2014年-世界发展银行全球_A_Guide_to_Delivering_Good_Asset_Management_in_the_Road_Sector_through_Performance_Based_Contracting_69页_2mb

Summary of A Guide to Delivering Good Asset Management in the Road Sector through Performance Based Contracting

Core Content

This document provides a comprehensive guide on implementing Performance Based Contracting (PBC) in the road sector to achieve good asset management (AM). It outlines the importance of AM, the role of PBC in facilitating it, and the key considerations and strategies for successful PBC implementation.

Main Objectives

• To explain what constitutes good asset management in the road sector.
• To demonstrate how Performance Based Contracting (PBC) supports the delivery of good asset management.
• To outline the key issues and challenges in implementing PBC.
• To provide a decision tree and checklist for PBC implementation.

Key Concepts

What is Asset Management?

Asset management is a strategic and systematic process aimed at providing the desired level of service in the most cost-effective manner throughout the lifecycle of road infrastructure. It involves:

• Managing risks
• Determining the sustainable level of service
• Planning for future maintenance and improvements
• Ensuring value retention over time

What is Performance Based Contracting (PBC)?

PBC is a contracting method where payment is tied to performance outcomes. It shifts the focus from input-based or output-based contracts to outcome-based contracts where the contractor is incentivized to deliver quality and efficiency. PBC is not the only way to achieve good AM, but it is a proven method that can drive a paradigm shift in how road infrastructure is managed.

Types of Contract Models

The guide outlines three main types of PBC models based on the condition and type of roads:

1. Unpaved Road PBC:

   • Focuses on user comfort and gravel loss.
   • Payment is often based on performance indicators that change quickly due to deterioration and rectification.
   • These contracts are typically easier to specify due to the predictable nature of unpaved roads.

2. Paved Road in Poor-Fair Condition (DBMOT PBC):

   • Involves initial rehabilitation and ongoing maintenance.
   • Payment mechanisms must be designed to incentivize maintenance performance.
   • Emphasizes improving construction quality to reduce whole-of-life costs.
   • Includes a post-construction defect rectification period.

3. Paved Road in Good-Excellent Condition (Network Management PBC):

   • Requires minimal initial investment.
   • Focus is on long-term sustainable service levels.
   • Payment is usually a uniform monthly amount.
   • Emphasizes consistent and effective interventions to maintain asset condition.

Key Issues for PBC Implementation

• Road Safety: Ensuring that the level of service meets safety standards.
• Performance Indicators and Baseline Surveys: Clear metrics and data are essential for measuring performance.
• Payment Models: Should be designed to incentivize quality and efficiency.
• Preparation of Bidding Documents: Must be clear and comprehensive to ensure fair competition.
• Bidding and Negotiation: Requires careful planning and transparent processes.
• Implementation: Needs clear roles and responsibilities, monitoring, and evaluation.
• Renegotiation and Termination: Should be flexible and based on performance.
• Local Competency: Contractors must have adequate capacity to manage the contract effectively.
• Legal and Financing Framework: Must support PBC principles and risk sharing.
• Risk Management: PBC encourages shared risk between the client and contractor.
• Limiting Asset Consumption: Ensures long-term sustainability and value retention.
• Avoiding Unrealistic Bids: Requires robust evaluation and risk allocation.
• Change Management: Involves stakeholder engagement, training, and capacity building.

PBC Implementation Strategy

• PBC Decision Tree: Helps in selecting the most appropriate contract model based on road condition, type, and objectives.
• Checklist: Provides a step-by-step guide for ensuring comprehensive and effective PBC implementation.

Advantages of PBC

• Better financial management
• Improved transparency
• Consistent service levels
• Reduced operational and legal risks
• Enhanced workmanship
• Better alignment with asset management goals

Conclusion

This guide is intended for road agencies, consultants, and contractors who are new to PBC. It emphasizes that PBC is a tool to achieve good asset management, not just a contract model. The World Bank has supported over 50 PBC projects globally, and its sample bidding documents (OPRC) provide a baseline for quality. PBC encourages a shift in focus from inputs and outputs to outcomes, promoting efficiency, effectiveness, and long-term sustainability in road infrastructure management.

References

• AASHTO (2011)
• Porter (2001)
• Opus (2012)
• Stankevic et al. (2005)

Appendices

• Appendix A: Non-compliance bucket process – North Canterbury Experience
• Appendix B: Sample risk allocation table

Figures and Tables

• Figure 1: Historical Practice = Input Focused

• Figure 2: Output Based Contract

• Figure 3: Outcome/Performance Based Contracts

• Figure 4: Photograph of a Road in Poor Condition

• Figure 5: Photograph of a Road in Good Condition

• Figure 6: Improving Performance – Institutional Reform

• Figure 7: PBC Implementation Chain

• Figure 8: Benefit Realization

• Figure 9: Separating Delivery Model from Asset Management

• Figure 10: Risk Sharing by Contract Model

• Figure 11: PBC Selection Flow Chart

• Figure 12: Bucket Capacity

• Figure 13: Bucket Capacity Exceeded – Loss of Performance Payment

• Figure 14: Example of the Monthly Non-Compliance Score

• Table 1: Spectrum of Contract Methods

• Table 2: Examples of failures at the various steps along the chain

• Table 3: PBC Checklist

• Table 4: Example Non-Compliance Weightings

• Table 5: Worked Example Monthly Network Non-Compliance Score