ppp report.pdf

7/27/2019 PPP report.pdf

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Material for PPP web page of MoUD

Public Private Partnership (PPP) - Definition

1 Public-Private Partnership (PPP) is a long term contractual agreement between a

public agency (central, state or local) and a private sector entity for providing a public

asset or service in which the private party bears significant risk and management

responsibility. The typical risk profile in a PPP project is indicated in figure 1.

Fig. 1: Typical risk Profile in PPP Projects

PRE-COMPLETION POST-COMPLETION

Contract Expires 20 Years

Project

Risk

Construction

Risk

Delay

Financial

Risks

Ground

Conditions

Design Cost

Overruns

Operation and

Maintenance Risks

Service

Quality

Traffic/

Users Real

Collection

Contract GrantedTime

Political/Change of Law/

Regulation/Force Majeure

2 PPP has been defined by various institutions as given below:-

Government of India:

PPP means an arrangement between a government or statutory entity or

government owned entity on one side and a private sector entity on the other,

for the provision of public assets and/ or related services for public benefit,

through investments being made by and/or management undertaken by the


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private sector entity for a specified time period, where there is a substantial

risk sharing with the private sector and the private sector receives

performance linked payments that conform (or are benchmarked) to specified,

pre-determined and measurable performance standards.

(Department of Economic Affairs - DEA, Ministry of Finance, Government of

India, 2010).

The earlier definition was A partnership between a public sector entity

(sponsoring authority) and a private sector entity (a legal entity in which 51%

or more of equity is with the private partner/s) for the creation and/or

management of infrastructure for public purpose for a specified period of time

(concession period) on commercial terms and in which the private partner has

been procured through a transport and open procurement system.

The International Monetary Fund (IMF):

Public-private partnerships (PPPs) refer to arrangements where the private

sector supplies infrastructure assets and services that traditionally have been

provided by the government. (IMF 2004,)

The World Bank:

PPP programs are projects that are forservices traditionally provided by the

public sector, combine investment and service provision, see significant risks

being borne by the private sector, and also see a major role for the public

sector in either purchasing services or bearing substantial risks under the

project. (World Bank 2006)

The Asian Development Bank (ADB):

PPPs broadly refer to long-term, contractual partnerships between the public

and private sector agencies, specifically targeted towards financing,

designing, implementing, and operating infrastructure facilities and services

that were traditionally provided by the public sector (ADB 2006)


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The European Union:

A PPP is the transfer to the private sector of investment projects that

traditionally have been executed or financed by the public sector (European

Commission 2003).

Why PPP

Aspirations of people for better quality of life have been increasing and

Governments, around the world, have to explore new ways to finance projects, build

infrastructure and deliver services. Public-private partnerships (PPP) are becoming a

common tool to bring together the strengths of both sectors by way of maximizing

the efficiencies and innovations of private enterprise besides providing much needed

capital to finance government programs and projects, thereby freeing public funds for

core economic and social programs. Therefore PPPs are useful for delivery of quality

services that provides Value for Money (VFM), as new options for public sector

finances and for utilization of private sector expertise and efficiency in delivery of

public services.

Ministry of Urban Development (MoUD) has been promoting PPP specially through

the its flagship scheme of Jawaharlal Nehru National Urban Renewal Mission

(JNNURM). Some of notable projects are Hyderabad Metro (figure 2), Ahmedabad

BRTS (figure 3) and Mumbai Metro (figure 4).


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Fig. 2: Hyderabad Metro Project


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Fig. 3: Ahmedabad BRTS Project


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Fig. 4: Mumbai Metro Project


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Forms of PPP

1 The PPP forms or models vary from short-term simple management contracts (with

or without investment requirements) to long-term and very complex BOT form, todivestiture.

These models vary mainly by:

Ownership of capital assets

Responsibility for investment

Assumption of risks, and

Duration of contract

The PPP models can be classified into following broad categories in order of

generally (but not always) increased involvement and assumption of risks by the

private sector (figure 5). These are:

Supply and Management contracts

Turnkey projects

Lease

Concessions

Private ownership of assets.


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Fig. 5: Forms of PPP with extent of Private Sector Participation

Design

Finance

Construct

O&M

Ownership

Service

ContractManagement

Contract

Lease Concession BOT/BOO Divest

Private Sector Public Sector

Private Sector Participation

2 Management Contracts:

A management contract is a contractual arrangement for the management of a part

or whole of a public enterprise by the private sector. Management contracts allow

private sector skills to be brought into service design and delivery, operational

control, labour management and equipment procurement. However, the public sector

retains the ownership of facility and equipment. The private sector is provided

specified responsibilities concerning a service and is generally not asked to assume

commercial risk. The private enterprise is paid a fee to manage and operate

services. Normally, payment of such fees is performance-based. Usually, the

contract period is short, typically two to five years. But longer period may be used for

large and complex operational facilities such as a port or airport.

There are several variants under the management contract including:

Supply or service contract

Maintenance management

Operational management


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2.1Supply or Service Contract:

Supply of equipment, raw materials, energy and power, and labour are typical

examples of supply or service contract. A private concessionaire can itself enter into

a number of supply or service contracts with other entities/ providers for the supply of

equipment, materials, power and energy, and labour. Some form of licensing or

operating agreement is used if the private sector is to provide services directly to

users of the infrastructure facility. Examples of such an arrangement include,

catering services for passengers on railway systems (the Indian Railways, for

example). The main purpose of such licensing is to ensure the supply of the relevant

service at the desired level of quantity and quality.

2.2Maintenance management

A public partner (Centre, state, or local government agency or authority) contracts

with a private partner to operate, maintain, and manage a facility or system providing

a service. Under this contract option, the public partner retains ownership of the

public facility or system, but the private party may invest its own capital in the facility

or system. Generally, the longer the contract term, the greater the opportunity for

increased private investment because there is more time available in which to

recoup any investment and earn a reasonable return. Many local governments use

this contractual partnership to provide wastewater treatment services. Assets

maintenance contracts are very popular with transport operators. Sometimes

equipment vendors/suppliers can also be engaged for the maintenance of assets

procured from them.

2.3 Operational management

A public partner (Centre, state, or local government agency or authority) contracts

with a private partner to provide and/or maintain a specific service. Under the private

operation and maintenance option, the public partner retains ownership and overall

management of the public facility or system. Management contracts of major

transport facilities such as a port or airport may be useful when local manpower or

expertise in running the facility is limited. Management contracts are also quite

common in the transport sector for providing some of the non-transport elements of

transport operations such as the ticketing system of public transport and reservation


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systems. Operational management of urban transport services can also be

contracted out to the private sector. In the simplest type of contract, the private

operator is paid a fixed fee for performing managerial tasks. More complex contracts

may offer greater incentives for efficiency improvement by defining performance

targets and the fee is based in part on their fulfilment.

3 Turnkey

Turnkey is a traditional public sector procurement model for infrastructure facilities.

The private contractor designs and builds a facility for a fixed fee, rate or total cost,

which is one of the key criteria in selecting the winning bid. The contractor assumes

risks involved in the design and construction phases. The scale of investment by the

private sector is generally low and for a short-term. This type of private sector

participation is also known as Design-Build.

4 Lease

In this category of arrangement an operator (the leaseholder) is responsible for

operating and maintaining the infrastructure facility and services, but generally the

operator is not required to make any large investment. Under a lease, the operator

retains revenue collected from customers/users of the facility and makes a specified

lease fee payment to the contracting authority. Fixed facilities and land are leased

out for a longer period than for mobile assets.

5 Concessions

In this form of PPP, the Government defines and grants specific rights to a private

company to build and operate a facility for a fixed period of time. The Government

may retain the ultimate ownership of the facility and/or right to supply the services. In

concessions, payments can take place both ways: concessionaire pays to

government for the concession rights and the government may also pay the

concessionaire, which it provides under the agreement to meet certain specific

conditions. Usually such payments by government may be necessary to make

projects commercially viable and/or reduce the level of commercial risk taken by the

private sector, particularly in the initial years of a PPP programme in a country when

the private sector may not have enough confidence in undertaking such a

commercial venture. Typical concession periods range between 5 to 50 years.


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Concessions may be awarded to a concessionaire under two types of contractual

arrangements:

Franchise

BOT type of contracts

5.1Franchise

Under a franchise arrangement the concessionaire provide services that are fully

specified by the franchising authority. The private sector carries commercial risks

and may be required to make investments. This form of private sector participation is

historically popular in providing urban bus or rail services. Franchise can be used for

routes or groups of routes over a contiguous area.

5.2Build-Operate-Transfer (BOT)

In a Build-Operate-Transfer or its other variants type of arrangement, the

concessionaire undertakes investments and operates the facility for a fixed period of

time after which the ownership reverts back to the public sector. In this type of

arrangement, operating and investment risks are substantially transferred to the

concessionaire. However, in a BOT type of model the government has explicit and

implicit contingent liabilities that may arise due to loan guarantees provided and

default of a sub-sovereign government and public or private entity on non-

guaranteed loans. By retaining ultimate ownership, the government controls policy

and can allocate risks to those parties best suited to bear them or remove them. In a

BOT concession, often the concessionaire may be required to establish a special

purpose vehicle (SPV) for implementing and operating the project. The SPV may be

formed as a joint venture company with equity participation from multiple private

sector parties and the public sector. In addition to equity participation, the

government may also provide capital grants or other financial incentives to a BOT

project. BOT is a common form of PPP (figure 6) in most of sectors in India and

other Asian countries. A key distinction between a franchise and BOT type of

concession is that, in a franchise the authority is in the lead in specifying the level of

service and is prepared to make payments for doing so, whilst in the BOT type the

authority imposes a few basic requirements and may have no direct financial

responsibility.


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Figure 6: Typical BOT Project Structure

Source: Toolkit for PPP in Roads and Highways (World bank/PPPIAF)

BOT has following variants:

5.2.1 DBFO: Design-Build-Finance-Operate

With the Design-Build-Finance-Operate (DBFO) approach, the responsibilities for

designing, building, financing, operating and maintaining are bundled together and

transferred to private sector partners. There is a great deal of variety in DBFO

arrangements especially the degree to which financial responsibilities is actually

transferred to the private sector. Direct user fees are the most common revenue

source. Value for money can be attained through life-cycle costing.

5.2.2 Design-Build-Finance-Operate-Maintain-Transfer (DBFOMT)

The Design-Build-Finance-Operate-Maintain-Transfer partnership model is the same

as a DBFO except that the private sector owns the asset until the end of the contract

when the ownership is transferred to the public sector.


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5.2.3 BROT: Build-Rehabilitate-Operate-Transfer

The arrangement, where a private developer builds an add-on to an existing facility

or completes a partially built facility and rehabilitates existing assets, then operates

and maintains the facility at its own risk for the contract period. BROT is a popular

form of PPP in the water sector.

5.2.4DBOM: Design-Build-Operate-Maintain

The design-build-operate-maintain (DBOM) model is an integrated partnership that

combines the design and construction responsibilities of design-build procurements

with operations and maintenance. These project components are procured from the

private section in a single contract with financing secured by the public sector. The

public agency maintains ownership and retains a significant level of oversight of the

operations through terms defined in the contract.

5.2.5 BBO: Buy-Build-Operate

A BBO is a form of asset sale that includes a rehabilitation or expansion of an

existing facility. The government sells the asset to the private sector entity, which

then makes the improvements necessary to operate the facility in a profitable

manner.

5.2.6 BOOT: Build-Own-Operate-and-Transfer

BOOT is based on the granting of a Concession by a Principal (the Union or

Government or a local authority) to the Concessionaire, who is responsible for the

construction, financing, operation and maintenance of a facility over the period of the

Concession before finally transferring the facility, at no cost to the Principal, a fully

operational facility. During the Concession period the Promoter owns and operates

the facility and collects revenue in order to repay the financing and investment costs,

maintain and operate the facility and make a margin of profit.

5.2.7BTO: Build-Transfer-and-Operate

BTO is a contractual arrangement whereby the public sector contracts out the

building of an infrastructure facility to a private entity such that the Concessionaire


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builds the facility on a turn-key basis, assuming cost overrun, delay and specified

performance risks. Once the facility is commissioned satisfactorily, title is transferred

to the implementing agency. The private entity however, operates the facility on

behalf of the implementing agency under an agreement.

5.2.8 BT: Build-and-Transfer

BT is a contractual arrangement whereby the Concessionaire undertakes the

financing and construction of a given infrastructure or development facility and after

its completion turns it over to the Government Agency or Local Government unit

concerned, which shall pay the proponent on an agreed Schedule its total

investments expended on the project, plus a reasonable rate of return thereon. Thisarrangement may be employed in the construction of any infrastructure or

development project, including critical facilities which, for security or strategic

reasons, must be operated directly by the Government.

5.2.9BOT Annuity

BOT Annuity is the contractual arrangement quite similar to BOT but return on

investment is not through the levy and collection of user fee directly from the users.

Instead the owner/ Government pay to the Concessionaire an amount annually or

bi-annually (Annuity) which he bids for. The concessionaire builds facility as per the

core requirements and operates the facility for the period of concession and gets

paid for the services based on the performance as per the key performance

indicators. In this type of arrangement, Concessionaire generally, does not take risks

associated with use of facility and resulting return on investment.

5.2.10BLT: Build-Lease-and-Transfer

BLT is a contractual arrangement whereby a Concessionaire is authorized to finance

and construct an infrastructure or development facility and upon its completion turns

it over to the government agency or local government unit concerned on a lease

arrangement for a fixed period after which ownership of the facility is automatically

transferred to the government agency or local government unit concerned.


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5.2.11ROT: Rehabilitate-Operate-and-Transfer

ROT is a contractual arrangement whereby an existing facility is turned over to the

private sector to refurbish, operate and maintain for a concession period, at the

expiry of which the legal title to the facility is turned over to the government. The term

is also used to describe the purchase of an existing facility from abroad, importing,

refurbishing, erecting and consuming it within the host country.

5.2.12ROO: Rehabilitate-Own-and-Operate

ROO is a contractual arrangement whereby an existing facility is turned over to the

private sector to refurbish and operate with no time limitation imposed on ownership.

As long as the operator is not in violation of its franchise, it can continue to operate

the facility in perpetuity.

6. Private Ownership of Assets

In this form of participation, the private sector remains responsible for design,

construction and operation of an infrastructure facility and in some cases the public

sector may relinquish the right of ownership of assets to the private sector.

Compared with the traditional public sector procurement model, where design,

construction and operation aspects are usually separated, this form of contractual

agreement reduces the risks of cost overruns during the design and construction

phases or of choosing an inefficient technology, since the operators future earnings

depend on controlling costs. The public sectors main advantages lie in the relief

from bearing the costs of design and construction, the transfer of certain risks to the

private sector and the promise of better project design, construction and operation.

There can be three main types under this form:

Build-Own-Operate type of arrangement

Private Finance Initiative (a more recent innovation)

Divestiture by license or sale

6.1BOO:Build-Own-Operate


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In the Build-Own-Operate (BOO) type, the private sector builds, owns and operates

a facility, and sells the product/service to its users or beneficiaries. This is the most

common form of private participation in the power sector in many countries. For a

BOO power project, the Government (or a power distribution company) may or may

not have a long-term power purchase agreement (commonly known as off-take

agreement) at an agreed price from the project operator. In many respects, licensing

may be considered as a variant of the BOO model of private participation. The

Government grants licences to private undertakings to provide services such as fixed

line and mobile telephony, Internet service, television and radio broadcast, public

transport, and catering services on the railways. However, licensing may also be

considered as a form of concession with private ownership of assets. Licensing

allows competitive pressure in the market by allowing multiple operators, such as in

mobile telephony, to provide competing services. There are two types of licensing:

quantity licensing and quality licensing. By setting limits through quantity licensing,

the government is able to moderate competition between service providers and

adjust supply between one area and other. Quality licensing however, does not place

any restriction on number of providers or the amount of service produced but

specifies the quality of service that needs to be provided. The government may get a

fee and a small share of the revenue earned by the private sector under the licensing

arrangement.

6.2Private Finance Initiative

In the Private Finance Initiative (PFI) model, the private sector similar to the BOO

model builds, owns and operates a facility. However, the public sector (unlike the

users in a BOO model) purchases the services from the private sector through a

long-term agreement. PFI projects therefore, bear direct financial obligations to

government in any event. In addition, explicit and implicit contingent liabilities may

also arise due to loan guarantees provided to lenders and default of a public or

private entity on non-guaranteed loans. In the PFI model, asset ownership at the end

of the contract period may or may not be transferred to the public sector. The PFI

model also has many variants. The annuity model for financing of national highways

in India is an example of the PFI model. Under this arrangement a selected private

bidder is awarded a contract to develop a section of the highway and to maintain it

over the whole contract period. The private bidder is compensated with fixed semi-


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annual payments for his investments in the project. In this approach the

concessionaire does not need to bear the commercial risks involved with project

operation. Apart from building economic infrastructure, the PFI model has been used

also for developing social infrastructure such as school and hospital buildings, which

do not generate direct revenues.

6.3Divestiture

This third type of privatization is clear from its very name. In this form a private entity

buys an equity stake in a state-owned enterprise. However, the private stake may or

may not imply private management of the enterprise. True privatization, however,

involves a transfer of deed of title from the public sector to a private undertaking.

This may be done either through outright sale or through public floatation of shares

of a previously corporatised state enterprise. Full divestiture of existing infrastructure

assets is not very common. However, there are many examples of partial divestiture.

6.4Joint Venture

Joint ventures are alternatives to full privatization in which the infrastructure is co-

owned and operated by the public sector and private operators. Under a joint

venture, the public and private sector partners can either form a new company or

assume joint ownership of an existing company through a sale of shares to one or

several private investors. The company may also be listed on the stock exchange. A

key requirement of this structure is good corporate governance, in particular the

ability of the company to maintain independence from the government. This is

important because the government is both part owner and regulator, and officials

may be tempted to meddle in the companys business to achieve political goals.

From its position as shareholder, however, the government has an interest in the

profitability and sustainability of the company and can work to smooth political

hurdles. The private partner assumes the operational role and a board of directors

generally reflects the shareholding composition or expert representation.


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PPP Cell

Ministry of Urban Development, has PPP Cell in the Economic Advisor Division

headed by Mr. A.S Bhal, Economic Advisor. The PPP Nodal Officer is Mrs Nandita

Mishra, Additional Economic Advisor .

Main functions of PPP Cell are:

Serve as the repository of knowledge and information relating to PPP in

urban infrastructure, including best practices, guidelines, schemes etc.

To provide advise/ assistance to States/ULBs on any matter/ issue relating

to PPP

Standardise and or prepare templates for procedures and bid documents. Advise, if required, other Departments and States in project development,

bid documents and in selection ofdevelopers

Coordinate with GoI and line Departments of the State on all issues

related to private investment in the urban infrastructure sectors, including

PPP.

Capacity building and organize trainings, workshops, seminar and conduct

/ recommend exposure for MoUD and States officers,ULBs and peoples

representative.

Produce standard documents or procedures on (a) bid processes and

closure; (b) complex project agreements; (c) tendering arrangements

templates, and model agreements; and (d) other detailed legal and

contractual agreements, and provide capacity building on their use, (e)

regulatory mechanism.

Assess fund requirements for the development of projects,

Examine and prepare comments of MoUD on projects, referred by DEA on

various aspects such as Viability Gap Funding (VGF) and any other

related purpose.

Provide assistance/ advise on procurement of consultants services.

Monitoring of PPP projects in MoUD and provide advise / assistance to

States/ULBs on monitoring mechanism.

Inspect, visit, review any PPP project under implementation


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PPP Projects at a glance

Sr.

No.Project Name Sector

Project Cost

In Rs. Crore

Share of Partners

In Rs. crore

Date of

Sanction

Completion

Status Type of PPP

arrangement

Andhra Pradesh

1 BRTS Visakhapatnam

Urban

Transport

470.93 GOI 226.47

State 90.59

ULB 135.87

Private 18.00

18-May-07 75% BOOT

2

Hyderabad Metro Rail

Project

Urban

Transport

12,132 GOI(VGF) 1458.00

State 1980.00

Private 8694.00

4 -Sep.-10

~10% DBFOT

Assam

3Solid Waste Management in

Guwahati

SWM 102.17 GOI 31.65

State 3.52

ULB -

Private 67.00

22-Jan-07 80% BOOT

Gujarat

4 Rajkot BRTS.(RAJ 005)Urban

Transport117.50

GOI 55.00

State 22.00

ULB 33.00

Private 7.50

20-Jul-07 98% BOT

5. Surat BRTSUrban

Transport540.02

GOI 234.51

State 93.80

ULB 140.71

Private 71.00

7-Mar-08 40% BOT

6Upgradation of Anjana

Sewage Treatment PlantSewerage 10.98

GOI 5.49

State 2.20

ULB 3.29

Private -

27-Mar-06 Completed Service contract

7Augmentation of Bhesan

Sewage Treatment PlantSewerage 15.09

GOI 7.55

State 3.02

ULB 4.53

Private -

27-Mar-06 Completed Service contract

8Secondary Seweage

Treatment Plant at BamroliSewerage 13.22

GOI 6.61

State 2.64

ULB 3.97

Private -

26-May-06 CompletedService

Contract

9 Sewerage Disposal Network Sewerage 21.28 GOI 10.64 28-Jun-06 Completed Service


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and STP for Pal-palanpor

area

State 2.64

ULB 6.38 Private

-

Contract

10Sewerage Disposal Network

and STP for Vesu area

Sewerage 34.37

GOI 17.19

State 6.87

ULB 10.31Private -

28-Jun-06 CompletedService

Contract

11

Sewerage and Sewage

Treatment system for New

East Zone Areas - Surat

Sewerage 110.66

GOI 55.33

State 22.13

ULB 33.20

Private -

28-Jan-08 98%Service

Contract

12

Sewerage system for New

Northern Drainage Zone of

SMC

Sewerage 184.04

GOI 92.02

State 36.81

ULB 55.21

Private -

14-Mar-08 86%Service

Contract

13

Design, Development,

Operation & Maintenance of

Phase I of the Secured

Engineered Landfill Facility

at Jambua for disposal of

Municipal Solid Waste

Generated in Vadodara

Municipal Limit under

JnNURM Scheme

SWM 30.98

GOI 15.49

State 6.19

ULB 9.30 Private

-

20-Jul-07 82%

BOT

concession

basis but with

out capital

contribution

from operator

14Surat Solid Waste up

gradation systemSWM 99.00

GOI 26.25

State 10.50

ULB 15.75

Private 46.50

26-Mar-07 98% BOO

15Rajkot Integrated Solid

Waste Processing Plant.SWM 18.67

GOI 4.34

State 1.73

ULB 2.60 Private

10.00

14-Jul-06 85% BOOT

16BRTS 12 Km. Long

Ahmedabad

Urban

Transport105.80

GOI 30.66

State 13.14

ULB 43.80

Private 18.20

11-Aug-06 Completed BOOT

17 BRTS Ahmedabad

Urban

Transport 405.72

GOI 142.00

State 60.86 6-Oct-06 90% O&M Contract


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ULB 202.86

Private -

18 BRTS Ahmedabad Phase IIUrban

Transport

496.14

GOI 170.85

State 73.22

ULB 244.07Private 8.00

19-Aug-08 20% OMT

19

Development and

Management of 180 MLD

Sewerage system at Pirana -

Ahmedabad

Sewerage 69.22

GOI 24.23 State

10.38

ULB 34.61

Private -

28-Jun-06 Completed O & M Contract

20

Development and

Management of 35 MLD

Sewerage system at Vasna

Ahmedabad

Sewerage 15.91

GOI 3.97

State 1.70

ULB 10.24

Private -

28-Jun-06 Completed O & M Contract

21

Development of 200 MLD

Water Treatment Plant at

Ahmedabad

Water

Supply53.83

GOI 18.84

State 8.07 ULB

26.92 Private -

21-Mar-06 Completed O & M Contract

22Upgradation of Solid Waste

Management at AhmedabadSWM 118.86

GOI 41.60 State

17.83 ULB 59.43

Private -

22-Jan-09 25% O & M Contract

Haryana

23Solid Waste Management

for Faridabad CitySWM 73.52

GOI 36.76 State

14.70 ULB 22.06

Private -

20-Jul-07 54% ROT

Karnataka

24Development of Integrated

Disposal Facility in MysoreSWM 29.85

GOI 23.88 State

2.99 ULB 2.99

Private -

19-Dec-08 55% DBFO

25

Remodelling of water Supply

Distribution Network for

Mysore city

Water

Supply194.54

GOI 155.63

State 19.45 ULB

19.46 Private -

8-Dec-06 58% DBFO

Maharashtra

26 Nagpur Water Supply

Pench IV (Part 2) (NAG-012)

-

Water

Supply

90.55 GOI 30.98

State 12.39

ULB 18.59

Private 28.59

28-Dec-06

40% BOOT


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27

Nagpur Water Audit (NAG-

011)

Water

Supply27.34

GOI 12.50

State 5.00

ULB 7.50

Private 2.34

21-Mar-06 Completed

28 Nagpur Energy Audit

Projects for Water Supply(NAG-008)

Water

Supply

28.83 GOI 12.52

State 5.01ULB 7.51

Private 2.41/1.38

21-Mar-06 Completed

OMT

29Nagpur Kanhan

Augmentation Scheme

(NAG-015)

Water

Supply105.28

GOI 82.17

State 41.09

ULB 16.43

Private 24.65

22-Dec-06 Completed BOT

30 Nagpur DPR for

Rehabilitation Plan to

implement 247 Water

Supply Project for Nagpur

City (NAG-028)

Water

Supply

387.86 GOI 193.93

State 77.57

ULB -

Private 116.36

13-Feb-09 5% ROT

31Nagpur Recycle& Reuse of

Waste Water (NAG-016)Sewerage 130.11

GOI 65.06

State 26.02

ULB -

Private 39.03

22-Dec-06 7%

Annuity

(Rs 15 Crore

annual)

32Solid Waste Management at

PCMCSWM 100.44

GOI 35.22

State 14.09

ULB 21.13

Private 30.00

22-Dec-06 BOT

33

Mumbai Metro Line-1

(Maharash-tra)

Versova-Andheri-Ghatkopar

Urban

Transport

2356.00 GOI 471.00

State 179.00

Private (JV) 1706

7-Mar.-07

~ 70% PPP/BOT

34

Mumbai Metro Line-2

(Charkop-Bandra-Mankhurd

Corridor)

Urban

Transport

7660.00 GOI 1532.00

State 766.00

Private 5362

21-Jan.-10- DFOT

35

Parking Plaza in Latur Urban

Infrastructure

0.37 GOI 0.296

State 0.037

Private 0.037

6- Sept- 06

Completed BOT

Puducherry


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36Integrated Solid Waste

Management for PuducherrySWM 108.00

GOI 39.73 State

9.93 ULB -

Private 58.34

22-Jan-09 45% BOOT

Rajasthan

37


Management in Jaipur

(Rajasthan)

SWM 13.20

GOI 6.60 State

2.64 ULB 3.96

Private -

8-Dec-06 65% O&M Contract

Tamilnadu

38

Solid Waste Management in

Alandur, Pallavapuram and

Tambaram Municipalities at

Vengadamangalam

SWM 44.21

GOI 15.47 State

6.63 ULB -

Private 22.11

19-Jun-08 15% DBOT


ChennaiSWM 255.32

GOI 12.77 State

5.47 ULB 18.24

Private 218.84

2-Feb-07 Completed BOOT


Coimbatore CorporationSWM 117.30

GOI 48.26 State

19.30 ULB 28.95

Private 20.79


41

Integrated Solid Waste

Management in Madurai

Corporation

SWM 74.29

GOI 37.15 State

14.85 ULB 5.19

Private 17.10


Uttar Pradesh


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AgraSWM 31.20

GOI 15.42 State

6.17 ULB 9.25

Private 0.36

5-Mar-07 80% BOOT


AllahabadSWM 46.04

GOI 15.21 State

6.08 ULB 9.12

Private 15.63

22-Feb-08 60% BOOT


KanpurSWM 92.47

GOI 28.12 State

11.25 ULB 16.87

Private 36.23

26-Mar-07 100% BOOT


LucknowSWM 74.13

GOI 21.46 State

8.58 ULB 12.88

Private 31.21

5-Mar-07 50% BOOT


MathuraSWM 17.62

GOI 7.93 State0.99 ULB 0.99

Private 7.70

8-Dec-06 60% BOOT


MeerutSWM 69.26

GOI 11.30 State

4.52 ULB 6.78

Private 46.67

8-Dec-06 40% BOOT


VaranasiSWM 68.80

GOI 24.34 State

9.74 ULB 14.60

Private 20.12

26-Oct-07 30% BOOT

49Integrated Solid Waste

Management - DehradunSWM 24.60

GOI 19.68 State

2.46 ULB 2.46

Private -

16-May-08 25%Service

Contract

West Bengal

50


Management Asansol-

Durgapur Municipal Area

SWM 43.57

GOI 21.79 State

8.71 ULB 4.66

Private 8.41

8-Jan-07 75% BOT


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51

Development &

Management of Water

Supply in Sector-V of Salt

Lake

Water

Supply26.07

GOI 9.12 State

-

ULB -

Private 16.95

28-Dec-07 Completed BOT

52

Municipal Solid WasteManagement of 13 municipal

towns for Kolkata (Halisahar,

Kancharapara, Kalyani,

Gayeshpur, Naihati,

Bhatpara, Khardah, Barasat,

Madhyamgram, Maheshtala,

Pujali, Baruipur and

Uluberia)

SWM 111.97

GOI 39.19 State

-

ULB -

Private 33.59

22-Jan-09 3% BOT

53

Development and

Management of Sewerage

system at Salt Lake, Sector

V (NDITA)

Sewerage 34.07

GOI 11.93 State

-

ULB -

Private 22.14

19-Sept- 08Completed

BOT

Policies and Schemes

Link for:

National Urban Sanitation Policy

National Urban Transport Policy

JnNURM

UIDSSMT

Service Level Benchmarks for Water Supply and Sanitation

Government of India Schemes, Guidelines

Links for

On line PPP Toolkit which also covers water and sanitation, solid waste

management and bus rapid transport system

Toolkit for PPPs in Urban water Supply in Maharashtra

Toolkit for PPPs in Urban Bus Transport in Maharashtra

Creating an Enabling Environment for State Projects

Panel of Transaction Advisers for PPP projects: A guide for use of the

Panel

Guidelines for appraisal of Central Sector PPPs


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Guidelines for formulation, appraisal and approval of Public Private

Partnership (PPP) Projects costing less than Rs.100 Crore

Guidelines for formulation, appraisal and approval of Public Private

Partnership (PPP) Projects(i) Of all sectors costing more than Rs.100 crore and less than Rs.250

crore

(ii) Under NHDP costing Rs.250 crore or more and less than Rs.500

crore

Procedure for approval of PPP Projects and Guideline for formulation,

appraisal and approval of Public Private Partnership (PPP) Projects in

Central Sector

Model Request for Proposal for PPP Projects

Model Request for Qualification for PPP Projects

VGF Process - VGF amount less than Rs. 100 Crore

VGF Process - VGF amount between Rs. 100 Crore and Rs. 200

Crore.

VGF Process - VGF amount more than Rs. 200 Crore

Compilation of Scheme and Guidelines for Financial Support to PPPs

Infrastructure

Guidelines for determining eligibility of proposals for financial support to

Public Private Partnerships in infrastructure under the Viability Gap

Funding Scheme

Guidelines for financial support to Public Private Partnership Projects in

Infrastructure under the Viability Gap Funding Scheme of GOI

Scheme for Support to Public Private Partnerships in Infrastructure

Scheme and Guidelines for India Infrastructure Project Development

Fund - Eligible Sectors

Scheme for Support to Public Private Partnerships in Infrastructure -

eligible sectors


eligible sectors


eligible sectors
http://164.100.52.24/pdf/guidelines_projects_lessthan_hundred_crore.pdfhttp://164.100.52.24/pdf/guidelines_projects_lessthan_hundred_crore.pdfhttp://164.100.52.24/pdf/guidelines_projects_lessthan_hundred_crore.pdfhttp://164.100.52.24/pdf/revised_guidelines.pdfhttp://164.100.52.24/pdf/revised_guidelines.pdfhttp://164.100.52.24/pdf/revised_guidelines.pdfhttp://164.100.52.24/pdf/GuidelinesPPPapp020106.pdfhttp://164.100.52.24/pdf/GuidelinesPPPapp020106.pdfhttp://164.100.52.24/pdf/GuidelinesPPPapp020106.pdfhttp://164.100.52.24/pdf/GuidelinesPPPapp020106.pdfhttp://164.100.52.24/pdf/modelRfp_pppProjects_30nov2007.pdfhttp://164.100.52.24/pdf/model_rfq_may2009.pdfhttp://164.100.52.24/images/vgfprocess_lessthan100cr.jpghttp://164.100.52.24/images/vgfprocess_100to200cr.jpghttp://164.100.52.24/images/vgfprocess_100to200cr.jpghttp://164.100.52.24/images/vgfprocess_morethan200cr.jpghttp://164.100.52.24/pdf/GuidelinesPPPapp040906.pdfhttp://164.100.52.24/pdf/GuidelinesPPPapp040906.pdfhttp://164.100.52.24/pdf/GuidelinesPPPapp040906.pdfhttp://164.100.52.24/pdf/GuidelinesPPPapp040906.pdfhttp://164.100.52.24/pdf/GuidelinesPPPapp250106.pdfhttp://164.100.52.24/pdf/GuidelinesPPPapp250106.pdfhttp://164.100.52.24/pdf/GuidelinesPPPapp250106.pdfhttp://164.100.52.24/pdf/PPPGuidelines.pdfhttp://164.100.52.24/pdf/iipdf_eligible_sectors_notification_25aug2008.pdfhttp://164.100.52.24/pdf/iipdf_eligible_sectors_notification_25aug2008.pdfhttp://164.100.52.24/pdf/iipdf_eligible_sectors_notification_25aug2008.pdfhttp://164.100.52.24/pdf/support_infra_ppp_coldchains_postharveststorage.pdfhttp://164.100.52.24/pdf/support_infra_ppp_coldchains_postharveststorage.pdfhttp://164.100.52.24/pdf/support_infra_ppp_coldchains_postharveststorage.pdfhttp://164.100.52.24/pdf/support_infra_ppp_coldchains_postharveststorage.pdfhttp://164.100.52.24/pdf/support_infra_ppp_health_education.pdfhttp://164.100.52.24/pdf/support_infra_ppp_health_education.pdfhttp://164.100.52.24/pdf/support_infra_ppp_health_education.pdfhttp://164.100.52.24/pdf/support_infra_ppp_health_education.pdfhttp://164.100.52.24/pdf/support_infra_ppp_natl_investment_&mfg_zones.pdfhttp://164.100.52.24/pdf/support_infra_ppp_natl_investment_&mfg_zones.pdfhttp://164.100.52.24/pdf/support_infra_ppp_natl_investment_&mfg_zones.pdfhttp://164.100.52.24/pdf/support_infra_ppp_natl_investment_&mfg_zones.pdfhttp://164.100.52.24/pdf/support_infra_ppp_natl_investment_&mfg_zones.pdfhttp://164.100.52.24/pdf/support_infra_ppp_natl_investment_&mfg_zones.pdfhttp://164.100.52.24/pdf/support_infra_ppp_health_education.pdfhttp://164.100.52.24/pdf/support_infra_ppp_health_education.pdfhttp://164.100.52.24/pdf/support_infra_ppp_coldchains_postharveststorage.pdfhttp://164.100.52.24/pdf/support_infra_ppp_coldchains_postharveststorage.pdfhttp://164.100.52.24/pdf/iipdf_eligible_sectors_notification_25aug2008.pdfhttp://164.100.52.24/pdf/iipdf_eligible_sectors_notification_25aug2008.pdfhttp://164.100.52.24/pdf/PPPGuidelines.pdfhttp://164.100.52.24/pdf/GuidelinesPPPapp250106.pdfhttp://164.100.52.24/pdf/GuidelinesPPPapp250106.pdfhttp://164.100.52.24/pdf/GuidelinesPPPapp040906.pdfhttp://164.100.52.24/pdf/GuidelinesPPPapp040906.pdfhttp://164.100.52.24/pdf/GuidelinesPPPapp040906.pdfhttp://164.100.52.24/images/vgfprocess_morethan200cr.jpghttp://164.100.52.24/images/vgfprocess_100to200cr.jpghttp://164.100.52.24/images/vgfprocess_100to200cr.jpghttp://164.100.52.24/images/vgfprocess_lessthan100cr.jpghttp://164.100.52.24/pdf/model_rfq_may2009.pdfhttp://164.100.52.24/pdf/modelRfp_pppProjects_30nov2007.pdfhttp://164.100.52.24/pdf/GuidelinesPPPapp020106.pdfhttp://164.100.52.24/pdf/GuidelinesPPPapp020106.pdfhttp://164.100.52.24/pdf/GuidelinesPPPapp020106.pdfhttp://164.100.52.24/pdf/revised_guidelines.pdfhttp://164.100.52.24/pdf/revised_guidelines.pdfhttp://164.100.52.24/pdf/guidelines_projects_lessthan_hundred_crore.pdfhttp://164.100.52.24/pdf/guidelines_projects_lessthan_hundred_crore.pdf


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eligible sectors

Scheme and Guidelines for India Infrastructure Fund

Scheme and Guidelines for India Infrastructure Project Development

Fund - PPP Projects of Health and Education Sectors.

Criticality of Legal Issues and Contracts for Public Private Partnerships

Guidelines forPromoting Infrastructure Development Through PPPs :

A Compendium of State Initiatives

Draft Paper forProject for Risk Assessment for PPP Projects

sponsored by Government/ Government agencies/PSUs prior to bid

Guidelines forFormulation, Appraisal and Approval of Public Private

Partnership Projects.

Revised Guidelines forFormulation, Appraisal And Approval of Public

Private Partnership Projects.

Workshop Report on Facilitating Public-Private Partnership for

Accelerated Infrastructure Development in India

Guidelines on Formulation, Appraisal and Approval of Public Private

Partnership Projects.

Toolkit for Analysis of Urban Infrastructure Project for PPP under

JnNURM

Sample EOI for PPP project in Solid Waste Management

Sample RFP and Draft Concessionaire Agreement for PPP project in

Solid Waste Management

Public Private Partnership in Solid Waste Management ProcurementGuidelines

Toolkit for Public Private Partnership frameworks in Municipal Solid

Waste Management

Municipal Solid Waste Management: Treatment Process and

Prospects of Public Private Partnership

Non Revenue Water (NRW) Reduction Tool kit

Tool Kit for Accessing Institutional Finance

Comprehensive Capacity Building Toolkit
http://164.100.52.24/pdf/eligible_oilgaslngstorage.pdfhttp://164.100.52.24/pdf/eligible_oilgaslngstorage.pdfhttp://164.100.52.24/pdf/eligible_oilgaslngstorage.pdfhttp://164.100.52.24/pdf/eligible_oilgaslngstorage.pdfhttp://164.100.52.24/pdf/state_ppp_initiatieves_compendium.pdfhttp://164.100.52.24/pdf/state_ppp_initiatieves_compendium.pdfhttp://164.100.52.24/pdf/draft.pdfhttp://164.100.52.24/pdf/draft.pdfhttp://164.100.52.24/pdf/Approval.pdfhttp://164.100.52.24/pdf/Approval.pdfhttp://164.100.52.24/pdf/revised_guidelines.pdfhttp://164.100.52.24/pdf/revised_guidelines.pdfhttp://pppinindia.com/pdf/FINALPPP10Jan2007.pdfhttp://pppinindia.com/pdf/FINALPPP10Jan2007.pdfhttp://pppinindia.com/pdf/Approval.pdfhttp://pppinindia.com/pdf/Approval.pdfhttp://jnnurm.nic.in/wp-content/uploads/2011/01/Sample%20EOI_11.12.2011.pdfhttp://jnnurm.nic.in/wp-content/uploads/2011/01/Sample%20RFP-Concessionaire%20Agreement_11.12.2011.pdfhttp://jnnurm.nic.in/wp-content/uploads/2011/01/Sample%20RFP-Concessionaire%20Agreement_11.12.2011.pdfhttp://jnnurm.nic.in/wp-content/uploads/2011/01/Sample%20RFP-Concessionaire%20Agreement_11.12.2011.pdfhttp://164.100.52.24/pdf/state_ppp_initiatieves_compendium.pdfhttp://jnnurm.nic.in/wp-content/uploads/2011/01/Sample%20RFP-Concessionaire%20Agreement_11.12.2011.pdfhttp://jnnurm.nic.in/wp-content/uploads/2011/01/Sample%20RFP-Concessionaire%20Agreement_11.12.2011.pdfhttp://jnnurm.nic.in/wp-content/uploads/2011/01/Sample%20EOI_11.12.2011.pdfhttp://pppinindia.com/pdf/Approval.pdfhttp://pppinindia.com/pdf/Approval.pdfhttp://pppinindia.com/pdf/FINALPPP10Jan2007.pdfhttp://pppinindia.com/pdf/FINALPPP10Jan2007.pdfhttp://164.100.52.24/pdf/revised_guidelines.pdfhttp://164.100.52.24/pdf/revised_guidelines.pdfhttp://164.100.52.24/pdf/Approval.pdfhttp://164.100.52.24/pdf/Approval.pdfhttp://164.100.52.24/pdf/draft.pdfhttp://164.100.52.24/pdf/draft.pdfhttp://164.100.52.24/pdf/state_ppp_initiatieves_compendium.pdfhttp://164.100.52.24/pdf/state_ppp_initiatieves_compendium.pdfhttp://164.100.52.24/pdf/eligible_oilgaslngstorage.pdfhttp://164.100.52.24/pdf/eligible_oilgaslngstorage.pdf


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Credit Rating of Mission Cities

Pooled Finance Development Fund Scheme

Service Level benchmarks in urban water supply and sanitation

Toolkit for Programme Management Unit (PMU) Toolkit for Project Implementation Unit (PIU)

Toolkit for Preparation of DPR (Submission Year 2006

Guidelines for Project Preparation

JnNURM Toolkit for DPRs

Credit Rating of Mission Cities

Pooled Finance Development Fund Scheme

Service Level benchmarks in urban water supply and sanitation

Toolkit for Programme Management Unit (PMU)

Toolkit for Project Implementation Unit (PIU)

Toolkit for Preparation of DPR (Submission Year 2006

Guidelines for Project Preparation

JnNURM Toolkit for DPRs

Tool kit for Solid Waste Management

Model Documents

Link to website of Committee on Infrastructure and to Model Documents for

Selection of Bidders; Request for Qualification (RFQ)

Selection of Bidders: Request for Proposal (RFP)

Model Request for Proposal (RFP) for Selection of Financial

Consultants

MCA for Urban Rail Transit Systems

RFP for Technical Consultants

RFP for Legal Advisers

RFP for Transmission Consultants

Link to urbanindia.nic.in and to
http://infrastructure.gov.in/pdf/Model_REQ.pdfhttp://infrastructure.gov.in/pdf/Model_REQ.pdfhttp://infrastructure.gov.in/pdf/financial_consultants.pdfhttp://infrastructure.gov.in/pdf/financial_consultants.pdfhttp://infrastructure.gov.in/pdf/financial_consultants.pdfhttp://infrastructure.gov.in/pdf/Urban-Rail-Systems.pdfhttp://infrastructure.gov.in/pdf/Model_RFP_Selection.pdfhttp://infrastructure.gov.in/pdf/RFP_LegalPage.pdfhttp://infrastructure.gov.in/pdf/transmission_ports.pdfhttp://infrastructure.gov.in/pdf/transmission_ports.pdfhttp://infrastructure.gov.in/pdf/RFP_LegalPage.pdfhttp://infrastructure.gov.in/pdf/Model_RFP_Selection.pdfhttp://infrastructure.gov.in/pdf/Urban-Rail-Systems.pdfhttp://infrastructure.gov.in/pdf/financial_consultants.pdfhttp://infrastructure.gov.in/pdf/financial_consultants.pdfhttp://infrastructure.gov.in/pdf/Model_REQ.pdf


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