Key References: Managing PPP Transactions

Reference

Description

World Bank (2009) Online Toolkit for Public Private Partnerships in Roads and Highways

Module 5: Implementation and Monitoring, Stages 3: Procurement, and 4: Contract Award

Farquharson, Torres de Mästle, and Yescombe, with Encinas (2011) How to Engage with the Private Sector in Public-Private Partnerships in Emerging Markets, World Bank/PPIAF

Chapter 9: Managing Procurement talks through each stage of the procurement process. Includes a case study of the Inkosi Albert Luthuli Central Hospital, South Africa describes the procurement process for the hospital, which included a multi-variable bid evaluation approach

Kerf, Gray, Irwin, Levesque, Taylor & Klein (1998) Concessions for Infrastructure: A guide to their design and award, World Bank Technical Paper no. 399

Section 4: Concession Award provides detailed guidance and examples on choosing the procurement process, pre-qualification and shortlisting, bid structure and evaluation, and bidding rules and procedures

World Bank (2006) Approaches to Private Participation in Water Services: A Toolkit, Washington, DC

Section 9: Selecting an Operator provides guidance on choosing a procurement method, setting evaluation criteria, managing the bidding process, and dealing with other issues

World Bank (2011) Guidelines: Procurement of Goods, Works, and Non-Consulting Services under IBRD Loans and IDA Credits and Grants by World Bank Borrowers; Also available in French and Spanish

Sets out the procurement procedures that any project receiving World Bank funding must use

European PPP Expertise Centre (2011) The Guide to Guidance: How to Prepare, Procure, and Deliver PPP Projects, Luxembourg

Section 2: Detailed Preparation includes information on selecting the procurement method and bid evaluation criteria. Section 3: Procurement describes the bidding process, through to finalizing the PPP contract, with detailed information on reaching financial close

World Bank (2007) Sample Bidding Document: Procurement of Management Services. Includes Sample Biding Documents, Sample Prequalification Document, and an accompanying Technical Note

Section 3 of the technical note describes the procurement process, with detailed guidance on selecting appropriate processes and evaluation criteria, and highlighting some common problems. The note accompanies comprehensive sample bidding documents

United Kingdom, Office of Government Commerce (2008) Competitive dialogue in 2008: OGC/HMT Joint guidance on Using the Procedure, Norwich

Describes and provides guidance on carrying out the competitive dialogue procurement procedure. Describes some challenges-such as receiving only one bid. Also describes the post-bid stages, with guidance on issues that may be resolved post-bid

Yescombe, E. R. (2013) Public-Private Partnerships: Principles of Policy and Finance, 2nd edition, Elsevier Science, Oxford

Section 6.5 "Due Diligence" describes some of the issues the implementing agency should check before contracting is completed-including describing the requirements to reach financial close

KPMG (2010) PPP Procurement: Review of Barriers to Competition and Efficiency in the Procurement of PPP Projects, Canberra

Draws on a survey of PPP practitioners, to provide recommendations for how the efficiency of PPP procurement processes can be improved, and barriers to entry reduced. The recommendations focus on improving the efficiency of the PPP procurement process, as well as touching on the pros and cons of governments contributing to bid costs

Asian Development Bank (2008) Public-Private Partnership Handbook, Manila, Philippines

Section 7: Implementing a PPP describes several aspects of PPP procurement, including selecting the process, pre-qualification, bid evaluation, and preparing the tender documentation

Mark Dumol (2000) The Manila Water Concession: A Key Government Official's Diary of the World's Largest Water Privatization, World Bank

Describes in detail the entire process of the Manila water concession, from deciding on the best option for privatization, to running the tender process, to dealing with the many issues that emerged

Engel, Fischer & Galetovic (2002) A New Approach to Private Roads, Regulation, Fall, 18-22

Describes and explains the advantages of the Least Present Value of Revenue criterion introduced in Chile's toll road program

José Luís Guasch (2004) Granting and Renegotiating Infrastructure Concessions: Doing it Right, World Bank

Chapter 7 provides guidance on optimal concession design, drawing from the preceding analysis of the prevalence of renegotiation of concession contracts in Latin America. Includes guidance on selecting appropriate evaluation criteria

Examples: Managing PPP Transactions

Brasil, Congresso Nacional (2004) Lei Nº 11079, Brasília

Clarifies process for PPPs, including describing the contents of the RFP documents, and the possible evaluation criteria

Puerto Rico, Legislative Assembly (2009) No. 29 (S. B. 469) San Juan

Section 9 sets out the procedure for selection of Proponents and Award of Partnership. Specifically, it defines the requirements and conditions for proponents, the procedures for selection and award, the evaluation criteria, and the negotiation of the PPP contract

Brazil, Congresso Nacional (1995) Lei Nº 8.987, Brasília

Sets out the tendering procedures for (user-pays) concessions in Brazil (which also apply to government-pays PPPs)

Chile, Ministerio de Obras Públicas (2010) Ley y Reglamento de Concesiones de Obras Públicas, Santiago

Chapter III sets out in some detail the procurement process for PPPs, including pre-qualification, the bid process, possible evaluation criteria, and processes for contract award

Egypt (2011) Prime Ministerial Decree n. 238, Regulation of Law 67/2010, Cairo

Part Three sets out in detail the "tendering, awarding, and contracting" procedures for PPPs, including pre-qualifications, tender stage, competitive dialogue, and awarding and contracting procedures. Also specifies an approach for appeals

Mexico, Congreso de la Unión (2000) Ley de Adquisiciones, Arrendamientos y Servicios del Sector Público, Mexico City

Sets out the rules for carrying out tender processes in Mexico. It includes the possible contracting options-public tenders, sole sourcing, and direct invitations to bid to at least three potential bidders

Philippines, Build-Operate-and-Transfer Center (2006) Republic Act No. 7718 (The Philippine BOT Law) and its Implementing Rules & Regulations, Makati, Philippines

Implementing Rules 3-11 set out in detail the procurement process and requirements at each stage: pre-qualification, bid process and evaluation, when and how a negotiated procedure may be used, dealing with unsolicited proposals, and contract award and signing

South Africa, National Treasury (2004) PPP Manual Module 5: PPP Procurement, Johannesburg

Module 5: Procurement sets out the procurement process and guidance: including pre-qualification, issuing the RFP, receiving and evaluating bids, negotiating with the preferred bidder, and finalizing the PPP agreement management plan

Australia, Infrastructure Australia (2011) National PPP Guidelines: Practitioners' Guide (Vol. 2) Canberra

Sets out key project phases, including three procurement phases: "Expressions of Interest", "Request for Proposal", and "Negotiation and Completion". Also provides guidance and protocols for the Interactive Tender process

Singapore, Ministry of Finance (2004) Public-Private Partnership Handbook (Version 1)

Section 3 sets out PPP procurement process options and principles

Mauritius, Ministry of Finance and Economic Development (2006) Public Private Partnership Guidance Manual, Port Louis

Section 8 describes the procurement process, including pre-qualification stage, bid stage, negotiation with the preferred bidder, and award. Includes a detailed description of the structure of the RFP

India, Planning Commission (2009) Model Request for Qualifications, New Delhi

Sets out a model RFQ, with an explanatory introduction

World Bank (2011) PPP in Infrastructure Resource Center

Provides a library of PPP documents, including a selection of model and example procurement documents

Pakistan, Ministry of Finance (2007) Procurement Guidelines for PPP Projects, Islamabad

Detailed guidance on the pre-qualification and RFP stages, managing the bid process, evaluation, negotiation, contract signing, and financial close

World Bank (2006) Sample Bidding Documents: Procurement of Works and Services under Output-and Performance-based Road Contracts, and Sample Specifications

Includes a comprehensive, sample bidding document, as well as sample specifications in an annex. A foreword also provides some overview guidance

Colombia (2006) Ley 80 de 1993, Bogotá

General procurement law, which also applies to PPPs, defines who is allowed to carry out tender processes transparency requirements, and the contents of the tender documents, and sets out the structure of the awarding procedures

Colombia (2007) Ley 1150 de 2007, Bogotá 

Sets out rules to ensure the objective selection of the winning bid, procedures to verify the veracity of the information presented by bidders

India, Planning Commission (2009) Model Request for Proposals (RFP): Selection of Technical Consultants, New Delhi

Sets out a model RFP, with an explanatory introduction

Australia, Partnerships Victoria (2001) Practitioners' Guide, Melbourne

Sets out project phases, as described above, as they apply in the State of Victoria, Australia's PPP program. Similar to the National approach; includes more detail on the Bid Evaluation phase