Development of Hydropower in India: Between Global Norms and Local Actions
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Development of Hydropower in India: Between Global Norms and Local Actions Nirmalya Choudhury 2 Development of Hydropower in India: Between Global Norms and Local Actions vorgelegt von Master of Science (M. Sc.) Post Graduate Diploma in Forestry Management (PGDFM) Nirmalya Choudhury aus Durgapur, Indien von der Fakultät VI – Planen Bauen Umwelt der Technischen Universität Berlin zur Erlangung des akademischen Grades Doktor der Ingenieurwissenschaften Dr.-Ing. genehmigte Dissertation Promotionausschuss: Vorsitzender: Prof. Dr. J. Köppel 1. Berichter: Prof. Dr. Volkmar Hartje, Institut für Landschaftsarchitektur und Umweltplanung, Fachgebiet Landschaftsökonomie Technische Universität Berlin 2. Berichter: Prof. Dr. Marcus Nüsser Südasien-Institut, Abteilung Geographie Universität Heidelberg Tag der wissenschaftlichen Aussprache: 30.01.2013 Berlin 2013 D 83 3 4 This research was funded by the IPSWaT scholarship program, an initiative of the German Federal Ministry of Education and Research (BMBF). 5 6 Acknowledgements This research would never have been possible without the help and guidance of many people. The intellectual journey that I have undertaken since then was made possible by many people. First and foremost I would like to thank Parthojyoti Das. Partho Da, the day-long discussions that we had during my first few weeks of fieldwork were immensely beneficial for me. The fieldwork in North East would never have been so smooth without your help. I thank you for this. I also thank the entire team of PMSBV especially Keshab Chandra Chatradhar (Bhai), Tony Mikrows, Ram Wankheirakpam, Sunder Mohant, Dilip Gogoi, Monin Gohain. Thanks to all of you for spending time with me in spite of your busy schedule and enriching me with your thoughts and activities. I am deeply thankful to the entire Kalpvriksh team particularly Neeraj Vagholikar, Kanchi Kohli and Manju Menon. All of you are in the forefront of actions. The discussions with all of you have helped me immensely to gauge the complex and complicated contours of environmental governance in the country. Also a large part of my analysis was based on the systematic repository of data that you have maintained on the Environment Impact Notifications which you shared with me. I would also like to thank Himanshu Thakkar. Your insightful articles along with our interactions were a great learning experience for me. I also thank Shahid Ali Khan of NHPC and the NHPC Teesta Office for their intellectual and logistical help during the fieldwork. I would like to thank A. D. Mohile, Chetan Pandit, A. K. Singh and Bharat Singh. I have greatly benefitted from your rich administrative experience and domain knowledge. I was able to take part in two very intellectually enriching workshops during my fieldwork. It was thanks to Himanshu Kulkarni and Upali Amerasinghe that I could participate in them. I would like to thank Peter Mollinga and Ramaswamy R. Iyer for their comments on an expanded version of the article on “Sustainable Dam Development in India: Between Global Norms and Local Action”. I also thank Thomas Lennartz and an anonymous reviewer for reviewing and editing the article on “Environment in an Emerging Economy: The Case of Environmental Impact Assessment Follow-up in India”. I would like to thank two anonymous reviewers of the article: “Legality and Legitimacy of Public Involvement in Infrastructure Planning: Observations from Hydropower Projects in India”. 7 I would specially like to thank Alexander Erlewein. Alex, it was by chance that we met during our fieldwork. The numerous discussions we had on various issues subsequently have benefitted me a lot. I would like to thank you for your insightful comments on my articles, and permitting me to use the photo of the Bhakra dam as the cover photo of this dissertation. I would like to thank my team members: Oliver Hensengerth and Agnes De Costa along with my colleagues of Chair in Environmental and Land Economics. I have enjoyed personally and professionally interacting with all of you. Oliver, I thank you once again for helping me with the translation work. I will like to thank Saptarshi Dey for helping me in preparing the map to locate the study areas. I will like to thank Antje Glück and Malte Oehlmann for helping me in formatting the entire thesis. I will like to convey my thanks to BMBF-IPSWaT for their financial support. I am thankful to Marcus Nüsser for reviewing the thesis and agreeing to be a part of my thesis evaluation committee. I am deeply thankful to Volkmar Hartje and Waltina Scheumann. You both have guided me personally and professionally in my intellectual journey during the past years. Last but not the least, this thesis would never have been possible if I was not continuously encouraged by my parents. It was through their encouragement that I could leave my job and resume my studies. In spite of their deteriorating health, they kept my morals high just to ensure that my thesis does not suffer. Mom and Dad, it is because of you that I could finally submit this thesis. This work is for both of you. 8 Abstract Hydropower is an important source of renewable energy. At the same time hydropower projects are prone to adverse environmental and social impacts. This makes responsible hydropower development an important area of research. This thesis addresses the process governing hydropower development in India through an analysis of the importance of environment impact assessment (EIA) and EIA follow-up in the overall decision-making, existence of resettlement and rehabilitation (R&R) norms to mitigate social impacts, and the scope and importance of public involvement in hydropower decision-making. Subsequently this thesis analyses the implications of an increasing private sector involvement on responsible hydropower development. The thesis followed a qualitative research design with a case-oriented approach. This thesis found that requirement of an environmental clearance through an EIA is now legally mandatory for hydropower projects. The process of issuing an environmental clearance has also been standardized over the years. But at the same time the environmental clearance process is perceived to delay projects and constrain infrastructure growth. The reforms in this arena in recent years have been influenced by this perception. The importance of EIA follow-up – measured by compliance and effect monitoring – has declined over the last three decades. Public involvement – in general – resembles as an arena for public information. But this limited legal mandate, not seen as a legitimate public involvement over hydropower projects, results in conflict escalation during post-public involvement stage. The cross-case analysis over hydropower projects showed that presence of an international actor is necessary for diffusion of superior public involvement, while a combination of social mobilization and presence of international actors is sufficient for superior public involvement. In India the R&R of the displaced population is guided by the National Resettlement and Rehabilitation Policy in 2007. This policy does espouse for minimizing displacement, comprehensive option assessment and social impact assessment. But their implementation is made subject to discretion of the state government and project developer. While there is an increase in the importance of private sector in hydropower business, a majority of private sector actors are not equipped to address the social and environmental risks typical to hydropower projects. In future new regulatory agencies like the Securities and Exchange Board of India (SEBI) and their guidelines of Business Responsibility Reports, could open-up new arenas through which practices towards responsible hydropower development can be promoted. 9 10 Zusammenfassung Wasserkraft ist eine wichtige Form erneuerbarer Energie, die allerdings erhebliche Umweltrisiken und soziales Konfliktpotential birgt. Die vorliegende Dissertation untersucht den Prozess der Entwicklung von Wasserkraft in Indien durch die Analyse der Rolle von Umweltverträglichkeitsprüfungen (UVP), UVP Follow-ups, internationalen Normen für Umsiedlung und Wiederherstellung der Lebensbedingungen sowie von Öffentlichkeitsbeteiligung in den Entscheidungsprozessen für Staudämme. Zudem werden die Auswirkungen der wachsenden Bedeutung des Privatsektors analysiert. Dieser Arbeit liegen eine qualitative Methodologie sowie eine Fallstudienanalyse zu Grunde. Ein zentrales Ergebnis ist die Erkenntnis, dass in den letzten Jahren bestimmte Komponenten des Entscheidungsverfahrens gestärkt wurden, andere aber geschwächt. So ist die UVP nun gesetzlich vorgeschrieben und UVP-relevante Prozesse sind standardisiert. Jedoch betrachten Teile der Regierung sowie diverse Projektentwickler die UVP als Hindernis im Entscheidungsverfahren und als Hemmnis für die wirtschaftliche Entwicklung. Das UVP Follow-up – im Sinne von Compliance und Monitoring – hat in den letzten drei Jahrzehnten an Bedeutung verloren. Die Art der Öffentlichkeitsbeteiligung ähnelt zwar einem Forum zur Informierung der Öffentlichkeit, allerdings wird dieses bereits eingeschränkte Mandat nicht als legitim für die Entscheidungsfindung bei Wasserkraftprojekten anerkannt. Das erste Gesetz zu Umsiedlung und Wiederherstellung der Lebensbedingungen in Indien trat im Jahr 2004 in Kraft und wurde im Jahr 2007 geändert. Dem geänderten Gesetz liegen eine Reihe progressiver Normen wie die Minimierung von Umsiedlungen zu Grunde. Die Umsetzung dieser Normen liegt allerdings im Ermessen der jeweiligen Regierung