchmalatpure and Punam Kaducampaign, publicity, technical knowledgecampaign day, latrine repairs/constructioncampaign day, conservation of trees, kitchengarden, protection and non-conventionalenergy day, mother and child care diagnosisand diseases, control of communicabledisease, disposal of sewage water and reuseof sewage water.It was observed that there was highparticipation of people i.e. 86.33, 79.33 and73.33 per cent in activities like resolution dayor commitment day, village sweeping andfreedom from garbage, self-cleanlinessawareness programme activities, respectivelybecause some people were highly awareabout sanitation (Table 3). Mediumparticipation of people was observed i.e. 61.3,56, 53.30, 52, 50 per cent in activities such asroad repairs, sweeping and shramdan day,school and public buildings sanitationcampaign day, freedom from addiction, cleanwater practical and training day, village levelslogan and essay competition, cattle sanitationcampaign, healthy baby competition, houseand environmental sanitation and decorationday, ideal cattleshed and clean animalcompetition, respectively and low participationof people i.e. 47.33, 45.33, 43.33, 41.33,36.67, 29.33, 26.66 per cent respondentsparticipated in control of communicablediseases, mother and child care diagnosis anddiseases, cleaning/construction of soak pits,conservation of trees, kitchen gardenprotection and non-conventional energy day,exhibition of literature on sanitation campaign,latrine repairs/construction campaign day,reuse of silage water, disposal of silage water,publicity technical knowledge campaign day,respectively.From the above findings it could beinferred that majority of the respondentsparticipated in activities like resolution orcommitment day, village sweeping andfreedom from garbage, self-cleanlinessawareness programme.Reasons for Non-participation of People inSant Gadge Baba Sanitation MissionThe categorisation of people accordingto their reasons for non-participation insanitation mission is presented in Table 4.It was observed that 36.66 per centrespondents have the reasons like lack of timedue to busy schedule for non-participation,22.66 per cent respondents, mainly femalesdid not participate because of male dominatedfamily, 21.33 per cent respondents did notparticipate because of lack of awareness anddue to parda system for females by 19.33 percent respondents. About 17.33 per centrespondents stated casteism as the reason fornon-participation and 16.66 per centrespondents were not interested in any socialactivity. Some respondents, 16 per cent didnot participate as they were not capable ofdoing work because of old age (Table 4).From the above findings, it could beinferred that majority of the respondents havereasons for non-participation such as lack oftime due to busy schedule, being maledominated family and illiteracy. The abovefinding goes with the findings of Deshmukhand Kulkarni (2006).Major FindingsMajority of respondents whoparticipated in sanitation mission were foundto be in young age category i.e. up to 35 years(54 per cent) and higher percentage (30 percent) of them were educated up to highschool. Regarding their annual income,majority of respondents had their yearlyannual income (46 per cent) up to ` 25,000and relatively higher per cent of respondentsbelonged to medium (33.33 per cent) socioeconomicstatus. Majority of respondents(38.67 per cent) had moderate socialparticipation and (68 per cent) had mediumutilisation of sources of information. MajorityJournal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


Extent of People’s Participation In Sant Gadge Baba Sanitation Mission In Maharashtra... 95Table 4 : Reasons for Non-participation in Sant Gadge Baba MissionS.No. Reasons Frequency Percentage(N=150)1. Lack of time due to busy schedule 52 36.662. Lack of awareness 32 21.333. Casteism 26 17.334. Male dominated family 34 22.665. Not capable because of old age 24 166. Parda system 29 19.337. No interest in any social activity 25 16.66of them (69.33 per cent) have the motive tomake the village an ideal one and to obtainprizes for the village. Majority of respondentshad (46 per cent) medium level of participationin sanitation mission. In case of relationalanalysis, age is negatively significant with levelof participation whereas education, annualincome, socio-economic status, socialparticipation, sources of information, motivesbehind participation were found to besignificant with level of participation. Resultof multiple regression analysis indicated thatmotives behind participation share significantcontribution with level of participationwhereas remaining age, education, annualincome, socio-economic status, socialparticipation, sources of information did notshow any significant relation.ConclusionIt can be concluded that majority of thepeople were motivated due to their desire tomake the village an ideal one and also toobtain prize for the village. Majority peopleparticipated in the resolution day orcommitment day, village sweeping andfreedom from garbage, self-cleanlinessawareness programme activities because theywere highly aware about sanitation. Majorconstraints for non-participation are lack oftime due to busy schedule, being maledominated family and illiteracy etc. It istherefore, suggested that efforts should bemade by giving more and more benefits andawards to the villages, so that all the villagepeople participate in the sanitation mission tomake it a grand success.Journal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


96 P. B. Umale, U.R. Chinchmalatpure and Punam KaduReferences1. Bhosle, P. B., S. G. Jondhale and C. B. Patil (2000), Effectiveness of Farm Broadcast as Perceivedby Listeners, Maharashtra Journal of Extension Education, 19: 28-32.2. Deshmukh, P. R. and R. P. Kulkarni (2006), Participation in Development Programme : Variationsand Suggestion, Abstract, National Seminar on Participatory Approach in Rural Development.MAU, Parbhani.3. Katole, R. T. (2001), Impact of Agriculture Programme Telecast on Farmers' Knowledge andUtility Perception About Agricultural Technologies, Ph.D. (Agri.) Thesis (Unpub.) PDKV, Akola.4. Sudha Haridasan (1997), Role of Women Workers in Raising Fruit Nursery, Unpublished M.Sc.(Agri.) Thesis, Dr. PDKV, Akola.Journal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


Book Journal Reviews of Rural Development, Vol. 32, No. (1) pp. 97 - 10697NIRD, Hyderabad.BOOK REVIEWSMicrofinance India, State of theSector Report 2012, Editor : VenugopalanPuhazhendhi, Sage Publications, Price : ` 850,Pages : 184.The Microfinance India - State of theSector Report 2012 is an authentic source ofpresentation of growth and development ofthe microfinance sector in India in its entirety.This report provides an independent andscholarly view of the state of microfinance onan annual basis, which is widely quoted inmost circles and specifically those who haveserious stake in the microcredit issues. As itcollects information from authentic sourcesand field reports, it helps in identifying theknowledge and practice gaps that requirefurther research and study.For the last few years, this report hasbecome the best reference material on theannual trends and progress of the Indianmicrofinance sector and is a must for everyresearcher to access the performance of themicrofinance sector as a whole. The richnessof the report lies in its diversity of perspectives,sectorial contents and breadth of issuescovered as well as the depth of analyses. It isa rare blending of statistical rigour with policyand action relevance inputs in totality.The report started with an ‘Overview ofthe Microfinance Sector’ and ended with ‘theFuture – Forward Looking’ aspect of theMicrofinance Sector. There are eight otherrelevant chapters, each redefining animportant aspect. Some notable points fromeach chapter are illustrated below reflectingthe richness of the report.For example, in Chapter-II, entitled ‘SHGBank Linkage Programme – Revisit in Progress’,the report has stated that the SHG Bank linkageprogramme implemented during the last twodecades has significantly contributed in termsof outreach of financial services to unreachedpeople so far. As per the report, the review ofthe performance of the programme revealsthat there has been a significant improvementin terms of socio-economic empowerment ofrural poor, particularly of women across statesin India.In Chapter-III on ‘MicrofinanceInstitutions – Signs of Recovery’, the reportsuggested that MFIs need to actively engagethemselves as partners in the financialinclusion programme and integrate theirvision and mission with the state and centralgovernment to achieve a prosperous futurefor the customers.In Chapter-IV on ‘Financial Inclusion –Process and Progress’, the report aptly pointedout that microfinance being a sector thatserves a very large number of small clientsdistributed over a wide geographical areacould be a highly cost-intensive proposition.The adoption of appropriate technologicalsolutions both in hardware and softwareplatforms will ensure that the cost remainswithin reasonable limits. This will also enhancethe value proposition for banks, BCs and aboveall, the customers.In Chapter-V on ‘Microfinance – BeyondCredit’, the report highlights that despite crisisin the sector, many institutions innovatedproducts which are designed within theregulatory ambit such as enterprise loans, assetcreation loans, sanitation loans and severalnon-financial services. While many of theproducts showed success for replication, stillthere are several unresolved issues whichneed to be appropriately considered whileupscaling these innovations.Journal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


98 Book ReviewsIn Chapter-VI on ‘Policy Environment andRegulation – Sign of Reign,’ the author hasstressed that there is a need for closeinteraction between banks and MFIs. Banksneed to realise their social obligation andchoose all channels available to fulfill theirobligations, which include lending to MFIs foron-lending to marginalised sections of society.The enforcement of new regulations and theconcerted efforts of MFIs in complying withthe regulatory and client protection norms andbank continued patronage will go a long wayfor sustainable growth of the microfinancesector.In Chapter-VII on ‘National RuralLivelihood Mission’, the author has highlightedthat NRLM seeks to promote inclusive growthby mobilising the rural poor and enabling themto save, build productive assets andenterprises, access financial livelihood,educational, health and nutrition services andentitlements, negotiate better terms for theirproducts and services and provide rural youthwith skills and opportunities to secure jobs inmainstream economy.In Chapter-VIII on ‘Investment Climate –Faltering, but Hope Remains’, the author ishopeful to state that with the positiveresponses from the sector in terms of animproved regulatory environment andresponsible financing by the MFIs, the equityflow is expected to be encouraging for all andmore particularly to smaller and medium sizedMFIs, hence hope remains, despite flatteringperformances. Even MFIs have turned theirattention with new found rigour to new formsof capital flows including securitisations, NCDsand qualified institutional placements.In Chapter-IX on ‘Global Trends inMicrofinance’, the author agreed that the globalscenario is not promising for the MFI industry,though some economies have booked betterportfolio. The author has suggested that anumber of initiatives like values ofresponsibility, corporate ethics and socialperformance management are to beaddressed to face the key challenges of thissector. Indeed, MFIs have to adopt newstrategies to bring back their clients as well asto reduce their operating and administrativeexpenses.The tenth and the final chapter on‘Future – Forward Looking’, reminded that aslong as ultimate focus of microfinanceinitiatives are towards the poor and theirlivelihood improvement, microfinance willsurvive, sustain and grow. The only relevantexpectation is that it should strive to meet therequirement of the vulnerable customers.The report is a comprehensive referencefor those who want to review the performanceof the microfinance sector as well as interestedto know the status of various policy decisionstaken by the Government of India and otheragencies in facilitating the growth anddevelopment of microcredit in backwardregions of India. The author should be highlyappreciated as the report handles difficult andcontentious issues in a most comprehensivemanner and highlights the microfinance sectorin a most fascinating manner. Finally, a smallremark that though some critical aspects likethe ‘Repayment Crisis in the MicrofinanceSector’ has been given scant attention in thereport, that does not drag attention from thebroad contents and database as vividlypresented in the report.– Dr. B.K. SwainDynamics of Rural Poverty in Bihar:Determinants and Strategies by Dr. RashmiPrasad, Janaki Prakashan Publishers, Patna2012, Price : ` 995.The book on “Dynamics of Rural Povertyin Bihar : Determinants and Strategies” seeksto explore the link between growth andpoverty, between agricultural growth andJournal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


Book Reviews 99poverty, between agrarian relations andpoverty and assess the impact of variouspoverty alleviation programmes. This book hasattempted to initiate in-depth analysis ofpoverty in its various manifestations of regional,social and institutional aspects to bringdynamism into the studies of rural poverty inBihar. Finally, this book seeks to suggestappropriate policy package for removal ofpoverty. It is based on various povertyalleviation studies conducted by MoRD andindividual researchers apart from thesecondary data of NSS and CSO.The book is organised into sevenchapters. The first chapter deals with theNational Perspective on Planning for PovertyEradication vis-à-vis the poverty structure andfacets of poverty alleviation in Bihar. It is aresume of the poverty debate and contributionto a novel understanding of the nature andmagnitude of the chronic problem of povertyin Bihar. The analytical review of large numberof studies, committee reports on poverty inIndia as well as Bihar is presented in thesecond chapter. Chronological analysis of allthe studies conducted on poverty in India isarranged based on various alternativeapproaches to poverty eradication.The third chapter is devoted to specialfeatures of the economy of Bihar so as tounderstand the interface between the richnatural resources and high incidence ofpoverty. Shortage of investment flows is amajor stumbling block in Bihar. The majorconstraints for the industrialisation of Bihar areinfrastructural inadequacy, lack of skilledmanpower, size of local and export market,industrial policies of the centre and states andnatural endowment. A structural shift in ruralemployment has been witnessed in most ofthe states except Bihar.Magnitude and trends in rural povertyand sectoral growth pattern is discussed inchapter four. Assessment of poverty indicatorsand the effectiveness of poverty eradicationprogrammes in reducing income inequalitiesand poverty reduction is being analysed basedon the data obtained from different sourcesincluding household surveys of NSS. Social,economic, political and bureaucratic factorsare adversely affecting the efforts made inBihar compared to other states during 1983 to2004-05. One of the causes of poverty in Biharis low per capita income. Poverty in the Stateis also the outcome of slow growth and it isamong the slowest states in India. Theperformance of agriculture is quite dismal inspite of 84.20 per cent workforce dependingon agriculture. The institutional structureincreasing population, slow industrial growth,infrastructural bottlenecks, literacy, statesfinances, absence of good governance, caste,class and politics negated the developmentprocess and diluted the RD programmeimplementation.Chapter five on Agrarian relations,Agriculture development and Rural povertyexamined the extent of trickledown theoryand agrarians relations in reducing poverty inBihar based on the data collected by CSO. Therate of growth in agriculture has always beenon higher side in Bihar and could not createany impact on poverty reduction. Therelationship between agricultural growth andpoverty appears to be highly iniquitous in Bihar.This means that there are other factorsexplaining low trickledown or weak linkbetween agricultural growth and povertydecline in the State of Bihar. Low productivityin agriculture shows that the impact of greenresolution was limited and hence low povertyreduction. In spite of Zamindari abolition,tenancy reforms, land ceiling act andconsolidation of landholdings, povertycontinues to be apposing in Bihar due toiniquitous agrarian relations. The role ofpoliticians and bureaucracy could not disturbthe existing landholding pattern and powerequation in Bihar.Journal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


100 Book ReviewsChapter six is devoted to evaluate thepoverty alleviation programmes and impact ofthe programmes is assessed based on severalstudies conducted by MoRD, GoI and DRD ofBihar apart from the secondary sources of data.It is observed by all the studies that the impactis very limited due to the lack of follow-upsupport to the beneficiaries of selfemploymentprogrammes. The focus of allthese programme implementation appears tobe target oriented and untimely. The impactof MGNREGS is also limited due to minimumnumber of days of employment and lowparticipation of women. However, the averagewage rate is maintained at `100 on par withmany other states. The impact of all other RuralDevelopment programmes including PublicDistribution Schemes (PDS), nutritionprogrammes (ICDS, Mid-day meal schemes)and social security programmes have a littleeffect on poverty. It is observed that the PAPcould not reduce the poverty in Bihar butwiden the gap between poor and non-poor.Chapter seven sums up the mainfindings, draws the conclusions and suggestsa few policy implications for Bihar as how toreduce poverty in the State. Since majority ofpopulation is dependent on agriculture inBihar, special emphasis should be given onsmall and marginal farmers, employmentgeneration programmes for landless andunskilled labour and the emphasis on skilldevelopment for women and youth. Theproper integration on technological andinstitutional reform, providing the market,credit, input supply to farmers will inducethem to adopt better farm practices toenhance the productivity and provide gainfulemployment opportunities that could helpreducing poverty. Extension of minimumsupport prices, agricultural insurance, smallfarm technologies, agricultural export andagricultural research and development willenhance the growth in agriculture anddevelopment. Participatory irrigationmanagement is worth emulating in Bihar.Substantial increase in public investment,power sector reforms, effective use of landand proper infrastructural facilities couldfacilitate the development in Bihar. Thepromotion of Self-help Groups, the farmersgroups and strengthening of PRIs and NGOswould facilitate decentralised governance andreduce poverty in Bihar. The growth of Bihareconomy has taken a turnaround during therecent past and the State is likely to be thenext home for Indian agriculture. Winds ofchange have started flowing. Saplings ofdevelopment have been planted in the Stateby upholding the rights of downtrodden,neglected castes and groups, the longstanding caste dominance will crumble downto the dust in the years to come. The renewedgovernance reforms will bring a change in thepolitical will.Though the book is primarily based onreview of various studies conducted on theeconomy and the poverty structure of Bihar,the author could analyse in the chronologicalorder so as to make a resume of the social,agricultural, economic and politicaldevelopment of the State. The book could getaccess to lot of data on various aspects of Bihar.This will be useful for all those who areworking in rural development and poverty.– Dr. Y. Gangi ReddyAnthropology and Tourism byAnupama Srivastava and Keya Pandey, SerialsPublications. New Delhi, 2012, Price : ` 695.The book ‘Anthropology and Tourism”focuses on new subject i.e., presenting tourismin anthropological point of view. The bookcontains ‘three’ parts. The first part deals withAnthropology and culture. Second part dealswith Anthropology and Tourism. Third part dealswith impact of tourism on tribals living in forestJournal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


Book Reviews 101areas. The authors simplify the subject ofAnthropology, culture, tourism andenvironment to make easy understanding tothe readers. The strength of the book is a casestudy of ‘Tharu’ tribe, who live in deep forestof Dudhwa National Park and impact oftourism on socio-cultural, economic life andon environment of the forest region.The ‘Tharus’ is one of the tribes of India,resides in Dudhwa National Park in the Stateof Uttar Pradesh. They live very close to thethick forest in the hot tropical, malarial areas,infested with wild animals such as elephants,rhinoceros, bears, tigers and poisonous snakes.The Tharu community has dwelt in the forestof the Terai for a long, long time. They havepractical knowledge of the jungles. Their entirelife and livelihood has resolved around thejungles. Despite the hardships the communityevolved a rich and vibrant culture. Tharu’s arevery sensitive about cleanliness. The villagesand dwellings are neat and clean. Thetraditional huts possess an aesthetic charm.The huts are often decorated with ethnic andreligious motif. They are cool even duringsummers. The Holi (Festival of colours) is avery special occasion, celebrations, dance,music and revelry continue for days.There is a strong linkage betweenanthropology and tourism i.e., culturalintermixing of the people of the two differentplaces. A key element cultural tourism is tounderstand different cultures and how theyreact when grouped together. The culturaltourism educates, informs and at the sametime entertains the traveller. But the impactof visitor’s culture on host culture is animportant issue. This brings changes in host’sculture. The Tharu tribes of the Tarai regionare also the victims of these changes. Thetourism along with modernisation,developmental programmes of thegovernment has a played a vital role intransforming the lifestyle of the Tharus.Maximum tourists visit the DhudwaNational Park to see the tigers and wildlife.The added attraction for tourists is that theyalso get an opportunity to witness a Tharu tribelifestyle and culture. So Dudhwa National Parkprovides an unique opportunity to ‘Live withthe Jungle Folk’. Tharus entertain visitors withtraditional Tharu dance especially during theevenings. A visit during the month of March isespecially enjoyable as the tribe celebratesholi festival which continues for ten days. Thisoffers the tourist a unique and rare chance toparticipate along with the tribe and whichbecomes a life-time experience to the visitors.Due to tourism many positive andnegative changes were seen on tribal’s lifestyle. Tourism has brought physical changeamong the Tharus. The typical mongoloidfeature attributed to this tribe has undergonesubtle yet visible change. This is the directoutcome of cross cultural marriages andintermixing. The most prominent change isseen on spoken language. It has undergonedrastic transformations with Hindi wordsdominating the core vocabulary.The impact on socio - culture is that theTharu tribe has shifted to a settled rural pattern.Traditional Tharu huts made up of mud andthatched roof are to a large extent replacedby modern cemented houses. The traditionaldress especially of Tharu women are also rarelyseen and are now replaced by the attire wornby Indian women staying in the surroundedareas (sarees and salwar suits). These changeshave mainly occurred due to the exposure ofthe tribals to the nearby urban settlementsdue to increased transport facility betweenthe two.The Tharu trbal economy has undergonechange. The traditional Tharu economy wasbased on food gathering and hunting andsometimes supplemented by fishing. Thedevelopment and modernisation haveJournal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


102 Book Reviewsconverted the tribals to a settled pattern oflife with agriculture as a main economicactivity and some Tharus left the areas tolookout for employment to the nearby towns.The tourism in the Dudhwa National Park hasopened new avenues of earning. Theperformance of Tharu dance is also one wayof earning added income. Apart from this, thesale of lehanga (long skirt) and choli (longblouse) as well as the potter at exorbitant pricebrings in money. So tourism has had a positiveimpact on Tharus' economy contributing to abetter lifestyle and uplifted social standing ofthe Tharus.Environment is a core feature of thetourist product. Increased traffic brings manynegative impacts like congestion andpollution. Construction of hotels may lead tocutting down the trees and destruction of floraand fauna. But strict tourist rules are laid downto protect the environment by thegovernment. The fixed tourist routes exist andthe tourists are not allowed to enter theinteriors of the forest. One of the mostnegative impacts of tourism on Tharu tribals isprostitution and trafficking. The simple tribalsfall victim to the lures of the developed world.The tourism policy planners must control thenegative impacts and promote the positivetourism.The authors have opened up a new areaof eco – tourism i.e., conservation throughecological responsible travel. The bookteaches that environment and local tribalculture should be protected and madesustained. To book is an advice to the tourismpolicy planners, environmentalists to protectthe flora and fauna and indigenous tribalculture. This book is highly educative to thestudents, Anthropologists, environmentalists,forest personnel, tourists, academicians,Sociologists, politicians, policy makers, NGOsand research scholars etc.– Dr. S. N. RaoState of India’s Livelihoods Report2011, Edited by Sankar Dutta, Published byACCESS and Sage publications, OrlandaRuthven and Vipin Sharma P : 152 Price ` 895.The State of India’s Livelihoods ( SOIL )reports are being published annually since2008 by ACCESS development services,documenting recent trends and issues, policiesand programmes in the sphere of livelihoodspromotion of the poor. The present volumepresents the status of livelihoods during 2010-11. The report is based on recent statistics onthe employment status in India, especially theNSS 66th round. It analyses different trendsand various challenges affecting livelihoodopportunities and zooms in on some keydebates and conflicts in the sphere oflivelihoods arising from the global economicslowdown and the Indian agricultural crisison food inflation, hunger, the status of health,education, climatic changes etc. It revisits theoriginal 4P framework focusing on the poor,the policy environment, potential andpromoters. The report is divided into sixchapters each taking off from where the lastone has left, making for a morecomprehensive and complete reading.The year 2010-11 is marked by highrates of food inflation which not only affectedthe consumption level, but also called forstringent monetary policy intervention whichhas significant implications on the overalleconomic growth and livelihood opportunities.The first chapter on “ State of India’sLivelihoods 2011 : A Time of Volatility “presents an overview of the policy environmentfor livelihood promotion. While lookingat the key debates and conflicts such asdifferent definitions of poor, impact of risingwages on inflation and the conflicting demandon land, the author observes that the slowgrowth at the bottom of the pyramid againstthe impressive national growth rate is a majorpolicy concern. Chapter two on “Livelihoodsof the Poor “ explores the impact of some ofJournal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


Book Reviews 103the changes in the economy and thegovernment's macro-economic policies forgrowth and welfare on employment, healthand food security of the poor. While discussingon sectoral shift, wage shift and shift in thelabour market participation, the authorhighlighted-growth in the number of womenmanaged farms who are likely to suffer fromreduced access to farm credit and themismatch between women farmers' needsand the male centred targeting of inputs andservices.The third chapter “ Reflections onLivelihood Policies “ discusses the policies ofthe GoI and some of the state governmentslike Bihar and Odisha related to theimprovement of livelihoods. The author haslooked into the budgets and allocationpriorities and discusses various new initiativeslike skill development mission, cash transferetc. and schemes like MGNREGS, MKSP, MBCYall of which aim to improve and augmentlivelihoods of the poor in particular.Corroborated by some cases the authornarrates the government attempt to promotelivelihoods and also the adverse impact ofpolicies affecting the livelihoods of many. Theauthor has come up with a Livelihood SchemesCoverage Index as a measure of actual depthand width of reach of all livelihoods schemesconsidered together. The author observes thatthere is a certain disquiet over the affirmativeaction of the state, about the government'scapacity to deliver, which is increasinglygetting manifested in poor functioning of thestate systems delays and ineffectiveness andloosening control of the lower arms of thegovernments. Hope is placed on the maturityof Indian electorate and emerging civil society.The fourth chapter on “State as theLargest Livelihoods Promoter“ broadlyanalyses two flagship programmes of GoI, i.e.MGNREGS and NRLM. The author criticallyreviewed the policy process andimplementation issues which have risen as theMGNREGS programme reaches its maturity.The issues such as wage controversy, seasonaljob demand and labour supply, initiatives toimprove the transparency and efficiency of thescheme, capacity limitations at the state andpanchayat level were addressed. The authorwhile critically examining the NRLM which isa restructured version of SGSY regarding itskey features, delivery systems and implementationchallenges, has raised concerns on thedeclining role of civil society organisations inimplementation of NRLM.The fifth chapter on “Private Industryand Services- What is ‘India Inc’ Delivering inEmployment to the Poor” addresses the subjectof jobs for India’s poor inside private sectorindustry, services and their supply chains.Thechapter discusses the regulatory climate forhiring the employees and argues forliberalising the labour laws to lower the barfor the unorganised sector.The chapter alsolooks at the prospects for quality jobs in highgrowth sectors and discusses in detail aboutthe expectations by the employers of the lessskilled youth entering the job market.Thechapter closes with some illustrations of howemployers can themselves improve the “joboffer” to better attract the attentive andcommitted workforce they need.The last chapter on “Potential andPossibilities“ looks at some of the keyemerging and ongoing developments ingovernment policies and practices. It coversthe four key livelihood initiatives i.e. skillingand employment, market inclusion,decentralisation and revival of agri-ruraleconomy which are likely to be included inthe 12 th Five Year Plan and which will providethe overall direction of resource deploymentand policy framework. The emphasis is oninstituting better governance throughproactive citizen participation and improvedaccountability standards.The chapter alsodiscusses on newly introduced Unique Id(Aadhar) project and the proposed Direct CashJournal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


104 Book ReviewsTransfer scheme, and discusses theirimplications for the poor as well as livelihoodprofessionals.Capturing livelihood debates in Indiahas been a process of capturing the significantinitiatives both by the government and privatesector in enhancing and securing thelivelihoods of millions in this dynamic state ofeconomy. The SOIL Report 2011 reviews themajor debates, policy initiative, implicationsof key macro-economic policies with afuturistic perspective. It is a good referencedocument which will be useful for both policymakers as well as practitioners.– Dr. Ch. Radhika RaniDepression Among the Elderly bySumita Saha and Ruby Sain, 2012, Publishedby Serials Publications, 4830/24, Prahlad Street,Ansari Road, Darya Ganj, New Delhi-110002,pp378, Price : ` 1195.The book is divided into six chapters.Chapter one describes the problems ofdepression and its social origin. Chapter twodeals with the theories of ageing. Chapterthree discusses the major assumptions aboutdepression. Chapter four describes the socioeconomicand demographic profile of thesample and study area. Chapter five is dividedinto two sub- parts: a. way of looking and b.detailed discussion. Final chapter reveals thegravity of the problem and its present conditionwith some suggestive measures.This book is based on the empirical studydone among the Marwari elderly residing insub-urban of metropolitan city called Kolkatain West Bengal. In this book best efforts havebeen made to explore the rampant incidenceof depression among the affluent urbanelderly. Chapter one explained depression asa social problem by listing out the changes inthe society that could be identified as possiblecauses for depression. It has also analysed thedemographic trends of aging population inIndia and the physiological, psychological andsociological problems faced by them class andreligion-wise.In chapter two in the name of theoreticalunderstanding, elaborative review of literaturewas done on the important issues leading todepression among the elderly likedemographic changes, environmental factorssuch as stress, psychosocial development,cognitive processes in adulthood, roles andexpectations, attitudes and behaviours.Reviews say that ethnicity is also a factorwhich rates depression in late life. Severaltypes of medical disorders are associated withdepression and drugs can cause substanceinducedmood disorders. Deficiencies inessential nutrients are also linked todepression. Bereavement, especially loss of aspouse, chronic pain, lack of social support ascauses of depression was also reviewed.Review threw light on a variety ofpsychotherapies like cognitive therapy,interpersonal therapy and life review, psychopharmacologicaltreatment and electroconvulsive therapy and group therapyapproaches like reminiscent therapy,supportive therapy and full- scale occupationaltherapy, that are used for treatment ofdepression.Chapter three focused on the purposeof the study, the main objectives andhypothesis to be tested. The main objective ofthe study was to identify factors that triggerdepression and the type of treatment they aregetting. Authors almost framed 30 objectivesfor the study and the number of objectivescould have been brought down by groupingthem.Chapter four highlighted the sample andstudy area i.e Marwaris in Ballygunge, the suburbanof Kolkata and why it was chosen as thestudy area. Authors gave a brief profile of thestudy area.Journal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


Book Reviews 105In Chapter five the authors analysed theempirical results such as the socio- economicprofile of the sample respondents like age, sex,income, education, marital status, type offamily and the sources of income of therespondent. Focus was laid on inclination ofthe respondents to religious beliefs, religiousgatherings and celebration of festivals,religious tours and religion as one of thecoping mechanisms. How the family relationsare in the respondent's household likewhether the family members spend time withrespondents, are they making him/her part inthe discussions related to family, are theytaking the respondents for outings, provisionof basic facilities, respect within the family etc.were also enquired. Bereavement amongelderly is also one aspect of the study like lossof spouse and children, incidents like divorceand separation etc. Respondents spendingtime on different activities like entertainment,household activities is also one area of enquiry.Focus was laid on respondents suffering fromdifferent health problems ranging from minorto major and chronic. It was also tried to assessthe awareness levels of the respondents onthe latest treatment methods to mental stressand depression. Further, the author inferredfrom the analysis that percentage of therespondents suffering from mild to moderatedepression is high. However, percentage of therespondents suffering from severe depressionthat is who need psychiatric treatment is low.Few case studies of the elderly peoplestaying in an old age home called ‘ApnaAshiyana’ and in their respective housessuffering from depression were alsohighlighted. Summary , conclusions andrecommendations are presented in chaptersix.By reading the book, an individualdevelops knowledge on the issues related todepression among the elderly in general andMarwari community in particular. It isinformative and readability is smooth. Thelanguage used is simple and the style ofpresentation is good. The author has also usedexhaustive review of literature and the bookhas rich bibliography. However, in the overallassessment, the book is a good resource bookon various psychological and social aspectspertaining to depression among the aged andhas great relevance of time to the ruraldevelopment too.– Dr. C. DheerajaMicro Finance India – The SocialPerformance Report 2012 by GirijaSrinivasan, Sage Publications India Pvt.ltd.Pages: 121, Price : ` 795.The need for customer protection,responsible finance and social performancecame sharply to the fore in the aftermath ofAP crisis due to some irresponsible MFIs in theState. Some MFIs caused harm to the clientsleading to crisis. This has led to interventionof RBI regulating MFIs, setting margin caps andother fee that can be charged on loans. RBIalso set norms for income levels of clients tobe acquired and serviced by MFIs. Few goodMFIs have gone beyond financial services andallocated part of their profits for client welfaremeasures like education, health etc. While thecredit for success is easy to claim, theresponsibility for failure should also be sharedby MFIs.The author discussed about variousaspects of ownership and governance.balancing social and financial goals incomposition of Board of Directors, CEO’scompensation (High pay packet) etc., whichare the cause of crisis in the sector. HistoricallyMFIs displayed mixed enthusiasm inexperimenting with new products. As theclients are poor and illiterate, they are alsohappy with available products and productdelivery. Some MFIs, as a future businessstrategy, ploughed back part of their profits inthe form of support to destitute, ultra poor whoJournal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


106 Book Reviewsneed food subsidies, vocational training inincome generating assets and qualityeducation to rise out of poverty.Failure of MFIs in fair treatment of clients,code of conduct and institutional responseresulted in loosing client focus. Negativeoutcomes of high growth, zero tolerance fordefault with tremendous pressure on staff toensure 100 per cent collection – lapses onrepayment led to strained relations etc ., haveattracted the attention of governmentauthorities, religious groups and media. Thereasons for crises were attributed to overlending,high interest rates, unfair anddisrespect to clients, lack of appropriateproduct design, rigidity in recovery in spite ofgenuine problems of clients etc. Instead, theMFIs have to adopt client protection and goodgovernance to avoid crises in MFI sector. Theseaspects are discussed in detail for the benefitof future players in the sector.MFIs seemed to have realised that indealing with bottom line of pyramid clients,outreach and access alone are not sufficient.Rather, higher standards of client protectionare needed to avoid crisis in MFI sector. Theoutreach of MFIs is uneven with moreconcentration in South (50%) followed by East(25%), West (7%) Central (10%), North (4%)and NE (4%). MFIs have concentrated less ondeveloping community owned institutions andmember-centric services like in southernStates. High interest rates, disregard to overindebtednessand coercive recovery practiceshave dragged MFI sector.MFIs have to learn from CommunityOwned Microfinance Institutions aboutcustomer centricity, managing customerprotection and socially responsible behaviour.They have to reconsider their socialperformance and customer centric productsand processes.No systematic Impact Assessment isdone by many MFIs internally or by externalagencies to measure the extent of impact onclient income, living standards in terms ofeducation, health, sanitation and socialparticipation. It is important that the MFIs haveto learn and replicate the success stories ofCommunity Owned Micro Finance Institutionswho are ahead of many MFIs in the field ofsocial performance. The time has come torevisit our assumptions on what is fair andappropriate to ensure that the sector looksahead to expand with responsibility towardsan inclusive MF sector.The book has given an insight intovarious aspects of micro-finance-sector andthe positive role that is expected to be playedby MFIs and other Community Owned MicroFinance Institutions to benefit the downtroddenwithout underscoring the good workdone by MFIs before formal credit institutionshave taken over. The book has analysed thecurrent situation to guide the players in thesector and is an important publication to beread by all concerned.– Shri R. Koteswara RaoJournal of Rural Development, Vol. 32, No. 1, January - March : 2013JRD 2 (1)


Journal of Rural Development(Quarterly Journal of NIRD)INSTRUCUCTIONSTO AUTHORSProcedureCommunication : The National Institute of Rural Development welcomes articles of interestrepresenting original work, analytical papers and papers based on review of extensive literatureon economic, sociological, psychological, political and administrative aspects of ruraldevelopment for publication in its quarterly Journal of Rural Development (JRD). Allcommunication should be addressed to the Editor, Journal of Rural Development. NationalInstitute of Rural Development, Rajendranagar, Hyderabad – 500 030, India (e-mail:ciec@nird.gov.in). The Editor will correspond with the main author.Declaration : Each article should be accompanied with a declaration by all the authors that (1)they are authors of the article in the order in which listed; and (2) the article is original, has notbeen published and has not been submitted for publication elsewhere. If you have quotedmore than 500 words/a table/a figure from a published work, in the article, enclose a copy ofpermission obtained from the respective copyright holder.It is the author’s responsibility to obtain permission in writing for the use of all previouslypublished material, not that of the editor or publisher. Authors are responsible for payment ofany permission fees.Manuscript : Each manuscript should be submitted in triplicate with a letter of transmittal.Article should be double spaced typewritten on one side of quarto size (A4) paper. The lengthof the article may not exceed 10,000 words (40 typed pages approximately). The margin keptshould be 1 1 / 2" on the left side and 1" on the other three sides.Softcopy Submission : If you send your article in a CD it should be entered in MS Word 2007.The CD should be sent in a CD container to protect it from likely damage. Soft copies can alsobe sent by e-mail: ciec@nird.gov.in, cmrd_info@nird.gov.in.Review System : Every article will be reviewed by a masked peer view by two referees. Thecriteria used for acceptance of articles are contemporary relevance, contribution to knowledge,clear and logical analysis, fairly good English and sound methodology of research articles. TheEditor reserves the right to reject any manuscript as unsuitable in topic, style or form withoutrequesting external review.Editing : Every accepted article will be edited. If the author wishes to see the edited copy he/she should make this request at the time of sending the article. Since this involves a minimumof an additional four weeks time, in the production process, we will assume your concurrenceto our editing unless specified by you.Copyright : The author owns the copyright of the article until the article is accepted by the JRDfor publication. After the acceptance communication, the copyright of the article is owned bythe National Institute of Rural Development and should not be reproduced elsewhere withoutthe written permission of the editor and the authors of the article.


Preparation of the ArticleTitle Page : The title page includes the title of the article, name/s of the author/s and theirinstitutional affiliation/s. Repeat only the title on the first page of the article.Abstract : The first page of the article should contain an abstract of the article not exceeding250 words.Reduce Bias in Language: Constructions that might imply bias against or stereotypes on thebasis of gender, ethnicity, disability or age should be avoided.Spellings : Use British spellings in all cases instead of American (Concise Oxford Dictionary).Underline Words : Words underlined in a manuscript appear in italics when typeset Don’tunderline words for emphasising them.Abbreviations : A term to be abbreviated must, on its first appearance, be written outcompletely and followed immediately by its abbreviation in parentheses. Thereafter, theabbreviation may be used without further explanation.Numbers : Use figures to express all numbers 10 and above. Use words to express numberslower than 10, and common fractions numbers that begin a sentence/title.Tables : Type each table on a separate page. Insert a location note at the appropriate place inthe text. Minimise the use of tables.Notes : Footnotes should be listed as notes in an appendix and not typed at the bottom of themanuscript-pages on which they appear.Quotations : Verbatim citation of fewer than 40 words may be incorporated in the text,enclosed with double quotation marks. A quotation of more than 40 words may be displayedas a free standing block, indenting five spaces from the margin. Do not use quotation marks forthe block quotation. Give the source of the quotation in the form of author’s last name, year andpage number/s in parentheses.Citation of Sources : When paraphrasing or referring to an idea contained in another work,the author must cite the source in the text. The surname of the author and the year of publicationmay be inserted at the appropriate point as part of the narrative or in parentheses.As far as possible, all articles and notes should be organised into the following sections: (i)Introduction, (ii) Hypothesis, (iii) Methodological Issues Involved, (iv) Limitations of Analysis, (v)Policy Implications and (vi) Conclusions, Sub-sections should carry clear and distinct subheadings.Reference List1. The reference list at the end of the article should provide complete information necessaryto identify and retrieve each source: Author/s, year of publication, title and publishingdata. References cited in text appear in the reference list; conversely, each entry in thereference list must be cited in the text, both should be identical in spellings and year.2. An article published in journal may be listed in the following format: Author’s last name,initials, year of publication, name of the article, name of the journal underlined, volumenumber, issue number in parentheses, and page numbers.


3. An article published in an edited book may be listed in the following format: Author’s lastname, initials, year of publication, name of the article, initials and surname of editors, Ed./s, in parentheses, title of the book underlined, page numbers of the article in parentheses,place of publication and name of the publisher, separated by a colon.4. A book may be listed in the following format: Author’s last name, initials, year of publication,title of the book underlined, place of publication and name of the publisher, separated bya colon.5. When a reference has more than one author, list all the authors names. For an institutionalreport, write full name of the institute as the author. For a government report, the authoris the name of the country/state and the name of the Ministry/Department, separated bya colon.6. Arrange references in the Reference List in the alphabetical order by the surname of thefirst author and then his/her initials. When ordering more than one reference by the sameauthor, list the earlier publication before the later publication. References by the sameauthor with the same publication year are arranged alphabetically by the title, and suffixesa, b, c and so on are added to the year.The Institute supplies 25 reprints of the paper free of cost to the author(s). Additionalrequirements of reprints, if any, should be communicated to the editor within ten days ofreceipt of notification of acceptance for supply on payment, as per the rates charged by theprinters from time to time.


In its continuous effort to develop managerial skills of functionaries in rural developmentprocess, the Institute started one-year fully residential Post Graduate Diploma in RuralDevelopment Management (PGDRDM) and two one-year PG Diploma programmes inDistance Mode namely, Sustainable Rural Development (PGD-SRD) and Tribal DevelopmentManagement (PGD-TDM).

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