Expertise: International Urban Institutional Reform Expert
Expertise Group: Project Management/ Institutional Development
Consultant Source: National
TOR Keywords: Urban water supply and sanitation governance, Institutional Assessment
Objective and Purpose of the Assignment
Uttar Pradesh is the most populous State of India with a total population of 199.6 million according to
Census, 2011 out of which 155.1 million live in rural areas and 44.5 million in urban areas. There
has been a net addition of about 10.9 million persons in the urban areas between 2001-2011. Thus, about
16.50% of the total population and 11.80% of the urban population of India reside in Uttar Pradesh.
The percentage of urban population to total population of the State stands at 22.28 as per the 2011
Census whereas, this percentage was 20.78 in 2001, a moderate increase of 1.50 percent during 2001-
- Given the large urban population, there is tremendous pressure on urban infrastructure systems
especially water supply, drainage, sewerage, and solid waste management. Water supply
connection is available in only approximately 50% of households in Nagar Nigam towns and the nonrevenue
water is estimated at 41%. Only 20% of urban areas are serviced by sewerage systems and only
73% of the households are having toilet facilities. The cities are challenged to provide basic
sustainable services to the urban citizens at an affordable cost. The status of the current urban
service level and infrastructure calls for a review of existing policies, rules, and regulations
to shift toward an effective institutional and governance structure that will promote the adoption of
innovative concepts such as mainstreamed resources flow for improved urban service, incentive mechanism
for performing urban local bodies, public-private partnerships, etc.
The Government of Uttar Pradesh (GOUP) has a unique governance structure in the water supply and
sanitation sectors. Public Health Engineering Department was created in 1927 to provide drinking
water supply and sewerage facilities in Uttar Pradesh. In 1946 it was rechristened as Local Self
Government Engineering Department (LSGED). In 1975, it was converted to Uttar Pradesh Jal Nigam
through Uttar Pradesh Water Supply and Sewerage Act, 1975 (Act no-43, 1975). As per the Act Jal Nigam
has jurisdiction over the entire Uttar Pradesh (except Cantonment Area). The basic objective of
creating this corporation is the development of water supply and sewerage assets and the regulation
of the services. The 2021 amendment to the Uttar Pradesh Water Supply and Sewerage Act that came into
force on 24 August 2021, has divided the Uttar Pradesh Jal Nigam into Uttar Pradesh Jal Nigam (Urban)
and Uttar Pradesh Jal Nigam (Rural). Considering the increasing number of water supply and sewerage
projects planned either through the Government fund and/or external aids including ADB and the
significance of sustainable urban service for the economic development of the State, the GOUP recognizes
the need for the water supply and sanitation governance improvement and institutional reform.
Scope of Work
The consultant will support the GOUP in developing a roadmap and action plan for institutional reform
and strengthening the improvement of the governance of the water supply and sanitation sector in
Uttar Pradesh. This would be based on the thorough assessment of the current governance
structure of the sector, the results of findings through a series of government
consultations with relevant authorities, and the review of the urban governance structures in other
states that have innovative institutions like Tamil Nadu, Orrisa, Karnataka. The consultant shall first
develop a proposal with several options for institutional reforms, which identifies the strengths and
weaknesses of different options taking into consideration the high-level target of the reforms, the
existing context of the Uttar Pradesh State, the target for the urban reforms, the feasibility of
the reform, and alignment with the constitution of India, etc. Once the one particular option is
determined by the GOUP, the consultant shall develop a roadmap and action plan for the urban sector
reforms for GOUP and prepare detailed terms of reference for the more in-depth studies to follow for the
actual implementation of the proposed reforms.
Detailed Tasks and/or Expected Output
The Institutional reform expert will undertake the following activities:
(i) The expert is expected to undertake a detailed review of the current urban sector
structure in the State that includes roles and responsibilities of the Urban Development
Department, UP Jal Nigam, and any other major institutions involved in the delivery of urban services.
Details of the review and the assessment include:
(a) studying the mandates, scope, functions, staffing, resources, challenges, and other relevant
issues/matters to understand existing agencies/institutions involved in the water supply and sanitation
governance in the State of Uttar Pradesh;
(b) Mapping all institutions/ agencies under Urban Development Department and relevant
authorities at the district and urban local body level that are involved in the sector;
(c) Assessing existing organizational structure in water supply and sanitation governance,
including organizational hierarchy, existing outreach, coordination and communication among these
institutes/agencies, details of staffing pattern, vacancies, sanctioned posts, permanent staff,
knowledge/skill capacities of staff at those institutions/authorities indicated in (b);
(d) Assessing all types of financial resources flows and management for the execution of water supply
and sanitation projects, asset management, operation and maintenance (O&M), and institutional
management;
(e) Mapping out existing and planned water supply and sanitation projects/ assets/ service
management by institutions/ authorities indicated in (b) with an indication of
institutional dynamics regarding the asset creation, transfer, and operation & maintenance
responsibilities and assess the issues and challenges due to such dynamics;
(f) Assessing by institutional dynamics regarding the asset creation, transfer, and operation
& maintenance responsibilities in relation to water supply and sanitation;
(g) Identifying strengths, weaknesses, and gaps in the existing institutions in water supply
and sanitation governance;
(h) Mapping all institutions/agencies under Urban Development Department, and relevant
authorities at district and urban local body level that are involved in urban planning, and urban
infrastructure and services other than water supply and sanitation and assess their staff, roles
and responsibilities, details of staffing pattern, vacancies, sanctioned posts, permanent staff,
knowledge/skill capacities of staff, and current issues and challenges in urban planning, other urban
infrastructure and services;
(i) Identifying strengths, weaknesses, and gaps in the existing institutions in urban sector
governance;
(ii) Undertake reviews of best practices in water supply and sanitation sector and urban
institutional arrangement and lessons from other states, in particular, Tamil Nadu, Orissa,
and Karnataka states, where financial intermediaries are in place for the streamlined project
development and implementation.
(iii) Identify key areas of improvement in the institutional structure, decision-making process, and
any other governance-related matters in the urban water supply and sanitation
sectors in Uttar Pradesh;
(iv) Prepare options for institutional reforms that can address the existing urban challenges in the
State, and mitigate risks, while identifying the pros and cons of each option;
(v) Organize a series of stakeholder consultations with relevant authorities of the GOUP to present,
discuss, and gain feedback on various options, and develop a reform proposal
including the structure of institutions that can be implemented with a buy-in of the GOUP;
(vi) Draft a roadmap and action plan on institutional reforms for the streamlined development and
service delivery of urban water supply and sanitation sector and financing
mobilization and flow for the investment suited for the context of Uttar Pradesh. Conduct dialogue
with various concerned departments and finalize the proposal with due
consideration of the feedback; and
(vii) Prepare detailed terms of reference for consulting services to undertake in-depth studies and
support the actual implementation of the agreed Institutional reforms.
Deliverables
(i) Institutional assessment report on urban water supply and sanitation governance in the State of
Uttar Pradesh and presentation material.
(ii) A roadmap and action plan on institutional reform to improve urban water supply and sanitation
governance in the State of Uttar Pradesh and presentation material.
(iii) Detailed terms of reference for further in-depth study and support to the implementation of the
proposed reform.
Minimum Qualification Requirements
The applicant should have a master’s degree or equivalent in institutional management, public
administration, policy, urban engineering, or a related field; over a basic university degree in the
related field.
Candidate should have preferably at least 15 years of professional experience in the institutional
development sector with preferably at least 10 years’ experience in undertaking institutional/
organizational studies, evaluation of public sector organizational structures, corporate strategies,
training needs assessment, program design, monitoring and evaluation of programs, and related studies of
which 5 years should be in India.
Minimum General Experience: 15 Years
Minimum Specific Experience (relevant to assignment): 10 Years