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User Guide Developing T oolkits for Improving Public Private Partnership Decisi

User Guide Developing T oolkits for Improving Public Private Partnership Decision Making Processes Government of India Ministry of Finance Department of Economic Affairs Government of India Ministry of Finance Department of Economic Affairs User Guide Developing T oolkits for Improving Public Private Partnership Decision Making Processes December 2010 © Department of Economic Affairs All rights reserved Published by: PPP Cell, Department of Economic Affairs Ministry of Finance, Government of India New Delhi-110 001, India www.pppinindia.com Disclaimer This T oolkit has been prepared as a part of a PPP capacity building programme that is being developed by the Department of Economic Affairs, Ministry of Finance, Government of India (DEA) with funding support from the World Bank, AusAID South Asia Region Infrastructure for Growth Initiative and the Public Private Infrastructure Advisory Facility (PPIAF). A consulting consortium, consisting of ECA and CRIS, commissioned by the World Bank, has prepared this T oolkit based on extensive external consultations. ECA and CRIS have taken due care and caution in preparing the contents of this T oolkit. The accuracy, adequacy or completeness of any information contained in this T oolkit is not guaranteed and DEA, World Bank, AusAID or PPIAF is not responsible for any errors or omissions, or for the results obtained from the use of such information. While this T oolkit has been prepared to provide useful guidance, it should not be considered as a substitute for the due diligence and project development process, expected in respect of a PPP project. Its contents should not be construed to be the opinion of the DEA, World Bank, AusAID or PPIAF. DEA is not liable for any direct, indirect, incidental or consequential damages of any kind whatsoever to the subscribers / users / transmitters / distributors of this T oolkit. The T oolkit shall not be reproduced in any form, other than those intended by DEA, without prior written permission from DEA. Developing T oolkits for Improving PPP Decision-Making Processes User Guide iii With the rapid growth in the PPP programme, policy-makers are increasingly focused on a new set of issues relevant to a programme of this size and maturity. Key amongst these are: assessing performance of PPPs in India to inform future approaches and programmes; the regulation and management of PPPs under operation; and ensuring that the fiscal risks associated with PPPs are properly understood, reported and managed. Government of India (GOI) is also well aware that the expansion of the PPP programme will most urgently require strengthening capacities at all level - Center, States and local level governments - to properly develop and oversee the programme. T o further its support for scaling up PPPs, Department of Economic Affairs requested the World Bank for assistance in developing tools, methodologies and processes to assist the governments/ agencies to strengthen decision-making at all key stages of the PPP project cycle. These will serve a very urgent and critical purpose of capacity building and guidance for government at various levels. The objective of this assignment is to develop a web-based on-line “PPP T oolkit” to facilitate identification, assessment, development, procurement and monitoring of PPP projects. The T oolkit is structured to cover the full life cycle of PPP projects. While the general structure has incorporated international best practices the T oolkit has built on specific approaches for project procurement, approval etc. currently in place in India to ensure that it forms a relevant resource for practitioners in India. The on-line nature of the T oolkit means it will be possible to update the resource quickly over time as the approaches in place develop and change. The toolkit is proposed to be made available to practitioners through DEA PPP Cell’s website (www.pppinindia.com) as well as in the form of CDs and manuals. The primary audience for the T oolkit are officials at the National, State and city/local governments, State-owned enterprises and other agencies responsible for developing and monitoring PPPs. The T oolkit will be useful in expanding the lessons learned in the transport and power sectors to other infrastructure sectors considering the use of PPPs. More specifically, the T oolkit will benefit the lagging States and regions that currently have huge infrastructure deficits and low capacity to conceptualise and develop PPP projects. The T oolkit will also be of use to the private sector and financial institutions involved in infrastructure PPPs, consultants advising the private sector and governments, as well as civil society. Preface vi Credits The Toolkit was developed for Department of Economic Affairs Infrastructure, Ministry of Finance, Government of India. The Toolkit was developed under a non-lending technical assistance co-financed by AusAID through the South Asia Region Infrastructure for Growth Initiative, Public-Private Infrastructure Advisory Facility (PPIAF) and the World Bank. Core team members for the DEA Mr. Govind Mohan, Joint Secretary, DEA Ms. Aparna Bhatia, Director PPP Cell, DEA Mr. Atul Garg, PPP Expert Mr. Saji TD, MIS Expert Mr. Prashant Bharadwaj, MIS Expert T oolkit development credits A consortium of consultants, led by Economic Consulting Associates (ECA), was engaged by the World Bank to develop and produce the Toolkit. The Toolkit concept, structure and content were conceived, developed and prepared by Economic Consulting Associates (ECA) of London, UK. ECA also conceived and developed the Toolkit’s PPP analysis, decision making and learning tools: PPP Family Indicator, PPP Suitability Filter, PPP Mode Validation Tool, Financial Viability Indicator Models, VFM Indicator Tool, Readiness Filters and Process Maps. Indian contextualisation and project assistance was provided by CRISIL Risk and Infrastructure Solutions Limited (CRIS), a subsidiary of CRISIL Limited, a Standard & Poor’s company. Case studies of PPP experience in India were researched and prepared by CRIS. Web design, web development and programming was by Cross Section Interactive (CSI), India. Core development team members Economic Consulting Associates (ECA) Ray Tomkins, ECA Director, Team Leader Shane Avers, PPP Financial Expert William Derbyshire, PPP Capacity Building Advisor Robert Arbon, Modelling Expert Sophie Tremolet, PPP Expert Advisor (contributed initial insights) CRISIL Risk and Infrastructure Solutions Limited (CRIS) Pratyush Prashant, CRIS Director – Consulting, PPP Expert and Deputy Team Leader Amit Vora, Financial Expert Cross Section Interactive (CSI) Rajat Berry, CSI Director and Web Development Team Leader Amrish Tyagi, Senior Software Engineer Sumit Makan, Senior Web Developer Toolki A consor the Worl Core de Economi it develo rtium of con d Bank to de evelopment ic Consulting Ray Tom Shane Av William D Robert A Sophie T opment c sultants, led evelop and p The Toolk developed (ECA) of L ECA also analysis, d PPP Famil Validation Indicator T Indian con by CRISIL (CRIS), a company. Case studi prepared b Web desig Cross Sect t team mem g Associates mkins, ECA D vers, PPP Fin Derbyshire, Arbon, Mode remolet, PPP credits d by Econom produce the kit concept, s d and prepar London, UK conceived an decision mak ly Indicator, n Tool, Finan Tool, Readin ntextualisati L Risk and I subsidiary o ies of PPP ex by CRIS. gn, web deve tion Interac mbers s (ECA) Director, Tea nancial Expe PPP Capaci elling Expert P Expert Ad mic Consultin Toolkit. structure and red by Econo K. nd develope king and lea , PPP Suitab ncial Viabilit ness Filters a on and proje Infrastructu of CRISIL Lim xperience in elopment an tive (CSI), I am Leader ert ity Building t dvisor (contr ng Associate d content we omic Consu ed the Toolk arning tools: ility Filter, P ty Indicator and Process ect assistanc ure Solutions mited, a Stan n India were nd programm ndia. Advisor ributed initia es (ECA), wa ere conceive ulting Assoc kit’s PPP PPP Mode Models, VFM Maps. ce was provi s Limited ndard & Poo researched a ming was by al insights) as engaged b ed, ciates M ided or’s and y by Toolki A consor the Worl Core de Economi it develo rtium of con d Bank to de evelopment ic Consulting Ray Tom Shane Av William D Robert A Sophie T opment c sultants, led evelop and p The Toolk developed (ECA) of L ECA also analysis, d PPP Famil Validation Indicator T Indian con by CRISIL (CRIS), a company. Case studi prepared b Web desig Cross Sect t team mem g Associates mkins, ECA D vers, PPP Fin Derbyshire, Arbon, Mode remolet, PPP credits d by Econom produce the kit concept, s d and prepar London, UK conceived an decision mak ly Indicator, n Tool, Finan Tool, Readin ntextualisati L Risk and I subsidiary o ies of PPP ex by CRIS. gn, web deve tion Interac mbers s (ECA) Director, Tea nancial Expe PPP Capaci elling Expert P Expert Ad mic Consultin Toolkit. structure and red by Econo K. nd develope king and lea , PPP Suitab ncial Viabilit ness Filters a on and proje Infrastructu of CRISIL Lim xperience in elopment an tive (CSI), I am Leader ert ity Building t dvisor (contr ng Associate d content we omic Consu ed the Toolk arning tools: ility Filter, P ty Indicator and Process ect assistanc ure Solutions mited, uploads/Ingenierie_Lourd/ ppp-toolkit-user-guide.pdf