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1. India’s Regulatory Shift: An Examination of Five Agencies of the Post- Liberalisation Era

Author:
Arkaja Singh
Publication Date:
02-2023
Content Type:
Working Paper
Institution:
Centre for Policy Research, India
Abstract:
This paper explores the design of Indian regulatory agencies established post-liberalisation from an administrative perspective. Regulatory agencies were set up to replace state inefficiencies, and to discipline profligate state agencies, even as much as they were a response to state-market reorganisations and the challenge of privatization. Regulation provided an opportunity for upper levels of the Indian bureaucratic state to recast their power, with the idea that it would provide a framework for economic rationality, independence and technical specialization to take centre-stage. In actual practice however, the design of each of the regulatory agencies is shaped largely by pre-existing legal frameworks and institutions, and the agencies have remained quite tied in with their counterpart departments and on retired bureaucrats. However, in spite of these limitations, these agencies have some common features imbued by legislative mandate and organisational design which are unique in the context of the Indian state. They have focus and stability, a degree of functional independence, and most importantly, a concentration of power, which enables them to think through and implement complex policy transitions from multi-year and context-specific perspectives. The paper builds on learnings from a series of conversations with regulatory agency chairpersons in order to identify what regulatory governance is, in terms of the powers and mandate of the regulatory agencies and what makes them distinctive from the rest of public administration.
Topic:
Governance, Regulation, Liberalization, and Administration
Political Geography:
South Asia and India

2. Circular Business Models: Policy Enablers for Plastic Packaging Alternatives in India

Author:
Jenny To
Publication Date:
01-2023
Content Type:
Working Paper
Institution:
German Institute of Development and Sustainability (IDOS)
Abstract:
In recent years, global production of plastics has surged and is expected to increase further over the following years, with over a quarter being attributed to plastic packaging. Plastic packaging poses environmental risks due to the fossil fuels consumed in its production and the impact on eco-systems due to its inappropriate disposal. A large share of mismanaged plastic waste can be attributed to a few developing and emerging countries (DECs) in Asia. Their expected income and population growth, as well as associated increase in consumption and urbanisation, is expected to further strain inadequate waste management systems. In response, young ventures offering circular business models in packaging have emerged to tackle plastic packaging pollution. These ventures are embedded in an entrepreneurial ecosystem in which policies are, among others, determining enablers, and policy-makers have a key role in setting optimal framework conditions for circular business models in packaging to succeed. At the same time, policy agendas that address resource efficiency and the circular economy are on the rise in multiple DECs. For this reason, this paper addresses the question of the extent to which existing policies are supporting and enabling circular business models. This paper first discusses opportunities, risks, and challenges of existing circular business models in packaging in terms of waste hierarchy levels – reducing and dematerialising, reusing and refilling, replacing, and recycling – before examining the entrepreneurial ecosystems in which they operate. With a focus on policy as an enabler for circular business models in packaging, a holistic overview of possible policies in the circular packaging context is provided. Against this conceptual background, India is examined as a case-study. In recent years, multiple Indian start-ups have emerged, offering reusable packaging solutions or bio-based packaging alternatives, while other ventures seek to improve waste management and recycling. India’s previously introduced policies, including the Plastic Waste Management Rules, Swacch Bharat Mission, extended producer responsibility and a ban on single-use plastic, are the first stepping stones towards an enabling ecosystem for circular business models in packaging. However, this paper points out further opportunities – so far, India’s key policies have been addressing the downstream on the macro level. This study showed that macro-level policies need further enforcement and should be complemented by upstream policies. Meanwhile, meso-level and micro-level policies have been rather neglected. Policy-makers and development cooperation are encouraged to take action now, given the limited window of opportunity to establish a supporting framework for circular economies in development policy.
Topic:
Environment, Business, Waste, and Plastic
Political Geography:
South Asia and India

3. India's G20 Presidency: Opportunity to Resume Engagement in the Arctic

Author:
Anurag Bisen
Publication Date:
02-2023
Content Type:
Working Paper
Institution:
The Geneva Centre for Security Policy
Abstract:
The Arctic lies at the intersection of several issues with global consequences such as climate change, increased accessibility to and availability of resources, and global strategic contestation that have made the region increasingly relevant to the world. Temperatures in the Arctic continue to rise at four times the global annual average, driving many of the changes under way there, most prominently sea-level rise and the thawing of permafrost, which impact both local ecosystems and the global climate system. International scientific cooperation and data monitoring and sharing are crucial to understanding the impact of climate change, counteracting its negative effects, and enhancing living conditions and economic activity. Apart from a few limited pockets of cooperation that still exist, cooperation between Russia and the West with regard to the Arctic has largely been put on hold since the start of the conflict in Ukraine. The current absence of research and data sharing among scientists is threatening to jeopardise scientists’ understanding of the warming trends in the Arctic, exacerbating the environmental emergency the region in particular is facing. One of the few channels that still exists for constructive dialogue on a range of Arctic-related issues is the GCSP’s “‘High North Talks”’, through which discreet exchanges on various important issues continue. Among other things, the G20 agenda includes climate change, sustainable development and the environment, all of which are under threat due to the cessation of Artic-related scientific engagement. The G20 also represents a rare platform where engagement between Russia and the West has not yet ceased. The suspension of dialogue and scientific exchange vis-à-vis the Arctic is driven by a deep distrust that needs to be overcome by an interlocutor that is acceptable to all stakeholders. India's theme for its G20 presidency resonates strongly with the Arctic and its impact on the world. The resumption of Arctic-related scientific exchange is an easy deliverable with global benefits that India, which has the necessary legitimacy, credibility and relevance, should use its G20 presidency to strive for.
Topic:
Climate Change, Diplomacy, International Cooperation, Science and Technology, G20, and Sustainability
Political Geography:
India, Asia, and Arctic

4. Social Media, Mass Atrocities, and Atrocity Prevention: 2023 Sudikoff Interdisciplinary Seminar on Genocide Prevention

Author:
Daniel Solomon and Tallan Donine
Publication Date:
04-2023
Content Type:
Working Paper
Institution:
Simon-Skjodt Center for the Prevention of Genocide, United States Holocaust Memorial Museum
Abstract:
In 2018, anti-Muslim extremists in Sri Lanka organized a series of attacks against Muslim civilians throughout the country (Taub and Fisher 2018). Extremist leaders used a misleading viral video to stoke fears that the country’s Muslim minority was organizing a campaign to sterilize the majority Sinhalese population en masse. The video circulated widely on Facebook, and participants in the violence also set up private WhatsApp groups to coordinate the violence. This is just one example of a disturbing pattern that is increasingly under the spotlight: social media seeming to fuel violence, including large-scale and deliberate attacks on civilians based on their identity. These examples have become widespread in recent years, with attacks on the Rohingya community in Burma, the Muslim community in India, and multiple marginalized groups in Ethiopia and elsewhere following a similar trajectory. Influential users appeared to use social media in these cases to dehumanize their targets, recruit participants, and coordinate violence. Amid public outcry social media firms have begun to develop or revise some policies to limit the spread of harmful content. In the Sri Lanka case, Meta—which operates both Facebook and WhatsApp— acknowledged and apologized for the platforms’ role in the violence (Facebook 2020), issued a series of human rights impact assessments of its role, and stated it would implement policies to address associated human rights concerns from its products, with applications to other high-risk contexts (Sissons 2020). Across social media companies, responses to concerns about “offline harm” have largely focused on content moderation, modifying algorithms that promote different kinds of content, and restricting access to certain users. Many advocates argue that actions to date have not gone far enough, asserting that stronger action—including government regulation—is necessary to prevent social media from contributing to violence, including mass atrocities. Social media use will only continue to rise, especially in countries at high risk of new mass atrocities. Beyond select cases, however, there is insufficient research about the specific relationship between social media platforms and the onset and escalation of mass atrocities—or how social media companies and government actors might limit these platforms’ potential negative effects. The goal of this paper is to stimulate and frame discussion during the Sudikoff Interdisciplinary Seminar on Genocide Prevention about the relationship between social media technologies and the risk and prevention of mass atrocities. Based on a review of relevant research, policy documents, and public statements by social media companies, the paper surveys current knowledge and identifies important gaps in understanding about (1) how social media platforms have contributed to the risk and occurrence of mass atrocities in the past and how they might do so in the future;1 and (2) strategies to help prevent social media from fueling mass atrocities.
Topic:
Social Media, Facebook, Atrocity Prevention, and Risk Assessment
Political Geography:
India, Sri Lanka, and Global Focus

5. Strengthening Regional Value Chain between India and South Korea: Emerging Opportunities for Trade and Investment Cooperation

Author:
Durairaj Kumarasamy
Publication Date:
03-2023
Content Type:
Working Paper
Institution:
Korea Institute for International Economic Policy (KIEP)
Abstract:
The changing dynamics of supply chains and their impact on shaping international relations in East Asia have become crucial issues for scholars and policymakers. Asia’s two major economies, India and South Korea, are reassessing their strategy on the changing dynamics of the supply chain. India is to redesign its developmental strategy to establish India-centric supply chains in key industries. India has stressed its endeavour to become a self-reliant economy by introducing a highly ambitious Production-Linked Incentive (PLI) scheme to attract FDI in strengthening and establishing the supply chain linkages in India, whereas South Korea has adopted a strategy to mitigate supply chain-related risk through greater emphasis on developing strong self-reliance and promoting economic diversification by enhancing its economic ties with India. In addition, the pandemic-induced supply chain disruptions further reinforced South Korea toward diversification and resilience of its supply chain. South Korea’s development experience and deep investment relations with India can explore the untapped potential of bilateral trade and investment linkages. To ensure supply chain resilience both India and South Korea focus on critical sectors such as semi-conductors, steels, secondary batteries and chemicals, along with new technology areas like AI, 6G, Digital Infrastructure and renewable energy for cooperation. In this regard, the study explores the trade and investment relationship between India and South Korea and identifies the potential sectors to engage in the sustainable value chain between them.
Topic:
Investment, Trade, Economic Cooperation, Supply Chains, and Value Chains
Political Geography:
South Asia, India, Asia, and South Korea

6. What Should India Do Before the Next Taiwan Strait Crisis?

Author:
Vijay Gokhale
Publication Date:
04-2023
Content Type:
Working Paper
Institution:
Carnegie Endowment for International Peace
Abstract:
In the next two decades, the Taiwan question is likely to assume increasing importance for the Indo-Pacific region. The People’s Republic of China (PRC) is becoming more assertive about unifying Taiwan with the mainland, and it is also making progress toward establishing the military capability toward this end. For a rising PRC seeking to establish itself as the dominant global power, it is untenable that a part of its territory remains outside its control. Possible endeavors toward establishing this control could lead to a response by the United States, which would have broader ramifications for the region and the world. For the United States, any endeavors by the PRC to this end would undermine the very core of the idea that the United States is the defender of freedom and democracy across the world, thus undermining its credibility. It might also deal a devastating blow to the United States’ global power. In this context, and given the significance of Taiwan to both countries, it is an issue that can rapidly escalate, making it a matter of concern in the Indo-Pacific. Further, a conflict over Taiwan would dwarf the global economic fallout that began when Russia invaded Ukraine in 2022. Short of conflict, Chinese coercion of Taiwan could disrupt the freedom of navigation and sea lanes of communication through the Taiwan Strait and will have severe consequences for Asian geopolitics and geoeconomics. Given India’s substantial geopolitical and geoeconomic interests in the region and its long history of exchanges with East and Southeast Asia, India should pay constant and careful attention to this issue. Further, a policy to respond to various contingencies must be thought through and put into place. This paper tries to look at the possible policy that India might adopt ahead of a major crisis in the Taiwan Strait. The paper proceeds in three parts. The first part analyzes the geopolitical and geoeconomic consequences of another Taiwan Strait crisis for India. While it is difficult to estimate the actual damage that would be dealt to the Indian economy, it is clear that all segments of the economy would be affected, with the impact possibly substantial enough to set India back several years. A crisis would also impact India’s geopolitical interests and national security, given that China is increasing its assertiveness both along the Line of Actual Control as well as in the Indian Ocean. The second part argues against a commonplace view that India played no role in crisis management during earlier periods of high tension in the Taiwan Strait—the 1954–55 and 1958 Taiwan Strait Crises, also known as the First and Second Taiwan Strait Crisis, respectively. By using archival material in the United States, the United Kingdom, and India, it seeks to dispel the above notion and that Taiwan ceased to be a matter of interest for India after it had recognized PRC’s claim over Taiwan in 1950. Further, it looks at the lessons for policymaking from India’s handling of the crises. The third part of the paper briefly traces the history of India-Taiwan relations following India’s transfer of its diplomatic recognition to the PRC till the present day. It provides an overview of India’s Taiwan policy. Given that a war in the Taiwan Strait is not beyond reasonable doubt, it then discusses the scenarios India might find itself in and the possible policies to respond to these scenarios. It recommends a close following of the U.S.-ChinaTaiwan strategic triangle, a whole-of-government assessment around impacts of a Taiwan Strait contingency, and an assessment of policy options. It also recommends mapping the expectations that China and the United States would have of India, along with undertaking consultations with key partners on the Taiwan question.
Topic:
Foreign Policy, Geopolitics, Crisis Management, and Geoeconomics
Political Geography:
South Asia, India, Taiwan, Asia, and Indo-Pacific

7. Beyond India’s Lockdown: PMGKY Benefits During the COVID-19 Crisis and the State of Digital Payments

Author:
Alan Gelb, Anurodh Giri, Anit Mukherjee, Ritesh Rautela, Mitul Thapliyal, and Brian Webster
Publication Date:
04-2022
Content Type:
Working Paper
Institution:
Center for Global Development
Abstract:
India imposed a lock-down in response to the COVID-19 pandemic in March 2020 and began a gradual re-opening in June. A telephonic survey in April examined the early effectiveness of information and the massive PMGKY social protection program (Policy Paper 217). This paper analyzes a second-round survey, conducted six months later. Logistical and information constraints had relaxed, and incomes and jobs had begun to stabilize for some. There were not strong indications of differential access to benefits by income or location, but constraints to providing public employment had tightened in the face of increased demand, resulting in greater job rationing. Men made more use of digital channels, with a clear smartphone ownership hierarchy between men and women; this divide carried over into the growing autonomous use of digital payments which is conditioned on access to smartphones. Survey results confirm strong local agglomeration effects in digital payments, mirroring the general pattern with higher use in states hosting India’s major technology hubs. At the same time, trust-based concerns reduced the use of assisted digital cash-outs through agents.
Topic:
Economics, Pandemic, COVID-19, and Digitalization
Political Geography:
India and Asia

8. The Future of the Quad and the Emerging Architecture in the Indo-Pacific

Author:
Garima Mohan and Kristi Govella
Publication Date:
06-2022
Content Type:
Working Paper
Institution:
German Marshall Fund of the United States (GMFUS)
Abstract:
The Quadrilateral grouping of Australia, India, Japan, and the United States (the Quad) has come a long way from its origins, establishing itself as a crucial pillar of the Indo-Pacific regional architecture and significantly shifting in tone and focus from its early iterations. Since its revival in 2017, the Quad has been elevated to a leader-level dialogue, it has begun issuing joint statements, and it has developed a new working-group structure to facilitate cooperation. It has also significantly broadened and deepened its agenda to include vaccines, climate change, critical and emerging technologies, infrastructure, cyber, and space. These recent changes to the Quad raise several questions about its future trajectory. What are the drivers of engagement, the domestic support, and the bureaucratic capacity in the four countries to continue investing in the Quad? How well does the Quad’s new working-group structure function, and will the working groups be able to deliver tangible results? How has the Quad’s agenda evolved, and will it return to its initial focus on security challenges? Are the Quad countries open to cooperation with additional countries and, if so, what form will this take? This paper analyzes these questions drawing on recent publications, official statements, and interviews with key experts and policymakers in the four countries. In doing so, it offers five key takeaways into the Quad as an evolving part of the Indo-Pacific architecture, as well as a vehicle for achieving the goals of its four member countries.
Topic:
Foreign Policy, Quad Alliance, and Defense Cooperation
Political Geography:
Japan, India, Asia, Australia, United States of America, and Indo-Pacific

9. Land Rights For Urban Slum Dwellers: A Review of the Odisha Land Rights to Slum Dwellers Act, 2017 and the Jaga Mission

Author:
Mugdha Mohapatra
Publication Date:
10-2022
Content Type:
Working Paper
Institution:
Centre for Policy Research, India
Abstract:
Theorists of economic development have emphasized the importance of clear, legally guaranteed property rights in ensuring economic development. Legally enforceable rights over land are thought of as a solution to incentivize investment in land, ensure optimal use of resources and create the conditions for market led-growth. Land rights (either through titling or restricted rights over land) have long been considered as a precondition for development because they increase access to formal credit. In the specific context of urban slum dwellers, the added benefit of land rights is that these rights can be used to ensure tenure security, help provide municipal services and other social benefits. Based on these presumptions in 2017, the Odisha Land Rights to Slum Dweller Act (OLRSDA) and the Odisha Municipal Corporation (Amendment) Act (OMC) were enacted. These enactments along with the implementation of the Odisha Liveable Habitat Mission, (also known as the JAGA mission) kickstarted a process of urban redevelopment. The policy measure of providing land rights to slum dwellers has been replicated in Punjab under the “BASERA” scheme and is under consideration in Himachal Pradesh. In this paper, I have analysed Odisha’s legislative and policy-based interventions to alleviate urban poverty through land rights. My key findings in this paper are as follows: (i) land rights under the OLRSDA are not sufficiently integrated within the existing legal framework and there exist several ambiguities. As a result, the land right granted cannot be used as an economic resource and offers limited increase in tenure security; (ii) land rights are beneficial yet insufficient to lead to the proposed goals of increasing access to municipal services and access to subsidies; (iii) government intervention is required at each stage of the slum redevelopment process to ensure the achievement of these goals.
Topic:
Urban, Land Rights, Economic Development, and Slums
Political Geography:
South Asia and India

10. The State of India’s Pollution Control Boards: Who has a seat at the table?

Author:
Arunesh Karkun, Sharon Mathew, Shibani Ghosh, and Bhargav Krishna
Publication Date:
10-2022
Content Type:
Working Paper
Institution:
Centre for Policy Research, India
Abstract:
The Indo-Gangetic plain (IGP) in India is one of the most polluted regions in the world. A densely populated region, with a large number of sources emitting a range of pollutants, regulating air pollution here is an extremely difficult and complex task. Several measures are afoot to improve air quality in this region, and the State Pollution Control Boards and Pollution Control Committees (SPCBs/PCCs) are playing a key role. However, these frontline agencies in pollution regulation are faced with several institutional constraints and challenges in discharging their mandate effectively. In ‘The State of India’s Pollution Control Boards’, we explore some of these key institutional issues faced by Boards in the IGP through a series of working papers: 1) “Who has a seat at the table?” – Examines the composition of the Boards and their ability to engage in policymaking and take decisions in furtherance of statutory goals; 2) “Who is at the helm?” – Analyses the qualifications of the Board's leadership - the Chairperson and the Member Secretary, the length and stability of their tenure, and whether they are well-placed to guide the Boards' functioning; and 3) “Who is in the field?” – Evaluates the adequacy of the Boards' capacity – particularly technical capacity – to perform critical functions like consent granting, inspection, monitoring, and enforcement. In this paper – the first in the series – we focus on the Board composition. The Water Act1 and the Air Act2 prescribe up to fifteen members on the Board which is headed by a Chairperson and a Member Secretary. Who are these members and what are their qualifications? The laws require various constituencies to be represented: officials representing State Government departments, urban local bodies, and public sector corporations. Three members may be nominated to represent interests of agriculture, fishery, industry, trade or any other interest. The laws do not lay down the qualifications of these members, apart from the requirement under the Air Act that at least two persons on the board must have special knowledge or practical experience in the field of air quality management.
Topic:
Governance, Regulation, Legislation, and Pollution
Political Geography:
South Asia and India

11. The State of India’s Pollution Control Boards: Who is in the field?

Author:
Bhargav Krishna, Arunesh Karkun, Sharon Mathew, Prannv Dhawan, and Shibani Ghosh
Publication Date:
10-2022
Content Type:
Working Paper
Institution:
Centre for Policy Research, India
Abstract:
The Indo-Gangetic plain (IGP) in India is one of the most polluted regions in the world. A densely populated region, with a large number of sources emitting a range of pollutants, regulating air pollution here is an extremely difficult and complex task. Several measures are afoot to improve air quality in this region, and the State Pollution Control Boards and Pollution Control Committees (SPCBs/PCCs) are playing a key role. However, these frontline agencies in pollution regulation are faced with several institutional constraints and challenges in discharging their mandate effectively. In ‘The State of India’s Pollution Control Boards’, we explore some of the key institutional issues faced by Boards in the IGP through a series of working papers: 1) “Who has a seat at the table?” – Examines the composition of the Boards and their ability to engage in policymaking and take decisions in furtherance of their statutory goals; 2) “Who is at the helm?” – Analyses the qualifications of the Board's leadership - the Chairperson and the Member Secretary, the length and stability of their tenure, and whether they are well-placed to guide the Boards' functioning; and 3) “Who is in the field?” – Evaluates the adequacy of the Boards' capacity – particularly technical capacity – to perform critical functions like consent granting, inspection, monitoring, and enforcement. In this paper – the third in the series – we focus on the technical capacity of the Boards, specifically the state of technical staff (engineers and scientists) employed by the Boards. The environmental engineers and scientists of an SPCB form the backbone of the institutional structure for pollution regulation. They carry out the fundamental task of the SPCBs, namely the review and grant of approvals under the environmental law regime. They evaluate applications from industries, conduct inspections or inquiries, collect and evaluate air and effluent samples, and issue approvals where applicable. Through their work, they provide the structural underpinnings to the “command and control” approach to pollution management. Several earlier reports have highlighted the significant staff constraints under which SPCBs function, highlighting in particular the high rate of vacancies among technical staff (1–3). In the context of a rapidly industrializing State, and an evolving environmental regulatory regime, there is a need for SPCBs to be appropriately skilled and staffed.
Topic:
Environment, Governance, Regulation, Pollution, and Personnel
Political Geography:
South Asia and India

12. The State of India’s Pollution Control Boards: Who is at the helm?

Author:
Shibani Ghosh, Sharon Mathew, Arunesh Karkun, and Bhargav Krishna
Publication Date:
10-2022
Content Type:
Working Paper
Institution:
Centre for Policy Research, India
Abstract:
The Indo-Gangetic Plain (IGP) in India is one of the most polluted regions in the world. A densely populated region, with a large number of sources emitting a range of pollutants, regulating air pollution here is an extremely difficult and complex task. Several measures are afoot to improve air quality in this region, and the State Pollution Control Boards and Pollution Control Committees (SPCBs/PCCs) are playing a key role. However, these frontline agencies in pollution regulation are faced with several institutional constraints and challenges in discharging their mandate effectively. In ‘The State of India’s Pollution Control Boards’, we explore some of the key institutional issues faced by Boards in the IGP through a series of working papers: 1) “Who has a seat at the table?” – Examines the composition of the Boards and their ability to engage in policymaking and take decisions in furtherance of their statutory goals; 2) “Who is at the helm?” – Analyses the qualifications of the Board's leadership - the Chairperson and the Member Secretary, the length and stability of their tenure, and whether they are well-placed to guide the Boards' functioning; and 3) “Who is in the field?” – Evaluates the adequacy of the Boards' capacity – particularly technical capacity – to perform critical functions like consent granting, inspection, monitoring, and enforcement. In this paper – the second in the series – we focus on the Board leadership – the Chairperson and the Member Secretary. They play a crucial role in heading these agencies and ensuring their functioning is in accordance with the statutory mandate. Under the Water Act1 and the Air Act,2 important statutory functions of the Board are delegated to them, and they need to be qualified to perform these functions effectively. The Water Act and the Air Act provide limited guidance on the qualifications of persons who should hold these posts. The issue of who can lead a pollution control board has been discussed in several reports and government correspondence. Specific appointments to leadership positions in different states have been challenged in High Courts over the years. The most comprehensive judicial consideration of the issue was in a 2016 judgment of the National Green Tribunal (NGT).3 Although the final outcome of the NGT’s judgment was overturned by the Supreme Court, the Supreme Court shared the NGT’s anguish at the state of governance of these boards, and significantly, directed states to form rules or guidelines for the recruitment of qualified persons to these two posts.
Topic:
Governance, Regulation, Leadership, and Pollution
Political Geography:
South Asia and India

13. Frontline Workers and the Covid-19 Pandemic

Author:
Gokulnath Govindan
Publication Date:
07-2022
Content Type:
Working Paper
Institution:
Centre for Policy Research, India
Abstract:
The Covid-19 pandemic proved to be a global disaster that took countless lives, many of whom were frontline functionaries deployed to contain this crisis. As a result, the Indian state, unlike before, had to acknowledge the risk that accompanied their workers in this crisis. They promised them vaccination, health & life insurance, amongst other material benefits to protect, insure and motivate such cadres. The paper attempts to study these promises, in particular its vaccination and insurance policies, to better understand what it meant to be a frontline worker in this crisis. Did the Indian administration account for all at-risk workers and their context, or did they simply exclude many of them in their policies ? The essay, at its core, will answer this question as it examines the Indian state’s capacity to celebrate its frontline workers.
Topic:
Labor Issues, Crisis Management, Risk, and COVID-19
Political Geography:
South Asia and India

14. Debates on Administrative Reform in India: Transfers

Author:
Akila Ranganathan
Publication Date:
03-2022
Content Type:
Working Paper
Institution:
Centre for Policy Research, India
Abstract:
India has a long history of periodic transfers of senior administrators. As the First Administrative Reforms Commission, 1969 (First ARC), notes, the practice of periodic transfers was historically devised with the view of preventing officials from acquiring personal influence in a manner that could harm or diminish the influence of the ruling political powers. Officers used to be rotated from their posts every 3 to 4 years. The First ARC declared such a system of periodic transfers to be “antiquated,” stating that “it [was] no longer necessary for the Government to be suspicious of its own employees” (1966, p. 110). The commission argued that frequent transfers also interfered with development work, which required officers to be closely associated with the programmes and communities that they were serving. Further, these transfers hamper the officers’ job satisfaction and sense of achievement. Thus, the First ARC laid down that periodic transfers should be exercised only where a post carried regulatory responsibilities; in any post involving development activities and programme management, transfers should be an exception. Despite these recommendations, transfers have remained an inexorable feature of the higher civil services in India. The Second Administrative Reforms Commission, 2008 (Second ARC), notes that “frequent transfers of civil servants continue to be one of the most vexatious governance problems still facing India” (p. 182). The Commission details that, between 1986 and 2006, 48–60% of the total strength of the IAS spent less than 1 year in their respective postings. The number of IAS officers who spent more than 3 years in their respective postings is consistently less than 10% of the total strength in that period. Similarly, another study of the bureaucracy has shown that, from 1980 to 2000, the average tenure of IAS officers at their posting was only 16 months (Iyer and Mani, 2012). This working paper provides an overview of the reform discourse on the process of transfers of higher civil services officers in India. An analysis of various reform committee reports since the 1980s, shows that transfers are associated with two broad attributes of the higher civil services: the effectiveness of administration and governance, and the insulation of civil servants from political interference. In addressing the issues around transfers, recommendations of reform committees have been aimed at enhancing the former and restoring the latter. These recommendations include monetary benefits, fixation of a minimum tenure for officers, and the establishment of an independent body to oversee transfers.
Topic:
Reform, Civil Servants, Personnel, and Administration
Political Geography:
South Asia and India

15. Debates on Administrative Reform in India: Expertise

Author:
Karnamadakala Rahul Sharma, Aditya Unnikrishnan, and Sonakshi Sharma
Publication Date:
03-2022
Content Type:
Working Paper
Institution:
Centre for Policy Research, India
Abstract:
Historical accounts show that the education and training of the colonial civil servant was purposely made non-specialised. Autobiographical narratives of ICS officers who received their training at Halieybury (England), reveal that the quality of education was low and students were tested on their knowledge of languages such as Persian and Sanskrit, which had little practical use once they arrived in India. After the Service was made merit-based in 1853, officer training included more practical aspects such as attending court proceedings and writing reports, however, it did not involve in-depth specialisation in any one field. The non-specialised character of training and the expertise gained, were well suited to the nature of the polity that required district officials to hold multiple portfolios. Earl Cornwallis, the third Governor General of Bengal who is credited with making extensive changes in the civil service from 1793 to 1859, tried to differentiate the judicial and supervisory functions for land revenue assessment and collection. He created the office of the District Collector as a supervisory role to oversee collection of revenue from landholders, whereas the administration of law was to be the responsibility of a civil judge and magistrate. However, after the annexation of Awadh and the territorial expansion of the company, it proved impossible for a District Collector to separate their judicial and supervisory functions, particularly in the newly acquired territories (Cohn, 1987, p. 509). The Indian Administrative Service (IAS) we have today inherited this generalist notion of the civil servant from its predecessor, the ICS. Post-independence, even though different services were created to undertake specific responsibilities, the imagination of the expertise of the IAS officer continues to be organised around the principles of the colonial civil service. This has led many to argue that the skills and knowledge of the IAS were unsuited to the nature of polity and demands of governance (Administrative Reforms Commission, 1969). More than fifty years later, the same tension concerning the personnel involved in governance and the skills/ knowledge required for these roles persists. As a result, two fundamental questions are central to the debates on expertise in the country’s government. First: What kind of knowledge and expertise is most useful for administrators? This debate has frequently been framed as a choice between generalists and specialists. And second: How can this expertise be embedded in administration, particularly at senior levels? Two kinds of solutions dominate this discourse, one where internal mechanisms are restructured to make best use of existing internal talent (via domain assignment) and the other involving the recruitment of external experts (via lateral entry). This working paper delves into the detailed discussion on these two questions by reviewing the First and Second Administrative Reforms Commissions (ARC), Central Pay Commission Reports, the Surinder Nath Committee report, Sarkaria Commission report, NITI Three Year Action Agenda and Parliamentary Standing Committee reports. The first section of the working paper attempts to present a discursive overview of the generalist-specialist binary. The next two sections, on Domain Assignment and Lateral Entry respectively, explain the dominant approaches that have been considered to address the expertise problem. 2. Generalists vs Specialists: origins and tensions As with any job, there is consensus within the reform discourse that bureaucrats must display a high degree of ability and expertise. However, there are opposing views on what constitutes this expertise at the highest levels of the bureaucracy. These differences have frequently been expressed in the language of ‘generalists’ and ‘specialists’ partially as a result of the structure of India’s Civil Service which consists of generalist and specialist services as described in the next sub-section. The next two subsections throw light on the evolution of reform thinking on the kind of expertise needed—from narrow technical knowledge to domain competence, and eventually towards a more complex understanding that expertise is gained on the job that cannot be achieved through appropriate training alone. In the timeline on page 6, we present the sequence of events and reports of the last few decades that we consider salient for understanding the debate on generalist versus specialist roles. The timeline offers a bird’s eye view of reform trajectory when read alongside the detailed information provided in the following sections.
Topic:
History, Reform, Colonialism, and Administration
Political Geography:
South Asia and India

16. Debates on Administrative Reform in India: Performance Management

Author:
Aditya Unnikrishnan, Sonakshi Sharma, and Karnamadakala Rahul Sharma
Publication Date:
03-2022
Content Type:
Working Paper
Institution:
Centre for Policy Research, India
Abstract:
In the early nineteenth century, a civil servant employed by the English East India Company had a considerable amount of autonomy. On the one hand, their actions could be questioned at the following levels: regional, provincial, at the Presidency, in London at the Court of Directors, the Board of Control and ultimately at parliament. However, as historians have noted, “given the difficulties of communication and the sheer bulk of information and correspondence which had to pass between India and London, it often took two or three years for matters originating in a district to be commented on in London” (Cohn, 1987, p. 512). In such a scenario, monitoring and measuring the performance of civil servants was particularly challenging. Accounts of civil servants have not yet been analysed to understand on what basis they were picked for promotion by their superiors or the Governor General. This changed postindependence, when clear processes were put in place for measuring performance, and performance appraisals were at the core of this shift. Measuring, reporting, and rewarding performance appropriately are critical for motivating and developing people’s capabilities across organisations and professions. In the public sector, for example, a recent survey of 23,000 civil servants in Africa, Asia, Eastern Europe and Latin America finds that “civil servants are more satisfied, committed and, at times, motivated to serve the public, work hard and perform, where they perceive that performance shapes their pay, promotion and job stability prospects” (Sahling et al., 2018, p. 36). However, measuring and rewarding performance in the public sector can be challenging because government employment often lacks the classic drivers and incentives that foster performance in other organisations. Employees in government and public sector organisations function in the absence of clear profit motives or market competition, which other organisations use to measure and reward performance (Moriarty & Kennedy, 2002). Government employees also have to contend with multiple ‘principals’, such as politicians, bureaucrats and the citizen population, each of whom have differing objectives. Measuring performance and linking it to multiple outcomes in such contexts can be complex (Pollitt, 1986). Finally, most civil service contracts have strong protections against dismissal, which severely limits the incentive tools available to managers in the private and nonprofit sectors (Esteve and Schuster, 2019). The design or assessment of performance appraisal systems in the public sector, therefore, need to consider these boundary conditions seriously. This working paper examines reforms related to the design of performance appraisals in the Indian Civil Services. Within the Indian government and especially senior administrative roles, performance appraisals have served as the primary tool by which employee performance is assessed and rewarded. This system, established in 1985, was meant to assess and rate officers annually against ex ante targets set at the beginning of the year (Surinder Nath Committee, 2002). By linking performance to career advancement, appraisals sought to motivate and incentivise better performance by government employees. Weaknesses in this appraisal process have, however, severely limited its impact on performance, requiring the government to undertake multiple reforms over the years.
Topic:
Reform, Management, Performance Evaluation, Civil Servants, and Administration
Political Geography:
South Asia and India

17. Debates on Administrative Reform in India: Training

Author:
Sonakshi Sharma, Aditya Unnikrishnan, and Karnamadakala Rahul Sharma
Publication Date:
03-2022
Content Type:
Working Paper
Institution:
Centre for Policy Research, India
Abstract:
Since Independence, the government’s approach to training the IAS has undergone a sea of change. The IAS has evolved “from being a postcolonial civil service… to one that is rooted in the empirical realities of a developing and resurgent India” (Kiran Aggarwal Committee, 2014, p.1). Training programmes for the IAS have shifted their focus from regulation to socioeconomic development in keeping with the new demands faced by governance and administration (Second Administrative Reforms Commission, 2008). In spite of these changes, there remain similarities with the colonial civil service. Like the ICS, the IAS is a high-functional generalist service tasked with handling a variety of responsibilities. Reform committees continue to express concerns that trainees do not attach adequate value to the training process (Second Administrative Reforms Commission, 2008). Training is still expected to create strong bonds between officers and establish a camaraderie. Most importantly, the central principle remains the same; a merit-based process is used to select young people with little or no experience in governance and place them in positions of great responsibility. This kind of system inevitably relies heavily on training to impart skills. Better training, both at the formative and mid-career stages, is expected to bridge the “wide chasm between public expectation and service delivery” (Kiran Aggarwal Committee, 2014, p. 3). For this reason, it is vital to examine the history of reform debates and conversations on the subject. Tracing the evolution of these reform threads will better equip us to analyse current and future reform measures by understanding which problems are being addressed and how. To this end, this working paper closely reads the following: the Administrative Reforms Commission (ARC) reports, Central Pay Commission (CPC) reports, and reports produced by reform commissions like the Alagh Committee, Kiran Aggarwal Committee, Hota Committee, Kothari Committee, Yugandhar Committee, VT Krishnamachari Committee and the Surinder Nath Committee. Apart from this, the working paper also draws on theNational Training Policy, 1996 and2012, and documents on Mission Karmayogi that reflect the government’s vision for IAS training. This paper begins with a short description of the current training format and the IAS ecosystem. This is followed by an analysis of the three streams that dominate reform thinking on IAS training: the strategy, structure and content of training; the role of and need for incentives in training programmes, and the institutional apparatus in place to operationalise training programmes.
Topic:
History, Reform, Colonialism, Training, Civil Servants, and Administration
Political Geography:
South Asia and India

18. Debates on Administrative Reform in India: Examinations and Recruitment

Author:
Archana Sivasubramanian
Publication Date:
03-2022
Content Type:
Working Paper
Institution:
Centre for Policy Research, India
Abstract:
Over the last 50 years, norms for recruitment in the Indian Civil Services have undergone several changes to reflect the needs of the administration, the aspirations of a democratic society and the changes in the country’s political economy. There were two developments that led to these changes. The first development is domestic in nature—reform committees were set up to examine the different features of the examination and the recruitment system for entry into the All India Civil Services. A reform committee setup under A.D. Gorwala in 1951, published independent India’s first report on public administration. Subsequent reform committees addressed several other aspects of the Civil Services examination system including educational qualifications, age for entry into the services, number of attempts and service allocation rules. The second, and a connected development is international in its scope and nature. Other Westminster democracies across the world were implementing new theories of public management—such as market-oriented reform of the Civil Services—and these developments advanced India’s thinking on reforms for its own Civil Services. Every reform committee has highlighted the importance of the recruitment exercise as a channel to draw people with merit into the services. Reforms were proposed to “weed out the dead wood” and professionalise the Civil Services in order to realise an efficient, incorrupt and a result-oriented bureaucracy (Alagh Committee, 2001, p. 35). This, the committees suggested, must be routed through the recruitment funnel by finding the ‘right type of persons’—candidates who can combine intellectual competence with a strong ethical value system and a positive public service orientation. An important objective of the recruitment system has been to also ensure that the Civil Services is more equal and representative and guarantees representation to historically underrepresented groups through recruitment quotas. However, some studies have argued that the recruitment pattern reveals a distinct upper caste, urban bias, stressing the need for corrective measures to democratise the Civil Services (Barik, 2004). Keeping this backdrop in mind, many debates pertinent to the recruitment and examination architecture have been held. On the surface, these debates appear to be procedural as they concern themselves with questions about age limits and number of attempts that applicants are eligible for. But a closer examination of the debates reveals that they are also fundamentally about questions of meritocracy and representation in the Civil Services. The Civil Services Examination (CSE ) is expected to allow for equal opportunity and representation of all castes and classes in the Services. In addition, meritocracy plays an important role in the design of this system, but there are discussions on the validity of this idea of merit itself. Examining some of these debates will serve as entry points for us to understand the examination and recruitment apparatus, a small but critical cog in the machinery of India’s bureaucracy. The main objective of this working paper on examinations and recruitment in the Civil Services is to trace the origins of these debates in order to contextualise the present through an understanding of the past. The focus of this working paper is only on the All India Civil Services, although equally interesting and meaningful, reforms in the State Civil Services institutions—like the Punjab government’s decision to mandate 33 percent reservation for women in direct recruitment for the Punjab Civil Services—have not been touched upon. There is a large volume of material to explore on the State Civil Services and we hope that this working paper lays the foundation for further studies in this regard. This working paper analyses various committee reports that were set up to reform the Civil Services. Most of the analyses are drawn from the Kothari Commission Report (1977), the Satish Chandra Committee Report (1989), the Alagh Committee Report (2001), the P. C. Hota Committee Report (2004) and the Second Administrative Reforms Commission Report (Second ARC) (2009). Figure 1 outlines a timeline of committees that have made important observations on the debates on examinations and selection. The committee reports reveal a discernible pattern—three key debates that have been found to recur over and over again: eligibility status, examination process and service allocation. These debates may not cover the entire gamut of arguments but have been addressed in this paper because of the importance given to them in the committee reports and their relevance to contemporary India. Overall, this working paper does three things: first, it synthesises the main ideas from the reform committee reports; second, through a discussion section, it highlights the normative principles that underpin the selection processes and third, it asks a few open-ended questions that warrant careful analysis, stakeholder conversations, and reflection.
Topic:
Reform, Recruitment, and Civil Services
Political Geography:
South Asia and India

19. The Data Story: Uttar Pradesh Elections 2022 – Phase 1

Author:
DataCommons @ CPR
Publication Date:
02-2022
Content Type:
Working Paper
Institution:
Centre for Policy Research, India
Abstract:
In the first phase of the Uttar Pradesh elections of 2022, 58 assembly constituencies (ACs) will go to the polls. Polling will take place on 10 February, 2022. In this note, we first analyze and provide social context for the historical electoral trends across these 58 assembly constituencies. Second, in collaboration with Datalok, we provide a detailed analysis of polling booths from the 2017 state election. We show how the consolidation among Hindu voters in the aftermath of the 2013 Muzaffarnagar riots drastically shifted electoral outcomes in the region, and we describe how current politics may affect electoral outcomes in the 2022 election.
Topic:
Politics, Elections, Voting, and Data
Political Geography:
South Asia, India, and Uttar Pradesh

20. Submission to the Commission on Air Quality Management in NCR and Adjoining Areas (CAQM)

Author:
Shibani Ghosh, Bhargav Krishna, Navroz K. Dubash, Sharon Mathew, and Arunesh Karkun
Publication Date:
01-2022
Content Type:
Working Paper
Institution:
Centre for Policy Research, India
Abstract:
The setting up of the Commission for Air Quality Management (CAQM) represents a significant milestone for air quality management in India. The Commission’s ability to perform its functions effectively and facilitate measures that will improve air quality in the NCR and adjoining areas for the long term will likely be impacted by several political, economic, technical, and social factors. In such a scenario, it is essential that the Commission enjoys sustained public trust as being non- partisan as well as a technically sound and socially sensitive body. The CAQM’s mandate is a statutory expression of the fundamental right of Indians to breathe air that is not harmful to their health. Its functioning should therefore reflect an inclusive and participative approach that allows citizens to claim and protect their right and prevent its encroachment when possible. At the Initiative on Climate, Energy and Environment (ICEE) at the Centre for Policy Research (CPR), we have been closely studying the functioning of various environmental regulators, and for the past four years have been working specifically in the area of air quality regulation and governance. Based on our research, we have identified five broad themes for the Commission to consider as it implements its statutory mandate: taking a holistic, long-term regional approach; tracking progress of NCAP implementation; ensuring transparency through proactive disclosure and timely reporting; developing enforcement protocols and grievance redressal mechanisms; and encouraging informed public consultation. We also suggest specific action points as illustrations under each of these themes.
Topic:
Environment, Governance, Regulation, Pollution, and Air Pollution
Political Geography:
South Asia and India