PPP Contract Management Toolkit

Contract Health Check

A self-assessment for the contracting authority's team during the operating phase: is each part of the contract management regime in place and evidenced? Ten operating dimensions, one status each, and a suggested band that a named person confirms.

v1.1 — September 2026

Methodology

Twenty-five questions across ten dimensions, each answered from evidence the team holds. Every dimension gets its own status. The overall band is the worst dimension, never an average, and no band is issued until every question is answered. Questions and the "what to consider" text are ported from the rule families and mechanism checklists of the PPP Contract Review & Operating Map. Paste the contract text and the tool proposes the profile and the evidence notes; nothing is filled in until you accept it.

Contract identity

Stage, financing and revenue model are required before the check runs. Stage and financing decide where "Not applicable" is offered; the revenue model decides which payment questions are asked.

Before service commencement, payment and handback questions may be marked Not applicable.
Without third-party lenders, the direct-agreement question may be marked Not applicable.
Availability and hybrid contracts answer the service-payment questions; user-pay contracts answer the tariff and revenue questions. Changing the model clears that dimension's answers.
Optional. Whole years.
Read from the contract text (optional)

Paste the agreement, schedules included (open the PDF in your reader, select all, copy). The tool looks for the mechanisms each question asks about and proposes the profile and an evidence note per question, each with the term found and where. Nothing is filled in until you accept it, and no answer is ever set for you: the contract shows what the regime should contain, not whether it is being run. The text stays in this browser tab.

How to answer. Each question asks whether something is in place and evidenced: a document, a register, a dated record the team can open. Where a question has more than one part, answer for the weakest part; a single lapse in a practice that otherwise works is "Partly", not "No". "Don't know" is an honest answer and is treated as a finding, because a team that cannot say whether its performance bond is in force has a gap whatever the true position. Questions marked Core set the dimension's status directly; Supporting questions can raise a watch but not, on their own, an action-needed status.
Run the health check from tab 3 to see the dimension statuses, the suggested band and the gaps.

Purpose

The Contract Health Check asks a contracting authority's team whether the machinery for managing a signed PPP contract exists and is being used. It is a screening-level self-assessment for the operating phase. It does not read the contract, it does not judge the private party's performance, and it does not determine any claim, deduction or payment. A separate tool in this series, the Performance Monitoring Maturity Assessment, asks how well the monitoring regime is run; this one asks whether the regime is there at all.

Where the questions come from

The dimensions, questions and "what to consider" text are ported from PPP Contract Review & Operating Map v1.0.0 (Benchmark Baseline; formerly "PPP Contract Copilot"), a rules-based product built on the Saudi National Center for Privatization & PPP (NCP) Project Agreement Precedent Template. Principally three of its parts are used here:

  • Rule families. Each dimension is anchored to the question a family of review rules answers: Governance & decision rights (GD, "Can each contractual decision be made by the right party, in time, through a coherent process?"), Performance & outputs (PO, "Can the contract measure and enforce performance?"), Payment & financial mechanics (PM, "Does performance or an event translate into a calculable, timed payment consequence?"), Change / relief / compensation (CR), Financing, lenders & security (FL), Default, cure, step-in & termination (DC) and Expiry, handback & transition (HT). The product's rules test a draft's text; this tool turns the same tests into questions about the live regime. Where a question cites a rule, for example PO8 (KPI with no measurement method), the "what to consider" line adapts that rule's recommendation.
  • Mechanism checklists. The product's Contract Mechanisms registry breaks the precedent into 34 mechanisms, each a list of quoted elements (definitions, responsibilities, notices, thresholds, evidence requirements). The element lists of the governance, KPI-deduction, payment-dispute, insurance, performance-bond, lender step-in, dispute-resolution, default, termination-compensation and handback mechanisms are the source of what each dimension asks for. Elements the registry marks as bracketed template values (committee names, notice periods, meeting frequencies) are the items an executed contract will have filled in, and the questions ask whether the team knows those values.
  • Mechanism families, lifecycle stages and operating registers. The ten dimensions map onto the product's mechanism families (operations_performance, payment_revenue, change_relief, finance_lenders, risk_protection, governance_administration, default_termination, expiry_handback). Reporting and team capacity are added because the product's operating registers (obligations, delivery evidence, changes, payments, issues, meetings) assume a team exists to keep them. The lifecycle-stage list is the product's, restricted to the stages after construction starts.

The status pattern (one status per dimension, never blended; a suggested classification that a named person records) is the product's readiness-dashboard pattern from its benchmark review mode. Its statuses are pass, watch, fail and insufficient data, shown here as In order, Watch, Action needed and Not evidenced. At the dimension level the third status reads "Action needed"; at the band level the same tier reads "Intervention needed".

The ten dimensions and twenty-five questions

The payment dimension has two forms. Availability-payment and hybrid contracts answer four questions about the service payment, deductions, persistent failure and disputed amounts. User-pay contracts answer four questions about tariff adjustment, revenue reporting and audit, fees or support payments, and the performance regime. Both forms are listed.

How a dimension gets its status

Each question is answered Yes, Partly, No or Don't know. A few questions may also be marked Not applicable, and the option is offered only when the contract's profile justifies it: payment and handback questions before service commencement, and the direct-agreement question where there are no third-party lenders. If the profile changes, the option is withdrawn and the question must be answered again. The answer becomes a question status:

AnswerCore questionSupporting question
Yes, in place and evidencedIn orderIn order
Partly, or applied inconsistentlyWatchWatch
NoAction neededWatch
Don't know / not checkedNot evidenced. Holds the dimension at Watch or worse; a dimension answered Don't know throughout reads Not evidenced.
Not applicableExcluded. A dimension whose questions are all Not applicable reads Not applicable.

The dimension takes the worst of its question statuses, in the order Action needed, Watch, Not evidenced, In order. The product's rule is that the worst check wins and that insufficient data counts only when every check lacks data. This tool is stricter on one point, by design: any Don't know holds its dimension at Watch even when every other question passes, because not knowing whether a control exists is itself a management gap. The product's dashboard does not need that rule, since its inputs are measured metrics rather than self-reported answers.

How the band is suggested

Any question, or the stage, financing or revenue model, unanswered → Not concluded (no band; the outstanding items are listed)
Four or more dimensions Not evidenced → Not concluded (insufficient evidence; no band)
Any dimension Action needed → Intervention needed
Otherwise any dimension Watch or Not evidenced → Watch
Otherwise → In order

There is no score, no weighting and no average anywhere in the tool. One dimension at Action needed produces Intervention needed however strong the others, because a missing performance bond is not offset by well-run committees. The second gate mirrors the product's cascade, which refuses a classification when too many dimensions lack data. The count of dimensions in each status is shown for orientation only.

The band is a suggestion. The results tab carries a confirmation block where a named person accepts it or records a different band with a reason. Both the suggestion and the recorded decision appear in the export; the override never rewrites the suggestion, and the block clears each time the check is re-run so a decision cannot attach to a result it was not made on.

Reading the contract text

The optional "Read from the contract text" step on the Contract tab looks for the mechanisms each question asks about. It is a port of the presence tests the product's completeness rules run (plain text patterns, for example Handback Requirements, Performance Bond, Direct Agreement, Warning Notice) together with the term aliases the product recognises for the parties (Procurer, Authority, Grantor; Contractor, Project Co, Concessionaire) and the locators its mechanism registry records. The product runs its tests over operative text only; this step runs over the whole pasted text, ranks hits in the operative provisions ahead of hits in the definitions block, and says when a term appears in the definitions only. Where the question asks the team to know a value (a survey timing, a cure period, a payment period, a bond amount, a committee's meeting frequency), a second pattern lists the phrases of that kind found near the term, up to three, each with its locator, for the team to check which one applies. Phrases inside square brackets (optional or placeholder drafting in a precedent) are not read.

Everything the step finds is a proposal. Each one shows the term found, the nearest preceding clause or schedule heading (inferred, so it reads "near"), and a short quote, and each needs an explicit Accept before it is written anywhere. Accepting a profile proposal sets the revenue model or financing structure, after a confirmation where that would clear answers already entered; accepting a note proposal writes the finding into that question's evidence note, prefixed "Contract text:". No proposal ever sets an answer. The contract can show that a mechanism exists and what its parameters are; whether the committee has met or the bond is in force is a project fact only the team can supply, and the product this tool draws on refuses to merge the two.

Limits of the step, stated plainly. It matches drafting patterns, and drafting varies: a mechanism the contract calls something else will not be found, and a defined term used in a definition only can be found where no regime exists. A question listed under "not found in the text supplied" is exactly that, not evidence that the mechanism is absent. Scanned PDFs yield no text to paste. No accuracy figure is claimed for the patterns; the product they come from makes the same refusal for its own completeness layer, which its authors describe as carrying a material false-positive rate by design.

Consistency notes

A contract in its final years (stage Expiry preparation or Handback, or five or fewer years to expiry) with handback planning below In order is named in a data-quality note, because the survey, remediation and retention timetable then runs against a fixed date. Notes are reported, never counted.

Limits

  • Answers are self-reported. The tool records what the team says it can evidence; it does not verify the evidence.
  • The questions are written for availability-payment, hybrid and user-pay project agreements modelled on a project-agreement precedent. A concession, an affermage or a management contract will find some dimensions do not fit; answer what applies and note the rest.
  • "Not applicable" is offered only where the stage or financing justifies it and is withdrawn when the profile changes. It cannot be used to remove a dimension the contract has.
  • The band says whether the management regime is in place. It says nothing about whether the project is performing, whether the payment is affordable or whether a claim is valid. Those are separate tools in this series.
  • The product this ports from is itself benchmarked on a precedent template, not on executed contracts, and its authors describe every mechanism as unvalidated. The questions are a starting checklist to be read against the actual contract.
  • The precedent names the private party "the Contractor"; the questions use "private party" for the counterparty, whatever the contract calls it.
  • Reading the contract text proposes evidence notes and the profile from drafting patterns. It does not read scanned documents, it does not answer any question, and its proposals carry no accuracy claim.

References

  • PPP Contract Review & Operating Map v1.0.0, Benchmark Baseline (2026): Rules Library v1.0 (families GD, PO, PM, CR, FL, DC, HT and the PC completeness set) and the Contract Mechanisms registry (contract_mechanisms_ncp_v1_0, 34 mechanisms). Source of the questions, the "what to consider" text and the status pattern.
  • National Center for Privatization & PPP (Saudi Arabia), Project Agreement Precedent Template, as read by the product (its reference copy is dated 4 December 2025). The precedent whose governance, payment, insurance, security, lender, dispute and handback provisions the mechanism checklists quote.
  • World Bank Group, with ADB, IDB, PPIAF and others, PPP Reference Guide, Version 3 (2017), Module 3 (PPP Cycle), Section 3.6, Managing PPP Contracts: contract management institutions, monitoring and enforcement, dealing with change, and expiry.
  • European PPP Expertise Centre (EPEC), Managing PPPs during their contract life: Guidance for sound management (2014).
  • Global Infrastructure Hub, Managing PPP Contracts After Financial Close (2018), the reference tool built on case studies of PPP contracts in their operating phase.
  • APMG International, The APMG Public-Private Partnership (PPP) Certification Guide (CP3P, 2016), Chapters 7 and 8, on managing the contract through construction and operations.