Factors affecting the consideration of Public-Private Partnerships (PPPs) for smart city projects in Indore city

doi:10.21203/rs.3.rs-3991568/v1

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Factors affecting the consideration of Public-Private Partnerships (PPPs) for smart city projects in Indore city

https://doi.org/10.21203/rs.3.rs-3991568/v1

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published 31 May, 2024

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This paper provides an in-depth analysis of Public-Private Partnerships (PPPs) in the context of urban development in Indore city, with a focus on initiatives undertaken under the Smart City scheme. It explores the conceptual framework of PPPs, elucidating governance structures, risk allocation mechanisms, and contractual arrangements crucial for effective collaboration between the public and private sectors. The rationale for PPPs in Indore's smart city initiatives, encompassing access to resources, risk mitigation, innovation, efficiency, and public accountability, underscores their significance in urban development. The paper examines the existing PPP projects implemented under the Smart City scheme in Indore, highlighting key achievements, challenges encountered, and lessons learned. It also discusses proposed PPP projects and future recommendations for enhancing urban infrastructure, service delivery, and quality of life for residents. The analysis encompasses diverse PPP models and structures, including Build-Operate-Transfer (BOT), Design-Build-Operate (DBO), Concession Agreements, and Service Contracts, tailored to the specific needs and characteristics of Indore's smart city projects. Furthermore, the paper addresses indexing, providing a comprehensive overview of the literature on PPPs in Indore city and related urban development initiatives. By synthesizing existing knowledge and offering insights into future research directions, this paper contributes to the understanding of PPPs in urban development and provides practical recommendations for policymakers, urban planners, and stakeholders involved in Indore's smart city transformation.

Smart City Indore

Public-Private Partnerships

Smart Cities Mission

Urban Development

The Smart Cities Mission is an initiative launched by the Government of India to drive the country into an era of advancement through economic growth. This endeavour recognizes the pivotal role of India's cities as the engines of economic growth, contributing to 63% of the nation's GDP, despite only 31% of the population residing in urban areas (GOI 2015, Smart Cities Mission).

1.1 Smart city features

a. Encouraging mixed land use in area-based developments involves planning for 'unplanned areas' that accommodate various compatible activities and land uses in close proximity to enhance land utilization efficiency. States will introduce some flexibility in land use and building bye-laws to accommodate changes effectively.

b. Priorities include expanding housing opportunities for all to ensure inclusiveness. Creating walkable localities aims to alleviate congestion, air pollution, and resource depletion while stimulating the local economy, fostering interactions, and ensuring security. Road networks are designed or refurbished to accommodate not only vehicles and public transport but also pedestrians and cyclists, with essential administrative services available within walking or cycling distance.

c. Preserving and developing open spaces such as parks, playgrounds, and recreational areas is vital to improve citizens' quality of life, mitigate urban heat effects, and promote eco-balance. Promoting a variety of transport options, including Transit Oriented Development (TOD) and last-mile para-transport connectivity, is emphasized.

d. Making governance citizen-friendly and cost-effective entails increasing reliance on online services to enhance accountability and transparency. This involves leveraging mobile technology to reduce service costs and providing services without requiring visits to municipal offices. Establishing e-groups facilitates listening to people, gathering feedback, and implementing online monitoring of programs and activities through cyber tours of worksites.

e. Cities are encouraged to develop identities based on their primary economic activities, such as local cuisine, health, education, arts and crafts, culture, sports goods, furniture, hosiery, textiles, dairy, etc. Additionally, enhancing the city's identity involves supporting built heritage through special programs and financing research and projects focused on conservation, renewal, and revitalization of historical centres, traditional urban cores, and buildings.

f. Applying smart solutions to infrastructure and services in area-based development aims to improve their efficiency and resilience. This includes making areas less vulnerable to disasters, reducing resource consumption, and delivering services more affordably.

1.2 Background of Indore

Indore, the commercial nucleus of Madhya Pradesh, hosts approximately 12.1 percent of the state's urban population, making it the most densely populated city according to the 2011 Census data. Nestled in the western part of Madhya Pradesh, Indore serves as a pivotal hub for major business undertakings within the state. Positioned centrally on the fertile Malwa plateau, it boasts an altitude of 553 meters above sea level, situated at 22’ 43’ N latitude and 76’ 42’E longitude. Indore enjoys robust connectivity through rail, road, and air transportation modes, with the Mumbai-Agra Road (National Highway) traversing its urban landscape. State highways and other road networks connect Indore with district headquarters, prominent towns, and the state capital, Bhopal. Indore stands out as one of the rare Indian cities serviced by both meter gauge and broad-gauge railway lines. Additionally, it maintains regular air service connections to major cities such as Bhopal, Delhi, Hyderabad, Ahmedabad, Pune, Nagpur, Bangalore, Jaipur, and Kolkata (Smart city Indore). As of the 2011 Census, it stands as the most populous city in Madhya Pradesh. Indore emerges as a significant experimental ground for the smart city project under sustainable development in India. This presents a promising opportunity for urban experts, city planners, and engineers to engage in this initiative and implement sustainable urban solutions, steering Indore towards smart city status. Like numerous other cities across India, Indore contends with various challenges including unemployment, overcrowding, urban sprawl, housing shortages, waste disposal issues, slum proliferation, informal economies, water scarcity, illiteracy, inadequate public transportation, pollution, sewerage problems, urban crimes, and squatter settlements. The Smart Cities mission endeavours to address these challenges, aiming to yield positive societal developmental outcomes. Continuous reinterpretation of urban planning strategies is crucial for steering urban regeneration in the right direction. Figure 1 shows the map of Indore Metropolitan Region.

Smart City Indore, as part of the broader Smart Cities Mission initiated by the Government of India, aims to harness technology and innovation to enhance the quality of life for its residents, promote sustainable development, and improve urban infrastructure and services (GOI, 2015, Smart City Mission). The successful implementation of smart city projects requires substantial investment and collaboration between the public and private sectors. PPPs have emerged as a key mechanism for mobilizing resources, sharing risks, and leveraging the expertise of both sectors to achieve common goals in urban development (Liu et al., 2015). Since the initial mention of "smart city," a plethora of scholars have engaged with the concept (Llacuna et al., 2015). Against the backdrop of evolving smart cities, this research aims to investigate the essential variables for sustainable urban area regeneration. The ongoing metamorphosis of Indian cities through the Smart City Project poses an added challenge for city planners, scientists, and urban practitioners. Launched on June 25, 2015, as the "Smart City Mission" by the Indian Government elected in May 2014, the initiative seeks to uplift the quality of life for citizens in selected cities, with a planned investment of 2,039 billion rupees (Smart City India). This research paper examines the implementation of PPPs in Smart City Indore, with a focus on understanding their role, challenges, and impact on the city's transformation.

1.3 Objectives of the Study:

The objectives of this study are designed to provide a clear focus and direction for the research, guiding the investigation into the implementation of Public-Private Partnerships (PPPs) in Smart City Indore. The key objectives include:

1. To assess the role and significance of Public-Private Partnerships (PPPs) in the implementation of Smart City Indore initiatives.

2. To examine the key PPP projects and initiatives undertaken in Smart City Indore, focusing on their objectives, scope, and outcomes.

3. To analyse the effectiveness of PPPs in achieving the goals of Smart City Indore, including improvements in urban infrastructure, service delivery, and quality of life for residents.

4. To identify the challenges and barriers encountered in the implementation of PPPs in Smart City Indore and explore strategies for overcoming them.

5. To provide recommendations for policymakers, urban planners, and stakeholders to enhance the effectiveness and sustainability of PPPs in Smart City Indore and similar urban contexts.

These objectives will guide the research process, shaping the selection of methodologies, data collection techniques, and analytical frameworks employed in the study. By addressing these objectives, this research aims to contribute to the understanding of PPPs in urban development and provide practical insights for advancing smart city agendas in Indore and beyond.

The Smart City Indore initiative represents a comprehensive strategy aimed at transforming Indore into a technologically advanced, sustainable, and inclusive urban centre. Launched under the Government of India's Smart Cities Mission, the initiative seeks to harness the power of technology, innovation, and collaboration to address urban challenges and enhance the quality of life for its residents.

The Smart City Indore initiative is guided by a vision to create a city that is liveable, resilient, and economically vibrant. The initiative emphasizes the integration of smart technologies and data-driven approaches to improve urban governance, service delivery, and infrastructure development (Government of India, 2015).

2.1 Key components of the Smart City Indore initiative include:

Infrastructure Development: The initiative focuses on upgrading and modernizing urban infrastructure, including transportation, water supply, sanitation, waste management, energy, and digital connectivity. This involves the construction of new infrastructure, as well as the retrofitting and revitalization of existing assets to make them smarter and more efficient.

Technology Integration: Smart City Indore leverages cutting-edge technologies such as Internet of Things (IoT), artificial intelligence, data analytics, and cloud computing to enhance the efficiency, effectiveness, and responsiveness of urban services. This includes the deployment of smart sensors, meters, and devices to collect and analyse data in real-time, enabling better decision-making and resource allocation.

Citizen Engagement: The initiative places a strong emphasis on citizen engagement and participation in decision-making processes. It seeks to empower residents by providing them with opportunities to contribute their ideas, feedback, and suggestions for improving their neighbourhoods and communities. This includes the use of online platforms, mobile apps, and community forums to facilitate communication and collaboration between citizens and government agencies.

Sustainability and Resilience: Smart City Indore prioritizes sustainability and resilience in its planning and development processes. It promotes eco-friendly practices, renewable energy sources, green building standards, and climate-resilient infrastructure to mitigate environmental risks and enhance the city's long-term sustainability.

Overall, the Smart City Indore initiative represents a holistic approach to urban development, integrating social, economic, environmental, and technological dimensions to create a city that is smarter, greener, and more inclusive.

2.2. Goals and Objectives:

The goals and objectives of the Smart City Indore initiative are aligned with the broader objectives of the Smart Cities Mission and reflect the city's aspirations for urban transformation. These goals include: Improving Quality of Life: Smart City Indore aims to enhance the quality of life for its residents by providing them with better access to essential services, amenities, and opportunities. This includes improving access to healthcare, education, housing, recreation, and cultural facilities, as well as promoting social inclusion and well-being.

Promoting Economic Growth: The initiative seeks to stimulate economic growth and entrepreneurship by creating a conducive environment for business development, innovation, and investment. This involves supporting small and medium-sized enterprises (SMEs), startups, and industries, as well as fostering collaboration between the public and private sectors to drive economic prosperity.

Enhancing Urban Governance: Smart City Indore aims to improve urban governance and administration by leveraging technology and data-driven approaches. This includes streamlining bureaucratic processes, enhancing transparency and accountability, and promoting citizen participation in decision-making processes. By adopting innovative governance models and digital platforms, the city seeks to become more responsive, efficient, and citizen-centric.

Ensuring Environmental Sustainability: The initiative prioritizes environmental sustainability and resilience in its development agenda. This includes promoting sustainable urban planning and design principles, conserving natural resources, reducing carbon emissions, and enhancing the city's capacity to adapt to climate change impacts. By integrating green infrastructure, renewable energy, and low-carbon technologies into its development plans, Smart City Indore aims to create a more sustainable and liveable urban environment.

2.3 Focus Areas and Priority Projects:

Smart City Indore identifies several focus areas and priority projects to achieve its goals and objectives. These focus areas are selected based on their strategic importance, potential impact, and alignment with the city's vision for urban transformation. Some of the key focus areas and priority projects include:

Urban Mobility: Improving public transportation systems, including bus rapid transit (BRT) systems, metro rail networks, and pedestrian-friendly infrastructure, to reduce congestion, enhance connectivity, and promote sustainable mobility.

Water Supply and Sanitation: Upgrading water supply networks, wastewater treatment plants, and sanitation facilities to ensure access to clean and safe drinking water, reduce water wastage, and improve public health outcomes.

Waste Management: Implementing innovative waste management solutions, including waste segregation, recycling, composting, and waste-to-energy initiatives, to minimize waste generation, promote resource recovery, and reduce environmental pollution.

Digital Infrastructure: Enhancing digital connectivity, broadband networks, and e-governance platforms to improve access to online services, promote digital literacy, and enhance transparency and efficiency in governance processes.

Affordable Housing: Developing affordable housing projects, slum redevelopment schemes, and mixed-use developments to address housing shortages, improve living conditions, and promote social inclusion and economic empowerment.

Green Spaces and Urban Environment: Creating green spaces, parks, and recreational facilities, promoting sustainable land use practices, and enhancing the urban environment to improve air quality, mitigate heat island effects, and enhance the overall quality of life for residents. These focus areas and priority projects form the cornerstone of Smart City Indore's development agenda, reflecting its commitment to creating a sustainable, inclusive, and resilient urban environment.

2.4 The proposed land use under smart city Indore

The proposed land use of the city Indore has been shown in the Fig. 3 below. The residential zone is 17.41%, residential-commercial zone is 18.23%, commercial zone is 28.47%, urban heritage is 1.72%, recreational use is 11.02%, Public facility & utility only 1%, Transportation 15.69%. Figure 2 illustrates the detailed maps delineating the essential features and zones of the Master Plan for Indore. This visual representation offers insight into the planned development and infrastructure of the city.

3.1. Financial structure for Smart Cities:

Collaboration between the Central government, state governments, and urban local bodies will drive the development of smart cities. Funding for these projects will come from various sources including internal revenues, grants, viability gap funding (VGF), and public-private partnerships (PPP). The Central Government will specifically provide VGF, which will be allocated to each smart city with the following distribution: approximately 60% for infrastructure investment, 10% for e-governance initiatives, and the remainder for government equity contributions in integrated township, greenfield, and redevelopment projects in partnership with private developers.

Cities interested in the smart city program are advised by the Government of India (GoI) to formulate financing plans alongside their Smart City Development Plans (SCDP) and Detailed Project Reports (DPRs). These plans should consider resources from various government agencies and departments. City administrations can assess their current borrowing capacity using credit ratings and other performance indicators such as economic stability, service levels, user charge recovery, and the sustainability of proposed investments.

They may also develop investment and financing strategies, exploring innovative financing options like accessing the bond market or structuring projects as PPPs. In addition to budgetary resources from different levels of government, funds must be sourced from domestic and overseas investors. Initially, the GoI may establish a fund in consultation with other ministries, multilateral and bilateral development agencies, and banks. This fund may blend grant funds from central government allocations, borrowings from multilateral and bilateral agencies (e.g., ADB), and bonds subscribed by national and state-level land development agencies (e.g., HUDA, PUDA, DDA).

Pooling funds from various sources is anticipated to reduce borrowing costs and extend financing terms. The fund may offer VGF and credit guarantees to municipal bonds and term loans, leveraging debt resources from financial markets.

Additional financing sources could be explored, including the utilization of Public-Private Partnerships (PPPs) in feasible smart city projects to attract private sector investment. To encourage PPPs in the urban sector, incentives may be considered, but discussions with relevant ministries of the Government of India and concerned departments in the Central and State Governments are necessary.

The Pooled Municipal Debt Obligation (PMDO) facility, established in 2006 with participation from various banks, aims to promote and finance urban infrastructure projects on a shared risk basis. The current corpus of the facility stands at GBP500 million, with a proposal to increase it to GBP5 billion by 2019.

Real Estate Infrastructure Trusts (REITS) are targeted by the GoI to receive incentives, offering pass-through benefits for taxation purposes. This initiative is expected to attract fresh equity and long-term financing from both foreign and domestic sources, including Non-Resident Indians (NRIs).

Infrastructure debt funds (IDFs) could be directed to invest in highly rated municipal bonds or green bonds, serving as a means to refinance debt incurred during the construction phase and providing additional cash for operational financing.

Tax-free municipal bonds issued by creditworthy local governments aim to lower the cost of borrowing, offering another avenue for financing urban development projects.

3.2. Conceptual Framework of PPPs:

Public-Private Partnerships (PPPs) represent collaborative arrangements between public and private sector entities to deliver public services, infrastructure, and development projects (World Bank, 2017). The conceptual framework of PPPs encompasses various dimensions, including governance structures, risk allocation mechanisms, and contractual arrangements.

Governance Structures: PPPs involve the collaboration between government agencies, private sector companies, and sometimes, non-profit organizations, to achieve shared objectives in urban development (Darco et al. 2018). Governance structures typically involve the establishment of a partnership or joint venture entity responsible for project planning, implementation, and management.

Risk Allocation Mechanisms: One of the defining features of PPPs is the allocation of risks between public and private sector partners (UN ESCAP, 2018). Risks such as construction delays, cost overruns, demand fluctuations, and revenue shortfalls are allocated to the party best equipped to manage them, often through contractual agreements and risk-sharing mechanisms.

Contractual Arrangements: PPPs rely on legally binding contracts that outline the roles, responsibilities, rights, and obligations of each partner (Rice and Martin. 2020). These contracts typically include provisions related to project financing, performance standards, quality control, dispute resolution, and termination clauses to ensure accountability and transparency in project implementation.

The conceptual framework of PPPs provides a structured approach to collaboration between public and private sector entities, enabling the efficient delivery of urban development projects while mitigating risks and enhancing accountability.

3.3. Rationale for PPPs in Smart City Initiatives:

The rationale for employing PPPs in smart city initiatives stems from several key factors:

Access to Resources: PPPs enable governments to leverage private sector expertise, innovation, and investment capital to finance and implement smart city projects (Lam and Yang, 2020). By partnering with private sector companies, governments can access additional resources and capabilities to accelerate the deployment of smart technologies and infrastructure.

Risk Mitigation: PPPs allow for the sharing of risks between public and private sector partners, thereby reducing the financial burden and liability for both parties (Selim and ElGohary et al., 2020). By allocating risks to the party best equipped to manage them, PPPs help mitigate project risks and uncertainties, enhancing project viability and sustainability.

Innovation and Efficiency: The private sector brings expertise in technology, project management, and operations that can drive innovation and efficiency in smart city projects (Darko et al., 2018). PPPs foster competition and incentivize private sector companies to deliver high-quality services and solutions, leading to cost savings, performance improvements, and better outcomes for residents.

Timely Delivery: PPPs facilitate the timely delivery of smart city projects by harnessing the efficiency and agility of the private sector (Llacuna et al., 2018). Private sector partners are often incentivized to complete projects on time and within budget, reducing delays and ensuring that cities can quickly realize the benefits of smart technologies and services.

Public Accountability: PPPs promote transparency, accountability, and citizen participation in smart city initiatives by involving multiple stakeholders in project planning and decision-making processes (Darko et al., 2017). Public sector oversight and regulatory frameworks ensure that PPPs uphold public interests and values while delivering value for money and desired outcomes.

Overall, PPPs offer a compelling rationale for collaboration between public and private sector entities in smart city initiatives, enabling governments to capitalize on private sector expertise, resources, and innovation to address urban challenges effectively.

3.4. Types of PPP Models and Structures:

PPPs encompass a variety of models and structures tailored to the specific needs and characteristics of smart city projects. Common types of PPP models include:

Build-Operate-Transfer (BOT): Under the BOT model, a private sector entity finances, builds, and operates a project for a specified period, after which ownership is transferred to the public sector (Rice and Martin, 2020). This model is often used for large-scale infrastructure projects with revenue-generating potential, such as toll roads, airports, and utilities.

Design-Build-Operate (DBO): In the DBO model, a private sector consortium is responsible for designing, building, and operating a project under a long-term contract (Liu et al., 2015). This model allows for greater integration of design and construction activities, leading to cost savings, efficiency gains, and improved project outcomes.

Concession Agreements: Concession agreements involve the granting of exclusive rights to a private sector entity to develop, operate, and maintain a project or service in exchange for specified payments or performance obligations (Liu et al., 2015). Concessions are commonly used for infrastructure projects such as ports, airports, and public transportation systems.

Service Contracts: Service contracts involve the outsourcing of specific services or functions to private sector contractors under a fixed-term agreement (Liu et al., 2015). This model is often used for non-core functions such as facility management, janitorial services, and IT support in smart city projects.

The choice of PPP model depends on various factors, including project complexity, risk profile, funding requirements, and regulatory environment. By selecting the appropriate PPP model and structure, cities can optimize project outcomes, enhance value for money, and achieve their smart city objectives effectively.

4.1 Bus Rapid Transit System (BRTS):

The Bus Rapid Transit System (BRTS) project in Smart City Indore represents a key initiative aimed at improving urban mobility, reducing traffic congestion, and enhancing public transportation services. The BRTS project involves the development of dedicated bus lanes, modern bus stations, and intelligent transportation systems to facilitate faster, more reliable, and efficient bus services across the city.

The implementation of the BRTS project in Indore has been facilitated through a Public-Private Partnership (PPP) model, with collaboration between the municipal government, private sector operators, and financing institutions. Private sector partners have been engaged in various aspects of the project, including design, construction, operation, and maintenance of BRTS infrastructure and services.

Key features of the BRTS project in Smart City Indore include:

Dedicated Bus Lanes: The BRTS system includes dedicated lanes for buses, separate from regular traffic, to ensure smooth flow and reduce travel times for commuters.

Modern Bus Stations: The project involves the construction of modern bus stations equipped with amenities such as shelters, seating areas, digital signage, ticketing kiosks, and real-time passenger information systems.

Intelligent Transportation Systems: The BRTS system incorporates intelligent transportation systems, including GPS tracking, automated fare collection, and traffic signal priority, to optimize bus operations and improve service reliability.

Integration with Other Modes: The BRTS project is integrated with other modes of transportation, including feeder services, metro rail, and non-motorized transport facilities, to provide seamless connectivity and multi-modal transit options for commuters.

Sustainability Measures: The BRTS project incorporates sustainability measures such as energy-efficient buses, green infrastructure, and pedestrian-friendly designs to minimize environmental impacts and promote sustainable mobility.

The BRTS project in Smart City Indore has achieved significant milestones in improving urban mobility and enhancing the quality of public transportation services. It has contributed to reducing traffic congestion, air pollution, and travel times for commuters while promoting sustainable urban development and economic growth.

4.2 Integrated Solid Waste Management:

The Integrated Solid Waste Management project in Smart City Indore aims to address the city's waste management challenges through a holistic approach that encompasses waste collection, segregation, treatment, recycling, and disposal. The project involves collaboration between the municipal government, private sector service providers, community-based organizations, and other stakeholders to implement sustainable waste management practices.

Key components of the Integrated Solid Waste Management project in Indore include:

Door-to-Door Waste Collection: The project includes door-to-door waste collection services to ensure the efficient and systematic collection of municipal solid waste from households, commercial establishments, and public places.

Segregation at Source: The project promotes source segregation of waste at the household level, encouraging residents to separate organic, recyclable, and non-recyclable waste streams to facilitate recycling and resource recovery.

Material Recovery Facilities: The project establishes material recovery facilities (MRFs) equipped with sorting and recycling equipment to process and segregate recyclable materials such as plastics, paper, glass, and metals for onward sale to recycling industries.

Waste Treatment and Disposal: The project incorporates waste treatment facilities such as composting plants, biogas plants, and sanitary landfills to treat and dispose of non-recyclable and hazardous waste in an environmentally sustainable manner.

Public Awareness and Education: The project includes public awareness campaigns, community outreach programs, and educational initiatives to promote waste reduction, segregation, and recycling behaviours among residents.

The Integrated Solid Waste Management project in Smart City Indore has led to significant improvements in waste management practices, cleanliness, and environmental sustainability in the city. It has reduced the burden on landfill sites, promoted resource recovery, and generated employment opportunities in the waste management sector.

4.3 Urban Renewal, Affordable Housing and Redevelopment:

The Urban Renewal and Affordable Housing project in Smart City Indore aims to revitalize urban neighbourhoods, upgrade infrastructure, and provide affordable housing options for low-income households. The project encompasses the redevelopment of blighted areas, slum rehabilitation, and the construction of affordable housing units to improve living conditions and promote social inclusion. Completed projects conducted under PPP model are listed below:

a. Laying of UG Gas Lines in ABD Area on PPP Model was a 30 Cr. project which started in May 2017 and completed in May 2018.

b. Slum Housing - at various locations in ABD Area (under PPP model) was a 150 Cr. Project started in June 2018 and completed in Sept 2021.

c. Slum Housing - Lodha Colony and Sethi Nagar (960 units) - under PPP model, 74.40 Cr. project started in June 2018 and completed in Sept 2023.

d. Compensatory Housing - MOG Lines Area under PPP Model, 200 Cr. Project started in June 2018 and ended in March 2022.

e. Free-Sale Housing - MOG Lines Area under PPP Model, 1000 Cr. Project started in sept 2017 and ended in Sept 2018.

f. Infrastructure Development at MOG Lines Area under PPP Model, 500 Cr. Project started in Sept 2017 and completed in Sept 2018. (Indore Development Plant 2021)

Key components of the Urban Renewal and Affordable Housing project in Indore include:

Slum Rehabilitation: The project focuses on rehabilitating informal settlements and slum areas by providing residents with access to basic services such as water supply, sanitation, electricity, and housing infrastructure.

Affordable Housing Units: The project involves the construction of affordable housing units, including multi-story apartment buildings, row houses, and tenements, to accommodate low-income families and homeless individuals.

Infrastructure Upgrades: The project includes upgrades to urban infrastructure such as roads, drainage systems, street lighting, and public spaces to enhance liveability, safety, and accessibility in urban neighbourhoods.

Inclusive Development: The project adopts a participatory approach to urban renewal, involving residents, community organizations, and local stakeholders in the planning, design, and implementation of redevelopment projects to ensure their needs and preferences are adequately addressed.

Social Amenities: The project integrates social amenities such as community centres, health clinics, schools, and recreational facilities into urban renewal projects to enhance the quality of life and well-being of residents.

The Urban Renewal and Affordable Housing project in Smart City Indore has had a transformative impact on urban neighbourhoods, fostering social cohesion, economic empowerment, and environmental sustainability. It has provided affordable housing options for marginalized communities, upgraded infrastructure, and revitalized blighted areas, contributing to inclusive and equitable urban development.

4.4 Smart Solutions, Digital Infrastructure and E-Governance:

The Digital Infrastructure and E-Governance project in Smart City Indore aims to leverage information and communication technologies (ICTs) to enhance government service delivery, citizen engagement, and administrative efficiency. The project involves the development of digital platforms, e-governance applications, and ICT infrastructure to facilitate online transactions, access to information, and public participation in governance processes. Completed projects conducted under PPP model are listed below:

a. Installation and O & M of LED Lights in Pan-city, Indore on PPP Model, 180 Cr. Started in Oct 2017 and completed in April 2020.

b. Smart Poles Project including CCTV, Environmental Sensors, WiFi, C4 Integration, OFC, etc. under PPP Model, 250 Cr. Project, started in Oct 2017 and completed in Oct 2018.

c. Smart Parking Management (Sensors, Hardware, Software, App devt, smart-cards) for MLCP - 3 Locations under PPP Model, 2 Cr. Project started in June 2017 and completed in Oct 2017.

d. Implementation of Waste-to-Energy Plant on PPP Model, 473 Cr. Project, started in Nov 2017 and completed in May 2018. (Indore Development Plant 2021).

Key components of the Digital Infrastructure and E-Governance project in Indore include:

Online Service Delivery: The project enables citizens to access government services and information online through web portals, mobile applications, and digital kiosks, reducing the need for physical visits to government offices and streamlining administrative processes.

Citizen Engagement Platforms: The project includes the development of digital platforms for citizen engagement, feedback, and participation in decision-making processes, such as online forums, social media channels, and interactive websites.

Digital Literacy and Training: The project provides digital literacy training and capacity-building programs for government officials, employees, and citizens to enhance their skills and capabilities in using digital technologies for governance and service delivery.

ICT Infrastructure: The project invests in the development of ICT infrastructure, including broadband networks, Wi-Fi hotspots, and data centres, to improve connectivity, bandwidth, and reliability for digital services and applications.

Data Analytics and Decision Support Systems: The project utilizes data analytics, business intelligence, and decision support systems to analyse large volumes of data, generate insights, and support evidence-based decision-making by government agencies and policymakers.

The Digital Infrastructure and E-Governance project in Smart City Indore has facilitated greater transparency, accountability, and efficiency in government operations, as well as enhanced citizen participation and satisfaction with public services. It has transformed the way government interacts with citizens, businesses, and other stakeholders, fostering a culture of innovation and collaboration in urban governance.

5.1. Municipal Solid Waste Management based on clustering

The State Level Executive Committee (SLEC) has approved the cluster-based, regional Integrated Solid Waste Management (ISWM) model. The Directorate of Institutional Finance has allocated £10 million (£5 million from a concessional loan provided by DFID-supported MPUIIF) for 378 Urban Local Bodies (ULBs), including seven Smart Cities in Madhya Pradesh. The project's financial structure aligns with SBM, with 20% grant from the Government of India, 20% grant from the State Government, and the remaining 60% from private sector investment.

This performance-based Public-Private Partnership (PPP) project operates under a 21-year Concession Agreement, incorporating Design, Finance, Build, Operate, and Transfer (DFBOT) components, along with smart monitoring to enhance system efficiency. The project features a waste-to-energy plant, affordable user charges (Rs. 30-40 for Below Poverty Line households and Rs. 60-80 for other households), utilization of existing Solid Waste Management (SWM) workforce, vehicle differentiation to prevent mixing of high-calorific-value waste, Information, Education, and Communication (IEC) campaigns on Environment, Health, and social aspects, and citizen involvement in monitoring the Concessionaire's performance.

Additionally, a cluster-based regional integrated MSW PPP pilot project has been successfully implemented for two clusters, including Sagar city. Here, waste is collected, transported to a waste-to-energy processing facility, and scientifically disposed of in accordance with MSW Rules, 2000, and other statutory obligations.

5.2. Formation and Commencement of Operations of Madhya Pradesh Urban Development Company Ltd. (MPUDCL)

The MPUIIP has aided the Government of Madhya Pradesh (GoMP) in establishing MPUDC Ltd., a state government-owned company, and MP Urban Infrastructure Fund (MPUIF) as an intermediary for urban infrastructure financing. MPUIIF has subsequently facilitated the approval of a $266 million loan from the Asian Development Bank (ADB), with MPUDC Ltd. as the borrower, and also secured approval for a $116 million loan from the World Bank. These funds will be utilized to replicate the model Public-Private Partnership (PPP) projects developed by MPUIIP and further implemented by MPUDC Ltd.

5.3. Preparatory efforts for the establishment of Special Purpose Vehicles (SPVs) for SMART CITIES.

MPUIIP is providing supportive guidance to UADD and the seven ULBs of Madhya Pradesh selected under the Smart City Mission. A novel approach proposed by MPUIIP involves establishing an integrated institutional framework for the Smart City Mission, which includes incorporating MPUDC Ltd. as a fully state-owned holding Special Purpose Vehicle (SPV). MPUDC Ltd. will serve as a conduit for channelling the state government's equity to all seven smart city SPVs and will possess adequate convening power at the state level to expedite approvals for the swift implementation of Smart City Projects.

Furthermore, MPUIIP is crafting an implementation advisory note for UADD, which will be disseminated to the seven smart cities. This advisory will focus on institutional and functional structure, organizational procedures, business processes, delegation of authority, financial management, and financial planning. These guidelines will assist cities in establishing and operationalizing their respective SPVs.

5.4. Formation and Operationalization of Public-Private Partnership (PPP) Cell

MPUIIP has supported the Government of Madhya Pradesh (GoMP) in establishing and operationalizing the PPP Cell in accordance with the government notification issued by the UADD Commissioner. The PPP Cell is responsible for evaluating PPP projects before they receive approvals from the State Level Executive Committee (SLEC). Additionally, the PPP guidelines for urban infrastructure development, prepared by MPUIIP, are currently undergoing the review and approval process by GoMP.

5.5. PPP Policy for Urban Housing

The MPUIIP team has formulated the PPP policy for urban housing, with a specific emphasis on affordable housing, which has received approval from the Madhya Pradesh Cabinet. Presently, MPUIIP is aiding the Madhya Pradesh Housing and Infrastructure Development Board (MPHIDB) in creating a pilot PPP project dedicated to affordable housing initiatives.

In terms of the Accrual-based Double Entry Accounting System (DEAS) and Uniform Accounting Software, MPUIIP has adopted a novel approach to ensure the sustainability of DEAS implementation. Instead of engaging external consultants, the TC City Finance Team has provided direct support to Urban Local Bodies (ULBs). ULB staff members have been actively involved in fundamental tasks such as bank reconciliation, preparation of grant details and fixed assets schedules, and voucher entry in accounting software.

All 14 ULBs have prepared Annual Financial Statements (AFS) up to 2013-14, with seven ULBs chosen for the Smart City Mission having extended their AFS preparation up to 2014-15. Subsequent analysis identified gaps and constraints in sustaining DEAS, pinpointing a suitable accounting software and regular technical support as key requirements. To address these needs, the following key activities have been proposed to establish a foundation for sustaining DEAS in ULBs:

a. Acquisition of appropriate accounting software (as an interim solution until the e-Nagarpalika finance module is deployed).

b. Consistent entry of vouchers into the accounting software.

c. Regular reconciliation of bank accounts.

d. Utilization of the MPMAM Chart of Accounts.

e. Gradual adoption of MPMAM voucher forms.

f. On-the-job and software training for ULB staff.

g. Evaluation and enhancement of the Chart of Accounts to ensure consistency across all ULBs in the state.

h. Streamlining MPMAM voucher forms for improved usability and capturing necessary accounting data.

i. Development of comprehensive checklists to guide ULB staff and ensure consistency and quality improvements in financial statements.

j. Capacity building of local Chartered Accountants (CAs), when appointed by ULBs, for the preparation of Annual Financial Statements (AFS). (SAAR, 2023)

6.1. Success Factors and Best Practices:

The successful implementation of Public-Private Partnerships (PPPs) in Smart City Indore is contingent upon several key factors and best practices:

Clear Policy and Legal Framework: A clear and robust policy and legal framework is essential to provide a conducive environment for PPPs. This includes well-defined regulations, guidelines, and procedures governing PPP procurement, contract management, and dispute resolution (UN ESCAP, 2018).

Stakeholder Engagement and Collaboration: Effective stakeholder engagement and collaboration are critical to the success of PPP projects. Engaging stakeholders, including government agencies, private sector partners, civil society organizations, and communities, fosters ownership, transparency, and accountability, leading to better project outcomes (Darko et al., 2018).

Comprehensive Risk Management: PPP projects entail various risks, including financial, technical, operational, and legal risks. Implementing comprehensive risk management strategies, such as risk identification, assessment, allocation, and mitigation, helps to minimize uncertainties and ensure project success (Liu et al., 2015).

Capacity Building and Knowledge Transfer: Building institutional capacity and promoting knowledge transfer between public and private sector partners are essential for successful PPP implementation. This includes investing in training programs, skills development initiatives, and knowledge-sharing platforms to enhance the capabilities of stakeholders involved in PPP projects (Selim and ElGohary, 2020).

Performance Monitoring and Evaluation: Implementing robust monitoring and evaluation mechanisms enables stakeholders to track project progress, assess performance against predetermined objectives, and identify areas for improvement. Regular monitoring helps to ensure accountability, transparency, and compliance with contractual obligations, enhancing the likelihood of project success (Lam and Yang, 2020).

Flexibility and Adaptability: PPP projects often face uncertainties and changes in the operating environment. Maintaining flexibility and adaptability in project design, implementation, and management allows stakeholders to respond effectively to emerging challenges, unforeseen risks, and evolving stakeholder needs (Quan et al., 2023).

Financial Viability and Sustainability: Ensuring the financial viability and sustainability of PPP projects is essential for long-term success. This involves conducting rigorous financial analysis, assessing revenue streams, cost-benefit analysis, and ensuring that projects generate sufficient returns to attract private sector investment and maintain operational viability (Jaysena et al., 2022).

Overall, integrating these success factors and best practices into PPP implementation processes in Smart City Indore can enhance project outcomes, mitigate risks, and maximize the value proposition for all stakeholders involved.

6.2. Challenges and Barriers:

Despite the potential benefits, PPP implementation in Smart City Indore may face several challenges and barriers:

Regulatory and Policy Constraints: Complex regulatory frameworks, bureaucratic hurdles, and legal challenges can hinder the procurement, approval, and execution of PPP projects. Unclear or outdated policies may create ambiguity and uncertainty, deterring private sector participation and investment (Siokas et al., 2022).

Financial Risks and Market Uncertainty: PPP projects often involve significant upfront investment, long gestation periods, and revenue uncertainties, making them susceptible to financial risks and market fluctuations. Economic downturns, changes in market conditions, and currency volatility can affect project viability and investor confidence (UN ESCAP, 2018).

Stakeholder Resistance and Opposition: Resistance from stakeholders, including government agencies, local communities, and interest groups, can impede PPP implementation. Concerns related to privatization, accountability, transparency, and socio-economic impacts may trigger opposition and public protests, delaying project execution (Yand and You, 2019).

Capacity and Capability Gaps: Limited institutional capacity, technical expertise, and project management capabilities within government agencies can hinder PPP implementation. Inadequate skills, knowledge, and resources may lead to project delays, cost overruns, and quality issues, undermining project success (Yang and You, 2019).

Contractual and Legal Disputes: Disputes and conflicts over contract terms, performance standards, and risk allocation can arise during PPP implementation. Poorly drafted contracts, ambiguous clauses, and inadequate dispute resolution mechanisms may lead to litigation, arbitration, and project delays, resulting in financial losses and reputational damage (Voorwinden, 2021).

Political and Regulatory Instability: Political changes, regulatory reforms, and policy shifts can introduce uncertainty and volatility into PPP projects. Political interference, corruption, and regulatory instability may undermine investor confidence, erode trust, and deter private sector participation in smart city initiatives (Yang and You, 2019).

Public Perception and Acceptance: Building public trust and acceptance is crucial for the success of PPP projects. Negative perceptions, misconceptions, and lack of awareness about PPPs may create scepticism, resistance, and opposition among citizens, affecting project legitimacy and social license to operate (Pianezzi et al., 2019).

Addressing these challenges and barriers requires proactive measures, collaborative approaches, and adaptive strategies to mitigate risks, build resilience, and ensure the successful implementation of PPP projects in Smart City Indore.

7.1. Assessment of the impact of PPP projects on urban infrastructure:

Assessing the impact of PPP projects on urban infrastructure involves evaluating various aspects of infrastructure development, enhancement, and maintenance facilitated through PPP initiatives. Key components of this assessment include:

Infrastructure Upgrades: Evaluating the extent to which PPP projects have contributed to the development and enhancement of urban infrastructure. This includes transportation networks, water supply systems, sanitation facilities, waste management infrastructure, digital connectivity, and public spaces.

Quality and Accessibility: Assessing the quality, accessibility, and usability of infrastructure assets developed or upgraded through PPP projects. Factors such as design standards, construction quality, safety features, user-friendliness, and compliance with accessibility guidelines are considered.

Capacity Building: Examining the capacity-building initiatives undertaken as part of PPP projects to enhance the technical skills, knowledge, and capabilities of government agencies, private sector partners, and community stakeholders involved in infrastructure planning, implementation, and management.

Operational Efficiency: Assessing the operational efficiency, reliability, and effectiveness of infrastructure services delivered through PPP projects. This includes measures such as service availability, reliability, responsiveness, downtime, and service level agreements.

Sustainability and Resilience: Evaluating the sustainability and resilience of infrastructure assets developed or upgraded through PPP projects. Factors such as environmental impact, resource efficiency, climate resilience, and long-term viability are considered.

7.2. Evaluation of socio-economic benefits and outcomes achieved:

The evaluation of socio-economic benefits and outcomes achieved through PPP projects in Smart City Indore involves assessing the broader impacts of infrastructure development on the city's economy, society, and environment. Key aspects of this evaluation include:

Economic Impact: Assessing the contribution of PPP projects to economic growth, job creation, investment attraction, and business development in Smart City Indore. Factors such as direct and indirect employment generation, business opportunities, tax revenues, and GDP growth are considered.

Social Inclusion: Evaluating the extent to which PPP projects have promoted social inclusion, equity, and empowerment among diverse population groups in Indore. This includes assessing access to infrastructure services, opportunities for participation, and social cohesion.

Public Health and Well-being: Examining the impact of PPP projects on public health outcomes, quality of life, and well-being indicators in Smart City Indore. This includes improvements in access to clean water, sanitation, healthcare, education, housing, recreation, and cultural amenities.

Environmental Sustainability: Assessing the environmental sustainability outcomes of PPP projects. This includes reductions in carbon emissions, air and water pollution, waste generation, and natural resource consumption. Factors such as the adoption of green infrastructure, renewable energy sources, and eco-friendly practices are considered.

Innovation and Knowledge Transfer: Evaluating the extent to which PPP projects have fostered innovation, technology transfer, and knowledge exchange in Smart City Indore. This includes advancements in smart technologies, digital solutions, and best practices in urban development.

7.3. Measurement of success indicators and performance metrics:

To measure the success of PPP projects in Smart City Indore, various performance indicators and metrics can be used to assess progress towards project objectives and desired outcomes. Key performance indicators (KPIs) and metrics may include:

Financial Performance: Financial indicators such as project cost, investment returns, cost savings, revenue generation, and return on investment (ROI) can measure the financial viability and sustainability of PPP projects.

Project Delivery: Project delivery indicators such as project timeline, adherence to budget, construction progress, and completion milestones can measure the efficiency and effectiveness of project implementation.

Service Quality: Service quality indicators such as service availability, reliability, responsiveness, customer satisfaction, and service level agreements (SLAs) can measure the quality and performance of infrastructure services delivered through PPP projects.

Stakeholder Engagement: Stakeholder engagement indicators such as stakeholder satisfaction, participation levels, community feedback, and public trust can measure the extent to which stakeholders are engaged and involved in PPP projects.

Impact Assessment: Impact assessment indicators such as economic impact, social inclusion, environmental sustainability, and innovation outcomes can measure the broader socio-economic and environmental impacts of PPP projects on Smart City Indore.

8.1. Enhancing PPP Governance and Regulatory Framework:

To maximize the socio-economic benefits of PPPs and address governance challenges, policymakers should focus on:

Improving Transparency: Enhancing transparency in PPP procurement, contract negotiation, and project management processes to build public trust and accountability.

Strengthening Oversight Mechanisms: Establishing robust regulatory frameworks and independent oversight bodies to monitor PPP performance, ensure compliance with regulations, and mitigate corruption risks.

Promoting Stakeholder Engagement: Facilitating meaningful stakeholder engagement and participation in PPP decision-making processes to promote inclusivity, transparency, and responsiveness in urban governance.

8.2. Promoting Innovation and Technological Integration:

Incorporating innovation and technology into PPP projects can enhance efficiency, effectiveness, and sustainability. Key strategies include:

Investing in Smart Infrastructure: Leveraging emerging technologies such as Internet of Things (IoT), artificial intelligence (AI), and blockchain to develop smart infrastructure solutions that improve service delivery, optimize resource management, and enhance citizen well-being.

Encouraging Public-Private Collaboration: Promoting collaboration between government agencies, private sector partners, academic institutions, and research organizations to foster innovation, knowledge exchange, and technology transfer in PPP projects.

Supporting Entrepreneurship and Startups: Creating conducive ecosystems for innovation and entrepreneurship through policy incentives, funding mechanisms, and incubation programs to stimulate the development of innovative solutions for urban challenges.

8.3. Strengthening Capacity Building and Knowledge Sharing:

Building institutional capacity and promoting knowledge sharing are essential for successful PPP implementation. Key initiatives include:

Investing in Skills Development: Providing training programs, capacity-building workshops, and professional development opportunities to government officials, private sector partners, and civil society organizations involved in PPP projects.

Establishing Knowledge Platforms: Creating platforms for knowledge sharing, best practice dissemination, and lessons learned exchange to facilitate peer-to-peer learning, collaboration, and continuous improvement in PPP implementation.

Promoting South-South Cooperation: Facilitating collaboration and knowledge exchange among cities, regions, and countries with similar urban development challenges to share experiences, strategies, and solutions for PPP implementation.

9.1. Summary of Findings:

The evaluation of Public-Private Partnerships (PPPs) in Smart City Indore underscores their pivotal role in driving urban development, fostering socio-economic progress, and enhancing the quality of life for residents. Through a comprehensive assessment of PPP projects, it becomes evident that these collaborations have yielded significant benefits across various dimensions of urban development.

PPPs have played a crucial role in catalysing infrastructure improvements in Smart City Indore. Projects spanning transportation networks, utilities, digital connectivity, and public amenities have been successfully implemented, contributing to enhanced mobility, access to essential services, and the creation of vibrant urban spaces. The partnership between the public and private sectors has leveraged expertise, innovation, and resources to address infrastructure deficits and meet the evolving needs of the city's growing population.

PPPs have delivered tangible socio-economic outcomes, fostering inclusive growth and community development. By promoting job creation, economic opportunities, and social inclusion, PPP projects have contributed to poverty alleviation, empowerment of marginalized communities, and enhancement of social cohesion. Moreover, the collaborative nature of PPPs has facilitated community engagement, participation, and ownership, empowering residents to shape the development trajectory of their city.

PPPs have demonstrated their efficacy in enhancing citizen satisfaction and improving the quality of life in Smart City Indore. Through improved service delivery, infrastructure reliability, and environmental sustainability, PPP initiatives have enhanced citizen well-being, safety, and convenience. Citizens have benefitted from better access to essential services, enhanced public spaces, and increased opportunities for recreation, cultural enrichment, and civic engagement.

In conclusion, the evaluation of PPPs in Smart City Indore underscores their transformative impact on urban development. These partnerships have proven to be effective mechanisms for leveraging private sector expertise, innovation, and investment to address urban challenges and achieve sustainable development goals. Moving forward, it is imperative to build on the successes of PPPs, address governance challenges, promote innovation, and strengthen capacity building to ensure their continued effectiveness in driving inclusive and resilient urban development in Smart City Indore and beyond.

9.2. Contributions to Theory and Practice:

This research contributes to theory and practice by providing insights into the impact of PPPs on urban development and offering recommendations for enhancing governance, promoting innovation, and strengthening capacity building in PPP implementation.

9.3. Recommendations for Future Research:

Future research should focus on longitudinal studies, comparative analyses, and case studies to further explore the dynamics of PPP implementation, assess long-term impacts, and identify best practices for sustainable urban development. Additionally, research is needed to evaluate the role of PPPs in addressing emerging urban challenges such as climate change, digital transformation, and inclusive growth.

This comprehensive evaluation provides a foundation for informed decision-making, policy formulation, and investment strategies to maximize the socio-economic benefits of PPPs and drive inclusive and sustainable urban development in Smart City Indore.

Author Contribution

Author 1: Research conduction, Data Collection, Paper WritingAuthor 2: Reviewing Research, Guiding for directions.

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No competing interests reported.

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Factors affecting the consideration of Public-Private Partnerships (PPPs) for smart city projects in Indore city

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Abstract

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1. Introduction

2. Smart City Indore: A Vision for Urban Transformation

2.1 Key components of the Smart City Indore initiative include:

2.2. Goals and Objectives:

2.3 Focus Areas and Priority Projects:

2.4 The proposed land use under smart city Indore

3. Public-Private Partnerships in Urban Development

3.1. Financial structure for Smart Cities:

3.2. Conceptual Framework of PPPs:

3.3. Rationale for PPPs in Smart City Initiatives:

3.4. Types of PPP Models and Structures:

4. Case Studies of PPP Projects in Smart City Indore

5. Summary of initiatives/ projects under Madhya Pradesh Urban Infrastructure Investment Program (MPUIIP)

6. Analysis of PPP Implementation

6.1. Success Factors and Best Practices:

6.2. Challenges and Barriers:

7. Impact Assessment and Evaluation

7.1. Assessment of the impact of PPP projects on urban infrastructure:

7.2. Evaluation of socio-economic benefits and outcomes achieved:

7.3. Measurement of success indicators and performance metrics:

8. Future Directions and Policy Implications

8.1. Enhancing PPP Governance and Regulatory Framework:

8.2. Promoting Innovation and Technological Integration:

8.3. Strengthening Capacity Building and Knowledge Sharing:

9. Conclusion

9.1. Summary of Findings:

9.2. Contributions to Theory and Practice:

9.3. Recommendations for Future Research:

Declarations

Author Contribution

References

Additional Declarations

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