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Download (4MB) Inaugural-Dissertation zur Erlangung der Doktorwürde der Philosophisch-Historischen Fakultät der Ruprecht-Karls-Universität Heidelberg Indiens wirtschaftspolitische Reformen nach 1991: Eine Fallstudie des Stromsektors Mai 2001 vorgelegt von Mike Enskat geboren am 7. Februar 1971 in Wolfsburg Vorwort und Danksagung Die vorliegende Veröffentlichung wurde im Mai 2001 als Dissertationsschrift mit dem Titel „Indiens wirtschaftspolitische Reformen nach 1991: Das Fallbeispiel des Stromsektors“ an der Philosophisch-Historischen Fakultät der Universität Heidelberg eingereicht. Mein Dank gilt allen, die über einen Zeitraum von nahezu fünf Jahren durch inhaltliche, organisatorische und moralische Unterstützung einen Beitrag zur erfolgreichen Fertigstellung dieses „Projekts“ geleistet haben. Der Versuch, alle diese helfenden Hände in ihrer Vollständigkeit zu erwähnen, wäre zum Scheitern verurteilt. Zu viele Personen standen für Fragen und Gespräche zur Verfügung, zu viele persönliche Begegnungen waren bedeutend für den Fortschritt an dieser Arbeit. Diejenigen, die an dieser Stelle keine Erwähnung finden, dies aber verdient hätten, bitte ich um Verzeihung. Der erste Dank gilt ohne Zweifel meinem „Chef“ und Doktorvater Subrata K. Mitra. Er öffnete mir die Tür in die faszinierende Welt der Politik Indiens. Sowohl seine erkenntnistheoretischen Auffassungen als Wissenschaftler als auch seine moralischen Überzeugungen als Weltbürger erleichterten mir einen intellektuellen Zugang zu den Gesellschaften und politischen Systemen, und – was viel wichtiger ist – zu den Menschen des Subkontinents. So half er mir, das „andere“ wert zu schätzten, ohne es ins Obskure, Romantische oder Unerklärliche verkehren zu müssen. Seine Auseinandersetzung mit der Wechselbeziehung von Culture and Rationality hat meine Sicht der Dinge verändert. Meinen Mitstreitern am Südasien-Institut der Universität Heidelberg gilt ein besonderer Dank und Gruß. Als Kolleginnen und Kollegen, Studentinnen und Studenten und als Freunde haben sie diese Arbeit oftmals zu einer Nebensache gemacht. Bei wem anfangen und was hervorheben? Bei Markus Mayer, der mir letztendlich gezeigt hat, dass eine Doktorarbeit wirklich fertig werden kann? Bei Clemens Spieß, dem meine Bewunderung für seine intellektuellen Fähigkeiten und dem damit gepaartem Understatement gilt? Bei Michael Köberlein und Anila Chandy für ihre treue (Gast-)Freundschaft? Karsten Frey, Rupa Roy, Peter Lehr, Uschi Schmitt-Köhler, Monika Ackermann, Hendrick Lehmann, Alexander Fischer, ihr alle ward unverzichtbare Begleiter auf einem langen Weg. Wichtige Freunde und Begleiter in diesen Jahren waren auch Elke und Walt sowie Martin und Manu. Herzlichen Dank auch an Prof. Hans Georg Bohle, dem Zweitkorrektor dieser Arbeit. Ein ganz besonderer Dank gilt meinen Eltern, denen ich diese Arbeit widme. An keiner Stelle auf meinem langen Pfad von Schule, Studium und Promotion habt Ihr das, wofür ich mich entschied, hinterfragt oder angezweifelt. Im Gegenteil: Stetig und unverrückbar fand ich bei Euch Rückhalt, Unterstützung und immer ein zu Hause. Ihr seit großartig! Diese Danksagung möchte ich nicht abschließen, ohne Neelam Srivastava zu erwähnen. Wir haben einen wichtigen Teil der Zeit, in der diese Arbeit fertig wurde, miteinander geteilt. Heidelberg, 5. November 2003 Inhaltsverzeichnis Kapitel 1 – Einleitung ................................................................................................................ 1 1.1 Policy als Prozess und als Struktur .................................................................................. 5 1.1.1 Policy als Prozess – Das klassische Phasenmodell ................................................... 5 1.1.2 Kritik am Phasenmodell............................................................................................ 8 1.1.3 Policy als Struktur – Netzwerke.............................................................................. 12 1.1.4 Moderne Policy-Analyse und Entwicklungsforschung........................................... 15 1.2 Einige erkenntnistheoretische Anmerkungen und Vorgehensweise .............................. 20 1.2.1 Die Studie als „Fallstudie“ ...................................................................................... 21 1.2.2 Aufbau der empirischen Untersuchung................................................................... 23 1.3 Wirtschaftsliberalisierung in Indien............................................................................... 25 1.3.1 Erste Schritte der Wirtschaftsliberalisierung unter Indira Gandhi.......................... 27 1.3.2 Die Ära Rajiv Gandhis ............................................................................................ 29 1.3.2.1 Reformversuche ............................................................................................... 29 1.3.2.2 Reformen und Interessenkonstellationen ......................................................... 33 1.3.3 Die Interimsperiode 1989-91 .................................................................................. 37 1.3.4 Reformen unter Premierminister Narashima Rao ................................................... 40 1.3.4.1 Außenhandelsliberalisierung............................................................................ 43 1.3.4.2 Industriepolitik und ausländische Direktinvestitionen..................................... 43 1.3.4.3 Reformen auf den Finanzmärkten.................................................................... 45 1.3.5 Theoretische Diskussion zu den Reformen in den neunziger Jahren...................... 46 1.3.5.1 Agenda Setting – Warum es zu Reformen kam? ............................................. 46 1.3.5.2 Implementation der Wirtschaftsreformen ........................................................ 50 1.4 Zusammenfassung.......................................................................................................... 57 Kapitel 2 – Die Geschichte des indischen Stromsektors.......................................................... 58 2.1 Die Elektrizitätswirtschaft im Kontext der Fünfjahrespläne.......................................... 62 2.1.1 Der erste Fünfjahresplan (1950-55) ........................................................................ 67 2.1.2 Der zweite Fünfjahresplan (1956-61) ..................................................................... 69 2.1.3 Der dritte Fünfjahresplan (1961-66) ....................................................................... 71 2.1.4 Zwischenphase der Einjahrespläne (1967-1969) .................................................... 72 2.1.5 Der vierte Fünfjahresplan (1969-73)....................................................................... 73 2.1.6 Der fünfte Fünfjahresplan (1974-79) ...................................................................... 74 2.1.7 Der sechste Fünfjahresplan (1980-85) .................................................................... 79 2.1.8 Der siebte Fünfjahresplan (1980-85)....................................................................... 81 2.2 Die Überlegungen zum achten Fünfjahresplan (1992-97) ............................................. 87 Kapitel 3 – Reformmaßnahmen während der neunziger Jahre auf Ebene der Union .............. 90 3.1 Die Öffnung des Stromsektors für privaten Kraftwerksbau........................................... 91 3.1.1 Vorüberlegungen aus den achtziger Jahren............................................................. 92 3.1.2 Das Reformpaket von 1991..................................................................................... 96 3.1.2.1 Betriebswirtschaftliche Vorgaben.................................................................... 97 3.1.2.2 Regelungen bezüglich technischer Ausrüstungsgüter von Kraftwerken.......... 98 3.1.2.3 Gestaltung der Stromabnahmeverträge ............................................................ 99 3.1.2.4 Gewinnrückführung ....................................................................................... 100 3.1.2.5 Administrative und institutionelle Neuerungen ............................................. 100 i 3.1.3 Parlamentarische Debatte zur Öffnung der Stromerzeugung................................ 102 3.1.4 Soziale und ökonomische Interessenkonstellationen zum privaten Kraftwerksbau ....................................................................................................... 104 3.1.5 Reaktionen privater Investoren ............................................................................. 107 3.1.6 Frühe Probleme bei privaten Kraftwerksinvestitionen.......................................... 109 3.1.7 Die Politisierung privater Kraftwerksprojekte ...................................................... 113 3.1.8 Ausbleibende private Kraftwerksinvestitionen und politische Reaktionen .......... 115 3.1.8.1 Ausbleibende Privatinvestitionen und negative Prognosen für die Stromwirtschaft .............................................................................................. 115 3.1.8.2 „Memorandum of Understanding“ vs. Internationale Ausschreibungen ....... 116 3.1.8.3 Ankündigung eines „Review Committee“ durch das Stromministerium....... 119 3.1.8.4 Das „Committee of Secretaries” .................................................................... 120 3.1.8.5 Forderungen indischer Unternehmensverbände nach Regulierungsbehörden.................................................................................... 124 3.1.8.6 Reformierung der State Electricity Boards ...................................................
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