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关于在南部非洲发展共同体实施PPP的指导方针

发布日期:2020-03-13
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   The adoption of public–private partnerships (PPPs) in developed countries could be instructive to developing economies with tight fiscal constraints that want to develop infrastructure with broader social developmental aims.

   发达国家采用政府和社会资本合作(PPP)可以在财政紧缩情况下希望发展基础设施,实现更广泛的社会发展目标的发展中经济体具有指导意义。

   Recommendations

   建议

   ·Encourage SADC members to establish functioning and politically independent PPP units to deliver transparent procurement processes that will attract foreign players.

   ·鼓励SADC成员国建立职能上和政治上独立的PPP部门,提供透明的采购过程,吸引外国参与者。

   ·The energy, transport and water sectors are very important in a developing region, and the structuring of sustainable projects could yield financially lucrative opportunities to all parties.

   ·能源、交通和水务部门在发展中地区非常重要,可持续项目的结构设计可以为各方带来经济上有利可图的机会。

   ·Understanding the political climate in the region is crucial, as it seems that in most countries projects also have to deliver on skills transfer, job creation and the inclusion of local businesses. Encourage openness and transparency regarding the expectations of the host government early in negotiations.

   ·了解该地区的政治气氛至关重要,因为在大多数国家,项目似乎还必须实现技能转移,创造就业机会和融入当地企业。鼓励在谈判初期就东道国政府的期望保持开放和透明。

   Executive summary

   政策简报

   The adoption of public–private partnerships (PPPs) in developed countries could be instructive to developing economies with tight fiscal constraints that want to develop infrastructure with broader social developmental aims. PPPs are an opportunity for the state to benefit from private sector management approaches and technological innovation that provide quality services to the general populace. The benefits of PPPs can be attestedto in several jurisdictions. However, there are instances in SADC where relations have been difficult, and the optimal performance of PPPs has not been reached. This policy briefing makes recommendations on how PPPs can be strengthened in SADC based on practical examples in the region.

   发达国家采用政府和社会资本合作(PPP)可以在财政紧缩情况下希望发展基础设施,实现更广泛的社会发展目标的发展中经济体具有指导意义。PPP为国家提供了一个从社会资本管理方法和技术创新中受益的机会,这些方法和技术创新为普通民众提供了优质的服务。PPP的好处可以在几个司法管辖区得到证明。然而,在SADC中有些情况下关系一直很困难,并且尚未达到PPP的最佳绩效。本政策简报根据该区域的实际案例,就如何加强SADC政府和社会资本合作提出建议。

   Introduction

   介绍

   The number of PPPs has grown steadily across the globe. This is attributable to governments’ need to provide life-enhancing basic public services to their citizens. PPPs compare well with some of the unintended externalities of privatisation or the negative outcomes of uncompetitive and incompetent exclusive public ownership.

   PPP的数量在全球范围内稳步增长。这归因于各国政府需要向其公民提供改善生活的基本公共服务。PPP可以与私有化的一些意想不到的外部性或缺乏竞争力和低效率的公有制的负面结果相提并论。

   Origin of PPPs: An overview

   PPP的起源:概述

   The need to fundamentally change the mode of public procurement initially arose from concerns about the level of public debt, which grew enormously during the macroeconomic dislocation of the 1970s and 1980s. It was a time when capital projects public funds. PPPs were particularly useful to supplement the funding deficit. Hence governments invited private investors to form an alliance with them to provide the finance needed to build and maintain public services.

   需要从根本上改变公共采购方式最初是出于人们对公共债务水平的担忧,在这种担忧在1970年代和1980年代的宏观经济动荡期间急剧增加。那是一个资本投入公共资金的时代。PPP对补充资金赤字特别有用。因此各国政府邀请社会资本澳门金沙娱乐手机版者与他们结盟,以提供建设和维护公共服务所需的资金。

   In 1992 the John Major-led government in the UK pioneered the first programme aimed at encouraging PPPs, namely the Private Finance Initiative. This early start resulted in the UK’s having one of the most advanced PPP programmes. Today PPPs are responsible for about 24% of the UK’s public investments. The process was also embraced and adopted by some of Australia’s state governments – especially the state of Victoria.

   1992年,约翰·梅杰(John Major)领导的英国政府率先推出了第一个旨在鼓励PPP项目(programme),即私人主动融资(Private Finance Initiative,PFI)。这一早期工作使得英国拥有最先进的PPP项目(programme)之一。今天PPP占英国公共澳门金沙娱乐手机版的24%。澳大利亚的一些州政府(特别是维多利亚州)也接受并采纳了这一做法。

   Worldwide, PPPs have slowly been incorporated into the procurement portfolios of most countries. This has resulted in both positive and negative experiences and some ground-breaking contracting practices and outsourcing arrangements.Early adopter countries are now viewed as being mature and having obtained ‘executional excellence’ (eg, the UK and Australia). They are followed by transient countries, which are still working on ‘effective governance’ (eg, Spain, South Korea and Japan). South Africa started implementing PPPs in 1998 in the road transport sector, so it could be regarded as a relative long-time player in this space. Even larger economies such as China, Germany, Thailand, Brazil, India and the US are latecomers and still working on a ‘long-term commitment’ to PPPs,although most have made tremendous strides to grow this sector in their respective economies.

   在全球范围内,PPP已逐渐纳入到大多数国家的采购组合中。这带来了积极和消极的经验,以及一些开创性的承包做法和外包安排。早期使用PPP的国家/地区被视为成熟并获得了“卓越的执行力”的称号(例如英国和澳大利亚)。紧随其后的是仍在致力于“有效治理”的过渡国家(如西班牙、韩国和日本)。南非于1998年开始在道路运输部门实施PPP,因此可以将其视为这一领域的相对长期参与者。即使是较大的经济体,如中国、德国、泰国、巴西、印度和美国,尽管大多数国家在各自经济体的这一领域取得了巨大进展,但也都是后来参与者,仍在努力达成PPP的“长期承诺”。

   What are PPPs?

   什么是PPP?

   PPPs refer to a legal and/or contractual relationship between a government and a private business venture that is aimed at delivering basic amenities and public services. According to the PPP Unit in South Africa, a PPP is defined as a contract between a public sector institution and a private party, where the private party performs a function that is usually provided by the public sector and/or uses state property in terms of the PPP agreement. Most of the project risk (technical, financial and operational) is transferred to the private party. The public sector pays for a full set of services, including new infrastructure, maintenance and facilities management, through monthly or annual payments.

   PPP是指政府和社会资本之间旨在提供基本便利设施和公共服务的法律和/或合同关系。根据南非PPP部门的定义,PPP为公共部门机构和社会资本之间的合同,其中社会资本履行通常由公共部门提供的职能和/或根据PPP协议使用国家财产。大部分项目风险(技术风险、财务风险和运营风险)都转移给社会资本。公共部门通过按月或按年支付的方式支付全套服务,包括新的基础设施、维护和设施管理。

   In a traditional government project, the public sector pays for the capital and operating costs and carries the risks of cost overruns and late delivery.A private venture sets up a special company called a ‘special purpose vehicle’ to build, develop, maintain and operate the facility for the specified contracted period. In cases where the government has also invested in the project it is allocated equity. This, however, is not mandatory and is not done in all cases.

   在传统的政府项目中,公共部门支付资本和运营成本,并承担成本超支和延期交付的风险。社会资本成立了一家名为“特殊目的公司”的特殊公司来在指定的合同期限内建造、开发、维护和运营该设施。如果政府也澳门金沙娱乐手机版于该项目,它会获得分配的股权。然而这并不是强制性的,也不是在所有情况下都必须这样做。

   The consortium usually comprises a building contractor, a maintenance company and a bank lender(s), if necessary. The special purpose vehicle has the duty to sign the contract with the government and subcontractors, as well as to build and maintain the project. In the infrastructure sector, more complex arrangements and contracts that guarantee and ensure secure cash flow make PPP projects key candidates for project financing. PPPs are aimed at delivering public service relating to infrastructure, housing, transport, health, education, energy and defence.

   必要时,财团通常包括建筑承包商、维护公司和银行。特殊目的公司有义务与政府和分包商签订合同,并负责项目的建设和维护。在基础设施领域,更复杂的安排和合同可以保证和确保安全的现金流,使PPP项目成为项目融资的关键对象。PPP旨在提供与基础设施、住房、交通、卫生、教育、能源和国防有关的公共服务。

   Privatisation vs PPPs

   私有化与PPP

   Although the principle behind privatisation and PPPs is similar – ie, private party involvement in the delivery of public projects or services – there are distinct differences that public agencies should weigh when considering them.

   尽管私有化和PPP背后的原则相似,即社会资本参与公共项目或服务的交付,但有明显的区别,公共机构在考虑这些原则时应该加以权衡。

   The basic goal of privatisation is the introduction and use of market-based competition by the government using private entities for the delivery of public services or goods. The term ‘privatisation’ most commonly refers to any shift in government activities or functions from a public agency to the private sector. Specifically, privatisation is defined as the economic process of transferring property, such as a building, road or enterprise system that delivers services, from public to private ownership.Privatisation accounts for the process of a public agency transferring such government-owned or -operated commercial enterprises to private sector control and ownership. The California Legislative Analyst Office has described privatisation as the involvement of the private sector in providing goods and services that otherwise might directly be provided by governments.Thus, privatisation occurs when the government sells public assets to the private sector or when the government stops providing a service directly and relies on the private sector to deliver the service. Ownership is the key defining principle of privatisation.

   私有化的基本目标是政府引入和使用基于市场的竞争,利用社会资本机构提供公共服务或商品。“私有化”一词最常指的是政府活动或职能从公共机构向社会资本的任何转移。具体而言私有化定义为从公共所有权到社会资本所有权的财产转移的经济过程,例如建筑物,道路或提供服务的企业系统。而私营化是指公共机构将这些由政府拥有或经营的商业企业,转移至社会资本机构控制和拥有的过程。加州立法分析办公室(The California Legislative Analyst Office)将私有化描述为社会资本参与提供本来可能由政府直接提供的商品和服务,因此当政府将公共资产出售给社会资本,或当政府停止直接提供服务而依赖社会资本提供服务时,私有化就发生了。所有权是私有化的关键定义原则。

   The differences between privatisation and PPPs

   私有化与PPP之间的区别

   Privatisation and PPPs are similar concepts, both rooted in the philosophy that private sector involvement in the delivery of public projects or services can result in operational and fiscal benefits for a public agency. While these terms often are used broadly and interchangeably, there are key differences between them. These differences occur in three primary areas: ownership, structure, and risk. Ownership refers to the party that has, and controls, the rights to or interests in an asset or service enterprise. Structure refers to the resulting contractual arrangements that are used to facilitate privatisation or PPPs. Risk refers to the responsibilities, financial or legal, that are undertaken by the appropriate party – public, private or shared, as conditions of a contract.

   私有化和PPP是相似的概念,都植根于这样一种理念,即社会资本参与公共项目或服务的交付可以为公共机构带来运营和财政收益。虽然这些术语经常被广泛地互换使用,但是它们之间还是有一些关键的区别。这些差异主要表现在三个方面:所有权、结构和风险。所有权是指拥有并控制资产或服务企业的权利或利益的一方。结构是指用于促进私有化或PPP的最终合同安排。风险是指由合适的一方(无论是公共部门,社会资本还是双方分担)承担的财务或法律责任,作为合同的条件。

   Ownership: A primary distinction between privatisation and PPPs is ownership of the asset (existing or new) or enterprise system that is the subject of the transaction. When a publicly owned asset or enterprise system is privatised, ownership of and responsibility for the asset or enterprise are fully transferred or sold to the private sector. In a PPP, the public agency retains ownership of the asset or enterprise, as well as oversight of the operations and management of the asset, and controls the amount of private involvement. Through a PPP, the public sector sets the parameters and expectations for the partnership and the private sector uses access to capital markets to address the public agency’s needs. If the PPP does not live up to the contractual expectations of the partnership, the public agency can regain complete control of the asset or enterprise system.

   所有权:私有化和PPP之间的主要区别是作为交易标的的资产(现有的或新的)或企业系统的所有权。当公有资产或企业系统私有化时,资产或企业的所有权和责任全部转移或出售给社会资本。在PPP中,公共机构保留资产或企业的所有权,监督资产的运营和管理,并控制社会资本参与的份额。通过PPP公共部门为伙伴关系设定参数和期望,社会资本利用进入资本市场的机会来满足公共机构的需求。如果PPP没有达到合作关系的合同期望,公共机构可以重新获得对资产或企业系统的完全控制权。

   Structure: Another difference between privatisation and PPPs is the structure of the contract that formalises the involvement of the public and private partner after privatisation or the creation of a PPP. With privatisation, once an asset or enterprise is sold, the public agency’s involvement is non-existent, except possibly in a regulatory role. In a PPP, the structure of the agreement is flexible, allowing the public and private partners to determine the level of participation of both partners to specifically address the needs of the public agency, while maintaining public agency ownership. While there are many methods for a public agency to transfer ownership of public assets or services to the private sector, the results are the same: the public sector is no longer involved in owning or managing the public asset or providing the once-public service.

   结构:私有化和PPP之间的另一个区别是合同的结构,在私有化或创建PPP之后,正式确定政府和社会资本合作的参与形式。对于私有化,一旦资产或企业被出售,公共机构的参与就不再存在,除非可能具有监管作用。在PPP中,协议的结构是灵活的,允许政府和社会资本合作确定双方的参与程度,专门解决公共机构的需求,同时保持公共机构的所有权。尽管公共机构可以通过多种方法将公共资产或服务的所有权转让给社会资本,但结果是相同的:公共部门不再参与拥有或管理公共资产,也不再提供曾经的公共服务。

   Risk: Accompanying the asset or enterprise system that is the subject of privatisation or a PPP is the risk associated with the ownership, operation and maintenance of the asset or enterprise for either the remaining useful life of the asset/system or the contract term. Risk is not limited to liability but also includes the assumption of responsibility for conceptual, operational and financial uncertainties that could threaten the goals of privatisation or a PPP. These include design and construction costs, regulatory compliance environmental clearance, performance, and customer satisfaction. An infrastructure project owned and operated by a public agency subjects the agency to 100% of the risks associated with the facility. When an asset or enterprise is privatised, the private owner assumes all risk associated with the asset or enterprise. With a PPP, which has public ownership and private operation, many (but not all) of these risks can be transferred to the private partner. Risk is typically shared, based on the principle that risk should be assigned to the partner that is better equipped to manage that risk or prevent it from occurring, or that is in a better position to recover the costs associated with the risk. Typically, in the development of capital improvement projects, the private partner may prefer to assume risk of a commercial nature that can be appraised and controlled, leaving the residual risks to the public agency.

   风险:伴随私有化或PPP标的的资产或企业系统,在资产或系统剩余使用年限或合同期限内的资产或企业的所有权、运营和维护相关的风险。风险不仅限于赔偿责任,还包括承担可能威胁到私有化或PPP目标的概念,运营和财务不确定性的责任。这些因素包括设计和建造成本、法律合规性、环境许可、绩效和客户满意度。由公共机构拥有和运营的基础设施项目使该机构承担与该设施100%的风险。当资产或企业私有化时,社会资本承担与该资产或企业相关的所有风险。通过政府和社会资本合作的PPP,这些风险中的许多(但不是全部)可以转移到社会资本合作伙伴身上。通常分担风险的原则是,风险应分配给更有能力管理风险或防止风险发生的合作伙伴,或者更有能力收回与风险相关的成本的合作伙伴。通常在在开发资本改善项目时,社会资本合作伙伴可能更愿意承担可以评估和控制的商业性质的风险,而将其余的风险留给公共机构。

   Reasons for PPPs

   采用PPP的原因

   The reasons why PPPs are instituted differ from country to country. Below are some of the reasons why state governments embrace PPPs: Firstly, it allows the private sector to influence the quality and speed of delivery of public services. The private sector has over the years been able to maintain an enviable standard in management and delivery. This stands in contrast to most public sector projects, which are often mired in debt and mismanagement. Some of the main reasons public projects fail are:

   各国实行PPP的原因各不相同。以下是州政府接受PPP的一些原因:首先它允许社会资本影响公共服务的提供质量和速度。多年来社会资本在管理和交付服务方面一直保持令人羡慕的水准。这与大多数公共部门项目形成鲜明对比,后者常常陷入债务和管理不善的境地。公共项目失败的一些主要原因是:

   Technical issues: These account for most project cost overruns and schedule delays. Common technical glitches leading to project overruns are inaccurate forecasting and cost estimating techniques, insufficient data and poor judgments arising from insufficient experience in project cost forecasting and estimation, as well as the general impossibility to predict the future.

   技术问题:这些是大多数项目成本超支和进度延误的原因。导致项目超支的常见技术故障是预测和成本估算技术不准确、数据不足和由于缺乏项目成本预测和估算经验而导致的判断不力,以及普遍无法预测未来。

   Optimism bias: Estimation bias stems from being overly optimistic about the prospects of a project in terms of cost and time. Flyvbjerg suggests this is a more plausible cause of cost overruns and project time delays than technical glitches, arguing that political and competitive pressures on projects incentivise project promoters to de-emphasise costs and risks while overemphasising project prospects to get approval from decision makers.

   乐观偏见:估计偏见源于对项目在成本和时间方面的前景过于乐观。傅以斌(Flyvbjerg)认为与技术故障相比,乐观偏见是成本超支和项目时间延误的更有可能的原因,他认为项目面临的政治和竞争压力促使项目发起人低估成本和风险,同时过度强调项目前景以获得决策者的批准。

   Strategic deception and misrepresentation issues: Project cost overruns and schedule delays may stem from a deliberate misrepresentation of facts by project planners and promoters with the intent to mislead. Actual project cost/benefit projections and time schedules can deliberately be misrepresented by project planners and promoters in a bid to win the contract award and to start construction as soon as possible.

   战略欺骗和虚假陈述问题:项目成本超支和进度延误可能源于项目策划者和发起人故意歪曲事实,意图误导。项目策划者和发起人可能故意歪曲实际的项目成本/效益预测和时间表,以便赢得合同并尽快开工。

   Secondly, it ameliorates budget constraints. Many debt-ridden countries see PPPs as a viable option to provide public services while channelling their constrained budgets to other projects.

   其次,它减轻了预算限制。许多负债累累的国家将PPP视为提供公共服务的可行选择,同时将有限的预算用于其他项目。

   Thirdly, it enables access to private sector know-how. The private sector is often more advanced than the public sector in keeping abreast with the latest technical advances and expertise. This is an essential trait that allows it to maximise its competitive advantage.

   第三, 它使人们能够获得社会资本的专门知识。在与最新的技术进步和专业知识并驾齐驱方面,社会资本通常比公共部门更先进。这是使其能够最大限度地发挥竞争优势的一个基本特征。

   Fourthly, it enables the transparent treatment of PPP finances. Public sector financial management records are sometimes difficult to penetrate. PPPs, in contrast, adhere to private sector accounting standards, which enables shareholders to ensure best use of funding.

   第四,它可以透明地处理PPP资金。公共部门的财务管理记录有时难以理解。相比之下,PPP则遵循社会资本会计准则,这使股东能够确保最大限度地利用资金。

   Fifthly, incentives are offered to aid private sector involvement, such as tax relief. At the end of the day the economic ripple effects from improved service delivery by the private sector outweighs the tax concessions.

   第五, 提供激励措施以帮助社会资本参与,例如减免税收。归根结底社会资本改善服务所带来的经济连锁反应超过了税收优惠。

   Finally, the private sector is continuously innovating. The invention and introduction of new technologies by the private sector can support more effective public services.

   最后,社会资本正在不断创新。社会资本发明和引进新技术可以支持更有效的公共服务。

   Africa’s PPP landscape

   非洲的PPP格局

   Infrastructure development is essential for achieving sustainable, socio-economic development across Africa. Building resilient infrastructure and promoting sustainable industrialisation was first recognised in the Millennium Development Goals (MDGs) as an important requirement for improving living standards. Following from the MDGs, Goal of the Sustainable Development Goals recognises the importance of building resilient infrastructure, promoting inclusive and sustainable industrialisation and fostering innovation. Addressing infrastructural backlogs and developing new public assets such as transportation, healthcare and electricity are essential to Africa’s long-term development, especially in rural areas, which often face high upfront costs in infrastructure development. The World Bank estimates that poor infrastructure in sub-Saharan Africa reduces economic growth by 2% and business productivity by as much as 40%, while inadequate infrastructure services can cost twice as much in sub-Saharan Africa than the rest of the world.Infrastructure development and industrialisation is recognised and prioritised by the AU through its Agenda 2063 and its Programme for Infrastructure Development in Africa (PIDA). PIDA’s ambitious efforts focus on building cross-border infrastructure that will ultimately increase regional infrastructure integration, address poverty levels, reduce income inequalities and promote socio-economic development. Its 51 programmes, as identified in the PIDA Priority Action Plan, are spread across the energy, transport, crossborder water infrastructure, and information and communications technology (ICT) sectors. PPPs have the potential to play a real and significant role in helping African countries to meet their infrastructure targets and reduce poverty levels. Globally, PPPs contribute 15–20% of total infrastructure investment,and the World Bank’s support of PPPprogrammes as tools to spur growth and combat poverty increased from $0.9 billion in 2002 to $2 billion in 2012.

   基础设施发展对于整个非洲实现可持续的社会经济发展至关重要。千年发展目标(MDGs)首先认可建设有弹性的基础设施和促进可持续工业化是提高生活水平的重要要求。继千年发展目标之后,可持续发展目标认识到建设有弹性的基础设施、促进包容性和可持续工业化以及促进创新的重要性。解决基础设施积压问题,开发新的公共资产,如交通、医疗和电力,对非洲的长期发展至关重要,特别是在农村地区,因为农村地区经常面临基础设施建设的高昂前期成本。世界银行估计,撒哈拉以南非洲糟糕的基础设施使经济增长降低2%,企业生产率降低高达40%,而撒哈拉以南非洲基础设施服务不足的成本可能是世界其他国家/地区的两倍。非盟通过其《2063年议程》和非洲基础设施发展计划(PIDA)认识并优先考虑了基础设施发展和工业化。PIDA雄心勃勃的努力集中在建立跨境基础设施上,这将最终提高区域基础设施一体化,解决贫困水平,减少收入不平等,促进社会经济发展。PIDA优先行动计划中确定的51个项目(programme)分布在能源、运输、跨境水利基础设施以及信息和通信技术(ICT)部门。政府和社会资本合作有潜力在帮助非洲国家实现其基础设施目标和降低贫困水平方面发挥真正和重要的作用。在全球范围内政府和社会资本合作贡献了基础设施澳门金沙娱乐手机版总额的15%至20%,作为刺激增长和消除贫困的工具,世界银行对PPP项目(programme)的支持从2002年的9亿美元增加到2012年的20亿美元。

   In Africa, the African Development Bank has supported the uptake of PPPs as an alternative means of financing infrastructure development. Electricity, ICT and ports are the top three sectors for PPPs in sub-Saharan Africa.Although PPPs are not a ‘one-size-fits-all’ solution to addressing Africa’s infrastructure deficit, it is important to understand the kind of contributions that PPPs, if properly implemented, can make, and the business case that can be made for the private sector to enhance its participation in infrastructure projects.

   在非洲,非洲开发银行(African Development Bank)支持采用PPP作为基础设施发展融资的替代手段。电力、信息和通信技术和港口是撒哈拉以南非洲PPP的三大领域。尽管政府和社会资本合作不是解决非洲基础设施赤字的“一刀切”的解决方案,但重要的是要了解PPP如果实施得当,可以做出什么样的贡献,以及社会资本可以为加强其对基础设施项目的参与提供哪些商业论证。

   The SADC Development Finance Resource Centre was established in 2003 as a subsidiary institution and currently has 41 members from all 15 SADC countries. It commissioned a PPP case study report to examine private sector experiences of PPPs in SADC. A SADC PPP Network was subsequently launched in February 2011 in South Africa as a platform for promoting PPP policy harmonisation in the region, exchanging information and experiences, and developing capacity in PPPs.SADC is a mixed bag in terms of PPP preparedness with the necessary administrative maturity. South Africa is the obvious leader, while several countries at this point do not have a PPP unit.

   南部非洲发展共同体(SADC)发展融资资源中心成立于2003年,是一个附属机构,目前有来自所有15个SADC国家的41名成员。它委托编写了一份PPP案例研究报告,以审查SADC社会资本的PPP经验。随后于2011年2月在南非启动了一个SADC的PPP网络,作为促进该区域PPP政策协调、交流信息和经验以及发展PPP能力的平台。就PPP准备工作和必要的行政管理成熟度而言,SADC参差不齐。而南非显然是领头羊,而目前有几个国家没有PPP部门。

   PPPs are implemented in different contexts in the SADC region where knowledge of the political terrain, landscape and contextual nuances can further their success.

   PPP是在SADC区域的不同背景下实施的,那里的政治形势、格局和背景细微差别的知识可以促进其成功。

   Practical recommendations would thus be:

   因此,切实可行的建议是:

   ·changing legislation in countries that are still lagging behind so that public engagement becomes a mandatory process during the whole project cycle;

   ·establishing guidelines to cover the scope and procedure of, and approach to, participation;

   ·encouraging more people to participate by adopting diversified methods to garner public opinions, such as online surveys, public forums, face-to-face interviews, etc.; and

   ·paying more attention to special groups.

   ·修改仍旧落后的国家法规,使公众参与成为整个项目周期的强制性过程;

   ·制定指导方针,涵盖参与的范围、程序和方法;

   ·鼓励更多人参与,采取多样化的方式收集民意,如网上调查、公共论坛、面对面采访等;

   ·更加关注特殊群体。

   It is also imperative to do due diligence on external prospective partners, as this will lessen both information asymmetry and distrust between the parties. Proper due diligence will reduce incidents where contractors abandon projects, as their track records would have been scrutinised beforehand. One way of doing this would be involving transaction advisors early in the process, something which does not appear to be the case in some countries in SADC. Furthermore, it is crucial that PPP units are given enough space and freedom to do their work efficiently. The observed political interference in some cases could lead to a situation where a wrong or non-sustainable decision is made.

   还必须对外部潜在合作伙伴进行尽职调查,因为这将减少双方之间的信息不对称和不信任。适当的尽职调查将减少承建商放弃项目的事件,因为他们的历史记录信息会在事前得到仔细审查。要做到这一点,一种方法是在过程的早期让交易顾问参与,这在SADC的某些国家似乎并非如此。此外至关重要的是给予PPP单位足够的空间和自由,使其能够有效地开展工作。在某些情况下明显的政治干预可能导致作出错误或不可持续的决定的情况。

   Important considerations hampering the uptake of PPPs in SADC countries

   阻碍南共体国家采用PPP的重要考虑因素

   Equity in PPPs: The shift towards ‘smaller government’ tends to apportion a greater share of economic activity to the private sector. A typical way of reducing costs has been to outsource activities once carried out by government, particularly in relation to infrastructure. However, this type of arrangement often perversely results in the PPP’s having the characteristics of a natural monopoly.Many of these ventures require private equity capital. Even with the serious need for infrastructure investment and abundant funding, emerging markets by and large still face challenges owing to the discrepancies between investor needs for profit maximisation and immature PPP frameworks. Investors have requirements that they want met, which could be why there is a problem with equity in some SADC countries.

   PPP的公平性:向“小政府”的转变倾向于将更大比例的经济活动分配给社会资本。降低成本的一种典型方式是将曾经由政府实施的活动外包出去,特别是与基础设施相关的活动。然而这种安排往往反过来导致PPP具有自然垄断的特征,其中许多企业需要私募股权资本。尽管新兴市场迫切需要基础设施澳门金沙娱乐手机版和充足的资金,但由于澳门金沙娱乐手机版者对利润最大化的需求与不成熟的PPP框架之间的差异,新兴市场总体上仍面临挑战。澳门金沙娱乐手机版者有他们想要满足的要求,这可能是为什么一些南共体国家中存在股权问题的原因。

   Government guarantees: Energy and other projects in Africa are often hard to finance and, to reassure potential lenders, their legal structure requires more security instruments than in developed countries. To address this requirement, independent power producers, for instance, will commonly seek a sovereign guarantee by the host government. Some countries are reluctant to issue these because of the aversion to contingent liabilities. This in turn impedes the roll-out of PPPs.

   政府担保:非洲的能源和其他项目往往很难融资,为了让潜在的贷款人放心,其法律结构比发达国家需要更多的安全手段。例如为了满足这一要求,独立发电商通常会寻求其所在国政府的主权担保。由于对应急负债(会计准则中的或有负债)的厌恶,一些国家不愿发行这些债券。这反过来又阻碍了PPP的推行。

   Insurance: There is significant foreign ownership of insurers in SADC, although this varies greatly from country to country. A total of 19% of insurers in South Africa are majority foreign owned, 20% in Mauritius and Zimbabwe, 73% in Mozambique and Tanzania, and 100% in Swaziland. The impact of foreign ownership is even greater when considering premium volumes. In six SADC countries more than 20% of foreign-owned insurers are majority owned by entities in other SADC countries, and in three countries this rises to more than 50%. Cross-border ownership within SADC is therefore already a significant factor. This means that anyone who wants to venture into the SADC market is likely to use South African insurance resources, potentially in partnership with international players. South Africa has a good record with credible insurers so the region benefits from having such a strong neighbour.

   保险:大量外资占有SADC的保险公司所有权,尽管各国之间差异很大。南非共有19%的保险公司为外资控股,毛里求斯和津巴布韦为20%,莫桑比克和坦桑尼亚为73%,斯威士兰为100%。考虑到保险收入时,外资所有权的影响更大。在6个南共体国家,超过20%的外资保险公司由其他南共体国家的机构持有多数股权,而在三个国家中,这一比例上升到50%以上。因此南共体内部的跨境所有权已经是一个重要因素。这意味着任何想要冒险进入南共体市场的人(可能是与国际参与者合作)都可能使用南非的保险资源。南非在可靠的保险公司方面有着良好的记录,因此该地区从强大的邻国中受益。

   PPPs and the debt trap: One of the big challenges of the rising debt phenomenon in Africa is that if a country is heavily indebted it might divert resources that could be used to drive developmental programmes to service the debt. Even if a country has debt, some programmes are still imperative, and substantial investment requirements cannot be met by debt alone. This is where PPPs can make a valuable contribution.However, the cost to a government of using PPPs to invest is usually higher than if it had simply borrowed the money itself. Research commissioned by the European Parliament in 2014 suggests that PPPs are the most expensive way for governments to invest in infrastructure, ultimately costing more than double than financing raised through bank loans or bond issuance.

   PPP和债务陷阱:非洲不断上升的债务现象的最大挑战之一是,如果一个国家负债累累,它可能会挪用本可用于推动发展项目(programme)偿还债务的资源。即使一个国家有债务,一些项目(programme)仍然势在必行,仅靠债务是不能满足大量澳门金沙娱乐手机版要求的。这就是PPP可以做出宝贵贡献的地方,然而政府使用PPP进行澳门金沙娱乐手机版的成本通常比它们自己借钱的成本要高。欧洲议会2014年委托进行的研究表明,PPP是各国政府澳门金沙娱乐手机版基础设施的最昂贵方式,最终成本是通过银行贷款或债券发行筹集的融资的两倍多。

   PPPs with government guarantees are the real culprits. In availability PPPs, for instance, the government pays for the fact that the facility is available irrespective of whether it is fully used or not. One example is where a set annual amount is paid for providing a hospital as a facility. Other costs could be contingent liabilities, where the government guarantees payments if revenues do not meet a certain level, for instance by topping up payments to an electricity producer if revenues have not met the contracted amount or if a debt is defaulted on. These arrangements have the same financial burden on the government as when it is borrowing directly, but the payment obligations are not included in the state’s debt figures. This way the debt payments are usually hidden from public view. Their total cost to the government should be calculated clearly and transparently to determine if they offer value for money. If there is inadequate transparency it means there is a likelihood of PPPs’ being even more expensive than the traditional approach. This reinforces the need for well-resourced and competently managed PPP units in this region.

   具有政府担保的PPP是真正的罪魁祸首。例如在可获得性PPP方面,无论设施是否得到充分利用,政府都要为设施可用这一事实买单。其中一个示例是为提供医院设施而支付的固定年度费用。其他成本可能是或有负债,即如果收入没有达到一定水平,政府就会为付款提供担保,例如如果收入没有达到合同金额或未履行债务,政府就会向电力生产商补充付款。这些安排给政府带来的财政负担与其直接借贷时相同,但支付义务不包括在政府债务中。这样债务支付通常被隐藏在公众视线之外。他们对政府的总成本应清晰,透明地计算,以确定他们是否物有所值。如果透明度不足则意味着PPP有可能比传统方法更昂贵。这加强了该区域对资源充足和管理得当的PPP单位的需求。

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