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CHAPTER II: PPP PROJECT PRE-DEVELOPMENT |
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Rule
Rule 9: Identification of a PPP Project
Rule 10: Appointment of Project Officer and Project Management Team
Rule 11: Pre-Feasibility Study
Rule 12: Internal Clearance to Proceed with Project Development
Rule 13: Registration of the PPP Project with DEA
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| Rule 9: Identification of a PPP Project
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| The Contracting Authority shall identify potential projects that can be implemented on PPP
basis. Such identification shall be based on social or economic priority, value for money,
suitability for PPP or achieving efficiency in service delivery (or asset creation, as the case
may be). |
| Rule 10: Appointment of Project Officer and Project Management Team
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- The Contracting Authority shall appoint a Project Officer who shall be responsible for the preparation and procurement of the PPP Project, up to signing of the Concession Agreement.
- The Project Officer shall be responsible for the analyses related to the PPP Project and maintaining all documentation related to the PPP Project.
- The Contracting Authority may appoint a Project Management Team to support the Project Officer, depending on the size and complexity of the PPP Project.
- The Project Officer shall have the following responsibilities:
- Defining the objective of the PPP Project;
- Undertaking consultations with stakeholders for the identification of the PPP Project and documenting the same;
- Establishing the suitability of a project for PPP and determining the value for money of such project in accordance with the Rules;
- Assessing payment or revenue mechanism for the PPP Project and establishing its affordability for the Contracting Authority and potential users;
- Developing the structure of the PPP Project;
- Undertaking the processes for appointment of a transaction advisor, if required, and documenting the same;
- Undertake the appointment of a legal advisor, if required, and documenting the same;
- Planning, budgeting and implementing the pre-Feasibility Study, if any, Feasibility Study and procurement process and documenting the same;
- Obtaining necessary approvals from relevant authorities for developing the PPP Project;
- Efficiently managing all key activities related to the development and procurement of the PPP Project, on behalf of the Contracting Authority; and
- Supporting the Contract Management Team in an efficient transition after the issue of Letter of Award to the Preferred Bidder.
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| Rule 11: Pre-Feasibility Study
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- The Project Officer may undertake a pre-Feasibility Study given the substantive investment of resources required in the project preparation stage. The Contracting Authority may appoint an external advisor to undertake the pre-Feasibility Study.
- Funding for a pre-Feasibility Study may be met from the budget of the Contracting Authority or may be sourced from project development agencies or other institutions.
- For Type I PPP Projects, the sanctioning of expenditure to be incurred towards a pre- Feasibility Study shall be as per the Guidelines for Formulation, Appraisal and Approval of Government Plan Funded Projects/Schemes notified by the Ministry of Finance, Department of Expenditure, vide OM No.: 1(3)/PF.II/2001 dated April 1, 2010, and as amended from time to time.
- The pre-Feasibility Study of the PPP Project shall include but will not be limited to the following:
- Needs and options analysis;
- Legal feasibility;
- Technical feasibility;
- Scoping social/environment safeguards analysis;
- Suggested project structure and PPP mode;
- Preliminary financial viability including expectations of financial support required from the Appropriate Government;
- Institutional capability analysis; and
- Identification of next steps required.
- The Project Officer shall prepare a pre-Feasibility Report on the basis of the pre- Feasibility Study.
- The pre-Feasibility Report shall conform to the format provided in Appendix A. 3. The Contracting Authority shall document any deviations therefrom in a separate section of the pre-Feasibility Report and provide reasons for the deviations undertaken by the Contracting Authority.
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| Rule 12: Internal Clearance to Proceed with Project Development
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- The Project Officer shall submit the Pre-Feasibility Report and the supporting documents to the Contracting Authority. The Contracting Authority may approve the pre-feasibility Report if the same is in compliance with the Rules. In case these documents are not in compliance with these Rules, the Project Officer shall be required to revise them and resubmit them to the Contracting Authority for approval.
- If the Contracting Authority grants clearance to proceed with the PPP Project, the Project Officer shall proceed with the preparation and procurement of the PPP Project. If the Contracting Authority does not grant clearance to proceed with the PPP Project, 10 the Project Officer shall redesign the PPP Project and continue with the process as defined in Rule 11: or alternatively, abandon the PPP Project.
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| Rule 13: Registration of the PPP Project with DEA
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- The Contracting Authority shall:
- apply to the PPPAC Secretariat at DEA for registration of the PPP Project in the format prescribed in Appendix A. 2.
- ensure the PPP Project is registered at the earliest and no later than date of issue of RFQ.
- A written confirmation of the registration along with registration number of the PPP Project shall be provided to the Contracting Authority by the PPPAC Secretariat.
- The details of the PPP Project will be maintained on the official database of PPP Projects, as notified by the Government of India. The progress of the PPP Project will be tracked and updated on this database throughout the project cycle.
- Upon registration of the PPP Project, the Contracting Authority shall publish the name, nature and registration number of the PPP Project on its website as part of a continuing list of PPP Projects being developed by it. Such information shall be accessible to general public.
- The pre-Feasibility Report shall be submitted by the Contracting Authority to DEA. As part of the pre-Feasibility Report, the Contracting Authority shall annex the documentation of the process followed for preparation of the pre-Feasibility Report, including the minutes of the meetings or discussions held as part of the process.
- DEA shall, on quarterly basis, apprise PPPAC of all the PPP Projects registered with it.
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