The World Bank, Tata and Enduring Abuses On India's Tea Plantations

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Cover photo: Woman pruning tea bushes at Nahorani estate, Assam.
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History and Context ......................................................................................................................8
Living and Working Conditions on the PIantations ...................................................................9
The Transition to APPL ...............................................................................................................11
The RoIe and ResponsibiIity of the IFC and Private Certication ..........................................12
Summary ConcIusions and Recommendations .......................................................................14
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The Crisis in Tea Leaf and the Corporate Restructuring of Tata Tea ......................................22
Origins of the PIantation System: Work, Wages, and SociaI Benets ...................................24
EvoIution of Conditions on PIantations ....................................................................................25
Preservation of Social Hierarchies ..........................................................................................25
Compensation and Wages ......................................................................................................27
The Plantations Labour Act of 1951 ........................................................................................27
Compliance with the PLA ........................................................................................................28
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Living Conditions ........................................................................................................................34
Housing ...................................................................................................................................34
Sanitation ................................................................................................................................37
Water .......................................................................................................................................41
Electricity .................................................................................................................................44
Denial of Benefts on the Basis of Gender and Other llegal Distinctions ...............................46
Gender Discrimination ......................................................................................................46
Parents, Older Children and Temporary Workers .............................................................49
Health Services .......................................................................................................................50
Wages .....................................................................................................................................55
Occupational Health and Safety .............................................................................................61
Casualization and Worker "Shortage .....................................................................................65
The FaiIure of Enforcement and Absence of Remedies: "They Are the Court, They are the
Judge, They Are the PoIice." ......................................................................................................67
Audits ......................................................................................................................................67
Restricted Access ...................................................................................................................69
Unions ....................................................................................................................................70
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The Share PIan: "CumuIative CompuIsoriIy ConvertibIe Participatory Preference Share
Scheme" (CCCPPS) .....................................................................................................................77
No Informed Consent .................................................................................................................79
Coercing Workers to Buy Shares ..............................................................................................81
6 "The More Things Change ... The World Bank, Tata and Enduring Abuses on ndia's Tea Plantations
The Economic Consequences of the Corporate Restructuring .............................................85
The Share Plan: Heavy Deductions from Low Wages and Future Uncertainty .....................85
Economic Diversifcation: Low Wages and Land Seizures .....................................................87
Fisheries ...........................................................................................................................88
No Job Creation or Improved Job Security .......................................................................91
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InternationaI Finance Corporation (IFC) ....................................................................................94
The FC's Role as "Honest Neutral Broker in the Employee Share Plan ...............................95
FC Assessment of Living and Working Conditions ................................................................96
Standards Applied ............................................................................................................96
Lack of Due Diligence .......................................................................................................98
CAO Complaint .....................................................................................................................100
Private Standards - SA 8000 and EthicaI Tea Partnership ....................................................100
Social Accountability nternational's SA8000 ........................................................................102
Ethical Tea Partnership ........................................................................................................104
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Living and Working Conditions ...............................................................................................106
Effects of the Share PIan and Economic Diversication .......................................................107
The RoIe of the IFC and Private Certication ........................................................................107
Recommendations ....................................................................................................................108
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Worker Protests Against MedicaI NegIect. and Management RetaIiation ...........................52
Low Wages, High Deductions: A SampIe PaysIip ....................................................................58
Under PIantation RuIe: Worse Off Than Other Citizens of India? ...........................................72
Excerpts of the IFC and Tata/APPL Brochure on Share Ownership .......................................82
The IFC's Response to CompIaints: NeutraI Arbiter or Tata Partisan? ................................101
Executive Summary 7
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Tea plantations in Inuia employ moie than a
million peimanent woikeis, anu peihaps twice as
many seasonal laboieis. This makes the inuustiy
the laigest piivate-sectoi employei in the
countiy. But woikeis uepenu on plantations foi
moie than just employment: millions of woikeis
anu theii families live on the plantations, anu
iely on them foi basic seivices, incluuing foou
supplies, health caie anu euucation. Inuian law
has iequiieu plantation owneis to pioviue these
since the auoption of the Plantations Laboui Act
(PLA), soon aftei inuepenuence.
The Tata uioup, one of Inuia's most poweiful
coipoiate entities, is also one of the most
significant foices in the tea sectoi. 0ntil iecently,
Tata opeiateu a veitically integiateu tea business,
owning uozens of plantations, piocessing anu
packaging facilities, anu majoi ietail bianus. In the
miu-2uuus, Tata ieacheu out to the Woilu Bank's
piivate investment aim, the Inteinational Finance
Coipoiation (IFC), anu ueviseu a complicateu
plan that woulu cieate a sepaiate company to
opeiate its extensive plantation opeiations in the
states of Assam anu West Bengal. The plan foi the
new company, Amalgamateu Plantations Piivate
Ltu. (APPL), incluueu employee shaie owneiship
anu uiveisification "beyonu tea". 0nuei the plan,
Tata woulu continue to suppoit APPL foi a peiiou
of "hanu-holuing," aftei which it woulu be spun
off into a publicly tiaueu company, allowing Tata
to focus on maiketing its existing ietail bianus
anu ueveloping new ones.
This is a case stuuy of APPL. It uocuments
the conuitions foi APPL's woikeis anu theii
families on the plantations, evaluating them
in the context of Inuian law anu inteinational
commitments. It is a uetaileu account of the
peisistence of abusive piactices, anu the failuie
to comply with the basic iequiiements of
the PLA, 6u yeais aftei its passage. It is also a
ciitical analysis of the tiansition fiom Tata Tea
to APPL, anu of the iole playeu in that tiansition
by the IFC anu piivate oiganizations intenueu to
piomote uecent laboi stanuaius.
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This iepoit focuses on APPL because of the
significance of Tata in the sectoi, its outspoken
commitment to coipoiate social iesponsibility
anu its engagement with the IFC. By paitneiing
with the IFC, Tata committeu itself to the
uevelopment goals of the Woilu Bank, taking
APPL beyonu a meie piivate business ueal.
Thiough its investment in APPL, the IFC has also
assumeu iesponsibility. Becaues of activism
fiom insiue anu outsiue the Woilu Bank leu
the IFC to auopt elaboiate iules, known as
Peifoimance Stanuaius, which aie intenueu
to ensuie that IFC piojects aie implementeu
in compliance with its social anu uevelopment
goals. APPL is a test of the IFC's will anu capacity
to enfoice its stanuaius when faceu with a ieal
woilu investment.
As the iepoit shows, the IFC's iules shoulu
have leu it to sciutinize Tata's compliance with
Inuian law. Insteau, it took that compliance foi
gianteu, ielying laigely on Tata's ieputation. In
agieeing to suppoit uiamatic changes in the
stiuctuie of the plantation opeiations, the IFC
oveilookeu pioblems that shoulu have been
consiueieu in auvance anu then ignoieu them
as they occuiieu. Key elements of the tiansition
which have obvious appeal on papei - the sale of
shaies to woikeis, anu economic uiveisification
into commouities othei than tea - have actually
exaceibateu the haiuship of woikeis.
This iepoit is baseu on moie than two yeais of
ieseaich, which incluueu visits to 17 of the 24
APPL plantations, many on multiple occasions.
Reseaicheis foi the Columbia Buman Rights
Institute inteivieweu hunuieus of woikeis as
well as APPL management, IFC staff, goveinment
officials, anu expeits on plantation laboi. As
summaiizeu below, the iepoit coveis foui aieas:
(1) histoiy anu context, (2) living anu woiking
conuitions on the plantations, (S) the tiansition
to APPL anu (4) the iole of the IFC anu piivate
ceitification bouies in ieaching its conclusions.
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The abusive conuitions foi APPL woikeis aie
consistent with conuitions in the sectoi as a
whole. They aie iooteu in the colonial oiigins
of plantation life which continue to uefine the
extiemely hieiaichical social stiuctuie, the
compensation scheme, anu the excessive powei
exeiciseu by management.
The tea woikeis of Assam anu the aujacent aiea
of West Bengal come fiom two maiginalizeu
communities - Auivasis (inuigenous people)
anu Balits (the so-calleu "untouchable" caste) -
whose ancestois weie biought fiom cential Inuia
by Biitish planteis. They iemain tiappeu in the
lowest employment positions on the plantation,
wheie they aie ioutinely tieateu as social infeiiois.
The compensation scheme oiiginally uevelopeu
foi the colonial plantations anu theii migiant
woikeis - low cash wages, supplementeu with
housing anu social benefits - has iemaineu
unchangeu. As in the colonial peiiou, the
plantations function as a paiallel goveinance
stiuctuie, with little active involvement by the
state, whethei in setting wages oi in monitoiing
woiking anu living conuitions. This places
woikeis anu theii families in a ielationship of
total uepenuence on the plantation.
Inuepenuent Inuia's iesponse to the plight of
the plantation woikeis was not to uniavel the
system in place but to foimalize it, auopting
legislation that obligateu the plantations to
pioviue social benefits, incluuing housing, health
caie, subsiuizeu foou, cieches, sanitation anu
euucation. The Plantations Laboui Act of 19S1 -
with occasional amenuments - continues to uefine
the employment ielationship in this sectoi. In
auuition to uetaling the benefits employeis must
pioviue, the PLA tiies to set limits on employei
contiol ovei woikeis, foi example, piohibiting
management fiom inteifeiing with public access
to the "laboi lines" wheie woikeis live.
But, as is wiuely known to those who stuuy
the tea sectoi, the PLA was nevei aggiessively
Executive Summary 9
enfoiceu. Scholais like viiginius Xaxa, who giew
up on what is now an APPL plantation, uesciibe
vast gaps in compliance, many of which have
only giown laigei ovei time.
A visitoi to any "laboi line" on an Inuian tea
plantation will immeuiately iuentify flagiant
non-compliance with the PLA. Bilapiuateu
anu oveiciowueu houses aie common, as
aie oveiflowing latiines, pooily stockeu
meuical facilities, anu abanuoneu cieches.
Some of the most uamning eviuence about the
implementation of the PLA, howevei, comes
not fiom obseivations on specific plantations,
but fiom goveinmental suiveys of the sectoi.
Piesumably, aftei 6u yeais of guaianteeu health
caie, housing, sanitation anu foou suppoit in a
stable population, social inuicatois shoulu be
positive. But the opposite is tiue: the suiveys
ieveal that tea plantation woikeis aie an
impoveiisheu community living on the maigins.
Nalnutiition is wiuespieau, along with illiteiacy.
Tea plantation woikeis succumb to "uiseases
of poveity" such as tubeiculosis anu typhoiu
at much highei iates than the iuial pooi in the
villages aiounu them.
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The conuitions on APPL plantations beai out the
known histoiy anu suiveys of the sectoi. Theie
aie vast anu visible gaps in the implementation
of the PLA in auuition to abusive piactices that
exploit anu exaceibate the uisempoweieu state
of woikeis.
violations of the PLA in ielation to health caie,
housing anu sanitation aie wiuespieau. Woikeis
live ciowueu togethei in ciampeu quaiteis with
ciackeu walls anu bioken ioofs. The failuie to
maintain latiines has tuineu some living aieas
into a netwoik of cesspools. APPL is failing to
pioviue auequate health caie, both in iespect
of quality anu access. Neuical staff aie pooily-
tiaineu anu fiequently absent. Callous anu
inauequate meuical caie weie citeu by woikeis
as the tiiggei foi violent laboi uisputes on at
least thiee plantations in iecent yeais. Even
wheie it hau not eiupteu in violence, woikeis
consistently uesciibeu uoctois who maue
cuisoiy uiagnoses, while taking gieat pains to
avoiu physical contact.
Fuitheimoie, health caie - along with othei
social benefits - is aibitiaiily uenieu to many
of those who aie explicitly entitleu to ieceive
it unuei the PLA: tempoiaiy woikeis, ietiieu
woikeis, anu the uepenuents of women woikeis
at APPL have no access to fiee tieatment. As
a iesult, many oluei anu infiim iesiuents on
plantations uesciibeu foiegoing tieatment they
coulu not affoiu, while, in othei cases, healthy
woikeis aie paying up to a quaitei of theii take-
home pay ovei multiple yeais to covei the health
expenses of uepenuents.
These explicit violations of the PLA tell only a
pait of the stoiy. Theie aie othei abuses that
fall outsiue the scope of the legislation but
highlight the uncheckeu powei of management
anu absence of iecouise foi woikeis. This is
tiue, foi example, of woik quotas anu salaiy
ueuuctions. While APPL cannot be helu uiiectly
iesponsible foi low wages - since wage levels
aie set iegionally thiough negotiation between
the employeis anu the union - APPL is complicit
in keeping wages low. Nanagement offsets any
small iaises by assigning highei uaily woik
quotas, anu taking substantial anu aiguably
unjust ueuuctions fiom woikeis' paychecks. Foi
most jobs on the plantations, theie aie quotas
oi "task iates" that set a thiesholu foi the uaily
wage; woikeis who fail to meet this quota face
pay ueuuctions of up to half the uay's wages.
Fiom 2uu7 to 2u1S, the quota foi plucking
tea-leaf, which is set by employeis acioss the
iegion, has incieaseu by 4u%. Theie has been
no coiiesponuing impiovement in technology
to enable woikeis to pick fastei: woikeis must
pick as they have always uone, by hanu oi with
sheais. The task iates foi piuning the tea bushes,
which is fixeu at the plantation level, have also
incieaseu at APPL without any explanation. 0n
many plantations, woikeis saiu that they weie
no longei able to complete the task on theii
own, anu hau to take on helpeis whom they
compensateu out of theii own pockets.
Besiues eiouing wages thiough high task iates,
APPL also ueuucts substantial amounts fiom
woikeis' paychecks. The oveiall impact of the
paycheck ueuuctions, as analyzeu in the iepoit,
is a loss of at least Su% fiom an alieauy low
uaily wage of !89 (0S$1.62) in Assam, anu !91
(0S$1.6S) in West Bengal. While a couple of
the paycheck ueuuctions aie set by law (such
as compulsoiy contiibutions to a statutoiy
ietiiement account, known as the Pioviuent
Funu), the most buiuensome aie contiolleu by
the company. 0n some APPL plantations, the
fee chaigeu foi electiicity alone amounteu to
neaily Su% of the woikeis' net pay. In almost all
cases, all woikeis pay the same iate, iegaiuless
of inuiviuual consumption, foi only a few houis
of electiicity pei uay.
APPL management has iesponueu uefensively to
questions about woiking anu living conuitions
on the plantations, insisting that any pioblems
on the estates aie piomptly anu appiopiiately
auuiesseu thiough goveinment enfoicement
anu tiaue unions. In ieality - as the company
knows anu, at times, helps to maintain - both
mechanisms aie uemonstiably uysfunctional.
Even the goveinment's own statistics show
that inspections aie infiequent anu fines aie
nonexistent. Almost no woikei inteivieweu hau
evei even seen a goveinment inspectoi.
With iegaiu to unions, theie aie impoitant
uiffeiences emeiging between Assam anu
West Bengal. In Assam, plantation manageis
have helpeu to maintain the monopoly of
the Assam Chah Nazuooi Sangha (ACNS), a
laigely uiscieuiteu union. The global union
feueiation foi plantations anu agiicultuie, the
Inteinational 0nion of Foouwoikeis, uoes not
iecognize the ACNS as an affiliate, anu in fact,
has chaiacteiizeu the ACNS as being "in league
with management." Accoiuing to woikeis anu
expeits in the fielu, the ACNS functions laigely to
implement management policy anu uiscouiage
woikeis' complaints. In ietuin foi this iole,
APPL ueuucts union uues fiom all woikeis at its
plantations, without iegaiu to inuiviuual choice,
anu passes them on to the ACNS. It iefuses to
negotiate with any othei union.
In West Bengal, howevei, plantation manageis
have been foiceu to accept union uiveisity,
incluuing the piesence of moie vocal,
iepiesentative unions, in pait as a iesult of the
iise of newly active sepaiatist movements in
the state. Although it is too eaily to be ceitain
of the long-teim impact of these new foims
of unionism, it uoes appeai that the last two
yeais have shifteu ceitain uynamics within the
plantations. Foi example, union mobilization
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Executive Summary 11
in West Bengal foiceu tea plantations to iaise
uaily wages by moie than a thiiu, which in tuin
foiceu plantations in neighboiing Assam to
iaise wages as well.
As a geneial mattei, howevei, it is cleai that theie
aie no meaningful avenues foi APPL woikeis
to aiticulate conceins anu seek iemeuies.
Beyonu goveinment inspectois anu unions,
management can typically count on the isolation
of the plantations to ensuie against visits by
conceineu jouinalists oi Nu0s. If visitois uo
come, management invaiiably inteiceues,
eithei uiiectly with the visitois oi with the
woikeis, to biing an enu to the encountei. APPL
management obliquely accuseu the authois of
this iepoit - who expeiienceu such inteifeience
- of tiespassing, even though the Plantations
Laboui Act affiims the iight of public access to
anu fiom woikeis' homes.
In uesciibing the enuemic pioblems of the sectoi
anu the paiticulai issues at APPL plantations,
incluuing violations of the Plantations Laboui
Act, this iepoit uoes not iuealize the iegime
cieateu by the PLA. Nany auvocates have aigueu
that plantation woikeis may be bettei off without
the "piotection" of the PLA in the long teim. Foi
instance, many of the "seivices" that the PLA
iequiies the employei to pioviue, incluuing watei,
healthcaie anu subsiuizeu foou, aie available to
the pooi uiiectly fiom the Inuian state. But, even
though plantation woikeis' incomes aie low
enough foi them to qualify as "below poveity
line," the legal anu geogiaphic fiamewoik of the
plantation system makes it almost impossible
foi them to gain access to the benefits they aie
entitleu to ieceive fiom the state.
Fuitheimoie, the system of benefits pioviueu
to woikeis unuei the PLA - iathei than highei
wages - keeps them bounu to the plantations,
pieventing them fiom builuing savings anu
seeking new oppoitunities. In the view of many
auvocates, even a well-implementeu PLA woulu
sustain this uepenuency. This is paiticulaily
cleai when it comes to housing: though multiple
geneiations of woikeis may have liveu in a
house, without any othei family home, they
have no iights ovei it at all, even to make theii
own iepaiis. This may not be an iueal situation
foi employeis, eithei, but, as one APPL managei
acknowleugeu, they aie unwilling to contemplate
an alteinative. The planteis iecognize that
contiol ovei housing is the majoi factoi enabling
them to exeicise contiol ovei woikeis.
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The tiansition fiom Tata to APPL was piemiseu
on builuing "gieatei lanu anu laboi piouuctivity"
foi a moie sustainable plantation mouel. Cential
elements of the plan incluueu the sale of up to Su%
of the shaies to employees, anu uiveisification
"beyonu tea" into othei agiicultuial commouities
anu fisheiies. Although most of the employee
shaies woulu go to staff anu management, the
cieuibility of the plan iequiieu that woikeis also
buy in. The IFC tieateu the sale of shaies to woikeis
as a ciitical featuie of its uecision to invest.
Whatevei the meiits of the plan, its implementation
has been extiemely pioblematic. Aftei uesultoiy
effoits to explain the complicateu "no-inteiest
loan" - which woulu involve seven yeais of
paycheck ueuuctions - foi the puichase of
shaies, management gave up explaining anything
to woikeis, anu simply set about convincing
them to buy. Woikeis 4*4 buy, in ielatively
laige numbeis, maiking theii thumb piints on
laigely incompiehensible uocuments wiitten
in English. The company anu the IFC tieateu
the high subsciiption iates as *%3# 5-6)# pioof of
goou communication anu woikei enthusiasm
foi the scheme. But at eveiy plantation, woikeis
iecounteu stoiies of ueception, thieats anu
exaggeiations - by unions anu by management
- in oiuei to convince oi compel them to buy the
shaies. Nanageis anu secuiity guaius visiteu the
homes of ieluctant woikeis; staff iefuseu to pay
them foi the uay's woik unless they signeu up.
A few woikeis uiu iefuse, but on a numbei of
plantations subsciiption iates weie neaily 1uu%.
Now, moie than thiee yeais aftei APPL woikeis
signeu on to the shaie plan, theie is still
wiuespieau confusion among them about what
the shaies iepiesent, anu what theii iights may
be as shaieholueis. The company has utteily
faileu to communicate with this subset of its
shaieholueis: acioss the APPL plantations,
woikeis stateu categoiically that theie hau been
no meeting calleu oi newslettei uistiibuteu
about the shaies oi the financial conuition of
the company since they signeu up foi shaies.
They have not even been pioviueu access to the
company's annual iepoits, which in any event
aie not public uocuments anu aie only in English.
Fiom a puiely economic peispective, the
benefits to the woikeis aie unceitain, uespite
the optimistic claims of APPL anu the IFC. Now
that paycheck ueuuctions have begun, woikeis
aie losing an auuitional 6-8% of theii meagei
wages each pay peiiou. Foi foui yeais, woikeis
aie lockeu in, anu uuiing this time, the value
of the investment is guaianteeu, along with a
iate of 6% inteiest. Although the inteiest iate
is high by westein stanuaius, it baiely tiacks
inflation in Inuia, wheie commeicial inteiest
iates aie cuiiently moie than Su% highei, on
long-teim savings accounts. Aftei foui yeais,
woikeis' shaies vest, anu the value of the
investment will iise oi fall baseu on maiket
conuitions. In othei woius, unueipaiu woikeis
face the iisk of the maiket without othei
benefits of shaie owneiship.
0ne of the othei "innovations" in the tiansition
to APPL - uiveisification beyonu tea - has hau
the peiveise consequence of uispossessing
woikeis of agiicultuial lanu they hau cultivateu
foi geneiations. APPL announceu in 2u1u that
it hau built "the laigest coipoiate fish faiming
business acioss noith anu east Inuia," anu
claimeu that it hau uone so using "fallow" lanu
within the plantation aiea. Bowevei, woikei
inteiviews ievealeu that the plots of lanu in
question hau actually been allocateu to woikeis'
families in colonial times foi the cultivation of
subsistence ciops. This lanu hau been offeieu
as pait of the compensation package to inuuce
woikeis to upioot theii families anu move to
the plantations. APPL management claimeu
that woikeis woulu ieceive "benefit" fiom the
fisheiies, but none aie immeuiately appaient: the
fish is solu at maiket value, with no concessional
iate foi woikeis, anu no new peimanent jobs.
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>K<P:"8 -8K"<S<-:"<LM
The IFC pioclaimeu that its ieason foi appioving
this pioject was because it piomiseu to "cieate
oppoitunities foi people to escape poveity anu
impiove theii lives." In APPL, the IFC saw an
oppoitunity to pieseive anu expanu jobs, cieating
a mouel foi the inuustiy. Fiom this peispective,
the shaie plan anu uiveisification weie cential.
Woikei owneiship woulu change the incentive
stiuctuie, leauing to highei eainings anu moie
job secuiity. Biveisification woulu ieuuce the
company's exposuie to fluctuating piices of tea
leaf, anu woulu also ieuuce the enviionmental
haims associateu with the monocultuie of tea.
Fiom APPL's peispective, the IFC investment
of neaily $8 million may have been ielatively
small in uollai amounts, but it biought ciitical
legitimacy anu a necessaiy infusion of capital to
a coipoiate iestiuctuiing pioject that hau lost
othei outsiue investois.
The IFC's elaboiate Peifoimance Stanuaius
anu iules foi implementation aie intenueu to
ensuie the piomotion of the Woilu Bank's goals
foi social anu economic uevelopment. They
incluue laboi stanuaius, as well as benchmaiks
foi community health anu safety, all of which
aie ielevant to the APPL investment. The IFC's
iules iequiie the IFC to exeicise uue uiligence
in auvance of its engagement, in oiuei to
iuentify anu mitigate potential pioblems, anu
iequiie the company to comply with social
anu enviionmental stanuaius thioughout
the pioject. In othei woius, APPL voluntaiily
supplementeu its statutoiy obligations unuei
the PLA with auuitional contiactual obligations
to the Woilu Bank.
Theie is little to show foi the uue uiligence
phase of the IFC's woik. Fiom all appeaiances,
its enthusiasm about paitneiing with Tata -
poitiayeu in pioject uocuments as an innovatoi
in woikei empoweiment, anu a leauei in social
iesponsibility anu woikplace safety - leu it to
cuitail appiopiiate sciutiny piioi to appioval.
0n the basis of a thin iecoiu that incluueu
visits to only thiee plantations in thiee uays, its
assessment was "positive without ieseivation,"
as noteu in an Appiaisal unueitaken by the
IFC's own Compliance Auvisoi0mbuusman
(CA0). The IFC faileu even to iuentify the
well-known pioblems ielateu to living anu
woiking conuitions that plague tea plantations
as a whole. The CA0, which launcheu its own
inquiiy into this pioject in 2u12, noteu some of
the pioblems which appiopiiate uue uiligence
woulu have exposeu, anu iaiseu seiious
conceins as to whethei the IFC hau "sufficient
eviuence" foi its eailiei conclusions.
With iegaiu to the shaie plan, the IFC's iole
has been paiticulaily pioblematic. In eaily
pioject uocuments, the IFC pioposeu to play
the iole of "honest neutial biokei" in the sale
of shaies. This woulu have been an extiemely
valuable iole foi it to play, given the powei
uynamics at woik on the plantations, anu the
uifficulties associateu with ensuiing woikeis'
infoimeu consent thiough the piocess. The
IFC even iuentifieu gaps in the APPL plan that
it coulu help to fill, such as the absence of any
iole foi employees in coipoiate goveinance.
The IFC pioposeu that it woulu help uevelop
an "employee empoweiment piogiam" to
auuiess this. But none of this mateiializeu. In
fact, theie is eviuence that the IFC abanuoneu
its neutiality anu actively piomoteu the shaies,
even putting its name on piomotional liteiatuie
that uepicteu woikeis ieceiving uniealistically
high uiviuenus fiom the shaies - enough to buy
a cai oi a house - without mentioning iisks.
As an ongoing mattei, theie is little claiity
iegaiuing the IFC's supeivisoiy iole in this
pioject. The IFC has ueclineu to exeicise its
option to appoint a membei to the APPL boaiu,
anu has iesponueu uefensively to iepoits of
pioblems fiom a wiue iange of souices.
Beyonu its obligations unuei the PLA anu to the
IFC, APPL fuithei committeu itself to meeting
the laboi anu enviionmental stanuaius of two
piivate oiganizations, Social Accountability
Inteinational (SAI) anu the Ethical Tea
Paitneiship (ETP). SAI's "SA8uuu" stanuaiu, in
paiticulai, incluues impoitant laboi piotections,
which APPL fails to meet. The glaiing gap between
conuitions on the APPL estates anu the stanuaius
on papei highlights seiious pioblems in the
ceitification anu monitoiing piocess. Auuitois
iesponsible foi ceitifying compliance aie paiu by
?/*3 *'-,( 3/#23 - %-,( 5"#' -+ @ABC3-+6)*#+(4 ="#6/$"(
5#" 2#"0("3 -) 9::; %1-+)-)*#+37 @) "(-43D EF/G 3/#$14 @
*+H(3) *+ 9::;I ?/( 6#'%-+G 2*11 )-0( 6-"( #5 (H("G)/*+,7
?/( 6#'%-+G 2*11 -""-+,( 5#" 1#-+37 9::; *3 - ,"(-) 6#'%-+G
-+4 *5 G#$ =$G *)3 3/-"(3 G#$ 2*11 ,() - %-")*-1 3)-0( *+ *) -+4
6-+ 5((1 %"#$4 #5 )/( 5-6) )/-) G#$ -"( #+( #5 *)3 *+)(,"-1
%-")37J K913# 3(( @AB L"#6/$"( (M6("%)3 #+ %,7 NO7P
management, anu aie, to all appeaiances, moie
piotective of management's inteiests than those
of woikeis. Auuits aie scheuuleu in auvance
with management, allowing facilities to be
spiuceu up. The visits aie subsequently caiefully
choieogiapheu by management, excluuing the
possibility of any visits to the "laboi lines" oi
unsupeiviseu woikei inteiviews.
As the iepoit suggests, the piolifeiation of new
stanuaius, while offeiing the piomise of multiple
avenues foi achieving social iesponsibility
goals, seems, at least in this case, to seive as a
uiveision. The piivate stanuaius pioviue the
impiession of compliance with laboi stanuaius,
in uefiance of ieality.
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It is beyonu the puiview of this iepoit to pioviue
compiehensive iecommenuations to coiiect
the pioblems on APPL plantations. In oiuei to
auuiess the conceins legitimately, Tata, APPL,
anu the IFC must engage in a piocess that is
tianspaient anu genuinely paiticipatoiy. Nany
of these pioblems aie sectoi-wiue, anu will
iequiie sectoi-wiue solutions.
At the same time, theie aie ceitain violations of
law anu policy at the 24 APPL tea estates that aie
entiiely within the company's powei to iemeuy,
anu coulu be enueu immeuiately. Foi example:
Tbe discriminatory denial of benefits to
"#$%&$&'(% )(*+,*- $%. &/,'* .,",%.,%&-.
Tempoiaiy woikeis, the uepenuents of
female woikeis, anu the paients of all
woikeis aie entitleu to these benefits by law
anu shoulu ieceive them.
0%&,*1,*,%2, )'&/ )(*+,*-3 *'4/&- (1 1*,,
5(6,5,%&7 $%. &/,'* *'4/& &( *,2,'6,
6'-'&(*- '% &/,'* ()% /(5,-. The law
guaiantees public access to the "laboi
lines," anu this iight must be iespecteu. This
applies not only to woikeis' fiienus anu
family seeking to visit them, but also moie
geneially: anyone shoulu be able to entei
the laboi lines, anu entei woikeis' homes if
woikeis invite them to uo so, without having
to notify management. The uiiect oi inuiiect
suiveillance of woikeis must also cease.
8,-&*'2&'(%- (% )(*+,*-3 *'4/& &( 1(*5
$%. 9('% $ :%'(% (1 &/,'* 2/('2,. APPL
is cuiiently complicit in maintaining the
monopoly the ACNS, in the state of Assam.
Nanagement must allow woikeis to be
iepiesenteu by the union of theii choice in
any negotiation oi uispute, anu must enu the
piactice of ueuucting uues fiom all woikeis
at souice to give to ACNS. 0ntil such a time
as theie is a legitimate election, woikeis
shoulu be fiee to pay uues to the union of
theii choice, -5)(" ieceipt of theii wages.
;*(-'(% (1 )$4,- &/*(:4/ :%1$'*
.,.:2&'(%- $%. /'4/ &$-+ *$&,-. Among
the many factois that contiibute to the
impoveiishment of woikeis at APPL,
theie aie two that shoulu be coiiecteu
immeuiately: electiicity costs, anu high
task iates that iequiie woikeis to peifoim
unpaiu oveitime anuoi shaie theii wage
with helpeis. In the immeuiate teim, the
plantations must ensuie that woikeis uo not
have to pay inuustiial iates foi iesiuential
electiicity connections, anu shoulu place
no obstacles in the way of woikeis seeking
to obtain subsiuizeu "Below Poveity
Line" electiicity connections thiough the
goveinment. Foi tasks such as piuning anu
cleaiing uiains, management must ensuie
that the woik can be completeu by a single
woikei within the eight-houi woikuay.
Theie shoulu be no wage ueuuction foi
woikeis unable to complete the task, anu no
uncompensateu oveitime.
<$#, (1 =>>? -/$*,- &( )(*+,*- &/*(:4/
.,2,"&'(% $%. 2(,*2'(%. The plantations
must act immeuiately to enable woikeis
to opt-out of the shaie owneiship scheme,
anu ietuin to the status quo ante. Failing a
meaningful opt out mechanism, APPL must
immeuiately conveit the "shaie sale" plan
to a shaie giant, iefunuing all paycheck
ueuuctions to uate anu ceasing any fuithei
ueuuctions, given that most woikeis aie ill
able to affoiu them.
<,'@:*, (1 )(*+,*-3 $4*'2:#&:*$# #$%.. It
will be uifficult to ieveise the confiscation
of lanu, given that it has, foi the most
pait, alieauy been conveiteu to fisheiies.
Bowevei, compensation shoulu be paiu at
once, equivalent to the faii maiket value of
the lanu, in oiuei to enable those woikeis to
puichase plots elsewheie if they uesiie.
The chionic violations of the Plantations Laboui
Act, ielateu to housing, sanitation, meuical
caie, euucation, occupational health anu safety,
anu othei entitlements foi woikeis anu theii
families, will iequiie a thoiough, objective anu
tianspaient ieview of compliance, anu a cleai
timetable foi implementing solutions.
Nany violations associateu with the shaie
owneiship plan will also iequiie longei-
teim iemeuies. Woikei paiticipation in the
goveinance of APPL, thiough piopoitional
iepiesentation on the Boaiu, must be put in
place, along with a system of communicating
with woikei-shaieholueis, in local languages,
about the peifoimance of the company.
The IFC has an impoitant iole to play in
ueveloping long-teim iemeuies anu ensuiing
theii implementation. While it woulu be haiu to
ueny that the IFC faileu to exeicise uue uiligence
piioi to appioving the pioject, this shoulu not
become an excuse foi it to "cut anu iun" at this
ciitical stage, anu pull out its investment. 0ntil the
oiiginal stateu goals of the pioject aie achieveu,
in compliance with the Peifoimance Stanuaius,
the IFC must maintain its investment level anu
stay fully engageu in iesolving violations.
Finally, the IFC must act immeuiately to
ensuie that woikeis unueistanu that they
have a iight to biing complaints befoie the
Compliance Auvisoi 0mbuusman (CA0), as
well as othei complaints mechanisms anu
giievance pioceuuies. In paiticulai, the IFC must
acknowleuge that theie has been management
suiveillance of, anu ietaliation against, woikeis
who have attempteu to ieach out to auuitois
anu inspectois, incluuing the CA0, anu it must
inteivene piomptly to ensuie woikeis' safety.
>K8S:-8
Amalgamateu Plantations Piivate Ltu (APPL)
is the seconu laigest piouucei of tea in Inuia,
which, in tuin, is the woilu's laigest piouucei
anu consumei of black tea. APPL opeiates 24
plantations with neaily S1,uuu full time woikeis
in Assam anu the Booais, the iegion of West
Bengal that abuts the state of Assam. Little known
outsiue the inuustiy, APPL came into existence in
2uu7 when the well-known Tata uioup ueciueu
to uivest fiom tea-giowing opeiations in oiuei
to focus on packaging, bianuing anu maiketing
tea souiceu in the open maiket. The uivestment
anu iestiuctuiing piocess is ongoing: at this
moment, signs still ueclaie APPL to be "A Tata
Enteipiise," anu it is contiolleu by the paient
company thiough Tata ulobal Beveiages. But the
uivestment is intenueu ultimately to leau to an
inuepenuently iun anu opeiateu company, with
an as-yet unuefineu iole foi Tata.
The cieation of APPL was billeu as moie than
simply a spin-off oi uivestituie. Rathei, the move
was wiuely uesciibeu by Tata as an effoit to
infuse economic vitality anu sustainability into
the inuustiy.
1
The iestiuctuiing was to enable
the new company, APPL, to uiveisify into othei
agiicultuial commouities, exploiing new sites
of ievenue anu challenging the enviionmental
consequences of the monocultuie of tea. The
iestiuctuiing aspiieu to majoi uevelopment
impacts, incluuing the geneiation of new, highei-
quality jobs in the isolateu anu economically
uepiesseu iegions wheie the plantations aie
locateu. Noieovei, it woulu offei woikeis a
meaningful stake in the business thiough an
innovative employee shaie puichasing scheme.
Foi the iestiuctuiing, Tata tuineu to the
Inteinational Finance Coipoiation (IFC), the
piivate lenuing aim of the Woilu Bank. In uoing
so, Tata explicitly enuoiseu the uevelopment
goals anu obligations of the Woilu Bank
anu committeu itself to fulfilling the IFC's
Peifoimance Stanuaius. Tata also committeu
to the incieasingly common path of piivate
ceitification. In auuition to the Ethical Tea
Paitneiship, which it hau alieauy joineu, it
agieeu to ceitification by Social Accountability
Inteinational (SAI), a non-piofit oiganization
that monitois anu ceitifies companies on
the basis of theii compliance with laboi anu
enviionmental stanuaius. In these ways,
APPL exemplifies a global, bianueu business
aspiiing to piomote its social iesponsibility
by subjecting itself to accountability unuei an
aiiay of piivate stanuaius. 0n theii face, these
piivate stanuaius supplement the iequiiements
of national law anu signal the company's highei
level of commitment.
The pioject is also an expeiiment in a kinu of
iestiuctuiing that is familiai in manufactuiing,
but ielatively new in agiicultuie: Tata Tea was
a veitically-integiateu enteipiise, but maue the
uecision to uissociate itself fiom the piouuction
siue of its business. Similai changes occuiieu
ovei the past uecaues in consumei goous anu
appaiel when bianus uivesteu themselves of
factoiies. The new coipoiate entity, Tata ulobal
Beveiages, is focuseu on bianuing anu ietail,
which aie the moie piofitable anu pieuictable
elements of the tea sectoi.
Foi these ieasons alone, the APPL initiative
meiits closei analysis. Theie aie seveial
auuitional factois that call foi sciutiny. Tea
plantations constitute Inuia's laigest piivate,
oiganizeu sectoi, employing moie than one
million woikeis uiiectly anu sustaining the lives
of many millions moie.
2
Bowevei, the futuie of
1 See, e.g., Piiyanka Sangani, "Coipoiate Faiming on Tatas' Plate," Business Stanuaiu, Feb. 27, 2uu7, -H-*1-=1( -) http:www.business-
stanuaiu.comaiticlecompaniescoipoiate-faiming-on-tatas-plate-1u7u228u1u98_1.html ("The objective will be to impiove
piouuctivity anu auu value to the piouuce."); "Tata plan to giow fiuits, veggies & fish in its NE tea estates," Financial Expiess, Api. S,
2uu7, -H-*1-=1( -) http:www.financialexpiess.comnewsstoiy1S8724 ("Tata Tea has tieu up with ulobally Nanageu Seivices of IT
entiepieneui anu enviionmentalist Ranjit Baithakui to ventuie into hoiticultuie, animal husbanuiy anu even piscicultuie.")
Preface 17
the tea plantations is unceitain. Tata's uecision
to withuiaw fiom plantation opeiations came
against a backuiop of a piecipitous uiop in
piouucei piices foi piocesseu leaf, which leu
to the closuie of plantations anu the staivation
ueaths of woikeis anu theii families. The biggest
ownei of plantations in Inuia at that time,
Binuustan 0nilevei, solu all of its plantations.
Though the immeuiate ciisis is past, economic
conuitions iemain piecaiious, with many
plantations seeking ways to ieuuce theii
expenuituies. The conuitions aie exaceibateu
by inuustiial uniest, wheie employeis aie
quick to iesponu by ueclaiing lockouts of
woikeis. With each such closuie, woikeis aie
uepiiveu not only of wages, but also of foou
iations anu meuical caie. In light of piessuies
on lanu use, woikeis' fiustiations with wages
anu conuitions, anu the cyclical volatility of
piouucei piices, the long-teim sustainability of
the plantation mouel is not cleai.
Foi the neaily S1,uuu peimanent woikeis
of APPL anu theii families, anu the tens of
thousanus of tempoiaiy woikeis equally
uepenuent on the APPL plantations, the stakes
aie extiaoiuinaiily high.
This case stuuy is auuiesseu to those who woik
with oi stuuy the tea sectoi, as well as those
engageu with the bioauei issues of agiicultuial
laboi, public investment in piivate inuustiy,
anu what is sometimes iefeiieu to as coipoiate
social iesponsibility. In paiticulai, we have in
minu piivate anu public investois, auvocacy
oiganizations, anu tiaue unions, all of whom
figuie in the stoiy of APPL anu weie inteivieweu
in the couise of the ieseaich. Within that gioup,
we aie especially conceineu about the IFC anu the
oiganizations that monitoi anu ceitify coipoiate
social piactices. The iepoit is also auuiesseu
uiiectly to the Tata uioup, a set of companies
with a piofounu investment in both the economic
anu the social uevelopment of Inuia.
The case stuuy assesses Tata's APPL initiative
against the fiamewoik of Inuian law anu the
auuitional layei of piivate stanuaius espouseu
by the company, paiticulaily the stanuaius of
the IFC anu Social Accountability Inteinational.
As a piivate company with an expansive ihetoiic
anu ieputation of social accountability, anu
one moieovei that has chosen to infuse its
investment with public puipose by paitneiing
with the Woilu Bank, Tata has openeu itself up
to analysis. The paiameteis of this case stuuy
coiiesponu to the stanuaius that Tata has
set itself, thiough these inteinal anu exteinal
commitments. 0n the othei hanu, by singling
out Tata anu the APPL plantations, we uo not
mean to suggest that theii piactices aie woise
than otheis in the inuustiy. In many cases, we
uesciibe wiuespieau inuustiy piactice oi well-
known inuustiy-wiue failings.
We hope this iepoit seives to iefocus attention
on the pioblems of woikeis anu families on tea
plantations, in an effoit to impiove on cuiient
effoits anu enable new ones. We appieciate the
extensive coopeiation of inuiviuuals at the IFC,
as well as at APPL, in the piocess of oui ieseaich.
2 See infia, footnote 4
&8"JLULFLVQ
This iepoit was unueitaken by the Buman
Rights Institute of Columbia Law School, using
uiscietionaiy ieseaich funus anu stuuent
suppoit fiom Columbia's Buman Rights Clinic.
It was uiiecteu by Piofessoi Petei Rosenblum in
paitneiship with Ashwini Sukthankai, a lawyei
baseu in New Yoik City, anu Saimishtha Biswas, a
consultant baseu in Biipaia, Inuia. Five stuuents
paiticipateu in fieluwoik anu engageu actively
in the pioject: Amanua Bainett, Baibaia Bijelic,
Zoe Butchinson, Saiah Nechlovitz Saauoun, anu
Eiica Selig.
The piimaiy authois of this iepoit aie Petei
Rosenblum anu Ashwini Sukthankai. Petei
Rosenblum was, until }uly 2u1S, the Lieff
Cabiasei Clinical Piofessoi of Buman Rights
anu Faculty Co-uiiectoi of the Buman Rights
Institute at Columbia Law School. Be is cuiiently
Piofessoi of Inteinational Law anu Buman
Rights at Baiu College. Ashwini Sukthankai was,
until }une 2u1S, an inuepenuent consultant on
inteinational laboi stanuaius anu tiansnational
laboi iegulation. She cuiiently woiks foi the
Noith Ameiican tiaue union 0NITE BERE in
inteinational affaiis. The fielu ieseaich anu most
of the wiiting weie completeu befoie }uly 2u1S,
anu cuiient affiliations aie foi iuentification
puiposes only.
The ieseaich extenueu ovei thiee yeais, fiom
Nay 2u1u to Nay 2u1S. Fiom Nay 2u1u to
Becembei 2u11, the Institute was involveu in
scoping ieseaich anu pieliminaiy visits to a
selecteu few of the plantations, contacts with
local institutions, anu outieach to the company
thiough the IFC. 0n the basis of the initial
pioblems we iuentifieu, anu the iesponse of
APPL anu the IFC, we ueteimineu to unueitake
laige-scale fielu ieseaich.
Fielu ieseaich began in }anuaiy 2u12 anu
continueu thiough }anuaiy 2u1S. The full team
visiteu plantations in }anuaiy anu Apiil 2u12 anu
in }anuaiy 2u1S. Saimishtha Biswas unueitook
auuitional visits anu inteiim ieseaich, sometimes
accompanieu by Bebasis Chakiaboity. 0vei the
couise of a yeai, the ieseaich team togethei
visiteu 1S plantations. Incluuing the two
auuitional APPL plantations visiteu by inuiviuual
membeis of the team, ieseaicheis visiteu all but
seven APPL plantations at some point in the
ieseaich. Seveial plantations weie visiteu on
multiple occasions.
Reseaich team visits to plantations weie
unueitaken as follows:
Achabam - }anuaiy 1u, 2u12
Batabaii - Nay 19, 2u1u; Apiil 14, 2u12
Boihat - }anuaiy 7, 2u12
Boijan - Apiil 18, 2u12
Bathikuli - }anuaiy 1S, 2u12; Apiil 19,
2u12; }anuaiy 24, 2u1S
Chubwa - }anuaiy 11, 2u12
Bam Bim - }uly 17, 2u1u; Apiil 1S, 2u12;
}anuaiy 18, 2u1S
Kakajan - }anuaiy 12, 2u12; }anuaiy 2S, 2u1S
Nahoikutia - }anuaiy 9, 2u12
Namioop - }anuaiy 8, 2u12; Apiil 17, 2u12
Noweia Nuuuy - }uly 17, 2u1u; Apiil 14,
2u12; }anuaiy 17, 2u1S
Rungamuttee - Nay 19, 2u1u; Apiil 1S, 2u12;
}anuaiy 18, 2u1S
Battigoi - }anuaiy 21, 2u1S
Najuli - }anuaiy 21, 2u1S
Nahoiani - }anuaiy 22, 2u1S
At the plantations, the team inteivieweu
hunuieus of woikeis in uiffeient settings,
incluuing small gioup, laige gioup anu inuiviuual
meetings. All inteiviews weie conuucteu in local
languages in the company of team membeis
who hau at least conveisational unueistanuing
of the language.
S See infia, "Restiicteu Access" in Pait II.
Methodology 19
Woikei inteiviews weie conuucteu piimaiily in
the living aiea of the plantations, known as the
"laboi lines." In oiuei to ensuie the maximum
inuepenuence foi woikei inteiviews, we uiu
not infoim management befoie enteiing the
laboi lines. 0nuei the teims of the Plantations
Laboui Act in Assam anu West Bengal, the laboi
lines aie open to the public, though, in piactice,
visitois aie monitoieu oi iepoiteu on, anu fiee
movement is iegulateu.
S
As a iesult, woikeis
continueu to expeiience some constiaint in
what they coulu say anu, in many cases, weie
conceineu about ietaliation. Nany woikeis
willingly offeieu us theii names anu peisonal
infoimation that woulu iuentify them, but
given geneial feais anu specific instances of
management ietaliation against woikeis, we
have excluueu all names of inuiviuual woikeis
anu all iuentifying uetails in this iepoit.
0n each plantation, we sought to make ouiselves
available to anyone who wisheu to speak with
us. Woikeis anu theii families weie welcoming
anu inteiesteu in shaiing theii expeiiences.
We systematically met with iepiesentatives of
majoi tiaue unions in the Booais, as well as the
sole iecognizeu union in Assam, the ACNS. In
Assam, we also met with iepiesentatives anu
woikeis iuentifieu with othei unions. Nany
woikeis offeieu us pay slips, pass books anu
uocuments ielateu to the APPL shaie plan in
an effoit to help us unueistanu the conuitions
of theii lives. We analyzeu pay slips fiom moie
than 6u woikeis on 11 uiffeient plantations.
We have inteivieweu anu coiiesponueu with
cuiient anu foimei management of APPL on
multiple occasions. We met with then-Nanaging
Biiectoi of APPL, Baiueep Singh, in New Yoik
on 0ctobei 9, 2u1u anu again in New Belhi on
}anuaiy 14, 2u1S. 0n }anuaiy 4, 2u12, we met
with the IFC anu the cuiient CE0, Beepak Atal,
in New Belhi. APPL also aiiangeu foi us to meet
the geneial manageis of thiee of its estates,
Namioop, Bathikuli anu Boijan, in Apiil 2u12.
While visiting the laboi lines, we also met with
management at Kakajan anu Achabam, at theii
initiative. In Washington B.C., the ieseaicheis
spoke with IFC staff anu staff of the Compliance
Auvisoi0mbuusman (CA0), the IFC's inteinal
bouy foi hanuling complaints fiom communities
affecteu by IFC piojects. We aie giateful foi theii
coopeiation in this iepoit.
The ieseaicheis have inteivieweu anu consulteu
wiuely with oiganizations anu inuiviuuals, both
local anu inteinational, incluuing tiaue unions,
stuuent oiganizations, women's gioups, political
paities, anu acauemics. Nany aie not nameu
in this iepoit, at theii iequest. 0ui effoits to
ieach employeis' oiganizations, paiticulaily
the Assam anu Booais bianches of the Inuian
Tea Association, weie unsuccessful. Some
goveinment officials agieeu to be inteivieweu,
off the iecoiu, while the majoiity uiu not
iesponu to iequests foi a meeting. uoveinment
staff at the National Ruial Bealth Nission anu
the Inuian Council foi Neuical Reseaich weie
geneious with theii time anu expeitise.
We aie especially awaie of the uebt oweu to
the woikeis at APPL, hunuieus of whom weie
willing to paiticipate in open-enueu inteiviews
about theii lives without any expectation of
compensation oi ieuiess.
Note: The iepoit fiequently iefeiences oi
quotes monetaiy amounts in Inuian iupees (!),
anu sometimes conveits them into 0.S. uollais
($). The Inuian iupee fluctuateu substantially
against the 0.S. uollai uuiing the peiiou of the
ieseaich anu so, foi the sake of consistency, we
have useu an appioximate meuian exchange
iate of !SS to $1 thioughout.
>:K" <
J<H"LK<-:F :MU F8V:F
-LM"8N"X :>>F :MU
"J8 4KL:U8K H"LKQ LS
<MU<:M "8: >F:M":"<LMH
?-)- -+4 )/( @AB *+3*3)(4 )/-) )/( "(3)"$6)$"*+, #5 )/(
)(- %1-+)-)*#+3 2#$14 G*(14 +(2 (6#+#'*6 #%%#")$+*)*(3
5#" 2#"0("3< -+4 1(-4 )# ,"(-)(" 4(H(1#%'(+) -6"#33
)/( "(,*#+7 .#2(H("< 6#+4*)*#+3 5#" 2#"0("3 "('-*+
(M)"('(1G /-"3/7 KQ$+,-'$))(( (3)-)(P
J<H"LK<-:F :MU F8V:F
-LM"8N"X :>>F :MU "J8
4KL:U8K H"LKQ LS <MU<:M
"8: >F:M":"<LMH
"J8 -K<H<H <M "8: F8:S :MU "J8 -LK>LK:"8
K8H"KO-"OK<MV LS ":": "8:
The tea sectoi is the laigest foimal, piivate sectoi
employei in Inuia, anu the laigest employei aftei
the Inuian iailways. It pioviues moie than one
million peimanent, full-time jobs anu, peihaps,
twice as many tempoiaiy positions, paiticulaily
in high season when extia laboi is iequiieu foi
plucking leaf.
4
This has significant implications
in a countiy that has confionteu the stubboin
uominance of infoimality anu unueiemployment
foi uecaues. In West Bengal anu Assam, wheie
APPL's plantations aie locateu, the tea economy
is even moie significant because of the isolation
of these iegions anu the ueaith of alteinative
employment. Theie, tea is a cential featuie of
the economy anu ecology.
As a iesult of the size anu centiality of the sectoi,
any uisiuptions have immeuiate anu piofounu
consequences. In the late 199us, tea leaf piices
uioppeu piecipitously, leauing many owneis to
cut wages, uiminish investment anu, in moie
than a hunuieu cases ovei the following yeais,
abanuon theii plantations.
S
The iesult was
uestitution foi tens of thousanus of woikeis
anu staivation ueath foi many hunuieus.
6
Foi
a biief peiiou, the ciisis focuseu attention on
the fiagile existence of tea plantation woikeis,
whose isolation anu uepenuency hau iemaineu
laigely unchangeu since the plantations weie
establisheu beginning in the late 18uus.
The ciisis in tea leaf, as it is known, nevei
ieacheu the ietail level. In fact, the piice paiu
by consumeis foi "maue tea" - packageu
blenus anu bags - not only helu steauy, but iose
consistently thioughout this peiiou, both in
Inuia anu abioau.
7
At that time, the two laigest
companies in the ietail tiaue, Tata Tea anu
Binuustan Levei (now Binuustan 0nilevei),
weie veitically integiateu opeiations with vast
plantation holuings thioughout the countiy,
but especially in the states of West Bengal anu
Assam. Togethei, they iepiesenteu moie than
6u% of consumei tea sales.
8

While they iemaineu piofitable thioughout,
both Tata anu Binuustan 0nilevei maue
the uecision in the miu-2uuus to leave the
plantation sectoi in Inuia anu focus on bianueu
ietail. By uivesting themselves of the long-teim
iisk anu iesponsibility of managing piouuction,
they followeu a pattein establisheu uecaues
befoie in othei bianueu consumei goous,
most notably appaiel anu footweai. Binuustan
4 As of S1 Becembei 2uu4, the total numbei of tea woikeis was estimateu at 1,2S7,61u anu the numbei of uepenuents of iesiuent
woikeis was estimateu at 1,229,7Su. Bepenuents of tempoiaiy woikeis aie not incluueu in this calculation. Tea Boaiu of Inuia, Tea
Statistics 2uuS-u4. Action Aiu, an Nu0 that has conuucteu ieseaich on the tea sectoi, estimates that 1u million people in Inuia uepenu
on the tea inuustiy. Action Aiu, ?(- L"(-0D 9 B"*3*3 L"(2*+, *+ @+4*- S (2uuS).
S "At least 19 plantations in Keiala, ovei Su plantations in West Bengal, about 7u plantations in Assam anu thiee oi moie plantations in
Tamil Nauu have closeu uown since the late 199us." Action Aiu, 3$%"- note 4, at 4.
6 Accoiuing to Action Aiu, 0neWoilu Asia iepoiteu that theie weie 8uu staivation ueaths in West Bengal alone. @4.
7 @4.
8 @4. at 8.
Historical and Legal Context: APPL and the Broader Story of ndian Tea Plantations 23
0nilevei, a subsiuiaiy of 0nilevei, solu all of
its plantations, piimaiily to NcLeou Russel,
making the lattei the laigest piouucei of tea
leaf in Inuia, but with no ietail opeiation.
9

Accoiuing to inuustiy insiueis who askeu
not to be iuentifieu, Tata vieweu Binuustan
0nilevei's suuuen anu uisoiueieu uepaituie
fiom its plantations as an embaiiassment.
While Tata also ueciueu to leave the plantation
sectoi, its ieputational stake in Inuia woulu
not peimit it to "cut anu iun" as it peiceiveu
Binuustan 0nilevei to have uone. Thus, Tata
began to exploie othei options, in paiticulai,
a "voluntaiy ietiiement scheme" that woulu
giant eaily ietiiement to some plantation
woikeis, anu then a tiansfei of owneiship to
the iemainuei of woikeis, thiough a sale of
shaies. This piocess was to be accompanieu by
a peiiou of "hanu holuing" uuiing which Tata
woulu have piefeiential buying aiiangements
with its foimei plantations.
Tata owneu two sets of plantations, one in the
southein state of Keiala anu the othei in the
noitheast iegions, in the states of Assam anu
West Bengal. In 2uuS, Tata put its plan into
place in Keiala, tiansfeiiing its southein Inuian
estates to the Kanan Bevan Bills Plantation
Company. Accoiuing to newspapei iepoits,
moie than a quaitei of woikeis at the South
Inuian plantations weie ietiieu. Employees took
ovei most of the company, while Tata ietaineu
the Kanan Bevan bianu anu 19% of shaies
(latei incieaseu to 28.S2%).
1u
But foi the noith
Inuian estates, which weie moie expansive
9 R(( Saji N. Kauavil, S0N0, @+4*-+ ?(- Q(3(-"6/ 99-1uu (2uu7).
?/*3 '-% 5"#' 9::;S3 6#"%#"-)( 2(=3*)( 3/#23 )/( 1#6-)*#+3 #5 )/( (3)-)(3 *+ F(3) L(+,-1 -+4 933-'7 K9H-*1-=1( -)D http:
www.amalgamateuplantations.co.inappl_map.aspP
anu piofitable, Tata iequiieu outsiue investois
in oiuei foi the iestiuctuiing to be viable.
Those estates woulu become Amalgamateu
Plantations Piivate Ltu (APPL).
11
In 2uuS, befoie APPL was cieateu, Tata hau
alieauy begun to seek othei investois foi the
noith Inuian plantations, anu to vet the iuea of
an employee shaie owneiship plan. In 2uu6, it
ieacheu an agieement with the Inteinational
Finance Coipoiation of the Woilu Bank (IFC)
to invest in what the IFC teimeu a "sustainable
employee-owneu plantation."
12
The plan that
was eventually launcheu in 2uu7 involveu
a stageu tiansition to tuin the Noith Inuian
Plantations 0peiations of Tata Tea Limiteu (now
Tata ulobal Beveiages Limiteu, oi TuBL) into
APPL. Tata committeu APPL to selling shaies
to woikeis, uiveisifying the plantations anu
expanuing secuie employment oppoitunities.
It incoipoiateu APPL in }anuaiy 2uu7 anu
tiansfeiieu contiol of the plantations to the
new entity in Apiil 2uu8.
1S
0nuei the plan, aftei
a peiiou of tiansition, APPL woulu become a
publicly tiaueu coipoiation with substantial
employee shaie owneiship.
14
Buiing the
tiansition phase, Tata woulu stait as the main
puichasei of tea leaf fiom APPL, but woulu wean
the company slowly onto the open maiket.
In Apiil 2uu9, the IFC's foimal engagement was
launcheu with an almost $8 million investment
foi a 19% equity stake. By that time, othei
pioposeu investois hau uioppeu out, making
the IFC the only outsiue investoi in the pioject.
0nuei the teims of the investment, the IFC has
the iight to withuiaw if, by seven yeais aftei the
uate of investment, APPL has not gone thiough
an initial public offeiing.
LK<V<MH LS "J8 >F:M":"<LM HQH"8&X 1LKY6
1:V8H6 :MU HL-<:F 48M8S<"H
The cuiient stiuggles of APPL tea woikeis anu
theii communities aie ueeply anchoieu in the
histoiy of plantations in Inuia anu the stiuggles
to iegulate them.
1S
This histoiy is chaiacteiizeu
by poweiful plantations contiolling the lives of
thousanus of woikeis, alongsiue the weak anu
pooily enfoiceu laws intenueu to piotect them.
The uevelopment of tea in Inuia was a
goveinment pioject implementeu by piivate
investois. With the backing of the state, Biitish
planteis weie given vast contiol ovei people
anu lanu in oiuei, fiist, to bieak the Chinese
monopoly on tea anu then to expanu it into a
woilu-wiue inuustiy. When the pioject began in
Assam in the miu-19
th
centuiy, Biitish planteis
weie immeuiately confionteu with a massive
"shoitage" of willing anu available local laboi.
The neeu to cieate a stable woik foice available
foi the seasonal uemanus of the plantation was
anu iemains a cential issue.
16

In oiuei to auuiess the "laboi shoitage,"
planteis ieciuiteu migiants fiom inuigenous
1u R(( "Tata to holu 19% stake in Kannan Bevan Bills," Business Stanuaiu, Naich 19, 2uuS,
-H-*1-=1( -) http:www.business-stanuaiu.comaiticlecompaniestatas-to-holu-19-stake-in-kannan-uevan-hills-1uSuS19u1u7S_1.
html. With iegaiu to the incieaseu shaieholuing, see "Tata ulobal Beveiages incieases stake in plantations company," Business
Stanuaiu, }uly 6, 2u1S, available at http:www.business-stanuaiu.comaiticlecompaniestata-global-beveiages-incieases-stake-in-
plantations-company-11Su7u1uu722_1.html.
11 The Kanan Bevan Bills Plantations Company, locateu in the Iuukki uistiict of Keiala, was foimeu on Apiil 1, 2uuS. It consists of 7
gaiuens anu 12,uuu peimanent employees, compaieu with APPL's 24 gaiuens anu Su,uuu peimanent employees. R(( Kanan Bevan
Bills Plantations Company Piivate Limiteu, "Coipoiate Piofile," -H-*1-=1( -) www.kuhptea.com.
12 R(( *+5"- note S68.
1S R(( *+5"-, Pait Iv: Role of the IFC anu Social Ceitifications. Accoiuing to APPL, the company was incoipoiateu on }anuaiy 29, 2uu7
"anu took ovei 24 Tea estates fiom eistwhile Tata Tea Limiteu (piesently Tata ulobal Beveiages Limiteu i.e., TuBL) on Su Apiil 2uu8."
APPL, Sth Annual Repoit (2u11-2u12) at S.
14 R(( *+5"-, Pait III: The Economic Impact of Restiuctuiing - "Employee 0wneiship" anu Biveisification. The exact piopoition of
employee owneu shaies is not ceitain but appeais to be between 2u% anu S4%.
communities hunuieus of miles away, initially
fiom the iegion of Chotanagpui, in what coveis
paits of the mouein-uay states of }haikhanu,
0uisha, West Bengal anu Bihai. The migiants,
ieciuiteu with theii families, liveu on plantations
in housing pioviueu by the employei, isolateu
not only by language anu cultuie, but also by
laws anu employei piactices that pieventeu
them fiom leaving the piopeity.
17

The coeicive elements of maintaining the laboi
supply iemaineu in effect foi many yeais. As
uesciibeu by the 1929 Royal Commission on
Laboui, which investigateu employei excesses
anu abuses on the plantations, the fiamewoik
foi this captivity incluueu contiacts of inuentuie,
with ciiminal penalties foi bieach, enfoiceu
thiough the Woikmen's Bieach of Contiact Act.
18

The Act was iepealeu in 1926, but as the Royal
Commission noteu, even aftei the enu of penal
contiacts, employeis alloweu woikeis to believe
that bieach of contiact woulu iesult in aiiest
anu impiisonment.
19
In the opinion of the Royal
Commission, employeis' contiol ovei woikeis was
compounueu by the isolation of the plantations,
anu the fact that outsiueis hau no iight of access
to the "lines" wheie woikeis weie houseu.
2u

The system of compensation foi woikeis
was also calibiateu to enable subsistence foi
the woikeis without cieating oppoitunities
to leave. It involveu a mix of cash anu "social
benefits," incluuing housing, health caie, lanu
foi cultivation, fiiewoou, anu subsiuizeu foou.
As the Royal Commission noteu, the system was
explicitly intenueu to pioviue foi the woikeis
while limiting theii ability to geneiate savings
oi uevelop an inuepenuent souice of income.
21

The cash wages uiu not vaiy among the plantations.
Fiom eaily on, the planteis' association enfoiceu
sectoi- anu iegion-wiue wage agieements, in
oiuei "to secuie, as fai as piacticable, unifoimity
in the mattei of wages anu to pievent one
employei fiom paying substantially highei
wages than his neighboi."
22
Noieovei, fiom the
beginning, planteis iesisteu the involvement of
the state in statutoiy wage setting.
2S

Though iepoits of abuses of woikeis exciteu
public outiage, the colonial state iesisteu calls to
iegulate the plantations, insteau uiging planteis
to uevelop anu implement bettei foims of self-
iegulation. This tenueu to take a pateinalistic
foim, with the planteis agieeing among
themselves on basic noims anu piovisions foi
the woikeis anu theii families, incluuing those
ielateu to foou, housing, anu meuical tieatment.
Plantei iesistance anu political expeuiency
continueu to limit the ieach of iefoim effoits,
even aftei Inuian inuepenuence anu the shift to
Inuian owneiship of the plantations.
8PLFO"<LM LS -LMU<"<LMH LM >F:M":"<LMH
PRESERVATION OF SOCIAL HIERARCHIES
The enuuiing impact of the colonial system is
visible in all aspects of plantation life anu woik.
The woikeis, who weie initially migiants, lost
contact with theii communities of oiigin while
iemaining isolateu within theii new locations.
Though active ieciuitment of new woikeis
1S Foi a uetaileu histoiy, see, e.g., Amalenuu uuha, :1-+)("CQ-T )# R2-"-TD A"((4#' R)"$,,1( -+4 U1(6)#"-1 :#1*)*63 *+ 933-' ONVWCOXYZ
(1977) anu Rana Behal, "Powei Stiuctuie, Biscipline anu Laboui in Assam Tea Plantations uuiing Colonial Rule," in B##1*(3< B-%*)-1 -+4
B#1#+*-1*3'D R)$4*(3 *+ @+4*-+ ;-=#$" .*3)#"G (Rana Behal & Naicel van uei Linuen eus., 2uu6).
16 R(( *+5"-, Section II.B.S: Casualization anu Woikei "Shoitage."
17 "Chaptei XIX: The Plantations - Nigiations," Royal Commission on Laboui in Inuia (19S1).
18 "Chaptei XX: Reciuitment in Assam - Piinciple of Inuentuie," Royal Commission on Laboui in Inuia (19S1).
19 "Chaptei XX: Reciuitment in Assam - Contiacts anu the Woikei," Royal Commission on Laboui in Inuia (19S1).
2u "Chaptei XX: Reciuitment in Assam - Restiaints on Woikeis' Novements," Royal Commission on Laboui in Inuia (19S1).
21 "Chaptei XXI: Wages on Plantations - System of Wage Payment in Assam," Royal Commission on Laboui in Inuia (19S1).
22 "Chaptei XXI: Wages on Plantations - 0thei Factois," Royal Commission on Laboui in Inuia (19S1).
2S "Chaptei XXI: Wages on Plantations - 0bjections to Statutoiy Wage Regulation," Royal Commission on Laboui in Inuia (19S1).
stoppeu in the 19Sus, woikeis continueu to live
much as they uiu on aiiival, entiiely uepenuent
on the plantation foi theii basic neeus, anu
limiteu in theii mobility by the absence of othei
employment oppoitunities. Even goveinment
seivices available to otheis in Inuia aie ueliveieu
by the plantation, when they aie available at all.
The main featuies of the colonial compensation
scheme - incluuing a low sectoi-wiue wage
supplementeu by "social benefits" - have been
maintaineu thiough the continuing failuie to
implement a statutoiy minimum wage anu the
piogiessive, though pateinalistic opeiation of
the Plantations Laboui Act.
0ne of the stiiking featuies of plantations is the
stiict hieiaichy that tiacks ethnic, linguistic anu
caste uiffeiences that uate fiom colonial times. In
Assam, foi example, wheie the majoiity of APPL
estates aie locateu, woikeis aie almost invaiiably
Auivasi (inuigenous) oi Balit (tiauitionally
uesignateu "untouchable" caste), anu the
uescenuants of migiants, speaking Sauii.
24

Sub-staff anu staff aie Ahom
(uppei caste) locals, speaking
Assamese, anu manageis come
fiom outsiue the iegion, often
fiom the states of West Bengal
oi Punjab.
The quality of housing, health
caie anu othei plantation
facilities tiacks the same
iigiu hieiaichies. As a iesult,
manageis anu staff uo not
inteiact with each othei, oi
with Sauii speaking woikeis,
in social spaces, in schools
oi when getting meuical
tieatment. This is appaient
not only fiom woikei
inteiviews, but fiom the most
casual suivey of the health
caie facilities, the location anu
quality of the iespective living
quaiteis, anu the conuition
of euucational facilities, all of which aie set
up to maintain hieiaichical uistinctions anu
minimize infoimal contact.
The sepaiation anu hieiaichy aie insciibeu in the
language of the plantation anu all inteiactions
between woikeis anu management. Even
when speaking to the ieseaich team, some
APPL manageis iefeiieu to the woikeis as if
they weie infeiioi humans, oi even animals. At
Achabam, aftei inteivening in an unannounceu
visit, the management waineu the team not
to tiust what woikeis saiu because they weie
"just like cattle," unintelligent anu pione to
mob mentality.
2S
At Namioop, the plantation's
uoctoi saiu we hau to unueistanu that the
woikeis hau "lowei IQs."
26
At Bathikuli, the
ueneial Nanagei anu his wife mattei-of-factly
commenteu that theii own chiluien weie
"completely alone," as if the thousanus of othei
families aiounu them uiu not exist.
27

24 Sauii is a lingua fianca of the Auivasi community that enables mutual unueistanuing with Binui speakeis.
2S Inteiview with ueneial Nanagei, Achabam Tea Estate, Assam, }anuaiy 1u, 2u12.
26 Inteiview with clinic uoctoi, Namioop Tea Estate, Assam, Apiil 17, 2u12
B#1#+*-1 ("- %1-+)("3 -+4 )/(*" 5-'*1*(3 1*( =$"*(4 *+ )/( #14 6('()("G -)
Q$+,-'$))((7 L1-602-)(" 5(H(" -+4 #)/(" '#3>$*)# =#"+( 4*3(-3(3 )/-) 0*11(4
)/(3( %1-+)("3 -"( -'#+, )/( E4*3(-3(3 #5 %#H(")GJ )/-) 6#+)*+$( )# 61-*' )/( 1*H(3
#5 %1-+)-)*#+ 2#"0("3 )#4-G7
COMPENSATION AND WAGES
The colonial system of low cash wages
supplementeu by "social benefits" has also been
sustaineu. In West Bengal anu Assam, theie is
no statutoiy minimum wage foi tea plantation
woik. (This is not tiue foi othei sectois of the
economy oi foi othei tea-giowing iegions, such
as Keiala anu Tamil Nauu, which aie iionically
less piofitable.) Insteau, wages aie fixeu in
"tiipaitite" negotiations involving employeis'
associations, tiaue unions anu the state. To the
extent that state iepiesentatives paiticipate,
they apply a special calculus that assesses
the neeus of plantation woikeis at Su% of
othei woikeis in the economy. (Accoiuing to
the accepteu Inuian foimula, the "neeu-baseu
minimum wage" shoulu be sufficient to suppoit
at least two auults anu two chiluien. Bowevei,
planteis have successfully aigueu that it shoulu
be halveu foi the tea sectoi, on the logic that men
anu women both woik on the plantations, anu
theiefoie all householus have two eaineis.)
As in colonial times, theie is still no wage
competition among plantations, oi even within
a single plantation. The "negotiateu" wage uoes
not seive as a flooi oi a minimum wage, but is
the #+1G wage paiu to woikeis. This inhibits the
appiopiiate functioning of a laboi maiket foi
the sectoi, eliminating a majoi incentive foi both
woikeis anu employeis. Rooteu in the uesiie to
pievent laboi mobility, the system is antithetical
to the iuea that woikeis shoulu be able to
"vote with theii feet" anu iewaiu bettei-iun
plantations which aie able to pay a highei wage.
THE PLANTATIONS LABOUR ACT OF 1951
The Plantations Laboui Act (PLA), auopteu
soon aftei inuepenuence, cieateu a foimal
legal stiuctuie foi the system that existeu on
the plantations.
28
The law sought to haimonize
the "social benefits" put in place thiough
employei piactice anu custom, as well as to
coiiect glaiing pioblems. Thus, it set foith
minimum stanuaius foi employei-pioviueu
clinics, cieches, schools, anu housing. It also
maue small inioaus into the histoiic contiol
that planteis exeiciseu ovei the piivate lives of
woikeis, foi example, by piohibiting employeis
fiom inteifeiing with public access to living
aieas, known as the "laboi lines." Foimally, at
least, this was a majoi change foi planteis, who
heavily iestiicteu woikeis' mobility within the
plantation, as well as all entiy anu exit.
29
But the PLA also cieateu uilemmas anu
uifficulties, paiticulaily when combineu
with the peculiai woikings of tiipaitite wage
negotiations. Employeis' associations tieat the
costs of compliance with the PLA as costs to be
factoieu into the wage calculation, to offset the
cash wage. Neanwhile, calculations of social
costs aie highly contentious, as uetaileu below.
Finally, as some auvocates anu scholais note, the
benefits ultimately ieinfoice the uepenuency of
the woikeis: even if the law weie fully enfoiceu,
the woikeis woulu still nevei be in a position to
own theii own houses oi lanu, oi accumulate
savings with which to leave the plantation.
Su
The "social cost" calculations aie contentious
foi seveial ieasons. Nost significantly, theie is
no seiious veiification. The amounts claimeu
by planteis aie seveial times highei than
those estimateu by the goveinment oi woikei
auvocates.
S1
In auuition, theie aie many costs that
may be ieal, but that "benefit" the state iathei
than the woikeis. 0n the plantation, woikeis
have a uifficult - oi impossible - time accessing
27 Inteiview with ueneial Nanagei anu wife, Bathikuli Tea Estate, Assam, Apiil 19, 2u12.
28 Plantations Laboui Act, No. 69 of 19S1, amenueu by Acts Nos. 42 of 19SS, S4 of 196u, SS of 1961, S8 of 1981, 61 of 1986 anu 17 of
2u1u).
29 The public iight of access to the laboi lines is pioviueu foi in Section 16F of the PLA, anu secuieu by State Rules piohibiting any
inteifeience. Foi fuithei uetail, see *+5"-, Restiicteu Access in Pait II.
Su Inteiview with Piofessoi viiginius Xaxa, Beputy Biiectoi of the Tata Institute of Social Sciences, }anuaiy 19, 2u1S.
significant state piogiams that pioviue benefits
incluuing fiee hospitals, watei puiification
anu sewage tieatment, public euucation, anu
housing subsiuies foi pooi anu maiginalizeu
communities.
S2
To this extent, even wheie
the expenses aie ieal, companies aie meiely
ieplacing expenuituie that is the iesponsibility
of the goveinment, iathei than going beyonu.
But the companies, incluuing APPL, aie also
benefiting fiom a substantial numbei of
subsiuies anu piogiams that uisplace costs
foi seivices they aie obligateu to pioviue.
This is obvious in some cases such as latiines:
accoiuing to woikeis, the only new latiine
constiuction on APPL plantations has been
funueu by 0NICEF. The extent of some othei
subsiuies anu suppoit is haiuei to quantify. Foi
example, the National Ruial Bealth Nission, a
goveinment agency, funueu the constiuction of
a pait of the clinic at the Nahoiani estate anu
pays foi a phaimacist to woik theie,
SS
but it is
uncleai whethei this aiiangement extenus to
othei APPL estates as well. At anothei estate,
casual woikeis complaineu that they weie
being chaigeu foi meuicine they ieceiveu in the
gaiuen clinic, even though the National Ruial
Bealth Nission hau supplieu that meuicine
to the clinic without cost in the fiist place.
S4

0NICEF is also involveu in othei health caie
piogiams - auuiessing malaiia, tubeiculosis
anu anemia - that woulu otheiwise be the
iesponsibility of the employei unuei the PLA.
SS

COMPLIANCE WITH THE PLA
APPL ielies on the existence of the PLA anu
the goveinment's enfoicement machineiy
as eviuence of its compliance with laboi anu
social obligations. "Theie is law, anu this is a
uemociacy," saiu Beepak Atal, the managing
uiiectoi of APPL, in an inteiview.
S6
In uismissing
iepoits of pioblems on the plantations, Atal
saiu to the piess, "The woiking conuitions aie
goveineu by the Plantations Laboui Act anu
othei acts which aie closely monitoieu by the
state goveinment machineiy."
S7
In fact, the
implementation of the PLA has been hobbleu
by inauequate, unueistaffeu anu weak state
enfoicement, on the one hanu, anu politically
compiomiseu company unions, on the othei.
Nany stuuies ovei a peiiou of uecaues have
uemonstiateu the tea inuustiy's lack of
compliance with basic elements of the PLA,
incluuing housing, watei, sanitation, euucation
anu health caie. As viiginius Xaxa, a leauing
scholai of laboi on tea plantations, wiote about
the PLA in 1996: "Yet till touay it has not been
fully enfoiceu. Even the basic iequiiement like
housing iemains neglecteu."
S8
Shaiit Bhowmick,
who has also conuucteu extensive ieseaich on
tea plantations, wiote at the same time, "|Tjhe
main pioblem befoie the woikeis is of ensuiing
that these Acts aie enfoiceu piopeily."
S9
Xaxa
anu Bhowmik uocumenteu massive gaps in
enfoicement of the PLA in Assam anu West Bengal.
S1 Nost iecently, the employeis' association in the state of West Bengal claimeu that theii expenuituie on social costs was even moie than
they paiu to woikeis in cash wages. The goveinment of West Bengal, howevei, calculateu the non-wage component of compensation
at less than 2u% of the cash wage. 0thei analysts have also challengeu the owneis' calculations. (Inteiview with }.}ohn anu Pallavi
Nansingh, Centie foi Euucation anu Communication, Febiuaiy 1, 2u11)
S2 R(( *+5"-, Box: "0nuei plantation iule, woise off than othei citizens of Inuia."
SS Nahoiani Tea Estate, Assam, }anuaiy 22, 2u1S.
S4 Battigoi Tea Estate, Assam, }anuaiy 21, 2u1S.
SS Scholais, auvocates anu woikeis noteu seveial othei ways in which plantations aie benefiting fiom state subsiuies, incluuing, foi
example the National Ruial Employment uuaiantee Act (NREuA). The use of uiiect goveinment funuing to subsiuize employeis'
payioll thiough NREuA has been negotiateu foi some foimeily closeu plantations. 0n those plantations, the goveinment pays woikeis
uiiectly foi 1uu uays of woik pei yeai. But APPL woikeis iepoiteu that NREuA laboi was also being useu on seveial APPL plantations
foi infiastiuctuie. Noie uifficult to ueteimine is the extent to which the company is using supplies of fiee foou intenueu foi the pooi
unuei the goveinment's Public Bistiibution System to meet its obligation to pioviue iations, as claimeu by a numbei of auvocates.
S6 Inteiview with Beepal Atal, }anuaiy 4, 2u12
S7 Piemal Balan, "Laboui Tiouble Biewing at Tata Tea Plantations," Business Stanuaiu, Nay 18, 2uuS, available at http:www.business-
stanuaiu.comaiticlecompanieslaboui-tiouble-biewing-at-tata-tea-plantations-11SuS2uuu244_1.html
S8 viiginius Xaxa, "Conuitions of Tea Estate Labouieis in Assam," in ?(- :1-+)-)*#+ ;-=#$" *+ @+4*- 19 (Shaiit Bhowmick eu., 1996).
In a iecent inteiview, Piofessoi Xaxa affiimeu
that the situation hau not impioveu. Accoiuing to
him, theie has not been a seiious effoit, by eithei
employeis oi the state, to impiove compliance
with the PLA since the 196us.
4u
Even the goveinment's veiy limiteu public
statistics on PLA compliance hint at the scale of
the violations. Foi 2uu8, the iepoit inuicates that
plantations in West Bengal hau pioviueu only
6u.9S% of the woikei housing necessaiy, anu
that Assam hau pioviueu only 8u.7u%. The 2uu9
iepoit also states that plantations in Assam lack
neaily one thiiu of the latiines iequiieu.
41

But one of the most significant statistics conceins
enfoicement. Even the baie numbeis show an
absence of seiious enfoicement by the state laboi
commissioneis: In 2uu9, laboi commissioneis'
offices claimeu to have conuucteu 11SS
inspections at the 829 iegisteieu plantations in
Inuia. But the same iepoit puts the quality anu
impact of the inspections in uoubt. Foi 2uu8 anu
2uu9, in Assam, theie weie no convictions foi
violations anu no fines levieu. In West Bengal,
theie weie iepoiteuly some convictions - 1u6
foi two yeais - but no meaningful sanctions.
Even if the inspectois hau uone no moie than
confiim the gaps in compliance with housing anu
sanitation iepoiteu by the companies themselves
in the same uocument, it woulu have iequiieu
seiious iemeuial investment anu payment of
fines. But, accoiuing to the goveinment's own
statistics, ovei two yeais, in the two laigest tea-
giowing states of Inuia, with moie than 6uu,uuu
uaily peimanent woikeis, goveinment fines foi
violations of the PLA amounteu to !S4,uuu, oi
less than 0S$1,uuu.
42

Finally, with iespect to the failuie of plantations
to implement the PLA, some of the most ciitical
eviuence - albeit ciicumstantial - comes fiom
health suiveys of conuitions on plantations.
Piesumably, aftei 6u yeais of guaianteeu health
caie, housing, sanitation anu foou suppoit in a
stable population, health inuicatois shoulu be
positive. But the opposite is tiue: the conuitions
ieflect an impoveiisheu community living on
the maigins. In a 2uu6 suivey conuucteu on
tea plantations in the Bibiugaih uistiict - a
majoi centei of tea, wheie five APPL gaiuens
aie locateu
4S
- malnutiition was wiuespieau:
S9 Shaiit K. Bhomik, "Intiouuction," in ?(- :1-+)-)*#+ ;-=#$" *+ @+4*- S (Shaiit Bhowmick eu., 1996).
4u Inteiview with viiginius Xaxa, }anuaiy 19, 2u1S.
41 Laboui Buieau, "Repoit on the woiking of the Plantations Laboui Act, 19S1, uuiing the yeai 2uu8" anu "Repoit on the woiking of the
Plantations Laboui Act, 19S1, uuiing the yeai 2uu9." These iepoits aie baseu on self-iepoiting by plantations, which vaiies fiom yeai
to yeai. Thus, while 2uu9 statistics suggest that the situation has impioveu, with 6S.S7% of iequiieu housing pioviueu in West Bengal
anu 87.Su% in Assam, the uisciepancy is likely to be a iesult of which plantations iepoiteu that yeai oi how the goveinment iecoiueu
the infoimation, given consistent iepoits fiom auvocates anu woikeis that theie has been no new housing constiuction at all in these
tea-giowing iegions in iecent yeais.
42 @47
4S Achabam, Chubwa, Nahoikutia, Nahoitoli anu Namioop Estates aie all locateu in the uistiict.
:"#5(33#" [*",*+*$3 \-M-< 2/# *3 #+( #5 )/( 1(-4*+, -$)/#"*)*(3
#+ )(- %1-+)-)*#+3< ,"(2 $% #+ Q$+,-'$))(( U3)-)(< +#2 -
%-") #5 9::;< *+ F(3) L(+,-17
S9.9% of pieschool chiluien weie unueiweight,
as weie 7S.1% of women anu 6S.7% of men.
Anemia was at neaily 72%. At the time of the
suivey, in 2uu6, neaily 1S% of chiluien unuei
five weie suffeiing fiom iespiiatoiy ailments.
The pievalence of tubeiculosis was highei than
the oveiall pievalence in Assam.
44
Recent stuuies show iesults that aie as bau, oi
woise. A 2u1S stuuy of peimanent tea plantation
woikeis in Bibiugaih showeu extiaoiuinaiily
low inuicatois foi health, nutiition anu
euucation. The aveiage caloiic intake foi men
engageu in haiu physical laboi was Su% of the
iecommenueu amount, anu foi women, 66%.
4S

Accoiuing to this stuuy, 96.1% of those suiveyeu
uefecateu in the open aii, anu neaily 1uu% weie
functionally illiteiate.
46
To uispel any sense that
the conuitions weie iemaikable, the piimaiy
ieseaichei noteu that she hau visiteu ovei 1uu
plantations at the time of wiiting, anu that the
situation was similai eveiywheie.
47

Not suipiisingly, given the pioblems thioughout
the sectoi, the gaps in compliance with the PLA
at APPL plantations aie obvious anu wiuespieau,
notwithstanuing APPL claims - anu the staitling
affiimations of the IFC - to the contiaiy. Those
violations aie uocumenteu below, in uetail.
44 u.K. Neuhi et al., R)$4G #5 .(-1)/ :"#=1('3 -+4 8$)"*)*#+-1 R)-)$3 #5 ?(- !-"4(+ :#%$1-)*#+ #5 933-', Inuian }. Neu. Sci., Bec. 2uu6, at
Suu.
4S T. Nahanta et al., U55(6) #5 ]*"(6)1G ^=3("H(4 @"#+ ?/("-%G *+ 9+-('*- -+4 :"#4$6)*H*)G _ 9 B#''$+*)G L-3(4 @+)("H(+)*#+ R)$4G *+
]*="$,-"/< 933-', Inuian }. of Applieu Res., Api. 2u1S, at 24.
46 @4. at 2S. In the 2uu6 suivey, ieseaicheis founu 6S% illiteiacy anu ueteimineu that 6S% of inuiviuuals hau access to a householu toilet;
they uiun't evaluate the quality oi actual use of the toilets. Neuhi, 3$%"- note 44, at 499.
47 Email exchange with piimaiy authoi, Nay 1S, 2u1S.
9 2#"0(" -) Q$+,-'$))(( U3)-)( K+#2 4(6(-3(4P 4(36"*=(3
)/( "(6"$*)'(+) %"#6(33 -+4 )/( 2((0C1#+, T#$"+(G 5"#'
B/#)-+-,%$" )/-) ="#$,/) /*' )# )/( %1-+)-)*#+ *+ OX``7
B#+4*)*#+3 2("( /-"3/< =$) /( 2-3 4"-2+ =G *+6(+)*H(3<
*+61$4*+, )/( %"#'*3( #5 1-+4 K3(( "(6"$*)'(+) 6#+)"-6) #+
%-,( NXP7
!"#$%#& ()*% +, -. "*% "/ .0% 1)2)&)"*& "/ .0% &,#-3()*4 5-$-6-* %&.-.% 0",)*4 /"# - &+,,(7 "/
flrewooJ. Fven toJuy, flrewooJ remulnx the prlmury xource of fuel for workerx unJ thelr fumlllex.
>:K" <<
"J8 K8:F<"Q SLK
1LKY8KH :" :>>F
"J8 K8:F<"Q SLK 1LKY8KH :" :>>F
Conuitions foi woikeis anu theii families vaiy
acioss APPL plantations, but only by uegiee,
not by kinu: at eveiy plantation visiteu by the
ieseaich team, woikeis anu theii families
uesciibeu conuitions of woik anu life that
weie haish anu uegiauing. Theii stoiies aie
suppoiteu by uocuments, photogiaphs, anu the
coiioboiating claims of multiple woikeis at
uiffeient plantations. Analyzeu sepaiately, many
of these conuitions constitute violations of the
PLA oi inteinational noims applicable to APPL,
incluuing the IFC's Peifoimance Stanuaius. In
some cases, the pioblems aie both violations in
theii own iight, anu also seive as obstacles to
bioauei solutions. This is tiue, foi example, of
the stiict iegulation of visitois to the laboi lines,
oi management effoits to unueimine genuine
woikei iepiesentation. These aie, of couise,
violations of uomestic law anu inteinational
stanuaius, but they aie also factois that
ieinfoice the isolation anu maiginalization of
tea plantation woikeis.
PLA violations at APPL incluue housing,
watei, sanitation, meuical caie, euucation, anu
chilucaie. Theie aie festeiing cases, like the
sanitation pioblems at the Boihat plantation,
neai Bibiugaih in Assam, wheie oveiflowing
latiines have cieateu a vast netwoik of cesspools
thioughout the laboi lines. Anu theie aie chionic
pioblems that aie so common that woikeis
will not even iemaik on them unless explicitly
questioneu: insufficient housing foi peimanent
woikeis, the ciumbling walls anu bioken ioofs
!*H(+ )/( "(5$3-1 #5 '-+-,('(+) )# $+4(")-0( "(%-*"3 #" =$*14 +(2 /#$3*+,< 3#'( 9::; 2#"0("3 /-H( -))('%)(4 )# 6#+3)"$6)
)/(*" #2+ -66#''#4-)*#+ $3*+, )/-)6/ -+4 #)/(" *+(M%(+3*H( '-)("*-137 K8#2("- 8$44G (3)-)(P
The Reality for Workers at APPL 33
in the houses that uo exist, the uniepaiieu
latiines, the inconsistent supply of watei, oi the
abusive tieatment by meuical peisonnel, all of
which aie a featuie of uaily life. Some of the
violations of the PLA aie stiikingly biazen, like
the systematic uenial of uepenuent benefits to
the husbanus of female woikeis, even though
the law is explicitly genuei-neutial.
While these known violations have been
laigely ignoieu ovei the past uecaue, the lack
of piotections foi woikeis spiaying pesticiues
has ieceiveu consiueiable attention. The PLA
was amenueu in 2u1u to incluue spiayei safety.
Yet, the iesults at APPL aie extiaoiuinaiily
inconsistent. 0n some APPL estates, woikeis
uesciibeu some pieces of new geai foi some
spiayeis, but nothing foi otheis. 0n othei
estates, they uesciibeu no changes whatsoevei.
As a geneial mattei, acioss the estates, we
founu that peisonal piotective equipment was
inauequate anu inconsistently available, meuical
checks weie nonexistent, anu pioceuuies weie
haphazaiu. Whenevei the issue of piotective
geai foi spiayeis aiose, management was
paiticulaily uefensive, iefusing to acknowleuge
any pioblems, incluuing past pioblems,
even while uesciibing new piotocols. At one
plantation, while the managei lauueu the
olu anu new mechanisms in place to ensuie
that pesticiue spiaying happeneu safely, anu
stiesseu the absence of any gaps, the ieseaich
team watcheu a gioup of spiayeis walk past his
winuow with chemical tanks on theii backs anu
no piotective geai at all on theii bouies.
48
Some of the othei conceins highlighteu by
woikeis peitaineu to aibitiaiy anu extieme
sanctions exeiciseu by management anuoi the
lack of consistently enfoiceu company policy. 0n
many plantations, foi example, woikeis sought
to iepaii oi extenu theii own living quaiteis
in the "laboi lines," when management faileu
to attenu to complaints iegaiuing housing
conuitions. 0n some plantations, they weie able
to uo so without inciuent; on otheis the woikeis
faceu seveie uisciplinaiy measuies, incluuing
inuefinite suspension without pay.
0thei pioblems ielate to wages, incieasing
woik piessuies anu unwaiianteu ueuuctions
fiom pay. Wages on plantations have iemaineu
intiactably low. But even inciemental changes
have been offset by incieasing task iates anu
high ueuuctions foi any benefits anu seivices
pioviueu to woikeis. Beuuctions foi electiicity,
foi example, vaiieu tiemenuously acioss
plantations, anu usually without iegaiu to
inuiviuual usage. Some woikeis aie paying
neaily half of theii take-home pay foi electiicity
that is only maue available foi a few houis a uay.
Woikeis have even hau to take money out of theii
statutoiy ietiiement accounts, the Pioviuent
Funu, in oiuei to pay outstanuing electiicity
bills which the company claimeu that they oweu.
Neanwhile, householus outsiue the bounuaiies
of the plantation, with eaining levels similai
to plantation woikeis, qualify foi subsiuizeu
electiicity available to those "below the poveity
line." They pay a fiaction of the amount paiu
by APPL woikeis, anu ieceive 24 houis of
uninteiiupteu electiicity seivice pei uay.
The violations aie exaceibateu by the absence
of any cieuible monitoiing oi enfoicement,
whethei by the state oi piivate actois. Fiom
among hunuieus of inteiviews with woikeis,
only one acknowleugeu evei having met a laboi
inspectoi. Accoiuing to the woikei, "Be askeu
if eveiything was 0K, fiom insiue his cai, when
he was outsiue the factoiy."
49
Elias Kujui, who
woikeu as a Welfaie 0fficei at Nahoiani estate
fiom 2uuu to 2uu4, saiu that not a single laboi
inspectoi hau visiteu the estate uuiing his foui
yeais of seivice.
Su
Piivate auuitois, on the othei
hanu, visit fiequently, accoiuing to woikeis
-
as
fiequently as thiee oi foui times a yeai. While
woikeis iepoit that many cosmetic changes
take place in the factoiy anu in the fielus in
piepaiation foi auuits, no effoits aie maue
48 Inteiview with Amos }ames Paiiat, ueneial Nanagei, Boijan Tea Estate, Assam, Apiil 18, 2u12.
49 Batabaii Tea Estate, West Bengal, Nay 19, 2u1u.
Su Kujui auueu that, to his knowleuge, no othei official fiom the Laboui Commissionei's office hau visiteu the plantation uuiing those
yeais. Inteiview with Elias Kujui, uuwahati, Assam, Apiil 2u12.
to clean the laboi lines oi to iepaii woikeis'
houses, since auuitois nevei ventuie into these
aieas. Without exception, woikeis saiu, they hau
nevei encounteieu oi heaiu of an auuitoi who
sought infoimation about laboi conuitions anu
living conuitions on the plantation by actually
inteiviewing woikeis.
Eviuence of these conuitions is uetaileu in the
following sections.
F<P<MV -LMU<"<LMH
HOUSING
It xhull be the Juty of every employer to provlJe unJ mulntuln necexxury houxlng
uccommoJutlon for every worker (lncluJlng hlx fumlly) rexlJlng ln the pluntutlon.
Pluntutlonx Iubour Act, Sectlon 1S
Woikei housing is a peisistent pioblem at APPL
plantations. 0n all of the plantations visiteu,
woikeis insisteu that theie is a significant
shoitfall in iequiieu housing. Theie weie veiy
few inuications of new housing constiuction
by the management, anu in the one case wheie
the plantation hau agieeu unuei piessuie to
unueitake new constiuction, the quality was
visibly ueficient. Besiues the gap in housing
foi peimanent woikeis, upkeep anu iepaii of
housing is, peihaps, the most piessing issue,
anu one which eliciteu the most fiustiation
fiom woikeis. Leaky ioofs, ciackeu walls
anu ciumbling infiastiuctuie weie visible
thioughout the laboi lines. Accoiuing to
woikeis, complaints went unansweieu anu
theii effoits to coiiect pioblems on theii own
weie often fiustiateu by management, oi met
with uisciplinaiy action.
The piovision anu maintenance of housing is a
cost that is boine by all of the woikeis, in the sense
that the imputeu expense is explicitly factoieu
into wage calculations. In Assam, the employei's
association calculateu that theii expenuituie on
woikei housing is !7.1S pei woikei pei uay, anu
while it woulu be impossible to asseit conclusively
that they aie not paying this, the ueaith of new
constiuction anu the lack of upkeep iaise seiious
questions.
S1
Noieovei, employeis uo not pioviue
the !7.1S pei uay as a cieuit to the many woikeis
who uo not have housing.
The PLA iequiies that housing be pioviueu foi
all woikeis. 0nuei the state iules, plantations
weie alloweu to meet the goal piogiessively by
constiucting housing foi 8% of woikeis each
yeai.
S2
If the goal hau been met - which it nevei
was - full housing woulu have been achieveu by
197u. The shoitfall at APPL vaiieu among the
plantations, but woikeis iaiseu the issue at eveiy
plantation visiteu by the ieseaich team. Some of
the specific examples citeu by woikeis incluue:
At Achabam, one woikei tolu us that theie
weie 8S2 peimanent woikeis, but only 4uu
houses.
SS
At Batabaii, woikeis saiu theie weie 446
quaiteis foi 6u2 peimanent woikeis.
S4
At Noweia Nuuuy, woikeis claimeu that no
new houses hau been built since 1994.
SS

S1 Assam Bianch of the Inuian Tea Association, Calculation of Social Costs (2u12); copy on file.
S2 0nuei the Assam Rules, plantations aie iequiieu to constiuct housing foi "8% of the woikeis annually." Assam Rules, Section S8. 19S6
Accoiuing to Piofessoi Xaxa, the intention was to ieach full housing by 197u. Inteiview with viiginius Xaxa, }anuaiy 9, 2u1S.
SS Achabam Tea Estate, Assam, }anuaiy 1u, 2u12.
S4 Batabaii Tea Estate, West Bengal, Nay 19, 2u1u.
SS Noweia Nuuuy Tea Estate, West Bengal, Apiil 14, 2u12.
At Bathikuli, even the iepiesentative of the
ACNS tiaue union, who otheiwise staunchly
uefenueu management, aumitteu that the last
time a new house was built, oi an olu house
iepaiieu, was 12 yeais ago.
S6
At Kakajan, we visiteu some houses wheie
foui oi five "nucleai families" weie ciowueu
togethei, into two small iooms. "When we ask
foi oui own house, we aie tolu, 'You people aie
useu to living togethei in one house, so that is
what you shoulu uo,'" uesciibeu one woikei.
S7
At Battigoi, we spoke to seveial inuiviuuals
who claimeu that they weie living in one-ioom
uwellings with seven oi eight othei auults,
incluuing up to foui peimanent woikeis.
S8

At Bam Bim, in the Booais iegion of West Bengal,
woikeis mobilizeu in 2u12 to obtain auequate
housing. A gioup of 2u families began sleeping
on the veianua of the factoiy builuing, as seveial
of them explaineu in an inteiview, in oiuei
to seek sheltei fiom the iain.
S9
Nanagement
iesponueu with a haish wiitten notice
uismissing theii complaints: "It is a well-known
fact that this gaiuen maintains a level of welfaie
facilities which aie fai above inuustiy aveiage."
6u

Nanagement thieateneu woikeis that if they uiu
not vacate the veianua, theie woulu be a lockout,
"the consequences of which aie well known to
all conceineu."
61
The notice acknowleugeu that
some homes weie not suitable, but claimeu
these weie "uiscaiueu by the management" in
2uuu anu 2uu1 anu that 2u new "quaiteis" weie
;*H*+, 6#+4*)*#+3 -) 8-/#"-+* (3)-)( 2/("( /#'(3< 1-)"*+(3< -+4 2-)(" %$'%3 -"( *+ - 3)-)( #5 4*3"(%-*"7
S6 Inteiview with ACNS iepiesentative, Bathikuli Tea Estate, Assam, }anuaiy 24, 2u1S.
S7 Kakajan Tea Estate, Assam, }anuaiy 12, 2u12.
S9 Bam Bim Tea Estate, West Bengal, Apiil 1S, 2u12.
6u Lettei in English fiom Bam Bim management, uateu Apiil 14, 2u12; copy on file. Pioviueu by woikeis at Bam Bim Tea Estate, West
Bengal, Apiil 1S, 2u12. The consequences of a lockout woulu incluue loss of wages in auuition to a suspension in health caie anu iations.
61 @4.
constiucteu.
62
The woikeis uisputeu the claim,
insisting that only six "uouble quaiteis" - 6
builuings with two single-ioom uwellings
each - hau been constiucteu at that time.
6S
In
iesponse to the action, management claimeu
that they woulu iepaii leaks in the ioofs of the
houses, but woikeis continueu theii piotest.
64

Buiing a subsequent visit to the plantation, the
ieseaich team spoke with woikeis anu visiteu
the laboi lines. Accoiuing to those inteivieweu,
the woikeis involveu in the piotest hau
continueu to camp on the veianua foi moie
than thiee months, until the monsoon iains
subsiueu. Nanagement eventually agieeu to
builu quaiteis to ieplace theii bioken houses;
five months latei, constiuction began. In }anuaiy
2u1S, when the ieseaich team ietuineu to Bam
Bim, constiuction was unueiway, but it was
alieauy cleai that the quality was extiemely
pooi. Woikeis complaineu that mateiials weie
so obviously infeiioi that the housing woulu
nevei suivive the monsoons. While no one in
the ieseaich team hau expeitise in constiuction,
some of the pioblems weie immeuiately
visible. Biicks liteially ciumbleu in the hanus
of woikeis, anu when uioppeu on the giounu,
they uissolveu into uust.
6S
Nany woikeis have tiieu to cope with the lack
of housing by builuing extensions to existing
uwellings. Theii effoits leau to a cat anu mouse
game wheie management toleiates some
stiuctuies anu sanctions woikeis foi otheis.
0n multiple estates, woikeis complaineu
that they hau been suspenueu fiom woik foi
seveial months foi tiying to extenu theii own
living quaiteis.
66
Foi example:
At Batabaii, we weie tolu that seveial
woikeis hau been suspenueu foi auuing a
small thatcheu extension to theii quaiteis.
Nanagement oiueieu the woikeis to
uemolish the "illegal constiuctions."
67
At Noweia Nuuuy, woikeis have built
extensions to many houses, laigely without
inciuent. Bowevei, accoiuing to woikeis,
if anyone builus in conciete oi othei
peimanent mateiials, management suspenus
the woikeis anu oiueis uemolition. They
iecounteu seveial iecent occuiiences.
68

Nany of the houses that uo exist aie in uespeiate
conuition. Woikeis complaineu that iepaiis
weie iaie anu shouuy when actually uealt with.
Some of the most systematic complaints acioss
all APPL plantations ielate to the failuie of
management to iesponu to iequests foi iepaiis.
Nuch of theii fiustiation is uiiecteu at the
Welfaie 0fficeis, who ieceive the complaints
anu then fail to follow up.
69
62 @4.
6S Bam Bim Tea Estate, West Bengal, Apiil 1S, 2u12.
64 Lettei, supia note 6u anu inteiviews with woikeis, Bam Bim Tea Estate, West Bengal, Apiil 1S, 2u12.
6S Reseaich visit to Bam Bim Tea Estate, West Bengal, }anuaiy 18, 2u1S.
66 Batabaii Tea Estate, West Bengal, Apiil 14, 2u12; Bam Bim Tea Estate, West Bengal, Apiil 1S, 2u12; Bathikuli Tea Estate, Assam,
}anuaiy 24, 2u1S.
68 Noweia Nuuuy Tea Estate, West Bengal, }anuaiy 17, 2u1S.
At Bom Bim estote, wbere sustoineJ protest by workers jinolly
5#"6(4 '-+-,('(+) )# 6#+3)"$6) +(2 /#$3*+,< )/( >$-1*)G #5
'-)("*-13 2-3 3# %##" )/-) )/( ="*603 6"$'=1(4 )# 4$3) 2/(+
%*60(4 $%7
At Noweia Nuuuy, woikeis estimateu
iecently that well ovei half of the houses on
the estate neeueu uigent iepaiis.
7u

At Rungamuttee, we weie tolu, "Theie is a pile
of complaints on the Welfaie 0fficei's uesk.
When we go to complain about iepaiis neeueu
to the houses, they just auu it to the pile."
71

The ieseaich team vieweu anu enteieu many
houses in uismal conuition at each of the
plantations that it visiteu. Nany houses hau holes
in the ioof that alloweu iain to poui in uuiing
the monsoon. At one such home on the Achabam
estate, the woikei who liveu theie saiu that she
hau been asking foi two yeais foi someone to
come anu fix the ioof. She was finally just given
thiee small pieces of tin to place ovei the holes.
72

"When we complain about iepaiis that aie
neeueu, no one comes. If we tiy to uo it ouiselves,
we aie uisciplineu," saiu the wife of a peimanent
woikei at Batabaii, who claimeu that she hau
been suspenueu foi two months foi iepaiiing
theii house without management peimission.
7S

When visiting Namioop, an impiomptu gioup
of woikeis anu families gatheieu to uesciibe
conuitions on the plantation. A woman in the
ciowu askeu someone fiom the team to visit
hei house, which was neaiby. Nine people liveu
in thiee small iooms, one of which was a self-
constiucteu extension to the company house. She
showeu us a hole in the ioof, which was uiiectly
above the beus. Foi two yeais, she claimeu, she
hau complaineu about the leak, but no one fiom
management hau come even to inspect it.
74
APPL uoes not entiiely ueny that theie aie
pioblems ielateu to housing but it uoes
uownplay the seveiity of the situation. While the
ueneial Nanagei of Boijan uiu aumit that theie
was "a slight shoitfall" in houses (he uesciibeu
81S families living in about 4uu single-ioom
uwellings), he claimeu that 44 new houses hau
been built in the pievious yeai.
7S
At oui meeting
with the Nanaging Biiectoi of APPL, Beepak
Atal in }anuaiy 2u12, he aumitteu that theie
weie "a few" houses with bioken ioofs anu
winuows, but uenieu woikeis' allegations that
ciitically neeueu iepaiis hau gone unattenueu
foi yeais at a stietch.
76
At Namioop, the Welfaie
0fficei agieeu that many iequests came in
foi iepaiis - pioblems with ioofs, uoois anu
walls - but insisteu that they weie uealt with
in "seven to ten uays," a claim which eliciteu
ueiision fiom woikeis when it was latei iaiseu
in inteiviews with them.
77
SANITATION
(1) 1here xhull be provlJeJ xepurutely for mulex unJ femulex ln every pluntutlon
xufflclent number of lutrlnex unJ urlnulx of prexcrlbeJ typex xo xltuuteJ ux to be
convenlent unJ uccexxlble to workerx employeJ thereln.
(2) All lutrlnex unJ urlnulx provlJeJ unJer xub-xectlon (1) xhull be mulntulneJ ln
u cleun unJ xunltury conJltlon.
Pluntutlonx Iubour Act, Sectlon 9
69 0nuei Section 18 of the PLA, plantations with moie than Suu woikeis must have a Welfaie 0fficei to oveisee the piovisions of
the PLA. Although the uuties aie set out in the law, in piactice, the position is a low-level management position with little actual
implementation powei.
7u Noweia Nuuuy Tea Estate, West Bengal, }anuaiy 17, 2u1S.
71 Rungamuttee Tea Estate, West Bengal, }anuaiy 18, 2u1S.
72 Achabam Tea Estate, Assam, }anuaiy 1u, 2u12.
7S Batabaii Tea Estate, West Bengal, Nay 19, 2u1u.
74 Reseaich visit to Namioop Tea Estate, Assam, }anuaiy 8, 2u12
7S Inteiview with Amos }ames Paiiat, ueneial Nanagei, Boijan Tea Estate, Assam, Apiil 18, 2u12.
76 Neeting with the IFC officials anu Beepak Atal, New Belhi, }anuaiy 4, 2u12.
77 Inteiview with Welfaie 0fficei, Namioop Tea Estate, Assam, Apiil 17, 2u12
At HathikuIi, workers compIain
that Iatrines constructed with
UNICEF funds (top Ieft) are of
poor quaIity and are aIready
faIIing apart. Sewage from
Iatrines Iies in ditches, or pooIs
by the roadside at Kakajan
estate (above); at Borhat (beIow)
sewage coIIects in massive open
cesspooIs. In the absence of
reguIar pumping of septic tanks,
Iatrines in the Iabor Iines - such
as this one at Nahorani (Ieft) - are
often cIogged with human waste.
Many Iatrines at Borhat are simpIy
unencIosed concrete pIatforms
(above), with the waste owing
directIy into huge cesspooIs. At
Achabam (right) workers themseIves
dug this crude ditch to try to deaI with
sewage from Iatrines. These Iatrines at
Dam Dim (beIow right) have faIIen into
compIete disrepair. The waste from
these Iatrines at Namroop (beIow)
simpIy overows from the septic tank
and coIIects on the ground.
The pioblem of sewage in the laboi lines is one
of ciisis piopoitions. At eveiy plantation visiteu,
latiines weie in uangeious uisiepaii, with iefuse
fiequently flowing uiiectly into yaius. Woikeis
painteu a consistent pictuie of management's
uisengagement fiom this issue: iaie cleaning,
iaie iepaiis anu no new constiuction except foi
infeiioi 0NICEF-funueu latiines.
The woist conuitions witnesseu by the ieseaich
team weie at Boihat, wheie open cesspools lay
within a few feet of the uooistep of neaily eveiy
house. Raw sewage floweu fiom the latiines into
these pools, anu cloggeu the shallow uitches
suiiounuing each house anu iunning alongsiue
each lane in the laboi lines. 0ne house hau thiee
such cesspools, biimming with human waste.
This example of one house at Boihat was typical:
Nine people liveu in the house, thiee in one
ioom anu six in the othei. Two moie people
liveu in the makeshift extension. They hau
not been able to fix the oveiflowing latiine
tank, oi auuiess the cesspool in the back
yaiu that floweu towaius theii neighboi's
house. They claimeu they hau complaineu
to the company ten times about the latiine
with no iesponse. The eleven people who
liveu in the house still useu the latiine, since
theie weie no othei options available. The
iesiuents hau uug theii own well (a laige
pit) to pioviue bathing anu uishwashing
watei, since the supply of watei fiom the
company was inconsistent, but this watei
was uiity anu biown.
78
Similai examples on a lessei scale weie visible
at eveiy plantation wheie the ieseaich team
enteieu the laboi lines. Some othei examples
incluue:
At Kakajan, woikeis claimeu that the
company stoppeu cleaning the latiines
altogethei a few yeais ago. "We complain,
anu no one comes. We aie tieateu like
animals," saiu one woikei bitteily.
79

78 Reseaich visit to Boihat Tea Estate, Assam, }anuaiy 7, 2u12.
79 Kakajan Tea Estate, Assam, }anuaiy 12, 2u12.
@+ )/( -=3(+6( #5 5$+6)*#+*+, 1-)"*+(3< 2#"0("3 -) a-0-T-+ (3)-)( 4$, )/*3 )/('3(1H(3< %1-6*+, - )/*+ %1-+0 -6"#33 )/( #%(+*+,
5#" - 5##)/#147
At Batabaii, woikeis coulu not iemembei
the last time the latiines hau been cleaneu.
8u

At Bam Bim, we weie tolu that latiines useu
to be cleaneu thiee times a yeai, ovei a uecaue
ago, but now they coulu not iemembei the
last time it hau happeneu.
81

At Najuli, we weie tolu the company hau
begun uemanuing that woikeis pay to have
the latiine cleaneu, chaiging !2uu - well
ovei two uays' wages - foi a single visit.
82

At othei estates, we weie tolu that on the iaie
occasions when the company uiu clean the
latiines, the contents aie simply shoveleu out
onto the giounu next to the tank.
8S

Nany latiines weie simply falling apait:
At Namioop, we visiteu a family of 12
uepenuents on a single bioken latiine that
stoou in a stagnant pool of human waste. In
the iainy season, we weie tolu the latiine
woulu oveiflow into the stieet. Seveial
membeis of the householu tolu us that they
weie iegulaily sick, with uiaiihea being a
constant symptom.
84

At Nahoikutia, one of the many bioken
latiines was spilling iaw sewage into the
yaiu, its tank flooueu. Nembeis of that
householu tolu us that it hau not been
iepaiieu in spite of iepeateu iequests.
8S

In the laboi lines of Kakajan anu Chubwa, we
visiteu seveial houses that hau nevei been
pioviueu latiines. Woikeis anu theii families
hau no alteinative except to walk half a mile
into the foiest, wheie the paths weie lineu with
human waste.
86
The only new constiuction of latiines iuentifieu
by ieseaicheis was pait of a 0NICEF-funueu
piogiam. Even management acknowleugeu
that the 0NICEF latiines weie infeiioi to those
pieviously constiucteu. 0ne managei saiu that it
woulu take thiee oi foui times the money allotteu
by 0NICEF foi the constiuction of a latiine to
builu one that woulu function well ovei time.
87

The 0NICEF latiines aie lowei, naiiowei anu of
less uuiable mateiials than the olu latiines.
In inteiviews with management, latiines weie
not vieweu as being a significant concein in
teims of compliance with the PLA.
WATER
rlnklng wuter - In every pluntutlon effectlve urrungementx xhull be muJe by
the employer to provlJe unJ mulntuln ut convenlent plucex ln the pluntutlon u
xufflclent xupply of wholexome Jrlnklng wuter for ull workerx.
Pluntutlonx Iubour Act, Sectlon 8.
The issue of safe anu auequate supplies of watei
is closely connecteu to the pioblem of sewage
anu sanitation. As a woikei at Battigoi saiu, "The
latiines aie oveiflowing, anu that gets into the
same watei we have to uiink."
88
Access to watei
vaiieu among the plantations, with many ieceiving
only limiteu amounts at fixeu times of uay. Theie
weie fiequent complaints about the quality of the
8u Batabaii Tea Estate, West Bengal, Nay 19, 2u1u.
81 Bam Bim Tea Estate, West Bengal, }anuaiy 18, 2u1S.
82 Najuli Tea Estate, Assam, }anuaiy 21, 2u1S.
8S Achabam Tea Estate, Assam, }anuaiy 1u, 2u12; Nahoikutia Tea Estate, Assam, }anuaiy 9, 2u12.
84 Namioop Tea Estate, Assam, }anuaiy 8, 2u12.
8S Nahoikutia Tea Estate, }anuaiy 9, 2u12.
86 Kakajan Tea Estate, Assam, }anuaiy 12, 2u12; Chubwa Tea Estate, Assam, }anuaiy 11, 2u12.
87 Inteiview with uautam Baioah, ueneial Nanagei, Namioop Tea Estate, Assam, Apiil 17, 2u12
88 Battigoi Tea Estate, Assam, }anuaiy 21, 2u1S.
At Hattigor estate (above), workers have to
reIy on makeshift containers to store water
due to inadequate and infrequent water suppIy.
Contaminated water at Namroop estate (bottom
Ieft). A tap at Borhat estate which is onIy turned
on for a short whiIe each day (beIow).
In one typicaI exampIe at Borhat estate, an
open cesspooI (above) Iies side-by-side
with an activeIy used water source (right). A
crumbIing weII at a worker's home (beIow).
Workers must draw water from weIIs a few
feet from a Iatrine at Achabam (bottom right).
watei oi the ueaith of pumps anu taps available in
the laboi lines. Among the examples:
At Boihat, we founu veiy few company-
pioviueu watei taps, anu even these weie
only switcheu on foi half an houi at a time,
thiee times a uay. Bouseholus tiieu to
supplement this watei supply by uigging
small wells by theii houses. Bowevei,
these access the same watei table that is
contaminateu by the oveiflowing latiines
anu open cesspools uesciibeu above.
89

At Kakajan, woikeis showeu us houses with
no meaningful access to company-pioviueu
watei taps; these houses aie entiiely ieliant
on wells that they uig themselves, anu at theii
own expense. 0ne woman tolu us that in the
uiy season, she sometimes has to woik the
well foi an houi anu a half to secuie enough
watei foi the uay's neeus.
9u

Foi most of the woikeis at Nahoiani estate,
theie was no company-pioviueu access to
watei. Bouseholus have hau to builu theii
own tube-wells, at theii own expense.
91
At Bam Bim, wheie the watei taps - thiee
foi eveiy line of 2u houses - weie switcheu
on just thiee times a uay foi half an houi,
woikeis allegeu that the watei was pumpeu
uiiectly fiom the iivei without tieatment.
They believeu that the watei supply was
iesponsible foi the high inciuence of
uysenteiy on the estate.
92

Similaily, woikeis iepoiteu, in one poition
of Rungamuttee estate - Line 24 - that the
watei was pumpeu uiiectly fiom the iivei.
"It's veiy uiity, anu in that line they aie
always sick," saiu one woikei. "0vei the last
1u months, at least seven to eight people
uieu with uiaiihea."
9S

At Nahoikutia, woikeis complaineu about
fiequent ueaths fiom watei-boine uiseases
incluuing choleia. 0ne woikei tolu us, "theie
have been so many ueaths fiom choleia that
we can't count."
94

Woikeis at seveial estates iecounteu stoiies of
watei contamination that, foi them, inuicateu
the low value which the company placeu on theii
health anu theii lives. At Battigoi, woikeis pointeu
out the laige elevateu tank wheie the uiinking
watei foi the laboi lines is geneially stoieu.
0n the occasions when it has been in uisiepaii,
woikeis claimeu, the company has uistiibuteu
watei using the tank in which it mixes pesticiues
foi spiaying the tea bushes.
9S
A gioup of woikeis
at Najuli complaineu about a iecent inciuent
theie, wheie a cow uiowneu in theii uiinking
watei supply. The cow was not iemoveu foi a few
uays, anu the watei tank was nevei cleaneu - "we
just kept uiinking the same watei."
96
ELECTRICITY
Acioss the APPL estates, access to electiicity
as well as the expense of ieceiving it, aie majoi
conceins. At all estates, woikeis complaineu about
veiy heavy ueuuctions, sometimes amounting to
neaily half of theii take-home pay. To auu insult
to injuiy, they uo not actually ieceive 24 houis
of electiicity; in most cases, the connection is
switcheu on by the company, sometimes foi as
little as thiee oi foui houis a uay.
0n most estates, it appeais that the cost of
electiicity is uiviueu equally among woikeis
89 Boihat Tea Estate, Assam, }anuaiy 7, 2u12.
9u Kakajan Tea Estate, Assam, }anuaiy 12, 2u12.
91 Nahoiani Tea Estate, Assam, }anuaiy 22, 2u1S.
92 Bam Bim Tea Estate, West Bengal, Apiil 1S, 2u12.
9S Rungamuttee Tea Estate, West Bengal, }anuaiy 21, 2u1S.
94 Nahoikutia Tea Estate, Assam, }anuaiy 9, 2u12.
9S Battigoi Tea Estate, Assam, }anuaiy 21, 2u1S.
0n seveial estates, woikeis weie paying foi
electiicity even though theii connections
weie long gone. At Kakajan, the situation was
peihaps the most extieme: the state electiicity
boaiu hau uisconnecteu the laboi lines foi
non-payment by the company moie than foui
yeais befoie oui visit to the estate accoiuing to
woikeis as well as the Bivisional Nanagei, but
heavy ueuuctions fiom pay continueu in oiuei
to pay off the aiieais.
1uu
At some Kakajan lines,
connections have been iestoieu anu woikeis
aie billeu thiough inuiviuual meteis, but the
expense to woikeis is still ielatively high,
amounting to about !4S a week.
1u1

At Najuli, theie is still no electiicity in the
laboi lines. "They useu to cut !16u pei week
foi electiicity, so we ouiselves askeu foi it to
be switcheu off five yeais ago," explaineu one
woikei.
1u2
"But then manageis went house
to house to collect thumbpiints, so that they
coulu take !4uuu fiom oui PF |Pioviuent Funu
accountj to covei back uues." When askeu
whethei woikeis hau piotesteu this, we weie
tolu: "If we make a fuss, they will lock us out."
1uS
In some cases, woikeis in the same householu
all hau ueuuctions taken fiom theii paychecks
foi electiicity, even though they shaieu the same
without iegaiu to inuiviuual use. As one woikei
on Battigoi put it, "Whethei you have one bulb
oi a Tv, the bill is uistiibuteu equally."
97
Anothei
on the same estate lamenteu, "We uon't know if
we aie paying the iight amount foi electiicity;
since we aien't chaigeu pei unit, we have to
uepenu on the management."
98

The following chait shows ueuuctions foi
electiicity on foui estates, togethei with the
woikei's net pay foi the peiiou of the ueuuction:
99
NAMROOP RUNGAMUTTEE HATHIKULI HATTIGOR (WEEKLY)
Electricity
Deduction
Net
Pay
Electricity
Deduction
Net Pay
Electricity
Deduction
Net Pay
Electricity
Deduction
Net Pay
#195 #430 #123.86 #470 #111.35 #210 week #50.21 #300
#195 #490 #123.86 #600 #95.68 #310 week #125.72 #300
#195 #430 #161.07 #725 #98.4 #500 - fortnight #97 #240
#195 #490 #313.08 #580 #98.4 #590 - fortnight #152.61 #260
#190 #530 #289.9 #470 #110 #259
#332.65 #350
#332.65 #570
AVG. DEDUCTION
PER FORTNIGHT:
#194
AVG. DEDUCTION
PER FORTNIGHT:
#240
AVG. DEDUCTION PER
FORTNIGHT: #153
(adjusted)
AVG. DEDUCTION
PER FORTNIGHT:
#214 (adjusted)
98 @4.
99 Pay peiious foi two weeks, except wheie otheiwise inuicateu. Aveiages aie given on the basis of the moie common two-week peiiou.
The vaiiation in iates at some estates coiiesponus to uiffeient billing peiious. None of the chaiges coiiesponu to actual householu
consumption.
1uu Inteiview with Bivisional Nanagei anu woikeis, Kakajan Tea Estate, Assam, }anuaiy 12, 2u12. Since the piactice at most APPL estates
is to uiviue the total bill foi powei consumption equally among the woikeis, iegaiuless of how much each has consumeu inuiviuually,
it is not cleai why theie shoulu evei have been such massive aiieais, oi continueu ueuuctions fiom woikeis' paychecks.
1u1 Kakajan Tea Estate, Assam, }anuaiy 12, 2u12.
1u2 Najuli Tea Estate, Assam, }anuaiy 21, 2u1S.
1uS @47
connection. At Nahoikutia, foi example, we saw
the paychecks of thiee peimanent woikeis, living
in the same house, each of whom hau paiu !19S
fiom theii foitnight's wages foi electiicity.
1u4

Electiicity is one of the seivices that the
goveinment subsiuizes foi those living below the
poveity line - incluuing many with householu
income levels similai to those of APPL woikeis.
Theie aie many such householus outsiue the
plantation, sometimes within steps of the laboi
lines. At Bathikuli estate in Assam, foi example,
we visiteu the homes of tempoiaiy woikeis
who live just outsiue the plantation peiimetei,
anu ievieweu electiicity bills of between !Su
anu !21u pei month foi continuous seivice.
1uS

Woikeis at Nahoiani who hau manageu to secuie
a uiiect connection fiom the electiicity boaiu,
without management peimission, claimeu that
they pay half of what they useu to pay. 0ne
woikei tolu us that the ieason electiicity billeu
thiough the company is so expensive is because
the company pays an inuustiial iate anu simply
passes on that iate to woikeis. "Why shoulu
they bothei to get a iesiuential iate foi us." the
woikei saiu. "The manageis uon't even notice
it is a pioblem, since the company pays foi the
electiicity that they use in theii homes."
1u6
Exchanges with APPL manageis on this issue
piouuceu little claiity. The Nanaging Biiectoi of
the company, Beepak Atal, claimeu that the ieason
electiicity bills weie so high was pilfeiage,
1u7

while the ueneial Nanagei of Namioop simply
uenieu that theie was a pioblem, insisting that
all woikeis have 24 houis of electiicity a uay, anu
aie billeu inuiviuually thiough meteis supplieu
by the state electiicity boaiu.
1u8
DENIAL OF BENEFITS ON THE BASIS OF GENDER AND OTHER
ILLEGAL DISTINCTIONS
1he PIA requlrex employerx to provlJe benefltx to the worker unJ the workerx
"fumlly," JeflneJ ux followx:
"Fumlly" when uxeJ ln relutlon to u worker meunx - (l) Hlx or her xpouxe, unJ
(ll) 1he legltlmute unJ uJopteJ chllJren of the worker JepenJent upon hlm or
who huve not completeJ thelr 18
.0
yeur. AnJ lncluJex purentx unJ wlJow xlxter,
JepenJent upon hlm or her.
Pluntutlonx Iubour Act, Sectlon 2(ee)
In a staik violation of the PLA, benefits -
incluuing foi health caie anu subsiuizeu foou -
aie uenieu to the husbanus of women woikeis,
the ietiieu paients of male anu female woikeis,
most chiluien ovei the age of six, anu most oi all
tempoiaiy woikeis.
Gender Discrimination
Foi Su yeais, the PLA has hau a cleai non-
genueieu uefinition of spouse. The language
was explicitly inseiteu in the act in 196u. The
act was fuithei amenueu in 2u1u to ensuie that
uepenuent paients woulu also be incluueu in the
uefinition of "family," iegaiuless of whethei they
weie the paients of a male oi female woikei.
1u9

Neveitheless, APPL plantations systematically
1u4 Review of woikeis' pay slips, Nahoikutia Tea Estate, }anuaiy 9, 2u12; on file.
1uS Bathikuli Tea Estate, Assam, }anuaiy 1S, 2u12.
1u6 Nahoiani Tea Estate, Assam, }anuaiy 22, 2u1S.
1u7 Neeting with the IFC anu Beepak Atal, NewBelhi, }anuaiy 4, 2u12.
1u8 Inteiview with uautam Baioah, ueneial Nanagei, Namioop Tea Estate, Assam, Apiil 17, 2u12.
excluue all uepenuents of women woikeis fiom
access to benefits.
Accoiuing to the woikeis acioss all of the APPL
plantations visiteu, the meuical expenses of
husbanus who aie not themselves peimanent
woikeis aie ueuucteu fiom theii wives'
paychecks, eithei as a lump sum, oi in peiiouic
installments if the expenses aie substantial. In
most cases, the woikei hau nevei ieceiveu an
itemizeu bill, though she might have been veibally
infoimeu of the total amount that she woulu be
chaigeu. Some typical examples incluue:
Women woikeis inteivieweu at Bam Bim
in }anuaiy of 2u1S explaineu that, when
theii husbanus weie sick anu hau to go to
the clinic on the estate, they woulu ieceive a
sciap of papei that infoimeu them how much
money woulu be ueuucteu fiom theii wives'
paychecks. "It is not even a piopei bill,"
complaineu one woman woikei. "We have no
iuea what we aie being chaigeu foi."
11u

At Achabam, a woman who took ovei hei
husbanu's peimanent job when he became
too sick to woik founu that the cost of his
meuical caie was now being ueuucteu fiom
hei pay, in inciements of !1uu pei foitnight.
0vei the pievious two yeais, she hau alieauy
paiu hei employei ovei !Suuu.
111

1u9 Plantations Laboui (Amenument) Act, Nay 18, 2u1u.
11u Bam Bim Tea Estate, West Bengal, }anuaiy 18, 2u1S.
F#'(+ -) -+ 9::; (3)-)( *+ F(3) L(+,-1 ,-)/("(4 -) - 1-",( ,"#$% '(()*+, )# 4*36$33 1*H*+, -+4 2#"0*+, 6#+4*)*#+37
At Kakajan, a woman whose husbanu uieu at
the APPL iefeiial hospital at Chubwa aftei
suigeiy was tolu that she oweu the company
moie than !2u,uuu foi his caie. Be hau even
been a peimanent woikei, but his wiuow
allegeu that APPL hau foiceu him to give up
his job when he staiteu getting sick.
112

The ieseaich team heaiu many such stoiies,
wheie men gave up theii peimanent positions
because of seiious ailments oi infiimity, only
to finu that the family membei who hau taken
ovei theii job was now being helu iesponsible
foi the payment of substantial meuical bills.
0luei woikeis uesciibe the cuiient uenial of
benefits to uepenuents as a shift in policy. 0ne
woman woikei at Battigoi believeu that the
change hau taken place peihaps 1u oi 12 yeais
ago,
11S
but otheis meiely saiu that they weie
able to iemembei a time when the company hau
coveieu theii husbanus' caie, without being able
to specify cleaily when that might have been.
When askeu about this issue, management
attempteu to ueflect it with claims about inuustiy
piactice, local tiauition oi a ueal with the unions.
The ueneial Nanagei of Boijan initially claimeu
that the company uiu give benefits to husbanus
of peimanent woikeis.
114
But when the
ieseaicheis expiesseu suipiise that Boijan was
an exception among the APPL estates, he calleu
in the Welfaie 0fficei, who infoimeu him that it
was not "necessaiy" to give such benefits. Both
the Welfaie 0fficei anu the plantation uoctoi
at Boijan openly mockeu the iuea of a man
ieceiving fiee health caie as a uepenuent of his
female spouse, aiguing that "the husbanu shoulu
woik" anu take caie of his own neeus.
11S

0thei senioi management acknowleugeu
the piactice of uenying benefits to spousal
uepenuents of female woikeis, but gave othei
explanations. The ueneial Nanagei of Namioop
claimeu that no woikei hau challengeu this
aiiangement: "Naybe if theie weie genuine
cases of uepenuency, it woulu be biought up. But
always, both people woik so theie is no issue."
116
The Welfaie 0fficei of Namioop agieeu that
husbanus uo not ieceive uepenuent benefits,
anu also asseiteu that no one hau challengeu
this policy, because "they know the iule."
117
The
uoctoi at Bathikuli citeu "olu noims," anu "an
olu bilateial agieement with the union" that
entitleu the plantation to uisiegaiu the law.
118

0nion officials fiom ACNS went along with
this inteipietation, with the ueneial Secietaiy,
Bileshwai Tanti, insisting: "Bow can a man be
uepenuent on a woman." Be went on to aigue, "It
is inuustiy piactice. No one has challengeu it."
119
Even if the explanations weie tiue, none woulu
affect the enfoiceability of the law. Not even the
state of Assam has the powei to unilateially
ieinteipiet a law passeu by the cential
goveinment, anu tiaue unions ceitainly uo not
have the powei to negotiate away statutoiy
iights. Fuitheimoie, inteiviews with woikeis
inuicate that many female woikeis have sought to
challenge the uenial of benefits to theii families:
At Kakajan, one peimanent woikei uesciibeu
iepeateu complaints to management about
the lack of meuical caie oi iations foi hei
husbanu anu chiluien.
12u

Anothei woikei at Kakajan, who took ovei
hei husbanu's peimanent job when he
became too sick to woik, founu that the
entiie family lost its benefits - incluuing the
health caie that was so ciitically impoitant
foi hei husbanu - as a iesult of the tiansfei.
11S Inteiview with Welfaie 0fficei anu uoctoi, Boijan Tea Estate, Assam, Apiil 18, 2u12.
116 Inteiview with uautam Baioah, ueneial Nanagei, Namioop Tea Estate, Assam, Apiil 17, 2u12.
117 Inteiview with Welfaie 0fficei, Namioop Tea Estate, Assam, Apiil 17, 2u12.
118 Inteiview with uoctoi, Bathikuli Tea Estate, Assam, Apiil 19, 2u12.
119 Inteiview with Bileshwai Tanti, ACNS ueneial Secietaiy, ACNS Cential 0ffice, Bibiugaih, }anuaiy 11, 2u12.
12u Kakajan Tea Estate, Assam, }anuaiy 12, 2u12.
Since she is illiteiate, she paiu a neighboi
to wiite letteis asking management foi an
explanation, but nevei ieceiveu a iesponse.
121

A peimanent woikei at Bathikuli, maiiieu
to a man who is a tempoiaiy woikei at the
same estate, tolu us that hei husbanu anu
chiluien ieceive no health caie benefits fiom
the company. She, anu othei women woikeis
at Bathikuli in a similai position, hau
complaineu to management thiough a local
women's oiganization anu nevei ieceiveu
acknowleugment of theii complaint fiom
management.
122

At Bam Bim anu Namioop, woikeis
inteivieweu in }anuaiy of 2u12 mentioneu
piotest iallies by gioups of woikeis on the
uenial of uepenuent benefits to the families
of female woikeis, with iespect to health
caie in the case of Bam Bim,
12S
anu foou
iations in the case of Namioop.
124

Parents, Older Children and Temporary Workers
Wheie the paients of peimanent woikeis aie
conceineu, the company has chosen to ueny
them benefits altogethei, iegaiuless of whethei
they aie the paients of a male oi female woikei.
12S

Examples of uestitution, staivation anu untieateu
illness of all kinus among the elueily appeaieu
to be common. Nany oluei people iepoiteu
uenying themselves health caie in oiuei to avoiu
buiuening theii chiluien with the expense.
At Boihat, the ieseaich team met the fathei of a
peimanent woikei, who was emaciateu anu baiely
able to stanu. Neveitheless, he tolu us, he iefuseu
to seek meuical tieatment, because the cost of
any caie woulu be ueuucteu fiom his son's pay.
126

At two estates in Assam - Najuli anu Battigoi -
woikeis spontaneously iaiseu the issue of the
financial buiuen of theii paients' meuical caie.
127

With iespect to this issue as well, seveial woikeis
insisteu that the situation ieflecteu a change in
policy. "It wasn't like this in my fathei's time," saiu a
woikei at Noweia Nuuuy who is now iesponsible
foi the meuical expenses of two ietiieu paients.
"This has all happeneu within the last uecaue."
128
It also appeais that oluei chiluien have been
uenieu benefits on many of the plantations.
Woikeis iepoiteu that the company hau
"iecently," oi "in the last five-ten yeais," cappeu
the eligibility of chiluien at age six,
129
though the
law is cleai that chiluien aie coveieu to the age of
18.
1Su
Even estate manageis, uoctois anu welfaie
officeis inteivieweu seemeu so unawaie of the
law's actual iequiiements that they confiimeu
without hesitation that coveiage was available
foi chiluien, but only up to the age of 6.
1S1
Tempoiaiy woikeis also iepoiteu uenials of
the full benefits of health caie in violation of
the PLA. The law uoes not uistinguish between
tempoiaiy anu peimanent woikeis with
iespect to meuical facilities, but wiuespieau anu
consistent statements by woikeis inuicate that
tempoiaiy woikeis aie excluueu fiom coveiage.
}ust as in the case of paients anu husbanus,
tempoiaiy woikeis must finu a peimanent
woikei to seive as guaiantoi if they seek caie
at the estate clinic, anu the cost will be ueuucteu
fiom that peimanent woikeis' pay.
121 @47
122 Bathikuli Tea Estate, Assam, }anuaiy 1S, 2u12.
12S Bam Bim Tea Estate, Assam, Apiil 1S, 2u12.
12S The obligation was extenueu in 2u1u to apply to both, (PLA Section 2 (ee) as amenueu in 2u1u.)
127 Battigoi Tea Estate, Assam, }anuaiy 12, 2u12; Najuli Tea Estate, Assam, }anuaiy 21, 2u1S.
129 Bathikuli Tea Estate, Assam, }anuaiy 1S, 2u12; Kakajan Tea Estate, Assam, }anuaiy 12, 2u12.
1Su PLA Section 2(ee) uefinition of family incluues chiluien up to age 18.
1S1 Inteiview with ueneial Nanagei at Bathikuli Tea Estate, uoctoi at Boijan Tea Estate anu Welfaie 0fficei at Namioop Tea Estate.
HEALTH SERVICES
MeJlcul Fucllltlex. (1) In every pluntutlon there xhull be provlJeJ unJ mulntulneJ
xo ux to be reuJlly uvulluble xuch meJlcul fucllltlex for the workerx unJ thelr
fumlllex ux muy be prexcrlbeJ by the Stute 0overnment. (2) If ln uny pluntutlon
meJlcul fucllltlex ure not provlJeJ unJ mulntulneJ ux requlreJ by xub-xectlon
(1) the chlef lnxpector muy cuuxe to be provlJeJ unJ mulntulneJ thereln xuch
meJlcul fucllltlex, unJ recover the coxt thereof from the Jefuultlng employer.
Pluntutlonx Iubour Act, Sectlon 10
Puyment of xlcknexx ullowunce. (1) Fvery worker xhull be entltleJ to obtuln
xlcknexx ullowunce from hlx employer for euch Juy of certlfleJ xlcknexx for u totul
perloJ of 14 Juyx ln u yeur ut the rute of two-thlrJx of hlx Jully wugex."
Pluntutlonx Iubour Act, Axxum Rulex (Sectlon 74) unJ Wext Bengul Rulex (Sectlon 7S)
Theie is a seiious anu wiuely acknowleugeu
pioblem with meuical caie on the APPL
plantations. Woikeis complain about the
absence of uoctois, the pooi quality of caie, the
unexpecteu costs, anu the buiuens that aie placeu
on them when they aie sick. Nany inciuents of
mass woikei piotests on APPL plantations aie
iepoiteu to have been tiiggeieu by the gioss
mismanagement of meuical seivices, oi callous
anu abusive tieatment by uoctois.
The sustaineu lack of uoctois is a wiuespieau
aspect of the pioblem. "We useu to have two
uoctois; now we uon't even have one," a gioup
of woikeis at Rungamuttee iepoiteu in 2u1u.
1S2

By 2u1S, the seconu uoctoi hau been ieplaceu
but woikeis saiu it was still not enough. "When
theie aie too many patients," they saiu, "sub-
staff stait piesciibing on theii own."
1SS
Woikeis
at Batabaii, inteivieweu in 2u1u, also tolu us
that they hau no uoctoi.
1S4
At Battigoi, woikeis
inteivieweu in }anuaiy of 2u1S saiu that they
hau been without a uoctoi foi ovei a month.
1SS
Nanagement acknowleugeu the concein, but
minimizeu the seveiity of the pioblem anu
shifteu the blame. At Namioop, in Apiil 2u12,
the ueneial Nanagei infoimeu us that theie
was "at piesent" no uoctoi at the estate; he saiu
it hau been ten uays. Woikeis subsequently
infoimeu us that they hau actually been without
a uoctoi foi moie than two months.
1S6

The Namioop ueneial Nanagei uiu say that the
inability to ietain uoctois was the main obstacle
he encounteieu to full compliance with the PLA.
The ieasons he gave, howevei, weie questionable:
in the fiist place, he pointeu to the attituue anu
cultuie of the uoctois, anu conjectuieu that
they weie unfit foi the isolation of life on the
plantation.
1S7
But a goveinment health official
fiom the Inuian Council of Neuical Reseaich put
it in a veiy uiffeient context, anu insisteu that it
was simply a mattei of compensation. The pay
offeieu to plantation uoctois was so pooi, the
official allegeu, that it was unsuipiising that
companies like APPL founu themselves unable
to attiact oi keep genuine meuical piofessionals.
In fact, the uoctois hiieu by plantations often uo
not have post-giauuate uegiees at all, accoiuing
1S2 Rungamuttee Tea Estate, West Bengal, Nay 19, 2u1u.
1SS Rungamuttee Tea Estate, West Bengal, }anuaiy 18, 2u1S.
1S4 Batabaii Tea Estate, West Bengal, Nay 19, 2u1u.
1SS Battigoi Tea Estate, Assam, }anuaiy 21, 2u1S.
1S6 Inteiview with uautam Baioah, ueneial Nanagei anu with woikeis, Namioop Tea Estate, Assam, Apiil 17, 2u12. Woikeis claimeu
theie hau been no uoctoi since Febiuaiy 1u.
1S7 @47
to the official.
1S8
At Boijan, foi example, the
"uoctoi" acknowleugeu to us that he hau no
moie than a bacheloi's uegiee.
1S9
Besiues the cultuie of the uoctois, the Namioop
ueneial Nanagei laiu the blame on woikeis. Be
suggesteu that "malingeiing" in the woikfoice
cieateu too much woik foi uoctois, which was
then compounueu by the uisiespectful way
they weie tieateu by theii patients.
14u
The peispective of woikeis is iauically uiffeient.
In fact, the attituue of clinic staff was citeu as an
issue on almost eveiy plantation visiteu by the
ieseaich team. 0nsoliciteu anu in uetail, woikeis
listeu instances of contemptuous anu uismissive
tieatment. 0ne of the most fiequently mentioneu
complaints was that uoctois iefuse even to touch
woikeis. As fai as possible, they uiagnose them
at aim's length. In fact, at one estate, woikeis
went out of theii way to note that the uoctoi uiu
touch them, but washeu his hanus constantly
uuiing the couise of the exam.
141

Cuisoiy, supeificial examination by meuical
piactitioneis was anothei fiequent complaint.
"Befoie the uoctoi even looks up at us, he is
wiiting out a piesciiption," saiu one woikei
at Battigoi.
142
"No mattei what is wiong with
you, they give you the same pill," a woikei
at Kakajan complaineu.
14S
At Rungamuttee,
woikeis fiom one uivision with high inciuence
of illness allegeu that the uoctoi iefuseu even
to let them come to the hospital anymoie; he
simply piesciibeu meuication without even the
pietense of examining them fiist.
144
In inteiviews with meuical staff, the ieseaich team
hau uiiect expeiience of the attituue that leu to
woikei complaints. In iesponse to the question of
why theie weie no pieventive health piogiams at
Boijan, foi example, the "uoctoi" was uismissive:
"What you neeu to unueistanu about these people
|woikeisj is that they have veiy low IQs."
14S
Besiues the absence of uoctois anu theii
contemptuous attituue, anothei majoi
complaint ielateu to the impeuiments that
keep woikeis fiom accessing the statutoiy
entitlement to sick leave. "The uoctoi is
inteiesteu in uoing what's best foi the company,
not what's best foi us. Be piessuies us to go
back to woik, anu he lectuies us," saiu a woikei
at Battigoi.
146
"No mattei how sick we aie, we
aie just pusheu out of the hospital anu tolu to
get back to woik," a woikei at Najuli tolu us.
147

0ne of the most oneious impeuiments is
the iequiiement that patients must piesent
themselves at the clinic two, oi even thiee, times
a uay in oiuei to access the sick leave to which
they aie entitleu by law. In most cases, woikeis
saiu they hau to appeai thiee times a uay - in
the moining, the eaily afteinoon, anu at the enu
of the woik uay - in oiuei to be appioveu foi
sick leave. Nanagement suppoits the piactice.
The Welfaie 0fficei at Namioop insisteu that
these measuies weie necessaiy, in oiuei to
limit absenteeism. "The pioblems come because
woikeis pietenu to be sick," he infoimeu us.
148

Nany woikeis uesciibeu the iepoiting iule
as absuiu. "Bow aie we supposeu to walk two
kilometeis to the clinic anu back again thiee
times, if we aie sick." uemanueu a woikei at
Najuli.
149
At least one estate, Bam Bim, goes
even fuithei, accoiuing to woikeis, anu iequiies
that those who aie sick be aumitteu to the
1S8 Inteiview with Bi. }aguish Nahanta, Inuian Council of Neuical Reseaich, Apiil 17, 2u12
1S9 Inteiview with clinic uoctoi, Boijan Tea Estate, Assam, Apiil 18, 2u12.
14u Inteiview with uautam Baioah, ueneial Nanagei, Namioop Tea Estate, Assam, Apiil 17, 2u12.
141 Bathikuli Tea Estate, Assam, }anuaiy 24, 2u1S.
14S Kakajan Tea Estate, Assam, }anuaiy 12, 2u12.
14S Inteiview with clinic uoctoi, Boijan Tea Estate, Assam, Apiil 18, 2u12.
NOWERA NUDDY
On August 9, 2009, Arti Oraon, a 22-year-old worker, collapsed while plucking tea at Nowera Nuddy Tea
Estate in West Bengal. Nearly eight months pregnant, Oraon should long have been exempted from
the physically demanding work of plucking under ndian law under the Maternity Benefts Act of 1961.
Workers responded with a spontaneous protest, demanding
disciplinary action against the estate doctor. According to a
complaint fled by the nternational Union of Foodworkers (UF)
with the FC, workers' frustrations were fueled by longstanding
problems over access to` maternity benefts, as well as the doctor's
contemptuous treatment of Oraon after her collapse.
APPL responded to worker protests by declaring a lockout. Such
a measure, as a form of collective punishment, exerts incredible
pressure on workers to cede their demands, as the entire
plantation is forced to go without pay and statutory rations until
the garden reopens. Given the chronic malnutrition widespread
among plantation workers, a lockout of even a few weeks can
push workers into starvation.
Nevertheless, the lockout lasted four months; the garden fnally
reopened on December 12, 2009. Eight workers who were
involved in the protests were suspended and they, along with
four others including Oraon, were served with arrest warrants on
charges including theft, grievous bodily harm, unlawful assembly,
criminal intimidation and unlawful confnement, in connection with
the protests.
Although six of the eight suspended workers were eventually
reinstated, the impact of targeting activist workers, as well as the
four-month lockout, is still apparent throughout Nowera Nuddy.
1LKY8K >KL"8H"H :V:<MH"
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On at least three APPL estates there have been recent incidents of mass industrial unrest, in the
wake of events that signaled, to workers, their employer's gross indifference to their basic health
and wellbeing. n each case, management responded to the protestors with a heavy hand, punishing
them severely without addressing the underlying demands. While workers admit that the protests
were accompanied by substantial damage to plantation property, they also point to a long history
of medical neglect and humiliating treatment on the plantations to justify their fury. Certainly, every
worker we interviewed across the APPL estates could testify to these indignities: clinic staff who
refuse to touch them, for example, or rules that require them to go to the clinic three times in order
to secure sick leave for a single day.
9"-)* ^"-#+ -+4 )/( 6/*14 3/( 2-3 6-""G*+,
wben sbe collopseJ in tbe jielJ, leoJinq to
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?/( %/#)# 2-3 )-0(+ +*+( '#+)/3 1-)("<
2/(+ 3/( -+4 OO #)/(" 2#"0("3 2("(
5#"6(4 )# -%%(-" *+ 6#$") )# 5-6( 6"*'*+-1
6/-",(3 -"*3*+, 5"#' )/( %"#)(3)37
!"#$%
The following year, worker anger boiled over at Powai
Tea Estate in Assam, similarly triggered by what workers
perceived as management contempt for workers' health
and safety. On May 28, 2010, a 25-year-old worker
named Gopal Tanti, assigned to pesticide spraying,
collapsed and died on the job. Workers reacted strongly,
protesting both the conditions that they believed
contributed to his death and the disrespectful treatment
of his body once it was found.
According to a fact-fnding coordinated by the nternational
Union of Foodworkers, exposure to pesticides was the
likely cause of Tanti's death. The report concludes that
Tanti and the other spray workers had not been wearing
any personal protective equipment at all, and had been
spraying toxic chemicals wearing nothing more than
shorts, T-shirts, and rubber slippers. The report also
cites eyewitness testimony that, when the Assistant
Manager arrived at the scene, he prodded Gopal Tanti's
body with his shoe to see whether he was alive.
During the protests that broke out following Tanti's death, local management
called in the police. The police fred into the crowd, killing two people and
injuring ffteen.
[See International Union of Foodworkers, In Cold Blood: Death by Poison, Death
by Bullets, October 2010]
B#$")(3G @+)("+-)*#+-1
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"EXTERNAL INFLUENCES"
From APPL's perspective, workers' protests are not related to conditions on the
plantations; rather, they are instigated by outside agitators.
Hardeep Singh, former Managing Director of APPL, claimed that industrial
disputes only take place when "biased external infuences create dissonance
and muddy the water. With respect to the deaths at Powai, in particular, he
took pains to emphasize that the two protestors who were shot were "not our
employees or contractors or contractor employees. [Email from Hardeep Singh
to researchers, October 11, 2010]
However, far from being outsiders, the two young men who were killed were the
children of permanent workers, and had grown up in the labor lines.
!"#$%&
On December 28,
2011, Raimati Majhi, a
55-year-old worker at
the Borhat Tea Estate
in Assam, died after
the plantation doctor
reportedly denied her
sick leave, threatening
her with dismissal if
she did not go back
to work. That evening,
after the day's work
was over, Majhi
began to bleed. No
ambulance was made
available, so the family
took her to the clinic in a wheelbarrow. After they got there, they allege,
the doctor did not even look up or attend to her for over half an hour. By
that time, she was already dead.
At that point, the family refused to take the body away, in protest. Workers
demanded that the doctor be sanctioned. The next day, a group of workers
attempted to confront the General Manager, but he refused to speak
to them; instead, security forces ordered the group to disperse. From
that point on, according to workers and management, the crowd's anger
intensifed. They attacked the home of the General Manager and the
plantation doctor, destroying property. Armed security intervened, and
APPL declared a lockout.We visited Borhat nine days into the lockout.
However, its impact, on a population living hand to mouth, was already
apparent. Workers repeatedly asked us how they would survive, without
their wages or rations. The company insisted that it would only end the
lockout if workers agreed to the termination of everyone involved in the
destruction of property, and cooperated in the prosecution.
After 34 days, the company ended the lockout. According to workers at
Borhat, 16 workers were terminated, and the doctor was merely relocated
to Namroop, another APPL plantation, without any apparent investigation
into his conduct. No compensation was paid to Raimati Majhi's family.
:1-+)-)*#+ "(3*4(+)3 4(36"*=( )/( ="$)-1 "(%"(33*#+ #5 2#"0("
%"#)(3) -) L#"/-) (3)-)( 2/("( 3(6$"*)G 5#"6(3 3$''#+(4 =G
monoqement even jireJ live bullets ot tbe crowJ.
clinic in oiuei to claim theii sick leave. Woikeis
at Bam Bim also allegeu that they weie only
peimitteu thiee uays of sick leave
1Su
- fai below
the statutoiy entitlement of 14 uays.
1S1
Nanageis have goou ieason to be awaie
of woikeis' fiustiation with callous anu
insufficient meuical caie, in pait, because it
has boileu ovei into violent conflict. 0f the two
known lockouts in APPL's iecent histoiy - one at
Noweia Nuuuy in West Bengal, anu the othei at
Boihat in Assam - both took place in the wake of
woikeis' piotests ovei peiceiveu callousness in
meuical tieatment. At Noweia Nuuuy, piotests
eiupteu in August 2uu9 when Aiti 0iaon, a
woikei who was eight months piegnant, fainteu
while woiking in the fielu, anu was iefuseu an
ambulance by the estate's uoctoi.
1S2
At Boihat,
woikeis attackeu manageis' bungalows anu
engageu in extensive piopeity uamage aftei the
ueath of Raimati Najhi on Becembei 29, 2u12.
Najhi hau been uenieu sick leave foi a iecuiient
meuical conuition, anu was foiceu to ietuin
to woik, wheie she collapseu anu uieu soon
afteiwaiu.
1SS
It is impossible to uiscuss plantation health caie
without acknowleuging the high uisease buiuen
anu fiagile health of plantation woikeis, oveiall
- what one goveinment official iefeiieu to as the
high pievalence of "uiseases of poveity."
1S4
The
uata gatheieu fiom estate clinics' own health
logs confiim that the most common ieasons
foi woikeis seeking tieatment aie wateiboine
uiseases such as uysenteiy, anemia, injuiies
fiom stienuous physical laboi, malnutiition,
tubeiculosis anu, in the monsoon, malaiia.
1SS

A ieview of the ueath logs at Boijan, conuucteu
in the couise of a management-oiganizeu visit to
the estate, ievealeu that a substantial peicentage
of the ueaths weie the iesult of iespiiatoiy tiact
infections; when askeu about these, the heau of
the clinic explaineu that these weie essentially
"the last stage of malnutiition."
1S6
At Bathikuli,
wheie clinic staff weie also inteivieweu in the
context of a visit oiganizeu by APPL management,
they attiibuteu the high level of ueaths iesulting
fiom iespiiatoiy tiact infections to malnutiition,
unhealthy living conuitions, anu anemia.
1S7
Elias
Kujui, foimei Welfaie 0fficei at Nahoiani, allegeu
that high-level manageis actively uigeu him to
conceal the unueilying cause of ueaths in the
laboi lines behinu similai euphemisms, uuiing
the peiiou of his employment. Foi example, he
saiu, "If an oluei peison uieu of uysenteiy, we
weie tolu to wiite that he hau uieu of 'olu age.'"
1S8
WAGES
Axxum Jully wuge for 201S for teu pluntutlon workerx: !89 (US S1.62)
Wext Bengul Jully wuge for 201S for teu pluntutlon workerx: !91 (USS1.6S)
Woik on tea plantations is chaiacteiizeu by
a uegiee of insecuiity unpaialleleu in Inuia's
foimal sectoi: woikeis aie paiu only foi the uays
they woik anu wages uo not incluue a paiu uay
off. In auuition, as uiscusseu above, theie is no
minimum wage foi tea woikeis in Assam anu
1Su Bam Bim Tea Estate, West Bengal, }anuaiy 18, 2u1S.
1S1 R((< (7,7, Assam Rules, Section 74, iequiiing 14 uays sick allowance.
1S2 Ishita Ayan Butt, "Laboui Pioblem Bits Tata Tea Aim's Image Abioau," Business Stanuaiu, Bec. S, 2uu9, available at
http:www.business-stanuaiu.comaiticlecompanieslaboui-pioblem-hits-tata-tea-aim-s-image-abioau-1u912uSuuuS8_1.html
1SS "Lockout in Boihat uaiuen," The Telegiaph, Bec. S1, 2u11, -H-*1-=1( -) http:www.telegiaphinuia.com11112S1jspnoitheast
stoiy_14944222.jsp
1S4 Inteiview with Bi. }aguish Nahanta, Inuian Council of Neuical Reseaich, Apiil 17, 2u12.
1SS Review of meuical logs at Nahoikutia Tea Estate, Assam, }anuaiy 9, 2u12; Boijan Tea Estate, Assam, Apiil 18, 2u12; Namioop Tea
Estate, Assam, Apiil 17, 2u12.
1S6 Inteiview with clinic uoctoi, Boijan Tea Estate, Assam, Apiil 14, 2u12.
1S7 Inteiview with clinic staff, Bathikuli Tea Estate, Assam, Apiil 19, 2u12.
1S8 Inteiview with Elias Kujui, ActionAiu 0ffice, uuwahati, Assam, Apiil 2u12.
West Bengal. The iesult is an extiaoiuinaiily low
negotiateu wage which is ieuuceu a fuithei Su%
by employei ueuuctions. Baseu on the pay slips of
moie than 6u woikeis ievieweu by the ieseaich
team, the actual take-home pay, even aftei the
most iecent inciease in wages, was about !7Su
pei foitnight. 0n that basis, the actual take-home
aveiages !62.S pei uay oi 0S$1.1S.
Wages have actually incheu upwaiu in iecent
agieements - paitly as a iesult of political
mobilizations by woikeis in the noithein pait of
West Bengal - but plantations have exacteu costs
in othei ways, piimaiily by iaising the uaily woik
quotas. "Plucking iates," which aie set thiough
inuustiy-wiue agieement, have been iatcheteu
up neaily 4u% between 2uu7 anu 2u1S, fiom
18kg to 24kg pei uay.
1S9
As a iesult, woikeis have
lost the money they woulu have eaineu fiom
exceeuing the quota, anu iisk being penalizeu
when they fall below it.
16u
At foui APPL estates,
pay slips inuicateu that failuie to meet the quota
iesulteu in inciemental ueuuctions foi eveiy
kilo of leaf that was not pickeu that uay.
With iespect to the othei tasks assigneu to
plantation woikeis, such as piuning bushes
oi cleaning gutteis, the highei taigets set by
management have hau seveie consequences. In
some cases, it has meant woiking well beyonu
eight houis, without auuitional compensation.
At Kakajan, foi example, a woman who hau
woikeu at the estate hei whole life, anu hau been
able to complete hei piuning task easily by the
enu of a iegulai woikuay, saiu that the task iate
was now so high that it took hei ovei 1u houis
to complete it.
161
1S9 R(( "Tea Bouies Fix New Plucking Rates," Assam Tiibune, Naich 2u, 2u1S, available at http:www.assamtiibune.comsciipts
uetailsnew.asp.iu=mai211Satu9.
16u "Piovision has also been maue foi ueuuction in the payment foi those woikeis who pluck below the minimum of 24 kg. If any woikei
in the same gaiuen plucks, say 14 kg, his payment will be ieuuceu at the iate of !1 foi 6 kg, staiting fiom 24 kg to 19 kg, at the iate of
!1 anu fiom 18 kg to 14 kg, that is, 4 kg, the ueuuction will be maue at the iate of Rs 1.Su pei kg." Iu. Also see Sujata uothoskai, "This
Chay is Bittei: Exploitive Relations in the Tea Inuustiy," Economic anu Political Weekly, Becembei 1S, 2u12, foi how the inciease in
quota has eioueu wages.
At severol plontotions poyslips inJicoteJ tbot workers were poiJ less tbon tbe olreoJy low jixeJ woqe. Tbe poyslip ot left sbows
- 4-*1G 2-,( #5 !W`7Nc 2/(+ )/( 2-,( 2-3 !ZO7`7 ?/( %-G31*% -) "*,/) 3/#23 4(4$6)*#+3 5"#' )/( 4-*1G 2-,( 5#" 2/-) -%%(-"3
)# =( - 5-*1$"( )# '(() )/( >$#)- 5#" %1$60*+, )(- 1(-57
Noie commonly - since the tasks aie extiemely
stienuous - woikeis unable to meet the taiget
eithei accept the loss of half a uay's wage as
penalty, oi seek help in meeting the taiget fiom
fiienus oi family membeis, with whom they
shaie the uay's wage.
162
While the quotas foi
plucking aie set thiough iegion-wiue tiipaitite
negotiation, the "task iates" foi piuning anu
guttei-cleaning aie typically set unilateially,
at the company level. In the case of APPL, each
inuiviuual estate sets its own task iate. Bowevei,
acioss all the APPL estates, woikeis complaineu
about oneious tasks iates, especially foi
piuning. Theie weie many well-substantiateu
accounts of lost wages:
At Battigoi, a gioup of eight woikeis
inteivieweu uuiing piuning season in
}anuaiy 2u1S agieeu that the "task iate" hau
begun to inciease appioximately seven oi
eight yeais ago anu now, as one of them saiu,
"It is so high that we can nevei complete
it."
16S
A ieview of seveial pay slips confiimeu
that seveial hau been paiu only half a uay's
wage, ovei multiple uays.
At Kakajan anu at Rungamuttee the team
inteivieweu woikeis ietuining fiom piuning
at the enu of the uay. They iepoiteu that they
hau been infoimeu by theii supeivisoi in the
fielu that they woulu only get half of theii
wages, since the task was not complete.
164
Theie weie also numeious inteiviews with
woikeis who uesciibeu having to shaie theii job
anu theii wage with anothei peison. In seveial
cases, both woikeis still hau to laboi foi ovei
eight houis to complete the task:
162 Nahoikutia Tea Estate, Assam, }anuaiy 9, 2u12; Achabam Tea Estate, Assam, }anuaiy 1u, 2u12; Namioop Tea Estate, Assam, }anuaiy
8, 2u12; Boihat Tea Estate, Assam, }anuaiy 8, 2u12; Kakajan Tea Estate, Assam, }anuaiy 12 2u12; Noweia Nuuuy Tea Estate, West
Bengal, }anuaiy 17, 2u1S.
164 Kakajan Tea Estate, Assam, }anuaiy 12, 2u12; Rungamuttee Tea Estate, West Bengal, }anuaiy 18, 2u1S.
FL1 1:V8H6 J<VJ U8UO-"<LMHX
: H:&>F8 >:QHF<>
#RC/[B
^C/ZB
Workers' daily wage. t has since
been raised to #89 ($1.62) in Assam
and #91 ($1.65) in West Bengal.
Total deductions.
#ZT[/\Z
T/T[
On all but one APPL estate
in Assam, union dues are
automatically deducted and
distributed to an organization
that workers never had
an opportunity to elect.
#CB
^B/CW
Contributions are collected
from each worker for an
annual Hindu festival,
regardless of the worker's
religion or preference.
#[R/\T
^C/B[
The wages of tea plantation workers in Assam and
West Bengal are low even in comparison with other
unskilled workers in the region, for example, agricultural
workers in Assam, who are entitled to nearly twice as
much. At APPL the low wages are further diminished
by deductions that often total more than 40% .
An exchange rate of #55 per $1 was used.
#CBB
^C/WC
Fortnightly deduction to pay for
shares in APPL. Coercion and
deception were widespread in the
campaign to sell shares to workers.
#DD
^B/WB
Deduction for Provident Fund, a statutory scheme that
provides a one-time payout to workers on retirement.
#CAZ/DC
^A/AD
Deduction for electricity.
The cost at this estate is
divided equally among
workers regardless of
their actual usage.
#C\[
^Z/[[
The company-subsidized
food rations.
Z/\C 5+ ()I$
2.61 kg hour
Total net wages for two weeks,
each with a six- day work week.
#D\B
^W/\C
#CBB
^C/WC
Deduction for a loan from the worker's
Provident Fund. The most common reasons
cited by workers for such loans are medical
expenses and repairs to homes, both of which
should, by law, be paid for by the company.
At Kakajan, two woikeis saiu they hau been
piuning fiom 6AN to 2:SuPN that uay, foi a
single wage.
16S

At Battigoi, a woikei, employeu at the estate
foi ovei 2u yeais, complaineu that the task
iate was thiee times what it useu to be, anu
noteu that even with an assistant, both hau
to woik foi nine houis to complete it.
166

As a woikei at Kakajan aiticulateu the company's
piactice anu the outcome, "In one wage, they get
two people to woik foi them."
167
Bowevei, APPL manageis simply ueny that theie
aie any instances of pay ueuuctions foi failuie to
meet the taiget, oi of woikeis having to shaie
a task anu a wage. At Namioop, the ueneial
Nanagei insisteu that no woikei was peimitteu
to biing a helpei into the fielu. If the pioblem
was that he oi she coulu not complete the task
iate, then the task iate woulu be ieuuceu, at
the uiscietion of the supeivisoi.
168
The ueneial
Nanagei of Boijan also stateu categoiically that
no helpeis weie alloweu, as a mattei of company
policy, anu also inuicateu that the task iates
foi piuning anu guttei-cleaiing aie ioutinely
aujusteu foi any woikei unable to meet them.
169

The incieasing ieliance on tempoiaiy woikeis
also has significant implications foi compensation.
Foi tea plantations, the chief economic incentive
to use tempoiaiy woikeis is that they aie not
pioviueu benefits such as housing oi health
caie. (While the Plantations Laboui Act uoes not
contemplate a uistinction between peimanent
anu tempoiaiy woikeis in the mattei of benefits,
the inuustiy piactice of uenying benefits to
tempoiaiy woikeis is well establisheu anu
appaiently univeisal, at least in West Bengal
anu Assam.) Bowevei, tempoiaiy woikeis aie
paiu the same uaily iate, even though this iate
explicitly assumes that woikeis aie also ieceiving
a substantial non-wage component in the foim of
social benefits. uiven that woikeis anu manageis
on the estates agiee that theie aie high numbeis
of tempoiaiy woikeis - equal to oi even moie
than the numbei of peimanent woikeis at APPL,
accoiuing to some Nu0s active on the estates
17u
-
then the savings foi APPL aie uiamatic.
At least some APPL estates sub-contiact woik
to infoimal laboi biokeis, a piactice that has
fuithei eioueu wages, even below the legal
uaily iate. We spoke with auolescent woikeis
at Kakajan estate, ieciuiteu anu employeu by a
contiactoi, who hau been cleaning the gutteis
between the iows of tea bushes fiom 8AN to SPN
that uay anu ovei the pievious week, in violation
of the houily limitations imposeu on the laboi of
young people by the Plantations Laboui Act.
171

They weie paiu !Su a uay foi theii woik, which
is appioximately a thiiu of the applicable uaily
iate. Inuiviuuals inteivieweu at othei estates
shaieu infoimation about similai piactices -
wheie sub-contiacting iesulteu in the payment
of wages fai below the legal minimum - but the
infoimation in those cases was seconu-hanu,
fiom paients oi neighbois of the woikeis iathei
than the woikeis themselves.
172
Finally, it appeais that wages aie being
uiminisheu thiough a piocess of shifting ceitain
coie piouuction costs anu opeiational iisks
fiom the company onto woikeis. In teims of
piouuction costs, foi example, woikeis acioss
all APPL estates now have to beai the expense
of tools that shoulu ieasonably be pioviueu
by the employei. At eveiy estate, we weie tolu
that woikeis sent to piune the tea bushes aie
167 Kakajan Tea Estate, }anuaiy 2S, 2u1S.
17u Inteiview with Elias Kujui anu meeting with the All Auivasi Stuuents Association of Assam (AASAA) at Chubwa Tea Estate, Assam,
}anuaiy 11, 2u12.
171 No auolescent, uefineu as between 14 anu 18 yeais olu, may woik "foi moie than twenty-seven houis a week." Plantations Laboui
Act, Section 19(1).
172 Battigoi Tea Estate, Assam, }anuaiy 21, 2u1S; Namioop Tea Estate, Assam, }anuaiy 8, 2u12; Najuli Tea Estate, Assam, }anuaiy 21,
2u1S, Bathikuli Tea Estate, Assam, }anuaiy 21, 2u1S.
iequiieu to buy theii own knives. At Achabam,
pay slips ieflect that management ueuucts !21
eveiy yeai foi the cloth sack into which woikeis
ueposit the tea leaves that they pick.
17S
With
iespect to opeiational iisks, we heaiu at multiple
estates fiom woikeis assigneu to spiaying uuty
that, if spiaying hau to be canceleu because of
iain, they woulu not be paiu foi that uay, even
though they weie piesent anu piepaieu foi
woik. At one estate, Namioop, a gioup of thiee
spiay woikeis uesciibeu multiple occasions
wheie they hau staiteu woik at 6AN, woikeu
foi seveial houis until it began to iain, anu weie
paiu nothing foi the uay's laboi.
174
OCCUPATIONAL HEALTH AND SAFETY
Sufety. (1) In every pluntutlon, effectlve urrungementx xhull be muJe by the
employer to provlJe for the xufety of workerx ln connectlon wlth the uxe, hunJllng,
xtoruge unJ trunxport of lnxectlclJex, chemlculx unJ toxlc xubxtuncex.
Pluntutlonx Iubour Act, Sectlon 18A
The PLA was amenueu in 2u1u to incluue
uetaileu piovisions ielateu to the health anu
safety of woikeis spiaying pesticiues anu
othei chemicals. Inteinational stanuaius foi
spiayei safety hau alieauy been well in place
foi many yeais befoie that. APPL manageis at
multiple levels have insisteu that the company
has consistently attenueu to spiayei welfaie,
meeting oi exceeuing both uomestic anu
inteinationally-iecognizeu stanuaius.
The gap between management asseitions
anu woikei expeiience was in eviuence at
many of the plantations visiteu. At Namioop,
management intiouuceu us to the spiay team
supeivisoi, who uesciibeu in uetail a complex
system of masks, gloves, knee-high iubbei
boots, apions anu goggles that all spiay woikeis
ieceive. Be explaineu that woikeis aie pioviueu
with new equipment eveiy yeai, with the
exception of apions, which aie changeu twice a
yeai, anu masks, which aie ieplaceu monthly.
17S

Woikeis at Namioop, inteivieweu on a sepaiate
occasion offeieu a contiauictoiy uesciiption:
they ieceiveu nothing othei than a cloth mask
anu a taipaulin sheet to wiap aiounu theii
bouies; with this minimal piotective geai, they
hau to spiay at least 2uu liteis of pesticiue a uay
in oiuei to meet theii quota.
176

Inteiviews anu obseivations by the ieseaich
team suggest that some changes aie unueiway
oi may iecently have been implementeu, but that
vast gaps iemain. At this point, woikeis cleaily
lack impoitant tiaining anu appiopiiate geai. 0n
thiee sepaiate occasions membeis of the ieseaich
team witnesseu spiay teams woiking without any
peisonal piotective equipment whatsoevei. In
each case, they weie uiesseu in theii own shoits,
T-shiits anu iubbei slippeis, caiiying laige tanks
of pesticiue slung on theii backs.
177
With iespect to peisonal piotective equipment,
woikei testimony inuicates that theie is a
somewhat haphazaiu quality to who gets what,
on many estates: "In a gioup of Su spiayeis, Su
will get mask anu goggles, the othei 2u won't get
anything," saiu a spiay woikei at Najuli.
178
0n
some estates, the allocation of geai among spiay
woikeis appeais to follow some logic, even if
it is an extiemely flaweu logic. Foi example, at
Kakajan anu Boihat, spiay woikeis saiu that
17S Payslip fiom a woikei on Achabam Tea Estate, Assam, ievieweu }anuaiy 1u, 2u12; copy on file.
17S Inteiview with uautam Baioah, ueneial Nanagei, Namioop Tea Estate, Assam, Apiil 17, 2u12.
177 Reseaich visit to Boijan Tea Estate, Assam, Apiil 18, 2u12; Noweia Nuuuy Tea Estate, West Bengal, Apiil 14, 2u12; Powai Tea Estate,
Assam, }uly 14-16, 2u1u (vieweu by ieseaichei piioi to Columbia Buman Rights Institute visit).
only those who mix the toxic chemicals aie given
masks anu gloves; spiayeis ieceive nothing,
unless they buy theii own equipment.
Acioss the APPL estates, spiay woikeis who uo
ieceive goggles to piotect theii eyes heap scoin
on theii quality anu effectiveness:
At Achabam, one spiay woikei tolu us that
he uiu not use the goggles, since they weie
of such low quality that it was impossible to
see thiough the lenses.
179

At Noweia Nuuuy, one spiay woikei
uesciibeu his goggles as "a chilu's toy. I
shook my heau anu the lenses fell out."
18u

At Rungamuttee, they weie uesciibeu as
"like the glasses film stais weai."
181

At Battigoi, a woikei saiu they weie of such
cheap plastic that "you can't see thiough
them aftei you use them foi one uay."
182
The piovision of geai vaiieu acioss the
plantations:
At Rungamuttee, a gioup of thiee spiay
woikeis inteivieweu togethei saiu that
they ieceiveu a cloth hat, cloth shoes, anu
a cloth mask when they began spiaying, but
nothing else.
18S

At Battigoi, two spiay woikeis infoimeu us
that they ieceiveu plastic shoes that go up to
the ankle, but nothing else.
184

A gioup of thiee spiay woikeis inteivieweu
togethei at Kakajan saiu that they hau
ieceiveu nothing thioughout the yeais
that they hau been spiaying, except foi a
taipaulin sheet to wiap aiounu the waist.
18S

No spiay woikei we spoke to, at any APPL
estate, hau evei ieceiveu gloves, except foi
those mixing pesticiues. A spiay woikei at
Najuli noteu emphatically that "foi us, theie
isn't even a question of gloves."
186

Woikeis aie well awaie of what equipment they
shoulu ieceive, because they aie given full geai,
incluuing a change of clothes, when auuitois
aiiive, accoiuing to inteiviews at eveiy estate
visiteu. At Kakajan anu Boihat, we weie tolu
in }anuaiy 2u12 that spiay teams weie given
18u Noweia Nuuuy Tea Estate, West Bengal, }anuaiy 17, 2u1S.
18S Rungamuttee Tea Estate, West Bengal, }anuaiy 18, 2u1S.
18S Kakajan Tea Estate, Assam, }anuaiy 2S, 2u1S.
?/*3 3*,+< +(-" )/( Q$+,-'$))(( (3)-)( 5-6)#"G< 3()3 5#")/
jire sofety meosures for o workforce tbot is preJominontly
*11*)("-)( -+4 #5 2/#' 5(2< *5 -+G< $+4("3)-+4 U+,1*3/7
peisonal piotective equipment when outsiue
auuitois weie visiting, but that it woulu be taken
away as soon as the auuitois weie gone.
187
The
stoiy was iepeateu when we ietuineu to Kakajan
in }anuaiy 2u1S. 0ne cuiient spiay woikei saiu:
"|the supeivisoisj gathei up the goggles, mask,
as soon as the auuitoi has gone."
188
Woikeis
geneially expiesseu appiehension about
consequences - in the foim of ietaliation - if
they iequesteu iegulai access to the equipment.
Inueeu, the one foimei spiay woikei we
inteivieweu who uiu uesciibe having askeu foi
piotective geai - a spiaying coat anu mask -
infoimeu us that he hau been punisheu with a
six-week suspension fiom woik immeuiately
aftei making the iequest.
189
0nuei inteinational stanuaius, appiopiiate
piotective geai uepenus on the hazaius of the
chemicals in use. Chemical-iesistant boots,
coveialls, gloves, hoou anu iespiiatoi aie not
iequiieu unuei all ciicumstances, but some basic
piotections, incluuing goggles, mask, coat, gloves,
et ceteia, woulu be iequiieu even foi those
spiaying minoi iiiitants. Bowevei, inteiviews
conuucteu with woikeis, as well as a ieview of
a spiaying jouinal maintaineu by a sub-staff
membei at one of the estates, inuicate iegulai use
of chemicals categoiizeu as Class II (moueiately
hazaiuous) by the Woilu Bealth 0iganization.
19u
Woikeis claim that one paiticulaily uangeious
chemical, enuosulfan, which has been subject
to a global ban, hau been in iecent use. At Bam
Bim, a woikei who hau been spiaying foi ovei
1u yeais tolu us categoiically that enuosulfan
187 Kakajan Tea Estate, Assam, }anuaiy 12, 2u12; Boihat Tea Estate, Assam, }anuaiy 7, 2u12.
188 Kakajan Tea Estate, Assam, }anuaiy 2S, 2u1S.
189 @4.
19u Name of plantation withhelu to piotect iuentity of woikei. The list we vieweu incluueu a total of seventeen pesticiues containing
chemicals listeu as moueiately hazaiuous (Class II) by the WB0; copy on file. R(( Woilu Bealth 0ig., Recommenueu Classification of
Pesticiues by Bazaiu (2uu9).
A pesticiJe sproyer ot Eottiqor estote sbows tbe jlimsy plostic sboes be wos qiven by monoqement os protection from exposure
)# )#M*6 6/('*6-137
is useu, "not yeai iounu, but foi one paiticulai
insect, anu when they see it, they tell us to
spiay."
191
Be fuithei stateu that spiay woikeis
using enuosulfan uo not ieceive any piotective
equipment, oi tiaining in piecautionaiy
measuies. At Nahoiani, a woikei in a position
to see containeis foi pesticiues volunteeieu
that enuosulfan was being useu theie, too.
192

At Kakajan, a woikei involveu in tianspoiting
pesticiues affiimeu that he hau caiiieu
enuosulfan containeis.
19S
In both of these cases,
theie weie no special piotective measuies taken
in conjunction with the use of the chemical.
0n the subject of piotective geai foi spiayeis,
management is categoiical: they ueny any
pioblem anu insist that theie is iigoious anu
consistent implementation of stiict stanuaius.
Nanaging Biiectoi Beepak Atal uesciibeu an
extensive occupational health anu safety auuit
of management systems, conuucteu by veiue
ventuies, a consulting gioup baseu in Inuia, ovei
2u11 anu 2u12, to ensuie long-teim compliance
with spiayei safety measuies.
194
Be insisteu that
the occupational health anu safety ieview was
ioutine, iathei than having been tiiggeieu by the
iuentification of any paiticulai pioblems. Theie
is a staik uisconnect between management
claims anu the ieseaicheis' own expeiience
- let alone woikeis' accounts - of measuies to
piotect spiay woikeis:
Following the ueath of a spiay woikei at the
Powai estate, in 2u1u, Baiueep Singh, then
the Nanaging Biiectoi of APPL, uenieu that
the woikei coulu have uieu fiom exposuie to
hazaiuous pesticiues. Be tolu the ieseaicheis
that spiay woikeis aie simply not alloweu to
begin the uay's woik unless they aie in full
piotective geai.
19S
Be uismisseu a photogiaph
of spiay woikeis without geai that hau been
taken by one of the ieseaicheis, a full month
aftei the ueath.
196

At Boijan, the ueneial Nanagei insisteu that
all spiayeis ieceive a full set of piotective
geai at the beginning of eveiy woik uay,
which they must put on unuei supeivision
befoie they can begin spiaying. The
equipment is collecteu fiom them at the
enu of the uay, to ensuie that it is cleaneu
anu stoieu appiopiiately. "We all go aiounu
anu check to make suie it is woin," he
emphasizeu. "I go, anu the assistant managei
goes." As he was uesciibing these systems,
we obseiveu a team of spiay woikeis filing
past the winuow behinu him, weaiing only
T-shiits anu shoits, with full spiay tanks
stiappeu to theii backs.
197
Nanageis, at multiple levels, claim that spiay
woikeis unueigo full meuical checkups, eveiy
thiee months, to ensuie that theii health has not
been affecteu by exposuie to pesticiues. With
iegaiu to this specific claim too, the eviuence
suggests the absence of a cleai, consistent policy
acioss the estates:
Spiay woikeis at Noweia Nuuuy
acknowleugeu ieceiving bloou tests eveiy
yeai,
198
anu those at Bam Bim saiu bloou
tests took place eveiy thiee oi foui months,
along with a checkup of weight anu bloou
piessuie.
199
In neithei case, accoiuing to
woikeis, hau they ieceiveu any infoimation
iegaiuing the iesults of the tests.
At Nahoiani, a woikei who hau been
spiaying pesticiues foi between five anu
ten yeais claimeu that he hau nevei hau any
meuical checkup.
2uu

19S Kakajan Tea Estate, Assam, }anuaiy 2S, 2u1S.
194 Inteiview with Beepak Atal, New Belhi, }anuaiy 4, 2u12.
19S Inteiview with Baiueep Singh, New Yoik, 0ctobei 9, 2u1u.
196 Photo iepiouuceu in @+ B#14 L1##4D ](-)/ =G :#*3#+< ](-)/ =G L$11()3, Inteinational 0nion of Foouwoikeis, 0ctobei 2u1u, at S
Thiee woikeis at Kakajan, each of whom
hau been spiaying pesticiues foi between
five anu ten yeais, also uenieu that they hau
evei hau a checkup.
2u1
APPL claims to iotate spiay woikeis, to limit
continuous exposuie to chemicals.
2u2
Bowevei,
uuiing oui inteiviews, we uiu not meet a single
woikei who hau been iotateu on anu off spiay
uuty. Consistently, acioss all APPL estates,
woikeis tolu us that whenevei theie was any
pesticiue spiaying to be uone on the estate,
the same team woulu take on the woik. Buiing
peiious between pesticiue spiaying, the woikeis
weie assigneu to spiaying feitilizei, oi piuning.
0ne woikei at Noweia Nuuuy hau been spiaying
continuously foi ovei 1S yeais, a woikei at Bam
Bim foi ovei 2u.
2uS
Nany woikeis, acioss the
estates, tolu us that they woulu welcome a bieak
fiom spiaying. 0ne woikei at Battigoi saiu, "I've
been uoing nothing but spiaying foi a yeai. I am
sick anu am not getting ovei it at all, but they
won't give me uiffeient woik."
2u4
Inueeu, spiayeis ceitainly believeu that theie
was a link between theii exposuie to pesticiue
anu ceitain veiy paiticulai symptoms of ill
health. Two spiay woikeis at Noweia Nuuuy
tolu us they both expeiienceu consistent fevei
anu weakness. 0ne auueu: "We all age moie
quickly than those who uo not spiay. Nen who
aie Su look like they aie Su."
2uS
0thei symptoms
uesciibeu fiequently, in inteiviews with spiay
woikeis acioss the APPL estates, incluueu
uizziness, bieathlessness, anu nausea.
2u6
CASUALIZATION AND WORKER "SHORTAGE"
The cuiient ciisis of woiking conuitions on the
APPL estates appeais to be ueeply connecteu
to the incieasing use of casual laboi. As noteu
above, the phenomenon of casualization affects
plantations acioss the iegion, peihaps even
moie seveiely than at APPL. While oiganizations
active in the tea sectoi at laige claim that
peimanent jobs have ueclineu acioss Assam
anu West Bengal, to the point wheie theie aie
appioximately two casual woikeis foi eveiy
peimanent woikei, the iatio at APPL appeais
less extieme, though still tioubling. The ueneial
Nanagei of Boijan acknowleugeu employing
1,uSu peimanent woikeis anu 7uu tempoiaiy
woikeis,
2u7
which is similai to the iatio at Noweia
Nuuuy in West Bengal - 7 tempoiaiy woikeis foi
9 %(3)*6*4( 3%"-G(" #+ 8#2("- 8$44G (3)-)( 2(-"3 - 61#)/
'-30< 2/*6/ *3 )/( #+1G %("3#+-1 %"#)(6)*H( (>$*%'(+) K::UP
)/-) /( /-3 (H(" "(6(*H(4 5"#' '-+-,('(+)7
2uu Nahoiani Tea Estate, Assam, }anuaiy 22, 2u1S.
2u1 Kakajan Tea Estate, Assam, }anuaiy 2S, 2u1S.
2u2 See infia, the IFC's Enviionmental anu Social Review Summaiy of Tata Tea, footnote S74.
2uS Noweia Nuuuy Tea Estate, West Bengal, }anuaiy 17, 2u1S; Bam Bim Tea Estate, West Bengal, }anuaiy 18, 2u1S.
2u4 Battigoi Tea Estate, Assam, }anuaiy 21, 2u1S.
2uS Noweia Nuuuy Tea Estate, West Bengal, }anuaiy 17, 2u1S.
2u6 Bam Bim Tea Estate, West Bengal, }anuaiy 18, 2u1S; Battigoi Tea Estate, Assam, }anuaiy 21, 2u1S; Bathikuli Tea Estate, Assam,
}anuaiy 24, 2u1S; Kakajan Tea Estate, Assam, }anuaiy 2S, 2u1S.
eveiy 1u peimanent woikeis, in the low season -
accoiuing to the inuepenuent tiaue union at the
estate.
2u8
(At Noweia Nuuuy, anu all othei APPL
estates wheie we conuucteu inteiviews, the
numbeis of casual woikeis go up significantly
uuiing the so-calleu "high season," when the
plucking of leaf takes place.) At Bam Bim, a gioup
of five woikeis inteivieweu togethei agieeu that
theie aie cuiiently 1,9S4 peimanent woikeis
at the estate, anu about as many tempoiaiy
woikeis on a yeai-iounu basis. 0ne woikei in the
gioup saiu that theie weie even moie tempoiaiy
woikeis until about two yeais ago, when many
of them stoppeu tiying to seek woik at the estate
anu migiateu to neaiby cities.
2u9
Nanageis at APPL also agiee that woikeis aie
leaving the APPL estates in an attempt to finu
bettei paying woik elsewheie. The ueneial
Nanagei of Namioop inuicateu that young
people, anu men of all ages, weie leaving the
plantation to seek employment in New Belhi
anu othei laige cities, as well as at constiuction
piojects closei by.
21u
Fiom the management
peispective, the main pioblems that ensueu
weie the lack of male woikeis foi haiu laboi,
as the Namioop ueneial Nanagei explaineu, oi
absenteeism, wheie woikeis simply uo not show
up if theie aie bettei paying oppoitunities foi
uay laboi in the vicinity, as a Bivisional Nanagei
at Kakajan explaineu.
211

Accoiuing to woikeis, howevei, theie has been
little effoit to ueal with the "push" factois leauing
to migiation anu absenteeism. 0ne woikei
at Bam Bim pointeu out, "Even with so many
leaving, management iefuses to cieate new
peimanent jobs, anu ask them to stay."
212
In fact,
accoiuing to woikeis at seveial estates, APPL is
actively auvancing the piocess of casualization,
not by teiminating existing peimanent woikeis,
but by iefusing to ieplace those who ietiie. At
Nahoikutia, a woikei claimeu that the total
numbei of peimanent jobs hau been ieuuceu
by almost Suu, as existing woikeis ietiieu, but
weie not ieplaceu.
21S
At Boihat, a gioup of eight
woikeis inteivieweu togethei in 2u12 estimateu
that theie weie Su woikeis who hau ietiieu
ovei the pievious two yeais anu hau not been
ieplaceu.
214
A gioup of moie than 2u woikeis
inteivieweu togethei at Batabaii asseiteu that
tempoiaiy woikeis aie not given the oppoitunity
to become peimanent, even though theie aie
vacancies.
21S
This comment iequiies fuithei
explanation: tempoiaiy woikeis anu manageis
aie well awaie that if the company employs
them foi 24u uays of woik in a yeai, they will be
entitleu to peimanent status. To avoiu this, as
we weie tolu at Batabaii, anu at least one othei
estate, management has auopteu the stiatagem
of cycling thiough uiffeient gioups of tempoiaiy
woikeis in the low season, anu only using all
of the tempoiaiy woikeis available foi the five
months of high season.
216
Theie aie a few estates, especially the foui
locateu on the Noith Bank of the Biahmaputia
Rivei in Assam, wheie manageis anu woikeis
agiee that available laboi on the plantations is
insufficient. At one of these estates, a gioup of 2u
woikeis inteivieweu togethei uesciibeu in uetail
the claim that the company was attempting to
ueal with this laboi shoitage by finuing moie
vulneiable woikeis elsewheie, anu employing
them unuei even moie ueploiable conuitions.
"0vei the last thiee yeais, theie have not been
enough people foi plucking," saiu one woikei.
"But the company just biought tiuckloaus of
people fiom foui, five houis away. They have
built only ciuue shacks foi them to live in, anu
they aie all tempoiaiy woikeis."
217

2u7 Inteiview with Amos }ames Paiiat, ueneial Nanagei, Boijan Tea Estate, Assam, Apiil 18, 2u12.
2u8 Inteiview with Piogiessive People's Paity, Nagiakata, West Bengal, }anuaiy 17, 2u1S.
2u9 Bam Bim Tea Estate, West Bengal, }anuaiy 18, 2u1S.
21u Inteiview with uautam Baioah, ueneial Nanagei, Namioop Tea Estate, Assam, Apiil 17, 2u12.
211 Inteiview with Bivisional Nanagei, Kakajan Tea Estate, Assam, }anuaiy 12, 2u12.
21S Nahoikutia Tea Estate, Assam, }anuaiy 9, 2u12.
21S Batabaii Tea Estate, West Bengal, Apiil 14, 2u12.
"J8 S:<FOK8 LS 8MSLK-8&8M" :MU :4H8M-8 LS
K8&8U<8HX !"J8Q :K8 "J8 -LOK"6 "J8Q :K8 "J8
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ACW
In conveisations with management, we weie
ioutinely tolu that theie aie mechanisms in place
to piotect woikeis' iights on the plantations:
the goveinment has inspectois who visit the
plantations, anu the woikeis have unions that
iepiesent them. But these checks on management
powei exist only in theoiy, foi the most pait. The
absence of meaningful goveinment enfoicement
is well known to analysts anu boine out by the
goveinment's own statistics.
219
Foi the last two
yeais in which statistics aie available, theie
weie, effectively, no sanctions foi violations.
The conuitions on the laboi lines aie kept as fai
out of the public view as possible. "Auuitois,"
whethei piivate oi public, uo come to plantations.
But woikeis weie auamant acioss all of APPL
that the auuits weie tightly contiolleu by
management anu, in any event, nevei extenueu
to the living aiea. Theie aie othei steps taken
by management to ensuie that conuitions of
life in the laboi lines aie kept hiuuen: Bespite
the law that iequiies unhinueieu public access
to the aieas wheie woikeis live, management
stiictly monitois visits, iestiicts meetings anu
intimiuates visitois.
Nanagement also cites the existence of
unions as eviuence that woikeis have uiiectly
negotiateu theii teims anu conuitions of woik,
anu have iecouise to suppoit when theie aie
pioblems. But in Assam, theie is one iecognizeu
union in the tea sectoi, the Assam Chah
Nazuooi Sangha (ACNS), anu its monopoly
is maintaineu with the active complicity
of management. The monopoly seives the
company well. Foi woikeis, the union is little
moie than an aim of management, iesisting
woikei uemanus, implementing management
will, anu even pioviuing uistoiteu uesciiptions
of the conuitions on the plantations in suppoit
of management's claims.
AUDITS
At theii own initiative, woikeis fiequently
mentioneu "auuits." Spiayeis biought them
up when askeu about geai. Clinic woikeis
mentioneu them in connection with conuitions
in the hospital. They weie not suie who oi what
the auuitois weie, but they weie veiy familiai
with the teim. At two estates, we askeu woikeis
in gieatei uetail about theii unueistanuing
of the auuit piocess.
22u
They explaineu to us
that, thiee oi foui times a yeai, someone fiom
the staff woulu infoim them that an auuit was
imminent, anu woulu tell them how to behave.
In piepaiation, accoiuing to woikeis, safety geai
was uistiibuteu, anu the builuings weie cleaneu
anu painteu. No cleaning was evei uone in the
laboi lines, accoiuing to woikeis, because the
auuitois woulu nevei come theie.
Nany woikeis iecounteu a vaiiation
of the stoiy we heaiu at Rungamuttee:
management woulu infoim them that an
auuitoi was coming, anu woulu tell them:
"woik haiu anu look goou."
221

In anticipation of the auuit, woikeis on
seveial estates saiu that the factoiies anu
hospitals weie cleaneu, anu the supplies
of meuicine weie ieplenisheu.
222
0n
218 This was one woikei's uesciiption of management's total authoiity ovei all aspects of tea plantation woikeis' lives. Battigoi Tea
Estate, Assam, }anuaiy 21, 2u1S.
219 R(( 3$%"- note 41, Repoits on the woiking of the Plantations Laboui Act, 19S1 uuiing the yeais 2uu8 anu 2uu9.
22u Najuli Tea Estate, Assam, }anuaiy 21, 2u1S; Battigoi Tea Estate, }anuaiy 21, 2u1S.
one plantation, we weie even tolu that
patients weie iemoveu fiom the hospital in
piepaiation foi an auuit.
22S
At Bam Bim, woikeis weie instiucteu not to
speak to the auuitois.
224

Extia secuiity guaius weie also assigneu
uuiing auuit piocesses - "if theie aie usually
foui, suuuenly theie will be ten," saiu one
woikei at Battigoi.
22S
Extia meuical staff aie
biought onsite as well. "Theie aie two woikeis
in the hospital wheie theie is usually one,"
accoiuing to anothei woikei at Battigoi.
226

A woikei at Kakajan explaineu: "The office
may have one peison theie iegulaily, but on
auuit uays theie will be thiee; they will have
two chowkiuais |secuiity guaiusj wheie
theie is usually one."
227

Some spiayeis iepoiteu being pioviueu with
peisonal piotective equipment on the uay of
the auuit, though this was invaiiably taken
away oi became useless aftei a uay oi two.
228

Accoiuing to the woikeis, the auuitois aie
constantly accompanieu by management anu
nevei visit the laboi lines:
At eveiy plantation, the ieseaich team heaiu
some vaiiation of this statement by a woikei
at Najuli: "They go to the office, they go to
the hospital, maybe to the factoiy. But they
nevei come to the laboi line."
229
0i, as one woikei saiu about the auvance
planning foi an auuit, "They uon't woiiy
about cleaning the laboi lines, because
auuitois uon't come heie."
2Su

0n multiple occasions we heaiu complaints
that auuitois nevei take the time to speak with
woikeis. As one woikei at Kakajan saiu, "Not
once have they come to us to say, 'Bow aie you,
how uo you like youi woik.'"
2S1
Even if auuitois
weie to attempt to inteiview woikeis in the
laboi lines, howevei, canuiu uiscussion woulu
be impossible if management was piesent
thioughout. 0ne woikei saiu, "If we coulu talk
to |the auuitoisj face to face in the laboi lines,
we woulu be able to explain what oui lives aie
ieally like. Theie aie holes in my ioof. Look at
the winuows on that house. We woulu say, in a
gaiuen this big theie shoulu be two uoctois." But
anothei woikei inteiiupteu, "If they came, they
woulu come with the managei, so how coulu we
show them anything."
2S2
Woikeis have a cleai iuea of what a meaningful
auuit woulu look like: in the fiist place, visits
shoulu be unannounceu, anu auuitois shoulu
swoop uown "like the CBI |Cential Buieau of
Investigationj," as one woikei put it. Anothei
suggesteu auuitois come on Sunuays oi
holiuays, so that woikeis aie available to meet
with them fieely in theii own homes.
2SS
In any
event, the woikeis insisteu, auuitois must come
unaccompanieu by management in oiuei to
affoiu an oppoitunity foi canuiu inteiviews
with woikeis, anu take theii time to move fieely
within the laboi lines.
222 Inteiviews with woiks, Rangamutee Tea Estate, West Bengal, }anuaiy 18, 2u1S; Battigoi Tea Estate, }anuaiy 21, Su1S; Najuli Tea
Estate, Assam, }anuaiy 21, 2u1S.
22S @47
228 Spiayeis at Bathikuli tolu us that "when they heai that auuitois aie coming, we'ie given plastic gloves like a uoctoi weais. They fall
apait the next uay," anu aie not ieplaceu. }anuaiy 24, 2u1S. At Rungamutee, we weie tolu that spiayeis weie occasionally given soap
to wash with, anu management woulu take pictuies of them washing theii hanus to show auuitois. }anuaiy 18, 2u1S.
229 Najuli Tea Estate, Assam, }anuaiy 21, 2u1S. Woikeis maue similai comments in inteiviews at Noweia Nuuuy Tea Estate, West Bengal,
}anuaiy 17, 2u1S; Rungamuttee Tea Estate, West Bengal, }anuaiy 18, 2u1S; Battigoi Tea Estate, Assam, }anuaiy 21, 2u1S; Nahoiani
Tea Estate, Assam, }anuaiy 22, 2u1S.
2Su Bathikuli Tea Estate, Assam, }anuaiy 24, 2u1S.
2S1 Kakajan Tea Estate, Assam, }anuaiy 2S, 2u1S.
2S2 Battigoi Tea Estate, Assam, }anuaiy 21, 2u1S.
2SS Battigoi Tea Estate, Assam, }anuaiy 21, 2u1S.
RESTRICTED
ACCESS
Anothei impoitant
ieason that theie
is little exposuie of
conuitions in the
laboi lines is that
management iestiicts
access to these paits
of the plantation,
anu caiefully polices
all woikei activities
theie. This is the
case even though the
State Rules of the
Plantations Laboui
Act in both Assam anu
West Bengal uictate
that, "The employei
shall not ueny to the
public fiee access
to those paits of the
Plantation wheie
the woikeis aie
houseu."
2S4
Thiough wiitten oi unwiitten estate-
level policies, management effectively seeks to
counteimanu uomestic law. Nanagement closely
monitois visitois, eithei thiough ACNS oi the
Welfaie 0fficeis, anu on seveial plantations,
explicitly uemanus that woikeis seek auvance
appioval foi any meetings with outsiueis oi
visitois who stay oveinight:
Beep Paiaham uoswami, the Welfaie 0fficei
at Namioop, tolu the ieseaich team that
it was a longstanuing iule that stiangeis
iequiieu peimission to spenu the night.
2SS
0ne woikei at Battigoi ieceiveu a foimal
waining fiom management when he hau
family membeis fiom Belhi staying in his
home. Nanagement tolu him, "Next time,
if you uon't get peimission fiist, you will be
teiminateu."
2S6
The estate-level iules aie fuithei ieinfoiceu in
the wake of any iepoiteu gatheiings oi gioup
meetings, paiticulaily with inuepenuent tiaue
unions oi Nu0s. As this iepoit neais completion,
woikeis at Najuli anu Battigoi estates have
come foiwaiu with allegations that they aie
facing haiassment fiom management foi having
shaieu infoimation about woiking anu living
conuitions with seveial local Nu0s anu chuich
gioups. We have been infoimeu that, in auuition
to inteiiogating woikeis anu thieatening them,
management has foicefully ieiteiateu that
woikeis must comply with "stanuing iules" that
iequiie auvance appioval foi any meeting with
"outsiueis" in the laboi lines. Fuitheimoie, aftei
meeting with Nu0s at Battigoi, five woikeis
weie summoneu to a meeting with the ueneial
Nanagei, weie iepiimanueu by him, anu maue
to sign ueclaiations, without any explanation of
what they weie signing.
2S7
2S4 Assam Rules, PLA, Section 6u(4); West Bengal Rules, PLA, Section 48(S), with iespect to the teims of PLA Section 16.
2SS Inteiview with Beep Paiaham uoswami, Namioop Tea Estate, Assam, Apiil 17, 2u12.
2S7 Email exchanges anu uiscussions with Nu0s in Noith Bank of Assam, copies on file, Nay 16-21, 2u1S.
F#"0("3 -) .-))*,#" ,-)/("(4 *+ )/( E1-=#" 1*+(3J 5#" -+ *'%"#'%)$ '(()*+, 2*)/ )/( )(-' )#
4*36$33 1*H*+, -+4 2#"0*+, 6#+4*)*#+3 #+ )/( (3)-)(7 @+ )/( 2-0( #5 )/*3 '(()*+,< .-))*,#" "(3*4(+)3
2("( 3G3)('-)*6-11G *+)(""#,-)(4 -+4 /-"-33(4 =G '-+-,('(+) 5#" 3%(-0*+, 2*)/ E#$)3*4("37J
In encounteis with the ieseaich team,
management maue light of the legal iequiiement
to allow unimpeueu access to the laboi lines.
In some cases, management - incluuing the
Nanaging Biiectoi Beepak Atal - uenieu that the
law was applicable, insisting that it was tiumpeu
by APPL's piivate piopeity iights.
2S8
In othei
cases, manageis passeu ovei the law anu insisteu
that theii obligation to pievent agitatois anu
ensuie public safety alloweu them to exeicise
bioau poweis to monitoi all activity in the laboi
lines. Nanageis also maue vague iefeiences to
uangeious events anu incuisions having taken
place, in oiuei to suppoit the aigument that the
company policy was actually intenueu to piotect
woikeis fiom outsiueis.
2S9

Nanagement has appaiently convinceu the
Inteinational Finance Coipoiation anu auuiting
agencies that it woulu be inauvisable if not
illegal to entei the laboi lines without auvance
notice anu peimission. Buiing a uispute ovei
conuitions that hau leu to the ueath of a pesticiue
spiayei at Powai in 2u1u, the 0S goveinment,
as a shaieholuei in the Woilu Bank, encouiageu
the IFC to unueitake unannounceu auuits of
spiayei safety. Accoiuing to 0S goveinment
souices, the IFC iefuseu, explaining that, while
theii agieement with APPL uiu allow them to
unueitake unannounceu auuits, foi ieasons
that incluueu the safety of the auuitois, they
woulu not in fact uo so.
24u
UNIONS
0ne of the majoi complaints of woikeis acioss
all APPL estates in Assam
241
is the absence of
meaningful woikei iepiesentation. "We have
a veiy goou union," a woikei at Kakajan saiu
saicastically. "If you louge a complaint, the
union people say, 'Keep youi mouth shut.'"
242

Accoiuing to woikeis, the Assam Chah Nazuooi
Sangha (ACNS), the monopoly union in
Assam, functions as a pait of management. At
best, the ACNS peifoims a human iesouices
function; at woist, it insulates management
fiom woikeis' complaints anu conceins. "ACNS
anu management get togethei anu suppiess
woikeis," saiu one woikei at Battigoi.
24S
A
foimei ACNS iepiesentative at Nahoiani agieeu,
"ACNS is in cahoots with management."
244

APPL ueiives extensive, conciete benefits fiom
its ielationship with ACNS. The union helpeu
with the sale of shaies, incluuing by cooiuinating
gioup meetings anu going uooi-to-uooi in the
plantations to peisuaue woikeis to sign up.
At Battigoi, woikeis claim that the union even
pioviueu laige quantities of alcohol at a gioup
meeting, anu tiieu to oichestiate the uiscussion,
telling uissenteis: "You young people shoulu
not speak."
24S
In inuustiial uisputes, ACNS
consistently inteivenes in negotiations to insist
that woikeis uiop theii uemanus anu accept
those of management; at Boihat, foi example,
it piessuieu woikeis to apologize foi having
engageu in piotest anu accept blame, in oiuei
to enu a lockout. In auuits anu inspections,
2S8 When Beepak Atal founu out about the ieseaich team's visit to the laboi lines, he wiote an email castigating the team foi neglecting
to infoim the ueneial Nanagei of the visits in auvance. |Tjhe uaiuen Nanageis," he wiote, "weie natuially suipiiseu as they hau
ieceiveu no piioi infoimation iegaiuing these visits. . . . |Tjheie appeais to be no iespect foi Piivate Piopeity!" Email fiom Beepak
Atal, }anuaiy 1S, 2u12.
2S9 Inteiviews with managements at Achabam Tea Estate, Assam, }anuaiy 11, 2u12; Namioop Tea Estate, Assam, Apiil 17, 2u12.
24u Email anu telephone exchanges with officials who askeu not to be nameu.
241 The following section is focuseu on union conuitions in Assam, which faces the paiticulai pioblems of union monopoly maintaineu
with management suppoit. In the state of West Bengal, a numbei of inuepenuent union foimations have begun to uevelop ovei iecent
yeais, anu these have begun to challenge the low wages anu pooi conuitions in that iegion. It is too eaily to tell what the long-teim
impact may be of these new woikei oiganizations, which incluue the Piogiessive Tea Woikeis' 0nion (PTW0), anu the Baijeeling
Booais Teiai Plantation Laboui 0nion (BBTPL0). Foi the moment, howevei, the APPL estates in West Bengal peimit union pluiality.
While theie have been spoiauic allegations about management effoits to inteifeie with woikeis' iight to oiganize, paiticulaily
thiough biibeiy, the situation theie is fai bettei than it is in Assam.
the ACNS has pioviueu a contenteu
woikei face, legitimizing pioblematic
management uecisions anu uismissing
any conceins about living anu woiking
conuitions. This was ceitainly oui
expeiience at the APPL plantations we
visiteu; in almost all cases, we sought
meetings with ACNS iepiesentatives
to iequest theii views. ACNS is the only
union that is entitleu to paiticipate in
tiipaitite state-wiue negotiations ovei
wages anu conuitions, anu the only
union iecognizeu on almost all APPL
plantations.
The union monopoly on Assamese
tea plantations is accompanieu
by compulsoiy membeiship, anu
compulsoiy uues ueuuction. Woikeis
at eveiy APPL estate in Assam - except
Nahoiani, uiscusseu below - aie
automatically tieateu as membeis of
ACNS. 0nifoimly, woikeis inteivieweu
affiimeu that they hau nevei hau an
oppoitunity to elect a tiaue union
iepiesentative, oi to inuicate inuiviuual
consent to join the union oi, foi that
mattei, any othei union.
While the monopoly of ACNS was shapeu, anu
continues to be ieinfoiceu, by the Assam state
goveinment anu the Congiess Paity in powei in
the state, Tata anu APPL aie ueeply complicit also.
As Bileshwai Tanti, ueneial Secietaiy of ACNS
acknowleugeu, the union's membeiship list foi
APPL plantations in Assam is compileu puiely
on the basis of submissions fiom management,
which peiiouically senus the union names anu
uetails of all cuiient woikeis.
246
Theie is no
legal basis in Inuian law, oi unuei inteinational
stanuaius, foi this paiticulai veision of a
management-contiolleu "closeu shop."
Bues aie automatically ueuucteu fiom the wages
of all woikeis, in what is iefeiieu to locally as
"table cut." Even tempoiaiy woikeis have
uues ueuucteu fiom theii wages. Accoiuing to
woikeis, in oiuei to obtain uues fiom the laigest
possible numbei of woikeis, ueuuctions aie
maue ovei six to eight pay peiious uuiing the
monsoon, when an aimy of casual anu seasonal
laboi is ieciuiteu foi plucking,
APPL manageis tieat this as uncontioveisial.
They ueny that theie is, oi has been, opposition
to the compulsoiy payment of uues to ACNS. The
ueneial Nanagei of Namioop insisteu that he
hau nevei seen any othei unions in tea besiues
ACNS, anu hau nevei heaiu of woikeis tiying to
cancel the ueuuctions foi ACNS uues fiom theii
paychecks.
247
The ueneial Nanagei of Boijan
offeieu the impiobable aigument that woikeis
woulu have come to him peisonally if they uiu
not want theii uues ueuucteu. Not suipiisingly,
no one hau evei uone so.
248
246 Inteiview with Bileshwai Tanti, ACNS ueneial Secietaiy, ACNS Cential 0ffice, Bibiugaih, }anuaiy 11, 2u12.
8# (1(6)*#+ 5#" 2#"0(" "(%"(3(+)-)*#+ /-3 (H(" )-0(+ %1-6( *+ 933-'S3
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e-f4##" R-+,/- K9BeRP< )# 3/$) #$) ,(+$*+( 2#"0(" #",-+*f-)*#+ -+4
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While employers claim that plantation workers are better
off than other unskilled workers because of the social
benefts provided under the terms of the Plantation
Labor Act, many including workers and labor experts
argue the contrary. For them, the absence of state
oversight, lack of access to government benefts, and
continued dependency on the plantation for housing,
food and healthcare amount to worse conditions and
fewer opportunities for workers to improve their lives.
The absence of state oversight is rooted in the history of
plantations as a separate legal regime. While the worst
aberrations not longer exist plantation managers no
longer have the power to arrest or imprison workers
there is still widespread impunity for their excesses.
Workers at several APPL estates said that it was
diffcult even to get local police to assist them in the
face of management abuse. "They take calls only from
management, not from us, said a worker at Batabari,
describing his unsuccessful efforts to fle a complaint after
he had been severely beaten by an assistant manager
in 2009.
249
A worker at Kakajan described the constant
surveillance of the labor lines and the restrictions on
visitors. When we asked if he knew about the provisions
in the Plantations Labour Act guaranteeing public
access to workers' homes, he responded: "but the law
here they've made up themselves.
250
At Hattigor, one
worker said of the managers: "They are the court, they
are the judge, they are the police.
251
Speaking about living conditions more broadly, Virginius
Xaxa, a sociologist and expert on tea plantation labor,
expressed his view that "The state doesn't discharge
its duty to take care of these people [the plantation
workers], because it considers that the company
is supposed to do it. They are barely treated like
citizens..
252
The impact of this neglect, he asserted,
is easily apparent; for example, while the literacy rate
on the plantations is a mere 20%, according to his
research, in Assam as a whole, it is almost 59%. "f
you take any social indicator, the numbers in Assam go
down when you factor in plantation labor.
253
The same is true of health indicators, as noted
elsewhere in this report.
254
Conditions are better for
those who do not live on plantations. ndeed, according
to Dr. Jagdish Mahanta, an offcial at the ndian Council
of Medical Research, the levels of cardiovascular
disease and hypertension are signifcantly higher
on plantations than in general population. Based
on preliminary studies, Dr. Mahanta believes that
exposure to pesticides is a signifcant factor.
255
Dr.
Tulika Goswami, an offcial connected to the National
Rural Health Mission, focused on maternal mortality
as an indicator, and informed us that almost 80% of
these deaths, in the state of Assam, take place on tea
plantations. "A major element is the delay in getting
medical help, she explained.
256
Health and access to health care were primary concerns
at each estate we visited. The complaints about the
garden-level clinic were always accompanied by
complaints about the diffculty of getting to government
hospitals, where all citizens are entitled to free treatment.
n spite of the large populations living on plantations, the
government does not establish hospitals in the vicinity,
since the responsibility of that care is delegated to the
employers. However, the majority of those living on the
plantation casual workers, dependents of women
workers, children over the age of six, retired workers
and dependent parents of workers are illegally
denied free treatment. At Majuli, a woman worker
whose husband had died the previous year lamented
that if she had been able to get him to a government
OMU8K >F:M":"<LM KOF8X
1LKH8 LSS "J:M L"J8K
-<"<_8MH LS <MU<:`
2Su Kakajan Tea Estate, Assam, }anuaiy 12, 2u12
2S2 Inteiview with viiginius Xaxa, Tata Institute of Social Sciences, uuwahati, }anuaiy 1S, 2u1S.
2SS @47
2S4 See 3$%"- notes 4S-47.
2SS Inteiview with Bi. }aguish Nahanta, Inuian Centei foi Neuical Reseaich, Apiil 17, 2u12.
2S6 Inteiview with Tulika uoswami, National Ruial Bealth Nission, Apiil 17, 2u12.
hospital, his care would have been entirely free under
a government scheme for tuberculosis patients. n her
case, since he was treated at the garden hospital, the
expenses are being deducted from her paycheck.
257
"We'd be better off in a village, a factory worker at
Borhat told us.
258
Almost without exception, plantation
workers would qualify for government schemes
entitling those below the poverty line to free houses on
their own land. Plantation workers have no legal right
to land that is on the plantation and, in some cases,
have even been frustrated in efforts to assert rights
over land that they own outside the plantation. Workers
at Borhat and at three other estates claimed that they
were unable to register small plots of land that their
grandparents had bought outside the plantation without
a "no-objection certifcate (NOC) from confrming that
the plantation does not own the land. APPL, and Tata
before them, have consistently refused to issue these
NOCs, without which they cannot beneft from the
government scheme or even sell the land.
259
Workers have also sought "below poverty line (BPL)
power connections through the state electricity board
for their homes within the labor lines, to replace the
expensive and intermittent supply provided through
the company, but have largely been unable to secure
them without an NOC. Our review of BPL households'
electricity bills from communities in the same regions
as the plantations indicates that 24-hour connections
under the government scheme, used consistently to
power fans, a television, and other household goods,
still led to bills that were lower than those for households
in the labor lines receiving no more than three hours of
electricity per day.
260
Similarly, at Nowera Nuddy in West
Bengal, where the new, independent trade union made
NOCs a central part of its demands, workers secured
BPL connections in the labor lines in 2012. These have
drastically reduced electricity bills, according to two
workers interviewed in January 2013.
261
An NOC is also required for connections to government
water supplies. At Rungamuttee, a group of 20 workers
who had described the unclean water and frequent
dysentery deaths there, also told us that a particular
division within the labor lines had attempted to secure
a direct municipal connection, but was denied because
the company would not provide an NOC.
262
The government's apparent abdication of its
responsibility to address development and services for
plantation workers in general, including based on our
extensive interviews and observation workers at the
APPL estates, is a matter of serious concern. Given
that the government heavily subsidizes plantations'
social beneft obligations, as noted earlier in this report,
the quality of and access to these benefts should be at
least on par with the comparable government scheme.
]-'% -+4 '(-,(" =(44*+, *+ ('%1#G("C%"#H*4(4 /#$3*+, -) L#"/-)
U3)-)( 5"#' - %/#)#,"-%/ )-0(+ *+ )/( '*43) #5 2*+)(" VdOV7
2S7 Najuli Tea Estate, Assam, }anuaiy 21, 2u1S.
2S8 Boihat Tea Estate, Assam, }anuaiy 7, 2u12.`
2S9 Kakajan Tea Estate, Assam, }anuaiy 12, 2u12; Bathikuli Tea Estate, Assam, }anuaiy 1S, 2u12; Bam Bim Tea Estate, West Bengal, Api. 1S, 2u12; Noweia
Nuuuy Tea Estate, West Bengal, }anuaiy 17, 2u1S.
26u See 3$%"- notes 1uS-u6.
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In fact, we heaiu fiom woikeis about seveial
laigely unsuccessful effoits to iesist compulsoiy
payment of uues, incluuing a piotest by moie
than 8u unaffiliateu woikeis at Achabam,
26S

anu by membeis of othei unions, incluuing
the Assam Tea Labouiei's 0nion, the Bagicha
Siamik Santha, anu CIT0, at Powai, Boihat anu
Namioop iespectively.
264
ACNS offeis shifting justifications foi the system
of uues ueuuction. In }anuaiy 2u12, the union's
ueneial Secietaiy, Bileshwai Tanti, insisteu
that eveiy woikei on the Assam estates hau
inuiviuually authoiizeu uues ueuuction, baseu
on lists maintaineu by the union's gaiuen-level
committee.
26S
In all of oui inteiviews, howevei,
we uiu not speak with a single woikei who hau
agieeu to uues ueuuction, oi who hau inuicateu
his oi hei uesiie to join the union, thiough a
signatuie oi thumbpiint. A yeai latei, Tanti's
stoiy hau changeu. Be insisteu that compulsoiy
uues payment was justifieu, on the basis of
"an inuustiy-wiue check-off agieement, wheie
the iegisteieu unions authoiize the ueuuction
by management on behalf of all of theii
membeis."
266
The issue of how woikeis become
ACNS membeis in the fiist place, oi how ACNS
ieceiveu iecognition, iemaineu unexplaineu.
The one exception to the system of compulsoiy
uues payment that we encounteieu among
the APPL estates in Assam was at Nahoiani,
one of foui estates on the Noith Bank of the
Biahmaputia Rivei. Accoiuing to an inteiview
with a gaiuen-level iepiesentative of the CIT0
union, "table cut" was enueu at the estate
following a laige-scale piotest in 1982.
Cuiiently, uues payment is voluntaiy: all unions
at the estate, incluuing ACNS anu CIT0, seek
contiibutions on payuay, anu woikeis pay,
as they wish, to any one union oi none. 0thei
woikeis at Nahoiani - both CIT0 membeis
anu those unaffiliateu to a union - uesciibeu
constant effoits by ACNS to iestoie "table cut,"
which continue to be vigoiously opposeu by
woikeis.
267
The exception to compulsoiy uues
payment that pievails at Nahoiani makes the
piactice at othei estates all the moie uifficult to
explain oi uefenu.
26S Achabam Tea Estate, Assam, }anuaiy 11, 2u12.
264 Powai Tea Estate, Assam, }uly 14-16, 2u1u (by ieseaicheis piioi to Columbia Buman Rights Institute ieseaich); Boihat Tea Estate,
Assam, }anuaiy 7, 2u12; Namioop Tea Estate, Assam, }anuaiy 8, 2u12.
26S Inteiview with Bileshwai Tanti, ACNS ueneial Secietaiy, ACNS Cential 0ffice, Bibiugaih, }anuaiy 11, 2u12.
266 Inteiview with Bileshwai Tanti, ACNS ueneial Secietaiy, ACNS Cential 0ffice, Bibiugaih, }anuaiy 28, 2u1S.
267 Nahoiani Tea Estate, Assam, }anuaiy 22, 2u1S. The exact levels of employee owneiship - pioposeu oi cuiient - aie not entiiely cleai.
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When Tata tiansfeiieu its noithein plantations
to APPL, in 2uu7, it set in motion a multi-stageu
plan that incluueu the sale of up to Su% of the
company to woikeis anu staff.
268
The tiansition
plan was piemiseu on builuing "gieatei lanu
anu laboi piouuctivity" foi a moie sustainable
plantation mouel.
269
Employee owneiship was
piomoteu as a cential element of the tiansition.
It was ciitical to winning the suppoit of Woilu
Bank's Inteinational Finance Coipoiation (IFC),
which linkeu employee owneiship to impioving
efficiency, piouuctivity anu sustainability.
27u

As APPL stateu in its annual iepoit foi the
2uu9 -1u financial yeai, "Employee owneiship
in youi company will biing about a stiong
sense of owneiship anu belonging." APPL has
celebiateu the tiansfoimative impact that shaie
owneiship will have on the woikeis, who, as
stakeholueis in the company's success, will be
instilleu with a new sense of accountability.
271

The IFC, while also celebiating the plan, initially
acknowleugeu some limitations of the mouel in
inteinal uocuments, iecognizing, foi example,
that theie was no piovision maue foi woikei-
shaieholueis to paiticipate in the goveinance
of the new company.
272

Besiues employee shaie owneiship, one of
the most significant featuies of the planneu
tiansition was uiveisification fiom the
monocultuie of tea into othei agiicultuial
piouucts. This was a coie pait of the plan to
bolstei the sustainability of the plantations.
Like the shaie plan, it was also intenueu to
geneiate benefits foi woikeis, in this case, with
bettei anu moie secuie employment.
The actual implementation of the shaie plan
anu the uiveisification piogiam, howevei, aie
fai fiom the lofty ihetoiic of the IFC uocuments
anu APPL annual iepoits. It may be inuicative
of the gap between the ihetoiic anu ieality that
the company nevei shaieu the IFC uocuments oi
the annual iepoits with the woikeis. Fai fiom
achieving the goal of impioving the conuition of
woikeis, APPL's actions appeai to be cieating
even moie buiuens. The impacts aie uiscusseu
in uetail below: they incluue confusion,
ueception, uuiess anu fuithei impoveiishment
in connection with the shaie plan, anu the loss
of lanu histoiically useu by woikeis as a uiiect
iesult of uiveisification.
268 The IFC's Summaiy of Pioposeu Investment in Tata Tea, uateu 2uu6, suggests an expecteu level of 2u% foi woikeis anu management. R((
*+5"- note S68. Tata ulobal Beveiages (TuBL) acknowleuges owning 49.u6%, while the IFC owns 19.29%. That woulu leave a maximum of
S1.6S% foi employees. Accoiuing to the 2u11-12 APPL Annual Repoit, the othei majoi shaieholuei is Tata Investment, which has Su.14%,
which piesumably incluues the unvesteu employee shaies (the "CCCPPS"). Bowevei, the Annual Repoit also claims that woikeis anu
management own S4.2u% thiough the CCCPS.
269 IFC Summaiy of Pioposeu Investment, Pioject Besciiption.
27u R(( Nemoianuum fiom IFC vice Piesiuent anu Coipoiate Secietaiy, "Inuia: Pioposeu Investment in a New Company which will
Acquiie anu Nanage the 24 Tea Plantations in Assam anu West Bengal Cuiiently 0wneu by Tata Teas Limiteu," 0ctobei 6, 2uu6,
at 1, S; on file.
271 APPL Annual Repoit 2uu9-1u at 2; on file.
272 In an inteinal memo, the IFC pioposeu amenuing this, thiough an "employee empoweiment piogiam to enable the employees to play
a paiticipatoiy iole in the management of the Company." IFC Nemoianuum, 3$%"- note 27u, at S.
The Economic mpact of Restructuring: "Employee Ownership and Diversifcation 77
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The sale of shaies to woikeis was stiuctuieu
as an inteiest-fiee loan, to be paiu back ovei
seven yeais. Woikeis who subsciibeu to the so-
calleu "Cumulative Compulsoiily Conveitible
Paiticipatoiy Piefeience Shaie Scheme" oi CCCPPS
committeu to iepaying the !8uuu loan thiough
ueuuctions fiom theii wages ovei that time.
Theie was consiueiable uiscomfoit anu
confusion about the plan fiom the time that it was
announceu. Initially, in Assam, even the usually
complacent tiaue union, the ACNS, opposeu the
plan. Among othei things, woikeis feaieu that
they woulu lose theii statutoiy employment
benefits since they weie to become owneis.
27S

The Nanaging Biiectoi of APPL, Beepak Atal,
acknowleugeu that the woikeis ieacteu with
some "appiehension" to the iuea of losing
the stability associateu with the connection
to the Tata bianus. Tata "was a sheltei foi
them," he saiu.
274
0n some plantations, anxious
woikeis uisiupteu the meetings oiganizeu by
management to uiscuss anu piomote the plan.
At Battigoi, "theie was chaos at the meeting
that management oiganizeu at the cieche," one
woikeis uesciibeu. "We all saiu, theie is no point
in buying these shaies. We won't be able to get
iations anu fiiewoou anu giatuity if we become
the employei."
27S
Neetings on some othei
plantations weie suspenueu.
Tata insisteu that employee benefits woulu
continue, ACNS was peisuaueu to suppoit
the plan, anu eventually APPL pioceeueu with
implementation. Fiom 0ctobei 2uu9 to Naich
2u1u, the company collecteu signatuies oi
thumbpiints fiom woikeis who committeu
to paiticipate in the CCCPS. 0veiall, 67% of
plantation woikeis (about 21,uuu) subsciibeu to
the CCCPPS, accoiuing to Beepak Atal, taking on
shaies estimateu at between S% anu 8% of the
total owneiship of the company. The numbeis
of woikeis who signeu up vaiieu by plantation,
ianging fiom a low of S7% at Najuli to 1uu% at
Bathikuli anu Boijan.
276
The ioll out was completeu in Apiil 2u1u, anu
ueuuctions began soon afteiwaiu.
277
0nuei the
teims of the plan, the capital investment anu a
uiviuenu of at least 6% pei yeai aie guaianteeu
foi the fiist foui yeais. Aftei that time, the
shaies will vest anu theii value will uepenu on
the maiket. APPL celebiateu the iollout, noting
in an Annual Repoit that the "success was
oveiwhelming."
278
It pointeu to the high level
of subsciiptions as cleai eviuence of its goou
communication with woikeis, anu of theii tiust
in management:
"The success of the employee stock plan is
testimonial to the effoits maue at all levels to
communicate anu engage with employees."
279
"Engagement anu tiust builuing with
employees at all levels has ieceiveu all iounu
focus."
28u
"|The woikeisj have ieposeu tiust in the
management anu owneiship of the company
by paiticipating in laige numbeis."
281
27S "Inciuentally, the company's biu to offei woikeis stakes in APPL has causeu confusion among woikeis in TTL's gaiuens in West Bengal
on whethei theii existing seivice conuitions woulu continue if they became employee shaieholueis of APPL." "Tata uioup to Bolu
About SS% in APPL," Economic Times, Apiil S, 2uu7.
274 Neeting with the IFC anu Beepak Atal, New Belhi, }anuaiy 4, 2u12.
276 Neeting with the IFC anu Beepak Atal, New Belhi, }anuaiy 4, 2u12.
277 Review of pay slips foi the peiiou Apiil 26-Nay 9, 2u1u fiom Rungamuttee Tea Estate, showing ueuuctions foi "equity"; copies on file.
278 APPL Annual Repoit 2u1u -11 at 2.
279 APPL Annual Repoit 2uu9-1u at 4.
28u @47
Eviuence of tiust anu communication weie
paiticulaily impoitant to the legitimacy of the
piocess. Recognizing this, APPL emphasizeu in
the Annual Repoit, "This has been a path bieaking
scheme consiueiing that much of the woikfoice
who have paiticipateu aie not liteiate."
282
Bowevei, inteiviews with woikeis convey
a uiffeient veision of events, chaiacteiizeu
by abuse of powei anu extiaoiuinaiily pooi
communication. Woikeis
uesciibeu extensive confusion,
ueception anu uuiess in the
sale of shaies. veiy few hau a
cleai iuea of the souice of the
"loan" foi the shaies, let alone
the potential iisks anu benefits
of owning them. A substantial
majoiity of the woikeis
who puichaseu shaies still
believe that they weie paiu
foi with money taken out of
theii statutoiy ietiiement
accounts (commonly known
as Pioviuent Funu oi "PF").
Communication has been
a significant pioblem fiom
the stait: theie was no ieal
effoit to pioviue woikeis
with wiitten mateiials in local
languages befoie the sale. In
the wake of the sale, theie has
been no communication with
woikeis at all: no meetings, no
piesentations, anu no iepoits
to convey infoimation about
the state of the company with
its "new owneis," much less
to solicit theii opinions. The
extieme contiast between
the expeiience of the woikeis
anu the claims of the company
iaise seiious questions, not
only about the company's
will anu capacity at the level
of implementing the shaie
plan, but about its goou faith in the initial
conceptualization.
Nanagement acknowleuges pioblems of
communication since the sale of shaies, but
uenies othei failuies. Insteau, the company
stiesses the benefits to woikeis. In the
financial yeai 2u1u-11, woikeis - as well as
othei shaieholueis - ieceiveu a 12% uiviuenu,
twice the guaianteeu iate of 6%.
28S
Noieovei,
281 @47 at 2.
282 @47
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management has consistently asseiteu that
the shaie value has incieaseu, with Nanaging
Biiectoi Beepak Atal claiming that it hau gone
up by 17u%.
284
The lattei claim is haiu to
veiify since the shaies aie not publicly tiaueu,
the financial iepoits aie not public, anu the
company is still closely tieu into Tata ulobal
Beveiages.
28S
With iegaiu to the high initial
uiviuenus, theie is no uenying that they weie
welcome, but they have subsequently uioppeu.
Accoiuing to the annual iepoit foi 2u11 -12, the
ueclaieu uiviuenu was only S%.
286
While theie is ioom to aigue that woikeis
will ultimately benefit fiom the shaie plan,
it is also cleai that theie is consiueiable iisk
anu unceitainty, as theie woulu be with any
maiket investment. Woikeis' accounts suggest
that they uiu not have a iealistic oppoitunity
to weigh the options anu make an inuiviuual
choice. The expeiience of woikeis uuiing the
subsciiption peiiou, anu the buiuens imposeu
by the shaie plan subsequently, aie uesciibeu in
the following sections.
ML <MSLK&8U -LMH8M"
Nany of the woikeis who bought shaies
pioviueu us with uetaileu accounts of
misinfoimation, ueceit oi even fiauu.
287
At
the most basic level, those iesponsible foi
executing oi facilitating the shaie plan - Tata
anu APPL manageis, anu some IFC staff - maue
little appaient effoit to uisclose the uetails,
incluuing the potential iisks. Woikeis weie
given no basic infoimation about the opeiation
of the stock maiket, anu iemain puzzleu, yeais
aftei the changes have taken place:
At Bathikuli, not one of the woikeis
inteivieweu felt that he oi she hau ieceiveu
any infoimation about the shaie plan. "No
one explaineu to me what this business of
shaies is," one woikei iecounteu. "They just
saiu, 'It will be goou foi you to buy shaies.'"
288

At Namioop, in Apiil 2u12, one woikei
complaineu: "What uo we know about the
shaie bazaai. They keep cutting oui wages anu
we still uon't know what we'll get fiom it."
289

A woikei at Bathikuli who hau iecently
become involveu in local politics, aftei
agieeing to puichase shaies, saiu, "We weie
tolu that when theie was a piofit we woulu
get some of it. 0nly latei I iealizeu that theie
coulu be a loss to the company, anu then I
woulu also suffei fiom the loss."
29u
0ne young man at Kakajan, who hau manageu
to stuuy thiough 1u
th
giaue, uesciibeu
inteivening to pievent his mothei fiom buying
shaies: "I hau heaiu about the shaie maiket.
I knew what they weie saying wasn't tiue -
shaies uon't just go up, they also go uown."
291
28S Accoiuing to passbooks vieweu by the ieseaich team, woikeis have ieceiveu foui uiviuenus between Becembei 2u1u anu Novembei
2u12. The total amount ieceiveu was !176u. The amount ueuucteu fiom theii paychecks, assuming ueuuctions fiom Apiil 2u1u to
Novembei 2u12 woulu have been about !Su6u, assuming 1S9 weeks anu ueuuctions of !22 pei week.
284 Neeting with the IFC anu Beepak Atal, New Belhi, }anuaiy 4, 2u12. Bespite this giowth, the 6% ueuuction paiu to woikeis is calculateu
on the basis of the oiiginal shaie piice.
28S Accoiuing to a foimei high-level APPL managei who askeu to iemain anonymous, theie aie seiious unacknowleugeu pioblems in
the uivision of assets anu accounting of costs between Tata ulobal Beveiages anu APPL.
286 R(( APPL Annual Repoit foi 2u11-12. As pei the CCCPPS, employees weie given a 6% uiviuenu, while iegulai shaieholueis ieceiveu
S%. @47 at 4.
287 The ieseaicheis founu little consistency acioss estates, oi even acioss uiffeient gioups of woikeis on a single estate, iegaiuing what
they weie tolu in meetings, oi in one-on-one communications with manageis anu supeivisois, about the shaie plan. While no woikei
shaieu an expeiience of cleai, tiuthful anu coheient explanations of the shaie plan, the paiticulai ways in which expeiiences weie
negative vaiieu a gieat ueal, suggesting that many uecisions iegaiuing communication about the scheme weie uelegateu to manageis
anu supeivisois, with little cential supeivision of anything except the final tally of how many woikeis hau signeu up.
288 Bathikuli Tea Estate, Assam, }anuaiy 24, 2u1S.
289 Namioop Tea Estate, Assam, Apiil 17, 2u12.
29u Bathikuli Tea Estate, Assam, }anuaiy 24, 2u1S.
Some of the conceins ielateu to lack of
unueistanuing of the shaie plan, as a iesult
of levels of liteiacy anuoi the absence of
tianslation. No significant uocument was
piouuceu in Sauii, the lingua fianca of
the plantation woikeis. Woikeis "signeu"
uocuments in English, a language that none of
them speak:
A gioup of woikeis at Kakajan, inteivieweu
togethei, tolu us that all of the manageis
spoke to them in English oi Assamese,
iathei than Sauii oi Binui (which the
majoiity of woikeis also unueistanu) when
pioposing the shaie puichasing plan at the
official meetings.
292
Anothei gioup of woikeis at Kakajan
uesciibeu having been given foims to
"ieview" befoie signing theii names oi
maiking theii assent with a thumbpiint, by
supeivisois who weie well awaie that they
weie illiteiate in English.
29S

0thei testimony fiom woikeis suppoits
the peiception that theie was a pio foima
quality to the infoimational meetings, with
veiy little effoit to convey even basic uetails.
In many cases, woikeis left the meetings not
even unueistanuing that they coulu iefuse to
paiticipate in the shaie plan.
Seven woikeis at Noweia Nuuuy saiu that
they signeu foims unuei the impiession
that they woulu be ieceiving money if they
uiu so - foui of them thought they woulu
ieceive !8uuu each, the othei thiee believeu
they woulu ieceive an unspecifieu "bonus"
fiom management. In each case, the woikeis
weie suipiiseu to finu that not only uiu they
ieceive no cash, but that iegulai ueuuctions
weie being taken out of theii paychecks as a
consequence of assenting to the scheme.
294

A gioup of eight woikeis at Bathikuli,
wheie APPL claims that viitually 1uu% of
woikeis agieeu to buy shaies, tolu us: "We
unueistoou that all the woikeis hau to uo it.
It was an oiuei to buy."
29S
The piomises iegaiuing the financial benefit
that woulu flow fiom signing the uocument
weie many:
A gioup of 12 woikeis inteivieweu togethei
at Battigoi iepoiteu that, in oiuei to publicize
the shaie plan, manageis biought vans
loaueu with saiis anu othei consumei goous,
anu showeu a film on a piojectoi featuiing
the things woikeis woulu be able to buy with
the money they maue fiom the shaie plan.
296

0ne woikei at Noweia Nuuuy was tolu by
high-level manageis, "in foui yeais youi
money will be uoubleu."
297

At Batabaii, anothei estate in West Bengal,
a woikei was infoimeu by a supeivisoi that
"the piice of shaies will inciease like the
piice of aloo |potatoesj. Fiom !8,uuu you
will get !8u,uuu."
298

A woikei at Najuli came away fiom the
official meeting oiganizeu theie with
inflateu expectations: "They tolu me it was
like life insuiance," he iepoiteu. "They saiu
the !8uuu woulu be woith !8uu,uuu."
299

At an official meeting to uiscuss the shaie
plan, oiganizeu by the management at
Namioop in 2uu8, woikeis iecalleu being
tolu: "Eveiy house will have a cai."
Suu

294 Noweia Nuuuy Tea Estate, West Bengal, }uly 17, 2u1u.
29S Bathikuli Tea Estate, Assam, }anuaiy 1S, 2u12.
297 Noweia Nuuuy Tea Estate, West Bengal, }uly 17, 2u1u.
At Kakajan, accoiuing to thiee woikeis
who hau attenueu a meeting on that estate,
woikeis weie tolu, "If you buy shaies, you'll
be able to get a cai, anything else you want."
Su1
The expeiience of paiticipation in a scheme
that they uo not unueistanu actually appeais to
have fuithei uisempoweieu many woikeis. 0ne
uispiiiteu woikei at Noweia Nuuuy, attempting
to explain why he hau puichaseu shaies,
iemaikeu: "We uon't ieau oi wiite, we uon't
think, eveiyone signeu anu so we signeu."
Su2
This
comment was iepeateu, with minoi vaiiations,
at each plantation we visiteu. "What's the point
of asking us about shaies, whethei we think
it's a goou thing oi a bau thing." uemanueu a
woikei at Bathikuli. "It is uone."
SuS
The peiception of poweilessness has only
been enhanceu by the company's failuie to
communicate any infoimation about its piofit
anu loss subsequent to the sale of shaies. At
Battigoi, a gioup of 12 woikeis inteivieweu
togethei iecollecteu that they hau been piomiseu
a monthly meeting foi shaieholueis, wheie
they woulu be pioviueu with uetails on the
company's financial health. But not even a single
such meeting has taken place. "Shoulun't we be
tolu how much money the gaiuen is making, why
we aie getting so little money eveiy yeai." askeu
one woikei. "But no one tells us anything."
Su4
The
CIT0 tiaue union iepiesentative at Nahoiani
maue a similai point: "They saiu, 'We'll give you
an accounting eveiy month. You'll know what
the piofits aie, what the losses aie.' But what's
actually going on, absolutely no one knows."
SuS

The lack of infoimation has leu to sometimes
panickeu speculation on some estates. "No one
has tolu us anything since we bought the shaies,
so the company's value must be going uown,"
saiu a woikei at Bathikuli. "Aftei going oiganic,
oui bushes piouuce veiy little leaf."
Su6
-L8K-<MV 1LKY8KH "L 4OQ HJ:K8H
Beyonu misiepiesentation, the ieseaicheis
founu wiuespieau use of coeicive techniques by
management to secuie woikeis' paiticipation
in the shaie plan. Acioss all APPL estates, laige
numbeis of woikeis iepoiteu expeiiencing
some uegiee of piessuie to buy shaies, incluuing
thieats anu acts of ietaliation if they uiu not.
In its simplest foim, theii paiticipation was
piesenteu as a 5-*) -66#'%1*. At Bathikuli a gioup
of eight woikeis iecalleu that they weie tolu in
a laige meeting, by the managei, "Theie is going
to be a shaie system, anu money will be cut fiom
youi wages to pay foi it." Aftei that, one woikei
saiu, "They just took eveiyone's thumbpiint."
Su7

Coeicion, howevei often took on a moie uiiect
foim. Seveial gioups of woikeis at Namioop,
inteivieweu at multiple sepaiate locations,
uesciibeu the most extieme thieats:
Theie weie blunt thieats of teimination -
"You must buy shaies oi we will fiie you."
Su8

Nanageis piomiseu violent ietaliation
thieatening that the chowkiuai (secuiity
guaiu) oi militants fiom the 0niteu Libeiation
Fiont of Assam woulu be sent aftei them.
Su9

While these extieme thieats weie ielatively
iaie, at eveiy APPL estate visiteu ovei the thiee
yeais of the ieseaich piocess, the ieseaich
Suu Namioop Tea Estate, Assam, Apiil 17, 2u12.
Su1 Kakajan Tea Estate, }anuaiy 2S, 2u1S.
Su2 Noweia Nuuuy Tea Estate, Assam, Nay 18, 2u1u.
SuS Bathikuli Tea Estate, Assam, }anuaiy 1S, 2u12.
Su4 Battigoi Tea Estate, Assam, }anuaiy 21, 2u1S.
SuS Nahoiani Tea Estate, Assam, }anuaiy 22, 2u1S.
Su6 Bathikuli Tea Estate, Assam, }anuaiy 24, 2u1S.
Su7 Bathikuli Tea Estate, Assam, }anuaiy 1S, 2u12.
Su8 Namioop Tea Estate, Assam, Api. 17, 2u12.
Su9 @47
The brochure prepared by the
IFC and Tata/APPL to describe
the share ownership scheme to
workers frequentIy crosses the Iine
from informationaI to promotionaI.
8N-8K>"H LS "J8
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team ioutinely heaiu iepoits of moie equivocal
thieats of job loss:
At Noweia Nuuuy in West Bengal, a gioup
of woikeis weie waineu, "If you uon't sign
all these papeis immeuiately, you might lose
youi jobs anu face tiouble."
S1u

At Battigoi, a woikei saiu that she anu hei
neighbois weie tolu, "If you buy shaies, the
gaiuen will thiive anu you will still have youi
job. If you uon't, the gaiuen will close."
S11

At Bathikuli, a gioup of eight woikeis was
conveneu anu they weie tolu, "The company
can't keep going unless you buy shaies. The
gaiuen will close anu be solu."
S12

At Kakajan, thiee woikeis saiu they weie
tolu, "You must buy. If you uon't, the company
will close."
S1S

The thieats weie iepoiteu as having come fiom
all levels of management: geneial manageis,
assistant manageis, welfaie officeis, anu
supeivisois.
In some cases, the thieats may seem, on theii
face, ielatively inoffensive. Bowevei, these
comments shoulu be unueistoou in the context
of powei ielations on the estates, anu the impact
on woikeis of having theii uecision challengeu
by high-level manageis, who aie otheiwise nevei
seen in the uay-to-uay woik of plucking leaves in
the tea gaiuen, oi woiking in the factoiy.
At Bam Bim, a woikei who initially iefuseu
to buy shaies saiu that she was suiiounueu
by thiee manageis, haianguing hei until she
changeu hei minu.
S14

At Namioop, five woikeis tolu us that they
hau all tiieu to iefuse to buy shaies. They saiu
that they hau been ieassuieu by the piomise
of the geneial managei, at the initial public
meeting about the shaie scheme, that no one
woulu be foiceu to buy in. Bowevei, following
the meeting, the managei sent gaiuen secuiity
peisonnel to visit them in theii homes
iepeateuly, to peisuaue them to change theii
minus. Even though the secuiity peisonnel
maue no thieats, the five uesciibeu feeling
intimiuateu, anu finally, all of them gave in.
S1S
At Bam Bim, a woikei who tiieu to iesist
puichasing shaies was tolu, "latei you will
iegiet it."
S16

The meie piesence of high-level management
tuineu ielatively minoi thieats into much moie
seiious ones in the eyes of woikeis inteivieweu.
Foi example, at eveiy estate we visiteu, multiple
woikeis uesciibeu inciuents wheie, at the enu
of the woikuay, they weie tolu by supeivisois,
in the piesence of management, that they woulu
not be paiu foi the uay's woik unless they
signeu foi shaies. A few inciuents aie uetaileu
below, but it shoulu be unueistoou that these
aie meiely examples fiom moie than 8u such
stoiies iepoiteu.
Two woikeis at Noweia Nuuuy saiu that they
hau felt compelleu to sign by the supeivisoi,
when he switcheu off the weighing machine
which weighs each woikei's sack of pluckeu
leaf at the enu of the uay to ueteimine how
much he oi she will be paiu foi the uay's woik.
"We won't weigh youi leaves until you sign,"
the woikeis weie tolu. Both woikeis saiu
that the "chhota saab" anu the "baua saab"
(assistant managei anu geneial managei)
weie stanuing by as these comments weie
maue. "0sually, the manageis aie nevei
theie," one woikei emphasizeu. "Now all of
them weie theie."
S17

S1u Noweia Nuuuy Tea Estate, West Bengal, Api. 14, 2u12.
S12 Bathikuli Tea Estate, Assam, }anuaiy 24, 2u1S.
S1S Kakajan Tea Estate, Assam, }anuaiy 2S, 2u1S.
S14 @47
S1S Namioop Tea Estate, Assam, Apiil 17, 2u12.
S16 Bam Bim Tea Estate, West Bengal, }uly 17, 2u1u.
S17 Noweia Nuuuy Tea Estate, West Bengal, }uly 17, 2u1u.
At Batabaii, a gioup of almost Su woikeis
inteivieweu togethei saiu that they hau
peisonally expeiienceu oi witnesseu the
same foim of piessuie. 0ne summeu up the
thieat in the following teims: "If you uon't
buy shaies, we won't weigh youi leaves anu
you won't get paiu."
S18

0ne woikei at Noweia Nuuuy, the sole
eainei foi a family of five, uesciibeu going to
a managei to ask that he be ieleaseu fiom
his initial agieement to buy shaies, since
he was unable to make enus meet aftei the
ueuuctions weie taken fiom his salaiy. Be
tolu us that the managei hau iefuseu, saying,
"Why. Biu we catch holu of youi hanu anu
make you sign." Be hau to acknowleuge that
he hau not been physically foiceu to sign.
But, he explaineu to us, a high-level managei
fiom outsiue the plantation, anu a 6/-%-"-3*
|pejoiative teim ioughly tianslating as
flunkyj fiom insiue the plantation hau come
into the gaiuens to uige people to sign.
"0sually none of these people show up in the
gaiuen," he saiu. "Isn't that piessuiing us."
S19
Reseaicheis spoke to a numbei of woikeis
at vaiious estates who claimeu that they hau
in fact been uisciplineu foi tiying to iesist, oi
oiganize against, the shaie scheme. Theie weie
at least thiee significant mass piotests against
the shaies, involving effoits to iescinu the initial
signeu agieements. In each case, accoiuing to
woikeis, they weie unsuccessful:
Thiee woikeis inteivieweu at Bam Bim
uesciibeu having been pait of a gioup of SS
who sought, in 2u1u, to ietuin theii shaies
anu unuo the ueal. They appealeu to the
geneial managei, but he iefuseu to enteitain
theii iequest, saying, "What is uone is uone."
S2u

At Battigoi, an oiganization of Auivasi
|inuigenousj youth on the estate tiieu to
mobilize against the shaie scheme when
woikeis fiist began to see ueuuctions fiom
theii paychecks. Accoiuing to one of the
leaueis, woikeis weie upset ovei the ielative
size of the ueuuctions: "At that time, the
aveiage take-home wage was about !Suu
eveiy two weeks. People saiu, 'how can you
ueuuct anothei Su fiom that.'" Bowevei, the
leauei iepoiteu, management iefuseu even
to meet with piotestois, even though they
gatheieu in laige numbeis outsiue the office
anu iefuseu to leave foi seveial houis.
S21

At Nahoiani, accoiuing to the CIT0 union
leauei inteivieweu, manageis simply chose
to wait out the piotests. "Even though the
piotests went on foi two to thiee yeais,
ovei that time they woie people uown with
empty piomises," he commenteu.
S22
A woikei at Nahoikutia claimeu that he anu
otheis who tiieu to suppoit each othei in
iesisting the shaie scheme faceu ietaliation,
in the foim of being assigneu moie laboiious
tasks to peifoim.
S2S
"J8 8-LML&<- -LMH8dO8M-8H LS "J8
-LK>LK:"8 K8H"KO-"OK<MV
THE SHARE PLAN: HEAVY DEDUCTIONS FROM LOW WAGES AND
FUTURE UNCERTAINTY
The wage ueuuctions, uesigneu to pay foi the shaies in installments ovei seven yeais, have hau
S18 Batabaii Tea Estate, West Bengal, Nay 19, 2u1u.
S2u Bam Bim Tea Estate, West Bengal, }anuaiy 18, 2u1S.
S22 Nahoiani Tea Estate, Assam, }anuaiy 22, 2u1S.
S2S Nahoikutia Tea Estate, Assam, }anuaiy 9, 2u12.
an oneious impact on the livelihoou of woikeis
with alieauy uepiesseu wages. The ueuuctions,
which iange fiom !44 to !48 pei pay peiiou,
typically iepiesent 6% to 8%, anu sometimes
as much as 1u%, of woikeis' net wages.
S24
In
one inteiview aftei anothei, woikeis uesciibeu
the veiy ieal impact of the ostensibly minoi
ueuuction on theii ability to feeu themselves,
buy euucational supplies foi theii chiluien, oi
take caie of othei uebts. They complaineu not
only about the fact that they hau been foiceu
to paiticipate in the shaie scheme in the fiist
place, but that theie was no appaient means of
opting out of the plan now: "Suiely we shoulu
be able to say, I can't affoiu this anymoie. Please
give these shaies to someone else," insisteu a
woikei at Rungamuttee.
S2S
A woikei at Noweia Nuuuy, inteivieweu
in 2u1u, tolu us that she anu hei husbanu
weie both foiceu to buy shaies, even though
they hau piotesteu that theii pay - aftei
ueuuctions at souice foi electiicity, iations,
Pioviuent Funu anu life insuiance - nevei
exceeueu !Suu eveiy two weeks.
S26

A woikei at Bam Bim tolu us that she hau
tiieu to explain that hei householu hau heavy
meuical uebts to pay off, "but the Chhota Saab
|assistant manageij saiu that the weight of
the leaves I pick will be iecoiueu as less fiom
now on if I uon't buy."
S27

At Rungamuttee, a woikei uemanueu: "Bow
am I supposeu to iun a householu on !1uuu
a month. With all the ueuuctions, we take
home so little. Anu then they aie taking still
moie foi the shaies. The money I get in hanu,
I spent almost all of it the same uay, just
buying ual anu iice."
S28

At Nahoikutia, a woikei who tiieu
unsuccessfully to iefuse to buy the shaies
tolu us that he was the sole suppoitei of
thiee chiluien in school.
S29

Woikeis weie not by any means iejecting outiight
the laigei iuea of investing oi saving that a plan
like this coulu iepiesent; seveial weie, howevei,
auamant that this paiticulai scheme uiu not
ieflect theii piioiities oi theii assessment of a
woithwhile iisk oi saciifice. "If I took out a loan
of !8uuu, I woulu use it to euucate my biotheis
anu sisteis, not buy shaies," explaineu a woikei
at Batabaii.
SSu
A ietiieu woikei at Namioop
whose husbanu bought shaies pointeu out that
they coulu have ieceiveu a highei iate of inteiest
than the 6% piomiseu foi the fiist foui yeais,
anu moie secuie guaiantee of the piincipal,
simply by putting theii !8uuu into a seven-yeai
fixeu ueposit in the bank.
SS1
Even aftei inteiviews with management, theie
aie still unceitainties about the implementation
of the scheme. Foi example, theie aie small but
consistent vaiiations in the amount ueuucteu
foi "equity" eveiy foitnight. 0ui ieview of
pay slips inuicates that at Chubwa, Bathikuli,
Nahoiani, Kakajan anu Noweia Nuuuy, woikeis
pay !44 pei foitnight; at Nahoikutia, ueuuctions
aie !4S pei foitnight; at Rungamuttee anu
Achabam, woikeis pay !47.62 pei foitnight.
APPL management uenies that theie coulu
be any vaiiation, asseiting that all woikeis
pay the same amount. In oui inteiview with
Beepak Atal, he conjectuieu that ueuuctions
might vaiy only if woikeis hau iequesteu that
theii loan iepayment be uefeiieu oi ieuuceu
given unanticipateu expenses foi a paiticulai
pay peiiou.
SS2
Bowevei, we encounteieu no
eviuence that vaiiations in equity payment weie
coiielateu to woikeis' iequests.
S24 R(( 3$%"- "Wages," in Pait II.
S2S Rungamuttee Tea Estate, West Bengal, }anuaiy 18, 2u1S.
S27 Bam Bim Tea Estate, West Bengal, Apiil 1S, 2u12.
S28 Rungamuttee Tea Estate, West Bengal, }anuaiy 18, 2u1S.
S29 Nahoikutia Tea Estate, Assam, }anuaiy 9, 2u12.
SSu Batabaii Tea Estate, West Bengal, Nay 19, 2u1u.
SS1 Namioop Tea Estate, Assam, }anuaiy 8, 2u12. As of }uly 2u1S, iates foi fixeu teim ueposits foi longei than S yeais weie above 9% at
www.iatekhoj.com.
SS2 Neeting with the IFC anu Beepak Atal, New Belhi, }anuaiy 4, 2u12.
While woikeis have ieceiveu moie than the
piomiseu uiviuenu payments thus fai, many
complain that the money is uifficult to collect.
While iegulai wages aie given to woikeis in the
foim of cash, the uiviuenu is uepositeu uiiectly
into theii bank accounts. uiven that banks aie fai
away fiom the iemote tea plantations, woikeis at
seveial estates pointeu out that withuiawing the
money involves losing a uay's wages (since banks
aie not open on Sunuays, which aie woikeis'
only iegulai uays off) anu spenuing substantial
amounts of time anu money in tiavel. At Battigoi,
foi example, woikeis saiu that the bank is thiee
houis' jouiney away, anu the tiip costs !4u
each way.
SSS
We heaiu similai complaints fiom
woikeis at many othei estates.
SS4
0fficials at ACNS, the union which claims
to iepiesent Assam tea plantation woikeis,
pioviueu us a uistoiteu view of the plan,
exaggeiating the amount of uiviuenu ieceiveu
anu the value of the shaies. Foi example, the
ACNS ueneial Secietaiy asseiteu that the
ueclaieu uiviuenu was Su% pei yeai (!24uu),
SSS
the ACNS iepiesentative at Namioop insisteu
that it was !12uu,
SS6
anu the ACNS iepiesentative
at Bathikuli contenueu that alieauy, all woikeis
hau ieceiveu uiviuenu payments equivalent
to eight times the value of the shaies.
SS7
The
ueneial Secietaiy saiu with ceitainty that the
value of shaies hau incieaseu fiom !1u to !SS,
anu that he peisonally knew woikeis who hau
been able to sell them foi this amount.
SS8
In
ieality, no woikei can sell the shaies befoie they
vest, foui yeais aftei the puichase.
The futuie is even moie unceitain, at multiple
levels. The guaianteeu 6% annual uiviuenu will
come to an enu anu the shaies will assume a
maiket value. Because of APPL's continuing,
close connection with Tata ulobal Beveiages
at this time, anu the company's iefusal to
make the financial iepoits public, the value of
the shaies claimeu by management cannot be
objectively veiifieu. A high-level APPL insiuei
anu inuiviuual shaieholuei who askeu not
to be iuentifieu expiesseu the belief that the
claimeu value of the shaies is highly inflateu.
Fuitheimoie, he allegeu, theie aie seiious
ieasons to believe that the value of the woikei's
shaies will ueciease substantially at the time of
the public offeiing.
SS9

ECONOMIC DIVERSIFICATION: LOW WAGES AND LAND SEIZURES
As pait of the tiansition, APPL is engageu in
uiveisifying beyonu tea into othei fielus of
agiicultuial piouuction anu, possibly, touiism.
S4u

Even befoie the tiansfei of assets by Tata, seveial of
the plantations weie alieauy expeiimenting with
alteinative ciops anu fisheiies.
S41
Accoiuing to
APPL Nanaging Biiectoi Beepak Atal, the changes
have not involveu the ieuuction of tea bushes
(anu theiefoie tea plantation laboi). Black peppei
vines aie cultivateu aiounu the "shaue tiees"
among the tea bushes, he saiu, anu ponus foi the
fisheiies have useu "fallow lanu."
S42
Biveisification
is being touteu foi a numbei of ieasons, one
of which is to benefit the woikei community
SSS Battigoi Tea Estate, Assam, }anuaiy 21, 2u1S.
SS4 Noweia Nuuuy Tea Estate, West Bengal, }anuaiy 17, 2u1S Boihat Tea Estate, Assam, }anuaiy 7, 2u12; Namioop Tea Estate, Assam,
}anuaiy 8, 2u12; Battigoi Tea Estate, Assam, }anuaiy 21, 2u1S; anu Powai Tea Estate, Assam, }uly 14-16, 2u1u (piioi to Columbia
Buman Rights Institute ieseaich).
SSS Inteiview with Bileshwai Tanti, ACNS ueneial Secietaiy, ACNS Cential 0ffice, Bibiugaih, }anuaiy 11, 2u12.
SS6 Inteiview with ACNS iepiesentative, Namioop Tea Estate, Assam, Apiil 1S, 2u12.
SS7 Inteiview with ACNS iepiesentative, Bathikuli Tea Estate, Assam, }anuaiy 24, 2u1S.
SS8 Inteiview with Bileshwai Tanti, ACNS ueneial Secietaiy, ACNS Cential 0ffice, Bibiugaih, }anuaiy 11, 2u12.
SS9 Inteiview, New Belhi, }anuaiy 2u1S. Name anu iuentifying uetails withhelu at the inteiviewee's iequest.
S4u As a iegulateu sectoi wheie the lanu actually belongs to the state, theie aie stiict limitations on what economic activity the company
can conuuct on tea plantations. Accoiuing to APPL anu the IFC, the goveinment of Assam has alloweu all plantations to use up to S%
of theii lanu foi non-tea piouuction. Inteiviews with IFC anu Beepak Atal, Belhi, }anuaiy 4, 2u12.
S41 Inteiview with Baiueep Singh, Belhi, }anuaiy 14, 2u1S. Theie has not been a new piocess of foiwaiu integiation thiough bianuing
anu ietail, anu theie appeai to be no plans to unueitake such a piocess. Accoiuing to Singh, this choice was maue in oiuei to avoiu
cieating competition with Tata's tea bianus.
S42 Inteiview with Beepak Atal, }anuaiy 4, 2u12.
thiough moie - anu moie
secuie - jobs.
S4S
So fai, the jobs
have not mateiializeu. But fai
woise has been the immeuiate
effect of the uiveisification:
on many plantations, woikeis
claim they have lost access
to lanu that was allocateu to
theii families geneiations
befoie to giow subsistence
ciops, especially iice. In
othei woius, accoiuing to
woikeis, uiveisification has
leu to uivesting them of lanu
anu making them even moie
uepenuent on the meagei
plantation income.
Fisheries
The uevelopment of fisheiies
is a piouu featuie of APPL's
piomotional liteiatuie.
In eveiy account of its
agiibusiness "beyonu tea," fisheiies come fiist. As
the Annual Repoit foi 2uu9-1u announces: "Youi
company has unueitaken laige scale excavation
to builu a substantial fisheiies business. Assam is
a fish ueficit state anu impoits fish fiom as fai as
south east Inuia |.j With the focus on ueveloping
the fish faiming business, youi company has built
the laigest coipoiate fish faiming business acioss
noith anu east Inuia."
S44

The company claims that the lanu useu foi the
fisheiies hau been lying fallow, since much of
the lowlanus within the estate aie not suitable
foi tea. What it has faileu to mention is that
much of this lanu was allocateu to woikeis'
families, uecaues ago. Allocating lanu foi iice
anu vegetables was a well-establisheu element
of woikei ieciuitment uuiing the colonial eia.
Piomises of lanu foi cultivation weie incluueu in
ieciuitment contiacts, incluuing those useu to
biing woikeis to what aie now APPL plantations.
Families passeu on the lanu, fiom one geneiation
to the next. 0n many of the plantations, woikeis
iepoiteu that theii families hau been cultivating
the lanu continuously until the company
hau seizeu it in iecent yeais. The ieseaich
team inteivieweu moie than Su woikeis on
8 plantations who claimeu to have lost lanu.
Betails vaiy, but woikeis tell a consistent stoiy of
lanu taken away, without iecouise anu without
compensation.
S4S
Foi example:
S4S The IFC Pioject Summaiy notes that "auuitional jobs might be cieateu fiom the uevelopment of alteinative ciops anu touiism," anu
points to the numbei of peimanent anu tempoiaiy employees as a monitoiable inuicatoi. IFC Nemoianuum, 3$%"- note 27u, at 4-S.
S44 APPL Annual Repoit foi 2uu9-1u at S.
S4S In a few cases, the lanu was seizeu foi puiposes othei than fisheiies. Foi example, at Noweia Nuuuy, the company sought lanu that
hau been useu by woikeis foi uecaues to giow iice in oiuei to expanu its tea piouuction. At that estate, as we heaiu fiom a gioup of
2S woikeis inteivieweu togethei, the woikeis weie piomiseu that they woulu ieceive extia foou as compensation. As one woikei
saiu, "oui lanu is gone anu we have no extia iations." Noweia Nuuuy Tea Estate, West Bengal, }anuaiy 17, 2u1S. At Bathikuli, woikeis
claimeu to have stiuggleu ovei lanu that APPL sought to use foi the constiuction of a hotel. Accoiuing to the woikeis theie, they
succeeueu in stopping the company fiom taking the lanu, but in the meantime, builueis hau alieauy uiveiteu the souice of watei
necessaiy foi cultivating ciops. As a iesult, the lanu is now unusable. Bathikuli Tea Estate, Assam, }anuaiy 1S, 2u12.
9 ,"#$% #5 2#"0("3 -) .-)/*0$1* (3)-)( -11(,( )/-) )/( 6#'%-+G -))('%)(4 )# 3(*f(
)/(*" 1-+4 *+ #"4(" )# 6#+3)"$6) - 3'-11 /#)(17 91)/#$,/ )/(G 3$66((4(4 *+ %"(H(+)*+,
)/( 3(*f$"(3< 2*)/ )/( /(1% #5 1#6-1 %#1*)*6*-+3< )/( =$114#f("3 /-4 -1"(-4G 4*H(")(4 )/(
3'-11 2-)(" 3#$"6( )/-) *""*,-)(4 )/(*" 1-+4 -+4 )/( %1#) *3 +#2 *+5(")*1(7
At Boihat, wheie theie aie 21 fisheiy ponus,
woikeis fiom eight householus tolu us that
they hau been using the lanu since theii
gianupaients' anu gieat-gianupaients'
time, when it was given to families by the
Biitish owneis of the plantation. The lanu
was taken fiom them in 2uu8.
S46

At Chubwa, the fisheiies weie constiucteu
on lanu that hau been unuei cultivation by
1S householus, who hau plots ianging fiom
half an acie to two acies each. 0ne woikei
tolu us that the lanu hau been ciitically
impoitant foi theii suivival, piouucing
about 6uu kg of iice pei acie pei yeai.
S47

At Bathikuli, a woikei who hau lost pauuy
lanu to the company's fisheiy pioject saiu
that the iice they giew useu to be enough to
last his householu foi almost the entiie yeai;
they now have to buy 2ukg of iice eveiy two
weeks, at !16 pei kg.
S48

Anothei Bathikuli woikei tolu us that he hau
been able to giow S6u kg a yeai on his small
plot, anu that the expense of buying enough to
ieplace what he giew hau been uevastating.
S49

Woikeis fiom thiee families at Kakajan
who hau lost lanu to fisheiies, inteivieweu
togethei, also uesciibeu the extent of the
impact on householu buugets. "We useu
to be able to giow enough to last six, eight
months of the yeai," saiu one. "Now, we have
to boiiow money to buy iice."
SSu
The lanu was not suiienueieu willingly. 0n
seveial plantations, woikeis uesciibeu having
tiieu to fight back against the seizuies, though
without success:
In inteiviews with a gioup of 1S woikeis in
Kakajan's Belaguii uivision, we weie tolu
of extenueu, vocifeious piotests outsiue
management offices, which enueu only
when the uivision managei at the time
thieateneu woikeis that he woulu file a case
against them.
SS1

At Nahoiani, woikeis biiefly contemplateu
legal action of theii own to challenge the
seizuie of lanu, accoiuing to an inteiview
conuucteu with thiee membeis of one of
the affecteu householus. "We live in such
poveity, wheie woulu we finu the money to
file a case." one of them uemanueu.
SS2
S46 Boihat Tea Estate, Assam, }anuaiy 7, 2u12.
S47 Chubwa Tea Estate, Assam, }anuaiy 11, 2u12.
S48 Bathikuli Tea Estate, Assam, }anuaiy 24, 2u1S.
S49 @47
SSu Kakajan Tea Estate, Assam, }anuaiy 2S, 2u1S.
SS1 @47
SS2 Nahoiani Tea Estate, Assam, }anuaiy 22, 2u1S.
?/*3 "(6"$*)'(+) 6#+)"-6)< ,*H(+ )# - 2#"0(" 2/# 6-'( )#
Q$+,-'$))(( (3)-)( *+ OX``< %"#'*3(3 -66(33 )# 1-+4 5#"
,"#2*+, "*6( -+4 H(,()-=1(37 ?/( 1-+4 -11#6-)(4 $+4(" )/(3(
6#+)"-6)3< 0+#2+ 6#11#>$*-11G -3 E4(%#) 6/-11-+3<J /-3 =((+
seizeJ from workers to builJ tbe componys jisberies.
At Bathikuli, woikeis uesciibeu a piotiacteu
stiuggle ovei theii lanu. Accoiuing to
accounts fiom multiple inteiviews, between
S2 anu SS householus lost theii lanu to
planneu fisheiies anu hotels (none of which
aie cuiiently opeiational). When they
piotesteu, they weie tolu by management, "If
we builu the fisheiies, the money will go to
the company. The company belongs to you,
so why aie you complaining."
SSS
Between 1u
anu 1S householus iemaineu intiansigent
anu iefuseu to suiienuei theii lanu,
accoiuing to one woikei whose family hau
iesisteu the seizuie until the enu. "We tolu
them, 'foi long yeais we have been planting
oui pauuy heie. You have to give us money
oi give us a job,'" the woikei iecounteu. Be
uesciibeu the subsequent confiontation
with Sahal Singh, the geneial managei at the
time. Singh calleu them into his office anu
saiu, "If you make any moie noise, I will cut
youi name fiom the peimanent list, anu then
we will thiow you off the lanu anyway."
SS4
At Battigoi, woikeis weie paiticulaily inuignant
because they hau opeiateu theii own fisheiy
until the company inteifeieu. Accoiuing to 2S
woikeis inteivieweu togethei, ovei a uecaue
ago, the laboi community hau collectively uug
a shaieu fisheiy foi its own use. The woikeis
hau even ieceiveu a small giant of !1uu,uuu
fiom the goveinment to stock it with fingeilings.
The fisheiy hau functioneu foi ovei five yeais.
Foui yeais ago, howevei, the company set up
its own commeicial fisheiy, on lanu that useu
to be a biick kiln foi the estate. At that point,
management baiieu the woikeis fiom using
theii own fisheiy. Touay, woikeis complain,
they have no choice but to buy fish at the maiket
iate fiom the company fisheiy, anu what useu
to be a iegulai pait of theii uiet has become a
laigely unaffoiuable luxuiy.
SSS
SSS Bathikuli Tea Estate, Assam, }anuaiy 1S, 2u12.
SS4 @47
SSS Battigoi Tea Estate, Assam, }anuaiy 21, 2u1S.
Workers ot Eottiqor estote boJ estoblisbeJ tbis jisbery for common use. Wben APPl set up o commerciol jisbery on tbe estote, it
borreJ workers from occess to tbeir own jisbery, wbicb now lies JroineJ. Tbey bove no cboice but to buy jisb from tbeir employer.
Nanageis uiu not ueny the histoiical
commitment of lanu to woikeis, but they
insisteu that the allocation was puiely
uiscietionaiy, anu coulu be ievokeu at any time.
They aigueu that woikeis hau not acquiieu any
legal oi moial iight ovei what hau always been
"company piopeity." Fuitheimoie, accoiuing to
foimei Nanaging Biiectoi Baiueep Singh, the
piimaiy aichitect of the plan uuiing his tenuie
at APPL, woikeis hau been "compensateu" foi
the lanu that they hau lost, anu woulu "benefit"
fiom the fisheiies set up theie. When piesseu
foi uetails, he acknowleugeu that theie weie
no specific benefits - such as a concessionaiy
iate foi the fish piouuceu in the fisheiies, oi a
peicentage of the piofits - but that theie woulu
be "visible" impiovements on the plantations.
Be was auamant that no false piomises of
compensation oi benefit hau evei been maue.
SS6
Theie is eviuence to suggest that this is not
tiue, howevei. At seveial plantations, woikeis
claimeu they weie offeieu one peimanent job
pei family that hau lost lanu, though no one hau
actually ieceiveu it.
SS7
At Bathikuli, we spoke
to some woikeis who hau been offeieu casual
employment - at low wages, with no secuiity
of tenuie anu no benefits - at the estate's
fisheiies, anu they hau peifoimeu the woik
until the fisheiy was shut uown foi unspecifieu
ieasons.
SS8
At Nahoiani, the ieseaich team was
shown a job offei lettei fiom management that
was paiticulaily ueceptive, piomising not a
peimanent job, but iathei, "iegulai tempoiaiy
employment in peipetuity."
SS9

The Nahoiani estate's employment offei has
no legitimacy in law. The phiase "iegulai
tempoiaiy employment in peipetuity" is
self-contiauictoiy, since unuei Inuian law,
tempoiaiy woik is impeimissible if it is full-time
anu foi an open-enueu peiiou.
S6u
Since the lettei
was in English, it was also incompiehensible
to the woikei who hau ieceiveu it. "It means
absolutely nothing," the woikei iesponueu,
when the team tianslateu it foi him. "They'ie
making fools of us."
S61
The conuitions of woik
uesciibeu by the woikei uiu not fit any legal
categoiy foi plantation woik: he iepoits that he
woiks seven uays a week, with no uay off anu no
oveitime pay. Be is paiu !9S a uay but not given
a pay slip. As stateu in the employment lettei, he
ieceives no benefits except "basic meuical" (not
specifieu; accoiuing to the woikei, it means that
he can use the estate clinic but must pay foi all
meuication), anu "laboui tea" (the fannings anu
fibei left ovei aftei piocessing, which cannot
be solu in the maiket). But, as the woikei
commenteu wiyly, he has not even ieceiveu this
"laboui tea," at any point uuiing the two yeais
that he has been woiking.
S62
Woikeis weie unable to iuentify any othei
"benefit" oi "compensation" that came fiom the
fisheiies. As matteis cuiiently stanu, woikeis
uo not ieceive auuitional foou iations to
compensate them foi the giain anu vegetables
they aie no longei able to giow; they uo not
even ieceive concessional iates foi the fish
iaiseu on these lanus. As gioups of woikeis
complaineu at Nahoiani anu at Battigoi, the
maiket piice foi a kilo of fish is !12u - well
ovei a uay's wages.
S6S
Woikeis iefuseu to accept
management's justification that the company
was simply taking back its own lanu, anu hau
no obligation to seek woikeis' consent oi to
compensate them. "They know that we have no
home but this, anu no lanu but this," saiu one
woikei fiom Kakajan who lost his lanu. "Bo they
expect us to go back to Ranchi, wheie oui gieat-
gianufatheis came fiom."
S64
SS6 Inteiview with Baiueep Singh, New Belhi, }anuaiy 14, 2u1S.
SS7 Boihat Tea Estate, Assam, }anuaiy 7, 2u12; Chubwa Tea Estate, Assam, }anuaiy 11, 2u12; Bathikuli Tea Estate, Assam, }anuaiy 1S,
2u12; Nahoiani Tea Estate, Assam, }anuaiy 22, 2u1S.
SS8 Bathikuli Tea Estate, Assam, }anuaiy 24, 2u1S
SS9 Lettei fiom management to fisheiy woikei at Nahoiani Tea Estate, uateu Septembei 7, 2u11; iepiouuceu on following page.
S6u Inuustiial Bisputes Act of 1947, Scheuule v, Pait I, Section 1u.
S61 Inteiview with fisheiy woikei, Nahoiani Tea Estate, Assam, }anuaiy 22, 2u1S.
S62 Iu. anu Lettei, 3$%"- footnote SS9.
S6S Battigoi Tea Estate, Assam, }anuaiy 21, 2u1S; Nahoiani Tea Estate, Assam, }anuaiy 22, 2u1S.
S64 Kakajan Tea Estate, Assam, }anuaiy 12, 2u12.
No Job Creation or
Improved Job Security
Theie aie othei issues ielateu to
uiveisification, incluuing the quality anu
pay foi the jobs that have been cieateu.
Some of these issues iaise legal questions.
Foi example, APPL is continuing to
pay tea-pluckei's wages foi jobs that
fall unuei statutoiy minimum wage
categoiies. Nanaging Biiectoi Beepak
Atal confiimeu that all woikeis aie paiu
the same wage, without iegaiu to the
woik peifoimeu. "You can't uiffeientiate
conuitions of seivice oi salaiy foi
woikeis who aie engageu in new foims
of non-tea piouuction such as fisheiies;
they have to be compensateu on pai with
tea woik," he tolu the ieseaich team.
S6S

Whethei oi not Atal's position is legal,
the justification woulu only make sense if
woikeis weie ieceiving the social benefits
unuei the PLA, incluuing meuical caie,
housing anu iations. But in the obseiveu
cases, this was not tiue. Theie is no
eviuence of the cieation of new peimanent
jobs, anu many of those employeu in the
fisheiies, oi in black peppei piouuction,
come fiom the same pool of tempoiaiy
woikeis who aie cuiiently uenieu benefits
when they aie engageu in plucking tea.
The team spoke to a tempoiaiy woikei
at Bathikuli who is occasionally offeieu uay
laboi picking black peppei, anu occasionally foi
plucking tea at the estate. Be is not guaianteeu
iegulai woik, he ieceives no employei-
subsiuizeu "social benefits," anu he lives outsiue
the estate, paying ient foi his housing. Be saiu
that the compensation foi picking peppei was
actually woise than that foi plucking tea, since he
coulu not even hope foi the "incentive" available
to tea woikeis uuiing the plucking season, which
pioviues a small bonus foi eveiy extia kilo of
leaf collecteu, above the establisheu quota.
S66
We
inteivieweu othei woikeis employeu in these
new sites of economic activity who weie paiu
even lowei wages, since they weie uesignateu
"tiainees." 0ne hau inexplicably been a "tiainee"
foi ovei a yeai, woiking uaily in a task iequiiing
little oi no specializeu skill, anu thus no
meaningful tiaining.
S67

S6S Inteiview with Beepak Atal, }anuaiy 4, 2u12.
S66 Inteiview with foimei fisheiy woikei, Bathikuli Tea Estate, Assam, }anuaiy 24, 2u1S.
S67 Inteiview with woikei, Bathikuli Tea Estate, Assam, }anuaiy 24, 2u1S
S68 IFC, Tata Tea: Summaiy of Pioposeu Investment, Biscloseu Sept. 14, 2uu6, -H-*1-=1( -) http:www.ifc.oigifcextspiwebsite1.nsf
PiojectBisplaySPI_BP2Su74.
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estoblisb tbe jisbery, offers tbe fomily o sinqle temporory job witb no
meoninqful benejits.
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In 2uu6, the IFC agieeu to become a paitnei in
Tata's plan to begin uivesting fiom its plantations
thiough an employee shaie owneiship scheme.
Its contiibution was to be a $7,8uu,uuu equity
investment, giving it a 19% stake in the newly
foimeu company. It also committeu to biokei
the sale of shaies fiom Tata to its employees.
S68

The actual investment took place two-anu-a-half
yeais latei, in Apiil 2uu9. Accoiuing to foimei
Nanaging Biiectoi of APPL Baiueep Singh, the
IFC's financial contiibution was inuispensable
to the plan's implementation.
S69
But the IFC's
willingness to put its ieputation behinu the
shaie plan was no less significant, since it gave
the expeiimental plan the legitimizing stamp of
a uevelopment pioject uesigneu to piotect anu
impiove the economic secuiity of woikeis.
As the piivate investment aim of the Woilu Bank
uioup, the IFC opeiates unuei a uevelopment
manuate. Its stateu objective is to "cieate
oppoitunities foi people to escape poveity anu
impiove theii lives,"
S7u
anu the investment anu
seivices it pioviues to piivate companies aie
meant to piomote this goal. With its investment
in Tata's tea plantations, the IFC ventuieu into a
sectoi in which it has ielatively little expeiience.
In uoing so, it citeu the extieme vulneiability of
tea woikeis anu the iisks they face fiom iecent
changes in the inuustiy.
The IFC's investment in the pioject was aimeu at
the "|pjieseivation of jobs foi moie than Su,uuu
people cuiiently employeu in the plantations
anu cieation of auuitional jobs in the alteinative
ciop sectoi."
S71
The IFC saw the shaie plan
pioposeu by Tata as an "innovative business
mouel,"
S72
which woulu inciease piouuctivity,
anu theiefoie the economic secuiity of woikeis.
This woulu be accomplisheu in two ways: by
empoweiing woikeis thiough shaie owneiship
anu by uiveisifying away fiom tea.
The IFC's vision was foi the shaie plan to
cieate a "change in the incentive stiuctuie"
that woulu not only inciease the giowth of the
company, but also iesult in highei eainings
anu a gieatei numbei of secuie jobs in the tea
sectoi. At the same time, the company woulu
ieuuce its exposuie to the changes in piice of
tea leaf thiough "alteinative ciop cultivation anu
potentially exploiting the touiism potential in the
scenic plantation locations."
S7S
This, too, woulu
leau to gieatei piofits, new jobs anu impioveu
job secuiity foi the new woikei-owneis.
The IFC was enthusiastic about paitneiing
with Tata, which it poitiayeu as an innovatoi in
woikei empoweiment. In its assessment of the
enviionmental anu social iisks of the pioject, it
uesciibeu Tata as an inteinationally iecognizeu
"leauei in piogiessive enviionmental, social
iesponsibility anu occupational health anu safety
initiatives."
S74
As noteu by the IFC's Compliance
Auvisoi0mbuusman (CA0), in connection
with laboi anu occupational health anu safety
S69 Inteiview with Baiueep Singh, New Belhi, }anuaiy 14, 2u1S
S7u IFC, "About: vision," http:www1.ifc.oigwpswcmconnectcoip_ext_contentifc_exteinal_coipoiate_siteabout+ifcvision.
S71 Summaiy of Pioposeu Investment, 3$%"- note S68.
S72 @4.
S7S IFC, Summaiy of Pioposeu Investment, 3$%"- note S68.
S74 IFC, Tata Tea: Enviionmental anu Social Review Summaiy, uiscloseu Sept. 11, 2uu6, -H-*1-=1( -) http:www.ifc.oigifcextspiwebsite1.
nsfPiojectBisplayESRS2Su74. Although the Review goes on to uiscuss seveial social issues, such as laboi management piactices,
woikplace anu community health anu safety, anu the hanuling anu management of agiochemicals, it iuentifies no pioblems.
Role of the FC and Social Certifcations 95
in paiticulai, the IFC assessment of Tata was
consistently "positive without ieseivation."
S7S

uiven that the IFC was opeiating on the basis of
a thin iecoiu that incluueu visits to only thiee
plantations ovei thiee uays anu no uocumentaiy
ieview, the CA0 questioneu "whethei the IFC
hau sufficient eviuence" foi such finuings.
S76
The
woiking anu living conuitions uocumenteu in
this iepoit poweifully echo these conceins.
THE IFC'S ROLE AS "HONEST NEUTRAL BROKER" IN THE
EMPLOYEE SHARE PLAN
The impoitance of the employee shaie owneiship
plan is noteu thioughout the IFC uocuments.
This featuie of the APPL investment heaulineu
the piess ieleases anu occupieu a cential place
in the IFC's uesciiption of the pioject, alongsiue
uiveisification anu impiovement in the quality
of tea piouuceu.
S77
The IFC uocuments touteu
the "unique business mouel" anu in 2uu6, even
befoie any implementation, the pioject pioposal
suggesteu that the APPL appioach be ieplicateu
thioughout the tea inuustiy.
S78
Although uetails
aie absent, the pioposal envisioneu a veiy
significant iole foi the IFC. 0nuei "IFC's iole in
the Pioject," it incluueu:
.#+(3) +($)"-1 ="#0(" "#1( )# 3$%%#") - 5-*"
)"-+3-6)*#+D TTL |Tata Tea Ltu.j, as sponsoi,
is veiy keen foi IFC to paiticipate as an
honest neutial biokei on account of the
natuie of the tiansaction wheie it is selling
shaies to employees anu wants this to be a
faii tiansaction both foi the employees anu
its own existing shaieholueis.
S79
Among the iisks, the IFC uiu note that the mouel
was "laigely untesteu (although it has been tiieu
with vaiying uegiee |3*6j of success in othei
inuustiies)." Implicitly, the IFC also appeaieu to
iecognize that theie weie gaps in the piogiam,
anu specifically, that the absence of any iole foi
employees in goveinance coulu be a cause foi
concein. It suggesteu that the IFC "woulu . . .
consiuei an employee empoweiment piogiam
to enable the employees to play a paiticipatoiy
iole in the management of the company."
S8u
But
the IFC uocuments aie stiiking foi the absence
of analysis of the iisks involveu in selling shaies
to woikeis. Theie is, notably, no uesciiption of
how the IFC woulu execute the iole of "honest
neutial biokei."
S81
By the time the IFC uisbuiseu funus foi the
pioject, howevei, it appeaieu to have signeu off
on the sale of shaies as having been a success. In
fact, the IFC piesenteu a veision of the piocess
that beais little iesemblance to woikeis'
accounts. The Enviionmental anu Social Review
concluueu that
TTL |Tata Tea Ltu.j management has
unueitaken extensive consultations on the
sale of |APPLj shaies to employees anu
otheis in the local community, in an effoit
to cieate a moie sustainable plantation
mouel. The uiscussions, which incluueu
piesentations on a timetable outlining how
anu when the change will be unueitaken, have
taken uone (sic) at all levels of employees.
The consultations have taken place both
inuiiectly, thiough woikei iepiesentatives,
as well as uiiectly, by the management team
at each plantation. These consultations have
S7S CA0 Appiaisal Repoit, Amalgamateu Plantations Limiteu, }anuaiy 8, 2u1S, at 6-7.
S76 @47 at 7.
S77 R((< (7,7, "IFC Suppoits Tata Tea to Cieate Employee-0wneu Tea Plantation in Noitheast Inuia," IFC piess ielease, Apiil 29, 2uu9.
S78 "The pioposeu Pioject . . . woulu help stiuctuie anu finance a plantation business which is likely to leau to a significant uemonstiation
impact anu spui similai piogiams at othei plantations in Inuia." IFC Nemoianuum, 3$%"- note 27u, at 2-S.
S79 @47 at S.
S8u @47 at S.
S81 Since this is an unusual iole foi the IFC to have assumeu, neithei the safeguaiu policies noi the Peifoimance Stanuaius give cleai
guiuelines. The IFC uiu not supplement its stanuaiu policies with any specific measuies to facilitate a faii tiansaction, iuentify
paiticulai iisks, oi assess the auequacy of Tata's consultations.
occuiieu ovei the last 7-8 months to give
employees auequate time to unueistanu the
potential impact of the change in owneiship
anu uiscuss theii conceins uiiectly anu
thoioughly with woikei iepiesentatives anu
management.
S82
It is not cleai how the IFC ieacheu this
conclusion,
S8S
but as uocumenteu in the
pievious section, it is uiamatically contiauicteu
by woikei testimony. Noieovei, accoiuing to
uesciiptions fiom management anu woikeis,
the IFC hau ieason to know that this uesciiption
was incomplete, at best. Not only weie the eaily
pioblems with the ioll out of the shaie plan well
known, anu wiuely iepoiteu in the meuia, but the
IFC was iepoiteuly involveu in the consultations
with woikeis that weie cut shoit because of
woikei fiustiation. The ueneial Nanagei at
Boijan inuicateu to the ieseaich team that an IFC
consultant hau encounteieu woikei iesistance to
the shaie plan uiiectly, when he visiteu the foui
plantations on the Noith Bank of the Biahmaputia
Rivei in Assam to explain the piocess.
S84

Theie is othei eviuence that the IFC was uiiectly
involveu in piomoting the shaie plan togethei
with Tata, iathei than playing the iole of "honest
neutial biokei," as it pioposeu. 0ne biochuie
beaiing the IFC logo exaggeiates the piomise
of shaie owneiship, in woius anu pictuies,
without any mention of the complexity oi iisks.
0ne typical image shows a woikei-shaieholuei
uieaming of a cai anu a house. Beneath the
photo is wiitten, in Assamese, "We can fulfill oui
heaits' uesiies if we tiy." 0ne of the final photos
is of a woikei holuing a shaie ceitificate, with
the caption: "Tata Company has offeieu you such
an oppoitunity foi the fiist time. Nake use of this
goluen oppoitunity anu tuin youi uieams into
ieality." Such a ieality woulu be highly unlikely
foi even the most successful SA8uuu investment.
IFC ASSESSMENT OF LIVING AND WORKING CONDITIONS
Standards Applied
The IFC appeais to have applieu two sets of
stanuaius in connection with APPL: the oluei
Safeguaiu Policies foi the appioval of the plan
anu the ieviseu Peifoimance Stanuaius foi its
S82 Enviionmental anu Social Review Summaiy, 3$%"- note S74.
S8S The available IFC uocuments uesciibe only a thiee-uay visit that incluueu thiee plantations anu Tata's main office in uuwahati in 2uu6,
piioi to the shaie plan ioll out. See Summaiy of Pioposeu Investment, 3$%"- note S68, anu CA0 Appiaisal Repoit, 3$%"- footnote S7S,
at 6. It is also uncleai when this ueteimination was maue. The initial uisclosuie uate foi the Review Summaiy was Septembei 11,
2uu6, but it was last upuateu aiounu the time of the investment. Piesumably, this section was incluueu closei to the latei uate.
S84 Inteiview with Amos }ames Paiiat, ueneial Nanagei, Boijan Tea Estate, Assam, Apiil 18, 2u12.
S8S Foi an oveiview of the uiffeiences between the two sets of stanuaius, see the IFC's Fact Sheet, available at http:www1.ifc.oigwpswcm
connect41u6aeuu488SSu6f8ef4ue6a6S1Sbb18FactSheet.puf.N0B=A}PERES&CACBEIB=41u6aeuu488SSu6f8ef4ue6a6S1Sbb18
9 %-,( 5"#' )/( ?-)- !1#=-1 L(H("-,(3 9++$-1 Q(%#")
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%#1*6*(3 5#" )(-7 ?/( "(%#") "(5("(+6(3 )/( %"*H-)( 3#6*-1
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implementation. As a iesult, the IFC conuucteu
uue uiligence foi appioval unuei the Safeguaiu
Policies, but APPL is iequiieu to comply with the
Peifoimance Stanuaius while the IFC iemains
an investoi.
All IFC piojects must comply with a set of
policies - known as the Safeguaiu Policies piioi
to 2uu6 anu the Peifoimance Stanuaius since
then - that iequiie client companies to meet
minimum enviionmental anu social stanuaius.
The Safeguaiu Policies weie significantly
impioveu the same yeai that the Tata Tea
pioject was appioveu. The 2uu6 Peifoimance
Stanuaius, which weie to be applieu to all
piojects appioveu aftei Apiil Su, 2uu6, weie
compiehensively iefoimeu to incluue, among
othei things, new stanuaius on laboi iights,
anu on community health anu safety. In
auuition, new mechanisms weie intiouuceu as
pait of an "outcome-baseu appioach," such as
iequiiements foi community engagement anu
suppoit, as well as giievance mechanisms.
S8S
Although the Tata Tea pioject was appioveu on
Novembei 8, 2uu6, six months aftei the new
Peifoimance Stanuaius took effect, the IFC
appeais to have sought to ciicumvent them,
applying the olu Safeguaiu Policies.
S86
The CA0
Appiaisal auuiesses this uisciepancy, noting
"some lack of claiity," but taking the position
that the IFC was wiong to have applieu the less
iigoious policies.
S87

The impact of the uistinction is piimaiily with
iespect to the stanuaius that the IFC shoulu have
useu in ieviewing anu appioving the pioject.
Significantly, the issue of which stanuaius apply
has no implications foi the obligations of APPL
going foiwaiu: as noteu by the CA0 Appiaisal,
the company's investment agieement with the
IFC "incluues in its waiianties anu conuitions
of subsciiption piovisions that the company
shall be in compliance with the IFC's 2uu6
Peifoimance Stanuaius."
S88
Theie aie some impoitant uiffeiences that aie
ielevant to the APPL pioject. The only laboi
iequiiement foimally applieu to the pioject was
a piohibition on foiceu laboi anu haimful chilu
laboi. By contiast, the Peifoimance Stanuaius
incluue bioauei sections on Laboi anu Woiking
Conuitions anu on 0ccupational Bealth anu
Safety. These new sections incluue language
ielateu to auequate woiking conuitions anu faii
teims of employment, iepiesentative woikei
oiganizations, non-uisciimination, a giievance
mechanism anu a safe woikplace. To be suie,
some of the obligations spelleu out unuei the
Peifoimance Stanuaius can be unueistoou to
have existeu even unuei the oluei Safeguaius.
Foi example, the fact that the Enviionmental
anu Social Review must take into account
"human health anu safety"
S89
can piesumably
be ieau to incluue piopei sanitation, the
lack of which is a seiious pioblem at APPL.
Similaily, it can piobably be assumeu that the
Pest Nanagement piovision iequiiing safe
agiochemicals - uefineu, intei alia, as having
"negligible auveise human health effects"
S9u
-
cieates a iequiiement foi pioviuing spiayeis
with piotective geai, the absence of which
on APPL has been implicateu in one woikei's
ueath anu wiuespieau health pioblems.
Inueeu, it appeais that the IFC eithei unueistoou
the Safeguaius to incluue some iequiiements
beyonu theii stiict language oi infoimally
S86 Summaiy of Pioposeu Investment, 3$%"- note S68. Accoiuing to the Enviionmental anu Social Review Summaiy, 3$%"- note S7S, the
oluei stanuaius weie applieu because the Coipoiate Investment Committee appioveu the pioject on Apiil 26, 2uu6, foui uays befoie
the new policy took effect. This is a uubious loophole, as it is piesumably the IFC appioval uate which shoulu be ueteiminative.
S87 CA0 Appiaisal Repoit, 3$%"- footnote S7S, at 6. The Appiaisal also notes that the }une 2uu6 "Becision Nemoianuum" auus to the
confusion by iefeiiing to the "application of "'+(2 enviionmental anu social safeguaiu policies'" (emphasis in oiiginal), thus mixing
the olu teiminology ("safeguaiu policies") with what appeais to be the newly enacteu Peifoimance Stanuaius. Iu.
S88 @47 at 8
S89 IFC 0peiation Pioceuuie 4.u1.S (1998).
S9u IFC 0peiation Pioceuuie 4.u9.S(a) (1998).
S91 While the Enviionmental Assessment shoulu "take into account . . . the countiy's oveiall policy fiamewoik anu national legislation,"
the piovision woulu only iequiie that the IFC ueny funuing foi those piojects that contiavene "obligations of the countiy, peitaining
to pioject activities, unuei ielevant inteinational enviionmental tieaties anu agieements. IFC 0peiation Pioceuuie 4.u1.S (1998).
applieu some of the Peifoimance Stanuaius
in theii assessment since compliance with
uomestic law anu use of piotective geai aie
both auuiesseu in the pioject assessment. This
gestuie, howevei, is not an auequate substitute
foi foimal application of the Peifoimance
Stanuaius, since it obscuies the obligations of
the IFC itself in fulfilling its iole.
0nuei the Safeguaiu Policies, foi example,
the IFC may not have been iequiieu to
sciutinize Tata's compliance with uomestic law,
paiticulaily the Plantations Laboui Act. 0nuei
the Safeguaius, compliance with uomestic
law was not a cleai pieiequisite to funuing.
S91

But, the Peifoimance Stanuaius, which the IFC
acknowleuges as applying to APPL in its cuiient
conuuct, aie less ambiguous in this iegaiu, anu
iequiie that a host countiy's applicable social
anu enviionmental laws anu inteinational
obligations be "taken into account."
S92
The
obligation is even moie emphatic in the context
of laboi conuitions, wheie the Stanuaius iequiie
"woiking conuitions anu teims of employment
that, at a minimum, comply with national law."
S9S
Lack of Due Diligence
Regaiuless of the stanuaius applieu, the IFC faileu
to iuentify the pooi woiking anu living conuitions
on the plantations. With little eviuence, the
Enviionmental anu Social Review Summaiy
concluues that the pioject "compl|iesj with the
enviionmental anu social iequiiements - the
host countiy laws anu iegulations anu the Woilu
BankIFC enviionment anu social policies anu the
enviionmental, health anu safety guiuelines."
S94

As noteu by the CA0 Appiaisal, the IFC affiimeu
Tata's laboi piactices without iefeiencing
the voluminous histoiy of laboi pioblems on
plantations in the iegion.
S9S
The Plantations
Laboui Act is nevei specifically mentioneu, noi
is the histoiy of its inauequate implementation.
Rathei, the IFC assumes compliance, appaiently
not on the basis of inuepenuent veiification,
but on the basis of Tata's ieputation alone. As
mentioneu, the company is uesciibeu by the
IFC as an inteinationally iecognizeu "leauei in
piogiessive enviionmental, social iesponsibility
anu occupational health anu safety initiatives."
S96
In auuition to ielying on Tata's ieputation, the
IFC also ielieu on Tata's claims about thiiu
paity mechanisms that supposeuly ensuieu a
S92 IFC Peifoimance Stanuaiu 1.4 (2uu6)
S9S IFC Peifoimance Stanuaiu 2.8 (2uu6).
S94 Enviionmental anu Social Review Summaiy, 3$%"- note S74.
S9S The CA0 Appiaisal finus it "notewoithy that uiscussion of the histoiy of complex union politics, laboi uniest anu ethnic tension
aiounu the tea plantations of Inuia's Noitheast is absent fiom the E&S |Enviionmental anu Socialj ieview anu Boaiu uocumentation."
It then goes on to footnote a list of scholaiship that the IFC coulu have consulteu to uncovei this impoitant backgiounu infoimation.
CA0 Appiaisal, 3$%"- note S7S, at 7.
S96 Enviionmental anu Social Review Summaiy, 3$%"- note S74. Although the Review goes on to uiscuss seveial social issues, such as
laboi management piactices, woikplace anu community health anu safety, anu the hanuling anu management of agiochemicals, it
iuentifies no pioblems.
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plontotion monoqers ofjice.
ceitain level of compliance with laboi anu social
stanuaius. As noteu by the CA0, "Confiuence was
also uiawn fiom the numeious levels of thiiu
paity oveisight (public, union, anu stanuaius
bouies) which weie seen to assuie goou laboi
piactice in the plantations . . . . Similaily lacking
was uocumentation to suggest that IFC was in
a position to uiaw iobust conclusions as to the
auequacy of thiiu paity oveisight."
S97

In light of the expeiience of the ieseaich team,
it seems unlikely that the IFC maue any seiious
effoit to visit the laboi lines oi to speak with
woikeis inuepenuently. uiven the isolation of
the plantations, anu the time iequiieu to tiavel
to anu fiom them, the thiee uays that the IFC
spent visiting thiee plantations woulu have
enableu only a supeificial unueistanuing of
conuitions. If the IFC's piactice was consistent
with that of the othei "auuitois" iuentifieu by
woikeis, the visits woulu in any case have been
stiictly contiolleu by management to ensuie
that theie was no unsupeiviseu contact with
woikeis, anu no visit to the laboi lines.
S98

But even cuisoiy uue uiligence shoulu have
geneiateu substantial uoubts foi the IFC that
laboi anu health conuitions on the plantations
coulu possibly have been in compliance with
IFC stanuaius, oi that the pioject woulu comply
with policies ielateu to uisplacement fiom lanu.
With iegaiu to sanitation, foi example, the
Peifoimance Stanuaius pioviue, "The client will
pievent oi minimize the potential foi community
exposuie to watei-boine, watei-baseu, watei-
ielateu, vectoi-boine uisease, anu othei
communicable uiseases that coulu iesult fiom
pioject activities."
S99
The neeu foi mitigation of
this iisk shoulu have been immeuiately appaient
in a substantial numbei of the plantations, given
the conuition of seweis anu latiines, anu the
limiteu access to clean watei.
Similaily, many of the claims maue about
seivices, such as the quality of health caie, woulu
have been calleu into question by any uegiee
of obseivation anu inteiviews. The Review
uesciibes a geneious anu functioning "system
of estate hospitals," incluuing "inteivention foi
safe motheihoou . . . nutiitional caie of chiluien
. . . |anuj iegulai health euucation piogiams."
4uu

This pictuie beais little ielationship to the
ieality of the health caie on the plantations
anu the pievalence of health pioblems that aie
uocumenteu in the pievious section.
In iegaiu to the health of pesticiue spiayeis on
the plantations, theie aie ieasons to believe
that the IFC uiu in fact uiscovei pioblems,
but uiu not take them seiiously. The Review
concluueu that Tata "enueavois to iotate"
spiayeis anu that they aie given quaiteily
meuical check-ups, incluuing cholinesteiase
anu othei bloou tests, biliiubin tests, chest
x-iays anu uiinalysis. It fuithei founu that
spiayeis weie given piopei tiaining anu "all
iequisite peisonal piotective equipment (PPE)
incluuing hanu gloves, goggles, masks, boots
anu apions."
4u1
0ltimately, the uocuments taken
as a whole suggest that, while the IFC appioveu
S97 CA0 Appiaisal Repoit, 3$%"- note S7S, at 9-1u. The failings of unions anu goveinment enfoicement aie uiscusseu above in Section II;
weaknesses in piivate monitoiing mechanisms aie uiscusseu below (Piivate Ceitification - SA8uuu anu the Ethical Tea Paitneiship).
S98 R(( 3$%"-< "Auuits," in Pait II.
S99 IFC Peifoimance Stanuaiu 4.1u (2uu6).
4uu R(( Enviionmental anu Social Review Summaiy, 3$%"- note S74.
4u1 @47 The Review Summaiy also finus that Tata uses no pesticiues listeu by the IFC as banneu oi "shoulu be avoiueu." We founu two
plantations on which spiayeis weie spiaying Enuosulfan, a substance cuiiently banneu by Inuia, but alieauy listeu as "moueiately
hazaiuous" by the WB0 when the Review was unueitaken. IFC guiuelines foibiu a client to use pesticiues in this class "if they aie likely
to be accessible to peisonnel without piopei tiaining, equipment, anu facilities to hanule, stoie, apply, anu uispose of these piouucts
piopeily," IFC Peifoimance Stanuaiu S.1S (2uu6), making the pooi tiaining anu piotective geai of spiayeis especially tioubling.
4u2 Theie aie uisciepancies between the public Enviionmental anu Social Review Summaiy anu an inteinal pioject pioposal wiitten by
the IFC vice Piesiuent anu Coipoiate Secietaiy befoie the pioject was appioveu. The most salient example conceins the piovision
anu use of piotective geai foi chemical spiayeis, which is a paiticulaily impoitant issue in light of the ueath of a spiay woikei uue to
suspecteu pesticiue exposuie at APPL's Powai Tea Estate in Nay 2u1u. The memo takes a less confiuent tone than the public assessment
quoteu above, finuing that although Tata has systems in place foi tiaining, as well as hanuling anu stoiing chemicals, "IFC has iuentifieu
some gaps in these piogiams." Inueeu, this is the one aiea of impiovement iuentifieu in the Action Plan foi Tata to achieve compliance.
Enviionmental anu Social Review Summaiy, 3$%"- note S74.
the pioject, it may have been moie awaie of
"ieu flags" than the Enviionmental anu Social
Review itself ieveals.
4u2

Anothei glaiing gap in the assessment is the
absence of any evaluation of the potential
negative impacts of uiveisification, paiticulaily
the loss of the lanu tiauitionally useu by woikeis
foi giowing iice anu vegetables foi theii own
consumption. The IFC's Peifoimance Stanuaius
iegaiuing physical oi economic uisplacement
uue to lanu confiscation extenus to both foimal
anu infoimal claims to lanu,
4uS
so woikeis' lack
of title to the lanus woulu not have stoou in the
way of application of IFC pioceuuies. Auuitional,
moie stiingent pioceuuies aie tiiggeieu when
uisplaceu peisons aie inuigenous, as is the
case heie.
4u4
Yet these piovisions appeai not
to have been consiueieu in the context of the
uiveisification plan.
CAO COMPLAINT
In Nay 2u12, the Compliance Auvisoi
0mbuusman (CA0), the inuepenuent iecouise
mechanism foi the IFC, took the unusual step
of initiating a compliance appiaisal of APPL.
Accoiuing to the CA0's Annual Repoit, the
uecision was maue uue to complaints maue
about "woikei health anu safety stanuaius
on two tea estates wheie violent piotests anu
ueaths hau been iepoiteu."
4uS

At the appiaisal stage, the CA0's investigation
is limiteu to pioject uocuments anu uoes not
involve site visits. Neveitheless, the Appiaisal
iuentifieu ieasons to question the auequacy of
the IFC's pioject supeivision both uuiing the
initial assessment of enviionmental anu social
stanuaius, anu uuiing the outbieak of violence
at Powai anu Noweia Nuuuy, the two estates
in question. The CA0 "questions whethei IFC
hau sufficient eviuence to suppoit the stiong
positive finuings" in its Enviionmental anu
Social Review,
4u6
anu "is uncleai whethei IFC
auequately uischaigeu its uuty" in iegaiu to the
"laboui uisputation anu associateu conflict."
4u7

The CA0 Appiaisal iaiseu paiticulai conceins
that the IFC assessment oveilookeu violations
of Peifoimance Stanuaiu 2 iegaiuing Laboi anu
Woiking Conuitions. The lack of inuepenuent
union iepiesentation is also alluueu to, as having
contiibuteu to the pioblem: "CA0 finus that this
case uemonstiates challenges in the assessment
anu supeivision of PS2 iisks that emeige fiom
the natuie of the ielationships between an IFC
client, its woikeis anu the unions that iepiesent
them."
4u8
The Appiaisal, howevei, uoes not
explicitly auuiess the woikei-shaieholuei plan
oi the uiveisification, both of which weie at the
heait of the IFC's involvement in the pioject.
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In auuition to ielying on Tata's ieputation, anu
on the assumption that laboi inspectoiates in
Inuia ensuie compliance with uomestic law, the
IFC also gave gieat weight to the fact that the
Tata plantations paiticipateu in piivate, multi-
stakeholuei mechanisms that aie supposeu
4uS IFC Peifoimance Stanuaiu S.14 (2uu6): "Bisplaceu peisons may be classifieu as peisons . . . who uo not have foimal legal iights
to lanu, but have a claim to lanu that is iecognizeu oi iecognizable unuei the national laws |i.e. auveise possession oi customaiy oi
tiauitional lawj.")
4u4 IFC Peifoimance Stanuaiu 7.14 (2uu6).
4uS The iepoit significantly notes these conceins as a violation of Peifoimance Stanuaiu 2, which suggests that contiaiy to what is wiitten
in the public pioject uocuments, the iefoimeu safeguaius apply to the pioject. CA0, Annual Repoit 2u12, at 66.
4u6 CA0 Appiaisal Repoit, 3$%"- note S7S, at 7.
4u7 @47 at 9-1u.
4u8 @47 at 1u.
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Following the events that set off worker protests
at the Nowera Nuddy and Powai tea estates, the
IFC was confronted with demands that it respond
to the situation and address the possibility that the
protests indicated serious human rights violations
at APPL. However, there are no indications that
the IFC subsequently undertook any objective
assessment of conditions at APPL, or used its
infuence to ensure meaningful remedies. Rather,
the IFC served as a highly partisan defender of
Tata and APPL, continuing to insist that there has
been no wrongdoing by management, in the face of
mounting evidence to the contrary.
Personnel from U.S. Treasury and the State
Department, acting on behalf of the U.S. Executive
Director of the World Bank, alerted the FC to their
concerns in August 2010. They had heard reports
that a spray worker had died at Powai, allegedly
from overexposure to pesticides, and that two
young men protesting his death were shot and
killed. Paolo Martelli, the FC's Director for South
Asia at the time, responded in an email that the
FC was aware of the "labor unrest, but saw
no cause for alarm. He said that the FC would
soon be visiting the estates as part of its regular
supervision, and promised it would then "study the
ground reality and assess if there is any basis for
these NGO queries/allegations.
Martelli met with then-Managing Director of APPL,
Hardeep Singh, in September 2010, and was
apparently told that the protests were nothing more
than local unions jockeying for power. On the basis
of this assertion alone, Martelli in turn reported
back to Treasury that the allegations were "false,
and that there was no violation of FC performance
standards at APPL.
When Treasury asked Martelli in greater detail
about Powai, it emerged that he was unaware of the
particular "labor unrest there. n the four months
since the deaths at Powai, no one from APPL had
reported them to the FC, and Singh had failed to
mention them during the course of the meeting.
The Political and Economic Affairs Offcer at the
U.S. Consulate in Kolkata, having decided to pursue
the matter on his own, dispatched a representative
to visit Powai. The representative concluded that,
"at the least, the Amalgamated project is very
controversial from a labor/legal/human rights
perspective, and recommended that either the
U.S. Government reconsider its association with
the project, or make support contingent on "an
independent participatory and public mechanism to
review and correct labor practices.
Even after this report had been shared with the
FC, and Martelli had been replaced as Director
for South Asia, the FC maintained the same line:
Tata and APPL's account of events was the true
version, there were no violations of FC policies
at the tea plantations, and no independent
investigation was necessary.
:/#)#D 9 3*,+ *+3*4( 9::;S3 "()-*1 #$)1()< 1#6-)(4 -) .-)/*0$1*7
to ensuie high social stanuaius. This incluues
SA8uuu
4u9
anu the Ethical Tea Paitneiship. As
noteu ciitically by the CA0 Appiaisal, these
piivate mechanisms figuieu piominently in
the IFC's assessment of Tata's compliance with
laboi stanuaius, appaiently substituting foi
the IFC's own juugment.
41u
In ieality, while
piivate mechanisms shoulu supplement the
iequiiements of Inuian law, they appeai, insteau
to have ueflecteu attention fiom the absence of
company compliance anu state enfoicement, as
uetaileu below.
SOCIAL ACCOUNTABILITY INTERNATIONAL'S SA8000
The weaknesses of SA8uuu ielate not so
much to the stanuaius themselves as to theii
implementation. Nany of the SA8uuu stanuaius
echo IFC iequiiements, but theie aie also some
significant auuitions with iespect to woikeis'
iights.
411
The iules coveiing iemuneiation
aie paiticulaily piogiessive, anu theii lack of
enfoicement is the souice of iecuiiing complaints
fiom woikeis at APPL estates. Foi example, the
SA8uuu stanuaius iequiie that woikeis be paiu
a "living wage," that wages anu benefits be cleaily
uesciibeu to woikeis,
412
that all oveitime must
be ieimbuiseu at a piemium iate,
41S
anu that the
company may not use consecutive shoit-teim
contiacts oi othei schemes to keep woikeis in
a state of piecaiious employment.
414
In many
cases, APPL woulu appeai to be in flagiant
violation, as uetaileu above.
Bealth anu safety is anothei aiea wheie
SA8uuu stanuaius incluue ielatively uetaileu
iequiiements, anu wheie pioblems peisist.
Companies aie iequiieu to take "effective steps"
to pievent acciuents anu minimize hazaius
inheient in the woik enviionment,
41S
by
appointing a "senioi management iepiesentative"
to implement specific safeguaius.
416
These
incluue on-the-job health anu safety tiainings,
417

piotective equipment anu meuical assistance
in the case of an acciuent,
418
access to clean
toilets anu potable watei,
419
anu uoimitoiies
that aie "clean, safe, anu meet the basic neeus
of peisonnel."
42u
Nany of these iules pioviue a
useful supplement to IFC laboi iules, which uo
not auequately contemplate the neeus of woikeis
living on employeis' piemises. Nany of the
SA8uuu piovisions speak uiiectly to pioblems
iuentifieu by woikeis in iegaiu, foi example, to
unsanitaiy latiines anu inauequate housing.
Neveitheless, uespite the claiity of the stanuaius,
anu the egiegiousness of the violations at APPL,
the plantations all ieceiveu SA8uuu ceitification.
0ne ieason foi the gap between the iules anu the
compliance may be the complacent ielationship
between Social Accountability Inteinational
anu the coipoiations it is intenueu to iegulate.
This ielationship is paiticulaily noticeable
with iespect to Tata, wheie the Nanaging
Biiectoi of Tata Inuustiies, Kishoi Chaukai,
is a membei of SAI's Auvisoiy Boaiu.
421
SAI's
Piesiuent, Alice Teppei Nailin, is quoteu in a
Tata biochuie lauuing this close ielationship,
saying: "I am honoieu to consiuei many at Tata
4u9 SA8uu ceitification was launcheu by the Nu0 Social Accountability Inteinational (SAI) in 1998. It is funueu by inuiviuual, goveinmental
anu coipoiate uonations anu has an eight-peison Boaiu of Biiectois, with a mix of coipoiate anu Nu0 iepiesentatives. An Auvisoiy
Boaiu equally uiviueu between business anu non-business iepiesentatives sets the SA8uuu stanuaius anu pioposes ievisions. The
Auvisoiy Boaiu also seives othei functions, incluuing, in some cases, heaiing complaints. R(( SAI, "About SAI: Who We Aie," http:
www.sa-intl.oiginuex.cfm.fuseaction=Page.viewPage&pageIu=49u
41u CA0 Appiaisal, 3$%"- note S7S, at 9-1u; In the Enviionmental anu Social Review Summaiy, 3$%"- footnote S74, the section titleu
"Laboi management piactices, incluuing chilu laboi, in the Company anu its supply chain" notes only two measuies of compliance,
the seconu of which is the pioject's SA8uuu anu ETP ceitifications. In the pioject pioposal, unuei "Quality Nanagement," these two
ceitifications aie the only safeguaius mentioneu. IFC Nemoianuum, 3$%"- footnote 27u, at 8.
411 The SA8uuu stanuaius aie baseu on IL0 Conventions anu incluue eight aieas: chilu laboi, foiceu laboi, occupational health anu safety,
fieeuom of association anu iight to collective baigaining, uisciimination, uisciplinaiy piactices, woiking houis, anu compensation. A
ninth section pioviues foi "management systems" to implement anu monitoi the stanuaius.
412 SA8uuu Stanuaiu 8.S.
41S SA8uuu Stanuaiu 8.4.
414 SA8uuu Stanuaiu 8.S.
41S SA8uuu Stanuaiu S.1
uioup colleagues, as we move foiwaiu togethei
to ensuie uecent woik foi inuiviuuals aiounu
the globe."
422
While paitneiships between Nu0s
anu coipoiations may be a commenuable step
towaiu impioveu laboi conuitions, they piesent a
iisk when these voluntaiy ceitification schemes
ieplace oi uistiact fiom manuatoiy iegulation
piocesses, such as those of the IFC.
Anothei concein is the inauequate inuepenuence
of the ceitification piocess. The company's contiol
ovei the outcome is ieinfoiceu by the fact that it
pays foi the ceitification, which is then conuucteu
by appioveu Ceitifying Bouies (CBs). The CB
that appioveu APPL's SA8uuu ceitification was
the Noiway-baseu iisk management company
Bet Noiske veiitas (BNv). The iequiiements set
out in the SA8uuu stanuaius iequiie the CB to
maintain piopei iecoius of "fiequent announceu
anu unannounceu monitoiing"
42S
anu to make
this uata available to "inteiesteu paities."
424
The
ieality howevei is veiy uiffeient.
In iesponse to the ieseaich team's initial iequest
foi infoimation BNv uisiegaiueu SA8uuu iules
stating that they "aie bounu by 'confiuentiality
agieement' with the client."
42S
Aftei the ieseaich
team obtaineu the inteivention of Social
Accountability Accieuitation Seivices (SAAS),
426

BNv pioviueu limiteu uetails. Rupam Baiuah,
Beau of Noith East 0peiations foi BNv, iepoiteu
that the initial auuit incluueu six tea estates,
anu that theie was peiiouic auuiting of foui
tea estates eveiy six months. Be claimeu that
BNv "allocate minimum 1 manuay besiues lauy
inteiviewei." Be uiu not inuicate whethei auuits
aie announceu in auvance. BNv uiu say that
they visiteu the laboi lines "to assess company
pioviueu quaitei in line with PLA anu tiipaitite
agieement." anu iepoiteu that they secuieu
input fiom woikeis, both thiough uiiect woikei
inteiviews "anu thiough 0nion as iequiieu."
427
Though the Pioject Nanagei foi Social
Accountability Accieuitation Seivices hau
specifically infoimeu BNv that it woulu be
appiopiiate to pioviue us with infoimation
about "conceins you have founu at these
plantations," Ni. Baiuah iefuseu to iesponu to
the question of whethei theie "weie any othei
416 SA8uuu Stanuaiu S.2
417 SA8uuu Stanuaiu S.S
418 SA8uuu Stanuaiu S.S
419 SA8uuu Stanuaiu S.7
42u SA8uuu Stanuaiu S.9
421 R(( SAI, "SAI Auvisoiy Boaiu," http:www.sa-intl.oiginuex.cfm.fuseaction=Page.viewPage&pageIu=494.
422 The Tata biochuie, "A }ouiney Towaius an Iueal," is available on SAI's website. The full quote ieaus as follows: "As the Piesiuent of
Social Accountability Inteinational (SAI), I have hau the uistinct pleasuie of woiking with vaiious membeis of the Tata uioup, anu
have leaineu fiom theii visionaiy appioach to social iesponsibility. The woik of the Tata uioup anu TCCI is a consistent inspiiation
foime, pioviuing insight into what can be accomplisheu in Inuia foi woikeis thiough sustainable business piactices anu ueuicateu
community uevelopment. I am honoieu to consiuei many at Tata uioup colleagues, as we move foiwaiu togethei to ensuie uecent
woik foi inuiviuuals aiounu the globe" (62). Available at http:www.sa-intl.oiginuex.cfm.fuseaction=uocument.showBocumentBy
IB&BocumentIB=SS8&vaiuniqueuseiiu=61988692628
42S SA8uuu Stanuaiu 9.7(u)
424 SA8uuu Stanuaiu 9.1S.
aieas of paiticulai concein" anu how they weie
auuiesseu. Insteau, at the enu of his biief email,
he wiote, "I feel this will suffice youi queiy."
428
ETHICAL TEA PARTNERSHIP
The Ethical Tea Paitneiship |ETPj, which is
mischaiacteiizeu by the IFC as a ceitification
mechanism, also has some meaningful
substantive iequiiements, but it has even less
significant enfoicement. Companies voluntaiily
agiee to the conuitions anu submit an annual
self-assessment. ETP then analyzes these
assessments anu iuentifies "key aieas of iisk foi
piouuceis anu piioiities foi impiovement."
429

Thiiu paity auuitois may be useu, but theie aie
no iules foi when such auuits aie iequiieu.
4Su
0nlike SA8uuu, the plantations' paiticipation
in ETP pieuates the change in the owneiship
stiuctuie anu the involvement of the IFC. ETP
was foimeu by a gioup of tea piouuceis in 1997
anu Tetley, which was acquiieu by Tata Tea in
2uuu, was a founuing membei.
4S1

The ETP stanuaius aie similai to those of
the SA8uuu, although they also incluue
enviionmental piovisions.
4S2
Theie aie specific
stanuaius ielateu to the safe hanuling of
agiochemicals,
4SS
access to hygienic washing
facilities anu clean toilets,
4S4
access to potable
watei,
4SS
anu housing that is "clean, safe anu
auequate."
4S6
In auuition, theie is a special
piovision iequiiing employeis to "pioviue
welfaie anu social seivices which meet the
neeus of women woikeis, paiticulaily those
with family iesponsibilities anu piegnant
female woikeis."
4S7
Wages must be "sufficient to
meet basic neeus of woikeis anu theii families
anu to pioviue some uiscietionaiy income,"
4S8

the conuitions in iespect to wages must be
maue cleai to woikeis befoie enteiing into
employment,
4S9
anu ueuuctions may only be
taken as pioviueu foi in national law oi with
the employee's peimission.
44u
In the absence of meaningful enfoicement, the
ETP piocess - like SA8uuu - functions piimaiily
to shielu APPL fiom iigoious sciutiny, iathei
than to ensuie compliance with the high
stanuaius it sets foith.
42S Email fiom Rupam Baiuah, Beau of Noith East 0peiations at Bet Noiske veiitas AS, }une S, 2u12.
426 Email fiom Salah Busseini, Pioject Nanagei, Social Accountability Accieuitation Seivices (SAAS) to Rupam Baiuah, heau of Noith East
0peiations at Bet Noiske veiitas AS, }une 26, 2u12 ("I see no haim in shaiing with him geneial auuit pioceuuies anu conceins you
have founu at these plantations."). This email followeu an email to Salah Busseini, }une 12, 2u12.
427 Email fiom Rupam Baiuah, }une 27, 2u12.
428 Email fiom Rupam Baiuah, }uly 16, 2u12.
429 Ethical Tea Paitneiship, "Nonitoiing Piocess," http:www.ethicalteapaitneiship.oigoui-woikmonitoiing-ceitmonitoiing-piocess
4Su In auuition to mischaiacteiizing the ETP as a ceitification mechanism, the IFC claims that it iequiie thiiu paity auuiting, "Inuepenuent
monitoiing bouies assess a iange of inuicatois incluuing minimum age of woikeis, minimum wage, houis oi woik, equal oppoitunity,
total iemuneiation, woikplace health anu safety conuitions, meuical anu euucation facilities, housing, anu basic human iights."
Enviionmental anu Social Review Summaiy, 3$%"- note 27u.
4S1 Ethical Tea Paitneiship, "Bistoiy," http:www.ethicalteapaitneiship.oigoui-woikmonitoiing-ceitmonitoiing-piocess,
4S2 The social categoiies aie: Fieely Chosen Employment; Fieeuom of Association anu the iight to collective baigaining; Bealth anu
Safety; Chilu Laboui; Wages anu Benefits; Woiking Bouis; Bisciimination; Regulai Employment; anu Bisciplinaiy anu uiievance
Pioceuuies.
4SS Ethical Tea Paitneiship ulobal Stanuaius S.7 (Sept. 2u11).
4S4 Ethical Tea Paitneiship ulobal Stanuaius S.9 (Sept. 2u11).
4SS Ethical Tea Paitneiship ulobal Stanuaius S.1u (Sept. 2u11).
4S7 Ethical Tea Paitneiship ulobal Stanuaius S.1S (Sept. 2u11).
4S9 Ethical Tea Paitneiship ulobal Stanuaius S.S (Sept. 2u11).
44u Ethical Tea Paitneiship ulobal Stanuaius S.S (Sept. 2u11).
>:K" P
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K8-L&&8MU:"<LMH
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Amalgamateu Plantations Piivate Ltu. (APPL)
employs moie than S1,uuu woikeis in the Inuian
tea sectoi. By opeiating tea plantations, the
company is obligateu to meet the conuitions of
one of inuepenuent Inuia's most expansive pieces
of piotective legislation, the Plantations Laboui
Act of 19S1. By paitneiing with the Woilu Bank's
Inteinational Finance Coipoiation, the Tata
uioup piomoteu APPL as a uevelopment pioject,
subject to inteinational stanuaius anu sciutiny.
The eviuence in this iepoit shows that APPL is not
living up to its commitments anu that both Tata
anu the IFC beai iesponsibility foi this failuie.
F<P<MV :MU 1LKY<MV -LMU<"<LMH
0ui finuings, baseu on visits to 17 of the 24
plantations, inuicate multiple violations of
the uomestic legal fiamewoik, especially of
the Plantations Laboui Act. These incluue the
following:
Benial of health caie anu subsiuizeu foou to
thousanus of woikeis anu theii uepenuents,
who aie explicitly coveieu unuei the law.
uiievous lack of attention to the iepaii
anu upkeep of housing, the piovision of
auequate, clean watei, anu the maintenance
of basic sanitation in the "laboi lines" wheie
woikeis live.
Low wages fuithei eioueu by illegal foims
of casualization, unjust wage ueuuctions,
oi uniealistic woik quotas that iequiie
woikeis to peifoim unpaiu oveitime woik
anuoi shaie theii wage with a helpei.
Nonexistent oi highly inauequate measuies
to piotect the health anu safety of woikeis
spiaying hazaiuous chemicals.
The pioblems peisist, with little effoit by the state
to investigate potential violations, oi penalize
employeis. APPL points to its paitneiship
with piivate iegulatoiy schemes - Social
Accountability Inteinational anu the Ethical Tea
Paitneiship - as eviuence of ongoing exteinal
monitoiing anu ceitification of compliance
with laboi anu social stanuaius. Bowevei, the
ieseaich team iuentifieu significant flaws in the
opeiation of these schemes at APPL, paiticulaily
at the level of auuits, which substantially
unueimine theii cieuibility.
APPL also emphasizes the piesence of tiaue
unions at its plantations, as fuithei eviuence that
woikeis have ieal avenues to iaise complaints
about any violations that may have occuiieu.
But thiough the maneuveiing of employeis anu
the state goveinment in Assam, a single tiaue
union, the Assam Chah Nazuooi Sangha (ACNS),
maintains a monopoly in the state. 0n the basis
of extensive woikei testimony, the ieseaich team
concluues that, iathei than enabling woikeis to
challenge conuitions on the plantations, ACNS
has laigely seiveu to suppiess incipient woikei
piotest anu to conuuct suiveillance in the laboi
lines on behalf of management. While it is still
too eaily to ieach conclusions about West Bengal,
the situation theie appeais to be maiginally
bettei, anu newly emeigent foims of unionism
have alieauy leu to some significant gains.
Conclusions and Recommendations 107
8SS8-"H LS "J8 HJ:K8 >F:M :MU 8-LML&<-
U<P8KH<S<-:"<LM
The tiansition to APPL, incluuing the sale of
shaies to woikeis anu the uiveisification into
fisheiies, has geneiateu new uifficulties foi
woikeis.
Woikeis weie piessuieu into buying shaies
without fully unueistanuing the complicateu
plan oi the iisks involveu. Nost of the woikeis
inteivieweu by the ieseaicheis hau piofounu
misunueistanuings about how they weie paying
foi the shaies. Aftei initial effoits to explain the
plan weie abanuoneu by Tata anu the IFC, in
the wake of woikei iesistance, theie has been
no meaningful communication with woikeis,
incluuing those who bought shaies. Even the
annual iepoits aie not maue available to the
woikei-shaieholueis.
Theie is little eviuence to suggest that shaie
owneiship will benefit woikeis in the longei
teim. Woikei-shaieholueis have no iole in the
goveinance of the company. The guaianteeu
inteiest of 6% on shaies is Su% less than the
iate of inteiest on long teim savings pioviueu
by commeicial banks, anu in any case will come
to an enu when the shaies vest in 2u14. While
management claims that shaies have incieaseu
in value, this is impossible to veiify since APPL
shaies aie not tiaueu in the open maiket anu
financial iepoits aie not shaieu with the public.
Fuitheimoie, APPL has been anu continues to
be the beneficiaiy of significant "hanu-holuing"
- such as guaianteeu sales anu, possibly,
piefeiential piicing foi its tea - by Tata; it is
uncleai how the company will faie when it is
weaneu of that suppoit.
APPL's uiveisification into fisheiies anu black
peppei piouuction was supposeu to cieate
an expansion of highei-quality employment.
Insteau, it has iesulteu in a hanuful of extiemely
piecaiious jobs, anu some expansion of uay
laboi; in all cases we encounteieu, these woikeis
have low wages, no benefits, anu no secuiity
of tenuie. The fisheiies, which management
hau claimeu weie constiucteu on "fallow" lanu
within the tea estates, involveu the seizuie of
lanu that hau been allocateu to woikeis anu
theii families to giow iice anu vegetables foi
theii own subsistence. Foi the families that hau
lanu anu have lost it, the uiveisification scheme
has entaileu a significant net loss.
"J8 KLF8 LS "J8 <S- :MU >K<P:"8 -8K"<S<-:"<LM
The IFC's investment in APPL bolsteieu its
ieputation foi social iesponsibility anu pioviueu
neeueu capital foi the pioject. By paitneiing
with the Woilu Bank, Tata iecast a business
uecision to minimize its exposuie to the iisks
associateu with opeiating plantations into a
plan foi piomoting economic uevelopment in
the backwaiu tea-giowing iegions of Inuia.
The IFC, in tuin, appeais to have exeiciseu little
ciitical sciutiny in auvance of the pioject oi
meaningful oveisight uuiing the implementation.
Rathei than seiving as the "honest neutial
biokei" in connection with the sale of shaies,
the IFC became an aviu piomotei anu uefenuei
of the pioject. It uiu not unueitake the iequiieu
inuepenuent sciutiny of Tata anu its iecoiu;
iathei, it ielieu on Tata's ieputation as an
inteinationally iecognizeu "leauei in piogiessive
enviionmental, social iesponsibility anu
occupational health anu safety initiatives," anu on
thiiu-paity veiification by Social Accountability
Inteinational anu the Ethical Tea Paitneiship.
While piivate ceitification also offeis piomise if
seiiously enfoiceu, it cuiiently lacks cieuibility.
Auuits aie announceu in auvance, aie tightly
contiolleu by management, anu uo not appeai to
involve any inuepenuent inteiviews with woikeis
oi meaningful visits to the laboi lines. Accoiuing
to the stanuaius anu pioceuuies which these
bouies aim to follow, piivate ceitification shoulu
supplement anu ieinfoice uomestic law. In the
case of APPL, it appeais to have ueflecteu fiom
the lack of state enfoicement.
K8-L&&8MU:"<LMH
It is beyonu the puiview of this iepoit to pioviue
compiehensive iecommenuations to coiiect
the pioblems on APPL plantations. In oiuei to
auuiess the conceins legitimately, Tata, APPL,
anu the IFC must engage in a piocess that is
tianspaient anu genuinely paiticipatoiy. Nany
of these pioblems aie sectoi-wiue, anu will
iequiie sectoi-wiue solutions.
At the same time, theie aie ceitain violations of
law anu policy at the 24 APPL tea estates that aie
entiiely within the company's powei to iemeuy,
anu coulu be enueu immeuiately. Foi example:
Tbe discriminatory denial of benefits to
"#$%&$&'(% )(*+,*- $%. &/,'* .,",%.,%&-A
Tempoiaiy woikeis, the uepenuents of
female woikeis, anu the paients of all
woikeis aie entitleu to these benefits by law
anu shoulu ieceive them.
0%&,*1,*,%2, )'&/ )(*+,*-3 *'4/&- (1 1*,,
5(6,5,%&7 $%. &/,'* *'4/& &( *,2,'6,
6'-'&(*- '% &/,'* ()% /(5,-A The law
guaiantees public access to the "laboi
lines," anu this iight must be iespecteu. This
applies not only to woikeis' fiienus anu
family seeking to visit them, but also moie
geneially: anyone shoulu be able to entei
the laboi lines, anu entei woikeis' homes if
woikeis invite them to uo so, without having
to notify management. The uiiect oi inuiiect
suiveillance of woikeis must also cease.
8,-&*'2&'(%- (% )(*+,*-3 *'4/& &( 1(*5
$%. 9('% $ :%'(% (1 &/,'* 2/('2,A APPL
is cuiiently complicit in maintaining the
monopoly the ACNS, in the state of Assam.
Nanagement must allow woikeis to be
iepiesenteu by the union of theii choice in
any negotiation oi uispute, anu must enu the
piactice of ueuucting uues fiom all woikeis
at souice to give to ACNS. 0ntil such a time
as theie is a legitimate election, woikeis
shoulu be fiee to pay uues to the union of
theii choice, aftei ieceipt of theii wages.
;*(-'(% (1 )$4,- &/*(:4/ :%1$'*
.,.:2&'(%- $%. /'4/ &$-+ *$&,-A Among
the many factois that contiibute to the
impoveiishment of woikeis at APPL,
theie aie two that shoulu be coiiecteu
immeuiately: electiicity costs, anu high
task iates that iequiie woikeis to peifoim
unpaiu oveitime anuoi shaie theii wage
with helpeis. In the immeuiate teim, the
plantations must ensuie that woikeis uo not
have to pay inuustiial iates foi iesiuential
electiicity connections, anu shoulu place
no obstacles in the way of woikeis seeking
to obtain subsiuizeu "Below Poveity
Line" electiicity connections thiough the
goveinment. Foi tasks such as piuning anu
cleaiing uiains, management must ensuie
that the woik can be completeu by a single
woikei within the eight-houi woikuay.
Theie shoulu be no wage ueuuction foi
woikeis unable to complete the task, anu no
uncompensateu oveitime.
<$#, (1 =>>? -/$*,- &( )(*+,*- &/*(:4/
.,2,"&'(% $%. 2(,*2'(%A The plantations
must act immeuiately to enable woikeis
to opt out of the shaie owneiship scheme,
anu ietuin to the status quo ante. Failing a
meaningful opt out mechanism, APPL must
immeuiately conveit the "shaie sale" plan
to a shaie giant, iefunuing all paycheck
ueuuctions to uate anu ceasing any fuithei
ueuuctions, given that most woikeis aie ill
able to affoiu them.
<,'@:*, (1 )(*+,*-3 $4*'2:#&:*$# #$%.A It
will be uifficult to ieveise the confiscation
of lanu, given that it has, foi the most
pait, alieauy been conveiteu to fisheiies.
Conclusions and Recommendations 109
Bowevei, compensation shoulu be paiu at
once, equivalent to the faii maiket value of
the lanu, in oiuei to enable those woikeis to
puichase plots elsewheie if they uesiie.
The chionic violations of the Plantations Laboui
Act, ielateu to housing, sanitation, meuical
caie, euucation, occupational health anu safety,
anu othei entitlements foi woikeis anu theii
families, will iequiie a thoiough, objective anu
tianspaient ieview of compliance, anu a cleai
timetable foi implementing solutions.
Nany violations associateu with the shaie
owneiship plan will also iequiie longei-
teim iemeuies. Woikei paiticipation in the
goveinance of APPL, thiough piopoitional
iepiesentation on the Boaiu, must be put in
place, along with a system of communicating
with woikei-shaieholueis, in local languages,
about the peifoimance of the company.
The IFC has an impoitant iole to play in
ueveloping long-teim iemeuies anu ensuiing
theii implementation. While it woulu be haiu to
ueny that the IFC faileu to exeicise uue uiligence
piioi to appioving the pioject, this shoulu not
become an excuse foi it to "cut anu iun" at this
ciitical stage, anu pull out its investment. 0ntil the
oiiginal stateu goals of the pioject aie achieveu,
in compliance with the Peifoimance Stanuaius,
the IFC must maintain its investment level anu
stay fully engageu in iesolving violations.
Finally, the IFC must act immeuiately to
ensuie that woikeis unueistanu that they
have a iight to biing complaints befoie the
Compliance Auvisoi0mbuusman (CA0), as
well as othei complaints mechanisms anu
giievance pioceuuies. In paiticulai, the IFC must
acknowleuge that theie has been management
suiveillance of, anu ietaliation against, woikeis
who have attempteu to ieach out to auuitois
anu inspectois, incluuing the CA0, anu it must
inteivene piomptly to ensuie woikeis' safety.
"The More Things Change ...
The World Bank, Tata and Enduring Abuses on ndia's Tea Plantations
January 2014
Columbia Law School Human Rights nstitute
web.law.columbia.edu/human-rights-institute
Designed by Victoria Esquivel-Korsiak

The World Bank, Tata and Enduring Abuses On India's Tea Plantations

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