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PPP TOOLKIT for Improving PPP
Decision-Making Processes

Sector: Ports  |  Module 3: Tools and Resources

Readiness Filters

How to use the Readiness Filters

The Readiness Filter for each Readiness Check consists of a number of checklists, each made up of a series of questions. There are three parts to each question:

  • Is the documentation complete? Indicates whether the necessary project documentation has been provided. The documents should describe the analysis or actions have been undertaken to get the project ready..
  • A Readiness Assessment of the quality and completeness of the analysis and conclusions contained in the documentation and supporting material. For each question, the Readiness Assessment indicates “How ready is this aspect of the project?”.
  • Explanatory notes giving background on why the summary assessment was given and noting any issues with the preparation or design that need attention either now or later. The expert group should add short explanatory notes where they consider this appropriate. Examples of the types of analysis and evidence that the expert group should consider are provided.

There are three options in the documentation question:

  • Documentation is complete
  • Documentation is only partly complete
  • The necessary supporting documents or information has not been included.

The provision of the necessary documentation is itself an indicator of whether the project is ready. For example, if the documents are incomplete or have simply not been provided the expert group will want to know why. If it is because the documents have not been prepared it indicates that an important step in preparing the project has been skipped, and the project may not be ready.

The Readiness Assessment is indicative only and is intended to provide the Project Officer with an idea of where the project proposal, as described in the documentation, is particularly strong or weak. There are five possible Readiness choices for each question:

  • Strong readiness - the project is ready. The analysis contained in the documentation submitted to the expert group for this question makes a strong case for the project to proceed to the next stage on the proposed PPP basis.
  • Moderate readiness – the project may be ready, but furtherinformation is needed. The analysis contained in the documentation submitted to the expert group for this question makes an incomplete case for the project to proceed on the proposed PPP basis.
  • Weak readiness - the project is not ready, and may not be appropriate as a PPP. The analysis contained in the documentation submitted to the expert group for this question fails to support the proposed project design and PPP mode. The project design should be changed, or an alternative should be considered.
  • No Documentation - the project is not ready. This indicates that the documentation submitted to the expert group does not contain the information needed for this question, even though it should do. No Documentation suggests no analysis has been undertaken and, therefore, that the project is unlikely to have been properly developed. It should be noted that this outcome is worse than a ‘Weak‘ assessment. ‘Weak’ indicates the necessary analysis has been undertaken and, therefore, that a basis exists for amendments to be made to the project design to address the identified weaknesses.
  • Not Applicable. This indicates that the question is not considered relevant to the assessment of the individual project, whether or not the information is included in the documentation submitted to the expert group. The expert group should briefly note why the question is not relevant.

In some cases, there may be valid reasons why analysis could not be undertaken or included in the project documentation. In these cases, the documentation should identify missing analyses and provide an explanation. Where the explanation is satisfactory, the expert group would be expected to indicate that the necessary documentation is missing but to indicate Not Applicable in the summary assessment rather than No Documentation.

Project Officers should remember that the expert group has limited time to review the documentation and, therefore, that the documentation provided should be clear, concise and comprehensive. If the analysis supporting a particular question is included but the expert group is unable to identify it or review it within the available time, then a No Documentation summary assessment will generally be given.

The last question in each Readiness Filter is an overall assessment and recommendation. This is entered by the expert group and is used to help determine whether the project should proceed to the next stage of the PPP process.

The final overall assessment has three possible entries, such as:

  • Ready - Proceed to next stage: This entry is selected if the expert group considers the project documentation is sufficiently complete and the justification provided of sufficient quality for the project to be considered ready to proceed. This does not mean the documentation must be entirely complete—if the evidence provide is sufficient for the expert group to consider the project proposal has a strong likelihood of succeeding as a PPP and that any missing or incomplete documentation is unlikely to affect this conclusion.
  • Not yet ready - Amend and resubmit project proposal: This entry is selected if the expert group is unable to reach a conclusion on the basis of the documentation submitted, but feels the project generally appears to have a good chance of succeeding as a PPP. It indicates that the project officer should review the completed readiness filter in detail and identify areas where documentation is missing or incomplete or the justification provided is insufficiently strong. The project officer may resubmit the proposal once these areas are addressed.
  • Not appropriate as PPP - Reject project proposal in its current form: This entry is selected if the expert group considers that the project has little change of succeeding as a PPP in its current form. In this case, the project officer should consider a redesign of the project prior to resubmitting it.

Note that if the documentation submitted is incomplete, then this would generally lead to the expert group concluding that the project should be amended and resubmitted rather than completely rejecting it.

It is important to note that the Readiness Filter does not produce a ‘score’ for the proposed project and is not a simple ‘pass-fail’ test. The recommendation represents the considered opinion of the expert group, based on the documentation submitted to them, as to whether the project is sufficiently developed and of sufficient quality to proceed further. It is possible that a project may be submitted with complete documentation but still be considered unready to proceed. Alternatively, a project’s documentation may not be entirely complete but the expert group concludes that it is ready to go on based on the quality of the available documentation and the assessment that the missing documentation is either not significant or can be completed in subsequent stages.


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