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
Project Risk Construction Risk Delay Financial Risks

POST-COMPLETION

Operation and Maintenance Risks

Service Quality

Design Ground Conditions

Cost Overruns Traffic/ Users Real Collection Contract Expires 20 Years

Contract Granted

Time 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

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 for services 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)

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).

Fig. 2: Hyderabad Metro Project

Fig. 3: Ahmedabad BRTS Project

Fig. 4: Mumbai Metro Project

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, to divestiture. 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.

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

Private Sector

Public Sector

Design Finance Construct O&M

Ownership
Service Contract

Management Contract

Lease

Concession

BOT/BOO

Divest

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

2.1 Supply 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. 2.2 Maintenance 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

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.

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

Franchise BOT type of contracts

5.1 Franchise 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. 5.2 Build-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 nonguaranteed 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.

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.

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. 5.2.4 DBOM: 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. 5.2.7 BTO: 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

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. This arrangement 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. 5.2.9 BOT 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. 5.2.10 BLT: 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.

5.2.11 ROT: 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. 5.2.12 ROO: 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
6.1 BOO: Build-Own-Operate

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. 6.2 Private 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-

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. 6.3 Divestiture 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. 6.4 Joint Venture Joint ventures are alternatives to full privatization in which the infrastructure is coowned 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.

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 of developers 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

PPP Projects at a glance

Date of Sanction Completion Status Type of PPP arrangement

Sr. No.

Project Name

Sector

Project Cost In Rs. Crore

Share of Partners In Rs. crore

Andhra Pradesh Urban 1 BRTS Visakhapatnam Transport 470.93 GOI State 90.59 ULB 135.87 Private 18.00 Hyderabad Metro Rail 2 Project Urban Transport 12,132 GOI(VGF) 1458.00 State Private Assam SWM 3 Solid Waste Management in Guwahati 102.17 GOI 31.65 State 3.52 ULB Private 67.00 Gujarat 22-Jan-07 80% BOOT 1980.00 8694.00 4 -Sep.-10 ~10% DBFOT 226.47 18-May-07 75% BOOT

GOI 55.00 4 Rajkot BRTS.(RAJ 005) Urban Transport 117.50 State ULB 22.00 33.00 20-Jul-07 98% BOT

Private 7.50

GOI 234.51 5. Surat BRTS Urban Transport 540.02 State ULB 93.80 140.71 7-Mar-08 40% BOT

Private 71.00 GOI 6 Upgradation of Anjana Sewage Treatment Plant Sewerage 10.98 State ULB 5.49 2.20 3.29 27-Mar-06 Completed Service contract

Private GOI 7.55 7 Augmentation of Bhesan Sewage Treatment Plant Sewerage 15.09 State ULB GOI 8 Secondary Seweage Treatment Plant at Bamroli Sewerage Disposal Network Sewerage 13.22 State ULB 3.02 4.53 6.61 2.64 3.97 26-May-06 Completed Service Contract Service 27-Mar-06 Completed Service contract

Private -

Private 9 Sewerage 21.28 GOI 10.64 28-Jun-06 Completed

and STP for Pal-palanpor area

State ULB -

2.64 6.38 Private

Contract

GOI 17.19 10 Sewerage Disposal Network and STP for Vesu area Sewerage 34.37 State ULB Private Sewerage and Sewage 11 Treatment system for New East Zone Areas - Surat Sewerage 110.66 GOI State ULB Private 6.87 10.31 55.33 22.13 33.20 28-Jan-08 98% Service Contract 28-Jun-06 Completed Service Contract

Sewerage system for New 12 Northern Drainage Zone of SMC Design, Development, Operation & Maintenance of Phase I of the Secured Engineered Landfill Facility 13 at Jambua for disposal of Municipal Solid Waste Generated in Vadodara Municipal Limit under JnNURM Scheme

GOI Sewerage 184.04 State ULB Private

92.02 36.81 55.21 14-Mar-08 86%

Service Contract

BOT GOI SWM 30.98 State ULB 15.49 6.19 9.30 Private 20-Jul-07 82% concession basis but with out capital contribution from operator

GOI 14 Surat Solid Waste up gradation system SWM 99.00 State ULB

26.25 10.50 15.75 26-Mar-07 98% BOO

Private 46.50

GOI 15 Rajkot Integrated Solid Waste Processing Plant. SWM 18.67 State ULB 10.00

4.34 1.73 2.60 Private 14-Jul-06 85% BOOT

GOI 16 BRTS 12 Km. Long Ahmedabad Urban Transport Urban Transport 105.80 State ULB GOI State

30.66 13.14 43.80 142.00 60.86 11-Aug-06 Completed BOOT

Private 18.20 17 BRTS Ahmedabad 405.72 6-Oct-06 90% O&M Contract

ULB

202.86

Private GOI 18 BRTS Ahmedabad Phase II Urban Transport 496.14 State ULB Private Development and 19 Management of 180 MLD Sewerage system at Pirana Ahmedabad Development and 20 Management of 35 MLD Sewerage system at Vasna Ahmedabad Development of 200 MLD 21 Water Treatment Plant at Ahmedabad 22 Haryana Upgradation of Solid Waste Management at Ahmedabad Water Supply 53.83 Sewerage 15.91 Sewerage 69.22 GOI 10.38 ULB Private GOI State ULB Private GOI State GOI SWM 118.86 Private 34.61 3.97 1.70 10.24 18.84 8.07 ULB 59.43 22-Jan-09 25% O & M Contract 41.60 State 21-Mar-06 Completed O & M Contract 28-Jun-06 Completed O & M Contract 170.85 73.22 244.07 8.00 24.23 State 28-Jun-06 Completed O & M Contract 19-Aug-08 20% OMT

26.92 Private 17.83 ULB

23

Solid Waste Management for Faridabad City

GOI SWM 73.52 Private

36.76 State 22.06 20-Jul-07 54% ROT

14.70 ULB

Karnataka 24 Development of Integrated Disposal Facility in Mysore GOI SWM 29.85 Private GOI 194.54 State 23.88 State 2.99 155.63 19.45 ULB 8-Dec-06 58% DBFO 19-Dec-08 55% DBFO 2.99 ULB

Remodelling of water Supply 25 Distribution Network for Mysore city Maharashtra 26 Nagpur Water Supply Pench IV (Part 2) (NAG-012) -

Water Supply

19.46 Private

Water Supply

90.55

GOI 30.98 State 12.39 ULB 18.59 Private 28.59 28-Dec-06

40%

BOOT

27 Nagpur Water Audit (NAG011) 28 Nagpur Energy Audit Projects for Water Supply (NAG-008) 29 Water Supply Water Supply 27.34

GOI 12.50 State 5.00 ULB 7.50 Private 2.34 28.83 GOI 12.52 State 5.01 ULB 7.51 Private 2.41/1.38 Nagpur Kanhan Augmentation Scheme (NAG-015) GOI 82.17 Water Supply Water Supply 105.28 State 41.09 ULB 16.43 Private 24.65 387.86 GOI 193.93 State ULB 77.57 13-Feb-09 5% ROT 22-Dec-06 Completed BOT 21-Mar-06 Completed OMT 21-Mar-06 Completed

30

Nagpur DPR for Rehabilitation Plan to implement 247 Water Supply Project for Nagpur City (NAG-028)

Private 116.36

GOI 65.06 31 Nagpur Recycle& Reuse of Waste Water (NAG-016) Sewerage 130.11 State ULB 26.02 22-Dec-06 7%

Annuity (Rs 15 Crore annual)

Private 39.03

GOI 35.22 32 Solid Waste Management at PCMC SWM 100.44 State ULB 14.09 21.13 22-Dec-06 BOT

Private 30.00 Mumbai Metro Line-1 33 (Maharash-tra) Versova-Andheri-Ghatkopar Mumbai Metro Line-2 34 (Charkop-Bandra-Mankhurd Corridor) Parking Plaza in Latur Urban Infrastructure 35 0.37 Urban Transport 7660.00 GOI State Private GOI State 1532.00 766.00 5362 0.296 0.037 6- Sept- 06 Completed BOT 21-Jan.-10 DFOT Urban Transport 2356.00 GOI State 471.00 179.00 1706 7-Mar.-07 ~ 70% PPP/BOT

Private (JV)

Private 0.037

Puducherry

36

Integrated Solid Waste Management for Puducherry

GOI SWM 108.00 Private

39.73 State 58.34 22-Jan-09 45% BOOT

9.93 ULB

Rajasthan Municipal Solid Waste 37 Management in Jaipur (Rajasthan) Tamilnadu Solid Waste Management in 38 Alandur, Pallavapuram and Tambaram Municipalities at Vengadamangalam SWM 44.21 GOI Private 15.47 State 22.11 19-Jun-08 15% DBOT SWM 13.20 GOI Private 6.60 State 3.96 8-Dec-06 65% O&M Contract

2.64 ULB

6.63 ULB

39

Solid Waste Management in Chennai

GOI SWM 255.32 Private

12.77 State 18.24 218.84 2-Feb-07 Completed BOOT

5.47 ULB

40

Solid Waste Management in Coimbatore Corporation

GOI SWM 117.30

48.26 State 28.95 2-Feb-07 Completed BOOT

19.30 ULB Private 20.79

Integrated Solid Waste 41 Management in Madurai Corporation SWM 74.29

GOI

37.15 State 5.19 2-Feb-07 Completed BOOT

14.85 ULB Private 17.10

Uttar Pradesh

42

Solid Waste Management in Agra

GOI SWM 31.20

15.42 State 9.25 5-Mar-07 80% BOOT

6.17 ULB Private 0.36 GOI

43

Solid Waste Management in Allahabad

15.21 State 9.12 22-Feb-08 60% BOOT

SWM

46.04

6.08 ULB

Private 15.63 GOI SWM 92.47 28.12 State 16.87 26-Mar-07 100% BOOT

44

Solid Waste Management in Kanpur

11.25 ULB Private 36.23 GOI

45

Solid Waste Management in Lucknow

21.46 State 12.88 5-Mar-07 50% BOOT

SWM

74.13

8.58 ULB

Private 31.21 GOI SWM 17.62 7.93 State 0.99 8-Dec-06 60% BOOT

46

Solid Waste Management in Mathura

0.99 ULB Private 7.70 GOI

47

Solid Waste Management in Meerut

11.30 State 6.78 8-Dec-06 40% BOOT

SWM

69.26

4.52 ULB

Private 46.67 GOI SWM 68.80 24.34 State 14.60 26-Oct-07 30% BOOT

48

Solid Waste Management in Varanasi

9.74 ULB

Private 20.12

49

Integrated Solid Waste Management - Dehradun

GOI SWM 24.60 Private

19.68 State 2.46 16-May-08 25%

2.46 ULB

Service Contract

West Bengal

Municipal Solid Waste 50 Management AsansolDurgapur Municipal Area SWM 43.57

GOI

21.79 State 4.66 8-Jan-07 75% BOT

8.71 ULB Private 8.41

Development & 51 Management of Water Supply in Sector-V of Salt Lake Municipal Solid Waste Water Supply 26.07

GOI ULB

9.12 State 28-Dec-07 Completed BOT

Private 16.95

Management of 13 municipal towns for Kolkata (Halisahar, Kancharapara, 52 Gayeshpur, Kalyani, Naihati, SWM 111.97 GOI ULB Private 33.59 39.19 State 22-Jan-09 3% BOT

Bhatpara, Khardah, Barasat, Madhyamgram, Maheshtala, Pujali, Uluberia) Development and 53 Management of Sewerage system at Salt Lake, Sector V (NDITA) Sewerage 34.07 Baruipur and

GOI ULB

11.93 State 19-Sept- 08 Completed BOT

Private 22.14

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

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

Scheme for Support to Public Private Partnerships in Infrastructure eligible sectors Scheme for Support to Public Private Partnerships in Infrastructure eligible sectors

Scheme for Support to Public Private Partnerships in Infrastructure 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 for Promoting Infrastructure Development Through PPPs : A Compendium of State Initiatives Draft Paper for Project for Risk Assessment for PPP Projects sponsored by Government/ Government agencies/PSUs prior to bid Guidelines for Formulation, Appraisal and Approval of Public Private Partnership Projects. Revised Guidelines for Formulation, 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 Procurement Guidelines 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

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

Guidelines for Successful Public-Private Partnership in Water & Sanitation Sector NAGPUR MUNICIPAL CORPORATION Water Reforms SWM PPP Tookit - Volume I SWM PPP Tookit - Volume II SWM PPP Tookit - Volume III SWM PPP Tookit - Volume IV Model RFP Model RFQ Model PIM Term Sheet Bid Documents - ISWM Bid documents - Other Options Model PIM Model RFP Term Sheet Collection & Transportation Term Sheet Integrated Processing & Disposal System Term Sheet MRTS Term Sheet Processing

Link to web sites: Finmin.nic.in pppinindia pppindiadatabase toolkit.pppinindia planningcommission.nic.in adb.org worldbank.org PPP Cells (States and line Ministries)

Andhra Pradesh PPP Cell Assam PPP Cell Gujarat PPP Cell

http://www.ppp.ap.gov.in http://assamppp.gov.in/index.asp

http://www.gidb.org/

Haryana PPP Cell Karnataka PPP Cell Madhya Pradesh PPP Cell Maharashtra PPP Cell Orissa PPP Cell Rajsthan PPP Cell Uttarakhand PPP Cell Punjab PPP Cell Ministry of Shipping, GOI

http://www.pppinharyana.gov.in http://www.idd.kar.nic.in/ppp-go.html http://www.mp.gov.in/difmp/ppp_main.htm http://www.muidcl.com & http://pppinmaharashtra.com http://www.ppporissa.gov.in http://www.ppp.rajasthan.gov.in http://cell.upppc.org http://www.pidb.org http://www.pppshipping.nic.in