post award contract management toolkit for ppp … · post award contract management of these ppp...

The Post Award Contract Management Toolkit for PPP Concessions has been commissioned

by the Department of Economic Affairs, Ministry of Finance, Government of India (DEA) with

funding support from the World Bank and advisory facilitation from Deloitte.

All necessary care and due diligence has been undertaken by the sector experts and the

execution team to adhere to all copyrights as specified in the literature sources and references

used while creation of this manual. Also, it has been ensured that the accuracy, adequacy or

completeness of any information published here is maintained as specified in the sources.

However, any errors/omissions that may have occurred unwittingly are regretted and all

suggestions/feedback in this regard for improvement will be highly appreciated.

While the guidance material is available for free use in online toolkit for reference purposes, the

Department of Economic Affairs, Ministry of Finance holds the copyright on this guidance

material and it shall not be reproduced for in any form, other than those intended by DEA,

without prior written permission from DEA. Apart from the stakeholders in India, relevant

aspects of the guidance material may also be referred to by various international entities, as

suitable and as required. PPP Cell, Infrastructure Division, DEA can be contacted in case of any

queries or permission requirements.

© 2015 Department of Economic Affairs, Ministry of Finance, Government of India

Published by:

PPP Cell,

Infrastructure Division,

Department of Economic Affairs,

Ministry of Finance

Government of India

www.pppinindia.com

http://www.pppinindia.com/

Preface

Over the last decade, Government of India (GoI) has been placing a strong emphasis on the

use of Public Private Partnerships (PPPs) in its strategy for expanding the provision of

infrastructure services. Also, to facilitate a large scale expansion of PPPs on a sustainable

basis, GoI introduced several initiatives which inter-alia included establishment of PPPAC,

PPPIADF, an Infrastructure Project Development Fund, Viability Gap Fund to provide financial

support for PPP projects, implementation of a National PPP Capacity Building Program,

development of knowledge products and guidance material including PPP toolkit. These

initiatives have helped India develop a large PPP program in the infrastructure sector.

In the process of implementation of PPP projects, policy makers have been increasingly

identifying issues related to project delivery of PPP projects. Such issues primarily focus on

Post Award Contract Management of these PPP projects, at the transaction as well as

programmatic level and also the broader fiscal implications such as, for example, direct and

contingent liabilities. With this objective, the Department of Economic Affairs, Ministry of

Finance, Government of India has made an attempt to develop online toolkit for

improving the post-award management of PPP concessions.

The interactive Online Toolkit is a web-based repository which provides relevant guidance

material and tools, such as checklists and project progress plans to authority officials to better

manage the PPP project during the post award stages of the PPP project lifecycle. The online

nature of the Toolkit means a wider reach, ease of use and also possibility to update the

resource quickly over time as the approaches in place develop and change.

The primary audience for the Toolkit is officials at the National, State and city/local

governments, State-owned enterprises and other agencies responsible for managing PPP

projects; however, the Toolkit is also useful to private sector and financial institutions involved in

PPP projects, and consultants advising the private sector and governments, as well as civil

society.

Contents

Section 1: Introduction to Online Toolkit ............................................................................... 4

Section 2: Components of the Online Toolkit ........................................................................ 5

2.1.1. About Toolkit ....................................................................................................... 5

2.1.2. Sector-Agnostic Post Award Contract Management Guidelines ..................... 6

2.1.3. Sector Specific Post Award Contract Management Guidance Material .......... 7

Section 3: How to Use the Toolkit ........................................................................................... 8

3.1. Entering the Online Toolkit ....................................................................................... 8

3.1.1. Navigating Sector Specific Toolkit .................................................................... 9

3.1.1.1. Guidance Material .......................................................................................10

Module I: Introduction to Post Award Contract Management ......................................10

Module II: Managing the Contract ..............................................................................11

Module III: Managing Performance and Risks ............................................................13

Module IV: Managing Stakeholders ...........................................................................14

Module V: Tools & Resources ....................................................................................15

3.1.1.2. Interactive Toolbox .....................................................................................16

Registering for the Online Toolkit ...........................................................................17

Logging into the Online Toolkit ...............................................................................19

Tool 1: Interactive Project Progress Stage Wise Plans ...............................................21

Tool 2: Interactive Rare Event Checklist .....................................................................23

Tool 3: Interactive Rare Events Plan ..........................................................................26

Tool 4: Dashboard for Accessing the Interactive Tools ...............................................28

1.1. Background

The interactive Online Toolkit is a web-based repository which provides relevant guidance

material and tools, such as checklists and project progress plans to authority officials to better

manage the PPP project during the post award stages of the PPP project lifecycle. The online

nature of the Toolkit means a wider reach, ease of use and also possibility to update the

resource quickly over time as the approaches in place develop and change.

The Online Toolkit covers sector agnostic Post Award Contract Management Guidelines. In

addition, it also provides guidance on sector specific coverage for; Highways, Ports and

schools. This sector specific Toolkit provides users with the option to use various checklists,

project progress plans and excel tools to manage their PPP projects for the above defined

sectors. It allows officials to update the status of the activities, save and print the project details

and share it with superior officers providing status update for better management. The Toolkit

has been designed in a user-friendly manner to enhance user convenience.

The Toolkit is freely accessible to all and requires no registration for downloading guidance

material content; though, the interactive toolbox requires registration and creation of unique

login details which allows users to save their project progress plans, checklist and other

interactive plans in the Dashboard with the facility of accessing these plans at any later point in

time.

Section 1: Introduction to Online Toolkit

2.1. Structure of the Online Toolkit

The online toolkit for the Post Award Contract Management has been structured in three

components:

2.1.1. About Toolkit

This section gives a brief introduction to the toolkit, enlists the user segment of the toolkit and

briefly describes its benefits and the coverage.

Section 2: Components of the Online Toolkit

About Tool Kit

This section gives a brief

introduction of the Toolkit,

describes the benefits,

enlists the stakeholders and

scope of the Toolkit

PPP – Post Award Management Toolkit

Guidelines

This section provides sector

agnostic guidelines for PPP

contract management that

are applicable to all PPP

projects regardless of the

sector

Sector Specific Toolkit

This section provides

guidance material for three

key sectors Highways

Ports

Schools

Navigation Path > Homepage > About Toolkit

A brief introduction to the toolkit,

its benefits, users, coverage and

acknowledgements could be

accessed here. Click on any of the

sub-modules to know more.

2.1.2. Sector-Agnostic Post Award Contract Management Guidelines

“Post-Award Contract Management Guidelines” have been developed as a quick reference

strategic road map for Authorities and Contract Managers. The guidelines provide the

foundation principles of post award contract management for PPP projects irrespective of the

sectors. The Guidelines establish only “Why” and “What” of contract management practices and

therefore, to understand “How” contract management needs to be undertaken in a specific

sector online toolkit for each of these sectors has been developed in detail.

Navigation Path > Homepage > Guidelines

Sector Agnostic

Guidelines can be

downloaded as a PDF

document by clicking on

the following link

2.1.3. Sector Specific Post Award Contract Management Guidance Material

The Sector specific Post Award Contract Management Online Guidance Material for PPP

Concessions has been designed to provide guidance on various activities required to be

undertaken by the Authority officials at different stages of project lifecycle. This sector specific

guidance material has been developed for PPP projects in three sectors, viz. Highways, Ports

and Schools. This online guidance material serve as model post award contract management

guide with a detailed, step-by-step approach to effective contract management in these sectors.

Navigation Path > Homepage > Highways > For Highways Toolkit, Click here

There are 3 ways of navigating sector specific toolkit;

i) Navigation pane on the left hand size of the screen;

ii) Previous and next tabs at the bottom of the screen;

iii) Module wise content of toolkits highlighted on the user

guide page on the toolkit

Previous and next tabs

at the bottom of the

screen

Navigation Pane on the

left side of the screen

1

2

Module wise Content of

Toolkit

3

3.1. Entering the Online Toolkit

As described above the content of the Online Toolkit has been structured in three parts. The first part of

About toolkit can be accessed through the first tab on the top left pane of the homepage. The second part

of sector agnostic Post Award Contract Management Guidelines can be navigated by clicking on the

relevant tab at the top of each page.

The sector specific Toolkits on Highways, Ports and Schools can be navigated in three different ways.

Through the individual Sector specific tabs at the top of the page

By clicking on the Sector specific images at the bottom of the page

Through the dropdown from the Interactive Toolbox on the right pane of the page

Going forward to provide user manual for sector specific content; screenshots

for highways sector has been used. We would like to emphasise that all other

sectors viz. Ports and Schools can be accessed through similar navigation

routes.

Section 3: How to Use the Toolkit

Navigation Path > Homepage

3.1.1. Navigating Sector Specific Toolkit

The sector specific section provides options to refer to only relevant portion of the manual i.e. based on

role of the user and / or based on the stage of the project. The landing page of any sector is segregated

into two sections: (1) Guidance Material and (2) Interactive Toolbox

Navigation Path > Homepage > Highways

Click on any of the modules

to access Guidance Material

for the Online Toolkit

For detailed guidance Refer

Section 3.1.1.1

Click on the radio box and select appropriate option

from dropdown to access Interactive Toolbox

For detailed guidance refer Section 3.1.1.2

3.1.1.1. Guidance Material

The Guidance material has been developed to serve as a model & customizable guide for the

Authorities involved in execution of PPP projects to help them manage their respective PPP

Concessions in an efficient and effective manner. With this objective, the “Guidance Material”

has been structured in an easy to use modular structure.

It may be noted that there is no registration or log-in requirements for accessing the guidelines

and guidance material content for all three sectors.

Module I: Introduction to Post Award Contract Management

This module provides a brief overview of the sector, defines post award stages in a PPP

lifecycle, and provides guidance for setting up contract management team and contract

management plans.

Navigation Path > Homepage > Highways > Highways Toolkit Click here > Module 1:

Introduction to Post Award Contract Management > Overview of PPP’s in Highways

Module I provides a brief

introduction to the toolkit. Click on

any of these sub-modules to read

more about them.

Module II: Managing the Contract

This module elaborates the set of activities (downloadable as pdf document) that are required to

be undertaken by the Authority officials at different stages of project execution.

Select Designation

from the dropdown

menu.

Navigation > Providing Option to Select Designation from the Dropdown


Managing the Contract > Operations Level Activities

The user based on his

designation can select the

level of Authority.

Navigation > Selecting Designation from the Dropdown

The user has the option of accessing list

of activities either through Interactive

Toolbox or through downloadable pdf

documents

Click on Summarized List of Activities

Navigation > Selecting Summarized Stage list of Project Activities

The user has the option of t downloading the

summarized and detailed list of activities for

each stage of PPP Lifecycle.

On pressing Click here PDF documents will

get downloaded

Module III: Managing Performance and Risks

This submodule identifies various stakeholders in the post contract management lifecycle and

defines their KPIs. In addition it also provides guidance on identifying monitoring and mitigating

risks arising from all corners of the project.


Managing Performance and Risk > Performance Monitoring and Review

Module III provides guidance on

managing performance and risks.

Click on any of these sub-modules

to read more about them.

Module IV: Managing Stakeholders

This module describes how project status reporting, review and escalation activities are to be

executed at different Authority Levels and how performance should be reported on a regular

basis to ensure smooth functioning of the concession. It also highlights the provisions to be

made by the Authority for sound Knowledge Management and Information Dissemination

practice.


Managing Stakeholders > Managing Issues and Disputes

Module IV provides guidance on

managing stakeholders and

knowledge management

procedures. Click on any of these

sub-modules to read more about

them.

Module V: Tools & Resources

This module provides the Excels tools to deal with the rare events that arise during the post

award project lifecycle, glossary of terms used in the Sector and other important links.


Tools and Resources > Excel Tools

Module V provides guidance on

excel tools designed for managing

rare events, abbreviations and

important links. Click on any of

these sub-modules to read more

about them.

3.1.1.2. Interactive Toolbox

The interactive toolbox provides users with the option to use various checklists, project progress

plans and rare event plans to manage the PPP projects. There are two ways of accessing the

Interactive Toolbox:

Navigation Path > Homepage > Highways

Option

1

Refer Bottom of the Page for

Interactive Toolbox

Navigation Path > Homepage > Highways > For Highways Toolkit Click here > Interactive Toolbox > Project Progress Plans

Option

2

Registering for the Online Toolkit

The interactive toolbox requires registration and creation of unique login details which allows

users to save their project progress plans, checklist and other interactive plans in the

Dashboard with the facility of accessing these plans at any later point in time.

The user can

register for the

website by

clicking on the

following icon

Option

1

Option

2

The user can register

for the website by

clicking on the

following icon

Navigation Path > Homepage > Register


On Clicking Register, the user needs to fill out the registration form

On filling in the

required information,

the user has to click on

“register” to proceed

for registration

On Successful registration, the user will be prompted to log into the website

Logging into the Online Toolkit

After the user has successfully registered, the user can login to the website through the

following two options:

The user can

log into the

website by

clicking on the

following icon

Option

1

Option

2

The user can log into

the website by clicking

on the following icon

Navigation Path > Homepage > Login

Navigation Path > Homepage > Highways > For Highways Toolkit Click here >

Interactive Toolbox > Project Progress Plans

The registration for the

Online Toolkit is free

for the users

The user has to click the

“Login” Icon to access the

Interactive Toolbox of the

Toolkit

The user can access

his/her information from

the top navigation pane

The user can change

password from this tab

The user can sign out of

the account

Tool 1: Interactive Project Progress Stage Wise Plans

Project progress plans are created to keep track of the progress of various projects and update

status of activities to be undertaken by users. Project progress plans are available to users

based on stage of the project and role of the user.


Select your designation

for accessing stage

wise plan and press GO

Fill-in the basic project and

user details to access the

plan. Click ‘Save Plan’

On selecting designation, the following Information form will be opened

After filling the information

and saving the plan, click

“Proceed to Plan”

The user can update the status of

the project activities at various

stages of its lifecycle and can

access the saved details through

the “Dashboard”

The user can customize the

Plan by adding new questions

to the existing plan. The user can update the plans,

save the plans in the dashboard

or print them for future use.,

Tool 2: Interactive Rare Event Checklist

Checklists are available for managing events which are not common on day to day basis (rare

events). Such events include like financial restructuring, Equity transfer, Change in law, Change

of Scope, Renegotiation, Termination, and Force Majeure. There is also option available to

users to add custom questions / tasks in the plans as well as in the checklists, based on specific

provisions in that project agreement.

Click on one of the following

checklist to access the list of

activities required to be

undertaken under each of them.

Navigation Path > Homepage > Highways > For Highways Toolkit Click here > Interactive Toolbox > Checklist



plan. Click ‘Save Checklist’


and saving the checklist,

click “Proceed to Checklist”

On selecting checklist, the following Information form will be opened

On filling the information, proceed to access the checklist


the rare event activities and can


the “Dashboard”


Checklist by adding new

questions to the existing plan.

The user can update the checklist,

save the checklist in the dashboard


Tool 3: Interactive Rare Events Plan

Rare Event Plans have been developed to keep track of rare event activities elaborated in the

checklists above. These plans are available to the users based on the stage and role of the

user.

This interactive toolbox allows officials to update the status of the activities, save their details,

print for future use and also share it with superior officers providing status update for better

management.


Select your designation

for accessing stage

wise plan and press GO



plan. Click ‘Save Plan’

On selecting designation, the following Information form will be opened


and saving the plan, click

“Proceed to Plan”


the rare event activities and can


the “Dashboard”


Plan by adding new questions

to the existing plan.

The user can update the plans,

save the plans in the dashboard


Tool 4: Dashboard for Accessing the Interactive Tools

Users can create separate project plans and checklists for each of their projects and can save

the same in their dashboard and modify them later. This dashboard is unique for each user and

provides summary of all customized checklists and plans created by the user. It also allows the

user to create new checklists and plans for either existing projects or new ones.

The interactive toolbox requires registration and creation of unique login details which allows users to

save their project progress plans, checklist and other interactive plans in the Dashboard with the facility of

accessing these plans at any later point in time.

The dashboard can be accessed from the top

right pane of each page of the website. This

would be accessible only after the user has

logged into his/her account.

The user can access existing Project Progress plans

or Checklists from the Dashboard. The user is also

provided with the facility of creating new plans or

checklists from the dashboard

The user can access

existing Project Progress

plans by clicking on the plan

The user can create new

project progress plan by

clicking on this link

The user can also create

new rare event plan by

clicking on this link

The user can delete any

of the existing plans by

clicking on this box

The user can access

existing checklist by clicking

on this link

The user can create new

checklist by clicking on

this link

The user can also create any

other category of checklist on

clicking on the link

The user can delete any

existing checklist by

clicking on this box

PPP Cell, Infrastructure Division,

Department of Economic Affairs,

Ministry of Finance

post award contract management toolkit for ppp … · post award contract management of these ppp...

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