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Saudi E-Gov PPP Framework February 2008 Suhail Al-Almaee Director of Strategic Planning and Supporting Saudi E-Gov PPP Framework February 2008 Suhail Al-Almaee Director of Strategic Planning and Supporting Initiatives Saudi e. Government Program (Yesser) [email protected] gov. sa 1

Agenda n E-Gov & E-GOV PPP FRAMEWORK WHY & HOW? n USING THE FRAMEWORK Agenda n E-Gov & E-GOV PPP FRAMEWORK WHY & HOW? n USING THE FRAMEWORK BUILDING THE RELATIONSHIP 2

E-Gov & E-GOV PPP FRAMEWORK WHY & HOW? 3 E-Gov & E-GOV PPP FRAMEWORK WHY & HOW? 3

PPP Definition PPP is a contractual agreement (partnership) whereby a private partners performs part PPP Definition PPP is a contractual agreement (partnership) whereby a private partners performs part or all of government services or function. Such a partnership are characterized by sharing of investment, risk, responsibility and reward. E-Gov & The essentials of PPP agreements are: - Focus on the service to be provided, not the assets to be employed. - Shift of the risk and responsibility to a private provider. PPP = investment + long-term provision of services 4

Rational To establish a framework that will help government to achieve the best outcome Rational To establish a framework that will help government to achieve the best outcome of PPP, which is driven by increased E-Gov & need of efficiency and quality of E-Gov services delivered. Secondly, the need for cost saving, access to advanced technologies and resources and minimizing the risk. 5

Framework Objectives Developing a comprehensive framework to govern the use of public-private partnerships (PPP) Framework Objectives Developing a comprehensive framework to govern the use of public-private partnerships (PPP) for e-government in E-Gov & the Kingdom of Saudi Arabia. In compliance with the Council of Ministers resolution No. 110 dated 5/4/1425. 6

Challenges Globalization E-Gov & Consumer / Customer Expectations Government Technology Innovation Limited Resources / Challenges Globalization E-Gov & Consumer / Customer Expectations Government Technology Innovation Limited Resources / Skills 7

New Formula Globalization + Customers + Technology E-Gov & - Resources / Skills = New Formula Globalization + Customers + Technology E-Gov & - Resources / Skills = Pressure … … on governments to change E-Government + PPP = Government Innovation 8

Scope of Work Track Yesser PPP Framework development Project Major Project Stages E-Gov & Scope of Work Track Yesser PPP Framework development Project Major Project Stages E-Gov & Readiness assessment PPP Policy framework PPP Manual PPP Templates Gap analysis 9

Major Projects Components Readiness assessment E-Gov & • • • Conducting needed interviews Review Major Projects Components Readiness assessment E-Gov & • • • Conducting needed interviews Review relevant documents Draft a PPP readiness assessment 10

Scope of Assessment A team of consultants collected information from a variety of sources. Scope of Assessment A team of consultants collected information from a variety of sources. This Readiness Assessment is based upon the team’s access to: E-Gov & n Materials publicly available, including laws, regulations and examples of standard contracts; n Interviews with selected Gov stakeholders, interviews for example included (Mo. F, SEC, E Gov Program, EDI) n Interviews with selected private stakeholders, interviews included international and national companies. n International best practices for PPP. 11

Major Projects components con. PPP Policy framework E-Gov & • • • Capture of Major Projects components con. PPP Policy framework E-Gov & • • • Capture of international best practices KSA drivers Draft a PPP policy framework 12

Major Projects components con. PPP Manual E-Gov & • • • Module definition Input Major Projects components con. PPP Manual E-Gov & • • • Module definition Input from PPP project and contract management experts Draft a PPP Manual Draft a PPP Quick reference Manual PPP lifecycle Card 13

Major Projects components con. PPP Templates E-Gov & • Develop templates/tools - Business Case Major Projects components con. PPP Templates E-Gov & • Develop templates/tools - Business Case - Feasibility assessments - Risk assessment - RFI - RFP - Standard contract - SLA - Public consultation 14

Major Projects components con. Gap analysis Legal and institutional E-Gov & • • Report Major Projects components con. Gap analysis Legal and institutional E-Gov & • • Report to MCIT/Yesser identifying gaps and recommendation on legal framework as they impact PPP Report to MCIT/Yesser/CITC identifying gaps and recommendation on institutional framework as they impact PPP 15

Next Steps Consultation on PPP E-Gov & • Public Consultation on the Framework • Next Steps Consultation on PPP E-Gov & • Public Consultation on the Framework • Stakeholders workshop • Revision of Policy, Manual, and Templates • Communicate the Framework to stakeholders 16

Next Steps con. Case studies & Manual supplements E-Gov & • Develop and distribute Next Steps con. Case studies & Manual supplements E-Gov & • Develop and distribute additional materials and case studies based on PPP projects in KSA as part of regular updating of PPP Manual. (Ongoing role) 17

What's missing • E-Gov & Communication Plan A national communication strategy should be put What's missing • E-Gov & Communication Plan A national communication strategy should be put in place to ensure that local authority officials are aware of the potential benefits of PPP and of the main issues involved in implementing them. Also, the strategy should have a similar part for the private sector. • Training Plan Proper training for local authority staff is essential for PPP success. For example: - Project feasibility and business case - Project management - Contract conditions and negotiation - Risk management - Contract management - Performance and SLA management 18

PPP vs. Traditional Procurement PPP ≠ Traditional Procurement PPP E-Gov & Traditional Procurement Focus PPP vs. Traditional Procurement PPP ≠ Traditional Procurement PPP E-Gov & Traditional Procurement Focus on services Buying products / assets Performance-based payment Payment based on specifications Long duration (3 -20 years) Bigger role (and risk) for private sector Shorter contracts for delivery of assets Private sector is contractor delivering a product 19

Types of PPPs Private Sector participation E-Gov & Service contracts (Pub $, Prv Op Types of PPPs Private Sector participation E-Gov & Service contracts (Pub $, Prv Op of discrete tasks) Operation & Maintenance Design, Build, Operate, Transfer (“Outsourcing”) (Pub $, Prv DBO) (Prv $ and BOT) Increasing risk transfer to private sector 20

Relationship & Trust = PPP ++ Ps PP R Relationship Management Dominates C Business Relationship & Trust = PPP ++ Ps PP R Relationship Management Dominates C Business Value E-Gov & O BP R C m O& R l ca ni rt ch o Te upp S C Contractual Management Dominates Complexity & Trust } The Partnership C = Contractual Management R = Relationship Management = 21

PPP for e-Government PPP Models • Fee-based funding E-Gov & • Shared cost savings PPP for e-Government PPP Models • Fee-based funding E-Gov & • Shared cost savings • Shared revenue • Full service delivery 22

PPP for e-Government PPP Model Advantages Disadvantages Fee-based funding E-Gov & Encourages customercentric focus PPP for e-Government PPP Model Advantages Disadvantages Fee-based funding E-Gov & Encourages customercentric focus Customers will not accept new charges so agency owning service will Shared cost savings Results in more efficient Gov operations Cost hard to measure; requires BPR (not easy) Shared revenue No impact on existing ops; may result in higher compliance May not produce more efficient Gov Full service delivery Shifting services to new org. encourages innovation & efficiency Loss of control / authority 23

PPP Drivers / Benefits Why are governments using PPP? • Faster, more efficient delivery PPP Drivers / Benefits Why are governments using PPP? • Faster, more efficient delivery of services / information • Access to private sector expertise, skills, ICT and innovation E-Gov & • Enabling an agency to focus on its core business • Enhancing organizational learning / skills within public sector • Increasing service levels or scope of e-services • Shifting risk from agency to private sector • Increased effectiveness of project management • Reduce costs and increase revenues 24

PPP Drivers / Benefits Who benefits from using PPP? To Government E-Gov & To PPP Drivers / Benefits Who benefits from using PPP? To Government E-Gov & To Private Sector To Community • Minimise capital investment and risk • Unique business opportunities • One-stop-shop of public services • Faster implementation • Income from government transactions • Views from citizens and customers • Tap private sector management and market expertise • Income from commercial services and advertisements 25

Current PPP Policies Highlights • PPP are intended to become a best practice in Current PPP Policies Highlights • PPP are intended to become a best practice in e-government implementation in KSA. E-Gov & • Private sector participation in E-Gov based on principle of “shared expected revenue” • Feasibility study and public tender (if feasible) are required for any proposed E-Gov PPP • PPP rules apply when agencies contract private sector entity to “fund and implement“ a project 26

Roles & Responsibilities Sponsor Agencies: Mo. F: E-Gov & Primary responsibility for their PPP Roles & Responsibilities Sponsor Agencies: Mo. F: E-Gov & Primary responsibility for their PPP projects * Oversight of budgets, pricing and revenues of all projects * Manages National e-Government Fund * Agencies must coordinate with Mo. F on financing PPP General Audit Bureau: Oversight powers that apply to PPP Yesser: Facilitator of e-government (and e-services) in KSA 27

Best Practices & Lessons Learned Global Best Practices • Create a single, dedicated entity Best Practices & Lessons Learned Global Best Practices • Create a single, dedicated entity responsible for PPP E-Gov & • Establish clear mechanisms, rules and review criteria • Make PPP decision-making is streamlined, fair, open and transparent, enabling faster “go / no-go” decisions • Free PPP from overly bureaucratic approval processes 28

Best Practices & Lessons Learned Global Lessons Learned E-Gov & • Coordination with multiple Best Practices & Lessons Learned Global Lessons Learned E-Gov & • Coordination with multiple agencies complicates (or obstruct) use of PPP • Too much bureaucracy and too many approvals can create major problems for sponsor agencies (and projects) • Lack of clear process leaves sponsor agencies unsure when to consult and creates inconsistencies in what different agencies do (or don’t do) 29

Best Practices & Lessons Learned Global Best Practices Users Stakeholder buy-in is key to Best Practices & Lessons Learned Global Best Practices Users Stakeholder buy-in is key to PPP success E-Gov & Service owners Identify, understand consult your stakeholders Employees Consult early, consult often Identity owners Political officials Affected staff Financing institutions Make stakeholders genuine participants in PPP process Other departments Other organizations 30

New Stakeholder Formula Transparency E-Gov & Buy-in Willingness to …push, mandate, create incentives PPP New Stakeholder Formula Transparency E-Gov & Buy-in Willingness to …push, mandate, create incentives PPP success 31

Readiness Checklist E-Gov & 32 Readiness Checklist E-Gov & 32

E-Gov & Coffee Break 33 E-Gov & Coffee Break 33

E-Gov & USING THE FRAMEWORK BUILDING THE RELATIONSHIP 34 E-Gov & USING THE FRAMEWORK BUILDING THE RELATIONSHIP 34

PPP Lifecycle E-Gov & 35 PPP Lifecycle E-Gov & 35

E-Gov & 36 E-Gov & 36

Phase I: PPP Inception E-Gov & Develop a business case = Feasibility Study + Phase I: PPP Inception E-Gov & Develop a business case = Feasibility Study + Risk Assessment … comparing costs of PPP vs. traditional procurement 37

Phase I: PPP Analysis Due Diligence E-Gov & Project Design § Examine new risks Phase I: PPP Analysis Due Diligence E-Gov & Project Design § Examine new risks created by private sector delivering services § Be service-oriented from start § Evaluate business opportunity and market to attract viable bidders § PPP must enable private sector to earn a profit § Continuing use of market research § Clear, detailed description of services being delivered 38

Phase II : PPP Procurement Make RFP outcomes-based E-Gov & Business case ensures feasibility Phase II : PPP Procurement Make RFP outcomes-based E-Gov & Business case ensures feasibility and identifies procurement strategy Pre-RFP consultants with private sector 39

PPP Selection Clear selection criteria E-Gov & Bidder’s capacity to execute a project Minimum PPP Selection Clear selection criteria E-Gov & Bidder’s capacity to execute a project Minimum thresholds eliminate bids that underestimate costs 40

Phase III : PPP Contract Management Well-designed contracts + Active contract management E-Gov & Phase III : PPP Contract Management Well-designed contracts + Active contract management E-Gov & = PPP success + Relationship management Service Level Agreements • Well-defined deliverables • Performance benchmarks Contract transparency • Documentation method 41

Phase IV : PPP Project Management Project Execution Flexibility E-Gov & No trust No Phase IV : PPP Project Management Project Execution Flexibility E-Gov & No trust No Users No PPP Communications Political and Admin Support Dispute resolution 42

Phase IV : PPP Project Management Performance & Knowledge Management Central knowledge management E-Gov Phase IV : PPP Project Management Performance & Knowledge Management Central knowledge management E-Gov & Sponsor knowledge management Project-level monitoring High performance standards Clear performance measurements 43

Phase IV : PPP Project Management Relationship Management E-Gov & PPP = = Partner Phase IV : PPP Project Management Relationship Management E-Gov & PPP = = Partner Long-term partnership Long-term investment ≠ Contractor Margins count 44

Phase IV : PPP Auditing & Oversight Auditing for regulatory and financial compliance E-Gov Phase IV : PPP Auditing & Oversight Auditing for regulatory and financial compliance E-Gov & Independent external auditors Quarterly review by PPP governing body 45

PPP Closure #1 Issue: Continuity (and transition) of service delivery E-Gov & Options at PPP Closure #1 Issue: Continuity (and transition) of service delivery E-Gov & Options at end of PPP contract period: Extend PPP with same partner Agency takes over service delivery Award PPP to new partner Collect and publish PPP lessons learned 46

Priority Agenda PPP Governance: E-Gov & PPP Analysis: • Central PPP coordinator • Coordination Priority Agenda PPP Governance: E-Gov & PPP Analysis: • Central PPP coordinator • Coordination process • Conflicts of interest • Business case requirements • Feasibility study requirements • Risk assessment requirements PPP Selection: • Selection criteria Management: • Stakeholder consultations • Contract management 47

Central PPP Authority Establish central PPP Unit with responsibility for: • Maintaining, as needed, Central PPP Authority Establish central PPP Unit with responsibility for: • Maintaining, as needed, specific regulations and standardized methods for PPP procurement procedures, model contracts and documentation. E-Gov & • Proposing new PPP policies with regard to financial issues for PPP. • Publishing guidelines to resolve any obstacles (e. g. , in tax, service pricing, use of “special purpose companies” and joint ventures) to use of PPP. • Facilitating the setting of priority of PPP projects across government; and encouraging use of PPP as standard option in e-government. 48

Conflicts of Interest Standard rule against conflicts of interest: • Any person or entity Conflicts of Interest Standard rule against conflicts of interest: • Any person or entity that has a potential conflict of interest in E-Gov & performing their official duties during the PPP lifecycle – for example due to their financial interests or personal relationships – must report this to appropriate authorities prior to the exercise of that person or entity’s duty. • In general, persons or entities with a potential conflict of interest with respect to a PPP project shall remove themselves from the decision-making process for that PPP. 49

Use of Business Cases Business plan (and tender docs) should clearly describe: • Services Use of Business Cases Business plan (and tender docs) should clearly describe: • Services being delivered • Business, technical and procurement options • Strategic alignment with the business plan of sponsor agency E-Gov & • Operational impact on sponsor agency and delivery of public services • Stakeholders and their business requirements • Pricing / revenue sharing for services • Resources needed from government partner (including human resources) • Feasibility, risk assessment and risk management • Implementation strategy / timetable • Contract management processes and tools 50

Risk Assessment Areas of risk to consider: • Reduced demand for service or failure Risk Assessment Areas of risk to consider: • Reduced demand for service or failure to realize projected increases Revenue and cash flows E-Gov & • Operational risks (e. g. , failures in deployment or degraded service quality) • Infrastructure costs • Political / Regulatory risks • Technology (e. g. , failure of existing ICT or inappropriate ICT choice) • Financial strength of private sector partner(s) • Inflation / foreign exchange fluctuations • New risks are introduced because private partners will deliver services 51

PPP Selection PPP selection criteria might include: • Value-for-money (feasibility) • Appropriateness of PPP PPP Selection PPP selection criteria might include: • Value-for-money (feasibility) • Appropriateness of PPP for objectives and needs of E-Gov project E-Gov & • Cost • Ability to effectively implement and manage a project • Viability of revenue sources and forecasts • Availability of skills needed • Time to implement • Financial and legal risks in partnering with private sector 52

PPP Contracts Areas addressed in a standard PPP contract: • Project objectives, quantitative outcomes, PPP Contracts Areas addressed in a standard PPP contract: • Project objectives, quantitative outcomes, performance indicators • Payment mechanism (based on availability, demand quality) • Sharing of additional yields and excessive profit E-Gov & • Consequences of contract breach by either party • Restriction of concessionaire's responsibility • Risk sharing • Change Mechanism • Agency’s right to withdraw from project at its discretion with fair compensation to private partner • What happens with assets after PPP contract ends • Settlement of disputes and conflicts 53

Relationship Risk Relationship risks that exist when external resources are chosen over internal resources. Relationship Risk Relationship risks that exist when external resources are chosen over internal resources. These risks include E-Gov & n Expectations on service delivery n Vendor responsiveness to the need for improvements n Vendor failure to deliver on time n Impact on staff—job satisfaction, morale, workload 54

Why Fails E-Gov & -Short term focus -Failure to understand the project motivations -Poor Why Fails E-Gov & -Short term focus -Failure to understand the project motivations -Poor communication -Failure to recognize risk -Failure to identify risk until contract signed -Inadequate or none existence of SLA (service level agreement) -Reward contract at low price approach -No performance measures 55

After Signing the Contract -The people who come to know us in the sales After Signing the Contract -The people who come to know us in the sales cycle go away once the contract is signed. -How can vendors be flexible during negotiation and not in delivery? E-Gov & -I expected detail processes for implementation then I got (How do you want to do this? ) -Insufficient effort during the discovery phase, it will come out in the delivery phase. -Do the vendor have a track record with others. -There was no transition plan, I want to see tools that would facilitate the transition. 56

Pre-contract -Defined the need: E-Gov & . Focus on results: Not procedures or processes. Pre-contract -Defined the need: E-Gov & . Focus on results: Not procedures or processes. Be accurate: Do not guess what is to be expected. Be comprehensive: Cover all issues and express all expectation. Be detailed: Cover all desired outcome. Be specific: Illustrate in the needed outcome. Be measurable: include performance requirements -Develop the means and methods to meet the. Sitting the expectations for both parties. Know the: - What - When - Where - How of the contract. needs: 57

Make it Successful Always think E-Gov & Win-Win 58 Make it Successful Always think E-Gov & Win-Win 58

Thanks E-Gov & 59 Thanks E-Gov & 59