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The views expressed in this presentation are the views of the author and do not necessarily reflect the

views or policies of the Asian Development Bank Institute (ADBI), the Asian Development Bank (ADB), its Board of Directors, or the
governments they represent. ADBI does not guarantee the accuracy of the data included in this paper and accepts no responsibility for any consequences of their use. Terminology used may not necessarily be consistent with ADB
official terms.

Policy Dialogue on Sustainable Sanitation in Asia
21 September 2018

Policy Dialogue Presentation

Institutional arrangement for sustainable sanitation in India

Joseph Ravikumar
Sr. Institutional Development Specialist, World Bank
Institutional issues in urban sanitation - India
Policy Dialogue on Sustainable Sanitation in Asia

• Urban sanitation beset with fragmented institutional responsibilities

• Multiple institutions responsible for different activities with little coordination between them

• Urban local bodies often do not have primary responsibilities

• Major investments are often undertaken by parastatals – then handed to ULBs for operation

• Regulations are poor / weak

• Emphasis on asset creation with low priority on asset maintenance/service provision

• No accountability and thus no responsibilities

• In the end, OUTCOMES are not achieved… and citizens suffer
Key Institutional issues in urban sanitation (1)
Policy Dialogue on Sustainable Sanitation in Asia

• Policy guidance and operating framework
• Provided by central government
• Implemented by States
• Hardly guided by local context/requirements
• Tendency to institutionalize upward accountability (from ULBs to State)

• Urban Local Bodies (ULBs)
• Lack of functional autonomy (limited progress in implementation of 74th Constitution
Amendment Act, which makes ULB responsible for delivery of sanitation services)
• High dependence on Parastatal agencies
Ø Created by States
Ø Lack of managerial capacity
Ø Misplaced technical capacity (concentrated in engineering departments while lacking in ULBs)
Ø Focus on designing and building big infrastructure projects and not on providing universal services
Key Institutional issues in urban sanitation (2)
Policy Dialogue on Sustainable Sanitation in Asia

n ULBs/Parastatal agencies/Water Boards currently
n Lack coordination

n Operate in unregulated environment

n Together lack downward accountability

n Lack of incentives (indeed dis-incentives) to perform
n Financial independence: Subsidy from national / state government is independent

of service provision/recovery or user charges
n Lack of accountability to users
Institutional Analysis: Framework
Access and Collection and Conveyance Treatment Storm Water Solid Waste
Containment / Sewerage (STP) Drainage Management

Planning and Design
Citizen Interface
Implementation and Capital Investments
Asset Ownership
Operation and
Maintenance O & M Costs

Regulation & Monitoring Source; IIHS, 2018
List of institutions in delivery of sanitation services in Allahabad
Policy Dialogue on Sustainable Sanitation in Asia

n Govt. of Uttar Pradesh (Urban Development Department)

n Uttar Pradesh Jal Nigam (UPJN) – state level entity for planning, design and construction
of networks and wastewater treatment plants

n Allahabad Municipal Corporation (AMC)

n Jal Kal – agency with AMC responsible for O&M
Current Institutional Framework: Allahabad
Component/ Access and Collection and Conveyance / Treatment (STP) Storm Water Solid Waste
Activity Containment Sewerage Drainage Management
Planning and Households Jal Kal Department of AMC UPJN (none for AMC AMC
Design /UPJN (for networks) FSM)
Implementation Households Jal Kal/UPJN (for networks)/ CLEARfor
Private sector (for FSM) FSM)
Capital GoI/ GoUP GoI/GoUP (for networks) GoI/ GoUP GoI/ GoUP GoI/ GoUP
Investment Private Sector (for FSM)
Ownership HOUSEHOLDS AMC (Jal Kal) /
Households AMC (UPJN for AMC/ UPJN? AMC
Private Sector (for FSM) 10-15 years)
Operation and Households Jal Kal/ UPJN UPJN AMC/ UPJN? AMC
O & M costs Households AMC / GoUP (for networks) GoUP pays to AMC/GoUP AMC
Households (for FSM) UPJN
Citizen Interface - AMC/ Jal Kal NA AMC AMC

Monitoring - - PCB - -
Current Institutional Framework: Emerging Concerns

1. Institutional Overlaps/Fragmentation for sewerage and storm water drainage

2. Monitoring and regulation systems are absent/minimal

3. Citizen Interface AMC & Jal Kal have their own grievance redress mechanisms.

4. Asset handover policy/protocols are not in place

5. FSM responsibility split between AMC and Jal Kal in Allahabad
Proposed Institutional Arrangements: Emerging Concerns
Implementation Arrangements: Well defined

Household Connections

Ø Contractors have been given responsibility of connection from toilet/septic tank to the house chamber
(clarity needs to be given for greywater)

Ø NGO/CSOs recruited for Information, Education and Communication activity to enable household
connections, and a PMU set up to manage NGOs

O&M Arrangements – O&M for sewerage and STPs to be contracted to private sector

Ø Responsibility for managing the private sector contractors (for network and STPs) is with UPJN

Ø Plan for communication between citizens and contractors not clear

Ø In UP, contracts are being bid out for O&M of STPs, and for monitoring by state government
Institutional Analysis: way forward (1)
1. Household Connections
Ø NGOs/Intermediaries to be recruited for motivation and guidance

Ø Roles and responsibilities among all stakeholders need to be clearly defined

Ø AMC/Jal Kal to be in the loop to modify the tax database PMC needs to be involved since it
represents the primary citizen interface

2. Citizen Interface and role of ULB
Ø A single window for customers/citizens

3. Monitoring System especially for networks (households to connect) and non-network (containment
improvement, emptying) to be put in place
Institutional Analysis: way forward (2)
4. Accountability and Coordination Mechanisms
Ø Clear delineation of responsibilities

Ø Coordination mechanisms between UPJN (executing agency), ULB and legacy O&M agency for

Ø A clear transition plan (and handover protocol) for O&M responsibility to be developed

5. Shifting role of the public sector needs to be acknowledged, capacity building for contract management
needs to be strengthened

6. Clear responsibilities needed both for direct service delivery as well as regulating the private operators
for FSM, coordination between different ULBs and GPs
Policy Dialogue on Sustainable Sanitation in Asia

Thank You for your attention !