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GRIT PROJECT

REPORTS 2010 Submitted

by

PGP, PGP-ABM, , PGPX and Exchange students

to

Dr A P J Abdul Kalam

Prof Anil K Gupta

Indian Institute of Management

Vastrapur, Ahmedabad

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INDEX

Group NAME (group members) Page No.

Project title

1 A ARAVIND BHARATHI, DIWAS JOSHI (ABM), MANEKA BHOGALE MADHAV (ABM), SUBHADEEP SANYAL (ABM), MARIE-ALIX PRAT (Exc), ANSHUMAN ASTHANA (PGPX), SANDEEP DESHMUKH (PGPX)

5-24 DRINKING WATER FOR SIX BILLION PEOPLE OF THE WORLD

2 AJAY SAMPATH, SANDEEP KUMAR GUPTA, DEEPAK MAUN (ABM), THOMAS PAUL CHARLES FRIANG (Exc), SANDEEP MALHOTRA (PGPX)

25-64 Drinking Water Availability for 6 billion plus people of the World

3 ALOK GAUTAM, S. PRIYA (ABM) 65-87 Drinking Water Availability for Six Billion People

4 AMBER MAHESHWARI, RAHUL REGULAPATI, SHANTANU SHEKHAR, SEBASTIEN FRANCOIS (Exc), SHEHZIA VALIULLA (Exc)

88-106 ENERGY EFFICIENCY SOLUTIONS FOR A CLEANER AND GREENER INDIA

5 ANKIT GOEL, RITESH AGARWAL, VIKANSHU BHARGAVA, STEPHANE BOLELLI (Exc), ROHIT KELKAR (PGPX)

107-122 Evolution of Corruption Free India

6 ASHOK KUMAR BHARDWAJ, NEHA DAHIYA, PRASHANTH P, CHARLOTTE AXELSSON (Exc), DOROHTE STAHLIJANS (Exc), JYOTHISWAROOP JAYAPRAKASH (PGPX), VIKRANT NANDA (PGPX)

123-142 Evolution of Corruption-free India

7 AVIRAL JAIN, DEEKSHA KAKKAR, PRITHIV SIDDHARTH

143-144 A Carbon Neutral Nation

8 BHANU PRATAP SINGH CHAUHAN, ISHAN CHOUDHURY, LAGGOUNE Gupta, Sandeep Gupta, Jyoti, Gautam

145-170 Dimensions of Evolving an Energy Independent Society (Evolution of a Carbon Neutral Nation)

9 DSILVA GLEN JOSEPH (PGP), Desai Sagar Sambhajirao (PGP-ABM), Shelly Gera (PGP-ABM), Anand Prasannakumar (PGPX), Navin Rajendran (PGPX), Angot Steve (Exchange)

171-212 Drinking water availability for six billion people in the world

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10 Paul Ricard, Stéphane Zahrai, Baldev Raj Juneja (abm), Hemant Gaule Advised by Pankaj Srivastava and Prosenjit Ghosh

213-256 Drinking Water Availability for six billion plus people of the World (Report 1 & 2)

11 KULDEEP SINGH, AHMED ASKIRI (Exc), GILLES BOURCY (Exc), PHILIPP BOHL (Exc), ANAND GANESAN (PGPX), GAUTAM CORMILI (PGPX), GAUTAM MODI (PGPX), VINAYAK BHAT (PGPX)

257-301 Evolution of Corruption-free India

12 LAKSHMISHA S K, MOVIN JAIN, HIMADRI AGARWAL (ABM), VENKATESAN KRISHNACHARI (PGPX)


13 RAVI YADAV, SAURABH SINGH, DANIEL DE LUNA (Exc), UDIT GOYAL (PGPX)

316-351 Evolution of a Corruption Free India

14 SAHIL AGGARWAL, ARPITA SENGUPTA (ABM), PUGEAULT CAMILLE (Exc), GAURAV (PGPX), NAGESH SHUKLA (PGPX), RAHUL SINGHAL (PGPX)

352-363 Corruption in the Trucking Industry

15 SHUBHASHISH BISWAS, SOURAV DAS, SUDESHNA DEY (ABM), NAMITA CHAUHAN (Exc), DEVKI NANDAN (PGPX), MATHEW SAMUEL (PGPX)


16 SONAM CHOUDHARY, ABHINAV GARG (PGPX), BETTINA ACKERMANN (Exc), SARA GUILCHER (Exc), SARAH NERBONNE (Exc), VINEET KARHAIL


17 BERNARD JULIE (Exc), JEANSON BENEDICTE (Exc), MOULIADE LAURA (Exc), CHARLOTTE DAML LEVILLE (Exc)


18 ABHISHEK SRIVASTAVA (PGPX), NIKHIL MUDALIAR (PGPX)

458-461 Dimensions of Evolving an Energy Independent Society

19 AMIT CHATURVEDI (PGPX) 462-465 Interlinking of Water Bodies in InProject Report

20 AMRESH DESHPANDE (PGPX), GAGAN CHOPRA (PGPX)

466-481 Involvement of Transporters in the Tourism Sector

21 ANUROOP TALWAR (PGPX), AMIT CHATURVEDI, Gautam Modi

482-495 Making Judiciary Answerable to „Aam Janta‟

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22 GAUTAM BHUYAN (PGPX)Gautam Cormoli, Vinayak Bhat, Jyoti Agrawal, Gautam Bhuyan

496-506 Making Development Policies More Effective in Naxal affected Eastern Corridor

23 MAYANK JOSHI (PGPX) Udit Goyal, Navin Rajendran, Mayank Joshi

507-522 Globalizing Resurgent India through Innovative Transformation

24 SHANKAR GAJENDRA (PGPX) (Swaroop, Shankar Gajendran, Venkatesan Krishnachari, Vikrant T Nanda)

523-562 Inclusive Education For Children of Migrant Labourers. Globalising and Resurgent India through Innovative

25 SHREEYA JAYARAMAN (PGPX) 563-564 mSikshaa

26 SUJIT VERMA (PGPX), VIVEKANAND CHUDGAR (PGPX)

565-582 Nursing - Restoring the Heartbeat of Healthcare

27 TANUSHREE DATTA (PGPX) 583-607 Globalising a Resurgent India through Innovative Transformation

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Sr. No. 1, 36, 38, 41, 53, 73, 92

SAFE DRINKING WATER FOR SIX BILLION PEOPLE OF THE WORLD

A Aravind Bharathi, Anshuman Asthana, Diwas Joshi, Maneka Bhogale,

Marie-Alix Prat, Sandeep Deshmukh, Subhadeep Sanyal

Project report

submitted to

Dr. APJ Abdul Kalam

Prof. Anil Gupta

In partial fulfillment of the requirements of the course

Globalizing and Resurgent India through Innovative Transformation

20th

November, 2010

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1. Introduction

About 97.5 percent of the earth's water is saltwater. Less than one percent of the water on

earth is in lakes, rivers, wetlands, and shallow aquifers that are available for human use. The

annual replenishment of these systems constitutes the renewable water supply out of which

10 percent is consumed by human. Yet, only 15 percent of people worldwide live in relative

water abundance. World Resources Institute (WRI) has estimated that 41 percent of the

world's population lives in river basins under 'water stress,' meaning that per capita water

supply is less than 1,700 cubic meters per year.

The problems related to drinking water can be divided into three basic categories which are

as follows –

(i) Water Scarcity

(ii) Poor Access

(iii) Poor Quality

1.1. Water Scarcity

The basic source of drinking water is the groundwater. With the imbalance between the water

use and its resources, low levels of rainwater harvesting and the increase in global warming,

water tables all around the world are going down. Thus, the water in the world is becoming

scarcer every day.

Source: PROPARCO, French Agency of Development

The population of world is pegged at 6.8 billion presently and is increasing at a rate of 1.1

percent every year. By 2050, the world population will be about 9.4 billion. So, managing the

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water resources judiciously is one of the major mantra to reduce the problem of water

scarcity all round the world.

1.2. Poor Access

According to the 2nd

UN World Water Development Report, more than a billion people,

about 20 percent of world‘s population lack the access to safe drinking water and 45 percent

population does not get clean drinking water at home.

The rate at which the world‘s population is growing indicates an increased demand of

freshwater of about 64 billion cubic metres a year. If the trends of water usage continue, by

2025, about one-third of the population will not have access to safe drinking water. The

population growth will occur mostly in developing countries, which already have scarcity of

water. The worst affected areas at present are in the Sub Saharan zone (<90%) with about 340

million Africans having no access to safe drinking water. So, steps need to be taken by

various agencies to tackle this future problem.

This alarming situation led the UN to set Millennium Development goals for conservation of

water and ensuring supply to masses by the countries.

India has achieved the Millennium Development Goal for drinking water by providing 84 per

cent of its rural population with access to improved sources of water. Rural Development

Minister C P Joshi said in New Delhi on 12th

April 2010 that the government‘s goal is to

provide safe drinking water to every household by 2012. (Source: ―Drinking water woes:

India meets UN millennium goals‖, Rediff Business, April 13, 2010)

The above said achievement is a big achievement, but, the two basic issues which arise from

it are firstly, sustaining the water availability as most of this water is groundwater which

faces the problem of over exploitation for agriculture uses. Secondly, the population which

does not have access to safe drinking water seems small when viewed in percentage terms

(only 16 percent) but in absolute terms this number comes out to be 17 million which is huge

number.

1.3. Quality

Improving the access to water will not solve the problem that the world is facing. The issue of

the quality of water that is available to the people is understated in most of water related

projects. It has been found that about 1.1 billion people in the world drink water that is

grossly contaminated. The Joint Monitoring Programme for Water Supply and Sanitation by

WHO and UNICEF estimated that there were about 884 million people who are deprived of

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improved sources of drinking water in 2008. About 5 million deaths are caused per year due

to water borne diseases.

The major issue related to contaminated water is in Sub-Saharan regions of Africa. In India,

the economic burden due to contaminated water amounts to $600 million a year. Ground

water sources in 36 districts in Northern UP are not potable.

2. Key issues

2.1. Drinking Water – social or economic asset?

Dealing with the three categories of problems as stated above will require some technological

solutions and innovations. The second phase includes development of a model by which we

can make the water available to the masses in a cost effective manner. As most of the

problems related to safe drinking water are in developing nations, so, price at which water is

made available becomes one of the important criteria for implementing any solution. Given

the high levels of poverty in developing countries affording a square meal a day is a big

problem for the people. Paying for drinking water by these people is highly questionable. In

such a scenario, the role of Government for ensuring the supply of water to the poorer mass

becomes very important. The Government in these countries have to provide water to the

masses at a price (or for free) which is below the cost incurred by the Government. Hence,

treating water as an economic asset (by which one can derive huge economic benefits) is

really difficult.

Still, there are several packaged water companies (For example, Bisleri, Bailley, Aquafina)

which are able to extract huge benefits by catering to the needs of safe drinking water to the

people. But, the involvement of private sector in managing the water portfolio is very low

and is limited to only some of the countries. Private operators provide water to only 7 percent

of the total population of the world. Experiences in several countries have shown that the

private sector often enhances water delivery system through Private-Public Partnerships

(PPPs), by implementing a more efficient management of water companies. Therefore, water

is also an economic asset, it has a cost and so a price for the customer.

But as discussed above, water is a social asset. Access to clean drinking water is a right for

every human being, regardless of his ability to pay the right price or not. The price of water

can‘t be determined by a standard demand and supply law. As well, it can‘t be determined by

a standard ―price = cost + margin‖ law, where the consumer pays the entire cost of the

service, because some consumers won‘t be able to afford it. PPP model can be one of the

effective ways for producing and supplying safe drinking water to the common mass.

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Therefore, we need to think on means to reduce the cost using PPP model for making water

affordable for everyone.

2.2. Role of government in ensuring water availability

United Nation‘s, World Water Development Report 2 (2006) report focuses on issues of

governance as the core of the water crisis, saying "There is enough water for everyone" and

"Water insufficiency is often due to mismanagement, corruption, lack of appropriate

institutions, bureaucratic inertia and a shortage of investment in both human capacity and

physical infrastructure". Official data also shows a clear correlation between access to safe

water and GDP per capita.

Some of the economists claim that the situation of water today is the result of Government

subsidies in water sector and the lack of property rights, due to which water prices are too

low and the consumption is too high. This has primarily lead to the situation of water

scarcity.

Apart from all the reasons stated above, one important issue to take into account is of leakage

(loss) rates in the distributions systems setup by the Government. The leakage rates are as

high as 50 percent in many places. Also, the systems setup for treating the waste water does

not work efficiently. According to a report by the Task Force for the Implementation of the

Environmental Action Program for Eastern Europe, Caucasus and Central Asia, municipal

water utilities have now become the main polluters of surface waters in many East European,

Caucasus and Central Asian countries.

3. Policies related to drinking water in India

The problem of ensuring safe drinking water to the population has been present for India

since long. The Government of India took steps time-to-time by implementing policies and

launching various programmes for water supply.

Accelerated Rural Water Supply Programme (ARWSP) was launched in 1972-73 to

ensure provision of adequate drinking water supply to the rural community through the

Public Health Engineering System.

Rajiv Gandhi National Drinking Water Mission was launched as Technology Mission in

1986-87 and was later renamed in 1991-92. Under this mission, government laid stress on

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improving quality of water supplied in rural areas by means of appropriate technology

intervention, human resource development etc.

National Water Policy was adopted in 1987 and its main targets were to maximize the

availability of water, improve the quality of ground water, set water allocation priorities,

motivate farmers and voluntary organizations to participate in these programmes,

management of flood control systems and provide trainings and technology.

The next stage of water management programmes started in 1999-2000 with launch of Sector

Reform Projects (SRP) aimed to involve people in planning, implementation and

management of drinking water schemes.

National Water Policy of 1987 was revised in 2002 and it emphasized the importance of

sustainable planning, management and development and periodic modifications of national

policies. This policy highlighted the importance of preservation of quality of environment

and development of water resource projects as multi-purpose projects. The PPP approach and

use of remote sensing techniques were also suggested under this policy.

Swajaldhara (2002) adopted a approach of community participation in the project in the role

of a decision maker with regards to drinking water scheme, planning, design, implementation,

control of finances, management arrangements including full ownership of drinking water

assets. The community has to share partial capital cost either in cash or kind or both, 100%

responsibility of operation and maintenance (O&M). An integrated service delivery

mechanism is also promoted which includes taking up conservation measures through

rainwater harvesting and ground water recharge systems for sustained drinking water supply.

(Source: Department of Drinking Water and Sanitation)

The Rural Water Supply (RWS) sector has now entered the fourth phase with major

emphasis on ensuring sustainability of water availability in terms of potability, adequacy,

convenience, affordability and equity while also adopting decentralized approach involving

PRIs and community organizations.

The Eleventh Five Year Plan (2007-2012) is aimed towards faster and more inclusive

growth. Rural Water Supply is, however, beset with the problem of sustainability,

maintenance, and water quality. Thus though more than 95% coverage was achieved prior to

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Bharat Nirman, 2.8 lakh out of the 14.22 lakh habitations in the country, have slipped back

from fully covered to partially covered status. Another 2.17 lakh habitations have problems

with the quality of water; about 60,000 habitations face serious problems of salinity or

arsenic and fluoride contamination. These habitations will also be taken up under Bharat

Nirman. The 11th Plan will emphasize full and timely realization of the Bharat Nirman

targets.

The Ministry of Water Resources (MoWR) issued some guidelines for repair, renovation

and restoration (RRR) of water bodies with external assistance and domestic support in 2009.

The scheme is aimed at providing environmental benefits by improved water use efficiency,

irrigation and drinking water benefits through restoration of water bodies, supplementation of

the groundwater use and promotion of conjunctive use of surface and ground water. It

suggests community participation as a means for sustainable management of water bodies.

Efforts to build capacities of communities, user groups, etc are also under the purview of

these guidelines.

National Rural Drinking Water Programme is the latest programme launched by the

Ministry in 2010. It is a modified version of ARWSP. The modifications were made taking

into account the considerations that RWS norms and guidelines need revision based on the

principle of demand responsive planning rather than adoption of universal norms and

standards. The modified programme includes mechanisms to ensure household level drinking

water security.

4. What is a Private- Public Partnership (PPP)?

PPP is often viewed as a large expression to avoid the term ‗privatization‘, which became

very controversial after the liberalization phase of public services in developing countries in

the 90‘s, essentially more for ideological reasons than on objectives results. The term PPP

hence stresses the fact that there is a participation of the private sector, but no transfer of

private ownership of any water resources.

It is a contract between a private operator and a government in which some segments of water

delivery services are delegated to a private company, which usually takes over the

management of a utility. PPPs can take different forms depending on the degree of

involvement and responsibility of the private sector. The different forms are discussed below.

(i) Service contract

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The private operator has to perform a specific task for a short time. It can be billing,

collection, meter reading, loss monitoring, pipe repairing etc. In this option the Public

Utility Manager is responsible for investment and coordination of the project, whereas the

private company brings in his expertise on a technical task, and opens it to competition.

For example: The Chennai Metropolitan Water Supply and Sewerage Board

(i) Management contract

In this short-term option, the private operator receives the responsibility of the O&M

(Operations and Management) of the existing utilities. It therefore brings its technical and

management expertise to the sector to improve the operating efficiency of the system. The

public utility manager is responsible for maintenance and financial investment, and so

supports the commercial and investment risk.

For example: Trinidad and Tobago

(i) Lease-Affermage

It is a kind of management contract in which the private operator bears more risk. Under a

lease, the operator retains the revenue collected from the customers and pays a lease to

the public authority. Under an affermage, the private operator and the public utility share

the customer‘s revenues and the operator pays an affermage fee according to demand and

sales and keeps the remaining revenue. The operator‘s profit depends on the utility‘s sales

and costs, which gives the operator incentive to improve his operating efficiency and

increases sales.

(ii) Build-Operate-Transfer / Rehabilitate- Operate-Maintain

These are long-term options. In the BOT option, the public utility recovers all the rights at

the end of the contract. The price is calculated to cover the construction and operating

expenditures, along with a RoR (rate of return). In the ROM option, the private operator

provides the funds and sells its services to a public utility.

(iii) Concession contract or Franchise

It is a long term contract of often 25 to 30 years which awards monopoly rights to a

private company to provide water services within a geographical area. The private

operator is responsible for every aspect of the project like, O&M of the existing assets,

investments etc., but the ownership remains to the public utility. The private company

revenue is governed by main performance targets such as quality, coverage and supports

the investments and commercial risks. A regulation institution is set up to ensure that they

respect the terms and conditions of the contract, that they do not exploit their monopoly

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power at the expense of consumers so that there is a balance between the consumer and

the stakeholders‘ interest.

For example: Argentina, Bolivia La Paz

(iv) Divestiture

It is a partial or complete privatization of the water utilities, through the sale of assets or

shares, or through management buyout by a private operator, who gains entire

responsibility on operation, management and investment and becomes the owner of the

assets. This option also implies the existence of a regulatory institution.

For example: England and Wales

5. Why PPP in water supply services?

5.1. The Need to reform drinking water utilities in India

According to the 73rd

and 74th

Constitutional Amendments, drinking water service has been

decentralized and is supplied by the urban local bodies or the Panchayati Raj institutions in

rural areas. But over the years, the responsibilities and issues they have to tackle have

increased vis-à-vis their financial capability and institutional capacities.

First the local bodies have a poor financial health. They lack financial revenues, because of

an inefficient revenue collection (40-45%). Also, the user charges are inadequate and highly

subsidized compared to the high administrative costs. Hence, it increases their dependence on

state governments and other external agencies for grants and loans.

Second, these service providers lack the capability and capacity to deliver a good service.

They are not well equipped and skilled to undertake a wide variety of tasks such as

management of urban areas, technical operations on the distribution network, monitor and

regulate the private sector, attract capital from the market, enforce environmental regulation

etc. The existing infrastructures also need to be upgraded.

PPPs are more efficient and provide better service at a lower cost

It is hard to evaluate the efficiency of PPPs compared to completely private or public utilities.

The ―Public Vs Private‖ debate is highly political and ideological, and it isn‘t always easy to

find non biased sources and to judge its objectivity. In developing countries, there is also a

lack of data on the population served and on the quality of services delivered. For this part,

we relied mainly on a World Bank report, and on TERI (The Energy and Resources Institute)

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reports supported by the United Nations Development Programme in consultation with the

Government of India.

Defenders for PPPs argue that they promote competition on the market. They bring in new

technological and management expertise, financial resources and a more commercial

orientation. They have to count only on them to have sufficient revenues and are therefore

under an incentive to be more efficient.

The World Bank Report analyzes the overall performance of PPP‘s projects in developing

countries since the 1990‘s. It focuses on the improvements of water supply and actual

impacts for the population rather than on the ability of PPPs to meet their contractual targets.

The reports notes that on out of 65 countries that opted for water PPP projects over the past

twenty years, at least 41 did still have private operators and 84 percent of all awarded

contracts were still active by the end of 2007. It asserts that out of 205 million people in

developing and emerging countries that have been served by water PPPs project over the past

15 years, 160 were still served in 2007, out of which 50 million were served by PPPs that can

be judged as successful ones, bringing significant benefits to the population.

Source: Philippe Martin, World Bank (2010)

The evaluation of this overall performance of PPPs was based on the following observations:

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Thanks to their strength relying both on the private and the public sector, PPPs were able

to increase access to piped water, and have provided water to more than 24 million

people in developing countries since 1990 (WB report). But it has not been proven that

PPP projects are more efficient than public utilities in expanding the network. This is

clearly linked to the financing of PPPs; governments have much more financial leverage

than public operators to invest in infrastructures. That‘s why the overall performance of

lease-affermage was greater than concessions thanks to a large proportion of investment

by the public partner who bears the risks.

They have improved water quality and more precisely reduced water rationing.

The main premise for incorporating private sector in water supply is that PPPs are more

operationally efficient. The WB report evaluates three parameters to judge this

operational efficiency: reduction of water loss, collecting bills and productivity.

- If it was proven that many private operators were able to reduce water loss, it isn‘t a

generality.

- Because of direct financial incentives, PPPs are more efficient than to public sector in

collecting bills.

- As PPPs project were often linked with layoffs because of an original overstaffing of

water utilities which belonged to the public sector, the introduction of private

participation caused an improvement in labor productivity. They also hired more

qualified employees.

As far as tariffs are concerned, it is difficult to measure PPPs ‗performance. Statistically,

there is no overall significant impact on tariffs compared to similar public utilities. Tariff

often went up, but not as a direct result of the entry of the private operator.

A strong premised was that PPPs would attract private funds. The report shows that it

hasn‘t been the case. Most projects are financed by public money, because public sources

have more financial leverage power. But they have indirect but important effects on

access to financing: The increase of their operational efficiency make customers more

willing to pay their bills, therefore they have more cash flow to invest in expansion.

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Need for an appropriate economic regulation

The success of a PPP is strongly linked to the presence of an independent regulator, a

regulatory supervision which has the credibility to administer PPPs. Indeed, the high fixed

costs of the water service tend to create natural monopolies in this sector. Privatization is also

likely to increase transaction costs. As drinking water supply is a Universal service

Obligation, principles of economic regulation in managing such infrastructures must ensure

the protection of the consumers‘ interests and a good water quality. In the PPP scheme, the

government is only a facilitator not a provider, regulatory and operational activities are

separated. Therefore, strong and independent regulatory agencies have to monitor the market.

This regulatory body mains task is to regulate monopolies and to reduce transaction costs, by

creating competition for the market. In order to ensure transparency, it is better if this agency

remains outside of the government set-up and has an arm‘s length relationship with

government as well as local bodies. Providing expertise and a credible autonomy is the key of

success of a good regulation. The two main aspects of economic regulation are the tariff

regulation and the regulation of PSP contracts, it monitors the terms and conditions over the

duration of the agreement, measuring the performance of the service in order to set fees etc. It

would also be responsible for setting standards of services, especially for the water quality.

6. Some of the PPP Projects in Water

Tirupur water and sewage project, Tamil Nadu, India

This project is the first build-own-operate-and-transfer (BOOT) effort in South Asia. It is

expected to supply water to the Tirupur area with 185 million liters of water per day and

service nearly 1,000 textile units and more than 1.6 million residents in Tirupur and

surrounding areas.

The ground water in Tirupur is undrinkable because it is very saline and polluted with

chemical dyes. Additionally, over 50,000 tons of solid waste produced every year lie in heaps

in and around the city. As a result of the polluted groundwater, tankers bring water from

farms up to fifty kilometers away. This has affected farming activities in the area as many

farmers have now given up farming and instead supply water to industry. This has lead to

mining of water in an unsustainable manner.

This project was conceived by the New Tirupur Area Development Corporation (NTADCL),

which is behind a consortium of three companies executing the water and sanitation project.

These companies are India's Mahindra & Mahindra, US‘s Bechtel (the biggest US water

transnational corporation (TNC)), and Britain's United Utilities.

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The project is on a Build-Own-Operate-and-Transfer (BOOT) basis with a 30-year time

stipulation, at the end of which it is to be transferred to the government. Bechtel is in charge

of the 55-km pipeline to deliver water from the Bhavani River into a complex system of 25

reservoirs, which will be constructed by the Indian company Mahindra & Mahindra together

with Larsen & Toubro. According to the project document, United Utilities and NTADCL

will run the joint venture at a "fixed operation and maintenance fee" that will be recovered

entirely from Tirupur municipality.

Nagpur Municipal Corporation (NMC): Uninterrupted water supply project

General Body of Nagpur Municipal Corporation passed the resolution in January 2008 to

adapt the PPP mode for implementation of 24x7 water supplies in city. The project cost was

estimated to be Rs 6.5 billion.

Objectives of this project were -

• To reduce the Unaccounted-for-water (UFW) losses

• Better service to consumers

• Reduced financial burden of NMC and revenue expenditure

The terms of the contract are as follows -

Private participation in capital cost from Operator, the technology was to be provided by the

operator for lower life cycle cost. New Assets were to reduce the financial burden on NMC.

The assets ownership would remain with the NMC. JNNURM funding was sought for better

viability of project and reduced cost of capital.

The rehabilitation plan for the project included

• Replacement of 100% House service connection & Meters

• Replacement of old conservancy GI pipe

• Rehabilitation of Tertiary network

• Hydraulic modeling as per Master plan

• Installation of new billing system

• Customer Facility centre

•

Ballarat South Waste Water Treatment Plant (WWTP), Victoria, Australia

The Commissioning Body for the project is Central Highlands Region Water Authority,

Victoria, Australia. The Consortium of private partners involved is Thames Water Ballarat

Pty Ltd and United Water. The capital cost for the project was A$50 million and the length of

the contract was 25 years.

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In April 1999, Central Highlands Region Water Authority (the Water Authority) signed a

Build, Own, Operate and Transfer (BOOT) contract with the winning consortium. The

project involved construction of two new water filtration plants on land owned or leased by

the Water Authority at Ballarat's two largest reservoirs (White Swan and Lal Lal Reservoirs).

The treatment plants are each sized to produce 65 million litres of treated water per day.

The plants are currently managed, operated and maintained by United Water, in accordance

with stringent water quality standards set by the Water Authority, and are required to ensure

that reticulation supply tanks and basins contain sufficient water to meet the demand.

After the implementation of the project there was a significant improvement in the quality of

water in terms of bacteriological compliance and taste and colour of the water.

The project offered the Water Authority a chance to identify and address community needs

related to water supply and, in particular, problems of poor water quality in towns that relied

on old water supply infrastructure. As part of the contract, United Water is required to

transfer its skills and knowledge to the Water Authority, which has consequently improved

water quality to customers in various other water distribution zones.

Most of the PPPs discussed above involve BOOT type of contract. So, looking at these

examples, we can focus on some of the innovations worldwide which can be adapted in other

parts of the world facing the drinking water problem, under a PPP model. The basic idea is

that the Government can involve a private party in its country/State for developing a

customized solution in their region based on some of the successful innovations worldwide.

Therefore, we have further discussed some of the innovative technological solutions,

providing solutions to the problem of poor quality of water. These solutions can be utilized to

develop a PPP model to solve the problem of a area facing problem of water quality.

7. Innovative Drinking Water Solutions

7.1 SIFE – Bio Sand Water Purifier

Students In Free Enterprise (SIFE) is a global non-profit organization active on more than

1,500 college campuses in more than 40 countries and territories.

The purifying device consists of a bottom layer of rock and gravel, followed by 16 inches of

sand through which the water seeps. Once the water exits the purifying device, it is cleansed

of a majority of dirt and impurities. The purifiers take approximately four hours to install and

http://www.sife.org/

19

immediately produce 70% pure water .The purifying process takes approximately 30 days in

order to create water that is 99 percent pure. The purifiers installed in Mexico and Namibia

over the summer season brought a savings of $600 per month.

(Source: http://www.drury.edu/multinl/story.cfm?nlid=288&id=21141)

7.2 Vestergaard Frandsen‟s – Lifestraw and Lifestraw Family

Vestergaard Frandsen is a Switzerland-based international company specialising in complex

emergency response and disease control products. It aims at achieving the MGD‘s (UN

Millenium Development Goals) through its innovative products.

LifeStraw® and LifeStraw® Family are complementary point-of-use water filters that help

people access safe drinking water both at home and outside.

LifeStraw® is a portable water filter that provides up to 1000 litres of water and

protects users against diarrhoeal diseases. The price of a Lifestraw is just $15, i.e. a

year‘s supply of safe potable water at just $ 15 per person.

LifeStraw® Family is an instant microbiological purifier that delivers at least 18,000

litres of clean and safe drinking water of US EPA standard.

Lifestraw is one of the products which is specifically designed to resolve the problem of high

cost water purification systems. Shaped like and oversize straw, the system works in real

time, which means that all you have to do is find water, put one end in the water, your lips at

the other end, and drink potable water free of germs and other contaminants.

A similar device was earlier sold to the US army for their soldiers in combat in such terrains

http://www.drury.edu/multinl/story.cfm?nlid=288&id=21141

20

here water is plenty, but the quality of drinking water is deplorable.

7.3 Pan American Health Organisation (PAHO)

This community based technology uses two simple components to improve water quality –

proper storage container and a suitable disinfectant. The technology propagated by PAHO in

association with CDC and Germany's Gesellshaft Technische Zusammenarbeit (GTZ), and

Italy's Centre Progetti Co-operazione (CPC) in many South American countries. The

innovation in this technology is the ―process‖ innovation i.e. it uses existing products in a

better way to enable communities to get access to safe drinking water at a very low cost.

The intervention consists of enabling households to disinfect essential quantities of household

water in specially designed containers for water storage and use, and enabling the production

of the water disinfectant at the local level.

This technology primarily uses polyethylene containers in which water treated with Sodium

Hypochlorite is stored by the families. The sodium hypochlorite is produced by a shared

resource – generators.

Costing: Piped water systems require capital investments between US $100 and $150 per

person served. This technology however would only result in costs of about UD $ 1.5 – UD

$4.00 per family of five, including the amortization of initial investment.

The retail cost of a container which complies with the PAHO criteria generally ranges

between US $4.00 and $6.00. Depending upon the location of the manufacturer, the shipping

21

and handling costs can range from as little as US $0.50 for nearby in-country shipment to as

high as $5.00 for distant overseas shipment. The life of the containers is estimated to be at

least 5 years and probably more than 10 years.

The hypochlorite solution (disinfectant) can be produced by generators which can be

community owned and cost about US $ 1600. Each generator can produce 3kg of chlorine per

24 hours of operation. Thus the cost of the sodium hypochlorite solution (0.5%) for a family

(assuming water consumption of 8 litres x 5 members – 40 litres per day) is only US $ 0.1 per

year (at dosing rate of 2 mg/litre of water). The bottling and distribution of this solution may

add another US $ 0.9 to the cost. Thus the total cost to a family is about US $ 4.00 per year.

Present Situation

This is currently being demonstrated through intervention projects that are well advanced in

Bolivia, Colombia, the Dominican Republic, Ecuador, Nicaragua, and Guatemala, and in the

initial stages in Cuba, El Salvador, Honduras, Panama, and Peru. This intervention is possible

and feasible because it requires only a small initial investment, a few minutes a day on the

part of the household, and is sufficiently simple to carry out that it can be accomplished by

any of the family members from children to the elderly. Furthermore it involves only minor

changes in family lifestyle and community culture, doing things that for the most part are

already being done, but doing them in a more effective and sanitary manner.

In addition, the required infrastructure support is usually already in place, and where not,

only slight adjustments are necessary to assure its adequacy. The intervention is community-

based: the knowledge can be transferred horizontally from one community to another, and a

revolving fund can be established to obtain a multiplier effect. In addition, it serves as a

spearhead to initiate complementary community interventions of sanitation, health education

and personal hygiene.

8. Integration of innovative solutions and PPP Model

After understanding the various PPP initiatives in water sector and the successful

technological solutions all over the world, we propose implementation of innovative

technological solutions through PPP model.

The mass which don‘t have access to safe drinking water belongs to the lower income group

and mostly fall under the BPL category. So, they are not in a position to afford any

technological solution provided by a private company. Hence, for a private company, it

doesn‘t make sense to invest in a manufacturing facility when there is no market for the

22

same. Some of the technological innovations are scaled up by TATA by introducing TATA

Swach, a water filter priced at Rs. 999. Some other innovative solutions are also discussed in

this report earlier which is implemented in African countries. But selling these filters to the

people who cannot even afford a square meal a day will not be possible.

So, here we can envisage a PPP model, in the form of Government sharing the cost of these

filters with the poor families. There is a need to build strong institutional support for such an

initiative. For e.g. under the Bharat Nirman programme, a prime deliverable is providing

potable water to about 2.16 lakh villages in rural India. Our approach can be bundled under

the Bharat Nirman programme; if allocation is made by the central government towards

developing such initiatives, a PPP model is manageable. The two major points driving this

initiative will be –

(i) Cost sharing by the Government as is done in other areas like fertilizers and

agricultural products.

(ii) Manufacturing, selling and distribution of these technological products by private

companies owing to their efficient management of these activities.

By following these things we can to a great extent remove the problem of safe drinking water

in India.

23

9. References

1. http://globalwater.org/approach.htm

2. http://www.worldwatercouncil.org/index.php?id=25

3. Philippe Marin (2009). ―The real efficiency of PPPs for water supply in developing

countries‖ a report of PROPARCO, French Agency of Development

4. Par Patrice Fonllladosa, CEO, Veolia Water AMI (2009). ―How to develop Water

Access for the Unprivilaged‖ a report of PROPARCO, French Agency of

Development

5. http://www.faqs.org/periodicals/201004/2055045591.html#ixzz12LrCgL9p

6. Rediff Business (April 13, 2010). ―Drinking water woes: India meets UN millennium

goals‖. Article accessed on October 14th

, 2010 from

http://business.rediff.com/slide-show/2010/apr/13/slide-show-1-drinking-water-woes-

india-meets-un-millennium-goals.htm

7. http://www.vestergaard-frandsen.com/public-health/drinking-water-crisis

8. United Nation (2006). World Water Development Report 2. Accessed on 14th

October, 2010 from

http://unesdoc.unesco.org/images/0014/001444/144409E.pdf

9. Gapminder Video. Accessed on 14th

October, 2010 from

http://www.gapminder.org/videos/gapcasts/gapcast-9-public-services/

This video explains the present situation of different countries in terms of access to

safe drinking water. It also gives a view of how the different countries have

progressed with time in making safe drinking water available to the people.

10. Fredrik Segerfeldt, The Cato Institute (August 25, 2005). ―Private Water Saves

Lives‖. Accessed on 14th

October, 2010 from

http://www.cato.org/pub_display.php?pub_id=4462

The article gives the argument regarding privatization of water portfolio.

11. Josh Clark, How Stuff Works (). ―Exactly what Happens if We Run Out of Water‖.

Accessed on 19th

October, 2010 from

http://science.howstuffworks.com/environmental/earth/geophysics/run-out-of-

water.htm

12. Government Policies regarding safe drinking water accessed on 14th

October, 2010

from

http://www.indiawaterportal.org/channels/drinking-water/policies

13. http://agri.gujarat.gov.in/download/vision_11plan.pdf

24

14. Kaushik Deb, TERI and UNDP (2004). "Reforms in drinking water and sanitation"

15. Philippe Martin, World Bank (2010). ―PPP for urban water utilities, a review of

experiences in developing countries".

16. Gaurav Dwivedi (2010). ―PPP in water sector : partnerships or privatization‖

17. Association for India‘s Development. ―Water Privatization and Implications in India‖

18. Reiff F, Roses M, Venczel L, Quick R, Will V. ―Low cost safe water for the world: a

practical interim solution‖

25

Sr. 2, 24, 34, 65, 93

“Drinking Water Availability for 6 billion plus people of the World”

Nora LAGGOUNE | Thomas FRIANG | Sandeep MALHOTRA | Deepak MAUN | Joshi MAYANK | Ajay SAMPATH

INDEX INDEX .........................................................................................................................................................

Analysis of Indian geographical and political environment as a framework of the drinking availability

challenge ....................................................................................................................................................

The hydropolitical stakes ...........................................................................................................................

Geography and Climate .........................................................................................................................

Figure 2b. On the right: India’s three hydrological provinces, each with distinct characteristics:

Himalyan mountain belt, Indus-Ganga-Brahmaputra plains and Peninsular India.Presentation of

demographic and hydrologic data .........................................................................................................

Presentation of demographic and hydrologic data ...............................................................................

Critical assessment .....................................................................................................................................

Potential conflicts involving India ..............................................................................................................

Local conflicts interfering with the day-to-day life of Indian population ..............................................

Past and potential regional conflicts that could affect drinking water availability for Indian people ..

Policy recommendations ...........................................................................................................................

Institutional actors and policies .................................................................................................................

Water Law ..............................................................................................................................................

Water Rights ......................................................................................................................................

Water Policy ...........................................................................................................................................

Water Administration ............................................................................................................................

Conflict Resolution .....................................................................................................................................

Conflict resolution methodologies .....................................................................................................

Urbanization and Industrialization.............................................................................................................

Presentation of the urbanization data: pressures and threats ..............................................................

Presentation of industrialization data: pressures and threats ..............................................................

Demographic transition issue: population growth, water scarcity and consequences on general

health .........................................................................................................................................................

Demographic transition in India and population growth ..................................................................

Water related diseases: assessment of the current situation ...............................................................

26

Breakdown per economic sector: actual situation and dynamic evolution. How does the economic

evolution impact the drinking water availability .......................................................................................

Industrial sector: needs and impact ..................................................................................................

How to tackle the challenge of the agricultural sector ..........................................................................

Mapping of technologies available or affordable for India to increase its drinking water availability: ....

Solutions to produce drinking water - Study of technological systems around the world ...................

Access to clean drinking water: Issue of distance and regular supply ...................................................

The issue of distance ..........................................................................................................................

The bottom-line .................................................................................................................................

A model for urban areas: The GIFT City, Gujarat ...................................................................................

An example from Kutch .....................................................................................................................

ACKNOWLEDGEMENT ................................................................................................................................

SOURCES ....................................................................................................................................................

27

MAPPING OF WATER GEOGRAPHY AND POLICY IN INDIA: STATIC AND DYNAMIC ANALYSIS

Analysis of Indian geographical and political environment as a

framework of the drinking availability challenge “Wars will be fought between nations over water.” - UN Secretary General Kofi Annan1

Half of the 1.3 billion plus people living in South Asia rely on river systems for their water needs. The

river system is, though, never a national issue: Indus’s, Ganges’s, Brahmaputra’s and Meghna’s

waters flow across national borders which is often a bone of contention in the Sub-continent. The

monsoon has also an impact on water availability which often leads to conflicts between upstream

and downstream states or provinces. Disputes about water sharing or water distributing are

frequent although there are some conflict resolution tools. With an increasing water scarcity as well

as an increasing water consuming population and economy, the hydropolotical tensions ought to be

tougher.

Thus we will describe the stakes (1.1) to ensure a good understanding of the regional and local

potential troubles that could involve India (1.2) and try to formulate some policy recommendations

to prevent drinking water availability from being affected by hydropolotical conflicts (1.3).

The hydropolitical stakes To have a clear understanding of hydropolotical stakes, the analysis must cover several overlapping

aspects: Geography (cross-bording Rivers) as well as Climate (monsoon phenomenon) has a great

impact on hydropolitics (1.1.1) ; besides, hydraulic data must be analyzed in regards with

demography (1.1.2) to understand where the level of water stress for each region is.

This will enable us to map the potential water conflicts as well as to assess the associated level of

risk in order to prepare the related policy recommendations at a regional or local level (1.1.3).

1 The South Asian, http://www.the-south-asian.com/March2004/waterforthefuture1.htm (accessed 8

September 2007).

28

Geography and Climate Figure 1. Hydropolitics of flows in Northern India

Figure 2. Climate: the monsoon as a regulator for warter availability

Figure 2.a On the left: India receives its annual input of water from the coupled systems of

southwest (summer) and northeast (winter) monsoons.

Figure 2b. On the right: India’s three hydrological provinces, each with distinct characteristics:

Himalyan mountain belt, Indus-Ganga-Brahmaputra plains and Peninsular India.

29

Presentation of demographic and hydrologic data

Figure 3. Hydrologic and demographic data

Bangladesh India Pakistan

Hydric Stress in 2005 (m

3/year/hab.)

2

8 090 1 750 1 420

Dependency rate to external resources3

91 % 34 % 76 %

Rate of use of renewable resources 7 % 34 % 76 %

Agricultural use of fresh water ratio 96 % 86 % 96 %

Population in 2007 (in millions) 158.6 1 169 163.9

Population in 2025 206 1 447 190.6

Population in 20504 254 1658 292

Rate of access to drinking water5 74 % 86 % 91 %

Rate of access to sanitation 39 % 33 % 59 %

Critical assessment

These data underline several potential crisis factors. As in many conflict areas (Nil, Mekong, Aral Sea,

Okavango as well as for Indus, Ganges and Brahmaputra), Bangladesh’s and Pakistan’s dependency

to external resources is higher than 75%. In Pakistan and in many provinces of India except during

monsoon period (which accounts for 70 to 80% of annual precipitation), precipitations are low (under

300 mm/year). Only Bangladesh can rely on available and important resources which limit water scarcity

tensions.

We can only regard these domestic and regional potential risks while bearing in mind several

additional factors which can make the situation even worse.

Overexploitation: The underground water resources have been decreasing in terms of

quantity and quality in the whole Subcontinent. This is a proof over overexploitation of this

resource – except in Bangladesh. Pakistan uses 76% of its renewable resources which is

terrifically high for a country which’s main flow is driven by the path of monsoon and snow

melting. The surface decrease of the Indus Delta (350 km² before the partition of India, to

2 This index consists in comparing a population density to a level of precipitation of 1 million m³/year. Between

2 500 m³/year /hab. and 1 700 m³/year /hab, a country can be regarded as hydric vulnerable. Between 1 700 et 1 000 m³/year /hab., is considered as hydric stressed, between 1 000 et 500 m³/year /hab., it reached the threshold of deficiency and below 500 m³/year /hab., it is absolute deficiency. 3 Renewable resources coming from outside the domestic territory.

4 United Nations, World Population Prospects : The 2006 Revision, New York, réf. ESA/P/WP.202, 2006, 114 p.

5 World Bank, The little green data book 2007, Washington, World Bank, 2007, 240 p.

30

25 km² in 2006) as well as the reduction from 9 to 2 estuaries in the same period are visible

proofs of the several water scarcity crises in Pakistan.

Demographic evolution: Existing tensions are likely to get worse due to the demographic

increase, especially in Pakistan where the population is expected to be tree time as high as

today by 2050.

Agriculture’s weight in the economy: In these countries, water use is mostly dedicated to

agriculture. Besides, 82% of the Pakistani farms resort to irrigation process! In India and

Pakistan, 66% of the labour force is working in agriculture. In central India or in the Sind

(Pakistan), water abuse entails a concentration of polluting products as well as a

solemnisation of water and earth which limits the yields and the farmable areas.

Water management policy: some water management policies foster non-sustainable

practices in India. Subsidies for energy management given in India encourage low cost

pumping of underground water. Subsidies for electricity in agriculture account for 25% of

the national fiscal deficit of India and in some states as in Punjab, electricity for agriculture is

even free! In addition to the overexploitation of water that it entails, this also fosters

cultivation of high water demanding agricultural products such as sugar cane in Gujarat.

Potential conflicts involving India

Local conflicts interfering with the day-to-day life of Indian population Pakistan teaches us many examples of internal local conflicts that could provide interesting insights

for Indian local conflict management.

Local conflicts in Pakistan emphasize the importance of local water conflicts: in Pakistan, it

has been observed that local tensions due to water between provinces overlap with

economic and political tensions. The North West Province of Pakistan, the Baluchistan and

the Sind have accused Punjab to create water tensions in addition to the existing

administrative and economic tensions which lead to a water sharing agreement between the

provinces in 1991: (37 % for Sind and Punjab, 14 % for the North West Province 12 % for the

Baluchistan). As can be inferred by the violent riots which happened in 2001 in Karachi, this

agreement does not prevent Pakistan from domestic tensions. Sind’s farmers keep

protesting regularly against the misuse of water in Punjabi homes and farms (this caused the

death of 14 people in Karrum’s region in 2006). In December 2005, 20.000 Pashtu people

protested in the “North West Province” against the construction of a dam in Kalabagh

(Indus’ upstream region) that is, though, necessary to abide by the 1991 agreement.

Local water conflict represent a growing concern in India as well: India is both concerned

by inter-provinces conflicts and inter-cities conflicts.

Tamil Nadu and Karnataka have regular arguments concerning the waters of the basin of

Cauvery – this lead to regular decisions and injunctions of the Indian Supreme Court.

Some conflicts oppose end-users to each other (example of the conflict caused by the water

sharing rules based on the casts systems in the Rann of Kutch) or to farmers. Tamil Nadu,

Karnataka, Kerala and Gujarat as well as Rajasthan are regular areas of such conflicts.

31

Past and potential regional conflicts that could affect drinking water

availability for Indian people Cross-bording flows connect India’s water system to its neighbors in the West and in the East: the

first is a potential crises zone which requires to be highly supervised (1) whereas the second echoes

Indian hegemony through water control on the downstream countries (2). The possible impact on

drinking water availability is not the same in both cases.

The basin of Indus is a proven conflict zone with Pakistan that could let emerge new geopolitical

tensions (1).

The partition of India has been dealt with within 73 days and has not taken into account the share of

water resources between India and Pakistan. Massive population displacement added to territorial

rivalries and political tensions between the two countries have been increasing the tensions

concerning the Indus. Surprisingly enough, despite several crises such as when India stopped in 1948

supplying water to two main Pakistani canals (Canal Dipalpur and Canal of High Bari Daab), Pakistan

and India have been keeping collaborating to manage their water resources although they went

through 4 wars (1965, 1971, 1999 and 2001-2002).

Since its ratification in 1960, the Indus Waters Treaty has been keeping contributing to a peaceful

cross-bording water management as it relies on an equitable share of every tributary of the Indus

that guaranties the hydraulic autonomy of each country.

However the Treaty comes today down to its limits as it is no longer able to prevent India from every

conflict. Conflicts have been increasing since India tried to implement new projects on the tributaries

that were devoted to Pakistan and they climaxed when Pakistan appealed to the World Bank – the

warranty institution of the Treaty. The decision of the World Bank was released in 2007 and stated

that the construction of the Dam planned by India on the Chenab River could be regarded as an

extensive interpretation of the Treaty but Pakistan mostly acted by aiming at avoiding a diplomatic

precedent.

India has understood the stakes of water conflict with Pakistan as can be inferred by the cooperative

attitude it adopted when she cancelled its project Kishenganga in Kashmir (2005).

Figure 4. The Wullar Barrage Project or the Kishenganga Dam

32

In the basin of Ganges and Brahmaputra, Indian water hegemony is not a threat on drinking water

availability for Indian people, but does matter to Bangladeshi (2).

Ganges flow is a typical bone of contention between upstream and downstream states, in this

occurrence, India and Bangladesh. India, as an upstream state, wishes to deflect Ganges’s course in

order to implement new irrigation projects, to improve its river navigation system and its supply of

fresh water. The project of the Farakka dam echoes this plan. If Bangladesh recognizes the

importance of this infrastructure to monitor the flow’s floods, it also regards these projects as an

increase of its dependency toward India for water supply.

Since its early existence (as Oriental Pakistan and Bangladesh after 1971), this region has always

been struggling to ensure a warranty volume of the Ganges at its border since India announced in

1951 its wish to build the Farakka dam 20km close to the border (finished in 1975). Negotiations

spread over almost 45 years with experts committee (1960 – 1962) or ministerial summits (1975) to

deal with this issue. In 1996 only, Bangladesh and India signed the “Ganges’s share Treaty” in

Farakka thanks to good practices protocol established 11 years before. Contrary to precedent

agreements which had a maximum time range of 18 months, this Treaty is valid for 30 years with a

possible extension. A double-sided expert committee is in charge of managing the technical

implementation of the water share on a day-to-day basis. What about the respect of this Treaty?

India did not abide by its obligation in 1997 due to an important dry year, but in 1998 and 1998 the

relative same situation did not prevent India from respecting the Treaty and even go over the

imposed water quota in favor of Bangladesh. If the Treaty seems to satisfy the expectations of India

and Bangladesh, we can point out that Nepal, the first upstream state, remains absent from the

treaty.

India has proposed to Bangladesh to build a new canal that would deflect a part of Brahmaputra

toward the Ganges. This part of Brahmaputra causes the most violent floods in Bangladesh.

However, Dacca refused this project as it would entail that the two extremity of the canal were in

India which would mean a total control on this water channel. Bangladesh would rather have the

canal on its territory to better control the amount of water transferred to Brahmaputra and thus, the

volume of water supplied by India through the Ganges.

The Ganges’s and Brahmaputra’s zone is not likely to cause conflicts that would have an impact on

drinking water availability for India. However, the rise of China in Tibet could represent a great

threat on water supply for India through the Brahmaputra.

Policy recommendations

The review of the Indus Waters Treaty needs a inter- and intra-state approach.

33

The Indus Waters Treaty (IWT) has enabled India to manage the waters share with Pakistan over

several conflicts (1695, 1971, 1999, 2001-2002) and then it appears as fulfilling its roles. Thus, a few

concerns can be raised to question the need of an IWT review.

The inter- and intra-state political relations have evolve and require an IWT review: the

Indus Water Treaty was ratified during the very beginning of the Cold-War, in a geopolitical

context that is very different to today’s situation. Besides, the intra-state relations between

federal governments and provinces have been shifting from a centralized system to an

increased political role of local actors. Local actors such as the Jammu & Kashmir (J&K) play a

key role today in the debate on IWT review on both sides of the Line of Control (LoC). IN J&K,

some Kashmiri extremists tend to believe that there is “loot of water” entailed by the IWT

since it accounts for ”estimated 8000 annual crore economic losses”, as the opposition

leader Mehbooba Muffi voices it. In Pakistan, high division between the four Provinces have

came up on the water share of Indus at the moment of the Kalabagh dam case ; Northern

Areas often expresses it feels exploited by Islamabad over the IWT, as well as the Pakistan

occupied Kashmir.

The economic and demographic changes also call for an IWT review: the tremendous

economic and demographic growths on both sides of the LoC put an increased Water Stress

on the Indus as an energy providing flow and a drinking water source. The several energy

crises experienced by Pakistan encapsulates this need for a better water management treaty

in terms of energy. Although India benefits from its Indo-US strategic partnership and from

the Iran-Pakistan-India pipeline, energy supply is not secured for India which puts pressure

on the Indus, in addition to the drinking water availability issue.

The IWT review appears today as really important to ensure a brighter future for India in terms of

preventing water conflicts that could affect drinking water availability for its Northern territory. This

is all the more important as, even if this sounds few likely, Pakistan regularly resorts to nuclear

threat to solve water conflicts in addition to border tensions. The option of an IWT abrogation

cannot be considered as recommendable: the impact it would have on similar Treaties with Nepal

and Bangladesh would be a major diplomatic error; the impact on Indian inter-states relations

(especially Tamil Nadu and Karnataka over the Cauvery River) would be harmful; and last but not

least, the gain for J&K would be counterproductive since this state is too corrupt to run a complete

water harnessing system alone. Moreover, studies on the Himalayan glaciers recently revealed that

the course of the Indus would progressively decrease, putting more water stress on these highly

emotional regions, increasing thus the likeliness of a water conflict impacting drinking water

availability.

For that purpose, here are the policy recommendations that we can formulate to go through the

IWT review:

IWT-II should take the environmental aspects of water share into account ;

IWT review process should include the local actors to build a brighter consensus over water

share that could enable the federal government to build up a more stable situation ;

The creation of a joint research team on the future of IWT and a joint research team on the

Himalaya glaciers (including other concerned states as China, Bangladesh and Nepal as well)

should be encouraged.

34

Assessment of water management actors With increasing water scarcity and frequent water-related conflicts both at macro and micro levels, institutional arrangements to access, develop, allocate and manage water resources are gaining attention worldwide. India is at the forefront of this as it is fast moving towards exhausting its available water resources. According to Government of India in 2000, India was already using 57% of its total water resource potential and 67% of its irrigation potential. While demand for water is increasing fast with an expanding population and economy, the scope for further development of water resources is seriously constrained by investment bottlenecks, environmental concerns and political and legal snags. In this regard, it becomes highly important to manage the existing water resources efficiently rather than running after new sources. An important mechanism to achieve this is to put in place a proper water management system (institutional mechanisms) at the National, regional and state level that acts in the best long-term interest of the whole nation.

35

Total water resource potential of India: 1953 billion cubic metres (bcum)

Amount that can be utilized under present technological and economic conditions: 1122 bcum

Projected demand (GOI, 2000):

Year Demand

2010 694 – 710 bcum

2025 784-850 bcum

2050 973 – 1180 bcum

The water management institutions currently in place were developed in an era of water surplus and

are becoming increasingly irrelevant today. Hence it becomes important to review the existing

institutional structure and explore scope for reforms.

36

Institutional actors and policies The institutional components of water management can be divided into three aspects:

Water Law

Water Policy

Water Administration

Water Law Water law gives the legal backing to water policy and administrative institutions. India does not have any separate water law. Water related legal provisions are dispersed across various irrigation acts, Central and state laws, constitutional provisions, court decisions and customary laws. Inter-Governmental Responsibilities

According to constitution, it is the states that have jurisdiction over water resources within

their borders

Central government is allowed to regulate and develop inter-state rivers when it is declared

by parliament as a matter of public interest

Central government also plays a regulatory role in inter-state water projects

The state governments need to get central clearance (Forest Conservation Act) for executing

ecologically sensitive water projects

Central government also plays an important role in resolving conflicts

37

Water Rights

India does not have an explicit legal framework specifying water rights, even though various

acts have some basis for defining some form of such rights

Individual rights to both surface water and groundwater are recognized only indirectly

through land rights.

In case of canal water, rights to access are limited to those having land in canal command

areas. These are rights to use and not ownership rights because irrigation acts do not allow

moving of canal water on non-canal areas

Control over ground water is effectively governed by farm/land size, depth and number of

wells, pumping capacity and economic power.

Water Policy Water policy refers to the declared approach of state and central government for water resource

planning, development, allocation and management.

The unprecedented drought of 1987 prompted the development of National Water Policy

(NWP) 1987.

The main goals of NWP are promotion of use of water from surface and sub-surface sources,

supplemental irrigation and water-conserving crop pattern and irrigation and production

technologies.

Though NWP has recognized the need to limit individual and collective water withdrawals, it

has failed to identify the institutional mechanisms necessary for defining and enforcing such

physical limits.

The new NWP declared in 2002 has also failed to address these issues as it is seen to be a

repeat of the old one. The primary improvements are in the recognition of the role of

private sector participation and paradigm shift from focus on water development to

performance improvement.

Water Administration The Union Ministry of Water Resources (MOWR) is the national organization responsible for

overall planning and management of water resources in the country

Technical support provided by Central Water Commission, Central Groundwater Board and

National Water Development Agency which are all under MOWR

Research and training are provided by organizations such as water and land management

institutes, agricultural universities and other research institutions.

Planning commission provides project clearance and approves financial allocation to various

state water projects.

Other central agencies like ministries of agriculture and rural development, environment and

forest, housing and urban development and health also play a role influencing water related

issues.

The actual legislative and managerial responsibilities are with public works, irrigation and

water resource departments at the state level. Usually there are different departments to

handle ground water and surface water.

38

There are also important organizational arrangements to achieve inter-state and centre-

state coordination. Example: River boards, National Water Board etc.

Conflict Resolution Before getting into conflict resolution mechanisms, it is important to understand the types of

conflicts.

Types of Conflicts

a. Inter-state conflict

90% of Indian territory is drained by inter-state rivers

Lack of clear inter-state allocation rules results in endemic and growing

conflicts and uncertainty

Problem: States pay more attention to “laying a claim for future awards”

than using what is theirs effectively.

Examples

Krishna: Maharashtra has made huge investments in non-productive

dams so that it can lay claim to waters of inter-state water in a

future Tribunal award.

Cauvery: Tamil Nadu not willing to invest in more efficient water

use because it is perceived that any demonstration of efficiency will

be held against it in a future inter-state award

b. Rural and urban areas where water from rural is taken and given to cities

c. Inter-sectoral conflicts. E.g.: Industry drawing heavily resulting in less water for

neighboring communities.

d. Conflicts triggered by policy (absence of ownership rights, electricity subsid etc.)

Conflict resolution methodologies

As the pressure for renegotiation of existing water rights agreements build up with increasing

scarcity of water, the roles of tribunals is likely to increase in the future. But these involve a lengthy

process and six year time limit specified by 2002 amendment in too long. The tribunal award can

also be questioned in Supreme Court. An alternative to this can be a market mechanism where

water rights are clearly defined and excess water required outside the limits is traded like any other

resource.

At the micro-level, there are a few traditional and informal village level mechanisms like tank-level

organizations in Taiml Nadu and panchayat institutions. By strengthening these, it is possible to build

a more effective and accessible conflict resolution mechanisms at grassroots level.

A few other conflict resolution methodologies specific to certain issues are as follows:

Inter-State Conflict

– The Indus Water Treaty, with its very clear definition of what water belongs to each

country, is a relevant model

Other conflicts

39

– Multi Stakeholders' Dialogue (MSD)

• E.g.: Cauvery Basin, Tamil Nadu. There was a Sense of distrust among

farmers from both sides. A Committee of farmers’ leaders of both States

was constituted in 2003 called the Committee of the Cauvery Family. Among

other benefits, both sides agreed not to resort to violence which was

common before that.

– Human Rights-Based Approach (HRBA )

• Everyone gets their minimum essential level of water access which will

never be compromised.

Proposals

• Formation of an independent water regulatory authority of India (similar to TRAI) that

focuses on long-term implications of water policies and practices

• Can have state subsidiaries that look into state issues

40

Analysis of dynamic factors that contribute to the difficulty of drinking water availability

Urbanization and Industrialization

After the Kyoto conference in December 1997, great expectations were placed into the private

sector and the announced public helps in order to improve the urban water infrastructure, so that

developing countries involved in an industrialization process would be able to face their

urbanization. India was one of the countries that was supposed to benefit from this policies, because

the country was undergoing an industrialization process and had in parallel began its demographic

transition. Water had always been a problem because of its scarcity and the increasing needs of the

new Indian industry that was skyrocketing due to the liberalization of the markets. We will try to

have a closer look at the impacts of industrialization and urbanization on the Indian water resource

availability question. How can those two phenomenon be linked to the water shortage the country is

now facing, or, on the other hand how could the industrialization through the implementation of

effective techniques improve the drinking water availability and help India to overcome the water

shortage.

Presentation of the urbanization data: pressures and threats During the 20th century India’s urban population increased 11-fold. India accounts for 35 million

plus cities across the country with two major aspects of urbanization: flows of rural population

settling in the close surroundings of big cities, and medium sized cities pressured by a rapid growing

expansion. As these areas are generally more exposed to natural threats such as floods or landslides

threats and entail more expensive settlement costs, urbanization is another contributing factor to

the challenge of water availability.

Since 2000 India’s GDP rose between 5% and 7%, but this growth is now starting to slow down. As a

consequence, the Indian cities create now more than 30% of the GDP and become more and more

attractive for migrants form the rural areas. Even if this migration is now oriented toward middle

range cities, as it is combined to a high range of natural increase the demographic pressure on Indian

cities remains extremely high. The scarcity of the resources and the high electricity prices contribute

to the high water supply costs. The archaic urbanization makes it very difficult to adapt the existing

water management systems to the new organizations of the cities and even more difficult to replace

the old systems with more efficient and less costly modern techniques.

The Indian urbanization is a product of demographic explosion and poverty induced rural-urban

migration. It is not occurring due to the traditional urban pull scheme but it is due to rural push. The

difficult living conditions combined with very poor infrastructure, the negative effects of

industrialization on the agricultural sector and a high remoteness of some rural areas are the main

reasons explaining the huge migratory flows towards medium sized and big cities. India’s

urbanization is often described as over-urbanization or pseudo-urbanization which “refers to the

end result of an excessive. migration of non and underemployed rural folk to the cities in advance of

adequate expansion of urban employment opportunities” as defined by David R. Kamerschen from

41

the University of Missouri in Economic Development and Cultural Changes, 1969. The big cities

attracted too many migrants so that the increasing population led to a virtual collapse of the urban

services and it was then followed by the emergence of basic problems like housing, slums, water and

infrastructure. As described before the main problem directly linked to urbanization is the high

speed of the development of the process which made it impossible for the local authorities to adapt

and improve the existing water treatment systems and even more difficult to replace them.

The other problem arising is the concentration of waste in the highly urbanized locations. When

there is no efficient waste management in place urban areas, which are in theory the ones providing

the best economic resources to install water supply and sanitation, they become life-threatening

places by contaminating the superficial and underground water sources. Unfortunately, given the

demographic pressure these sources are subject to an excessive exploitation because of archaic

water drilling in order to compensate the insufficiency of the public services. The high population

density and the problem of the waste disposal combined with the water availability issue bring

about health related problems that will be discussed in 2.2.

As a conclusion, we can sum up the major features of the Indian urbanization process as the

following:

1. Lopsided urbanization inducing growth of class one cities and an archaic settlement scheme

leading to a complex improvement of existing water improvement facilities.

2. Urbanization occurring without industrialization and a strong economic base (the

phenomenon of over urbanization)

3. Product of demographic explosion and poverty induced rural-urban migration

4. Leads to massive growth of slums and misery and poverty by increasing inequalities within

the urban life (increase of health related issues due to a bad waste management and to poor

water sanitation)

5. The process occurs due to rural push

6. Poor quality of these migrations lead to poor quality of urbanization

7. Distress migration initiates urban distress

Presentation of industrialization data: pressures and threats According to the United Nations, agricultural needs of fresh water will increase by 20% whereas

industrial demand in water ought to double by 2025. Thus, the transition from an agriculture-based

economy to an industry and services economy can both be regarded as a threat or an opportunity to

deal with the water availability challenge. On the one hand, industrialization entails an increased

demand of fresh water which could lead to a tougher scarcity challenge and represents a threat to

drinking water availability because of entailed pollution; but on the other hand, industrialization

could bring the required technological equipments necessary to transport, store and purify fresh

water in quantity and with a cost-effective process.

42

Regarding the pollution of the industrial activities it would be of huge interest to determine which

size industries are the most polluting one in order to adapt the measures to the industries’ size and

the be more efficient. But unfortunately there are no such statistics published by the Central

Pollution Control Board (a statutory organization constituted in 1974 under the Water (Control and

Prevention of Pollution) Act 1974 with a view to maintaining and restoring wholesomeness of Indian

water bodies. Nevertheless, they issued a report in 1994 on the total wastewater discharge by the

industrial sector and the wastewater discharged by small-scale industries. Based on these facts the

Indian Center for Science and Environment estimated the wastewater rejection by various size-

based industrial sectors and came to the following conclusions. The large and medium scale sectors

account for 95% of the water contamination, whereas against all expectations small sized industries

only account for 5% of the pollution. The memorable fact is that 50% of these 5% are directly

stemming from the engineering sector, whose pollution intensity is less than all others polluting

sectors. This study highlights that the claim of the regulators regarding the pollution of the SSI has to

be reviewed, in order to have a more efficient impact on the getting of drinking water.

The wastewater emission according to the size and the sector of the industry (CSE, Mapping Water,

Scarcity and Pollution, 1994)

After analyzing the origin of the water pollution and the effects of urbanization, it is important to

obtain a detailed mapping of their impact. This allows then to elaborate a detailed listing of the

functions that are at risk and is a tool to elaborate effective and accurate plan of action. According to

our lectures and the data we obtained, here is a listing of the main pressures exerted by the

industrialization and the urbanization:

43

Human activity Potential impact Function at risk

Population and

consumption growth

Increase water abstraction and acquisition of

cultivated land through wetland drainage;

increases requirement for all others activities with

consequent risks

Virtually all ecosystem functions

including habitat , production and

regulation functions

Infrastructure

development (dams,

dikes, diversion…)

Alteration of timing and quantity of river flows,

water temperature, nutrient and sediment

transport

Water quantity and quality,

habitat food plaints fertility, delta

economies

Land conversion Eliminates key components of aquatic

environment, loss of functions, inhibits natural

recharge, fills water bodies with silt

Natural flood control, habitats for

fishery and waterfowls, water

supply, quantity and quality

Overharvesting and

exploitation

Depletes living sources, ecosystem function and

biodiversity

Food production, water supply,

water quality and quantity

Introduction of exotic

species

Competition from introduced species, causes loss

of biodiversity among native species

Food production, wildlife habitat

Release of pollutants

to land, air and water

Pollution of water bodies alters chemistry and

ecology of water, lakes and wetlands; greenhouse

gas emissions

Water supply, habitat, water

quality and food production;

climate changes

Demographic transition issue: population growth, water scarcity and

consequences on general health

Demographic transition in India and population growth

The birth rate in India in 2009 was 2,8 and it will be decreasing until 2030 bringing about a very slow

population growth around 1,7 in the next decade and close to zero by 2030. This will lead to direct

effects in the amount of available resources but also indirect effect through behavioral changes. In

China, country that underwent the same demographic scheme, the turnaround should occur around

2015, because the country took radical decisions in order to reduce its birthrates. As there were no

such measures taken in India, it is very difficult to determine a schedule of the demographic

movements, even if it seems that the country will avoid the aging problem China is currently facing

due to its radical policy measures.

It is foreseen that India should take a demographic advantage over China of 10%. That is why India

has to benefit from this phenomenon before 2050 to approach the standards of living of developed

countries. By 2025 the Indian population is expected to account for 1403 millions of people, that is

to say 1,4 times more than in 2000. The only way for the country to catch up is through economic

growth accompanied by job creation, bearing in mind that this process has to take into account

solutions reducing the difficulties India is currently facing regarding the drinking water availability.

44

The crux of the Indian demographic transition lies in the states of Bihar, Madhya Pradesh, Rajasthan

and Uttar Pradesh with a total population of 335 million in 1991, accounting for 40% of the Indian

population! There is a gap with the southern states called the “North-South Demographic Divide” ,

the southern states have very efficient family planning systems compared to the above mentioned

north states. According to Indian authors, the situation may be linked to the successive reform of the

family planning in India. After the independence, Nehru, the first prime minister of India understood

the importance of a family planning related to the rubric of health, with a focus on health of mother

and child. During the sixties and under the influence of misguided foreign agencies a new

Department of Family Planning was founded external to the Ministry of Health.

One of the major explicative factor to the booming demography of India is the total fertility rate of

Indian women which is above the world average (2,72 children born per woman) with a total of

22,22 birth for 1000 population. These high figures are related to a very poor use of contraceptive

solutions, even if efforts are made among the illiterate population to explain the benefits of such

solutions. But yet several states in northern India have reached or are about the reach the

replacement level of fertility (a level of about 2,2 – 2,1), that if maintained would ensure a zero

growth rate of population in the long run. In the names states of northern India, the level is not

about to be attained and it would take decades to achieve it.

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As a conclusion considering the fact that the Indian population will keep on growing and that the

water resources of the country are limited, it is very important for the government to put in place

measures introducing and making commonplace of contraception, in order to avoid that the

increasing population becomes a brake to an economic development.

Water related diseases: assessment of the current situation As already stated before, 884 million people lack access to water supplies, approximately one in

eight people, and 3.575 million people die each year from water-related diseases. Only 62% of the

world’s population has access to improved sanitation, that is to say an access to a sanitation facility

that ensures hygienic separation of human excreta from human contact (UNICAF/WHO, 2008

Progress on Drinking Water: Special Focus on Sanitation).

India still lacks of sanitation, which explains the high rates of children death due to water related

diseases: 13% of the children aged under 5 years die because of diarrhea every year, whereas less

than 1% of the same population in France. Diarrhea is a very prevalent disease as it is due in large

part to the lack of safe drinking water, sanitation and hygiene, as well as poorer overall health and

nutritional status. Due to bad water conditions, children in poor environments often carry 1000

parasitic worms in their body at any time, and are doomed to keep them unless the water sanitation

improves. But water-borne diseases are not the only one linked to a poor water quality, vector-born

diseases (e.g. malaria, schistosomiasis) are passed on by the insects and snails that breed in aquatic

ecosystems; and finally water-washed diseases (e.g. scabies, trachoma, etc) are caused by bacteria’s

or parasites that take hold when there is insufficient water for basic hygiene in washing or bathing

water. The main issue with water related diseases is that no vaccination is available to fight them;

insecticide resistance has undermined the effectiveness of disease vector control programs, and

there is a growing resistance of bacteria’s to antibiotics and other drugs.

The WHO statistics show that in total, less than 85% of the Indian population has an access to

improved drinking water sources, the same statistic is around 80% in rural areas. But when it comes

to sanitation facilities, the figures did not really improved since 1990, indeed the total population

benefiting from an access to improved sanitation facilities in 1990 was around 20% with a gap

between rural population (less than 10%) and around 50% in urban areas. The access to improved

sanitation facilities was improved in the rural areas; it reaches 20% in 2010, whereas it stagnated in

46

the urban places of residence remaining around 50% in 2010. One of the main reasons is the

urbanization process which medium sized cities are experimenting, the infrastructure can’t be

improved because the migrant flows are to close one to another and that the policies are not

efficient and to slow to be implemented properly.

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SITUATION AND POLICY ASSESSMENT OF THE INDIAN WATER MANAGEMENT SYSTEM

Breakdown per economic sector: actual situation and dynamic

evolution. How does the economic evolution impact the drinking

water availability

Industrial sector: needs and impact

The Charting our Water Future Report suggested that increased industrialization in India, fueled by

the addition of water-intensive thermal power plants, will further strain water supplies. In 2000,

industry was responsible for about 6 percent of India’s water consumption, by 2025 the researchers

expect it to account for 11 percent, and by 2050, 18 percent. Compared to other countries, this

increasing water demand is not skyrocketing, but it still remains a problem in India due to the very

limited availability of water and the poor existing managing systems. Thus, the water availability can

no longer be regarded as a technical problem only; it has to be seen as an economical challenge.

Regarding this chart it appears that the most water demanding sector in India is the agriculture, and

the global demand for water will increase by 58% by 2030. Facing that situation, “Business as usual”

solutions won’t be effective, because the investment in water provision and efficiency have never

scaled with GDP. Economies become less productive as there is less incentive to discourage waste.

48

We also see that the main water demand problem is not linked to the industrial sector but rather to

the agricultural sector. We will have a closer look at this second aspect in 1.2.

The following case study is extracted from the Charting Our Water Future report, and it profiles a

range of water security schemes including the role of agriculture for food, fiber as biofuel as a

demand driver for water. Four countries or regions of the world accounting for a large and growing

share of the world’s resources output and population were chosen in order to analyze their

specificities regarding water availability and the gap between the demand and supply by 2030. The

underlined characteristics of India in the report are a low agricultural water productivity and

efficiency combined with an aging water supply infrastructure making the water supply-demand

gaps likely to increase in many basins.

Regarding industrial production, it is important to highlight that the growth the Indian industry will

be experimenting is less important than the Chinese grow. The booming sector in 2030 is the

electricity production, it nearly triples compared to 2005, which can be linked to the growth

experienced in the industry sector. But it has mainly to be related to the phenomenon of

urbanization and the increasing population in the Indian cities indeed the municipal and domestic

demand will increase steadily in electricity and in water.

While having a closer look at the water demand, we can divide it in different sectors. As seen before

the municipal and domestic water demand will account for 80% of the global Indian water demand

49

by 2030 (which represents 108 billion m3 of water by 2030) whereas industry will account for 13%

and agriculture for 7%. Considered as a total, the total increase of water demand by 2030 will be of

2,8% compared to 2005, and it will represent a total amount of 1,498 billion of m3. The water supply

available in 2030 will only be of 744 billion m3, and that is twice as much as the gap that China will

be facing at the same time.

How to tackle the challenge of the agricultural sector

Today, three quarters of the non-employed workers in India live in rural areas, and nearly 50% of the

employed Indians work in the agricultural sector, which production only accounts for less than 20%

of the GDP. The economic performance is very dependant on the agricultural production which is

itself intimately linked to climatic hazards, and especially to the monsoon.

The industrial sector gathers 18% of the active population, whereas the service sector that nearly

represents 50% of the GDP only gathers one quarter of the Indian population. The main challenge

for India is to face the increasing number of agricultural workers. Their number is expected to reach

191 millions by 2030, but in order to get to a sustainable society; it shouldn’t represent more than

10% of GDN and shouldn’t account for more than 70% of the employed population.

A study conducted by McKinsey (Business Opportunities in Water Conservation) shows that India

only has half of the water it will need by 2030 and that agriculture will account for about half of the

growth in water demand over the next two decades. Another source of water to face the needs of

agriculture in India can be rain water. It is really important to maintain the rain-feed land and to

increase its productivity since it prevents from extracting water unnecessarily. The study shows that

this source provides 17% of the total potential for agriculture to close the gap between demand and

supply. The positive outcome of these kinds of agriculture focused policies is that they would also

benefit financial institutions and investors. They will have to provide the funds needed to implement

those technical changes in the rural areas, especially when the public initiatives are proved to be

inefficient. As an example, drip irrigation processes could help the farmers could help the local

farmers to reduce some of their outputs costs (e.g. fertilizers) by up to 50%, and at the same time

investors could capture a share of this value either as a lender or as equity holders in companies

active in the drip irrigation value chain.

As said before, the gap between the supply and the demand of water in agriculture will reach 50%

by 2030 which represents 744 billion m3 of water, linked to a rapidly increasing demand for

agriculture and a limited supply infrastructure. This statement is also linked to uncertain factors like

climate changes (discussed in part I). Regarding agriculture, the main challenge India has to face is to

produce sufficient quantity of food in order to face the growing population (1%/year until 2030). As

the population is growing and as its wealth is increasing with the positive effects of industrialization

and economic growth, the average caloric intakes of the population will also increase and exercise a

pressure on the current agricultural production.

50

India, Water supply and demand gap by 2030

By 2030, the food production will account for 685 million metric tons, where 175 million will be rain

fed food production and the remaining 510 million metric tons arising from irrigated productions.

This later category is strongly driven by the high water consuming rice production, the exhibit show

that it will be multiplied by 1,6 between 2005 and 2030. Rice represents 30% of the irrigated food

production that is to say 335 billion m3, whereas the sugar can for example only accounts for 152

billion m3. Another relevant fact is that the main production, that is to say rice, represents huge

water needs: the existing requirement for water irrigation withdrawal is of 3,7 billion per million

tons of production (and it is only 3,3 for sugar cane).

The main question arising from this assessment is - what are the approaches to close the water-

supply demands in a way that meets development objectives relying on three major aspects:

expanding supply, increasing productivity of existing water use and decreasing demand by favoring

less water-intensive activities. Therefore specialist developed a cost curve representing what the

cost would be of adapting a specific measure at a big scale, in order to serve as a decision making

tool.

The horizontal axis represents the amount of water made available by each measure and the vertical

axis represents the cost per unit of water released by each measure in the year of the cost curve.

51

The main conclusion arising from the analysis of this exhibit is that the closure of the demand and

supply gap would be reached by investing in the agricultural sector. The cheapest solution with a

total investment of $5,9 billion is composed by 80% of measures linked to the agricultural sector.

This investment is not an excessive investment regarding the positive effects that could result from

these measures but it is a huge amount of money regarding what is currently injected in the water

sector. Besides, another 80% of these 80% represented by the agricultural sector lie in productivity

levers, that is to say the increase of yields of individual fields offsetting the need of additional land

irrigation. To meet the demand for food in 2030 (only 4% of the global Indian food production is

exported) some 31million hectares of additional irrigated land would be necessary. However if the

rain-fed and irrigated existing land would be made more productive it would reduce the amount of

water required for additional irrigated land.

To conclude, the biggest potential lies in the use of germplasm irrigated land, which would help to

close 11 of the gap by itself, if the same method could be applied to rain fed land it could generate

addition 4% of gap-reduction. This measure would have to be coupled with other measures raised in

the exhibition, such as generic crop development or drip irrigation. Nevertheless it is impossible to

divorce these efforts from a global, efficient and nationally implemented agricultural policy. The

main question is how could all these measures be presented to the farmers, and be accepted by

them?

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Mapping of technologies available or affordable for India to increase its drinking

water availability:

Analysis of technological answers to modern issues: case-study on Veolia Water Systems & Vivendi

proposed solutions.

It will be impossible to face the water availability in India by only looking at traditional supply

measure, which would be very difficult and costly to implement. Such measures face a skyrocketing

marginal cost curve with high ceiling prices set by processes such as desalinization. As the graph

shows, many measures to face the gap between supply and demand by 2030 will come out a a cost

of 0,05-0,10$/m3

Charting our Water Future, Full Report

(Good and bad Water projects in India, Water Ressources, 9Use of the satellite images of the Indian

Research association to help the water resource planning (Water Resources, 10)

Interlinking of river program (Water Resources, 12)

Use of water of different qualities

53

Solutions to produce drinking water - Study of technological systems

around the world Though technological solutions to drinking water availability are not a critical focus of this

report, it is briefly touched upon below. The technological solutions for accessing drinking

water can be broadly classified to local and centralized.

a. Local Solutions :

Rain-Water Harvesting is one of the most widely used and successfullt demonstrated

local solution. It is estimated that only 50mm rainfall is sufficient to have enough drinking

water available for a village of 1500 people for one complete year.

Examples:

i. Changi Airport

Collects and treats rainwater - 28 to 33% of its total water used

Savings of approximately S$ 390,000 per annum.

ii. Kathiawar in Gujarat

Swadhyay Pariwar - Diverting the runoff rainwater, using the

natural drainage pattern, from fields into a 5x4x6 feet pit or

tank. This pit is dug about five feet from the well, which is to be

recharged. A pipe is placed about two feet below the ground,

connecting the pit to the well. As the rainwater collects into the

pit, the silt and the mud settle at the bottom of the pit and clear

water from top flows from the pipe into the well.

Results in rise in water level and increase in water quality of

neighboring wells

b. Centralized solution:

Desalination plants have been the primary answer in several regions of the world which

are closer to sea. Though there are several and varying technologies available for

desalination, they are generally not very different from each other in terms of cost.

Cost Table: Cost of Desalination = 0.6$ / 1000L (3 paise/ltre)

54

City Horizontal

Distance

Vertical Distance Transport cost

Cents/ 1000 litre

Beijing 135 100 13 (0.06 ps./ltr)

Delhi 1050 500 90 (4.5 ps./ltr)

Riyadh 350 750 60 (3 ps./ltr)

Ramallah 40 1000 54 (3 ps./ltr)

Advantages of Desalination:

• Costs of desalination have been steadily decreasing and is expected to continue to decrease

• A large portion (40%) of world population live in coastal areas

Access to clean drinking water: Issue of distance and regular supply Drinking water has always been an important issue in India. This issue has been addressed in the

constitution by giving the state responsibility of ‘providing clean drinking water and improving public

health standards’ (article 47). With a total expense of INR 1,105 billion on provisions for safe drinking

water till 10th five year plan, the situation should have been comfortable. Reality is very different

although. Access to safe drinking water has become a major hindrance in growth. Still, in many parts

of country, women have to walk miles to fetch 15-20 litres of water. Now, even the cities are facing

acute water shortage and many lower-middle income families are spending as much as 20-30% of

their incomes on fetching water for their daily use.

The government estimates can be very optimistic and unrealistic. This is clearly visible by census

2001 data which reported that 68.2% households in India have access to safe drinking water. The

latest government estimates say that 94% rural population and 91% urban population now has

access to safe drinking water. Department of Drinking Water Supply (DDWS) data shows that of the

total 1.42 million rural habitations in India, 1.27 million are fully covered and 0.13 million are

partially covered. Only 15,917 habitations are not covered. The data is true but it tells only one half

of the reality. Coverage refers to installed capacity. It does not take into account the ground reality

and ignores two more important issues: Do the installed taps deliver sufficient water? If yes, what is

the quality of that water? Is that safe? The water crisis in Delhi is not uncommon, and the recent

riots in Lake City of Bhopal over water tell a different story. Equally dubious is the quality of water in

most parts of the country with reports of high arsenic, iron and fluoride content in water leading to

multiple serious diseases. India still holds the dubious distinction of one of highest deaths related to

water borne diseases (every year, 15 lakh children die due to diarrhoea alone).

55

Hence, the issue of drinking water availability in India can be considered at two levels: one is

providing access to water (the issue of distance and quantity) and the other is making sure that the

water is safe to drink. Even while considering these issues, rural and urban areas need to be

considered separately. In urban areas, the infrastructure is available but it is primarily an issue of

providing more water. Since the population density is high and natural sources of ground water are

not always available in most cities, the water has to be either transported from a distant source

(river, lake, canal etc.) or has to be drawn from ground. The first one incurs huge capital costs, and it

may not always be feasible to find a perennial, reliable source nearby. The second source, i.e.

ground water is the most common and easy to exploit. The only issue is that it is not an infinite

source and needs recharging. Considering the excessive dependence of Indian agriculture on the

water below the ground and poor record of Indian cities in adopting rain water harvesting systems,

the stress on this resource has increased tremendously. The water table plummeting at a very fast

rate has raised questions of viability of ground water as a reliable source of safe drinking water.

The issue of distance

After going through many reports on provision of safe drinking water and studying numerous

systems prevailing in different geographies, no particular technology or system looks as a solution

that can meet requirement of all the geographies. Only a multi pronged approach can work to

ensure the provision of safe drinking water. This approach has to be fundamentally different for

rural and urban areas. The following case studies on most drought prone areas of India show the

most feasible way to provide clean drinking water to rural areas:

The case of Bundelkhand: a drought prone area

Bundelkhand, a 70,000 square km land comprising of 13 districts of Uttar Pradesh and Madhya

Pradesh, is a drought prone area. The region faced one of the most severe droughts in living memory

starting 2003 for 5 years. This created a severe livelihood crises as the sources of drinking water

dried up. Thousands of hand pumps got defunct and dug wells and masonry wells were badly

impacted.

“During early 1970s, despite being drought prone, the region was meeting its domestic and

irrigation water requirements very well through traditional methods of water harvesting. In this

fragile ecological equation, the forests helped recharging and regulating rainwater flow and the vast

network of tanks and ponds captured water for use during leaner period. The ponds and tanks also

worked as recharge pits. Local communities managed the water sources thus making them equitable

and sustainable. But deforestation clubbed with neglect of the traditional systems of water

harvesting has distorted the equation. Now, Bundelkhand conserves less rainwater than earlier.”

(Drought and drinking water crisis in Bundelkhand, Half full half empty. Water Aid Report)

The results are clearly visible. Water availability for irrigation purposes is at rock bottom. Add to that

the drinking water crisis, which has hit the region badly. Slowly, structures like forests, tanks and

ponds that were the main sources of ground water recharge have vanished, thus resulting in less

ground water recharge every time it rains. Thousands of hand pumps now do not spit water. The

region is more vulnerable to drought than ever. Worse, with almost negligible capacity to harvest

the water, even a small deviation in rainfall causes drought and no one can do anything about it.

The problems do not end here. Finally, when the drought ended with a severe bout of rainfall,

another kind of crises started looming large. Within a short span of time, the region received huge

56

amount of rainfall, triggering floods, leading to huge loss of livestock and property. The water

sources were not dried up anymore, but they had contaminated water, no good for drinking. Worse,

since the region did not have substantial capacity to harvest and store rainwater, the plenty of

rainfall did not make much impact on overall water availability. Hence, despite having sufficient

rainfall, no water is available to drink. And the region cannot be sure of enough water availability for

next season.

Saurashtra Direct Well Recharge Movement and Check dams

One of the most drought prone areas in the country, Saurashtra was not always like this. People say

that enough water was available some 15-20 years ago. The region has some 700,000 dug wells. The

number is huge and it points to an extensive network of groundwater aquifers throughout the

region. Looking closely, the numbers actually look stunning: one well for every 20 people or one well

at a distance of every 300 metres or so. Till late 1960s, the ground water table in most areas was just

12-15 metres below the surface. The over-exploitation of ground water in last many decades has

played havoc. Mostly used for irrigation, the over-exploitation has led to an average drop of

2.5m/year in water table, leading to a steady intrusion of saline water into the wells. Now, the

ground water table is well below 300 m in some of the areas. To counter this, people have been

digging deeper and deeper and have gone even up to 600m but at such a depth, it becomes

extremely difficult to recharge these confined aquifers.

Severe droughts in the region from 1985 to1988 catalysed a movement to harvest rainwater using

diverse techniques. Looking at it technically, with high surface runoff and very little secondary

porosity to hold the water, recharging groundwater in the region is essentially a challenge in itself.

Farmers tell that even when there was enough rain, the rainwater did not seep in. It simply flowed

away and their wells remained dry. Thus, one of the earliest efforts was to channelizing the

rainwater into the dry wells. Luckily, this was just the beginning. The Well Recharging movement

turned out to be highly successful in Saurashtra. Some others have constructed sub-surface dams

below the riverbeds. These create additional storage and can effectively recharge the groundwater.

According to one estimate, almost 300,000 wells in Saurashtra now have working recharge

structures. Of these, almost 100,000 have been done by members of one spiritual movement- the

Swadhyaya pariwar alone. (Water in the wells: A report from http://www.rainwater

harvesting.org/happenings/water_wells.htm)

In a village called Rajsamadhiyala (RS), located just 20 km from Rajkot city, the village panchayat has

set a good example. It effectively used government funds under various development programs to

build number of check dams, percolation tanks and check dam-cum causeways – totalling 47

structures, over a 20 year period. The undulating terrain of the village provided the ideal setting for

creating these water-harvesting structures on the rivulets and streams that constitute the Aji river

basin system. However, it remains a lone example. There were not many villages that made even a

feeble attempt to learn from RS and replicate the experiment. Still, the model is good and can show

the way.

In yet another experiment, taking inspiration from experience of Tarun Bharat Sangh of district

Alwar (Rajasthan), the villagers in Khopada (Bhavnagar district) constructed a canal and a network of

check dam. In all, network of more than 75 check dams was built on a 35 km stretch of canal, that

too in a short span of 6-8 months. There was no contribution from government. All resources were

57

pooled in by the villagers and a private trust that was set up in Surat by the Diamond merchants

belonging to Khopada.

The model has worked for Khopada and it was reiterated during the draught of 1999. When the rest

of the Saurashtra was reeling under severe water shortages at that time, farmers in khopada were

busy irrigating bajra, sugarcane and other crops with the water they had harvested & recharged in

the previous monsoon season. Farmers of RS could harves good groundnut and cotton crops and

they grew summer vegetables. Above all, they had their own assured drinking water supply from the

community wells despite a very poor monsoon – only 5-6 inches in the whole season. The water

harvesting structures the villagers had built over the past 2 decades paid rich dividends. In those

parts of Saurashtra where farmers were proactive and were able to channelize some rain water

directly into the wells, a part of the groundnut and other Kharif crops could be saved.

(http://www.iwmi.cgiar.org/iwmi-tata _html/ projects/saurashtra.htm)

The case of Rajasthan’s Thar Desert: Tradition shows the way

(Anupam Mishra, TED Conference, Mysore, November 2009)

Thar desert (Rajasthan) receives rainfall of only 9 inches in an year. The ground water is at least

100m deep and in most places, it is saline. Hence, it cannot be used for drinking. Even in such harsh

conditions, one of the most colourful lives in India has thrived here for centuries. Water is an

essential commodity. It is not a luxury but a question for survival. Hence, this place has built

structures that have assured enough water to sustain such the colourful life. No rivers exist and rain

is scarce. So, every drop becomes crucial. In the desert, a number of techniques of harvesting rain

water exist. These are not just technologies but a difference between life and death for them.

1. Kund or Tanka: A false catchment has been created around a raised platform having holes

with perfect slope. Water proofing is done. 100,000 litres of pure drinking water can be

collected in one season with 9 inches rainfall, and enough such structures exist to serve the

needs of villagers.

2. Every house has a rain water harvesting system, mostly in a pair of houses that can collect

upto 25,000 litres of pure drinking water. It goes upto 15 feet deep and stores enough water

58

for 2 houses in a good season. This is apart from the village/community level structures that

act as a safety net.

3. A traditional rainwater harvesting system for the kingdom is shown in the image below. It

can collect 6,000,000 gallons of rain water in one season. This tank is in Jaigarh fort and has

been there for 400 years. It draws water through a network of canals bringing water from as

much as 25 kms during rains. This canal and tank has been maintained for generations and

still stands strong. The water quality is zero-B, pure distilled water.

4. Another traditional system

5. Jaisalmer, a town established 800 years ago in the heart of desert has been a major centre of

activity and was on the ‘Silk Route’. Every house in the city has rain water harvesting system,

and every single drop was collected and was available for use later on.

59

6. Jaseri, a water body that never dries up, is situated in the desert. Even in severe droughts,

no one has seen it dried up. It was designed some 150 years ago.

These structures were constructed centuries ago, and have remained in good shape ever

since. It did not happen on its own. The communities have taken the work in their hands and

over the generations, have devotionally protected and preserved these structures and

systems. One example is the stone pillar shown below. It is an indication that ‘you are

entering a water body area. So, do not throw litter, do not urinate or do not spit.’ The rules

are unwritten but followed by heart since these water bodies are life of the people in

deserts.

The bottom-line

An estimate by Water Aid, an organization working for providing clean drinking water available to

citizens shows that only the first showers are sufficient to ease drinking water situation. Only 50mm

rainfall is sufficient to have enough drinking water available for one year for a village with 1500

60

population, provided there is water conservation mechanism in place. So, what matters is whether

the village has that or not? Hence, the focus should be to create such systems at as many places as

possible, maintain them and connect them to the lives of people. Such an approach can take care of

the quantity issues even in the rural areas, and even in many of the urban areas.

A model for urban areas: The GIFT City, Gujarat GIFT City, or the Gujarat International Fin-Tec City is being developed as a hub for Financial services

and ITeS sector in the vicinity of Ahmedabad and Gandhinagar. The city has been planned after

extensive study of many modern cities of world like Singapore, Hong Kong, New York etc. Planned to

be built in 550 acre land, the city will have total built up area of 145 mn sq feet with 60% open

spaces. The city will be built in three phases, and will be completed over next 10 years.

GIFT City promises to be a Central Business Hub, not just for India but also for the rest of the world.

Bestowed with world class infrastructure, it is poised to set a new paradigm of Urban Planning.

The development of GIFT offers a significant opportunity to be a test-bed to drive reforms and

innovation in various fields including in delivery systems, local government, physical planning,

infrastructure development, environmental protection and so on. (http://giftgujarat.in/concept.aspx)

The water supply and sewage system of the city has been meticulously planned. As per plan, the

main city will be inhabited by approximately 2 million people and the water requirement will be 8.5

mn gallons per day. Narmada canal will supply the requisite amount of water, which will be stored in

the artificial lake. It will act as a reservoir for 15 days equivalent of water storage for the city. The

whole city will have 2 types of water supply:

1. Fresh water for drinking purpose

2. Recycled water for all other uses

All the buildings in the city will have water treatment and recycling facility. It will be mandated by

law to recycle all water in the city, and this recycled water will be pushed back into the whole

system. Such a measure will reduce the daily fresh water requirement upto 2.5 mn Gallons per day,

i.e. only 30% of the actual requirement.

Not only this, even the water tanks at top of the buildings will be operating not under gravity but

pressurized system. This will prevent any leakage and run the pumps only when required, saving

both water and electricity.

So, what does this model tells us? It tells that we can save a lot of water by changing the way we

treat it post use. Not only do we have to do the treatment (a technological solution) but we also

need intervention through pricing mechanisms and new laws. The tariff structures should be revised

to realistic levels, and a multi slab structure (progressive tariffs) may also be used. For example, low

tariff for upto 40L/day/person and then higher for upto 80L/day/person and so on.

Not only tariff application but collection mechanism needs to be revamped. We need to properly

meter every litre of water being supplied to the residents, and collect the revenues effectively. The

money so received can be used to provide requisite infrastructure to the cities.

61

An example from Kutch

Kutch, a part of the salt desert in Gujarat is a water scarce area. The government, with help of

satellites has been able to map all the water aquifers in the region. Now, by law, these hydrological

reservoirs have been marked as a no construction zone. No city/village habitation can come at that

place. This can be a good example to follow and can be a big leap forward in protecting our already

scarce resources.

ACKNOWLEDGEMENT We would like to thank Prof. Anil Gupta for his guidance throughout the course. We also graciously

thank President Dr. APJ Abdul Kalam for his valuable insights, comments and feedback through our

multiple interactions with him during this course.

We would also like to thank Mr. Dharmadhikari, Chief Technical Officer, Gujarat International

Finance Tec City for the insights provided by him during the interview.

62

SOURCES “Asia’s next challenge: securing the region’s water future”, a report by the Leadership Group

on Water Security in Asia – Asia Society, April 2009, contributing authors; Margaret Chan,

Director-General, World Health Organization ; Upmanu Lall, Director, Columbia Water

Center, Earth Institute at Columbia University ; Kapil Narula, Director, India Office, Columbia

Water Center, Earth Institute at Columbia University ; Rajendra K. Pachauri, Director

General, The Energy and Resources Institute (TERI), and Chairman, Intergovernmental Panel

on Climate Change (IPCC) ; Jennifer L. Turner, Director, China Environment Forum, Woodrow

Wilson International Center for Scholars ; Vitoon Viriyasakultorn, Senior Governance

Specialist, United States Agency for International Development/Environmental Cooperation-

Asia (USAID/ECO-Asia).

“A framework for India’s water policy”, Publication by National Institute of Advanced

Studies, November 2009, by T.N. Narasimhan and Vinod K. Gaur.

“L’eau, facteur d’instabilité interne et régionale en Asie du Sud”, in Notes de la Fondation

pour la Recherche Stratégique, 20 March 2010, by Alexandre Taithe.

“The China-India-Pakistan water crises: prospects for interstate conflict” Thesis of James F.

Brennan for the Naval Postgraduate School (Monterey California, USA), September 2008.

“Water and Security in South Asia, executive summary of the report”, in Water and Security

in South Asia Project Reports, 2003, Toufiq A. Siddiqi (GEE-21) and Shirin Tahir-Kheli (SAIS).

“Water a Pre-eminent Political Issue between India and Pakistan”, in Strategic Analysis, 24

June 2010, by Uttam Kumar Sinha.

“Harnessing the Indus Water: perspectives from India”, in IPCS Issue Brief #122, September

2009, D. Suba Chandran (IPCS).

“Harnessing the Indus Water: perspectives from India”, in IPCS Issue Brief #128, September

2009, Nausheen Wasi (University of Karachi).

“Water sharing conflicts within countries and approaches to resolving them” in Water and

Security in South Asia Project Reports Volume 3, 2003, by Umesh Parajuli (JVS, Nepal,

coordinating author), George Verghese (CPR, India), Khalilur Rahman (BUP, Bangladesh),

Maniruzzaman Miah (TWEDS, Bangladesh), Somnath Mukherjee (WAPCOS, India).

“Water sharing conflicts within countries and possible solutions”, in Water and Security in

South Asia Project Reports Volume 2, 2003, by S. Ayub Qutub (coordinating author) A.R.

Saleemi (PIEDAR, Pakistan), M.S.S. Ready and N.V.V. Char (India), Dipak Giawali (NWCF,

Nepal), K.B. Sjjadur Racheed (BUP, Bangladesh), James E. Nikum (TKJC, Japan).

“The management of inter-state rivers as demands grow and supplies tighten: India, China,

Nepal, Pakistan, Bangladesh”, MPRA Paper No. 12433, 30th December 2008, Ben Crow and

Nirvikar Singh (Santa Cruz University).

“Kashmir and Water: Conflict and Cooperation”, by Seema Sridhar (New Delhi University).

“Water Security on the Sub-Continent – The Implications of the Indus Treaty”, publication of

The Henry Jackson Society, 29th January 2010, by Alexandra Mahler Haug.

Water Institutions in India: Structure,Performance, and Change, Water Institutions: Policies,

Performance, and Prospects, Springer, New York, pp: 47-80 by R. Maria Saleth

Conflict resolution experiences in water management published by water and environmental

sanitation network, December 2005, compiled by Preeti Soni

63

Evaluating the costs of desalination and water transport, 2004 by Yuan Zhou, Richard S.J. Tol

“British Company Creates Cheap, Small-Scale Desalination for Agriculture”, 2010,

http://www.circleofblue.org/waternews/2010/world/british-company-creates-cheap-small-

scale-desalination-for-agriculture/

http://www.rainwaterharvesting.org/

Example of Saurashtra in Gujarat – converting dry land into water surplus land,

http://www.rainwaterharvesting.org/happenings/water_wells.htmv

“Indian Census or Ubran Area” in Urbanization in India, Pranati Datta, Population Studies

Unit Indian Statistical Institute

“Les enjeux industriels et techniques du développement des infrastructures urbaines de

l’eau dans les pays en voie de développement : le cas de l’Inde”, in a study from 10.02.03,

Giraud, Maria, Zernah: CERNA, Ecole des Mines de Paris, Ruet: CSH Centre des Sciences

Humaines, Delhi

”A first look at India and energy” Energies in India’s Future: insights in Gouvernance

européenne et géopolitique de l’énergie, Tome 7, 2009, edited by Jacques Lesourne and

Maïté Jauréguy-Naudin, IFRI

“Population and Human and Social development, PART I” a report of the National

Commission on Population of the Government of India, 2001

Economic surveys India, OECD Volume 2007/14, October 2007

Census of India 2001

India Health Profile, World Health Organization,

France Health Profile, World Health Organization

”Basic Needs and the Right to Help” World Water Assessment Program, lead agency WHO

and collaborating agency UNICEF

”Progress on Drinking Water: Special Focus on Sanitation”, 2008 by UNICAF/WHO

”Mapping Water; scarcity and pollution” extracted from A down to earth settlement: Industy

Impact of industrialization on water availability” by Rajan K Panda, InfoChange News and

Features, September 2010

”Drinking Water quality in rural India: Issues and approaches”, written by Indira Kurana and

Romit Sen, Water Aid,

“Social Report: the water imperative” in Business Opportunities in Water Conservation by

Giulio Boccaletti, Merle Grobbel and Martin R. Stuchtey in McKinsey Quarterly, 2010

”Water for food: Agriculture in India” in Charting Our Future a report written by the experts

of the Water Resources group, 2009

”Drinking Water quality in rural India: Issues and approaches”, written by Indira Kurana and

Romit Sen, Water Aid

”Water Institutions in India – Structure, Performance and Change”, 2005 by R Maria Saleth

National Water Policy, 2002

Governance and management for sustainable water systems,

http://www.iwawaterwiki.org/xwiki/bin/view/Articles/Governance\

Public and private sector roles in water supply and sanitation services,

http://www.iwawaterwiki.org/xwiki/bin/view/Articles/PublicandPrivateSectorRolesinWater

SupplyandSanitationServices “Conflict resolution experiences in water management”, 2005

by Water & Environmental sanitation network

64

Dr. Indira khurana, Richard Mahapatra. (2008). Half full, half empty: Drought and Drinking

Water Crisis in Bundelkhand. New Delhi: Water Aid India.

Jenna Davis, G. W. (2008). Improving access to water supply and sanitation in urban India:

Microfinance for water and sanitation infrastructure development. Water Science &

Technology , 5.

Water Credit. (n.d.). Retrieved 10 13, 2010, from http://water.org/:

http://water.org/watercredit

TED talks on Rain Water Harvesting:

http://www.ted.com/talks/lang/eng/anupam_mishra_the_ancient_ingenuity_of_water_har

vesting.html

TED talks on drinking water:

http://www.ted.com/talks/lang/eng/michael_pritchard_invents_a_water_filter.html

Dharmadhikari, U. P. (2010, October). Chief Technical Officer, Gujarat International Finance

Tec City. (Sampath, Ajay & Maun, Deepak, Interviewer)

GIFT City Gujarat. (n.d.). Retrieved October 3, 2010, from http://giftgujarat.in/

http://water.org/watercredit

http://www.ted.com/talks/lang/eng/anupam_mishra_the_ancient_ingenuity_of_water_harvesting.html

http://www.ted.com/talks/lang/eng/anupam_mishra_the_ancient_ingenuity_of_water_harvesting.html

http://www.ted.com/talks/lang/eng/michael_pritchard_invents_a_water_filter.html

65

Sr. No. 3 & 39

Assignment

on

Drinking Water Availability for Six Billion People‖

In partial fulfillment

of the requirements of the course

Globalizing and Resurgent India through Innovative Transformation (GRIT)

Submitted to

Prof. Anil Gupta

Submitted by

Alok Gautam

S. Priya

20th

November, 2010

INDIAN INSTITUTE OF MANAGEMENT

AHMEDABAD

66

ABSTRACT

Focus of study in this report is to suggest feasible ways to purify ground water in

different areas of India. For this we have analyzed various technologies that are available

which can be used for water purification in order to make it safe for drinking. Then we

looked at methods which are currently being employed to treat water in various regions.

Finally we tried to identify areas within country which have similar drinking water problems.

These regions have been classified under following heads:

o Regions having Fluoride Rich Water

o Regions having Arsenic Rich Water

o Regions having Nitrates Rich Water

o Regions having Salty and Brackish Water

o Coastal Areas

o Big Cities

Based on the analysis of different technologies available and evaluating them on different

parameters like cost, sustainability, acceptability etc., we suggested different solutions for

different regions. For regions where water is rich in fluoride content, we suggest use of

Activated Carbon filters. For regions where water is rich in Arsenic content, we suggested

installation of SAMMS (Self-Assembled Monolayers on Mesoporous Supports) Plants. For

regions where water is rich in Nitrates, we suggested Reverse Osmosis Membrane

desalination technique. For regions like Rajasthan where ground water is salty and brackish,

we suggested that Water Pyramids should be installed. For coastal areas we recommended

Desalination plants with Energy Recovery Devices installed. And for big cities, we suggested

water-reuse technique based plants.

67

Drinking Water Availability for India

Introduction

India is not a water scarce nation. According to World Resources Institute (2000)

India comes among top ten water rich nations. But distribution of Utilizable water is very

uneven in this country. As per World Resources Institute Report (2000), per capita

availability of utilizable water in India is 1967 cubic meter. It ranges from 360 cubic meters

in Sabarmati basin to 16,589 cubic meters in Brahmaputra and Barak basins. 1

Agriculture

consumes 95% of Country‘s utilizable water and rest 5% is used by domestic sector. A region

is called water stress if its renewable fresh water availability if less than 1700 cubic meters

per capita per annum and if it‘s less than 1000 cubic meters per capita per annum it is called

chronic water scarcity region. In that sense India as such is not a water stress region but there

are regions within this country like Sabarmati basin which have chronic water scarcity.

Availability of safe drinking water is a major problem facing the nation. Only 1

85% of

urban population and 79 % of rural population has access to safe drinking water. In rural

areas 80% of the need for domestic water consumption is met by groundwater and in urban

and industrialized areas it is 50%. This groundwater is contaminated in many areas in this

country and not fit for drinking purposes as per standards prescribed by World Health

Organization. This contamination is generally due to presence of Arsenic, Salinity, Fluoride

and Nitrate. The focus of this report if to recommend the ways to be used to purify this

contaminated water in order to make it safe for drinking.

Methodology

Various available technologies for water treatment would be analyzed and evaluated

followed by various methods and technologies that are being used across the globe. Motive

would be to identify those Technologies which can be replicated in India. Replicability of

these Technologies would be evaluated on the basis of the following criteria:

1. Quality of treated water

2. Cost-Effectiveness

3. Sustainability

68

4. Acceptance by users

5. Feasibility in terms of Capital Expenditure

6. Local availability of Manpower for operating and maintaining systems.

Finally recommendations would be made based on the preceding analysis.

Technologies Available

Nanofiltration

This Technology is developed by Saehan Industries. This is used in Desalination

plants.

Except Fluorides and Nitrates, this technique removes almost all other contaminants

including bacteria. Hence this may prove very good for areas which have got acceptable

amounts of Fluorides and Nitrates.

Eco-Chem Laboratories Pvt. Ltd.

Desalination

Desalination is proven technique and highly effective for coastal areas. Desalination

Plants can be based on either of the following two processes:

1. Pressure Membrane Processes : Most popular among these is Reverse Osmosis (cost

= $ 0.61 / cubic meter)

2. Thermal Processes: These are of two kinds

a. MSF (Multi-Stage Flash) cost = $ 0.89 / cubic meter

69

Source: Wikipedia

Schematic of a multi-stage flash desalinator

A - Steam in

B - Seawater in

C - Potable water out

D - Waste out

E - Steam out

F - Heat exchange

G - Condensation collection

H - Brine heater

b. MED (Multi-Effect Distillation) cost = $ 0.72 / cubic meter

Among these Technologies Reverse Osmosis has been found most cost-effective

comparatively. It requires around INR 3 lacs as capital expenditure for a plant of capacity

1000 lt per hour. Per cubic meter of treated water costs about $ 0.61 (~ INR 33), which is

lesser than that of other desalination processes.

source: Wikipedia

Plan of a typical Reverse-Osmosis Desalination Plant

http://en.wikipedia.org/wiki/Multi-stage_flash

70

It removes salt, most inorganic contaminants, bacteria, viruses, parasites. It removes

almost 90% of Arsenic and a significant percentage of some pesticides, herbicides and

insecticides.

Only drawback is that it does not remove Organic Chemicals.

Coagulation-Flocculation

This technology is good for water which is contaminated mostly with waterborne

pathogens. It claims to remove almost 90%-99% of all such pathogens.

http://www.ramezanitrading.com

Plan of typical coagulation flocculation process

Ultra-Violet Radiation

It successfully removes vegetative bacteria and enteric pathogens. This technology

can be used only where there is sufficient sunlight. This technique is unable to remove

chemical contamination.

http://www.ramezanitrading.com/

71

http://www. vitalfoodstore.com

Typical Plan for UV-Radiation Process

Distillation

This is proven technique to remove almost all salts, Nitrates, heavy metals like

Arsenic, Pathogens and other biological contaminants. Its drawback is that it cannot remove

organic contaminants like Pesticides and Fertilizers.

SAMMS (Self-Assembled Monolayers on Mesoporous Supports)

This technology claims to remove 99% of Mercury, Arsenic, Lead, Chromium,

Radionuclides and Cadmium. Additional feature of this technique is that it can be

functionalized to not remove essential metals like Calcium, Magnesium, Zinc etc.

http://www. samms.pnl.gov

SAMMS

Adsorptive Filter Media for Arsenic Removal

72

With this technique around 95% of Arsenic and almost all inorganic contaminants can

be removed. This is very good for use in areas where ground water is rich in Arsenic.

Activated Carbon Filters

Carbon is a very powerful absorbent of impurities. Activated Carbon is a form of

carbon which has been processed to make it extremely porous which increases its surface

area manifold.

source : Wikipedia

Activated Carbon as viewed by an Electron Microscope

A little electro-positive charge is added to it which makes it apt to absorb negatively

charged impurities from water. This is a very good technique to remove Fluorides from

water.

Carbon Nanotube Membrane

This technique seems very promising for desalination and is projected as an

alternative to Reverse Osmosis. It claims to remove all kinds of water contaminants including

bacteria, viruses, turbidity and organic contaminants. It is very cost-effective also. Capital

Expenditure of only INR 70,000 would be needed to set up a plant with capacity of treating

1000 liters of water per hour.

http://en.wikipedia.org/wiki/Carbon

http://en.wikipedia.org/wiki/Porous

73

http://www.7gen.com

Carbon Nanotubes in Reverse-Osmosis Membranes

Nanomesh

This technology has been developed by Seldon Laboratories. It claims to remove

99.95% of viruses, bacteria, spores, cysts, fungi and molds.

http://www.eb5water.com

Carbon Nanomesh ™. Seldon's patented water purification

Nanofibrous Alumina Filters

This technique has been developed by Argonide Corporation. It claims that it removes

99.99% of viruses, bacteria, parasites, turbidity, natural organic matter and DNA

Granular Media and Rapid Rate Filters

This technique removes about 99% of large parasites and 90% of turbidity and enteric

bacteria

http://www.7gen.com/

http://www.eb5water.com/

74

http://www.mcilvainecompany.com

Granular Media Filters

Technologies presently being used across the Globe

Water Pyramid: “Green” Water purifiers for Arid Areas

(World Environment Federation, 2010)

• A system which combines ―Rainwater harvesting with Large scale Desalination‖

• It uses only Solar energy

• It is a Sustainable technology

• Suitable for places where

• Saltwater Intruded wells

• Water pollution from Ar, Fl

• Can be used for delivering distilled /bottled water

http://www.mcilvainecompany.com/

75

Photo graph of the solar –powered water pyramid – shows an inflated foil structure.

This plant integrates de-salination and rainwater harvesting.

The benefits of water pyramid are given below:

Ability to provide clean drinking water as per the WHO guidelines

Easier to run the plant with the local work force who can be trained

Less cost of operation and maintaining the plant

It can be set up using the materials available locally

Even solar power can be used to run the plant

Working of the plant:

The simulation shows how the solar distillation and rainwater harvesting takes place.

• Uses the principle of Solar Still Principle, which is customised for large areas

• Solar energy is used to evaporate dirty / polluted water and then condense high-

quality drinking water

• It collects, purifies and stores rainwater separately

First Water pyramid

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• Kutch, Gujarat

• By Aqua-Aero Systems BV of the Netherlands and the Water and Sanitation

Management Organization of Gujarat (WASMO)

• Uses Reverse osmosis to desalinate salty water

• The brine/waste produced is also desalinated

• A source of revenue through selling of potable water

• Easy installation, operation and maintenance

• A typical Water pyramid of area 650 m2 will yield 1000-1250 L of distilled water /

day

• It is capable to collect and harvest about 90% of the rainwater

Second Water pyramid

• Thar, Rajasthan

• By JBF (The Jal Bhagirathi Foundation), Acumen Fund (New York, USA), and

Aqua-Aero Water Systems BV of the Netherlands

Dew water harvesting: “Green” Water purifiers for Arid Areas with Dew

Developed by IIMA professor – Prof. Girija Sharan (PGP ABM – 2nd year, 2010)

How does Dew water harvesting work?

• Harvests, purifies dew collected in the night

• Used in region with an average of 100 dew rain days, mostly in summer season.

• The dew collection can be as high as 1mm of dew / night

• Dew is collected via condensors, installed on house roof /ground

• Cheap if considered for a long term arrangement

• Average cost incurred for collection - 50 paise/1 litre of dew in bottle form

77

Photograph shows the inclination of the dew collection board

The above photographs show how the dew gets collected.

This dew harvesting is

• Currently In practice in Kutch, Gujarat

• Currently a primary school and a cattle farm had installed it

• Water collected is used as potable and for gardening purposes. The dew water

collected is purified and then used for drinking purposes for cattle and also humans. A

beautiful garden is also being set up using the harvested water.

78

The dew water is subjected to testing and the results are shown as below:

Dew Water reading at Suthari

No. Parameter Proportions

1 Ph 6.9

2 Conductivity 930 mmhos/cm

3 TDS 610 mmhos/cm

4 Chloride 161 mg/lt

5 Sulphate 63 mg/lt

6 Fluoride .46 mg/lt

7 Coliform organism Absent

The above results are within the acceptable range for drinking water purposes. Hence this

proves that the dew water can be an important source of water for drinking purposes.

Nanoparticle technology based purifiers: “Green” Water purifiers for developing

countries

(Liggett, 2010)

What is nanoparticle technology?

• It involves layering nanoparticles– on a metal. This layer is used on any water

filtration equipments

• Can provide clean and cheap water to the developing countries

• Removes large particles and also kills bacteria

• Developed by Dr. Roger Narayan, NC State‘s College of Engineering and the

University of North Carolina at Chapel Hill

79

Lifestraw: portable potable water device (Frandsen, 2010)

It is an innovation product of Vestergaard Frandsen, which is a portable and handy

water purifier. It has the creditbility of filtering > 1000 L of water which is contaminated.

Its other features are that it is good at filtering

80

>99.9999% of waterborne bacteria

> 99.9% of waterborne protozoan parasites

<0.2 micron sized particles

More than that it is green – ie. It needs no electricity or any rechargeable batteries

TheLlifestraw‘s performance is compared with other traditional ways of water purification,

which shows very promising results for clean drinking water.

Source: (Frandsen, 2010)

“Green” Water purifiers for Small Households

For small households of rural and urban India, with a family size of 2- 6, the

following water purifiers may be of greater use. This is because, they need no electricity and

so green. They can hence be of great value to entire middle class small households without

any electricity cost.

81

Eureka Forbes -

AquaSure

Hindustan Unilever

- Pureit

TATA - Swach

Price Rs 1,800 Rs 2,000 Rs 999

Type of Water Purifier Storage Type Storage Storage Type

Storage Capacity (Litres) 13 9 18

Purification Stages 4 4

Pre-Filter Purification

Silver-Impregnated

Activated Carbon

Purification

Reverse Osmosis

Material of Body ABS Plastic Foodgrade ABS

Plastic

Food grade, non-

toxic, engineering

plastic

Power Required

Warranty Period (Years) 1 6 months

(Compare India, 2010)

Of the three products displayed above, TATA‘s product is found to offer greater storage

capacity for half of the cost of other two products.

http://compareindia.in.com/media/product/2007/aug/aquasure.jpg

http://compareindia.in.com/media/product/2007/oct/pureit_ws.jpg

http://compareindia.in.com/media/product/2010/sep/tata-swach_ws.gif

82

Recommendations

Different regions of our country are facing different problems concerning availability

of safe water. No problem can be generalized; hence there can‘t be any one solution which

would fit to all regions. We have tried to identify few regions on the type of problem they are

facing and we have suggested possible solutions accordingly.

Fluoride Rich Regions: Permissible limit of fluoride in water is 1 mg per liter. In

states like Haryana Fluoride in water is as high as 48 mg in some places. Delhi too has 32 mg

of Fluoride in water. The worst hits areas are Rajasthan, Gujarat and Andhra Pradesh. Nearly

6 million children below 14 suffer from dental, skeletal and non-skeletal fluorosis.

There are three proven methods through which Fluoride can be successfully removed

from water:

1. Activated Alumina Cartridge – Through this method Fluoride is removed but in

the process some aluminum is leeched which is harmful on consumption

2. Reverse Osmosis Membrane – It removes Fluoride but alongside it also removes

minerals essential for health

3. Activated Carbon Filters – It very efficiently removes negatively charged

Fluoride and also keeps essential minerals dissolved in the water. Hence, we

suggest Activated Carbon Filters for these areas.

Arsenic Rich Regions: Nearly 10 million people are affected by Arsenic in India.

The problem is severe in Murshidabad, Nadia, North and South 24 Paraganas, Malda and

Vardhaman districts of West Bengal. The deeper aquifers in the entire Gangetic plains are

highly rich in Arsenic.

We suggest SAMMS (Self-Assembled Monolayers on Mesoporous Supports)

Plants to be installed in these regions. SAMMS removes 99% of the Arsenic present in

contaminated water and makes it safe for drinking. Additional feature of this plant is that it

can be functionalized to not remove specific metals which are considered good for health

such as Calcium, Magnesium, Zinc etc.

Nitrate Rich Regions: Fertilizers, septic tanks, sewage tanks etc. are the main

sources of nitrate contamination. The groundwater in MP, UP, Punjab, Haryana, Delhi,

Karnataka and Tamil Nadu is contaminated with nitrates.

83

Reverse Osmosis is the best way to remove Nitrates. This technique is cost-effective

and also sustainable. Larger plants can be installed for mass production.

Regions having Salty and Brackish water: Ground water in areas of Rajasthan has

high content of salt.

We suggest use of Water Pyramids for such areas. It very efficiently removes salt

from water. It produces very clean water which can also be supplied to Hospitals and

Industries thus subsidizing costs for drinking. Since this technique requires only Solar power

as source of energy, it would be highly effective in Radiation rich areas like that of Rajasthan.

Coastal Areas: Water is available in ample amount in Oceans and Desalination is one

of the best techniques available to treat salty water. We suggest more of Reverse Osmosis

Membrane Desalination plants be installed to treat Ocean water, as these are more cost-

effective as compared to other desalination processes.

A major concern for such plants is their cost. Electricity costs constitute about one-

third of the total operating cost. To reduce the Electricity cost we suggest the use of ERD

(Energy Recovery devices). These devices use brine, a waste of desalination plants, to

recover about 60% of the energy consumed. Energy recovery Inc. has developed a very

effective ERD. One of my colleagues, Mr. Aravind Bharathi, PGP class of 2011, IIM-

Ahmedabad, has even talked to the MD of this company. They are willing to enter into joint

ventures to start production of their device in India which would reduce the cost of

manufacturing drastically.

Big Cities: Big cities consume much more water per capita as compared to country‘s

average, thereby generating large amount of wastewater. In order to utilize this vast amount

of waste water, we suggest Water-Reuse techniques in such cities.

Water-Reuse Technique includes three steps:

a. Microfiltration

b. Reverse Osmosis

c. UV Disinfection

This Plant is highly capital Intensive but Return on Investment is also higher. Since

big cities have higher purchasing power, they can easily afford to buy water treated

through this technique. This system is sustainable also.

84

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Sr. No. 4, 19, 26, 62 & 63, 95

ENERGY EFFICIENCY SOLUTIONS FOR A CLEANER AND GREENER INDIA

GRIT 2010

Group Members: Amber Maheshwari, Rahul Regulapati, Sebastien Francois, Shehzia

Valiulla, Sujit Verma, Shantanu Dipak Pal

Introduction

There are two ways of solving the energy problem: (a) explore alternative ways of generating

energy so that increase in energy consumption and (b) devise energy efficient systems so as

to decrease overall energy consumption. We have decided to focus on energy efficient

systems as we feel that the government is already focussing on alternative forms of

generating energy and adequate stress is not being given to energy efficient systems. In this

report, we are looking at the following four solutions as a mechanism to manage and reduce

energy demand:

1. Smart Grids

2. Daylight Savings

3. Incremental Improvements in Existing Energy Efficiency Policy Framework

4. Policy Recommendations for Green Buildings

89

Energy Demand Management

It is inefficient to meet peak energy demand as additional capacity has to be installed just to

meet peaks which occur for short periods of time. During the rest of the period, this

additional capacity is supposed to remain idle, but this doesn‘t often happen, as it is not easy

to switch on and off additional capacity. In addition, the installation of this additional

capacity is itself inefficient.

From the two graphs below, it is obvious that the second consumption pattern is more

efficient and thereby more desirable

Thus the objective of energy demand management is to smoothen the usage curve by

techniques such as Energy Time Shift and Demand Stimulation, which encourage users to

consume energy during off-peak times and change consumption patterns. The challenge of

course is the ability to bring in this change and to manage the change in demand (and

therefore consumption patterns) in real time.

Is Energy Demand Management Impactful?

Several trial studies have proved that energy demand management can be successful and can

bring in significant energy savings.

Which consumption

pattern is more

desirable?

Consumption Patterns

90

―It has been studied in U.S. that with universal application, peak energy demand could be

lowered by at least 30,000 MW nationally, equivalent to perhaps as many as 250 peaking

plants that would not need to be built. Society could avoid the burning of 680 bcf of gas per

year and 31,000 tons of NOx emissions.‖ ―A study in 2002 showed that New York‘s

electricity market along with its grid operator and large electric utility companies has the

potential to reduce demand for electricity by at least 1300 megawatts (MW) through Demand

Side Management techniques, which is enough to supply power to 1.3 million homes.‖

―Similarly the Internal Energy Efficiency Program of Ontario Power Generation (OPG) in

Canada since 1994 has helped to save 2,131 GWh of energy every year, 2.4 million metric

tonnes of emission savings for CO2, NOx and SO2 and a saving of US$85.2 million every

year (Energydemandmanagement.com).‖

How can this be achieved?

This can be achieved by a four step process as shown in the figure below:

We will detail each of the four steps below:

A. Enabling Smart Grid Technologies

Smart Grid Technologies is technologically enabling the entire grid. This is done through

internet and real time monitoring. Energy appliances are able to communicate with the grid

and real time monitor usage and get pricing information. Operators are also able to real time

monitor usage patterns, have control over user appliances.

Enable Smart Grid

Technologies

Real Time Pricing Incentivize consumers for changing

consumption patterns

Enable Technologies for

changing consumptions Energy Management Control Systems,

Automated Demand Response

Ease and Access of monitoring and

controlling consumption patterns

Consultancy Services Guarantee users savings for allowing

control over their consumption

91

Smart Grid technologies are becoming a reality and systems are already coming in place.

Grid2020, an energy management, control and communications solutions company owned by

International Broadband Electric Communications Inc has systems in place. It offers

solutions to manage demand of various energy appliances to its customers (Grid2020 Energy

Management).

Grid2020 is a virtual power plant, where energy consumption of appliances in various homes

can be monitored real time wirelessly and through web interfaces. Both end consumers and

operators can monitor energy consumption patterns and can easily influence and change them

through technologies. In a smart grid, ―the devices that consume power are aware of the

parameters that go into the generation and delivery of power and work in concert with the

grid to maintain reliability and manage cost. For example, smart grid appliances will be able

to tell if the grid is becoming unstable because there is too much load on it and turn

themselves off or down to help relieve some of the load.‖ It helps users to reduce

consumption based on pricing information. The company claims "Consumers can literally

use the Internet, their iPhone, or any mobile web-enabled device to control their thermostat

and manage their energy usage to save money while improving the quality of life for

themselves and their families. Consumers in BPL areas simply plug into electrical outlets to

get Internet connection (SmartMeters).‖

B. Real Time Pricing

Real time pricing is necessary ingredient to change consumption patterns. Pricing changes

hour by hour based on the load on the grid. Operator has simple web-based access to change

pricing based on load. There also exist technologies to automate this dynamic pricing. Pricing

is done with the objective to change consumption patterns – when the load is high, prices go

up real time forcing users to decrease consumption and when the load is low, discounts are

offered incentivizing users to increase consumption.

C.1 Technologies for automated responses

In the era of smart grids and real time pricing, it is difficult for human beings to continuously

monitor consumption patterns of various appliances and change consumption patterns. Even

if it is done, it would not be optimal. Thus technologies play a vital role in creating the value

in allowing automated responses to consumption based on load patterns and pricing

information so as to bring out the most efficient consumption pattern that saves money for the

92

end user and decreases overall energy consumption also. There are two common themes of

technologies on this subject:

1) Automated Demand Response: Here energy consumption automatically shifts real

time to a less expensive time period or to a natural resource substitute

2) Energy Management Control Systems: These equipment enabled systems switch

systems on/off to reduce consumption at peak times and increase during off-peak

times. They also allow the operator to have direct off-site control over the equipment

C.2 Technologies for greater user ease and access

For users, technologies that allow them greater ease and access to monitor and control

consumptions would add the greatest value when it comes to controlling consumption. They

would know where to focus on and where not to through these tools. Technologies have come

in place that allow monitoring and control of energy appliances and their usage through

simple web-based access, i-phones, mobile web-enable device. Users can see pricing

information, check various price options real time and see savings they will achieve. Users

can also select automated demand response to allow operator control of their appliances real

time. Google PowerMeter, Wattvision allows users to view real time consumptions on web or

iPhones (Wattvision).

D. Consultancy Services

Customers (especially industrial) can outsource energy management to a specialist provider.

Specialist provider can be the grid operator or an independent party. Specialist provider will

have access to client‘s energy appliances and can control their usage to achieve maximum

savings. Billing of provider will be linked to savings achieved

Benefits of Energy Demand Management

To sum up, here are the benefits from an energy demand management solution

1. Savings for customers and operator

2. Reducing capital intensive deployments

93

3. Energy saving

4. Lower total installed capacity

5. Peak hour usage is very inefficient

6. Will promote clean energy sources and options will be available for customer to real time

shift to clean energy options

7. Stimulates economic development – as smart grids requires technological advancement

Daylight Savings

The concept

Daylight savings is the practice of advancing clocks during the summer months resulting in

more daylight in the afternoon and evening and lesser in the day. Given longer days in the

summer, this ensures most of the normal activities get over while it is still bright and hence

lesser amount of energy needs to be consumed.

Daylight savings is a well-established method used by countries to conserve energy. Started

by Benjamin Franklin during the World War era, the system has now been adopted by a

number of countries in the west. Recently, Samoa and Pakistan have also dabbled with the

concept.

However, the effectiveness and the net contribution of a DST system has been the centre of

many debates. Multiple studies conducted on the same have essentially borne the fact that the

net result of DST is positive from the reduced consumption of energy. The net benefit to the

society at large is considered less due to increased number of accidents and also partial

increase in electricity consumption at homes in the daytime.

Benefits and Losses

The potential saving of energy is expected to occur because the delaying of sunset ensures

most activities – residential, commercial or leisure-related are completed in daylight, thus

reducing the electricity needed. However, electricity consumption is greatly affected by the

geography, climatic conditions as well as the economic landscape of a region; hence the

effect of DST would be subjected to these factors as well.

A number of studies have been carried out to determine the effect of DST on energy

consumption and there has been no conclusive evidence. However, most reports do hint at

mild savings from this exercise. Quoted in the box on the next page are a few of these.

94

A number of issues have also been raised in relation to DST implementation. Some of these

are -

Effect on public safety – Delay of sunset has been shown to reduce the number of

accidents in some studies. However, there are cases of increased incidences of

accidents on the transition days. The latter could be attributed to the lesser sleeping

time as clocks are advanced.

Effect on human health – Again there are differences in opinions on the effect on

human health on an aggregate level. Clock shifts leading to minor disruptions do have

an adverse impact on health on some people, particularly patients. At the same time,

more daylight means greater number of hours available for outdoor activities, hence

better for one‘s health.

SOURCE: http://en.wikipedia.org/wiki/Daylight_saving_time

The U.S. Department of Transportation (DOT) concluded in 1975 that DST might reduce the country's electricity usage by

1% during March and April, but the National Bureau of Standards (NBS) reviewed the DOT study in 1976 and found no

significant savings.

In 2000 when parts of Australia began DST in late winter, overall electricity consumption did not decrease, but the

morning peak load and prices increased.

In Western Australia during summer 2006–07, DST increased electricity consumption during hotter days and decreased it

during cooler days, with consumption rising 0.6% overall.

Although a 2007 study estimated that introducing DST to Japan would reduce household lighting energy consumption, a

2007 simulation estimated that DST would increase overall energy use in Osaka residences by 0.13%, with a 0.02%

decrease due to less lighting more than outweighed by a 0.15% increase due to extra cooling; neither study examined

non-residential energy use. DST's effect on lighting energy use is noticeable mainly in residences.

A 2007 study found that the earlier start to DST that year had little or no effect on electricity consumption in California.

A 2007 study estimated that winter daylight saving would prevent a 2% increase in average daily electricity consumption

in Great Britain. This paper was revised in October 2009.

A 2008 study examined billing data in Indiana before and after it adopted DST in 2006, and concluded that DST increased

overall residential electricity consumption by 1% to 4%, due mostly to extra afternoon cooling and extra morning

heating; the main increases came in the fall. The overall annual cost of DST to Indiana households was estimated to be $9

million, with an additional $1.7–5.5 million for social costs due to increased pollution.

The U.S. Dept. of Energy (DOE) concluded in a 2008 report that the 2007 U.S. extension of DST saved 0.5% of electricity

usage during the extended period. This report analyzed only the extension, not the full eight months of daylight saving,

and did not examine the use of heating fuels.

http://en.wikipedia.org/wiki/United_States_Department_of_Transportation

http://en.wikipedia.org/wiki/National_Bureau_of_Standards

http://en.wikipedia.org/wiki/Time_in_Australia

http://en.wikipedia.org/wiki/Western_Australia

http://en.wikipedia.org/wiki/Osaka

http://en.wikipedia.org/wiki/Great_Britain

http://en.wikipedia.org/wiki/United_States_Department_of_Energy

95

USING DAYLIGHT SAVING

There are essentially 2 ways in which India could take advantage of daylight savings.

1. Dividing the country into 2 time zones, thus allowing for the times in the 2 zones to

follow more closely the local time.

2. Using DST by shifting clock during some months in the year to take advantage of

longer days in the summer.

A careful study of the 2 options clearly point to the superiority of the second one on the

following counts -

India has an east-west expanse which is significantly less compared to

countries that have multiple time zones. The USA uses 9 time zones for

example. The local time gap between the east and west is about 2 hours, which

means that India can accommodate at most 2 time zones. Also, it is important

to note that the shape of the country is such that most of the major centres of

human population lie much closer to the central longitude. Hence the effective

expanse is actually lower. Thus, our geography does not support the need for 2

time zones.

Implementing 2 time zones is a more complicated issue compared to having

DST clock shifts, as the former involves constant administrative intervention.

For the latter, only the transition days are critical.

The debate on having multiple timezones has been taking place in the government as well.

The Government of India set up a 4-member committee in 2001 under the Ministry of

Science and Technology to study multiple time zones and daylight saving. The committee

recommended against changes to the current unified system, stating that the prime meridian

was chosen with reference to a central station, and that the expanse of the Indian State was

not large. (http://dst.gov.in/admin_finance/un-sq1007.htm)

Therefore, we recommend DST temporary clock shifts over having multiple timezones.

DST TRANSITIONS – CLOCK SHIFTS

The table below explains the changes on the clock that needs to be affected during the

transition days of DST implementation.

http://en.wikipedia.org/wiki/Department_of_Science_%26_Technology_%28India%29



http://dst.gov.in/admin_finance/un-sq1007.htm

96

Source: http://www.timeanddate.com/time/dst/transition.html

The description above clearly shows the implementation issues faced during the transition

dates arising out of non-standard number of hours.

IMPLEMENTATION OF DST

Legislation

We looked at the US Energy Policy, 2005 to understand how the outline of a policy

document needed for implementation of DST. Following points need to addressed in the

same -

Specify the days / dates for start and end of DST (eg. DST from 2nd

Sunday of Nov. to

2nd

Sunday of April)

Option to revert + Review period

Specify responsibility for implementation, need for a holiday

A comprehensive policy is essential to show a clear intention on the part of the government to

go ahead with the policy and hence incentivise private players, MNCs and other parties to

take concrete steps towards implementation of the same.

Public machinery to implement

National Physical Laboratory to coordinate

All government departments to support implementation within their jurisdictions

Local administration to coordinate at local level

http://www.timeanddate.com/time/dst/transition.html

97

Post offices and organizations with wide reach to be roped in

Support from private players

Corporate houses and offices to drive implementation

Educational institutions and trade bodies to drive as well

Computer software to be modified

Mobile phone operators, local newspapers and television channels can play a critical

role

Public support and awareness critical

Public education on the concept through extensive advertisements

Public awareness on the start and end day of DST critical

Public holiday, at least on the start day of DST to help people get accustomed

Incremental Improvements to Current Energy Efficiency Policy Framework

A latest lecture by Dr. Ajay Mathur at Berkeley in March, 2010, gives a comprehensive

overview of energy efficiency initiatives undertaken by the central agency, Bureau of Energy

Efficiency (BEE), in India (Mathur, 2010). BEE was founded in 2002 as a statutory body

authorized by Ministry of Power under the Energy Conservation Act passed in 2001.

In the first initiative, BEE developed and executed a labelling program for household

appliances such as refrigerators, bulbs, air conditioners, fluorescent tube lights, among others.

Energy efficient appliances have a higher upfront cost than normal appliances, thus deterring

the end consumer from purchasing the former products. To introduce labelling of appliances,

BEE invited voluntary participation from companies to label the KwH consumption of their

products. Simultaneously, BEE carried out a big marketing and education campaign to

educate consumers about the energy as well as monetary savings by using efficient

appliances. Many companies used this opportunity to start an efficient, labelled line of

products on a pilot basis, and discovered that consumers were willing to pay more for

efficient products. That‘s when BEE made labelling mandatory without backlash from

companies because the latter knew that they could pass on the additional costs to consumers.

Currently, BEE is providing subsidy funding to companies who are aggressively selling CFL

bulbs at prices of incandescent bulbs. BEE is aggregating all the small energy efficiencies

98

from replacement of so many incandescent bulbs to CFLs and obtaining carbon credits in

return for these total savings. Selling these carbon credits will finance the fund that the

government uses to subsidize the companies selling CFLs. This is the largest Clean

Development Mechanism (CDM) project in world that aims to replace 300-400 million

incandescent bulbs in India. Such an innovative arrangement has the potential to

exponentially increase penetration in efficient appliances market. Private manufacturers

themselves have the scope to facilitate such large projects and add another revenue stream in

the process.

The second successful initiative was to facilitate efficient energy consumption by large

industries and medium and small enterprises. BEE accurately understood that industries face

many financial, technical, and transactions risks associated with the adoption of new energy

efficient technologies. Thus, they adopted the international model of promoting Energy

Service Companies (ESCOs) who would take all performance and business risks of reducing

energy consumption for their industry clients and get paid only based on the amount of

savings they generate for these companies. Often, ESCOs also finance the energy efficient

technologies and services they provide either through their own funds or a loan, and hence

take the financial risks too. On the regulatory side, Government of India has declared the

National Mission on Enhanced Energy Efficiency (NMEEE).

Under this mission, Perform, Achieve, and Trade (PAT) is a key regulation in which the

government has identified 685 energy-intensive companies as designated units in specific

sectors (Ellis). The law mandates more polluting companies to reduce energy consumption by

a larger amount than the less polluting company. The law also monitors whether these

companies are compliant, penalizes those that are not, and awards certificates to those who

have reduced their consumption by more than what they were mandated to do. These latter

companies can sell their certificates to those who have not been able to reduce their

consumption to the mandated level. Earlier, the penalties were not very high and hence

companies would pay the fine to the government rather than buy certificates to meet energy

consumption standards. Soon, the government will pass the bill to increase the penalty to

become a multiple of oil price. This way, a penalty will hit company bottom line hard and

persuade them to offset higher energy consumption.

Once the bill passes, the market for energy efficiency certificates will take off in a big way

and companies will have enough monetary incentives. Thus, the demand for ESCO services

will increase tremendously. Based on international experiences, it is suggested that ESCOs

have the potential to both result in huge energy savings as well as financial returns in India.

99

However, ESCO need easier access to financing from banks and investors to carry out these

energy efficiency projects. Apart from large ESCOs that are in reality vendor institutions that

sell energy efficiency technology and equipment, small and medium sized ESCOs that

provide holistic energy management services have trouble convincing banks that they have

the technical capability to undertake these energy efficiency projects and earn a regular

stream of revenue to repay the debt. Neither do they have collateral to offer against a debt.

In such a scenario, Central Government is again making policy moves in the financial sector

through the Energy Efficiency Financing Platform (EEFP). The EEFP has begun including

financial institutions, public, and private sector banks that makes financing available

specifically for energy efficiency projects. For example, in March 2010, BEE and HSBC

entered into an agreement where the latter will provide instruments like bankable Detailed

Project Reports (DPRs) and other risk mitigation measures to increase assurance for other

lenders to lend to credible energy efficiency projects. The BEE has also signed memorandum

with other banks such as SIDBI and PTC India. The EEFP fund will support pilot energy

efficiency projects in different sectors and serve as a catalyst to attract more private

investment into this sector. Overall, the sector has an investment potential of Rs 74,000

croreInvalid source specified.. BEE is also facilitating rating of ESCOs and establishing

standard monitoring and verification protocols for measuring the energy saved by various

efficiency projects. All of these initiatives are increasing the probability that ESCOs actually

produce the potential energy savings and thus reducing the risk of non-performance that they

face. As an incremental improvement to all of these policy initiatives, equity investors, banks,

and other financial institutions could also use credit guarantee funds to support ESCOs in

generating energy efficiency in small and medium-sized businesses.

BEE could now focus its efforts on establishing a strong national association of the various

small and medium ESCOs in order to aggregate the lessons learned as well as together

overcome the challenges faced by the companies. A common platform will enable the

suppliers of energy efficiency processes to lobby for their needs with the government as well

as become an agency in addition to BEE that is accelerating the conversion of other industries

becoming as energy efficient as possibleInvalid source specified.. The paper and pulp

industry and the steel industry in India have still a long way to go in terms of becoming

energy efficientInvalid source specified.. ESCO associations could facilitate workshops and

training of various ESCOs to develop an expertise on these industries to ensure high

concentrated impact.

100

Industry is naturally moving toward captive power plants as it is increasingly able to produce

power at a rate cheaper by 25 to 80%. But most of these captive power plants always are able

to generate excess energy that can be sold back to the state or national electricity gridInvalid

source specified.. The ESCOs could also focus on developing their own capabilities so that

they can accelerate the process of helping companies connect to the state electricity

gridInvalid source specified.. In this way, these associations can constantly look for new

opportunities where ESCOs can develop capabilities and expand its business and financial

strength. Strong financial and business position of ESCOs will keep the progress of energy

efficiency on track.

Promoting Green Building

Definition

A green building is a resources efficient building. It means its energy and water consumption

is lower than other buildings, it provides a better occupant health protection and it reduces

pollution and waste. The word sustainable building is also sometimes used to speak about

green building.

The Indian Green Building Council definition is the following: ―A green building is one

which uses less water, optimises energy efficiency, conserves natural resources, generates

less waste and provides healthier spaces for occupants, as compared to a conventional

building.”6

Green building precise definition is different from a country to another. There more than 20

green buildings norms including the Indian one. The purpose of this study isn‘t to compare

guidelines or to improve existing norms. It is to find concrete ways of promoting green

building.

A critical issue

Promoting green building is a burning issue. Building represents above a third of carbon

emission. Present figures are hard to find, but in 2001 residential and commercial buildings

accounted for 21% and 11%, respectively, of global carbon dioxide emissions.7 Thus green

building could have a huge impact on a country emission. In India, construction represents

above 10% of the GDP. It means building are built everywhere in the country. If green

buildings are not promoted soon, these building will impact Indian emission for more than

6 Indian Green building Council’s website : http://www.igbc.in/site/igbc/index.jsp

7 IPCC Third Assessment Report - Climate Change 2001 : http://www.grida.no/publications/other/ipcc_tar/

101

the 10 next years. Green building sector is already growing but this growth is probably not

high enough to prevent India to have a huge carbon and energy issue in ten years. The

purpose of a green building promotion right now is to reduce this issue for the future.

The paradox of the Indian situation

India is one of the few developing countries which have a green building guideline8. There is

also a government council (Indian Green Building Council). Thus the main infrastructures of

the green building market are already built. Because green building is also a way of earning

more money for all the actors of the construction market (see ―a short-term/long-term trade-

off‖), a natural rise of the number of green building should occur. The fact is that this rise

does exist but is really slow. This is a chart of the number of green building projects in India

for the eight last years:

9

There is a growth in the number of green building but the figures are still not significant

compared to the number of building built in India every year. The part ―Why isn‘t green

building sector growing fast enough by itself?‖ will focus on the main reasons of this lack of

green building projects.

A short-term/long-term trade-off

8 In fact, there are three guidelines in India: LEED®-New Construction, GRIHA® and LEED-INDIA®. But the point

here is that guidelines do exist. 9 2010 data are only until September

1 2 10 17 40

80

322

465

550

0 1 2 5 10 1530

63 77

0

100

200

300

400

500

600

2002 2003 2004 2005 2006 2007 2008 2009 2010

Registered

Certified

102

Green buildings are profitable on a long-term prospective for all the actors of the market. But

on a short-term prospective, they are costly for everybody. Here is a small summary of the

consequences for all the actors involved:

Investors: a green building is more costly to build than a traditional one. But the ROI,

which should be the main indicator for investors, is usually higher. A study in India

showed that green building average return on investment is 6.6% higher than non-

green buildings, because the building operating costs are 8-9% lower and the average

final value of the building is 7.5% higher.

Renter: the rent is usually a bit higher (the average is 3% higher) but the energetic bill

is smaller and the health protection is better. The fact that average occupancy is 3.5%

higher show that renters are looking for these kinds of buildings.

Indian government: if there is a tax credit, it can cost a lot on a short-term prospective.

Reinforcing the Indian Green Building Council to spread useful information is also

expensive. But on a long-term prospective, it will reduce oil and coal importations

and Indian trade balance will be better. Avoiding energetic investments can also be

less costly than providing a tax credit. Of course, less pollution, less carbon emission

and water consumption will also improve public wealth.

Construction companies: on a short-term prospective, construction companies will

have to train and adapt themselves to green building. But on a long-term prospective

it will create new jobs and open a new market to construction companies.

Studies showed that overall financial benefits represent usually ten times the additional cost

associated with building green in the US10

. Even if the net present value is different from a

country to another, it shows that the long-term benefits are high.

Why isn‟t green building sector growing fast enough by itself?

Of course, green building is already growing by itself. But this growth is slow compared to

the number of building built in India (see ―the paradox of the Indian situation‖). This can be

explained because of three main reasons:

10

Green Building Costs and Financial Benefits, Gregory H. Kats http://tateasp.net/pdf/greenbuildingsummary.pdf

103

- People often look at a short-term prospective and not a long-term one. The only way

of acting against with problem is through communication. Most actors of the

construction market don‘t know green building can help them earning money.

- There is a lack of information. Even if some people want to build green building, they

probably don‘t know how to do that. Information about green building is hard to find.

Certification is costly and not easy. Indian Green Building Council should be

reinforced to provide better information. Information should also be one of its main

missions.

- There is a change to do and no incentive to change. Every change is harder to do than

just going on the same as before. Green building is harder to build than usual one and

people don‘t see the point of building them. A tax credit would bring a concrete and

easy to understand incentive.

These are the results of a survey of people who have already been involved in the green

building field in India (architect, researcher, government official, consultant, etc.)11

. It shows

the main incentives proposed by people who are really able to help India to develop green

buildings:

11

Adoption of Green Building guidelines in developing countries based on U.S. and India experiences, Varun Potbhare, Matt Syal, and Sinem Korkmaz

104

So the two main incentives would be to have proper information available for every actor of

the market and an incentive like a tax credit. That is why our recommendations are to do so.

It is also interesting to see the main barriers to build green building:

105

The lack of present incentive is also very clear. The information problem is also showed by

this survey.

Implementation of the government green building promotion

We propose three main decisions to promote green building in India:

- Reinforcing Indian Green Building Council and give it a main mission if information

to the market. Because green building is an opportunity for every actor in the market,

informing is the key point to promote green building.

- Creating a tax credit to incent people to change their habits. It will also show that the

government cares about green building and will put more consulting firms in the

market.

- Public buildings have to set an example. It will show that green building is the most

rational choice on a long-term prospective.

106

Conclusion

In this report, we have proposed solutions in four areas that range a vast spectrum. On one

hand, we are proposing disruptive technological innovations such as smart-grid technologies

in conjunction with real-time electricity pricing and data tracking technologies that enable

change in consumption patterns. On the other hand, we have recommended holistic policy

recommendations in areas of daylight savings, synergies between energy savings companies,

and green buildings.

In doing so, we have outlined both benefits of the proposed recommendations as well as the

challenges in implementation. We have also reviewed the existing energy efficiency policies

and interventions of the government. They are on the right track and are making excellent

progress in terms of energy efficiency for the country. Some of our ideas take these existing

policies just a few steps further and hence can be quickly implemented. Other ideas open

entirely new possibilities of managing energy demand in India.

107

Sr. No. 5, 22, 30, 64 & 91

Evolution of Corruption Free India

Submitted to

Prof. A.P.J. Abdul Kalam

Prof. Anil Gupta


Globalising and Resurgent India through Innovative Transformation

(GRIIT)

By

Anand Ganesan

Ankit Goel

Ritesh Agarwal

Rohit Jayant Kelkar

Stephane Bolelli

Vikanshu Bhargava

On

November 20th, 2010

Indian Institute of Management

Ahmedabad

108

Introduction

100 INR to escape from traffic police? 2mn INR for admission to a medical college? 100mn

INR for getting a Government tender cleared? Yes, we are talking about corruption.

Corruption needs no introduction and has spread its tentacles everywhere. But for academic

purpose we can define it as giving or taking money or some favor in return of getting some

work / benefit illegally. The level of corruption varies with departments and social

background, but it seems to have touched every corner.

Defining the Problem

Before we attack the problem, we should know the source of the problem. To really

understand the problem and quantify, we intend to measure corruption in three dimensions

1. System: This dimension measures the tolerance / responsibility of the system for

corruption. How much the system itself is tolerant to corruption (or inefficient in

controlling corruption)? System here refers to inorganic aspects in this context such as

law, governance, organization structure,etc. Has corruption become a culture of the

system or is it limited to a few people?

2. Exploiter: We have combined the ―Recipient‖ and ―Beneficiary‖ to form what we call

―Exploiter‖. Whether you are taking or giving bribe, you are exploiting the system to

get benefits that you are not entitled to.

3. Exploited: This is the dimension that includes everybody who gets affected by

corruption – the person who is losing due to other person doing corruption, the

society, the environment, the legislature that has loopholes, and everything else that

gets affected.

Each of the three dimensions form the three axes and the volume of the shape gives the level

of corruption [Exhibit 1]. If we can reduce any one dimension to 0, there won‘t be any

corruption. But, the effort to reduce any one dimension is exponential. Therefore, instead of

reducing one of them, it will be a much better approach to attack all three dimensions so that

the overall volume reduces.

Methodology

After defining the model used for corruption index, we did some research and found that

different offices work differently, even though there might be certain similarities. Though we

can develop a model using the similarities, but it is very difficult to find one-model-fits-all.

Therefore, we moved our direction towards refining our quantification exercise.

Now instead of finding a solution, we intend to refine our quantification to be able to measure

level of corruption in any department. Each of our three dimensions can be identified with

109

some attributes, and if these attributes are carefully chosen, we can, to some subjectivity,

assign a number from 1 to 10, to quantify the level of that attribute contributing to corruption.

The attributes were obtained through some primary research and brain-storming. We tried to

make the attributes as universal as possible so that the same set of corruption index could be

applied to any department. Initially, we have assigned all attributes in a dimension equal

weight, and based on public perception, we have assigned values. Using the values and

weight, we get a value for each dimension. Using these values, we arrive at a corruption

index which measures the level of corruption.

Issues: One problem with the model is that there will always be some subjectivity to the

values. But, by defining sufficient number of exclusive attributes, we can reduce the

subjectivity to a great extent.

Uses of Corruption Index:

- It can be used to measure the current level of corruption in various departments

- We can measure the expected impact of any solution by looking at what all

dimensions it is going to impact and taking an optimistic result, we can measure the

maximum possible change

- We can measure the impact that any new solution has made

- We can measure the effectiveness of officials by looking at the index before they

came, and how it improved in their tenure

Looking For Solutions

The first thought that comes is to enforce the anti-corruption laws more strictly and improve

the law to become more effective. But policing alone cannot be the solution. Therefore, we

think of the second way as Education. Education itself is not flawless. If the system is

corrupt, nothing will help. So, the third thing to do is to improve the system.

Therefore, we arrive at the following three dimensions to attack the problem

1. Stricter Policing / Regulation: This will involve study of the current laws, the

current regulations and what is already planned. We can build on top of that.

2. Education: This involves making people aware of the consequences of giving

bribe. We can also talk about Social Stigma here. If others come to know that you

are corrupt, what are the repercussions one has to face. The idea of repainting the

corrupt person‘s house with some other color is one such idea that falls in this

dimension.

3. Improvement in the system: This involves working at the system level. Here we

need to look at what kind of measures can we take to reduce corruption in the

110

system as a whole. If everyone around me takes bribe, I will also do that. But, if

nobody does, I will feel guilty taking bribe.

The first two attack the dimensions ―Exploiter‖ and ―Exploited‖. The third one attacks

―System‖. Therefore this three-pronged approach can give us handles to all the three

dimensions [Exhibit 2]

Evaluation Criteria

To evaluate the possible solutions we will use the following criteria:

1. Ease of Implementation – How easy or difficult it is to implement the idea and what

resources are required.

2. Speed of Work – How fast will it spread and give positive results?

3. Extent of Impact – How many people, how big a department, etc.

4. Scalability – Can the model be scaled up to cover the entire department across the

country or is it specific to a region / office?

5. Replicability – Is the model replicable across organizations and diversities?

The attributes which we have identified to measure corruption on each of the axes is as

follows:

111

Attributes assigned

weightage

1Extent of use of electronic medium/ automation (to

be expressed as percentage of work done online or

through electronic medium)

10%

2

Number of human touch points to get the work done

10%

3

Number of checkpoints in completing the work right

from submitting the application to getting the final

deliverable.

10%

4Strength of Anti-Corruption / vigilance Teams

10%

5

Number of Corruption allegations filed each year

10%

6Complications of the application procedure/ form

filling and documentation10%

7

Average time period in which the work is done

10%

8Number of middlemen/ dalals / alternate ways

working to get the work done10%

9Number of applications rejected once, twice, thrice

and so on10%

10

Need vs. demand: No. of applications received to

number of staff (keeping in mind the time required

to process on application)

10%

Total System Score

System

characteristics

112

1

Utility/ Required speed of deliverable/ Service to the

applicant (to be measured as “absolutely must”,

“required”, “optional”)

10%

2Number of available modes of grievance Addressal

10%

3Compensation levels as compared to the private

sector (has the gap reduced, of course the gap 10%

4Performance evaluation parameters (then and now)

10%

5Ethical testing of candidate before appointment

10%

6Effectiveness of Internal Vigilance Officer and Chief

of the department10%

7 Number of deliverables obtained by

middlemen/Dalals and those by individuals directly

10%

8Extent of reach and relationship with the people in

the ministry and top administration10%

9Level of Risk/ Level of seriousness of consequences if

caught taking bribe.10%

10Financial levels of the applicant/ service seeker

10%

Total Exploiter Score

Exploiter

variables

113

1Knowledge / Awareness of law / rights against

exploiters / (anti-corruption laws)10%

2Socio-economic level of the exploited

10%

3Awareness of alternatives

10%

4

Availability of guidance and perfect checklist to

know the exact requirement and procedures to get

the work done

10%

5Opportunity cost / Loss incurred of the work not

being done10%

6 Self-motivation to get the exploiters punished /

Tolerance level

10%

7 Access to legal remedy / grievance addressal / RTI,

etc.

10%

8Awareness regarding the corruption actually taking

place10%

9Financial Flexibility / Economic status of exploited as

compared to exploiter10%

10Alternate means to get their job done (Demand-

Supply gap)10%

Total Exploited Score

Exploited

Variables

114

An illustration in a licensing department where corruption index model has been used

1 7The electronic medium has a very limited use in this government office. All the documents have to sent by post

and only the application trekking can be done online.

2 8

There are multiple human touch-points, from the person who receives the documents to the one who makes

entry in the computer to the one who checks it, then the one who approves it and finally the person who signs

the license all take bribes according to thier positions. Even the person who will courier the license back needs

Rs. 500 to do so.

3 7 Extremely large number of checkpoints exists in this process. Though the government office is not responsible for

it as the process of licensing requires thorough assurance that the installations are proper.

4 6The CVO is seen to be active but still rampant corruption reflects inefficiency or may be internal collusion

5 3

Very few allegations are filed each year, as people are interested in getting their work done and do not want to

ruin ties with the officials as the process requires renewal of license every two years and hence they have to

maintain good relations

6 6The process is compicated because the grant of license requies thorough safety audits. But the process is

reflected to be more complicated than it is so as to make corruption possible

7 9

This is the worse factor. Average period to get the work done according to some people is more than 2-3 months.

A person in emergency would have to take huge losses to stop functioning for 2-3 months and hence is ready to

pay whatever amount is demanded

8 6Some middlemen and consultants are available who get things done faster by charging their own consultancy

fees

9 7Multiple application are rejected multiple times on pretext of not being as per the norms. Some or the other

pretext is given and the application is rejected uptill the seeker offers bribe.

10 7Every small or large industry requires this license and hence there is huge demand whereas only this department

with 4 offices in India are appointed to meet this demand.

6.6 Result is a poor rating of 6.6 for the department

System

characteristics

Score Comments on assigning the score

115

1 9The high score is particularly due to the fact that no industry can function without a license from this department.

Hence since the

2 7The grievance addressal modes were very limited and there is no assurity of the grievance being addressed. This

increases the exploiter power considerably.

3 6The compensation of the central government employees has increased in the recent past but is still nowhere as

compared to the private and profit making sector

4 9There are hardly any compensation component linked to performance basis and there is no incentive for

performing better.

5 9There are no procedures in place to test the ethical standards of a particular employee before inducting him into

service.

6 6The vigilance officer were someone the department was careful about and this meant that there was some

strictness in vigilance.

7 7 Most of the cases were obtained not directly by the client but by other consultants and middlemen.

8 8As pointed out by one of the officials it is essential to bribe the higher authorities in order to retain one's post and

hence this hierarchy of bribery goes right up to the ministers.

9 6The chances of getting caught are low but if caught the consequences depends on how well are you connected.

Some escape unscathed while others are suspended and punished.

10 6The people seeking licenses are industrialists and are very sound financially. This is a fact that the officers in the

department too are aware of and hence this increses their tendency to demand bribe

7.3On an average the power of the bribe taker or exploiter is very high in this department and hence a very poor

score.

Exploiter

variables


116

Remarks: The score that

we see above is the

product of the three

1 7People were aware of their rights of anti-corruption but were more interested in getting there work done either

by giving money or otherwise.

2 7People are affluent and do not mind paying the money demanded as long as their work gets done on time, as the

opportunity cost of not having the license is way too high.

3 8There hardly exist any alternative as the only government agency that can grant this license is this department

and without it the license cannot be obtained.

4 9No proper guidelines and proper checklists are vailable from the department's side and this results in confusion

and multiple times rejection of the application.

5 9 Very high as without the license the whole production and the industry is stalled

6 8

People have high tolerance level due to the same opportunity cost being high. In such departments wher the

opportunity cost of not having the work done on time is high people are often ready to pay through their nose to

get the work done at the earliest.

7 7 Very laxed system of grievance addressal and more over the system is not accesed at all as maintaining a good

repo with the officials is essential as constant renewals are required of the license.

8 8People are aware that the corruption takes place in this department and that the file will not move until the

wheels of money are given to it.

9 7Higher financial flexibility of the explouted to exploiter and hence the exploiter does not really mind paying th

exploiter in order to get the work done.

10 9Very steep demand suply gap as there are only 4 offices across India and that too each catering to its own region

and the department is the nodal agency in granting licenses.

7.9 Overall very likely score of getting exploited for the exploited.

Exploited

Variables

Licensing Dept.

System

characteristics6.6

Exploiter

variables7.3

Exploited

Variables7.9

Corruption Index 380.622


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average scores of the 3 variables. This product would represent the volume under the pyramid

shown in the diagram above. This volume will represent the degree of corruption in this

department as compared to other departments. For comparison purposes let us compare the

score of this department to a department in France.

Corruption Model: French Case

Logo of the CAF department

Global view of the CAF department

The ―Caisse d‘Allocation Familliale‖ (―Family Allowances Fund‖), called CAF, is a

French organism depending of the ―Sécurité sociale‖ (―social security‖). It is its family

oriented branch. The CAF is in charge of monetary help to people for social reasons (poor

people) or family reasons (children / handicapped / students). There are 123 CAF in France,

with at least one CAF per department (a department is a French territorial subdivision).

The French Social security is well-known in France to have each year huge deficits.

However, if there are a lot of frauds, there is no corruption known.

The Corruption in France

France is not a corrupted country. It is not because the people are ―better‖ or ―clever‖.

It is just part of the culture. You don‘t negotiate most of the things there, and the system is

working pretty well (the administrative systems and the justice one at least). So the

corruption is not really common.

However, as you like to notice, Professor Gupta, the corruption still exists in France.

But it is not on the ―people level‖. It can exist in the high spheres of companies or at the

―country level‖. Your favorite example Professor Gupta is the airbus bribes to India. There

are others, a famous one in France is the corruption for the sale of French frigates to Taiwan.

We can also notice the bribes for the arms sales to Angola. But even if the amounts in stakes

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are huge, the people involved are very few. 99% of the French population is never

confronted to corruption in their daily life.

The process analyzed

The process analyzed is the one done by all the French students who don‘t live in their

parents place. If they have to rent a place, all of them without financial resource criteria can

ask for a financial help called APL (―Customized assistance to housing‖). This procedure is

pretty easy.

This is the procedure step by step:

1) Before renting an apartment, the student can do a simulation online of the amount of

the subvention

2) When the student rents an apartment, he signs a lease with the owner.

3) He fill online an APL demand, he print the form and fill the blank spaces remaining.

The owner and the student sign the form. (C.F. the annex )

4) He sends it to the CAF office with a photocopy of all the supporting documents and

the information about his bank account. He doesn‘t know who exactly will work on

his file.

5) The CAF team check the supporting document

6) He will get automatically the correct amount on his bank account each month

This process has some faults for frauds, but not a lot for corruption. We will explain why in

the next paragraph.

Corruption index analysis

Let explain the most remarkable grades in our corruption index:

Strength of Anti-Corruption / vigilance Teams: The grade is ―only‖ 3. Actually there are no

powerful teams doing this work, because there were no important cases of corruption during

the past ten years. These teams are really more developed against fraud. However, in case of

a surge of corruption, this team would take time to be trained and efficient. Consequently the

grade is not ―1‖.

Need vs. demand: No. of applications received to number of staff (keeping in mind the time

required to process on application): The grade is ―2‖ because there are a lot of applications

per worker, and the process time is a little bit long. Consequently people would be more up to

pay a bribe.

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Utility/ Required speed of deliverable/ Service to the applicant (to be measured as ―absolutely

must‖, ―required‖, ―optional‖): This financial subvention is an absolute necessity for many

student who are pretty poor. The cost of living in France is very high, and the rents are really

expensive in many cities. Consequently the grade is ―3‖.

Number of available modes of grievance Addressal: In case of problem, there is only one

mode of grievance available: go to the CAF office. But you will have to wait for a long time,

and it can be useless. Of course the French justice in pretty efficient, but for small cases like

this it can takes months to go there. That‘s why the grade is ―3‖.

Ethical testing of candidate before appointment: The selection is very easy, and there is very

few ethical checking before hiring an employee for the CAF.

Financial levels of the applicant/ service seeker: Most of the student have loans and have

financial difficulties. Consequently it increases the risk of corruption.

Socio-economic level of the exploited: Students are from all the socio-economic level. So

they are not preserved of corruption

Awareness of alternatives: Students are young people who don‘t know very well the French

system which can be really complicated. So their awareness of alternatives is not maximum.

Self-motivation to get the exploiters punished / Tolerance level: Students are probably less

motivated and more tolerant in case of corruption because they now less their rights and can

be afraid of all the steps necessary to get the exploited punished.

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System

characteristics1.4

Exploiter

variables1.9

Exploited

Variables1.7

Corruption Index 4.522

1 10% 1

2 10% 1

3 10% 1

4 10% 3

5 10% 1

6 10% 1

7 10% 1

8 10% 1

9 10% 2

10 10% 2

1.4

1 10% 3

2 10% 3

3 10% 2

4 10% 2

5 10% 2

6 10% 2

7 10% 1

8 10% 1

9 10% 1

10 10% 2

1.9

1 10% 1

2 10% 3

3 10% 3

4 10% 1

5 10% 1

6 10% 2

7 10% 2

8 10% 1

9 10% 2

10 10% 1

1.7

System

characteristics

Exploiter variables

Exploited

Variables

Remarks: This process is pretty efficient against corruption. The mechanism described is

enough to avoid major risk. As there are no corruption cases in this department, we can

consider that the corruption index grade obtained by this department can be considered

as a grade obtained by a not corrupted department in the future.

Because of the remote procedure, the risk of frauds is higher. This French department has to

choose between less contact between applicants and employees and consequently less

corruption but perhaps more fraud, or the opposite. Actually, the risk of fraud remains very

low, even if there are more contacts between employees and applicants. This kind of

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organization suits specially to minimize cost. It is cheaper in this way and it‘s why it is

organized like that! The cost of frauds is less than the cost of non remote procedure. The

employment is expensive in France!

If we compare this figure of volume between this French department and the Indian

department we see that there is a huge difference. This difference indicates the scope that the

Indian department has to improve. Further we would also like to comment that if the

department improves in the attributes that we have listed the chances and opportunities for

corruption would be less.

Hence we see that this index can be extremely useful in eradicating corruption in an effective

and focused way.

Exhibit 1: Model to Measure Corruption

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Exhibit 2: The 3-pronged approach to solving the problem

Education

Improvement of System

Enforcement of Laws

123

Sr. No. 6, 16, 17, 47, 50, 81, 101

“Evolution of Corruption-free India”

Suggestions for Traffic Policing System and Street Vending System

As a part of course

Globalizing Resurgent India through Innovative Technologies (GRIIT)

Instructor(s):

Prof. Anil Gupta

Dr. APJ Abdul Kalam

By

Ashok Kumar Bhardwaj (PGP-II)

Charlotte Axelsson (Exchange)

Dorohte Stahljans (Exchange)

Neha Dahiya (PGP-II)

Prashanth P. (PGP-II)

Swaroop (PGPX)

Vikrant T. Nanda (PGPX)

On

November 20, 2010

Indian Institute of Management, Ahmedabad

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Introduction

Corruption is widely understood as the misuse of entrusted power for private gain. In Indian

society, corruption is prevalent at various levels in different forms. Different perspectives

about it need to be considered to get a comprehensive understanding of issues related to it and

to devise solution for the same. Taking IIMA Admissions Office as a corruption-free

organization, Key takeaways from its structure and culture are studied as candidates for

application in other places. On the other hand, we study public corruption in two main areas –

Traffic police and Street vending. Both primary and secondary researches have been used to

get views of various stakeholders involved. To get better insights into the problems, similar

situations in other countries and in India at various places are studied.

Section 1 presents a detailed understanding of corruption, difference between giving gifts and

corruption, costs of corruption to society etc. Section 2 takes the insights from corruption free

Admissions office, IIM Ahmedabad. Section 3 makes recommendations for traffic police

system to reduce corruption, after presenting what has been happening in various parts of

world to tame the menace of corruption. Section 4 presents overview of national policy on

street vending, what have been the problems and finally the recommendations on changing

the national policy.

Understanding Corruption

Corruption is a social evil and everyone understands this idea, but the problem is that this

idea of corruption is different for everyone. Is giving money to a public official to quicken

the pace of your work a corrupt practice or corruption comes only to picture when someone

takes government contracts by bribing relevant authorities? Should we include in definition

of corruption parts of institutions where systems don‘t function and a normal person needs to

pay bribe for getting their work done. Although the word corruption has a wide variety of

meanings, the most widely used definition is given by organization ―Transparency

International‖ as the misuse of entrusted power for private gain. (Transparency International)

Public corruption involves misuse of public office for private gain while private corruption

will involve two private parties. For example: Mafia extorting money from local businesses

(Governance). In this report, we shall be taking cases of public corruption only (traffic police

and street vending).

Testing corruption

Following four factors can be used to determine whether an action comes under the category

of corruption (Governance).

Transparency – Do you mind your action being known to public?

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Accountability – Do you report your actions to others?

Reciprocity – Do you feel hurt if others don‘t reciprocate your act?

Generalization – Do you think it‘ll harm society if everyone start doing it?

Gift giving in many societies is not considered a part of corruption since the act is

transparent, everyone knows about it and the benefits go to the entire society.

Types of Corruption

Although bribery is most common form of corruption as understood by majority, there are

four major types of corruption (Governance).

Bribery – offer of money to get favors from govt. officials

Nepotism – favoritism shown by government officials towards their relatives and

friends

Fraud – cheating the government through deceit

Embezzlement – stealing government money or other property

Costs of Corruption

Corruption hits a society / nation at multiple levels. First, it reduces overall wealth available

in a nation. This reduces the money which is available with government to pay to good

workers and hence lower the production. High level of corruption has been found to have a

high degree of negative correlation with average income. For example: Average income is

about three times lower in highly corrupt countries than less corrupt countries, the difference

between Ukraine and the Czech Republic, Indonesia and South Korea, Nicaragua or Chad

and Namibia.

This results in loss of trust in government and even in different departments of government. It

leads to distortion in money allocation. Many services like schools, roads, sewage systems,

police forces etc. receive less focus than they would have otherwise received. Literacy rates

are lower, infant mortality rates are higher in highly corrupt countries.

Corruption is an age old phenomena, and several scholars have tried identifying sources of

corruption. While some argue selfishness and greed as its two main causes, it can‘t be

separated from economics. Institutional inequality (Inequality of wealth, low wages and

salaries) also result in corruption.

A corruption-free organization: IIMA Admissions Office

A corruption free organization as defined by the Transparency International (TI) is the

following ―Corruption is operationally defined as the abuse of entrusted power for private

gain. TI further differentiates between "according to rule" corruption and "against the rule"

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corruption. Facilitation payments, where a bribe is paid to receive preferential treatment for

something that the bribe receiver is required to do by law, constitute the former. The latter, on

the other hand, is a bribe paid to obtain services the bribe receiver is prohibited from

providing.‖ (Transparency International) In order to get an idea how IIMA admission can

pertain its good reputation of being a corruption free organization, we interviewed Prof.

Amitabh Ghosh, Chairman, Admissions Office, IIMA. We also got further information by

having informal conversations with other people involved. We looked at several aspects of

this organization about what are incentives, other related structures making the organization

corruption free.

Procedure followed in case of Corruption

At present, there are no documented examples of corruption. Moreover, there are no existing

rules or regulations on how to treat an incidence of corruption or how to prevent it from

happening. According to Professor Ghosh, the reason for the lack of regulations is that rules

are created ex-post of an event, as it is beneficial to have understanding the reasons and

causes behind the corruption before outlining the regulations. Since, there have been no

previous cases of corruption there are no rules against it. In addition, he does not believe that

loads of documentation helps to prevent corruption.

Prof. Ghosh reasoned that there are two ways for organizations to control actions - to give

instructions or to give forbiddances, and he prefers the first alternative. His reasoning behind

this is that there is always a gray area, and that people always want to push the rules.

Therefore, a lot of effort gets lost in trying to downplay the rules. Conversely, it is easier to

get an understanding of what is allowed to do by observation. However, one thing is certain;

corruption by staff members would always be reported to higher authorities and disciplinary

action would take place. Furthermore Professor Ghosh mentioned that he would make sure

that it is not just a rumor before notifying higher authorities.

The following part of section II discusses possible reasons for IIMA admissions office‟s

status as a corruption free organization.

Admissions procedure

The IIMA is a relatively transparent organization with a clear mechanism and selection

criteria for the admission process. This is seen as a way in which to prevent corruption. There

is never a compromise to admit somebody into IIMA on other bases than the official ones.

All applicants to the IIMA are required in the first selection stage to take the standardized test

CAT. There are no other quotas except for overseas students that may be selected through

GMAT. They then follow the same interview procedure as the other applicants.

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The identities of the applicants are kept hidden from the selection committee, so that they

cannot give any one applicant special consideration. Upon request of the selection committee,

the tests are now computerized. This simplifies the process, but could also be viewed as an

additional security system against corruption. Furthermore, there are system analysts that

secure that the admission system is functioning as intended. Therefore, any changes in the

system would be detected.

Prestige

Another possible reason why the IIMA is a corruption free organization could be the strong

prestige infusing the institution and its staff. In the view of Professor Gosh, because the IIMA

admission office is one of the most respected institutions in India, the staff works seriously to

preserve the good reputation of the institute.

People are chosen to work there because their strong integrity. Most of them have been

promoted from other positions at IIMA to work at the admission office. The people we talked

to had all started their career at IIMA and worked at the institute for several years before

joining the staff of the admission office. It was clear that they found great pride in their work,

and there was a great sense of continuity and experience in their work. Only the suspicion of

corruption could in many ways be fatal for the institute and the people working there.

Critique

Although, it is clear that IIMA admissions office is excellent at maintaining an image of

being completely corruption free, there are a few weaknesses from our point of view that

could be improved, as well as some risks.

There are no explicit rules or guidelines to handle corruption. Even though, in theory,

corruption would be detected due to control points (system agents), the staff members could

in a sense be closing their eyes when it comes to corruption. Professor Ghosh argued

repeatedly that there would never be corruption at the office, because there is no reason for it.

However, the question is how well it is possible to know your staff and their characters.

Although, the people surely have high integrity, it is not completely impossible that one of

them would decide on taking a bribe at any moment in time. This does not necessarily mean

that they should make changes in policies, but the attitude may need some adjustment.

Also, because of the high reputation of the admissions process, in the rare incidence of

corruption, the institute may decide to keep quiet and not take action. Consequently, there

is a risk that a culture of hidden corruption could develop, because there will not be any

consequences.

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Traffic Police System

The very nature of various activities involved in maintenance of traffic in a place possesses

opportunities for corruption to thrive. This section focuses on corruption prevalent among

officials who oversee regulations related to transportation and safety norms who involve in

rent seeking activities in the form of bribes instead of legal procedures for penalizing the

offenders. Specifically, the cases in which drivers pay bribes to traffic policemen after

committing offences to get away are taken. We look at various issues involved ranging from

understanding the problem, what has been done in various parts of world to tackle the menace

of corruption, and finally, we make suitable recommendations.

Problems in study of corruption in Traffic Police

No official records: No accurate measurement / assessment of extent and structure of

corruption is generally available with the authorities, and there is no official data

about the actual corruption prevalent in the system. Only the reported cases can be

used as a proxy for overall assessment. In the absence of reliable data, no estimate of

success of any program can be asserted with certainty.

Reluctance of officials: Police officials are reluctant to talk about corruption as they

are part of the same system and be working as actors in the whole act of corruption.

So, police officers will not have any incentive to expose the acts of corruption.

Reluctance of citizens: The citizens who pay bribe to get away with breaking of

traffic laws will also not be inclined to report about the incidents. The citizen would

have made a rational choice wherein the bribe paid in the said case would have been

lesser than the actual fine he / she would have required to pay (or the fine that the

offender assumed he / she will have to pay).

Incentive structure: The incentive structure of the actors involved does not

encourage them to report any incidents of corruption. Involved people are all partners

and have no motives to change the status-quo. The economical interests of drivers lie

in maintenance of the present system in which they pay bribe lesser than the actual

fines they are liable to pay.

Monitoring Issues: Monitoring of the actual transactions taking place in the system is

difficult to be done completely as the transactions happen at distributed locations (on

the roads at the place of offences in general) and none of the persons at the location

have incentives to report / ways to prove. Complete tracking at all the junctures is not

possible at reasonable costs.

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A study of anti-corruption solutions in different places

To devise the solutions in any specific context, we deemed it mandatory to understand the

solutions at other places and to analyze the similarities and differences in the intricacies

involved. The solutions depend on the overall environment of the place and certain

adaptations may need to be done for applying them in a different context. We will see how

technical and process related solutions help in reducing corruption with suitable structural

modifications. Solutions implemented in traffic police are discussed below:

Armenia

Armenia was part of Soviet Union and the regulatory regime after disintegration of Soviet led

to major issues in effective implementation of traffic rules. This resulted in an utter chaos in

the traffic situation. (Aghajanian, 2010) identifies various characteristics of the system that

inherently bred corruption. Lack of transparency, discriminatory provisions, and violation of

human rights combined with ambiguous and unclear definitions in the laws permitted

different interpretations of laws by different officers. This left a scope for corruption by the

traffic policemen.

(Saghabalian, 2005) also provides evidence of bribes being taken by traffic policemen

patrolling in an area and alleged transfer of some proportion of the total bribe to the higher

officials. Regular technical inspections by the officials also provide avenues for corruption

wherein most of the vehicle owners avoid the cumbersome official procedure and just pay

bribe to the officers to get away. Discretionary powers to the traffic policemen resulted in

increased corruption and huge fine amounts promoted payments of bribes by the offenders.

Ukraine

(Traffic Police Corruption, 2005) presents detailed transformation in Ukraine traffic police.

These steps were taken in 2005 after the roads in Ukraine became chaotic due to utter

corruption prevalent in its traffic police. The acts of omission on the part of traffic policemen

by not stopping the offenders led to that situation. Also, as the fines prescribed for various

offences were very high, the drivers who committed offences tended to give bribe instead of

the fines. After the government in Ukraine changed the fine procedure and settlements had to

be done at central locations instead of on spot cash payments, the hassles attached to legally

giving in fines became more cumbersome and tendency to pay bribes increased. Finally,

Ukraine has reportedly tackled the problems by entire overhauling of the system wherein the

original force was disbanded and a new patrolling service on the western model was installed.

It shows how complete overhauling is important to uproot corruption from a deeply infected

system / organization.

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Karnal, Haryana, India

An innovative solution in the form of new format challan book has been implemented after

2005. The challan book contains exhaustive checklist for entire range of traffic offences

along with relevant section(s) / rule(s). Detailed instructions related to the conduct of the

police officers and the relevant sections of the Motor Vehicles Act are mentioned explicitly.

This works as both an enforcement and an educative tool. The detailed information about the

rules and regulations to be followed in traffic are reinforced in the minds of drivers and

transparency is brought into the system as information asymmetry regarding the fines is

decreased.

Bangalore, Karnataka, India

Various new initiatives have been taken by Bangalore Traffic Police under ―Bangalore

Traffic Improvement Project-B-TRAC 2010‖ to reduce corruption in its forces and provide

better services to the vehicle drivers in the city thereby improving the overall traffic

conditions in the city. The initiatives have been in place for some years already. Although the

focus is on both corruption reduction and efficient traffic management, we will focus on

those related to curbing corruption. Some of them are discussed below:

Centralization of controls: 80 cameras installed at various traffic lights and

blackberries given to all traffic inspectors allow a central enforcement Automation

Center. The center also keeps database of all vehicles in the area along with the

history of offences committed.

Figure 1: Usage of printed cash receipts and blackberries, Bangalore Traffic Police

Surveillance Cameras: A Traffic Management Center monitors the traffic situation

at 160 locations in the city and its real time data along with stored images is used for

imposing fines for various offences.

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Figure 2: Usage of Surveillance Cameras, Bangalore Traffic Police

Traffic Helpline: Traffic helpline 103 is grievance-reporting system that promises to resolve

issues in a time bound manner.

Recommendations for Traffic Police System

Economic conditions combined with social fabric needs to be considered for effectiveness of

solutions. Some of the solutions along with related benefits and challenges of implementing

are discussed below:

Detailed documentation available with policemen

Quite often, the drivers who commit offences are not aware of the actual fines associated with

specific mistakes and assume that the fines will be very high (either by themselves or being

told so by policemen). They end up paying more than required. (RTI India) mentions various

incidents wherein the general public did not know the exact penalty payable for any crime

and ended up paying bribe to avoid the legal hassles and penalties. (Vertical Challan)

mentions how general public does not know the procedure for imposition of fines in case of

breaking of traffic police rules and regulations. The main features for the documentation will

be:

Detailed documentation: Detailed documentation related to penalties for various

offences will be available with all traffic policemen. This can be modeled on the

pattern of Challan Book as implemented in Karnal, Haryana.

Compulsorily show before fines: It would be compulsory to be shown before

imposing fine on anyone for offences. This will decrease the information asymmetry

and lessen the probability of bribes being paid when the actual legal fines are also

comparable to the bribe being asked by the policeman.

The main benefits of this facility are as discussed below:

Informed citizens: The offender will be better informed. The documentation will

have an educative value as the person will have detailed knowledge about the

culpable mistakes and related fines.

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Reduced corruption: Rational and informed choices may lead to lower corruption as

paying penalty may be a rational choice for individuals then. In absence of the

documentation, actual penalty may not be known.

The actual roll out of the scheme will face certain challenges as discussed below:

Fraudulent documentations: Mis-representative documentation may be available

with the policemen misleading the general public. Possible solutions could be to make

the documentation-sealed or/ and stamped. Random checks should be done to avoid it.

Awareness and hesitation: The awareness levels about the provisions may be low

among the public. Also, people might be afraid to ask policemen about it fearing of

their wrath in future. This can be avoided by marketing it through advertisements and

other programs. Active promotion of the provisions should be done by government

should be done.

Enforced automation of fines for traffic violations

One major blockage in curbing corruption is the discretion available to the traffic policemen

regarding the imposition of fines. Using automated enforcement of penalties in case rules are

violated can decrease this. This initiative will combine channelizing payments to the

department (not routing through the traffic policemen) with remote decision-making about

violation of rules through usage of surveillance cameras. This will be similar to the current

system in Bangalore. It will include issuance of tickets after fines with information on license

no., vehicle no etc. This data will be available on network and help in identifying repeat

defaulters along with tracking of vehicles. No payment routing will happen through local

traffic policemen. Some of the challenges to be faced in implementation of this system will

be:

o Directly taking bribe may continue - In case there is significant dip in

number of violations registered compared to past data or to other areas,

random checking can be increased. Vigilance authorities can go there and

check violation of traffic rules to curb corruption.

o Inconvenience of payment at central locations – Improving the payment

mechanism will help. Payments can be made online similar to utility

payments.

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Other Solutions

Lower penalties for offences: This will reduce propensity to resort to corrupt practices, with

a reduced benefit of using the wrong channel. The penalties could be designed separately for

different cities or zones.

Anti-corruption agents: Ideally, anti-corruption agents can act as traffic policemen or

drivers. Usually, they pose as fake drivers and try bribing policemen and if traffic policemen

accept a bribe, they are caught in the web. This is a well known practice.

We suggest anti-corruption agents posing as traffic policemen and trying to see if errant

drivers offer bribes, and in case they do, put heavy fines on those drivers. This has been

implemented in Russia and can be tried as a model in India. (Traffic Police Corruption, 2005)

provides details of this application wherein a driver was sentenced to one year of jail after

trying to bribe an undercover anti-corruption squad agent. This is so because from the

perspective of drivers, the risks are very less and the benefit in economic terms is high. This

propensity to pay bribes to avoid fines can be decreased by increasing the risks associated

with bribes.

Surveillance Cameras: They bring in more transparency and accountability and have

already been implemented in Bangalore. Demanding bribes after allegations of offences will

reduce extortion by traffic policemen of innocent drivers as they will also be liable to prove

to the driver of his / her offence using the camera recording. This will also help in automated

fines as even if the traffic policeman is not at the location, the recording may be used for

fines.

Private Sector Participation: With a profit-maximization motive and stricter monitoring

controls, there is a lot of value in partnership with private sector to reduce corruption.

BRTS, Ahmedabad is a great example for this. Most of the difficulty associated with

controlling corruption in traffic police happens because of conflict of interest between

following rules and economic situations of both policeman and driver after the offence

combined with extremely high costs of complete monitoring. Bringing in private sector to

participate can reduce this. The private sector entity will have interest in reduction of

leakages of revenues through bribes. The distributed monitoring system will then be handled

by that entity.

Street Vending

India‘s booming informal sector of the work force, apart from being an important source of

employment accounting for more than 70% in terms of numbers generates revenues which is

more than 80% of India‘s GDP. These figures clearly indicate the importance this sector

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plays in the functioning of the system in India and ensuring the livelihood of the millions

involved in its functioning. Also, it is important to remember the fact their relative status in

the societal setup.

Most of the congregation of the street vendors constitutes a disjointed set of individuals

without a unifying face or voice for representation calling for policy measures benefitting

them or when they raise issues against problems that they face. Due to their relative

disjointed nature, they do not reflect a strong and easy voter based for the people in power

and hence they remain a very under represented section of the Indian society, although there

is not a day that an individual‘s day to day life in India that he/she goes without interacting or

seeking the service of another individual in the informal sector of the business. This leads to

the identification of several of the problems they face and out of which one of the most

serious issues concerning the condition of street vendors is that of corruption they face from

the local municipal agencies as well as the traffic bureau.

This exploitation of a vulnerable section of the society occurs due to the relative lack of

control and helplessness the affected party has on making an independent choice as against

what as the perpetrator can. It is critical to remember that there are several other issues such

as:

Lack of infrastructure, Improper regulation and guidelines / Lack of policy and Legal

support

Lack of a united voice in raising concerns across the community of street vendors

Prevailing low education levels within the street vendors and the sheer lack of interest

amongst the general public about their plight account for several of their problems

There is a clear lack even in the number of non-profit organizations that are representing their

cause. Out of the ones those have emerged over the last few years which represent the voices

of this vulnerable section of the Indian society is the SEWA and NASVI (National

Association of Street Vendors of India). One of the biggest issues with both of them is their

relative lack in terms of geographical coverage across the length and breadth of India

although the situation has improved considerably over the last few years. NASVI base of

coverage has significantly improved over the last few years (shown in next table).

Sl.No State No. of

organisations

Members

1 Bihar 92 62760

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2 Uttar Pradesh, 64 41890

3 Madhya Pradesh 13 27843

4 Delhi, 19 13045

5 Rajasthan, 23 9785

6 Gujarat, 5 49556

7 Maharashtra, 12 14043

8 Manipur, 4 1100

9 Meghalaya, 1 1140

10 Tripura 2 2800

11 Orissa, 61 19860

12 Tamilnadu, 12 15890

13 AndhraPradesh 23 9743

14 Karnataka 11 4350

15 Kerala 4 4600

16 Haryana 1 167

17 Uttranchal 4 4800

18 Punjab 16 5430

19 Jharkhand 4 1870

20 West Bengal, 2 1780

Total 373 292452

Source: NASVI Website, Geographic Coverage Data

But the biggest issue that we need to identify here is that even with a body with such a side

wide geographic coverage, the group has only ~3 lakh members, which represent just about

136

10-12% of the entire work force in the informal sector. Clearly this fact represents a gaping

hole in terms of our ability to bring in people into the fold.

Our study deliberated several of these issues and made an attempt to gain an idea of how the

street vending communities analyze their current situation. What are the problems that they

face (specifically related to policy and corruption), how often are they subjected to these

levels of atrocities, what is their magnitude, have they made an attempt to address the issues

or is it about silently accepting it as a part and parcel of their day to day life, do these street

vendors see a probable solution in the near future to their problems or is it just a lost cause

that they are battling and most importantly if they have a solution in mind what exactly are

they? Is there a way for them to report a case of non filing of a ‗Panchnama‘ by the police?

Or are they subjected to brutality. The questions we asked were tough, and the answers we

sometimes received did not leave a pleasant thought in our minds.

―Invention is the mother of necessity‖ and with this paradigm of thought in mind we went out

and spoke to several representatives of this community asking them for a solution about how

they view this problem of corruption in the street vending business be tackled. With the

preliminary analysis of data collected from them, we present to you the two of the most

significant recommendations that emerged from our studies across this crucial stake holder of

concern. Also, as part of the study we would like to mention that we eliminated couple of

options generated due to the sheer lack of practicality of them and hence they were solutions

which had no practical relevance nor application possibilities given the current scenario.

Recommendations for curbing corruption in Street Vending

Revisiting the National Policy

National Policy forms a very crucial lever in implementing change in any given society.

Upon formulation and proper administration with strong legal mechanism acting as check

points, they act as both arbitrators and facilitators in the Indian society.

A policy for Street Vendors was initially chartered out in the year 2004, but a preliminary

study of the report brings out several gaping holes within them and hence clearly explains its

relative ineffectiveness in controlling several of the issues that we face currently in this

respect. The clear lack of ‗feeling the need‟ of the eventual problem a public policy is trying

to address clearly contradicts the first step of ‗policy evaluation model‘. Although it‘s

imperative at this point that we mention that these problems are by no means exhaustive in

nature, they bring out some of the most relevant and burning issues with respect to the

problems in the National Policy.

Issue and Recommendation: 1.1

137

As part of the National Policy of Street Vendors several centre‘s were envisioned which

would act as nodal points to coordinate, facilitate and work with the street vending

community in those regions. They would act as the catalyst and a facilitator between the

administrative agencies and the street vending community as a whole. But one of the biggest

problems with them is their relative lack of number and also lack of geographic coverage.

India with its tremendous geographic spread and also the spread and number of tier-1 & tier-2

and tie-3 cities is a flourishing market for the informal sector of street vending and hence

coverage is of a crucial consequence.

In this regards, the areas with known manpower shortages, should be supported to setup

‗satellite centres in other major cities. The model of satellite centre closely follows the

federal structure of the Indian governmental setup and thus eases the aspects of

administration and broad based coverage by distributing the tasks to a more granular level.


The problem and the policy are reduced as a means towards spatial governance which was

not the intent of the 2004 resolution. This has very adversely affected the motive and the

intent of the legislation.

We recommend that there be a clear shift in focus out of looking at street vending as a

problem related to spatial governance and rather looks at it as a humanitarian and people

problem. This we believe can only be done with three levels of participation: One from the

lawmakers and legislators, two from the administrators and three, the media and interest

groups which need to bring the plight and the human story to the fold.


As with any setup anywhere in the world hierarchies sometimes become sacrosanct.

Sometimes, they become the most over riding factors which govern any decision that is taken

within a community and hence it is crucial to remember that as with any organization if the

restructuring involves people within them appropriate measures need to be taken to ensure

that the power structures and hierarchies are maintained. Currently, the policy does not take

care of inherent power structures and hierarchies within the vending community.


Street vendors are part of the informal sector for a reason. It is virtually impossible to keep

track of several of their activities, functioning and most importantly numbers. It‘s a prime

example of a free market setup where supply adjusts itself automatically to accommodate for

the existing demand for a product and hence clearly indicating the spurious bubbles in terms

of numbers involved in the system. The policy formulated clearly ignores this fact.

138

For it to be successful it is of extremely crucial importance that provisions made within the

policies must be made to take care of seasonal variations in vendor population and the

presumption of sufficing the static numbers (one time) can be a grave mistake.

Identify, Target and Group

Implementation of any policy change as advocated by us in the previous section and

recommendation involves wading through several administrative and bureaucratic wrangles.

Although the solutions generated through strong policy measures are beneficial in the long

run the biggest issue which lies within them is the inherent delay.

Hence it is imperative on several occasions to adopt along with the policy tool, in parallel, a

policy to tackle issues in a more succinct easy to implement and administer way, were the

‗root cause of the problem is identified and an attempt is made to eliminate it by creating

mechanisms to solve that given problem.

As we can see the root cause of the problem of corruption which severely impacts the street

vending community is that they are looked upon as ‗infringers‘. A community which is

creating nuisance by encroaching upon public space needs to be eradicated. Law enforcers

use this pretext and take the moral high ground which facilitates them in indulging in corrupt

practices, thus breaking down the whole system of trust and faith which on rare occasions this

community views when the government takes positive steps towards addressing their issues.

One solution which can be quickly reached with appropriate logistical planning is creating

Mandi‘s or grouping the vendors into ‗Market Places‘ which can go a long way in

‗Institutionalizing‘ the issue. This mode of solution has been a repetitive theme in our study

and results and we firmly believe that a solution which institutionalizes the problem, keeping

in mind the inherent benefits of doing it is not detrimental to the society.

In this regards we recommend a three step strategy to identify and resolve this problem

through a free market, institutionalization mechanism:

Step 1: Identify the areas where the consumers depend on street vendors and the purchase

rates are high. This is an extremely crucial step in identifying the viable areas and locations

which must be a target for the plans to implement the solution.

The data about the regions could be collected using the shop keeper data, secondary survey

and local inputs from markets. The agencies currently working for the cause of street vendors

could be pulled into service to achieve this result.

The data forms a crucial ingredient as we go into the step 2 of our recommendation.

Step 2: The second level of data collection is through the traffic police and related data.

Every city has congestion points and traffic zones rated based on their relative congestion. It

139

is imperative to obtain this data and hence identify the prime locations where vehicular traffic

is confined to.

These locations are then marked under the red category. At this point of time an intersection

is obtained between the list generated in the first step and the list based on vehicular and

pedestrian traffic. The common areas come under the ‗Red‘ zones in terms of vehicular and

pedestrian movement mark them as target zones for creation of market places.

Step 3: In order to eliminate corruption and facilitation of these zones to move out of the

purview of police and corporation discretion a step to move them out of the prevailing areas

need to be explored in great detail.

Our recommendation suggests that, these target zones need to be scouted for land/shops so

that the vendors can be shifted to these market places. The legal and administrative grouping

of these shops solved the twin problems of ‗Nuisance‘ and also ‗reduces the incidences of

corruption‘ due to arbitrary discretion of the authorities.

A huge explosion of number and seasonal variation in number has to be taken care of with a

scheme of licenses, an issue which deserves special attention.

Conclusion

Street Vendors have become an intricate part of the Indian Society. Every morning when you

are a family member walk up to a street vendor or see him or her at your door step, it‘s about

convenience and it‘s about the crucial ingredient they are in your day to day scheme of things

but in our ease we forget the hardships these crucial cogs in the circle of our day to day lives

face. If we have to help them, the public, the government, interest groups and finally the

Street Vendors themselves need to speak up in an unison and that‘s when the guardians of

law would prevent the atrocities they inflict on a daily basis on this very neglected but

important section of the Indian society.

Bibliography








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bhjkk.































141



































142






Jaipur, India.


























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143

Sr. No. 7, 9, 18

STATUS REPORT ON THE GRIIT PROJECT

of the group constituting

Aviral Jain, Amresh Deshpande, Deeksha Kakkar, Gagan Chopra, Prithiv Siddharth

Working under the topic of „A Carbon Neutral Nation‟, we have started by identifying the

energy needs of a village as such and work at that level. We have also identified the possible

means of satisfying the energy requirements and till date have concentrated in the fronts of

wind and biomass, exclusively with the idea of meeting the electricity demands of a

hypothetical domestic rural community.

The demands were identified based on the usage patterns and calculations derived from that

as a basis. Proper cumulating and scaling have been done to arrive at the values.

With regards to wind technology, we tried identifying its importance and its existing uses

both within and outside the country. The alternate possibilities towards meeting the

requirements within the various options provided by the wind technology were also studied.

Based on these, we have gone about calculating the costs and outputs as well as the scale

required therein.

A similar procedure with regards to biomass was followed and a detailed study to understand

the technologies and the reasons for specific choices was done. Based on the many options

available one technology was selected as a possible implementable case and was studied to

identify the costs and the scale required, to get the optimal set-up.

The idea would be repeated in case of solar applications and a separate set of metrics would

be arrived at. We would further look at the possible mix of these options and study into the

lifestyle changes that would emerge because of these.

At another level, we would also study the lifestyle changes and changes in the existing

conventional energy usages that would aid in reducing the carbon footprint of individuals.

We are also identifying some policies and government initiatives which might aid these ideas

and inhibit the existing damaging habits.

144

The aim ultimately is to derive an ideal set-up which would require minimal effort from the

society while sticking to the mechanisms that would ensure minimal carbon emissions.

145

Sr. No. 8, 12, 56

Final Project report

Dimensions of Evolving an Energy Independent Society

A report

Submitted to

Prof. A.P.J Kalam & Prof Anil Gupta


GRIT

On

November 24, 2010

By

Bhanu Pratap Singh Chauhan

Ishan Choudhury

Sandeep Gupta

Jyoti

LAGGOUNE Gupta

Gautam

146

Contents


Global Energy Scenario ...............................................................................................

Energy Consumption by Fuel ...................................................................................

Energy Consumption by Sector ................................................................................

Green House emissions by Sector ............................................................................

India Energy Scenario ..................................................................................................

Energy Consumption India .......................................................................................

Energy Production by Fuel .......................................................................................

Energy Consumption India by sector .......................................................................

Residential and Industrial Energy Consumption by segment ...................................

Energy Efficiency .........................................................................................................

Technological Dimension .........................................................................................

Alternate Energy Dimension ....................................................................................

Usage Optimization Dimension ................................................................................

International Programs for energy efficiency...............................................................

Energy Star Products ................................................................................................

Building Energy Code ..............................................................................................

Green Buildings ........................................................................................................

Energy Saver software ..............................................................................................

Group Recommendations .............................................................................................

Appendix ......................................................................................................................

Bibliography .................................................................................................................

147


Global Energy Scenario

The total energy consumption across the globe during the period 2000-07 grew from 406

quadrillion Btu to 495 quadrillion Btu. The CAGR during the same period was 3% and the

consumption rate is expected to grow at a CAGR of 2% during 2007-15 to reach 543

quadrillion Btu. The figure below shows the historical and projected energy consumption

figures across the world.

Figure 1: Global Energy Consumption (quadrillion btu)

Source: US Energy Information Administration

Energy Consumption by Fuel

The global energy demand is satisfied by a variety of resources such as primary electricity,

oil, coal, biomass, gas and renewable energy. Primary electricity is defined as the total

energy consumption which also includes the energy production and losses.

Figure 2 provides the total energy consumption by fuel in 2007.

Figure 2: Energy Consumption by Fuel

355 374406

495543

590639

687739

1990 1995 2000 2007 2015 2020 2025 2030 2035

0

100

200

300

400

500

600

700

800

CAGR = 2%

148


Note: Others include renewable and hydroelectricity

However, most of the fuels are limited and will extinguish in the future. It is estimated that

coal will last for around 119 years where proven oil and gas reserves are likely to last only

for around 46 and 63 years at current production levels. As seen in the figure above, these

three together account for 85% of the total global energy consumption which means that

any shortfall in either of them will likely lead to huge impact on global economy which will

trickle down to the common people who will face huge increase in prices across

commodities etc. Therefore the need is to focus on alternative source of energy which can

emerge as suitable replacements for these fuels. Alternatively, efforts should be made to

reduce the energy consumption at the consumer level.

Energy Consumption by Sector

The energy consumption across various sectors in world is as follows:

Figure 3: Energy Consumption across Sectors in World

Liquid35%

Natural Gas23%

Coal27%

Nuclear5%

Others10%

149

(Earthtrends, 2003)

Green House emissions by Sector

Based on the global consumption, the green house emission by different sectors are as

follows:

Figure 4: Global Green House Emissions by sector

(World Resource Institute, 1994)

It is observed that agriculture, electricity and heat together account for 58% of the total

green house emissions across the globe.

Industry 32%

Transportation 26%

Agriculture 2%

Commercial & public services

8%

Residential27%

Non-energy uses and "other"

consumption5%

Agriculture

28%

Industrial Process

8%

Fugitive Emissions

2%Other Fuel

Combustion

11%Waste

2%

Electricity and

Heat

30%

Transportation

12%

Manufacturing and

Construction

7%

150

India Energy Scenario

India’s fossil fuel reserves are limited. The known reserves of oil and natural gas may last

hardly for 18 and 26 years respectively at the current reserves to production ratio. India has

huge proven coal reserves (84 billion tonnes), which may last for about 200 years but the

increasing ash content in Indian Coal as well as associated greenhouse gas emissions are the

major concern. 70% of the total petroleum product demand is being met by imports,

imposing a heavy burden on foreign exchange. Country is also facing Peak power and

average energy shortages of 12% and 7% respectively. To provide power for all, additional

capacity of 100,000 MW would be needed by 2012, requiring approximately Rs.8000 billion

investments. Further, the per capita energy consumption in India is too low as compared to

developed countries, which is just 4% of USA and 20% of the world average. The per capita

consumption is targeted to grow to about 1000 kWh per year by 2012, thus imposing extra

demand on power system.

Energy Consumption India

The figure below provides the historical and projected energy consumption in India.

Figure 5: India Energy Consumption (quadrillion btu)


1820

2428

3134

38

2005 2007 2015 2020 2025 2030 2035

0

5

10

15

20

25

30

35

40

CAGR = 4%

151

Energy Production by Fuel

In India, the total energy production by fuel type is in the figure below.

Figure 6: Energy Consumption by Fuel

Source: India Energy Outlook: End Use Demand in India to 2020

Energy Consumption India by sector

The energy consumption in India across various sectors is as follows:

Figure 7: Energy Consumption across Sectors in India (units PJ)

Source: India Energy Outlook: End Use Demand in India to 2020

Diesel3%

Natural Gas8%

Coal72%

Nuclear3%

HydroPower14%

0

2,000

4,000

6,000

8,000

10,000

12,000

14,000

16,000

18,000

2000 2005 2010

Agriculture Residential Transport Industry Commercial

152

With the energy consumption largest in residential and Industrial, the group will focus on

these two segments to come up with recommendations, solutions to reduce the energy

consumption and thereby improving energy efficiency.

Residential and Industrial Energy Consumption by segment

In the industry sector, the energy usage is among the following segments as in the figure

below:

Figure 8: Average electric end usage for Industries

(Awareness is key to Energy Conservation, 2010)

According to the US department of Energy Information, currently 400 million Indian have no

access to electricity. Still there is huge gap between the energy production and supply as

seen in the table below:

Energy by Fuel Production Consumption

Oil 880,000 barrels per day 3 million barrels per day

Natural Gas 1.4 trillion cubic feet 1.8 trillion cubic feet

Electricity 761 billion KWh 568 billion KWh

Total Energy 13.05 quadrillion BTUs 19.1 quadrillion BTUs

Machine Drive54%

Electro-Chemical Processes

9%

Facility HVAC8%

Facility Lighting6%

Other Support Facilities2%

End Use Not Reported3%

Process heatig12%

Process Cooling and Refrigeration

6%

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With a huge shortfall in every source of energy (a huge chuck of electricity is lost in

transmission and distribution), it means that the energy needs of India remain unmet and

the gap will only increase as the global race for energy resources increases. The problem is

further compounded by the fact that the total demand for electricity in the country

continues to rise and is outpacing the growth in the capacity. The country has failed to add

the much needed capacity due to market regulations, insufficient investment in the sector,

and difficulty in obtaining environmental approval and funding. In addition, coal shortages

are further straining power generation capabilities.

The country also suffers from the electricity efficiency issues. In order to improve efficiency

standards, the Energy Conservation Act was passed in 2002, which established the Bureau

of Energy Efficiency.

Energy Efficiency

All the above statistics point to the fact that we need to urgently address the problem of

possible energy shortage with a four-pronged approach:

Figure 9: Energy Efficiency Approach

• By focussing on the usage habits of the end-users and devising ways to optimize the usage habits

•By crafting and meticulously enforcing a comprehensive policy and institutional framework

•By exploring the alternate forms of energy to supplement to the conventional forms of energy

•By focussing on the technological aids that will help to save energy and optimize the energy usage

Technological Dimension

Alternate Energy

Dimension:

Usage Optimization

Dimension

Policy Framework Dimension:

154

Technological Dimension

Technological support is one dimension where India needs to put urgent focus on.

Presently, grants and subsidies are being given to various forums for assisting technological

innovations on various fronts. The innovations are coming from private corporate side,

state-funded universities as well as from the grassroots. Some of the technological

innovations that have entered mass-usage stage are as follows:

‗Industrial Solar Concentrator‘ for hot air up to 2000C

Parabolic dish concentrator to prepare ayurvedic syrups

Oven used for bakery using Scheffler Concentrator

Low cost solar dryer for agro processing

Alternate Energy Dimension

As indicated by the statistics presented above, it is amply clear that India cannot just rely on

the existing energy sources to fuel its growth story. The various alternate forms of energy

that are in the forefront of providing a stable energy sources are: Solar Energy, Hydel

Energy, Wind Energy, Nuclear Energy and Biogas Energy.

According to Crisil Infrastructure Advisory, the total renewable energy potential in India is

100,000MW from solar energy and another 85,000MW from non-solar sources. However,

currently only around 17,220MW has been tapped. Also, most people usually focus on the

industry constraints i.e. costs and affordability but a key fact missed out is the huge

opportunity costs in terms of economic costs due to power shortages, health costs etc. In

solar energy, Germany which receives only half the sunshine received by India is the biggest

market for solar energy in world. This points to a huge untapped potential for solar energy

in India as well the problems faced by the solar energy in India. Similarly, the coastal regions

of India have tremendous potential for the wind power.

Usage Optimization Dimension

It is said that energy saved is energy generated. Indeed, energy conservation is the cheapest

way to produce energy. The end users must be provided technological and financial support

to help them optimize their energy usage.

155

An example of this could be Bachat lamp Yojna (BLY).BLY is an interesting scheme started by

the Bureau of Energy Efficiency (BEE). Under the scheme, long life CFLs will be distributed at

the cost of the incandescent lamps being used in homes. It shall be priced at around Rs 15.

The agency aims to fund the price differential via the Clean Development Mechanism

(CDM). Through the sale of GHG emission reduction, this differential shall be bridged.

Once the CFLs have reached their end life or have failed pre maturely, arrangements shall

be made for their collection and safe disposal as per the existent environmental laws (BEE,

2009)

The group aims to focus upon the usage optimisation for the end consumers and the

residential and commercial buildings. Keeping in the mind the above, the next section deals

with the various international programs aimed to promote energy efficiency and their

potential in India.

International Programs for energy efficiency

Some International Programs adopted by countries to reduce energy consumption

Energy Star Products

The program was initiated by the US government and is targeted at the residential,

commercial and industrial sectors. The program has now been adopted by the EU, Japan,

Australia, Canada, wherein government agencies identify products and appliances which are

highly energy efficient.

Energy Star products are 15-20 percent more efficient than normal products and appliances.

Though their initial costs are up to 15 percent more, yet these are compensated by the

energy savings with users reducing energy consumption which lead to reduction in bills and

also protect environment.

Energy star products are higher-quality products producing less noise and lasting longer.

Their design and construction lends to their efficiency. They are certified by the

156

Environmental Protection Agency and Department of Energy on the basis of energy

performance. The certified products carry a simple Energy Star label to enable the

customers recognise the product.

Savings:

The table below provides the savings on various household and office appliances by using

Energy Star products.

Appliances Energy Savings above standard products

Office Equipments

Computer 52%

Copier 42%

Fax 40%

Home Electronics

TV 24%

Audio 69%

Washing Machine 38%

Dishwashers 25%

Refrigerators 10%

Air Conditioners 10%

Lighting

Bulbs 66%

Fixtures 66%

157

Residential Household: A household fully equipped with Energy Star Products will consume

30% less energy as compared to normal households leading to savings worth USD 400 per

year.

In 2009, the program in USA led to a Savings of 45 million metric tons of greenhouse gas

emissions and also led to a savings of approximately USD 17 billion in the utility bills.

This program can also be expanded to construction of homes which consume at least 15%

less energy than the normal homes. This program is the MODEL ENERGY CODE as discussed

in the next stage.

India Potential

In India, a super efficient fan consumes 45W against standard 75W can lead to annual

energy savings of 20kWh per fan. With estimated Fan additions of 537million during 2010-

20, use of such fans will translate into annual savings of 10, 470KWh and power costs of INR

3200 crore.

Building Energy Code

The program was initiated by the US Department of Energy for the contractors and

architects to enable them to identify energy efficient design and construct new and

renovate buildings. These Energy codes and standards establish minimum energy efficiency

requirements for the designs and buildings which impact energy usage and emissions for

buildings.

The buildings account for a major chunk of the green house emissions across the globe as

they account for approximately 50% of total energy consumption. These codes are

therefore important since an energy efficient building will lead to energy savings in a

consistent and long lasting manner. Therefore, the benefits of more efficient construction

can be enjoyed for 30-50 years i.e. as long as the lifetime of the building.

A key constraint of this program is that people are more influenced by up-front costs than

the operating costs which lead them to neglect using such codes while building their offices

or homes.

The savings generated from this program are approximately USD 2.5 billion per year. The

program provides guidelines for the material selection and construction techniques,

158

heating, ventilating, cooling, lighting etc. The certification is done by a certified Home

Energy Rater who works closely with the builder throughout the construction process to

help determine the needed energy–saving equipment and construction techniques.

India Potential

In India, there are three different building codes as below:

1. Bureau of Indian Standards issues National Building Codes which address the energy

efficiency in buildings marginally

2. Ministry of Power and BEE issued Energy Conservation Building Code (ECBC), the

first stand alone national building energy code in India. The ECBC established

minimum energy efficiency requirements for building envelope, lighting, HVAC,

electrical system, water heating and pumping systems.

3. Ministry of Environment and Forest established the Environment Impact Assessment

and Clearance (EIA) which was needed to be obtained by Builders and developers

before actual construction.

The ECBC which caters only to the energy efficiency is however on a voluntary basis. With

the rapid economic growth expected in India during the next decade, the plans need to be

implemented for every new building to ensure energy efficiency. These codes reduce the

energy consumption for buildings by almost 40%.

It is estimated that the commercial building sector in India is growing at a rate of nearly 10

percent annually. The new buildings constructed in the next 20 years are expected to have a

share of almost 70% all building stock by 2030. With buildings currently accounting for

approximately 47% of total energy consumption, if a substantial portion of these buildings

are built within the ECBC, the energy efficiency within the nation will face a huge boost.

Green Buildings

According to the Indian Green Building Council, "A green building is one which uses less

water, optimises energy efficiency, conserves natural resources, generates less waste and

provides healthier spaces for occupants, as compared to a conventional building.”

(http://www.igbc.in/site/igbc/index.jsp)

In the US, the Department of Energy in 2008 initiated Zero-Net Energy Commercial Building

Initiative which targeted commercial buildings to use technologies which could offset their

http://www.igbc.in/site/igbc/index.jsp

159

energy use. This would be done via energy efficiency i.e. better insulation, windows, and

better lights. After efficiency, the aim would be to add renewable sources to enable energy

generation, such as solar PV (photovoltaic), geothermal, or even wind energy, so a building

instead of consuming energy became a producer of energy. The program aimed to have all

new commercial building by 2025 to be net-zero energy. The key focus of this program was

on green building designs to improve the energy efficiency of the buildings.

The European Commission started the Green Building Programme (GBP) in 2004. The

program aimed to improve energy efficiency and popularise the integration of renewable

energies in non-residential buildings in Europe on a voluntary basis.

The program was directed at non-residential building owners to realise cost-effective

measures which would improve energy efficiency of their buildings.

In India, the Indian Green Building Council aims to encourage the adoption of Green building

in residential and commercial buildings. The green buildings provide electricity and water

savings to the tune of 30%-50% and 20%-30%.

In commercial buildings, lighting and air-conditioning account for 60% and 32% of energy

consumption. Use of green building will go a long way in not only reducing energy

consumption but also solving the huge electricity outages problem in major cities in India.

According to Cushman and Wakefield (http://content.magicbricks.com/residential-units-to-

grow-23-in-city), 4.25million residential units are expected to be added to fulfil the demand

supply gap in India; a huge opportunity exists for these buildings to be designed under green

building designs. The government however needs to provide sufficient incentives and

building codes to ensure adoption by the industry.

India Potential

As mentioned in the previous section, building account for a major portion of total energy

consumption. Therefore, green buildings also have a huge potential in India and is a step

towards energy efficiency.

Energy Saver software

This solution is inspired by the usage pattern of one of the individual doing this project. Last

year, a mail was circulated in the fraternity of IIMA. This was about energy saver software.

160

All this software does is to switch off the screen, hibernate the computer, switch off the

computer etc as per the requirement of the user.

An annual usage of the software exhibited a saving of 133 Kwh. The energy is saved

whenever the laptop goes into the energy saver mode, compared to the situation when it

was not. All the operating systems have inbuilt energy saver software. In Microsoft, one can

vary this by changing the options available in the power setting menu. The default options

for the energy saver mode are as follows

High Performance mode

Laptop plugged in

Switch off after: Never

Turn off display: After 20 minutes

We suggest that the software companies should be asked to change their default option and

bring down the limit of display switch off to 3 minutes and the hibernate mode should be

reduced to 5 minutes.

There is little doubt to the fact that the number of laptop users in India is set to expand very

rapidly. Sam Pitroda, feels that we may have close to 100 million broadband connections in

the next 3- 5 years (Business Standard, 2010). Even a rough estimate suggests an addition of

50 million laptops in the next few years. Assuming that the laptops consume on an average

of 50W per hour, and a change in the default option results in the saving of a couple of

hours of power every day. Still, a conservative attempt shows that close to half a million

households could be lit in the next 5 years using this saved energy. [See appendix]

Suggestion

The Operating system providers should be asked to reduce the default time of their power

saving options

161

Delhi International Renewable Energy Conference 2010

In order to gain some new insights and understanding in the Energy Neutral nation, the

team had visited the DIREC 2010 fair held in New Delhi in November. Attending the several

workshops and meeting different people from all over the world helped bring additional

insights in the issue of renewable energy.

Some of the thoughts gained from the conference are as follows. Here we have included the

ideas as mooted by the participants from different colleges. The team has expanded the

points and worked on them where ever necessary.

Participants from IIM Bangalore

1. Proof of Concept Financing- This idea was mooted by a participant from IIM

Bangalore. The basic proposition was that several good ideas are held by our

engineers in IITs and NITs. However they do not possess the means or the finances to

carry forward this exercise. Hence it is desired that some funds must be made

available for this which helps validate the concept

2. Connecting to mentors in various technical institutes- Some forum must be made

available to help the mentees in this regard and connect the mentors across different

institutes

3. Need for synergy between various ministries- There exist several ministries that are

working in this area. However, hardly any synergy exists between them. Attempt

should be made to attain a better co-ordination

4. Online platform for sharing research locally/ globally

5. Special grants to incubation cells for Cleantech- Again this point was a continuation

of the point in the proof of concept financing

Inputs from Bits Pilani

1. Tax on coal for NCEF will make mono-crystalline solar cells more expensive - need

for an alternative solar cell

2. Costs for experimentation in cleantech startups - prohibitively high, direct

government assistance required. This was also highlighted in the guest lecture being

162

delivered by Mr. Ravi Raina. Some of the key take away are mentioned here in the

following charts:

Holistic Lifetime cost comparison of solar Vs. Conventional Energy (Rs/kWh)

for 1000 MW

Affordability of

Power –

(Outlook on

Grid Parity)

Regulatory

Framework

(RPPO, tariff

orders)

Government

Policy

Environment

(Subsidy)

Ground Level

Issues (Land,

Permitting)

Industry

Players (Across

the value chain)

Open Access

to consumers

163

3. MNRE can help Green Internships for students to give exposure in the industry-

The ministry should give out internships for students who are interested in the field of

renewable energy. This will help build a general understanding about the practicality

renewable energy amongst the students

Participants from IIT Kharagpur

1. Make a regular forum for Stakeholder to push for policy reform

2. Make a Sustainability Vision/Charter for all Educational Institutes- All Institutes

should form a charter, whereby they attempt and reduce the carbon footprint of the

institute. Such a step was taken by the students of IIT Kharagpur, and as per them it

was successful. They also talked about creating some sort of a competition between

institutes (Pan IIT) whereby a sense of saving on carbon emission can be initiated. A

way forward in this direction could be to the formation of interest based groups at the

institute level be supported by MNRE.

3. Formation of cluster of colleges, which try to implement changes first within the

campuses and then in the city/town

4. Emphasis be laid on involvement of all citizens rather than just blanket

implementation of broad policies- Several policies that could help the citizens are

never known to them because of information symmetry. The government should

ensure that if at all some policy is implemented then through appropriate medium the

citizens are involved in it

Inputs from IIT Kanpur

Satellite monitoring- Satellites could provide the cheap way of energy consumption

monitoring. Available renewable energy supply can be monitored real time with satellites

and immediate actions can be taken to meet the fluctuation in the renewable energy

supply. A constellation of such small satellites is required to meet this requirement.

Otherwise, with single satellite data of a specific region is captured once in few weeks. The

participant who talked about this point was talking purely from an academic point of view.

164

Group Recommendations

The group has made few recommendations after analyzing the current energy scenario in

India. The aim is to target the end consumers and the policy makers in the country to help

the country become energy efficient.

Stake Holders Recommendations

End Consumers

Aim to reduce energy dependency upon system by using

renewable source of energy i.e. solar, wind and biomass.

Reduce use of government / utility electricity supply

Use Energy Efficiency Appliances

Regular maintenance and servicing of electrical equipments.

Avoidance of inverters and large storage batteries (except

emergency).

Frequent energy audits

Government

Using Feed-in- Tariffs aim to increase consumer awareness

about source of additional income

Provide financial support and sponsorship for research and

development in renewable energy technologies to companies.

This will reduce costs by improving R&D

Installation of solar / wind / biomass power generation systems

and energy saving in every government office to encourage and

inspire people.

Mandatory energy efficiency codes and renewable systems for

commercial urban buildings in India

Provide incentives and subsidies for installation and successful

operation of renewable energy equipment.

Abolishing duties / taxes on import of small-scale renewable

energy generating equipment

Cultivation of energy crops on marginal and degraded land

Promote Use of bio-fuels, CNG in taxis, autos in urban areas.

165

Soft loans for setting up renewable energy enterprises.

Additional incentives for buyers and manufacturers of renewable

energy equipments in rural areas.

Companies

Laptops save energy when not in use by going into energy saver

mode. However, this option has to be changed by using power

setting options in menu. The default options for the energy saver

mode are as follows:

o High Performance mode,

o Laptop plugged in

o Switch off after: Never,

o Turn off display: After 20 minutes

Roughly 50million laptops to be sold in India during the next

few years.

If companies reduce limit of display switch off to 3 minutes and

the hibernate mode to 5 minutes, potential savings are

1,500million KWh per annum.

Future Course of Action:

We plan to contact various desktop and laptop manufacturers to gather information

with regards to the default power settings in their products. The aim is to provide

them an estimate savings potential from environment friendly and also identify

potential concerns arising from these changes.

Similarly, another initiative will be to contact various premier institutes and suggest

the usage of smart key cards (used in hotels) within hostels to reduce

voluntary/involuntary energy wastage.

166

Appendix

Some pictures from Direc 2010

A conference where dignitaries from different nations were discussing the implementation

efficiency of renewable energy in their nations

167

Some of the devices that can work on solar and some that are energy efficient

A practical setup of the energy efficient houses of the future

168

The definition as given by earth trends is given here. These definitions are standard and are

as defined by International Standard Industrial Classification (ISIC)

Industry represents energy consumed by activities in all industrial sub-sectors, such as

mining and quarrying, iron and steel, construction, etc. Energy used for transport by

industry is not included here but is reported under transportation.

Transportation represents energy used for all transport except international marine

bunkers. It covers road, railway, air, internal navigation (including small craft and coastal

shipping not included under marine bunkers), transport in the industry sector, and energy

used for transport of materials by pipeline and non-specified transport. Energy used for

ocean, coastal and inland fishing is not included here but is reported under agriculture.

Agriculture encompasses all energy consumed by all traction (excluding agricultural highway

use), power, or heating (agricultural and domestic) for activities defined under the

International Standard Industrial Classification (ISIC) divisions of Agriculture or Hunting &

Forestry. These activities include, for example, operation of irrigation systems and

agricultural machinery, animal husbandry, maintenance of parks and gardens, hunting and

trapping, logging, and ocean, coastal, and inland fishing.

Commercial & Public Sectors refers to the energy consumed by wholesale and retail trade;

the operation of hotels and restaurants; post and telecommunications; real estate, renting

and business activities; the collection, purification and distribution of water; maintenance

and repair of motor vehicles and motorcycles; financial intermediation, except insurance

and pension funding; computer and related activities; sewage and refuse disposal; public

administration and defense; education; and other community, health, social and personal

service activities.

169

Residential includes all energy used for activities by households except for transportation.

Non-Energy Uses covers the amount of energy consumed by the use of petroleum products

such as white spirit, paraffin waxes, lubricants, bitumen and other products, as well as the

non-energy use of coal (excluding peat). It is assumed that the use of these products is

exclusively non-energy use. An exception to this treatment is petroleum coke, which is

counted under non-energy use only when there is evidence of such use; otherwise it is

shown under energy use in industry or in other sectors. Non-energy use of coal includes

carbon blacks, graphite electrodes, etc. and is also shown separately by sector. Feed stocks

for the petrochemical industry, like naptha, are accounted for in industry under chemical

industry.

Total Final Energy Consumption (TFC) is the sum of consumption of energy by the different

end-use sectors described above. In final consumption, petrochemical feed stocks and non-

energy use of such oil products as white spirit, lubricants, bitumen, paraffin waxes and other

products are included.

Backflows from the petrochemical industry are not included in final consumption

(Earthtrends, 2003)

170

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pdf

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171

Sr. No. 10, 35, 40, 44, 73

Indian Institute of management

Ahmedabad

A report on

Drinking Water Availability for 6 billion people in the World

submitted to

Instructors:

Dr. APJ Abdul Kalam

Prof. Anil Gupta


Globalising and Resurgent India through Innovative Transformations

By

Desai Sagar

Glen D‟Silva

Shelly Gera

Steve Angot

Anand Prasannakumar

Navin Rajendran

172

Introduction UN declares access to drinking water as a basic human right while more than a billion people

in the world still do not have access to safe drinking water. Claims by environmentalists that

the wars of the future will be fought over water no longer seem far-fetched.

On 28th July, 2010, at a speech to the UN General Assembly, the Bolivian ambassador to the

UN, Pablo Salon made a dramatic gesture of snapping his fingers thrice in quick succession

to make a point - every 3.5 seconds, there is a child somewhere in the world that dies from

drinking dirty water. The problem of drinking water is multifold – availability, accessibility,

quality – the list is varied. The question we need to ask ourselves is ―What can WE do to help

alleviate the problem?‖

Our focus – Villages and rural areas After studying different problems associated with drinking water, we believe that problem of

drinking water is more severe in villages and rural areas. There is literature supporting

severity of water borne diseases in villages and more problems arising due to unavailability

of clean drinking water in villages. We hence decided to focus our project work on drinking

water solutions for villages and rural areas.

This report covers:

1. Study the village level problems related to drinking water availability and policies

associated with the same

2. Create a database of grass-root and simpler technologies/methods that can be applied

to solve these problems

3. Study the institutions working in the rural areas, their methodologies, reasons for

success/failure etc.

4. Pool inferences and success stories to form applicable recommendations

Drinking water – key issues:

Availability:

Availability of clean drinking water is one of major problems faced by the developed world.

This problem is severe in the rural areas and villages, which also acts as a major deterrent in

development of the residing population. Poor access to clean drinking water caused myriad

health related problems and diseases. This hampers proper growth and development of the

population. Statistically, more than 20% world population has no access to safe drinking

water.

173

Following data shows that the problem is severe in developing countries and specifically in

rural areas.

Rank

Countries

Water

Availability

36 Bangladesh 97%

60 Pakistan 90%

76 India 84%

129 Kiribati 48%

129 Guinea 48%

131 Fiji 47%

131 Madagascar 47%

133 Eritrea 46%

133 Haiti 46%

135 Congo 45%

136 Equatorial Guinea 44%

137 Papua New Guinea 42%

137 Burkina Faso 42%

139 Rwanda 41%

140 Oman 39%

141 Angola 38%

142 Laos 37%

142 Mauritania 37%

144 Cambodia 30%

145 Chad 27%

146 Ethiopia 24%

147 Afghanistan 13%

Source: http://www.nationmaster.com/graph/hea_dri_wat_ava-health-drinking-water-

availability

Quality:

Other key issue with the drinking water is quality. There is substantial literature supporting

the degrading quality of water resources because of contamination from industrial waste,

chemicals, agro-chemicals etc. The quality of underground water is also deteriorating because

of contamination and quality is very serious issue that needs specific attention.

http://www.nationmaster.com/graph/hea_dri_wat_ava-health-drinking-water-availability



http://www.nationmaster.com/country/bg-bangladesh/hea-health

http://www.nationmaster.com/country/pk-pakistan/hea-health

http://www.nationmaster.com/country/in-india/hea-health

http://www.nationmaster.com/country/kr-kiribati/hea-health

http://www.nationmaster.com/country/gv-guinea/hea-health

http://www.nationmaster.com/country/fj-fiji/hea-health

http://www.nationmaster.com/country/ma-madagascar/hea-health

http://www.nationmaster.com/country/er-eritrea/hea-health

http://www.nationmaster.com/country/ha-haiti/hea-health

http://www.nationmaster.com/country/cg-congo-democratic-republic-of-the/hea-health

http://www.nationmaster.com/country/ek-equatorial-guinea/hea-health

http://www.nationmaster.com/country/pp-papua-new-guinea/hea-health

http://www.nationmaster.com/country/uv-burkina-faso/hea-health

http://www.nationmaster.com/country/rw-rwanda/hea-health

http://www.nationmaster.com/country/mu-oman/hea-health

http://www.nationmaster.com/country/ao-angola/hea-health

http://www.nationmaster.com/country/la-laos/hea-health

http://www.nationmaster.com/country/mr-mauritania/hea-health

http://www.nationmaster.com/country/cb-cambodia/hea-health

http://www.nationmaster.com/country/cd-chad/hea-health

http://www.nationmaster.com/country/et-ethiopia/hea-health

http://www.nationmaster.com/country/af/hea



174

Awareness:

Awareness is again a major problem specific to drinking water. In rural areas the awareness

about water borne diseases is limited. This leads to spread of such diseases and hinders the

health of the rural population. Poor health also economically affects the families and is a

major deterrent in development of rural population.

Equity in sharing of water resources:

Water resource sharing has been a key issue since long. Population residing far away from

the water resource has poor access to the water. This phenomenon is generally referred as

‗Tail Problem‘ and is very prevalent in irrigation projects. Farmers closer to the water

resource have better access to the water while the farmers far away have poor access.

Secondly, the money paid by every farmer is the same.

Regional Issues:

If we consider a country like India with diverse geographic and climatic conditions, problems

associated with clean drinking water are different. In some areas, there is lack of water while

in some areas we observe floods. Some areas are have polluted water resources while in some

areas salinity is observed. These different problems need different solutions and need specific

approach based on the problems specific to that region.

Policy Issues and Subsequent Implementation

Most countries have policies in place but implementation of those policies is a problem. India

has a comprehensive National Water Policy and some important points regarding the policy

are given below:

1. National Water Resources Council (NWRC) was set up in March 1983 to frame

policy and coordinate

2. Prime Minister is the Chairman of NWRC and Union Minister of Water Resources is

the Vice-Chairman of NWRC

3. Formulate and review the National Water Policy (NWP)

4. First NWP was adopted in 1987 and was revised in April 2002

5. Water allocation priorities are

• Drinking water

• Irrigation

• Hydro-power

• Ecology

• Industrial use

• Navigation

Policy mainly focuses on irrigation related issues and has very limited specifics.

175

The policy talks about quality of drinking water but there are no specific standards or

numbers given to judge the quality. Further, there are hardly any specifics related to pricing

issues associated with water resources. One of the key reasons for misuse and

mismanagement of water resources is poor pricing policy. There are states where water prices

have not been changed for last 30 years and some states provide free electricity to farmers,

which allow farmers to pump the water at lower cost. These kinds of policies lead to wastage

and poor utilization of water resources. There are examples of successful water resource

management where water is priced such that the maintenance and operations cost of a project

are covered. This helps in continuous utilization of the water resource and limited misuse e.g.

water cooperatives in western Maharashtra region are very successful as their pricing policy

is sound.

However, to fill these gaps in the Water Management Policies, certain organizations crop up

in the society.

In the next section, we will discuss some Organizations which work in India as well as other

countries with an objective of solving the drinking water problems.

Organizations and Institutions 1. WASMO: Water and Sanitation Management Organization

2. Global Water

3. International Water Management Institute

Water and Sanitation Management Organisation (WASMO) is an autonomous organization

set up in May 2002 by the Gujarat government. The main aim for creating this organization

was to facilitate decentralised community-managed water supply programme in villages. It is

registered as a society under the Societies Registration Act of 1860. In addition, it is also a

public charitable trust under the Bombay Public Trust Act, 1850.

Genesis of WASMO

About two-thirds of Gujarat has experienced water scarcity in the past. The regions of

Saurashtra, Kutch and North Gujarat have experienced teething problems like recurrent

176

droughts, over use of the groundwater sources and salinity. Hence, the Government of

Gujarat decided to create a Special Purpose Vehicle (SPV) for meeting the specific

institutional needs and empowering the user communities in the villages. After the severe

earthquake in 2001, water and sanitation facilities degraded in many parts of the state,

especially in the region of Kutch, thus putting the creation of WASMO on the fast track.

Vision Invalid source specified.:

1. To enable rural communities to have adequate, safe and sustainable drinking water supply

and improved habitat

2. To ensure empowerment and active community-management of natural resources, leading

to an improvement in their living standard

Mission Invalid source specified.:

1. Empowering communities to plan, own, construct, manage and maintain their water

supply and sanitation

2. Ensuring participation of communities and women in managing their water supply and

sanitation

3. Attaining drinking water security through a combination of local and bulk water supply

systems along with village level infrastructure

4. Encouraging and empowerment of communities to adopt best practices on local water

resource management, including rainwater harvesting

5. Bridging the existing information and knowledge gaps among community on water

resource management, water conservation, safe drinking water, hygiene and

environmental sanitation issues

6. Creating a pool of manpower and strong knowledge base in the water and sanitation

sector

177

Structure of WASMO

The Chief Executive Officer (CEO), who is a government officer, heads the governing body

of WASMO. There is a technical cell which is responsible for guiding the water supply cell,

water quality cell, water resource management cell and the environmental sanitation cell. The

management support unit guides the administrative cell, HRD and establishment cell and the

MIS cell. The Secretary, Water Supply Department, Government of Gujarat, is the Chairman

of the Governing Body of WASMO.

Organisational Structure of WASMO

Key WASMO Projects

1. Community Managed Ghogha Regional Water Supply and Sanitation Project

2. Community-managed Water and Sanitation Programme in Earthquake-affected Villages of

Gujarat (ERR Project)

3. Swajaldhara Programme

4. Sector Reform Scheme

Chairman -Secretary, Water Supply

Department

Secretary, Rural Development Department

Secretary, FInance Department

MD, Gujarat Water Infrastructure Limited

Member Secretary, GWSSB

Chief Engineer and Addtl Secretary, Water Supply

Dept

Joint Secy and Mission Director RGNDWM

Upto 5 non-official members nominated by

Guj Govt

Member Secretary - Joint Secretary, Water Supply

and CEO, WASMO

178

5. Water Quality Programme

6. Integrated Tribal Development Programme

Reaching out to the Community – Information Education Communication

An important component for the success of WASMO has been the Information Education

Communication (IEC). The primary role of IEC is to mobilise the community and generate

awareness about the project and its activities. It works with the Pani samitis to educate the

local community in order to make informed decisions of the technology options for projects.

In addition, it also raises awareness and addresses the challenges to sanitation and hygiene

practices.

IEC Target Groups

IEC works with the following to ensure maximum community participation in the projects it

undertakes:

Pani Samiti Members

School teachers

Health workers

Self Help Groups

GWSSB staff

179

Mechanism for implementing strategy

Involving sarpanches and village elders – The sarpanch is the head of the Gram Panchayat,

the elected body in the village. Before starting out any project in villages, WASMO

connected to the sarpanch and other village elders to get their buy-in and to convince them

about the utility of the project.

Experience Sharing – WASMO is involved in many projects in different villages across

Gujarat. The knowledge gained through the experiences in these projects is shared with the

villages in the form of information leaflets and documents. Manuals and training modules are

specially created for efficient dissemination of information.

Use of Effective tools of communication (media) - WASMO uses different modes of

communication and media to reach the villagers including television, radio and street plays.

Many members embark on a door-to-door visit to interact with the villagers and also have

informal meetings at the village level. Wall paintings, print media, brochures, leaflets and

posters are used to create awareness. Mass media such as television and radio are used for

community awareness about water quality and sanitation. Street theatre is also used

effectively to mobilise the entire community.

Campaigns and special drives – Special drives are initiated in villages involving the

community members for cleanliness of drinking water storage, water conservation, etc. In

addition, different days like World Water Day (March 22) are celebrated with the

community. There are many school focused campaigns also.

The Actual process

1. The WASMO members meet the village sarpanch and community leaders at an informal

level and brief them. Based on this meeting, they request for a community meeting to

determine the readiness of the villagers to participate in the project

2. If the community is interested in the project, a cross functional team is crafted to kickstart

the process in the village.

3. What they avoid doing is imposing their thoughts on the community members. Ideas are

actively sought from the villagers and many of these ideas are finally taken up for

implementation

180

Overcoming hurdles

After the initial round of meetings is done, WASMO members take a stock of the situation to

see the response of the villagers. Sometimes, there would be very little enthusiasm from the

community to take on the project. This indifference might be because of lack of information

and lack of understanding regarding the benefits of the project. Once the benefits are clear,

then the level of participation increases.

Sometimes the project might find hindrances from powerful people within the village, even

though the majority of the community would want the project to go ahead. Another major

hurdle is that some of the villagers would be incapable of paying the requisite amount

required by WASMO to kick off the project. In such times, flexibility is needed in terms of

payment from the community and differential tariffs might have to be implemented.

Focus on leadership

Through this model of community involvement, many champions and leaders have emerged,

who play an active role in ensuring the project reaches completion. Community Development

leaders are chosen, whose role is to encourage the empowerment of the community and

motivate individuals to work together for a common purpose.

Role of Women

It is not surprising to see many women come forward and actively participate in the

community development projects. Since women are the most impacted by non-availability of

water, they often take up active roles in making the project successful. No community project

can be successful without their active involvement.

Partnerships

The success of projects taken up by WASMO can also be attributed to the partnerships it has

been able to forge at every level. The first level of partnership is with the gram Panchayat and

the Pani Samitis. Processes have been put in place to involve these people at each and every

stage of decision making. The second level of partnerships is with NGOs working for water

projects and the District Water and Sanitation Committee (DWSC). At a third level,

WASMO also engages with other research and training institutes within the state.

181

WASMO Projects

All the projects taken up by WASMO have a minimum 10% contribution by the community.

This is essential as it gives the community a feeling of involvement and ownership of the

project. This requirement is irrespective of the size of the project and WASMO does not

proceed if this minimum requirement is not met. The remaining amount is then funded by

WASMO and other agencies. In case a particular community member is not able to pay, then

someone else in the village might come forward to support. In some cases differential tariffs

also have been tried. However, in some cases, WASMO has seen as much as 20% being

funded by the community itself. Also, single donor contributions are never accepted by

WASMO for a particular project. All donations given to WASMO go into the central pool

from which allocation is done for different projects.

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Reasons for WASMO‟s success

1. WASMO is an independent autonomous organisation and hence there is very minimal

government and political intervention.

2. The organisation is headed by the CEO and hence decision making is quick, unlike

government organisations where a lot of time is spent in getting the files approved in

different offices.

3. 95% of the employees are engaged on a contractual basis, with their performance

being evaluated every six months. This removes the general ‗Sarkari office‘ tendencies in the

employees and keeps the performance levels high.

4. The contracts of non-performers are not renewed; hence employees have to perform

consistently. The performance is measured with each and every task given.

5. No Dearness Allowance given; pay hikes based only on performance.

6. 1/3rd work force dedicated to Awareness: safety of water, good practices to avail

safer drinking water, awareness about benefits of such community participation and

ownership.

183

7. Projects have been successful because many communities and pani samitis have

actively been involved. Project conceptualization, implementation and maintenance all taken

up by the community itself

8. WASMO also ties up with NGOs and other GOs working in those villages. Even after

the project is complete, WASMO regularly follows up to ensure sustenance and continuous

operation

Success Story: Kharaghoda village community after taking up water projects through

WASMO has now become self-sufficient in fulfilling their water needs

Pani Samitis

The Pani Samiti is formed in accordance with the Government Resolution (GR) passed by the

State Government of Gujarat in 1995 and amended in 2002. It is formed as a sub-committee

of the Gram Panchayat. The GR stipulates that the Pani Samiti should have representation

from marginalised communities and atleast one third members should be women.

The Pani Samitis have been entrusted with financial powers and have the authority to take

decisions on behalf of the villagers. It acts in coordination with WASMO and other NGOs in

implementing schemes for community water projects.

Women‟s participation

According to government regulations, atleast on-third of the members of the Pani Samiti have

to be women. This has ensured active participation by women. In some villages, where the

Pani Samitis were not in place or where the men did not take much inititative, women formed

Pani Samitis on their own. However, in some villages, their representation is just a formal

process and they do not exercise their voice. However, this trend is changing with time. As of

today, more than 24000 women are members of Pani Samitis and are heading Pani Samitis in

879 villages.

184

ATMARPAN – dedicating the system to the self

WASMO has created an interesting and unique system through the ‗Atmarpan‘ ceremony

which means dedicating the system to the self. It is an elaborate ceremony where all Pani

Samiti members take an oath in front of their village community to operate, maintain and

manage the schemes. This results in a sense of responsibility among the members and the

community as a whole in caring for the village assets.

Resolutions taken by the members include

1. Motivating the village community to use water resources in a conservative manner. 2.

Operating and maintenance of the village water supply system 3. Collect tariff for O&M of

the system and maintain transparency

186

Global Water, founded in the year 1982, is an international, non-profit organization. They

have a focus on creating safe water supplies, sanitation facilities and hygiene-related facilities

for rural villagers in developing countries. Invalid source specified.

Unlike most other NGOs, Global Water DOES NOT work with governments of developing

countries to create projects for water. They believe that such projects are often caught up in

red-tapism of bureaucracy and often there is corruption and unnecessary wastage of time.

Instead, they choose to work directly with other small NGOs who are doing similar projects

in different parts of the developing countries. Global Water helps in the project by providing

funding, technology, technical experience and equipment. The concerned NGO provides day

to day supervision, construction expertise, community knowledge

1. International, non-profit organization since 1982

2. Focus on rural villages in developing countries

3. ―Lack of access to safe drinking water is the primary cause of hunger, disease and

poverty throughout the developing world‖

4. Utilize water and sanitation as a tool to create sustainable socioeconomic

development

5. Projects

Surface water supply distribution systems

Rainwater harvesting

Watershed reforestation

Water treatment etc

6. DO NOT work with governments in developing countries

187

7. Working with NGOs to provide funding, technical assistance and programme

management experience

Rural Outreach Water Supply Program (ROWS)

Step 1: Identification of local NGOs in developing countries working on rural water supply

projects

Step 2: Work together with the NGO to identify potential suitable water supply projects for

that country/area

Step 3: Help the NGO determine the equipment and technical know-how for executing the

project

Step4: Provide funding for the project (may vary from partial to full funding)

Step 5: Provide specialty water-related equipment to local water-advocacy NGOs

Step 6: Provide technical expertise to local water-advocacy NGOs during a project to help

with project management, equipment installation and training

Step 7: Monitor and inspect completed projects and maintain continuity through the NGO

Reasons for success

1. Releasing of yearly progress reports – Global Water releases the status of the projects it

has taken up and notifies about the progress made in these projects. This report is available

on their website and can be accessed by anyone. This ensures automatic monitoring of their

work and that there is progress in the task which they have taken up.

2. Autonomous organization without any government or political intervention – The

projects taken up by Global Water are not stuck up in bureaucratic hassles and there is quick

decision making. They work only with those NGOs which are not linked to the government.

3. Involvement or local NGOs and communities is very high – Global Water works together

with local NGOs and communities which have already been working for that cause locally.

Thus, the team is aware of the ground realities and difficulties that the local people face.

4. Addressing the problems with customized solutions that suit the local conditions –

Global Water does not advocate a one-solution-fits-all methodology and has used customized

188

solutions for the water problems at different places. It combines the local expertise and

knowledge with its own technical capability to come up with a suitable solution.

5. Good team of Technical advisors and board of directors – The success of an institution

depend a lot on the team running the affairs at the helm. The Global Water team has a strong

board and technical advisors consisting of corporate directors, professors, senior civil

engineers, MBAs and even a former US Ambassador.

INTERNATIONAL WATER MANAGEMENT INSTITUTE

The International Water Management Institute (IWMI) is an international research centre

which has the support of a network of 60 governments, private foundations and other

organisations collectively known as the Consultative Group on International Agricultural

Research (CGIAR). It has a staff of more than 350 people across 10 offices in the country.

(IWMI, 2010)

Mission (IWMI, 2010)

The mission of IWMI is to improve the management of land and water resources for

livelihood, food and environment.

Vision (IWMI, 2010)

The vision of IWMI is water for a food-secure world. It aims to resolve the land and water

management challenges faced by the poor community in the developing countries. This is

done through active research, which is the core activity of the IWMI. This is done through 4

major themes – viz.

1. Water Availability and Access

2. Productive Water Use

189

3. Water Quality, Health and Environment

4. Water and Society

IWMI works through collaborative research and targets policy makers, development

agencies, individual farmers and private sector organizations.

The themes on which IWMI works are as follows:

Theme 1: Water Availability and Access

IWMI strongly believes that water availability and access are the key constraints to reducing

poverty and ensuring food security. In many cases, water resources are already over

allocated, with the river flows reduced and groundwater levels dropping, thus resulting in

physical water scarcity. In some other cases, there is adequate water availability, but access to

these resources is difficult and these resources remain undeveloped, which is a case of

economic water scarcity. This theme considers both these cases and has the following sub-

themes –

Drivers of change, water availability and access

Climate change, water and agriculture

Adaptive management strategies and tradeoffs

Theme 2: Productive Water usage

This theme addresses how water can be used more productively. The focus is on challenges

arising from both physical and economic water scarcity, and to tackle it by creating

sustainable options for adaptive management of water that increase both water productivity

and the benefits gained from water for livelihood purposes.

This theme provides analysis and tools developed through interdisciplinary research to

facilitate:

Revitalizing irrigation

Managing water in rainfed systems

Sustainable use of wetland

Theme 3: Water Quality, Health and Environment

190

This theme aims to explore the strategies to improve water quality while reducing the impacts

to human health and the environment in the process of doing so. It targets the water quality

implications of urban and rural land use. It builds on the strengths and track record of the

research done by IWMI in the areas of wastewater, environment and health, and then links it

to water-quality implications of unsustainable land use in catchment areas.

The main sub-themes under this broad theme include:

Managing the impacts of urban land use on water quality

Managing the impacts of agricultural land use on water quality

Theme 4: Water and Society

This theme deals with how to address institutional and socio-economic issues arising in

developing countries dealing with physical and economic water scarcity. It also aims to

address the issue of how societies govern their water economies. In many developing nations,

there is an acute need for reforming the existing water governance mechanisms. Climate

change and water scarcity necessitate taking u immediate steps to improve the productivity of

existing water resources. The need of the hour is the development of new models and other

options for nation-wide water policies and governance.

There are 4 broad sub-themes under this topic:

Water governance

Water economics

Water, poverty and equity

Impact assessment

These organizations and institutions are in the continuous process of involving the

communities to solve the problems related with drinking water. Though, their impacts are

clearly visible in their areas of operation, still the task needs to be scaled up to achieve 100%

drinking water availability worldwide.

In the next section, we will discuss the various small scale technologies for water

management as well as water purification. Proper availability and implementation of these

technologies can supplement the tasks of these organizations.

191

A database of grass-root and simpler technologies/methods that can be applied to solve

these problems

Rain Water Harvesting

It involves accumulation and storage of rainwater for drinking purposes, for livestock,

irrigation or for groundwater recharge and refill aquifers. This method has been traditionally

used in Thar deserts of Rajsathan. Elephanta Caves and Kanheri Caves in Mumbai during

Indus Valley Civilization period have been using Rain water harvesting only to meet their

water requirements.

The rain water is collected from the surfaces like rooftops, tents or sometimes the ground is

specially prepared for rain water collection where land cannot be put to some other use.

―Household rainfall catchment systems are appropriate in areas with an average rainfall

greater than 200 mm (7.9 in) per year, and no other accessible water sources‖ (Skinner and

Cotton, 1992).

There are different types of systems to harvest rainwater.

The rate of water collection from these systems depends on the plan area of the system, its

efficiency, and the intensity of rainfall (i.e annual precipitation (mm per annum) x square

meter of catchment area = litres per annum yield) ... a 200 square meter roof catchment

catching 1,000mm PA yields 200 kLPA. Apart from collecting rainwater from the rooftop of

the houses, there is another version of Rain water harvesting which is called Ground

catchment Systems.

Ground Catchment Systems

These systems, which are more suited for communities than individuals, channel water into

storage from a prepared catchment area. These systems are used in areas where rain is scarce

and other sources of water are not available. These systems collect large quantity of rainwater

by channeling rainwater to storage through gutters and pipes. The system as a whole requires

regular maintenance and cleaning to prevent contamination and evaporation losses.

192

Source: Chelseagreen

Source: United Nations Environment Programme

Another version of rain water Harvesting is building Subsurface Dykes.

Subsurface Dykes

It is built in an aquifer which obstructs the natural flow of groundwater and thus raises the

groundwater level and increases the amount of water stored in an aquifer. It has been proved

to be a feasible method for ground water conservation using rain water harvesting. This

193

system has been employed in Kerala and is the largest rainwater harvesting system of that

region.

Advantages of Rain Water Harvesting

It helps to maintains water supply in water scarce areas

This system is simple to construct as it needs a simple surface and can be made from

locally available materials.

The system is inexpensive to build and maintain.

Good quality of water is obtained by this method. Since, rain water is of good quality,

it generally doesn‘t require any treatment before consumption. Rooftop material and

level and kind of pollution in the area are also the factors which determine the quality

of water. Where the quality of water is an issue, it can always be used for domestic

purposes.

Concerns

Requires frequent maintenance

Quality of water depends on the rooftop material and pollution conditions of the region

194

Air Well

Principle of Operation

This system promotes the condensation of moisture present in the air which can then be

collected for further usage. They contain a substrate with a sufficiently low temperature

which allows dew formation. Air well can have different designs and the simplest design

does not require any external source of energy.

There are three principal designs of air-well:

1. High mass air wells

High-mass air well of Belgian engineerAchile Knapen in Trans-en-Provence

Source: Wikipedia (Rozaleenda Group)

Source: Wikipedia commons

A section through Zibold's dew condenser.

A. Cone of beach pebbles.

B. Concrete bowl

http://en.wikipedia.org/w/index.php?title=Achile_Knapen&action=edit&redlink=1

http://en.wikipedia.org/wiki/Trans-en-Provence

195

C. Ground level

D. Natural limestone base.

A pipe runs from the base of the bowl to a collecting point.

These were used in early 20th century and required high mass structures. This kind of system

has failed. It was existing in Byzantine city of Theodosia, Yugoslavia etc.

2. Low-mass, Radiative collectors

These were used 20th century, onward.

By using the collectors which lose heat rapidly by radiation, dew was allowed to form on the

collector surface which is then harnessed for drinking purposes. An important principle in

this method is that the collector surface should be small enough to not be able to retain heat

and should be hydrophilic to let the dew condensation take place easily.

Source: Wikipedia (Prof. Girijasharan’s work)

This method can be used in coastal regions where a large quantity of dew forms. The material

used as active collector is generally galvanized iron or aluminium sheets. However, a special

plastic developed by OPUR (Organization for Dew Utilization), france by mixing

polyethylene with titanium dioxide and barium sulphate is by far the best in terms of cost as

well as efficiency. There are two kinds of surfaces generally used: flat at an angle of 30

degree to the horizontal and inverted pyramid. Research is still going on in this kind of

196

collectors. Dr. Girija Sharan, a former professor at IIM-A is currently working on this project

in Village Kothara in Kutch District of Gujarat.

Advantages

It involves low cost of operation.

It can be easily mounted on the roof top of the houses and hence doesn‘t require any

specifically devoted space.

Concerns

The scale of operation is limited for this method. i.e. to make it available for the whole

population of the region is difficult on commercial basis.

3. Active collectors

These collectors operate on the same principle as dehumidifier. These systems require heat

exchanger to be cooled below the dew point so that water will be produced as a result of

dehumidification. These systems are economical to use where water cannot be desalinated or

purified at a lower cost and fresh water is uneconomical to transport in.

A commercially produced atmospheric water generator intended for residential use

Source: http://www.ttwltd.com/yetiac12.htm

http://www.ttwltd.com/yetiac12.htm

197

Dew Pond

Dew ponds are the small artificial ponds made at the top of the hills in which fog, mist, dew

or rain water is collected for drinking or domestic purposes. Such ponds are useful where

surface water is not available.

Typical example of downland dew pond near Chanctonbury Ring, West Sussex.

Source: Wikipedia (StephenDawson)

There is a particular technique to construct dew ponds. The ponds are lined with clay and

then lined with insulating layer of straw. This is further lined with clay. Little amount of lime

and soot is added to the clay to prevent earthworms making holes into the clay and burrowing

upwards. The clay is finally covered with straw and stones to prevent cracking due to sun

rays and any physical damages. These dew ponds were prominent on the Sussex hills during

19th

century. They are still common in Southern England, the North Derbyshire and

in Nottinghamshire. These systems are still being researched upon the ways to replenish them

as there are controversies over how water is collected in these dew ponds.

Storm Water Drains

Storm drains are actually used to drain away excess of rain water, flood water etc. from

sidewalks and roofs. Though, these generally act as kind of sewer lines for rain and flood

water and are used to throw away excess water, but if cleaned and maintained properly, they

can be used to harness water for domestic purposes or water can be easily purified for

drinking purposes.

http://en.wikipedia.org/wiki/Chanctonbury_Ring

198

Source: http://scienceslurp.wikispaces.com

The quality of water is the result of pollution conditions in the locality. If the city is highly

polluted, these storm drains will get water which is polluted with toxic compounds and heavy

metals. But at a cleaner place, they can be definitely used to utilize flood water also.

Another option is to drain away the water collected in storm drains into the soil for ground

water recharge.

1. Sand filters:

Source: http://www.ci.sandy.or.us

199

Sand filters are used to for getting potable water out of raw water by its purification. They are

the non-pressurized systems.

Principle of operation:

The sand filters work on the principle of formation of a bio-film on top of the sand layer. This

bio-film is made up of bacteria, fungi and larvae etc. Over the time, algae and other

organisms grow in this layer. This performs the physical as well as biological treatment of

water by trapping the impurities in its matrix and adsorbing and digesting the organic

impurities. This provides good quality water with up to 90-99% bacterial reduction. As this

bio-film grows further, it reduces the flow of water passing through and filter needs to be

refurbished. Refurbishing is done by scrapping of the top layer of sand and exposing new

layer of sand and bio-film.

Advantages

They don‘t require electricity or chemicals to perform their function.

They are easy and cheap to construct.

They don‘t require any technical training to operate.

This method is recognized by WHO for surface water treatment and appropriate even for

poor regions.

Concerns

They can operate efficiently only with water having low turbidity levels.

The kind of impurities removed depends on the kind of sand filter used.

They operate slowly and require a storage tank during peak demand.

They need regular pre-treatment to remove the blinding that takes place in the filter after

excessive usage.

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Spring catchment systems

Source: http://www.filterclean.co.uk

Spring Catchment systems are generally constructed in hilly regions have springs and these

systems use the spring water as source of water, purify the water, and store the water for

drinking purposes. The spring water is captured in a collection tank right at the point where it

appears on the surface. This is both for maximum utilization as well as preventing

contamination. Water is then directed into a leveling tank from where it is sent to purification

chambers if required and then passed into the distribution line.

Advantages

Water treatment is not required as spring water is usually safe for consumption

It is easy to be managed by the communities using local skills once constructed.

Concerns

Construction requires technical skills from Government, NGOs etc.

Frequent and exhaustive maintenance is required such as avoiding contamination of

catchment area, regular cleaning, controlling activities around the area, and even avoiding

growth of trees in the area so that roots of trees don‘t enter the system.

Costs incurred in construction and maintenance are higher.

Quality of water is a concern in rainy season and if some industry is located nearby.

http://www.filterclean.co.uk/

201

There are some cultural risks associated with using spring water. In some communities, it is

believed that use of spring water by women who have given birth to twins or are widow leads

to drying up of springs. So, even though the technology is sustainable, the myths and rituals

are associated with springs in many cultures and hence offer a problem in implementing the

technology.

Bank Filtration

Bank filtration allows purification of water by passing it through the banks of river or lake

and then extracting it back into extraction wells. This water can be then used for drinking

purposes as such or further treatment if required. The method has been used in Europe for

example: this method is used along river Rhine in Germany.

Filtration takes place in three ways in this method:

Physical Filtration: The impurities cannot pass through the interstitial spaces between

Alluvial soil particles.

Chemical Filtration: Soluble materials in the water react with aquifer salts and ion-exchange

takes place.

Biological Filtration: The organic materials present in the water are digested by the micro-

organisms present in the soil and aquifer salts.

Over the time, when all the sites in the bank have reacted, the procedure becomes slower. So,

maintenance is required from the side of the ponds from which impure water is being sent,

while the river side gets maintained by itself because of turbulent flow of the river.

Folkewall

It was designed by Folke Gunther in Sweden. This wall is generally used to treat grey-water

i.e. waste water from domestic activities, but can be appropriately applied for getting drinking

water by using the right kind of raw water. The technique efficiently uses the space and

performs two functions at a time:

1. Vertical plant growing

2. Purification of water

Folkewall consists of a double layered wall with hollow slabs fitted between these two layers.

The water is allowed to enter from the top and to pass layers of hollow slabs in a zig-zag

motion through the longest possible path and is then collected at the bottom. The plants are

202

grown in the corner pockets of the slab. The plant growing pockets are towards the outer side

of the model. After the installation of the wall, the plant is grown in the pocket with its roots

inside the wall and in contact with the water.

It performs purification through the biological processes by the layer of micro-organisms

which grows inside the slabs.

The harvesting of plant is also one of the parts that contribute to the purification of water and

hence it is recommended to use fast-growing plants. Also, the water to be treated should not

contain heavy metals and industry pollutants.

Source: http://www.holon.se

Advantages

The wall is easy to construct and install.

http://www.holon.se/

203

If the wall is used in greenhouse, it also acts as heat exchanger.

Similarly, if this kind of wall is made a part of four walls of a building, it produces the

cooling effect inside the building.

Bio-sand filters

Bio-sand filters have been adapted from slow sand filters and are suitable for use in rural

areas where drinking water is a problem as this results into water which is free from

discoloration, odor and contaminants. This system was developed in 1990 by Dr. David

Manz, a former professor at University of Calgary and commercially manufactured in 2007

by International Aid Inc. Around 3 lakh units were planned to be distributed worldwide by

2010. Bio-sand filters consists of a layer of gravel topped with a layer of coarse sand and then

finer sand in a PVC barrel. The bio-film forms at the top of fine sand layer. This layer should

be allowed to stay undisturbed by the flow of water and should be kept wet. This is done by

using a diffusion plate few centimeters above the bio-film and by keeping the level of filter

water collection tube at a level higher than the bio-film

Source: https://seeyourimpact.org

Advantages

204

The biggest advantage of bio-sand filter is it can also be made at home using sand and clay

pot and is economical to use but still removes 90-99% of contamination.

Lifestraw

Lifestraw are the point of use devices which are used for purification of surface water making

it potable. It has been developed by Vestergaard Frandson, a Sweden based organization.

It consists of a plastic tube 31 cm long and 30 mm in diameter.

Usage

Lifestraw while using has to be dipped into the water source and the water is sucked through

mouth. As the water is sucked, it passes through a 100 micrometer space and then 15

micrometer space. It then passes through a chamber filled with iodine beads which kills the

remaining bacteria. It finally passes through active carbon which removes the iodine taste

Advantages

Lifestraw is portable.

It can filter up to 700 litres of water per year which can satisfy the drinking water needs of a

single person in a year.

The iodine beads are helpful in treating the diseases due to iodine deficiency generally found

in the developing countries.

Concerns

This system is far too expensive for the target market.

Source: http://www.vestergaard-frandsen.com/lifestraw

http://www.vestergaard-frandsen.com/lifestraw

205

Source: http://www.medwayrotary.org.uk/lifestraw.html

Source: http://lifestraw.wikispaces.com/

http://www.medwayrotary.org.uk/lifestraw.html

http://lifestraw.wikispaces.com/

206

Source: http://peoplesdesignaward.cooperhewitt.org

207

Q-Drum: Rollable Water Container

Source: http://thekopernik.org

Rollable water container has been developed by Kopernik, an organization which is dedicated

to connect innovative technologies and the poor communities. It is a portable donut shaped

water container which can be used to carry water from water sources to the point of usage

and consumption.

The concept is based on the fact that in developing countries where a water distribution

system is absent and water is available at far-off places, it has to be carried for long distances.

This heavy task is generally is given to the women and the kids who have to make several

rounds to carry an adequate quantity of water required during the day. This rolling tank can

carry 50 litres of water and can be pulled easily. The drum costs $65 which is high for poor.

But the technology is certainly can be modified locally to meet the water needs of the poor.

Bore Blasting Technique This method can be used in a steep and compact rocky terrain, where the water run-off is

more and rain water cannot penetrate into the ground. Using Bore Blasting technique, voids

are created in the compact upper layer of the rocky formation. This has been accomplished in

the states of Maharashtra and Madhya Pradesh because of suitable geological and hydro

geological conditions. It creates more storage space for ground water artificially in massive

and crystalline rocks by fracturing the bedrocks.

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Silt removal and deepening of existing ponds Villages depend on ponds as the source of water since long ago. These ponds fulfill the

domestic as well as agricultural needs of the village. Over the time, transfer of silt load to

ponds reduces its storage as well as downward percolation of the rainwater. This hinders the

sustainability of these ponds. Silt removal and deepening can be used to solve this problem

and help in maintaining the sustainability of these ponds.

Bhungroo The bhungroo is an underground space for water storage which is created without any

specific construction. A long perforated pipe is inserted into the ground up to just above the

saline aquifer found. Rainwater can be accumulated and stored in the subsoil using this pipe.

This stores the water underground which prevents the water loss due to evaporation. This

water can be then pumped out through the same pipe to irrigate the field whenever needed.

Because of the higher density of these highly saline aquifers with high total dissolved solids,

the freshwater collected floats above the saline layer as a separate layer and can be stored for

as long as 180 days without any deterioration in water quality. Then, this can be pumped out.

Inferences and recommendations:

We studied different solutions to solve drinking water problems at village level. Based on our

analysis we would like to make following recommendations:

1. Facilitating organization: A facilitating organization is needed that can engage with

the local communities and organizations and provide resources like technical know

how, funds, knowledge etc. Autonomy to the facilitating organization is of utmost

importance e.g. WASMO works as an autonomous organization

2. Involvement of community in funding of the projects is very important as it instills

feeling ownership

3. Ownership, operations, and maintenance should be responsibilities of the local

community

4. No ideal solution for any village – need to go with customized solutions based on

the community needs, demands, geography, climate conditions etc.

5. In India, specific focus needs to be given on equity

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6. Water is a resource and needs to be priced properly for conservative use. Minimum

prices should cover the operations and maintenance cost of the water resource.

7. Awareness among the community members is important.

1. Population needs to be sensitized about safe water usage and hygiene

2. Further, people should know about the avenues to get the water services e.g.

WASMO experience of invoking competition among villages

Bibliography










bhjkk.

















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Jaipur, India.















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4.html





IWMI. (2010, November). Retrieved November 14, 2010, from International Water

Management Institute: http://www.iwmi.cgiar.org/



213

Sr. No. 11, 56, 57, 33, 88, 89


Interim Progress Report

Dinking Water Availability for 6 billion plus people of the World

Final Report Paul Ricard, Stéphane Zahrai, Baldev Raj Juneja, Hemant Gaule

Advised by Pankaj Srivastava and Prosenjit Ghosh

I. Water Accessibility

Water is a fundamental resource which is used for variety for purposes from domestic,

agricultural and industrial uses. It is essential for all socio-economic development and for

maintaining healthy ecosystems. A century before there was enough safe drinking water

available from the natural resources. The twentieth century observed a threefold increase in

population growth but there was six-fold increase in water consumption. The population

growth, coupled with industrialization, has intensified the pressure on water resources leading

to tensions, conflicts among users, and excessive pressure on the environment and to a

situation of water crisis. The water crisis is not primarily because of the shortage of water but

because of inadequate management and access of water.

Water crisis is both a natural and a human-made phenomenon. There is enough

freshwater available for six billion people on the earth but it is distributed unevenly as shown

in figure.12

12 http://www.un.org/waterforlifedecade/scarcity.html

http://www.un.org/waterforlifedecade/scarcity.html

214

Fig. 1. Fresh water availability on earth (cubic meters per person per year, 2007)

The figure shows that African and Asian countries are the ones which are having

water stressed and water scarce regions. In these countries irrigated agriculture represents the

bulk of the demand for water. During scarcity and water shortage, agriculture would be the

first sector to be affected to maintain the per-capita food production while meeting water

needs for domestic, industrial and environmental purposes.

There have been inadequate practices followed by humans like inappropriate use of

water for domestic purpose, disposal of industrial wastes in safe sources of water

contamination of ground water with excess use of fertilizers etc which has led to alteration in

our ecosystem. Other practices like construction of dams, diversion of river water for

irrigation and drainage channels has disturbed the ecological balance.

Symptoms of water scarcity include severe environmental degradation (including

river desiccation and pollution), declining groundwater levels, and increasing problems of

water allocation where some groups win at the expense of others

215

According to United Nations Human Development Report of 2006, there are around

1.1 billion people living in developing countries who do not have adequate access to safe and

clean drinking water. There are more than 2.6 billion people who lack basic sanitation

facilities. The lack of basic sanitation and unsafe water are the cause of 80 % of diseases

including water borne diseases like diarrhea, dysentery and other illness etc.13

Because of

these water borne diseases, there are around 1.8 million children which die each year.14

In order to sustain and meet the growing needs of access to safe drinking water, all

countries in the world need to focus on the proficient use of all water sources i.e.

groundwater, surface water and rainfall and on water allocation strategies that will maximize

the economic and social returns. Before discussing that in detail, it is important to understand

the issues of water in urban and rural areas.

a) Water issues in urban areas

Urban areas of the developing and developed countries are facing the common

problem of increasing demand for freshwater supply. The increasing population is putting up

lot of pressure on existing water resources that these resources are leading towards extinction.

Although there is adequate supply of water in the urban areas but the urban areas of

developing countries are lacking behind in water management.

There is a lack of proper metering mechanism for water distribution system and waste

water management. The affluent from the waste water are not treated properly before being

disposed off in rivers or lakes. Furthermore, the low tariffs and lack of water metering

devices have encouraged people to either waste or consume more water.

Water pollution is another major issue in urban areas in both developing and

developed nations. There is severe contamination of water from industrial and domestic

13 http://www.charitywater.org/whywater/

14 http://www.worldwatercouncil.org/index.php?id=25

http://www.charitywater.org/whywater/

http://www.worldwatercouncil.org/index.php?id=25

216

wastes and as a result the areas adjoining the urban cities contaminated water with highly

toxic organic and inorganic substances, some of which are persistent pollutants.15

Another

source of water pollution is runoff from streets which carries automobiles pollutants, rubber,

oil, heavy metals, etc. All this toxic fluids and chemical waste contaminates the groundwater

which is a major source of drinking water.

The increase in population density in urban areas has left limited place for

constructing large water storage structures like dams, ponds, wells etc. Also, there is very

high cost associated in constructing such large structures. There are various techniques which

can be adopted for artificial recharge of water in urban areas:

Water spreading

Recharge through pits, trenches, wells, shafts

Rooftop collection of rainwater

Road-top collection of rainwater

Induced recharge from surface water bodies

The Road Side Rain Water Harvesting Structures (RRWHS) and Roof Top Rain

Water Harvesting Structures (RTRWHS) are the effective techniques of storing runoff in

urban areas. The rain water is effectively harvested which can be further filtered out through

economical filtering materials.

b) Water issues in rural areas

The root cause of many diseases, hunger and poverty in the developing world today is

the lack of access to safe water. There are at present more than 50 nations around the world

which are suffering from one or more diseases because the local water supplies are either

contaminated or non-existent.

15 http://www.devalt.org/water/WaterinIndia/issues.htm

http://www.devalt.org/water/WaterinIndia/issues.htm

217

Contaminated water is the major cause of health problems and currently causes 80%

of the health problems throughout the world. The rural areas are mostly affected by

contaminated water problems in the developing and less developed countries because the

only source of water for people to wash with and drink from is often a badly polluted shallow

well or mud-hole used by both animals and humans. The areas where there is a stream or a

river are also polluted with animal and human wastes since all such wastes are also dumped

into these sources without any treatment. The supply of water in the developing countries is

infected with a various microorganisms that cause typhoid, diarrheal diseases, amoebic

dysentery, cholera etc. According to the past 10 year statistics, there has been a dramatic

increase in the number of deaths from the consumption of unsafe and contaminated drinking

water around the world.

A report entitled ―Groundwater Availability Study for Water-Short Developing

Countries‖ indicated that there are considerable groundwater assets available even in some of

the most drought-prone areas of the world. Although available, these groundwater assets are

not being used today because often the vested interests of the leaders of these countries who

do not possess the political will to drill water wells for their own people.16

There are many Asian countries, including India, which are facing water crisis

problem that threatens to limit food production and badly affect region's economies. As stated

by Asia Development Bank, ―Asia is witnessing a despoliation of its freshwater resources

with disastrous consequences for ecological balance and environmental sustainability.‖

About 80 and 89 per cent of all untreated wastewater is leaching into fresh water in east and

south Asia. Another major concern is that these regions use up to 80 per cent of the fresh

water for irrigation and agriculture purpose but there is no considerable increase in irrigation

efficiencies.17

Irrigation is a major source of food, income and livelihood for millions of poor living

in the rural areas of the developing countries. Proper irrigation would lead to development of

16 http://www.globalwater.org/background.htm

17 http://www.indiaenvironmentportal.org.in/content/asia-facing-worsening-water-

crisis-adb

http://www.globalwater.org/background.htm

http://www.indiaenvironmentportal.org.in/content/asia-facing-worsening-water-crisis-adb


218

agriculture in rural areas which in turn would help in eradicating poverty and developing

standard of living of rural poor. As stated in UN Water report ―Coping with water scarcity:

Challenge of the twenty-first century‖ 2007, ―the anti-poverty effects of irrigation can be

assessed at two levels: production, related to the national or regional economy; and

livelihoods, related to the household and its well-being (Table 1).The former has been the

method traditionally used to assess irrigation impacts; conversely, a livelihood-based

approach to irrigation places adequate and secure livelihood aims before increased

production.”18

Table 1: Livelihood-related issues for water in rural areas

18 http://www.fao.org/nr/water/docs/escarcity.pdf

http://www.fao.org/nr/water/docs/escarcity.pdf

219

In order to provide a long term solution of save, affordable and sustainable drinking

water to the above mentioned problems, permanent sources of clean, fresh water are needed.

There are different ways of securing water access in rural areas:

Drilling wells: A series of well can be drilled that can be used to supply safe drinking

water supplies to tens of thousands of people during all conditions, but especially

during periods of drought. The digging up of water wells can be an important source

of uncontaminated water supplies in areas having no existing water supply or only

having access to polluted water.

Rain water harvesting Techniques: Rain water harvesting is the technique of

accumulating and storing rain water. The water accumulated can be used to provide

water for drinking, livestock, irrigation and can be discharged to the soil for future use

which is called ground water recharge. There are various ways in which rain water

harvesting can be done.

Storage of rainwater on surface: The storage of rain water on surface is a traditional

technique. The structures being used for storing water are underground tanks, ponds,

check dams, weirs etc. These structures can be useful to store surface runoff

effectively. They have lower construction cost but they are prone to seepage and

evaporation losses. And because of their openness to surrounding environment the

water stored is also prone to various contaminations and biological activities.

Recharge to ground water: Recharge to ground water is a new concept of rain water

harvesting. The technique is effective if sufficient good aquifers are available in the

region. The structures that used have least cost but the storage capacity depends on

many external factors. Generally used ground water recharge structures are pits,

trenches, dug wells, bore wells, hand pumps, recharge wells, recharge shafts etc.

RCC water tanks: Reinforced Cement Concrete water tanks are the closed structures

with no seepage and less evaporation losses and least interference with atmosphere.

220

They are comparatively costly constructed but they can provide reliable water supply

with good quality with appropriate amount of treatment.19

Different rain water harvesting structures that are presently used in different regions

of India are classified in Table 2. They are region specific and are used on the basis of

topography, rainfall, runoff, land-use pattern and land availability of a region. The ultimate

aim of all RWH structures is to provide an alternative source of water or to augment supply

of irrigation.

Table2. Classification of RWH structures20

Sr. No. Topography Main feature Rainwater harvesting structures

1 Forest and Hilly

areas

Undulating surface,

vegetative cover

1. Contour trenching

2. Vegetative barriers

3. Gulley control structures

4. Catch pits

5. Percolation ponds

6. Water spreading

2 Plain areas Gentle slopes, very low

undulating surfaces


2. Injection wells

3. Furrow ditches

4. Infiltration galleries

5. Ducts

6. anicuts across streams

7. Minor irrigation tanks

8. Farm ponds

19 http://www.tn.gov.in/dtp/rainwater.htm

20

http://www.thefreelibrary.com/Evaluation+of+rainwater+harvesting+methods+and+s

tructures+using... - a0216183036

http://www.tn.gov.in/dtp/rainwater.htm

http://www.thefreelibrary.com/Evaluation+of+rainwater+harvesting+methods+and+structures+using...%20-%20a0216183036

http://www.thefreelibrary.com/Evaluation+of+rainwater+harvesting+methods+and+structures+using...%20-%20a0216183036

221

3 Coastal and

desert areas

Sandy soil. High

infiltration


2. Sub surface check dams


4. Canals

4 Built up areas Higher percentage of

impervious surface

1. Temple tanks

2. Rooftop harvesting

3. Wells and radiator wells

4. Parking lot storage

5. Recreational park ponds

II. Institutional Status

Since the global water issue is being more and more important, the role of the institutions

must be underlined.

A lot of things changed in the way the humanity is recently dealing with this issue. With the

Millennium Development Goals Summit in 2000, the UN organization started to point the

need to build a new institutional system around water. The mission of the MDG‘s has to be

achieved by 2015, mission which is to reduce by 50% the population without access to clean

water. 189 countries have adopted the resolution. The MDG‘s are generally speaking, a unit

of political commitments, which are supposed to fight against the main issues in developing

countries; the objectives must be reached by 2015. The Target 10 is about water issues and

the year of reference is 1990.

A lot of studies regarding Target 10 appeared after the summit. And a lot of problematic

points took place. According to the experts, to achieve this goal, which is to reduce by 50%

the proportion of people without access to clean water, the investments per year are estimated

between 9 and 30 billion USD. This gap of variation is due to several points. There is a lack

in the definition of drinking water; it needs more criterions to define what it is. Secondly

statistics on the subject are rare. There is no accurate information about drinking water.

That‘s why experts agree to say that the cost of achievement of this target is underestimated.

Because all the technologies that are going to be used have numerous fixed and variable costs

that have not been defined yet. However those investments are needed if the countries want

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the success of the MDG‘s. All these points show that the objectives of the MDG‘s won‘t be

reached, mainly because of the lack of motivation from the institutions and the country

representatives in these institutions.

These objectives were supposed to be the motto of the international institutions, but

unfortunately, we can see that there is a difficulty to put in practice what has been planned.

This triggers the fact that the coordination between the international institutions and the

countries is hard, and that the governmental policies are not that efficient. But these new

institutional issues regards every kind of international institutions that are in charge of water

issues, and in particularly the UN, the Food and Agriculture Organization and the World

Health Organization.

The future non-achievement of the goals of the MDG in 2015 suppose that there is a need to

think about a new kind of water governance based on the coordination and the

communication between all the actors of the water issue (localities in rural and urban area,

Citizens, Governments, NGO‘s, Industries…). The availability of drinking water for 6 billion

people is one of the highest stakes for the future, because it will raise new perspectives

regarding the reduction of poverty, the improvement of human health, the economy, the

society and geopolitics.

So in conclusion, what‘s the status of the international institutions around water issues?

International institutions are trying to fight against one of the main issues in the world. They

fixed goals, but it‘s still unnecessary if they want to improve the availability of drinking

water. There is a need of massive investments if the institutions want to the results to be

positive.

a) Water governance?

During the water summit in Istanbul in 2009, a notion has been discussed: water

governance21

. The international institutions are wondering why not create a global institution

which will deal exclusively with water issues. But this governance does not only imply

21 http://www.world-governance.org/spip.php?article466

http://www.world-governance.org/spip.php?article466

223

institutions, it also implies social groups. It is coordination between these different actors. So,

why have they spoken of ―water governance‖? The institutions and the countries

representatives realized that a bad management of water resources and the absence of real

guidelines were the cause of all the issues around water. But then, this governance must be

set up in accordance with all the countries since water issue is a global issue. Experts are

pessimists about the achievement of the objectives given during the MDG‘s. And the

International University of Tokyo has always warned the institutions that the process of

development must go through the resolution of the water issues. But since the objectives

won‘t be obviously accomplished, it‘s a fail for the international institutions, the non-

governmental organizations and the governments who have not made the necessary to

improve the water issues. That‘s why today‘s high stake in the global water issue is to settle a

new international governance that will have to care about the evolution of water access, but

also care about its access. The existence of water governance will help the objectives to be

fulfilled, and will permit the independence and the legitimacy of a new global institution. But

to achieve this, there is a need of investment, because water infrastructures are still really

expensive.

b) National institutions

Developed countries have understood that water is a pillar in society. That‘s why a lot of

western countries22

. In the past few years, numerous actions and plan have been made in

order to improve the legislation around water to improve the management of water resources.

In the European countries for example there is the Water Framework Directive (WFD), which

is a community framework for water protection and management. Firstly, Member States

must identify and analyze European waters, on the basis of individual river basin and district.

They shall then adopt management plans and programs of measures adapted to each body of

water. This legislation has improved a lot the management of water. South Africa has also

implemented a new legislative framework around water in order to achieve the national goals.

And there are many other examples. As we can see, some countries are willing to improve the

access to safe water and want to set a better management of water bodies. But still the

majority of countries and in particularly developing countries is not aware of the importance

of changing the management of water. Cameroun for example is going through a crisis in

22 http://esa.un.org/techcoop/flagship.asp?Code=CHD03006

http://esa.un.org/techcoop/flagship.asp?Code=CHD03006

224

terms of how they deal with water. Why? And this is typically what‘s happening in other

developing countries: We observe a large disparity of distribution of water whether in terms

of water resources, which Cameroun has, and in the quality of water. Then there is an

increasing demand of water. All are reasons why it‘s really difficult in Cameroun to manage

water. The non-existing policy around water does not help this phenomenon. The national

institutions are fragmented and have no will of improve the management of water. And this

water issue localized in Cameroun is common to others African countries or also Asian

countries. It causes more and more health, social, political, cultural, economic and

environmental problems. 95% of the management of water is run by public companies, which

belong to the states23

. And these companies are not investing in water infrastructures, which

is really constraining for the improvement of water availability on a national scale and of

course on the international scale.

c) Which actors have to be

As notified before, 95% of the water distribution in the countries is owned by public

companies. Concerning water issues, this is really interesting. We know that it exists a lack of

investments in water infrastructures and some experts have already agreed with the fact that it

will be interesting to see how private companies can run the national distribution of water.

There are many reasons that make them think that it can be interesting to see the private

sector more involved in the water business. Indeed private companies are less sensitive when

it comes to money. With their participation, they will be able to improve the infrastructures

around water but also permit a better water accessibility. But how can private companies

accomplish a public service?

So basically, here are some points that can be really interesting:

- A partnership between the public and the private sector: Where the public sector set

a legislative framework around water and the private sector improves the

distribution of water. This kind of partnership has already been experienced in some

developing countries in Africa or in Asia and has been successful in urban areas

according to some studies.

23 http://www.mddep.gouv.qc.ca/eau/politique/

http://www.mddep.gouv.qc.ca/eau/politique/

225

- In Bolivia the attempt to put water under the power of a private company has been

really criticized in the country. Water fees were considered as too expensive. The

vice-president of the World Bank used to say that the future wars will be about

issues…. And in Bolivia the riots during the 2000‘s have shown that water ruled by

private companies can be really dangerous because it profits only to the rich people.

So we can see the ambiguity of the private sectors. Even if they have the money, and that

they are not afraid to invest, it creates a new kind of power, a political power that is really

dissuasive. That‘s why distribution of water must be protected by a good legislation and

watched by the public organizations.

III. The Desalination Solution

Studying urban areas‘ water access in both developing and developed countries brings

a lot of insight regarding available technologies and policies. Given that the urban population

will represent 70% of the global population by 2050, it is also important to secure solutions

for those zones.

We feel desalination is a solution which can both address the global population

increase, and the more and more dramatic issue of urban areas.

a) The concept

226

Desalination is virtually an unlimited and cost-effective source of water for places

which are close to the sea and which gather around them huge amounts of population.

This technology, by using sea-water, allows taking off salt from the latter and

producing fresh water which, after basic treatment, can become drinking water. This is a very

energy consuming technology, which is one of the main reasons why it has not been used at a

large scale right now.

However, some ―desalination champions‖ brought the cost down, and it is known

around $0.50 per cubic meter in some countries ($0.53 in Israel24

, $0.49 in Singapore25

).

Thus, it represents a cost-effective solution for large coastal cities, compared to other water

gathering solutions, and this cost keeps on improving.

The environmental aspect also has to be taken into account. With renewable energy

(windmills) as a power source, desalination plants would not only become more cost-

effective (considering the amortization of fixed costs and the diminution of variable costs),

but would also be potential carbon neutral entities.

Desalination can also be used to the purpose of waste water treatment. Even though it

only represents 5% of the current desalination plants capacity, the potential is consequent.

b) The leaders

With costs of respectively $0.49 and $0.53 per cubic liter of water produced,

Singapore and Israel host right now the most cost-effective desalination plants.

24 EJPress – French-run water plant launched in Israel -

http://www.ejpress.org/article/4873

25 Edie.net - Black & Veatched-designed desalination plant wins global water distinction

- http://www.edie.net/news/news_story.asp?id=11402&channel=0

227

Singapore started hosting desalination in 200526

. CitySpring launched it, and the plant

could produce 30 million gallons (about 130 000 cubic meters) of water a day, which was

10% of the country population demand. A second plant has been launched last June,

producing about 300 000 cubic meters of water a day, which means that Singapore

potentially can supply 33% of water needed through desalination.

This is even more important that in 2009, 40% of Singapore water was imported from

Malaysia, so these investments were strategic for the country‘s water independence. Since

then, Singapore officially announced it wanted to cut water importation from Malaysia27

.

The government planned to reach a capacity of one million cubic meter by 2060,

which could potentially make the country almost depending 100% from desalination by then.

Moreover, Singapore is becoming a centre of excellence, and might take advantage of

its experience curve to export its technology. Government is currently negotiating with China

for a possible implementation of Singapore‘s desalination technology.

c) The users, now and in the future

Right now, desalination stands for a production of about 32 million cubic meters of

fresh water every day28

(for a capacity about twice bigger). The repartition of this production

is the following:

- 52% for the Middle East (mostly Saudi Arabia

26 CitySpring – About SingSpring - http://www.cityspring.com.sg/assets_ss.html

27 Circleofblue.org - Singapore Will Cut Water Imports from Malaysia, Pursue Self-

Sufficiency - http://www.circleofblue.org/waternews/2010/world/singapore-will-cut-

water-imports-from-malaysia-pursue-self-sufficiency/

28 Waterstandard.com - Global Water Crisis Promotes Desalination Boom (pdf) -

http://www.waterstandard.com/pdf/Global%20Water_CrisisPromotesDesalinationBoom_10-

22-2008.pdf

228

- 16% for North America

- 13% for Europe

- 12% for Asia

- 4% for Africa

- 3% for Central and South America

Today, Saudi Arabia has 30 desalination plants, providing with 70% of the country‘s

water demand, and new plants are being built, on top of the 30 current ones.

Middle East is planning to build extremely high-capacity desalination plants, with

projects going from 500 000 to 1m cubic meters a day (in Saudi Arabia).

In the US as well, several desalination plants are being built, such as one in

California, which will produce about 200 000 cubic meters of fresh water a day.

This is highly probable that desalination will be a natural next step for several

countries, becoming little by little the main way to access to fresh water. The experience

curve, including considerable energy consumption improvement, and resolution of

environmental issues (such as the impact of desalination on sea life), could have desalination

use evolve exponentially within the next years and decades.

d) The limits

Energy costs are the principal barrier to desalination greater use29

.

Environmental issue

29 Government of Australia - Desalination, Current or emerging issues paper, by the Western

Australia Water Corporation, Perth (pdf) -

http://www.environment.gov.au/soe/2006/publications/emerging/desal/index.html

229

Several NGOs are blaming desalination for a lot of environmental concerns. First,

desalination increases local salinity in places around desalination plants, which can be

threatening water life.

Moreover, due to their high use of energy, greenhouse gas emissions are consequent,

thus it is urgent for those plants to be constructed with built-in clean energy sources, such as

windmills and solar boards. This is already planned for a few plants, such as the one in Perth,

Australia.

Cost issue: production

May it be through conventional energy sources or through clean energy sources,

energy consumption is so high right now that variable production costs remain very high, and

make the solution unaffordable for many countries and zones.

On top of it, the constructions costs are still high, even though, as seen earlier, they

might go decreasing, along with more and more efficient (thus cost effective) solutions.

Cost issue: transport

One of the major concerns coming with desalination is that it often comes with the

purpose to transport fresh water to zones with no access to other water source, and far from

the seashore. Riyadh, in Saudi Arabia, is mostly provided with desalinized water coming

from more than 300 km away. Such a transport implies huge transmission and distribution

costs, which clearly can‘t be afforded by developing countries.

However, as we mentioned in our assumptions, since desalination could provide lots

of zones with new fresh water solutions, the current fresh water sources could be used for

some nearer zones. And once again, we need to study deeply the experience curt to verify

how affordable desalination in its totality can become in the future.

230

Only a small surface of India can be provided with water coming out of desalination

e) Our solutions

Adoption of desalination needs to come along with strong an adapted institutional

structure, strong PPPs and interesting enticements.

Like any technology, it has its early adopters (among which Saudi Arabia and

Singapore at a large scale, but also the United States for example), but some actors, including

China and India, cannot really start the desalination challenge before adapted measures are

set.

Here is a graph estimating the beginning of the adoption of desalination, in function

of the fixed cost of the technology. For China and India, who respectively initiated some

programs back in 2000 and in 2005, dates are completely indicative. China and Singapore

announced technology sharing, which can set the start of adoption to 2010.

231

Like it has been done in the United States, the main purpose of desalination in huge

countries with large non-coastal zones is to transfer the distribution from conventional fresh

water sources (e.g. ground water tables) to more internal zones. Coastal zones would be

more, or even exclusively, taken care of by desalination, which is a totally new source, not

interfering with the current ones.

In this way, not only desalination would help prevent issues coming from rural exodus

and massive increase in population in urban coastal areas, it would also help reduce fresh

water access issues in more internal and forgotten zones.

We will now see what improvements we can think of to ease implementation of desalination.

IV. Institutional improvements

Around the water issues, in order to improve the role and the importance of the institutions,

there is a need of a new organization, which will take on the responsibility of the

implementation of new governance. We need to define what‘s the governance: it‘s the

exercise of a political, economical and administrative authority at every scale of the

management of the affairs of a country.

232

If the institutions want to improve the access to clean water, all the actors around water issues

must been part of the process. For better water governance, the process must be transparent,

democratic, fair and poor-directed. The institutions must prioritize the issue of drinking

water. In Dublin, for the international conference of water and environment, principles has

been decide and give a better comprehension and definition as a limited and vulnerable

resource, essential for the life.

Here are some points for the improvement of the institutions:

- Decentralization and participation: The management of water governance must imply

a lot of functions and in order to motivate and keep the work on, it‘s better to

implement an open social structure which will involve the civil society, private

companies and medias that will influence and support the governments.

- Transparency: Corruption is one of the biggest plagues for the achievement of

accessibility of drinking water to 6 billion people because it is linked to the lack of

participation and transparency. The countries and the institutions have accepted easily

the corruption during several years. Now there is a need to fight against the

corruption, which is now a key to the sustainable development.

- The institution must be opened and transparent: Every institution must work

transparently using a communication which every people can understand. The

political decisions around water must be transparent.

- Global: Participation across the process of management of water, the implementation

of projects, and the evaluation. There must be a dialogue.

- Integrative: Strong responsibility form the politics and of the institutions at every

level. They must consider every potential water users in the planning and the set up of

projects and programs.

233

- Fair and Ethical: There must be equity between different actors involved in the water

issue. Respect of the institutions towards the legislative framework. Sanctions must be

taken if there are corruption or illicit practises.

- Responsible: every institution must justify every decision and actions, in order to be

clear, informative and transparent.

- Efficient: Political, social and environmental efficiency must be fair against the

economical efficiency.

- Receptive and sustainable: the demand in water, the evaluation of future aftermaths

and the experience must constitute the basis of the water policy. The policies must be

set up and the decisions taken at a right scale. The long-term sustainability in water

resources must be the priority of each institution.

. Water credits

In order to entice companies to set up desalination plants, and in order to accelerate

their installation, some compensation has to be offered.

Spontaneously, one can think of a water credit system. Similarly to carbon credits,

such a system could reward companies setting desalination and wastewater treatment plants

in developing countries, by allowing them credits they could use or trade.

However, the idea of such a system raises the following questions:

On what would be based such a system? Carbon credits are nicknamed ―permits to

pollute‖ since they allow companies to emit more greenhouse gases. Should water

credits be ―permits to waste water‖? The problematic is here totally different.

How would be traded those credits? We could see with the Kyoto Protocol and its

settlement issue that a global market for such a product is hard to set, as it necessarily

has to penalize some actors at first.

234

Those issues would make an independent water credit system impossible. This is why

another process needs to be created. Our solution will actually rely on both carbon credits

allocation and the creation of water credits related to carbon credits and the cap-and-trade

system.

Below is a simple chart of the solution we will explain in the following pages.

a) Carbon Credits

Let us start with a quick reminder on how carbon credits and the cap-and-trade system

work.

According to the Kyoto Protocol30

, countries, and indirectly companies, are allotted

carbon credits. Quantitatively, one carbon credit equals the emission of one ton of CO2. Such

an allotment comes with the set of a cap of carbon emissions.

Given that some companies emit more CO2 than their carbon credits allow them to,

they have to either reduce their carbon footprint, or obtain more carbon credits. That comes

from the trade system.

In order to obtain more carbon credits, a company can:

30 UNFCCC – Kyoto Protocol - http://unfccc.int/kyoto_protocol/items/2830.php

235

Buy them from companies emitting less CO2 than allowed to

Invest in CDM projects

b) CDM

CDM (Clean Development Mechanism)31

projects are set in developing countries, and

funded by a developed country‘s company. The requirements to be approved by the CDM

Executive Board, the official institution regulating CDMs, are the following:

The company applying for the CDM project needs to prove that the project wouldn‘t

have happened without the allotment of carbon credits

It also needs to present clear estimations of the long term carbon emission reductions

it generates compared to a ―non-clean‖ project.

Once the project is approved, it can be built, and CER (Certified Emission

Reductions), equivalent to carbon credits, are granted to the company.

CDMs are the first element of our ―enticement‖ strategy. Indeed, as mentioned before,

in order to be a sustainable solution, desalination needs to be supplied by clean energies, such

as windmills. By funding such a project, developed countries‘ companies can apply for CDM

projects, and obtain consequent CERs, given the amount of energy needed by desalination.

As a consequence, after setting a PPP with a developing country, company X can

create a desalination plant considerably funded by the emission of CERs, which can either be

traded, and bring cash to the company, or allow this company some extra ―permits to

pollute‖.

However, fixed costs from building a desalination plant still remain extremely high,

and variable costs (operating, maintenance…) are and will stay high. Thus, other solutions

need to be explored along with the CDM benefits.

31 UNFCCC – About CDM - http://cdm.unfccc.int/about/index.html

236

c) Embedded water credits

As mentioned earlier, it is hard to imagine water credits coming on their own. One

can hardly think of a use for those credits, and setting up a global trading system would be so

long that there would be no benefit for the years to come.

This is why an efficient alternate solution would be to create water credits convertible

into carbon credits.

Obviously, this solution presents an immediate disadvantage: the cap for carbon

emission would necessarily have to be higher than previously expected. However, the

arbitrage here needs to be done between strict carbon emission reduction objectives and

improved access to clean water around the world. Such a decision would have to come from

debates and an official decision from institutions such as the United Nations.

In what follows, we will admit that such a decision would be possible.

Given that CDMs help funding the project through a pre-building CERs allotment,

they take care of the fixed costs. Water credits should then take care of the variable costs and

be linked to the production (in quantity, but also taking care of production history) of new

fresh water. Here, we only consider seawater, and not consider wastewater, which we will

talk about later.

As seen earlier, the cost of desalination has been brought down to $0.50 per cubic

meter of water32

. We will assume the following statements:

32 Edie.net - Black & Veatched-designed desalination plant wins global water distinction -

http://www.edie.net/news/news_story.asp?id=11402&channel=0

237

When created, water credits will subsidize half of water production from new

desalination plants

In order to guarantee the ―natural‖ profitability of the plant in the long term, water

credits will be allotted on a decreasing base, depending on time. This will guarantee

the plant to operate as close to maximum capacity as possible in its earliest days, in

order to obtain as many credits as possible. Such an allocation will guarantee a higher

and faster impact of desalination in the considered zones.

Water credits and carbon credits will be tradable on a flexible basis. This will

guarantee the system to evolve along with democratization of desalination, and will

prevent water credits to overwhelm carbon emission reduction long term objectives.

On the other hand, this will also boost the profitability of investments in desalination

plants, in case few projects were planned.

The allocation of water credits in function of the seniority of the project should follow

a negative exponential curve, as shown above. Thus, they would act as a trigger during the

first months (initially subsidizing half of the production, but this ratio could considerably

0 10 20 30 40 0 10 20 30 40

Evolution of subsiding by water credits

in $cents in fct of months

Evolution of water credits / carbon

credits ratios in fct months

238

evolve in function of the water credits / carbon credits ratio), and would considerably

decrease, allotting only one third of the initial credits to the production after one year

following our model: y = exp(1 - (time in months) / 10).

Regulated by a supranational institution, the ratio water credits / carbon credits should

not, at first sight, move a lot day after day. However, it would depend on two major

constraints:

At a macro level, the ratio should remain interesting enough on the long term in order

to entice companies to invest in desalination plant projects. In the same way, if

desalination plants became too numerous, the long term trend should be low enough

to dissuade new entrants to set plants.

At a micro level, given the constant decrease of the water credits allocation, day-to-

day moves could entice desalination plants to operate at a higher capacity. In the same

way, it could also reduce water production if necessary.

One could also consider distinct water credits quotations depending on the country, or

even the region, in order to entice companies to invest more in some regions.

In the end, those water credits would be exchanged for carbon credits, or CERs.

Those carbon credits could either be used directly by the company or traded on the carbon

market.

239

Drinking Water Availability for 6 billion plus people of the World

2nd Report

Sudeshna Dey, Namita Chauhan, Sourav Das, Shubhashish Biswas, Devki Nandan, Mathew

Samuel

I-What solutions and best practices are coming out of urban areas?

Studying urban areas‘ water access in both developing and developed countries brings

a lot of insight regarding available technologies and policies. Given that the urban population

will represent 70% of the global population by 2050, it is also important to secure solutions

for those zones.

In order not to process only by gathering best practices and mistakes to be avoided,

we need to start with assumptions and objectives.

First of all, we cannot precisely determinate which urban zone can have access to

which water source, and we cannot either find a miraculous solution which would match with

any urban area on the planet. However, by selecting some solution, studying their benefits

and limits, we can provide some zones with effective and cost-efficient technologies which

would improve radically water access in some areas, and would allow to redirect nearby

240

water sources to zones where those technologies are not applicable. This is why we will study

the desalination technology, its cost, direct impact, and limits.

Admitting we would partially solve the water access issue with desalination, water

sanitation and transmission is also a major issue. This is why we will analyze Public-Private

Partnerships as a potential efficient and profitable solution worldwide. Regarding Public-

Private Partnerships, we meet various situations, from fully privatized water acces sanitation

system, to a re-nationalized water system. We will analyze several examples separately, and

will try to find out the most efficient one, or the adequate combination of those different

systems.

1- Desalination

a) The concept

Desalination is virtually an unlimited and cost-effective source of water for places which are

close to the sea and which gather around them huge amounts of population.

This technology, by using sea-water, allows to take off salt from the latter and produce fresh

water which, after basic treatment, can become drinking water. This is a very energy

consuming technology, which is one of the main reasons why it has not been used at a large

scale right now.

However, some ―desalination champions‖ brought the cost down, and it is known around

$0.50 per cubic meter in some countries ($0.53 in Israel, $0.49 in Singapore). Thus, it

represents a cost-effective solution for large coastal cities, compared to other water gathering

solutions, and this cost keeps on improving.

The environmental aspect also has to be taken into account. With renewable energy

(windmills) as a power source, desalination plants would not only become more cost-

effective (considering the amortization of fixed costs and the diminution of variable costs),

but would also be potential carbon neutral entities.

241

Desalination can also be used to the purpose of waste water treatment. Even though it only

represents 5% of the current desalination plants capacity, the potential is consequent.

b) The leaders

With costs of respectively $0.49 and $0.53 per cubic liter of water produced,

Singapore and Israel host right now the most cost-effective desalination plants.

Singapore started hosting desalination in 2005. CitySpring launched it, and the plant

could produce 30 million gallons (about 130 000 cubic meters) of water a day, which was

10% of the country population demand. A second plant has been launched last June,

producing about 300 000 cubic meters of water a day, which means that Singapore

potentially can supply 33% of water needed through desalination.

This is even more important that in 2009, 40% of Singapore water was imported from

Malaysia, so these investments were strategic for the country‘s water independence.

The government planned to reach a capacity of one million cubic meter by 2060,

which could potentially make the country almost depending 100% from desalination by then.

Moreover, Singapore is becoming a centre of excellence, and might take advantage of

its experience curve to export its technology. Government is currently negotiating with China

for a possible implementation of Singapore‘s desalination technology.

c) The users, now and in the future

Right now, desalination stands for a production of about 32 million cubic meters of fresh

water every day (for a capacity about twice bigger). The repartition of this production is the

following:

- 52% for the Middle East (mostly Saudi Arabia

- 16% for North America

- 13% for Europe

242

- 12% for Asia

- 4% for Africa

- 3% for Central and South America

Today, Saudi Arabia has 30 desalination plants, providing with 70% of the country‘s water

demand, and new plants are being built, on top of the 30 current ones.

Middle East is planning to build extremely high-capacity desalination plants, with projects

going from 500 000 to 1m cubic meters a day (in Saudi Arabia).

In the US as well, several desalination plants are being built, such as one in California, which

will produce about 200 000 cubic meters of fresh water a day.

This is highly probable that desalination will be a natural next step for several countries,

becoming little by little the main way to access to fresh water. The experience curve,

including considerable energy consumption improvement, and resolution of environmental

issues (such as the impact of desalination on sea life), could have desalination use evolve

exponentially within the next years and decades.

In a further work, we will try to draw a convenient experience curve for desalination.

d) The limits

Energy costs are the principal barrier to desalination greater use. As we said, we will try to

draw an experience curve regarding this issue.

However, let us have a deeper look at the current issues.

Environmental issue

Several NGOs are blaming desalination for a lot of environmental concerns. First,

desalination increases local salinity in places around desalination plants, which can be

threatening water life.

243

Moreover, due to their high use of energy, greenhouse gas emissions are consequent, thus it is

urgent for those plants to be constructed with built-in clean energy sources, such as windmills

and solar boards. This is already planned for a few plants, such as the one in Perth, Australia.

Cost issue: production

May it be through conventional energy sources or through clean energy sources,

energy consumption is so high right now that variable production costs remain very high, and

make the solution unaffordable for many countries and zones.

On top of it, the constructions costs are still high, even though, as seen earlier, they

might go decreasing, along with more and more efficient (thus cost effective) solutions.

Cost issue: transport

One of the major concerns coming with desalination is that it often comes with the

purpose to transport fresh water to zones with no access to other water source, and far from

the seashore. Riyadh, in Saudi Arabia, is mostly provided with desalinized water coming

from more than 300 km away. Such a transport implies huge transmission and distribution

costs, which clearly can‘t be afforded by developing countries.

However, as we mentioned in our assumptions, since desalination could provide lots

of zones with new fresh water solutions, the current fresh water sources could be used for

some nearer zones. And once again, we need to study deeply the experience curt to verify

how affordable desalination in its totality can become in the future.

244

Only a small surface of India can be provided with water coming out of desalination

II- Public private partnerships: benefits and limits

CRISIL, a leader in risk rating in India, set a very complete study regarding the

opportunity of a Public-Private Partnership in Maharashtra. This case study has been

extremely consistent for us to understand the key factors of a PPP deal, and the challenges

faced by a country like India.

However, before going deeper in studying the results from this document, we will try

to provide deep inside from others countries, starting with France, thanks to several cities‘

analysis and interviews of members of government (Eau de Paris, public entity handling

water access and sanitation for Paris, Veolia Environnement).

a) In France, privately own entities: example of Marseille

(Interview to come with a responsible from Veolia Environnement)

Several French cities are being provided with water by one or several private

companies. We‘ll take the example of Marseille, one of France‘s biggest cities, whose water

supply and sanitation system is handled by the ―Société des Eaux de Marseille‖, a joint-

venture between Suez and Veolia Environnement.

245

We also planned an interview with a responsible from Veolia Environnement

regarding the company‘s strategy and relationship with several municipalities and countries.

Veolia is one of the world leaders in water supply and management. A lot of insight

should come out of this interview.

b) The city of Paris: from private to public

(Interview to come with a responsible from ―Eau de Paris‖)

The city of Paris consumes 550.000 cubic meters of water every day. In January 2010, after

contracts with Suez and Veolia expired, Paris water system came back to public management.

246

Here are some key advantages brought by ―re-municipalisation‖ of water access.

A better quality control system. By making water access public again, the city of

Paris banned any inconvenient which might be coming from the multi-management of water

access. Resources are handled centrally, through a highly funded system, and water is tested

by several independent laboratories, and a laboratory belonging to the city of Paris.

Since the city of Paris made entirely public water access, only one interlocutor is to be

taken into account from pick-up in rivers and water tables to the customer‘s tap. Rivers are

watched 24/7, and controls are made at each step of water transmission, following the same

guidelines, on every site (3 main different sites).

Undirectly, it is a more ecological solution. Indeed, by guaranteeing a 100% clean

water, the city of Paris can safely ban bottled water from public buildings such as schools and

hospitals, which results in lowering waste production.

247

II- Rural Aspects

The root cause of many diseases, hunger and poverty in the developing world today is the

lack of access to safe water. There are at present more than 50 nations around the world

which are suffering from one or more diseases because the local water supplies are either

contaminated or non-existent.

Contaminated water is the major cause of health problems and currently causes 80% of the

health problems throughout the world. The rural areas are mostly affected by contaminated

water problems in the developing and less developed countries because the only source of

water for people to wash with and drink from is often a badly polluted shallow well or mud-

hole used by both animals and humans. The areas where there is a stream or a river are also

polluted with animal and human wastes since all such wastes are also dumped into these

sources without any treatment. The supply of water in the developing countries is infected

with a various microorganisms that cause typhoid, diarrheal diseases, amoebic dysentery,

cholera etc. According to the past 10 year‘s statistics, there has been a dramatic increase in

the number of deaths from the consumption of unsafe and contaminated drinking water

around the world.

248

A report entitled ―Groundwater Availability Study for Water-Short Developing Countries‖

indicated that there are considerable groundwater assets available even in some of the most

drought-prone areas of the world. Although available, these groundwater assets are not being

used today because often the vested interests of the leaders of these countries who do not

possess the political will to drill water wells for their own people.

Source:http://www.globalwater.org/background.htm

There are many Asian countries, including India, which are facing water crisis problem that

threatens to limit food production and badly affect region's economies. As stated by Asia

Development Bank, ―Asia is witnessing a despoliation of its freshwater resources with

disastrous consequences for ecological balance and environmental sustainability.‖ About 80

and 89 per cent of all untreated wastewater is leaching into fresh water in east and south Asia.

Another major concern is that these regions use up to 80 per cent of the fresh water for

irrigation and agriculture purpose but there is no considerable increase in irrigation

efficiencies.

Source: http://www.indiaenvironmentportal.org.in/content/asia-facing-worsening-water-

crisis-adb

In order to provide a long term solution of save, affordable and sustainable drinking water to

the above mentioned problems, permanent sources of clean, fresh water are needed. There are

different ways of securing water access in rural areas:

Drilling wells: A series of well can be drilled that can be used to supply safe drinking

water supplies to tens of thousands of people during all conditions, but especially during

periods of drought. The digging up of water wells can be an important source of

uncontaminated water supplies in areas having no existing water supply or only having

access to polluted water.

Rain water harvesting Techniques: Rain water harvesting is the technique of

accumulating and storing rain water. The water accumulated can be used to provide water

for drinking, livestock, irrigation and can be discharged to the soil for future use which is

called ground water recharge. There are various ways in which rain water harvesting can

be done:

Storage of rainwater on surface:The storage of rain water on surface is a traditional

technique. The structures being used for storing water are underground tanks, ponds,

check dams, weirs etc. These structures can be useful to store surface runoff effectively.

http://www.globalwater.org/background.htm



249

They have lower construction cost but they are prone to seepage and evaporation losses.

And because of their openness to surrounding environment the water stored is also prone

to various contaminations and biological activities.

Recharge to ground water: Recharge to ground water is a new concept of rain water

harvesting. The technique is effective if sufficient good aquifers are available in the

region. The structures that used have least cost but the storage capacity depends on many

external factors. Generally used ground water recharge structures are pits, trenches, dug

wells, bore wells, hand pumps, recharge wells, recharge shafts etc.

RCC water tanks: Reinforced Cement Concrete water tanks are the closed structures

with no seepage and less evaporation losses and least interference with atmosphere. They

are comparatively costly constructed but they can provide reliable water supply with good

quality with appropriate amount of treatment.

Source: http://www.tn.gov.in/dtp/rainwater.htm

http://www.thefreelibrary.com/Evaluation+of+rainwater+harvesting+methods+and+structure

s+using...-a0216183036

Table1. Classification of RWH structures

Sr.

No. Topography Main feature Rainwater harvesting structure

1 Forest and

Hilly areas

Undulating surface,

vegetative cover

1. Contour trenching

2. Vegetative barriers

3. Gulley control structures

4. Catch pits


6. Water spreading

2 Plain areas Gentle slopes, very low

undulating surfaces


2. Injection wells

3. Furrow ditches


5. Ducts

6. anicuts across streams

7. Minor irrigation tanks

8. Farm ponds


http://www.thefreelibrary.com/Evaluation+of+rainwater+harvesting+methods+and+structures+using...-a0216183036


250

3 Coastal and

desert areas

Sandy soil. High

infiltration


2. Sub surface check dams


4. Canals

4 Built up

areas

Higher percentage of

impervious surface

1. Temple tanks

2. Rooftop harvesting

3. Wells and radiator wells

4. Parking lot storage

5. Recreational park ponds

Methods of artificial recharge in urban areas :

Water spreading

Recharge through pits, trenches, wells, shafts

Rooftop collection of rainwater

Roadtop collection of rainwater

Induced recharge from surface water bodies.

While the rain water is getting harvested through Road Side Rain Water Harvesting

Structures (RRWHS) & Open Space Rain Water Harvesting Structures (OSRWHS), filter

materials on these water harvesting structures are constantly filtering out dust and every other

impurities that are carried away through the run off rain water

III- Institutional and financial aspects around water

1- Institutions

A-International institutions

i) UN, FAO, WHO & co…

Since the global water issue is being more and more important, the role of the institutions

must be underlined. A lot of things changed in the way the humanity is recently dealing with

this issue. With the Millennium Development Goals Summit in 2000, the UN organization

started to point the need to build a new institutional system around water. The mission of the

MDG‘s has to be achieved by 2015, mission which is to reduce by 50% the population

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without access to clean water. And since the MDG‘s is a summit, which gathers the

countries‘ representatives, it automatically supposes that the governments are involved in this

process, which is to solve the water issue.

Let‘s take a first look on the role of international institutions that must be the leaders of this

―blue revolution‖. There is not only the UN, but also the World Health Organization or the

Food and Agriculture Organization that are concerned. The availability of water for 6 billion

people is one of the biggest stakes for the future not only because it‘s better for people to

have clean water, but also because it will raise new perspectives on health issues, economic

issues, political and social issues. It‘s almost the end of the Oil‘s kings; now begins the era of

water. That‘s why we need to analyse how the institutions are going to take in charge water.

The position of the UN and of the countries around the world is clear. We must take care of

the water and then facilitate the access to safe water in developing countries. That is the

purpose of every institutions evolving in this process. The water issue remains a global issue.

ii) Water governance?

During the water summit in Istanbul in 2009, a notion has been discussed: water governance.

The international institutions are wondering why not create a global institution which will

deal exclusively with water issues. But this governance does not only imply institutions, it

also implies social groups. It is coordination between these different actors. So, why have

they spoken of ―water governance‖? The institutions and the countries representatives

realized that a bad management of water resources and the absence of real guidelines were

the cause of all the issues around water. But then, this governance must be set up with in

accordance with all the countries since water issue is a global issue. Experts are pessimists

about the achievement of the objectives given during the MDG‘s. And the International

University of Tokyo has always warned the institutions that the process of development must

go through the resolution of the water issues. But since the objectives won‘t be obviously

accomplished, it‘s a fail for the international institutions, the non-governmental organizations

and the governments who have not made the necessary to improve the water issues. That‘s

why today‘s high stake in the global water issue is to settle a new international governance

that will have to care about the evolution of water access, but also care about its access. The

existence of water governance will help the objectives to be fulfilled, and will permit the

252

independence and the legitimacy of a new global institution. But to achieve this, there is a

need of investment, because water infrastructures are still really expensive.

B- National institutions

Developed countries have understood that water is a pillar in society. That‘s why a lot of

western countries. In the past few years, numerous actions and plan have been made in order

to improve the legislation around water to improve the management of water resources. In the

European countries for example there is the Water Framework Directive (WFD), which is a

community framework for water protection and management. Firstly, Member States must

identify and analyse European waters, on the basis of individual river basin and district. They

shall then adopt management plans and programmes of measures adapted to each body of

water. This legislation has improved a lot the management of water. South Africa has also

implemented a new legislative framework around water in order to achieve the national goals.

And there are many other examples. As we can see, some countries are willing to improve the

access to safe water and want to set a better management of water bodies. But still the

majority of countries and in particularly developing countries is not aware of the importance

of changing the management of water. Cameroun for example is going through a crisis in

terms of how they deal with water. Why? And this is typically what‘s happening in other

developing countries: We observe a large disparity of distribution of water whether in terms

of water resources, which Cameroun has, and in the quality of water. Then there is an

increasing demand of water. All are reasons why it‘s really difficult in Cameroun to manage

water. The non-existing policy around water does not help this phenomenon. The national

institutions are fragmented and have no will of improve the management of water. And this

water issue localized in Cameroun is common to others African countries or also Asian

countries. It causes more and more health, social, political, cultural, economic and

environmental problems. 95% of the management of water is run by public companies, which

belong to the states. And these companies are not investing in water infrastructures, which is

really constraining for the improvement of water availability on a national scale and of course

on the international scale.

253

2- financial aspects

A) Public or private sector?

As notified before, 95% of the water distribution in the countries is owned by public

companies. Concerning water issues, this is really interesting. We know that it exists a lack of

investments in water infrastructures and some experts have already agreed with the fact that it

will be interesting to see how private companies can run the national distribution of water.

There are many reasons that make them think that it can be interesting to see the private

sector more involved in the water business. Indeed private companies are less sensitive when

it comes to money. With their participation, they will be able to improve the infrastructures

around water but also permit a better water accessibility. But how can private companies

accomplish a public service?

So basically, here are some points that can be really interesting:

- A partnership between the public and the private sector: Where the public sector set

a legislative framework around water and the private sector improves the

distribution of water. This kind of partnership has already been experienced in some

developing countries in Africa or in Asia and has been successful in urban areas

according to some studies.

- In Bolivia the attempt to put water under the power of a private company has been

really criticized in the country. Water fees were considered as too expensive. The

vice-president of the World Bank used to say that the future wars will be about

issues…. And in Bolivia the riots during the 2000‘s have shown that water ruled by

private companies can be really dangerous because it profits only to the rich people.

So we can see the ambiguity of the private sectors. Even if they have the money, and that

they are not afraid to invest, it creates a new kind of power, a political power that is really

dissuasive. That‘s why distribution of water must be protected by a good legislation and

watched by the public organizations.

254

B) Water business

Since the demand of water increases day by day, some companies have understand that the

water market can be really interesting concerning profits. As it can be seen, investments in

new kind of water purification, or water distribution show how the profits can be really high.

It‘s already profitable, and experts agree that it will be more and more profitable in the next

years.

Let‘s take a look to some indices:

- Palisades Water Index (ZWI): This index follows the performance of companies

involved in the worldwide water industry. It has been multiplied by two in 3,5

years.

- Dow Jones Water U.S. Index: Index which gathers 23 titles. According to the

barometer, it passed from 500 to 736 in a year.

- ISE-B&S Water Index (HHO): This index gathers 23 companies specialized in

water solutions. It passed from 62 in 2006 at 88 today.

So basically with this indexes we can see that the water market in exploding. It‘s one of the

biggest future markets. So as the financial sphere is keeping on pursuing money for its own

sake, will the water market be protected from this and be more ethical?

REFERENCES

Urban areas:

Manila Water : Invests in the

future.http://www.manilawater.com/section.php?section_id=6&category_id=32&article_id=1

0

Toolkit for Public Private Partnership in Urban Water Supply for the State of Maharashtra.

http://go2.wordpress.com/?id=725X1342&site=washresources.wordpress.com&url=http%3A

%2F%2Fwww.adb.org%2Fdocuments%2Findia-ppp%2Fknowledge-series%2Fks-water-

supply.pdf&sref=http%3A%2F%2Fwashresources.wordpress.com%2F2010%2F10%2F01%

2Ftoolkit-for-public-private-partnership-in-urban-water-supply-for-the-state-of-

maharashtra%2F

http://www.manilawater.com/section.php?section_id=6&category_id=32&article_id=10



http://go2.wordpress.com/?id=725X1342&site=washresources.wordpress.com&url=http%3A%2F%2Fwww.adb.org%2Fdocuments%2Findia-ppp%2Fknowledge-series%2Fks-water-supply.pdf&sref=http%3A%2F%2Fwashresources.wordpress.com%2F2010%2F10%2F01%2Ftoolkit-for-public-private





255

RemunicalipationTracker. The case of Paris

http://www.remunicipalisation.org/cases#Paris

Eau de Paris. Public water service for the city of Paris

http://www.eaudeparis.fr/

World Health Organization - Evaluation of the Costs and Benefits of Water and Sanitation

Improvements at the Global Level

http://www.who.int/entity/water_sanitation_health/wsh0404.pdf

The Connection: Water Supply and Energy Reserves

http://www.waterindustry.org/Water-Facts/world-water-6.htm

Global Water Crisis Promotes Desalination Boom

http://www.waterstandard.com/pdf/Global%20Water_CrisisPromotesDesalinationBoom_10-

22-2008.pdf

Desalination, Current or emerging issues paper, by the Western Australia Water Corporation,

Perth


Rural Areas

Source: http://www.tn.gov.in/dtp/rainwater.htm

http://www.thefreelibrary.com/Evaluation+of+rainwater+harvesting+methods+and+structure

s+using...-a0216183036

Source:http://www.indiaenvironmentportal.org.in/content/asia-facing-worsening-water-crisis-

adb

Source: http://www.indiaenvironmentportal.org.in/content/asia-facing-worsening-water-

crisis-adb

Some examples of water problem being solved

http://www.remunicipalisation.org/cases#Paris

http://www.eaudeparis.fr/

http://www.who.int/entity/water_sanitation_health/wsh0404.pdf

http://www.waterindustry.org/Water-Facts/world-water-6.htm

http://www.waterstandard.com/pdf/Global%20Water_CrisisPromotesDesalinationBoom_10-22-2008.pdf

http://www.waterstandard.com/pdf/Global%20Water_CrisisPromotesDesalinationBoom_10-22-2008.pdf









256

Orissa example of managing water supply through boring wells:

http://www.downtoearth.org.in/node/818

Dewas, Madhya Pradesh example of building ponds:


Karnataka example of Rooftop Rainwater Harvesting for Rural Schools

http://www.indiawaterportal.org/solex/6954

http://www.rainwaterclub.org/docs/Ka.PDF

Flood water harvesting example in Tanzania

http://www.rainwaterharvesting.org/catchwater/feb2002/technology1.htm#flood

Institutions and financial aspects around water






http://www.indiawaterportal.org/solex/6954

http://www.rainwaterclub.org/docs/Ka.PDF

http://www.rainwaterharvesting.org/catchwater/feb2002/technology1.htm#flood




257

Sr. No. 13, 43, 51, 58, 71,79 80 & 102

EEvvoolluuttiioonn ooff aa CCoorrrruuppttiioonn--FFrreeee IInnddiiaa

GRIIT Project Report

20th November, 2010

Ahmed Askiri | Gautam Cormoli | Gautam Modi | Gilles Bourcy | Kuldeep Singh |

Philipp Bohl | Vinayak Bhat

Project Synopsis

Current state of corruption in India Transparency International (2009) publishes an annual Corruption Perception Index that

rates India among the most corrupt nations at 84 out of 180. The Bertelsmann Foundation

(2010) study indicates that corruption is spreading across all sectors within the country,

while being omnipresent at every level of public administration. Even though the Indian

government has implemented a series of constitutional, legal and institutional changes,

Bertelsmann Foundation (2008) and Global Integrity (2008) state that government initiatives

are largely ineffective in practice, as they lack proper implementation. The loss to the

mainstream economy due to petty corruption alone is estimated to be `21,068 crores by

Transparency International (2009). Now going forward in the wake of economic growth that

the country is poised to achieve, how can this roadblock to national prosperity be removed

to ensure that India evolves into a corruption-free society?

Area of research We strongly believe that corruption is a socio-cultural phenomenon, and a holistic approach

is the need of the hour if corruption is to be curbed. During the build-up to our study, we

would be restricting ourselves to corruption within the law enforcement system of India,

extrapolating our observations from a selected sample to help us arrive at our

recommendations. In our opinion, corruption in law enforcement would be a bottleneck to

the implementation of further anti-corruption policies (i.e. whistle-blower policies can only

be effective if there is a “safe haven”). In this respect, the issue of trust in law enforcement

has particular importance, because it is the prime requisite in building a functioning civil

society. References to past research support the extent of corruption inside law enforcement:

258

An overwhelming majority of Indians perceive the police as corrupt and have direct

experience of being asked to pay bribes when interacting with the police

(Transparency International India)

Reliability of police is listed as a notable competitive disadvantage for India (World

Economic Forum Global Competitiveness Report 09/10)

Indian police forces are politically dependent, prone to corruption, and misuse their

power (Bertelsmann Foundation 2010)

Business executives indicating the police as the most corrupt institution in India

(Transparency International Bribe Payers Index 2008)

48% of households living below the poverty line who availed the services of the

police in the last 12 months reported to have paid bribes (4.5% did not take the

service because asked for a bribe). This is the highest figure for surveyed institutions

(Transparency International India and CMS India Corruption Study with Focus on Below

Poverty Line Households 2007)33

Methodology In developing an anti-corruption strategy within law enforcement, our team will adopt a four-

pronged approach.

Figure 1: Our four-pronged approach against Indian Police corruption

Firstly, we will conduct a theoretical analysis based on academic research findings and socio-

economic models (e.g. Corruption in the Principal-Agent model, Behavioural approaches) to

understand the mechanisms of corruption, detect possible reasons why corruption occurs (i.e. weak

governments, low pay, etc.) and determine the process by which corruption becomes common

practice and a more or less accepted norm within the community.

Next, we will look within India to identify individuals and institutions, which are known to be least

corrupt in terms of torture, bribery and abusive power of influence. We will then study the views of

high ranking officials within the law enforcement system and carry out desk based research seeking

the relevant information published. Additionally, we will attempt to assess the effects of anti- 33 This point, we find, particularly significant because it shows how corruption promotes social inequality and prevents access of underprivileged households to law enforcement in order to secure their rights.

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corruption policies put into place. This could be done by finding a state or city which installed some

budding law to handle corruption and comparing this state or city to the most similar one, that

hasn´t installed a similar law at the same time (e.g. 30% pay-rise for Andhra Pradesh police in

August, 2009). By running difference in difference analysis one could then estimate the total effect

of that law.

Subsequently, we will adopt a benchmarking approach by first selecting other countries that have

had a known history of corruption or continue to be perceived as being corrupt and are mostly

comparable to India in various dimensions such as size, population, economy, wealth, employment,

education, etc. We then will filter down to the most similar countries (e.g. China is likely to be one of

them), to analyse as case studies. The aim of this approach would be to determine best practices by

looking at how those countries have succeeded in preventing corruption as well as where they have

failed.

Finally, the results of our research and analysis would direct our strategies to prevent police

corruption, following which we will develop a prioritised action plan that is part of a holistic

approach. In particular, we will review the practice of corruption from a socio-cultural perspective

and explore ways in which social activism can help contain the malaise. We will also review the role

that media has played in exposing and containing corruption and suggest ways to involve media

creatively to deal with this problem. We would then validate this by consulting the officials we had

interviewed.

Theoretical Socioeconomic Models

Theoretical Framework

In the economic literature corruption is analyzed by the Principal Agent Model. According to Banfield

(1975) there is a principal, who has a particular interest, an agent who is employed by the principal

to serve him according to the principals interest and there may be third parties that interact with the

agent, but do not get modelled explicitly, i.e. their actions are explained by the model. Where the

agent is normally a person, this may generally not be true for the principal. In the context of law

enforcement one can think of the institutions enforcing the law or even the public will being the

principal. The agent’s role is to serve the principal according to some rules which must be defined by

a contract between the two parties. Since a contract is “unfinished” by definition, there may be

problems in creating the right incentives for the agent to serve the principal. Further the agent may

violate the rules of the contract, which may be detected by the principal with a certain probability.

Usually in case of detected violation there may be some punishment defined within the contract

(e.g. end of relationship, monetary punishments). The probability of detection can generally be

increased by the principal, but this may be costly. There are two different ways in which an agent

can be corrupt. He is called personally corrupt, if he violates rules for his benefit (e.g. a traffic-police

officer collecting bribes) and he is called officially corrupt, if he violates rules in favour of his principal

(e.g. a police chief officer manipulating the voting results in favour of a party, which is likely to spend

a higher budget share for law enforcement). Agents may differ in their loyalty, i.e. for some agents

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there may be an intrinsic cost for being corrupt, such as they feel ashamed or it violates their

principles.

To point out the difficulties that may occur due to corruption, an ideal world shall be described first,

to compare it to what one may observe in reality. In an ideal world most of the problems related to

corruption can be solved easily or do not occur at all. In such a model rules are well defined, agents

can be chosen due to their loyalty, i.e. perfect information about loyalty and loyalty is the only

dimension in which possible agents differ or the only dimension of importance. Further there are

monitors controlling the agents and the monitors themselves can be monitored by a monitor, who

would ideally be the principal himself and agents can be given incentives to serve the principal’s

interest and disincentives being personally corrupt.

What one might observe instead is that rules are not well-defined and contracts are incomplete.

Typically the uncertainty about whether an agent is following the rules or not is high, or more

precisely the cost c to raise the probability of detection p is high and one may assume that the

marginal cost is positive and increasing with respect to probability of detection, i.e. 𝜕𝑐

𝜕𝑝>

0 𝑎𝑛𝑑 𝜕2𝑐

𝜕𝑝2 > 0.

As mentioned above, problems can arise from the fact that the principal may be an institution, since

then there will always be at least one monitor who is not monitored himself and is not the principal,

which gives this unmonitored monitor big scope for being corrupt and can create scope to corrupt

the downstream monitors as well. The next problem is that there is typically asymmetric information

about the loyalty of potential enforcers, since all potential enforcers will try to signal that they are

loyal and the cost for trivial signals is the same for the loyal and disloyal or be even more expensive

for the loyal. Another issue may be that even if the employer is able to separate between potentially

loyal and disloyal agents, loyalty may not be the only dimension which is important for the job.

Applicants may differ in their ability to perform well on the job, which itself may consist of many

dimensions, e.g. creativity, abstract thinking and social skills to name a few. This means that the

employer has to trade off between loyalty and other abilities which typically will lead to a higher

fraction of disloyal people. Finally incentives to follow rules and disincentives to be corrupt may be

costly. As mentioned above the direct costs of monitoring may be high. But moreover there are also

indirect costs of monitoring. This arises from the fact that people do not like to get monitored, even

if they follow the rules, since it is a sign of mistrust from the principal, which may lower the moral of

the agent to perform well. On the other hand provide disincentives for being corrupt such as

punishments in case of detection of corrupt activities may be expensive as well. If there is a

possibility, that one gets punished without being involved in corrupt activities, potential agents will

anticipate that and sign in alternative sectors. Therefore the principal will have to pay higher wages

then alternative sectors to get workers. Considering all these difficulties that may arise, one can

understand why solving corruption is such a big problem for most of the countries and suggests that

only second or third best equilibria can be achieved.

Determining the optimal wage level

In this section the problem of optimal wage setting gets separated and analysed (Becker and Stigler,

1974). Truly looking at this problem separately may bias the outcomes, since there may exist

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interaction between the different problems of corruption. But to keep analysis simple and the

results clear throughout the following sections it will be assumed that the probability of detection is

exogenous, all possible agents are identical in skills and loyalty and the chief monitor is the principal

himself or alternatively acts totally in favour of his principal. Further the agent gets a wage of 𝑤𝑡 , has

an alternative income 𝑣𝑡 which he could earn in another firm and discounts the future by a rate r. If

the agent would chose to be personally corrupt he would get additionally to his wage an immediate

return b, as long as the principal does not observe the illegal practise. Assuming that the agents act

risk-neutral, one can derive that the wage one agent in his last working period n must at least get, to

have an incentive to follow the rules is:

𝑤𝑛 = 𝑝𝑣𝑛 + 1 − 𝑝 𝑤𝑛 + 𝑏

. 𝑤𝑛 = 𝑣𝑛 +

1 − 𝑝

𝑝𝑏.

Therefore the wage in the last period must be higher than alternative wage, if the probability of

detecting the malfeasance is smaller than one. Similarly the wage-equation for the period n-1 is:

𝑤𝑛−1 +𝑤𝑛

1 + 𝑟= 𝑝(𝑣𝑛−1 +

𝑣𝑛1 + 𝑟

) + 1 − 𝑝 𝑤𝑛−1 +𝑤𝑛

1 + 𝑟+ 𝑏

. 𝑤𝑛−1 = 𝑣𝑛−1 +

1 − 𝑝

𝑝𝑏

𝑟

1 + 𝑟.

This shows that the wage difference w-v must be significantly higher in the last period. This does not

surprise, since in the last period the agent is not afraid to lose future incomes that are higher than

his outside option v which is the case in the periods t=1,...,n-1. The potential loss of future incomes

w-v can be looked as the cost of corruption. It follows that the term 𝑊 = 𝟏−𝒑

𝒑𝒃, which can be

looked on as the temptation of malfeasance (Footnote: The term decreases in the probability of

detection p and increases with the return to corruption b. Further it is zero for p=1 and goes to

infinity as p goes to zero)

is the present value of the position of a law enforcer compared to his outside option.

Therefore this is also the extra cost the principal has to pay to ensure, that his agent has no incentive

to be personally corrupt. To achieve a clearing equilibrium on the labour market for law enforcers,

the law enforcers would have to pay W to get an employed as a law enforcers. Alternatively the

principal could also introduce a punishment in the exact same amount with the same result.

Both options are problematic when tried to apply them to India. The first, an entrance fee W to get

employed may not lead to enough supply, since usually people would not have that amount on their

bank accounts (especially for small values of p) and the credit market is very likely to be imperfect,

i.e. banks lent W only at very high interest rates to the agents, if they lent at all. Therefore one could

consider a punishment of W as the better solution. But this seems also to be problematic, since

people in India are in general not able to pay that high amounts and might consider the possibility of

personal bankruptcy as tolerable and therefore tend to be personally corrupt. Thus one possible

policy implication might be, that the principal should introduce both, a entrance fee and high

punishments, such as the sums of both equals W. Where a lower fraction of W would be devoted to

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that area, which is more problematic. Another option to lower this difficulty with could be combined

with the splitting of W would be to try to increase p in order to keep W small. But this implies other

direct and indirect costs for the government as discussed above. The third and maybe most obvious

option to the principal, say the government would be not to raise a few, nor to introduce

punishments. The government could get the amount back through raising taxes or finance it through

debt. Both options may harm growth, but one can imagine that the gain from that policy would still

be positive, which would need to get analysed. But this would create inequality among the citizens,

which may lower utility directly (see Bolton and Ockenfels, 2000). Symmetric to optimal taxation

theory a combined policy seems to be reasonable.

Corruption in a competitive framework

Another interesting way to look on corruption has been developed by Shleifer and Vishny (1993). In

this framework a homogenous good, say a passport is sold by the government (principal) through an

official (agent) to the demander (third parties) which aggregated utility is represented through the

demand curve D(p). The agent has the possibility to restrict or even to deny the supply of the good,

so that the agent becomes a monopolist selling a good. The cost of producing the good does not

matter to the agent, since it is paid by the government. It will be differentiated between two cases:

bribe with theft and bribe without theft. Bribe without theft means that the agent receives the bribe

for the good, but does not keep the price of the good for himself. Say if the toll to use a road

amounts officially to 100 INR, he can collect bribes from passing cars on top of that 100 INR, but is

not able to keep the 100 INR for himself, since the principal knows how much cars typically pass that

road, so he knows how much money the agent must have collected, given he did not steal anything.

In contrast to this case, one can also think of situations where the agents has the ability to steal the

price for the good, e.g. if a custom official lets a good pass the border without charging the customs,

but rather collects a bribe.

As stated before the agent acts like a monopolist selling a good, with marginal cost of zero in case of

bribe with theft and marginal costs equal to the price originally set by the government, in case of

bribe without theft. This is illustrated in Figure 2.

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Figure 2: Effect of demanding a bribe with theft

If the demand curve is linear, as indicated in Figure 2 the reduction in the price for the consumer is

exactly half the marginal cost reduction due to theft (Ten Kate and Niels, 2005). Since the agent acts

as a monopolist, punishing and increasing the probability does not change the height of the bribe, as

long as it is rewarding to collect bribes at all. Competition between agents in collecting bribes leads

to the outcome that only the most corrupt agents can stay in the market. This may be one reason

why corruption spreads. Another, even more important reason for corruption to spread is the

competition between consumers in case with theft. If the consumers are themselves producers and

compete with each other in the output market, a producer could force competitors buying their

goods legally out of the markets, which forces all competitors to buy illegally. This is not true for

corruption without theft. Moreover, since the price for the consumer is smaller in case with theft,

the consumer may benefit from it and therefore have a smaller incentive to inform the principal,

while the opposite is true in case with theft. Therefore, the main implication would be that one

should install a policy, e.g. a computer assisted accounting system which prevents theft from

government.

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Measuring Corruption in India The first attempts of measuring relied on data from police and court records. Obviously,

measures relying on such data may easily yield to biased results, since a highly corrupt

country with poor or itself corrupt law enforcement will report only very few cases of

corruption, whereas in a country with low levels of corruption and efficient law enforcement

a high proportion of the few cases of corruption will be reported, which may likely result in

a corruption measure rating the more corrupt country less corrupt and otherwise. (Seligson,

2006)

Therefore, other measures have been developed. The most used in the recent years are the

Corruption Perception Index (CIP) of Transparency International (TI) and the Control of

Corruption indicator developed by the World Bank Institute. These measures rely on the

experience of managers doing business in the evaluated countries to create the ranking.

Thus, these measures do not seem to provide the necessary detail since they show only

attempts to measure the national level of corruption relative to other countries. This appears

to be problematic for two reasons. First, one cannot control for effects over time within the

country, i.e. one does not know if the corruption index has changed because of some

installed policy or because of other factors changing over time that may have influenced

corruption. The second problem is that since the measure is a relative one: the index may

increase or decrease due to general rise or decline in levels of corruption in other countries.

A more promising approach would be to make surveys on the victims of corruption. Rather

than relying on the perception of corruption, this measure would ask for the actual

experience of the citizen with corruption. Ideally one would make a yearly survey in every

state in India asking for people‟s experience of corruption, like for example „How often have

you been asked to pay a bribe in the last year?‟, „How much money have you spent on bribes

in the past year?‟ and „How much money did you lose/gain due to paying bribes?‟. In the

next step India‟s states could be ranked by constructing an index on base of the collected

data. Having constructed a reasonable index and applied this index to rank the states of

India, now it would be possible to evaluate anti-corruption policies within India by an inter-

state comparison. For example, one could raise the police officers wages by a significant

amount in one state, say Punjab and see if the policy had an influence on the ranking of the

state. Moreover, given that police officers wages in Haryana were constant for the same

time, that other policies were the same for both states and that the states are similar in most

dimensions one could control for time effects on corruption in Punjab by using Haryana as a

control state, which would yield the pure effect of the wage increase. The according

regression equation could look like this:

𝐶 = 𝛽0 + 𝑇𝛽1 + 𝑊𝛽2 + 𝑇 ∗ 𝑊 𝛽3 + 𝜖.

Where C stands for the corruption index, T is equal to one for the time period after the wage

increase and zero before and W is equal to one for Punjab and zero for Haryana. Running

this regression 𝛽3 would give the pure effect of the wage increase, allowing policy makers to

evaluate their policy. This method could easily be adopted to evaluate other policies.

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Case Study: India

Police corruption and prevention in India The Indian police force was identified as one of the institutions which is most affected by corruption

by the 2007 Global Corruption Barometer. It was given a score of 4.5 out of 5 and was ranked as the

most corrupt public service in India by the 2005 TI-India corruption survey. 80% of the citizens felt

that high levels of corruption exist in the police force while 77% believed that not only is it present

but is on the rise. The 2007 study done by TI-India/ CMS came up with results that 48% of people

living below poverty line have paid bribe to the police while 17% accessed the police services by

paying an intermediary. Most of the citizens feel that it is a deliberate strategy of the police force to

induce procedural delays and extort bribes to speed things up. Even for registering a complaint half

of the people had to pay bribe. (Chêne, 2009)

Many examples of corrupt practices were identified by the 2006 Marketing and Development

Research Associates/Transparency India report on corruption in trucking operations. Through the

study it came out that bribe is paid at almost every stage of their operations. They bribed the

officials to obtain permits or for traffic violations or toll charges. Almost 60% of the truck drivers

believe that checkpoints are just a way to extort money from them, and stoppages like this are quite

frequent.

Even the recruitment to a police force is tainted by the practices of nepotism, political interference

and bribery. Political interference was a major cause of corruption, and Indian Police Service (IPS)

was given autonomy from political control only in 2006. In 2007, in Uttar Pradesh, 10,000 police

officers were dismissed due to irregularities in the recruitment process. (Tripathi, 2007)

Since the Police force is an institution which is directly involved with punishing and sanctioning

practices which are corrupt in nature, it seriously undermines the anti corruption efforts of the

government. (Chêne, 2009)

Reasons for Corruption Levels of police pay

The salaries paid to the Police force people are quite low, considering today’s cost of living.

Since everyone wants to lead a good life, when one is not able to lead a good life, the person

is attracted to the illegal ways of doing so and that leads to corruption. (Gupta, 2008)

Bad working conditions

The police force in India does not have enough resources at its disposal. In many of the

police stations even basic amenities like toilets are not present. Lack of infrastructure, bad

working conditions coupled with long service hours creates lots of stress for them. (CMS,

2005)

Corruption in recruitment

The recruitment to the police force is also tainted by corrupt practices. It leads to selection

of candidates who are fit for the force and whose interests do no incline with the interests of

the country and force at large. An example of Uttar Pradesh has been stated above, and a

similar case also happened in the state of Haryana. (Tripathi, 2007)

High work pressure

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The police force today has an acute shortage of personnel in India. It leads to increased work

pressures on the force. They have to long hours and that too without any proper

infrastructural support. Many of the lower rank officials are used by the high ranking officials

for their personal work. (CMS, 2005)

Political interference

There is a lot of interference faced by the police from the politicians. Pressures can range

from promises of career advancement and preferential treatment to threat of penal action

or transfers to disfavoured treatment. Even though it is very difficult to punish a Police

Officer under statutory law without adequate grounds, it is easy to subject him to

administrative action by way of transfer or suspension on the basis of an alleged complaint

taken up for inquiry. While suspension acts as a great humiliating factor, a transfer disrupts

police officer's family, children's education, etc. (CMS, 2005)

Lack of punishment

The cases related to corruption and bribery are handled in a very casual and clumsy manner.

People in the higher echelons who have disciplinary powers refuse to act on them due to

vested interest, trade union pressure, political pressure or sheer ineptitude. The judicial

system being lethargic, inefficient and expensive causes the cases to drag on for years and

years. The conviction rate for Indian courts is 6%. There are 3 crores corruption cases

pending in Indian courts which take an approximate 10 to 20 years to resolve. As they say,

justice delayed is justice denied. (Sondhi, 2000)

Cultural issues

o No cooperation from citizenry

One of the major reasons of promotion of corruption is due to the non cooperation

of the citizenry. People do not follow even the basic instructions to prevent

corruption and whenever an incident happens all of the blame is put on the police.

(CMS, 2005)

o No respect for law

People have no respect for laws in the country and they do not refrain from

committing even basic violations like jumping a red light. (CMS, 2005)

Anti-Corruption measures Legal framework

o Prevention of Corruption Act

This act was instituted in 1988; it basically criminalises corruption in public and

private sectors. The corruption could be anything from active and passive bribery to

extortion to abuse of office. Similar laws are available at local or state level as well.

(Marie Chêne, 2009)

o Right to Information (RTI) Act

It was instituted in 1995 and is considered to be a landmark achievement towards

the fight against corruption. It allows the citizens to request for any information

from the public authorities and they are bound to reply to you in a matter of around

30 days. This information is paid for but has been crucial in terms of curbing

corruption. (Wikipedia, RTI Act)

o Whistleblowers

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As such there is no law in India to protect whistleblowers. On the request of chief

vigilance commissioner to draft a bill to encourage people to disclose corrupt

practices, a report on public interest disclosure and protection of informers was

drafted in 2001. The whistleblowers bill was passed by the parliament in 2006 but

has not received the assent of the president and thus is not in force yet. Meanwhile,

the mechanism created under the resolution dated 21 April 2004 to deal with

complaints of corruption/bribery offences would continue to operate until

legislation comes into effect. (Amarchand et al., 2010)

o Creation of Anti-Corruption Police and Courts

Many people are advocating the establishment of a law enforcement agency which

would investigate and prosecute corruption at all levels of the government. It would

include much more efficient courts comprising of travelling judges and law

enforcement agents. It is yet to be acted by the Indian government but few states

have like Karnataka have already taken a step towards it. (Wikipedia)

Institutional framework

o Central Vigilance Commission (CVC)

It is an independent watchdog sort of agency created in 1964. It is mandated to

initiate investigations at the federal level and not the state level. It has a

whistleblower provision on its website as well. It has supervisory powers over CBI

investigations. It usually investigates complaints against central government

employees. (Marie Chêne, 2009)

o Central Bureau of Investigation (CBI)

It has three divisions: Anti-Corruption Division, Special Crimes Division and Economic

Offences Division. It has the power to investigate corruption cases in all branches of

the central government, though it would need permission to investigate cases at the

state level from the respective state governments. It is a very respected and

considered a very credible institution in India. It also has a complaint mechanism on

its website. (Marie Chêne, 2009)

o Office of the Comptroller and Auditor General (C & AG)

It creates reports on various arms of the governments like railways. In the process

this agency has highlighted a lot of financial irregularities arising mainly due to

corrupt practices. But since it has no authority to ensure compliance, its

recommendations often go unheard. (Marie Chêne, 2009)

o Chief Information Commission (CIC)

It was established in 2005 and started operations in 2006. It basically gives a

practical shape to the RTI act. It instructs various arms of government like police and

universities to share information which can be of interest to the public.

(Transparency International, 2008)

o E-Governance

The most common grievance of people interacting with the police is that of non

registration of complaints, filing of an FIR is the first step towards a complaint. And it

is this step where people pay a lot of bribe. Thus technology could be used to handle

this and complaints could be files online. If any information is missing it could be

added later on. It would also provide the progress of a particular complaint. (CMS,

2005)

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o Computerisation

In addition to the above, a lot of avenues for bribery and corruption in Police force

could be avoided by computerising the various processes. Traffic violations could be

automated as done by Bangalore police. Smart cards could be issued for vehicle

registrations and drivers licences as done by the Karnataka government. (Wikipedia)

o Ombudsmen

Ombudsmen are the institutions created by Scandinavian nations. On similar lines

LokAyukta was formed in India, it is an anti-government corruption organisation. It

would be a three-member body, headed by a retired Supreme Court judge or high

court chief justice, and comprise of the state vigilance commissioner and a jurist or

an eminent administrator as other members. (Wikipedia)

Civil Society Initiatives

Citizens should discourage corrupt practices. People should not bribe officials just so that

they could get their work done in a speedy manner. If proper service is not being given to

them, then they should take it to the proper authorities. It should be imbibed that offering

bribe is also a crime. If a policeman gives you a ticket then instead of bribing him ask for a

ticket. We should raise our wards in a selfless, moral and altruistic manner. The prevalent

notion is that any work can be done and any wrongdoing can be discarded by bribing the

officials. This notion should be challenged and a corruption free way of life should be

imbibed into the people. (Anti-Corruption, 2010)

Field Research We held an interview with a high ranking official from the Anti-Terrorist Squad to get

insider insight, the findings of which are reported here subsequently with his permission to

quote him and incorporated in formulating our anti-corruption strategy. This field source

has also been consulted with on our proposed solutions.

Excerpts from the interview with Ajay Tomar IG (ATS Gujarat) on 4th November, 2010:

Reasons for corruption in India

Illiteracy leading to lack of awareness of police powers

Materialism and absence of values prohibiting corruption

o Lack of value inculcation in our education system

o What you got is more important than how you got it

o Very poorly paid police officials at the lower level

Lack of transparency and complex criminal justice procedures

o Haziness of police procedures and processes

Lack of accountability and inordinate delays in commissions and inquiries

o General climate of permissiveness

Police is a legacy of the British Empire and was used as a tool to intimidate the public

o Fear gets translated into bribes

Current situation of corruption in law enforcement

Difficult to address corruption in law enforcement per se; it is a phenomenon stretching

through all the public spheres

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Lack of anti-corruption measures is not an issue, but the lack of enforcement is.

Government is taking actions to curb corruption, especially in law enforcement, as it is the

most visible face of the government

Corruption in law enforcement has decreased but less because of governmental anti-

corruption measures and more because of the increase in the level of general education and

a more vigilant media environment

Right to Information Act has been instrumental in bringing down corruption

Solutions

Increasing accountability (Reducing the probability of people having done wrong and getting

away with it)

Close the gap between public and police

o Let the public know what the police does, how and what their limitations are. People

need to participate in police action. The closer they come together, the lesser

corruption will be.

Expedient and certain punishment for both, bribe-taker and bribe-giver

Cogent, clear and unambiguous laws and procedures

Increase literacy (including computer-literacy)

Changing global culture of the society (materialism is the core of the problem)

Need to make the system more transparent

Better training for ACB officers (they do not have training to date)

Social punishment seems difficult to implement since it is not compatible with law nor with

democratic values

o E.g. In painting houses of corrupt people with a different colour, why should the

family as a whole be punished for wrongdoings of one family member?

o Wrongdoers would probably find ways to avoid punishment

Outlook

We cannot expect miracles

o People become smarter over a period of time (understand the power of

governments and its limits). There is a strong correlation between level of

corruption and economic development for most countries.

Case Study: China

Police corruption and prevention in China

The People's Republic of China has had a long history of corruption since its founding in

1949 making the ruling Chinese Communist Party (CCP) "one of the most corrupt

organisations the world has ever witnessed," according to Will Hutton,

weekly columnist and former editor-in-chief for The Observer (2007). According to Yan Sun

(2004), Associate Professor of Political Science at the City University of New York, it was

corruption, rather than democracy as such, that lay at the root of the social dissatisfaction

that led to the Tiananmen protest movement of 1989. The amount of corruption in China is

http://en.wikipedia.org/wiki/People%27s_Republic_of_China

http://en.wikipedia.org/wiki/Chinese_Communist_Party

http://en.wikipedia.org/wiki/Will_Hutton

http://en.wikipedia.org/wiki/Newspaper_column

http://en.wikipedia.org/wiki/Editor-in-chief

http://en.wikipedia.org/wiki/The_Observer

http://en.wikipedia.org/wiki/City_University_of_New_York

270

impossible to gauge, but despite the repeated crackdowns and publicity, the problem

appears to be growing at least as fast as the Chinese economy, says Transparency

International's 2009 corruption perception index, which ranked China at 79 of 180 countries,

a worse result than the previous year‟s 72 and far worse than the 57 recorded in 2001. The

BBC reports that China's anti-corruption watchdog has said that 106,000 officials were found

guilty of corruption in 2009, an increase of 2.5% on the year before. “There is widespread

anger at the ostentatious lifestyle enjoyed by some Communist Party officials, police chiefs

and bosses of state-owned companies”, says the BBC's Quentin Sommerville in Beijing.

Corruption has not slowed down as a result of greater economic freedom, but instead has

grown more entrenched and severe in its character and scope. Means of corruption include

graft, bribery, embezzlement, backdoor deals, nepotism, patronage, and statistical

falsification, which cost at least three percent of GDP. (Wikipedia, Corruption in China)

There are repeated claims by Chinese media that the People‟s Armed Police (PAP), China‟s

main police force primarily responsible for internal security and employing almost

1.5million people, abuses its legal powers. Generally known to be poorly paid and ill

trained, they are regarded with suspicion by ordinary Chinese having been traditionally

more involved in maintaining government control than solving crimes (Hays, 2010). Chinese

police have been accused of being involved in prostitution, gambling, drug dealing and

smuggling as well as being „protective umbrellas‟ for criminal gangs and hired guns for

corrupt officials and businessmen. Corrupt officials are believed to be the biggest obstacle to

fighting organized crime in China. (Pei, 2001)

Reasons for corruption in China Generally, corruption in China is attributed to a lack of institutional supervision and a failure of legal

control. However, some more significant and enduring cultural, institutional and ideological factors

accounting for the abuse of police powers in the Deng era after 1979 include: the lack of an

entrenched legal culture in the rule of law, the absence of an ingrained constitutional spirit in limited

government and the emergence of pragmatism as a political ideology. (Wong, 1998)

Other reasons cited include the high discretionary power of government officials and low

transparency of government affairs with minimal citizen participation that creates the secretive

environment in which corruption prevails with major government officials not held responsible for

mistakes made under their purview. Additionally, there are no independent judiciary or watchdog

bodies like NGOs or free media in China due to the CCP’s means of rule thus allowing corruption to

flourish.

Anti-corruption measures adopted by China The CCP has tried a variety of anti-corruption measures, introducing a variety of laws and developing

a variety of agencies in an attempt to stamp out corruption. Organizations set up to fight corruption

include:

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Anti-Corruption and Governance Research Centre, School of Public Policy and

Management, Tsinghua University, Beijing

International Association of Anti-Corruption Authorities (IAACA) in Beijing

Central Commission for Discipline Inspection of the Communist Party of China

Ministry of Supervision of the People's Republic of China

National Bureau of Corruption Prevention (NBCP)

Such measures are largely ineffective, however, due to the insufficient enforcement of the

relevant laws. Further, because such organisations largely operate in secrecy, it is unclear to

researchers how allegedly corrupt officials are disciplined and punished. The odds for a

corrupt official to end up in prison are less than three percent, making corruption a high-

return, low risk activity. This leniency of punishment has been one of the main reasons

corruption is such a serious problem in China. (Pei, 2001)

Wikipedia states, “While corruption has grown in scope and complexity, anti-corruption

policies on the other hand have not changed much. Communist-style mass campaigns with

anti-corruption slogans, moral exhortations, and prominently-displayed miscreants, are still

a key part of official policy, much as they were in the 1950s. These efforts are punctuated by

an occasional harsh prison term for major offenders, or even executions. But rules and

values for business and bureaucratic conduct are in flux, sometimes contradictory, and

„deeply politicized.‟ In many countries systematic anti-corruption measures include

independent trade and professional associations, which help limit corruption by

promulgating codes of ethics and imposing quick penalties. In China, these measures do not

exist as a result of the CCP‟s means of rule and few citizens or observers believe corruption

is being systematically addressed.” (Wikipedia, Corruption in China)

Obstacles in the prevention of corruption Thus, one of the most difficult challenges for furthering anti-corruption activities in China is

engaging the Chinese Communist Party (CCP). According to Pei (2001), the Chinese

government is currently entrenched in special interests, and must democratize its internal

affairs and end collusion among the CCP, judiciary, police, and mafia. The government

refuses to take steps such as creating an independent judiciary and unshackling the media,

which would do the most to tackle corruption. Censors have also imposed media blackouts

on the coverage of corruption cases. As a rule whistle blowing is generally not welcomed

and whistle blowers are sometimes viscously attacked and harassed by party members they

have targeted. (Hays, 2010)

Analysts say the prominent anti-corruption cases in China are often a result of power struggles in the

CCP, as opponents use the "war of corruption" as a weapon against rivals in the Party or corporate

world. As such, the central leadership's goal in cracking down on corruption is to send a message to

those who step over some "unknown acceptable level of graft" or too obviously flaunt its benefits

and to show an angry public that the Party is doing something about the problem. In many such

cases, the origins of anti-corruption measures are a mystery.

http://en.wikipedia.org/wiki/Anti-Corruption_and_Governance_Research_Center

http://en.wikipedia.org/wiki/Tsinghua_University

http://en.wikipedia.org/wiki/International_Association_of_Anti-Corruption_Authorities

http://en.wikipedia.org/wiki/Beijing

http://en.wikipedia.org/wiki/Central_Commission_for_Discipline_Inspection_of_the_Communist_Party_of_China

http://en.wikipedia.org/wiki/Ministry_of_Supervision_of_the_People%27s_Republic_of_China

http://en.wikipedia.org/w/index.php?title=National_Bureau_of_Corruption_Prevention&action=edit&redlink=1

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What makes China unique? In a comparative context, China‟s communism sets it apart from India‟s democracy but

otherwise it is comparable in various dimensions such as large size and population, rapid

economic growth, inequality of wealth distribution, strong culture, employment patterns and

education levels.

Although “corruption has not yet derailed China’s economic rise, sparked a social revolution, or

deterred Western investors, it would be foolish to conclude that the Chinese system has an infinite

capacity to absorb the mounting costs of corruption,” writes Pei (2007). “Eventually, growth will

falter.”

Exhibit 1: Anti-Corruption Website

A Chinese website set up in mid-2009 so people can inform on corrupt officials had been

inundated with so many visitors that it crashed shortly after launching, a BBC news report

stated.

The tip-off system was deluged with visitors after its launch (BBC News, 2009)

Exhibit 2: Corruption Auction

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Possessions reclaimed in bribery cases, including computers and jewellery, were displayed for public

auction in August 2007 in Hefei, a city in Anhui Province, China (NY Times, 2009)

Case Study: Hong Kong

Police corruption and prevention in Hong Kong Hong Kong has emerged from British colonial rule and has been reclassified a British dependent

territory in 1983 and transferred to China in 1997. While under the direct rule of the British Crown,

Hong Kong’s syndicated police corruption was a fact of life until the 1970s. In an effort to curb police

corruption the Independent Commission Against Corruption (ICAC) was created in 1974. While in

1974 47% of complaints to the ICAC were related to alleged police corruption, in 2002 only 12% of

complaints related to police corruption. Today, Hong Kong is after Singapore the least corrupt state

in Asia and is one of the least corrupt in the world (12th place in TI Corruption Perceptions Index

2009.

Anti-corruption measures adopted by Hong Kong Most researchers have stated that the most important factor that helped Hong Kong to effectively

curb corruption is that anti-corruption measures are supported by the highest levels of government,

who need to provide the political will, the legislative framework and the necessary support. Hong

Kong has adapted a holistic four-pronged anti-corruption approach, with the ICAC being one of its

corner-stones:

Education and training

Minimizing opportunities for corruption

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Independent and intra-police anti-corruption commissions

Discipline

Education and training Education initiatives have been launched since 1996 to promote “healthy” and ethical life-styles

among Hong Kong police officers. “Health” measures’ main objectives are to facilitate physical and

mental well-being and financial prudence. Measures include anti-smoking campaigns, police fitness

centers, stress management guidance, and anti-gambling campaigns. Integrity and honesty

promotion measures include intra-police poster and slogan design competitions and support to

officers in managing their finances. For indebted officers advice is provided to guide them out of

indebtedness. Programs to help officers re-finance their loans are also in place. Officers who suffer

from their debt burden due to illegal and “unethical” activities face disciplinary charges. Integrity

measures also include a staff support system to protect, encourage and reward whistleblowers.

Since 1997 mandatory “Living-the-Values” workshops are organized for all police officers to promote

“Force Values”. These workshops are also an opportunity for bottom-up communication in order to

collect police officers’ views and opinions.

Moreover, regular trainings, anti-corruption lectures, briefings, seminars or case studies are

conducted on a regular basis by the ICAC. Also, all officers have a full training day every six weeks.

The training days generally include anti-corruption content.

The issue of education is also directed at the public. The ICAC tries to ensure that the public

understands and knows their rights and entitlements, as to be able to detect shortfalls in service

quality. These measures include keeping the public informed as to the expected time to issue

licenses, when and how to apply for certain services, and how much the services will cost. This

measure is supported by streamlining forms and administrative processes.

Additionally, performance pledges have been implemented for public agencies. This way, citizens

wanting to avail a service have reasonable expectations of minimum service standards.

Minimizing Opportunities To minimize corruption opportunities and to ensure that procedures and guidelines are strictly

followed, internal formal inspections are conducted regularly. In addition, job rotation and tenure

policies have been implemented to ensure that police officers do not keep at the same post for too

long, especially for corruption-prone tasks. Regular reviews of manuals and police procedures are

also conducted to ensure loop holes for corruption are eliminated.

In 1981, the intra-police Police Corruption Prevention Group has been established with the purpose

of producing corruption prevention studies, to monitor implementation and to identify areas for

further study. Since its inception the Group has identified 50 areas where procedures have been

reviewed.

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Discipline All complaints against police forces are investigated by an independent oversight organization, the

Independent Complaints Against Police Council. Moreover, all concluded ICAC cases are referred to

the police for review and updating of internal police processes and guidelines to ensure that they are

up-to-date.

Complaints about corrupt police officers can be launched with the ICAC and IPCC via a 24/7 phone

hotline, by mail or by post.

A police officer convicted of an offence is subject to a fine and a maximum penalty of seven years in

prison. Sanctions may include the confiscation of assets and the ineligibility to further employment

in civil services.

Independent and intra-police anti-corruption commissions

ICAC

The ICAC was established as an independent government organization in 1974 as a response to

rampant corruption, especially inside the police force. When the organization was first established it

only had small success, as it was mocked by its constituents and signaled lacking efficiency. It was

only after the first landmark prosecution that the organization gained credibility and trust of Hong

Kong’s citizens. In 2001 the ICAC had a total budget of US$88m for a total staff of 1,286 members.

The ICAC has three major areas of focus: investigation of complaints and enforcement; education,

publicity and moral leadership vis-à-vis of the community; and corruption prevention, which includes

the education of the young at schools and universities about corruption and to explain anti-bribery

laws in a practical manner. To raise awareness of the danger of corruption the ICAC launches poster

campaigns, television advertisements and even short dramatized movies. Moreover, the ICAC

website hosts a video channel. The legislation empowers the ICAC to act with considerable authority

when dealing with corruption prevention in the public sector. The legislation gives the ICAC the

authority to conduct searches, examine bank accounts, subpoena witnesses, audit private assets,

and detain individuals.

A high proportion of the staff is professionally qualified. ICAC staff members are generally appointed

at a senior level. It recruits mainly investigators from the police, but also employs civil servants,

engineers, accountants, media experts and officers for community relations. After ICAC officials

leave the commission they cannot enter the Hong Kong government. Noteworthy is that the ICAC

also recruits expatriates, i.e. people who are not Chinese citizens. ICAC’s selection and training

programs have been described as intensive and demanding and its public education programs are

said to be excellent.

Police anti-corruption committees

A variety of committees exist inside the Hong Kong Police Force:

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Anti-Corruption Steering Committee

Corruption Prevention Group - To steer studies carried out by ICAC and monitor

implementation

Sub-Committee Training - To improve and review training on anti-corruption

Sub-Committee Ethics - To formulate and review the stated common values and the Code of

Ethics

Working Group on Communications and Values - To promote internal communication and

the Force Values

Working Group on Internal Reporting of Malpractice and Corruption - Mechanisms for

internal reporting of malpractice and to support whistleblowers

What makes Hong Kong unique? Small population

High standards of living

Efficient civil service systems

Well-developed infrastructure

Exhibit 1: Independent Police Complaints Council (IPCC) pledge of service

If you make a complaint against Police:

(a) we will attempt to establish a personal contact with you within two working days of the

complaint being known to the CAPO and the related complaint investigation procedures will be

explained to you as far as possible;

(b) an acknowledgement letter will be sent to your given address within one working day of the

complaint being received by the CAPO;

(c) where a full investigation cannot be completed within a two-month period, you will be given a

letter informing you that the investigation is still continuing and the reason why. Thereafter a

progress letter will be sent to you every two months until the completion of the investigation;

(d) if your complaint case is treated as Sub-Judice, you will be sent a letter within three working days

informing you that the CAPO investigation has been suspended until the conclusion of judicial

proceedings;

(e) the CAPO will aim to complete all complaint investigations within four months, except Sub-Judice

cases;

(f) a completion letter will be sent to you within three working days prior to the case file being sent

to the IPCC; and

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(g) for complaints which require a full investigation, a final letter informing you of the result of the

investigation will be sent to you within 10 working days of endorsement being received by the CAPO

from the IPCC.

Exhibit 2: Anti-corruption poster campaigns

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Exhibit 3: Landmark cases

Exhibit 4: ICAC report centre

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Exhibit 5: ICAC wanted list

Exhibit 6: A day in the life of an ICAC undercover agent

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Exhibit 7: ICAC report statistics

Case Study: Singapore

Police corruption and prevention in Singapore When Singapore attained independence from the British in 1959, what remained was an

administrative system where corruption was rampant and entrenched at every level. Today,

Singapore is one of the least corrupt states in the world. Transparency International ranks Singapore

third least corrupt country in the world according to the TI Corruption Perceptions Index 2009. The

World Bank’s Doing Business initiative ranked Singapore as the number one country in the world

where it is easiest to do business, which serves as another evidence for the efficiency of Singapore’s

anti-corruption campaigns. Similarly, Transparency International’s Global Corruption Barometer

reveals that the Singapore police is seen as the least corrupt law enforcement organization in all of

Asia. The Singapore police scored in surveys administered by TI an average score of 1.86 over the

years 2003 to 2007, where 1 is “not corrupt at all” and 5 is “extremely corrupt”.

Reasons for corruption in colonial Singapore Generally, literature about police corruption identifies 6 factors that promoted police corruption in

colonial Singapore:

Weak laws: Offences were non-seizable and the powers provided to the CPIB were

inadequate.

Low levels of information on corruption: Weak laws made the gathering of information

difficult and thus, it was difficult to launch legal actions against civil servants engaging in

corruption.

Education (Cultural factors): People were generally less educated and were not aware of

their rights. They were submissive in their dealings with police officers and were accustomed

to being treated unfairly.

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Levels of police pay and bad working conditions: The Singapore Police Force (SPF) was not

adequately paid in comparison with private sector jobs. Thus, many police officers found it

difficult to live on their fixed salaries and engaged in corruption.

Poor recruitment of CPIB officers and police forces, and lack of training programs: CPIB

officers were drawn from the SPF on short secondment. Until 1955 SPF training consisted

only of physical education and drill.

High degree of formalism and inadequate controls: Formalism and inadequate controls

spurred widespread corruption in Singapore during the British colonial period and made

corruption a low risk and high reward activity. Excessive regulations together with increased

bureaucratic discretion provided opportunities and incentives for corruption (guidelines and

laws regulating access to goods and services could be exploited by police officers). The

predecessor of today’s CPIB was a branch of the SPF, where corruption was rampant. Also,

fighting corruption received lower priority, compared to “serious” crimes like homicide.

Between 1955 and 1970, the CPID reported to four different ministries, which made it

difficult to implement reforms to combat corruption.

Anti-corruption measures adopted by Singapore In 1985 Singapore’s Prime Minister, Lee Kuan Yew, stated that (Quah, 1988, p. 93):

“The effectiveness of our system to check or punish corruption rests: first, on the law against corruption contained

in the Prevention of Corruption Act; second, on a vigilant public to give information on all suspected corruption; and

third, on a CPIB which is scrupulous, thorough, an fearless in its investigations.

For this to be so, the CPIB has to have the full backing of the Prime Minister under whose portfolio it comes. The

strongest deterrent is in a public opinion which censures and condemns corrupt persons, in other words, in attitudes

which make corruption so unacceptable that the stigma of corruption cannot be washed away by serving a prison

sentence.”

Congruently all authors who have written about best practices in fighting corruption in Singapore

stated that the primary reason why Singapore was able to successfully fight corruption was that the

political leaders were fully committed.34

Muhammed Ali, the Acting Assistant Director of the CPIB, identifies the following six categories of

anti-corruption measures that Singapore implemented in order to make corruption a high risk low

reward activity (2000, p. 3):

Legislative measures against corruption

Administrative measures

34

The former Prime Minister of Singapore, Lee Kuan Yew, wrote in his memoires: “We had a deep sense of mission to establish a clean and effective government. When we took the oath of public office at the ceremony in the city council chamber in June 1959, we all wore white shirts and white slacks to symbolize purity and honesty in our personal behaviour and our public life *…+ We made sure from the day we took office *…+ that every dollar in revenue would be properly accounted for and would reach the beneficiaries as the grass roots as one dollar, without being siphoned off along the way. So from the very beginning we gave special attention to the areas where discretionary powers had been exploited for personal gain and sharpened the instruments that could prevent or deter such practices.”

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Preventive guidelines

Recruitment and education of SPF officers on corruption

Action against corrupt officers

Roles of government agencies

Legislative measures against corruption The legislative environment is reviewed regularly to ensure that the legal framework is loop-hole-

proof.

Administrative measures SPF

All officers in sensitive positions, which are the most susceptible to corruption (i.e. field

intelligence, anti-vice and gambling suppression), are rotated every three years to reduce

the opportunity for corruption. Moreover, they are screened more regularly and have to

submit their credit status reports to the Consumer Credit Bureau to assess their

indebtedness. Officer with debt problems may be removed from those sensitive positions.

Slashing down of excessive red tape in SPF work procedures that provides opportunities for

corruption.

Streamlining work-intensive administrative procedures.

Competitive pay for the SPF and regular readjustment to the market, as defined by private

sector salaries. This help to lower incentives for corruption and to prevent brain drain.35

CPIB

CPIB officers are not any more recruited among the SPF: Seconded police officers are

replaced with permanent civilian investigators

Give the CPIB a free hand to act without fear: The CPIB is independent of the SPF and

reports directly to the Prime Minister’s Office. Quah (2004, p. 18) states with respect to

Singapore’s anti-corruption measures that “the first best practice is never to let the police

handle the task of controlling corruption. This would be like giving candy to a child,

expecting that it would not be eaten”.36

35

In the 1960s Singapore was still a poor country and could not afford to increase SPF pay. Thus, policy makers focused on strengthening the existing legislation to reduce the opportunities for corruption and increase the penalties for corrupt behaviour. Increasing SPF salaries was only possible in the 1980s, after achieving economic growth. 36

Heilbrunn (2004, p. 7) writes that “the CPIB demonstrates that a government’s commitment to combating corruption is critical for meaningful reforms”. However, it is crucial to acknowledge that the CPIB operates without the accountability constraints of democratic political systems.

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Corruption complaints can be lodged via the CPIB website in less than 10 minutes.

Complaints are generally treated within ten days (complaints can also be lodged via post,

telephone or personally at the CPIB office).

Preventive guidelines The government instruction manual contains strict guidelines to prevent public officers from getting

involved in corruption:

Explicit definition of corruption and its various forms (cf. appendix).

Officers are not allowed to borrow money (or put himself under a financial obligation) to any

person he has official dealings with.

An officer cannot use official information for his personal profit

Officers are requested to declare their assets at their first appointment and subsequently

annually. All police officers are required to make an annual declaration of indebtedness for

unsecured debts of more than three months of their monthly salary. Officers who fail to

make and honest declaration are investigated and liable to disciplinary measures, including

retiring in the public interest.

Random drug testing to deter officers from “an unacceptable lifestyle, which is likely to lead

to corruption” (Quah, 2001, p. 71).

Officers are not allowed to engage in trade or business or to undertake any part-time

employment without approval.

Recruitment and education of SPF officers on corruption Recruitment requirements for Singapore Police Officers have significantly increased since

independence. To be eligible want-to-be Police Officers need at least 5 GCE “O” level credits or

NITEC (Senior Police Officers need a Bachelor’s degree in any discipline). Moreover, candidates must

pass the security screening by the Internal Security Department, the CPIB and the Criminal Record

Office (no criminal convictions, no records of corruption and not a security risk). The final stage of

the selection process consists of integrity-based psychological assessments and interviews paired

with stringent screening procedures.

New SPF recruits are required to attend a six-month residential Police Officers’ Basic Course where

the basics of police work and regulations are taught. Senior police officers are required to undergo a

nine-month residential training program. Besides, formal police training, the senior police officers

undergo a six-week Leadership Program. Moreover, junior and senior officers attend a mandatory 40

hours Values Training. The course content includes code of conduct and police regulations,

government instruction manuals. The teaching relies heavily on case studies of police officers found

guilty of corruption. Recruits are then put through integrity-based lessons to build resilience to

corruption. Such trainings are conducted throughout the career of each police officer. Also regular

in-service trainings are conducted at front line units, which are more susceptible to corruption. As in

the initial training, case studies of actual cases of police officers charged in court for criminal

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offences and corruption for an integral part of the ongoing integrity training program. Since 2002 an

annual Ethics Seminar is held to increase the SPF awareness of disciplinary measures related to

corruption. This seminar is attended by all the directors, commanders, ground supervisors and other

police officers. Also in 2002, a pocket-sized handbook “Guide to Ethical Decisions” has been

distributed to police officers to provide a set of general rules of conduct. The rules of conduct are

illustrated with actual cases, to ensure that decisions of police officers are ethical even when it is

difficult to obtain the immediate advice of their superiors.

Action against corrupt officers If there is sufficient evidence a corrupt officer will be charged in court. Otherwise he will be charged

departmentally. Heilbrunn (2004, p. 6) writes that Singapore’s “semi-authoritarian regime *…+

renders this commitment and threat of punishment more credible”.

A court conviction for corruption may carry a USD 100.000 fine and up to five years of imprisonment.

Should the offence include a member of a public body, the term of imprisonment can be increased

to seven years. Besides fine and imprisonment, the convicted officer will be ordered in any case to

return the amount of the bribe. In addition to the previous punishments, the court can also order

the confiscation of the property obtained by corrupt SPF officers. Moreover, officers convicted in

court of a corruption offence will also lose their job and be debarred from any future public

appointment. Should the officer be pensionable, he will also lose his pension and other benefits.

Officers convicted of a departmental charge may receive one or more of the following punishments

(the combination will depend on the severity of the offence):

Dismissal from the service;

Reduction in rank;

Stoppage or deferment of pay rise;

Fine or reprimand;

Retirement in the public interest.

What makes Singapore unique? Highly literate society (with a strong culture against corruption)

Semi-authoritarian regime

City-state

Economic wealth

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Exhibit 1: Corruption quiz

Exhibit 2: Corruption reporting tool

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Exhibit 3: Interactive corruption game

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Exhibit 4: Case study

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Best Practices from Hong Kong and Singapore

The approaches of both city-states were directed at (i) making corruption a high risk – low reward

activity and at (ii) raising public awareness about corruption.

Prerequisites for fighting corruption and actual anti-corruption measures can be broadly classified in

the following blocks:

Political will

Independent Anti-Corruption Agencies with considerable powers

Discipline

Adaptation of pay and working conditions to the private sector

Minimizing opportunities for corruption

Training & Education

Political will The driving force in fighting corruption in both countries has been a government that made the fight

its primary objective and was willing to investigate even the highest officials and to commit

substantial financial resources to this cause. To gain credibility, the main prerequisite was that the

government led by example and was itself incorrupt.

Independent Anti-Corruption Agencies with considerable powers As Quah (2004, p. 18) already wrote “the first best practice is never to let the police handle the task

of controlling corruption”. Both, Singapore and Hong Kong have put a strong emphasis on the

independence of the anti-corruption agency. This results in the fact that officers of these

organizations are not drawn from the Police Force, but are ‘civilian investigators’. Also, both

agencies are integral parts of the executive apparatus and have the same investigation powers as

the Police Force. The Singapore agency directly reports to the Prime Minister. The anti-corruption

agencies of both city-states were also instrumental in showing to the wider public that corruption

would not go unpunished and that everyone from the traffic officer to the commissioner were

investigated if there was reason to believe they were corrupt. Also by adhering to strict ‘customer

service’ guidelines, both agencies made sure that complaints about corrupt behaviour, submitted by

multiple channels, were processed promptly and transparently.

Discipline To deter corruption in the first place both states have introduced strong penal legislations. In terms

of harshness, both states have adopted similar policies. A corrupt officer can be sentenced to up to

seven years of imprisonment and fines up to USD 100,000. Also police officers will be barred for life

from the Force and forfeit all retirement benefits they have accumulated. In the wake of Singapore’s

economic awakening, disciplinary measures were the primary means of curbing corruption, as

financial resources were lacking to introduce other more costly measures.

Adaptation of pay and working conditions to the private sector Both states have increased the pay of police officers and have pegged the pay level to the private

sector. This has enabled Singapore and Hong Kong to be able to recruit higher skilled officers and to

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prevent the brain drain to the private sector. Also it has increased the perceived value of the job to

police officers, thus increasing the perceived risk of engaging in corruption and losing it.

Minimizing the opportunities for corruption Hong Kong and Singapore have put a variety of measures in place to lower the opportunities for

corruption. These include a periodical monitoring of Police Officers’ statements of indebtedness and

other financial statements, the regular rotation of Police Officers in sensitive (i.e. corruption prone)

positions, the cutting down of red tape by making administrative processes lighter and more

transparent, and also leveraging IT and internet to automate and standardise process as much as

possible.

Training and education Training played a crucial role in both Hong Kong’s and Singapore’s anti-corruption strategies.

Education was administered on two fronts:

To the public

To the Police Force

Educating the public about corruption included two aspects: education about what the police can

and cannot do (closing the gap between police and public) and education about what corruption is

and how it will be and has been punished. As corruption was at that time in both states socially

acceptable, the objective was to make the public condemn corruption and to report it. Initiatives

included seminars for kids at school, browser games and dedicated websites for kids, poster

campaigns, dedicated websites with information about corruption (quizzes, case studies, videos etc.)

and seminars for employees at work.

The goal of educating the Police Force about corruption had as an objective to give officers a

concrete idea of what corruption consisted of and how it will and has been punished. The main idea

was to make corruption and its investigation less abstract by showing officers that corruption will

eventually be detected and punished severely. For this the anti-corruption agency organized regular

workshops, seminars during the initial police training, provided manuals of how not to engage in

corruption, regular newsletters, and case studies on how police officers have been investigated and

condemned in the past.

Anti-Corruption Strategy

Proposed Solution Based on best practices from Hong Kong and Singapore and from interaction with seminar

participants we have identified education as being one of the key problems that give rise to

corruption.37 The lack of education on corruption is not a particular characteristic of corruption in

37

We acknowledge that both Singapore and Hong Kong are not comparable to India for a variety of criteria (political governance, economic strength, size, cultural diversity, etc.). However, it has the same colonial past that promoted corruption and they are the sole Asian countries that were able to effectively fight corruption. Moreover, if we look at India

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law enforcement, but it has a particularly strong influence on it: The colonial heritage that

established a deep divide between the law enforcement and the public inhibits control by the public

– which is the basis of a democratic system – and thus magnifies the scope of corruption.

In order to raise awareness about corruption and to enable public opinion as a control mechanism of

law enforcement by closing the gap between the latter and the general public, we have developed a

two-pronged strategy:

Educate the youth about corruption

Educate the general public about what law enforcement can and cannot do

Educate the youth Singapore and Hong Kong have shown us that the youth is a major stakeholder in the fight against

corruption. This might sound surprising at first, as they are not directly (or even not at all) involved in

corruption. However, educating the youth about integrity and moral values is the basis of a future

‘corruption-free’ society. Both, Singapore and Hong Kong, have each needed more than one

generation to effectively fight corruption, highlighting the need for long-term change involving the

youngest stakeholders of the society. Besides, through our interaction with Dr. A P J Abdul Kalam,

we realised children play an important role in informally controlling and influencing their parents.38

For parents, generally their love to their children, and thus their relation to their children, and

wanting to be a good parent and a role model, are some of the most important things in their life.

The strong bond which commonly exists between primary school teachers and their pupils could also

be used to efficiently and effectively pass on fundamental principles of ethics.

To educate children about morally correct behaviour a number of solutions could be implemented:

Primary school classes at school about morals, with special emphasis on corruption. The

school environment is the only environment outside from home where children spent a

significant amount of time. It is also the opportunity to leverage the credibility and privileged

relationship between teacher and pupil. As a result, in Hong Kong and Singapore a lot of

education is administered to primary school pupils through their teachers. Additionally, in

Europe we see that the school is often used as an organism to administer teachings that are

not necessarily directly related to the curriculum: road safety for kids (administered by the

police by using puppet shows, etc.), about the environment (by visiting local sewerage

facilities, etc.), etc. We could well imagine the ACB or the Police Force to design appropriate

teaching seminars for small children.

Field trips to the local police office. This measure could help to create a stronger emotional

bond between kids and police officers. This would also be the possibility for children to learn

early on that the police should be your ‘friend and helper’ (a German saying) and to get an

intuitive sense of what the police is doing. Thus, this could prove invaluable in bridging the

gap separating the public and the police.

on a state-by-state basis, which is consistent with the Indian federal system, the differences in size between both city-states and the Indian federal states seem less problematic. 38

A current example, though extreme, are the sons of Bernhard Madoff who after learning about their father’s ponzi scheme alerted the FBI (http://www.bloomberg.com/apps/news?pid=newsarchive&sid=aDN6XKaKhwG0, Nov. 19, 2010)

http://www.bloomberg.com/apps/news?pid=newsarchive&sid=aDN6XKaKhwG0

295

Distribution of children’s books at school about corruption. Hong Kong has put a lot of

emphasis on this in the past: The state publishes a number of picture books and comic books

which are related to corruption and ethical behaviour that are distributed to school children.

Creation of dedicated websites with content adapted to children about corruption. Both,

Hong Kong’s and Singapore’s Anti-Corruption Agencies have launched websites for children

that treat the subject of corruption. The websites primarily include popular and interactive

content (e.g. browser games, videos, quizzes, music, etc.) that appeals to young children.

This measure can be of a particular interest to India, as the computer-literacy among

children is growing fast and children are provided PC teachings at school. Thus, those

websites could be designed to be used as a teaching support.

Bring your kid to work day. In Germany, once a year every kid is released from school for

one day to accompany one of their parents to work. The purpose of this initiative is to

increase the awareness of children about their parents’ daily life and also to get a first

glimpse of what employment is like. These initiatives start generally with the entry into

secondary school (approx. 11-12 years of age). With respect to India, this could be a good

initiative to strengthen the bond between children and their parents but also to give

children, especially when they grow up, the opportunity to get a better understanding of

what their parents are doing and to question their way of doing things. In addition, this

might help to show parents that their work and their private family life are not

disconnected.

Educate the general public From our discussion with Mr. Ajay Tomar IG, from the Anti-Terrorist Squad of Gujarat, we identified

the gap between the police and the public as being one of the major reasons of corruption or why

corruption seems to be accepted, although making daily life more difficult. Hong Kong and Singapore

came to the same conclusion and put a lot of efforts into bridging this gap. Especially, Hong Kong

should be an example for India: They initiated service pledges by officials of public service

organisations, thereby promising explicit minimum customer service guidelines to service users.

Additionally, all administrative procedures have been explicitly published on dedicated websites,

including prices, process duration, forms, etc.

By relying on best practices from our case studies and from other countries we have identified a

number of measures that could be put in place rapidly and that should be cost effective (at least at

the state level):

Leveraging the virtues of the Indian mobile society. A lot of SMS services targeted at

corruption are already in place throughout the world and India. Mostly these are services

where one can report an incident immediately free of charge via SMS. These services have

been launched successfully in New Delhi, Mumbai and Chennai and have yielded

encouraging results.39 In Tanzania, SMS services are also used to raise public awareness

about corruption: Among the usual advertisement SMS that prepaid customers get on their

phone daily, they may also receive one from the government informing them about

39

''If a Central/Delhi Government/PSU/Bank employee demands bribe for any official work in Delhi, pl contact SP, CBI at 24361535/3541/2494 or 99680812/16/17/18'', http://news.oneindia.in/2008/08/13/cbi-launches-anti-corruption-drive-via-sms-1218636242.html (Nov., 19, 2010), http://www.hindu.com/2009/04/13/stories/2009041357620100.htm (Nov., 19, 2010)

http://news.oneindia.in/2008/08/13/cbi-launches-anti-corruption-drive-via-sms-1218636242.html



http://www.hindu.com/2009/04/13/stories/2009041357620100.htm

296

corruption.40 We believe that these kinds of services can well be implemented, i.e. scaled up

in India, as they have proven efficient and are the lowest cost and fastest way of addressing

the entire population. With respect to India, the use of SMS as a channel also seems to be

the most egalitarian solution, as prepaid phones are owned by a large and ever increasing

percentage of the population. Also many households that lack an internet connection have

mobile phones.

Display boards outside police stations could be used to inform the public about standard

procedures and processes, their costs and the minimal customer service they should expect.

This approach aims to increase the transparency in otherwise complex police systems in

which the ambiguity provides scope for corruption.

An official website for anti-corruption. A single trusted source should be provided on the

internet not only to inform the public about the police services available to them but also to

report corrupt practices and track complaints. In order to make this effort inclusive, every

Gram Panchayat should be provided a computer centre with internet connection and a

computer-literate government official providing information to inhabitants about their

contact with the police.

Next Steps It should be noted that corruption is a multi-dimensional problem inherent in the various

institutions and mechanisms in and between which Indian society operates and, therefore, requires

a multi-pronged solution tackling the different political, legal, economical, technological and social

aspects with effective implementation on a state-by-state basis for inclusive change. As such, our

recommended approach should be viewed as an emerging and evolving study providing some

insights into the challenges of implementing effective strategies to make India a corruption-free

society in the current environment.

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302

Sr. No. 14, 15, 37,100

Report


(Evolution of a Carbon Neutral Nation)

submitted to

Instructor: Prof. Anil Gupta



By

Abhishek Srivastava

Himadri Agarwal

Lakshmisha S K

Movin Jain

Venkatesan Krishnachari

303


AHMEDABAD

Table of Contents Energy Consumption at Current Levels ..............................................................................................

Economic Growth drives Future Energy Demand .............................................................................

The Demand Supply Gap and New Discoveries ...............................................................................

Need to find Green Energy Sources ...................................................................................................

Biofules as Source of Energy in India .................................................................................................

Grassroots Innovations .........................................................................................................................

The Energy Scenario and its Political Implications ...........................................................................

Suggestions for an Integrated Energy Policy .....................................................................................

Conclusion ...............................................................................................................................................

References ..............................................................................................................................................

304

India‟s current energy consumption is estimated around 12.6 million btu per annum. It is the

fourth largest consumer of fossil fuels in the world. If we expect our economy to keep

growing at 9-10% p.a., we need a commensurate growth in energy supply. According to a

recent study conducted by the World Resources Institute (WRI) India‟s energy demand is

expected to more than double by 2030.

Energy Consumption at Current Levels

India is a significant consumer of energy resources. In 2009, India was the fourth largest oil

consumer in the world, after the United States, China, and Japan. According to the

International Energy Agency (IEA), coal/peat account for nearly 40% of India‟s total energy

consumption, followed by nearly 27% for combustible renewables and waste. Oil accounts

for nearly 24% of total energy consumption, natural gas about 6%, hydroelectric power

almost 2%, nuclear nearly 1%, and other renewables less than 0.5% percent.

41

India lacks sufficient domestic energy resources and imports much of its growing energy

requirements. About 30% of its total energy needs are met through imports. In 2009, India

was the sixth largest net importer of oil in the world, importing nearly 2.1 million barrels a

day, or about 70 percent, of its oil needs.

Currently, India has an installed annual capacity of 165 GW. About 65% of the electricity is

drawn from fossil fuel with coal being the biggest component.

41

Source: International Energy Agency

Cumbustible, renewable and

waste, 27.20%

Nuclear, 0.70%

Oil, 23.70%

Natural Gas, 5.60%

Hydro, 1.80%

Coal, 40.80%

Other renewables, 0.20

%

India Energy consumption

305

Fuel GW %age

Fossil fuels 106.5 64.6%

Coal 87.9 53.3%

Gas 17.4 10.5%

Oil 1.2 0.9%

Hydro 37.3 24.7%

Nuclear 4.6 2.9%

Other renewable sources 16.4 7.7%

Total42 164.8

International Energy Agency (IEA) data for 2008 indicate that electrification rates for India

were nearly 65 percent for the country as a whole. In urban areas, 93 percent had access to

electricity compared to rural areas where electrification rates were approximately 50 percent.

Roughly 400 million people do not have access to electricity in India. According to an

estimate, at current levels of consumption, India has a 10 GW of annual shortage with a

10.5% of peak time electricity shortage.

Economic Growth drives Future Energy Demand

The reforms initiated in India since the beginning of the nineties have led to rapid economic

progress and better growth rates. Based on a research conducted by Goldman Sachs in

2007, it projected that India would be able to sustain the growth rate of 8% until 2020. It also

predicted that, India‟s GDP (in US Dollar terms) will surpass that of the US before 2050,

making it the world‟s second-largest Economy.43 The fact that India was able to sustain its

growth rate in the last couple of years despite the global economic recession only provides

further substantiation to Goldman Sachs‟ projection. It is also pertinent to note that in its

World Economic Outlook report of Oct 2010, the IMF put its expectation of Indian economic

expansion as high as 9.7%.44

With high economic growth rates and over 15 percent of the world‟s population, the energy

requirements are only expected increase. According to the Integrated Energy Policy report,

8% to 10% growth is necessary for India to eradicate poverty by 2030. To achieve such a

growth, India must increase the supply of primary energy supply by 3 to 4 times by 2030

from 2003 levels. In per capita terms, the total primary energy supply will have to be raised

to 1250 Kilogram Oil Equivalent (kgoe) y 2031 from the level of 439 kgoe in 2003. India has

an even bigger challenge with electricity generation capacity which must increase by 5 to 6

42

Ministry of Power, India http://www.powermin.nic.in/JSP_SERVLETS/internal.jsp accessed on 20th Oct 2010. 43

BRICs and beyond, Goldman Sachs 2007 44

http://economictimes.indiatimes.com/news/economy/indicators/IMF-raises-Indias-growth-forecast-to-97/articleshow/6702763.cms accessed 20 Oct 2010

http://www.powermin.nic.in/JSP_SERVLETS/internal.jsp

http://economictimes.indiatimes.com/news/economy/indicators/IMF-raises-Indias-growth-forecast-to-97/articleshow/6702763.cms

http://economictimes.indiatimes.com/news/economy/indicators/IMF-raises-Indias-growth-forecast-to-97/articleshow/6702763.cms

306

times by 2031. In other words, the policy predicts the demand for electricity to go up to 900

GW by 2030 from level of about 170 GW.45

The Demand Supply Gap and New Discoveries

According to Oil & Gas Journal (OGJ), India had approximately 5.6 billion barrels of proven

oil reserves as of January 2010. However, the combination of rising oil consumption and

relatively flat production has left India increasingly dependent on imports to meet its

petroleum demand. Currently India imports about 70% of its oil requirements. Even in the

best case scenario projection considered in the Integrated Energy policy, India‟s

dependency on imports is expected to import to about 90% for its oil requirements and to

about 11-45% of coal requirements by the year 2030.

Indian government has framed policies to increase domestic exploration and production

activities. One such initiative allows foreign oil majors with deepwater drilling experience

and other technical expertise to hold 100 percent equity ownership in oil and natural gas

projects. Despite this, international oil and gas companies currently operate a small number

of fields. In recent years, Indian national oil companies have increasingly looked to acquire

equity stakes in E&P projects overseas. One must say that these efforts are insignificant

compared to the magnitude of the oil needs facing the country.

To augment electricity sources, India has signed a 35 year power import deal with

Bangladesh in July 2010 whereby India will import up to 500 megawatts beginning in late

2012. India also imports some electricity from Bhutan and Nepal. However, these electricity

imports are not likely to prove sufficient to make up for India‟s lack of electric generation

capacity.

Although nuclear power comprises a very small percentage of total energy consumption at

this time, it is expected to increase in light of international civil nuclear energy cooperation

deals. But is a very small contributor for India compared to the developed nations.

Need to find Green Energy Sources

Environmental degradation is a critical risk to India‟s long-term growth potential. India is

largely rural, and normal monsoons are the life-blood of the system. With increased

urbanisation, industrial development and a burgeoning need for energy, India is expected to

be one of the largest contributors to global warming. Climate change can cause erratic

monsoons, with grave implications for rural incomes and overall growth. Already, shortages

water are occurring with concerning rapidity. If water and electricity are not priced at close to

long-run marginal social cost, the shortages will become critical. In order not to hamper the

growth process, India will need to put in place policies that are increasingly environmentally

friendly.

45

Integrated Energy Policy, Planning Commission

307

Biofules as Source of Energy in India

To sustain a 8-10% growth of the economy the energy output of the country has to grow by

12-14% depending on the energy intensity of growth. What we can control though is the

carbon intensity of the energy we consume. India will continue to burn large amounts of coal

and other fossil fuels for its energy needs in immediate future. But all the energy from these

sources will be insufficient to fulfill the demand. The government has proposed various policy

measures to facilitate a better utilization of all sources of Energy. We will examine biofuels

and its use at all levels of Indian Society.

Current policy initiatives and its comparison with other countries –

Biofuel Technologies and their use in India –

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Grassroots Innovations

1. Vigyan Asharmi

They have worked on a process to use Elephant Grass/Napier Grass (Pennisetum

purpureum) as feedstock for biogas generation, and subsequently burning the gas to

generate electricity.ii

Biofuels

Solid

Wood

Direct Combustion

Gassifier

Agrowaste

Cogeneration(Sugar Mills)

Combustion(Rice Mills)

Liquid

Diesel

Biodiesel

Diesel Alchohol mix

PetrolPetrol

Alhochol mix

309

Vigyan Ashram is developing a Mono Wheel Genset and an attachment to a mobility-bicycle which generates power through a generator/alternator when pedaled daily. This power is stored in a battery and can be used in the evenings for illumination using LED lamps. This idea won „Development Marketplace Competition 2007‟. We are working on developing low rpm dynamo. The solution will be tested in 50 ashram shala‟s. So far unit has been installed in 14 schools and trials are on.

2. Jathropa

Jatropha (Jatropha curcas, Ratanjyot, wild castor) thrives on any type of soil. Following are

the few characteristics which define this plant.

needs minimal inputs or management and its propagation is easy,

has no insect, pests & is not browsed by cattle or sheep,

can survive long periods of drought,

gives Yield from 3rd year onwards, continues for 25-30 years,

25% oil from seeds by expelling, 30% by solvent extraction, and

the meal after extraction is an excellent organic manure.

Estimates based on Jathropa (study in 2007)

Estimated diesel demand in 2007: 52.33 MT

5% blend would require 2.62 MT Bio-diesel

Plan for 2.2 million Ha area to be brought under Jatropha plantation by 2007

Additional Employment opportunities for 2.4 million

Employment opportunities to rise to 12 million by 11th plan (2012) for 20% bio-diesel

blend

Seed yield of 4 MT / Ha, gives farm income of Rs. 20,000 per Ha per year from waste

lands with minimum support price of Rs. 5 per kg of seeds.

Secondary employment in oil extraction plants

3. Study of Grass as an alternative sourceiii

310

The study, published in the October issue of the journal Global Change Biology Bioenergy,

analyzed geographic yield and other economic factors that should be considered in growing

the bioenergy grass crops.

Important conclusion for us is that considering all economic factors grass which has a near

zero investment for plantation is an attractive alternative to government suggested Jathropa.

Biofuels compare favorably against the solar energy sources which the government has

mandated as part of the National Solar Mission. Plants – grass/corn/jathropa are eventually

capturing sun‟s energy and making it available at a fraction of the cost of a solar panel and

with much more employment and secondary benefits. Thus Biofuels may play a very

significant part in India‟s energy security. Their broad appeal and vast applications make

them an ideal choice.

The Energy Scenario and its Political Implications

The world as we see today is a highly energy intensive one, and development and progress

of emerging countries including India has only increased the overall demand for energy.

Among the various sources of energy, oil and gas best represents this increased demand.

The two graphs given below provide a clear picture of this. The first graph depicts the growth

in production over the previous year, while the second graph depicts the growth in

consumption by various sources over the previous year. We can clearly see the fact that

while the predicted consumption would be an increase from current levels, the production in

some of the regions would actually fall, thereby leading to a shift in the global balance of

power towards the suppliers.

311

India‟s current energy consumption is estimated around 12.6 million btu per annum. It is the

fourth largest consumer of fossil fuels in the world. If we expect our economy to keep

growing at 9-10% p.a., we need a commensurate growth in energy supply. India today

imports oil from various countries as shown in the graph below.

312

As we can see, Africa and Middle-East are the major sources of oil, and any political

disturbance in these regions could result in disruption in the much needed oil supply. Also,

given the demand-supply dynamics of the scarcity driven oil market, maintaining good

relations with not only these suppliers, but also with countries en route to India from these

countries is essential for an uninterrupted supply of oil.

Thus, the critical threats to the supply of oil can be classified as:

1) Market driven factors : Global demand increases considerably relative to the supply, resulting in all consumers facing possible disruptions.

2) Environmental factors : The supplier is willing to supply the required oil, but factors affecting neighboring countries act as hurdles to transit. The hurdles could also be a result of natural disasters, terrorist attacks, wars or other man-made activities. Ex: an oil pipeline passing through neutral countries is an easy target for such factors

3) Political factors: The supplier has certain political motives which are not in line with our political stance, and hence the disruption in oil supplies is used as a stick in the negotiation process. Also, it could be a case of the supplier wanting to misuse the monopolistic power balance to extract super-normal profits.

Example: The 1973 oil crisis where the OPEC imposed an embargo on oil supplies to

USA in response to its continued support to Israel. This resulted in a global cut-down

of oil production, resulting in increased oil prices causing inflation to rise globally.

Example: Another example is the oil diplomacy being used by Russia to regain its

leadership position among the erstwhile members of USSR, and also on the global

stage.

These threats are critical enough to warrant serious thought on ways to counter these,

especially as India targets a growth rate of more than 8% in the next few years. There have

been certain efforts in this regard. Indian oil companies have been aggressively trying to

acquire stakes in oil and gas fields around the world. This has, however not succeeded to

the extent expected owing to competition from Chinese and other firms. Also, there seems to

be a political will to move away from oil dependency to the extent possible. To take care of

short term disruptions in supply, strategic oil reserves have been planned in various parts of

the country.

While these are steps in the right direction, much more needs to be done to counter the

possible political fallouts of India‟s energy needs. A few of the key steps to be taken are:

1) Dis-incentivize oil guzzling activities and promote ways to reduce oil consumption instead. This would include steps like popularizing public transport through increased taxes/cess on private vehicles, educating people through widespread publicity, PPP based initiatives involving corporate, educational institutions etc.

313

2) Diversify the sources of energy and promote renewable sources of energy wherever possible. Invest in R&D in competing technologies to make them commercially viable.

3) Diversify sources of oil and gas to avoid disruptions to supply due to the above mentioned factors

Suggestions for an Integrated Energy Policy

On the matter of policy changes in order to facilitate India to become carbon neutral, we

propose a structural approach. We suggested a bottom-up approach for the reduction of

emissions and energy consumption through use of greener practices, and a top-down

approach for adoption of new policies for energy production through greener means. Here

we shall discuss these approaches in more detail.

This will be followed by criticism and recommendations on the TERI report under Dr.

Pachauri. We will also look at some organizations that have, or will soon become carbon

neutral, and will suggest best practices that can be inherited from them.

Reduction of Emissions: Bottom-up approach

1. Take strict punitive action against vehicles and factories that emit more than

European standard limits. Adopt European standard limits for pollution and carbon

emission.

2. Public transport in India is not the preferred medium for the upper and upper-middle

class. Develop public transport solutions for these people to incentivize public

transport suitably.

3. Publicize carbon neutrality among corporate and public organizations as a positive.

Reward heads of organizations that are carbon neutral.

4. Set up a central carbon neutrality committee, which will carry out all the scientific

tasks related to this effort. It will also certify whether an organization is carbon

neutral.

5. Incentivize vehicle manufacturers to use technologies that reduce emission, over and

above the limits.

6. Make each and every person in India aware about his/her contribution to global

emission: set up road shows and camps all over India where people can calculate

their carbon footprint.

Reduction of Energy Consumption: Bottom-up approach

1. Make it compulsory in hotels, hostels and housing societies to install equipment that

automatically switches off lights etc when the room is vacant.

2. Incentivize innovation and entrepreneurship in waste management.

Green methods of producing energy: Top-down approach

314

1. Adopt an aggressive renewable energy resources policy.

2. SEWA is introducing a green energy bond, which will attract investment from the

public, to pay for provision of solar equipment (stoves and lamps) to poor villagers,

and the investors will be paid back the monetary savings of the villagers, resulting

from these provisions. Encourage more such initiatives.

3. Incentivize innovation and entrepreneurship in solar energy

Global policy on carbon neutrality and climate change:

We support the current global policy on climate change – that the responsibility of reducing

carbon emission is upon all the nations, but there is a differential responsibility: developing

nations have less burden, and developed nations have more burden of reducing emissions.

What we do not support, is the attitude of several nations, that unless other countries

promise to take up carbon neutrality as a cause, they would also not do it. This becomes a

vicious circle and several aconomies would just keep waiting for others to take the lead. We

need to educate masses, and through them, their governments, that carbon neutrality is a

matter of concern to the whole world, and that everyone is affected by it and must take up

the responsibility.

Conclusion

The analysis of the potential future energy consumption needs and the sources of energy

available currently reveal that renewable sources of energy need to come in a big way for

India to evolve as a sustainable carbon neutral nation. There are several aspects which

need to be given improtance to achieve this target.

Development: Promote appliances and grass-root innovations consuming less or no

energy

As dicussed in the paper above, grass root innovations such as those being

developed in Vigyan Ashram, studies on Jathropa and grass to derive energy have to

be promoted by mainstream channels and supported by policy measures.

Policy: Incentivize research in renewable energy by deregulating oil prices in a time

bound manner

It is essential to incentivize the market to promote renewable sources of energy by

deregulating oil prices in a time bound manner. Support to develop the renewable

sources have to be phased simultaneously in order to shift the sources gradually at a

mass scale.

Engagement: Engage the general populace by educating children about energy

neutrality

It a task that requires commitment and motivation from the entire country. The

general populace has to be engaged in this process of transformation in order for it to

be effective and speedy. The shift in sources of energy would be realized on a real

basis only with their acceptance and motivation.

315

Regulations: Strengthen building regulations to ensure energy efficient homes and

offices

The populace can be incentivized to move towards energy effcient homes and

offices. With awareness, availability of alternative sources of energy and the right

incentives, the process of transformation would be efficient and effective.

Recognition: Recognize efforts by individuals and organizations through prizes,

awards etc

This forms an important psychological motivation and incentive for the people and act

as a driver of the change in their consumption patterns.

Association: Associate with local governance bodies / NGOs to help the poor to shift

to energy efficient devices

The poor need special support for being a part of this change. Local government

bodies and NGOs need to be involved to facilitate this change at the huge bottom of

the pyramid population both in urban areas and rural areas.

The bottom-up and top-down appraoch together with the social support can help the

nation achieve carbon neutrality in an efficient manner.

References

1) http://www.eia.doe.gov/oiaf/ieo/index.html 2) http://www.eia.doe.gov/emeu/steo/pub/contents.html 3) http://www.eia.doe.gov/emeu/international/contents.html 4) http://tonto.eia.doe.gov/country/index.cfm 5) http://www.eia.doe.gov/emeu/cabs/India/Oil.html 6) http://www.eia.doe.gov/country/country_energy_data.cfm?fips=IN 7) http://en.wikipedia.org/wiki/1973_oil_crisis 8) i http://vigyanashram.com/index.htm 9)

ii

http://www.linkedin.com/groupAnswers?viewQuestionAndAnswers=&discussionID=33990659&gid=40102&trk=SD

10) iii

http://www.linkedin.com/news?viewArticle=&articleID=243789188&gid=40102&type=member&item=33990659&articleURL=http://ecoseed.org/en/biofuel/ethanol/article/59-ethanol/8329-grass-found-as-better-biofuel-crop-than-corn&urlhash=bAl8&goback=.gde_40102_member_33990659

http://vigyanashram.com/index.htm







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Sr. No. 21, 25, 26, 49, 99


AHMEDABAD

PROJECT REPORT

Evolution of a Corruption Free India

Submitted to


Prof. Anil K Gupta


GLOBALISING AND RESURGENT INDIA

THROUGH INNOVATIVE TRANSFORMATION

By

Daniel De Luna, Nikhil Bhaskar Mudaliar, Ravi Yadav,

Saurabh Singh, Shantanu Shekhar, Udit Kumar Goyal

November 20, 2010

317

Introduction

What is corruption?

Transparency International (TI) defines corruption as - ―the abuse of entrusted power for

private gain‖. TI has come up with a classification of corruption based on adherence of an

action with rules. ―According to rule‖ corruption envisages the type of corruption which

involves payment of bribe to a person, for receiving preferential treatment, for something that

the person receiving bribe is supposed to do as per law. ―Against the rule‖ corruption covers

the payment of bribe for receiving services prohibited by law.46

In fact, worldwide, bribery

was a US$ 1 trillion industry in 2004.47

Why do people adopt corrupt practices?

Corrupt practices are usually adopted for a personal gain. When it becomes difficult for a

person to achieve an end with reasonable ease, she starts looking for short cuts. These short

cuts often lead a person to adopt corrupt practices. Several people also attribute corruption to

the rising costs of living. In a scenario where everything is becoming dearer, a person needs

more and more money to fulfill one‘s desires be it owning a house in the posh area of the city

or sending one‘s children to the best school in the city. The divide between the rich and the

poor only fuels these desires. Greed of a person is perhaps the greatest catalyst behind the

rapid increase in corruption.

Corruption breeds corruption is another notion shared by many individuals. Consider election

in India for becoming a member of legislative assembly (MLA). A candidate has to spend a

large amount of money for becoming the MLA. The election of the candidate naturally

culminates in the MLA adopting corrupt practices herself to make good for the money

invested in elections. Situations like these paint a sorry figure of the Indian democracy.

Corruption is encouraged by the lack of proper judicial system. If people are sure that they

are unlikely to be caught for corruption and even if they are caught, they will get away with

light punishment, then corruption will undergo a viral growth.

46

Transparency International. Retrieved on September 16, 2010 from http://www.transparency.org/news_room/faq/corruption_faq 47

Daniel Kaufmann on Corruption, World Bank. Retrieved on September 16, 2010 from http://discuss.worldbank.org/content/interview/detail/1196/

318

Poor leadership gives rise to corruption. People look to leaders as role models. Politicians,

civil servants and social leaders can lead the society either way. Through their example they

can be the best role models for the society if they shun corruption. On the other hand, by

adopting corrupt practices they can be the largest contributors to increase in corruption. A

society where leaders are corrupt is likely to have corruption pervading all strata of society,

right to the lowest rungs.

On a deeper analysis, one can also see the ethical dimension of this problem. Corruption can

grow only among dishonest people who avoid performing their duties properly. In a society

with high ethical standards, corruption will cease to exist. In the modern world, ethics and

spirituality are at a decline. People are becoming more and more materialists and hence

becoming insensitive to the needs of others. ―What is in it for me?‖ is the question everyone

has in mind. In such a scenario, corruption can only head north unless suitable and speedy

actions are taken.

Causal Story of Corruption and International Perspective

According to Transparency International (TI), in 2009, the 10 countries (New Zealand,

Denmark, Singapore, Sweden, Switzerland, Finland, Netherlands, Australia, Canada, Iceland)

with the lowest index of corruption (police corruption, business corruption and political

corruption) are all developed countries. In the lowest ranks we specially find the poorest and

least developed countries.1

One could conclude that the development level of a country can make that country less

corrupt. However, if this is the case, why do developed nations like Italy or Russia have a

very high index of corruption?

With this international perspective, we can attribute the following causes for varying levels of

corruption in different societies and nations -

- Different levels of government transparency and encouragement of transparency by political

leaders

- Freedom of information legislation, freedom of speech and freedom of the press (of the

media). Giving freedom to press can ensure reduced levels of corruption

- Control and presence of the government

- Favorable social conditions and ethical values

- A high degree of economic freedom and a very low level of useless regulation.

How tackling corruption is interlinked with other issues like sustained peace and happiness?

319

The lack of corruption in a society is directly connected to the happiness and sustained peace

and we have some data that can demonstrate this fact: according to Gallup World Poll (2010),

the world‘s happiest countries in the world are Denmark, Finland, Norway, Netherlands,

Sweden, Costa Rica, New Zealand, Israel, Australia and Switzerland48

: 7 out of 10 countries

match to the 10 less corrupted countries in the world.

In these countries roughly 65% of the people polled considered themselves as happy and

satisfied with their lives. People trust each other and this decreases the possibility of

corruption. In these nations the government assures good administration of the public sector

and the citizens trust the institutions because the institutions trust the citizens.

In Denmark, for example, if a worker loses his job the State assures its support financially

and gives support for search of a new employment, but the worker must seriously search a

new employment. Therefore, we can find a reciprocal trust relationship produces extremely

positive results.

The results are a low number of social tensions (strikes, riots etc), a substantial peace and

happiness among citizens because of high ethical standard of this society.

On the contrary, corruption is one of the factors which hold back the development of various

countries. The devil of corruption does not ever allow the poor to come out of poverty.2

A taxonomy of corruption

Corruption can be classified in the following ways49

–

1) Incidental – This type of corruption includes activities which do not have a regular

pattern in their occurrence and are usually consequent to some random checking by

designated official. A typical example of this kind of corruption is demand of bribe by

traffic policemen while a random checking of vehicle papers is going on.

2) Transactional – This type of corruption involves a well laid out process having some

loopholes which enable an official to demand bribe. The process typically requires an

applicant (person from demand side) to approach an official agency (supply side) for

fulfilling its needs. A typical example is passport office.

3) Institutional – This type of corruption can be singled out by the trait that all people in

the organization, right from the top to bottom, are involved in corruption. Corruption

48

The World’s happiest countries, Forbes. Retrieved on September 16, 2010 from http://www.forbes.com/2010/07/14/world-happiest-countries-lifestyle-realestate-gallup-table.html 49

Based on a discussion with Prof. Anil Gupta, IIM Ahmedabad

320

is in-built into the system and there are deterrents which prevent an applicant to utilize

services without bribing. An organization where the top level official takes bribe for

every transaction is an example of this kind.

Our Proposal

We observed that corruption is prevalent at three levels:

- Top – Country‘s leadership (Ministers), Senior bureaucrats

- Middle – Middle-level bureaucrats, Powerful businessmen

- Bottom – Lower levels of bureaucracy and all other parties

We have come up with two ideas. Proposal 1 (Indian Institute of Politics) can tackle

corruption at the top level of leadership and also takes care of institutional corruption. We

believe that Proposal 1 will also have significant impact on the corruption prevalent at middle

level. Once the top leadership is clean, it will be difficult for middle level bureaucrats or

powerful businessmen to embrace corruption.

Proposal 2 (Anti-corruption helpline) takes care of transactional corruption and hence a part

of corruption prevalent in the bottom rung, as per classification mentioned above.

Proposal 1: Indian Institute of Politics

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a) Our view on corruption in top leadership - why to focus on politics? Reason for choosing

this theme:

We think the nation is starving of leaders who genuinely want to change things and are not

personalities with entrenched interests. In our opinion it‘s not only the lack of good ideas that

India is struggling with but also the acute shortage of leaders committed towards efficient

execution of those ideas. There is an urgent need to attract committed leaders in

administration and politics. Any good ideas working at the root causes of problems of Indian

administration like corruption will not work unless the people in power and authority want to

implement it. Thus many good ideas get lost in the execution stage.

b) Gaps in the present political leadership selection system

A lot of reforms are being implemented targeted at curbing corruption in public institutions

and the bureaucratic structure of India. But we rarely see efforts being made to curb

corruption within the political institutions and parties. Politicians by themselves are so

powerful in a democracy that only they themselves can initiate reforms in the political system

but till now we have not seen any concerted efforts in this direction. Let‘s look at some of the

ways how we get our present politicians:

1) Sometimes party tickets are bought by paying crores as donation money to the political

parties, especially by businessmen, which later manifests itself into rent seeking activities

once they get elected. To win elections they use their financial muscle power to ‗buy‘ votes

and influence voting behavior. It becomes natural to them to get a pie of the exchequer

money and he devises and protects a system which lets him to recover his investments and

grow his wealth.

2) A lot of leaders in India come through the dynastic route. Some political families in India

have a good public image and political seats are transferred to the progeny's as a form of

dynastic heirloom. Such leaders get the requisite political training and public exposure

through the powerful and experienced family network.

3) It has been seen in some regions, particularly the northern part of India that criminals with

lots of muscle power are able to wield a kind of influence needed for winning seats especially

in the small towns and rural areas. People resisting such brute power may simply get

eliminated and coercing people is one of their strengths due to which some parties readily

accept them into the party-fold.

4) University and grass roots politics is another way through which we have seen some

decent and lots of not so decent individuals entering the top political leadership of this

country.

322

5) The last two years has witnessed a drive by some political parties trying to inject youth

into the political system. Youths get selected through a screening system which is party

specific and then are infused with the party‘s ideological orientation. Then they are exposed

to the Indian electoral system.

6) Several parties have cadre based systems. Considering the Indian case, Bhartiya Janta

Party (BJP) and the left parties follow such systems. Many members of BJP have their roots

in the well-established Rashtriya Swamsevak Sangh (RSS). RSS also organizes training

programs for the youth members of BJP.50

Clearly there is no systematic mechanism through which common educated youth, committed

towards working for the national interest, can get a platform to compete in the political arena

fearlessly and with dexterity. Through our proposal we will try to find ways to inject such

competent, socially committed, morally upright leaders into the political mainstream of our

democracy.

Though we have reservation of women in political institutions but a lot of the eventually

elected women are eventually playing in the hands of the surrounding men with vested

interests. There is a critical need for an institutional program to identify women leaders and

adequately train them to be independent.

Another gap exists at the level of our existent leaders who do not have the sufficient skill sets

and knowledge to run the vastly diverse country like India.

c) Allowing intellectuals to enter politics, providing platform, etc.

A good way to attract good candidates in politics would be to provide an institution which

lets the society discover able, educated and committed politicians. A lot of youth in our

country have political ambitions but get dissuaded from actively pursuing it on account of the

murkiness of Indian politics where candidates get murdered on account of political rivalries.

An institution which attracts the socially conscious most capable leaders and then protects

and educates them could be a good way to start political reforms.

Discussion with distinguished people

Meeting with Mr. Harin Pathak

We met Mr. Harin Pathak, a very distinguished Member of Parliament, and seven times

elected member. He agreed to spend some of his valuable time to discuss our idea and helped

50

BJP youth wing to be trained by RSS seniors, Indian Express. Retrieved on September 16, 2010 from http://www.indianexpress.com/news/bjp-youth-wing-to-be-trained-by-rss-seniors/382520/

323

us with several suggestions and guidance. Below are few of the salient points that arose from

the meeting on various aspects of IIP:

Admission Process

• Critical need of having educated lawmakers

• Focus on creating leaders for the State Assembly and Parliament level

• Basic min. qualification is desirable – 10th

pass or 12th

pass

• Fees should not become a barrier- rich vs. poor

Basic Training

• Moral education very important

• Call Politicians, Executive and Judiciary for guest lectures

• Low importance to ideologies as they are divisive

• 1 yr basic education, 6 months Bharat Darshan- India vs. Bharat

Field Internship

• Parties may compete for talent as most of them need trained candidates

After Graduation

• Decent living standard possible without indulging in corruption

• Make politics a desirable career and an opportunity to serve the Nation

Further Mr. Pathak very kindly agreed to help us meet the distinguished leaders of various

political parties in order to provide us opportunities of critical reviews and consensus

building.

Meeting with Ms. Manjula Subramaniam

We met Dr. Manjula Subramaniam, Vigilance commissioner of Gujarat, to discuss our idea

of Institute of Politics. The meeting was quite useful as it provided us a testing ground for our

idea of Indian Institute of Politics and helped us gain insight into the administrative mindset.

She agreed that it would be feasible to set up a Politics Institute and in the long run it may

make a significant dent into the corruption in politics. Playing a devil‘s advocate, she tested

the various nuances of our idea. While agreeing to the proposed concept, she suggested

discussing the idea with few members of parliament and leaders like Rahul Gandhi and

Naveen Jindal who may be quite receptive to such ideas. Apart from that she said civic

society also needs to play a more active role to address corruption.

Dr. Manjula agreed that the idea of making the students intern with different political parties

sounds feasible and good. A concern was raised that few of the students may not want to be

associated with any party. To this we suggested that the top 10% performers can be supported

324

by an institute fund for internships. About the idea of making these students do socially

useful work, she expressed few administrative difficulties. For these candidates to make an

impact in which they will be working, they would need authority to make decisions and get

work done. Hence some governmental provisions need to be made. Further forming a

mechanism to elicit co-operation from administrative machinery may also be critical. Her

insights are well appreciated by us and we will try to keep them in mind while devising the

entire model in detail.

International instances of institutes in politics

There are several institutes in the western world which have a similar motive as our proposed

institute. Examples of these include Harvard Kennedy School (US), Maxwell School at

Syracuse University (US), Loyola University in New Orleans (see Exhibit 1) and Institute of

Politics at University of Pittsburgh. We studied a couple of these institutes and our findings

are mentioned below.

In the following section, we would like to talk about two important examples of institute of

politics which have a similar motive as our proposed institute. These are Harvard Kennedy

School (US) and Maxwell School at Syracuse University (US).

These institutions were selected by us because these are virtuous examples of institutions that

offer this type of training and education. The two U.S. schools are ranked first and second

respectively in the special ranking dedicated to U.S. Public Affairs programs and drawn up

by U.S. News.com & World Report.

Harvard Kennedy School

Overview

The John F. Kennedy School of Government at Harvard University (also known

as Harvard Kennedy School or HKS) is a public policy and public administration school,

and one of Harvard's graduate and professional schools.

The school was established during the Great Economic Depression of 1936. Even as the

government struggled with historic challenges both from within the country and outside,

Harvard alumnus Lucius N. Littauer donated $2 million to set up a school that he had

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envisioned to promote a new professional governing class. At the time, this was the single

largest donation from an individual ever given to a university.51

Today, HKS is known around the world for being an eminent social science research

institution. The school consists of 15 research centers and institutes, and boasts of over thirty

executive education and degree programs. The alumni of HKS are spread across 137

countries and are currently involved in public and private sectors, as well as nonprofit sectors,

in several positions.7

According to the current dean, the school‘s mission is ―to train enlightened public leaders and

generate the ideas that provide solutions to our most challenging public problems.‖7

Some important graduates from HKS include: U.N. Secretary-General Ban Ki- moon, World

Bank President Robert Zoellick, Mexico‘s President Felipe Calderon, Singapore‘s Prime

Minister Lee Hsien Loong, the first elected female president in Africa, Liberia‘s President

Ellen Johnson Sirleaf etc. 7

The impact that HKS members – faculty, staff and students – have had on vital and diverse

issues such as international security, climate change, welfare reform and international

development has been immense and highly visible. Also, their ideas on leadership, decision

making and public deliberation et al are taken very seriously and shape the capacity to

govern. One important point about HKS is the high quantity of women present in the student

body: currently, women enrolled in the programs taught at HKS are 42% of the total. HKS is

globally seen as a leader of change through its ideas and practices. 7

Degree Programs

Admission

The HKS admissions process is completely online-based. In general, a completed application

also includes essays, three letters of recommendation, official transcript of records and

standardized tests as GRE, GMAT and TOEFL. 7

Master’s Degrees

Students interested in pursuing a Master‘s degree from HKS must possess a Bachelor‘s

degree, along with 2-3 years of full-time professional experience (both private and public

sector). 7

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Master in Public Policy

This two-year program aims at providing future leaders with the basic concepts,

theoretical framework and the practical abilities required to be successful in public

service. The core of this program is building strong foundations in analysis, leadership

and management for the participants.

Master in Public Administration/International Development

This two-year program aims at preparing the future leaders in international development.

The course combines analytical and quantitative method training with an emphatic focus

on policy and practice. The program itself is centered on economics, and is multi-

disciplinary.

Master in Public Administration

This is a flexible, two-year program which aims to build the knowledge levels and skill-

sets of established professionals and dual-degree students, who pursue further leadership

responsibilities in the public, nonprofit, and private sectors.

Mid-Career Master in Public Administration

The one-year program is extremely intensive and designed specifically for the knowledge

and skills progression of high-performing professionals who are well-established in their

sectors.

In addition to the master's degree programs, HKS also administers four doctoral programs.

PhD degrees are awarded in Political Economy and Government, Public Policy, and Social

Policy, in conjunction with the Departments of Government and Sociology in the Faculty of

Arts and Sciences, as well as in Health Policy, in conjunction with FAS and the Harvard

School of Public Health. 7

Executive Education

Executive Education at HKS offers programs for public leaders from around the world. The

participants are accomplished professionals working in the government, corporate, and

nonprofit sectors and among them we could find elected legislators, ministers of government,

senior executive civil servants, state governors, uniformed military officers, CEOs of global

non-governmental organizations, state and local administrators, police and fire chiefs, and top

executives from corporate organizations. 7

Leaders who attend these programs build lasting networks and share a common

understanding and commitment to addressing public problems. The personal relationships

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which are an outcome of these programs enable lifelong professional opportunities and

friendships, becoming the most valuable asset of the HKS experience for many participants.

The HKS Office of Career Advancement (OCA)

The HKS Office of Career Advancement equips the students and alumni with all the

necessary tools and resources to pursue careers in public service and prepare them to fulfill

their professional aspirations. Annually, the OCA organizes a networking event in the two

cities of New York and Washington DC, where several students, alumni and employers meet

to discuss careers in public service. 7

A program of study taught at HKS: the Master in Public Administration (MPA) 7

―Length of the program: 2 years (the academic year begins in August and lasts for

nine months, ending in May).

Three Methodological Areas:

- Quantitative analysis

- Strategic Management

- Leadership and Advocacy

Courses chosen among several Policy Areas:

- Business and Government Policy

- Democracy, Politics and Institutions

- International and Global Affairs

- International Trade and Finance

- Political and Economical Development

- Social and Urban Policy

Possibility of pursue a combined degree with a number of professional schools at

Harvard University or selected professional schools at other universities.

Classes taught by the case method, the more traditional lecture format, or a mixture of

both.‖7

Success stories

The demonstration of both the domestic and international prestige of HKS is represented by

the high number of alumni filling strategic positions in the public sector in the US and all

around the world: Presidents of countries, Prime Ministers and Ministers, US senators and

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Congressmen, members of Israeli Knesset as well as members of New Zealand House of

Parliament, etc.

One excellent evidence of the high worth of students graduating at HKS is Ellen Johnson

Sirleaf (1938), the first female president of Africa, currently President of Liberia: after

studying economic and accounts in Liberia, she went to America to specialize on the fields of

economics and public policy at Harvard‘s John Kennedy School of Government from 1969 to

1971, getting a Master in Public Administration. After that, she came back to Liberia to

collaborate with the government under the President William Tolbert, up to be Minister of

Finance from 1979 to 1980 (year of coup d‘etat). She also worked (1992-1997) first as

assistant administrator and then Director of the United Nations Development Programme‘s

Regional Bureau for Africa. Her brilliant life, spent at the service of Liberia and Africa

development, culminated in the 2005 general election in Liberia, in which she won earning

59% of the votes. From the beginning of her Presidency, Sirleaf aimed to reduce national

debt and improve the relations between Liberia and Cote d‘Ivoire, historically complicated,

as well as strengthen the relations with US and China also. According to Newsweek (2010),

Sirleaf is ‗‘one of the ten best leaders in the world‘‘52

and in the same year The Economist

called her ‗‘the best president the country has ever had.‘‘53

Another important example among the alumni come from another leader of a developing

country: Tsakhiagiin Elbegdorj, the current President of Mongolia, graduated from HKS with

a Master in Public Administration in 2002 thanks to a full scholarship. After the elections of

2009, he became Mongolia‘s first president to never have been in the Mongolian People‘s

Revolutionary Party and the first to get also a Western education. Before becoming president,

Elbegdorj has been Prime Minister twice as well as Member of Parliament four times and

majority leader of parliament once. He also was one of the first people organizing the

democratic movement in 1989, during the perestroika, encouraging new generations and

youth to change Mongolia ‗‘following democracy and transparency‘‘. In 2009, from the

beginning of his presidency, Elbegdorj paid a visit to the Independent Authority against

Corruption and was highly dissatisfied by the work done until that moment and decided to

reorganize the council strengthening it with the support of a new highly qualified members

and a team of professional lawyers. In 2010, he announced that he would follow the example

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of the many countries in the world that have abolished the death penalty, suggesting to

replace it with a thirty years prison sentence. 54

These proposals confirms the fact that human dignity and life as well as clean governance

and free media represented some central points in the work of Elbegdorj.

Other important personalities, today filling first level public offices are Ban Ki Moon, U.N.

Secretary General, Felipe Calderon Hinojosa, President of Mexico, as well as Lee Hsien

Loong, prime Minister of Singapore, one of the country than better fought corruption

problems and Donald Tsang, Chief Executive (a sort of Prime Minister) of Hong Kong.7

Maxwell School of Citizenship and Public Affairs at Syracuse University

Overview

Syracuse University was the first educational institution in the country to introduce graduate

professional education in public administration, and the course was offered first in 1924.

Public administration is complemented by a well-regarded interdisciplinary program in

international relations, which offers both a graduate professional degree and undergraduate

majors.55

MPA Program

Maxwell School‘s MPA is a full-year graduate degree program which has been designed to

get students prepared to face challenges of leadership and management in the public sector.

The program has been regularly ranked among the very best for public and international

affairs in USA. The program includes interdisciplinary research and study, which results in a

rich context for the professional study of public policy analysis and management. 11

Core Requirements – The following skills/qualifications are expected of a student at the MPA

program11

―Concrete skills/knowledge in policy analysis

Skills/knowledge in the area of public management

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An understanding of the public sector and institutional context

Core courses

Public Affairs Colloquium

Public Budgeting

Public Administration and Democracy

Public Organizations and Management

Managerial Economics for Public Managers

Introduction to Statistics

Quantitative Analysis

MPA Workshop

Executive Leadership and Policy Politics‖ 11

Areas of Study

The MPA program consists of seven different areas of study. These areas are only to help the

students by indicating theoretical frameworks, and it is not required for the students to restrict

themselves to these areas of study. In fact, usually students complete the foundation courses

from one area of study and complement these with electives from another. 11

The seven areas of study are:

―International and National Security Policy

Environmental Policy and Administration

International and Development Administration

Public and Nonprofit Management

State and Local Government Financial Analysis and Management

Social Policy (Aging, Education, Health, Welfare)

Technology and Information Management‖ 11

The MPA program is designed such that a typical student would complete it in 12 months of

full time study. This would also include required course work in the summer terms. Also, if

the student so wishes, the program can be taken for a longer period of time.

Executive Master of public Administration (EMPA)

The Department of Public Administration established this program in 1964 as the first

professional public administration graduate degree in America designed for mid-career

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executives. The purpose of the degree is to build organizational and policy leadership skills

and knowledge. EMPA students are upper and middle level executives representing public,

private, and non-profit sectors (including NGOs) who require updated information and skills,

anticipate promotion to a leadership position, or plan to transition to the public or non-profit

sectors. Current students are drawn from international government ministries and NGOs,

federal, regional, state and local domestic agencies, and a variety of non-profit and private

organizations. Applicants are required to have a minimum of 7years of managerial/leadership

experience in the public or related private sector to be considered for the executive program.

The program is geared to the public executive‘s pressing needs in both length and flexibility.

Maxwell‘s Executive Education Program administers the degree program on behalf of the

Department. 11

Our idea

Based on extensive brainstorming, discussions with distinguished people and research, we

propose the following for the political university “Indian Institute of Politics” (IIP):

Admission Process

The main focus of the admission process should be to attract and identify candidates with

immense leadership potential and a desire to genuinely work for the upliftment of the society.

Admission process will be a very critical element which will define the ability of the system

to produce genuine leaders. An independent admission system can be modeled having a team

of respected unbiased individuals like retired Supreme Court judges, UPSC experts selecting

the candidates through exams and historical achievements. This step will act as an effective

screening mechanism for candidates with criminal backgrounds.

In addition, a small percentage of candidates will be nominated by the nationalized political

parties. Thus political parties will be able to test the efficacy of the proposed system. On the

part of the institute, this step will help in showcasing to the society the benefits of IIP, once

the nominated candidates go back to their respective constituencies. We are expecting a

symbiotic relationship between various political parties and IIP.

In the long run, we also propose to run a batch for the elected members of Parliament (MPs)

and members of state legislative assemblies (MLAs).

Course Structure

a) One year of basic training

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First year at the university should expose the candidates to the various knowledge areas

necessary to become a good leader through a structured curriculum. Such a curriculum should

have courses which will sensitize the candidates to the underprivileged sections of the society

and the critical problems afflicting our society at large. Apart from that it should expose them

to public policy, administration areas, economy of the country, technology, national defense,

foreign affairs, democracy, civil society, different political ideologies, election system,

developmental politics and other courses related to political science. Leaders from all

political parties should be invited to come and expose them about their respective political

ideologies.

There will be courses on constituency management and supply chain management during

elections. Further, because everyone is not a leader, IIP will provide political parties with

"political executives" just like professional managers. This will also become an alternative

career path for people who do not go on to become a MLA or MP.4

b) Six months of ―Bharat Darshan‖ (A visit to various parts of India)56

There is a great difference between the India we see in cities and the India in villages. Even

today, sixty three years after independence, if we go thirty kms outwards from centre of

Ahmedabad we will come across places which do not have basic amenities such as clean

water and electricity. A future law maker needs to acquaint herself of the actual India and not

just the illusion which urban India presents. Therefore, candidates will be required to

undertake a six month visit to various parts of India. This will entail visits to rural and urban

areas. Geographical span will be from Kashmir, in the north, to Kanyakumari, in the south,

and from Gujarat, in the west, to Arunachal Pradesh, in the far east.

c) One and a half years of field internship

After their one year stint in an academic environment and six months of Bharat Darshan,

depending upon their performances, candidates will be allotted preference areas where they

will be expected to implement schemes and bring social change. Such a mechanism will

provide individuals without any political backing or financial or muscle power exposure to

the common man and an opportunity to be known for the right deeds. Through internships,

56

Based on discussions with Mr. Harin Pathak, Member of Parliament, Ahmedabad

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candidates will gain the coveted public face which is very important in politics for winning

elections.

Their task will be to implement urban and especially rural programs like JNNURM, PURA,

NREGA, NHM etc. A mechanism should be designed to measure their performances and

social impact objectively.

Based on an evaluation mechanism, each candidate studying at IIP will be given a rank. The

allocation of geographical areas would be based on this rank. A higher ranked candidate will

get an option to choose a geographical area, to work, before the lower ranked candidates. All

political parties will be invited to campus for recruiting candidates. Thus, political parties will

get direct access to a well trained pool of candidates whom they can groom into their

potential future leaders. The benefit derived from working with a political party will be that a

candidate will get a ready network of people to implement his/her ideas. The candidate will

have sufficient autonomy to implement various schemes. However, he will report to the

district magistrate (DM) of the concerned territory. This step will ensure accountability of

funds. Reporting directly to DM will also ensure that the candidate will not have to get

subdued by red-tapism and will be able to override most of the problems and delays

associated with government departments.

c) Post graduation

After graduation, such candidates can join any political party that interests them or contest as

independent candidates. If such candidates contest an election in their erstwhile internship

area then they would have a favorable chance of election in case he would have worked for

the upliftment of the area. Candidates who still feel incapable to join politics should be

facilitated to start some social entrepreneurship ventures of their own. Such candidates will

also have the option to become ―political executives‖, as discussed earlier.

Clearly envisioning and forming such a unique university would need support at the highest

levels of the Government. It would be extremely critical to ensure financial independence and

autonomy of the university so as to protect it from undue influence from vested interests.

Like our Constitution was modeled using the best practices from other Constitutions of the

world, so should this university be modeled by incorporating the best practices from existing

excellent institutions in India like IIT‘s, IIM‘s and LBSNAA.

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Next steps

a) Brainstorming: Meeting political leaders

We intend to contact people who are currently leading the Indian politics such as Ms. Sonia

Gandhi, Rahul Gandhi, Mr. Advani, Ms. Sushma Swaraj and Mr. Arun Jaitley. We intend to

talk to these leaders during the second week of December when the current session of

Parliament will approach its end. Our intention is two-fold: one, to get their valuable inputs;

second, to impress upon them the need for such an institute.

Proposal 2: Anti-Corruption helpline

Initial idea

There are two main ways to curb corruption in any country. One is towards bringing ethical

and moral values that stops any human being to follow the corruption path. Other approach

would be towards creating barriers that prevent people from following corruption path. Ideal

solution will be ethical one but it is a long term approach and will require considerable time

to see the change. However, emphasis should be put on educating the children and young

teenagers on moral and ethical education. It is difficult to change the adults and senior people

on moral grounds.

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Alternative approach is to create barriers for entry to corruption. An extensive Corruption

Ambulance system can be developed similar to Emergency 108 ambulances. This ambulance

will be freely available and accessible to public. The ambulance will have all the media

equipments necessary to record the proceedings of the incident. This ambulance will be

accessible by nation-wide toll free number that can be dialed from any landline or mobile

phone both in roaming as well as non-roaming mode. So basically, if any person sees

anybody taking bribe or indulge in other illegal activities, he can directly call the toll free

number and give details to the operator. Immediately, ambulance persons will rush towards

the location and catch hold of the culprit with all the necessary details. This ambulance

system will have more authority than the state government police force.

Ambulance system will be attached to local news channels and nation-wide channels that will

make sure that the details of all corrupted persons along with video/photographs will be

shown to the general public. Central government will make it mandatory to have an

additional page in all newspapers with ―corruption column‖ where details of all the corrupted

persons on that day will be published. Considering the large number of cases and bandwidth

limitation, corruption activities will be graded depending on severity and most corrupted

persons‘ details will be shown.

All the corruption activities will be assigned Corruption index depending on the severity and

the corruption index value will be reported in the person UID database. This will make sure

that the history of all the corruption activities of all the persons will be maintained. This will

help in preventing corrupted people to get an entry in any government job or political system.

Also, same database can be used by private organizations also to verify the corruption

credentials.

One major problem in our country is that many times people do not report corruption

activities as they have lost the belief in the existing system and there are no rewards for the

same. So it is proposed to have reward system to provide incentives to people who report the

corruption issues. At the same time, penalty fines should be taken individuals for false

reporting.

If corruption activities are not severe, e.g., small bribery etc, then corruption team will handle

the issue at local level. In case of severe corruption, all the details of the cases will be handed

over to the courts in addition to all the public activities. There can be a concern related to the

false corruption charges and unnecessary public outrage, so proper mechanism will be in

place to handle the issues accordingly. Even people who are reporting false corruption

charges will be dealt with harsh punishments to avoid false reporting.

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The punishments that are given to the people for being corrupt should be uniform and not

decide on the level of their political status. It should also not depend on their severity of

corruption. All corrupt people should be punished equally. Punishments should include a jail

term, fine and also other punishments that ban the person from all political activities.

Discussion with distinguished people

We discussed the idea of corruption ambulance with various distinguished people to get their

perspective on the idea. A summary of the discussions appear below.

a) Dr. Manjula Subramaniam, Vigilance commissioner of Gujarat – Dr. Manjula was

skeptical about the implementation issues related to this idea. She said that legal

aspects may be quite critical in implementing the idea and would need to be

addressed. The Vigilance department is involved with working for central

departments and not state departments and hence she expressed her inability to

provide much support to the idea. She was not very comfortable about the

implementation nuances of this idea and directed us to anti-corruption bureau for

more details. In fact she helped set up an impromptu meeting for us with the anti-

Corruption bureau chief.

b) Mr. Chittaranjan, Chief of anti-corruption bureau, Ahmedabad – Mr. Chitranjan took

out time from his busy schedule and in fact called most of his senior staff for a

meeting with us. The meeting helped clear a lot of issues and put things in

perspective. Publishing photos of people alleged with corruption is not allowed by

law and cannot be implemented. He also cited the necessity of following the due

process of law for implicating and catching people indulging in corruption which is an

elaborate mechanism. Lack of sufficient staff to support anti-corruption activities on a

massive scale was cites as a problem. Another key area was the difficulty associated

with ensuring that people do not misuse the facility by filing bogus complaints for

harassing others. Thus the feasibility of implementing Anti-Corruption Ambulance

idea did not seem really bright after the meeting, particularly without the support of

implementation agencies.

It was suggested that it would be more feasible to start an anti-corruption helpline

which will guide people to fight against corruption and make people aware of the

activities of anti-corruption bureau.

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c) Prof. Anil Gupta – Prof. Anil Gupta was of the opinion that there are a small

percentage of honest people present in every department, and we can leverage their

access to inside information in order to present an effective solution. Since this

handful of honest department members would know all the steps at which corruption

is likely to take place, they can deal with it, if given support in required measure.

The discussion that ensued revolved around forming a group in each department

which would consist of such people, and these groups can then be associated with the

anti-corruption helpline number so that the anti-corruption bureau can then help these

members in curbing corruption in the concerned department.

Obstacles in implementing initial idea

Obstacles identified in implementation of preliminary proposal of corruption ambulance

a) The anti-defamation law can prove to be a great deterrent to the corruption ambulance, as

determined from our discussions and research. It would be very difficult to ensure that the

offenders do not make wrong use of the law to help them evil motives, rendering the

efforts of the ambulance futile since any photographic evidence will then become

inadmissible in a court of law.

b) It is also possible that people will abuse the power granted to them by the corruption

ambulance and implicate people to sort out their own personal agenda.

c)

Field visit to Regional Transport Office (RTO), Ahmedabad

In order to understand the nuances of corruption at ground level, we visited the RTO,

Ahmedabad. The RTO, Ahmedabad caters to a large population and handles a huge turnout

of people on a daily basis. Services provided include issuing driving license, transfer of

vehicle registration and registration of recently bought vehicles among others. The reason

behind choosing RTO for a field visit was the presence of numerous agents at RTO who

openly charge money in return for providing services to citizens such as issuing a driving

license without going through a driving test. Our objective behind the visit was to understand

the reasons behind the existence of agents despite the RTO being computerized and existence

of smart card driving licenses.

Our observations, interviews with applicants and agents

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At RTO, there are numerous windows. For a single service, say driving license, an applicant

has to fill up multiple forms and visit many windows before a license is issued. The sheer

amount of time consumed in the process is sufficient to deter an applicant from seeking a

service via the usual route. If a person is on his own, the employees at RTO will find one

fault or the other in the person‘s form forcing her to make multiple visits to RTO. One such

procedure is the driving test where it is very easy to cancel a person‘s application on the

pretext that the applicant did not use proper signals while driving.

However, if an applicant applies through an agent then there are no such problems. On one‘s

own, getting a driving license may take several days while an agent can get you the license in

one day. Further, the applicant can skip the driving test. One of the agents positioned outside

RTO alleged that the applications which are routed through agents bear a special mark seeing

which RTO officials process the application quickly often overlooking any irregularity.

Our interactions with several applicants seemed to confirm this allegation (see Exhibit 2).

Most applicants approached agents directly and did not even try to use the legal route. The

applicants were unaware of the RTO helpline. The most prominent reasons behind using

agents were shortage of time for applicants in job, numerous forms and windows, employees

find one error or other, large processing time even if application is in order and no clarity on

requirements. A person who had come to RTO for transfer of a vehicle‘s registration told us

that his application took four days for processing because they did not approach an agent.

Had they paid Rs. 1000 to an agent, they could have got the work done in 3-4 hours. Another

person, a NRI, who was from U.S. stated that it would have taken half an hour in U.S for a

job which could not be completed despite wasting several hours in RTO.

The agents present outside RTO made some serious allegations against the RTO

administration. Knowing the system better than a common man, a significant truth

component in their allegations is likely. An agent alleged that applications are not passed

until money is paid, irrespective of applications being complete or not. He said that

administration does not put in sufficient efforts to disseminate information. Some of the staff

posted at RTO was inexperienced and hence could not process applications at a good pace.

The most serious allegation was of a nexus between anti-corruption bureau (ACB) and RTO.

Whenever ACB would plan to raid the RTO, the RTO office would pay around Rs. three

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lakhs to ACB to prevent them from conducting the raid or revealing any findings related to

corruption at RTO.

Conclusions from the visit to RTO

Most of the applicants, we met, did not even think of avoiding agents. There was a belief,

deeply in-grained in them, that there was no point avoiding agents as they will not be able to

get their work done on their own. Citizens seem to have lost faith in the system. It seems to

be that there is no one willing to listen to the common people.

Further, if the allegations made by agents are true, the situation hints to an institutionalized

corruption, a situation where corruption is in-built into the system. Everyone, right from the

top boss to the clerk at the lowest level have their shares fixed in every deal. To top it up,

even ACB, the agency supposed to protect the interests of citizens, seems to be either

involved in this corruption or has turned their back to this extremely apparent corruption

situation.

Anti-corruption helpline

Due to the obstacles in implementing idea of corruption ambulance and in line with our

discussions with distinguished people, we came up with the idea of an anti-corruption

helpline. Main idea is to create a helpline for people who want to lodge a complaint against

corrupt state government officials at lower or mid-level. A toll-free phone service will be

created where people can call up and inform the team about any corrupt activities taking

place. The call will then be re-routed to the department concerned or anti-corruption bureau

(ACB), depending on the seriousness of the issue. A backend support team consisting of

senior retired officers from each department would be created to tackle most issues. If some

of the issues are serious corruption cases, they will be redirected to ACB for further action.

This helpline will be operated as non-free helpline and callers will be charged special rates

for the services (Rs 5 per call). This will create a barrier for bogus calls and false reporting.

Identity of the caller is needed for registering any complaints. This will make sure that

genuine users will call the helpline. Severe penalty fine will be charged for callers making

bogus or false reporting.

Helpline backend system will consist of subject experts (retired honest officers) and

authorized persons of each government department who will provide interface for helpline.

When a user calls the helpline, he can tell his problem which will be recorded in the IT

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system in English language. If query is informational, call will be redirected to experts for

advice related to the query. If a user calls for a genuine problem with any government

transaction, then experts will talk to the designated person in government department to

enquire the status for the application. Helpline will actively work with department to get it

resolved or at least know the bottlenecks so that problems can be corrected.

Helpline IT system will be linked to government department systems so that complaints can

be tracked and managed effectively. Helpline will make sure that government department

will ensure the complaint resolution within the expected time duration. Helpline will keep

track of complaint status and perform periodic status checks on complaints. If a department is

not able to resolve queries within the mentioned time frame, a list of such complaints will be

prepared and published in the leading newspapers as part of anti-corruption weekly. Every

week, newspapers will publish list of complaints of each department which were not

answered or completed. This information will put peer pressure on the different departments

as their inefficiencies will be publicly disclosed. Social peer pressure is the main reason that

can influence head of departments to improve the workings so that complaints will either get

resolved or will not be registered.

A diagrammatic representation of this idea is shown in figure 1.

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Figure 1: Anti-Corruption helpline

Financial model

Anti-Corruption helpline will require senior experts, staff members, call center infrastructure

and other administration work. This will require stable financials for a sustainable operation.

Charging helpline calls at Rs 5 will not generate enough revenues to fund the expenses.

Separate revenue models will be required for this purpose as grants would not be stable

medium in the long run. One revenue model could be charging government departments for

the number of complaints. Department having more number of complaints has to pay more

fine for inefficient operation. This will serve the basic purpose of revenue generation as well

as create incentive for departments to work effectively. Another thought which Prof. Anil

Gupta mentioned was that helpline can charge basic charges for complaints resolution. This

will be nominal fee which will be paid by complainant after successful resolution. It is

expected that caller can pay this nominal amount in return for the successful issue resolution.

Limitations

Our proposed model will work efficiently only in cases of transactional corruption. In case of

institutional corruption, this model is unlikely to work efficiently as assistance from topmost

342

official in the organization is needed for successful implementation. In cases of institutional

corruption, our idea of IIP will bring forth a top-to-bottom change which is likely to take care

of corruption at top level. Once the political leaders are corruption free, they are likely to

ensure that their subordinates i.e. IAS, etc. who head various organizations are also

corruption free.

In cases of incidental corruption, a system modeled on the lines of corruption ambulance (our

initial idea) is likely to yield good results as the response time will be low and corruption will

be caught red-handed. However, there are several obstacles, mentioned earlier, which needs

to be addressed.

Presentation to Regional Textile Office, Ahmedabad

We were invited and given an opportunity to present our idea to the Regional Textile Office

located in Ahmedabad. Mr. Amar Chaphekar, (Asst. Director), very kindly gave us this

opportunity.

We had a long insightful discussion with all the staff members of the textile office and some

of the insights are summarized here:

1) The govt. servants against whom complaints are registered should be able to have a

platform to defend themselves.

2) Government departments failure to build a credible performance monitoring system

primarily stems from the inability to have objective performance measurement standards

3) Self-Appraisal system in a lot of govt. departments where the employee first does a self-

appraisal and then the boss gives critical review on whether the appraisal is correct or not.

4) There is already a CBI corruption helpline

5) No system in govt. departments wherein honest employees are given any reward, be it

monetary or symbolic.

6) Officers give more or less the same rating to juniors as they do not want to demotivate

some employees. However in the process, motivation for excellence gets lost.

7) Challenges in our proposed system to identify honest officials only on the basis of non-

existent complaints. We believe that it is difficult to build a fool proof model right from

inception as complicated models become difficult to implement. However, we believe that our

proposed system will be able to identify honest officials to a larger extent.

8) How to handle complaints against top officers?- We suggested our experts will directly

rout the complaints to ACB against such officers

9) Communication channels like SMS can be used for publicity of our helpline.

343

In light of the above points, our proposal can provide an objective outcome oriented (no. of

complaints) performance measurement system. Our database will also give opportunity to

govt. departments to argue for more manpower if that is what is keeping the no. of complaints

very high.

344

Comparison with “I Paid A Bribe” website

We studied the model of Janaagraha‘s ―I Paid A Bribe‖ (IPAB) website and compared them

with our proposed idea of anti-corruption helpline. There are a few similarities in IPAB

model and our idea. However, as you will see in the screenshot (Exhibit 3) of the IPAB

website, there are several levels at which our model is different.

The founders of I Paid A Bribe themselves claim that ―IPAB is not about pinpointing corrupt

individuals, but about understanding the system that breeds corruption‖ and that ―IPAB helps

uncover the market price of corruption‖.57

Our model not only helps in understanding the

system through reducing information asymmetry, but also pinpoints the guilty party.

IPAB invites stories from people who have been wronged by corrupt officials through their

‗Tell us your story‘ page. 12

However, they take no action on the stories which have been

submitted; nor are these stories verified. In contrast, any complaint made on the helpline

would receive immediate attention once verified.

Based on the stories received, IPAB has made a detailed analysis and tried to identify ‗Bribe

Patterns‘ across the country. However, these findings are skewed since a majority of their

findings are concentrated in Bangalore, which is the city where the website is based.12

Both the models are similar in a couple of ways, however. Like IPAB, our model also

identifies the first step to be the need to address the information asymmetry prevalent in our

system. To this end, they have a section ‗FAQ‘, which lists out all the procedures and a

checklist of basic requirements and documentation before proceeding to a government office

for receiving a service or transaction.

Another similarity was the presence of IPAB Coordinator, TR Raghunandan, who has over

26 years of experience of working in the system, as a high-ranking civil servant. 12

While he

brings in a view from within the system, again, his role is only to advise people and he does

not take any action to address a complainant‘s grievances. We envision a more active role for

the experts who would be participating in the helpline.

57

Retrieved on November 19, 2010, from www.ipaidabribe.com

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Findings from survey at IIM Ahmedabad campus

We conducted a survey on the IIM Ahmedabad campus to gauge if people have been paying

bribe, and if so, what are the major reasons for people to indulge in transactional corruption.

About 90% of the respondents confessed to having paid a bribe at some point of time in their

lives. We noticed that the instances of paying a bribe were most concentrated in filing FIR

reports, or getting police clearance for passport, or acquiring a driving license. Other common

occurrences involved payments to receive medical certificates (despite clearing all medical

tests), bribes to the TTE for getting a railway berth confirmed and even payments for ‗chai

paani‘.

One respondent claimed that ―the passport official asked for a bribe to give me an

acknowledgment receipt. I did not pay a bribe, and finally my passport has still not arrived

after six months.‖

Again, we notice that the findings from IPAB website are very similar to the results of our

survey (see Exhibits 4 and 5).

Next steps

At this stage, we have identified that the following steps need to be undertaken:

a) To understand the problem of corruption further and in order to test the efficacy of

our proposed idea, we will be organizing an ―anti-corruption week‖ at RTO,

Ahmedabad. This will entail putting up a similar infrastructure as the proposed idea.

Aircel has kindly agreed to provide us a toll free helpline. Once the anti-corruption

week is over, we will share our conclusions and results with RTO and deliberate on

improving the system. The long term plan is to refine our model based on the anti-

corruption week and implement it within the next few months.

b) Further interviews with ministers, MLAs etc to understand the possible implications

and reach of the ideas. In our talks with the legislature, we will try to impress on them

the benefits derived from implementing such an idea.

We expect that this campaign will encourage common man to file corruption

complaints in large numbers. With this backing, we can push for a dedicated

infrastructure to fight corruption on the lines of corruption ambulance.

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Conclusion

It is clear that corruption needs to be addressed at various levels – top, middle and bottom. To

address the issue, innovative political reforms have to be introduced which will not only keep

a check on the corrupt and empower the common man, but also ensure that our leaders

actually begin to lead from the front.

The proposed Indian Institute of Politics will provide a solid base to empower a common man

so that he/she can enter politics and be at the forefront of reforms. The institute is eventually

expected to churn out good politicians and thus act as a sustainable source of future leaders.

The anti-corruption helpline will help spread awareness about the options already available to

the common man for fighting corruption. Further, this can serve as a first step to establish the

corruption ambulance.

347

Exhibit 1 – Course Structure at Institute of Politics, Loyola University New Orleans

(Source: Institute of Politics, Loyola University New Orleans. Retrieved from

http://www.loyno.edu/iop/current-classes)

348

Exhibit 2 - Details of interactions with some applicants/agents at RTO, Ahmedabad

Applicant/

Agent

Occupation Service

used

Resorted to

corruption?

Reasons for resorting/not resorting to

corruption and other comments

Applicant Job Driving

license

Yes 1) Direct application takes lot of time

which this person does not have

due to job constraints

2) Too many forms/windows

3) RTO employees take out multiple

errors

4) Not aware of RTO helpline

Applicant Job Transfer

of

vehicle‘s

registratio

n

No 1) Had sufficient time. Process took 4

days.

2) Could have been completed in 3-4

hours if Rs. 1000 paid to agent

3) Even if a person knows

requirements, employees keep

delaying application

Applicant Student Driving

license

Yes 1) Too many forms and windows

2) Extremely difficult to pass driving

test without paying money. No

need for passing driving test, if

money paid

Applicant

(NRI from

USA)

Business Driving

license

Not yet 1) Haggled around for several hours

but could not get his work done

2) No clarity on various issues.

Information not available easily.

3) Would have taken ½ hour in U.S.

Agent Agent at

RTO,

Ahmedabad

Not

applicable

Yes (an aide

in corruption)

1) Applications not passed without

giving money, irrespective of

application being complete

2) Applicants who have paid bribe

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have their applications marked

with a code which is a signal for

RTO employees to process

applications

3) Information dissemination system

is not proper

4) Computers available are too less

compared to the population served,

leading to queues

5) Inexperienced people are staffed at

counters

Exhibit 3 – Screenshot of I Paid A Bribe website

(Source: I Paid A Bribe. Retrieved from http://www.ipaidabribe.com)

http://www.ipaidabribe.com/

350

Exhibit 4 – Results of survey at IIMA

(n=80 respondents)

Exhibit 5 – Bribe Patterns from I Paid A Bribe

(n=1860 respondents)

0%

20%

40%

60%

80%

100%

Paid Did not pay

% of respondents (IIMA)

0.0%

50.0%

100.0%

Paid Did not pay

% of respondents (IPAB)

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(Source: I Paid A Bribe. Retrieved from http://www.ipaidabribe.com)

http://www.ipaidabribe.com/

352

Sr. No. 4, 20, 23 & 32, 23, 59, 77, 85, 90

Corruption in the Trucking Industry

A report

Submitted to

Dr. A.P.J. Abdul Kalam

Prof. Anil Gupta


GRIIT

By

ArpitaSengupta

Camille Pugeault

Gaurav

NageshShukla

Rahul Singhal

SahilAggarwal

353

Development scholars seem to believe that corruption is one of the major factors that isholding back the

country. For the same, the social and media space in India has seenmany a discussions and debates on

corruption and how to curb it.

The existence ofcorruption is perpetuated by people in society tolerating it and even encouraging it

bypaying bribes. More than the lack of stringent laws, the absence of effectiveimplementation is

responsible for the authorities not being able to control corruption.

There is perhaps no section of the society today in India which is insular to corruption. Corruption has

become so common that according to an online survey conducted by TrakIndia it has been found that in

over 50% of corruption cases bribes are offered and accepted for getting jobs done by the authorities on

time.

Out of 180 countries surveyed, India occupies 85th position according to Transparency International 2008

Corruption Perception Index (CPI).

Despite having a well developed legal and institutional framework, corruption in India continues to be a

scourge due to lax implementation. In the recent past, however, major strides against corruption have

been possible mainly due to a vigilant media and also due to judicial activism. The Right to Information

Act has also become a major tool for fighting corruption.

For the purpose of our project we have chosen to study the corruption in the TruckingOperations in

India.

Current Scenario:

Roadways carry 70% of freight traffic. Road transport constitutes around 4 per cent of the GDP. It

accounts for a major share of all transport modes. Total roadwaysmovement increased from 1553.60

million tonnes (mt) in 2001-02 to 2304.32 mt in 2005-06. Road transport is the preferred mode of goods

transportation because of its flexibility of routes and schedule. Unfortunately, corruption has kept pace

with rapid growth in this sector.

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“Abetting corruption are factors like multiplicity of authority where truckers have to deal with Central,

State and Highway Authorities and poor education among the truckers. It isreported that truckers have to

pay bribes at every stage of their operations. In Rs. 38,000crores road freight transportation market,

organized sector has only a miniscule 14%share of the total. It runs almost the entire goods-carrier

industry; hence the assessmentof the extent of corruption in this sector is a challenging task.” (Source:

IndianFoundation of Transport Research and Training).

Deficiencies:

Often, in order to maximize their profitsper vehicle per route, truckoperators overload their trucks

beyond the permissible axle load, creating serious safety hazards and bad road conditions. Overloading

being a single aspect only, it is known to all that truckers regularly pay bribes at every stage of their

operations which include;

Getting permits

Getting fitness certificates

Documentation related

Traffic violations

Toll payment related (avoidance of toll)

Octroi related

No entry

Alcohol abuse

Parking

The significance of corruption becomes more relevant for its impact (direct and indirect) on the country’s

economy through loss of revenue to the exchequer, and increased cost of the goods to the end-users.

Corruption also makes the transport sector less efficient leading to delays in delivery resulting in complete

mismanagement of supply chain logistics.

Objectives:

Ascertain the nature and form of corruption prevalent in the trucking business

Understand the systemic issues giving rise to corruption in trucking business

Methodology:

For this project we adopted the following methodology:

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1. Grass root analysis of the challenges and problems faced by the transport sector. For this we met representatives of the industry both from the organized and the unorganized sector. The representatives included owners as well as drivers. We also interacted with other stake holders such as officials of the transport departments and police officials.

2. Through secondary research we analysed the scenarios in the developed countries to explore the possibilities if some of the “best practices” prevalent there can be adopted in India.

3. We also relied on documents, literature and other information available in the public domain which might have a bearing on our project.

Findings:

For our primary research we spoke to truck drivers at the Gujarat- Rajasthan border, with check post

officials at an inter-state border on the Delhi-Chandigarh Highway and we also had in-depth interaction

Mr. AdityaSaraogi, owner of a transport company having several trucks.

According to the drivers, they are expected to cover about 250- 280 kilometers per day and any delay

enroute affects their efficiency and productivity. The authorities, as per the drivers, leverage this and ask

for bribes which the drivers have to pay to avoid harassment and consequent delays. At times, when the

truck is carrying perishable items the urgency is even more and the drivers have to pay sums which are

usually 50 % higher than what they regularly pay. Usually, the grounds on which the authorities harass the

drivers are:

Validity of permits

Driving Licence

Fitness certificate of the vehicle

Payload

Commercial documents of the consignment

Violation of traffic laws

The authorities threatened the drivers with confiscation of their licences or impounding the vehicle.The

drivers admitted that there were many instances when they carry loads which are heavier than the

permissible limits. This they attributed to the need of being more competitive in freight rates and also the

unrealistically low limit fixed by the authorities. Regarding incorrect documentation of the consignments

the drivers solely put the responsibility to their clients who to evade Sales Tax or other taxes draw up

defective documents. The drivers voiced that after the arduous task of driving on Indian roads, they

viewed any intervention by the authorities as an irritant. This, at times, made them resort to rash and

dangerous driving.

Our observation and interaction with the officials at the inter-state border on the Delhi- Chandigarh

highway revealed a very well developed mechanism to collect bribes and give “protection” and the

“passage of way” to trucks which had paid bribes. There were also systems of advance payments and

payments for a fixed period or season. Tokens like lottery tickets etc. were used to signify payment of the

bribe. Code Phrases like Independence Day, Diwali etc were used to denote a seasonal payment.

356

Mr. AdityaSaraogi, owner of a transport company expressed that corruption was the “only convenient”

way to do transport business in India. In his company drivers spent almost 7 to 8 days in a month at the

checkpoints. This, according to him, reduced the efficiency of his operations by 25 to 30 %. Some of the

bribes which his drivers had to pay, on different routes, were:

Route Per trip (Rs.) Per month (Rs.)

Delhi - Chandigarh 1,000-1,500 7,000

Delhi – Ludhiana 1,500-2,000 10,000

Delhi – Agra 500-600 4,000

Delhi – Lucknow 750 5,000

Ahmedabad – Mumbai 1,000 5,000

Ahmedabad – Udaipur 5,00 3,000

Ahmedabad – Bhopal 1,000 6,000

Mr. Sarogi also mentioned that the network of corrupt officials were also using technology such as

passing on codes through SMS etc. to “smoothen” their operations.

Our findings in the primary research are corroborated by our secondary research. A 2006 study by

Transparency International on Corruption in the Trucking Industry in India cites that on an average an

amount of Rs.0.70 per kilometer travelled is paid by a truck in India. This study further elaborated that

the amount of bribe every month was estimated to be over Rs. 900 crores.

Corruption in the trucking industry finds regular mention in leading newspapers in the country.

According to a report on 1st August 2010 in The Statesman, Kolkata edition, the Kolkata Police earns Rs.

4 million as bribes daily. The report further quotes that each truck driver in West Bengal pays Rs. 300

daily as bribe if all “papers are in order”. Otherwise, the bribe amount may go as high as Rs. 3000.00.

Case Study 1

357

Police officer dragged on road by colleagues

Lucknow, Sep 3, DH News Service:

People of Uttar Pradesh’s Bareilly town witnessed the tragic event when law keepers

turned law breakers launching a daring attack on their senior officer in broad daylight and

full public glare.

Superintendent of Police (Traffic) KalpanaSaxena, who had

launched a drive against extortion of money from truck drivers by

traffic cops, herself became a victim when she caught her

subordinates extorting bribe from the truckers.

Three traffic police constables pushed the woman police officer and

tried to flee in a car when the latter caught the trio red-handed at a

crossing in the town on Thursday evening.

When Saxena held one of the corrupt officers by his collar, the

other two pulled up the vehicle‟s window and sped away dragging the lady officer for some distance in

full public view, police sources here said.

Saxena‟s gunner and driver tried to catch hold of the erring traffic cops but their efforts went in vain.

The officer fractured her hand and also suffered injuries on the head. She is being treated at a city

hospital.

Sources said that Saxena had rushed to the spot after being informed by a person that three traffic

constables were extorting money from the truckers. The officer a few days back had made her

cellphone number public and appealed to the people to inform her about such extortion.

One of the erring cops Manoj was later arrested but the remaining two are still absconding. “The cops

have been suspended and a massive hunt has been launched to nab the two others,” officials said

here.

www.deccanherald.com

Case Study 2

358

Some more reports pertaining to corruption in the trucking industry is given below:

The Times of India, Bangalore

359

Case Study 3

360

The Times of India, New Delhi

Case Study 4

361

Our primary research finding of overloading of trucks being a major cause of corruption is also reflected

by Mr. Chittaranjan Das, Director, SAARC Centre for Transport Studies in an article published in the

www.motorindiaonline.com. In this article titled Menace of Overloading of Trucks mainly due to Motor

Vehicles Act, 1988, he points out that corrupt officials and venal transporters, due to a legal loophole in

this Act, are resorting to overloading of trucks.

In our secondary research we also studied the “best practices” of trucking operations in Mali, The

European Union and Singapore.

Recommendations:

Based on our findings through primary as well as secondary research, we recommend the following

solutions to tackle the various issues which are either the cause or the effect of corruption in the trucking

industry. We also articulate the concerns associated with the solutions:

Overloading:

Solutions:

Electronic Weigh Bridges with central monitoring: If the laden weights of the trucks are recorded centrally there will be less chance of manipulation at the check points. Also, the weight records should also have computerized details of the vehicle, trip details etc.

Truck-Trailer combination (closed box trucks). This will minimize the scope of overloading of trucks. Overloading of trucks does not only lead to avenues of corruption but also endangers road safety. This can be achieved throughupgradation of existing fleet, providing tax incentives for fleet modernization and easy financing schemes

Concerns:

Heavy Investment: Admittedly, modernization of fleet would involve heavy investment. However, higher profitability due to operational efficiency and stoppage of revenue leakage due to corruption will make return on investment more attractive.

Resistance from truck owners: Small independent truck owners may initially be averse but they need to be sensitized, motivated to implement this.

On-Route Delay

http://www.motorindiaonline.com/

362

Solutions:

Single Permit, Single Authority, Single Seal o Single NOC o No Delay o Reduced human interaction

A unified permit covering the entire country can be the single most important step in

streamlining trucking operations in the country and will lead to removal of several bottlenecks

which give rise to opportunities of corruption as well as law-breaking. The permits should also be

for a reasonable length of time and both the process of issuing and renewal should not be

cumbersome. Reputed manufacturers of transport vehicles can also be entrusted with the

responsibility of issuing the National Permits.

Concerns:

Concentration of power – higher corruption. The permit issuing authorities must be asked to work under strict timelines. A certain portion of the “permit fee” can be utilized for the permit issuing office.

Reliability of sealing: With the use of modern tamper proof sealing technology this concern can be adequately addressed.

Security Concern: Properbackground check of thetransport company and its employees must be ensured to minimize this concern.

Toll Evasion

Solutions:

Computerized check points o Smart Card Payments e.g Singapore Toll Collection o Video Camera installed at every check point.

The smart cards should be non- transferable with the chassis number and the engine number of

the truck embedded in it. Prepayment of toll amounts should be possible through the Smart

Card. The advance payment centers should be numerous and not necessarily only in the

highways. Revenue sharing of the toll collected can be done amongst several state authorities

depending upon the route of the truck. The route of the truck will be monitored by smart card

readers located at inter-state borders.

Concerns:

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Implementation Costs: The higher implementation costs can be off-set by higher revenue collection. Also if the implementation is done on a mass scale advantage of “economies of scale” can be taken.

General Harassment: With proper implementation and education the harassment level is bound to go down.

Besides the above, there is also a need to take the following supportive measures:

1. Sensitization/Education of all stakeholders – transporters, drivers, clients about automation and correct documentation

2. Display of Helpline/ Anti Corruption telephone numbers every 10-15 kilometres. And also at every check points.

3. Take punitive action against entire team in case of complaint against even one member of the staff. This will make each member of the team vigilant.

4. Special Inspection Squads manned by senior officials.

5. Improvement of Roads to make the transport sector more efficient so that transporters do not have to resort to underhand means to remain competitive.

6. Make the rates of toll and other charges lower so that evasion of taxes is no longer attractive. With higher overall amount of collection due to less evasion, the lower rates would not mean lower revenue.

7. Reduce number of check points. Today, besides inter-state check points there are check points between districts, entry point of cities, cantonment areas, forests etc. More the check points, more are the points of corruption

Reference:

1. Transparency International Study on Corruption in Trucking Industry, 2006.retrieved from

http://www.transparency.org/news_room/latest_news/press_releases_nc/2007/2007_02_01_rampant_corruption_in_trucking_operations

2. Dey. A, Of truck and Road Corruption, (2009) retrieved from http://www.deeshaa.org/2009/09/26/of-trucks-and-roads-and-corruption/

3. Murthy R, Cops turn Robbers on Indian Roads (2009) retrieved from http://www.atimes.com/atimes/South_Asia/KH27Df03.html

4. AdityaSaraogi, (personal Communication as on 28/09/10 and 26/11/10) 5. The Statesman, Kolkata 6. www.deccanherald.com

7. www.motorindiaonline.com



http://www.deeshaa.org/2009/09/26/of-trucks-and-roads-and-corruption/

http://www.atimes.com/atimes/South_Asia/KH27Df03.html

http://www.deccanherald.com/

http://www.motorindiaonline.com/

364

Sr. No.. 27, 29, 42, 55, 75, 83

IIM AHMEDABAD

Dimensions of Evolving an Energy Independent Society (Evolution of a Carbon Neutral

Nation)

Submitted as part of the course :


Devki Nandan (PGP-X)||Mathew Samuels (PGP-X)||Namita Chauhan (PGP Exchange)

Shubhasish Biswas (PGP2)||Sourav Das (PGP2)||Sudeshna Dey (PGP ABM)

365

1.0 Introduction

With a share of 3.4% in Global Energy Consumption; India ranks 6th in the world growing at

an average of 3.6% per annum over the past 30 years and is slated to double by 2020. A look

at the energy generation avenues clearly shows that the story of Indian energy consumption is

largely a fossil fuel dominated story. This can be demonstrated by the fact that 41% of Indian

energy generation is from coal. Moreover, we are faced with a power capacity deficit which

is expected to widen this year to 12.6 percent of the total capacity. The fact that we

are importing about $80 Billion worth of petroleum per annum is testimony to this power

deficit scenario. Clearly, the country is facing an energy crisis.

What is even more pressing is that India is on its way to become a superpower which means

more economic activity which further means more consumption of resources especially

energy. At the same time climate change poses another major challenge not only to its growth

but also survival of a major chunk of the population which lives in rural areas as poor people

are more affected by the disasters resulting from climate change process.

So it would be prudent if India start focusing more on the renewable energy sources as apart

from augmenting the energy supply, renewable resources will help India in mitigating climate

change.

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1.1 OBJECTIVE

In the current scenario, as a nation we are faced with the responsibility of expanding and

developing our energy generation facilities to meet the internal demand for energy by

ourselves and that too in a clean and efficient manner. Through this report we make an

attempt to suggest a path for the country to reach the much desired goal of a carbon neutral

and energy independent nation.

Current Renewable Energy Usage and Future Potential

Even though India has abundant supply of renewable energy resources, and it has one of the

largest programs in the world for deploying renewable energy products and systems, rather it

is the only country in the world to have an exclusive ministry for renewable energy

development, the Ministry of New and Renewable Energy (MNRE) yet the progress in terms

of achieving to the potential is hardly in the picture.

New and Renewable Sources of Energy- Potential and Achievement as on January 01, 2007

No. Sources / Systems Estimated

Potential

Cumulative

Achievements

I. Power From Renewables

A. Grid-interactive renewable power

1. Bio Power (Agro residues) 16,8811 MWe 510.00 MW

2. Wind Power 45,1952 MWe 6315.00 MW

3. Small Hydro Power (up to 25 MW) 15,0003 MWe 1905.00 MW

4. Cogeneration-bagasse 5,0004 MWe 602.00 MW

5. Waste to Energy 2,7005 MWe 40.95 MW

Sub Total (in MW) (A) 84,7766 MWe 9372.95 MW

B. Distributed renewable power

6. Solar Power - 2.92 MW

7 Biomass Power / Cogen.(non-bagasse) - 34.30 MW

8. Biomass Gasifier - 75.85 MW

9. Waste-to- Energy - 11.03 MW

Sub Total (B) - 124.10 MW

Total ( A + B ) - 9497.05 MW

II. Remote Village Electrification - 2501 villages +

830 hamlets

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III. Decentralised Energy Systems

10. Family Type Biogas Plants 120 lakh

38.90 lakh

11. Solar Photovoltaic Programme 20 MW/sq.km.

i. Solar Street Lighting System - 54659 nos.

ii. Home Lighting System - 301603 nos.

iii. Solar Lantern - 463058 nos.

iv. Solar Power Plants - 1859.80 kWp

12. Solar Thermal Programme -

i. Solar Water Heating Systems - 1.66 million sq.m.

collector area

ii. Solar Cookers - 6.03 lakh

13. Wind Pumps - 1141 nos.

14. Aero-generator /Hybrid Systems - 572 kW

15. Solar Photovoltaic Pumps - 7068 nos.

IV. Other Programmes

16. Energy Parks - 493 nos.

17. Akshay Urja Shops - 104 nos.

18. Battery Operated Vehicle - 255 nos.

MWe = Megawatt equivalent; MW = Megawatt; kW = kilowatt; kWp = kilowatt peak; sq. m.

= square meter

If we look at the various Acts (such as Electricity Act, 2003) and policies of the India

government it could be concluded that increasing the share of renewable energy in the energy

generation-mix is India‘s long-term interest. Although, our current economic and

development process may demand selection of least-cost energy options, environmental

concerns and strategic sustainable development on the other hand demand an increase in

share for new and renewable energy sources even though this option might prove somewhat

expensive in the short term.

2.0 Efficient Energy Sourcing

Efficient energy sourcing or having the right generation mix is a way forward in the path for

energy independent carbon neutral nation. Energy security is an important concern for India.

India seriously and aggressively needs to follow the path of alternative energy sources-solar,

wind, hydro, bio fuels, hydro, waste, nuclear etc. The current generation mix is largely fossil

368

fuel dominated and now the challenge is to shift focus from conventional sources to non-

conventional source.

2.1 Changing the generation mix: “From fossil fuels to clean energy sources”

The goals of Energy independence require a drastic shift in the current generation mix.

Firstly, reduced dependence on imported fossil fuels is required. Second, we should be able

to use of hydro and nuclear to its full potential. Last and most important large usage of

renewable sources instead of fossil fuels is to be mandated. The current share in renewable

power generation is as follows:

Solar Energy: India is endowed with solar energy potential equivalent to 5,000 trillion

kwh/year( refer figure-1,solar electric conversion potential), which is quite larger than the

total energy consumption of the country.

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Figure 3: Solar Electric Conversion potential

However, India has not been able to harvest to its full potential. Out of the 8% of total

installed renewable, the contribution of solar power is meagre 9.84MW (<0.1%). The main

challenges in solar power are:

High capital Cost: With the current available technology, the cost of producing energy

through the photovoltaic conversion route is 4-5 times costlier than the electricity produced

through conventional means and thus resulted in low investment in this sector.

Environmental Costs: The large amount of land required for large scale power plants-

approximately one square kilometre for every 20-60 MW generated.

Due to high power cost solar power has been conventionally used for cooking, heating, small

scale-lighting, telecommunication etc. India needs to effectively address these issues, because

achieving the goal of energy independence would not be possible without the adoption of

solar power at utility level.

The Ministry of Power has set an agenda of providing Power to All by 2012. Also, with a

commitment to rural electrification, the Ministry of Power has accelerated the Rural

Electrification Program with a target of 100,000 villages by 2012.

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It seeks to achieve this objective through a comprehensive and holistic approach to power

sector development envisaging a six level intervention strategy at the National, State, SEB,

Distribution, Feeder and Consumer levels.

(Source: Global Energy Network Institute, Overview of Renewable Energy Potential of India,

2006, http://www.geni.org)

A very innovative and apt solution was provided by a company called SELCO, which works

in the rural areas of Karnataka and provide solar lighting by installing solar panels in each

household. Before this project, the villagers used to use Kerosene oil lamps for lighting

purposes which was harmful both for the environment as well as for the health of the

villagers. After installing a solar panel in each household, every family could save Rs. 20-25

per day as the kerosene cost and the cost per family for the solar panel worked out to be Rs.

300 per month which was further broken down in to Rs. 10 per day and was affordable by the

rural people. The company saved a lot of CO2 emission and went ahead for carbon credits

and earned about 1 lakh dollar for a village which could be further used for the welfare of the

village. The health of the family members improved and so did their labour-days.

Thus, solar power has a huge potential especially in remote and rural areas. India needs major

institutional framework as well as advances in technologies in place to achieve to fully utilize

the solar potential capacity of India both at rural as well as urban centres.

Wind Energy: India has wind energy potential of 65,000 MW for electricity generation with

the current level of technology. The current installed capacity through wind energy resources

is 11807 MW. Wind, being one of the most efficient alternate energy sources and with

downward trend in wind energy costs, it can be one of the major sources of energy in

generation mix.

As can be seen from the figure-2 that the wind power capacity is in abundance in southern

parts of India is. As such, higher incentives shall be introduce to promote wind power

generation in these areas.

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Figure 4: Wind Resource map

The pollution savings from wind energy with an average output of 4,000 kWh per year is

very remarkable and thus is pro-environment. The savings have been estimated as follows:

Sulphur - dioxide (SO2): 2 to 3.2 tonnes

Nitrogen - oxide (NO) ; 1.2 to 2.4 tonnes

Carbon - dioxide (CO2) : 300 to 500 tonnes

Particulates: 150 to 280 kg

The wind energy sector also enjoys the benefit of carbon credits under UNFCCC and also the

raw material is free so a lot of private players see a potential in this sector. This potential for

developing the sector should be further utilized by the government.

Biomass: Biomass is very critical to India‘s energy mix especially for addressing the

electricity needs of the rural areas. The estimated biomass potential of India is about 21,000

MW. The cumulative installed capacity of grid-interactive biomass and bagasse cogeneration

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power stands at 1,870.83 MW only. India has done some great works in this area and ranks

second in the world in biogas utilisation.

Hydro energy: India has enormous hydro potential of 1,50,000 MW (148,700 MW in large

hydro plants 94,000 MW in pumped storage plants and 6782 in small, mini and micro plants)

of which only 20% of it is being harnessed.

Nuclear Energy: Nuclear energy in India has to play significant role in leading India to the

path of energy independence. With vast reserves of thorium around 290,000 tonnes( about

one-quarter of the world total, India envisages to supply 25% of electricity from Nuclear

power by 2050.Development of thorium fuel cycle will play critical role in it.

As seen above, India has huge potential in clean energy resources. The unexploited

resources has tremendous potential and can be a major way in leading the India to the

path of energy independence and energy security

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Shift in Generation mix

3.0 Efficient Energy Transmission

Improving the efficiency of transmission system will greatly reduce the need for additional

generation capacity also. The current electrical transmission losses in India are huge,

presently in the range of 35% to 45 % .Enhanced transmission system will facilitate in

reducing the spinning reserve requirement also due to the load diversity between utilities and

various locations. An efficient power transmission system is must for transferring power from

surplus regions to deficit regions.

3.1 Recommendations for Efficient Energy Transmission

Up gradation of existing lines

Smart grid

Incentivize and promote at large scale captive and group captive regime already laid

down in Electricity act 2003

In rural areas where the cost of erecting and stretching transmission lines are high,

decentralised and micro-level power generation through small-hydel plants, biogas,

agro waste, wind ,tide, geothermal plants shall be promoted depending upon the

availability

Use of HVDC/Ultra high Voltage AC for inter-state transmission

4.0 Efficient Energy Consumption

Energy consumption is the driving force behind the energy generation and transmission.

Energy intensity is an indicator to show how effectively energy is used in the economy. India

has a much higher energy intensity than other emerging and matured economies. Also the

demand-supply gap has been widening at a rapid rate (Refer to the adjacent figure). Under

this scenario, India urgently needs to conserve energy as well as reduce energy requirements

by demand side management.

Generation mix: 2050 at Current Rate

31%

Generation mix:2050 at Desired rate

Coal

Oil

Hydro

Clean Energy Sources

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With rapid increase in population and expanding economy the power demand is expected to

grow at faster rate .Existing power deficit and increasing demand require large scale capacity

addition as well as efficient energy consumption techniques.

4.1 Recommendations for Efficient Energy Consumption

Develop an “Energy Saving Culture”

Embed energy-saving attitude in our culture

Initially by law, at small levels (say Panchayat Level), individuals/families wasting

energy/power can be condemned and punished (monetarily or otherwise)

At the same time, if there is someone who

has employed innovative ideas in his/her home to

save energy, he/she should be rewarded

This model should be followed in every

society (both rural and urban) and will lead to a

culture of being energy-efficient

Energy Rationing

For households, offices and

organizations, a rationing-model can be launched

(modalities to be designed by Govt.)

Overshooting the quota should be priced

progressively higher (rate slabs).

Saving over the rationed amount should be offered discount / credits that can be

carried forward or even en-cashed at a stipulated rate.

4.2 Energy Efficiency and Demand Side Management

Incentivized use of LED based advertising banners

Many corporate across country use heavy flashlights for advertisement banners, that

glow all night

– The scale of the usage can be estimated from the fact that in 2009, for a certain

period of time, all banner lightings for shops were banned in Pune due to

electricity problems

This should be checked, LED based flashlights should be mandated/heavily

incentivized

Low-energy Mode compulsory in Electric Appliances

R&D of private companies not focused on energy saving for all appliances

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Many devices like Heaters, Iron, TVs do not have a ‗energy-save‘ mode for non-

usage hours.

– TVs: TV main switch on consumes energy at nights

– Heaters/Boilers/Irons: Do not have a ‗energy-save‘ mode, time based (not

temp. based) heat turn-off feature

Needs to be mandated in privately manufactured appliances (not just star-rating)

5.0 Efficient Energy Auditing

Efficient energy auditing is required for enhancing accountability and making the whole

process more effective.

5.1 Recommendations for efficient energy auditing

Night surveillance & Annual Allowance

Local government organizations may be employed to check (through

automation/manually through surprise visits) if electric devices are turned off in

corporate / Govt. office buildings after office hours.

A day-based time allowance may be offered (for ex: 30 days-per-year) for

unexplained usage of electricity in the after-office hours.

Beyond this, the corporations need prior permission , otherwise given a show-cause

notice / penalty

6.0 Sector wise Recommendation

The major energy consuming sectors are Industry (49%), Transport (22%), Residential (10%)

and Agriculture (5%).

6.1 Transportation Sector

Vehicle Free campus

Educational Campuses

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• Over 35000 colleges and universities in India

(http://www.indiastudycenter.com/Univ/List.htm)

• All existing educational institutes should be given a timeline to declare

their campuses vehicle-free

• All upcoming educational institutes should be mandated to be vehicle-

free

• Just as basic infrastructure and lab facilities are a mandate for an

educational institute, so should be this

• They can however, maintain their own bus-services

Corporate Campuses

• Examples would be Hi-Tech City, Hyderabad; Techno-City,

Trivandrum, etc.

• All existing corporate campuses can be given a timeline to get vehicle-

free

• All new corporate campuses coming up should be mandated to be

vehicle-free

• Companies should maintain their own bus/cab service if required

– This two-pronged approach towards educational and corporate campuses will

to a large extent reduce the carbon footprint of the country and bring down

unnecessary demand

Large levies for Parking

Restriction on numbers of cars to be owned

Popularize Pooling of personal vehicles

Promoting/Incentivizing the use of Internet in buying and selling

6.2 Industrial Sector

Mandates for usage of Solar energy for drying and heating purpose

6.3Residential Sector

Incentives to use products based on clean energy like ―mitt cool‖.

6.4 Agricultural Sector

A major issue India faces today is that the shift from fossil fuel based infrastructure to a

renewable energy source infrastructure is tedious as well as extremely expensive. But on the

other hand India is in the process of developing the rural areas in terms of energy usage and it

is important that rather than going the same way as the conventional fossil fuel based energy

http://www.indiastudycenter.com/Univ/List.htm

377

supply we developed the major part of our nation (~70%) with renewable energy sources.

Hence decentralised energy generation is the way forward in this regard.

We should also use Biomass energy for development of the agrarian economy. For example,

while the farming and processing of certain crops such as sugarcane, food grains, vegetables

and fruits, large amount of energy are expended. We could recover this by using the energy-

heavy residues of these crops for the purpose of energy production. This would not only be

advantageous in terms of the carbon footprint of our energy-generation processes but also

operationally in terms of higher flexibility if we integrate the biomass-powered gasifiers and

coal-powered generation.

There are three key benefits:

Environment friendly waste management and disposal

Generation of electric power in a clean way

Efficiency way to harness the energy from a variety of wastes

Decentralized Energy Generation in India

The phenomenal industrial growth and improving living standards are increasing the pressure

on Energy sourcing. Our current generation capacity is far from sufficient in satisfying the

need. In such a scenario, as stressed earlier, we need to look for innovative ways to meet this

demand and at the same time imbibe in our culture an attitude towards being energy-

responsible. Towards this goal, we should make Microgeneration act like a catalyst to bring

about this cultural change in an energy-consumer‘s attitude.

The method of producing electricity in a carbon neutral fashion is known as Microgeneration.

It is not only a way to generate clean energy but also a kind of cultural movement gathering

that is being promoted the world over. India has some such techniques embedded in its

tradition for years. For example, small wind turbines, biomass conversion systems and solar

power photovoltaic cells that have been used for past so many decades.

Fortunately, due to the scientific development, we now also have handheld solar and wind-

powered devices and improved biomass and wind-turbine systems for meeting both industrial

and domestic power generation.

Developed countries have already planned ways to harness renewable energy resources. For

example, the United States has decided to meet a major portion of its total energy demand

through renewable energy sources. To fulfill this goal it has launched a massive renewable

energy program. The program is slated to achieve the objective by 2025 and in addition

create 5 million new employment opportunities.

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Proposed Guidelines for Energy Consumers

In this section, we give some steps to make the energy consumers of our country more

responsible:

Consumers should be made to perform periodic servicing of the electrical

equipments with them

Use of inverters and huge storage batteries should be discouraged except during

emergencies

Utility electricity supply should be allowed only during emergencies

Use of intelligent power factor correctors should be promoted – they help in

minimizing energy losses

Energy audits should be performed frequently

Proposed Guidelines for the Policy Makers

Government should provide financial support as well as sponsor R&D in clean

energy technologies

State Governments should be given ambitious targets towards efficient energy

sourcing from clean sources

Every government office should be retrofitted and solar / wind / biomass powered

systems should be installed – will act as a source of inspiration for people

All upcoming urban apartments should be mandated installation of systems like

solar water heaters

Usage of clean energy equipments should be highly rewarded

Any taxes/duties on small-scale clean energy generating devices should be done

away with

Farmers should be encouraged to grow crops like Jatropha on marginal or

degraded land

Vehicles should be made to use bio-fuel

Financial institutions should provide soft loans for opening clean energy

enterprises

Rural consumers should have additional incentives for using clean energy devices

Guidelines for Research Professionals

Modules for creating awareness and educating people about clean energy systems

should be created

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Low cost and durable photovoltaic cells should be developed without sacrificing on

efficiency

Wind turbines should be improved to harness the energy in even low velocity wind

Conclusion

By now, we are all very aware of the fact that there is a clear and urgent requirement of

transiting towards clean energy generation form the current petroleum and coal dominated

energy systems. We need to reduce our dependence on the diminishing fossil fuel reserves of

our country and the world. We also need to realize the other benefits of using clean energy

resources. For example, the potential that it has to reduce unemployment, especially in rural

India. We should attract FDI flows towards clean energy projects.

We must not ignore the fact that the rural areas are a hot bed of innovation. The individual

level innovations, inventions and discoveries can make a huge difference as these innovators

are scattered and cater to different regions specific to the needs unlike most of the companies

that provide standard products for all terrains to cut their operational costs and hence at times

fail miserably in the process. These innovators understand the geography, climate, traditional

knowledge and develop products after years of learning and experience. A few examples of

such innovations are provided below:

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Honey Bee Vol 20(1) January - March 2009

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7.0 Recommendations on Institutional Framework

Urban development

Banks can develop special types of Loans for someone who wants to retrofit his/her

apartment to be more energy efficient

We can have an energy Inspector at the municipality level who can carry on energy

checks and give suggestions and recommendations and impose fines in case of

deliberate energy wastage

Rural development

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Incentivize farmers to grow bio-fuels (e.g. Jatropha) depending on whether the land is

suitable for cultivating these

Panchayats should be instructed to hold sessions to discuss on innovative ways to

conserve energy

Unified community pantry:

• The village community centers can install as community pantry (for

boiling/heating purposes)

• Will help in saving cooking cost

• Will promote usage of cleaner energy as household fuel (and can cut out fossil

fuel usage)

• Lesser wastage due to a common heating pans/hot-plates

• May be extended to industry units in a geographical area (boilers, etc.)

Assured equity investment pool for selected energy projects/start-ups

A pool of energy start-ups / projects be selected by all markets of the country

(dynamic, performance based)

Investment to these projects be made compulsory for all investment portfolios offered

in country

Corporate Loans and pension funds be made mandatory investors in partnership with

the Government

Tax Regime and Subsidies

Tax Regimes should discourage unnecessary consumption and use of energy-

inefficient devices

The buying a vehicle can be taxed proportionally to number of vehicle(s) already

possessed by the person

Usage of energy-efficient devices (in a addition to manufacturing) should also be

incentivized

Consumers should have explicit incentives in addition to lower electricity bills

References

1. www.wikipedia.org

2. www.renewableindia.com

3. www.moef.nic.in

4. www.envfor.in

5. http://www.world-nuclear.org

6. http://www.inwea.org/

http://www.wikipedia.org/

http://www.renewableindia.com/

http://www.moef.nic.in/

http://www.envfor.in/

http://www.world-nuclear.org/

http://www.inwea.org/

383

7. http://www.direc2010.gov.in/biomass-cogeneration.html

8. http://www.powermin.nic.in

9. https://www.crisilresearch.com

10. http://www.mapsofindia.com

11. www.abdulkalam.com

12. Dr. A.P.J Abdul Kalam‘s address to the nation on 59th

Independence day

http://www.direc2010.gov.in/biomass-cogeneration.html

http://www.powermin.nic.in/

https://www.crisilresearch.com/

http://www.mapsofindia.com/

http://www.abdulkalam.com/

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Sr. No. 31, 28, 67, 46, 60, 61

INDIAN INSTITUTE OF MANAGEMENT, AHMEDABAD

Drinking Water Availability for 6 billion plus people of the World

Instructor: Prof. Anil Gupta

Seminar course: Globalizing and Resurgent India through Innovative Transformation

Bettina Ackermann, Abhinav Garg, Sonam Choudhary, Sarah Guilcher, Rahul Gupta,

Vineet Karhail and Sarah Nerbonne

November 22nd

, 2010

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Excecutive Summary

The report focuses on the availability of drinking water in Gujarat. Before providing the

purified water to human, it is necessary to ensure the sufficiency of water in water-depleted

regions like Gujarat. The report looks at various popular techniques for the conservation and

replenishment of water being used at various parts of the world. We found that water policies

play another major role in water availability and retention and have tried to look at water

policies around the world. Finally, there are some techniques provided for purification of

water. At the end, there are some recommendation is given to make drinking water available

to Gujarat.

Introduction

Water is an essential life sustaining element which covers 70% of the Earth‘s surface and

around 1.5% found below ground in aquifers. Water, apart from serving basic human needs,

is essential for socio-economic development of any nation e.g. smooth running of hospitals,

schools, offices, factories for industrial activities, etc. For quite some time, the world has

been enjoying the abundance of water without any worries. However, in recent years, over

large parts of the world, humans have inadequate access to water even for their drinking

purposes, let alone other industrial and daily usages.

Most of the regions which are not closer to any water body majorly depend upon rainfall and

ground water for their water requirements. In regions where there is shortage of rainfall, it

becomes very necessary to conserve/ manage water resources. As seen from the water

scarcity map below, we can argue that almost half of the world‘s population is already facing

some sort of water scarcity- physical or economic.

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Adequate drinking water has become more elusive due to decreasing ground water level in

addition to unavailability of hygienic quality of water. Over large parts of the world, humans

have inadequate access to potable water and thus they use sources contaminated with disease

vectors, pathogens or unacceptable levels of dissolved chemicals or suspended solids. Such

water is not potable and drinking or using such water in food preparation leads to widespread

acute and chronic illnesses and is a major cause of death in many countries. The UN

estimates that by 2028, half of the world‘s population may be struggling to find enough water

for drinking and irrigation.

Problems in fresh water accessibility are primarily regional in scope and logistical in nature.

Seventy-one percent of the earth is covered with water—some 13.6 billion cubic kilometres.

Of that amount, oceans make up 97.2 percent and polar ice 2.15 percent. Neither of these

sources, however, are economically justifiable in most cases as fresh water supplies are

readily plentiful and accessible. Therefore, most of the life forms, including humans,

livestock, etc. depend on the last 0.65 percent, of which 0.62 percent is groundwater. Enough

fresh water falls in the form of rain to provide 5,700 litres of water for every single person on

earth every single day. Europeans typically use 566 litres daily, and even less conservation-

minded Americans only use 1,332 litres per person every day. In short, there is more than

enough water.

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Water conservation technologies

Groundwater Replenishment methods/technologies around the world

The technology of constructing wells, infiltration galleries, underground tanks, roof water

harvest, networks of ponds, tanks, stop dams have been developed centuries ago in India,

Iran, Italy, China and in many other old civilisations. We will focus on existing and effective

technologies. Talking about groundwater replenishment is talking about water conservation,

because both are linked.

Groundwater is recharged naturally by rain and snow melt and to a smaller extent by surface

water (rivers and lakes). The problem is that human activities as paving, development, or

logging (cutting trees) impede groundwater recharge by hindering rainfall to seep back into

underground aquifers. This enhances what is called ―surface runoff‖, the water flow that

occurs when soil is infiltrated to full capacity. And when this water flows along the ground, it

might pick up soil contaminants such as petroleum, pesticides or fertilizers that become

discharge and sources of pollution which can affect water bodies. Besides consequences of

urban sprawl for groundwater recharge, the direct use of groundwater, especially for

irrigation, lowers the water tables.

The method of charging rainwater into the soil for later withdrawal is what we call

―groundwater recharging‖. It is essential to stop the decline in groundwater levels, arrest sea-

water ingress, i.e. prevent sea-water from moving landward, and conserve surface water run-

off during the rainy season. Therefore, water recharging has a twofold effect; it arrests

groundwater depletion, raises the declining water table and can help augment water supply.

Rainwater harvesting and artificial recharging are becoming very important issues,

fundamental to the survival of the Earth and its inhabitants. The volume-rate abstracted from

an aquifer in the long term should be less than or equal to the volume-rate that is recharged.

Different methods

Domestic Roofwater Harvesting

Domestic Roofwater Harvesting (DRWH) consists in collecting water from roofs and pouring

it into wells. This method provides an additional source from which to meet local water

needs. In recent years, this technique has become cheaper and more predictable in

performance. In countries like India, it is usually used to provide full coverage of water needs

in the wet season and partial coverage during the dry season, as well as it provides short-term

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security against the failure of other sources. Interest in DRWH technology is reflected in the

water policies of many developing countries, where it is now considered as a possible source

of household water. Indeed, rainwater systems deliver water directly to the household,

relieving the burden of water-carrying, particularly for women and children. This is crucial in

communities where households face sharp labour shortages due to the prolonged sickness or

death of key household members, increasingly as a result of HIV/Aids, coupled with a

reduction in the availability of labour due to education and migration.

Many countries have already used Domestic Roofwater Harvesting (DRWH) technique.

Among them are China, Brazil, Kenya and Germany. The technique is approaching maturity

and has found its major applications where other water technologies face difficulties (for

instance due to deterioration in groundwater sources) or where water collection is particularly

difficult (for example in hilly areas of Africa). As a report of the IRC International Water and

Sanitation Centreunderlines it, “in some locations, such as India, DRWH has been strongly

linked with aquifer replenishment programmes. Elsewhere it is seen as an attractive

technique, in part because it fits with the decentralisation of rural water supply and is

suitable for household management”.58

Providing domestic water in rural areas, via protected wells or springs for instance, should

cost at least US$ 50 (~2250 Rs) per household. The advantage of DRWH is that avoids

wasting time for fetching water. Nevertheless, it seems difficult to reach the cost target for

DRWH, except under specific climatic conditions. Indeed, for a system that will meet the

bulk of a demand for 100 litres of clean water per day, the real cost approaches US$ 100

(~4500 Rs) per household.

The potential of lakes, tanks and ponds to store rainwater is immense. The harvested

rainwater can not only be used to meet water requirements of the city, it also recharges

groundwater aquifers. The decision whether to store or recharge water depends on the rainfall

pattern and the potential to do so, in a particular region. The sub-surface geology also plays

an important role in making this decision. Roofs and paved areas which are clean are

excellent catchment. Unpaved areas are usually best reserved to ensure increase in soil

moisture or to recharge groundwater. Even factory roofs are good for the purpose as long as

they are kept clean. The conveyance includes gutters and pipes which move the rainwater

from the catchment to the filtration system. PVC is the material generally used for both

gutters and down pipes. Filtration systems remove organic material, silt and other debris from

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Roofwater Harvesting: A Handbook for Practitioners, Thomas, T.H. and Martinson, D.B. (2007) – IRC International Water and Sanitation Centre

389

rooftop rainwater. These are designed with gravel and sand and sometimes with nylon

meshes. Rainwater passes through the filter and is cleaned for storage. Rainwater harvesting

is most suitable where:

Groundwater is scarce and/or contaminated

Terrain is rugged or mountainous

Seismic and flooding events are common

The aquifer is at risk of saltwater intrusion

Population density is low

Electricity and water prices are rising

Water is too hard or mineral laden

Consumers must restrict salt/chlorine intake

Where utility service is unreliable

Conservation is an objective

Advantages of rainwater harvesting are as follow:

Availability not subject to outside utility control

Not subject to pipelines interruption (seismic)

Quality is controlled by the consumer

Available even when power is interrupted

Reduces run-off and erosion

Available even when storms and disaster strike

Available immediately for fire suppression

Reduces mosquito breeding grounds (Dengue Fever)

Thermal mass can naturally cool buildings

Ideal for people on low sodium diets or with health concerns (weakened immunity

systems)

Its qualitative advantages are:

It is naturally pure and soft

It is cheap and sustainable

It is free of chlorine and its byproducts

It is free of pesticides and other man-made contaminants

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Ground water recharge by dug well

Estimates indicate that the recharge of ground water through dug well is one of the most

effective methods. This process was found to be very economical, as diverting water into the

well through trenches provided with filters costs around Rs.3000/- to Rs.4000/- per well and

the yearly maintenance stays quite cheap. In India, the target beneficiaries of this technique

are farmers who privately own wells in their agricultural land.

Tube well injection

Clean water collected in a dug well was pumped into the deep aquifer of a tube well using

electric motor pump at the rate 9,000 gallons per hour. It accepted water until it filled to

capacity. The method was found to be useful in arresting and raising water table.

Percolation tanks

The cost of percolation tank and ponds was around Rs. 70,000/-. Expenditure incurred in

making trenches around the fields and the cost of deepening of collectors and their bunding at

a distance of 30-40 m, required an expenditure of about Rs. 1000/- per hectare.

Trenches & drilling of holes

The possible contribution of trenches in recharging ground water appeared to be quite low,

but increase in water holding capacity in increasing production was quite perceptible. Drilling

of holes of 25 cm diameter to a depth of 2 meters filled with pebbles and sand cost around

Rs.100/- per pile hole. Such measure enhances infiltration of water in the deeper soil profile.

Water recharge by spreading vs. injection method

The various measures adopted to augment the ground recharge mainly comprised of water

spreading and water injection. The details of each technique and its possible contribution in

augmenting the water recharge revealed that an individual contribution was quite low.

However, overall contribution of spreading versus water injection techniques revealed that

the spreading techniques contributed around 23 %, whereas the injection techniques

contributed 77 %, of the artificially recharged ground aquifer.

The total cost of the project, which was implemented in a phased manner, was around Rs.1.5

lakh (Rs. 4/m3 of water). The yearly maintenance cost was found to be less than 3 per cent of

the cost of the whole project.

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Evaluation of these methods

Suitability of these methods/technologies

Groundwater recharge methods are suitable for use in areas where aquifers exist. Typically,

unconfined aquifers (those who are opened to receive water from the surface) are recharged

by surface injection methods, whereas confined aquifers are generally recharged through

subsurface injection. Surface injection methods require relatively flat or gently sloping lands,

while topography has little effect on subsurface recharge methods. Aquifers best suited for

artificial recharge are those which can absorb and retain large quantities of water.

Recent report from the United Nations Environment program underlines that ―in temperate

humid climates, the alluvial areas which are best suited to artificial recharge are areas of

ancient alluvium, the buried fossil river-beds and interlinked alluvial fans of their main valley

and tributaries. In the arid zone, recent river alluvium may be more favourable than in humid

zones. In these areas, the water table is subject to pronounced natural fluctuations. Surface

recharge methods are best suited to these cases. Coastal dunes and deltaic areas are also

often very favourable areas for artificial recharge schemes. Dense urban and industrial

concentrations in such areas may render artificial recharge schemes desirable, generally

using subsurface recharge wells to inject surface water into the aquifers”.59

When the quantity and availability of recharge water varies a lot, such as in a discontinuous

stream, any of the surface application methods are suitable. However, basin and pit (holes in

the ground) techniques have the greatest advantages because they can be designed to

59

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accommodate expected flood flows. On the contrary, wells have little storage capacity and,

therefore, require a more uniform supply of water.

Furthermore, the physical, chemical and biological quality of recharge water has also to be

taken into account to select a recharge method. ―If suspended solids are present, surface

application techniques tend to be more efficient than subsurface techniques where they can

result in clogging of injection wells. It is also important that the recharge water be

chemically compatible with the aquifer material though which it flows and the naturally

occurring groundwater to avoid chemical reactions that would reduce aquifer porosity and

recharge capacity. Toxic substances must not be present in the recharge water unless they

can be removed by pre-treatment or chemically decomposed by a suitable land or aquifer

treatment system. Similarly, biological agents, such as algae and bacteria, can cause

clogging of infiltration surfaces and wells, limiting the subsequent use of the recharged

water”. 60

Effectiveness of these methods

Various artificial recharge experiments have been carried out in India by different

organizations, and have established the technical feasibility of the artificial recharge of

unconfined, semi-confined and confined aquifer systems. However, the most important issue

in determining the utility of this technology is the economic and institutional aspects of

artificial groundwater recharge. Experiences with full-scale artificial recharge operations in

India and elsewhere in Asia are limited. As a consequence, cost information from such

operations is incomplete. The available data from areas in which recharge experiments have

been initiated or are in progress, suggest that the cost of groundwater recharge can vary

substantially. These costs depend on the availability of source water and the extent of

transportation facilities, civil constructions, land, and groundwater pumping.

Advantages

As surface water augmentation methods, such as dams, have become more expensive and less

promising in terms of environmental considerations, the prospects of storing surplus surface

water underground and abstracting it whenever and wherever necessary appears to be a more

effective technology. In urban areas, artificial recharge can maintain groundwater levels in

situations where natural recharge has become severely reduced.

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Disadvantages

There are a number of problems associated with the use of artificial recharge techniques.

These are related to aspects such as cost effectiveness, contamination risks (due to injection

of recharge water of poor quality), clogging of aquifers, and a lack of knowledge about the

long term implications of the recharge process. Hence, careful consideration should be given

to the selection of an appropriate site for artificial recharge in a specific area.

Cultural Acceptability

Cultural considerations, stemming from socio-economic concerns, often enter into the

selection of a recharge method and site. The availability of land, the way it is used in

neighbouring areas, public attitudes, and legal requirements generally play a role in

defining the acceptability of artificial recharge in a given setting.

In urban areas, where land availability, costs and uses in adjacent areas may pose restrictions,

injection wells, shafts or small pits requiring highly controlled water supplies and little land

area may be preferable to larger scale, surface spreading recharge methods. Surface

recharge facilities generally require protected property boundaries (limits), regular

maintenance, and continuous surveillance if they are to be acceptable to the public.

Further Development of these technologies

The recharge process is extremely complex, and, due to the numerous factors affecting the

process, it is only partly understood. The studies on artificial recharge techniques are mostly

site-specific and descriptive in nature, which gives little insight into the potential success of

implementing this technology in other locations. Thus, there is a need for further research and

development of artificial recharge techniques for a variety of conditions. In addition, the

economic, managerial and institutional aspects of artificial recharge projects need to be

studied further.

We have seen most water conservation technologies existing around the world. But what

about India, and Gujarat in particular?

Water conservation in India

In the area surrounding the River Ruparel in Rajasthan, proper management and conservation

of water is done. Though the area receives very less rainfall when compared to other places

like Cherrapunji which have abundant rains, more water is available for the people in the area

compared to Cherrapunji. The region faced acute water shortage in the 1980s because of

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extensive deforestation and agricultural activities along the river-banks. Under the guidance

of some NGOs (non-government organizations), the women living in the area were

encouraged to take the initiative in building johads (round ponds) and dams to hold back

rainwater. Gradually, water began coming back as proper methods of conserving and

harvesting rainwater were followed. The revival of the river has transformed the ecology of

the place and the lives of the people living along its banks. Their relationship with their

natural environment has been strengthened.

In India's arid and semi-arid areas, the 'tank' system is traditionally the backbone of

agricultural production. Tanks are usually constructed by excavating the ground and

collecting rainwater.

Rajasthan receives very little rainfall, but people have adapted to the harsh conditions by

collecting whatever rain falls. Large bunds to create reservoirs known as khadin, dams called

johads, tanks, and other methods were applied to check water flow and accumulate run-off.

At the end of the monsoon season, water from these structures was used to cultivate crops.

Similar systems were developed in other parts of the country. These are known by various

local names (the haveli system in Madhya Pradesh, ahar in Bihar...).

―Town planners and civic authority in many cities in India are introducing bylaws making

rainwater harvesting compulsory in all new structures. No water or sewage connection

would be given if a new building does not have provisions for rainwater harvesting. Such

rules should also be implemented in all the other cities to ensure a rise in the groundwater

level.

Realizing the importance of recharging groundwater, the CGWB (Central Ground Water

Board) is taking steps to encourage it through rainwater harvesting in the capital and

elsewhere. A number of government buildings have been asked to go in for water harvesting

in Delhi and other cities of India.

There are many traditional water bodies which have been in disuse for the longer time. These

bodies can be reused as the recharging points. Steps should be taken to avoid dumping of

sewage into the village ponds. Efforts need to be made to deepen these ponds with the

dragline machines. Garbage and other waste should not be dumped into the ponds.

Fog and dew contain substantial amounts of water that can be used directly by adapted plant

species. Artificial surfaces such as netting-surfaced traps or polyethylene sheets can be

exposed to fog and dew. The resulting water can be used for crops.

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Salt-resistant varieties of crops have also been developed recently. Because these grow in

saline areas, overall agricultural productivity is increased without making additional

demands on freshwater sources. Thus, this is a good water conservation strategy.

Transfer of water from surplus areas to deficit areas by inter-linking water systems through

canals, etc. Use of efficient watering systems such as drip irrigation and sprinklers will

reduce the water consumption by plants”.61

Situation in Gujarat

Water is scarce in most parts of the State. Total fresh water availability is only 1137 m3 per

capita per annum, and 70% of these resources concentrate in South Gujarat. Most geological

formations across the State make water storage in aquifers and percolation for ground water

recharge very difficult.

Considering that domestic and industrial water demand for the year 2025 are assessed to be

2 000 billion m3

per year, the government took a series of initiatives. It has built several

dams, lakes and other water works. All the lakes are supposed to recharge the underground

water table. The cities have several wells and hand pumps to meet their daily requirements,

but for the last thirty years, no one has really taken care of this excellent water storage and

recharging system. As a result, trees have grown into the canals, hence the inflow of water

has reduced considerably. Today, the State government fails to come up with any lasting

solution to the chronic water shortage in Kutch and Saurashtra (arid parts of north and

southwest Gujarat). Ambitious centralized projects like the Narmada Dam appear to have no

end in sight, and people‘s participation in community-based rain water harvesting has

begun to dispel the myth that drought is due to scarcity of rain.

“Year after year, every summer, both the rural and urban areas of Saurashtra and Kutch reel

under water shortages. In the coastal areas the problem is further compounded by salinity

ingress into ground water aquifers. The government machinery responds with its usual quick

fix solutions by providing water through trucks and trains. While a large number of people

continue to depend on the Rain Gods or the government water tankers, in some areas people

have begun to take the matter in their own hands”.62

61 http://www.thehindubusinessline.com/2010/10/01/stories/2010100153440100.htm

http://www.fao.org/docrep/W7314E/w7314e0q.htm

62 http://www.csiwisepractices.org/?read=294

http://www.thehindubusinessline.com/2010/10/01/stories/2010100153440100.htm

http://www.fao.org/docrep/W7314E/w7314e0q.htm

http://www.csiwisepractices.org/?read=294

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In Gandhigram, a coastal village in Kutch district, the villagers had been facing a drinking

water crisis for the past 12 years because the groundwater table had fallen below the sea level

due to over-extraction, so the seawater had seeped into the ground water aquifers. The

villagers formed a village development group, Gram Vikas Mandal. The latter took a loan

from the bank and the villagers contributed volunteered to build a dam on a nearby seasonal

river, which flowed past the village. Apart from this, the villagers also undertook other

projects. Thanks to these water retention structures, the villagers now have sufficient drinking

water, and 400 hectares of land, which earlier lay barren, have come under irrigation!

Similar examples of people‘s initiative in organizing rainwater harvesting can also be seen in

the two villages of Khopala and Jhunka in Bhavnagar district of Saurashtra. These success

stories have proved that management of water resources by the end users themselves

can lead to sustainable benefits. Such community-based systems of managing water

resources are not new to society. They have been practiced by many traditional communities

all over the world, but are gradually being replaced by ―modern‖ centralized systems of

resource management.

As a great Indian poetess, Mahadevi Verma, once said: ―it is not possible for us to take a step

forward without putting one foot firmly on the ground‖. This means that whether it is

education, culture or natural resources management, a society which tries to move ahead

towards technological advancement without keeping itself firmly rooted in its own tradition,

is bound to fall.

Water Purification

Water purification is a process of removing undesirable chemicals, materials, and biological

contaminants from contaminated water to make the water suitable for a specific purpose. The

purification process of water may reduce the concentration of particulate matter

including suspended particles, parasites, bacteria, algae, viruses, fungi; and a range of

dissolved and particulate material derived from the surfaces that water may have made

contact with after falling as rain.

Need for water purification

According to a report prepared by the World Health Organization, approximately 1.1 billion

people do not have access to clean drinking water supply. Also, the study states that 88

percent of the 4 billion annual diarrheal cases are attributed to unsafe drinking water and

inadequate sanitation and hygiene, and 1.8 million people die from diarrheal diseases each

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year. An estimate by WHO states that 94 percent of these diarrheal cases are preventable

through modifications to the environment, including access to safe water.

Simple techniques for treating water at home, such as chlorination, filters, solar disinfection,

and storing it in safe containers could reduce the death tolls substantially each year. In

developing countries, one of the major public health goals is to reduce deaths from

waterborne diseases.

Methods of water purification

Widely varied techniques are available to remove the fine solids, micro-organisms and some

dissolved inorganic and organic materials. The choice of method will depend on the quality

of the water being treated, the cost of the treatment process and the quality standards

expected of the processed water

1. Boiling: It is the simplest way of purifying drinking water. Water is heated for some

time to inactivate or kill micro-organisms that normally live in water at room

temperature. The appropriate time for boiling water depends on the regional landscape

and the external temperature. Near sea level, a vigorous rolling boil for at least one

minute is sufficient. At high altitudes (greater than two kilometres or 5000 feet) three

minutes is recommended. In areas where the water is "hard" (that is, containing

significant dissolved calcium salts), boiling decomposes the bicarbonate ions,

resulting in partial precipitation as calcium carbonate.

Boiling does not remove solutes of higher boiling points than water (with the

exception of calcium), rather it increases their concentration as some water is lost as

vapour during boiling. Also, boiling does not leave a residual disinfectant in water.

Therefore, water that has been boiled and then stored for any length of time may have

acquired new pathogens.

2. Carbon Adsorption: Carbon absorption is a widely used method of home water

filter treatment because of its ability to improve water by removing disagreeable tastes

and odors, including objectionable chlorine. Activated carbon effectively removes

many chemicals and gases, and in some cases it can be effective against

microorganisms. However, generally it will not affect total dissolved solids, hardness,

or heavy metals. There are two types of carbon filter systems, each with advantages

and disadvantages: granular activated carbon, and solid block carbon. These two

methods can also work along with a reverse osmosis system.

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3. Granular Activated Carbon filtering: This method uses a form of activated

carbon with a high surface area which adsorbs many compounds including many toxic

compounds. Water passing through activated carbon is commonly used in municipal

regions with organic contamination, taste or odours. These activated carbon filters are

also used by many household water filters and fish tanks to further purify the water.

Carbon also removes free chlorine and protects other purification media in the system

that may be sensitive to an oxidant such as chlorine.

The carbon adsorption process is controlled by the diameter of the pores in the carbon

filter and by the diffusion rate of organic molecules through the pores.

If the carbon block is used for storing water for long periods of time, microorganisms

can grow inside resulting in contamination of the water. Some household filters may

contain metallic silver nanoparticles which are excellent anti-bacterial materials and

can decompose toxic halo-organic compounds such as pesticides into non-toxic

organic products.

4. Distillation: It involves boiling of water to produce water vapour which on contact

with a cool surface condenses as a liquid. The solutes present in water remain in the

boiling solution as they are not normally vaporized. Even distillation does not

completely purify water, because of contaminants with similar boiling points and

droplets of unvapourised liquid carried with the steam. However, 99.9% pure water

can be obtained by distillation.

5. Reverse osmosis: In reverse osmosis, mechanical pressure is applied to an impure

solution to force pure water through a semi-permeable membrane. Theoretically,

reverse osmosis is the most thorough method of large scale water purification

available, although perfect semi-permeable membranes are difficult to create. A

problem attached to reverse osmosis is that if membranes are not well-

maintained, algae and other life forms can colonize the membranes thus reducing their

efficiency and in turn polluting the water.

6. Direct contact membrane distillation (DCMD): In this method, heated sea-water is

passed along the surface of a hydrophobic polymer membrane. The water which

evaporates passes from the hot side through pores present in the membrane into a

stream of cold pure water on the other side. The difference in vapour pressure

between the hot and cold side helps to push water molecules through.

7. Gas hydrate crystals centrifuge method: This method makes use of carbon dioxide

gas to purify contaminated water. Carbon dioxide gas is mixed with contaminated

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water at high pressure and low temperature to yield gas hydrate crystals with clean

water. This is because the water molecules bind to the gas molecules at molecular

level. A centrifuge may be used to separate the crystals and the concentrated

contaminated water.

8. Filtration: Water filtration is one of the water purification process in which the

contaminants are physically removed using a filter. It has a benefit of giving

immediate access to drinking water without adding an unpleasant taste. The size of

the contaminants getting filtered depends on the pore size of the drinking water filters,

thus the filtrate can be the smaller bacteria (0.3 µm) or the large parasitic cysts (5- 30

µm).

The major disadvantage of filtration is that it can‘t filter viruses. Also, it is expensive

and even a micro-crack in the medium allows passage of unfiltered water. So, after

filtration, it is always recommended to disinfect by using chemicals or ultraviolet

light. Thus, water ionizers and reverse osmosis are a better option than the normal

filters.

9. Chemical Treatments: Chemical treatment is one of the most important drinking

water purification methods. In chemical treatment, purification is achieved by using

chemical halogens. The most commonly used chemicals for drinking water

purification are chlorine and iodine. The effectiveness of this method depends on the

temperature of water and its turbidity, the chemical concentration and the contact

time.

Chlorine in the form of bleach is used for disinfecting drinking water. The amount to

be added depends on the concentration, for example, for 5% concentration, add 2

drops per liter and vice versa. The major drawback is the strong flavor of chlorine.

Also, it has been found that chlorine is not effective against Giardia. Iodine is more

reliable than chlorine in disinfecting drinking water. Iodine is available in the form of

crystals, tablets and in solution form. Iodine kills almost all the disease-causing

microorganisms. The major drawback of using iodine is its taste. It is advised not to

use iodine for pregnant women and for those who are allergic to iodine.

It is to be noted that both chlorine and iodine are not effective against cyclospora, a

diarrhea-causing bacteria. Also, there are certain flavor kits available for retaining the

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water taste. The kits should be added only after the contact time; otherwise it will

precipitate the halogen.

10. Ultraviolet Purification: Ultraviolet water purification is one of the most effective

and fast water purification methods. The ultraviolet radiation inactivates the microbes

by destroying their DNA (Deoxyribonucleic Acid), thus preventing the microbes from

reproducing. Ultraviolet radiation is effective against all sorts of microorganisms and

also it restores the water composition and flavor. (Drinking water purification

methods)

11. Solar purification: Solar water purification techniques are also handy for

emergencies. People in less-developed countries also rely on them to remove bacteria

and viruses from their daily water supply. The simplest method requires clear glass

bottles, a roof with black coating and a minimum of 8 hours of sunlight. Filtered

water is poured into the bottles and left on the black roof for 8 hours. The solar water

purification method is similar to boiling water; however, it uses the sun for the

heating cycle instead of a fossil fuel. It is possible to construct a more advanced solar

water purification system that uses thermal energy to distill water. The collection

equipment makes this method more expensive for consumers than emergency

purification options.

12. Ion Exchange: The ion exchange process percolates water through bead-like

spherical resin materials (ion-exchange resins). Ions in the water are exchanged for

other ions fixed to the beads. The two most common ion-exchange methods are

softening and deionization.

Softening is used primarily as a pretreatment method to reduce water hardness prior to

reverse osmosis (RO) processing. The softeners contain beads that exchange two

sodium ions for every calcium or magnesium ion removed from the "softened" water.

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Deionization (DI) beads exchange either hydrogen ions for cations or hydroxyl ions

for anions. The hydrogen ion from the cation exchanger unites with the hydroxyl ion

of the anion exchanger to form pure water.

These resins may be packaged in separate bed exchangers with separate units for the

cation and anion exchange beds. The resin must be "regenerated" once it has

exchanged all its hydrogen and/or hydroxyl ions for charged contaminants in the

water. This regeneration reverses the purification process, replacing the contaminants

bound to the DI resins with hydrogen and hydroxyl ions.

Deionization can be an important component of a total water purification system

when used in combination with other methods discussed such as Reverse Osmosis,

filtration and carbon adsorption. DI systems effectively remove ions, but they do not

effectively remove most organics or microorganisms. Microorganisms can attach to

the resins, providing a culture media for rapid bacterial growth and subsequent

pyrogen generation.

Related policies

Policies in India and other parts of the world

To make a recommendation on policy development in India and more precisely Gujarat, this

section is concerned with the analysis of different already existing legal frameworks on the

provision of drinking water. The analysis of laws and policies on drinking water in India is

followed by an analysis of the legal situation of drinking water in China, Brazil and South

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Africa, as these countries face similar challenges and can be taken to benchmark the Indian

drinking water policies.

India

National Level

India has long lacked an inclusive framework to regulate drinking water in all relevant

dimensions. The water law framework before 2002 in India was characterized by the

coexistence of a number of different principles, policies, rules and acts that have been

adopted over past decades. These included common law principles and irrigation acts from

the colonial period as well as more recent policies and regulation of water quality and the

judicial recognition of a human right to water. The lack of umbrella legislation at the national

level was the reason that the various state and central legal interventions and other principles

were not coherent and in some cases may even be in conflictwith each other. (Cullet, 2001)

On the constitutional level, water is a state subject (Iyer, 2007) with the central government‘s

role limited to interstate water issues, e.g. regulation and development of inter-State rivers.

The Constitution does not explicitly address a citizen‘s right to water. Nevertheless, the

Supreme Court has recognized right to water as part of the right to life generally, and has

supported the public trust doctrine through Article 21 which assures life and personal liberty

to all citizens. (Narasimhan & Gaur, July 24, 2010 )

Although there are currentlymany water laws in India (Iyer, 2007), water issues are not

addressed proactively, but rather in response to emerging crises, resolving rights and settling

disputes. Consequently, no rational science-based framework is available to reconcile

ambitious goals of economic prosperity and competitive claims for an increasingly scarce

resource by different segments of society. Inevitably, societal adaptation to nature, and a

national water policy facilitating such an adaptation remain elusive in the absence of a

unifying framework.

At the central level the Union Ministry of Water Resources is responsible for development,

conservation and management of water as a national resource, i.e., for the general policy on

water resources development and for technical assistance to the states on irrigation,

multipurpose projects, ground water exploration and exploitation, command area

development, drainage, flood control, water logging, sea erosion problems, dam safety and

hydraulic structures for navigation and hydropower. It also oversees the regulation and

development of inter-State rivers. These functions are carried out through various Central

Organizations. Urban water supply and sewage disposal is handled by the Ministry of Urban

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Development while Rural Water Supply comes in the purview of Department of Drinking

Water under Ministry of Rural Development. (Narasimhan & Gaur, July 24, 2010 )

More recently, in April 2002, there have been many efforts to create an inclusive policy

framework on water. On the national level, the Ministry of Water Resources has issued a

national water policy. According to the policy, planning and operation of systems should

prioritize the water allocation as follows (Government of India, Ministry of Water Resources,

2002).

1. Drinking water

2. Irrigation

3. Hydro-power

4. Ecology

5. Agro-industries and non-agricultural industries

6. Navigation and other uses.

However, the priorities could be modified or added if warranted by the area / region specific

considerations. (Government of India, Ministry of Water Resources, 2002)

The ministry further stresses the importance of providing adequate safe drinking water

facilities to the entire population both in urban and in rural areas. Irrigation and multipurpose

projects should invariably include a drinking water component, wherever there is no

alternative source of drinking water. Drinking water needs of human beings and animals

should be the first charge on any available water. (Government of India, Ministry of Water

Resources, 2002)

State Level

Water being a State subject, the State Governments have primary responsibility for use and

control of this resource. The administrative control and responsibility for development of

water rests with the various State Departments.

Urban water supply is generally the responsibility of public health departments and

panchayats take care of rural water supply. Government tube wells are constructed and

managed by the irrigation/water resources department or by tube well corporations set up for

the purpose. Hydro-power is the responsibility of the State Electricity Boards. (Cullet, 2001)

The Gujarat Government has set in place the ―Gujarat Water Supply and Sewerage Board‖,

whose mission it is to ensure sustainable water supply and sanitation services in the rural

areas of Gujarat State. (Board, 2010) Nevertheless, so far, no policies for the provision of

drinking water in urban areashave been set in place, although for townshaving population less

than 20,000 souls as per 1991, a centrallysponsored sharing basis programmei,e Accelerated

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Urban Water SupplyProgramme (AUWSP) has been set in place. Under this programme,

water supplyschemes at an estimated cost of Rs.9316.69 lakh for the 70 townswithout

sufficient water supplywere approved by the Indian Government. Theexisting urban water

supply schemes are planned to be augmented and upgraded withrequired water components

like strengthening of source, pump house,Pumping machinery, pumping main, Storage,

distribution network and other ancillary works. Aftercompleting the scheme, scheme is

supposed to be handed over to local body for its operationand Maintenance (Gujarat Water

Supply and Sewarage Board, 2007).

This program is a large step towards the provision of sufficient water to the population of

Gujarat. Nevertheless, the Indian Water Policy, issued in April 2002, gives room for a more

inclusive framework on the state level. Following the issue of the Indian National Water

Policy in April 2002, many states have already issued respective state water policies or have

at least published a draft thereof. Some examples are Kerala, Punjab, Rajasthan, Assam and

many more. (International Environmental Law Research Center, 2010)

These can be taken as examples and the basis for the development of a Gujarati State Water

Policy. The one state that has managed to convert the Indian national water policy from 2002

into a state water policy, which includes all relevant aspects covered in the national water

policy and additionally includes practical adaptations for the peculiarities of the state, is

Rajasthan. One more reason to consider the state water policy of Rajasthan, when developing

the state water policy of Gujarat, is the geographical proximity and similarities of the two

states. The only major difference between the two states is Gujarat‘s access to the sea,

whereas Rajasthan is landlocked.

The paragraph relevant for this report is paragraph 5 on the conservation of water (State

Water Resource Planning Department Rajasthan, Jaipur, 2010):

5.1 General Water Conservation

5.1.1 Awareness and practical use of water saving technologies will be vigorously pursued.

Improvement of water-use efficiency in all sectors will be encouraged through a continuing

program of multi-media public awareness, school education, and technical assistance.

5.1.2 Appropriate mechanisms will be developed to beneficially utilize all forms of

wastewater, including primary and secondary treated sewage, domestic grey water, and

recycled industrial water.

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5.1.3 Roof top rain water harvesting will be promoted both in rural and urban area.

5.2 Urban Water Conservation.

5.2.1 A rolling program will be undertaken to prevent leakage and unauthorized withdrawal

in all reticulated water supplies. Authorities responsible for piped water supplies will take

measures to reduce unaccounted-for-water. To achieve this, action will be taken to ensure

that all water meters are in working order.

5.2.2 A program will be undertaken for remediation of water losses.

5.3 Municipal and Industrial Water Conservation

5.3.1 The re-use of treated sewage effluent will be promoted, with appropriate levels of

treatment applying to municipal usage, industrial usage, other horticultural usage, beneficial

surface discharge, and recharge to groundwater. Water intensive industries will be required

to recycle their water.

5.3.2 The Mining Department, in cooperation with the Pollution Control Board and SWRPD

will ensure that groundwater extracted in mining operations will be put to beneficial use,

with remediation of chemical pollution where appropriate.

5.3.3 A rolling programme of water auditing will be undertaken for all industries large and

small to compile a register of industrial water usage. This audit will include the quantified

water usage, the potential for water recycling and conservation, and actual and potential

pollution associated with each site.

5.4 Rural and Agricultural Water Conservation

5.4.1 A program of substantial improvement in irrigation efficiency will be formulated and

initiated.

5.4.2 A rolling program to reduce irrigation water losses will be implemented.

5.4.3 Pressure irrigation systems will be promoted as an alternative to flood irrigation

5.4.4 Re-use of irrigation drainage water will be encouraged.

5.4.5 All substantive water users will be required to install water meters on ground water

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extractions for irrigation.

5.4.6 Watershed management will be carried out in an organized manner for each basin.

5.4.7 Warabandi will be mandatory in all irrigation projects.

5.5 Groundwater

5.5.1 The extraction of ground water will be suitably regulated through appropriate legal

framework.

5.5.2 Special initiatives will be taken for ground water recharge and it will be obligatory

upon bulk water consumers to adopt ground water recharge measures to compensate the

water extracted by them.

5.5.3 All ground water data, from all drilling rigs in the State, will be collected and entered

on the water sector‘s database. Depletion in water level will be analyzed and reported

annually.

5.5.4 Promotion of IWRM in selected areas will give prominence to the issue of groundwater

decline, conservation, and sustainability.

5.5.5 For efficient use of ground water aquifer based management system will be developed.

China

India and China share a big variety of important features. They are by far the largest countries

in the world. Out of the world‘s population of 6 829 360 people, China accounts for 1 345,

751 million and India for 1 198, 003 million, followed by the US with only 314, 659 million

inhabitants (UN, 2008). Furthermore, they are both BRIC countries with growth rates of 7.4

(India) and 9.1 (China). China as well as India is predicted to face water scarcity in the near

future (M, Raja, 2006).

On April 21st in 2005, the National Development and Reform Commission, Ministry of

Science and Technology, the Ministry of Water Conservancy, the Ministry of Construction

and the Ministry of Agriculture released the announcement of the ―China Water Conservation

Technology Policy Outline‖ (National Development and Reform Commission (NDRC),

People's Republic of China, 2005).

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The sections most relevant for this paper are sections four and five. They focus on urban

domestic water conservation and guarantee measures to develop water conservation

technology. (National Development and Reform Commission (NDRC), People's Republic of

China, 2005)

According to the NDRC (2005), urban domestic water consumption accounts for about 55%

of urban water consumption. This includes water used by urban residents, commercial and

trade firms, institutions, colleges and universities, tourism, social services, gardening and

afforestation. This makes urban domestic water conservation increasingly necessary.

Conservation of Urban Domestic Water

The China water policies contain a set of different measurements to conserve urban domestic

water. First, they mention the popularization and application of water conservation utilities to

conserve water as a key technical guarantee for water conservation, such as water-conserving

taps, water-conserving toilets, and water conservation bathing facilities with hot-water and

cold-water mixing taps. Furthermore, research and production of new, highly intelligent

water appliances is requested.

Urban Recycling Water Use Techniques/Sewage Treatment

Second, urban recycling water use technique systems including urban sewage treatment

recycled water use techniques, construction water treatment recycled water use techniques

and living sewage treatment recycled water use techniques should be set up and perfected. It

is suggested that recycled water can be used for toilet flushing, cleaning, car-washing,

greening land, environmental and ecological uses.

Urban Rainwater, Seawater, Bitter and Salty Water Use Techniques

Third, urban rainwater, seawater, bitter and salty water use techniques should be applied.

Especially in urban grasslands and residential areas, urban grassland water-storage direct use

techniques should be popularized. Water can therefore directly been used for watering

grassland. Therefore, promotion of urban rainwater collection and pumping-back technology

is needed. In coastal cities, where water is scarce, seawater desalination can be applied to

provide for sufficient water. To utilize bitter and salty waters, active promotion of electro-

dialysis disposal processing technology and anti-permeation processing technology and the

application thereof is crucial.

408

Leak-Hunting and Anti-Seepage Technologies in the Urban Water Supply Pipeline

Fourth, leak-hunting and anti-seepage technologies in the urban water-supply pipeline

network need to be promoted. This will not only save urban water resources, but pill also

improve the service quality of the urban water-supply. The development of piping leak-

hunting determination and supporting information systems should be encouraged.

Public water-supply enterprises should mainly focus on recycling backwashing waters. This

should meet both urban water conservation and water environmental protection targets. In

public buildings, water conservation in air-conditioners should be regarded as a main focus of

water conservation. Circular chilling techniques with antiseptic, anti-fouling and anti-microbe

techniques should be implemented. Further, air-chilling and boiler condensation recycling

techniques should be promoted.

Water conservation techniques in municipal Environment

As the water usage in municipal environment accounts for an increasing part of urban water

demand, biotech water conservation and management techniques are needed. Examples are

the development of afforestation water conservation techniques, development of water

recycling techniques in scenic spots, the promotion of water recycling techniques in

swimming pools and the development of water-recycling techniques for car washing.

Finally, water conservation information technology to share water conservation information

sharing and to enhance scientific decision-making concerning water conservation should be

developed.

To ensure the above stated requirements, measures to develop water conservation

technologies need to be taken. Therefore, laws and regulations need to be improved and

incentive and constraining mechanisms need to be set up. Separate legislation, laws and

regulations in accordance with the Water Law of the People‘s Republic of China and the Law

on Clean Production of the People‘s Republic of China concerning the promotion of water

conservation technology development should be enacted. (National Development and Reform

Commission (NDRC), People's Republic of China, 2005)

Additionally, a well-functioning technology service system in order to push forward the

development and application of water conservation technology needs to be perfected. To

support this, incentive and constraining mechanisms for the development of water-

conservation technology need to be established.

409

Brazil

Water resources management is a key element of Brazil‘s strategy to promote sustainable

growth and a more inclusive society. The country‘s two major challenges in this field are the

unreliable access to water which has a strong adverse impact on the living and health

standards of the rural populations in the Northeast, as well as water pollution in and near

large urban centers, which compromises poor populations' health, creates an environmental

damage, and increases the cost of water treatment.

Throughout the last 40 years, initiatives and institutions for water management have been

established by the Federal Government and at the state level. The Constitutional reform of

1988 gave way to the National Water Law, and established a distinction between federally

controlled water, for rivers across state boundaries, and state-controlled water, for rivers and

groundwater that remained completely within state boundaries. Based on this new

responsibility, the states started to implement their own water resources management systems

and today 25 of Brazil‘s 26 states and the Federal District have adopted legislation to

modernize water resource management.

Government water resources management initiatives

PROAGUA and PRODES arte two water resources managment policy programs at national

level. PROAGUA (Programa Nacional de Desenvolvimiento dos Recursos Hidricos - Federal

Water Resources Management Project) aims at bettering the population‘s quality of life,

especially that of the poor, by combining integrated water resources management with

expansion and optimization of hydraulic infrastructure, promoting rational integrated and

sustainable use and participatory management of water resources in Brazil. PRODES

(Programa Despoluição de Bacias Hidrográficas or Basin Restoration Program) is an

innovative program by the Brazilian Federal Government to finance wastewater treatment

plants while providing financial incentives to properly operate and maintain the plants.

Water supply and sanitation policies

Access to piped water supply in Brazil stood at 77% and access to improved sanitation also at

77% in 2006, and coverage is significantly higher in urban areas where 84% of the Brazilian

population lives. Urban coverage is 96% for water and 83% for improved sanitation.

Coverage in rural areas, where 16% of Brazil‘s population lives, is much lower. It stands at

57% for improved water supply and only 37% for improved sanitation. Geographically

410

coverage is lowest in the country‘s poorest regions: particularly in predominantly rural North,

Northeast, and Center-West.

Reaching poor urban neighborhoods remains a challenge. This frequently requires non-

conventional approaches. While Brazil has pioneered the use of low cost appropriate

technology (such as condominial sewers) and strengthened the need for an active community

participation, it still faces the challenge of the many informal peri-urban settlements often

situated on steep slopes or in flood plains.

The latest development in term of policy occurred in January 2007. At the beginning of his

second term, the President Lula signed a new federal water and sanitation law that outlines

federal policies in the sector. The law aims at increasing investments to provide universal

access to water and sanitation, while taking into account local specificities and using

appropriate technologies that are in line with users' ability to pay. It also aims at increasing

transparency as well as "social control". This law being a compromise between diverging

interests, leaves some important issues undefined such as the responsibility for service

provision in large metropolitan areas. Indeed some municipalities have challenged the

constitutionality of service provision by state companies.

In terms of regulation and policies, the National Water Supply and Sanitation Policy,

approved by the Council of Cities as the national level has identified six steps to improve

service coverage and efficiency by encouraging a more competitive and better regulated

environment:

- the institutional separation of service providers and service regulators

- the promotion of different decentralized alternatives for service

provision;

- the promotion of social participation in service regulation and control;

- the use of low-cost technologies;

- development of financially sustainable pricing schemes which include

subsidies for low-income families where required to assure universal

access to basic services

- a greater cooperation between federal and local authorities and civil

society

South Africa

411

South Africa is one of the few countries in the world that stipulates the basic right to

sufficient water in its Constitution, stating that "Everyone has the right to have access to (...)

sufficient food and water". However, much remains to be done.

After the end of Apartheid, South Africa's newly elected government inherited huge services

backlogs with respect to access to water supply and sanitation : 15 million people were

without safe water supply and over 20 million without adequate sanitation services in 1990.

Since then, according to the WHO/UNICEF Joint Monitoring Program for Water Supply and

Sanitation, the share of the population with access to an improved source of water supply has

increased from 83% in 1990 to 91% in 2008.

The policy of free basic water

The national government, represented by the Department of Water Affairs (DWA), acts as a

policy setter through the The Department of Water Affairs (DWA) in the Ministry of Water

and Environmental Affairs. After Thabo Mbeki became President of South Africa in 1999

and a cholera outbreak occurred in 2000, the ANC promised free basic water during a

municipal election campaign in December 2000. In July 2001 a revised tariff structure was

suggested. It included 6 cubic meters of free water per month (40 litre/capita/day for a family

of five or 25 litre/capita/day for a family of eight). This policy of free basic services,

including water, electricity and solid waste collection, puts the municipalities in charge of

deciding if free basic water is made available only to the poor, and how the poor will be

defined and identified.

The cost of the policy has been estimated at 0.15% of GDP. The subsidy is financed either

through subsidies from the national government from the "equitable share" automatic

transfers, through cross-subsidies from other users or local taxes. Evidently, the policy is

more successful in wealthier municipalities than in low-income rural areas. This is one of the

reasons why the government is reviewing its implementation strategy for free basic water,

possibly through registers of poor users. It has been suggested to also adopt a policy of free

basic sanitation, which is likely to present even greater challenges.

Prepaid water meters

The last years also witnessed the introduction of pre-paid meters in Johannesburg and other

large cities as part of management contracts with private operators. However, these meters

which cut off water supply above the 6 cubic meter monthly limit if no payment is made,

sparked substantial protests in poor neighborhoods. The meters were therefore increased to a

http://en.wikipedia.org/wiki/Thabo_Mbeki

412

limit of 50 liters per person per day with the option of an ordinary credit-metered water

supply (instead of pre-paid) for more use.

Access to basic sanitation

Although the government found a starting solution to manage water resources, access to

sanitation lags significantly behind access to water. A White Paper on Basic Household

Sanitation was published by the government in 2001 calling for universal access to basic

sanitation by March 2010, with priority accorded to communities with the greatest needs. The

policy outlines the roles of the various stakeholders - households, municipalities, provincial

governments, various branches of national government - and establishes coordination and

monitoring mechanisms. It also calls for Infrastructure Grants to municipalities to finance

investments in sanitation. The paper notes that it is the government's policy to provide free

basic services to the poorest, but does not spell out how this policy will be implemented in

the case of basic sanitation.

New options suggested

Artificial Recharge of Aquifers

Intensive exploitation of an aquifer frequently leads to deteriorating conditions, especially in

highly progressive agricultural areas where the quantity of water withdrawn for irrigation

purposes is usually several times the recharge. This over-exploitation can lead to declining

water levels and severe falls in pumping levels. In other situations, the consequence is the

ingress of poor quality water.

Once deteriorating conditions have occurred there are few opportunities for remedial action.

However, unless remedial measures are introduced, failure of the groundwater source is

likely to occur. Artificial recharge is one possible means of alleviating the conditions.

Gujarat State in India has experienced a rapid agricultural development. In the Mehsana

alluvial aquifer, which has a long history of irrigation from shallow wells, the drilling of

numerous tube-wells during the past decade has resulted in falling water tables and even

more serious declines in pumping levels. Artificial recharge appeared to be a feasible method

of controlling the decline and pilot project studies have been carried out into the suitability of

injection wells spreading channels and percolation tanks. Different problems have been

encountered in the coastal limestone areas where saline encroachment into the aquifer has

occurred in the coastal belt. The possibility of reclaiming the coastal belt by means of

artificial recharge has been examined.

413

Agricultural practice has been revolutionized in the Mehsana alluvial aquifer following the

drilling of deep tube-wells to tap the lower permeable strata of the Mehsana alluvial aquifer.

The flow mechanism which was assumed to occur in this alluvial aquifer was that recharge

occurred in the "common recharge zone" on the higher ground with water moving laterally

through the more permeable zones to the heavily exploited agricultural regions such as

central Mehsana.

Rainwater Harvesting

Instead of constructing open ponds, underground water storage should be constructed which

would minimize the loss of water through evaporation. Rainwater harvesting can be done for

individual house as well as at large scale by providing proper guttering on roads or open

spaces.

Artificial Canals from Sabarmati, Tapi and Narmada rivers

These are the three major rivers passing through Gujarat which carries ample amount of

water which can be channelized into the dry parts of the state through the canals. Narmada

Main Canal is one such canal. More canals can be constructed on other rivers for the purpose

of irrigation and essential water requirement.

Micro-Irrigation

The term "micro-irrigation" describes a family of irrigation systems that apply water through

small devices. These devices deliver water onto the soil surface very near the plant or below

the soil surface directly into the plant root zone. Growers, producers and landscapers have

414

adapted micro-irrigation systems to suit their needs for precision water application. Micro-

irrigation systems are immensely popular not only in arid regions and urban settings but also

in subhumid and humid zones where water supplies are limited or water is expensive. In

irrigated agriculture, micro-irrigation is used extensively for row crops, mulched crops,

orchards, gardens, greenhouses and nurseries. In urban landscapes, micro-irrigation is widely

used with ornamental plantings.

The actual application of water in a micro- irrigation system is through an emitter. The

emitter is a metering device made from plastic that delivers a small but precise discharge. The

quantity of water delivered from these emitters is usually expressed in gallons per hour (gph).

These emitters dissipate water pressure through the use of long-paths, small orifices or

diaphragms. Some emitters are pressure compensating meaning they discharge water at a

constant rate over a range of pressures. Emission devices deliver water in three different

modes: drip, bubbler and micro-sprinkler. In drip mode, water is applied as droplets or

trickles. In bubbler mode, water `bubbles out' from the emitters. Water is sprinkled, sprayed,

or misted in the micro-sprinkler mode. Emitters for each of these modes are available in

several discharge increments. Some emitters are adapted to apply water to closely spaced

crops planted in rows. Other emitters are used to irrigate several plants at once. There are

emitters that apply water to a single plant.

Major benefit of micro-irrigation is the conservation of water because conveyance loss of

water is minimal. Evaporation, runoff and deep percolation are reduced as compared to other

traditional irrigation systems. A water supply source with limited flow rates such as small

water wells or city/rural water can be used.

Micro-irrigation systems are ideal for high value installations such as orchards, vineyards,

greenhouses, and nurseries where traditional irrigation methods may not be practical.

However, the investment cost can be high.

415

Implementation and policy recommendation

Following are the policies which are recommended by us. They should be implemented

along with the current national and state policies.

o Emphasis on water conserving taps and bathroom fittings, recyling of water

which can be used for car wash, toilet flushing, ecological uses.

o Water-storage should be encouraged especially in urban areas and this water

should be used for grassland watering, toilet flushing, etc.

o There should be stricter laws for the water board to check on any leaks in the

water pipelines or extra-vagant supply of water in some areas which will

reduce the wastage of water.

o Water conservation information technology to share water conservation

information sharing and to enhance scientific decision-making concerning

water conservation should be developed.

o Pre-paid meters installed in the homes can offer a great solution for the

wastage occurring in such places, which is crucial.

Conclusion

We have identified that to provide drinking water, first there is a need to make water

available to that region. There are various techniques which seems suitable for Gujarat which

are mentioned in this report. We have discussed some purification techniques which are not

costly and can be afforded by many people. We believe that water policies are very important

to make sure the availability/ conservation/ replenishment of water. We have recommended

some of these policies by looking into various water policies across the world.

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Sr. No. 45, 52, 54 to be added here (pdf file)


Julie Bernard

Charlotte Damilleville

Bénédicte Jeanson

Laura Mouliade

Shreeya Jayaraman

Tanushree Datta

Globalising and Resurgent India through Innovative Transformation (GRIT)


Prof. Anil K Gupta

421

SUMMARY

PART 1: OVERVIEW AND ANALYSIS OF INDIA’S CHALLENGES………………………………………………..

3

I. Water stress and quality of water

II. Role of technologies

III. Focus on treatment stage

IV. Water technologies and innovation

V. Some case studies of water treatment implementations in India

VI. Policy context and actors involved

PART 2: INNOVATIVE WATER TREATMENT TECHNOLOGIES ALL AROUND THE WORLD ……

I. Water-treatment technologies in developing countries

II. Water-treatment technologies in OCDE countries

PART 3: SOLUTIONS FOR INDIA, OPPORTUNITIES OF REPLICATION AND ADAPTATION ………

28

I. Desalination as a key technology for India

II. Nanotechnologies

III. Main challenges for the future

Bibliography .……………………………………………………………………………………………………………………..

422

PART 1: OVERVIEW AND ANALYSIS OF INDIA’S CHALLENGES

I. Water stress and quality of water

While India is relatively rich in water resources, untreated domestic sewage, industrial

effluents and runoffs from chemical intensive agricultural farms are the main contributors

to widespread pollution of surface and groundwater sources. Untreated domestic

wastewater is a major source of pollution and wastewater treatment facilities often do not

function properly or are closed due to improper design and poor operation and

maintenance.

Some statistics about water access are particularly alarming:

10 % of the overall population in India does not have access to regular safe drinking

water.

85 % of India’s urban population has access to safe drinking water, but it’s less than

50 % in rural areas. The percentage is higher if we include the population which

access to water is threatened.

The consequences of this lack of access are multiple: use of unsafe water source, unmet

daily needs of water, inadequate situations where water stocks are being transported over

great distances63. This leads to dramatic consequences in health and standard of leaving.

Moreover, severe water shortages lead to a growing number of conflicts between users

(agriculture, industry, domestic), between the states and between communities.

Unfortunately, experts are forecasting an increase of the water stress in India, due to

several parameters:

Demographic parameters like growth of the population and expansion of urban

centers

Increase of the consumption per capita because of an increase in the standard of

living in urban centers, wasting behaviors, and growth of industrial activities

Deterioration of resources available for drinking because of crumbling water

infrastructure and its poor maintenance, along with pollution by industrial,

agricultural activities and human behavior.

The unavoidable consequences will be a decline in the per capita availability of fresh

water64.

63

In rural areas, the burden of fetching water from distant sources falls on women and yet women, who are the providers and managers of water in the household

423

India is also facing some specific constraints due to its demography and geography:

A gap can be observed between rural and urban availability of safe drinking water. In

urban zone, where access is higher, an effort is needed to keep up the current

coverage levels whereas in rural zone, efforts are needed to meet basic sanitation

and access needs.

India is facing a highly seasonal pattern of rainfall. The country has to deal with 50%

of precipitation falling in just 15 days and over 90% of river flows occurring in just

four months.

National Water Resources at a Glance

S. NO ITEMS QUANTITY

(CU.KM)

1. Annual Precipitation (Including snowfall) 4000

2. Average Annual Availability 1869

3. Per Capita Water Availability (2001) in cubic

meter

1820

4. Estimated Utilizable Water Resources 1123

(i) Surface Water Resources 690

Cu.Km.

(ii) Ground Water Resources 433

Cu.Km.

Source : Ministry of Water resources, http://mowr.gov.in

Water Demand (in BCM) for various Sectors: Sector

Table 1. Water Demand (in

BCM) for various Sectors:

Sector

Standing Sub-Committee of MoWR NCIWRD

Year 2010 2025 2050 2010 2025 2050

Irrigation 688 910 1072 557 611 807

Drinking Water 56 73 102 43 62 111

Industry 12 23 63 37 67 81

Energy 5 15 130 19 33 70

Others 52 72 80 54 70 111

64

Population growth is expected to result in a decline in the per capita availability of fresh water: in 1947, this was measured at 5,150m

3. By the year 2000, it was around 2,200m3. It has been recently estimated that by

2017 India will be `water stressed’: per capita availability will decline to 1,600m3. Source: Drinking Water

Quality in India, www.whoindia.org .

http://mowr.gov.in/

http://www.whoindia.org/

424

Total 813 1093 1447 710 843 1180

Source: Ministry of Water resources, http://mowr.gov.in

II. Role of technologies

The issue of producing drinking water implies a chain of processes from sourcing to end-

users consumption. We can identify three main different stages:

Sourcing

The first stage consists in identifying sources of fresh water that could be used for human

consumption and then extracting it through technological processes. Water can be

extracted from surface or ground waters, river flows, frozen water or even from the sea. At

this stage, water is often not directly usable for drinking consumption.

Treatment

The treatment stage aims at making the extracted water drinkable. The processes used in

water treatment tend to remove or reduce contaminants that are prejudicial for human

health, as well as to remove odor and clarify the water. Technologies used are diverse and

constantly improving. Sometimes, treatment is done at an individual level, it means at the

household level, when the quality of supplied water is considered as insufficient.

Distribution

Once water is suitable for drinking consumption, the issue is to transport it from the central

point of treatment to end-users. Points of access can be individual (piped water supply at

home) or collective (protected well or public standpipe).

These three stages go along with two other unavoidable processes:

Maintenance

The sustainability of all water systems is directly dependent of the ability to maintain it.

Maintenance includes preventive maintenance, to keep the technology at its maximum of

productivity, and curative maintenance to be able to react in front of any deterioration. The

concepts linked to maintenance are numerous, as technology transfer or acceptance of a

technology by local population. Maintenance, at all stages, should be easy and low-cost.

Water quality assessment

Water quality is assessed regarding two parameters: safety for human health and ecological

impact. The stage of water treatment is the most concerned by water quality assessment

because it aims at improving the quality of water. Moreover, technologies developed to

treat water have consequences on the environment that need to be measured. We have to

http://mowr.gov.in/

425

notice that water quality assessment is highly dependent on the definition of standards.

These standards are set by local, national or international agencies, that’s why quality is a

relative concept that differs regarding the area.

III. Focus on treatment stage

We choose to focus on treatment stage that presents great technological challenges.

Indeed, technologies are constantly evolving according to the kind of sourcing, the natural

constraints, the available resources and the improvement of R&D. In this document, we are

studying only large-scale solutions (and not household solutions).

Basically, treatment technologies can be divided in three types: physical treatment,

chemical treatment and biological treatment. Each of these methods can be combined with

others because in many cases, the treatment process includes several stages.

Physical treatment

Physical treatment uses mechanic phenomenon to remove solid contaminants. It is often

considered as a first stage of treatment. The main physical processes are “filtration” which

consists in the passage of water through barriers to separate fluid and oversized particles,

and “sedimentation” which is the natural separation of fluid and particles in response to

force attracting them in opposite direction.

Chemical treatment

Chemical treatment consists in adding chemical substances into the water in order to

chemically destroy contaminants. These chemical disinfectants that kill bacteria and other

organisms are for example chlorine, chlorine dioxide, iodine or ozone. Chemical treatments

also include the use of electromagnetic radiation such as ultraviolet light.

Biological treatment

Biological treatment also consist in adding substances into the water in order to destroy

contaminants, but the killing agents are live organisms such as bacteria or parasites. The

main technologies are “slow sand filters”, that use aquatic organisms to kill contaminants,

and “activated sludge” that introduces into the water a large range of bacteria mixed with

air or oxygen.

None of these treatments appears as the best solution, because technological solutions

must comply with constraints which are highly context-related. Decision-makers have to

find the technological solution that maximizes the combination of these parameters.

The main parameters are:

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Capacity and scalability

A technology should be able to produce the largest amount of water possible the most

quickly possible without scarifying quality. Nevertheless, it has to be considered in relation

with the targeted area. Indeed, needs can vary according to demographic and geographic

characteristics: number and dispersion of people to supply, variation of water consumption

during the year. Moreover, a technology should be able to scale-up because water needs

are constantly evolving. That’s why we should consider water treatment technologies in a

dynamic approach.

Costs

Cost effectiveness is a crucial point. A technology have to be cost-efficient to be adopted at

a large scale, it’s one of the first criteria when a country choose a treatment methodology.

For example in France, it is really more cost-effective to pick water from a river than to treat

“grey water” (already used water). The cost of a technology includes initial investments, and

costs of maintenance. Those last ones are in many cases forgotten, leading to the

deterioration of installation and treatment plant. In India, this is not rare to see a new plant

being built 100 meters away from an old, instead of putting the money and effort to keep

this last one in good condition.

Quality

To measure the quality of water after treatment implies to control a panel of indicators such

as level of contaminants, Ph, aspect of water,…The goal is to determine if the water is really

clean after the use of a specific technology. This can appear as simple but there is not a

universal definition of « cleanliness » and standards among countries vary. Standards, which

set minimum and maximum concentrations of contaminants, are typically set by

governments or by international standards.

Acceptance

A technology has few chances to be adopted in a long-term view without the appropriation

of the project by the local population. Technology often goes faster than people will take it

up. To illustrate this, we can look at an ambitious water program in South Africa, AmaDrum

project that failed, not because the technologic innovation was inefficient but because not

all stakeholders had been included in the process and transfer of technologies was

incomplete. After one year, the project was closed. Having a technology is not sufficient to

solve drinking water problems. For a long term appropriation, two aspects are important

among the population: willingness to use the technology and ability to use the technology.

These two concepts imply tasks of communication, information and education. Moreover,

the projects should be highly adapted to the general framework, in order to be accepted by

all entities and not be threatened by political, social or economical agents.

Sustainability

427

Sustainability is a major criterion to take into account before starting to develop a project.

We are considering long term solutions, and the environmental factor must be taken into

account. For example, desalination is a process that could be use in many coastal regions,

using the salted sea water. However, even if the effort is made to use solar energy, this is

not a harmless technology: the salted solution that is rejected after filtration is highly

concentrated and warmer by 2 or 3 degrees; hence, this modifies the ecosystem of the sea

where it is rejected, destroying sea fauna and flora. This can seem a little side effect, which

can be regulated if well study, however, we are talking about several billion people that

need clean water, so if this process is done at a larger scale, ecological repercussions could

be dramatic! Looking for harmless solution will take time but installation will be here for

many years, and imperatives like carbon neutral plant may be required sooner than

expected, and at least, this will already be done. Many small initiatives already exist, and

their possible implementation at large scale can be developed in the future. A wiser use of

water may simplify also the issue. Instead of augmenting the treatment, we avoid wasting

clean water for any purpose. Some efficient water systems have already been implemented

in the world. For example, in “Green Houses”, water is in close circuit, washing and cleaning

use rain water, and drinking water is solely use for human consumption. Another example is

the use of “Grey water” that allows a double use of non drinking water: it means reusing

water that has only be soiled by detergent (not human waste=Dark water) to water gardens

or flush toilets.

IV. Water technologies and innovation

Innovation is constantly needed to develop water technologies that better comply with both

global constraints and local contexts. That’s why one of the first measures should be to

encourage Research & Development by public and private agencies. One exemplary

initiative is the Water Technology Initiative Program.

Focus on The Water Technology Initiative Program

The Ministry of Science and Technology of India launched the program in 2007 and has

repeated it each year till now. The program aims at fostering proposal of innovations in

terms of water technologies. The call for proposal is open to various actors: research

institutions, academics, State, public agencies, and it includes the opportunity of

collaboration with industries and NGOs.

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This program presents two interesting features.

First, the program has narrowed the field of research into eleven areas according to

identified gaps in water technologies. Among these areas, we find a great variety of topics,

for example scalability issues, development of specific software, test kits for contaminants

determination, etc… Nevertheless, the program remains open to all new innovative idea

even if it doesn’t fit exactly with the defined areas.

Secondly, the program has defined a set of common criteria that should be respected by all

proposals. These criteria are consistent with the ones we previously defined:

- Simplicity

- Cost-effectiveness

- Easiness to operate and maintain

- Non-power or low power dependent systems, technologies and processes

- Ability to cater to need for safe drinking water in various situations prevailing in the

country

This program is a very good way to improve technological innovation in water treatment. It

presents several advantages: it gives orientations on identified gaps and specific

requirement thanks to the guidelines; it fosters competitiveness between innovators and

collaboration between actors. However, it also raises challenges: what are the incentives for

potential innovators? How to create visibility and communication about this kind of call for

proposal? At what scale the program should be launched (local/national/international)?

A similar program specifically focused on water treatment appears as a solution to tackle

the issue of drinkable water availability.

V. Some case studies of water treatment implementations in India65

Now, let’s illustrate with three

examples the kind of water

treatment projects that have

been implemented in India.

Chembarambakkam

Water Treatment Plant

65

Main source: www.water-technology.net

“DST's Program on 'Water Technology Initiative' aims to promote R&D activities to provide safe drinking water at affordable cost and in adequate quantity using appropriate S&T interventions. The focus is to develop holistic solution to the problem of water contamination and water scarcity through development of indigenous systems/ devices to provide safe / and adequate drinking water to households.” Source : http://dst.gov.in/scientific-programme/t-d-wti.htm

http://www.water-technology.net/

429

This project is the second largest stage water treatment facility in India. It is located in an

urban area in Chennai and it uses raw water source from a local resource: the

Chembarambakkam Lake.

The technology used is filtration through high-rate filters and clarification through pulsator.

The water treatment plant is able to provide 530,000 m³ of water per day, in order to serve

a population of 4 million people.

The total cost of the new plant was €25.3m. €18.7m was funded by an Indian Government

development fund (the Tamil Nadu Urban Finance and Infrastructure Development

Corporation). The remaining €6.6m was funded by the French state.

The main advantages of this plant are the reduction of water losses, the very low power

consumption and chemical usage, and the easiness to maintain.

Nevertheless, there is a critical challenge concerning the quality of water. The lack of

regulation of industrial effluents into the lake may lead to an increasing number of

contaminants. If so, it would lead to a decrease in the quality of drinking water supplied to

the city.

Minjur Desalination Plant

This project will be the largest desalination plant in India. It is located in Kattupalli village, in

the Indian State of Tamil Nadu, at 35km of the state capital city, Chennai.

It has a capacity of providing 100,000m³ per day in order to serve a population of 500,000

people in Chennai. The water will be supplied to public during droughts, because during this

period groundwater are getting depleted at a particularly alarming rate.

The technology used will be reverse osmosis that allows to produce 100mld of desalinated

water from 273 million liters of sea water. Pre-treatment of the raw sea water includes

coagulation-flocculation, gravity and pressure filtration. Then it undergoes preliminary

430

treatments before being passed through reverse osmosis. Finally, flavor is added to the

fresh water before being supplied to the end-consumer.

The total cost of the project is €91m and is implemented with private contractor and

suppliers. The client is the Chennai Metropolitan Water Supply and Sewerage Board.

The main advantage of this project is the preservation of the threatened groundwater and

the availability of unlimited sea water. Nevertheless, this project appears as costly and

slightly inefficient in terms of capacity. Many liters of sea waters are necessary to produce

little drinkable water. Moreover, the ecological impact of this project is still largely

unknown.

Tirupur Water and Wastewater Treatment Project

This project, scheduled to be operational by 2011, has two particularities. First, it combines

a water treatment plant and a wastewater treatment plant. Secondly, it is the first public-

private partnership project in the history of India's water sector.

It is located 54km away from Tirupur, a town of Tamil Nadu. The capacity in terms of treated

water for human consumption is 185 million liters a day to serve a population of 300,000

people.

The technology used is quite conventional: a gravity filter with a lamella clarifier. The

estimated cost is €155m.

With this case, we can see that a project can be innovative without using the last high-

technologies available. The innovative aspect concerns the combination of two services:

water treatment and wastewater treatment. The project is adapted to the need of the

region in order to propose a complete solution for water issues. Moreover, this project

includes many stakeholders from both public and private sectors, in order to optimize

financing, integration in the local area, and maintenance.

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General Observations about this three cases

These three projects allow us to extract some interesting characteristics that should be

included in future projects in India:

The choice of technologies should be firstly guided by the specific resources of the

local area (groundwater, lake, sea, rainfall,…). Natural constraints should be the main

criteria to choose the location of the plant and the technology used.

In order to provide a complete solution for water issues and to make economies of

scale, projects that combine objectives should be favored (industrial treatment plus

domestic water treatment, or drinking water treatment plus wastewater treatment)

Collaborative schemes between actors should be promoted, in all stages of the

project: conception, financing, implementation and maintenance. Local, national and

even international actors may be involved, in both public and private sectors.

VI. Policy context and actors involved

There is a general concern of the Indian Government towards the drinking water issue.

Indeed, the National Water Policy has assigned the highest priority for drinking water supply

needs followed by irrigation, hydro-power, navigation and industrial and other uses66. The

department of Science and Technology of the National Water Policy is promoting research

efforts in various areas, including the following: water quality, water conservation, recycling

and re-use, safety and longevity of water-related structures, use of sea water resources,

prevention of salinity ingress, environmental impact and regional equity.

Public entities have a great role to play in the access of safe drinking water. Among them:

Ministry of Water Resources : role in management of quantitative and qualitative

data about groundwater

Ministry of Urban Development and Poverty Alleviation : role of monitoring drinking

water quality in urban centers

Ministry of Rural Development : role in monitoring the drinking water quality in rural

areas

Ministry of Environment and Forest: role in monitoring water quality of main rivers

and big water bodies, along with a concern about water pollution

Ministry of Health and Family Welfare : limited role for the moment but may

increase particularly about drinking water surveillance

66

Source : http://wrmin.nic.in/index2.asp?sublinkid=405&langid=1&slid=314

433

Nevertheless, private actors like multinational companies also have some interests in the

market. Indeed, with a market size of over $4 billion, the Indian water and wastewater

market is growing at a rate of more than 10% every year. Government related projects

contribute to over 50% of revenues in this market while private sector contributes to the

rest. This market is highly fragmented and unorganized. Imports constitute approximately

$110 million of the $690 million market for municipal and industrial water treatment

equipment67.

67

Source : Imacs Virtus Global Partner: Indian Water and Wastewater treatment market Opportunities for US Companies

434

PART 2: INNOVATIVE WATER TREATMENT TECHNOLOGIES ALL AROUND THE

WORLD

I. Water-treatment technologies in developing countries

At any given time, about half the population in the developing world is suffering from

waterborne diseases and about 400 children below age 5 die per hour in the developing

world from waterborne diarrheal diseases68. These numbers show that improving access to

clean water in developing countries is certainly one of today’s main challenges.

Technologies have been developed at various scales to ease access to drinking water, from

household devices to projects of international scope. Here, we will focus only on large-scale

infrastructure. We will review three projects that are noteworthy for their size and

innovative aspects: the Great Man-Made River Water Supply Project in Libya, Putatan Plant

in Philippines and Magtaa Desalination Plant in Algeria.

1. GMR (Great Man-made River) Water Supply Project, Libya69

The Great Man-Made River (GMR) is a network of pipes that supplies water to the

populated areas along the Libyan coast for drinking water and irrigation, from underground

aquifers deep in the Sahara. It is one of the largest water-transmission projects in the world,

consisting of more than 1,300 wells and supplying 6,500,000 m³ of freshwater per day to

Tripoli, Benghazi, Sirt and other cities in Libya.

Background

Libya is a desert country with very limited sources of fresh water. Following the 1969

Revolution, industrialisation put even more strain on water supplies.

Coastal aquifers became contaminated with seawater, to such an extent that the water in

Benghazi (Libya's second city) was undrinkable. Finding a supply of fresh, clean water

became a government priority.

In the 1950s, the search for new oilfields in the deserts of southern Libya led to the

discovery not only of significant oil reserves, but also vast quantities of fresh water that had

68

World Health Organization – Water and Sanitation Fact Sheet 69

Articles retrieved in October 2010 on http://www.water-technology.net/projects/gmr/, http://www.britannica.com/EBchecked/topic/243447/Great-Man-Made-River-Year-In-Review-1996 and http://news.bbc.co.uk/2/hi/science/nature/4814988.stm

http://www.water-technology.net/projects/gmr/

http://www.britannica.com/EBchecked/topic/243447/Great-Man-Made-River-Year-In-Review-1996

http://news.bbc.co.uk/2/hi/science/nature/4814988.stm

435

been trapped in the underlying strata thousands of years ago. Four major underground

basins of “fossil water” were discovered.

After weighing up the relative costs of desalination or transporting water from Europe,

Libyan economists decided that the cheapest option was to construct a network of pipelines

to transport water from these aquifers to the northern coastal belt, to provide for the

country's 5.6 million inhabitants and for irrigation. The GMR project - the world's largest

engineering venture – was launched as the showpiece of the Libyan revolution.

The initial feasibility studies were conducted in 1974 and work began ten years later. The

project, which still has an estimated 25 years to run, was designed in five phases. Each one

is largely separate in itself but will eventually combine to form an integrated system.

Phases I and II

The first and largest phase was formally inaugurated

in August 1991 when the first arm of the pipeline,

known as GMR1, was completed. Hundreds of water

wells were drilled at two fields, Tazirbu and Sarir,

where water was pumped up from an underground

reservoir at a depth of between 80 and 400 m. The

water, which did not need purification, was then

transported by gravity through a 1,900-km pipeline to

a holding reservoir at Ajdabiya and to the coastal

cities of Surt and Banghazi.

The pipeline itself was the largest in the world with a

diameter of 4 m. It was manufactured on-site in Libya

at a factory that had been built especially for the

purpose. Some 13,000 people were working in Libya

on the project at any one time. GMR1 was capable of transporting 2 million m3 of water per

day. In 1996 only a quarter of the capacity was used, but volumes were expected to increase

with the completion of an ongoing program to drill more water wells.

A second pipeline, GMR2 in western Libya, was completed in September 1996 and started

supplying Libya’s capital, Tripoli, with drinking water from three well fields in the Jabal

Nafusah mountain region. As the pipeline’s capacity was superior to Tripoli needs in drinking

water, it was decided that the additional capacity in GMR1 and 2 was to be used for

agriculture. For this purpose the GMR project includes large-scale investments in irrigation

436

infrastructure. In addition, large reservoirs have been built to act as storage facilities for

summer or drought conditions.

Phase III

Phase III falls into two main parts. Firstly, it will provide the planned expansion of the

existing Phase I system, adding new pumping stations, increasing capacity and extending the

existing pipeline. Secondly, it will supply water to Tobruk and the coast from a new well field

at Al Jaghboub. This will require the construction of a reservoir south of Tobruk and the

laying of a further 500km of pipeline.

The Grand Omar Mukhtar will be Libya's largest man-made reservoir

The last two phases of the project involve the extension of the distribution network

together with the construction of a pipeline linking the Ajdabiya reservoir to Tobruk and

finally the connection at Sirt of the eastern and western systems into a single network.

437

When completed, irrigation water from the GMR will enable about 155,000ha of land to be

cultivated - echoing the Libyan leader's original prediction that the project would make the

desert as green as the country's flag.

One key concern should however be underlined: no one is sure how long the resource in

fossil water will last.

Key players

The project is owned by the Great Man-made River Authority and funded by the Libyan

Government. Libya had oil money to pay for the project, but it did not have the technical or

engineering expertise for such a massive undertaking. Therefore, foreign companies from

South Korea, Turkey, Germany, Japan, the Philippines and the UK were invited to help.

2. Water Treatment Plant, Muntinlupa, Philippines70

Philippines-based private water utility company Maynilad Water

Services has constructed a water treatment facility called Putatan

Plant. The plant is located in the city of Muntinlupa, situated 22km

south of Metro Manila in the Philippines.

The official groundbreaking ceremony for the $27m plant was held

in February 2009.

The facility was initially able to produce 25 million liters per day of

potable water that benefited about 4,600 households. Capacity

was then increased, so that Maynilad now supplies clean water to

some 14,000 households in Muntinlupa. Before the year ends, the

Putatan Treatment Plant is expected to produce 100 million liters

per day and supply potable water to around 105,000 households.

70

Articles retrieved in October 2010 on http://www.water-technology.net/projects/muntinlupa-plant/,

http://newsinfo.inquirer.net/inquirerheadlines/nation/view/20100721-282273/Muntinlupa-residents-now-

using-lake-water, http://www.wissenschaftsparlament.eu/forums/how-to-address-the-topic-

water/678/water-treatment-plant-muntinlupa-philippines,

http://class95cafes.wordpress.com/2010/06/12/news-update-muntinlupa-opens-1st-water-treatment-plant/,

and http://www.waterworld.com/index/display/article-display/9437219174/articles/waterworld/world-

regions/far-east_se_asia/2010/08/Drinking-water-treatment-plant-in-Philippines.html

http://www.water-technology.net/projects/muntinlupa-plant/

http://newsinfo.inquirer.net/inquirerheadlines/nation/view/20100721-282273/Muntinlupa-residents-now-using-lake-water


http://www.wissenschaftsparlament.eu/forums/how-to-address-the-topic-water/678/water-treatment-plant-muntinlupa-philippines

http://www.wissenschaftsparlament.eu/forums/how-to-address-the-topic-water/678/water-treatment-plant-muntinlupa-philippines

http://class95cafes.wordpress.com/2010/06/12/news-update-muntinlupa-opens-1st-water-treatment-plant/

http://www.waterworld.com/index/display/article-display/9437219174/articles/waterworld/world-regions/far-east_se_asia/2010/08/Drinking-water-treatment-plant-in-Philippines.html


438

The new treatment plant uses water from Laguna Lake as

an alternative source to the Angat Dam (Philippines’ main

dam). It is the largest lake in the Philippines and the third-

largest freshwater lake in South East Asia.

Water purification

To ensure that water drawn from Laguna Lake is fit for drinking, an advanced process of

microfiltration and reverse osmosis has been adopted to purify the water. The plant has

been fabricated with 14 units of microfiltration and six units of reverse osmosis assemblies.

Residents and establishments in Muntinlupa City and neighbouring areas currently draw

water from deep wells. Providing surface water will prevent over-extraction of groundwater

from the deteriorating deep wells, which are affected by saltwater intrusion.

Key players

Maynilad is the water and wastewater services provider for the 17 cities and municipalities

that comprise the West Zone of the greater Metro Manila area. The company was granted a

25-year exclusive concession by the Philippine Government in 1997.

3. Magtaa Reverse Osmosis Desalination Plant, Algeria71

Magtaa desalination plant is one of the world’s largest

seawater desalination plant projects using reverse

osmosis technology. It is being built in Oran in northwest

Algeria. Work started in October 2008 and should be

completed in 2011.

71

Articles retrieved in October 2010 on http://www.water-technology.net/projects/magtaa-desalination/ and

http://www.abb.com/cawp/seitp202/17319b31ac164f7dc12575da002bc14c.aspx

http://www.water-technology.net/projects/magtaa-desalination/


439

Background

Algeria is 95 percent arid land and rainfall is almost zero. The country has very limited

sources of fresh water and faces some of the most severe water shortages in the world

The Magtaa seawater desalination plant will be the third such plant in Algeria. Located at

Oran, Algeria’s second largest city, the reverse osmosis seawater desalination plant is

intended to produce up to 500,000 cubic meters of drinking water a day, enough to meet

the daily requirements of about five million people.

Key players

The project results from collaboration between public organizations and several

international companies.

Magtaa plant is being constructed by Tahlyat Myah Magtaa SpA on a design-build-own-

operate-transfer basis for a period of 25 years. Tahlyat Myah Magtaa SpA is a joint venture

by Algerian Energy Company and Hyflux, a Singapore-based leading company in water

solutions.

Hyflux itself has contracted with Asian company Toray to provide the technology. Electrical

power will be supplied by Swiss-based company ABB.

Algerian banks finance the project at 70%, while the remaining 30% has been arranged by

Hyflux.

Technology

The water must be treated to remove boron and salts. Reverse osmosis membrane with an

extremely small pore size is used for this process.

Seawater is forced through a fine-pored membrane using a pump. A dense layer in the

reverse osmosis membranes' polymer matrix acts as a barrier and assists in separation.

Water molecules pass through the pores while salt and impurities are retained.

External pressure is required to reverse the flow of water because in regular osmosis, water

molecules naturally flow from higher concentrations to lower concentrations.

A 220 kV outdoor substation will ensure that the plant receives a reliable supply of

electricity. An optimized electrical package will reduce plant electrical losses from the

benchmark target of 5 percent to only 3 percent – an important improvement in energy

efficiency compared to accepted industry standards. The electrical facilities will also

significantly reduce the length of scheduled plant shutdowns for maintenance.

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II. Water treatment technologies in the OECD countries

The OECD countries are known for their wealth and their ability to build huge projects. They

are also known for their water sufficiency. Indeed, access to safe drinking water is

approaching 100 percent in most industrialized countries. Thus, the relevant economic and

policy questions in these countries have more to do with the setting of regulatory standards

than providing drinking water access. However, that there was controversy over a new

standard for arsenic in U.S. drinking water in the early days of the George W. Bush

administration suggests that “concerns about the safety of drinking water persist even in

some of the wealthiest countries”72. And certain rich countries still have to figure out

innovative technologies to ensure drinking water availability for all their population. Some

of them have caught our attention for different criteria. We chose to focus on three

projects:

1. Desalination in Israel, the Ashkelon desalination plant

“The desalination of seawater is a solution that increases the available freshwater resources,

provides a solution in the event of drought, and for coping with shortages and crisis

situations.”73

North Africa and the Middle East hold more than 6% of the global population, but less than

2% of the world's renewable fresh water. In common with other countries in this, the

planet's most water-scarce region, Israel has chronic problems over water resources. Setting

out to address them, in 2000, Israel launched a Desalination Master Plan. This strategy

called for the construction of a series of plants along the Mediterranean coast, to enable an

annual total of 400 million m³ of desalinated water to be produced by 2005, mainly for

urban consumption. According to the plan, production is intended to rise to 750 million m³

by 2020.

The new Ashkelon seawater reverse osmosis (SWRO) plant is part of this desalination plant,

and remains the largest desalination plant of its kind in the world. It commenced its initial

production in August 2005, less than 30 months after construction began. It will ultimately

provide an annual 100 million m³ of water, roughly 5% to 6% of Israel's total water needs or

around 15% of the country's domestic consumer demand. Built by VID, a special purpose

joint-venture company of IDE Technologies, Veolia Water and Dankner-Ellern Infrastructure,

the plant design includes membrane desalination units and facilities for seawater pumping,

brine removal, raw water pre-treatment and product water treatment. In addition, the

72

Oxford Journals, Social Sciences, Rev Environmental Economics and Policy, Volume4, Issue1, p. 44-62

73 “Seawater desalination”, The Magazine of Scientist Chronicles, No. 4 / July-August 2005 / Research &

Development

441

project also required the construction of workshop and laboratory buildings, access roads

and a dedicated gas turbine power station.

Reliability and continuity of operation have been heavily prioritized throughout the design

process.

The use of advanced SWRO technology (sea water reverse osmosis) and state-of-the-art

energy recovery systems to reduce operating costs has achieved one of the lowest water

prices - $0.527/m³ - ever offered for this kind of operation.

What about the process, the reverse osmosis membranes?

Seawater is an inexhaustible resource, but it contains 1,000 times the salt set by the WHO

for human consumption.

Distillation or thermal desalination is the most frequent seawater desalination techniques:

The seawater is heated to evaporation. Only the water molecules are driven off, leaving

behind a deposit of salt and other substances. The vapor is condensed to produce

freshwater.

Reverse osmosis or membrane desalination is the other one: the seawater is forced under

pressure through a membrane filter. The salts and microorganisms are retained by the

membrane. This process, however, requires preliminary treatment of the water. Today,

these two techniques share half the global market each. Between 1990 and 2001, the

market share of reverse osmosis rose from 40 to 53%. Osmosis is a principle found in

nature. If two aqueous solutions with different saline concentrations are separated by a

membrane, the water spontaneously passes through the membrane from the solution with

the lower salt concentration to the solution with the higher concentration. Reverse osmosis

is based on the reverse of this principle. It consists in applying a high pressure to the salty

water, which entails high energy consumption, to force it through a membrane. Under this

process, only the water molecules pass through the membrane, thereby producing

freshwater. The feed seawater is supplied by three pipelines installed on the sea bed.

The typical single-pass SWRO system consists of the following components:

Intake

Pretreatment (dual-layer filtration): to reduce the effects of clogging, seawater is

pre-treated to avoid the formation of a layer on the membrane surface, which

reduces the filtration flow rate and consequently the module’s performance.

High pressure pump (to push the sea water into the membranes)

Membrane assembly (The membrane assembly consists of a pressure vessel with a

membrane that allows feedwater to be pressed against it and to be cleared from

salt)

Remineralisation and pH adjustment, because, at this stage, the desalinated water is

very corrosive

http://en.wikipedia.org/wiki/Remineralisation

442

Disinfection

Alarm/control panel

The seawater is gradually desalinated through 32 reverse osmosis trains, each

with a capacity of 10,000 cubic meters per day (total of 30,000 membrane modules).

In addition to reducing total salinity, reverse osmosis removes bacteria, viruses and

boron.

443

To conclude, what are the Advantages of membrane processes? (for the production of

drinking water from seawater)

Above all, it reduces by a factor of 3 or 4 the energy consumed compared with thermal

desalination. Nonetheless, Veolia Environnement researchers are working on improving

certain points:

- Managing waste (concentrate) to improve the environmental results,

- Increasing yield: the volume of water extracted is 2 to 3 times that of the volume of

drinking water produced by desalination,

- Controlling clogging phenomena

- Reducing operation costs

2. Use of nanotechnologies in Europe, the CleanWater project

What is the CleanWater European project? CleanWater is a Collaborative Project co-funded

by the Research DG of the European Commission within the joint RD activities of the

Environment and NMP Thematic Priorities. The project aims to water detoxification using

innovative vi-nanocatalysts: Innovative nanostructured photocatalysts and corresponding

continuous flow photocatalytic-disinfection-membrane reactors for sustainable and cost

effective water treatment and detoxification. The ultimate goal is to design, optimize and

fabricate a lab-scale integrated photocatalytic-disinfection-membrane reactor effective in

the destruction of emerging environmental contaminants, which are present in supplies of

drinking water. To explain it in an easier way, we could say that the project tries to replace

444

the UV light by natural light in the photo catalyst process, which is a nanotechnology

capable of destroying polluting components of the water. The new technology exploits solar

energy, recent advances in nano-engineered photocatalysts and nanofiltration membranes

for the destruction of extremely hazardous compounds in water. Such a sustainable project

interested us a lot, because of all the potential it represent for the developing countries.

Here is the consortium:

o NCSRD National Center for Scientific Research Demokritos, Public Research

Institute

The first and largest research centre in Greece. Current research activities focus

on nanomaterials, functional molecular and supramolecular materials,

biomolecules and natural products, but also on equilibrium, transport, catalytic

and photoinduced processes as well as environmental technologies and

renewable energy issues.

o OSMOSISTEMI, Italy private institution

OSMO SISTEMI's activities consist mainly of water treatment plants design and

realization, through material purchasing, its assembly in house, and installation

on site, commissioning and start up.

o IRT Innovative Research and Technology Ltd, London private institution

InnovativeRT (IRT) is a technology investment, management, and transfer

company incorporated in London, UK. Its mission is to identify and invest in

disruptive ideas in energy, environmental technology and engineering, including

nanotechnology, and the life sciences and assist their development into

innovative, enabling, and strategically valuable products.

o FEAM-ULPGC University of Las Palmas of Gran Canaria, Spain Public Research

Institute

The CIDIA-FEAM (recognized by the ULPGC) develops from the past 10 years a

research line whose main objective is the development and optimization of

materials and photocatalytic processes for the use of the solar photocatalytic

technology for detoxification of air and water. Expertise in: Photocatalysis, TiO2,

surface spectroscopic analysis, toxicity, waste water treatments, synthesis of

catalysts by sol-gel.

o FEUP Faculdade de Engenharia da Universidade do Porto, Portugal Public

Research Institute

Expertise in: Catalysts, carbon materials, photocatalysis, water treatment.

445

o EMN-ARMINES Ecole des Mines de Nantes / ARMINES (GEPEA UMR CNRS 6144

Laboratory), France

Public Research Institute. The research activities of the environmental

engineering team focus on treatment and purification of water and air,

on processes modeling, transport mechanisms, value adding to wastes.

Expertise in: Environmental technology, water treatment, photodegradation,

micropollutant analysis.

o UC University of Cincinnati, USA, Public Research Institute

Laboratories are equipped with state-of-the-art equipment for analytical and

environmental studies. In addition, there are several bench-scale and pilot-scale

laboratory facilities to perform water and wastewater treatment studies.

Expertise in: UV- and Solar Light-based Advanced oxidation Technologies (AOTs),

TiO2 Photocatalysis, Integrated Photocatalytic Membrane Reactors and

Processes, Understanding and Controlling Membrane Biofouling, Green

Chemistry and Environmental Sustainability.

How does it work?

“Innovative nanostructured photocatalysts and corresponding continuous flow

photocatalytic-disinfection-membrane reactors for sustainable and cost effective

water treatment and detoxification can be developed by using doped TiO2

nanomaterials with visible light response. The new technology exploits solar energy,

recent advances in nano-engineered titania photocatalysts and nanofiltration

membranes for the destruction of extremely hazardous compounds in water. To this

aim, the UV-vis responding titania nanostructured photocatalysts can be stabilized

on nanotubular membranes of controlled pore size and retention efficiency as well as

on carbon nanotubes to achieve photocatalytically active nanofiltration membranes.

Specific target pollutants including cyanobacterial toxin MC-LR and endocrine

disrupting compounds (EDC) in water supplies as well as classical water pollutants

such us phenols, pesticides and azo-dyes can be efficiently decomposed. The scale up

of the photocatalytic technology and its application in tanks and tap water for public

use and consumption is ongoing.”74

Objectives & Work

Preparation of innovative nanostructured UV-Vis light-activated photocatalysts.

Development of composite carbon nanotubes / titania nanostructures.

Development of photocatalyticaly active nanofiltration membranes with tailored

pore size and retention efficiency for target water pollutants.

Evaluation of materials activity for the photodegradation of water target pollutants.

74

www.photocleanwater.eu/

446

Development of a laboratory-scale continuous flow photocatalytic-disinfection-

membrane reactors

Up-scaling of Materials and Processes (Large scale evaluation, Process engineering)

Evaluation of the efficiency of the novel photocatalytic methods at the reduction-

elimination of toxicity

75

3. A totally self sufficient and sustainable system for providing drinking water and

electricity, the Hierro Island

The Spanish Island of Hierro may well become energy self sufficient over the next few years:

a specific renewable energy project could generate in a few years, 80 % of the Island’s

electricity requirements. Construction of the components of a combined wind energy and

hydro project started in 2009. A wind energy project comprising 5 turbines is proposed to be

installed providing electricity for the islanders when it is windy with the excess being used to

pump water from a lower reservoir to a higher reservoir of a hydro-electric scheme. When it

is not windy, they can use the height of the waterfall to generate electricity. All this

electricity can then be used to feed a desalination plant which provides drinking water for

the island’s inhabitants.

The bet on a strategy aiming at the attainment of a 100% self sufficient island already

appears within the Sustainable Development Plan of the island, supported by UNESCO,

which defends an advanced concept of Biosphere Reserve as an insular development model

and laboratory. The Reserve is characterized by a high degree of participation of the local

population in the strategic decisions affecting development, where energy options are

linked to the productive model, to the integral exploitation of endogenous resources, and to

population's quality of life. In the continuity of this approach for sustainable development,

75

CLEAN WATER: water detoxification using innovative photocatalysts, project synopsis.

447

Hydroelectric power

Desalinization plant

Wind turbine

the main objective of the El Hierro project is to meet the energy demand of the island using

a 100% self sufficient strategy.

This self-sufficient system is really innovative and

could be implemented on the Indian coasts. We can

easily imagine that the project is really expensive at

the beginning but then achieving a huge economy

of scale as all the energies are renewable and

sustainable, and above all because the system is

self sufficient.

When the energy produced by the wind farm exceeds the demand, the surplus is used to pump desalinated water in a reservoir situated 700 m above sea level.

As the water-energy binomial is an essential aspect of the sustainable development strategy of the island, the system also includes a water desalination plant, not only to fill the reservoirs and compensate for the evaporation losses but also to produce water for irrigation and domestic use.

This drawing explains well the links between wind, hydroelectric power and then, drinking water.

Which subsidized the project? - 60% by the municipality - 30% by ENDESA, the Spanish company - 10% by the Technological Institute of Canarias Island

448

PART 3: SOLUTIONS FOR INDIA, OPPORTUNITIES OF REPLICATION AND

ADAPTATION

I. Desalination as a key technology for India

Desalination is certainly one of the most promising technologies today. It provides an

alternative solution to the shortage of water, uses fewer chemical reagents than most of the

other water treatment technologies, produces limited sludge and provides drinking water of

constant quality.

Various technologies are used for desalination. Today, 85% of the world’s desalinated water

is produced through distillation76, a process that heats seawater to evaporation, thus

creating steam that further cools, condenses and provides desalinated water.

However, the majority of plants that are now being built use reverse osmosis, a process that

desalinates seawater by forcing it through a filtration membrane.

Osmosis is a principle found in nature. If two aqueous solutions with different saline

concentrations are separated by a membrane, the water spontaneously passes through the

membrane from the solution with the lower salt concentration to the solution with the

higher concentration77.

Reverse osmosis is based on the reverse of this principle. It consists in applying a high

pressure to the salty water, which entails high energy consumption, to force it through a

membrane. Under this process, only the water molecules pass through the membrane,

thereby producing freshwater.

Reverse osmosis is an interesting alternative to distillation because it uses less energy and

provides a better yield, thus reducing the costs and ultimately water prices. However,

desalination is still a very costly technology, hence the significant research that is currently

led to make the process more cost-efficient.

76

www.water-technology.net 77

The magazine of scientific chronicles – Seawater desalination, July-August 2005


449

Desalination in the future

Regarding reverse osmosis, research focuses 1° on pre-treatment of seawater to limit

membrane clogging (clogging results from the deposit of material on the membrane, which

reduces the filtration flow rate and the plant’s performance); and 2° on reducing the energy

expenditure to cut the cost of desalination and improve the environmental outcomes.

Pre-treatment of seawater has been implemented in Ashkelon desalination plant in Israel

(see before) and has led to a decrease in maintenance costs (since membrane clogging has

decreased) and consequently to one of the lowest water prices in the world.

Other desalination processes are currently being developed, including nuclear desalination,

Low Temperature Thermal Desalination and forward osmosis.

Nuclear desalination refers to an integrated facility in which energy is produced by nuclear

turbines and water is used for the reactor’s own cooling systems. The facility may be

dedicated solely to the production of potable water, or may be used for the generation of

electricity and the production of potable water, in which case only a portion of the total

energy output of the reactor is used for water production78, 79.

India’s National Institute of Ocean Technology (NIOT) has developed Low Temperature

Thermal Desalination80. The process takes advantage of the fact that water boils at low

temperature when pressure is also low. The system uses vacuum pumps to create a low-

pressure environment in which water boils at the temperature of 8 to 10 Celsius degrees.

Forward osmosis is a process that, like reverse osmosis, uses a semi-permeable membrane

to filtrate seawater81. The process is based on natural osmosis: water molecules migrate by

natural osmosis, without energy input, into an even more concentrated solution, whose

special salt is then evaporated away by low-grade heat. You can see the following

illustration for a better understanding of those new desalination technologies

78

“Introduction of nuclear desalination, a guidebook”, International Atomic Energy Agency, 2000 79

“Boosting investments in clean water technologies”, Steve Hodgdon, 2010 80

National Institute of Ocean Technology, www.niot.res.in 81

Water Power R&D, www.rdwaterpower.com

http://www.niot.res.in/

http://www.rdwaterpower.com/

450

Environmental consequences of desalination

Despite the above-mentioned advantages of desalination, this technology faces significant

criticism, for various reasons. Desalination’s high energy consumption is not only

responsible for its high cost; it also leads to important air pollution and greenhouse gas

emissions. Desalination is also very harmful for marine life. The rejected water is a heavily

concentrated brine solution. Its unnatural concentration may cause damage to marine

population. The rejected water is also of a slightly higher temperature than seawater, which

may harm marine population. Chemicals used for pre-treatment and for membrane cleaning

can also harm the marine habitats, if they are not treated before release in the ocean82.

82

“Environmental impacts of water desalination along the coastal region of Israel and the Palestinian Authority”, Mutaz A. Qutob

451

Replication in India

Desalination appears as a very promising technology for India. It enables to build on India’s

geography, since the country is surrounded by oceans. It provides an alternative to other

polluted sources of water and it produces drinking water at a relatively low price.

Two important challenges still remain. The first one, which is not specific to India, is the

negative impact of desalination on the environment, as previously explained. The second

challenge concerns the supply of desalinated water to non-coastal areas. Transportation

from desalination plants located on the coast to cities in the inland regions is costly and

complicated. Libya provides an interesting example of long-distance water transportation.

As described earlier in this report, the country is currently building a whole network of

pipelines, some of which cover more than 1900 km. However, this may not be replicable in

India, since the cost of this network is extremely high and contrary to Libya, India cannot

count on petrol resources to finance such infrastructure. Moreover, India’s mountainous

geography and high population density make such project hardly feasible.

For non-coastal areas, alternative technologies have to be studied. In this regard, innovative

processes using newly developed nanotechnologies seem promising.

II. Nanotechnologies: Photocatalysis

If desalination is certainly one of the most promising technologies today, we definitely

should take into account the nanotechnologies and the future they open regarding water

treatment. Why?

The technique which is being implemented and explored by the CleanWater consortium in

Europe could be implemented in India for many reasons:

- The consortium proved us that all powers, both public and private, are necessary to carry

out such innovation. And in India, it cannot be denied that leading an innovative project for

providing drinking water must be carried out by strong, global and strategic partnerships

beyond inter-local difficulties or disagreements, like CleanWater do.

- Nano-particles are the future: they let us imagining a system for water treatment through

natural light: the photo-catalysis, which would destroy the polluting components through a

natural chemical reaction: the photo-degradation. If the project is finally concretized, it

would lower considerably the costs of treating water for end consumers. What is the price

of natural light? Zero. Of course, it would be expansive at the beginning and would require

the involvement of several key players. But it would rapidly reach huge economies of scale.

- Furthermore, it is scientifically proved that nano particles and photo catalysis are currently

used for other actions (self cleaning of glasses,...): why not extending these exploitations to

452

others sectors in India? We are strongly convinced that it would benefit a lot the world and

the scientific sector if Europe were collaborating with nations such India for improving these

new technology-stakes...

III. Main challenges for the future

1. Maintenance

New technologies, and especially Green Technologies, often imply a high installation cost.

This aspect is one of the major brakes to their quick development. However, even if you

decide to go for it, the cruciality of maintenance should not be forgotten, otherwise, your

initial investment is all the more useless!

Desalination plant tends to run under a lot of corrosion and erosion due to the

concentration in salt. However, investing in its maintenance is the only way to ensure a

maximal lifetime length.

In India, this issue already exists. It happens often that the decision is made to build a new

plant from scratch 100 meters away from an old plant that has been left to erosion due to a

lack of maintenance. At the last stage, the cost to repair and put back in function a damaged

plant might outweigh the cost to build a new one. However, if maintenance is done at

regular basis, this will avoid facing this situation and allow you to take full advantage of your

investment. The attraction for spectacular and new project is another incitation to start new

construction instead of repairing the existing ones.

This aspect is also encouraged by the problem of corruption83 : each new project brings with

it its amount of corruption money, hence politician and city boards have all to win in the

building of a new plant. The more ambitious the projects are, the more money there is to

make for local politicians and bureaucracy. Hence, priority is sometimes given to project

that do not best serve population interests, but that would bring more illicit money.

The role of material selection takes also a major

part in the lifetime of your plant. Expensiveness of

raw material should be put into perspective with

the savings on long range longevity they will bring.

Stainless steel might be more expensive than plain

Carbon and low alloy steel; however its resistance

to corrosion is better, especially at high water

velocity (the case in Reverse Osmosis Plant because

of the high pressure). However, recent

83

Transparency International – 2008, Global Corruption Report

453

breakthroughs in composite material make us think this might be the future for desalination

plant: Reinforced Plastic see ms a good alternative to metal. Fiber glass-reinforced plastics

are light weight, easy to produce, strong and have excellent corrosion/erosion resistance.

Global Pollution

Chemical pollution, mercury levels 200 times the limit… this

is the current state of streams in some regions in India

Hundreds of industrial plants using chemicals and fertilizers

dump their waste along the roadside. Gujarat factories for

example, which produce pesticides, agrochemicals,

organochlorines dyes and dye intermediates, have been

dumping untreated effluents in the river84.

Disposal of untreated mercury-contaminated effluent from

caustic manufacturers has contaminated large tracks of land

in Nandesari in Gujarat85. Greenpeace has already ringed the

alarm several times. Gujarat is an industrial region known for

its textile and chemical industry: the most highly polluting ones. In some village you see the

color of water coming out of wells varying from yellow to red: water tables are

contaminated.

Gujarat factories, which produce pesticides, agrochemicals, organochlorines dyes and dye

intermediates, have been dumping untreated effluents in the river. In other regions, the

intensive use of GMO cultures and hence the strong pesticides that comes with them are

polluting stream and underground water at a rapid rate. Well is the source of drinking water

in many rural areas, and population are not always aware of this pollution and keep on

drinking untreated polluted water.

In addition to chemical pollution, some other scandal touched India’s ground water:

uranium pollution86, organic pollutant such as tri-chloroethane, benzene and several

organochlorine compounds87.

What’s the future for it? Basically, until now, even if industrial group can be criticized for

their lack of ethical responsibility regarding their waste, the blame will go majorly to

regulatory agencies. State Pollution Control Board (SPCBs) and state industrial development

84

http://www.rainwaterharvesting.org/crisis/Industrial-pollution.htm 85

Sectoral Environment Report – 1997, Union ministry of environment and forests to the World Bank 86

India’s generation of children crippled by uranium waste, The Guardian, 2009: Observer investigation uncovers link between dramatic rise in birth defects in Punjab and pollution from coal-fired power stations, which lead to the contamination of ground water with uranium at highly cancerogenous level. 87

Greenpeace study, 2009: Benzene is a known carcinogen and dichlorobenzene is a persistent organic pollutant, which remains in the environment for a very long period of time.

454

corporations were created in the 70’s to control the industrialization in India in order to

avoid a deregulated growth and control their environmental impact. Instead, it turned out

that these agencies played a role of promote of industry with the only aim to ensure a rapid

growth and attract new company, letting companies dump their waste untreated in stream,

without any consequences to it.

India’s government and regional entities have now a responsibility to ensure things will

change. Industrialization has to take into account safety of population and next generations.

In a country under hydric state, chemical and radiation pollution of ground water is major

issue: it’s a highly important source of fresh water that needs to be preserved.

In addition to industrial pollution, in developing countries, more than 80 of sewage are

discharged untreated in rivers, lake and the sea. Sewage evacuation system has to be a

governmental priority. Realizing waste and fecal matter without treatment is responsible for

spreading deadly diseases: 3.575 million people die each year from water-related diseases.88

Hence, our thought for a better future:

- A true regulation regarding the treatment of industrial waste and moreover, the

application of the law by true financial and civil punishment for companies that

do not respect it. Water treatment has a cost that industries that produce it

should bear.

- Encouraging water treatment project by allowing subventions

- Encourage chemical-free industries: eg. Aura Herbal – herbal dying making textile

using 0 chemical

- Waste treatment, closed sewage… to avoid the pollution of streams and sea:

Water is a cycle; hence every step must be protected to ensure the availability of

drinking water in the future.

- Improve sanitation infrastructure: majority of illness are caused by fecal matter.

Constructing sanitary toilets only cost around $30 whereas improved in

sanitation can cut out 1/10th of world’s diseases89. As a fact, in India, more

people have self phones than access to a toilet.

3. Water and International Cooperation

Drinking water availability is part of the UN millennium development goals: by 2015, reduce

by half the proportion of people without sustainable access to safe drinking water90

88

Source: UN millennium development goals 89

http://water.org/learn-about-the-water-crisis/facts/ 90

http://www.unesco.org/water/wwap/facts_figures/mdgs.shtml

455

One billion people lack access to safe drinking water, 2.4 billion to adequate sanitation. To

achieve this target, an additional 1.5 billion people will require access to some form of

improved water supply by 2015, that is an additional 100 million people each year (or

274,000/day) until 2015. The main indicator for progress towards this goal is the proportion

of population (urban and rural) with sustainable access to an improved water source.

We’ve seen new promising technologies, such as Nano Technologies. However, their cost is

going to be so high that developing countries may choose in priority less expensive

technologies, but more harmful one for the environment. However, an important fact is that

in the UN millennium development goals, another aspect is mentioned, the environmental

sustainability: By 2015, integrate the principles of sustainable development into country

policies and programmes; reverse loss of environmental resources.

“Environmental resources are at ever greater risk: some 50% of all the world's wetlands have

been lost since 1900, for example. Environmentally sound policies are needed to ensure the

sustainability of our ecosystems.” 91

Hence, developed world is due to make an effort concerning the sharing of technologies, in

order to help the developing world achieve those goals. Patents are a major brake in the

implementation of new technologies, hence we thought we could adapt a previous measure

to the water issue: As the World Trade Organization and UN already worked together to

create derogation concerning generic medicine for HIV, we could imagine the same kind of

idea for water treatment technologies.

Support of international organizations will be needed if we want to achieve the goal to

provide drinking water to the world while keeping in mind the importance of sustainability

for the years to come.

For non-coastal areas, alternative technologies have to be studied. In this regard, innovative

processes using newly developed nanotechnologies seem promising.

91

http://www.unesco.org/water/wwap/facts_figures/mdgs.shtml

456

BIBLIOGRAPHY

Documents

Safe Water System, US Centers for Disease Control and Prevention Fact Sheet, June 2006.

The clean water and drinking water infrastructure Gap Analysis, United States Environmental Protection Agency, September 2002

National Water policy, Government of India, Ministry of Water Resources, 2002

Indian Water and Wastewater treatment market Opportunities for US Companies, Imacs Virtus Global Partner, November 2009

Methods of Water Treatment, http://hubpages.com/hub/Methods-of-Water-Treatment

Drinking Water Quality in India, www.whoindia.org

For a Berg Thesis : PPP in India, Nagpur example , Sciences Po Alumni

India Waste Water treatment , Canada Pacific Gateway

Indian Competition, Veolia Internal Documents

Integrated water projects: bridging the gap between policy and technology, David A. Burack and O. K. Buros

Introduction of nuclear desalination, a guidebook, International Atomic Energy Agency, 2000

Boosting investments in clean water technologies, Steve Hodgdon, 2010

Environmental impacts of water desalination along the coastal region of Israel and the Palestinian Authority, Mutaz A. Qutob

The magazine of scientific chronicles – Seawater desalination, July-August 2005

Water and Sanitation Fact Sheet, World Health Organization

Libya’s thirst for “fossil water”, http://news.bbc.co.uk/2/hi/science/nature/4814988.stm

Muntinlupa residents now using lake water, http://newsinfo.inquirer.net/inquirerheadlines/nation/view/20100721-282273/Muntinlupa-residents-now-using-lake-water

Muntinlupa opens first water treatment plant, http://class95cafes.wordpress.com/2010/06/12/news-update-muntinlupa-opens-1st-water-treatment-plant

Drinking water treatment plant in Philippines, http://www.waterworld.com/index/display/article-display/9437219174/articles/waterworld/world-regions/far-east_se_asia/2010/08/Drinking-water-treatment-plant-in-Philippines.html

ABB technology will help bring drinking water to millions in Algeria, http://www.abb.com/cawp/seitp202/17319b31ac164f7dc12575da002bc14c.aspx

India’s generation of children crippled by uranium waste, The Guardian, 2009

Paper on Industrial Pollution, www.rainwaterharvesting.org : Sectoral Environment Report , Union ministry of environment and forests to the

World Bank , 1997

Water pollution in India, Greenpeace study 2009

http://hubpages.com/hub/Methods-of-Water-Treatment

http://hubpages.com/hub/Methods-of-Water-Treatment

http://www.whoindia.org/

http://news.bbc.co.uk/2/hi/science/nature/4814988.stm



http://class95cafes.wordpress.com/2010/06/12/news-update-muntinlupa-opens-1st-water-treatment-plant

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http://www.rainwaterharvesting.org/

457

“Seawater desalination”, The Magazine of Scientist Chronicles, No. 4 / July-August 2005 / Research & Development

Sources of data

Department of Drinking Water and Sanitation, Ministry of rural development, Government of India, http://ddws.nic.in/

Technology information, forecasting and assessment council, Department of Science and Technology, Government of India, http://www.tifac.org.in

Ministry of Water resources, http://mowr.gov.in

Water Technology Initiative (WTI) Programme. dst.gov.in/scientific-programme/t-d-wti.htm

www.water-technology.net

National Institute of Ocean Technology, www.niot.res.in

Water Power R&D, www.rdwaterpower.com

Encyclopedia Britannica, www.britannica.com

www.photocleanwater.eu

CLEAN WATER: water detoxification using innovative photocatalysts, project synopsis

http://www.veoliawater.com/

Oxford Journals, Social Sciences, Rev Environmental Economics and Policy, Volume4, Issue1, p. 44-62

http://www.insula-elhierro.com

Unesco Website

UN Website : Millenium development Goals

Transparency International – 2008, Global Corruption Report

http://ddws.nic.in/

http://www.tifac.org.in/

http://mowr.gov.in/


http://www.photocleanwater.eu/

http://www.veoliawater.com/

http://www.insula-elhierro.com/

458

Sr. NO. 67, 87

Abhishek Srivastava, Nikhil Mudaliar

Improving OBC reservation process for Higher Education Institutes

Introduction

What is reservation? Indian law provides for a quota system whereby a percentage of seats are reserved in all public and

private educational institutions, except in the religious/ linguistic minority educational institutions, in

order to mitigate backwardness of the socially and educationally backward communities and the

Scheduled Castes and Tribes who do not have adequate representation in these services and

institutions. The reservation policy is also extended to the Scheduled Castes and Scheduled Tribes

for representation in the Parliament of India. The central government of India reserves 27% seats

Other Backward Classes (OBC)for higher education, and individual states may legislate further

reservations. Reservation cannot be exceeded 50%, as per the rulings given by the supreme court,

but certain Indian states like Rajasthan have proposed a 68 % reservation which includes a 14%

reservation for forward castes.

Reservations are intended to increase the social diversity in campuses and workplaces by lowering

the entry criteria for certain identifiable groups that are grossly under-represented in proportion to

their numbers in the general population. Caste is the most used criteria to identify under-

represented groups. However there are other identifiable criteria for under-representation—gender

(women are under represented), state of domicile (North Eastern States, as Bihar and Uttar Pradesh

are under-represented), rural people, etc. -- as revealed by the Government of India sponsored

National Family Health and National Sample surveys.

The underlying theory is that the under-representation of the identifiable groups is a legacy of

the Indian caste system. After India gained independence, the Constitution of India listed some

erstwhile groups as Scheduled Castes (SC) and Scheduled Tribes (ST). The framers of the Constitution

believed that, due to the caste system, SCs and the STs were historically oppressed and denied

respect and equal opportunity in Indian society and were thus under-represented in nation-building

activities. The Constitution laid down 15% and 7.5% of vacancies to government aided educational

institutes and for jobs in the government/public sector, as reserved quota for the SC and ST

candidates respectively for a period of five years, after which the situation was to be reviewed. This

period was routinely extended by the succeeding governments.92

The Supreme Court of India on 10 April 2008, upheld the Government's move for initiating 27% OBC

quotas in Government funded institutions. The Court has categorically reiterated its prior stand that

92

http://en.wikipedia.org/wiki/Reservation_in_India

http://en.wikipedia.org/wiki/Indian_law

http://en.wikipedia.org/wiki/Backward_class

http://en.wikipedia.org/wiki/Scheduled_Castes_and_Tribes



http://en.wikipedia.org/wiki/Parliament_of_India

http://en.wikipedia.org/wiki/Rajasthan

http://en.wikipedia.org/wiki/Indian_caste_system

http://en.wikipedia.org/wiki/Constitution_of_India

http://en.wikipedia.org/wiki/Scheduled_Castes

http://en.wikipedia.org/wiki/Scheduled_Tribes

http://en.wikipedia.org/wiki/Reservation_in_India

459

"Creamy Layer" should be excluded from the ambit of reservation policy. Several criteria to identify

creamy layer has been recommended, which are as follows:

Those with family income above Rs 250,000 a year should be in creamy layer, and excluded from the

reservation quota. Also, children of doctors, engineers, chartered accountants, actors, consultants,

media professionals, writers, bureaucrats, defense officers of colonel and equivalent rank or higher,

high court and Supreme Court judges, all central and state government Class A and B officials. The

court has requested Parliament to exclude MPs’ and MLAs’ children, too.

What is OBC? The Central Government of India classifies some of its citizens based on their social and economic

condition as Scheduled Caste, Scheduled Tribe and Other Backward Class (OBC). The OBC list

presented by the commission is dynamic (castes and communities can be added or removed) and

will change from time to time depending on Social, Educational and Economic factors. For example,

the OBCs are entitled to 27% reservations in public sector employment and higher education. In the

constitution, OBCs are described as "socially and educationally backward classes", and government

is enjoined to ensure their social and educational development.93

Currently the list of OBC for each state is notified by the National Commission for Backward Classes

(NCBC)94. This commission has also put in place a procedure for members of a community to petition

for their community to be added to the list. Since the eligibility of a community to be classified as

OBC is based on aggregate economic status, the concept of creamy layer exemption also applies

only to the OBC category.

Figure 1: Population Estimates of Backward classes95

Reservations in IIM Admissions Based on the 2008 Supreme Court ruling, these are the current reservation levels for all IIMs.

93

http://en.wikipedia.org/wiki/Other_Backward_Class 94

http://www.ncbc.nic.in/index-2.html 95

http://en.wikipedia.org/wiki/File:PopulationEstimations.jpg

http://en.wikipedia.org/wiki/Scheduled_Caste

http://en.wikipedia.org/wiki/Scheduled_Tribe

http://en.wikipedia.org/wiki/Public_sector

http://en.wikipedia.org/wiki/Backward

http://en.wikipedia.org/wiki/Other_Backward_Class

http://www.ncbc.nic.in/index-2.html

http://en.wikipedia.org/wiki/File:PopulationEstimations.jpg

460

7.5% for Scheduled Tribes

15% for Scheduled Castes

27% for Non-creamy layer OBCs (NC-OBC)

Based on our investigation of the common IIM admissions process, candidates wishing to avail the

NC-OBC reservation have to fill out a common certificate (downloaded from CAT website). This form

has to be filled and signed by a eligible government employee. The list of eligible government

officials includes:

a) District Magistrate/Additional District Magistrate/Collector/Deputy Commissioner/Additional

Deputy Commissioner/Deputy Collector/Ist Class Stipendiary Magistrate/City Magistrate/Sub-

Divisional Magistrate/Taluka Magistrate/Executive Magistrate/Extra Assistant Commissioner. (not

below the rank of Ist class Stipendiary Magistrate)

b) Chief Presidency Magistrate/Additional Chief Presidency Magistrate/ Presidency Magistrate:

i. Revenue Officers not below the rank of Tehsildar.

ii. Sub-Divisional Officer of the area, where the candidate and/ or his family normally

reside(s).96

Issues with IIM NC-OBC admissions 1. One of the biggest issues with this system is that it is at very large scale in terms of number

of classes eligible & the number of officials that are eligible to verify the NC-OBC system.

Given the sheer numbers, it is easy for unscrupulous elements to find loopholes in the

system.

2. Another issue with the process is that IIM admissions’ offices take this certificate at face

value & no attempt at independent verification is made, even when strong suspicions of

fraud exists.

Based on our investigation and interviews there is plenty is anecdotal evidence that loopholes in this

system are being exploited. For example, admissions chair at one IIM told us that, “Some of the

candidates with NC-OBC certificate have under-graduate degrees from international institutions!”.

Framework for improving verification systems Based on our research and interviews with officials, we can suggest the following improvements to

the IIM Admissions system:

1. Income verification by Income tax department & PAN card: Currently the officers eligible to

verify NC-OBC have to independently verify that the candidate has met all the requirements

to meet the NC-OBC criteria. But there is no standardized set of documents that each officer

has to verify. Hence the criteria to judge are very subjective & up to the discretion of the

96

http://www.catiim.in/pdf/NC-OBC-Certificate.pdf

http://www.catiim.in/pdf/NC-OBC-Certificate.pdf

461

officer. Our suggestion is that the profession & annual earnings of the candidates’ parents

be verified by income tax department. This is will add standardization to one aspect of the

process. We realize that the scope of corruption is now shifted to the income tax

department but that department is now more computerized and tracking through PAN card

is possible. So it should be easy for the income tax department to set up a portal to

download a automated verification statement.

2. Random assignment of Verification authority: Right now, each candidate has the freedom

to cherry-pick the verification officer he wants to approach. Instead we propose to set up a

portal to randomly assign verification officers to an interested candidate based on his home

region and other factors. This will likely reduce loopholes for people trying to defraud the

system.

3. Independent verification via central taskforce: IIM CAT authority should set up a team to

independently verify the details of some of the OBC candidates by conducting surprise

checks at their home addresses etc. There should be punitive measures in place for both the

candidates and verification officers in case fraud is detected. This will reduce incentive for

verification authorities to commit fraud.

4. Use UID: For future improvement, the IIM CAT process can use UID of the candidate and his

parents coupled with a central database to directly verify the eligibility of the candidate as

NC-OBC.

Future Steps As future steps in the process, we would like to interview officials eligible to verify NC-OBC status

and discuss the pros and cons of our framework in order to refine it further.

Conclusion The aim of our study is not to undermine or modify the current reservation system in anyway. The

current system as constructed by the original framers was meant to be for a limited period of time.

But the game of vote bank politics has interminably delayed the end of reservation if not cancelled it

all together. If properly applied, the NC-OBC reservation will is designed to become defunct in one or

two generations as more people take advantage of this reservation and move up the socio-economic

ladder. The output of our project is to suggest improvements in the implementation of this law in

order to meet the ultimate objectives of the law.

462

Sr. NO. 69

AMIT CHATURVEDI (PGPX)

Interlinking of Water Bodies in InProject Report

Executive Summary

Despite seeing developments in various sectors with high GDP growth rate, India has still not been

able to cope up with droughts and floods impacting large percentage of population every year.

There are several states and regional areas which suffer from these natural problems year on year

with hardly anything done for long term. We first explored the national river interlinking project

from implementation and execution standpoint. Our recommendations for interlinking though are as

per the river linking project, we recommend inter-basin and intra-basin water transfer to be

implemented at regional level and focus on providing quick energy and cost effective solution to

local population. We also recommend formation of central body of experts to be incentivized as per

private sector with variable components depending on the success of the sustainable regional

project.

Motivations for the Project

India continues to grow at a healthy pace and reams of paper are filled with reports of how

we will grow, compete and even outpace other. Experts opine about how India will become a

superpower, how we will grow rich while others will grow old. It is great to be optimistic

about the future but the dreams‘ underpinnings and foundations have to be strong. We cannot

and will not grow robustly if floods claim precious lives every year. In the same country

within the same government sometimes even within the same district we also have droughts.

We have the highest number of water borne diseases related deaths in the world. This

situation is at extreme odds with the superpower dreams. We are a country whose fortunes

have for centuries depended on the monsoons and we simply cannot afford to waste what

little water we get.

Former President Dr. APJ Abdul Kalam shared his insights gained from experiences across

the world and motivated us to find our own solutions. We have pursued research through

readings and field study of two successful interlinking projects in the country.

Analysis

Various models and proposals on Interlinking of water bodies in India going all the way back

to the proposals considered in 1894 have been studied. Some of the more recent proposals on

the comprehensive interlinking of all rivers in India put the total cost at about Rupees 560000

crores97

. Taken holistically the problem therefore is not in our ability to come up an end to

References

463

end proposal but in the implementation. This project therefore focuses on what the realistic

solutions are instead of critiquing proposals that have not seen the light of the day for

decades.

There is hope and reason for optimism in the small scale success stories of interlinking of

water bodies.

United States has achieved the objective of interlinking of the rivers through a central agency

under the United States Army that owns and maintains all surface water. In India though

rivers are state subjects. Making all rivers national property and appointing an agency under

the army or central government is one of the projects that have been studied. This may be a

very long term ideal situation. The urgency of the issues involved and inertia of the

governments at all levels suggests that we should find, operationalise, nurture and grow all

available solutions. Among the solutions that work we identified Demand-based Project

Through Citizen‘s Participation98

Regional projects of varying scales from small (inter-district –e.g. Jalgaon) to medium scale

(multi state – Somasila between Tamil Nadu and Andhra Pradesh) have been very successful.

Though the impact of such solutions is limited we have identified the key underlying success

factors that are highly repeatable. From the lessons learnt we have come up with a model

framework for implementation of such projects.

The Jalgaon River Linking Project

is a very good example of quick

and sustainable implementation of

inter-basin and intra-basin water

transfer by diverting water in

extremely dry parts from district or

nearby districts water surplus areas.

The results of the project are

evident in the adjacent graph [iv].

Key success factors

Identifying all stakeholders

o Local populace

o Power centers

Stakeholder involvement

o Marketing – to create motivation

97

Goyal, J. 2003. Is interlinking of rivers viable? Chandigarh: The Tribune (March 13).

http://tribuneindia.com/ 2003/20030313/science.htm#1. 98

http://www.indianexpress.com/news/national-acclaim-for-jalgaon-riverlinking-p/619024/ iiiBlaikie, Norman W. “A Critique of the Use of Triangulation in Social Research.” Quality &Quantity 25 (1991):

115 – 136. iv nadijodenglish: Jalgaon River Linking Project Demand-based Project Through Citizen’s Participation

http://www.indianexpress.com/news/national-acclaim-for-jalgaon-riverlinking-p/619024/

464

o Funds creation – barter for services

o Project implementation

o Control mechanisms – to utilize resources efficiently and maintain trust

Using these we have come up with the framework as shown below

Org structure

Process

Conclusion

The success of regional projects has encouraged us in finding other locations where similar

project can solve long standing issues and problems particularly of farming community. The

Regoinal Stakeholders(RS)

Cross functional experts(CFE)

Central commission on

water (CCW)

Liasion with Planning commission

- Project implementatoin

- Marketing

- Finance

- Alliance Managers

Operations

Operations

Project identification

•CCW will identify opportunities.

•CFE will study the area and draw up a plan

•CFE will determine rate of engagement requirements

Project implementation

•CFE will identify and take on board key RS members

•CFE will appoint leaders for different aspects fo project implementation and guide them

•CFE arrange for partial central funding if necessary

Operations

•RS members will have a minimally staffed sufficiently trained team to for continued operations

•Technical expertise of CFE will be utilized when needed

•Central repository will be updated with operational details and key learnings

Continous improvements

•Centralized knowledge database to reside with CCW

•Lessons and best practices from Project Implementation and Operations to be updated in the respository

•Repository to be referred to during all phases of future projects

465

Ken-Betwa link project is one such initiative though currently taken as part of large national

project in the Bundelkhand region of Uttar Pradesh (UP) and Madhya Pradesh (MP)[iii].

Another long standing issue which can be looked at by focusing on problems faced by locals

and solving them through local water connections is around southern Karnataka and TN.

References 1Goyal, J. 2003. Is interlinking of rivers viable? Chandigarh: The Tribune (March 13).

http://tribuneindia.com/ 2003/20030313/science.htm#1. 1 http://www.indianexpress.com/news/national-acclaim-for-jalgaon-riverlinking-p/619024/

iiiBlaikie, Norman W. “A Critique of the Use of Triangulation in Social Research.” Quality &Quantity 25 (1991):

115 – 136. iv nadijodenglish: Jalgaon River Linking Project Demand-based Project Through Citizen’s Participation

http://www.indianexpress.com/news/national-acclaim-for-jalgaon-riverlinking-p/619024/

466

Term

III P

roje

ct

Sr. No. 73

Improving the quality of Primary Education in

Government schools through Community Involvement

GRIIT

Date: 18th

Nov 2010

Faculty: Dr. A.P.J. Abdul Kalam,

Prof. Anil. K. Gupta

Submitted By:

Anand Prasannakumar (6610010),Anshuman

Asthana(6610011), Mathew Samuel (6610039) and

Sandeep Malhotra (6610061)

467

Project Summary

The objective of this project is to create a framework to improve the quality of education in

primary government schools in India through community involvement, primarily youth. The

recommended model will tap the youth of the country to build a sustainable system that will

facilitate better quality of education.

The challenges in primary education in India are two-fold. One is to increase the participation

of students. This is being addressed through programs such as ‗Mid-day meal‘ etc. The

second challenge is to improve the quality of education that the children receive once they

enroll in a government school. The project focuses on the latter. The idea is based on the fact

that today, youth (Age 18-25) in India constitute a large percentage of the population. This

untapped group has the potential to bring about a

change in the education quality levels in our country

by contributing their time towards primary education

for children from less privileged societies. The

project aims at creating a framework, using

existing/new policies available in the system, to

facilitate this.

To achieve this, multiple stakeholders need to be

engaged right from schools and teachers that need to

buy into the idea to Corporations and Institutes of

higher education that will more often than not

provide the Input needed for the program.

Why Focus on Youth?

One of the primary issues with volunteer support in primary education sector is the consistent

availability of volunteers. The system works only when there is a commitment from the

468

volunteer or the volunteering organization to meet the school‘s requirements without

disruption in the school schedule. This is what turned our attention to youth population,

especially students attending higher secondary schools, university degrees and professional

colleges.

Below are the key reasons for having the youths volunteer for this cause,

1. Availability of youth

India has a large pool of youth enrolled in Universities and Colleges. Table 1 shows

key data supporting this.

Enrolment in universities and colleges 136 Lakhs students

Number of Universities 504

Number of Colleges 25,951

Institutions in Technical education 7272 Degree level institutions

and 2324 Diploma

level institutions

Table 1: Statistics on Universities and Colleges and Student Enrollment

Source: Report to the People on Education 2009-2010. HRD Ministry

2. Fresh Ideas and Innovativeness

Another issue with primary education system is that it lacks creativity in teaching

methodologies. By tapping the young minds, we can bring fresh ideas and

innovativeness in the way in which primary school students are taught. Though this

mechanism may not change the teaching methodology for the entire school, it will

generate a substantial amount of interest in both students and teachers.

3. High Energy and Motivation

Youth are highly motivated to go beyond their classrooms and get involved in

activities, which give them an opportunity to teach others what they have learned and

also give them the flexibility to apply their creativity. We believe that the high energy

levels of youth and enthusiasm they bring will be key to the acceptance of this

initiative by primary schools teachers, management and students alike.

469

4. Self Interest

The volunteering process will benefit the youth as well. These benefits will be

discussed in detail in one of the later sections in this report, but the primary ones are,

Hands-on experience in applying their knowledge

Credits which can give them an edge while applying for higher studies

Scholarships, Citations, Certifications etc

And the personal satisfaction in contributing to the society

Why Does It Not Work Today?

There are many disparate initiatives in India where youths have been involved to provide

support to primary education system. But there is no unified framework, which synergizes

the talent of youths in India. Below are some of reasons why such initiatives have not

contributed in a substantial way,

1. Non-availability of a formal framework

Currently there are no formal frameworks or systems connecting the need and the

volunteer. Youths, though willing to volunteer, do not have access to information on

how they can provide their services to help the society. This creates a large gap in

number of youths who really want to volunteer and the volunteer opportunities

available and also acts as a deterrent to potential volunteers.

2. Lack of Incentives

While some of the youths in Universities and Colleges find personal gratification as

the motivation to provide their time for social service, to have sustainable and larger

contribution, there should be more incentives that are appealing to the youth. Lack of

appropriate mechanisms to reward youth for their contributions has also been a key

deterrent.

3. No formalization of social work

470

As mentioned earlier in this report, commitment on availability of volunteers is

another key issue. Currently there are no formal guidelines or policies, which ensure a

minimum amount of contribution from each of the youth/students.

4. Cultural factors

Unlike in many other countries, social or volunteer work is not inherent in Indian culture. In

countries such as US, volunteering is almost imbibed in their culture and citizens view it as

their duty rather than a charitable work. This is not to undermine the effort by many

volunteers in India, but the potential in much more than what we are utilizing today.

Project Methodology and Plan

In our first step, we put forward this idea to teachers and students. We interacted with

students and made use of an online survey to capture the information from students and

teachers. We also talked to volunteer schools and colleges as well as target schools to

understand their apprehensions and reservations.

471

Our second phase consists of the analysis on the information that we have collected. Based on

the information gathered, we recommended policy changes (wherever applicable) and came

up with a comprehensive proposal

The last phase extends beyond the duration and scope of the project. Using the

policy/proposal document, we plan to approach school boards/college universities with these

suggestions, and their suitability for implementation.

Stakeholder Engagement

A critical test to gauge the receptivity of this idea was to test how the youth who will

constitute a majority of volunteers and hence will be a major driver in the success or failure

of this program as well as how the primary school teachers and students who constitute the

demand side of the equation view these initiatives . Our team took a multi pronged approach

to gather the pulse of this target population

i. Conduct Youth Interviews: The team met students from various institutions and

across the country and conducted one on one interviews to understand their opinions

on volunteer work. The sample set constituted students studying in class X to class

XII in schools, students from engineering and medical colleges as well as

management students. The interviewed sample set came primarily from upper middle

class urban backgrounds from states of Uttar Pradesh, Karnataka, Gujarat and the

National Capital region.

ii. Conduct an online survey: While the interviews provided us with individual views,

opinions and challenges that the target population of youth volunteers found in

contributing to such an initiative, our team thought that a survey of the population

across the different geographies would help us benchmark those views against a

common set of very objective questions. The survey also helped us gather responses

from a much larger population than we could physically interview.

iii. Interviews with Primary School teachers: These interviews helped us understand the

issues and expectations of the teacher. These helped to complete the picture from both

the supply and demand side.

472

Student Interviews

We wanted to tap the potential of the youth in the country by creating a formal framework.

This could only be achieved by making social work as a core part of the curriculum at

schools and colleges. In addition to making social work mandatory in the curriculum, we also

recommend providing credits and other incentives to the students to increase their motivation

level and encourage their active participation.

Interview Snapshots

Online Survey

After deciding that a survey would greatly help us in our understanding of the real issues and

opinions of the student volunteers, we sat down to decide what are the factors that we want to

collect input on from the students? The direct interviews and the challenges that the students

posed there helped a great deal in deriving the broad categories and the specific questions

under them that would be presented in the survey. The list was intentionally kept short to

ensure that people complete the survey and not lose interest or are turned off by a lengthy list

of questions.

473

The following categories and questions finally made the cut and were put on the survey.

Receptivity

i. Have you contributed in any form of volunteer service before?

ii. Given an opportunity, would you consider volunteer work?

Support

iii. Have you ever wanted to engage in volunteer services but haven't found

avenues for same?

Motivators

iv. What is your motivation for volunteer work?

v. Do you think undertaking volunteer work will help you in your careers down

the line?

Incentives

vi. Should volunteer social work be a graded activity in your curriculum?

vii. What amongst the following will motivate you the most towards voluntary

social contribution?

Contribution

viii. Given an opportunity to contribute in a primary school what would you love

doing most?

ix. How much time would you be willing to contribute per week for volunteer

work?

An online link was created and circulated amongst students of several engineering colleges,

schools and management institutes with a one paragraph to describe the initiative and set the

context under which the survey responses had to be submitted.

Primary School Teacher Interviews

Interviews with multiple primary school teachers highlighted the following core issues

Low number of teachers affects the time dedicated to each student

Teachers open to support from youth in teaching activities

Teachers cited consistency and continuity of support as a problem

Teachers need support primarily in the area of Maths, English and Computers

474

Survey Results & Interpretation

The survey responses provided a lot of valuable insights. Response distribution for individual

question and the interpretation for those responses are listed below

Receptivity

These results indicate that

A good proportion of respondents have participated in volunteer work before

Majority would be willing to consider volunteering for this kind of an

initiative

Thus, getting a critical mass of youth to start this initiative should not be a major

concern

Support

These results indicate that more than half of the respondents did not find adequate

opportunities or the right avenues to participate in volunteer activity even when they

wanted to. This we recognize as a major challenge and an inhibitor if not countered

for the overall success of the program. We recommend measures to counter this issue

in the recommendations section.

475

Motivators

These results indicate that

For a large number of respondents ―Giving back to society‖ is the primary

reason for volunteering

A large majority of respondents felt that contributing in this initiative will help

them downstream in their careers

These results again provide support to the receptivity factor.

476

Incentives

The key points emerging from these results are

A large majority of respondents do not prefer volunteer work to contribute to

their grades or be a credit in the overall curriculum

Most felt personal satisfaction as a motivator that will keep them committed to

the cause

While the survey opinion states that this initiative can sustain without a hard

incentive, we believe that a good incentive mechanism will further reinforce the

commitment of the people and will also help many others who do not otherwise

would participate to cross the threshold and come forth as contributors.

Contribution

477

These results give us a good indicator of what are the things that people would want

to help with in this kind of an initiative and how much time they are willing to spend.

This would greatly aid us in structuring the support framework so that it matches the

commitment expectations and interests of the contributing populace.

Analysis Framework and Policy Model

The analysis of survey data, teacher and student interviews and multiple other issues at hand

shows that for the model to succeed, various factors need to fall in place. Some of the key

questions being - How will a formal structure be created? What are the incentives that can be

used to motivate the youth to contribute towards this cause? How will the funding for these

activities be managed? What will be the role of educational intuitions and the government?

From the above questions, the following key focus areas emerge

Support – What are

some of the key

challenges and what is

the support structure

that the framework

draws from to address

those?

Policies – What

existing policies can

the framework draw

support from?

Incentives– What incentive mechanisms can be leveraged to motivate youth to

contribute to the program?

Contribution– What are the channels in which the participating youth will engaged

with the schools

478

Governance – What are some of the control mechanisms to measure the program

effectiveness

These areas were each analyzed and based on that the following parameters emerged

for consideration in the final proposal

Conclusion

Based on the above parameters, the following recommendations were arrived at for each of

the framework parameters

Contribution

As per our analysis the students can contribute in many ways to the primary schools:

Teaching Support: The volunteers should support the teachers by take additional

classes. Most of the primary schools in India face the problem of low teacher –

student ratio. As a result of this, teachers are not able to give enough time to the

students. The volunteers can thus help teachers with this problem. We recommend

that at least one volunteer goes to the schools daily so that the continuity can be

maintained. From our discussions with the teachers, we have realized that the main

subjects where teachers want support are English, Maths and Computers. Thus the

volunteer should concentrate on these subjects while teaching in the class.

Mentor Students: The volunteer should mentor the students. Parents of most of the

students in the govt. primary schools are not educated and hence are not able to guide

and provide mentoring support to them. Thus the volunteers can be really helpful to

students in this area. They can support the students not only with their education, but

also with general issues in life.

Support Policies Incentives Contribution Governancce

Distance RTE Scholarships Passive Teaching Augment SDMC's

Scheduling NREGA Required Credits Mentor Students

Monthly Progress

Reports

Teaching Material

- Books/Markers UID Awards Counsel Parents Class performance

Student Logistics Mid-Day Meals Recognition Target Subjects Surveys

Student Schedule Grants Extra-Curricular

Pride

479

Counsel Parents: Drop-outs is one of the biggest issues faced by the schools. During

our analysis we have found two main reasons for the high drop-out rate 1) Parents do

not understand the importance of education and hence do not force their children to go

to schools 2) Parents want their children to support the house and hence want them to

earn money. So they force them to not go to school. These two problems can be

solved to some extent by counseling the Parents. The volunteers should meet the

parents and try to impress upon them the importance of education.

Extra-Curricular: One thing that we realized that the amount of extra-curricular

activities in the primary govt. schools is very low. We feel that extra-curricular

activities are an important part of the holistic development of child and hence this is

another area where volunteer support can really add a lot of value. Once a week,

volunteers should conduct extra-curricular activities in the school that they are

associated with.

Logistic Support

Since the volunteers will be travelling to the primary schools, some basic logistic

support will need to be proved to them. This support will have to provided by the

institute in which they are studying. The budget for the supporting institute should

contain this support amount.

One alternative which can be implemented in the long run is to make a web-cast to the

primary schools. This will be possible once the broadband penetration increases and

broadband is accessible in all the schools. One of the recommendations is that the

government should provide broadband access to all the primary government schools.

Mentoring activities can be supported through the use of mobile phone, where in a

child can call the mentor anytime he needs help.

Incentives

Credit: The volunteer support should be credit activity and graded by the institute.

Also, there grades should be counted towards admission in the higher classes. At the

moment, MBA programs in India give some weight to the social work done, but

policy should be introduced so that volunteer work in the area of education is

mandatory for admission to all the courses for higher education.

Certificates: The volunteers should get certificates for the work done by them

Scholarships: There should be some scholarships for those volunteers who have

contributed exceptionally.

480

Governance

The tracking of the volunteers should be done by the institute they belong to. We

propose that the program is offered as compulsory subject with a dedicated teacher

assigned to it. It is the responsibility of that teacher to create a time table for

volunteers with regard to which school they will work with and when will they visit

the schools.

The volunteers will submit a monthly progress report of the children they had been

teaching. This report will have to be submitted to their institute and to the school(s)

that they work with.

The final grading for the subject should be done based on the feedback of the teachers

of the schools where the volunteers go to teach.

Acknowledgements

This project work would not have been complete without the guidance of Prof. Anil Gupta

who helped us continuously by granting us time and providing precious feedback throughout

the course.

We also graciously thank President Dr. APJ Abdul Kalam for his valuable insights,

comments and feedback through our multiple interactions with him during this course.

We also thank all the students, primary school teachers and survey respondents who helped

us in understanding the problem better through their willingness to participate in our in-

person interviews and surveys.

References

1. Report to the People on Education 2009-2010, Ministry of Human Resources

Development, Government of India. Downloaded on 13/07/2010

2. Annual Report 2009-2010, Department of School Education & Literacy, Ministry of

Human Resource Development, Government of India. Downloaded on 13/07/2010

481

3. The Mahatma Gandhi National Rural Employment Guarantee Act (NREGA),

http://www.nrega.nic.in/netnrega/home.aspx. Accessed between 13/07/2010 and

18/11/2010

4. Department of Higher Education website, Government of India,

http://www.education.nic.in/secondary.htm. Accessed between 13/07/2010 and

18/11/2010

5. Department of School Education & Literacy website, Government of India,

http://education.nic.in/Elementary/elementary.asp. Accessed between 13/07/2010 and

18/11/2010

6. Socially Useful Productive Work And Community Service, ISCE Syllabus,

http://www.cisce.org/data/Syllabus%20for%20ISC%202009/ISC%20SUPW.pdf.

Accessed between 13/07/2010 and 18/11/2010.

7. Initiatives - Department of Education, Government of India.

http://education.nic.in/Elementary/el_initiatives.asp. Accessed between 13/07/2010

and 18/11/2010

8. The Right of Children to Free and Compulsory Education Act 2009,Government of

India. http://www.education.nic.in/elementary/free%20and%20compulsory.pdf.

Accessed between 13/07/2010 and 18/11/2010

9. Amendments in the Regulations for the First Degree Programmes under Choice Based

Credit and Semester System (CBCS), Kerala University.

http://www.keralauniversity.ac.in/images/Downloads/regulation_cbcss_02_11_2010.p

df. Accessed on 07/11/2010

10. Unique Identification Authority of India website. Government of India.

http://uidai.gov.in/ . Accessed between 13/07/2010 and 18/11/2010

http://www.nrega.nic.in/netnrega/home.aspx

http://www.education.nic.in/secondary.htm

http://education.nic.in/Elementary/elementary.asp

http://www.cisce.org/data/Syllabus%20for%20ISC%202009/ISC%20SUPW.pdf

http://education.nic.in/Elementary/el_initiatives.asp

http://www.education.nic.in/elementary/free%20and%20compulsory.pdf

http://www.keralauniversity.ac.in/images/Downloads/regulation_cbcss_02_11_2010.pdf

http://www.keralauniversity.ac.in/images/Downloads/regulation_cbcss_02_11_2010.pdf

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Executive Summary

This project seeks to involve the local transporters (Auto rickshaws and Taxis) in promoting

tourism among the cities and urban centers in India. As a part of this project, we have

evaluated the creation of a system, wherein local authorities, hotel/hospitality industry,

transporters come together to provide a comprehensive service to both domestic and foreign

tourists.

The motivation for our project came from the proposal from the government of Delhi to train

auto rickshaw drivers in English for the Commonwealth Games. The issue that came to our

mind was ―what will happen to all the investment (in both time and efforts) made by the

government in the training once the games are over? Can this training provide long-term

benefits, and not just serve a short term purpose? Can the auto drivers become more than just

transporters?‖

As a part of our project, we held meetings and conducted discussions with the different

stakeholders; including auto drivers, Gujarat tourism, hotel operators and tourists at

Ahmedabad airport. We identified the current issues and challenges faced by the stakeholders

and have proposed solutions to make our system feasible for large scale implementation,

initially commencing on a pilot basis. The summary of our findings is included in the report.

Involvement of Transporters in the Tourism Sector

Amresh Deshpande and Gagan Chopra

PGPX-V, Class of 2010-2011

Faculty: Dr. APJ Abdul Kalam

Prof. Anil Gupta

November 12, 2010

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We have proposed the framework of a centralized system which will register the participating

transporters, and will offer pre-paid, fixed rate packages, handy brochures of places to

visit/eat/shop. The auto rickshaw/taxi driver will become not just a transporter, but also a tour

guide of sorts.

Project Background

The motivation for our project came from the proposal from the government of Delhi to train

auto rickshaw drivers in English for the Commonwealth Games. The issue that came to our

mind was ―what will happen to all the investment (in both time and efforts) made by the

government in the training once the games are over? Can this training provide long-term

benefits, and not just serve a short term purpose? Can the auto drivers become more than just

transporters?‖

The project evaluates the inclusion of local transporters (Auto rickshaws and Taxis) in

promoting tourism among the cities and urban centers in India. As a part of this project, we

planned to evaluate the creation of a system, wherein local authorities, hotel/hospitality

industry, transporters come together to provide a comprehensive service to tourists. A

centralized system that registers the participating transporters, provides one-fare/packages

and handy brochures of places to visit/eat/shop.

The objective of our proposed system is threefold:

a. This will lead to creation of an organized system wherein tourists, transporters,

hospitality industry, the tourism department and the police could be involved to

provide a holistic solution for the development of local tourist areas

b. The system will cater to safety of tourists, and prevent the problem of ‗fleecing‘ by

the transporters

c. The auto rickshaw/taxi driver will thus become the tour guide of sorts, and will not

just ferry the passengers from point A to point B, but will provide a value added

service as well. This can provide additional income stream to the transporters.

d.

Initial thoughts

We planned to work for our project keeping below things in mind:

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I. Review of Existing Policies implemented by government agencies

Research and identify the current measures in place along these lines (e.g.

teaching English to auto rickshaw drivers in Delhi are for the Commonwealth

games).

What is the scale of current implementation(s)?

What are the challenges/ shortcomings of the current policy?

Can we identify synergies between current policies and our project?

II. Who will be the main stakeholders?

We identified the primary stakeholders for the proposed system as below:

Tourists (both national and international)

Local transporters (auto rickshaw and taxi operators)

Tourism department (state government office of the tourism department)

Places to visit: museums, trusts for temples/religious places, etc.

Local authorities/institutions – Police, Municipal Corporation, RTO

Hospitality industry

Brochure printers/promoters of local attractions

Advertising agencies

Service center/call center at railway/bus stand/airport etc. (This could start as an

extension of the prepaid auto and taxi stand at railway station and airports, and

later extended as a centralized call center. Question was that - Can this be

operated by an independent third party such as a NGO?)

III. What benefits will the proposed system offer?

We identified the proposed benefits and the primary beneficiaries as per the Table 1

below:

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Proposed Benefit Primary Beneficiary

Prevent fleecing by the transporters Tourists

Improved safety: since the tourists will travelled in

registered vehicles, and the contact details of the

transporter will be accessible through a central database

Tourists

More awareness of tourist spots among locals Local population

Large scale promotion of tourist, local attractions,

shopping and hospitality industry

Local economy

(including local

hospitality industry,

shops, etc.)

Alternative revenue models for transporters Transporters

Structured programs that can be marketed as packages

catering to the requirements of different tourists Tourists (primarily)

Greater employment opportunities via call centers, etc. Local economy

Table 1: Benefits of the proposed system

IV. What challenges and factors will resist the proposed system?

What will be some of the challenges one can encounter in the involvement of

multiple stakeholders?

What will be the reaction of the local transporters (for example, will they be

concerned about the loss of independence and not participate?)

How will the revenue sharing work in a fashion that is acceptable by all

stakeholders?

Who will ―own‖ the system? How will the coordination between multiple

agencies managed?

Can we identify suitable policies/ projects that are in place currently in any city or

tourist spot in India?

V. What will be the Critical Success Factors for this system?

Reduction in security incidents with tourists

Increase in tourist footfalls in tourist areas

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Increase in tourist footfalls in forgotten local attractions (e.g. step wells in

Ahmedabad?)

Provide a sustained and single pricing for transporters and other stakeholders

Increase in branding of cities/populace as being tourist friendly

Advantages of the proposed system

A centralized system to register participating transporters

One-fare packages

Handy brochures of places to visit/eat/shop

Table 2

Process Followed

I. Research

We researched the web for different policies of centre and state to promote tourism. We also

researched the involvement of different local bodies in promoting tourism. This included

reading policies of central and state government on tourism, from their respective sites, and

also articles published in vernacular medium on the subject of tourism.

We also looked at different type of options available for tourists, to use transport in a city,

especially metros like Ahmedabad and even regular tourist cities. This involved searching on

web for benefits provided by tour and travel providers for these cities.

II. Meetings

a. Hotels

We interviewed few hotel managers in Ahmedabad in the second half of September 2010,

and asked them about their current processes to cater to tourist needs. We randomly selected

three hotels of different star ratings to get a feel of processes followed for different segments

of tourists.

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From our interaction with the hospitality industry, we learnt that hotels usually enter into a

contract with taxi operators. Whenever a guest places a request for a taxi service to travel to

the local tourist spots, the hotel contacts the taxi operator and the taxi is provided on a fixed

rate basis. The hotels do not contact any third party other than the taxi operator for security

reasons. They also do not maintain brochures of the tourist destinations- they mentioned that

the tourism department does not provide brochures in bulk; they only give four or five

brochures at a time. For the hotel operators, sending a person every now and then to collect

these brochures is not a feasible option. They were, however, willing to place these brochures

in prominently displayed locations in the hotels, provided the tourism department was willing

to provide them the brochures in bulk quantities.

There is not much co-ordination between the local/tourist bodies and the hotels. Typically,

the hotels have some recommendations for local attractions. Large hotels have lobby

managers to act as package guides.

Conclusion: There is a potential to place the tourist information brochures in the lobbies of

hotels to increase the awareness levels among visitors.

b. Government of Gujarat‟s Tourism Office

We also visited the office of Gujarat tourism in the last week of September 2010 and met the

tourism department officer at the Ashram Road, Ahmedabad office. The officer was very

helpful, and provided us contact details of some other officials who we could contact to

obtain further information about the programs implemented by the government of Gujarat to

improve the tourist traffic in the state. According to him, the government had recognized

tourism as a focus area only in the past few years, and at present, the tourism ministry

operated on a fixed budget. Tourism Ministry provides Rs. 5 Cr for development of

Destinations and Rs. 8 Cr for Circuits. Annual spend from states range around Rs. 300 Cr.

The tourism department printed a very limited number of brochures, and only provided a few

of these brochures, because in their experience, the brochures were discarded by the users and

usually found their way to the local food joints, who used them as plates for serving food.

The present regulations do not allow the tourism department to charge the people or agencies

for bulk procurement of the brochures.

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Regarding provision of transportation services, the tourism department had implemented a

plan to train the auto rickshaw drivers in English, bur the participation level was very poor

because the auto drivers felt that participating in the training would mean a loss of daily

wages. Department also has packages for car rental and stay in government hotels/lodges.

The Ahmedabad office of the tourism department has also leased out half its space to an

NGO who runs a call centre for answering tourism related enquiries. This system can be

extended further to provide auto rickshaw service as well.

We researched what other tourist departments in India have done along these lines, and we

found that training program has been implemented by the tourism department of Delhi for

Taxi / Bus Drivers and Conductors / Helpers. This program is run by ITDC. A program has

also been launched to train 8000 auto-rickshaw drivers in Delhi for CWG. Training is aimed

at not only improving manners and attitude but also to impart skills in communication, first

aids and yoga

Conclusion: In order to promote the tourist places, the tourism department should revise its

policy so that bulk consumers of the brochures could be charged a nominal fee; and the

misuse of the brochures could be prevented. The brochures could be advertisement supported

to reduce their printing costs.

c. Mr. Nirmal Kumar, CEO, Nirmal Foundation

Met Nirmal Kumar, CEO of Nirmal foundation, is an alumnus from IIM Ahmedabad. We

met him in the first week of October, in to understand how his nonprofit organization runs the

G-Auto and ATR in Ahmedabad and Baroda cities. The framework of G-Auto shares some

common attributes with our project, including:

A database of auto rickshaws that are registered with the G-Auto service

A toll free number where customers could call for an auto rickshaw

A prepaid fee structure (they charge a 10 Rupee premium on the meter for their

service)

Providing training to auto rickshaw drivers in dealing with passengers courteously

Providing amenities such as maps and news papers to the passengers

A consumer helpline (in case of customer complaints, etc.)

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Additionally, the G-Auto service provides insurance coverage to the auto rickshaw drivers,

and training to the children of auto rickshaw drivers in English language, use of computers,

etc.

Nirmal provided us information on some of the challenges faced by the Nirmal Foundation in

implementing the G-Auto service, a summary of which is included in Exhibit A.

III. Field Interviews

a. Tourists

We also visited Ahmedabad airport to assess tourist inflow, and interviewed a few tourists

regarding their experience with the local transporters. Some of the questions we asked during

our discussions with the tourists include:

What are the challenges while dealing with the taxi/auto operators?

What are challenges of dealing with the local tourism department? Do the tourists get

the relevant information about tourist places/ restaurants, etc. from the tourism

department?

Will they be willing to pay a premium (fixed) charge for the convenience of

subscribing to an organized transportation service?

The tourists found many of the auto rickshaw drivers to be rude, unruly and sometimes they

found their behavior threatening. The fare charged by the drivers was arbitrary- sometimes

they charged excessive fares depending on the location and the time of the day.

It is difficult to find the tourism department offices- in fact, we ourselves found it difficult to

find the Ashram Road office of the tourism department.

b. Auto Drivers

We interviewed some auto drivers, and obtained the following information:

The autos are mainly driven on leased basis by drivers, and they pay rent to the

owners of the auto rickshaws

The rickshaw drivers are more concerned about daily wages than providing any value

added service

The rickshaw drivers are unionized, and typically, they do not go against union

directives

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They have often seen many such initiatives, but have less faith in them due to poor

execution

They often see such initiatives as grant requests by government officials, but very

little activity happens ‗on ground‘

The auto drivers have to pay bribes to the local policemen and other agencies (such as

RTO) for maintaining their ‗reserved‘ spot for parking their vehicles, renewal of

licenses, etc. Therefore, they overcharge the passengers. In case they were able to

supplement their income by means of other activities (such as acting tour guides);

they might be willing to charge the correct fare to the passengers.

IV. Site Visits

We visited local attractions in Ahmedabad, Udaipur and Jodhpur. We noticed that there

wasn‘t a defined tour, or a centralized location where one could find information on

transportation, accommodation, food, shopping, etc. We identified the need for such a

centralized system that could add to the experience of the tourists, and also provide additional

source of revenue to the local economy (resulting from increased tourist flow).

Proposal Framework

All major cities can have this proposed model to promote tourism and provide great sense of

security and local community involvement to promote the city/local areas. Exhibit B lists an

example as to how the proposed system will work. We propose a framework of the proposed

system, consisting of below focus areas:

Infrastructure

Information Dissemination

Partnership

Offer Tourist Benefits

Continuous Review and Feedback

Infrastructure

This consists of focus areas of infrastructure and equipment required, to run/implement this

system.

1. Setup model of autos and taxis are part of this proposed system

2. System to have call-center manned 24*7

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Managed by local administration (municipal corporation/municipality, or

outsourced to a NGO)

The system should become self-sustainable in a span of 2 years from launch.

Keeps track of autos/taxis

Keeps track of movement of tourists

Information Dissemination

This consists of all components that will act as means to provide information in the system.

These different components will be utilized by all stakeholders in the system.

1. The system will provide access to maps and local attraction details

Maps and local attraction details are shared in hotels/motels and other attractions

in vicinity of 50 kilometers and nearest cities with population of 10 lakh plus.

These are to be placed on brochure racks in hotels/motels.

Maps and brochures of key attractions are also available in taxis/autos

Main aim of the system would be to provide better information access to tourists

on different transport options

2. Hotels share the toll-free number with tourists/guests, for their local conveyance

usage

Partnership

We believe this system needs a robust partnership and understanding among the different

stakeholders to be successful.

1. Create partnerships with other bodies:

With tourism department - provide concessional attractions ticket packages along

with transport to this system

With at least 10 restaurants in the city - which feature in top 5 as per Times Guide.

Concessional discount could be offered to the customers if they produce of ticket

on same day.

With at least 25 major retail outlets in city to provide concessional discounts on

produce of ticket on same day

With travel and tour agents, local auto and taxi unions

2. Revenues - via advertising in city guide, published annually/six-monthly

3. Advertise on railways, airline city guides, banner areas in important city locations

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4. Run sustained ad campaigns to promote the system

5. Measures to incorporate private taxis into the system, as they can get access to larger

market without much investment

Offer Tourist Benefits

There need to be different tourist benefits developed and imparted, to keep their interest and

system usage prevalent.

1. Run English speaking classes every 3 months for total of 2 months.

Use NGOs that receive CSR aid from local businesses

2. Encourage more local services linked to visitor attractions

3. Offer incentives to tourists to use the proposed system

Provide simplified ticketing mechanism including integrated ticketing with local

attractions

Provide travel planning for main local attractions

The promotion material can include sample itineraries

A list of "top fifteen things to do" can be made part of the promotion material

Each tourist could be provided with a unique tourist code (similar to flight

itinerary number used by the airlines): this could be a ‗primary identifier‘ for the

tourist in tracking their reservations, receipts, any complaints, etc. A system of

tracking the location of the tourists via mobile phones could be developed for

safety.

Continuous Review and Feedback

Lastly there should be a mechanism of continuous review and feedback, to better the system

and improve tourism as a whole.

1. Should have mechanism for feedback and grievance redressal

2. Key tourism indicators that can be tracked

Tourist Arrivals

Excursionist arrivals

Tourist Receipts

Average per capita expenditure

Total number of hotels and rooms

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Average hotel occupancy rates

Average length of hotel stay

Forward Path/Recommendations

We recommend that a pilot be conducted in two cities/large towns of different states, one

having large dependence on tourism industry whereas the other not so much. The local

administration of both these cities should implement the system independent of each other,

and later incorporate their learnings. Local existing private taxis and autos can be used

initially, as setup costs would be minimal in this case.

Government (centre/state) should earmark initial budget of Rs. 3 Cr to setup a call-centre and

allocate 25 taxis and 50 autos in both the cities. The municipal commissioner should own the

system initially, which should be monitored by State Secretary.

The estimates for initial budget as assumed as:

25 taxis, including RTO charges and insurance – Rs. 1.0 Cr

50 autos, including RTO charges and insurance – Rs. 0.5 Cr

Setup of infrastructure (building and equipment) – Rs. 0.5 Cr

Hiring and Training of employees, including transporters – Rs. 0.5 Cr

Advertising and Brochure printing – Rs. 0.5 Cr

The local administration should publish figures for current tourists in public places and

revenues earned from them. They can then monitor these for evaluating system benefits.

Conclusion

Tourism has been identified as a key sector and there is tremendous growth occurring in it

(refer Exhibit C). This growth has brought in a lot of iflux of foreign and domestic tourists,

but at the same time it has identified challenges in terms of our preparedness to handle the

same. We believe that implementing a system to involve the local transporters in promoting

tourism can aid in alleviating few of the growth challenges, at the same time providing an

excellent experience to the tourists. This system would need intervention and support from

both the local and state governments, including regular monitoring. The system can be

commenced to be implemented on a pilot basis in few cities and then rolled out on a much

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larger scale in its reformed manner, to integrate well with the government‘s central theme of

‗Atithi Devo Bhava‘ (Guest is God).

Exhibits

Exhibit A: Challenges faced by G-Auto in implementing their service

Advertising funds are scarce for a startup

Customers don't understand "value being offered" and they question additional

fees of 10 Rupees (or higher) that the service charges.

Need corporate sponsorships or govt. funding

Ownership of the system is a challenge – which agency (nonprofit/ government

department) will operate the system?

Challenges in bureaucratic hurdles: e.g. approval from RTO for displaying signs,

etc.

Exhibit B: Scenario under the proposed system

1. Tourist lands in city via railways and does not know which hotel to go to. There

are innumerable websites and ads for local stay, but they don't have standardized

star rating. Also local conveyance rates to hotel are unknown.

Solution: Tourist calls up proposed-system and receives a taxi/auto for pickup.

The vehicle has a local map and places to stay with govt. approved star ratings.

Tourist also checks and understands about how he/she can spend some idle time

visiting local attractions and shopping for local handicrafts.

2. Tourist lands in city and is staying in a hotel for business purposes. He/she has

some idle time, but is not aware of means to visit attractions and also shop.

3. Tourist in city has been to a local attraction by local conveyance, but now needs

to get back to hotel. He/she is stranded.

4. Tourist who wants to visit a local attraction is taken to wrong route and worse

case is mugged in remote area by taxi/auto person.

5. Crime against visiting foreign women on the rise.

6. Local people of city are not aware of some historical attractions, and need to

visit.

7. Local attractions, was popular earlier, but now in dilapidated state, since many

tourists are unaware and hence very little revenue earnings.

Exhibit C: Indian Tourism Facts – 2009 (reference: http://tourism.nic.in)

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References

1. “Commonwealth Games: Pricey English training but cops at loss for words.” Times

of India, September 10, 2010

2. “Now, dial an autorickshaw”. Times of India, February 4, 2010

3. “Hours after G-Auto for city proposed, project stalled.”Times of India, August 20,

2010

4. “IIM-A to conduct impact study of G-Autos”. Times of India, October 14, 2009

5. www.gujarattourism.com

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Making Judiciary Answerable to ‘Aam Janta’

Amit Chaturvedi – 6610006 Anuroop Talwar – 6610013 Gautam Modi– 6610027

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Introduction Indian Judiciary system: It is an accepted fact that a common man in India today has completely lost

the trust, faith and confidence in the Judiciary due to the huge pile up of cases. While it is a known

fact that the backlog of cases has reached to such an extent that once a person is a litigant then he is

litigant for lifelong.

Number of case pending in various courts in India:

Supreme Court: 52,000

High Courts: 40 lakh

Trial Courts: 2.7 crore

3000 vacancies are there at the moment for the judges. India — a country of 1.1 billion people —

has approximately 11 judges for every million people compared with roughly 110 per million in the

United States.

Numbers of studies have been made by different committees, the Law Commission and other

agencies and various suggestions have been offered. However, the results have not been very

significant so far. Delay of decades in civil cases in India runs into crores of cases. For evolving

solutions to this complex problem, looking around for solutions evolved by other legal systems in the

world should be considered a welcome sign.

Besides the pendency issue there are certain basic issues. Does the common man trust the judiciary?

If we feel there is injustice do we naturally approach the law for a resolution or bite the bullet unless

there is a drastic issue.

Problem Identification Though there are many views on the issues in the system, it was important for us to identify the

bigger issues which cause major problem. We made a complete supply chain of the system to see

that what are the issues at each level of interaction and where are the possibilities of delay

happening. This way we could identify the weak link. In order to collect the fresh ideas and data we

interviewed all the stakeholders in the supply chain

We have made the use of secondary resources however, primarily we have used primary sources to

understand the problems faced by the different stakeholders.

Investigation department

Litigant

Lawyer Judge

Defendant

http://www.merinews.com/topic/india-news.shtml

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We tried to have open ended interviews in order to obtain heart-felt troubles. The intention was to

identify current issues in the judiciary system. We wanted to understand possible reasons for

inefficiency of the judicial system.

Refer to the Annexure for the feedback from talk with judges, professors, lawyers and litigants.

After detailed interviews with stakeholders we have identified the following issues. Some of the

issues raised by one stake holder are corroborated by the other where some may be deemed non-

issues. Based on our understanding the general issues in the system are

1. Asymmetry of Information – The ‘Aam Junta’ is the least informed. Hence they are exploitable.

2. Accountability of

Lawyers: There is no standardized mechanism to evaluate the performance of the lawyers even

though they are directly paid by their clients. Lawyers are not so concerned about client

satisfaction because the relationship with clients is transactional and does not affect their future

business to a significant extent.

Police / Judges: There is no established mechanism for the police / judges to be accountable to

the public.

3. Corruption – There is a high possibility of collusion among lawyers. The police investigation can

also be biased.

4. Remuneration - The remuneration and perks in India are comparatively lower as compared to

other countries. In other countries the relative salaries of public servants (police / judges) are

higher.

All the above also lead to the pendency. Besides the above main reasons for these pile of cases is

attributed to

Lack of infrastructure

Lack of available judges

Lack of quality of available pool to select judges

There is lack of accountability among all stakeholders including lawyers and judges.

Prioritization of issues Though it has taken much longer than it should have there have been efforts from the government

to reduce pendency and other issues. The national litigation policy has put forth some very valuable

solutions. Hence we felt the need to look at the problem from the perspective outside of public

policy. Our intention is to enable the common person to be able to work with the judiciary. In

accordance with this thought process

Following issues and one or two more other identified as high priority issues which we will address in

our proposed solution

- Asymmetry of information

- Accountability at the individual level

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- Continuous feedback mechanism

- Control systems in judiciary

Proposed solution Across the globe for any service / product offering there is generally customer satisfaction

mechanism. There is a mechanism to review the services offered. This will enable the next client to

be aware of what he / she can expect. People should be able to quantitatively rate the judicial

stakeholders. Qualitatively review and evaluation should be minimal because of the restriction on

cases which are sub-judice.

We propose to create a portal where in litigants would be able to quantitatively rate the lawyers, the

process / workflow of the judicial proceedings (not judgment or judge). They should also be able to

rate the quality of investigations. Litigants would have the opportunity to Mention name of lawyer,

investigation officer and the court officials and rate them. For a particular case only the litigant

would have permission to do the ratings

The Lawyers can be rated in the following –

1. Time taken to complete the case

2. Adjournments sought

3. Quality of reports / filing

4. Quality of arguments in trial

5. Effort / dedication toward resolving case

6. Fees paid and contract of payment ( per hearing / per case etc)

7. Overall rating

The Investigation can be rated in the following

1. Time taken for the investigation

2. Quality of investigation in terms of proofs and witnesses gathered

3. Ability to produce witnesses in court

4. Overall rating

Judicial System – (Please note the judgment cannot be rated)

1. Quality and efficacy of judicial staff

2. Process adherence

Reporting / Reports The public should be able to query records to see the lawyers working in a certain courts or areas of

work say financial / criminal / family cases. This would enable them to make an informed decision on

the lawyer they want to hire. The lawyers would then need to ensure the client satisfaction is

maintained. This is similar to the way e-bay has a rating mechanism.

We propose following reports to be added in the system which could be useful to stakeholders

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- Lawyer level reports

- Functional reports based on the type of cases

- Some information on the delay in cases

- Ratings based reports (monthly low rated lawyers)

This is the crux of the system, once there are enough entries and there is significant momentum

even if the rating cannot be used to officially evaluation the lawyers / police / judicial system,

however the rating can cause public shame. Also the lawyers will not be working in a transactional

basis and they would need to ensure they keep their clients satisfied because there would be a

centralized mechanism for the clients to publically evaluate the judicial stakeholders.

Connecting with centralized database In the long run the site should be connected to the internal database of all the courts it can also help

the government. At a broader level the data can be collated from the linked databases and analytics

can be applied to identify the causes for the delay (which is one of the acute problems in judiciary at

the moment)

Challenges foreseen in implementation The solution would only work if there is certain minimum involvement. There is some subjectivity in

the system which cannot be ignored. The big challenge will be to provide motivation for the “aam

janta” to raise their voice and concern in the open. Building up a trust with people on the system

and ensuring that the vested interest of parties doesn’t become a hindrance in the operation of this

system.

Future scope of work The scope of this project is tremendous. This system can be taken up at any level of court and if

successful it can be replicated in other similar kind of services

The current design just puts forth the fields. However given the opportunity we can also propose

screen shots of how the website would look like. Once the website is up we can further enhance

based on the response of the public. With the connectivity to various in build databases, analytic

reports can be generated which can be further used by different authorities. We can build up a basic

management control system. Putting in more thoughts, concepts of cloud computing can be applied

to generate a optimized flow system to track the speed of closure of cases in the courts and

assigning resources where bottlenecks are created.

Note : Judge rating – We need to be very careful about this rating hence we can include this only as

a future enhancement.

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Appendix

Exhibit 1: Quoting a Litigant’s Concerns

“Challenges:

1. The litigant does not know [who is] the type of lawyer to approach unlike [the] doctors,

[where there is clarity of expertise in specific fields]. He does not know the rates of fees to be

paid. The lawyer[s] keep upping their demands depending on the payments received. They

also show their lethargy once the payment is delayed or late. This is the case almost in 80 to

90 % of the cases. All the lawyers take up all the cases even though their expertise is not

there in [all] the fields.

2. Even after fixing the fees they the lawyers make the litigant pay for all and sundry like typing

tipping the clerk paying the notary which is actually their responsibility besides [x]erox paper

and tea charges. The litigant has no choice but to pay up. Even the tea for the advocates and

the friends who accompany have to be looked after.

3. They never tell the facts of the case if it is going against and blame it is some lame excuse

including that the litigant did not take adequate interest in the advice given by them when

they do not give it.

4. The time limit is infinity. The lawyer is not interested in finishing the case early if he is billing

by the hour or in the [number] of appearances for the case.

5. There is always a risk of compromise and collusion between the opposing advocates and/or

the judge. The litigant is always made to feel like an appendage all the time and has to

literally wait on the advocate especially in case of the uneducated litigant who is solely on

the mercy of the [advocate].

6. Many a time the advocate does not turn up in time and the litigant does not know what to

do .The judge sometimes vents his anger on the poor litigant when he is not at fault. The

judge does not allow the litigant to talk even when he is literate.

7. Even when the litigant gives points, which [are] certainly positive the advocate feigns

ignorance and twists them to suit his ego. The advocate does not want any questions to be

asked. The litigant has to pander to all the whims and fancies of the advocate. The

responsibility is never owned by the advocate.

Information Availability

Info "availability": this is almost nil, in the sense there is no cogent availability including classification

for quick referencing. The litigant has to grope and find his own [the] hard way. There is no info desk

or portal to approach. The advisory as in the case of say admission to a college etc is non-existent in

the case of the judicial system.

Investigation

Police follow up is perhaps the most casual and [approach] indifferent, especially if the person

is illiterate. If the complainant is politically strong or moneyed the police bend’s backwards to please.

They take the least line of resistance. The process is shoddy most of the time. But one has to say that

the police is capable of working wonders if they want to or prodded to do so. As in the case of

http://so.as/

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catching Charles Sobhraj in Goa or tracking a famous mail fraud case by a Sub- Inspector of the

Bombay Police. Politicians and the government in power dictate the working of the Police. The

Investigation Process is well defined and the accountability is laid down as also the time frame but

the execution depends on the pressure being brought on them. The quality of investigation etc etc is

also directly relative to the guide force factor. Accountability of the police is also defined very clearly

in the manual which is proposed to be revised. They can act, perform miracles IF, IF they want.

Lawyers their role and influence

An advocate does not take a hypocritical oath like the doctors which does not mean the doctors

follow it but at-least there is a semblance of appearing to do justice to their profession. Though there

is a tech charter to be signed or followed in the bar association there is very little left in them which

they follow.

Their influence is directly proportional to their technical caliber in so far the opinion of the judges are

concerned who hears their cases. Their influence vis-à-vis their incompetence is offset by their ability

to use bribes and fixing the judgment by money laundering. The role of a lawyer is profound in

society especially if they withhold the principles of justice and equality to one and all. Justice is blind,

justice delayed is justice denied law is an assertion. It is there for the lawyer to prove that is not the

case by his competence in his advocacy application dedication and hard work. This field is such that

more he reads more he is knowledgeable. Knowledge is power.

Judges and their functioning

These are the torch bearers of society. They can make or mar society. The functioning is clearly

defined but of late the political interference has made a mockery of the competence of the judges.

The best have to be at the top if you want progress. Knowledge has no caste creed or colour, so one

who is knowledgeable should be at the top. Wrong judgment given under political influence, or bribe

should have stringent punishment. The tedious process of impeaching a judge of the high court is the

bane of the society. Like in the case of the CJ of the Karnataka High Court and Justice Ramaswamy of

the Punjab and Haryana High Court. No politician or other Judges should influence the decision of the

court cases .They must not allow delays on flimsy grounds which is done in 60 % of the cases.

Sometimes they take refuge in the literal meaning of the sentence when they know that it is

nonsense., for e.g. The judge opined in the Pune Court that though the certificate says that x is a Lt

Col in the armed forces it does not say that he is the member of the armed forces of India. Nothing

can be more ridiculing than this. Justice must be done at-least it should appear to be done.

Efficiency of the system, pendency and the time taken

The principles are well laid and the procedure is also clearly defined but the system is effective only if

it is time bound which is not the case and there is big backlog of cases mainly because of the leniency

shown by the judges in allowing the advocate to post pone the cases and take dates easily. The

judges must be asked to clear at-least a certain no of cases everyday and the efficiency based on the

daily progress and this should directly have a bearing on their increments promotion posting etc etc.

The vacancies must be filled up and the selection must be done by the common team of experts who

have no direct interest. The state may have some powers but it is seen that they are only those who

toe the line or show inclination to the government in power. The time taken is enormous and saps the

energy of the litigant and his money. The Judicial Commission is set up to hasten the backlog

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clearance and also streamline the selection process.

Suggested improvements

1. The Judges should be paid well and their comforts looked into. They should be tasked to

clear a certain no of cases daily. Strict disciplinary action should be taken on their failings.

Transfers should be consonant with their performance. Minimum knowledge and experience

should be there for their elevation to the higher judiciary. Merit alone should be the criteria.

Routine tests every ten yrs or so should be mandatory for their promotion etc. Time must be

laid down for all the cases.

2. There should be a gradation of the lawyers with their competence clearly defined as to civil

cases criminal cases etc.

3. Fee structure should be clearly laid down both for senior lawyers and juniors.

4. Time is the essence of any contract so the time must be clearly laid down for every case and

the delay must be explained by the judge to the superiors as also the lawyer to the judge.

5. The litigant must be able to approach a Law Ombudsman like the banking services to help

him with the grievances as also seek justice. There is now way a litigant can bring an erring

judge to book.

Exhibit 2: Summary of Interview with Lawyers

1. Quality/Skill of Lawyers and Judges

One key issue is the quality of new lawyers and judges.

a. The quality and skills of the new lawyers being inducted into the system in-order to

hasten the system has had one detrimental effect. Many lawyers are coming from

colleges where quality of education is below par. Because of the poor quality of

documentation / reports filed by lawyers it takes Judges more time to assimilate the

case and take forward the proceedings.

b. 3 years ago criteria to become was relaxed. The numbers of years of experience for a

lawyer was reduced to 0. Lawyers still need to take the written exam, however many of

them become judges without having sufficient experience. The result of this is that the

quality of judgment suffers and the orders that judges pass, lawyers find difficult to

interpret. Both these lead to increase in time for closure of case.

2. Time and Quality of Investigation

The time taken for investigation can vary significantly. If the accused is remanded to custody the

police needs to file a report within a stipulated time frame. This establishes a timeline for

investigation (Max 90 days). However if the accused is released on bail then there is no timeline for

the investigation.

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The quality of investigation is inconsistent. If there is media involvement the police produce

excellent results. Police has the capability it’s just a question of desire.

3. Steps to reduce pendency

The government has taken steps to reduce pendency. Fast-track were initially setup in Bangalore

however, they don’t seem to be functioning any more. A system called ‘The Bangalore Mediation

Authority’ has been setup which has been extremely successful. This mediation mechanism is under

the auspice of the court but outside of it in functioning. The aim is to try to resolve certain simple

cases like minor family dispute, disputes owing to money payment etc. In-order to solve such cases

accomplished lawyers serve as mediators. They try to help both parties arrive at a conclusion. The

maximum time allowed for resolution in 90 days. If there is no resolution then these disputes go to

courts like regular cases. Thousands of cases have been resolved by BMA.

4. Corruption among Judges

Judges in general live in a socially secluded society. This may be due to established norms and the

demands of the job.

High Courts Judges: They get good perks, in form of vehicle, house to live etc. However the catch is

that in-order to remove a corrupt judge he needs to be impeached by the parliament. This is

required to enable the judge to have the necessary leverage to give unbiased judgment without any

fear, however this privilege can be misused.

Lower Courts Judges: The kind of perks and low salary may leave a lot be desired hence the

motivation to indulge in corruption is higher in comparison.

Generally the corruption is low among judges as compared to other stakeholders (lawyers, litigants)

in judiciary. It could be because of the opportunities available to them are low.

“I have heard only 1-2 cases of corrupt judges”

5. Role of lawyers

Accountability: Lawyers are accountable to no one

Collusion: Collusion is one key form of corruption. Lawyers are generally friends with each other.

They may have graduated from the same school. It’s likely that lawyers representing the 2 parties

know each other. Each lawyer can go ask their clients for a sum say 500,000/- to get a favourable

verdict. In reality the Judges will conduct the trial fairly, however one of the parties would win. The

money given by the loosing party would be returned and the sum paid by the winner split between

two lawyers.

Exhibit 3: Summary of Interview with District Judge

1. Availability of sufficient resources

The big issue which the system is currently facing is the availability of sufficient resources and

required infrastructure to handle the pile of cases. The computers are supplied but then there are no

places to keep the computers. In cases where are resources are supplied, the systems are not

handled properly. Administration is not trained also to handle the computer systems provided.

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2. Issue of pendency

Government has taken some measures in the past to overcome the issue of pendency in cases

and to streamline the availability of resources at right time and right place. Some of them include

setting up of evening courts and fast track courts. These courts sometimes provided solutions and

the litigant than appeals in the higher court. The bottleneck is shifted from one place to the other.

Another issue is that if Judges were to work in the evenings then there would be no time left to

prepare for the case hearings, understand and assimilate case facts and do due diligence for giving

the judgment.

3. No accountability

There is no accountability established in the system where one can question people involved to

find out the delays in the decisions. Many a times the blame game is on. The information is not

available to people who could be a litigant or defendant and they are not able to trust the system

and utilise them.

4. Quality of drafting

There is also a problem of quality of drafting the cases. Because the half cooked information is

available at one time, the lawyer or litigant gets a chance for asking some more time to collect more

information. A system which could improve the information flow in the process and can provide data

at different levels is important.

5. Quality of investigation

The quality of investigation is suspect. On many occasions the police are not motivated and

judges apply pressure to seek a proper investigation. The investigation officer is accountable to his

senior (Boss). Importantly there is no accountability of the police established to anyone outside the

police. Lawyer or Litigant has no way to question the police’s investigation. Interestingly police is

capable of doing a great job however they do so only in some cases.

6. Collusion among lawyers

Collusion among lawyers is common and again there is no way to check this. The lawyers are

not accountable to anyone.

7. Corrupt Judges

In general the view is that Judges are very corrupt, however this is not true. There is corruption

among judges but pretty less. The reason for public perception of high corruption among judges, is

because lawyers extract money from the litigant by saying that they know the judge and will pay the

judge to get a favourable judgment. Both the lawyers may do the same. The case progresses

normally and lawyer which gets a favourable judgment the lawyer retains the money or the other

returns it. The lawyers of the two parties split the money, whosoever among them wins. Basically

the litigant always ends up paying more and the cost hiring a lawyer increases. Importantly even if

the judge was clean the perception is that he/she is corrupt. Winning side feels they won because

they paid, loosing side is told that other party may have paid more.

8. Remuneration for Judges

The salary for judges should not be considered a reason for judge to seek alternate sources of

income. It was very inspiring to hear revered judge say that if a person were to give money as reason

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to turn towards corruption then no money would be enough to stop, because the amount to turn

towards corruption would keep increasing.

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Sr. No. 78, 79

Making Development Policies More Effective in Naxal affected Eastern Corridor

A report by

Gautam Cormoli, Vinayak Bhat,

Jyoti Agrawal, Gautam Bhuyan

of

IIM Ahmedabad PGPX V, 2010-11

for the course

in

Globalizing Resurgent India Through Innovative Transformation

conducted by

Dr. APJ Abdul Kalam & Prof. Anil Gupta

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CONTEXT

The uprising

Naxalism found its roots in Naxalbari, a small village in West Bengal, in 1967. A small group

of villagers went up in arms, protesting against the wide-spread land grabbing taking place,

and demanding a redistribution of land among the poor villagers. This was spurred by years

of land alienation, forced evictions, and displacement from traditionally owned and cultivated

land. Government apathy and a lack of support and development in these areas further

increased the frustration and discontentment.

A police team was ambushed and defeated, with the killing of the Police Inspector with bows

and arrows. This success spurred the movement, with many tribals and villagers joining it and

spreading the word. The hand of a section of the Communist Party of India (Marxist) was

suspected to be instrumental in instigating the uprising.

Emergence of Leadership

From this small beginning, emerged leaders who believed in the Maoist doctrines, and went

about instigating the villagers and tribals to take up arms against the landlords, as well as the

government. These leaders owed allegiance to a section of the CPI(M).

It is believed that the current day Naxalites owe their origin to a break-away faction from the

CPI(M), called the Communist Party of India (Marxist-Lennist). This spawned further

factions such as the Communist Party of India (Maoist), and the Communist Party of India

(Marxist-Lennist) Janashakti, both of which trod the path of violent armed warfare.

Other factions, such as the Communist Party of India (Marxist-Lennist) Liberation, achieved

legal status and contest elections in their respective areas.

It is unknown whether all the factions have allegiance to a common leadership, or are

completely independent from each other. What is clear is that they have access to funds and

the latest weapons. The days of a villager/tribal uprising using crude locally available

weapons such as bows, arrows and spears has given way to a well-coordinated movement

equipped with the latest in communications equipment as well as advanced weapons and

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explosives. It is no longer a local movement, but a nation-wide insurgency that is spreading

rapidly.

The situation today

Currently, around 30 factions of the Naxalite movement are believed to be active in over 220

districts, or a 92,000 sq.km. belt along the eastern part of India, accounting for around 40% of

the total geographical area of India.

Source: Wikipedia Commons (2007)

Following a massive counter-offensive against the Naxalites by the Andhra Pradesh

administration, the AP faction of the Naxalites were driven out of AP, and entered the dense

forests of Chattisgarh where they set up base. Though the leaders were of AP origin, they

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succeeded on winning over the tribals, and rapidly grew in size and strength. From the

densely forested areas which were untouched by Governmental developmental activities, they

moved into villages bordering towns and cities. Today, one does not have to travel far from

district headquarters to encounter signs of Naxalite activities.

A news item in 2005 had reported that ―succumbing to naxal threat, over 10,000 people in the

Dantewada district of Chattisgarh have moved to other areas in the past two months‖. [Times

of India, September 14, 2005]

In 2009, PM Manmohan Singh went on record saying that India ―is losing the battle against

Maoist rebels‖ [BBC 15 September 2009].

In 2010, PM Manmohan Singh said ―I have been saying for the last three years that Naxalism

remains the biggest internal security challenge facing our country‖. [Press Trust of India 24

May, 2010]

Our Motivation

The year 2010 has seen some particularly brutal attacks by the Naxalites on armed personnel,

especially in Chattisgarh. On the 6th

of April, at Dantewada district of Chattisgarh, security

personnel were grossly outnumbered by a huge army of Naxalites, who killed over 76

personnel and injured over 50. On the 17th

of May, again at Dantewada in Chattisgarh, the

Naxalites blew up a public transport bus carrying some security personnel, killing 15

policemen and 20 civilians. On the 29th

of June, at Narayanpur district in Chattisgarh, the

Naxalites struck again, killing 26 CRPF personnel.

This recent spurt of Naxalite activity in Chattisgarh was the key reason that our team decided

to focus on this newly created state of India.

On the 29th

of August 2010, the day we left Ahmedabad for Chattisgarh, an attack on a police

station in Kanker in Chattisgarh saw 3 BSF jawans and 2 policemen killed.

METHODOLOGY

Recognizing that there were a multitude of factors that contributed to the Naxalite issue, and

realizing that in the short time span of this study it would be nigh impossible for us to touch

upon all the aspects, we decided to limit ourselves to the issues concerned with

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developmental aspects. We finalized a multi-pronged approach to this problem, tackling it at

various stages.

Stage I

The preparatory stage involved

- Gathering information available from all sources accessible to us from Ahmedabad

- Establishing contacts with Government officials in Chattisgarh

- Studying the developmental policies of the government in these areas

-

Stage II

The second stage involved a field trip to a Naxal affected area of Chattisgarh. In this stage,

we would

- Personally interview

o The Chief Secretary of Chattisgarh

o The Collector of the affected district we would visit

o Police officials in the affected areas

o Administrative field officials

o Villagers and tribals

o Health-care personnel

o Teachers

o Any other persons as per our needs

o A Naxalite if we could meet one

- Observe

o The available infrastructure

o The developmental activities in progress

o The living conditions of the villagers

o Access to health/education/hygiene

o Presence of armed personnel

Stage III

This was the final stage of our project, which involved

- Collation of our observations from the field trip and the inputs from the interviews

- Weighing the existing policies against our findings and identifying the problem areas

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- Formulating actionable recommendations for changes to existing policies, or for

newer policies for tackling this problem

THE FIELD TRIP

We decided to travel throughout the state of Chattisgarh by road, which would give us the

best feel of the condition of the infrastructure in the state, and also give us a chance to

interact with the local population. We did not anticipate any communication problems, as

Hindi is commonly spoken throughout Chattisgarh.

Raipur and beyond

As we neared Raipur, we were pleasantly surprised with the excellent infrastructure available.

Four and six laning of highways is underway, and is complete in places.

Highway construction underway in Chattisgarh

Raipur city is just like any other modern Indian city, with excellent infrastructure catering to

all needs. We first met with the Chief Secretary of Chattisgarh State Mr. P. Joy Oommen in

Raipur. We had a detailed discussion with him about the Naxalite movement. He gave us a

brief overview of the rise of the Naxalite movement on Chattisgarh, and the effects it has had

on the Government efforts to develop infrastructure. He detailed the policies currently

implemented by the government, and the perceived response to these policies.

Leaving Raipur, we proceeded to Jagdalpur by road. In general, road conditions were good,

and developmental activities can be seen all along the route. In particular, we noticed the

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―Counter Terrorism and Jungle Warfare College‖ at Kanker. Unfortunately we were unable

to talk to anyone there, as we had arrived unannounced.

Counter Terrorism and Jungle Warfare College, Kanker

Bijapur via Dantewada

The next morning, we proceeded to Bijapur District crossing Dantewada along the way. As

advised, we utilized the services of a Jeep, due to supposedly bad road conditions.

Along the way, we had the opportunity to observe and photograph groups of young men

drinking, playing cards, and feasting near a stream in the jungles. Apparently, the government

scheme of providing rice at a highly subsidized rate of Rs. 1/kg to all villagers and tribals

obviates the need for these men to work, and hence they indulge in other nefarious activities.

These people are easy pickings for the Naxalites.

Groups of men drinking and gambling in the jungles

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Highway infrastructure

The warning we had received was not in vain. As we neared Bijapur, the last 40 kms were on

mud roads and at places no roads. It was evident that infrastructure development in these

areas was lagging far behind that of the city.

Roads en route Bijapur

In some areas, we did come across sections where roads were being constructed, and existing

roads were being widened.

Road construction activity

Perhaps, development was being prevented, as we also came upon stretches of road where a

perfectly good road had been destroyed by digging large trenches across it in many places.

Laying land-mines

Our jeep driver explained that these trenches are dug by the Naxals overnight, following

which they are filled up with mud by the authorities. This leaves a soft area in the road where

the Naxals can then, a few days/weeks later, place land-mines and refill the trench with mud

without anyone suspecting that a mine has been laid.

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Trenches dug up for laying of land-mines (there may have been a land-mine in it)

Remnants of Salwa Judum

All along the route, we came across heavily guarded camps where villagers live in huts. The

entrance is guarded by heavily armed personnel behind bunkers. These were the erstwhile

Salwa Judum camps which are now reduced to protected shelters for the villagers who fear

persecution by the Naxalites.

Heavily guarded camps Barricades across roads near the

camps

In Bijapur

We heaved a sigh of relief upon arriving safely at Bijapur, where we met the Collector Mr.

Presanna. We had a long discussion with him on various aspects of the Naxal problem,

following which we went to visit a Naxal affected village.

We interacted with villagers, children, teachers, as well as personnel from Medicins Sans

Frontiers, an international organization that works in strife afflicted areas across the world

providing health-care to the people from these areas. This organisation is in the process of

building a full-fledged hospital in Bijapur which will then cater to all emergencies which

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currently need to be shifted to Raipur. The hospital was in the final phase of completion, with

most equipment, including that for an Operation theatre, already installed. We also spoke to a

local doctor who has been living and practicing in this area for many years.

Some interesting insights were provided by the government field officials.

A village school (note the fences)

Some of the villagers recounted their tales of horror and woe, while others chose to remain

silent and deny the existence of any problem.

Villagers interacting with us

Our observations from this field trip were than collated for further study.

People we interviewed during the field trip

Government Officials

–Chief Secretary

–District collector Jagdalpur

–District Collector Bijapur

–CEO, Janpath Panchayat, Bijapur

–Sub Engineer, Janpath Panchayat, Bijapur

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–Program Officer, School Teacher

Local doctors

-Private practitioners

-Medicins sans Frontiers

Local Politicians

–President Jilla Parishad

–A political activist

Local and nearby villagers

–About 30 villagers – men, women, children

Our Observations

On the Infrastructure

The infrastructure in the major cities such as Raipur was good but the towns such as

Jagdalpur, Dantewada and Bijapur have very poor road connectivity

The rail connectivity is limited.

Naxalites are opposed to creation of good infrastructure. Naxals attempt to cut the

area off from the rest of the country. The roads are consistently blown up or dug

through restricting the movement of vehicles.

Local Villagers

We interviewed nearly thirty villagers – men, women, and children. We also spoke with

villagers of Naxal affected towns of Dantewada and Bijapur that have migrated to other cities

in the aftermath of Naxal movement fearing constant persecution. Following is the summary

of our observations based on the interview of cross section of people.

Naxal Ideology

During the course of the interview, we found that the local villagers had no idea about the

―Naxal ideology‖. When asked for the reason for the armed struggle, they expressed no

knowledge of it. This pattern was quite consistent across the villagers – that included the

literate as well as illiterate ones.

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Pervasive Fear

As we interviewed the local villagers, the all pervasiveness of fear was a very striking

feature. People were very unwilling to talk openly about the atrocities committed by Naxals.

It looks a lot of effort to convince the locals that talking to us would bring no harm to them.

Complaints of police atrocities and insensitivity

Many villagers complained about the ineffectiveness, insensitivity and of atrocities

committed by police. They cited instances of corruption, practice of rounding up youths of

the village without any basis, and insensitivity towards the sufferings of the common people.

Coercion to collaborate with Naxals

One of the striking features of the interview was that the local villagers were coerced by the

Naxals to collaborate with them and many a people said that they were cooperating with

Naxals out of fear. People said that had it been up to their volition, they would simply go

about doing their jobs without wanting to be involved with either the Naxals or the state

machinery. What was striking was the unanimous desire to live their lives peacefully without

being caught up in between the Naxals and the administration.

The local movement opposing Naxals – bereft of leadership

The movement called ―Salwa – Judam‖ was launched against Naxals in the period of 2004 –

2005. The talking point of this movement was armed resistance against the Naxalites.

However, Naxals assassinated the top leaders of the movement. The movement lost

momentum, and in the absence of capable leadership or sufficient support from the

government, it disintegrated. At this point, the actors of the movement reside in government

camps near the roads protected by armed personnel, with very limited access to infrastructure

such as hospitals or schools.

Recommendations – for quick gains

Our recommendations are divided into four major sections, following which we propose a

comprehensive integrated plan encompassing all the aspects.

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Security

Winning Hearts and Minds of People

The Police should improve relationships with the local people. The battle against the

Naxalism cannot be won without winning over the locals that are affected by the problem.

The police force needs to demonstrate greater sensitivity towards the plight of the local

villagers that are caught between the Naxals and the administration. The improved

relationship with the local people would make it easy for the police force to improve their

credibility and image, mine the intelligence and be more effective overall.

Better training, arms and ammunition

The police stations count amongst the most vulnerable locations of town. There have been

numerous instances when the police stations have been raided by the Naxalites killing

policemen and looting the weapons. There is heavy reliance on CRPF and the local police are

often not on the forefront of the action against Naxals. This situation needs to be improved.

The local police should be provided with training in jungle warfare, provided with

sophisticated arms and ammunition so that they can deal with insurgency effectively.

Integrated action

The current practice of each region/state operating on its own has obvious limitations. In the

aftermath of successful police operation in Andhra Pradesh, there was an influx of Naxalites

to Chhattisgarh, MP and other states. To consolidate the gains made in one region, it is

important to have a coordinated action across the police of all the Naxal affected states.

Leverage the differences amongst the Naxal leadership

Based on our study and the interview of people during our field trip, we believe that there is a

significant gap between the motives of top leadership of Naxal movement and the people on

the ground who execute. The people on the ground appear to be driven by the lure of power

and money. This gap in the motivational factors should be leveraged effectively by the police

force to achieve a disintegration in the ranks of the Naxalites.

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Infrastructure and Institutions

Build connectivity with rest of the country

The lack of connectivity with rest of the country is one of the factors that give a major boost

to the Naxal movement. Building and maintaining a strong connectivity with rest of the

country would go a long way in deterring the Naxal movement.

Schools, Parks, Recreation Centers

There is an urgent need to upgrade the public institutions like schools, parks and create

semblance of normal life. The medical facilities are very limited and there is an urgent need

to upgrade the same.

Encourage local arts and craft and Provide access to markets

The tribes of Chhattisgarh have a rich tradition of practicing arts and crafts. Nurturing this

further and making them viable sources of livelihood in market would help to create an eco

system of self-reliance and self-sustenance. Re-establishment of the weekly market system

where locals are able to barter their goods with people of neighbouring villages, and interact

with each other should be encouraged.

Attracting and retaining human resources

Attracting and retaining high quality human resources is the key to dealing with Naxal

problem effectively. Following are some of the suggestions in this regard.

Incentives to attract and retain good quality officers in public service

Posting to Naxal affected areas are often viewed as ―Punishment Posting‖. It is ironical that

the places that need quality human resources end up getting the ones regarded as non-

performers or indisciplined in other locations. It is important to create the right incentive

structure to attract the good quality officers. The incentive structure could be a mix of

financial and non-financial incentives.

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Insurance for government officers serving in Naxal affected area

The government officials serving in the Naxal affected areas face a risk to their lives. The

government should provide adequate insurance to government officers to ensure peace of

mind and attract good quality officials.

Cap the stint of public officials serving in Naxal area

There is a fear that government officers that are posted in Naxal-affected areas ―languish‖

there for a long time – that creates a disincentive for good officers to want to get posted to

such locations. Giving a guarantee that officers that have served in Naxal affected area for a

pre defined period would get a posting to a ―preferred location‖ there after would help attract

good officers.

Involvement of locals

An active participation of locals in the political process will be a powerful antidote to the

Naxal movement. The divide between the local population and the state machinery and

chasm between the affected areas and rest of the country is one of the major contributors to

Naxalism. Grass root participation in the political movement would help in a very significant

way to tackle the problem of alienation and achieve better success in integrating the society.

Integrated action Plan

Based on our study, we recommend an integrated action plan across the affected area to

resolve this problem. The recommendations in the previous sections are aimed at attaining

some short-term gains. However, such gains would not be enough to eradicate the problem.

A three pronged approach dealing with security, economy and political integration is

essential to deal with the issue effectively.

Special area status

The extra ordinary nature of the problem demands unusual measures to resolve it. Given the

kind of gains that have to be made in infrastructure development and the extra ordinary

response required from security standpoint, it is necessary to create a dedicated body to deal

with this issue. We propose that the entire belt along the eastern corridor that is affected by

Naxalism be accorded a special area status and be brought under the purview of one central

authority whose control would span the state boundaries.

522

Multi state action

It is essential to view the Naxal problem holistically and not from the narrow confines of state

borders. Each affected state trying to deal with this problem on its own without considering

the efforts being made from across the border would be an ineffective way of dealing with the

problem. When the government of Andhra Pradesh succeeded in gaining control over the

situation, it caused to the influx of Naxals to neighboring states. To deal with this extra

ordinary existential problem, it is essential to coordinate the efforts across state borders.

Well trained security force under a unified command

The security forces that operate in the Naxal affected areas should be trained in jungle

warfare and should be under a unified command. Having a divided command would hurt the

efforts to combat insurgency. We recommend that central forces such as CRPF and BSF be

considered for this purpose.

Overhaul the economic engine of the region

The lack of development and limited opportunities for productive livelihood are some of the

major reasons that fuel Naxalism. While the steps are taken to gain control over the security

situation, simultaneous effort needs to be made to create an eco system of self-reliance and

indigenous development. Again, there is a need to take an integrated approach to this and not

deal with it in a piece-meal manner. The agenda of economic development should be brought

under the purview of central authority referred to in the earlier section. Apart from setting up

of industry, the local craft and practices should be encouraged and they should be provided

with access to market.

Political involvement

To achieve a lasting solution, it is essential to create a viable political movement that involves

the locals across the wide spectrum of society. A conscious effort needs to be made to launch

and sustain the political movement at the grass root level. As the security operation and

economic initiatives start bearing fruits, it is important to make sure that there is no political

vacuum. The political involvement and participation of locals would dramatically shift the

balance in favor of government machinery. As Naxalism is wiped out, the locals should be

provided with effective leadership that they can trust.

523

Sr. No. 2, 24, 34, 65, 84, 98

P R O J E C T R E P O R T

Course : Globalizing Resurgent India through Innovative Transformation

(GRIIT)

Team : Udit Goyal, Navin Rajendran, Mayank Joshi

Date : 20th

November, 2010

Accessible and Affordable Healthcare for Senior Citizens in India

524

Executive Summary

India has been in the news recently for its booming economy that has been growing at an

annual rate of 9% or more for the last two years, with the growth rate for the years 2010 and

2011, estimated to be around 9% (Exhibit A). In addition, all the economic indicators point to

a period of accelerated growth for the country.

India must improve its health care system to realize its economic potential. As depicted by a

number of social indicators, the problems faced by the country are large but not intractable if

the different organizations of the civic society come together. Faced with the lack of

accessible healthcare facilities, lack of qualified medical professionals and increasingly

unaffordable healthcare costs, majority of the country‘s population, especially the senior

citizen find themselves increasingly vulnerable to a number of health problems that can also

economically wreck their lives. Subsidizing healthcare and insurance for the poor, elderly and

the majority of Indians will be necessary to improve the general level of health.

In this report, we present the case for providing affordable healthcare to the elderly, and

follow it up with a proposal that leverages an existing infrastructure for the Below the

Poverty Line (BPL) families.

525

India – No country for old people

India‘s GDP has been growing at more than 9% for the last many years. Even the future

growth for 2010 and 2011 is estimated to be around 9% (Exhibit A). However, for any

country to enjoy a sustained period of growth and prosperity, the country must invest in its

social fabric – in particular education and the healthcare. These investments are all the more

necessary, as India is on its way to become the world‘s most populous country by the year

2035. The businesses, government bodies and civil bodies should all help build a healthy

and educated workforce.

Among the various constituents, the senior citizens are among the most neglected lot of the

populace. Population ageing has emerged as the grand challenge of this century – for the

policy makers, health care providers, and the society as a whole. A quick glance to the trend

will be appropriate background for the discussion. In 1961,

the population of the elderly was approximately 24 million,

increasing to 43 million by 1981, 57 million by 1991 and 77

million by 2001. In terms of percentage, the elderly formed

5.63 percent of the total population in 1961 and their

proportion rose to 6.58 percent by 1991, only to reach 7.5

percent by 2001. Currently there are around 100 million

senior citizens in the country and they form around 8

percent of the total population. A United Nations report has

predicted that India will have around 196 million senior

citizens by the year 2030 which will only increase to 326

million by the year 2050.

Numerous studies have shown that elderly people in the

country shoulder the combined burden of both communicable, usually infectious, and non

communicable, usually chronic and lifestyle related diseases. This is compounded by the

impairment of their sensory functions that declines with age. Thus the elders have a

considerable burden of infectious diseases like tuberculosis and chronic illnesses like

diabetes, heart disease and cancer. The following figure gives an estimate of prevalence of

chronic diseases in 2015.

The elderly in India are

suffering from…

Combined burden of infectious and lifestyle related diseases

Absence of safety net and emergence of nuclear families

Spiraling medical costs and unwillingness of insurance companies to insure them

526

It is also clear that disability and frailty accompany aging, especially after the seventh decade.

Thus 25-27 per cent of Indian elders have visual impairment; 12-14 per cent are hearing

impaired ; eight percent are immobile and confined to home or bed, this figure rising to 27

per cent after 80 years, women being more vulnerable. Falls are a common problem causing

disability; with over half of all the elderly in some studies having suffered a fall with or

without serious injuries like fractures and dislocations. While aging is not synonymous with

disability, a large proportion of the Indian aged population is disabled, the severity of

disablement increasing with age: 36 per cent in the young-old (60-64); 42 per cent in the

middle-old (65-69); 51 per cent in the older-old (70-74) and 61 per cent in the oldest old (75

and above).

Healthcare costs – The Elephant in the room

The following figure gives a projection of increasing health care consumption as compared to

other factors.

Figure i – Mounting number of chronic diseases

McKinsey report on India Pharma 2015

527

The majority of healthcare costs are born by the individual and/or families, so much so that

the private out of pocket expense make up almost three quarters of the total expenditure on

healthcare in the country (Exhibit B). Notably, the majority of elders prefer to use private

health care services, even though they are more expensive, service quality being a prime

driver. The absence of any safety net for the elderly has exacerbated the problem. Insurance

cover that is elder-sensitive is virtually non- existent; insurance premiums increase in an

unsustainable manner with age and there is rampant age-discrimination in the health

insurance sector. Further, pre-existing illnesses are usually not covered, making insurance

policies unviable for the elder. Traditionally, the joint family in India took care of its elderly.

These traditional care arrangements have been lost in the context of rapid urbanization and an

exodus of people from rural to urban areas and from urban areas to foreign countries. In the

absence of such community support in the form of kinsmen or the extended family, and an

inability to continue to earn their living, the elderly are often rendered destitute, if not

financially, from a pragmatic perspective. While these problems plague most traditional

societies that are in transition, their rapidly enlarging scope and scale, demand and necessitate

an urgent response from our policy makers.

India is well positioned to tackle its health care challenges for two main reasons. First, it has

the advantage of learning from the expensive mistakes of the advanced countries. Second, it

Figure ii – Healthcare consumption expected to triple

McKinsey report on India Pharma 2015

528

had an opportunity to create new models that draw upon the strengths of various sectors of

the society. Without doubt, designing ways to provide affordable healthcare to the elderly

will challenge the ingenuity of the Government bodies, businesses, academics and non-profit

organizations. But no matter what it takes, the country should increase the availability of

quality care and make it affordable to millions of seniors – all in a way adapted to country‘s

social structure.

Healthcare Design

Figure iii – Healthcare stakeholders and their interplay

There are two main important aspects that need to be addressed when designing a healthcare

system. First, the system should clearly identify the stakeholders and the relationships among

them. Second, the system should at least pass the three A‘s test, i.e. the services should be

available, affordable, and accessible.

In the healthcare system, including the end consumer, there are five major stakeholders. As

depicted in the table below, they are

Beneficiaries – This is the end user, in our case the senior citizen

Government Bodies – These are one or many Government bodies, like the State

Government, Central Government or Municipal Corporations etc.

529

Healthcare Provider – These are the hospitals or clinics that provide the treatment to the

senior citizen

Insurance Provider – These are the public and private insurance companies that provide

the insurance coverage for the senior citizen

Third Party Administrator (TPA)– These are business organizations that administer the

payment to Healthcare Providers on behalf of the Insurance companies and Government

bodies

The following table depicts the interaction among the stakeholders in the system.

Beneficiari

es

Govt. Bodies Healthcare

Providers

Insurance

Providers

TPA

Beneficiarie

s

Registers with

the Govt.

Avails

healthcare

benefits at the

healthcare

facilities

Enrolls in the

insurance

policy on the

provider

Govt. Bodies Enrolls the

beneficiary

in the

scheme and

issues

cards/smart

cards

Gets bidding

from the

insurance

providers for

the scheme

Pays the TPA

for the

benefits

availed by

the

beneficiary at

a health care

facility

Healthcare

Providers

Provides

healthcare

benefits

Gets payment

from the TPA

for providing

benefits to

the

beneficiary

Insurance

Providers

Administers

the

Bid for

providing

Pays the TPA

for the

530

insurance

scheme for

the

beneficiarie

s

insurance to

the

beneficiaries

benefits

availed by

the

beneficiary at

a health care

facility

TPA Gets the

payment from

the Govt. for

the payment

made to the

healthcare

provider

Pays the

healthcare

provider for

providing

benefit to the

beneficiary

Gets the

payment

from the

insurance

provider for

the payment

made to the

healthcare

provider

Table i – Interaction between the various stakeholders

The above figure also depicts arrows that the show the interaction among the stakeholders.

For example, the Beneficiaries interact with Healthcare Provider, Government bodies and the

Insurance providers. But the Healthcare Provider only interacts with the Beneficiary or the

TPA.

Rashtriya Swasthya Bima Yojna – An existing system

Rashtriya Swasthya Bima Yojna (RSBY) is a scheme by Government of India that aims to

provide healthcare facilities to the poor. It differs from past initiatives of the Government as it

tries to leverage the Public Private Partnership (PPP) model to achieve the same. In this

model, the beneficiary (in this case Below Poverty Line families) have the option to avail the

various aspects of the healthcare services – primary care, hospital services - from either the

Government or any number of the Private Organizations. An Insurance Cover that the Federal

Government and the State Government buy for all the BPL families pays for the services. The

Government uses the markets to spur competition among the Insurance Companies and the

lowest bid among them is generally chosen.

531

This unique PPP model provides benefits to all the stakeholders that were described in the

Healthcare Design section:

Beneficiaries: The BPL families can now avail healthcare facilities up to a certain cost

before which they either did not have access (because no Government Hospital provided

the services and the Private Hospitals discouraged them) or were cost prohibitive.

Government Bodies: The Government is able to work on its mandate of providing

healthcare services for all without getting into the operational and logistical issues of

setting up and managing healthcare facilities all across the country.

Healthcare Providers: The Healthcare Providers now have a larger patient pool and can

use the economies of scale to bring down the overall cost of the system.

Insurance Provider: The Insurance Providers also have a larger customer pool and can use

the economies of scale to their benefit.

Third Party Administrator: Third Party Administrators get revenues by alleviating the

payment cycle to the Healthcare Providers, who can concentrate on providing the best

healthcare service at a reasonable cost.

As such the RSBY scheme also ranks favorably on the three As test:

Available: The RSBY scheme is available for millions of BPL families, who can now

enroll and take advantage of it.

Accessible: The scheme has made scores of Private Hospitals that were earlier beyond the

reach of the BPL family, much more accessible.

Affordable: The scheme has also made the services much more affordable for the BPL

families by partially shielding them from a limited amount of out of pocket expense.

Rashtriya Bujurg Bima Yojna – Extending what works

RBBY is a health insurance scheme that provides health insurance coverage for all senior

citizens in the country. RBBY will provide the following benefits to the beneficiaries:

Insurance coverage for hospitalization expenses up to Rs 200,000

Cash less claim process using a smart card to avoid illegal usage

Wide coverage of diseases including pre-existing diseases

Emphasis on both prevention and cure

Life-long benefits for senior citizens

532

Automatic enrollment of senior citizens

Coverage of OPD expenses

No entry age restrictions

This insurance scheme will be a Central government scheme channeled through different

state governments for penetration and empanelment. Both central govt and state govts will be

responsible for the financial expenses related to the scheme. Central govt will provide 75% of

the expenses and state govts will provide 25% of the expenses.

Contract Process

State government will empanel public or private insurance companies approved by IRDA

through competitive bidding process to provide insurance services within the state. Each state

can select different insurance company as per their bidding requirement. Bidding process will

take into consideration satisfaction of eligibility criteria, provision of all required services

from technical and business standpoint and least cost for insurance premium. Insurance

company should be able to provide the cashless facility along with the usage of smart card

based system for claim settlement. Insurance company will also be responsible for selecting

public and private hospitals for the cashless arrangement. It will be the responsibility of

hospitals to provision basic infrastructure (computer, fingerprint scanner etc) and other

services for smart card based system. Hospitals will be required to set up a separate RBBY

kiosk at their premises with well-trained staff. Contract between insurance company and state

govt will be renewed ever year with a separate bidding process. Change of insurance

company will be transparent to the beneficiary as he/she will only interact with RBBY staff

and services. State government will ask for bids separately for each district and different

insurance companies can be selected for different districts. However, only one insurance

company will be allowed for each district. It is required that insurance company should have

a local office presence in the district in which it operates.

Contracts will be designed in such a way that premium can be increased next year if

insurance companies are facing losses because of higher target claim ratio. State government

will make sure that pre-set margin would be decided for the insurance companies for the

RBBY policies. In case, insurance companies make profit over and above the margins, state

533

government will amend the contract to force the companies to divert that money to RBBY

policy implementation for next year.

Enrolment

People in urban locations can get enrollment under RBBY scheme through multiple channels

– RBBY website, hospital kiosks, and govt hospitals. Automatic enrolment facility will also

be available in case card has not been issued. But beneficiary has to submit identity and date

of birth proof for senior citizenship.

RSBY infrastructure will be used for enrolment of beneficiaries in rural areas. A list of all

senior citizens will be prepared by state nodal agencies in collaboration with NGO‘s and local

village bodies. This list will be provided to the insurance company according to a pre-

specified format. This list will be circulated and published in each village and mobile stations

will be set up for issue and management of smart cards. Basic process flow of RBBY scheme

for rural beneficiaries is shown in Exhibit B.

OPD Coverage

RBBY will cover OPD expenses up to maximum of one trip per month and maximum

amount of Rs 200 per month. Beneficiaries can only claim this benefit from the doctors or

hospitals that are empanelled under RBBY scheme.

Holistic Health Care

RBBY scheme is focused towards both cure and prevention of diseases. Keeping in mind the

susceptibility of senior citizens to diseases, RBBY will make a provision in contract with

insurance companies to have a monthly diagnostic checkup and free consultation for all the

beneficiaries to better monitor health status and prevent major diseases. For example, regular

monitoring of cholesterol and electrolytes will avoid cardiac diseases.

As part of the biding, insurance companies will include the expenses related to providing this

diagnostic and free consultation services. Beneficiaries can avail these services at any of the

emplaned hospitals. It is the responsibility of insurance company to get the blood and other

tests done of beneficiary by constant reminder and tracking. Insurance companies can sub-

contract this service to third party service providers.

Linkage with existing insurance policies

534

RBBY scheme will not get preference over other private or public health insurance schemes.

If a person has individual personal health insurance scheme or he/she has RSBY enrolment,

he/she cannot use RBBY for claim settlement unless all the other policies are used for

reimbursing the expenses. If existing policies cannot cover all expenses, then RBBY can be

used for the remaining amount.

Package Rates

Package rates include all expenses related to the treatment such as diagnostic tests, food,

medicine charges, bed charges etc. The beneficiary does not need pay anything to the

hospital.

State governments will use the ministry of Health guidelines to come up with a list of all

procedures and their standard package rates which insurance company will reimburse to

hospitals. Every year, these rates will be reviewed as part of defining the requirements for the

bidding contract. Review process includes all major hospital stakeholders in the state,

insurance companies, IRDA officials and the government officials. These standard rates will

make sure that hospitals cannot go for free ride by charging unnecessarily.

This process will result in standard rates which can average out the cost difference between

private and public hospitals. The rates will be defined in such a way that hospitals would be

able to cover their expenses and not run into losses.

Toll-free helpline and Call centre

State government will publish a toll-free helpline number which will be used by insurance

companies to provide call centre services. Call center will operate 24x7 round the year. It will

provide basic information on the procedures and processes, enquiry services and general

guidance. It will provide the services related to claim status, information on network

hospitals, query tracking status etc.

Awareness campaign

It will be the responsibility of state government to increase awareness of this policy among

the citizens. Government can outsource this activity to third-party providers. It is

recommended to have campaigns in leading newspapers, national and regional television

channels and street-wide banners.

535

Premium Calculation

To determine the feasibility of the premium expenses, we have done a sample calculation for

implementation of this scheme in Gujarat. Presently, Gujarat has a population of around 5

crores, of which 8% are estimated to be senior citizens. So total number of beneficiaries

would be around 40 lakhs in Gujarat. Based on initial discussions with insurance companies,

premium would come around Rs 1500-2000 per person for a coverage of Rs 2 lakhs. The

Government would require a total of Rs 600 crores for RBBY scheme in Gujarat.

Gujarat had income tax collection of Rs 20,000 crores in year 2009. So if government

introduces a 3% healthcare cess, it can recover the expenditure needed for implementing/

executing the RBBY scheme. This shows that government can recover the funds through a

health cess.

Measurement and review framework

Stage-wise plan will be made for the implementation of RBBY across the country. First

phase can start with all the states that have already implemented RSBY scheme. This will

avoid the implementation delays in smart card solution framework. Measurement criteria will

be decided at time of planning to measure the performance of each district and state against

the benchmarks.

State government will maintain a centralized database server where each hospital‘s

transactions related to RBBY will be updated real-time. This will help both insurance

companies and government agencies to track claims, transfer funds and investigate for any

fraud claims. It is the responsibility of the state governments to publish the quarterly reports

related to the performance of the scheme.

The RBBY measurement framework will be used for the rural implementation but additional

measures will be defined on top of it to check the performance. Measurement framework will

be based on

Satisfaction index

Coverage ratio

Claim ratio

536

Every insurance company will submit a quarterly performance report to state governments.

Similarly, state governments will provide half-yearly report to central government for the

performance statistics. Quarterly review meeting will be scheduled with participants from

insurance companies, TPAs, state governments and central governments, technical experts to

discuss performance statistics and address the issues. Some of the reports templates that can

be used for reporting and validation purposes are as follows:

Enrolment Report

Name

of

district

/ state

Senior

Citizen

population

Enrolment

start date

No of new

enrolments

this year

Total

number of

enrolments

till now

Previous

year

enrolments

Target

enrolments

for the

year

State government performance will be evaluated based on set target enrolment and the

achieved enrolment. In case, all senior citizens in a state are covered, customer satisfaction

index will be used for the evaluation purposes. Apart from report, issues related to enrolment

will be discussed in the review meeting.

Empanelment Report

Name of

district/

state

Senior

citizen

population

Previous

years

hospitals

enrolment

Total

number of

hospitals in

district/state

Target

hospitals

for this

year

No. of new

hospitals

empanelled

No. of new

hospital

approached

This report will be used for tracking the performance of efforts of insurance companies and

state government for increasing the number of network hospitals. Apart from the report,

issues related to empanelment will be discussed in review meetings.

Hospital services utilization

Name Senior Date No. of Amount No .of No. of Reason Average

537

of the

district

/ state

citizen

population

of

start

of

policy

claims

till

now

of

claims

claims

paid

claims

rejected

for

rejection

time for

claim

payment

This report will be used by state government to track the status of claim process in RBBY.

This report will also serve as input for the next year premium payment as claim ratio can

influence that.

Note: Some metrics have been taken from RSBY scheme but customized according to RBBY

scheme

Dispute Settlement

Any dispute occurring between beneficiary and hospitals related to claim settlement will be

handled by redressal committee at District level under the chairmanship of district magistrate,

and authorized representatives of hospitals and insurance company. Any dispute occurring

between Insurance Company and state government will be first referred to health secretary

and the Managing Directors of insurance companies. If the dispute is still not resolved, then

both the parties may refer to local court for dispute settlement.

Utilization of Benefits and Services

Exhibit C shows a typical RBBY usage work flow for beneficiaries.

Hospitalization Process

The beneficiary has to approach the RBBY counter at the empanelled hospital or call the

RBBY helpline for assistance and needs to utilize his/her smart card to the hospital for

cashless treatment. In case, beneficiary has not been issued a card, he/she can use the date on

the birth certificate which will be used by RBBY kiosk to facilitate automatic enrollment and

cashless treatment.

538

In case hospital authorities do not agree to provide health services or ask for some fees from

beneficiary, the beneficiary should immediately inform the insurance company or call the

toll-free helpline number.

Network of Empanelled Hospitals

This scheme will leverage both private and public hospitals for providing health services at

affordable cost. Each beneficiary can choose any empanelled hospitals as per his/ her comfort

and ease of access.

Smart Card Usage

The Smart card will be used only at hospital kiosks for transaction purposes. The Smart card

solution will make sure that no false claims can be made unless the person is authenticated

and the identity is verified.

Biometric/Finger Print Verification

The purpose of fingerprint verification at the time of admission at the hospital is to prevent

fraud and misuse of the smart card. Fingerprint of any enrolled member of the family can be

provided.

Pre hospitalization and Post hospitalization expenses

RBBY will only cover pre-hospitalization expenses 24-hour before the admission in hospital.

Post-hospitalization expenses will be covered only up to 7 days from the date of discharge.

Beneficiary has to submit bill the proof of bills to insurance company for reimbursement.

Package Rates/Charges

RBBY scheme will make sure that standard costs will be charged by all hospitals irrespective

of location and size of hospital. Standard costs will be selected such that it will average out

the effect of cost variations between rural and urban hospitals. Package rates will be

developed for different surgery procedures and lists will be published to all hospitals and

insurance companies.

Usage with existing policies

539

In case the beneficiary already has personal health insurance from some other provider, then

RBBY scheme cannot be availed. In case, expenses are more than the coverage amount of

personal scheme, remaining amount can be claimed using RBBY smart card. This will make

sure that beneficiaries who can afford costly treatment will not unnecessarily utilize RBBY

benefit.

Coverage of OPD Expenses

RBBY will cover OPD expenses up to maximum of one trip per month and maximum

amount of Rs 200 per month. Beneficiaries can only claim this benefit from the doctors or

hospitals that are empanelled under RBBY scheme.

Future Recommendations

In initial stages, RBBY will be funded by both central and state government. But as Indian

old population will grow over next 20 years, it will be difficult for Indian government to fund

the scheme. It is proposed to have a self-sustainable financial model for long run. India lacks

health insurance awareness and people opt for insurance only when they go through some

medical ailments. This is the reason that insurance companies in India are not able to make

profits as coverage population is less and issues of adverse selection and moral hazard are a

big concern. As part of the future sustenance of this policy, following initiatives are

recommended:

Mandatory health insurance rule for all citizens

Unless young people get enrolled in health insurance schemes, problem of increasing

health costs cannot be solved. Increase in population coverage will help insurance

companies to provide better services that are sustainable. This will also reduce the

burden on government to fund the increasing healthcare costs in the long run. This is

the problem which US is facing at present. It is not recommended to blindly follow

US medical care system. So, people will take insurance policies and government will

provide incentives and other basic support to help them converge towards health

insurance. It is recommended that government will make it mandatory to have all

citizens have minimum insurance cover of Rs 25,000. For family insurance, cover can

be family floater but total insurance coverage amount should be Rs 25000 multiplied

by the number of members in the family. As it is difficult to change the mindset of

Indian population, following steps can be taken to bring them under insurance

umbrella:

540

Rural – premium payments should be sponsored by other Government

schemes (NRHM, PURA, Arogya Sri)

Link various government services with vehicle insurance and other basic

government services, e.g. registration of vehicles only in presence of

health insurance (This idea has been taken from the Mexican health care

system)

Bundle health insurance with Life Insurance Schemes – Indian population

is known to invest in life insurance schemes and coverage is pretty wide.

LIC can provide an additional health insurance cover for all LIC policy

holders and take the premium as part of the policy premium charge. It will

not be known to the policy holder that he is paying for the health

insurance. It will be adjusted automatically from the LIC premium. This

will enable wide penetration of health insurance implementation in India

Tax incentives for premiums paid – benefits for people to enroll

Group discounts for family floater insurance

Incentives for preventive care – benefits of better health

Regulation of healthcare costs

Even if all the citizens can get insurance, India still face the problem of no regulation

of healthcare costs. Private hospitals can charge enormous amounts from patients and

no system checks are present. It is recommended that government takes following

steps to regulate the healthcare sector:

Hospital grading - Hospitals will be graded based on size, primary,

secondary and tertiary care and location.

Medical procedures grading – Standard rates will be determined for all

medical procedures under different hospital grades. This will ensure a

limit on the medical bills.

Use of generic drugs – Reduce costs of the treatment

Holistic health – Prevention and regular diagnostic checkup will ensure

better health and less expenditure on healthcare

Standardized interfaces between insurance companies, TPAs and

hospitals – better governance and measurement

541

Increase in subsidies for medical equipment from government to provide affordable

and high quality health care

Integrate with UID scheme for better governance and wide coverage

Acknowledgements

We wish to thank the following individuals and/or organizations for providing us with

valuable inputs and insights for our project work.

1. Mr. Rajesh Kishore,

Principal Secretary,

Health and Family Welfare Department,

Gujarat Government

2. Smt. V. L. Joshi,

Commissioner of Health,

Health and Family Welfare Department,

Gujarat Government

3. Mr. Harish Goswami,

Project Officer,

Rashtriya Swasthya Bima Yojna,

Commissionarate of Health,

Gujarat Government

4. Prof. Anil Gupta

Indian Institute of Management,

Ahmedabad

5. Prof. Dileep Mavalankar,

Indian Institute of Management,

Ahmedabad

542

References

1. McKinsey report on Indian Pharma 2015

2. Rashtriya Swasthya Bima Yojna website, http://www.rsby.gov.in/

3. Insurance Regulatory and Development Authority, http://www.irda.gov.in/

4. World Economic Outlook 2010 report by International Monetary Fund

5. International Social Security Association, http://www.issa.int/Observatory/Good-

Practices/Global-health-care-for-senior-citizens

6. India Current Affairs Organization, http://indiacurrentaffairs.org/schemes-for-senior-

citizens-in-india/

7. World Health Organization website, http://www.who.int/

http://www.rsby.gov.in/

http://www.irda.gov.in/

http://www.issa.int/Observatory/Good-Practices/Global-health-care-for-senior-citizens

http://www.issa.int/Observatory/Good-Practices/Global-health-care-for-senior-citizens

http://indiacurrentaffairs.org/schemes-for-senior-citizens-in-india/

http://indiacurrentaffairs.org/schemes-for-senior-citizens-in-india/

http://www.who.int/

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Exhibits

Exhibit A – Selected Asian Economies: Real GDP, Consumer Prices, Current Account

Balance, and Unemployment (Annual Percentage Change, unless noted otherwise)

Source: World Economic Outlook 2010 by International Monetary Fund

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Exhibit B – Fund flow to the Health Sector 2004 – 2005 (in Rs. 000)

Source: National Health Accounts, India, 2004-2005

545

Exhibit C - Rashtriya Bujurg Bima Yojna Process Workflow

546

Exhibit C (Contd.) - Rashtriya Bujurg Bima Yojna Beneficiary services work flow

547

Table of Contents Introduction ..............................................................................................................................................

Objective ...............................................................................................................................................

Context ......................................................................................................................................................

Migrant Labourer Segment ...................................................................................................................

Ecosystem .............................................................................................................................................

Regulations ...........................................................................................................................................

Real Life Case ............................................................................................................................................

Site Contractors ................................................................................................................................

Workers from an NGO ......................................................................................................................

A Migrant Labourer and his Children ................................................................................................

The Educational System ............................................................................................................................

Private and Municipality Schools ......................................................................................................

Education Department Officials ........................................................................................................

Challenges/Insights ...................................................................................................................................

Recommendations ....................................................................................................................................

References ................................................................................................................................................

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Introduction

A fundamental tenet of the National Policy on Education (NPE) is “up to a given level, all

students, irrespective of caste, creed, location or sex, have access to education of a

comparable quality.” Recently, the Parliament of India passed the Right to Education Act,

through which education has become a fundamental right of all children of age group 6-14

years. Our GRIIT project focuses on Primary Education, with the objective to augment what

has already been implemented to achieve the goal of universalisation of elementary

education. In this regard, to understand the existing regulatory context, we have studied the

initiatives under the Sarva Shiksha Abhiyan (2001) scheme as well as model rules that have

been prescribed to implement free and compulsory education.

With the knowledge of existing educational policies, we have attempted to address the

challenges faced by a segment of migrant workers in gaining access to elementary

education.

Migrant workers can be broadly categorised into two groups:

the underprivileged group without or with minimal/elementary education and

the better-off group with higher levels of education and skills

The children of the former group often lack access to basic elementary education given the

nature of their livelihood.

To ensure that our analysis is closer to reality, we pursued a real life scenario of securing

primary school admission for a migrant labourer’s children. Based on this experience and on

the insights gained from this experience, we have given recommendations with a brief

action plan for effective implementation.

Objective

Our main objective of this project is to analyse the challenges of primary education faced by

the migrant construction labourers and provide specific actionable policy recommendations.

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Context

Migrant Labourer Segment

India has one of the largest and fast growing urban populations in the world. About 285

million, which is 28% of the population, Indians lived in urban areas in 2001. More dramatic

is the net addition to the urban population during 1991-2001 decade. The urban population

increased 70 million, over 31% during that decade99.

One important implication of this mass human migration in India is the increase in urban

poverty. Urban poverty poses the problems of housing and shelter, water, sanitation,

health, education, social security and livelihoods along with special needs of vulnerable

groups like women, children and aged people100. Our focus in this report is limited to

education for the children of migrant labourers.

Social structures and patterns of development are considered important reasons for this

migration. There is a view that the governmental development policies post independence

have accelerated the process of migration. Economic disparities between different strata of

society and regions also play an important role. Landless poor who mostly belong to the

lower castes, backward and tribal communities and economically underprivileged constitute

a major portion of migrants. This population, which is mostly unskilled, ends up in the

urban India seeking employment in the lowest rungs101.

Thanks to continued governmental support of the infrastructure industry and affordability

of the middle class, the demand for unskilled and semi-skilled workers has boomed in the

construction industry. No wonder that today construction industry is one of the largest

employers in India second only to agriculture. Of the 3.1 crore personnel about 83% were

unskilled workers102.

99

S. C. Garg, MoF, India. Mobilising urban infrastructure finance in India in a responsible fiscal framework, http://siteresources.worldbank.org/INTMF/Resources/339747-1105651852282/Garg.pdf, last accessed on 13

th

Nov, 2010 100

India-Urban poverty report, 2009, The Ministry of Housing and Urban Poverty Alleviation, Government of India, 101

S. R. Sarde, IMF-SARO, Migration in India, Trade Union Perspective in the context of Neo-liberal globalization. 102

11th FYP Document.

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Construction workers are the big portion of the migrant labourers in India.

59%29%

10%2%

Migrant Labourers

Construction workers

Domestic workers

Sex workers

Small scale mine workers

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Ecosystem

The following chart depicts various players and their roles in within the education

ecosystem relating to migrant children:

Regulations

The Government of India made an enactment in 1979 in the name of “Inter-state Migrant

Workmen (Regulation of Employment and Conditions of Service) Act 1979”. Though the Act

covers only interstate migrants, it lays down that contractors must pay timely wages equal

or higher than the minimum wage, provide suitable residential accommodation, prescribed

medical facilities, protective clothing, notify accidents and causalities to specified authorities

and kin. Unfortunately, the law only remains on paper and doesn’t apply to the children of

migrant labourers103.

103

S. R. Sarde, IMF-SARO, Migration in India, Trade Union Perspective in the context of Neo-liberal globalization.

552

Right to education Act of 2010 is the first concrete step taken by the Government to make

education a fundamental right to the children of this country. The whole-hearted

enforcement of this law is yet to be seen on the ground.

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Real Life Case

Apart from understanding the regulatory framework we also wanted to analyse the extent

and the effectiveness of implementation of the framework. Specifically, we wanted to

ensure that our analysis is closer to ground reality. This, we believed, will help us to not only

identify the existing gaps and leakages in implementation but also provide specific

recommendations to address the identified issues. Rather than just interviewing the

involved stakeholders of the ecosystem, we chose to pursue this issue by assuming the role

of an intended beneficiary – a migrant labourer seeking primary school admission for

his/her children. This approach gave us a firsthand experience of the underlying challenges

of access to education. This section captures the essence of our experiences in this pursuit.

To begin with, we met the below stakeholders in the given order.

Site Contractors

We visited a construction site in Ahmedabad to understand the challenges of construction

labourers. We also wanted to gauge the amount of support available from site contractors

to educate the labourers’ children.

As per Building and Other Construction Workers Act, 1996,

“Sec. 35- Crèches- (1) In every place where in more than fifty female building

workers are ordinarily employed, there shall be provided and maintained, a suitable

room or rooms for the use of children under the, age of six years of such female

workers.

(2) Such rooms shall-

(a) provide adequate accommodation:

(b) be adequately lighted and ventilated;

(c) be maintained in a clean and sanitary condition;

(d) be under the charge of women trained in the care of children and

infants.”

To abide by this act, most site contractors do no more than creating a shed on the

construction site for this purpose. This for the site contractors is just a tick on their checklist

to avoid penalisation. We also learnt that some construction sites even lack this facility.

The construction site we visited had a shed for the children. This shed was also being used

by the labourers as a resting place after lunch. It had an ayah to take care of the children

and impart very basic education. The site contractors, however, seemed indifferent towards

the educational needs of the labourers’ children. The shed was put up to ensure that the

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regulations were met. The ayah was appointed more because of the proactive initiative by a

nearby NGO run school.

During this visit we also learnt that most labourers don’t worry much about sending their

children to school. They take their young ones along wherever they migrate. However, they

leave behind the grownup kids (of age 12-14 years and above) in the villages where they hail

from. Such grownup kids may attend school in their villages a few days a week and work in

fields for the remaining days. As shown in the ecosystem in the previous section, village

thekedars play an important role in the migration of the construction workers by finding

them jobs at construction sites.

Workers from an NGO

We learnt about an NGO school during our visit to the construction site and went to meet

the people working at the NGO. We met a few teachers, who had taken up the selfless task

of teaching underprivileged children. They had also helped some of the children get into

mainstream schools. While they seemed intent to help children of construction workers,

they faced challenges in terms of infrastructure and financial support. Through this NGO we

learnt about a migrant construction labourer, who had four children and was struggling to

get them admitted to a mainstream school since the children lacked any legal document of

identity.

A Migrant Labourer and his Children

The migrant labourer hails from MP and was desperate to get his children admitted to a

school. His four children had lost their mother at a young age. The children currently studied

at the NGO run temporary school.

The children were not in possession of any legal identity documents or transfer certificates.

Also, the children mostly speak and write in Hindi and do not understand Gujarati. These

factors had posed challenges in securing a school admission for these children.

The Educational System After meeting the above set of people, we took up the task to secure admission for the four

children in a nearby, private Hindi medium school.

Private and Municipality Schools

The principal of a nearby Hindi medium private school rejected our request to admit the

four children. The reason cited was the absence of transfer certificates or any legal

document that establishes age proof.

Given below is an excerpt from Chapter II of ‘The Right of Children to Free and Compulsory

Education Act, 2009’,

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“Where a child above six years of age has not been admitted in any school or though

admitted could complete his or her elementary education, then he or she shall be

admitted in a class appropriate to his or her age;

Provided that where a child is directly admitted in a class appropriate to his or her

age, then, he or she shall, in order to be at par with others, have a right to receive

special training, in such manner, and within such time-limits, as may be prescribed.”

Chapter IV of the act also says,

“No child shall be denied admission in a school for lack of age proof.”

When we referred to the Right to Education act, the principal seemed oblivious and insisted

that we bring a letter from the district education secretary to secure admission.

We then visited a nearby Gujarati medium municipality school. The principal of this school

seemed aware of the Right to Education act. She was willing to admit the children although

below one class level the age of the children, since the children lacked Gujarati language

skills.

Education Department Officials

We then visited the district education secretary and met up with education department’s

senior officials. To our surprise, these officials had very little knowledge of the Right to

Education act. Every mention we made of this act, we were referred to an SSA (Sarva

Shiksha Abhiyan) coordinator seated a floor above in the same building. We were told that

the SSA coordinator will be able to help us in our pursuit.

The SSA coordinator shared with us some of the initiatives she had taken up at one of the

construction sites helping educate the labourers’ children. This raised our hopes of

expecting a positive outcome. Unfortunately our hopes were short-lived. We were told that

the locality where the children are supposed to attend school falls under a different

coordinator’s jurisdiction. In spite of our continuous efforts to reach out to the concerned

locality’s SSA coordinator we have had no success so far given the holiday season in Gujarat.

Despite all the effort and time spent pursuing this real life case, at this point of writing the

report we are still struggling to get the children admitted to the school. Nevertheless, we

have been exposed to some insightful challenges of access to education particularly to

migrant labourers. The following sections detail these challenges and our recommendations

to address these challenges.

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Challenges/Insights

Transaction Costs

Given the policy framework and the its implementation at the state level there still is a

lot more required to get the children of migrant labourers to school. For the migrant

parent, beyond his basic attitude towards education, there are significant barriers that

he has to overcome if he wants to send his child to school. Overcoming these barriers

would require significant expenditure on his part given his meagre means.

Firstly, he would have to seek out information in the new state/city he has entered. This

could require a visit to the nearby school, visit to the local education office and visit to

other agencies such as NGOs that might guide him. We have seen that getting

information is very difficult and might take a lot of persistence and several hours of

engagement on the part of parent to find out even the basic options of education for his

child. With regards to the government offices, it is very difficult to know who/which is

the responsible office. In addition, the system might seek documents from the previous

school in a different state which will deem a trip back to the parent’s home town of the

place of previous employment. All of these could lead to significant costs incurred in

commuting to various offices, in taking a few days off at work and in making a trip to the

home town to get documents.

Even after clearing all these barriers, the parent is faced with challenges as to transport

for the child to and from the school. Also, many of these migrant parents keep the older

children at home to take care of their younger siblings.

Language barriers

The migrant labourer and his family from a different state are typically not proficient in

the local language of the place of work. This is a big problem when faced with the

challenge of trying to send his child to school. The local schools run by the government

strictly adhere to the local language as the medium of teaching. Given the language

sensitivities in many of the even so called ‘developed’ states this will take some doing to

change. Therefore the migrant family is faced with the challenge of teaching the local

language to their children or face the prospect of sitting at home. This is an impossible

task, given the fact that the migrant labourers themselves are poorly educated and are

most likely inadequately proficient even in their mother tongue.

In addition the migrant labourer might be required to move to multiple states for

employment which puts additional challenges in terms of needing to know multiple

languages if he were to seek education for his child. The private/aided English or Hindi

medium schools are beyond his means and therefore he is faced with a serious barrier of

language.

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Dignity; attention to smaller persons

The above barriers are compounded by the fact that the migrant labourers, given their

background, are likely to be pushed over by the system. It has taken so much time and

concerted effort from our end to get information given our backgrounds and the societal

standing that an IIMA student has. It is almost impossible for a migrant labourer to go to

the offices and schools and get useful responses. It is very likely that he will be

discriminated on the basis of language, caste and the basic fact that he is an ‘outsider’

that is coming in and clogging the system meant for the people of the state.

Right to Education Act (RTE)

With regards to RTE and its awareness and acceptability by the system we have had

mixed experiences. We are in Gujarat , one of the more developed states of India, and to

that extent we have to temper the understanding that we have gained. The insight that

we have gained is that there are some pockets where the RTE has reached the ground

level at least from an existence stand point. These are typically the Government schools

that are part of the official machinery and hence we did find that folks were aware. But

then there is not a lot of impact on the government school on some of the requirements

of the act. The private school that we visited feigned ignorance and tried to hide behind

the government machinery when quizzed about RTE and its implementation. We believe

that is going to be a huge challenge to get the private schools on board. They are

required to make structural changes in their system to include 25% of underprivileged

children into their system and we are not sure if they are ready as yet to get out of their

comfort zone to make this happen.

Sarva Shiksha Abhiyan (SSA)

The zilla-level SSA coordinator has a mandate and a significant budget to seek out of

school children and establish a make shift school for them. The challenge is to make this

effective to the extent that children of migrant labourers can derive the benefit out of

this. In addition there are multiple issues from the process of selection of children, to

the placement and quality of temporary teaching staff and to that of finding a place to

setup this facility. Also, ultimately the child has to get into a formal school system and it

is unclear if and how SSA fills this gap.

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Recommendations

Based on our interactions with the various stakeholders and insights gained, we have come

up with the following recommendations. Each recommendation is supported by an

underlying motivation and/or closely related real-life model.

1. Proxy Organization

This should be a “one-stop shop” that provides assistance to any resident needing

further information about education rights and primary school information. The

proxy organization would be based on the “Automobile Association” model that

exists in different parts of the country.

The Western India Automobile Association (WIAA) is an example close to home, with

a branch in Ahmedabad. Instead of making a trip to the Regional Transport Office for

a driving test, citizens can go to the WIAA to do the same. The Association is

empowered under the Motor Vehicle Act and Rules, which gives it the legal authority

to conduct driving tests for the issue of licenses for cars and two-wheelers.

Furthermore, the Association has reciprocal service agreements with Automobile

Associations and clubs all over the world, which enables it to issue international

driving permits and access a larger pool of information. The Association is also

represented on various Central and State government bodies and periodically

organizes courses on road safety, advanced driving, and car pollution for the benefit

of motorists.

Recommendation:

Similar to the WIAA, an educational Association model should be developed and

branches be opened across the country. Such an organization should not only be

able to fulfil first-level tasks and disseminate information related to primary

education, it should also treat the people who come to use its services (such as

migrant labourers or others at the “bottom of the pyramid”) with dignity and

respect. It can do so by liaising with local NGOs and ensuring that counsellors who

are well-versed in regional languages can listen to concerns and assist these people.

A pre-requisite for such a model would require the amendment of national policy on

education. Based on our analysis, we recommend a review and addition to the

“Model Rules Under the Right of Children to Free and Compulsory Education Act,

2009”. We believe this document has a good implementation-level prescription for

right to education and the Association model needs to be included within this

document that supports the policy charter.

Finally, we believe that such a model would be able to sustain the legitimization of

children of migrant labour who may need to weave their way in and out of multiple

559

district or state education facilities. With the planned implementation of UID and

digitizing school records, the Association model could possibly guarantee some level

of continuity by virtue of reciprocal agreements with other branch associations.

Above all, the one-stop shop nature could reduce the transaction costs for the

people who can least afford them and are pushed from pillar to post whenever they

attempt to avail their basic rights.

2. Catalog-based School Infrastructure

As discussed in our report, construction sites serve as the major aggregation points

for migrant labor and their children. Assuming that such sites are identified and that

there is an operating budget to provide temporary schooling facilities through

schemes such as SSA, we recommend a catalog-based model to setup the basic

infrastructure necessary. This is important so that precious education department

resources are not lost in lead and lag time to setup the facility. An entrepreneurial

venture that supplies modular classroom kits facilitated via an electronic order

system would provide an efficient and auditable process for such temporary schools

to “hit the ground running”.

Recommendation:

Budding entrepreneurs or those who are already in the business of manufacturing

pre-fabricated structures or modular shelters should be invited to participate in this

potentially large nation-building opportunity. They would be required to create

standard “kit-like” offerings that can be delivered just-in-time to construction sites

or temporary schooling zones. Examples of such offerings would be four-walled

sheltered structures that can serve as classrooms, ranging in capacity from 5 to 50

students. These kits could also consist of the basic classroom supplies such as paper

and pencils for the proposed number of students.

They should also develop an electronic system that presents an online catalogue of

available solutions and handles order processing by authorized education

department personnel. The system should be easy to use and more importantly, the

products offered must be in “kit-like” format so that administrators need not spend

too much time on figuring out what to order and how much to order. This would

require that the kits are optimally designed to meet the requirements of the most

common use cases. By virtue of being an electronic system, the underlying

transactions can be audited and allocated financial resources can be measured more

easily.

3. Citizen Jury on Performance Effectiveness

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Based on our visit to the education department, it appears that there are officers or

coordinators who have discretionary access to a financial budget. While there may

be an existing system and policies/procedures that govern the management of such

a budget, we believe that the use of such public funds be evaluated by a citizen jury.

This does not mean public interference or a reduction in the education department’s

role; it is only intended to maintain integrity and build awareness of the good work

being done by the department and schemes such as the SSA.

Recommendation:

Institute a process by which interested, voluntary, citizen jury come together to part-

take in the education system by tracking discretionary initiatives and evaluating the

allocation of public resources. This could very well tie with the proposed Association

model above, wherein interested citizens can provide guidance or raise well-founded

concerns regarding discretionary spending. More importantly, they could serve as

beacons of recognition for the countless officers or coordinators that may go

unnoticed even as they carry out the difficult task of enabling education for

everyone.

A citizen jury can also shape the performance effectiveness systems within the

education department over the long-term, leading to a higher level of management.

We also believe that with the involvement of interested citizens, the flow of

information about education would increase due to word-of-mouth effectives,

thereby raising the general level of awareness within our society. Eventually, a more

informed society would lead to better diagnosis of the underlying problems with

education and perhaps a decrease in corrupt or aggressive actions related to

education rights.

4. Construction Approval Process

Based on our visit to a construction site, it appears that the issue of providing on-site

childcare or basic educational facility is taken very lightly. The construction company

is doing the barest minimum to provide just anything so that they can demonstrate

compliance to the prevailing construction laws. We believe there is inadequate

monitoring and enforcement of the requirement to provide some on-site facility. The

site we visited had a rudimentary shack built out of salvaged corrugated steel, which

was serving as a rest area for the construction workers’ families.

Recommendation:

We would like to propose a linkage between the Education and Construction laws,

regulations, or policies. The essence of this recommendation is that prior to a

construction company being given the “green light” to start activities on a site, a site

audit by the education department must be completed. This scope of this audit

561

would be very focused i.e. to inspect whether or not a standard classroom facility

exists as per the catalogue model prescribed above. The auditors would have no

other authority over the construction site, except for issuing a “pass/fail” verdict on

the suitability of the temporary educational or childcare facility.

We recommend that such an audit requirement is including in the Construction laws

and enforced at the point of issuing a construction license or permit to start

construction activity. On the Education side, we propose that this audit responsibility

be listed as a specific duty of the concerned officers or coordinators. To reiterate,

the intention is to have a well-defined, smooth audit process, and not a hurdle that

becomes subject to corrupt practices.

5. Bridge Disconnect among Disparate Divisions

During our visit to the education department and related offices, we sensed some

level of disconnect among the various offices. Many a time, we were pointed from

one floor to another and then back, trying to figure out who does what.

Furthermore, there was usually only one individual who had all the knowledge in

his/her head, the others simply referred us to the individual or conveniently “passed

the buck”. We believe it is important to devise programs and mechanisms by which

we can bridge the disconnect among the disparate divisions within the department.

Recommendation:

We recommend a programme of workshops conducted throughout the year, training

staff members and making them knowledgeable about what happens in their peer

divisions. For example, it should be fair expectation that a staff member in the SSA

division understands what happens in the general Primary School division.

In order to make this effective, we also recommend a certification procedure that

would track the learning progress of the staff members. Not only would this promote

healthy competition and incentivize staff members to grab learning opportunities or

seminars, it would also provide a tracking mechanism. The permanence of a

government job can be tied to the successful completion or certification of such

requirements.

562

References

The Right of Children to Free and Compulsory Education Act (2009)

Model Rules under The Right of Children to Free and Compulsory Education Act

(2009)

The Building and Other Construction Workers Act (1996), Sec. 35

Support for migrant workers: The missing link in India’s development Natural

Resource Perspectives, Overseas Development Institute

Mobilising Urban Infrastructure Finance in India in a Responsible Fiscal

Framework Ministry of Finance, India

India – Urban Poverty Report Ministry of Housing and Urban Poverty, India

Migration in India: Trade Union Perspective in the Context of Neo-Liberal

Globalization S.R. Sarde, IMF-SARO

Wester India Automobile Association Wikipedia

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Sr. No. 96

mSikshaa

A Project Update by

Shreeya Jayaraman

Subject: GRIT Faculty: Prof. APJ Abdul Kalam & Prof. Anil K. Gupta

In order to determine the feasibility of this project, let us first define its objectives and scope:

mSikshaa is to be a resource for students who are unable to turn to their

parents/tutors/teachers for additional help in understanding a concept. It primarily caters to

students who are unable to afford tutors or outside help. It seeks to explain concepts (even in

regional languages) so that the child thoroughly grasps the concepts. It looks to harness

community knowledge resources (such as Wikipedia) and basic school text books to address

the doubts of the student. It seeks to harness high mobile phone penetration in India. It seeks

to provide a means for students in institutes of higher learning / retired teachers / other

volunteers to contribute to the community. It seeks to build a database of questions and

answers, to facilitate learning and growth within the organization.

In order to gain a fair idea of whether this project is implementable, we analyze it using the

4A model as follows:

mSikshaa Resources Institutions Technology Culture

Access **

Assurance *

Ability ***

Attitude **

(***-minimal scope for improvement; **-some improvement required; *-major inputs

required)

Access to Resources: Access to textbooks for the volunteers and access to call-center

facilities are lacking as of now. These are being addressed by seeking help from companies

like Reliance Info Com and NetApp. We assume that students have access to phones to call

in.

564

Assurance of Institutions: This is the weakest point of this scheme. The whole arena of

after-school tutoring has not yet been touched by Public Policy. In general, this is a grey

market with little or no regulation. This brings up the question of what assurances from

institutions would motivate volunteers to contribute regularly, effectively and effectively.

Ability to use Technology: This is the easiest part, since the student only needs a phone, and

the volunteer would need a phone and/or a computer terminal.

Attitude and Culture: The culture of volunteering time to social causes has caught on in

India, and many professionals spend their time in some social cause or the other. However, it

has been seen that the motivation to work for nothing is transient at best, and requires some

incentives for a sustained commitment to the cause.

Based on the above analysis, while on the operational front there are obvious steps to be

taken (such as access to call-center technology), the main pain point is the role of institutions.

This raises the question of whether we can design an institution that would provide the

required assurance – for instance, how do we check on the potential to misuse this system?

Can we design a system that protects the rights of the student? Can we design a system that

motivates the volunteers to give a sustained commitment? Just like Robert Frost, it seems that

mSikshaa has ―miles to go‖.

565

Sr.No. 4, 97, 103

Nursing - Restoring the Heartbeat of Healthcare

Sujit Verma Vivek Chudgar

This report is submitted towards the end-term project for the PGPX class taken by Prof. A.P.J. Abdu

Kalam and Prof. Anil Gupta during Term 3 of the PGPX1011 batch.

G R I T – G l o b a l i z i n g a n d R e s u r g e n t I n d i a t h r o u g h I n n o v a t i v e T r a n s f o r m a t i o n

566

Contents

Current Challenges in Nursing ........................................................................................................................

Scope and Approach .......................................................................................................................................

Situation Analysis ............................................................................................................................................

Regulation of Nursing in India .....................................................................................................................

Indian Nursing Act of 1947......................................................................................................................

Indian Nursing Council (INC) ...................................................................................................................

State Nursing Councils ............................................................................................................................

Nursing Education System ..........................................................................................................................

INC Recognized Nursing Courses Available .............................................................................................

Fee Structure ...........................................................................................................................................

Unrecognized Courses ............................................................................................................................

Teaching Resources .................................................................................................................................

Student Challenges .................................................................................................................................

Employment Opportunities ........................................................................................................................

Doctor’s Approach to Nursing.....................................................................................................................

Recommendations ..........................................................................................................................................

Legal / Legislative Actions ...........................................................................................................................

Executive Actions ........................................................................................................................................

Curriculum Improvements ..........................................................................................................................

Teaching Improvements .............................................................................................................................

Acknowledgements .....................................................................................................................................

Bibliography ....................................................................................................................................................

567

Current Challenges in Nursing Indian healthcare system has taken long strides forward. We have access to the latest surgical

equipments, medicine and treatment protocols, qualified doctors with super-specialty skills are

available, ultra-modern hospitals are being built, and most of these benefits are within reach of all

citizens. However, when it comes to nursing, our healthcare system is left wanting for more.

Availability of nurses is a challenge, but an even bigger challenge is the skills and competence of the

nurses within our system. Following subsections outline the various dimensions of the nursing

related challenges.

A recent study conducted at University of Michigan, Ann Arbor, highlights the criticality of nursing in

ensuring success of the healthcare system. “Analyzing the records of almost 40 hospitals and nearly

175,000 patients, researchers at the University of Michigan in Ann Arbor found that four factors —

high hospital occupancy, weekend admissions, nurse staffing levels and the seasonal flu — can affect

a patient’s risk of dying in the hospital. But while these factors universally influence in-hospital

mortality, they can also interact with one another in such a way that each hospital ends up with its

own particular threshold of risk.” (NY Times).

This is especially relevant in the Indian context where lack of high quality nursing is often cited as a

cause of dissatisfaction with treatment in the hospitals, even in some of the more reputed and

established hospitals. While it is true that the number of modern hospitals has gone up, the quality

and professionalism of nursing is lacking when compared to the most developed countries.

In the past 5-6 years, the following recent trends have created a surge in demand for qualified

nurses.

1. There is a rise in number of professionally managed corporate hospitals.

2. Foreign countries have been luring away nursing talent.

3. The urban population is more aware of the need for preventive healthcare and life style related

health issues.

All these factors have put a strain on our nursing system which directly affects the quality of

healthcare. With the projected growth that India is expected to go through, issues with respect to

rural health care, quality of service in hospitals and other health issues will become increasingly

important. There is a need to address nursing at the basic level starting from the education and also

looking at employment related aspects. Therefore, we decided to study “Nursing and Healthcare” as

part of our GRIT project.

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Scope and Approach The nursing field has a vast range of dimensions and issues related to them. Some of these are

training institutes, regulations, employment prospects, rural outreach, brain drain and societal issues

related to the profession. In our study of the system, we have tried to explore the following

questions and their possible solutions in the Indian context.

1. Why can’t the system produce enough nurses to meet the rising healthcare needs?

2. Why can’t nurses be well-trained to provide the quality of service comparable to the best

health care systems in the world?

3. How can nursing students and nurses be motivated and incentivized to excel in the field?

Field Visits:

We visited JG College of Nursing, Ahmedabad, a private nursing college, established in 2006, to

get a first-hand account of nursing education. This college is certified by the Indian Nursing

Council and offers a B.Sc. degree in nursing.

We also visited several corporate and private hospitals

Personal / Group Interviews

During these visits, we interviewed the following people to get perspectives of stakeholders involved

in nursing education and nursing practice.

• Doctors at private nursing homes and corporate hospitals

• Nurses at private nursing homes and corporate hospitals

• Head of Gujarat Nursing Council

• Head of Nursing at a Corporate Hospital

• Teachers and Principal of a Nursing College

The insights into the workings of the system that we obtained by talking with these key stakeholders

is analyzed in the following section.

Situation Analysis

Before going in to the details of nursing education and the nursing job market, we decided to first

understand the governmental framework currently in place to regulate nursing profession. This

section captures the information we gathered and analyzed for this purpose.

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Regulation of Nursing in India

Indian Nursing Act of 1947

In the year 1947, the Central Government of India established the Indian Nursing Act which

authorized the creation of Indian Nursing Council (INC) and State Councils to “establish a uniform

standard of training for nurses, midwives and health visitors” (Indian Nursing Council). The Act

restricts the following:

1. Recognition of a nursing institute only when the institute offers one or more of the

qualifications recognized by the Act

2. Registration of a nurse in to the Nursing Register for only those nurses who have completed

a recognized qualification

Unfortunately this Act has not undergone any major revisions since then. Moreover we found

several weaknesses within this Act that leaves INC at a disadvantage to effectively discharge its

duties. The major weaknesses are:

1. The Act does not have any provisions to regulate institutions who choose to offer courses as

per their own curriculum

2. The Act does not have any provisions to regulate the scope of practice and responsibilities

for the registered nurses

3. The Act does not have any provisions to enforce penalties for providing nursing services by

an unregistered nurse

Indian Nursing Council (INC)

INC operates as an Autonomous Body under the Ministry of Health & Family Welfare. INC has two

primary committees that regulate its functioning (Source: (Indian Nursing Council):

Executive Committee: oversees the issues related to maintenance of standards of nursing

education programs

Nursing Education Committee: oversees the issues related to nursing education and policy

matters concerning nursing education

As indicated above, INC does not have wide enough mandates to regulate nursing education within

India. Also, the coordination with State Councils is largely ineffective, leading to suboptimal

management of the Register of Nurses.

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State Nursing Councils

State Councils operate as an Autonomous Body under the State Department of Health & Family

Welfare. State Councils facilitate and coordinate the execution of INC directives at the state level

with a primary focus on regulating the registration of nurses, midwives or health visitors in the State.

Each State Council maintains a "State register", which is a register of all the qualified nurses,

midwives or health visitors offering services within the state.

The State Councils are also responsible to assign the resources necessary to perform inspections

within the state. However they are also constrained by the fact that the Act does not confer up on

them any powers to enforce compliance with the nursing standards.

Nursing Education System

The nursing education system in India is structured into tiers starting with the Auxiliary Nurse &

Midwife course to PhD level courses. Majority of colleges are private and need to get certification

from the Indian Nursing Council (INC) for the various programs offered by them. INC conducts period

inspections to the certified colleges to make sure that the required standards of education are

maintained.

INC Recognized Nursing Courses Available

The courses recognized by INC which are primarily pursued by nursing students are summarized in

the following table. (Source: (Indian Nursing Council). In addition, to this there are the M.Sc., M.Phil.,

and Ph.D. programs offered by some universities.

Course Eligibility Duration Targeted Skills # of Total

Seats /

Schools

Auxiliary Nursing &

Midwifery (ANM)

10th 1 ½ Years Deliver national health

programs to rural and

distant areas

1205 / 33

Diploma in General

Nursing and

Midwifery

12th – Any

Stream

3 ½ Years Work in any general

hospital

2037 / 61

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B.Sc. (Nursing) 12th – Science 4 Years Work in any general

hospital

1210 / 25

Post Basic &

Postgraduate

Courses

B.Sc.

(Nursing)

1 ~ 5 Years Research and clinical

specialization(e.g. OT,

Trauma, Pediatrics)

Not

Available

Detailed description of the various programs follows.

1. A basic course called Auxiliary Nursing & Midwifery (A.N.M) which can be pursued after the 10th

class. The course takes one and a half years. The A.N.M. certification does not give full nursing

qualifications but provides training that is sufficient for delivering national health programs to

rural and distant areas. Thus A.N.M. certified persons are helpful in implementing vaccination

programs and basic health education programs in small villages and towns.

2. Diploma in General Nursing and Midwifery (G.N.M.) can be pursued by any student who has

completed the plus-2 exam in any stream and the course takes 3 ½ years to complete. The last

six months of the course are spent in an internship. The Diploma holder nurses are prepared to

work in any general hospital. Several Govt. and private hospitals seem to prefer hiring the

Diploma holding nurses.

3. B.Sc. (Basic) is a four year program that can be pursued by students from the science stream

after they complete their plus 2. Throughout the B.Sc. program students acquire clinical

experience. There is no specific internship component. During our visit to the J.G. College of

Nursing, we got a first-hand glimpse of the working of a college providing the B.Sc. degree. We

interacted with the Principal and lectures of the college and visited their classes and

laboratories. This college seemed well-equipped with the basic infrastructure required for

providing nursing education at this level. Still, several concerns were raised by the principal and

teachers about lack of good quality students. In order to increase the intake of students, the

College has even reduced the cutting off cutting of percentage required from 50% to 40%. Lack

of career-mindedness of students enrolling in the college, was also cited as a concern.

4. B.Sc. (Post-Basic): This course is designed to provide G.N.M diploma holders a chance to get

B.Sc. level qualifications. It can be completed in two years.

5. Post Basic & Postgraduate Courses: These are M.Sc. and Doctorate level programs for research

and specialization in clinical areas.

a. M.Sc.: This is a 2-year course for obtaining a masters degree.

b. M.Phil.: This is a 1-year full time or 2-year part time course post M.Sc.

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c. PhD.: Doctorate program is pursued by M.Sc. or M.Phil. Degree holders.

d. Post-Basic Specialty Courses: These are one year programs specializing in specific areas

such as Oncology, Trauma etc. Registered nurses with one-year of clinical experience are

eligible for the specialty courses.

The post basic specialty courses provide experienced nurses with an opportunity to advance in their

careers. However at the entry level courses, G.N.M. diploma is more popular than the B.Sc. courses.

Fee Structure

One of the reasons for the B.Sc. (Nursing) course being less popular is the higher fees charged by

private colleges offering this course. A typical college charges Rs. 55,000 p.a. and the course takes 4

years to complete. This is much higher than B.Sc. in comparable fields like Physiotherapy or

Pharmacy, where the fee typically charged is Rs. 30,000 p.a. and the course duration is only 3 years.

The overall cost structure clearly is clearly in favor of prospective students preferring other

disciplines to nursing.

The private schools also do not get any Govt. support for SC/ST students because the schools are

considered Self-Financed Institutes.

Unrecognized Courses

With the expansion of the healthcare sector, several unrecognized courses are being offered in the

private sector to fill the need gap. These colleges are based primarily on distant learning through

web-based portals and are not recognized by INC. For a technical skill based profession like Nursing,

training cannot be provided through online means. The necessary lab infrastructure and exposure to

hand on patient care is missing from these courses. Unfortunately, several nursing homes and

hospitals end up employing graduates of these courses which leads to poor quality of nursing and

care.

In comparison with the recognized course (Diploma and B.Sc.) the online courses have shorter

duration and are preferred by students who not able to afford the recognized courses or wish to

complete the course in shorter duration. Another reason these courses are becoming popular is that

they are patronized by several doctors and nursing homes who try to save on the cost of paying

nurses.

The issue of unrecognized colleges was especially highlighted by the head of nursing at Apollo

Hospital, Gandhinagar. She mentioned that in their regular hiring process, she comes across

applicants holding certifications from these courses who are short of even the basic skills required of

the nursing jobs such as taking the pulse of the patient.

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Teaching Resources

At J.G. College of Nursing, we learnt about some of the aspects essential to setting up a good nursing

college.

Good lab facilities are needed to give practical education to the aspiring nurses. At JG

College, there were labs that were equipped with dummies and basic equipment that a

nurse uses in a real hospital. There was one room that simulated a real ward like situation.

Another room had a setup that helped students learn about neonatal care.

Good experienced teachers who have nursing experience. JG College had a very experienced

principal and teaching staff. But while J.G. College seemed to fare well in this aspect, this

may not be the case in all colleges.

During our interaction with the teachers at J.G. College, we came to know that many students have

started preferring the teaching profession to clinical assignments. As a result, they join nursing

colleges as teachers, immediately after completing their B.Sc. courses, without getting any real like

nursing experience in a hospital. The increasing demand for teachers has supported this trend. The

lack of real experience of these teachers, could harm the quality of education.

Student Challenges

Most students we met were not able to clearly articulate why they choose to join nursing except

that the nursing skills are in demand abroad and they feel this is their ticket to the U.S. And as far as

their future profession was concerned, they considered it to be just another profession and failed to

demonstrate passion and commitment towards making a difference in the patient’s lives. We also

observed some classes in session and noticed that most students seemed disengaged with the whole

process of learning.

Upon discussing our observations with the students and the Principal, we learned that most students

came from vernacular medium of schooling and found learning in English medium to be a challenge.

Even those students who came from English medium schools did not possess the strength in English

language necessary to learn higher level courses in English. Part of the problem was also the

teachers, who themselves did not possess the strength of conversing in English and the experience

of teaching which is necessary to engage the students.

We also learned that most bright aspirants of Science field do not come to B.Sc. in Nursing because

they do not see higher learning opportunities and a rewarding career path. Moreover, the recent

rule revisions which lowered the eligibility criteria from 50% to 45% to fill seats, which also

contributed to a drop in the quality of incoming students.

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Employment Opportunities A key pattern that emerged from various discussions we had with teachers, nurses and G.N.S.

director is the fact that B.Sc. graduates are not finding the kind of employment opportunities and

career paths that they would expect from a four year intense college program. Their salaries are at

par with Diploma holders. Hence G.N.M. courses are considered as alternatives that are less

expensive. There is also the perception of B.Sc. degree holders preferring to go abroad, go into

teaching rather than active nursing, or simply switch to other kinds of jobs. This has led to hospital

and clinics preferring Diploma holders in the first place.

For B.Sc. graduates, it seems the choice is between pursuing foreign jobs and getting into post

graduate specializations such as oncology or trauma or OT. Both of these options put additional

burden on them in stretching their education towards fulfilling career aspirations.

Doctors’ Approach to Nursing

We met several doctors who operated their own unregistered medical facilities and learned that

they have no incentive to pay market wages. This is because of several reasons:

1. There is no effective mechanism that forces them to hire the more expensive B.Sc. or G.N.M.

nurses. As a result, they are content with hiring an A.N.M. and make her perform the duties

of a registered nurse even though she is not competent enough to perform those duties.

2. The situation is exacerbated by the fact that a large supply of unregistered nurses is

available and these nurses are willing to work for less than half the salary demanded by the

registered nurses.

3. Doctors also pointed out that they remain liable for any and all mistakes committed by their

nurses and have no immunity even when the error is clearly attributable to the nurse. As a

result, the doctors feel justified in paying lower wages to compensate for the additional risk

they are assuming.

4. Health insurance requirements mandate that the doctors must hire at least one registered

nurse on their payrolls and ensure staffing levels that satisfy the prescribed minimum nurse-

to-patient ratio. However the doctors find it easy to game this weak system since the

government machinery and infrastructure is very weak and therefore incapable of enforcing

such requirements.

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Recommendations

We have differentiated our recommendations in four sections based on the functional area in which

the recommendation falls.

Legal / Legislative Actions

Revise Indian Nursing Act of 1947

A major overhaul of the Indian Nursing Act of 1947 is long overdue. The most important revisions

needed in this act are the following:

• Empower INC to oversee all nursing education activities and regulate any and all aspects of

nursing education, including the unregistered / unauthorized institutes which currently

operate without any supervision

• Prohibit distant / online learning for all nursing courses (including IGNOU distant-learning

nursing courses) since such courses are not able to provide effective hands-on experience

which is crucial for learning an applied skill like Nursing

Introduce the Indian Nursing Practice Act

India needs a separate Nursing Practice Act to define the scope of practice and responsibilities for all

nurses. Most developed countries have already established similar Acts so our officials can refer to

them in order to gain an understanding of the aspects of the nursing practice covered by such an

Act. At a minimum, the Act should cover the following:

• Clearly define the functions and procedures that can be performed by nurses and provide

legal authority to the nurses to perform these functions

• Require that all nursing services prescribed in the Act are performed only by a registered

nurse

• Make provision for civil / criminal liabilities in case the an unregistered nurse is found to be

providing services covered by this Act

• Make provisions for a role of nurse practitioner, which allows highly skilled nurses to

independently provide primary health care services

Introduce the Clinical Establishment (Registration and Regulation) Bill, 2010

This Bill was to be tabled in the 2010 budget session of the parliament but for various reasons it has

still not been tabled, and therefore remains a Bill. We recommend that the Central Government

576

should expedite the ratification of this Bill and pass it in to an Act as soon as possible. We

recommend this because this Bill covers the important provision that that requires all medical

establishments providing medical services to be registered, and requires the establishment of a

National Council for Medical Establishments to prescribe the criteria for registration. Doing so will

address the fundamental problem of identifying all the employers of unqualified nurses and provide

the means to discipline them and require them to comply with the prescribed norms of nursing.

Subsidies to bring B.Sc. (Nursing) fees at par with other B.Sc. Courses

The Government should make budgetary provisions to provide financial assistance for B.Sc. (Nursing)

students. The assistance should be sufficient to eliminate any disparities between B.Sc. in different

streams, so that aspirants of the Nursing profession are not discouraged simply due to the financial

burden of pursuing their dreams.

Executive Actions

Improve state infrastructure to register nurses

The state governments need to improve the infrastructure in place to register the nurses. The

infrastructure should have electronic databases of all registered nurses along with their photographs

and other forms of identification, and such a database should be easily accessible to various

authorities as well as doctors who wish to verify the credentials of a registered nurse within the

state. Ideal solution would be to put up the database online and have it accessible from the Internet

upon payment of the prescribed fees.

Integrate state-level databases with INC database

As the state councils begin to keep electronic records of the nurses operating in their states, such

databases should be integrated with the central database of nurses maintained by INC. The INC

should ensure that it maintains accurate and up-to-date records of all registered nurses in all states,

and access to this database should be granted to various authorities such as the proposed “National

Council For Clinical Establishments”, Health Insurance TPAs, who have the mandate and ability to

enforce employment of registered nurses at the various medical establishments under their control.

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Curriculum Improvements

Nursing courses in vernacular medium

We recommend that INC should consider offering Nursing courses in vernacular medium. There are

several reasons behind this recommendation:

The level of understanding through a vernacular medium of learning are known to be much

higher for all types of education

Nursing is a profession that involves very heavy human contact and most nurses end up

communicating with their patients in their local language

Such a practice will encourage more students from rural areas to take up nursing as a

profession

Syllabus revisions

We recommend the following syllabus revisions:

Post-basic qualifications must be integrated within the core B.Sc. This will offer B.Sc.

students a much needed USP (Unique Selling Point) and differentiate them from the G.N.M

Diploma holders

Revise the M.Sc. / Ph.D. course curriculum to include the skills necessary for these students

to take up the role of a Nurse Practitioner

Include language / communication skills courses in the A.N.M. curriculum, which will equip

these nurses to handle

Require nursing students to compulsorily serve in rural areas for one year during their

studies

Teaching Improvements

We suggest the following improvements to the teaching infrastructure provided to the students:

• Require teachers to compulsorily work in hospitals for a prescribed period each year. This

will allow the teachers to remain in touch with their professional skills and also keep gaining

valuable practical knowledge that they can pass on to their students at the next opportunity.

• The State Councils and the nursing institutions should encourage working nurses to teach, by

offering them higher salaries and / or other non-monitory incentives (e.g. social recognition,

extra benefits at their place of work, etc.) as feasible. This will hopefully expose the students

578

to teachers who have considerable real world experience of making a real difference by

saving a patient’s life, and thereby not only provide better learning but also motivate the

students to discharge their duties with an increased rigor and passion.

• The State Councils and the nursing institutions should encourage doctors to teach, by

offering them non-monitory incentives (e.g. social recognition, extra benefits at their place

of work, etc.) as feasible. Such a practice will also expose students to better learning

opportunities from accomplished individuals with a stronger knowledge of the human

anatomy and more experience in saving patient’s lives.

• The State Councils should incentivize the teaching institutions to invest in train their nursing

teachers on ‘how to teach’. Such formal training on how to best communicate complex

concepts in the most lucid manner can go a long way in increasing the effectiveness of the

teachers and thereby improve the overall quality of education received by the students.

Acknowledgements

We would like to acknowledge the help and guidance we received from many people and

organizations, throughout the course of our study.

Firstly, we are grateful to Dr. APJ Abdul Kalam and Prof. Anil Gupta for their guidance and

encouragement. We would like to thank them for the opportunity to learn from their vision during

the GRIT course.

We sincerely thank the registrar of GNC, Mrs. Jasuben Patidar, who gave us a detailed understanding

of the structure of nursing education in India. She helped us understand the system in not only in

Gujarat, but also discussed at length the situation prevailing in other states. We would also like to

thank the many teachers and staff members of JG College of Nursing, Ahmedabad. Finally, we

acknowledge the help received from many nurses and doctors throughout the course of this study,

especially the head nurse of Apollo hospital in Gandhinagar.

Bibliography (n.d.). Retrieved November 01, 2010, from RTI India: http://www.rtiindia.org/forum/55218-traffic-


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583

Sr. No. 98

Globalising a Resurgent India through

Innovative Transformation

Final Project Report: Facing Red Terror

By Tanushree Datta

Instructors: Dr. APJ Abdul Kalam and Prof. Anil

Gupta

Indian Institute of Management, Ahmedabad

584

Contents About this document

Purpose

Scope of the document

Focus dimensions

Beyond Text – Field Research and Post-Submission future follow up plan

Acknowledgements

1. Introduction

2. Short Historical Perspective and Critical Timelines

3. Case Study: Chattisgarh - Field Research and findings

4. World perspective: COIN in Vietnam, Iraq, Afghanistan, Punjab (Khalistan)

5. A Power Quad Framework

6. Recommendations

Conclusion: India- Vision 2020

REFERENCES

585

Disclaimer All the contentions, analysis, recommendations in this report are based on my individual

understanding and perceptions based on study of the situation.

About this document

This section describes the contents and structure of the paper including the purpose and scope of

the study, a brief description of the focus dimensions, and a brief paragraph on the field research

carried out and planned for the future follow-up.

Purpose The purpose of this document is to:

To scrutinize the Naxal activities and recommend a set of measures to curb the violence and

degeneration

To study different strategies used or advocated by experts around the world to handle

sensitive internal insurgency issues.

To make specific observations based on field research conducted in the state of Chattisgarh.

To get a stakeholder analysis and draw out points of divergence between stakeholders.

Consequently to attempt a convergence through leveraging or creating synergies

To comment on the issues studied and draw up a manager’s framework with a view to

restoring the rule of law and bringing peace and prosperity to the studied region.

Scope of the document The scope of this document is restricted to the sections listed in the Purpose section. This document

does not intend to be an all-encompassing study on the entire gamut of discussions around counter

insurgency or even on Naxalism across the whole country. I will also not get into the specific

contents of the various international agreements, conventions and treaties, but limit the study to a

relevant bearing of some of the available research on the issue under discussion.

Focus dimensions Naxal agenda – What do they want from Chattisgarh – as gathered from studies, interviews

and ground zero observations. Since this is based on opinions by people and studies which

again highlight people’s opinions, there is no proof of the contentions made. The report just

brings out trends in the way issues are perceived.

Why is Naxalism so difficult to tame? Drawing parallels with various other insurgencies and

Counter-Insurgencies (COINs) across the globe. Learning from past mistakes, innovating for

the future, the changing role of technology

Building a framework through which the issue can be tackled from multiple dimensions.

Beyond Text – Field Research and Post-Submission future follow up plan

As the duration, scope and research of this subject cannot be possibly completed within a

span of a few months, considering as we have only travelled to a few field sites in one

affected state, and given that it is difficult to get people to talk about the issue without first

586

building trust over a span of time, because of the sensitivities involved, post submission I

hope to visit Surat and a couple of areas in Jharkhand in January and April 2011 respectively.

Also hope to be associated with the administrative developmental efforts at the field sites

over time and continue with this effort beyond the time horizon of an academic term.

Acknowledgements

1. Dr APJ Abdul Kalam for his invaluable insights in class as well as from his website, quotations

and books

2. Professor Anil K Gupta, IIM Ahmedabad for his guidance and encouragement throughout this

effort, also for helping us meet with key officials on the field.

3. PGPX 2010-11 students Gautam Cormoli, Jyoti Agrawal, Vinayak Bhat and Gautam Bhuyan for

all the collaborative efforts during the initial phases of this project and the field trip

4. Mr P. Joy Oomen, Chief Secretary, Chattisgarh for a most instructive meeting and valuable

inputs on the Naxal issue, also for facilitating our stay and putting us in touch with local

administration in the areas visited

5. Mr R Prasanna, District Collector, Bijapur for very insightful discussions and all the help with our

research

6. Ms Meena the first elected lady representative of the zila Bijapur, for narrating hr experiences

and journey to a elected state representative

7. Innumerable researchers, writers, institutes who have conducted extensive and readily available

research

8. PGPX Office for their support

587

1. Introduction

The Naxalite problem has emerged as one of India’s most troubling domestic security challenges in

recent times. The alarming human casualty figure of 3 persons every 2 days for the last 5 years

stands testimony to the gravity of the problem. An insurgency that started in 1967 in a small village

and that now spans an area of a 92000-square-km belt definitely needs much deeper measures to

tackle than mere military intervention.

Some glimpses from our Chattisgarh field visit:

TOP LEFT: A rather glum journey from Jagdalpur to Bijapur, with the driver of our rented

vehicle narrating many horrific tales of Naxal killings and brutalities as well as human rights

violations by the forces, over the years

TOP RIGHT: One of the 18 places at which Naxals had recently dug up the roads

BOTTOM LEFT: Driving past the training cadets and the famed Sulwa Judum camps close to

the main road

BOTTOM RIGHT: An MSF car at the administration HQ in Bijapur that brought the two

project co-ordinators we spoke to.

588

Naxals at work

BOTTOM LEFT: This man was assaulted by Naxals a couple of years back and still carries a huge

scar as he showed us

BOTTOM RIGHT: Roads dug up in 18 places on the Jagdalpur-Bijapur stretch

Administration at work

LEFT: State Chief Secretary Mr P. Joy Oomen, helping us understand the State point of view and

the context in which things are working. He was very helpful in getting us the most helpful local

contacts.

RIGHT: A friendly local administration officer and a qualified engineer who gave up her

comfortable job in the IT sector to volunteer for mass development programs. They work under

Mr Prasanna the District Collector, who seems to be very, very popular among his staff as also

the locals.

589

Vinayak, Jyoti, Mr Prasanna, Dr Cormoli and I during a session facilitated by Mr Prasanna one

evening, A government doctor, Ms Meena, her aide, and some other officials also came down

for a discussion

The first lady elected representative of the Zila – Ms Meena. She was all praises for the guidance

and support from Mr Prasanna and his team

590

PGPX at work

Hospitality

Hospitality, homemade food and rest at the government circuit houses after a long day of work

591

To protect the protector- Seen outside most police stations

592

2. Short Historical Perspective and Critical Timelines

This section provides a brief history of the Naxal movement over the years, as it has evolved into its

present form.

593

3. Case Study: Chattisgarh - Field Research and findings

As part of the GRIIT project field research I decided to visit the den of Naxal activity – Chattisgarh –

and went down to the interiors of Jagdalpur and Bijapur after meeting up with the Chief Secretary of

Chattisgarh, Mr P. Joy Oomen.

We spoke to the Chief Secretary, the Collector of Jagdalpur Mr Parasthe, local administration

officials, obtained inputs from different stakeholders such as a Bijapur villager who moved out and

now resides in Jagdalpur, Bijapur Additional Collector Mr R Prassanna, Ms Meena the first elected

lady representative of the zila Bijapur, MSF project co-ordinators who have been working on site for

the last year and a half, local people and the government doctors at length.

On coming back to Ahmedabad I contacted Ms Shanthie Mariet D’souza, Associate Fellow at the

Institute of Defense Studies who has published work on Naxal funding in the journal of Defense

Studies in 2009. She also put me in touch with her mentor Dr Bibhu Prasad Routray, sharing their

research work. I tried contacting Brigadier Greg Cusimano from the US DOD to access the research

on the learning from a conference on the Indian terror experience over a span of over 50 years. I

have additionally tried to contact many activists for their perspectives but have not been too

successful. I researched and transcribed several television interviews by from various military

experts like Brigadier B K Ponwar , Head of the Centre of Jungle Warfare College in Kanker,

Chattisgarh for their perspectives on the role of technology in resolving such issues of internal

conflict.

Please see list of references for other research. Based on all the study and inputs from experts,

people on the ground, stakeholders as well as disinterested parties, this is my assessment of the

stakeholder motivation and interests.

Stakeholder analysis – conflicts and convergence of interest around the

Southern belt of Chattisgarh especially the Dantewada, Bijapur areas

STAKEHOLDERS MOTIVATION INTEREST ALIGNMENT

Naxal top order Money mafia – 35-40 in numbers, comes in, earns money and leaves, provides the leadership, direction and management. There is fear of financial and weaponry aid from foreign parties though no such claims have been proved as yet. Suspected to be possibly indirectly supported by and affiliated to CPI(M), COMPOSA, RDF and registered with RIM

Anti-State, Mafia projecting a semi- Robin hood image. Not clear if there is any established links between top Naxal leaders across states. Also state to state Naxal top order’s proclaimed ideology is different. There are states where elected representatives are talking about the Naxal agenda. In this study I contain my sphere of study to the Naxal issues faced in the state of Chattisgarh.

Sangham cadres Local recruits, guerrilla warfare, takes care of all operational aspects of the strife, known to be unforgiving and ruthless – heard of an instance where a

With Naxals, often have an axe to grind with the police and sometimes known to join cadres to avenge personal conflicts also. Easy money

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contractor was mercilessly killed because Naxals did not receive the extortion money. Later it came to be known that the businessman had made the payment which was actually swindled by one among the cadre.

and power in the hands of the ignorant.

Local Police forces Perceived to be corrupt, extremely frustrated and insensitive – heard instances where family of dead were forced to cook meat for police in the mourning period, another incident where police physically harassed villagers for information on Naxals- all as heard from locals in the area.

Wary of conflict, resistant to entering the danger zones, victims of violence as much as perpetrators of atrocities, suffering from very poor image, recognize the high price, risks of the job, unwilling to risk lives, tendency to send in external forces into dangerous areas

Women Naxals Often forced recruits, sometimes abused, instances of surrender, equally trained and merciless in executing operations

Anti-state; Often join sangham cadres out of want of options, sometimes join the cadre because of police harassment or atrocities

Externally commissioned forces

Lack of local knowledge of culture, geography and stealth warfare tactics, local police seem eager to let the external forces take on the combat

State or centrally deployed forces, a job to be done

Local Civic Administration

Limits to the impact this group can have on the violence and development Some amount of corruption or frustration evident as a lot of funds are being spent not for development of locals or tribals but rather for government guest houses and amenities. This may also be because other development efforts are frequently sabotaged by the Naxals. A lot of funds spent also go waste as infrastructure developed like roads and schools or other buildings are destroyed by the Sangham cadres

Aligned with the government in letter, but passive in support so mostly irrelevant in making any difference to the balance of order. Also since they are civilians not trained in combat and fear for their lives they remain mostly neutral. A lot of the administrative positions are considered to be punishment postings, might be turning a blind eye to Naxal activities for fear of their lives.

State government Has been progressively taking steps to make inroads and build capabilities in the affected areas. Too much bloodshed is crippling development of roads and communication networks

State-Centre co-ordination might be an issue because of different parties and the inherent tensions and lack of communication. Ostensibly both are on the same side.

Central Government

No direct interference in state affairs but home minister is known to be deeply concerned about the Naxal violence.

With the state but has been wary of direct interference

Non Profit Organizations such as MSF, Red Cross and volunteer workers

Tight lipped, prefer to carry on work without offending the Naxal regimes, not too forthcoming with information, an MSF project co-ordinator even went to the extent to claiming he hadn’t seen any incident in Bijapur over the year

Passively aligned with state.

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when we clearly know of many reported incidents.

Interested or affiliated parties such as Activists, Journalists, International Businesses

Government controls the published media. Not too many human rights organisations access these areas, under strict control of the administration and the Naxals, neither of whom are forthcoming with information

Neutral, find it difficult to access these areas. Businesses shy away from investments because of bureaucratic red tape and fear of retribution. Under normalcy the area would be of interest as it has very rich natural resources, which are really what the Naxals want to control

Local Tribes Mostly illiterate and underdeveloped. Would benefit greatly from implementation of the UNDP MDG and Dr Kalam’s Vision 2020. There is still a disconnect between them and the village settlers.

Neutral or pro-Naxal cadres, will swing whichever way looks safer Inequalities between urban and rural areas, landlords and tribals, encroachment on living space and livelihood of tribals

Village settlers Torn between the atmosphere of distrust and fear among police, neighbours and terror of Naxals Fear retribution by extremists, Land reform issues – pattas, not clear property rights, Displacement due to large scale projects

Often made to leave their homes and villages and come down to stay in the Roadside Salwa Judum Camps – as understood from strong hints by locals. Lack of development depth could be another reason for discontent– for example we found plush circuit houses but no Operation Theatres or fully-equipped maternity wards in Bijapur

Business community and contractors, miners, foresters

Business and profits are the only motivation, most existing literature claims they are paying protection money clandestinely

Mute allegiance to Naxal terror, well-known to be aiding Naxals willingly or unwillingly through grants and protection money. This also ensures they can carry on business without fear of violence or disturbance and their employees are safe within the area of operation

Forest officials Hearsay is there may be some pro-Naxal infiltration and that is how Naxals can get away with control of timber and natural resources trade in the deep forests.

Supposedly with state. We could not get to interview or meet any of the officials so I would not like to speculate on their affiliation. However they are important stakeholders and it is important to keep in mind their interests for developing the framework.

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4. World perspective: COIN in Vietnam, Iraq, Afghanistan, Punjab

(Khalistan)

A short study juxtaposing various global insurgency movements

As part of a comparative analysis I started studying how the Punjab Khalistan turmoil was

brought under control during the 80s and early 90s after reaching a peak. While at it I also found

a lot of US DOD studies on US military COINs in various parts of the world. I found some of the

lessons documented in the US military literature relevant to the Naxal issue and have

incorporated them into my ‘Quad Framework’.

Here are key strategies, lessons from failures and successful tactics from some worldwide COIN

operations which could, at different phases, be utilized in our initiative:

Vietnam – The Abrams approach:

Setting up of rapid action mobile strike forces free of red tape, scouting companies

comprising ethnic minority tribes from the mountain and border regions

Locally recruited Fast Reaction forces – Delta, Omega , Sigma units

Local leadership and performance-based high incentives

Combined Marine-and-indigenous platoon trained, patrolled, defended, and lived in the

village together, with the intention of destroying Viet Cong infrastructure and protect

government constructions, participate in civic action; and conduct propaganda against the

Viet Cong. Civic action played an important role in efforts to destroy the Viet Cong, as it

acquired important intelligence about enemy activity from the local population.

Highlighting the brutality and mass massacres of the enemy force, win over local population

USA – 1940 Small Wars Manual

Deployment of indigenous forces as early as possible

Check on corruption – this cannot be stressed enough in an environment of suspicion

Tolerance, patience, sympathy and kindness as key guiding forces in building

relationships with the mass population

Restoration of law and order and a justice system as soon as possible

Conferring the right responsibility and authority on the indigenous agencies

Phillipine insurrection 1899-1902

Avoid big and costly war-type “search and destroy” missions

Enhance regime legitimacy by allowing insurgents and former insurgents to organize

anti-regime political parties, encouraging alternative ways of airing discontent to

violence

Understanding and respect for local customs, ethos and habits

Gentle and sympathetic treatment of women and children and reform of economic and

educational spheres

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‘The guerrilla fights the war of the flea, and his military enemy suffers the dog’s disadvantages:

too much to defend; too small, ubiquitous, and *too+ agile an enemy to come to grips with.’ –

Quoted in Robert Taber’s book ‘War of the Flea: The Classic Study of Guerrilla Warfare”

Iraq war 2003

Blast-proof trucks, called Mine Resistant Ambush Protected (MRAP) vehicles.

Unmanned Aerial Vehicles (UAVs), stoichiometric diagnostic devices, Joint IED

Neutralizer (JIN) and the Neutralizing Improvised Explosive Devices with Radio

Frequency (NIRF), PING - fits inside a Humvee and sends out electromagnetic waves to

penetrate the walls of buildings to detect IEDs, Laser-Induced Breakdown Spectroscopy

system (LIBS)

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5. A Power Quad Framework

This section draws from all the research and studies and is the main

framework for a number of recommendations in the next section of the

paper.

Based on the referenced studies, field research and analysis of facts before me, I have developed

a framework consisting of four pillars that I hope and believe can help contain terror activities

and ameliorate the suffering of the public.

A Power Quad Framework

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6. Recommendations

This section describes my strategic learning from the study of worldwide

COIN operations (Section 4: World perspective: COIN in Vietnam, Iraq, Afghanistan, Punjab

(Khalistan)) and lists specific recommendations, not exhaustive, falling under

the QUAD framework developed for the state of Chattisgarh today (Section 5:

A Power Quad Framework ), structured in an OLR format:

Observation Learning Recommendation Know the Enemy

The issue has degenerated from a proletariat struggle to protect the rights of the poor in Naxalbari, into a violent political power siege and a forest mafia in Chattisgarh today.

Guerrillas thrive on public discontent. Winning mass support is imperative to success.

Hence one of the most important tasks is to create friendly, helpful and welcomed authorities and make systems just and truly transparent thus eliminating civil disobedience. Pro-active Financial investigations into methods by which they raise, store, and move money

Military Approach

Often governments have underestimated the cost of engaging in battle with the insurgents as opposed to peaceful negotiations and compromise solutions. In the corporate world we sometimes see this as CEO Hubris- persisting with an unproductive action plan knowing it will not succeed.

Accurate risk analysis and cost-benefit assessment of pacifying versus engaging the enemy in conflict. Understanding enemy motive, agenda, resources, strengths and weaknesses. Locally developed defence units- example bullet proof tractor in Punjab during the 1980s.

Adapting to and adopting smarter enemy tactics – Example operating in small cells – emulating the enemy’s efficient structures; deploying local tribal regiments; specialized, disciplined training; Maintaining extensive records of action, programs and people

Changing role of technology

Shift from technology-driven to information-driven wars

War of the Flea cannot be won with expensive technology but with low cost incremental advantages like the introduction of night vision goggles for forces during the 1980s Khalistan movement in Punjab

Instead of deploying big war-type forces, concentrate on low-cost handy, small incremental aids and innovations that are region specific and are practical, reproducible and easily available but cannot be asily replicated by the enemy

Stakeholder Management

Media exclusion, secretive possession of information, not

Justice, police and administrative systems need to be

For examples: Chattisgarh should be built up as a challenge not a punishment posting

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involving people in decision-making and generally alienating stakeholders has often worked against states

transparent and evidently superior to those established by the rogue organisations. The more transparent the state, the less cynical are media and educated masses.

Encouraging human rights groups and media to work freely in affected areas. Simultaneously address conflicts so the enemy cannot places spies in these organizations or even sets up fraud CSOs. The state should clearly justify actions taken to the people of the nation.

Population Management & people development

People need to be masters of their own destiny. As long as they feel exploited dissent will breed. And empowerment is a complex subject. If you visit the CRY-India chapter website (www.cry.org/index.html) you find how they have evolved from the Child Relief style of operations to the Child Rights mode. The difference is marked, but tends to get overlooked if not understood correctly. The relief mode advocates providing tangible aid by soliciting donations. While it is commendable it is most likely unsustainable over a lifespan. In contrast, the Rights mode is all about empowering people to demand their rights. Knowledge is the power they need.

Locals must be involved in decision making. Education systems, basic and eventually advanced computer sciences, good teaching systems, efficient school governance, adult literacy programs, women’s development cells, proliferation of banking and financial services etc have been known to empower societies in every part of the world. There was an explicit request from the district collector of Bijapur – Mr R Prasanna for premier institutes such as IIMs to initiate leadership programs for the new Gen X politicians in the areas.

There is already a lot of development activity going on. These need to continue and speed up. Infrastructure and social benefits, reaching banking, financial and other services to facilitate income generation on a mass scale, special commerce zones, special marts for commercialising , development of distribution networks for agricultural and labour intensive produce. Training and honing traditional local skills and crafts and consequently sourcing them for government owned city based marts such as the Dilli Haat in New Delhi. Win over tribal Gen X through exposure to education, vocations, entrepreneurship, music, entertainment industry, hosting secure sports events, training children in music and sports, facilitate effective panchayats, district courts. Manage to locally carried out the census even though it will be very difficult, issuance of photo ID cards, maintenance of birth and death records I also feel Dr Kalam’s PURA initiative in Chattisgarh (Chitrakoot PURA) can easily be extended to include Bijapur, Dantewada areas as PRIORITY Type C clusters, with guidance from the DRI.

Strategy and Focus, Planning and Goal Setting

Insurgents often use the systems disruption strategy entailing cheap costs of destruction but huge damage. Long-term strategies

The state should focus on: Disrupting insurgent systems Understanding the objective and strategy

Isolation and use of mass game theory tactics in military as well as development; John Boyd’s Observation-Orientation-Decision-Action and theory of moral conflict that emphasizes mental and

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have been seen to produce more positive results as compared to intermediate combative strategies. As Professor Anil K. Gupta cites in an article “In 1868 or so, after the Meiji Restoration, Japan set up a working group to study the educational system worldwide. After the study, the team prepared a report that was titled as “200 years of education plan for Japan”. By the turn of the century, Japan was the first Asian country to be fully literate. That is the power of a long term vision.”

behind using force as opposed to persuasive combat. Co-ordination between inter-state and international communities – example UN strategy for COIN Following a least collateral loss warfare strategy

moral isolation more than physical defeat through a spate of threatening events creating confusion, ambiguity and fear psychosis because of the inherent uncertainty; To hurt them at the nucleus of the war – reclamation of the forest lands; Where forest lands need to be conserved, develop tourism – forest home-stays and safaris; PSU in remote areas; auctioning of some mining and forest conservation rights in a pro-rata collaborative way between private, local, international and state agencies Also encourage micro-shareholdings for local population Planning long-term – 5-20 year socio-economic-political-militaristic-developmental strategy; Setting up secure business and economic zones, facilitating habitation and trade; Concentrate COIN on top leadership – only 30-40 in numbers but driving the movement.

Intelligence Punjab – HUMINT – acting on specific intelligence instead of general public harassment got the establishment a lot of support from the public. In Punjab during the early days of insurgency, there were many pro-Khalistani elements in the forces. Whenever such a case came to light the automatic reaction of the establishment was to sack these personnel. Once sacked, they went on to join insurgents openly.

Leaking inaccurate information to the enemy, and guarding sensitive information; Help from friendly neighbours; Cross border co-ordinated efforts with all affected states; Important to make corrupt officials irrelevant to sensitive information rather than outright sacking; Loyalty of own officers imperative.

Overseeing closely, without harassing, the donor aid to CSOs working in especially volatile areas, to ensure it does not become an instrument of Naxal funding by suspect sources. Local intelligence through mixing and migration of population. Western education to new generation; Replicating effectively the CATs model – Concealed or Covert Apprehension Techniques - used during the Punjab Insurgency to cultivate grassroots intelligence using surrendered insurgents/ women insurgents; Celebration of local culture festivals and rituals, displaying intent to preserve the culture.

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Inter-state intelligence network, use of satellite and other advanced communications and tracking technology.

Force Unification

Motivation and unification of forces is a major hurdle for authorities. How can you expect a person to willingly walk into a death-net with all the statistics painting a bleak picture over a span of 20 years? Can we blame the local forces for turning

Field Marshall Montgomery of the famous Malaya COIN said famously “We need a plan and then we need a man” The role of KPS Gill as a leader in marshalling forces well known during the Khalistan movement. The will to take required decisions and action also critical.

Improve working conditions and ensure adequate cover for forces; provide adequate insurance covers; Establish a motivating police-to-insurgents ratio even if you do not use the complete force at all times. The police personnel should feel secure that reinforcements are at hand. Cultivate respected, admired, not feared leadership in ranks. Also establish succession planning programs well in time. Often in COINs once a revered leader falls or is removed from the position, the motivation of the force falls with him/her. Management training to police, civic administration, local political leaders Team building exercises and sensitization workshops

PR and Communications

June 2008, When the Indian government hiked petrol, diesel and LPG prices; there was a huge hue and cry from people perceiving it to be an anti-egalitarian move. However when the price of oil rises AND free (or at least somewhat free) market forces operate, the demand for the product falls and the cycle should complete with some degree of price stabilization. When Dr Manmohan Singh addressed the nation explaining basic economic s of how an artificially inflated

People will support the state if they see the state as the protector and not the usurper of their lands, livelihoods, resources. Unless they know and clearly understand what you are doing for them, how can they appreciate your work?

ACT AND TELL programs Communication mechanism and intelligence building using sophisticated unmanned and satellite equipment Attract more human rights groups, start 108 type service, let activists and journalists do their work, discard the suspicious antagonistic administrative attitude Good treatment and rehabilitation of caught Naxals made visible to people

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demand can eventually cause even higher prices, people started accepting the decision. Just shows how important it is to rationalise and communicate decisions and actions to all parties involved

Other CBMs The whole region is ensconced in suspicion. Authorities do not trust the population or Naxals; People do not trust Naxals or the state agencies. There is much discord, people are afraid to speak even among each other

The atmosphere of suspicion can only be combated by building credibility and trust in the minds of people. To this effect the immediate addressing of injustices, poverty and human rights issues is critical. Fast track courts to try security injustices with open house proceedings also help.

Addressing concerns of ‘securitization of donor aid’ by making sure any action on an individual or an organization is taken only after full due diligence and substantive evidence to support contention. The intent should be to minimize harassment of CSOs by authorities. A thrust towards achieving the eight major Millenium Development Goals. Bringing in UN developmental organizations like UNICEF and WHO into the affected areas and engaging the tribal population. Also bridging any divides between the tribal population and the villagers Immediate addressing of injustices, poverty and human rights issues; Sangham rehabilitation programme, priority whistleblower safety and source protection programs

Post Project Analysis (PPA)

While VDC and SPO scheme was successful in Punjab, it was widely accepted only once the tide had turned against the insurgents. Comparatively because of lack of faith, Sulwa Judum is mostly unsuccessful and people are merely refugees at the camp sites.

There are important lessons to be learnt even from failed initiatives.

Every initiative should have records, and conduct a PPA to evaluate the impact of the program, positive or negative

Integration Management

Too often forces work on a different strategy and administration works on a different one. This ends up creating a chaotic environment.

Development and security cannot be pursued by state forces in isolation.

The state needs to focus on an integrated and unified civil-military approach, and the security of the population

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Conclusion: India- Vision 2020

An effort to reconcile the Indian dream as envisaged by two stalwarts of the

nation

To conclude this effort, I would like to emphasise that no effort is for a segment of people or an

isolated part of this nation only. At the end of the day all of us endeavour to make this great nation

what Shri Tagore so eloquently constructed in the poem – “Where the mind is without fear”, and

what Respected Dr APJ Abdul Kalam has charted as the India Vision 2020, which has also been

extensively referenced and acknowledged in the GOI 2002 planning commission’s India Vision 2020.

Reproducing the thoughts that were in my mind while writing this report.

In the words of Nobel Laureate Shri Rabindra Nath Tagore –

“Where the mind is without fear and the head is held high

Where knowledge is free

Where the world has not been broken up into fragments

By narrow domestic walls

Where words come out from the depth of truth

Where tireless striving stretches its arms towards perfection

Where the clear stream of reason has not lost its way

Into the dreary desert sand of dead habit

Where the mind is led forward by thee

Into ever-widening thought and action

Into that heaven of freedom, my Father, let my country awake.”

From Dr. APJ Abdul Kalam’s book and website

“I visualize the following distinctive profile of India by the year 2020.

1. A Nation where the rural and urban divide has reduced to a thin line.

2. A Nation where there is an equitable distribution and adequate access to energy and quality

water.

3. A Nation where agriculture, industry and service sector work together in symphony.

4. A Nation where education with value system is not denied to any meritorious candidates

because of societal or economic discrimination.

5. A Nation which is the best destination for the most talented scholars, scientists, and

investors.

6. A Nation where the best of health care is available to all.

7. A Nation where the governance is responsive, transparent and corruption free.

8. A Nation where poverty has been totally eradicated, illiteracy removed and crimes against

women and children are absent and none in the society feels alienated.

9. A Nation that is prosperous, healthy, secure, devoid of terrorism, peaceful and happy and

continues with a sustainable growth path.

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10. A Nation that is one of the best places to live in and is proud of its leadership through

creative and effective leadership in Parliament, State Assemblies and other institutions of

the State.”

REFERENCES

‘India 2020: A Vision for the New Millennium’ by Dr APJ Abdul Kalam

Report of the Committee on ‘India Vision 2020’, Chairman Dr. S. P. Gupta Planning

Commission, Government of India, New Delhi, DECEMBER, 2002

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and Gunawan Husin

‘Implementation of the UN Global Counterterrorism Strategy’ released at the 42nd

Conference on the United Nations of the Next Decade. Sponsored by The Stanley

Foundation. Held June 8-13, 2007 at The Inn at Perry Cabin, St. Michaels, Maryland

LEARNING FROM IRAQ: COUNTERINSURGENCY IN AMERICAN STRATEGY by Steven Metz,

January 2007. (http://www.StrategicStudiesInstitute.army.mil/ )

Comparing Alternative U.S. Counterterrorism Strategies Can Assumption-Based Planning

Help Elevate the Debate? by Robert J. Lempert, Horacio R. Trujillo, David Aaron, James A.

Dewar, Sandra H. Berry, Steven W. Popper

COIN OF THE REALM: U.S. COUNTERINSURGENCY STRATEGY by Ralph Wipfli of The

Brookings Institution and Dr. Steven Metz of Strategic Studies Institute

RAND COUNTERINSURGENCY STUDY – ‘War by Other Means - BUILDING COMPLETE AND

BALANCED CAPABILITIES FOR COUNTERINSURGENCY – by David C. Gompert and John

Gordon IV,

With

Adam Grissom, David R. Frelinger, Seth G. Jones, Martin C. Libicki, Edward O'Connell, Brooke

K. Stearns, Robert E. Hunter, Prepared for the Office of the Secretary of Defense

A perspective on the historical development of counterinsurgency population management

theory and the relative reliance on force and influence – [NAME REDACTED], [PROFESSOR

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Draft of the The Role of Demand in the Historical Development of the Banana Market by

Marcelo Bucheli Department of History, Stanford University (Paper presented at the Social

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USAWC STRATEGY RESEARCH PROJECT ‘COUNTERINSURGENCY:RELEARNING HOW TO

THINK’ by Lieutenant Colonel Gerald E. Galloway, United States Army

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DEPARTMENT OF THE ARMY, USA

Improvised Explosive Devices (IEDs)in Iraq and Afghanistan: Effects and Countermeasures by

Clay Wilson, Specialist in Technology and National Security, Foreign Affairs, Defense, and

Trade Division

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Nationalist Army during the Chinese Civil War’ by Victor Shiu Chiang Cheng, Working Paper

No 20, 2007, Centre for East and South-East Asian Studies, Lund University, Sweden

http://www.strategicstudiesinstitute.army.mil/

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Strategic and International Studies

On Boyd, Bin Laden, and Fourth Generation Warfare as String Theory By Col. Dr. Frans

Osinga

Fourth Generation Warfare & OODA Loop Implications of The Iraqi Insurgency by G.I.Wilson,

Greg Wilcox and Chet Richards

‘Back to the Street without Joy: Counterinsurgency Lessons from Vietnam and Other Small

Wars’ by ROBERT M. CASSIDY

SECRETS OF COIN SUCCESS: LESSONS FROM THE PUNJAB CAMPAIGN by Anant Mathur, Wg

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‘The Vulture and The Snake Counter-Guerrilla Air Warfare: The War in Southern Lebanon’ by

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Studies Bar-Ilan University

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and David P. Fidler

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http://www.slideshare.net/chinmayqaz/final-report-on-naxalism

http://www.chitrakoot.org/html/index.htm

http://nepaliperspectives.blogspot.com/2008/03/real-obstacle-for-elections-maoists.html

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