Public-Sector Decision Making for Public-Private Partnerships (2009) / Chapter Skim
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Appendix B - State DOT Survey Summaries
Appendix B - State DOT Survey Summaries
Pages 64-97
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From page 64... ...
8 16.3% 41 83.7% Development and long-term concession of a new toll road with transfer of revenue risk 18 36.7% 31 63.3% Development and long-term concession of a new toll road with availability payments or shadow tolls 10 20.4% 39 79.6% Long-term asset lease of an existing toll road with transfer of revenue risk 2 4.1% 47 95.9% Long-term asset lease of an existing toll road with availability payments or shadow tolls 2 4.1% 47 95.9% Added toll lanes on existing facilities with transfer of revenue risk 10 20.4% 39 79.6% Added toll lanes on existing facilities with availability payments or shadow tolls 7 14.3% 42 85.7% Congestion pricing (e.g., cordon tolls) with a PPP element 11 22.4% 38 77.6% Operations and Maintenance (O&M)
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From page 65... ...
11 22.4% 3) Which one statement below best describes your agency's overall readiness to identify and implement innovative finance methods, such as public-private partnerships?
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From page 66... ...
Total Responses Extremely Important Somewhat Important Not Important N/A Project is an urgent transportation need 29 16 32.7%* 7 14.3% 2 4.1% 4 8.2% Strong political, public, and institutional Support 30 17 34.7% 8 16.3% -- 5 10.2% Project acceleration potential 30 17 34.7% 8 16.3% -- 5 10.2% Project could generate sufficient revenues to attract private investment 30 15 30.6% 6 12.2% -- 9 18.4% Lack of traditional funding 29 18 36.7% 5 10.2% 1 2.0% 5 10.2% High-risk project that could be better managed by private sector 29 8 16.3% 10 20.4% 6 12.2% 5 10.2% Unsolicited proposal 30 1 2.0% 5 10.2% 11 22.4% 13 26.5% Other (specify below)
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From page 67... ...
4 8.2% -- 7 14.3* Public participation and opportunities for input in decision-making process 28 15 30.6% 8 16.3% -- 5 10.2% Providing public access to information related to PPP proposals 28 11 22.4% 10 20.4% 1 2.0% 6 12.2% Avoidance of conflict of interests 27 19 38.8% 5 10.2% -- 3 6.1% Terms of agreement are developed taking into consideration public concerns 28 19 38.8% 4 8.2% -- 5 10.2% Development of construction, maintenance and operations standards that meet or exceed standards for non-PPP projects 28 19 38.8% 2 4.1% -- 7 14.3% Continuous project monitoring and evaluation based on performance measures 28 16 32.7% 6 12.2% -- 6 12.2% Roles, responsibilities, and risks are both clearly defined and allocated between public and private partners 28 22 44.9% 1 2.0% -- 5 10.2% Other (specify)
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From page 68... ...
33 67.3% 15 30.6% 1 2.0% Lack of time for appropriate legislative branch review or no legislative branch review 23 46.9% 17 34.7% 9 18.4% Use of upfront proceeds 2244.9% 20 40.8% 7 14.3% 7d. Concerns related to terms of PPP agreement Very Important Somewhat Important Not Important Extent to which terms of agreement protect the public interest 46 93.9% 3 6.1% -- Liability, indemnification, insurance provisions 39 79.6% 9 18.4% 1 2.0% Revenue sharing formula 34 69.4% 13 26.5% 2 4.1% Clauses that limit public ability to make competing improvements 24 49.0% 22 44.9% 3 6.1% Unanticipated event provisions 24 49.0% 23 46.9% 2 4.1% Impacts on existing revenues 31 63.3% 11 22.4% 7 14.3% Toll-setting policies (e.g., schedule of rate increases and indexing factors)
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From page 69... ...
For each one, please indicate whether your agency currently has high, moderate, or low capability in each of these areas. High capability Moderate capability Low capability Non-standard procurement or bidding capabilities 14 28.6% 19 38.8% 16 32.7% Legislative research and analysis 24 49.0% 20 40.8% 5 10.2% Asset planning and evaluation 17 34.7% 25 51.0% 7 14.3% Performance specification 24 49.0% 17 34.7% 8 16.3% Risk assessment 12 24.5% 28 57.1% 9 18.4% Benefit-cost analyses 13 26.5% 30 61.2% 6 12.2% Financial management and analysis 24 49.0% 22 44.9% 3 6.1%
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From page 70... ...
Benefit-cost analyses 14 28.6% 15 30.6% 2 4.1% 18 36.7% Internal Rate of Return/Net Present Value analyses 13 26.5% 9 18.4% 5 10.2% 22 44.9% Value-for-Money/Public Sector comparators 9 18.4% 9 18.4% 6 12.2% 25 51.0% Traffic and Revenue Studies 17 34.7% 5 10.2% 6 12.2% 21 42.9% Risk assessment 16 32.7% 7 14.3% 4 8.2% 22 44.9% Availability Payment Amount/Net Present value 11 22.4% 8 16.3% 8 16.3% 22 44.9% Independent evaluation from legal and/or financial consultants 14 28.6% 10 20.4% 4 8.2% 21 44.9% Other (specify below) : 3 7.1% -- 1 2.4% 38 90.5% Technical competency We do not use PPPs As [DOT]
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From page 71... ...
provided by in-house staff or consultants 14 28.6% 14 28.6% 5 10.2% 2 4.1% 2 4.1% 1 2.0% Project cost estimates and Schedule 14 28.6% 12 24.5% 9 18.4% 3 6.1% 3 6.1% 1 2.0% Amount of upfront payment/revenue sharing (if long-term concession) 10 20.4% 9 18.4% 9 18.4% 2 4.1% 2 4.1% 5 10.2% Assumptions used by private investors to determine project value 7 14.3% 9 18.4% 6 12.2% 1 2.0% 1 2.0% 5 10.2% Technical approach 14 28.6% 12 24.5% 11 22.4% 3 6.1% 2 4.1% 1 2.0% Other (specify in "Additional Comments" box below)
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From page 72... ...
More detailed Traffic and Revenue at onset of proposal review Public sector financing alternatives The next two questions pertain to training or educational resources related to PPPs. The questions below list various topics related to PPPs.
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From page 73... ...
Procurement Considerations and Techniques: Definitely would benefit Probably would benefit Not likely to benefit How to write RFPs that incorporate PPP concepts 2449.0% 16 32.7% 9 18.4% Anticipating and managing private sector concerns with process 23 46.9% 19 38.8% 7 14.3% 12e. Contracting: Definitely would benefit Probably would benefit Not likely to benefit How to write a contract that encourages innovation and sharing of risk and rewards 30 61.2% 15 30.6% 4 8.2% Best practices in leveraging private resources 2857.1% 15 30.6% 6 12.2% Common failures of PPP contracts, and how they are addressed 35 71.4% 11 22.4% 3 6.1% 12f.
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From page 74... ...
23 46.9% 16 32.7% 10 20.4% 11 22.4% 38 77.6% Classroom training (1–2 days, including overnight stay) 11 22.4% 21 42.9% 17 34.7% 10 20.4% 39 79.6% Interactive workshop (half to full day, at or near your office)
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From page 75... ...
5 11.4% 39 88.6% Development and long-term concession of a new toll road with transfer of revenue risk 16 36.4% 28 63.6% Development and long-term concession of a new toll road with availability payments or shadow tolls 8 18.2% 36 81.8% Long-term asset lease of an existing toll road with transfer of revenue risk 2 4.5% 42 95.5% Long-term asset lease of an existing toll road with availability payments or shadow tolls 10 22.7% 34 77.3% Added toll lanes on existing facilities with transfer of revenue risk 7 15.9% 37 84.1% Added toll lanes on existing facilities with availability payments or shadow tolls 10 22.7% 34 77.3% Congestion pricing (e.g., cordon tolls) with a PPP element 14 31.8% 30 68.2% Operations and Maintenance (O&M)
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From page 76... ...
9 20.5% 3) Which one statement below best describes your agency's overall readiness to identify and implement innovative finance methods, such as public-private partnerships?
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From page 77... ...
Total Responses Extremely Important Somewhat Important Not Important N/A Project is an urgent transportation need 26 15 34.1%* 6 13.6% 1 2.3% 4 9.1% Strong political, public, and institutional support 27 16 36.4% 6 13.6% -- 5 11.4% Project acceleration potential 27 15 34.1% 7 15.9% -- 5 11.4% Project could generate sufficient revenues to attract private investment 27 14 31.8% 6 13.6% -- 7 15.9%
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From page 78... ...
4 9.1% -- 7 15.9% Public participation and opportunities for input in decision-making process 25 14 31.8% 6 13.6% -- 5 11.4% Providing public access to information related to PPP proposals 25 10 22.7% 8 18.2% 1 2.3% 6 13.6% Avoidance of conflict of interests 24 16 36.4% 5 11.4% -- 3 6.8% Terms of agreement are developed taking into consideration public concerns 25 17 38.6% 3 6.8% -- 5 11.4% Development of construction, maintenance and operations standards that meet or exceed standards for non-PPP projects 25 16 36.4% 2 4.5% -- 7 15.9% Continuous project monitoring and evaluation based on performance measures 25 13 29.5% 6 13.6% -- 6 13.6% Roles, responsibilities, and risks are both clearly defined and allocated between public and private partners 25 19 43.2% 1 2.3% -- 5 11.4% Other (specify)
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From page 79... ...
transportation planning process 24 54.5% 18 40.9% 2 4.5% Effect on overall transportation network/system 32 74.7% 12 27.3% -- 7b. Concerns related to evaluation of PPP proposals Very Important Somewhat Important Not Important Availability and consistent application of evaluation tools, such as Value for Money and benefit-cost analysis 36 81.8% 7 15.9% 1 2.3% Risk allocation between public and private sectors 38 86.4% 6 13.6% -- Potential excessive rates of return to private investors 31 70.5% 12 27.3% 1 2.3% Relative roles of public and private sector 33 75.0% 10 22.75 1 2.3% Effect of PPPs on state or local bonding capacity 21 47.7% 15 34.1% 8 18.2% 7c.
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From page 80... ...
In the box below, please list any other concerns, and how important they are to you or your agency. Competition between new border crossing and existing private toll bridge -- very important.
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From page 81... ...
For each one, please indicate whether your agency currently has high, moderate, or low capability in each of these areas. High capability Moderate capability Low capability Non-standard procurement or bidding capabilities 12 27.3% 19 43.2% 13 29.5% Legislative research and analysis 23 52.3% 17 38.6% 4 9.1% Asset planning and evaluation 15 34.1% 23 52.3% 6 13.6% Performance specification 22 50.0% 16 36.4% 6 13.6% Risk assessment 9 20.5% 27 61.4% 8 18.2% Benefit-cost analyses 11 25.0% 28 65.9% 5 11.4% Financial management and analysis 21 47.7% 21 47.7% 2 4.5% Management oversight 23 52.3% 20 45.5% 1 2.3% Contract negotiation and performance-based contracting 14 31.8% 27 61.4% 3 6.8% Other technical skills not listed above -- 16 36.4% 28 63.6% Economic/risk analysis skills for evaluation purposes are lacking.
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From page 82... ...
Benefit-cost analyses 12 27.3% 13 29.5% 2 4.5% 17 38.6% Internal Rate of Return/Net Present Value analyses 11 25.0% 8 18.2% 5 11.4% 20 45.5% Value-for-Money/Public Sector comparators 7 15.9% 8 18.2% 5 11.4% 24 54.5% Traffic and Revenue Studies 17 38.6% 4 9.1% 5 11.4% 18 40.9% Risk assessment 15 34.1% 5 11.4% 3 6.8% 21 47.7% Availability Payment Amount/Net Present Value 8 18.2% 8 18.2% 7 15.9% 21 47.7% Independent evaluation from legal and/or financial consultants 13 29.5% 8 18.2% 3 6.8% 20 45.5% Other (specify below) : 3 6.8% 8 18.2% 1 2.3% 34 77.3% Technical competency We do not use PPPs As [DOT]
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From page 83... ...
provided by in-house staff or consultants 12 27.3% 13 29.5% 5 11.4% 2 4.5% 2 4.5% 1 2.3% Project cost estimates and schedule 12 27.3% 11 25.0% 9 20.5% 3 6.8% 3 6.8% 1 2.3% Amount of upfront payment/revenue sharing (if long-term concession) 9 20.5% 9 20.5% 9 20.5% 2 4.5% 2 4.5% 4 9.1% Assumptions used by private investors to determine project value 6 13.6% 9 20.5% 6 13.6% 1 2.3% 1 2.3% 4 9.1% Technical approach 12 27.3% 11 25.0% 11 25.0% 3 6.8% 2 4.5% 1 2.3% Other (specify in "Additional Comments" box below)
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From page 84... ...
More detailed Traffic and Revenue at onset of proposal review Public sector financing alternatives The next two questions pertain to training or educational resources related to PPPs. The questions below list various topics related to PPPs.
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From page 85... ...
22 50.0% 12 27.3% 10 22.7% How to utilize private capital 25 56.8% 13 29.5% 6 13.6% Opportunities for in-kind contributions 22 50.0% 15 34.1% 7 15.9% Possible revenue sources and negotiating terms of use 28 63.6% 13 29.5% 3 6.8% Differences in public and private sector financial considerations 27 61.4% 13 29.5% 4 9.1% 12d. Procurement Considerations and Techniques: Definitely would benefit Probably would benefit Not likely to benefit How to write RFPs that incorporate PPP concepts 22 50.0% 15 34.1% 7 15.9% Anticipating and managing private sector concerns with process 21 47.7% 17 38.6% 6 13.6% 12e.
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From page 86... ...
9 20.5% 20 45.5% 15 34.1% 8 18.2% 36 81.8% Interactive workshop (half to full day, at or near your office) 18 40.9% 17 38.6% 9 20.5% 12 27.3% 32 72.7% Interactive workshop (half to full day, off site, including overnight stay)
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From page 87... ...
If vehicle use or road user fees are pursued as a source of revenue for the Federal program, the distribution of those funds must reflect the need to invest in rural state transportation systems that provide critical connectivity between the country's population and industry centers. No attention to definition of PPP THE RESPONSES ARE NOT INTENDED TO APPLY TO INQUIRIES ABOUT TOLL ROADS There is no enabling legislation for PPPs in [state]
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From page 88... ...
Select all that apply: Yes No Design-build 3 60% 2 40% Build-Operate-Transfer (BOT) 3 60% 2 40% Development and long-term concession of a new toll road with transfer of revenue risk 2 40% 3 60% Development and long-term concession of a new toll road with availability payments or shadow tolls 2 40% 3 60% Long-term asset lease of an existing toll road with transfer of revenue risk -- 5 100% Long-term asset lease of an existing toll road with availability payments or shadow tolls -- 5 100% Added toll lanes on existing facilities with transfer of revenue risk -- 5 100% Added toll lanes on existing facilities with availability payments or shadow tolls -- 5 100% Congestion pricing (e.g., cordon tolls)
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From page 89... ...
Total Responses Extremely Important Somewhat Important Not Important N/A Project is an urgent transportation need 3 1 20%* 1 20% 1 20% -- Strong political, public, and institutional support 3 1 20% 2 40% -- -- Project acceleration potential 3 2 40% 1 20% -- -- Project could generate sufficient revenues to attract private investment 3 1 20% -- -- 2 40% Lack of traditional funding 3 1 20% 1 20% 1 20% --
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From page 90... ...
-- -- -- Public participation and opportunities for input in decision-making process 3 1 20% 2 40% -- -- Providing public access to information related to PPP proposals 3 1 20% 2 40% -- -- Avoidance of conflict of interests 3 3 60% -- -- -- Terms of agreement are developed taking into consideration public concerns 3 2 40% 1 20% -- -- Development of construction, maintenance and operations standards that meet or exceed standards for non-PPP projects 3 3 60% -- -- -- Continuous project monitoring and evaluation based on performance measures 3 3 60% -- -- -- Roles, responsibilities, and risks are both clearly defined and allocated between public and private partners 3 3 60% -- -- -- Other (specify)
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From page 91... ...
Concerns related to evaluation of PPP proposals Very Important Somewhat Important Not Important Availability and consistent application of evaluation tools, such as Value for Money and benefit-cost analysis 4 80% 1 20% -- Risk allocation between public and private sectors 5 100% -- -- Potential excessive rates of return to private investors 4 80% 1 20% -- Relative roles of public and private sector 2 40% 2 40% 1 20% Effect of PPPs on state or local bonding capacity -- 2 40% 3 60% 7c. Concerns related to transparency and public process Very Important Somewhat Important Not Important Lack of public input opportunities through decision-making process 1 20% 4 80% -- Transparency and efficacy of the PPP process, including confidentiality, conflict of interests, intellectual property.
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From page 92... ...
For each one, please indicate whether your agency currently has high, moderate, or low capability in each of these areas. High capability Moderate capability Low capability Non-standard procurement or bidding capabilities 2 40% -- 3 60% Legislative research and analysis 1 20% 3 60% 1 20% Asset planning and evaluation 2 40% 2 40% 1 20% Performance specification 2 40% 1 20% 2 40% Risk assessment 3 60% 1 20% 1 20% Benefit-cost analyses 2 40% 2 40% 1 20% Financial management and analysis 3 1 1
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From page 93... ...
Benefit-cost analyses 2 40% 2 40% -- 1 20% Internal Rate of Return/Net Present Value analyses 2 40% 1 20% -- 2 40% Value-for-Money/Public Sector comparators 2 40% 1 20% 1 20% 1 20% Traffic and Revenue Studies -- 1 20% 1 20% 3 60% Risk assessment 1 20% 2 40% 1 20% 1 20% Availability Payment Amount/Net Present Value 3 60% -- 1 20% 1 20% Independent evaluation from legal and/or financial consultants 1 20% 2 40% 1 20% 1 20% Other (specify below) : -- -- -- -- No responses.
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From page 94... ...
The next two questions pertain to training or educational resources related to PPPs. The questions below list various topics related to PPPs.
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From page 95... ...
Procurement Considerations and Techniques: Definitely would benefit Probably would benefit Not likely to benefit How to write RFPs that incorporate PPP concepts 2 40% 1 20% 2 40% Anticipating and managing private sector concerns with process 2 40% 2 40% 1 20% 12e. Contracting: Definitely would benefit Probably would benefit Not likely to benefit How to write a contract that encourages innovation and sharing of risk and rewards 3 60% 1 20% 1 20% Best practices in leveraging private resources 2 40% -- 3 60%
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From page 96... ...
Public Awareness and Stakeholder Consultation: Definitely would benefit Probably would benefit Not likely to benefit Identifying and engaging with key stakeholders 1 20% 3 60% 1 20% Anticipating and managing common public Concerns about PPPs 2 40% 2 40% 1 20% FHWA provides some resources via the PPP Toolkit , partner websites like the FHWA PPP website , and other relevant sites which can be accessed through the FHWA PPP website, including www.innovativefinance.org. This question contains two parts, and pertains to PPP websites, as well as other types of resources.
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From page 97... ...
98 60% 40% 40% 60% Web-based repository of case studies and Effective practices -- 3 60% 2 40% 1 20% 4 80% 14) Are there any other public transportation agencies or authorities in your state that have used a PPP model for a project?
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