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Liberalisation, Privatisation and Globalisation

NCERT Class 11 · Economics Based on NCERT Class 11 Economics textbook · Free CBSE study kit

Chapter Notes

LIBERALISATION, PRIVATISATION AND GLOBALISATION: AN APPRAISAL

INTRODUCTION AND CONTEXT

After forty years of planned economic development following independence, India had achieved a **strong industrial base** and became **self-sufficient in food grain production**. However, a major segment of the population continued to depend on agriculture for livelihood.

**Crisis of 1991**: In 1991, India faced a severe **balance of payments crisis** characterised by:

  • Inability of the government to repay external debt (borrowed from abroad)
  • Foreign exchange reserves dropping to levels insufficient even for a fortnight (approximately 2 weeks)
  • Sharp rise in prices of essential goods
  • Growing imports without matching export growth
  • These crises compelled the government to introduce a **New Economic Policy (NEP)** consisting of wide-ranging economic reforms that fundamentally shifted India's developmental strategy from **state-controlled mixed economy** towards market-driven mechanisms.

    **International Intervention**: India approached the **World Bank (IBRD — International Bank for Reconstruction and Development)** and **IMF (International Monetary Fund)** for assistance. These institutions provided **$7 billion loan** but with specific conditionalities requiring India to:

  • Liberalise and open up the economy
  • Remove restrictions on the private sector
  • Reduce the role of government
  • Remove trade restrictions
  • BACKGROUND: CAUSES OF THE 1991 CRISIS

    **Inefficient Economic Management in 1980s**:

    **Fiscal Imbalances**: The government's expenditure exceeded its income substantially. Key reasons included:

  • Low revenues from taxation and public sector undertakings
  • Heavy spending on development programmes that did not generate immediate returns (social sector, defence)
  • Inability to generate sufficient internal revenue sources
  • **External Sector Problems**:

  • High import growth without corresponding export growth
  • Use of foreign exchange reserves (borrowed from international sources) for consumption needs
  • No deliberate effort to reduce profligate spending or boost exports
  • Foreign exchange reserves declined critically
  • **Monetary and Price Problems**:

  • Rising inflation — prices of essential goods rose sharply
  • No sufficient foreign exchange to pay interest to international lenders
  • No country willing to lend to India further
  • **Two-Pronged Reform Strategy**:

    The **New Economic Policy (NEP)** addressed these issues through two types of measures:

    1. **Stabilisation Measures** (short-term): Intended to correct balance of payments weaknesses and control inflation by maintaining adequate foreign exchange reserves and controlling rising prices.

    2. **Structural Reform Measures** (long-term): Aimed at improving economic efficiency and international competitiveness by removing rigidities in various segments of the economy.

    The government introduced policies under **three main heads: Liberalisation, Privatisation, and Globalisation**.

    LIBERALISATION

    **Definition**: Liberalisation refers to **removal of restrictions and controls** imposed by the government on economic activities. It aims to **deregulate the economy** and create a **more competitive environment** by removing barriers to entry and growth of firms.

    Although some liberalisation measures were introduced in the 1980s, the reforms initiated in 1991 were significantly more comprehensive.

    Deregulation of Industrial Sector

    **Pre-1991 Regulatory Mechanisms**:

  • **Industrial Licensing**: Every entrepreneur required government permission to start a firm, close a firm, or decide production quantity
  • **Sectoral Restrictions**: Private sector was not allowed in many industries (reserved for public sector)
  • **Small-Scale Industry (SSI) Reservation**: Certain goods could only be produced by small-scale industries
  • **Price Controls**: Government controlled price fixation and distribution of selected products
  • **Post-1991 Reforms**:

  • **Industrial Licensing Abolished** for most product categories (exceptions: alcohol, cigarettes, hazardous chemicals, industrial explosives, electronics, aerospace, drugs and pharmaceuticals)
  • **Public Sector Reservation Limited**: Only atomic energy generation and core railway activities remain reserved for public sector
  • **Dereservation of SSI Goods**: Many goods previously reserved for small-scale production were dereserved, allowing large-scale production
  • **Price Decontrol**: Market allowed to determine prices in most industries
  • **Impact**: This created space for private entrepreneurs to establish firms, compete freely, and expand operations without excessive government intervention.

    Financial Sector Reforms

    **Financial Sector Components**: Commercial banks, investment banks, stock exchange operations, and foreign exchange market.

    **Pre-1991 System**: RBI (Reserve Bank of India) exercised strict regulatory control over:

  • Amount of money banks could hold
  • Interest rates set by RBI
  • Nature and extent of lending to various sectors
  • Branch expansion
  • **Post-1991 Reforms**:

    **Shift from Regulator to Facilitator**: RBI's role changed from strict regulator to facilitator, allowing financial institutions greater autonomy in decision-making.

    **Banking Sector Changes**:

  • Establishment of **private sector banks** (both Indian and foreign)
  • **Foreign investment limit in banks raised to 74%**
  • Banks fulfilling certain conditions given freedom to open new branches without RBI approval
  • Banks allowed to rationalise existing branch networks
  • Banks permitted to mobilise resources from India and abroad
  • RBI retained managerial oversight to safeguard account-holders' interests and national security
  • **Foreign Institutional Investors (FII)**: Merchant bankers, mutual funds, and pension funds allowed to invest in Indian financial markets, attracting foreign capital.

    **Example**: Private banks like ICICI Bank, HDFC Bank, and Axis Bank emerged and expanded operations. Foreign banks like Standard Chartered and HSBC established Indian subsidiaries.

    Tax Reforms

    **Fiscal Policy Reform** (government taxation and public expenditure policies):

    **Direct Tax Reforms**:

  • **Continuous reduction in individual income tax rates**: Recognised that high income tax rates encouraged tax evasion
  • **Moderate tax rates** promote voluntary savings and income disclosure
  • **Corporation tax reduction**: Previously very high; gradually reduced to enhance business profitability
  • **Example**: Income tax rates reduced from slab rates of 50% to current rates around 30% for highest earning individuals.

    **Indirect Tax Reforms**:

  • **Goods and Services Tax (GST) — 2016**: Constitutional amendment empowered both state and central governments to impose GST
  • **Objective**: Facilitate common national market, reduce fragmented taxation
  • **Expected Benefits**: Generate additional revenue, reduce tax evasion, create "one nation, one tax, one market"
  • **Simplification**: Procedures simplified, rates substantially lowered to encourage compliance
  • **Impact**: Broader tax base, increased voluntary compliance, improved government revenues.

    Foreign Exchange Market Reforms

    **Initial Crisis Measure (1991)**:

  • **Rupee Devalued** against foreign currencies to resolve immediate balance of payments crisis
  • Devaluation increased inflow of foreign exchange by making Indian exports cheaper and imports more expensive
  • **Market Determination of Exchange Rate**:

  • Previously: Government controlled exchange rate determination
  • Post-1991: **Market forces (demand and supply of foreign exchange)** increasingly determine rupee value
  • This created flexibility in exchange rate movements based on economic conditions
  • **Impact**: More realistic pricing of rupee, reduced black market for foreign exchange, easier capital inflows.

    Trade and Investment Policy Reforms

    **Objectives**:

  • Increase international competitiveness of Indian industries
  • Attract foreign direct investment (FDI) and technology
  • Promote efficiency of domestic industries
  • Enable adoption of modern technologies
  • **Pre-1991 Trade Policy — Inward-Looking**:

  • **Quantitative Restrictions (QRs)**: Tight controls on imports
  • **High Tariffs**: Protective barriers to shield domestic industries from international competition
  • **Import Licensing**: Restrictive licensing procedures
  • **Problems with Protectionist Policy**:

  • Reduced efficiency due to lack of competition
  • Lower competitiveness
  • Slow growth of manufacturing sector
  • **Post-1991 Trade Policy Reforms — Outward-Looking**:

  • **Dismantling of Quantitative Restrictions**: Abolished QRs on imports and exports
  • **Tariff Reduction**: Systematic reduction of tariff rates to align with international standards
  • **Removal of Import Licensing**: Abolished except for hazardous and environmentally sensitive industries
  • **Quantitative Restrictions on Consumer Goods**: Fully removed from April 2001 for manufactured consumer goods and agricultural products
  • **Export Duty Elimination**: Removed export duties to enhance competitiveness of Indian goods in international markets
  • **Example**: Indian textile exports increased significantly after removal of QRs, making Indian textiles competitive globally.

    PRIVATISATION

    **Definition**: Privatisation implies **shedding of ownership or management** of government-owned enterprises by converting government companies into private companies.

    **Two Methods of Privatisation**:

    1. **Withdrawal of Government Ownership and Management**: Government ceases to own or manage public sector enterprises

    2. **Outright Sale of PSEs**: Government sells public sector enterprises directly to private buyers

    **Disinvestment**: Privatisation of public sector enterprises by selling part of equity (ownership) of PSEs to the public. According to government, purposes were:

  • Improve financial discipline
  • Facilitate modernisation
  • Utilise private capital and managerial capabilities
  • Improve PSU performance
  • **Rationale for Privatisation**:

  • **Inflow of FDI**: Privatisation was expected to provide strong impetus to foreign direct investment
  • **Autonomy and Efficiency**: Government improved PSU efficiency by granting autonomy in managerial decisions
  • Maharatnas, Navratnas, and Miniratnas Classification

    **Background**: Inspired by "Nine Jewels" (Navratnas) in King Vikramaditya's court — eminent persons of excellence. Government identified profitable PSEs and granted them special status to enhance efficiency, infuse professionalism, and enable global competitiveness.

    **Status Categories**:

    **Maharatnas** (Great Jewels): Highest category

  • Examples: Indian Oil Corporation Limited (IOCL), Steel Authority of India Limited (SAIL)
  • Receive maximum autonomy
  • **Navratnas** (Nine Jewels): Second tier

  • Examples: Hindustan Aeronautics Limited (HAL), Mahanagar Telephone Nigam Limited (MTNL), Indian Railway Catering and Tourism Corporation (IRCTC)
  • Greater financial, managerial, and operational autonomy
  • **Miniratnas** (Small Jewels): Third tier

  • Examples: Bharat Sanchar Nigam Limited (BSNL), Airport Authority of India (AAI)
  • Limited autonomy compared to higher categories
  • **Autonomy Features Granted**:

  • Financial autonomy in capital expenditure and resource generation
  • Managerial autonomy in personnel decisions and strategic planning
  • Operational autonomy in day-to-day functioning
  • Freedom in setting objectives and performance targets
  • **Original Purpose of PSEs (1950s-1960s)**:

  • Provide critical infrastructure
  • Generate direct employment
  • Ensure quality products reach masses at nominal cost
  • Accountability to all stakeholders
  • Pursue self-reliance objectives
  • **Controversy**:

  • **Critics' View**: Government partly privatised through disinvestment rather than facilitating expansion and global competitiveness
  • **Government's Recent Stance**: Retained profitable PSEs in public sector while enabling global expansion and allowing them to raise resources independently from financial markets
  • GLOBALISATION

    **Definition**: Although commonly understood as **integration of country's economy with world economy**, globalisation is a **complex phenomenon** involving:

  • Creation of networks and activities transcending economic, social, and geographical boundaries
  • Transformation toward greater interdependence and integration
  • Establishment of links making India influenced by world events and vice versa
  • Creation of borderless world through economic integration
  • **Outcome of Policies**: Globalisation results from policies aimed at transforming the world toward greater interdependence and integration through liberalisation and removal of barriers.

    Outsourcing

    **Definition**: Company hires regular services from **external sources (mostly other countries)** that were previously provided internally or within the country.

    **Services Previously Done In-House**: Legal advice, computer services, advertisement, security, and other departmental functions.

    **Growth Factors**:

  • Fast communication modes
  • **Information Technology (IT)** growth
  • Cost differentials between countries
  • Availability of skilled workforce at lower costs in developing countries
  • **Services Outsourced to India**:

    The text discusses major outsourcing categories being transferred to India:

    **Voice-Based BPO (Business Process Outsourcing)**:

  • Call centres handling customer service
  • Technical support operations
  • Telemarketing services
  • **Record Keeping and Administrative Services**:

  • Data entry
  • Document management
  • Filing and organisation
  • **Accountancy and Banking Services**:

  • Accounting operations
  • Back-office banking functions
  • Financial statement preparation
  • **Entertainment and Media Services**:

  • Music recording
  • Film editing
  • Book transcription
  • Animation services
  • **Professional Services**:

  • Clinical advice and medical transcription
  • Teaching and educational services
  • Software development
  • **Transmission Method**: **Digitised text, voice, and visual data transmitted in real-time** via modern telecommunication links including Internet, making services delivery location-independent.

    **Impact on India**:

  • Creation of employment in service sector
  • Foreign exchange earnings
  • Development of IT sector
  • Skill development opportunities
  • Integration into global economy
  • Emergence of cities like Bangalore, Hyderabad, Pune, and Gurgaon as IT hubs
  • **Example**: Companies like Infosys, TCS (Tata Consultancy Services), Wipro, and HCL Technologies built global outsourcing businesses by providing IT services and BPO operations to multinational corporations.

    ---

    **EXAM-IMPORTANT POINTS**:

  • 1991 crisis caused by inefficient 1980s management, not external factors alone
  • Three reform pillars: Liberalisation (removing controls), Privatisation (reducing state ownership), Globalisation (world integration)
  • Liberalisation removed industrial licensing, opened financial sector, reformed taxes, decontrolled prices
  • Privatisation created autonomy through Maharatna-Navratna-Miniratna classifications
  • Globalisation enabled outsourcing, particularly BPO and IT services to India
  • All reforms aimed at creating competitive environment and improving international competitiveness
  • MCQs — 10 Questions with Answers

    Q1. In 1991, India's foreign exchange reserves were depleted to a level sufficient for how many weeks of imports?

    • A. Two weeks ✓
    • B. One week
    • C. Four weeks
    • D. Six weeks

    Answer: A — The study material explicitly states that foreign exchange reserves dropped to levels not sufficient for even a fortnight (two weeks).

    Q2. Which of the following was NOT a reason for India's balance of payments crisis in 1991?

    • A. Government expenditure exceeded revenue
    • B. Imports grew faster than exports
    • C. Excessive foreign aid received from developed nations ✓
    • D. Foreign exchange reserves were spent on consumption needs

    Answer: C — The crisis occurred because of insufficient revenue and high spending, not excessive foreign aid; in fact, no country was willing to lend to India at that time.

    Q3. The New Economic Policy (NEP) of 1991 consisted of which two categories of measures?

    • A. Import substitution and export promotion
    • B. Stabilisation measures and structural reform measures ✓
    • C. Nationalisation and privatisation
    • D. Agricultural reforms and industrial reforms

    Answer: B — NEP explicitly consisted of stabilisation measures (short-term) to correct balance of payments and inflation, and structural reform measures (long-term) to improve efficiency.

    Q4. Under liberalisation of the industrial sector, industrial licensing was abolished for which categories of products?

    • A. All products including alcohol and defence-related items
    • B. Almost all products except certain categories ✓
    • C. Only small-scale industries
    • D. Only large-scale industries

    Answer: B — The text states that industrial licensing was abolished for almost all products but certain categories like alcohol and defence-related items remained under restrictions.

    Q5. If India's government revenue in 1980s was Rs. 100 crore and expenditure was Rs. 150 crore annually, the deficit was financed through which sources? (Multiple sources apply)

    • A. Only through taxation increase
    • B. Borrowing from banks, international institutions, and people within the country ✓
    • C. Only from public sector undertakings
    • D. Reducing defence expenditure immediately

    Answer: B — When revenue was insufficient, the government borrowed from domestic banks, international financial institutions like World Bank and IMF, and domestic sources to meet the Rs. 50 crore deficit.

    Q6. What was the primary condition imposed by IMF and World Bank for granting the $7 billion loan to India in 1991?

    • A. Increase government control over the economy
    • B. Liberalise and open the economy, remove private sector restrictions, and reduce trade barriers ✓
    • C. Nationalise all foreign companies operating in India
    • D. Reduce government spending on social sector

    Answer: B — The material clearly states that IMF and World Bank expected India to liberalise, open up the economy, remove restrictions on private sector, reduce government role, and remove trade barriers.

    Q7. According to the text, which of the following statements about liberalisation is CORRECT? (A) Liberalisation increased government control over businesses (B) Liberalisation removed regulatory mechanisms like industrial licensing and price controls Statement:

    • A. Only A is correct
    • B. Only B is correct ✓
    • C. Both A and B are correct
    • D. Neither A nor B is correct

    Answer: B — Statement B is correct because liberalisation aimed to remove restrictions and regulations; Statement A contradicts the concept of liberalisation which reduces government control.

    Q8. A scholar argues that India's mixed economy framework of 1950-1991 hindered growth due to excessive regulations, while another argues India achieved industrial diversification and food security. This debate reflects which analytical perspective on reforms?

    • A. Both scholars are entirely wrong
    • B. The tension between regulation for social goals versus market efficiency that justified 1991 reforms ✓
    • C. That food security is more important than industrial growth
    • D. That mixed economy is always superior to open economy

    Answer: B — The text explicitly presents both viewpoints—that regulations hindered growth versus that they enabled industrial base and food security—to show the justification for balancing reform needs.

    Q9. If India's foreign exchange reserves can finance imports for only 2 weeks but the country needs reserves for 4 weeks as safety, the deficit of 2 weeks' worth of imports should be addressed through which reform category?

    • A. Structural reform measures only
    • B. Stabilisation measures to maintain foreign exchange reserves ✓
    • C. Privatisation of all industries
    • D. Increasing government spending

    Answer: B — This is a stabilisation measure (short-term) aimed specifically at correcting balance of payments weaknesses and maintaining sufficient foreign exchange reserves.

    Q10. Why did the government's investment in public sector undertakings (PSUs) fail to generate sufficient returns in 1980s to meet growing expenditure needs?

    • A. PSUs were too profitable and needed regulation
    • B. PSUs operated inefficiently with low returns, contributing to the fiscal deficit ✓
    • C. PSUs were completely privatised immediately
    • D. Government did not invest in PSUs at all

    Answer: B — The text states that income from PSUs was 'not very high to meet the growing expenditure,' indicating operational inefficiency was a factor in the fiscal crisis that necessitated reforms.

    Flashcards

    What was the primary cause of India's 1991 economic crisis?

    Balance of payments deficit due to government overspending, rising imports, stagnant exports, and depleted foreign exchange reserves to only a fortnight's worth.

    Define liberalisation in the context of 1991 economic reforms.

    Liberalisation is the removal of government restrictions and regulations on economic activities to allow private sector participation and create a competitive market environment.

    What is the difference between stabilisation and structural reform measures?

    Stabilisation measures are short-term policies to correct balance of payments and inflation, while structural reforms are long-term measures to improve economic efficiency and competitiveness.

    Name the two international agencies from which India borrowed $7 billion in 1991.

    India borrowed from the World Bank (IBRD—International Bank for Reconstruction and Development) and the International Monetary Fund (IMF).

    What does deregulation of the industrial sector mean under liberalisation?

    It means abolishing industrial licensing requirements, allowing private sector entry into restricted industries, and removing price controls and distribution restrictions on products.

    Why did India's government spending exceed revenue in the 1980s?

    Government spent heavily on development programmes, social sector, and defence without generating sufficient internal revenue from taxation or public sector undertakings.

    What conditions did World Bank and IMF impose on India for the $7 billion loan?

    They required India to liberalise and open the economy, remove restrictions on the private sector, reduce government role, and remove trade barriers with other countries.

    What was the New Economic Policy (NEP) of 1991?

    NEP was a comprehensive set of economic reforms consisting of stabilisation measures (short-term) and structural reforms (long-term) to create competitive environment and improve efficiency.

    How did industrial licensing act as a barrier to growth before 1991?

    It required entrepreneurs to seek government permission to start, close, or decide production levels of firms, creating bureaucratic delays and discouraging new business initiatives.

    What was the impact of government overspending on foreign exchange reserves in the 1980s?

    Reserves were spent on meeting consumption needs instead of being preserved for imports, causing reserves to drop dangerously low and triggering the 1991 balance of payments crisis.

    Important Board Questions

    Define liberalisation with reference to India's 1991 economic reforms. Give one example of deregulation in the industrial sector. [2 marks]

    Define liberalisation as removal of government restrictions and regulations. Example: abolition of industrial licensing that previously required government permission to start/close firms or decide production quantities.

    Explain why India faced a balance of payments crisis in 1991. Show how government overspending and low revenue collection contributed to the crisis with specific details. [5 marks]

    Identify three causes: (1) Government expenditure exceeded revenue—spending on development, social sector, and defence without matching taxation; (2) Foreign exchange reserves depleted because imports grew faster than exports and reserves were spent on consumption; (3) No country willing to lend, forcing India to approach World Bank and IMF. Connect each cause to the outcome—depleted reserves of only 2 weeks' worth and inability to pay interest on international debt.

    Analyse the three pillars of India's 1991 economic reforms (liberalisation, privatisation, and globalisation). Explain why each was necessary and how they addressed the economic crisis. Discuss at least one long-term structural reform measure implemented under these pillars. [6 marks]

    Explain that liberalisation removed restrictions to enable competition and efficiency (industrial licensing abolished), privatisation reduced government's economic role to improve returns from PSUs, and globalisation opened the economy for foreign investment and trade. Connect each to crisis resolution—liberalisation increased competitiveness, privatisation improved efficiency and revenue generation, globalisation attracted foreign exchange and technology. Discuss structural reform (e.g., financial sector liberalisation allowing foreign investment, tax reforms, or trade liberalisation reducing tariffs) as long-term measure to improve international competitiveness. Use phrases like 'structural reforms were necessary to address rigidities in the economy' and 'these reforms created a competitive environment for sustained growth.'

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