2002年-世界发展银行全球_Private_Sector_Participation-based_Roadmap_for_Reforms_in_Water_and_Sanitation_4页_129kb

Private Sector Participation in Water and Sanitation Reforms in Africa

Core Content

This document outlines the World Bank's approach and recommendations for implementing Private Sector Participation (PSP) in the Water and Sanitation (WSS) sector across the Africa Region. It emphasizes the importance of structural reforms to improve the efficiency, financial viability, and service delivery of public utilities, particularly in the context of rapid urbanization and growing demand from low-income populations.

Main Views and Key Information

Challenges in the Public Sector

• Political interference and low tariff policies have contributed to inefficiency and financial weakness in public water and sanitation utilities.
• Public utilities often fail to maintain and extend services, leading to subsidized services being denied to the poor, who then rely on more expensive and lower-quality alternatives.
• Service delivery has not kept pace with the increasing demand, especially in informal settlements.

PSP as a Reform Tool

• PSP is increasingly seen as the preferred method for reforming water utilities in Africa.
• It aims to improve efficiency, financial viability, and service quality.
• Successful PSP reforms have generally extended and improved services and restored financial viability.

Key Objectives of the Roadmap

1. Develop a shared vision for sustainable and socially responsive PSP-WSS services.
2. Provide guidance on good practices and guiding principles.
3. Offer practical advice on planning, implementing, and sustaining reforms.
4. Facilitate coordinated donor action.

Initiating Reforms

• There is no standard approach; each country must tailor reforms to its specific context.
• Reforms should be based on learning from other countries, considering both commonalities (e.g., lack of investment resources, regulatory capacity) and differences (e.g., legal systems in Anglophone and Francophone Africa).
• Enhanced lease has become the preferred model for reform, focusing on:
  • Output-based targets (e.g., number of new connections, service quality) rather than input-based targets.
  • Greater autonomy for operators in planning and executing capital expenditures.
  • Guaranteed financing from external sources, often on concessionary terms.

Key Steps in Reform Initiation

1. Strategic assessment of the WSS sector, covering legal, institutional, resource, performance, and demand aspects.
2. Establishment of a sector Task Force (TF) with clear authority and responsibilities.
3. Development of a financial model to guide the path to financial autonomy.
4. Broad consultation with stakeholders, including public agencies, elected representatives, civil society, and community organizations.
5. Communication and consultation strategy to build support and transparency.

Contractual Framework for PSP

• A WSS lease involves a complex legal framework, including:
  • A performance contract and development/financing agreement between the government and the Asset Holding Company (AHC).
  • A lease/afternage contract between the AHC and the private operator.
  • Legal instruments defining financing plans, relationships between local and international operators, and the role of an independent regulator.
• Transaction advisers are essential for designing the contractual framework and legal instruments, requiring expertise in law, finance, and engineering.

Guiding Principles for PSP

• Targeting low-income settlements through specific funding and service improvement indicators.
• Preference for output targets to encourage innovation and efficiency.
• Clear monitoring indicators and operator responsibilities to ensure transparency and accountability.
• Simple and unambiguous selection criteria based on water price.
• Operator competence in managerial and technical know-how to manage risks effectively.
• Structured risk allocation to avoid overburdening the operator with uncontrollable risks.
• Early capacity-building for public agencies (AHC and regulator) to reduce regulatory risk.
• Regular payment of water bills and procedures for disconnection for non-payment.
• Timely execution of capital expenditure with operator involvement in project management.

Contract Implementation and Regulation

• Effective oversight and monitoring are crucial to ensure contracts remain aligned with reform goals.
• The process must be responsive to changes (e.g., drought, macroeconomic shifts) and insulated from short-term political pressures.
• Transparency and trust are essential for long-term success.

Summary of Initiating Stage Recommendations

• Enabling legislation and new institutional structures should be in place.
• Tariff adjustment procedures must be established and implemented.
• A financing plan with external partners should be agreed upon, including early rehabilitation and transition support.
• A PSP option should be selected, with basic contract parameters aligned with reform objectives.
• Transition management and staff re-deployment programs should be in place and funded.

This document provides a comprehensive guide for governments and stakeholders aiming to implement effective and sustainable reforms in the WSS sector through private sector participation.