www.pppinindia.gov.inPPP TOOLKIT
PPP TOOLKIT for Improving PPP
Decision-Making Processes

Sector: State Highway  |  Module 3: Tools and Resources

Readiness Filters

Purpose of the Readiness Filter

The PPP process outlined in this toolkit includes four Readiness Checks (RCs); one in each Phase of the Process. The Readiness Checks happen at key milestones in project development. As the name suggests, the purpose of the Readiness Checks is to help make sure that the PPP project is ready for the next stage and to highlight areas where the quality of preparation can be improved.

A tool – the Readiness Filter – has been developed to be used at each of the four Readiness Checks. There is one Readiness Filter for each Readiness Check.

Figure 1 Timing of Readiness Checks in the PPP process

Each Readiness Check is intended to assist the Project Officer at key stages of the process by providing an informal assessment of:

  • The completeness of the material to be submitted for review and approval.
  • Any weaknesses in the PPP project design that should be addressed.
  • The likelihood that the PPP project will receive clearance or approval following submission.
  • The readiness of the project to proceed to the next step, including the availability of the necessary resources.

The specific purpose and timing of each Readiness Check is:

  • Readiness Check 1: Internal Quality Review This check happens after the completion of the Pre-Feasibility Study Report in Phase 1. RC1 is part of the application for internal clearance to move to detailed PPP development in Phase 2. It focuses on the project’s suitability as a PPP and the identification of aspects of the project that will need particular attention during its further development.
  • Readiness Check 2: Project FeasibilityThis check follows the completion of the Feasibility Study Report and first drafts of bid documents in Phase 2. It happens before the submission of the report and documents for in-principle clearance. The purpose of RC2 is to check that the project is ready for to apply for in-principle clearance. RC2 focuses on assessing whether the Feasibility Study Report is sufficiently complete and whether clearance is likely to be granted given the current project design.
  • Readiness Check 3: Procurement Readiness This check follows the completion of shortlisting of bidders and final drafts of project documents in Phase 3 and happens before the submission of the project for final approval. The purpose of RC3 is to check that the project is ready for final approval in order to maximise the likelihood that final approval will be granted.
  • Readiness Check 4: Implementation & Monitoring Readiness This check happens at the start of Phase 4, after the technical and financial close of the project and before the start of implementation and monitoring that will continue throughout the operational life of the PPP.

The Readiness Check is not intended to replace the external clearance and approval requirements built into the process. Decisions on whether to submit the proposed PPP project for subsequent formal clearance and approval will be taken by the Project Officer and are not dependent on the conclusions of the Readiness Check. The review and approval process may reach different conclusions to those of the Readiness Check. However, the Readiness Check will help the Project Officer in deciding whether to submit the project or to further improve its readiness prior to submission.


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