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

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2 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 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

3 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.

4 Contents Section 1: Introduction to Online Toolkit... 4 Section 2: Components of the Online Toolkit About Toolkit Sector-Agnostic Post Award Contract Management Guidelines Sector Specific Post Award Contract Management Guidance Material... 7 Section 3: How to Use the Toolkit Entering the Online Toolkit Navigating Sector Specific Toolkit 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 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

5 Section 1: Introduction to Online Toolkit 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.

6 Section 2: Components of the Online Toolkit 2.1. Structure of the Online Toolkit The online toolkit for the Post Award Contract Management has been structured in three components: PPP Post Award Management Toolkit About Tool Kit This section gives a brief introduction of the Toolkit, describes the benefits, enlists the stakeholders and scope of the 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 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. 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.

7 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

8 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 1 Navigation Pane on the left side of the screen 3 Module wise Content of Toolkit 2 Previous and next tabs at the bottom of the screen

9 Section 3: How to Use the Toolkit 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 Navigation Path > Homepage 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.

10 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 Click on the radio box and select appropriate option from dropdown to access Interactive Toolbox For detailed guidance refer Section

11 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.

12 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. Navigation Path > Homepage > Highways > Highways Toolkit Click here > Module 2: Managing the Contract > Operations Level Activities The user based on his designation can select the level of Authority. Navigation > Providing Option to Select Designation from the Dropdown Select Designation from the dropdown menu.

13 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

14 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. Navigation Path > Homepage > Highways > Highways Toolkit Click here > Module 3: 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.

15 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. Navigation Path > Homepage > Highways > Highways Toolkit Click here > Module 4: 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.

16 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. Navigation Path > Homepage > Highways > Highways Toolkit Click here > Module 5: 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.

17 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 Refer Bottom of the Page for Interactive Toolbox Option 1 Navigation Path > Homepage > Highways > For Highways Toolkit Click here > Interactive Toolbox > Project Progress Plans Option 2

18 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. Navigation Path > Homepage > Register Option 1 The user can register for the website by clicking on the following icon Navigation Path > Homepage > Highways > For Highways Toolkit Click here > Interactive Toolbox > Project Progress Plans Option 2 The user can register for the website by clicking on the following icon

19 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

20 Logging into the Online Toolkit After the user has successfully registered, the user can login to the website through the following two options: Navigation Path > Homepage > Login Option 1 The user can log into the website by clicking on the following icon Navigation Path > Homepage > Highways > For Highways Toolkit Click here > Interactive Toolbox > Project Progress Plans Option 2 The registration for the Online Toolkit is free for the users The user can log into the website by clicking on the following icon

21 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

22 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. Navigation Path > Homepage > Highways > For Highways Toolkit Click here > Interactive Toolbox > Project Progress Plans Select your designation for accessing stage wise plan and press GO On selecting designation, the following Information form will be opened Fill-in the basic project and user details to access the plan. Click Save Plan

23 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.,

24 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. Navigation Path > Homepage > Highways > For Highways Toolkit Click here > Interactive Toolbox > Checklist Click on one of the following checklist to access the list of activities required to be undertaken under each of them.

25 On selecting checklist, the following Information form will be opened Fill-in the basic project and user details to access the plan. Click Save Checklist On filling the information, proceed to access the checklist After filling the information and saving the checklist, click Proceed to Checklist

26 The user can update the status of the rare event activities and can access the saved details through the Dashboard The user can customize the Checklist by adding new questions to the existing plan. The user can update the checklist, save the checklist in the dashboard or print them for future use.,

27 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. Navigation Path > Homepage > Highways > For Highways Toolkit Click here > Interactive Toolbox > Project Progress Plans 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 On selecting designation, the following Information form will be opened Fill-in the basic project and user details to access the plan. Click Save Plan

28 After filling the information and saving the plan, click Proceed to Plan The user can update the status of the rare event activities 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.,

29 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 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 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.

30 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 delete any existing checklist by clicking on this box The user can also create any other category of checklist on clicking on the link

31 PPP Cell, Infrastructure Division, Department of Economic Affairs, Ministry of Finance