public sector plan : resources and allocations - of planning

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Overview

3.1. The chapter 2 of the volume has indicatedthe required level of public sector investments inthe Tenth Plan to be consistent with 8 per centgrowth of gross domestic product (GDP). Theseestimates form the basis for the minimum size ofpublic sector plan resources which are required tobe mobilised to achieve the plan objectives. Thischapter projects the public sector resources for theTenth Plan at Rs.15,92,300 crore (Rupees fifteenlakh, ninety-two thousand and three hundred crore,or approximately, Rs. 16 trillion) at 2001-02 prices.At comparable prices it amounts to an increase of67.4 per cent over the Ninth Plan realisation. Giventhe twin requirements of securing a sustainable debtburden and restricting the public sector draft onprivate savings to a reasonable limit, contributionof debt resources to the projected increase accountsfor 6.6 per cent only. Consequently, non-debtresources must contribute 93.4 per cent of theprojected increase in the Tenth Plan resources overthe Ninth Plan realization.

3.2. If the poor realisation of non-debtresources vis-à-vis the projections during the NinthPlan is anything to go by, the task of raising non-debt resources to the Tenth Plan target levels isquite difficult, although definitely not impossible.However, fiscal reforms in this regard assumecritical importance and are most crucial to attainingthe Tenth Plan targets. Reforms for raising the taxto GDP ratio, increasing user charges, compressingexpenditure on administration and establishmentand adherence to commercial principles by publicsector enterprises must attract focused attentionand generate time-bound results. This chapterreviews the Ninth Plan performance of both theCentre and States and Union Territories (UTs),projects the Tenth Plan resources, measures theincremental effort required over Ninth Planrealisation levels, proposes a set of policies for

attaining the Tenth Plan targets, and indicates theallocation of the public sector plan resources.

Resources of the Centre during the Ninth Plan

3.3. The Centre’s gross budgetary support(GBS) to the Ninth Plan was projected atRs.3,74,000 crore at 1996-97 prices includingRs.1,70,018 crore of Central assistance to theStates and UTs. With the Ninth Plan resources ofCentral Public Sector Units (CPSUs) projected atRs.2,85,379 crore, resources available for theCentral Plan was arrived at Rs.4,89,361 crore. TheNinth Plan realisation places the Centre’s GBS atRs.3,16,286 crore or 84.6 per cent of the projectedlevel. Central assistance to States’ and UTs wasrealised at Rs.1,38,394 crore or 81.4 per cent ofthe projected level. With realisation of CPSUsresources at Rs.2,28,795 crore or 80.2 per cent ofthe projected level, the resources available for theCentral Plan works out to 83.1 per cent of theprojected level or Rs.4,06,687 crore at 1996-97prices. Table 3.1 indicates the projection andrealisation of the Ninth Plan resources and itsfunding of the Centre.

3.4. The realised pattern of funding the GBSreflects a significant deterioration of non-debtcontribution vis-à-vis the Ninth Plan projections. Theshare of balance from current revenues (BCR) inGBS reduced to a negative 49.6 per cent as againsta projected share of a negative 0.7 per cent only.The realised share of borrowings therefore had toincrease to 144.1 per cent as against a projectedshare of 84.7 per cent, to bridge the BCR gap.

3.5. The 5,544 percent deterioration in BCRwas caused by stagnant level of revenue receiptsand substantial growth in non-plan revenueexpenditure (NPRE) in relation to GDP. Net Centralrevenues declined by 0.43 percentage points ofGDP from 9.23 per cent in 1996-97 to 8.80 in 2001-

CHAPTER 3

PUBLIC SECTOR PLAN : RESOURCES AND ALLOCATIONS

TENTH FIVE YEAR PLAN 2002-07

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02. Tax revenue (net) decreased by more than 1percentage point from 6.85 per cent in 1996-97 to5.80 per cent in 2001-02. The fall in tax revenue(net) could not be compensated by a 0.69percentage points increase in non-tax revenue from2.38 per cent to 3.07 per cent during the sameperiod. As against a 1.05 percentage points fall intax revenue (net), the gross tax revenue of theCentre fell by 1.21 percentage points from 9.41 percent in 1996-97 to 8.20 per cent in 2001-02. Thisimplied that the impact of the fall in gross Centraltax revenues on Central finances was somewhatshared with the States.

3.6. The deterioration of the gross Central taxrevenues in relation to GDP has given rise toconcern on the following issues.

l Shrinkage of the tax base, as implied byinadequate coverage of the service tax base.

l Growth in various types of tax concessions andexemptions.

l Increase in the coverage of Modified ValueAdded Tax (MODVAT) without upwardadjustment of tax rates.

l General slackening of the tax administrationleading to revenue leakage.

3.7. The NPRE grew rapidly by 1.30percentage points of GDP from 9.30 per cent in1996-97 to 10.60 per cent in 2001-02. Thebreakdown of this increase is summarised in Table3.2.

3.8. Almost 40 per cent of the increase inNPRE was due to the growth in pension and salarypayments brought about by the implementation ofthe Fifth Pay Commission’s recommendations.Along with the growth in subsidies and other NPRE,mainly comprising defence, the massivedeterioration of BCR was the outcome of thestagnant levels of Centre’s revenue receipts.Borrowings had to increase to bridge the gap, whichconsequently raised the interest burden and led tofurther increase in NPRE, resulting in still sharperdeterioration of BCR. Increase in interest paymentsaccounted for a quarter of the total growth of NPREduring the Ninth Plan.

3.9. The debt-servicing burden, as reflectedby the percentage of interest payments torevenue receipts, increased from 47.1 per centin 1996-97 to 50.5 per cent in 2001-02, underliningthe fragile sustainability of the Centre’s debtburden. The debt burden of the Centre increasedby almost 8 percentage points from 49.4 to 57.5

Table 3.1Ninth Plan Resources of the Centre

(Rs. crore at 1996-97 prices)

Sources of Funding Projection Realization % Realisation

1. Balance from current revenues -2,778 -1,56,790 -5,544.0(-0.7) (-49.6)

2. Borrowings including net MCR 3,16,760 4,55,624 143.8(84.7) (144.1)

3. Net inflow from abroad 60,018 17,452 29.1(16.0) (5.5)

4. Gross budgetary support to plan 3,74,000 3,16,286 84.6 (1 to 3) (100.0) (100.0)

5. Central assistance to States & UTs -1,70,018 -1,38,394 81.4(45.5) (43.8)

6. GBS for Central plan (4+5) 2,03,982 1,77,892 87.2

7. Resources of public sector enterprises 2,85,379 2,28,795 80.2

8. Resources for Central Plan (6+7) 4,89,361 4,06,687 83.1

Note : Figures in parentheses are percentage of Gross Budgetary Support .


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per cent of GDP during the same period. Thegross fiscal deficit of the Centre, which causedthis, grew from 4.88 per cent of GDP in 1996-97to 5.76 per cent in 2001-02, an increase of 0.88percentage points. Consequently, borrowings forfunding the GBS was 43.8 per cent above theprojected level.

3.10. The net inflow from abroad on governmentaccount, which is deployed for funding externallyaided projects (EAP) was projected to contribute16.0 per cent of the GBS in the Ninth Plan. However,its realization is placed at 29.1 per cent of the target,which reduces its realised share in plan resourcesto 5.5 per cent. The fall in net inflow from abroadhas been attributed to international sanctions,following the Pokharan nuclear tests and inadequateprovision for counterpart funding of EAP projectsthrough domestic resources.

3.11. Following from the lower realisation of theCentre’s GBS, Central assistance to the State andUT Plans also recorded a similar level ofachievement at around 81.4 per cent. Centralassistance as a percentage of GBS, which wasprojected at 45.5 per cent, declined to a level of43.8 per cent. The proportional impact of a shrinkingGBS on the quantum of Central assistance is clearlyin evidence here.

3.12. After accounting for the Centralassistance to States and UTs, the GBS left forthe Central sector Plan was projected to accountfor 41.7 per cent of the Central Plan resources.Internal and extra-budgetary resources (IEBR)of the CPSUs provided the remaining share at58.3 per cent. The realised share of IEBR in theNinth Plan is placed at 56.3 per cent indicating,

by and large, a similar deterioration as that ofGBS. In absolute terms, IEBR was realised at80.2 percent. Operational inefficiencies of theCPSUs accounted significantly for a lowerrealization of internal resources (IR).

Projection of the Tenth Plan (2002-07)Resources of the Centre

3.13. In keeping with the requirement ofstepping up public sector investments forattaining an 8 per cent GDP growth during theTenth Plan, the GBS of the Centre has beenprojected to grow from 4.33 per cent of GDP in2001-02 to 5.39 per cent in 2006-07. Thus, theTenth Plan projected average GBS stands at 4.93per cent of GDP as against the Ninth Planrealisation of 4.02 per cent.

3.14. Fiscal sustainability considerationsdemand a reduction in debt financing for funding ofGBS for the Tenth Plan. Accordingly, the grossfiscal deficit, which stood at 5.90 per cent of GDPin 2001-02 has been projected to reduce to 4.32per cent in 2006-07, obtaining a Tenth Plan averageof 4.73 per cent. The Ninth Plan average realisationhad stood at 5.82 per cent. The gross fiscal deficitis implicit in own borrowings, inclusive of netmiscellaneous capital receipts (MCR). Ownborrowings inclusive of MCR in the Tenth Plan areprojected at 4.78 per cent of GDP, down from 5.78per cent realised during the Ninth Plan. Net inflowfrom abroad, in the form of external assistance, isprojected at 0.19 per cent of GDP, slightlydiminished from 0.22 per cent realised during theNinth Plan.

3.15. The BCR is arrived at as a small negativeof 0.04 per cent of the GDP as against anegative1.98 per cent realised in the Ninth Plan.To achieve a BCR of this order, Central revenues(net) must grow from 8.80 per cent of GDP in 2001-02 to 9.98 per cent in 2006-07, an increase of 1.18percentage points. NPRE must come down from10.60 per cent of GDP in 2001-02 to 9.06 per cent,a decrease of 1.54 percentage points. Thus, animprovement of 2.72 percentage points in BCRduring the Tenth Plan is being sought mainly froma contraction of NPRE.

Table 3.2NPRE and its components of the Centre

(As a percentage of GDP)

Items 1996-97 2001-02 Increase

1. Interest 4.35 4.69 0.34

2. Pension 0.37 0.64 0.27

3. Salary 0.48 0.76 0.28

4.Subsidies 1.13 1.33 0.20

5.Other NPRE 2.97 3.18 0.21

6.(Total) NPRE 9.30 10.60 1.30


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3.16. Central assistance to States and UTsduring the Tenth Plan has been projected at 42.5per cent of the Centre’s GBS. In relation to GDP,Central assistance to States and UTs is projectedat 2.09 percent in the Tenth Plan, up from 1.76per cent realised during the Ninth Plan. Afterdeducting Central assistance to States and UTs,GBS available for the Central Plan is arrived at2.82 per cent of GDP, an increase of 0.56percentage points over the Ninth Plan realizationof 2.26 per cent.

3.17. In order to meet the public sectorinvestment and savings requirements, IR of CPSUsis placed at 2.85 per cent of the GDP in the TenthPlan, up from 2.15 per cent realised during the NinthPlan. The railways and power sector CPSUs mustraise their operational efficiency to meet this target.The extra-budgetary resources (EBR) of CPSUswas projected at 0.75 per cent of the GDP, sameas the realised level obtained in the Ninth Plan.Thus, the IEBR of CPSUs is placed at 3.60 per centof GDP in the Tenth Plan.

3.18. With a GBS net of Central assistanceto State and UT plans projected at 2.79 per cent

and IEBR of CPSUs indicated at 3.60 per cent,resources available for the Central Plan arearrived at 6.39 per cent of GDP, up from 5.16per cent realized during the Ninth Plan, anincrease of 1.23 percentage points. Table 3.3indicates the resources of the Centre and itsfunding in the Tenth Plan.

3.19. The GBS of the Centre is placed atRs.7,06,000 crore at 2001-02 prices. Centralassistance to State & UT plans works out toRs.3,00,265 crore. After deducting Centralassistance to States and UTs, the GBS availablefor the Central plan is Rs.4,05,735 crore at 2001-02 prices. With an IEBR of CPSUs indicated atRs.5,15,556 crore at 2001-02 prices, totalresources available for the Central Plan isprojected at Rs.9,21,291 crore at 2001-02 prices.The Central Ministries have indicated an IEBRof Rs.4,87,448 crore, which falls short byRs.28,108 crore vis-à-vis the required IEBR. TheIEBR currently indicated by the Central Ministries,if taken in place of the projected IEBR, reducesthe Central resources for the Tenth Plan toRs.8,93,183 crore.

Table 3.3Projection of Tenth Plan Resources of the Centre


Sources of Funding Projection

1. Balance from Current Revenues -6,385(-0.9)

2. Borrowings including net MCR 6,85,185(97.0)

3. Net inflow from abroad 27,200(3.9)

4. Gross Budgetary Support to Plan(1 to 3) 7,06,000(100.0)

5. Central Assistance to States & UTs -3,00,265(42.5)

6. GBS for Central Plan (4+5) 4,05,735

7. Resources of Public Sector Enterprises 5,15,556

7.1. Internal Resources 4,09,000

7.2. Extra Budgetary Resources 1,06,556

8. Resources for Central Plan (6+7) 9,21,291

Note : Figures in parentheses are percentage of GBS.


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3.20. A funding pattern as envisaged in Table3.3 is a challenging task, the extent of which couldbe gauged by comparing the Tenth Plan projectedlevels to the Ninth Plan realisation. Table 3.4indicates the Ninth Plan realization and the Tenth

Plan projection of resources of the Centre in relationto GDP.

3.21. The steps detailed in Box 3.1 will benecessary for achieving these targets.

BOX 3.1

l Comprehensive computerisation of the income tax system and universal usage of tax identificationnumbers in monetary transactions must be employed for facilitating improved enforcement of theincome-tax administration.

l The policy direction for removing unnecessary exemptions under corporate tax must continue sothat corporate income, liable to taxation, comes nearer to book profits as declared by the companies.

l The current policy of moving progressively to a truly single excise rate should continue to be pursuedwhile tightening up much more on existing exemptions, particularly those under small enterprises,all for improving tax compliance.

l The coverage of the service tax must be extended continuously under the union excise system sothat much greater tax buoyancy can be achieved through increased coverage of the economy as awhole.

l The extension of VAT at the State level must be taken up at the earliest for facilitating its integrationwith the Central VAT and bringing about harmonisation of tax rates levied by different tax jurisdictions.

l Peak customs tariff must be continuously lowered for enabling greater integration with the worldeconomy and consequently raising customs revenue through larger volumes of imports as wouldarise from expansion of international trade.

Table 3.4 Ninth Plan Realisation and Tenth Plan projection of Resources of Centre


Sources of Funding Ninth Plan realization Tenth Plan projections Increases(+)/Decreases(-)

1.Balance from Current Revenues -1.98 -0.04 (+)1.94

2.Borrowings including net MCR 5.78 4.78 (-)1.00

3. Net Inflow from Abroad 0.22 0.19 (-)0.03

4.Gross Budgetary Support to Plan 4.02 4.93 (+) 0.91

5.Central Assistance to States & UTs -1.76 -2.09 (-) 0.33

6.GBS for Central Plan (4+5) 2.26 2.84 (+) 0.57

7.Resources of Public Sector Enterprises 2.90 3.60 (+) 0.70

7.1. Internal Resources 2.15 2.85 (+) 0.70

7.2. Extra Budgetary Resources 0.75 0.75 -

8. Resources for Central Plan (6+7) 5.16 6.44 (+) 1.27


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Resources of States and UTs during the NinthPlan (1997-2002)

3.22. The Ninth Plan resources of States andUTs were projected at Rs.3,69,839 crore at 1996-97 prices. At comparable prices, the realisation was

placed at Rs. 2,99,131 crore or 80.9 per cent of theprojected level. The realized pattern of fundinghowever, show wide divergences from the projectedlevels. Table 3.5 summarises the projection andrealisation of the Ninth Plan resources and theirsources of funding.

l User charges must be raised to cost recovery levels and made acceptable by a communicationcampaign to convince members of the general public that such a system would be in their ownoverall interest.

l The recommendation of the Expenditure Reforms Commission, on the road map provided by it forprogressive reduction in fertilizer subsidy, as also fully eliminating petroleum subsidy for reducingNPRE must be pursued.

l A change has to be made in the design of the food subsidy programme whereby a shift from the onebased on minimum support price to Food for Work Programme is taken for reducing as well aseffectively directing food subsidy.

l Curtailment in pay and allowances of the government must be pursued on a continuous basis as, inthe wake of the implementation of the Fifth pay Commission’s recommendations, downsizing hasbecome most critical to reducing NPRE.

l The operational efficiency of Indian Railways and the power sector CPSUs must be improved with aview to eventually eliminating all budgetary support and generating adequate internal resources forexpanding the transport and power facilities in the country.

Table 3.5Ninth Plan Resources of States and UTs

(Rs. crore at 1996-97 prices)Sources of Funding Projection Realisation % Realisation

1.Balance from Current Revenues 1,372 -1,06,962 -7,896.1(0.4) (-35.8)

2.Resources of Public Sector Enterprises 55,030 52,107 94.7(15.0) (17.4)

2.1. Internal Resources 14,890 -35,416 -337.9(4.1) (-11.8)

2.2. Extra-budgetary Resources 40,140 87,523 218.0(10.9) (29.2)

3.Borrowings including net MCR 1,43,419 2,15,592 150.3(38.6) (72.1)

4. States’ Own Resources (1 to 3) 1,99,821 1,60,737 80.4(54.0) (53.7)

5.Central Assistance 1,70,018 1,38,394 81.4(46.0) (46.3)

6.Aggregate Plan Resources (4 + 5) 3,69,839 2,99,131 80.9(100.0) (100.0)

Note : Figures in parentheses are percentage of aggregate plan resources.


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3.23. As indicated in the Table, the BCRdeteriorated by 7,896.1 per cent, significantlydrawing borrowings away from plan resources.Borrowings therefore had to increase to 150.3 percent of the projected level in order to provide somesupport to plan resources. The Ninth Plan saw aconsiderable shift from non-debt to debt funding.The non-debt funding reflected by BCR, which wasprojected to contribute a small surplus realised acontribution of negative 35.8 per cent.Consequently, borrowings, which were projected tocontribute 38.6 per cent, ended up contributing 72.1per cent of the Ninth Plan resources.

3.24. Available evidence suggests thatdeterioration of BCR was a result of both revenueand expenditure related slippages. The growth inNPRE was much more than the growth in currentrevenues during the Ninth Plan period. Theimplementation of the Fifth Pay Commission’srecommendations significantly contributed to therapid growth of NPRE. In one single year, salaryand pension payments rose by almost one-third ofthe pre-Pay Commission level. The effect couldhave been largely mitigated but for the inability inreducing the staff strength. Further, interestpayments in the terminal year of the Ninth Plan roseby as much as two and a half times the base yearlevel in absolute terms, due to mobilisation of largeborrowings.

3.25. Under revenue receipts, States’ share ofCentral taxes reduced by 0.14 percentage pointsof GDP across the Ninth Plan period. This was dueto industrial recession, which could not impart muchbuoyancy to the growth in union excise revenues.Revenue losses on account of expansion in thecoverage of MODVAT without commensurateupward adjustment of tax rates has also beenargued as another reason behind the falling ratio ofthe Centre’s gross tax revenue to GDP. Own taxrevenues of States and UTs also failed to exceedthe buoyancy factor of 1. Excessive tax competitionamong States resulting in lowering of tax rates aswell as various fiscal concessions provided to attractindustrial investment were instrumental in notboosting the own tax revenues. Growth in own non-tax revenues was driven down due to the Centre’sinability to raise royalty rates on minerals. Statesand UTs also could not raise user charges

adequately on irrigation and other departmentalservices.

3.26. Contribution of the resources of Statepublic sector enterprises (SPSEs) was realised at94.7 per cent of the projected level. The realizationhowever could have significantly exceeded 100 percent had it not been for the deterioration of IR. TheIR of SPSEs, which were projected to contribute4.1 per cent of plan resources, realized acontribution of negative 11.8 per cent. Thedeterioration of almost 16 percentage points in IRwas largely funded by an increase in the contributionof EBR of PSEs. The contribution of EBR to planresources, which was projected at 10.9 per centrealised a contribution of 29.2 per cent, an increaseof almost 19 percentage points.

3.27. The deterioration in IR brings into focusthe poor performance of State Electricity Boards(SEBs), whose current costs have increasinglyfailed to be covered by current revenues.Unproductive expenditure on administration andestablishment has grown rapidly withoutcommensurate increase in user charges. Suchevents accentuate the importance of power sectorreforms, which should enable SEBs to earn at leasta minimum rate of 3 per cent on their assets.

3.28. The trebling of the contribution of EBR toplan resources vis-à-vis the Ninth Plan projections,despite a massive deterioration of IR implies animprudent use of guarantees, which States issuefor SPSEs to raise borrowings. The contingentliability embodied in the issue of guarantees is mostlikely to fall on State budgets if SPSEs do notimprove the mobilisation of internal resources. Insuch an event, the fiscal balance of States’ financescan come under severe strain.

3.29. As against a projected contribution of 38.6per cent of borrowings to plan resources, Ninth Planrealisation places it at 72.1 per cent, an increase ofalmost 34.0 percentage points. Unfortunately, sucha sizeable growth in borrowings was used tobridging the BCR gap rather than augmenting planresources. Rapid increase in borrowings also ledto an increase in public sector draft on privatesavings as is implied by growth in States’outstanding debt as a percentage of GDP from 17.8


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per cent in the beginning to 25.9 percent at the endof the Ninth Plan. Simultaneously, a larger debtburden increasingly became unsustainable, as theaccompanying growth of interest payments was notmatched by a commensurate growth in revenues.Interest payments as a percentage of revenuereceipts increased from 16.7 per cent in thebeginning to 22.8 per cent at the end of the NinthPlan.

3.30. Central assistance to States and UTsrealised 81.4 per cent of the projected level.However, its realised contribution to plan resourcesremained the same as the projected contributionat around 54 per cent. The significance of GBS toStates and UTs Plan remained unchanged duringthe Ninth Plan period. However, a shortfall inabsolute terms underlines the growing budgetarystrain of the Centre in meeting the targets of Centralassistance.

Projection of Tenth Plan (2002-07) Resourcesof States and UTs

3.31. In keeping with the requirement ofstepping up public sector investment for attainingan 8 per cent GDP growth during the Tenth Plan,budgetary resources for the States & UTs plan hasbeen projected to grow from 3.85 per cent of GDPin 2001-02 to 4.20 per cent in 2006-07. The TenthPlan average stands at 4.10 per cent, as againstthe Ninth Plan realization of 3.14 per cent.

3.32. The fiscal sustainability of States and UTsis considerably more vulnerable than for the Centreand requires greater fiscal correction. Accordingly,the gross fiscal deficit, which stood at 4.47 per centof GDP in 2001-02 has been projected to reduce to2.19 per cent in 2006-07, obtaining a Tenth Planaverage of 3.19 per cent. The Ninth Plan averagehad stood at 3.37 per cent. The projected target ofgross fiscal deficit is implicit in own borrowingsinclusive of MCR and the loan component of Centralassistance. Own borrowings inclusive of MCR inthe Tenth Plan are arrived at 1.82 per cent of GDP,down from 2.74 per cent realised during the NinthPlan. Central assistance in the Tenth Plan is placedat 2.09 per cent of GDP, up from 1.76 per centrealized during the Ninth Plan.

3.33. BCR is arrived at 0.19 per cent of GDP.To achieve a BCR of this order, non-plan revenuereceipts must grow from 10.27 per cent of GDP in2001-02 to 11.00 per cent in 2006-07, an increaseof 0.73 percentage points. NPRE must come downfrom 12.15 per cent of GDP in 2001-02 to 10.32per cent, a decrease of 1.83 percentage points.Thus an improvement of 2.56 percentage points inBCR during the Tenth Plan is mainly sought from acontraction of NPRE.

3.34. IR and EBR of SPSEs were determined inconsultation with State Governments. The need forimproving IR, particularly of SEBs was emphasized.Accordingly, IR was projected at –0.05 per cent ofGDP for the Tenth Plan, a much improved level from–0.45 per cent realised during the Ninth Plan. After aconsidered view, which favored a reduction in thecontingent liabilities of States and UTs, EBR wasprojected at 0.63 per cent of GDP in the Tenth Plan,down from 1.11 per cent realised during the NinthPlan. Total resources of SPSEs in the Tenth Plan aretherefore projected at 0.58 per cent of GDP, slightlydiminished from 0.66 per cent realised during the NinthPlan. Table 3.6 indicates the Tenth Plan resourcesand its funding of States and UTs in the Tenth Plan.

Table 3.6Tenth Plan Projection of Resources of States and UTs

(Rs.crore at 2001-02 prices)Sources of Funding Tenth Plan

Projections

1.Balance from Current Revenues 26,578(4.0)

2.Resources of Public Sector Enterprises 82,684(12.3)

2.1. Internal Resources -7,760(-1.2)

2.2. Extra-budgetary Resources 90,444(13.5)

3.Borrowings including net MCR 2,61,482(39.0)

4. States’ Own Resources (1 to 3) 3,70,744(55.3)

5.Central Assistance 3,00,265(44.7)

6.Aggregate Plan Resources (4 + 5) 6,71,009(100.0)

Note : Figures in parentheses are percentage of aggregateplan resources.


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3.35. Aggregate plan resources of States and UTsare arrived at Rs.6,71,009 crore at 2001-02 prices,comprising Rs.3,70,744 crore of own resources andRs.3,00,265 crore of Central assistance. Of the totalaggregate plan resources, budgetary resources areplaced at Rs.5,88,325 crore.

3.36. A funding pattern, as envisaged is ademanding task, whose extent could be gaugedby comparing the Tenth Plan projected levels toNinth Plan realization. Table 3.7 indicates the NinthPlan realisation and Tenth Plan projection ofresources of the States and UTs in relation to GDP.

3.37. The steps detailed in Box 3.2 arenecessary to achieve these targets.

3.38. The Planning Commission helddiscussions with States and UTs about projectingthe core Tenth Plan resources. The projection ofthe core Tenth Plan resources was at a level lowerthan what was required to achieve 8 per cent growthof GDP. This was due to the apprehension thatimprovement in BCR, as required under the 8 percent GDP growth scenario may not be achievable.Thus, as against a BCR of 0.20 per cent in the 8per cent growth scenario, core plan resources

BOX 3.2

l Improving tax/GDP ratio of the Centre and States/UTs through inclusion of services in the tax base,removal of tax exemptions and concessions, harmonisation of tax rates, tightening of taxadministration, and adopting an integrated VAT regime.

l Reduction of budget-based subsidies by raising user charges of departmental services, reducingexpenditure by cutting administrative and establishment cost and privatization and through Centre’sinitiative switching over to ad valorem rates of royalty on minerals.

l Reducing staff strength through adoption of a policy of net attrition and constituting a pension andamortisation fund to make committed payments like terminal benefits and debt servicing, self-financing.

l Enacting a ‘Fiscal Responsibility and Budget Management’ bill under which borrowings shall berestricted to attain a non-rising debt to GDP ratio from current levels in order to reduce the burden ofinterest payments.

l Improving internal resources of States PSUs by implementing power sector reforms and reducingthe burden of contingent liabilities on State budgets through a legislative or administrative ceiling onthe issue of State guarantees.

Table 3.7Ninth Plan Realisation and Tenth Plan Projection of Resources of States and UTs


Sources of Funding Ninth Plan Realisation Tenth Plan Projections Increases(+)/Decreases(-)

1.Balance from Current Revenues -1.36 0.20 (+)1.56

2.Resources of Public Sector Enterprises 0.66 0.58 (-) 0.08

2.1. Internal Resources -0.45 -0.05 (+) 0.40

2.2. Extra-budgetary Resources 1.11 0.63 (-) 0.48

3.Borrowings including net MCR 2.74 1.82 (-) 0.92

4. States’ Own Resources (1 to 3) 2.04 2.60 (+) 0.56

5.Central Assistance 1.76 2.09 (+) 0.33

6.Aggregate Plan Resources (4 + 5) 3.80 4.69 (+) 0.89


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indicated its level at negative 0.11 per cent. Furtherit was also recognised that the level of Centralassistance indicated at 2.09 per cent of GDP mayalso not be available if the Centre’s GBS fails torise to the Tenth Plan projected levels.Consequently, the core plan resources arrived at aCentral assistance level of 1.80 per cent of GDP,by and large the same level realized in the NinthPlan. Table 3.8 gives a break-down of the fundingof plan resources of States and UTs under the coreplan scenario.

3.39. The core Tenth Plan resources of Statesand UTs are projected at Rs.5,90,948 crore,Rs.80,061 crore less than the level consistentwith the 8 per cent GDP growth scenario. To be

consistent with the 8 per cent growth target,States and UTs are required to raise Rs. 38,553crore of own resources and the Centre requiredto provide Rs. 41,508 crore of Central assistanceto make up for the balance. States & UTs wisedisbursement of the Central assistancecomponent of the balance, inter-alia, may haveto be linked to their respective abilities inmobilising the own resources component.

Overall Financing Pattern

3.40. Table 3.9 revisits the Ninth Plan realisationlevels of plan resources of the Centre and Statesand UTs. Total resources realised for the public

Table 3.8Core Tenth Plan Resources of States & UTs

(Rs.crore at 2001-02 prices)

Sources of Funding States UTs(1) UTs(2) Total

1.Balance from Current Revenues -37,099 21,804 - -15,295

2.Resources of Public Sector Enterprises 85,566 -2,882 - 82,684

2.1. Internal Resources -4,878 -2,882 - -7,760

2.2. Extra-budgetary Resources 90,444 - - 90,444

3.Borrowings including net MCR 2,62,013 2,789 - 2,64,802

4. States’ Own Resources (1 to 3) 3,10,480 21,711 - 3,32,191

5.Central Assistance 2,51,093 3,195 4,469 2,58,757

6.Aggregate Plan Resources (4 + 5) 5,61,573 24,906 4,469 5,90,948

Note : UTs(1)-With Legislature; UTs(2)-Without Legislature.

Table 3.9 Ninth Plan Realiastion of Resources for the Public Sector Plan


Sources of Funding Centre States / UTs Total

1.Balance from Current Revenues -1,56,790 -1,06,962 -2,63,752

2.Borrowings including net MCR 4,55,624 2,15,592 6,71,216

3. Net Inflow from Abroad 17,452 - 17,452

4.Centre’s GBS (1+2+3) 3,16,286 - -

5.Resources of Public Sector Enterprises 2,28,795 52,107 2,80,902

5.1. Internal Resources 1,69,046 -35,416 1,33,630

5.2. Extra budgetary Resources 59,749 87,523 1,47,272

6. States’ Own Resources (1+2+5) - 1,60,737 -

7.Central Assistance to States & UTs -1,38,394 1,38,394 -

8. Resources for the Public Sector Plan (1+2+3+5+7) 4,06,687 2,99,131 7,05,818

Note : The Centre’ GBS available for the Central Plan works out to Rs.177892 crore.


85

sector’s Ninth Plan indicates the large presence ofnegative BCR, which has been bridged by asubstantially high level of borrowings. Had the BCRrealisation been in alignment with what wasprojected, the contracted borrowings would havesignificantly stepped up the resources for the publicsector plan, much higher than what was projected.In that event, the increase in overall debt burdenwould have been accompanied by a larger publicsector investment, which would have built theproductive capacities of the economy rather thanfunding the consumption expenditure of thegovernment.

3.41. Table 3.10. projects the overall resourcesfor the Tenth Plan on the presumption that thenegative BCR gap would be erased, leavingborrowings exclusively for the public sectorinvestment and not for meeting the consumptionexpenditure of the government. The projection alsorequires the public sector enterprises to substantiallyenhance their internal resources for limiting the needfor raising EBR.

Allocation of Public Sector Resource

3.42. The projected requirement of resourcesof the public sector for the Tenth Plan atRs.15,92,300 crore at 2001-02 prices comprisethe Centre’s share at Rs.9,21,291 crore and

States and UTs share at Rs.6,71,009 crore. Theresources for the Central Plan includes the GBScomponent of Rs.4,05,735 crore and the IEBRcomponent of Rs.5,15,556 crore. The IEBRcomponent as currently assessed by CentralMinistries is Rs.4,87,448 crore, which isRs.28,108 crore lower than the level consistentwith the 8 percent growth of GDP in the TenthPlan.. Thus, the resource allocation in the Centralsector amounts to Rs.8,93,183 crore, which isindicated in Annexure 3-A with details ofbudgetary support and IEBR furnished inAnnexure 3-B.

3.43. The Tenth Plan resources of the Statesand UTs are projected at Rs.6,71,009 crore at2001-02 prices. Core plan estimates, however,arrive at a resource figure of Rs.5,90,948 crore,leaving a balance of Rs.80,061 crore. Sectoralallocation in the States/UTs sector includes thecore plan resources and the Central Assistancecomponent of the balance, that is, Rs.41,508crore. This component has been allocated tocertain critical sectors identified by the PlanningCommission. The allocation of the own resourcescomponent of the balance, which is placed at Rs.38,553 crore, will have to await its actualmobilization by the States and UTs.Consequently, sectoral allocations in the States/UTs sector is arrived at Rs.6,32,456 crore. This

Table 3.10Tenth Plan Projection of Resources for the Public Sector Plan


Sources of Funding Centre States/UTs Total

1.Balance from Current Revenues -6,385 26,578 20,193

2.Borrowings including net MCR 6,85,185 2,61,482 9,46,667

3. Net Inflow from Abroad 27,200 - 27,200

4.Centre’s GBS (1+2+3) 7,06,000 - 7,06,000

5.Resources of Public Sector Enterprises 5,15,556 82,684 5,98,240

5.1. Internal Resources 4,09,000 -7,760 4,01,240

5.2. Extra budgetary Resources 1,06,556 90,444 1,97,000

6. States’ Own Resources (1+2+5) - 3,70,744 -

7.Central Assistance to States & UTs -3,00,265 3,00,265 -

8.Resources for the Public Sector Plan (1+2+3+5+7) 9,21,291 6,71,009 15,92,300

Note : The Centre’s GBS available for the Central Plan works out to Rs.4,05,735 crore.Allocations of Public Sector Resources.


86

allocation in the States/UTs sector is indicated inAnnexure 3-A with States/UTs wise core plan detailsfurnished in Annexure 3-C. Annexure 3-D indicatesthe details of Central assistance component of thebalance in the States/UTs sector.

3.44. Thus, as against the public sectorresources of Rs.15,92,300 crore for the Tenth Plan,allocations aggregate to Rs.15,25,639 crore. Table3.11 indicates the resources and allocation of thepublic sector Tenth Plan.

Table 3.11Public Sector Resources & Allocations

Tenth Plan (2002-07) (Rs. crore at 2001-02 prices)

Sources of funding Required Allocated

CENTRE1. Budgetary Support 4,05,735 4,05,7352. IEBR 5,15,556 4,87,4483. Total-Centre (1+2) 9,21,291 8,93,183

STATES & UTs4. Core Plan 5,90,948 5,90,9485. Balance (5.1+5.2) 80,061 41,5085.1 Own Resources 38,553 -5.2 Central Assistance 41,508 41,5086.Total-States & UTs (4+5) 6,71,009 6,32,456

TOTAL PUBLIC SECTOR7. Grand Total (3+6) 15,92,300 15,25,639


87

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88

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8.9.

61.

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ture

740

1720

132.

4 -

--

740

1720

132.

4

62.

Trib

al A

ffairs

654

1754

168.

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-

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an E

mpl

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Pov

erty

Alle

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1150

4050

252.

286

4413

501

56.2

9794

1755

179

.2

65.

Wat

er R

esou

rces

1955

3600

84.1

-

-

-

1955

3600

84.1

66.

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th A

ffairs

& S

ports

980

1825

86.2

-

-

-

980

1825

86.2

To

tal

2332

7240

5735

73.9

3142

8548

7448

55.0

954

7557

8931

8365

.0


92

Ann

exur

e : 3

-C

Ten

th P

lan

(20

02-0

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utl

ays

by

Sta

tes/

UT

s(M

ajo

r H

ead

s o

f D

evel

op

men

t)

(Rs.

Cro

re a

t 200

1-02

pric

es)

Sec

tors

/Sta

tes

An

dh

raA

run

ach

alA

ssam

Bih

arC

hat

tis-

Goa

Gu

jara

tH

arya

na

Him

ach

alJ

& K

Jhar

khan

dK

arn

atak

aK

eral

aP

rad

es

hP

rad

es

hg

arh

Pra

de

sh

1.2.

3.4.

5.6.

7.8.

9.10

.11

.12

.13

.

1.A

gric

ultu

re &

Alli

ed A

ctiv

ities

2333

.21

515.

3166

4.98

536.

1186

0.97

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3435

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1201

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8523

46.9

411

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3)(8

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.6)

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.7)

2.R

ural

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011

58.9

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305.

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8.16

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3.S

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gram

me

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.5)

(0.4

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4.Irr

igat

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& F

lood

Con

trol

1084

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6.In

dust

ry &

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3.87

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10.

Gen

eral

Eco

nom

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804.

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1.70

217.

5935

2.89

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1915

9.75

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11.

Soc

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1363

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5076

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1526

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Gen

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s47

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229

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93

Con

td. A

nnex

ure

: 3-C

Sec

tors

/Sta

tes

Mad

hya

Mah

a-M

anip

ur

Meg

ha-

Miz

o-

Nag

a-O

riss

aP

un

jab

Raj

asth

anS

ikki

mT

amil

Tri

pu

raU

ttar

Pra

de

sh

ras

htr

ala

yara

mla

nd

Nad

uP

rad

es

h14

.15

.16

.17

.18

.19

.20

.21

.22

.23

.24

.25

.26

.

1.A

gric

ultu

re &

Alli

ed A

ctiv

ities

1581

.52

4248

.62

113.

8629

9.60

161.

9825

5.50

1165

.20

635.

4116

49.4

817

4.99

3932

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6)(9

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0)(8

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2.R

ural

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6.65

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4.Irr

igat

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lood

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trol

4915

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6.In

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10.

Gen

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11.

Soc

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12.

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94

Con

td. A

nnex

ure

: 3-C

Sec

tors

/Sta

tes

Utt

aran

We

st

Sta

tes

A &

NC

han

di-

D &

ND

aman

NC

T o

fL

ak

sh

wa

-P

on

di-

UTs

Sta

tes

& U

Ts

chal

Ben

gal

To

tal (

1 to

28)

Isla

nd

sg

arh

Hav

eli

& D

iuD

elh

id

we

ep

ch

err

yT

ota

l (30

to

36)

To

tal (

29 +

37)

27.

28.

29.

30.

31.

32.

33.

34.

35.

36.

37.

38.

1.A

gric

ultu

re &

Alli

ed A

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694.

9291

4.63

3751

3.60

177.

7720

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27.8

49.

2313

7.45

106.

8419

5.80

675.

2538

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.7)

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2.R

ural

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t42

0.52

3797

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5026

2.65

150.

8410

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10.5

310

.58

463.

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6031

.52

682.

4950

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(8.6

)

3.S

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Pro

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me

3.88

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6264

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0.00

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4.Irr

igat

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& F

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Con

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178.

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0)

6.In

dust

ry &

Min

eral

s93

.02

1509

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5.69

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7.Tr

ansp

ort

1089

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5687

8.26

978.

1946

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62.7

466

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5446

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146.

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3)(2

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8.C

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9.S

cien

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olog

y62

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1939

53.2

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10.G

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95

Annexure 3-D

Proposed Additional Allocation for the Tenth Plan


Sr. Sector States and UTs Plan AmountNo.

1. Health Improving Secondary/Tertiary Health Care 1400

2. Health Strengthening of Universities of Health Sciences 100

3. Education Access to Seondary Education in Educationally 300Backward Districts

4. Education Vocational Education Mission 650

5. Rural Development Jai Prakash Narain Rozgar Yojana 5000

6. Agriculture Grants to Agriculture Universities for 500Research and Transfer of Technology

7. Agriculture Drought Proofing 4000(a) Watershed Development(b) Wasteland Development(c) JFM(d) Agro-forestry

8. Agriculture Control of Shifting Cultivation 400

9. Tourism Development of World Heritage Sites/ Tourism Circuits 1000

10. Irrigation AIBP 5000

11. Urban Development Urban Sanitation Mission 2000

12. Planning Commission Extremist Affected Districts (RSVY) 1000

13. Roads Improvement of Riding quality of State Highways 2000

14. Power Accelerated Power Development & Reform Programme 3500

15. Special Area Programmes State Initiatives (like Post Matric Scholarships 14658for SCs, STs: EAPs etc.)

Total State/UTs Plan 41508

Note : The allocated amounts are over and above the core States/UTs Plan outlay indicated in Annexure:3-C


96

public sector plan : resources and allocations - of planning

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