2009年-世界发展银行全球_Good_Governance_in_Public-Private_Partnerships___A_Resource_Guide_for_Practitioners_366页_4mb

Summary of Good Governance In Public-Private Partnerships Resource Guide

Core Content

This resource guide, published by the World Bank and the Department for International Development of the United Kingdom (DFID), provides an in-depth analysis of the concept, structure, and governance of Public-Private Partnerships (PPPs). It outlines the key elements of PPPs, their origin and evolution, and how they differ from other infrastructure delivery models. The guide also emphasizes the importance of governance in PPPs and provides a framework for implementing good governance practices throughout the lifecycle of a PPP project, from procurement to contract design, management, and resolution of distress situations.

Main Patterns of PPP Contracts

PPPs are characterized by several main patterns that distinguish them from traditional procurement and concession models:

• Long-term relationship: Typically lasting between 10 and 30 years.
• Output-based performance: Emphasis on outcomes rather than inputs.
• Bundling of construction, operation, and maintenance: Integration of these phases to enhance efficiency.
• Risk sharing: Allocation of risks between the public and private sectors.
• Relation management: Ongoing management of the relationship between partners and stakeholders.

Difference from Other Infrastructure Delivery Models

PPPs differ from other models such as public works, outsourcing, and concessions in several ways:

• Public Works: Focuses on the construction of infrastructure, with the government retaining ownership and control.
• Outsourcing: Involves contracting out specific services, often without long-term commitments or shared risk.
• Concessions: Typically involve a "user pay" model, with the private sector providing services for a fee.
• Self-sustainable concessions: Do not require public subsidies and are based on user payments.
• Privatization: Refers to the transfer of ownership of public assets to the private sector, which is not the primary aim of PPPs.

Importance of Governance in PPPs

Governance is critical for the success of PPPs. The guide outlines the risks associated with the new PPP framework and the need for good governance practices to address them. Key governance aspects include:

• Accountability: Ensuring transparency and accountability in all stages of the PPP lifecycle.
• Integration of governance principles: Into PPP policies, laws, and regulations.
• Capacity building: Necessary for effective contract design and management.
• Managing change of circumstances: Through transparent and accountable contractual and institutional mechanisms.

Contract Design

The guide highlights the importance of designing PPP contracts that are transparent, accountable, and flexible. It outlines several key considerations in contract design:

• Balancing risks and sharing benefits: Ensuring that risks and rewards are fairly distributed.
• Defining public goals through measurable output-based specifications: Ensuring that the project aligns with public objectives.
• Managing contract incompleteness and payment mechanisms: To ensure flexibility and adaptability.
• Dealing with social and environmental issues: Ensuring that the project meets sustainability and social responsibility standards.
• Financial principles: Including cost recovery, risk allocation, and long-term financial viability.
• Disclosure of confidential issues: Managing transparency and confidentiality in the contract process.
• Best practices: Including risk planning, payment mechanisms, and financing strategies.

Contract Management

Effective contract management is essential for the success of PPPs. The guide outlines several key elements:

• Monitoring private partner performance: Including construction progress, service delivery, and financial health.
• Managing information and knowledge: Ensuring that all stakeholders are informed and involved.
• Preserving participation and institutional integrity: Maintaining stakeholder engagement throughout the project.
• Managing change of circumstances: Including price variations, flexibility, and early termination.
• Handling distress situations: Including economic, financial, and operational distress.
• Dispute resolution and step-in rights: Ensuring mechanisms for resolving conflicts and managing defaults.

Distress Prevention and Solution

The guide addresses the prevention and resolution of distress situations in PPPs, including:

• Economic distress: Caused by unforeseen events or market changes, managed through mechanisms to restore economic equilibrium.
• Financial distress: Addressed through risk measures and financial instruments.
• Operational distress: Handled through monitoring and adaptive management strategies.
• Service failure and default: Managed through contractual mechanisms and dispute resolution.

Conclusion

The guide concludes that good governance is essential for the effective implementation and management of PPPs. It emphasizes the need for transparency, accountability, and institutional integrity throughout the PPP lifecycle. PPPs are not a replacement for traditional models but an alternative that can offer more efficient and sustainable infrastructure service delivery. The guide provides a comprehensive framework for practitioners to understand and implement good governance in PPPs, including best practices in contract design, management, and distress resolution.

Key Information

• Published by: The World Bank and DFID
• Date: June 2009
• Purpose: To provide a resource guide for practitioners on good governance in PPPs
• Structure: Divided into two main parts: Understanding the New PPP Governance Framework and Enhancing Good Governance in PPPs
• Key Themes: Transparency, accountability, risk sharing, institutional integrity, and effective contract management
• Target Audience: Practitioners involved in PPPs, including policymakers, public administrators, and private sector partners

References

• Hong Kong Government Efficiency Unit, 2008
• Australian Government, Department of Finance and Deregulation, 2006
• France - Ordonnance n°2004-559 du 17 juin 2004 sur les contrats de partenariat
• HM Treasury, Managing public Money, 2007
• Poland (XXXXX)

This guide serves as a comprehensive resource for understanding and implementing good governance in PPPs, emphasizing the importance of a structured, transparent, and accountable approach to infrastructure service delivery.