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

Project
Risk
Construction Financial
Risk Risks Operation and
Maintenance Risks
Delay
Service
Quality

Design Cost
Overruns
Ground Traffic/
Conditions Users Real
Collection

Contract Granted Contract Expires 20 Years

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 it’s 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 Management Lease Concession BOT/BOO Divest

Contract Contract
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 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.
 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 operator’s future earnings
depend on controlling costs. The public sector’s 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 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 company’s 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 State’s officers, ULBs and people’s
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 consultant’s 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 Completion
Sr. Project Cost Share of Partners
Project Name Sector Sanction Status Type of PPP
No. In Rs. Crore In Rs. crore
arrangement
Andhra Pradesh

Urban 470.93 GOI 226.47

Transport State 90.59
1 BRTS Visakhapatnam 18-May-07 75% BOOT
ULB 135.87
Private 18.00
Hyderabad Metro Rail Urban 12,132 GOI(VGF) 1458.00 ~10% DBFOT

2 Project Transport State 1980.00 4 -Sep.-10

Private 8694.00

Assam

SWM 102.17 GOI 31.65

Solid Waste Management in State 3.52
3 22-Jan-07 80% BOOT
Guwahati ULB -
Private 67.00

Gujarat

GOI 55.00
Urban State 22.00
4 Rajkot BRTS.(RAJ 005) 117.50 20-Jul-07 98% BOT
Transport ULB 33.00
Private 7.50

GOI 234.51
Urban State 93.80
5. Surat BRTS 540.02 7-Mar-08 40% BOT
Transport ULB 140.71
Private 71.00

GOI 5.49
Upgradation of Anjana State 2.20
6 Sewerage 10.98 27-Mar-06 Completed Service contract
Sewage Treatment Plant ULB 3.29
Private -
GOI 7.55
Augmentation of Bhesan State 3.02
7 Sewerage 15.09 27-Mar-06 Completed Service contract
Sewage Treatment Plant ULB 4.53
Private -
GOI 6.61
Secondary Seweage State 2.64 Service
8 Sewerage 13.22 26-May-06 Completed
Treatment Plant at Bamroli ULB 3.97 Contract
Private -
9 Sewerage Disposal Network Sewerage 21.28 GOI 10.64 28-Jun-06 Completed Service
 and STP for Pal-palanpor State 2.64 Contract
area ULB 6.38 Private
-
GOI 17.19
Sewerage Disposal Network State 6.87 Service
10 Sewerage 34.37 28-Jun-06 Completed
and STP for Vesu area ULB 10.31 Contract
Private -
GOI 55.33
Sewerage and Sewage
State 22.13 Service
11 Treatment system for New Sewerage 110.66 28-Jan-08 98%
ULB 33.20 Contract
East Zone Areas - Surat
Private -

GOI 92.02
Sewerage system for New Service
Sewerage 184.04 State 36.81 14-Mar-08 86%
Northern Drainage Zone of Contract
12 ULB 55.21
SMC
Private -
Design, Development,
Operation & Maintenance of
BOT
Phase I of the Secured
GOI 15.49 concession
Engineered Landfill Facility
State 6.19 basis but with
13 at Jambua for disposal of SWM 30.98 20-Jul-07 82%
ULB 9.30 Private out capital
Municipal Solid Waste
- contribution
Generated in Vadodara
from operator
Municipal Limit under
JnNURM Scheme
GOI 26.25
Surat Solid Waste up State 10.50
14 SWM 99.00 26-Mar-07 98% BOO
gradation system ULB 15.75
Private 46.50

GOI 4.34
Rajkot Integrated Solid State 1.73
15 SWM 18.67 14-Jul-06 85% BOOT
Waste Processing Plant. ULB 2.60 Private
10.00

GOI 30.66
BRTS 12 Km. Long Urban State 13.14
16 105.80 11-Aug-06 Completed BOOT
Ahmedabad Transport ULB 43.80
Private 18.20
Urban GOI 142.00
17 BRTS Ahmedabad 405.72 6-Oct-06 90% O&M Contract
Transport State 60.86
 ULB 202.86
Private -

GOI 170.85
Urban State 73.22
18 BRTS Ahmedabad Phase II 496.14 19-Aug-08 20% OMT
Transport ULB 244.07
Private 8.00

Development and GOI 24.23 State

Management of 180 MLD 10.38
19 Sewerage 69.22 28-Jun-06 Completed O & M Contract
Sewerage system at Pirana - ULB 34.61
Ahmedabad Private -
Development and GOI 3.97
Management of 35 MLD State 1.70
20 Sewerage 15.91 28-Jun-06 Completed O & M Contract
Sewerage system at Vasna ULB 10.24
Ahmedabad Private -
Development of 200 MLD GOI 18.84
Water
21 Water Treatment Plant at 53.83 State 8.07 ULB 21-Mar-06 Completed O & M Contract
Supply
Ahmedabad 26.92 Private -
GOI 41.60 State
Upgradation of Solid Waste
22 SWM 118.86 17.83 ULB 59.43 22-Jan-09 25% O & M Contract
Management at Ahmedabad
Private -
Haryana

GOI 36.76 State

Solid Waste Management
23 SWM 73.52 14.70 ULB 22.06 20-Jul-07 54% ROT
for Faridabad City
Private -

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

Remodelling of water Supply GOI 155.63

Water
25 Distribution Network for 194.54 State 19.45 ULB 8-Dec-06 58% DBFO
Supply
Mysore city 19.46 Private -

Maharashtra

26 Nagpur Water Supply Water 90.55 GOI 30.98 40% BOOT

Pench IV (Part 2) (NAG-012) Supply State 12.39 28-Dec-06
- ULB 18.59
Private 28.59
27 GOI 12.50
Nagpur Water Audit (NAG- Water State 5.00
27.34 21-Mar-06 Completed
011) Supply ULB 7.50
Private 2.34
28 Nagpur Energy Audit Water 28.83 GOI 12.52 OMT
Projects for Water Supply Supply State 5.01
21-Mar-06 Completed
(NAG-008) ULB 7.51
Private 2.41/1.38
29 GOI 82.17
Nagpur Kanhan
Water State 41.09
Augmentation Scheme 105.28 22-Dec-06 Completed BOT
Supply ULB 16.43
(NAG-015)
Private 24.65
30 Nagpur DPR for Water 387.86 GOI 193.93
Rehabilitation Plan to Supply State 77.57
implement 24×7 Water ULB - 13-Feb-09 5% ROT
Supply Project for Nagpur Private 116.36
City (NAG-028)

GOI 65.06
Annuity
Nagpur Recycle& Reuse of State 26.02
31 Sewerage 130.11 22-Dec-06 7% (Rs 15 Crore
Waste Water (NAG-016) ULB -
annual)
Private 39.03

GOI 35.22
Solid Waste Management at State 14.09
32 SWM 100.44 22-Dec-06 BOT
PCMC ULB 21.13
Private 30.00

Mumbai Metro Line-1 Urban 2356.00 GOI 471.00 ~ 70% PPP/BOT

(Maharash-tra) Transport State 179.00 7-Mar.-07
33
Private (JV) 1706
Versova-Andheri-Ghatkopar
Mumbai Metro Line-2 Urban 7660.00 GOI 1532.00
(Charkop-Bandra-Mankhurd Transport State 766.00 21-Jan.-10
34 - DFOT
Corridor) Private 5362

Parking Plaza in Latur Urban 0.37 GOI 0.296

Infrastructure State 0.037 6- Sept- 06
Private 0.037
35 Completed BOT

Puducherry
 GOI 39.73 State
Integrated Solid Waste
36 SWM 108.00 9.93 ULB - 22-Jan-09 45% BOOT
Management for Puducherry
Private 58.34

Rajasthan

Municipal Solid Waste GOI 6.60 State

37 Management in Jaipur SWM 13.20 2.64 ULB 3.96 8-Dec-06 65% O&M Contract
(Rajasthan) Private -

Tamilnadu

Solid Waste Management in

GOI 15.47 State
Alandur, Pallavapuram and
38 SWM 44.21 6.63 ULB - 19-Jun-08 15% DBOT
Tambaram Municipalities at
Private 22.11
Vengadamangalam

GOI 12.77 State

Solid Waste Management in
39 SWM 255.32 5.47 ULB 18.24 2-Feb-07 Completed BOOT
Chennai
Private 218.84

GOI 48.26 State

Solid Waste Management in
40 SWM 117.30 19.30 ULB 28.95 2-Feb-07 Completed BOOT
Coimbatore Corporation
Private 20.79

Integrated Solid Waste GOI 37.15 State

41 Management in Madurai SWM 74.29 14.85 ULB 5.19 2-Feb-07 Completed BOOT
Corporation Private 17.10

Uttar Pradesh
 GOI 15.42 State
Solid Waste Management in
42 SWM 31.20 6.17 ULB 9.25 5-Mar-07 80% BOOT
Agra
Private 0.36

GOI 15.21 State

Solid Waste Management in
43 SWM 46.04 6.08 ULB 9.12 22-Feb-08 60% BOOT
Allahabad
Private 15.63

GOI 28.12 State

Solid Waste Management in
44 SWM 92.47 11.25 ULB 16.87 26-Mar-07 100% BOOT
Kanpur
Private 36.23

GOI 21.46 State

Solid Waste Management in
45 SWM 74.13 8.58 ULB 12.88 5-Mar-07 50% BOOT
Lucknow
Private 31.21

GOI 7.93 State

Solid Waste Management in
46 SWM 17.62 0.99 ULB 0.99 8-Dec-06 60% BOOT
Mathura
Private 7.70

GOI 11.30 State

Solid Waste Management in
47 SWM 69.26 4.52 ULB 6.78 8-Dec-06 40% BOOT
Meerut
Private 46.67

GOI 24.34 State

Solid Waste Management in
48 SWM 68.80 9.74 ULB 14.60 26-Oct-07 30% BOOT
Varanasi
Private 20.12

GOI 19.68 State

Integrated Solid Waste Service
49 SWM 24.60 2.46 ULB 2.46 16-May-08 25%
Management - Dehradun Contract
Private -

West Bengal

Municipal Solid Waste GOI 21.79 State

50 Management Asansol- SWM 43.57 8.71 ULB 4.66 8-Jan-07 75% BOT
Durgapur Municipal Area Private 8.41
 Development & GOI 9.12 State
Management of Water Water -
51 26.07 28-Dec-07 Completed BOT
Supply in Sector-V of Salt Supply ULB -
Lake Private 16.95

Municipal Solid Waste

Management of 13 municipal
towns for Kolkata (Halisahar,
GOI 39.19 State
Kancharapara, Kalyani,
-
52 Gayeshpur, Naihati, SWM 111.97 22-Jan-09 3% BOT
ULB -
Bhatpara, Khardah, Barasat,
Private 33.59
Madhyamgram, Maheshtala,
Pujali, Baruipur and
Uluberia)

Development and GOI 11.93 State

Management of Sewerage -
53 Sewerage 34.07 19-Sept- 08 BOT
system at Salt Lake, Sector ULB - Completed
– V (NDITA) 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
http://www.ppp.ap.gov.in

 Assam PPP Cell

http://assamppp.gov.in/index.asp

 Gujarat PPP Cell

http://www.gidb.org/

 Haryana PPP Cell

http://www.pppinharyana.gov.in

 Karnataka PPP Cell

http://www.idd.kar.nic.in/ppp-go.html

 Madhya Pradesh PPP Cell

http://www.mp.gov.in/difmp/ppp_main.htm

 Maharashtra PPP Cell

http://www.muidcl.com & http://pppinmaharashtra.com

 Orissa PPP Cell

http://www.ppporissa.gov.in

 Rajsthan PPP Cell

http://www.ppp.rajasthan.gov.in

 Uttarakhand PPP Cell

http://cell.upppc.org

 Punjab PPP Cell

http://www.pidb.org

 Ministry of Shipping, GOI

http://www.pppshipping.nic.in

