Governance: Civil Service & Politician Interface By B K Chaturvedi

     " It has to be emphasized that the onus is on civil servants to strengthen public administration and good governance. However, while working as part of policy making or field responsibilities, it may be useful to understand the nature of the relationship between the political executive and the civil service. It is also necessary to appreciate the enormous inconvenience and widespread corruption faced by the people while availing public service"

Two important issues facing the nation today are how the economic growth can be accelerated and how benefits of growth and development can flow to the citizens in an efficient manner. Issues of governance have increasingly come to centre stage while working out strategies for the above. There is a strong view that corruption in civil service is endemic and funds provided by government leak very badly. I recall a recent discussion during a book launch when it was argued that from the famous fifteen paisa reaching the poor man, the amount is now reduced to five paisa. There are large technological changes taking place in our society. The aspirations and expectations of citizens from the government system are of delivery of service of the highest order of excellence.

The independence of civil service in giving advice in policy-making and in performing field responsibilities is an important issue which has affected the functioning of the civil service in recent years. In the Constituent Assembly of India, on 10th October, 1949, Sardar Vallabh Bai Patel said:“If you want an efficient all-India service, I advise you to allow the service to open their mouth freely. If you are a Premier, it would be your duty to allow your Secretary, or Chief Secretary, or other services working under you, to express their opinion without fear or favour. But I see a tendency today that in several provinces, the services are set upon and told, “No, you, are servicemen, you must carry out our orders.” The Union will go, you will not have a united India, if you do not have a good all-India service which has the independence to speak out its mind, which has a sense of security that you will stand by your word and that after all, there is the Parliament, of which we can be proud, where their rights and privileges are secure. If you do not adopt this course, then do not follow the present Constitution.”

And further: “Today my Secretary can write a note opposed to my views. I have given that freedom to all my Secretaries. I have told them, “If you do not give your honest opinion for fear that it will displease your Minister, please then you had better go. I will bring another Secretary,” I will never be displeased over a frank expression of opinion."  the 1950s1 and even the early 1960s, the relationship between political executive and civil service was of trust and non-partisan functioning of the civil service. This trust has gradually given way to segmentation of civil servants and their politicisation in many cases. Two different types of relationships have emerged. First covers those, who try to maintain a degree of integrity and upright behaviour. Second covers those senior civil servants, who cosy up to the political executive and go along with them, irrespective of the civil service norms, good conduct or ethical behaviour. Often, the second category is bifurcated when the political power is transferred from one political party to the other. Invariably, one group of the committed faction of civil service starts its innings in close proximity with the political executive and the other committed class is put in the dog house. Of the first category, the number is gradually dwindling. There is increasingly a feeling that civil servants who fall in this category may not be treated fairly by the political class in respect of their assignments, transfers or their other service matters.

An important point, which is often overlooked in the above context, is the requirement of citizens for good governance. This is invariably a casualty when the political executive and the civil service cosy up to each other forgetting the norms for good administration. The Civil Service provides an exciting opportunity full of challenges. There are very few services which provide such a vast range of challenges, a mix of field and policy making opportunity and opportunity to act as a key player in the national growth process. One has to be proud of one’s work and dedication to get full satisfaction from these challenges. These, however, require qualities which one has to develop.

Senior civil servants belonging to All India Services (AIS) have a special responsibility, in case they are to live up to the commitment with which they have entered the service. Business as usual cannot deliver results. The civil service has to live up to certain norms of behaviour which, in the long run will bring them success, but may be painful in the short run. At times, acting in accordance with laws and rules or pointing out their implications may be termed as risk-aversing behaviour. One may be assigned inconsequential jobs. There can be others who may try to get short-run advantages by using their closeness to political masters. In the long-run, however, persons who have acted in accordance with norms and delivered results are generally able to come up and be recognized. Such civil servants are well-respected by peer groups, subordinates, the people and even the political parties across the spectrum.

Civil Service has to follow norms of professional conduct. These will not only bring good governance agenda on centre stage, but also once again enhance the reputation of the All India Service as that of a steel frame which serves the country for growth and prosperity. It will also help in development of confidence of people in the civil services and earn them new respect.2 Let me highlight some norms for civil servants:
First, maintain high personal integrity. The strength of civil service is people’s faith in their absolute incorruptibility and honesty. This is specially so in top civil servants who should be absolutely beyond reproach. This gives you strength to get your way with the political executive who respect such officers. Even in corrupt regimes, such officers are respected.

Second, be fair in administering law, policies and administrative decisions. The biggest strength of civil servants is people’s faith in their impartial and fair actions and transparent functioning. Do make positive efforts to ensure that your decisions appear fair and transparent in people’s eyes as well. It is worth several battalions of paramilitary forces.

Third, people respect you for your knowledge and skills. Acquire thorough knowledge and develop an analytical ability to fully assess and understand issues which need to be addressed with adequate attention to details. Decisions arrived at, after full understanding of issues, are likely to be implementable and deliver expected results.

Fourth, field jobs, on which civil service often has to spend time, provide an opportunity for change in the system. Your motto should be to deliver results and work as an effective field officer. This may require taking tough and unpopular decisions. It often requires “out of the box” thinking and taking action against the corrupt. Don’t hesitate while taking the right action. But be fair and just in your decisions. You may have to face difficult times in some cases.

Fifth, Good Governance is a Fundamental Right of the citizen. Identify gaps in public service delivery and implementation of schemes. Identify rules and regulations which are hampering progress and suggest changes to Government. Use innovation and adoption of best practices in implementation and encourage its development in your team. Be openminded and mentally receptive to new ideas. Delivery of public services, if done efficiently, leads to consumer satisfaction, optimum use of financial resources, economic betterment and lower corruption.

Sixth, the biggest disservice to the governance structure is to hesitate in taking decisions or deliberately avoiding it. Do not hesitate to take decisions. If you have reservations on your ability or are worried about being responsible for its consequence, don’t join the civil service. The entire career in civil service is about taking decisions and making clear policy recommendations for decision taking. Acts of omission often may go unnoticed or not punished. These are, however, extremely harmful for good governance.

Seventh, in civil service you may invariably be the leader of the pack. Assume full responsibility for achieving the targets and key performance parameters of the organization which you are heading. Learn to delegate authority but ensure effective leadership. This can come if you are perceived by your organization as not prone to blaming subordinates for shortcomings in any targets. This will earn respect from subordinates, colleagues and even seniors. It is an excellent remedy for success of leadership.

Eighth, be sensitive to the needs of poor, especially marginalised groups, women, SC/ST and minorities. These are the groups which need your support the most. By effective implementation of programmes for them and your empathy for their welfare, you can help build an egalitarian society. Affirmative actions in their favour build confidence in civil service.

Ninth, the political executive makes policies in consultation with civil servants for attaining certain objectives for the welfare of people. While advising Ministers and working as senior civil servants, analyse all the reasonable policy options which can be considered on the issue under examination. Examine also whether a policy, that the government is wanting to implement, is under any political compulsion and has short-term benefits only and not in the long-term national interest. If so, put forth your views clearly and logically. Suggest quite clearly, with reasons, why you consider any policy option as the most appropriate and meeting the policy objectives.

While giving advice, do not anticipate what the Minister may like to hear. State what you consider the most appropriate course of action. You will be respected in the long run by peers, as well as the political executive.

Tenth, do not criticise Government policies in public discussions. As a civil servant, the responsibility on you is to provide support to the government to enable it to defend the policies. By criticising it, you are undermining government, as well as yourself. If the issue is really serious and you do not think that you can live with such government policies, you should consider quitting the job and undertake other assignments.

Eleventh, develop inter-personal skills. In the modern world with wide range of organisations, private sector expansion and technological explosion, it is important that you have good relations with persons from different sectors to enable you to access them when needed. It increases your effectiveness while handling difficult issues in the field.

Twelfth, adapt to IT use, new technologies and their use to ensure good governance. Information technology can help reduce delays, ensure efficient delivery of public services and cut down corruption. You must be, therefore, fully cognisant of its use and potential. Simplifying administrative procedures promotes good governance.

Thirteenth, prepare well in advance to ensure effective articulation of the view point of your Ministry. Put forward your point of view concisely and in a focused manner. It is important that you absorb fully the issues at hand and are clear in your mind about the approach which you wish to take in any inter-ministerial forum.

Fourteenth, develop the ability to listen to visitors and different points of view carefully and patiently. An enormous amount of feedback about problems in the field and different approaches can be had in this manner. This is the best learning method.

Fifteenth, develop the ability to integrate and form a consensus view point consistent with the policy objective planned. While doing so, you should be able to evaluate and assess the technical, social and political dimensions of the problem. This is extremely critical at senior policy-making levels where different approaches and points of view have to be put together. You should not be shy of taking tough decisions in the interest of effective policy implementation.

Sixteenth, make a well-informed judgement of ground realities and policies which will work. Have a feedback on the proposed policies from those working in different geographical area where the proposed policies or plans are supposed to be implemented. Ensure enough flexibility with ground realities in your plans.

Seventeenth, accept challenging assignments. Do not try to wriggle out of it. Often, these assignments involve tough decision taking and have risk of failure. Success can be assured if you have accepted the challenging job and are working diligently with all stakeholders as a team. This will give you visibility and test your ability to handle tough assignments.

Eighteenth, in face of grave provocation, stand by your principles and convictions. Do not lose your cool. The administrative challenges are varied and involve wide varieties of people and organisations with vested interests. You can handle them only if you are considering all questions coolly and objectively.

Nineteenth, civil servants are accountable to Government. There is, however, public accountability also. Identify key target areas which you must achieve during your work based on Government policy and programmes. Identify people’s felt needs and enmesh them in your programme too.

An interesting aspect, in the above context, is the relative responsibility of political executive and the civil service in improving the governance system. It has to be emphasized that onus is on civil servants to strengthen public administration and good governance. However, while working as part of policy making or field responsibilities, it may be useful to understand the nature of relationship between the political executive and the civil service. It is also necessary to appreciate the enormous inconvenience and widespread corruption faced by the people while availing public service. Following points, therefore, need special focus:

First, the corruption in governance system and delivery of public services is quite widespread. It has to be tackled initially by preventing possibility of corruption. For this, it is necessary to make public service delivery procedures simple, use of Information Technology and bringing in transparency in decision taking. Next, those guilty of corruption have to be identified and punished quickly. Second, it is useful to recall that the All India Services are creatures of the constitution (Article 312).

While the services have to follow the policies laid down by the Government headed by the political executive, they also have legal obligations under certain statutes, whenever they exercise those powers. Such exercise of power has to be done with an independent application of mind. Third, it is important that Civil Servants clearly bring out their views in writing while doing an analysis of the issues concerned when engaged in the task of policy making. If certain government policy is not in public interest and may lead to harmful results, this has to be clearly brought out in your notes and analysis. Once, however, you have clearly mentioned your view and a considered decision has been taken, it has to be implemented with full vigour.

Thus, while the civil servant is free to express his views freely, one cannot keep opposing a decision taken by the government unless there are serious intellectual differences. In such cases, one should consider quitting the job and undertake new assignments. Fourth, there may be complex situations in which Ministers and some civil servants try to push illegal orders on subordinates. This could be because of ulterior monetary interest or corruption. There could be Mafia. In all this foggy and unclear vision, the civil servants have to be clear on their course of action for handling these situations. The approach should be quite clear to

 them while handling these situations. First, orders which are illegal or against any statutes or interfere with your exercise of authority vested in you under a law, have to be ignored. Second, administrative orders, if you find unfair or unjust, must be protested against with reasons. If reiterated, these have to be implemented. It may in some cases, cause damage to one’s career. In the long-run, however, peers and colleagues respect you for it. In many cases, colleagues and seniors come forward to undo the damage to your career caused by your not implementing unfair or unjust orders. Success has its price. It cannot be built on falsehoods, inequity and illegality.

The political executive which is responsible to the legislature has to also reconsider how the governance can be strengthened. The norms of conduct mentioned above will need a strong political consensus. They may need to discuss it across the country and their readiness to act on it as Sardar Patel had advised more than six decades back.

Author: B.K. Chaturvedi
Article Courtesy: http://yojana.gov.in/2014/eng/Yojana%20March%202014.pdf

The perennial generalist vs specialist debate - TSR Subramanian

Half-baked impractical ideas such as lateral entry should not be encouraged. The room for abuse is enormous

The specialist vs. generalist debate in India’s civil services resurfaces periodically. One has seen a chief of the electricity board, an excellent engineer who managed his power plants and transmission systems extremely well, totally clueless in matters relating to power policy. One has also seen a first-rate irrigation chief engineer taking over as secretary of the irrigation department and floundering from day one on administrative issues. On the other hand, there have been many scientists, long abdicating their scientific work, turn into fine administrators and policymakers. It is not uncommon to find IAS secretaries, with excellent reputation, often unable to find their feet in ‘alien’ departments. There is no hard and fast rule in such matters; the suitability and background of each officer for a post is more relevant than his label.

Having said that, it has often been found suboptimal to have a specialist to head a department – say the ministry of energy or ministry of power. By definition, all specialists focus on their own specific fields, and each technical field has a hundred branches. An expert on electrical transmission may not have better advisory capability in the field of solar or hydrogen energy than a non-engineer with an open mind; in most fields rapid development has taken place in the past decades – our expert has learnt his specialty years back, and may be out of date even in his own specialisation. The generalist is not afraid of asking questions, consults many experts before a position is taken – more often than not the specialist tends to take the view that he knows all in his field, and often shuns other opinion.

The author of this piece had occasion recently to prepare a study for the government on two separate fields – environment, and post office reforms. In the area broadly referred to as ‘environment and climate change’, it was an eye-opener to find at least a hundred separate fields of specialisation; often experts and agencies working in one may not be aware even of the existence of many others. Thus, forestry itself has any number of branches – if you add technical, commercial and social forestry issues, the fields of specialisation get multiplied. The arena of pollution – air and water – itself accommodates hundreds of expert fields. The committee that did the study would not have really been able to take a holistic view by talking just to one expert, however renowned – they met over a hundred, to get the picture. Likewise, the issue of postal reform covered a variety of fields – telecom spectrum, optical fibre connectivity, Unique Identity issues, insurance for life / accident / crops, logistics for e-commerce, to mention a few; doubtless, each of these would open up into many more specialised fields of expertise. Thus only an officer with intimate knowledge of the system, with decades of background and experience (needless to say with some imagination, insight and innovation), could bring together different experts to tackle each element of a new strategy. These illustrate the fallacy of repeatedly referring to need to replace ‘generalists’ with ‘specialists’.

The management of public affairs, as practised in India, is a highly specialised field; practitioners have to learn this profession, by working in the field – the university or training institutions will not prepare a person to deal with politicians, crooks, public grievances, riots, floods, policy-making in hundred fields, dealing with the police and the judiciary – none of these is taught in engineering schools or in MBA courses. Robust commonsense, coupled with a sense of dedication, pride, professionalism, and experience from years of working as a field officer and in the secretariat are the key requirements to make an administrator.

Another metaphor may be drawn to make comparison – should a senior citizen, with many ailments not unusual for his age, have only one ‘expert’ doctor as his consultant, or should he rely on a ‘generalist’ doctor? This is not a hypothetical question. A person with high BP and diabetes (standard for most Indians), a weak spine (not unusual for government servants, particularly for those who have one), and poor lung capacity (normal for Delhi citizens, indeed of any city in India) – should he take advice directly from six different experts, without the assistance of a generalist all-round doctor, to interpret, moderate and balance the frequently conflicting ‘expert advice’? This is the role that the professional generalist, with two to three decades of experience is able to play in the system.

The question then may be asked that when the minister himself is a generalist, why one needs a secretary who is also a generalist. The minister is an expert in politics, manoeuvring public opinion, making wild promises, generally shrewd but weak in comprehension of complex issues; without being overly uncharitable, his main management task is to ensure that the ruling party’s political image remains intact; that in most cases, the special interest groups (aka ‘mafias’) that he is beholden to is benefitted; and that everything he does will ensure a good chance of his re-election. Do not be fooled by appellations – our ministers, especially in the states, do not have the same IQ or probity or experience quotient displayed by their counterparts in developed countries; the minister is just not cut out to be an administrator.

The UPSC is a key institution, one of the few which has maintained pristine standards; none has seriously questioned its process of selecting the best candidates for the civil services. The IAS is selected through a competitive examination – not on pass or fail basis; the system is designed to test overall comprehension, analytical ability, and optimal approach to situations, rather than specialisation; it would not make a difference whether a ‘generalist’ or a ‘professional’ is inducted into the service.

The second administrative reforms commission had recommended ‘lateral’ recruitment at the additional secretary and secretary levels. Many, at first sight, may see this as logical. The fact is that even now, at the government of India level, the secretary-level posts are evenly divided among all-India service officers, and experts in their own fields – most of them spending their career in government, rising to the top. Having worked in the system at the secretariat, the ‘expert’ may not have field experience (so essential to any policymaker or administrator whose recommendations / decisions would have impact on the citizen); however, he has understood the governmental system, which itself is highly specialised. Thus an Abdul Kalam or a Kasturirangan, who contributed during their time to governance, were both products of the system; the likes of Montek Singh Ahluwalia also were experts in their own field, but they thrived within the environment of the governmental milieu. It is a moot question whether an outside expert brought in, so to speak cold-turkey, to a line-department like telecom or agriculture or commerce would be able to hit the deck running – he would take at least a couple of years to understand the way decisions are examined and taken within the system, the operation of various institutional factors such as party politics, the judicial system, the  parliament, the CAG and other statutory and constitutional agencies, not to speak of the impact of media or the NGOs or the social media on decision making. This is not to belittle or downplay the role of experts – they are of vital importance to provide high quality technical inputs, and raise the quality of approach to complex issues. Do not downgrade them by asking them to be ‘pen-pushing’ babus.

Do not demean our talented experts to waste their time dealing with inconsequential parliamentary questions. Equally, do not demean the senior professional civil servant, chosen from among the best talent available in India, with two-or-three-decades of relevant experience – he is generally irreplaceable.

One other significant point needs to be highlighted. India has borrowed its administrative structure from Whitehall – not from the US, where each minister is allowed to choose his own senior advisers, who leave their private jobs as experts to join the minister’s team for a five-year stint; in the US they are team members, and identify their personal interests solely with that of the minister. In India such a concept will have disastrous impact – will make a corrupt system infinitely worse, in most situations. In India the governance pattern is ‘adversarial’ – the secretary’s role is to render dispassionate non-partisan advice; he is also responsible, as a career functionary, for the propriety of the advice he tenders. Besides, Indian administration does not have the checks and balances that US has, where most proposals are looked at through committees at different levels. Only a person who does not understand the basics, as well as the complex nature of Indian administrative practice, would trust short-term advisers at the highest levels, who will exercise authority without responsibility. Lateral entry will spell disaster, particularly in states where methods will be found to induct persons with limited expertise but dubious integrity, to loot the system. Again, before lateral entry is considered, there needs to be a clear understanding of what the current gaps are, and how – if at all – lateral entry will fill them.

The present system of postings and transfers is frequently irrational, especially in the states. However, it needs to be ensured that at the additional secretary/ secretary level it will be unwise and counterproductive to post a career civil servant, who does not have previous experience in that broad field. At the level of secretary, there is no time to learn the broad milieu and general features of that particular field, indeed its ‘lingo’; there is no place for people with no previous exposure. Career planning for the services should ensure that the officer posted at the secretary level should have done at least one assignment at deputy secretary / director / joint secretary levels, to give him a sense of familiarity, as also to ensure that he is fully effective from day one.

No one questions the need for reform of the civil service, which ought to be a continuous process, as in every other sphere. Politicisation of the civil services has taken roots. The level of corruption in many civil services has reached worrisome, if not alarming, levels – though miniscule compared to the political arena. The morale of the civil servants themselves is low, particularly in the states. Some, who have little understanding of Indian governance, have even asked whether the time has come to abolish the all-India services.

Don’t throw the baby with the bath water. What is needed is reform, not scrapping the system. Civil servants should be enabled to perform with freedom, efficacy and accountability. For this, one should reach out to tackle the core problems, not just tinker with peripheral issues. The necessary political will has to be summoned, if such a thing were possible, to tone up and cleanse the civil services.

The core problems afflicting the civil services stem from larger political causes, relating to unstable state governments, rampant corruption in the states and operation of mafias, and an insecure political executive exploiting the public servant for narrow personal ends. Politics having become the most lucrative business in the country, with few checks and controls, there is compulsion for the minister or political leader to tempt or coerce civil servants to collude with him for mutual benefit. Frequent transfers, ministers hand-picking the officials to work with them and sidelining of efficient but honest officers are common now, especially in the states.  An array of weapons is used: arbitrary transfers, control over the annual character roll entry, and unleashing of departmental inquiries to keep civil servants off balance and submissive, prodding them to collusion. These are the key issues which need to be addressed, for a meaningful reform.

The main weaknesses in our governance structure do not emanate from the civil services. Currently, the real problems lie elsewhere. The political scene is unprincipled, unscrupulous, and untrammelled – there is no effective check against excesses and delinquency of the political executive. Political reforms should be highest on the agenda. This is possible only if there is significant election reform. Judicial reform, about which much is not yet talked about, also ranks in the forefront. One should avoid the temptation to look for ‘easy’ solutions, barking up the wrong tree – since the civil servant is the easiest target to hit. Half-baked impractical ideas such as lateral entry should not be encouraged – the room for abuse is enormous.

Subramanian is a former cabinet secretary.

(The article appears in the June 16-30, 2015 issue)

Courtesy: http://www.governancenow.com/views/columns/the-perennial-generalist-vs-specialist-debate

INTEGRATED CHILD DEVELOPMENT SERVICES (ICDS) PROGRAMME IN THE CONTEXT OF URBAN POOR AND SLUM DWELLERS IN INDIA: EXPLORING CHALLENGES AND OPPORTUNITIES By SANJEEV KUMAR AND SAINATH BANERJEE

The article examines the challenges and issues related to Integrated Child Development Services (ICDS) programme in urban settings with specific reference to urban poor and slum population in India. For example, Anganwadi Centres (AWCs) in slums or in urban areas are confronted with multiple issues ranging from infrastructural constraints (buildings, space, water and sanitation facilities); inadequate rental provision to run the AWC properly; unmapped and unrecognised slums and squatters; left out and drop out; increasing migrant and mobile population; difficulty in identifying and reaching out to migrant and working population; lack of convergence with health and allied departments and local bodies, and inadequate access and poor quality of services ;lack of knowledge and capacity among service providers; absence of an effective primary health care system in urban areas; lack of awareness and community participation, issues of gender and self-identity, etc. Further, the article attempts to explore opportunities and next steps to be taken as suggestive recommendations for ICDS programme that may strengthen the actual implementation of ICDS programme in urban areas.

INTRODUCTION:
INDIA CONTINUES to have the highest rate of malnutrition and the largest number of undernourished children in the world. This is true, in spite of various policies at national and state levels, and the constant efforts of several international and national voluntary organisations, including that of bilateral and donor agencies (Kumar, 2009). Almost 43 per cent of children under five years of age in India are underweight and 48 per cent are reported as stunted (National Family Health Survey (NFHS-3). The urban poor population (including the slums in urban areas) has a high prevalence of under-nutrition as almost 47 per cent of urban poor children are reported to be underweight and 54 per cent as stunted with almost 60 per cent of urban poor children miss total immunisation before completing one year (NFHS-3). Further, the Infant Mortality Rate (IMR) of India, is still considered as high as 40 per 1,000 live births (Sample Registration System (SRS), 2013) while the Under-5 Mortality Rate (U5MR) is as high as 52 per 1,000 live births (SRS, 2012).

India is home to 121 crore people, out of which 37.71 crore people, who constitute 31.16 per cent of total population reside in urban areas. This is for the first time since Independence, that the absolute increase in population is more in urban areas than in rural areas. Urban growth has led to rapid increase in number of urban poor population, many of whom live in slums and other squatter settlements. India is home to the world’s largest child (0-6 years) population of 158.8 million of which 41.2 million reside in urban areas (Census 2011). The child population in urban areas increased by almost 3.9 million (10.32%) as compared to 2001 Census. The Planning Commission, poverty estimate for 2011-12 (based on the Tendulkar method) designates 13.7 per cent (52.8 million) urban population as ‘poor’, i.e. living below the official poverty line (Planning Commission, 2013).

The main purpose of this policy research article is to examine the challenges and issues related to Integrated Child Development Services (ICDS) Programme in urban settings with specific reference to urban poor and slum population in view of growing urbanisation trend in India. Further, this article also attempts to review the effectiveness of ICDS in addressing the challenges around prevalence of child malnutrition. At the same time, the article attempts to explore opportunities and next steps as suggestive recommendation or a way forward that may strengthen the actual implementation of ICDS programme in urban areas with specific reference to slum and urban poor population.

The nutritional status of children has become an important indicator of the development status of the country. Today, ensuring good nutrition is a matter of international law. This is being fully expressed in the Convention on Rights of Child (1989) which specifies that States must take appropriate measures to reduce infant and child mortality and to combat malnutrition through the provision of nutritious foods. The Constitution of India, in Article 47 shares similar concern as it says that “the state shall regard the raising of the level of nutrition and the standard of living of its people and the improvement of public health as among its primary duties and in particular, the state shall endeavour to bring about prohibition of the consumption except for medicinal purposes of intoxicating drinks and of drugs which are injurious to health.” In Article 39 (f) of Constitution there is an emphatic emphasis on children when it says that “children are given opportunities and facilities to develop in a healthy manner and in conditions of freedom and dignity and that childhood and youth are protected against exploitation and against moral and material abandonment”. The commitment of India to the cause of nutrition can be seen from its ratifying the Convention on the Rights of Child and Signing the World Declaration on Nutrition, at the International Conference on Nutrition held in December 1992 at Rome. Many judicial pronouncements in this regard are noteworthy. The Supreme Court's order dated November 28, 2003 in this regard is a glaring example. The court, through that order, had appointed a Commissioner to review government social security schemes.

Historical Perspective: An Overview of ICDS Scheme in India India’s concern to address the needs of children is evident from the First Five-Year Plan itself when the Planning Commission of India adopted a planned approach by introducing child welfare programmes in the country. Since then, various child welfare programmes were introduced related to education, health, nutrition, welfare and recreation in subsequent FiveYear Plans. Special programmes to meet the needs of children with special needs, destitute and other groups of children were also undertaken. Some of these programmes were related to the growth and development of children, especially children belonging to the pre-school age group of below six years. However, such child care programmes with their inadequate coverage and very limited inputs could not make much dent in the problems of children. As comprehensive and integrated early childhood services were regarded as investment in the future economic and social progress of the country, it was felt that a model plan which would ensure the delivery of maximum benefit to the children in a lasting manner should be evolved. Accordingly, a scheme for integrated child care services named as ICDS was initiated for implementation in all states (Lok Sabha Secretariat report, 2011).

Launched on October 2, 1975, ICDS scheme continues to be one of the largest and unique schemes in the world underpinning holistic development of under-six years of children in the country. Being implemented nationwide under the aegis of the Union Ministry of Women and Child Development (MWCD), the scheme is a powerful driving force designed to break the vicious cycle of child malnutrition, morbidity, reduced learning capacity and mortality. The scheme adopts multi-sectoral approach by integrating health; nutrition; water and sanitation; hygiene; and education into one package of services that primarily targets children below six years; women including expectant and nursing mothers; and adolescent girls. The other key element of this scheme is that all the services under ICDS are provided through Anganwadi Centres (AWCs) established at the community level.

While the scheme was launched nationwide, only 42 per cent out of 14 lakh habitations were covered under the scheme by the Ninth FiveYear Plan in the country. With a view to universalising the scheme, the Supreme Court of India in its order of April 29, 2004, and reiterated in its order dated December 13, 2006, has inter-alia, directed the Government of India to sanction and operationalise a minimum of 14 lakh AWCs in a phased and even manner. To comply with the directions of the Supreme Court and to fulfil the commitment of the Government of India (GoI) to universalise the ICDS Scheme, it has been expanded in three phases in the years 2005-06, 2006-07 and 2008-09, so as to cover all habitations, including Scheduled Caste (SC) / Scheduled Tribe (ST) and Minority, across the country (Lok Sabha Secretariat report, 2011).

In pursuance to the order of Supreme Court, rapid universalisation of ICDS has been made across the country. Today, there is near universalisation of ICDS scheme in India, to the extent that the ICDS scheme covers nearly 7067 ICDS projects (99.89%) out of approved 7075 and almost 13.60 lakhs AWCs (97.14%) out of 14 lakh across states of India (MWCD, 2014, Consolidated Report).

While it was essential to universalise ICDS, the rapid expansion resulted into some programmatic, institutional and management gaps that needed redressal. These gaps and shortcomings have been the subject matter of intense discussions at various forums including the mid-term review of the 11th Five-Year Plan. It was felt that the programme needs restructuring and strengthening which was duly endorsed by the Prime Minister's National Council on India's Nutrition Challenges which decided to strengthen and restructure ICDS. Consequently, an InterMinisterial Group (IMG) led by the Member, Planning Commission (In-Charge of WCD), was constituted to suggest restructuring and strengthening of ICDS.

The Inter-Ministerial Group (IMG) after holding consultations with different stakeholders submitted the report on restructuring ICDS in 2011 (Hameed, 2011). Accordingly, the proposal to strengthen and restructure the ICDS scheme through a series of programmatic, management and institutional reforms, changes in norms, including putting ICDS in a Mission Mode was considered and approved by Gol for continued implementation of ICDS Scheme in the 12th Five-Year Plan (MWCD, 2012,). In order to achieve the above objectives, ICDS has repackaged its services (relating to health; nutrition; water and sanitation; hygiene; and education) in an integrated manner with an aim to bring in larger impact on the beneficiaries. The new package of services has six major components; ten services and 52 core interventions (MWCD, ICDS Mission, 2012).

Context and Challenges The Global Context The global population reached seven billion in 2011 and will continue to grow, albeit at a decelerating rate, to reach a projected nine billion in 2050 (United Nations (UN), Department of Economic and Social Affairs, Population Division, 2011). “...For many countries, the current rate of expansion of urban agglomerations has brought about severe challenges for provision of basic services such as adequate housing, water and sanitation systems as well as provision of health clinics and schools. There are many factors specific to life in urban environments which impact household food and nutrition security” [Food and Agriculture Organisation (FAO), UN, 2010]

The United Nations Standing Committee on Nutrition (UNSCN) statement of 2012, which builds on the 2006 statement (The double burden of malnutrition: a challenge for cities worldwide) clearly reflects its view on nutrition security of urban population when it states that “Now more than half of the global population lives in cities which are therefore hosting more poor... growing urban populations increase vulnerability and the risk of humanitarian crises. All countries, high as well as low- and middle-income countries (LMIC), are experiencing the double burden of malnutrition which is rooted in poverty and inequality. Vulnerable households require social protection, adult education including nutrition education and legal protection to realise and protect optimal nutrition. A wide variety of local innovative initiatives is taking place, both in LMIC as in wealthy nations. But cities need to be empowered to do more, better and now. The UNSCN through this statement of 2012 calls for increased attention, awareness and research on urban nutrition as well as for an effective engagement and Inter-sectoral and Multi-stakeholder collaboration leading to an efficient use of urban resources. Rural-urban linkages need to be enhanced. Successful urban nutrition initiatives need to be better documented and more widely shared” (UNSCN Statement, 2012).

The National Context As per the Census Report of 2011, India is home to 121 crore people, out of which, 37.71 crore people, which constitute 31.16 per cent of total population residing in urban areas. This is for the first time since independence, that the absolute increase in population is more in urban areas than in rural areas. The level of urbanisation has increased from 25.7 per cent in 1991 to 27.81 per cent in 2001 and 31.16 per cent in 2011. In fact, the proportion of rural population, declined from 72.19 per cent in 2001 to 68.84 in 2011 (Census of India, 2011). Within 25 years, another 30-40 crore people are expected to be added to Indian towns and cities (Planning Commission, 2010). The UN estimates that by 2030 about 583 million Indians will live in cities (United Nations, 2014).

Urban growth has led to rapid increase in number of urban poor population, many of whom live in slums and other squatter settlements. As per Census 2011, approx. 6.5 crore people live in slums as compared to 2001 census when 5.24 crore people lived in slums. Out of 4,041 Statutory’ Towns in Census 2011, 2543 Towns (63%) were reported as Slums. The total Slum Enumeration Blocks (SEBs) in Census 2011 is about 1.08 lakh in the country and the largest number of SEBs are reported from the State of Maharashtra (21,359). Out of 789 lakh urban households, almost 137.49 lakh (17.4 % households) live in slums in India. Interestingly, out of these 52 lakh slums household (38.1%) reported to live in Millions Plus Cities, which are 46 in number, across India. The increase in urban poor population including people living in slums is putting greater strain on the urban infrastructure.

Unlike in rural areas, urban poor economy is cash-based making an impoverished urban poor family more vulnerable to food insecurity. Poor environmental conditions in urban slums result in frequent episodes of morbidity, particularly diarrhoea, putting families especially children in a vicious cycle of malnutrition. As many of the urban poor live in temporary settlements and slums not included in the official government lists they are often excluded from basic amenities/government services and they constantly struggle for housing, livelihood and health care. Further, due to long delays in updating official slum lists many often remain unlisted/unrecognised for years. Being unrecognised they are not even entitled to basic health and nutrition services (Agarwal, Taneja, 2005). Improving health outcomes for urban populations is a challenge, particularly for residents of slum areas. In addition to the general level of poverty, unique factors contribute to poor health in urban slums and make the provision of health services in those areas more difficult. These include lack of regular employment, lack of tenure and the threat of eviction, migration, poor access to water and sanitation, extreme crowding, and a host of social issues including discrimination (Kamla Gupta, Fred Arnold, and H. Lhungdim. 2009).

An overview of State-wise ICDS Projects/Anganwadi Centres in Rural and Urban Areas of India:
Though, originally designed to reach rural communities, ICDS now has a substantial presence in urban areas, particularly in poor slum settlements. AWCs are increasingly playing a crucial role in providing health and nutrition services to children and women in the urban landscape. Today, there is near universalisation of ICDS in India, to the extent that the ICDS scheme covers nearly 7067 ICDS projects (99.89%) out of approved 7075 and almost 13.60 lakh AWCs (97.14%) out of 14 lakh across states of India

However, of these, there are just 755 ICDS projects and 11, 7411 AWCs sanctioned for urban areas across the country. The national average of urban ICDS projects in India is just about 11 per cent, whereas the urban population in India has reached up to 31 per cent. In fact, more or less similar is the situation of states except NCT of Delhi, where percentage of urban population is almost 97.50.

Emerging Issues and Gaps (Problem of Health and Undernutrition in Urban Areas) India is home to the world’s largest child (0-6 years) population of 158.8 million (Census 2011), of which 41.2 million reside in urban areas. The child population in urban areas increased by almost 3.9 million (10.32%) while the corresponding rural child population decreased by five million (7.04%) as compared to 2001 Census. Demographic trends indicate that urban areas will see exponential population increase over time. The Child Sex Ratio (0-6) in the country in Census 2011 has declined by 13 points from 927 in 2001. In Rural areas the fall is significant as it has declined by 15 points from 934 in 2001 to 919 in 2011 and in Urban areas the decline is limited to four points from 906 in 2001 to 902 in 2011.

The urban poor suffer from poor health and nutrition status (NUHM, MoHFW, 2013). Almost 43 per cent of children under five years of age in India are underweight and 48 per cent are reported as stunted (NFHS- 3). The urban poor population (including the slums in urban areas) has a high prevalence of under nutrition as almost 47 per cent of urban poor children are reported to be underweight and 54 per cent as stunted with almost 60 per cent of urban poor children miss total immunisation before completing one year (NUHM, MoHFW, 2013; NFHS-3, 2005-06). Further, the Infant Mortality Rate (IMR) of India, is still considered as high as 40 per 1,000 live births (Sample Registration System (SRS), 2013) while the Under-5 Mortality Rate (U5MR) is as high as 52 per 1,000 live births (SRS, 2012).

The Global Hunger Index (GHI) Report, released in October, 2014, has reported that underweight children in India fell by almost 13 percentage points between 2005-06 and 2013-14, this means underweight in children in India stands as 30.7 per cent. India now ranks 55th out of 76 countries, before Bangladesh and Pakistan, but still trails behind neighbouring Nepal (rank 44) and Sri Lanka (rank 39). While no longer in the “alarming” category, India’s hunger status is still classified as “serious”, (GHI, 2014). Even if we go by this figure, this 30.7 per cent is still very high and much has to be done to contain malnutrition in India, without losing our focus from policy perspective. In fact, before arriving at any conclusion based on GHI report on reduction in malnutrition for India, one should also wait for National Family Health Survey-4 (NFHS-4) data to come out by Ministry of Health and Family Welfare (MoHFW) Government of India for clearer policy direction.

The perusal of above data that relate to urban poor for slums and nonslums from cities, namely, Bhubaneswar, Jaipur, and Pune reflects that on an average only 32 per cent of children weights were measured across slums in these cities. Further, more than 60 per cent mothers of these children who were weighed in these slums reported that they have not been counselled. In fact, the issues of mother receiving supplementary nutrition from AWCs is very low, on an average it is just 27 per cent across three cities except Bhubaneswar, where this percentage is 37. The data further reveals that only 42 per cent of children aged 12-23 months were fully immunised across slums in these cities. However, the data shows that on an average about 69 per cent of children were breastfed within an hour of birth of child except Jaipur where this percentage is just 37. Also, on an average more than 85 per cent of children were exclusively breastfed across these cities except Jaipur where the per cent is just 60. Further, almost 62 per cent of married women in these slums reported to have had consumed IFA for 90 days or more, except in Jaipur where this percentage is just 42. On the issue of community interaction with ICDS and Health field functionaries, on an average, about 41 per cent of married women across slums in these cities reported that they had interacted with AWW and ANM at AWCs,

The households in slum areas lack toilet facilities and use open spaces for defecation. For example, almost, 23 per cent of households in Bhubaneswar, 13 per cent in Jaipur and six per cent in Pune do not have toilet facilities and use open spaces for defecation. In fact, on an average only about three per cent of households in these slums across cities reported to have access to water in their own dwelling. However, in Bhubaneswar about 23 per cent, Jaipur, four per cent and Pune, 25 per cent of households in slums reported of getting drinking water from their own yards/plots. In fact, more than two thirds of the households source of drinking water is located elsewhere. Majority of slum households reported to storing of drinking water. (HUP, Baseline Report, 2011, IIPS, Mumbai).

The constraints of space, proper infrastructure, sanitation, town planning without giving adequate provision for childcare plague the functioning of urban ICDS. “The ICDS runs very poorly in urban slums areas, the urban Anganwadis are in terrible conditions... Whether winter or summer, they make the kids sit on a paper-thin durrie and even if they soil themselves they are made to sit like that for hours. All they get is a meal but no personal touch. Most women here who go out for work leave their children with private care providers... In urban slums, the problem of appallingly low rent allocations for hiring of spaces and non-availability of government buildings needs to be addressed urgently to fill the gap in universalising services for slum populations” (Saxena, 2012). Action Aid, a study done in 2010 on the homeless in Chennai and discovered that 66 per cent of children under five years were not availing of ICDS facilities. Many were opting for creches services of private players. The worst affected are those in the unorganised sectors-constructions workers, domestic helps, vendors and so on. They take their children along with them and make them work by pulling them away from schools (Saxena, 2012).

Despite the supposed proximity of the urban poor to urban health facilities their access to them is severely restricted. This is on account of their being “crowded out” because of the inadequacy of the urban public health delivery system. Ineffective outreach and weak referral system also limits the access of urban poor to health care services. Social exclusion and lack of information and assistance at the secondary and tertiary hospitals makes them unfamiliar to the modern environment of hospitals, thus restricting their access. The lack of economic resources inhibits/ restricts their access to the available private facilities. Further, the lack of standards and norms for the urban health delivery system when contrasted with the rural network makes the urban poor more vulnerable and worse off than their rural counterparts (NUHM, MoHFW, 2013)

Poor environmental condition in the slums along with high population density makes them vulnerable to lung diseases like asthma, tuberculosis (TB) etc. Slums also have a high-incidence of vector-borne diseases (VBDs) and cases of malaria among the urban poor are twice as high as other urbanites ((NUHM, MoHFW, 2013). The multiplicity of providers, agencies, and programmes addressing similar developmental issues, often without synergy, is a complexity unique to urban areas, rendering some populations “over reached” and perhaps the most vulnerable populations, “under reached” (Urban Health Initiatives, India, 2012).

Overall urban health and well-being metrics is weak in terms of its ability to highlight inequities within urban areas. Practice of using simple tools to understand deprivations and of spatially mapping inequities and vulnerable pockets is yet to be adequately developed. Despite physical proximity of service delivery points, cities are the locus of inequitable access and reach of healthcare services. There is poor social cohesion and collective self-efficacy to seek essential services among the urban underserved. Coordinated efforts of multiple stakeholders in responding to urban inequities have been limited. While there is growing recognition of the magnitude, growth and significance of urban poverty in India, the response of governments, donors and other agencies in addressing urban health inequities has been lukewarm (Agarwal, Sethi, UHRC, 2012).

An order of Supreme Court dated October 7, 2004, with regards to urban slum and urban ICDS, stated that “Efforts must be made to ensure that all Scheduled Castes and Scheduled Tribes (SCs & STs) habitation in the country shall, as early as possible, have operational AWCs. Similar efforts shall also be made to ascertain that all urban slums have AWCs. Further, the order says: “All States and Union Territories shall make earnest efforts to ensure that slums are covered by the ICDS Programme” (Mander, 2012).

Mindful of all these growing problems and complex challenges in urban settings with specific reference to functioning of ICDS programme in urban areas, the MWCD, Gol, in July, 2012, organised a two-day workshop on ‘Strengthening Maternal and Child Care, Nutrition and Health Services in Urban Settings’ attended by senior representatives of the allied department of Gol, several state governments including that of the representatives of Municipal Corporations, NGOs, etc. Probably, these challenges were discussed for the first time at such a national forum comprising of galaxy of participants and experts from different corners of the country. The MWCD during deliberations recognised and acknowledged that urban ICDS is faced with a multitude of constraints and further noted that “in view of multidimensional challenges of providing maternal and child care nutrition and health services in urban settings, there is pressing need for identifying the key issues and to arrive at workable solutions along with short and long term strategies for ICDS programme in urban areas” (Workshop Report, MWCD, NIPCCD, 2012).

However, the recent policy decisions by Central Government with regards to drastic reduction in budget on ICDS and what impact it would have on ongoing ICDS restructuring and strengthening process initiated and mandated under 12th Five-Year Plan period requires some discussion. The budgetary allocation for ICDS scheme this financial year (FY) 15-16, by Gol is reduced to almost 50 per cent as compared to last two financial year period. This financial year, the allocation is just Rs. 8335.7 crore as Gol share, whereas, the budgetary allocation amount for FY 13-14 & FY 14-15 for the ICDS scheme was Rs. 16,312 crore and Rs. 16,561 crore respectively (Press Information Bureau, MWCD reply to Rajya Sabha, March 19, 2015).

The recent decision leading to drastic reductions in ICDS budget may impact the ongoing strengthening and restructuring of ICDS scheme which had already started a series of programmatic, management and institutional reforms, including putting ICDS in Mission mode as envisioned and approved under 12th Five-Year Plan period. Under 12th Five-Year Plan period, the total approved budget allocation for ICDS by Government of India for implementation of restructured and strengthened ICDS scheme in Mission mode was Rs 1,23,580 crore as GoI shares. In addition, the provision of funding from other sources and convergence with other programme/schemes including the Mahatma Gandhi National Rural Employment Guarantee Act was agreed to be pursued (MWCD, 2012, letter no.1-8/2012-CD-1, October 22, 2012).

However, Government of India maintains that the reduction in the Budgetary allocations in Financial Year 2015-16 for all planned schemes, including ICDS, have been made against the backdrop of the 14th Finance Commission ‘recommendations of higher devolution of taxes to the tune of 42 per cent of the divisible pool to the states which in their view is much higher than the 32 per cent devolved to states in the previous five years. The GoI argues that this decision is made to give more flexibility to states in implementation of centrally sponsored schemes with higher share from the states (Expenditure Budget, Plan Outlay 2015-2016). But so far states have not come up with clearer response on that as whether they will really enhance their shares to these social schemes or in this case ICDS in line with objectives of restructured and strengthened ICDS and whether they will implement the programme in mission mode as envisioned. Further Gol, should clarify that major activities under restructured and strengthened ICDS that was supposed to be undertaken at central level should be supported with required budgetary allocations to support the rolling out ICDS mission in effective manner.

Interestingly, the perusal of the draft concept note of widely discussed Smart City Scheme suggests that ICDS scheme is not incorporated in Smart City Strategy. Although, there is focus on health, sanitation and social infrastructure in draft proposal but without any reference of ICDS services or tackling of under-nutrition among urban poor and slum settlements (Draft Concept Note on Smart City Scheme, 3-12-14, MoUD, Gol).

Conclusion and Recommendations The foregoing discussion and analysis clearly depicts the challenges that ICDS programme in urban areas is presently confronted with and augur the need to strengthen the ICDS programme in urban areas. The analysis clearly reflects services related to ICDS in urban areas are not without serious limitation and challenges especially in the wake of increase in urban population and slum settlements and inclusion of new areas under urban settings. The discussion also brings forth the gap between the policy intentions of ICDS and its actual implementation at field and raises serious concerns on functioning of ICDS programme in urban areas. For example, the AWCs in slum or in urban areas is confronted with issues ranging from infrastructural constraints for AWCs (buildings, space, water and sanitation facilities, inadequate rental provision to run the AWC properly; unmapped and unrecognised slums and squatters; left out and drop out; increasing migrant and mobile population; difficulty in identifying and reaching out to migrant and working population; lack of convergence with health and allied departments and local bodies, lack of knowledge and capacity among service provider; absence of an effective primary health care system in urban areas; lack of awareness and community participation, issues of gender, self-identity and inadequate access and poor quality of services, etc

In the context of foregoing analysis and objectives of this article, it is important to highlight some recommendations for ICDS programme, in urban areas that have emerged from discussion. Over all, the trend emerging out of this discussion in the form of immediate and intermediate recommendations are summarised in following points: There is a need to think about AWCs cum-day-care centres/Creche in urban settings to facilitate working mothers; establishing mobile AWC; mapping and reallocation of left-out listed slums; use of temporary structures such as Porta Cabins or other temporary structures as AWCs; co-location of AWCs in schools wherever feasible, provision of wage loss to mothers and collective efforts for services like water and sanitation; AWC rent options to be linked to different categories of cities/towns and the rent approved under ICDS restructuring and strengthening under 12th Five-Year Plan should be strictly adhered to; ensure quality of service delivery to urban poor settlements and pockets with focus on highly vulnerable settlements.’ Increased involvement of community in managing and organising AWC activities in urban settings; need for proper capacity building and skill development of ICDS staffs in the context of urban challenges; need for convergence and coordination and multi-sectoral partnership and need for co-micro planning with multisectoral agencies viz. MoHUPA to improve AWC infrastructure; with MoHFW to improve outreach points, mobile service teams, helplines and referral linkage; with community based organisations to improve household counselling and community mobilisation; with NGO partners to manage urban ICDS particularly delivery of supplementary nutrition and Early Child Education; with Urban Local Bodies (ULBs) to implement and monitor ICDS projects. Need for private sectors participation and leverage of CSR funds for strengthening of the ICDS in urban areas.

Further, there is need for the growth-monitoring activities at AWCs to be performed with greater regularity with an emphasis on using this process to help parents understand how to improve their children’s health and nutrition and at the same time the monitoring and evaluation activities need strengthening through the collection of timely, relevant, accessible, high-quality information to inform decision, improve performance, quality and increase accountability.

Addressing the health and nutrition of urban poor children is both a right and an equity issue. In terms of long-term planning, there is an opportunity for policy makers to identify and explore for various localised models and workable solution along with existing best practices keeping in view the strengths of their reliability, which can support urban ICDS programme in effective and meaningful ways. There is pressing need to design and initiate urban pilot interventions aimed at improving the availability, accessibility and quality of child development services to effectively address the nutritional and health concerns in urban setting of the urban poor population

Courtesy: http://www.iipa.org.in/upload/articles_sanjeev.pdf 

Continuously motivating grass roots workers is the key - Amit Gupta

As DM of Badaun, Amit Gupta spearheaded a campaign against manual scavenging by replacing dry latrines with pour-flush toilets, winning the Prime Minister’s Award for Excellence in Public Administration in 2011. With the Swachh Bharat Mission commencing, he shares his grass roots experiences in sanitation schemes with Jiby J Kattakayam.

With open defecation and manual scavenging persisting, how can a nationwide sanitation scheme be made sustainable?

Open defecation and manual scavenging are different issues. Our primary focus in Badaun was on the latter. Our work was sustainable because it was tackled from both ends: dry toilets were converted and manual scavengers were rehabilitated. By building toilets in manual scavengers’ home and training them as masons, we made them active participants. We addressed around 500 meetings to create awareness. The Valmikis badly wanted to get out of this tradition and those who have quit tell me that they will not return. Open defecation, on the other hand, also involves a behavioural aspect as a household with a toilet might still use it as a storeroom and opt for open defecation. Alongside funding and targets, what is more important in a sanitation drive is motivating stakeholders. We also found audio-visual techniques like posters and street plays effective.

Are caste practices aiding the persistence of manual scavenging?

Earlier, the manual scavengers were under pressure from the influential groups in villages who were using dry toilets. When these people shifted to pour-flush toilets, the social pressure on the Valmikis eased. They now realise that the discrimination they faced earlier was partly because of the nature of their work. Now, erstwhile scavenging households are taking up various agriculture-related or MGNREGA works which other villagers do. They have reported back to our field staff that their social status has risen after dissociating from the scavenging work. But for effective rehabilitation, a multi-pronged approach involving BPL and MGNREGA job cards, access to PDS, health, housing, skill development and social security schemes, and school enrolment is necessary.

Earlier schemes had poor allocations for building toilets and none for maintenance. How should funding be structured?

Low-cost toilet models should be popularised, which we did. Our priority was to convert as many dry toilets as possible, and, frankly, the problem of maintenance and toilet seats’ breaking was not realised. But there could be provisions of maintenance after a specified period for the poor. What many people forget is that a lot can be achieved with little effort. If we target the comparatively well-off people in villages and motivate them to construct toilets with their own money, the lower income groups are more likely to follow suit. I am a firm believer in persuading the upper strata to invest their own financial resources in constructing toilets. We persuaded lower-tier public servants, ASHA, rozgar sevaks, para teachers and anganwadi workers, who are the more educated ones and wield much influence in villages, to build toilets in their homes. This strategy has worked well as they persuade others to do the same. This frees up public funding for building toilets for the poor.

Gupta is now special secretary to the Chief Minister of Uttar Pradesh. Views expressed are personal.

Article Courtesy: http://www.dnaindia.com/analysis/column-continuously-motivating-grass-roots-workers-is-the-key-2027704

CASE STUDY: India — Tracking health and well-being in Goa's mining belt by Kevin Conway

New tools promote the sustainable development of mining

A strong mining sector can provide "good" jobs and generate much needed revenue for cash-strapped governments. But it can also ruin landscapes and transform communities. In the Indian state of Goa, researchers supported by Canada's International Development Research Centre (IDRC) have developed a series of tools to assess the trade-offs. The goal is to ensure that the mining and mineral industry contributes equitably to the well-being of local people.
The Indian state of Goa is better known for its beaches and as a mecca for backpackers than as the backbone of India's iron ore industry. Yet, the mining belt that stretches across the middle of this tiny state accounts for 60 percent of the nation's iron ore exports. The contrast between the picture-perfect beaches of the coast and the pockmarked landscape of the interior is stark. Open pit mining operations have left an indelible mark on the region: hills have been flattened, forests razed, and fields blanketed in silt run-off from waste sites and processing plants. Look beyond the fractured landscape, however, and you will see that jobs have been created, health and education standards have improved, and money spent locally has brought a measure of material wealth.
Goa's story is one that has been repeated in mineral-rich regions the world over where economic imperatives have pushed environmental concerns aside. Where this story differs, though, is in the steps being taken to change the narrative.
The search for balance
"Closing the mines because of their environmental impact is not an option for Goa," says Dr Ligia Noronha of the Western Regional Centre of the Tata Energy Research Institute (TERI). "But there is a need to bring about some balance between the economic gains and the environmental losses to ensure greater sustainability for the region and local communities.
"Finding ways to achieve that balance is the driving force behind the research in which TERI is now engaged. "Mining is one of those activities that really connects issues relating to people, development, and the environment," says Dr Noronha. "But its contribution -- negative and positive -- to health and well-being is poorly understood. More important, it's not well communicated."
As a result, local communities, governments, and mining companies are often uncertain about their respective roles and responsibilities in mining development, and they are unable to act or participate effectively in decisions related to mining activities. This is the information that Dr Noronha and the team she leads have sought to provide. The team includes economists, a biologist, a biochemist, an environmental geologist, a political scientist, and a specialist in health and social research statistics. They have developed a series of tools to measure the well-being of local communities and the surrounding environment. "By allowing changes in well-being to be measured over time, these tools can enable greater participation and conflict resolution. They can also improve decision making," asserts Dr Noronha.
Building local trust
"Early on, we understood that we needed a broad perspective for understanding well-being and its determinants, as well as a means of addressing the various realities of the people living and working in mining areas," says Dr Noronha. "We chose an ecosystem approach because it places an equal emphasis on concerns related to the environment, the economy, and the community in assessing the significance of an economic activity to human well-being. For us, it seemed the best way to go."
The TERI team also recognized that the active involvement of mining companies, state and local governments, and villagers in mining communities would be critical to arriving at workable solutions. "The main challenge," says Dr Noronha," was convincing the groups that we did not have vested interests -- that we were not out to close mines, to do people out of jobs or governments out of revenue, but to arrive at the shared understanding of the trade-offs and possibilities. Fortunately, things worked well and we received the full support of the local communities, industry, and the government during this project.
To overcome early skepticism, the TERI team launched a process they refer to as "multistakeholder issue development." Mining company representatives, government officials, and community members were involved in identifying and validating critical issues associated with mining, with developing and testing tools, and in resolving problems that arose as the project progressed. "The multistakeholder process was a central feature of our work," says Dr Noronha. "It ensured that the issues were acceptable to all the stakeholders, that it reflected their priorities, and that the issues left out were less important than those that were included."
The common set of core issues to emerge from this process were:
land: its availability for mining operations and issues of compensation to farmers;
environmental quality: concerns about the degradation of air, water, lands, and forests;
post-mine closure: issues of unemployment, income potential, migration rates, alcoholism, and environmental cleanup;
human and physical investment in the region: education, basic amenities, rent-sharing with locals, training opportunities, and health care facilities;
social and community relations: nongovernmental organizations' interference, political interference, media under-reporting of problems, cosmetic attention to problems, and consultation; and
effective administration: rule enforcement, goals achieved, and accountability.
Working from this core set of issues, the TERI researchers developed three tools for measuring the impact of mining activities and their effect on well-being: (1) a set of environmental and social performance indicators to measure the economic, environmental, and social costs of mining; (2) a "quality of life" instrument to assess the well-being of people in mining areas over time; and (3) an income-accounting tool to gauge the long-term economic viability of mining activities.
Assessing change
The purpose of environmental and social performance indicators is to measure trends. "Changes in indicators over time can then point to what is happening in the mining region, whether impacts are positive or negative, whether problems are growing or decreasing, and whether or not current policies are achieving desired goals," says Dr Noronha. "They can also point out actions and areas of concern to the main stakeholders."
The TERI team developed indicators for each of the stakeholder groups. For mining companies, for example, whether wastewater was treated and tailings water was recycled served as indicators of environmental performance. In villages, water levels in wells and rivers served as indicators of environmental quality. Because monitoring was done by government agencies, they also served as indicators of good environmental governance.
A pre-pilot test of the indicators was done with a few companies and the Goa Mineral Exporters Association to see if the language used was clear and to ensure that the indicators had policy relevance. Where testing showed that data for proposed indicators did not exist or would be difficult to obtain, those indicators were dropped from the final set. Examples of indicators that were dropped include the lowest wages paid by worker category, the number of patents filed, and worker retraining expenditures as a percentage of the total spent on all human resource development. Other indicators, not captured in the first round, were added: concerns of workers, for example, were included because they were seen as important to the mining companies, governments, and the communities in which the workers lived. The revised list of indicators was then field-tested and validated.
Monitoring quality of life
n developing the quality of life (QOL) instrument, the TERI team worked with focus groups of 10 to 12 people who represented a cross-section of the community and included members of the three stakeholder groups. "The purpose of the focus groups," says Dr Norohna, "was to get comments and views on conditions that make life better or worse, and the conditions and processes that can change the life of local people and make it more positive. They also helped with the initial testing to ensure that the tool was valid and comprehensive."
Versions of the QOL tool were piloted in Goa and in Mozambique to check for consistency and validity of results. The tool was then refined on the basis of feedback from field studies.
In Goa, the QOL instrument will provide stakeholders with a snapshot of how quality of life changes over time and at different levels of economic activity depending on whether mining is new to the area, well established, or in the processof closing down. This panoramic picture of changes over time can "suggest policies and promote improved industry and government practices that will lead to improved health and well-being of people," says Dr Noronha.
A mining ecosystem
The ecosystem defined by the TERI team includes 57 villages in the Goa mining belt that the researchers grouped into four clusters. The clusters cover a continuum in the life span of mining communities from those where mining operations are new and very active to more mature sites that are closing down. Environmental and social characteristics are often correlated to where the clusters lie along this continuum. Thus, literacy levels and access to amenities, such as lighting, sanitation, water, and cooking gas, were higher where mining was the most active. These same areas also experienced the worst air quality as a result of dust from mining and trucking operations. These differences were significant for the research team. It meant that the tools they developed would have to be sensitive enough to discern these differences and allow for solutions tailored to the local reality.
Promoting sustainable development
The role of mining in sustainable development is one issue that decision makers and resource managers have wrestled with for decades. With the development of their income-accounting tool, the TERI researchers have attempted to show how mining activities, which have a finite life span, can be integrated with social and environmental concerns in a way that promotes long-term community development.
The approach adopted by the TERI team places a monetary value on the effects of mining, such as air and water pollution, loss of forests, groundwater depletion, mineral resource use, and reduced agricultural productivity. It also takes into account the direct and indirect benefits to society. In the case of forests, for example, this would include the economic benefits gained from the generation of marketable products and the indirect benefits from watershed protection and other services. These environmental costs can be seen as an additional amount that should be contributed by the mining company to finance environmental rehabilitation using the "polluter pays" principle.
The team used similar accounting practices to place values on the health and social costs of mining. To ensure the economic viability of communities after the resource has been exhausted, money would be set aside to finance human and community development. This could help offset one of the main problems associated with mine closures: the lack of skills and resources for alternate economic development.
A step forward
The tools the TERI team have developed are not a panacea. For one thing they do not address the skewed power rela-tionships so common in mining areas. "In Goa, mining is big business and mine owners are politically powerful," says Dr Noronha. "Mining is causing serious environmental problems, but few questions are asked."
She sees the development of these tools as a step forward in redressing this imbalance. "Mining companies are now aware and, more importantly, acknowledge that they have to act responsibly, that their activities are being monitored and assessed," states Dr Noronha. "Communities have information, both positive and negative, about the activity and its impact in relation to certain societal goals or standards if they want to act toward improved conditions for themselves. And government officials know there is access to information if they want to use it to improve governance in mining regions."
This, she believes, can promote increased accountability and transparency in resource development.
This Case Study was written by Kevin Conway, a writer in IDRC's Communications Division.

Article Courtesy: https://www.idrc.ca/en/article/case-study-india-tracking-health-and-well-being-goas-mining-belt