Impact of institutional overlapping on water governance of Himalayan City, Nainital, India

Water is the most precious resource on the planet and is not just a public good but also a human right, as declared by the United Nations (UN) in 2010. Geographically, it is not equally distributed and can present significant challenges for management and equitable access because of the nature of its physical existence. Compared to other geographies and water systems, Himalayan mountain water and governance systems remain relatively less understood (Singh & Pandey, 2020). The Himalayan region, also known as the ‘Water Tower of Asia’, is richly endowed with water and provides an important regional lifeline for two billion people through water flows (hydropower) and other ecosystem services (Christopher et al., 2019), and despite this, governance of water in mountains and hills has not been studied well.

In most of the Himalayan countries like Bangladesh, India, Nepal, and Pakistan, the urban population is growing between 3 and 5% (Singh et al., 2019). Moreover, in provinces of these countries, most of the Himalayan cities are tourist destinations and host large floating populations during peak tourist season, challenging their carrying capacities in terms of providing clean water and sanitation (Shah & Kulkarni, 2015; Mondal & Roychowdhury, 2019; Ojha et al., 2019). These hill cities are facing population-driven scarcity, and due to increasing population pressure and changing water consumption behaviour, the challenge of keeping water consumption at a sustainable level is becoming difficult. The supply and demand gap ranges between 20 and 70% in the towns of the Himalayan region as a result of poor governance, lack of urban planning, in-migration, tourist influx, and climate-related risks and challenges (Ojha et al., 2020).

Good governance in water distribution and management is currently lacking in most hill towns due to multi-level conflicts (Shrestha et al., 2020). The Himalayan region's water governance is typified by hybrid formal–informal regimes, wherein informal institutions are prevalent at the local level and formal state institutions at the national and regional levels. However, the necessary cooperation and support between state and informal water management institutions is frequently observed to be absent (Christopher et al., 2019). Governance challenges and inefficient water utilities become much more critical for hilly and mountain regions as the sources of water are limited and the local geology hardly supports accessing groundwater unlike in the plains (Dame et al., 2019). Therefore, hill towns need to be viewed in the broader context of mountain waters, and all aspects related to water like resource management, supply system, and institutional arrangements need to be closely monitored.

The literature supports the fact that most of the time water crisis is caused by ‘governance crisis’ (UN World Water Report, 2016; Saleth, 2018). Water governance encompasses water management, and water management consists of two distinguishable but closely related concepts: water resources management, and water services. Water resource management entails the protection, use, development, conservation, and control of water resources to achieve social equity, economic development, and environmental sustainability. However, water services on the other hand entail the provision of water supply to users (potable and commercial use) as well as sanitation (Thompson et al., 2001). In other words, water management includes customary law, norms, and practices between institutions, groups, civil society, and private sector (Paavola, 2007), and for a comprehensive water management system, water institution analysis is essential.

Identically, the water institutional structure is composed of three institutional elements: water law, water policy, and water administration (Saleth & Dinar, 2004). The water law and policy require mutual adjustment and refinement over time for their successful execution, whereas water administration is supposed to implement water law and policies at the ground level within the set institutional framework. This analysis is crucial for developing nations (Saleth & Dinar, 2004; Pahl-Wostl et al., 2012; Akhmouch & Correia, 2016) as it directly affects agriculture, environment, urban and rural development, health, housing, as well as economic development (MacKay & Ashton, 2004).

India as a developing nation and one of the countries in the Himalayan region ranks as the second most populous (960 million) and the seventh largest (3.29 million km²) country in the world. Because of this increased population, the water insecurity has arisen, and situation has become worse due to the weak institutional system (Pandey et al., 2019). Water laws are essential for the efficient management, but in India, water laws are heavily fragmented and water-related legislations use piecemeal approaches and far less than comprehensive. The State governments have the jurisdiction over water (Saleth & Dinar, 1999; D'Souza, 2001) and several federal ministries and institutions function to manage it, which produces a rather complex management structure which hampers effective formulation and coordination of policy and often results in duplication, unclear responsibility, and non-accountability (Narain, 2000).

Among the various mid-sized Himalayan cities of India such as Shimla, Mussoorie, and Darjeeling, this study primarily focuses on Nainital. The study aimed to understand the current water resources and supply system of the city; identify the various institutions involved in water management; analyse their co-operative arrangements, roles, and responsibilities; and evaluate their impact on the effectiveness and efficiency of water governance in the city. In addition, the study also suggests incorporating nature-centric approaches into institutional frameworks. This integration can enhance the resilience of water systems and foster sustainable water governance.

As Nainital shares similarities with many other mid-sized Himalayan cities in terms of ecological resources, the results drawn from this study can serve as a starting point for improving water governance in other Himalayan cities facing similar kinds of water challenges like Shimla, Mussoorie, and Darjeeling in India; Dharan and Dhulikhel in Nepal; Gilgit and Quetta in Pakistan; and Rangamati and Banderban in Bangladesh.

Nainital, a popular hill station, has long been revered for its stunning beauty. The city is home to the breathtaking, 48-hectare Naini Lake, which not only adds to its charm but also serves as a crucial water source for both residents and tourists. However, in recent decades, Nainital has faced significant environmental changes, particularly in its hydrological cycle, due to rapid urbanization, poorly planned development, and a burgeoning tourist population (Singh, 2021). The sustainability of Naini Lake is now at risk due to excessive water extraction and human activities (Divyanjali, et al., 2023). In addition, the city's aging water distribution network, originally designed for a smaller population, is struggling to meet the current demand, resulting in an average water availability of 92 l per capita per day, below the Indian Government standard. This dual challenge of stressed water resources and water scarcity for residents underscores the urgent need for effective water governance in Nainital.

Nainital experiences annual rainfall around 1903 mm, and in general, there is an increase in the lake water level with rainfall. There are five sluice gates towards the lower end of the lake to regulate the water level in the lake particularly during the rainy season. Excess water is discharged from these gates, which then joins a river downstream.

In India, there are many water institutions involved in managing the three institutional components, i.e., water law, policy, and administration (Chopra & Ramchandran, 2021), but recognizing the complexity of Nainital's water governance and for a meaningful focused evaluation, only concerned institutions were selected for the study.

To assess the current institutional framework and its implications, key stakeholders and institutions were mapped. Formal institutions include Uttarakhand Jal Sansthan, Uttarakhand Pay Jal Nigam, Municipal Authority, Irrigation Department, National Lake Region Special Area Development Authority, Public Works Department (PWD), Forest Department, and Administrative Department, which play leading roles in water services. In addition, other entities such as the Asian Development Bank (ADB) and SWAJAL are also involved in water services. Informal institutions encompass non-governmental organizations, civil society groups, and community-led groups.

The methodology for this research paper involved a multifaceted approach to data collection. Primary data were gathered through two focus group discussions (FGDs) and 10 key informant interviews (KIIs). The FGDs were conducted with a diverse group including informed citizens, community leaders, boatmen, taxi owners, local vendors, and tourists. On the other hand, KIIs were conducted with a range of stakeholders including an academician as a subject expert, members from the hospitality industry (hotels and restaurants), trade associations (shop owners, petty traders, and vendors), local civil society, and officials from various departments such as Uttarakhand Jal Sansthan, Municipal Authority, and other concerned departments involved in managing the water in Nainital. The majority of participants were graduates, aged between 18 and 50 years. Both the KIIs and FGDs were audio recorded with the consent of the interviewees.

To ensure a comprehensive understanding, the theme of the questionnaire was based on water availability, resources, supply and distribution, management issues, and challenges. Secondary data were gathered through a comprehensive literature review and synthesis, including grey literature such as news articles and reports. Sustainable, nature-centric approaches were extracted through the literature survey and presented with the involvement of the respective institutions to derive the most suitable and sustainable water management for the study site.

Lakes and springs have been and continue to be major sources of water supply in the hilly region of the Himalayas (Chhimwal et al., 2022). In the case of Nainital, the lake is the main source of drinking water. It is fed directly or indirectly by 79 km of drainage network in its catchment area. The catchment area is delineated by many faults and fractures coinciding with a surface drainage system. The three major water resources of the Nainital are as follows: (1) Naini lake, (2) Sukhatal (a sub-catchment of Naini lake), and (3) springs. Thus, the water used by the Nainital city is a mix of surface and ground water, but the majority is contributed through ground water extraction. As per the information shared by Jal Sansthan of Nainital, at present, 15 tubewells are installed, 11 are at lakeside, while 4 are installed on the lake bed of Sukhatal. These tubewells are now the main sources of water for Nainital and produce 8.0 mld (million litre per day) water per day, while the rest 0.167 mld is drawn from the springs.

An Environmental and Social Systems Assessment (2017) reveals that the state has implemented several water supply schemes to harness water from streams, rivers, and lakes. In Nainital, the city historically depended on a piped water supply system that drew water from a local spring called Pardadhara. Since then, the system has gradually expanded over time. Originally, this was a gravity-fed system. Dash et al., (2008) described a comprehensive description of this development of Nainital's water supply.

Good water management often reflects a symbiotic relationship between formal and informal institutions, where both play crucial roles and are interdependent (Charles, et al., 2005), but Nainital's institutional system is primarily characterized by the dominance of formal institutions and a limited presence of informal ones. The water supply of Nainital is mainly operated and maintained by Uttarakhand Jal Sansthan (UJS), working under Department of Drinking Water & Sanitation (DDWS), Government of Uttarakhand (GoU). UJS undertakes small-budget capital works and is responsible for planning, survey, DPR (Detailed Project Report) preparation and execution of water supply and sewerage projects. Large capital works and overall planning are carried out by another corporation, Uttarakhand Pey Jal Nigam (UPJN), which also comes under DDWS. Although it is supposed to be a municipal function, Nainital Nagar Palika Parishad (NNPP) is not involved in conventional municipal functions such as water supply, sewerage, etc. These functions are in the hands of state agencies (CDP: Nainital, 2007).

There are some other departments that are not directly or significantly involved in the Water Supply & Sanitation (WSS) sector but nevertheless play an important oversight, regulatory, or financing role. In Nainital, the Irrigation Department played an important role in the lake-related matters. The maintenance responsibility of the lake was handed over to the Irrigation Department from PWD. Outflow from the lake through five sluice gates was controlled by the PWD department until 2017, but the charge was handed over to Irrigation Department in 2018. Another authority that plays an important role in relation to lake water is Nainital Lake Region Special Area Development Authority (NLRSDA). It implements the restoration works and has the power to restrict constructions in and around the lake, which is clearly a part of Naini lake catchment.

Other agencies, depending on their geographical jurisdiction, are also involved in the delivery of WSS services. Some like Urban Local Bodies (ULBs) and SWAJAL may be directly involved in the implementation or the management of drinking water supply and sanitation schemes, while some others like Social Welfare, Forest Department and ADB either provide specific support/funds or provide clearances for specific schemes and projects. All these facts indicate that with time many institutions have emerged in the urban environment of Nainital. Table 1 presents detailed information related to roles and responsibilities of the institutions responsible for the water management in Nainital.

Regardless of whether the area is hilly or flat, the overlapping mandates of institutions serve as a contributing factor to the failure of water management (Nleya, 2005). After exploring the roles and responsibilities of institutions of Nainital, we also found substantial interconnections among stakeholders. The diagram vividly depicts the overlapping roles of various institutions involved in water management in Nainital.

Apart from institutional overlapping, extreme climatic conditions and fragile landscape are significant challenges for sustainable water supply in this beautiful city (Chauhan et al., 2021). These factors, compounded by anthropogenic pressures, place significant stress on the city's water resources (Singh & Gopal, 2002; Purushothaman et al., 2012; Raghav, 2020). Officials responsible for Nainital's water institutions are struggling to conserve, manage, and distribute water effectively with the limited carrying capacity of the lake and springs. The city's rapid population growth has further strained water resources, leading to the increased demand and more water abstraction. Currently, Naini Lake caters to 76% of the total water demand. In other words, the constantly changing conditions in ecologically fragile sloping landscape, along with uncertainties related to climate change and natural disasters, exacerbate the complexities of the existing water governance of the city.

Research indicates that well-designed water institutions not only play a crucial role in promoting sustainable water use, distribution, and management across different scales (Saleth & Dinar, 2008) but also help in determining the interaction between social and natural systems (Ostrom, 1990) and providing the foundation for effective coordination and management of water resources. Contrary to this, a lack of institutional action poses a significant threat to the future of urban water security (Pandey et al., 2019). Moreover, factors such as resource management, inappropriate institutional arrangements, and bureaucratic inertia undermine the effective governance of water in many parts of the world (UNDP-SIWI Water Governance Facility).

As we transition from an era of abundance to an era of scarcity, there is a growing global focus on institutional arrangements related to water supply, distribution, and resource management (Saleth, 2004). The findings of a study suggest that the water challenges in Nainital are not solely due to ‘scarcity’ but also stem from ‘mismanagement’, despite the presence of numerous formal and informal water institutions in the city. The current institutional framework in Nainital is struggling due to unclear mandates, as the transition of functions has not been fully completed. Analysis indicates that the multitude of water institutions and city authorities are not effectively contributing to sustainable water management, which is causing a significant impact on the city's water governance and the complexities of institutional overlapping exacerbate this issue. Particularly in the context of Nainital, this overlap is significantly affecting various aspects. Some of the key impacts are described in the following subsections.

The impact of institutional overlapping on water governance is profound due to the situation surrounding the ownership and maintenance of the lake. The overlapping institutions have resulted in fragmentation and confusion in decision-making processes, particularly regarding the management of the lake.

According to Sengupta et al. (2017), the municipality is the owner of the lake, feeder channels, and catchments, but there has been a notable lack of effort from the municipality to conserve the lake. This has led to a situation where blame is passed between municipality and PWD, each entity accusing the other of neglecting their responsibilities. The lack of clarity in ownership has created a scenario where the lake's health is increasingly at risk. In response to growing concerns, maintenance responsibilities for the lake were shifted from the PWD to the irrigation department (Singh, 2017). However, this has created a disjointed system where one department owns the lake, while another is responsible for its maintenance. If these conflicts and issues between the departments are not addressed promptly and effectively, the lake will remain under significant threat, highlighting the detrimental impact of institutional overlapping on water governance.

Under normal conditions, providing adequate water to residents is challenging, but during times of peak tourist seasons, the situation worsens in many lower Himalayan cities (Ojha et al., 2020). This issue is particularly acute in Nainital (Santoshi & Roy, 2019). Residents of Nainital receive a limited water supply in peak tourist season. During our investigation, we found that the city's water supply network is suffering from technical glitches like poor maintenance and broken pipes and leakages. Despite the involvement of 12 formal and informal institutions in water management in Nainital, Jal Sansthan is entrusted with the responsibility of ensuring continuous domestic water supply, while UPJN oversees the installation, construction, and maintenance of water pipes. This division of responsibility leads to mismanagement because these two bodies often work in isolation, rather than in convergence. Thus, both the departments have a particular role in water distribution, but risk responsibility comes in the share of Jal Sansthan only. It is imperative to address this mismanagement promptly to reduce the risk to water supply security in Nainital. Overall, the overlapping institutions in Nainital are leading to significant consequences for water services, especially considering the additional strain from the floating tourist population.

This is widely acknowledged that over-abstraction of water and construction in the catchment area pose significant threats to water resources (Park et al., 2021). The study highlights the repercussions of institutional overlapping on water resource management, clearly evident in the challenges faced by the Naini Lake and springs present within the city. Our primary concern regarding the resource management is that there is an absence of single responsible institution for the strategic planning and management of water resources in Nainital. The task of regulating the unauthorized construction in the catchment area and enforcement of building by-laws around water resources is divided between two institutions, NLRSDA and NNPP. Although it was announced during policy regulation that the Uttarakhand Water Resources Management and Regulatory Commission (UWRMRC) would be formed to manage and restore water resources in the state, but nothing substantial is happening at the ground level.

Another concern is the issue of over-abstraction of water from the lake, which is one of the reasons behind the lake level declining (Naini Lake – UNDP, 2017). As per a report of Water Resource Group (2015), water security is a challenge even for areas that have a reasonable amount of water but are extensively abstracted to meet the demand. Institutions have implemented short-term demand management responses such as water rationing to regulate the over-abstraction. The management of this abstraction is overseen by three institutions – Jal Sansthan, Irrigation Department and Nainital District Administration, which raises concerns regarding accountability and risk responsibility. As a result, the management of water resources in Nainital remains fragmented, with multiple departments and institutions sharing responsibilities but lacking a coordinated approach.

The impacts of institutional overlapping on the environment are significant (Dasgupta & Cian, 2016) and particularly relevant in the case of Nainital. Rapid urbanization, unplanned construction activities, and encroachment on the recharge areas have already compromised the habitat and ecology of the city (Jain et al., 2023). In addition, the influx of silt, solid waste, construction debris, and other pollutants is responsible for eutrophication of lake water and is helping in environmental degradation (Tripathi, 2018). While not all institutions may bear direct responsibility for managing environmental risks, it is in the interests of most institutions to ensure that these risks are managed in a manner that safeguards resources and water supply security while minimizing adverse impacts on the environment (Johnson & Handmer, 2002).

This section discusses approaches that can be adapted within a set institutional framework to decrease the vulnerabilities of the hill cities to water issues without compromising environmental sustainability. There are many viable nature-centric water management measures which might be applicable in Nainital and can be easily taken up by any of the concerned institutions and executed at various scales (Table 2). Following are the suggestive interventions that can be adopted at different levels of institutions.

This has great potential to address some of today's water crises in many of the hill areas. As per the report ‘Water storage – A strategy for climate change adaptation in Himalayas’ published by ICIMOD (2009), in the Himalayan region, most of the rain and snow generally falls during a short period. Thus, to make water available for human use, the water must be collected or ‘harvested’ when rain or runoff is available. Harvesting storm water minimizes the use of municipal treated water for non-potable use (Che-Ani et al., 2009), and in the case of Nainital, it will also help to maintain the lake level.

Most of the urban Himalayan cities are heavily dependent on spring sources for their water supply and drinking (Bharti et al., 2019). We can replicate this idea in Nainital, as in previous times, springs were the main source of water for the city, but at present according to Jal Sansthan Uttarakhand, merely 0.67 mld water is coming from the springs.

As Nainital does not have sewage treatment facilities, a conceptual water management strategy based on the use of non-conventional water resources can be used. Its applicability should be promoted while recognizing that it requires a distinct change in the behavioural patterns of institutions, utilities, and individuals.

Despite their proven benefits for the environment and the communities they serve, traditional water systems are consistently overlooked in government strategies. Reviving traditional water sources holds utmost significance in the sustainable conservation of water resources within the Himalayan region (Sharma et al., 2020).

There should be initiatives stressing the involvement of communities. Overlooking of community governance can be a failure for institutions working on water sector development (Shunglu et al., 2022).

According to Gain et al., 2016, water plays a central role in sustainable development and presents a significant global challenge. However, with efficient and equitable management, water can serve as a key facilitator in enhancing the resilience of social, economic, and environmental systems. Evaluating the existing water institutional framework and policies is crucial in addressing the water crisis (Saleth & Dinar, 2006; De Stefano et al., 2014). Bandyopadhyay (2016) emphasizes the need for a new interdisciplinary institutional framework to enhance water security, focusing on state-level consolidation and the empowerment of local governments, as water is a state subject in India. Singh & Pandey (2020) also suggested the development or reassessment of groundwater abstraction policies, especially in mountainous regions facing increasing population pressure.

There are policies and institutions in place for conserving and protecting water resources, as well as regulating groundwater extraction and construction in areas surrounding rivers and lakes that serve urban populations, but these policies are seldom followed, and institutions require strengthening (Singh & Gopal, 2002). The implemented policies in Nainital often prioritize the development of water resources over their sustainable management, highlighting the urgent need to consider the entire ecosystem, which faces growing threats due to heightened pressure on water resources. The current institutional framework of the city is ineffective in reconciling stakeholders' diverse needs, leading to inadequate coordination and the inability to ensure a fair water supply. Improving the institutional framework can help find sustainable solutions to water management problems. Western Himalayan town Dharamshala (Himachal Pradesh, India) serves a positive example of effective resource management by the administration, which has ensured that the town will not face water issues in the future (Thakur, 2018).

The study underscores the importance of improving the institutional capacity of Nainital to understand threats to water resources and the environment. It emphasizes the need to achieve a balance between water availability, demand, and security by prioritizing effective water governance. Research also advocates the integration of nature-centric approaches into institutional framework for sustainable water management.

One notable limitation was the under-representation of females and elderly people in our sample population. This disparity raises concerns as the perspectives and needs of female residents may differ significantly from those of their male counterparts. Future research endeavours should prioritize efforts to enhance the inclusivity of survey participation to ensure a more representative and robust analysis of the challenges and priorities related to water supply in the city.

The study was conducted under the project ‘Hydrogeological Assessment and Socio-Economic Implications of Depleting Water Resources in tourist towns of Uttarakhand’. The authors are obliged to all stakeholders for sharing the information and helping in the making of this manuscript. Authors also want to thank Mr Laraib Ahmad, Ph.D scholar, IIRS, Dehradun for giving his contribution in map making.

This work was financially supported by the Ministry of Jal Shakti, Department of Water Resources (MOWR), River Development (RD) and Ganga Rejuvenation (GR), Government of India under the Action Research category of R&D activity.

The study was carried out in a responsible manner and research involving human participants was conducted ethically and in compliance with relevant regulations. Researchers provided comprehensive information about the research including its purpose and procedure to the participants and interviewed the participants only after verbal consent and willingness to participate. The approval from an independent ethics committee (Research Ethics Committee – Centre for Ecology Development and Research) was waived in the manuscript because prior consent from each participant was taken through phone calls and appointment.

The authors affirm that they have no competing interests or conflicts of interest to disclose regarding the subject matter or materials discussed in this paper.

Data cannot be made publicly available; readers should contact the corresponding author for details.

The authors declare there is no conflict.