華麗麗的分割線 實時跟蹤PPP項目動態
返回頂部 返回bhi首頁 在線咨詢 用戶反饋

我要咨詢

電話咨詢:010-68066836、68516181

在線咨詢:中國擬在建項目網-在線咨詢BHI客服1 中國擬在建項目網-在線咨詢BHI客服2

×

所在位置:首頁 > 政策法規 > 正文 政策法規

關于在南部非洲發展共同體實施PPP的指導方針

發布日期:2020-03-13
分享到: 更多

   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.

   發達國家采用政府和社會資本合作(PPP)可以在財政緊縮情況下希望發展基礎設施,實現更廣泛的社會發展目標的發展中經濟體具有指導意義。

   Recommendations

   建議

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

   ·鼓勵SADC成員國建立職能上和政治上獨立的PPP部門,提供透明的采購過程,吸引外國參與者。

   ·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、交通和水務部門在發展中地區非常重要,可持續項目的結構設計可以為各方帶來經濟上有利可圖的機會。

   ·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.

   ·了解該地區的政治氣氛至關重要,因為在大多數國家,項目似乎還必須實現技能轉移,創造就業機會和融入當地企業。鼓勵在談判初期就東道國政府的期望保持開放和透明。

   Executive summary

   政策簡報

   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.

   發達國家采用政府和社會資本合作(PPP)可以在財政緊縮情況下希望發展基礎設施,實現更廣泛的社會發展目標的發展中經濟體具有指導意義。PPP為國家提供了一個從社會資本管理方法和技術創新中受益的機會,這些方法和技術創新為普通民眾提供了優質的服務。PPP的好處可以在幾個司法管轄區得到證明。然而,在SADC中有些情況下關系一直很困難,并且尚未達到PPP的最佳績效。本政策簡報根據該區域的實際案例,就如何加強SADC政府和社會資本合作提出建議。

   Introduction

   介紹

   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的數量在全球范圍內穩步增長。這歸因于各國政府需要向其公民提供改善生活的基本公共服務。PPP可以與私有化的一些意想不到的外部性或缺乏競爭力和低效率的公有制的負面結果相提并論。

   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.

   需要從根本上改變公共采購方式最初是出于人們對公共債務水平的擔憂,在這種擔憂在1970年代和1980年代的宏觀經濟動蕩期間急劇增加。那是一個資本投入公共資金的時代。PPP對補充資金赤字特別有用。因此各國政府邀請社會資本投資者與他們結盟,以提供建設和維護公共服務所需的資金。

   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,約翰·梅杰(John Major)領導的英國政府率先推出了第一個旨在鼓勵PPP項目(programme),即私人主動融資(Private Finance Initiative,PFI)。這一早期工作使得英國擁有最先進的PPP項目(programme)之一。今天PPP占英國公共投資的24%。澳大利亞的一些州政府(特別是維多利亞州)也接受并采納了這一做法。

   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.

   在全球范圍內,PPP已逐漸納入到大多數國家的采購組合中。這帶來了積極和消極的經驗,以及一些開創性的承包做法和外包安排。早期使用PPP的國家/地區被視為成熟并獲得了“卓越的執行力”的稱號(例如英國和澳大利亞)。緊隨其后的是仍在致力于“有效治理”的過渡國家(如西班牙、韓國和日本)。南非于1998年開始在道路運輸部門實施PPP,因此可以將其視為這一領域的相對長期參與者。即使是較大的經濟體,如中國、德國、泰國、巴西、印度和美國,盡管大多數國家在各自經濟體的這一領域取得了巨大進展,但也都是后來參與者,仍在努力達成PPP的“長期承諾”。

   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是指政府和社會資本之間旨在提供基本便利設施和公共服務的法律和/或合同關系。根據南非PPP部門的定義,PPP為公共部門機構和社會資本之間的合同,其中社會資本履行通常由公共部門提供的職能和/或根據PPP協議使用國家財產。大部分項目風險(技術風險、財務風險和運營風險)都轉移給社會資本。公共部門通過按月或按年支付的方式支付全套服務,包括新的基礎設施、維護和設施管理。

   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.

   在傳統的政府項目中,公共部門支付資本和運營成本,并承擔成本超支和延期交付的風險。社會資本成立了一家名為“特殊目的公司”的特殊公司來在指定的合同期限內建造、開發、維護和運營該設施。如果政府也投資于該項目,它會獲得分配的股權。然而這并不是強制性的,也不是在所有情況下都必須這樣做。

   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.

   必要時,財團通常包括建筑承包商、維護公司和銀行。特殊目的公司有義務與政府和分包商簽訂合同,并負責項目的建設和維護。在基礎設施領域,更復雜的安排和合同可以保證和確保安全的現金流,使PPP項目成為項目融資的關鍵對象。PPP旨在提供與基礎設施、住房、交通、衛生、教育、能源和國防有關的公共服務。

   Privatisation vs PPPs

   私有化與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.

   盡管私有化和PPP背后的原則相似,即社會資本參與公共項目或服務的交付,但有明顯的區別,公共機構在考慮這些原則時應該加以權衡。

   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.

   私有化的基本目標是政府引入和使用基于市場的競爭,利用社會資本機構提供公共服務或商品。“私有化”一詞最常指的是政府活動或職能從公共機構向社會資本的任何轉移。具體而言私有化定義為從公共所有權到社會資本所有權的財產轉移的經濟過程,例如建筑物,道路或提供服務的企業系統。而私營化是指公共機構將這些由政府擁有或經營的商業企業,轉移至社會資本機構控制和擁有的過程。加州立法分析辦公室(The California Legislative Analyst Office)將私有化描述為社會資本參與提供本來可能由政府直接提供的商品和服務,因此當政府將公共資產出售給社會資本,或當政府停止直接提供服務而依賴社會資本提供服務時,私有化就發生了。所有權是私有化的關鍵定義原則。

   The differences between privatisation and PPPs

   私有化與PPP之間的區別

   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,都植根于這樣一種理念,即社會資本參與公共項目或服務的交付可以為公共機構帶來運營和財政收益。雖然這些術語經常被廣泛地互換使用,但是它們之間還是有一些關鍵的區別。這些差異主要表現在三個方面:所有權、結構和風險。所有權是指擁有并控制資產或服務企業的權利或利益的一方。結構是指用于促進私有化或PPP的最終合同安排。風險是指由合適的一方(無論是公共部門,社會資本還是雙方分擔)承擔的財務或法律責任,作為合同的條件。

   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.

   所有權:私有化和PPP之間的主要區別是作為交易標的的資產(現有的或新的)或企業系統的所有權。當公有資產或企業系統私有化時,資產或企業的所有權和責任全部轉移或出售給社會資本。在PPP中,公共機構保留資產或企業的所有權,監督資產的運營和管理,并控制社會資本參與的份額。通過PPP公共部門為伙伴關系設定參數和期望,社會資本利用進入資本市場的機會來滿足公共機構的需求。如果PPP沒有達到合作關系的合同期望,公共機構可以重新獲得對資產或企業系統的完全控制權。

   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.

   結構:私有化和PPP之間的另一個區別是合同的結構,在私有化或創建PPP之后,正式確定政府和社會資本合作的參與形式。對于私有化,一旦資產或企業被出售,公共機構的參與就不再存在,除非可能具有監管作用。在PPP中,協議的結構是靈活的,允許政府和社會資本合作確定雙方的參與程度,專門解決公共機構的需求,同時保持公共機構的所有權。盡管公共機構可以通過多種方法將公共資產或服務的所有權轉讓給社會資本,但結果是相同的:公共部門不再參與擁有或管理公共資產,也不再提供曾經的公共服務。

   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.

   風險:伴隨私有化或PPP標的的資產或企業系統,在資產或系統剩余使用年限或合同期限內的資產或企業的所有權、運營和維護相關的風險。風險不僅限于賠償責任,還包括承擔可能威脅到私有化或PPP目標的概念,運營和財務不確定性的責任。這些因素包括設計和建造成本、法律合規性、環境許可、績效和客戶滿意度。由公共機構擁有和運營的基礎設施項目使該機構承擔與該設施100%的風險。當資產或企業私有化時,社會資本承擔與該資產或企業相關的所有風險。通過政府和社會資本合作的PPP,這些風險中的許多(但不是全部)可以轉移到社會資本合作伙伴身上。通常分擔風險的原則是,風險應分配給更有能力管理風險或防止風險發生的合作伙伴,或者更有能力收回與風險相關的成本的合作伙伴。通常在在開發資本改善項目時,社會資本合作伙伴可能更愿意承擔可以評估和控制的商業性質的風險,而將其余的風險留給公共機構。

   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:

   各國實行PPP的原因各不相同。以下是州政府接受PPP的一些原因:首先它允許社會資本影響公共服務的提供質量和速度。多年來社會資本在管理和交付服務方面一直保持令人羨慕的水準。這與大多數公共部門項目形成鮮明對比,后者常常陷入債務和管理不善的境地。公共項目失敗的一些主要原因是:

   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.

   技術問題:這些是大多數項目成本超支和進度延誤的原因。導致項目超支的常見技術故障是預測和成本估算技術不準確、數據不足和由于缺乏項目成本預測和估算經驗而導致的判斷不力,以及普遍無法預測未來。

   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.

   樂觀偏見:估計偏見源于對項目在成本和時間方面的前景過于樂觀。傅以斌(Flyvbjerg)認為與技術故障相比,樂觀偏見是成本超支和項目時間延誤的更有可能的原因,他認為項目面臨的政治和競爭壓力促使項目發起人低估成本和風險,同時過度強調項目前景以獲得決策者的批準。

   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.

   戰略欺騙和虛假陳述問題:項目成本超支和進度延誤可能源于項目策劃者和發起人故意歪曲事實,意圖誤導。項目策劃者和發起人可能故意歪曲實際的項目成本/效益預測和時間表,以便贏得合同并盡快開工。

   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,它減輕了預算限制。許多負債累累的國家將PPP視為提供公共服務的可行選擇,同時將有限的預算用于其他項目。

   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, 它使人們能夠獲得社會資本的專門知識。在與最新的技術進步和專業知識并駕齊驅方面,社會資本通常比公共部門更先進。這是使其能夠最大限度地發揮競爭優勢的一個基本特征。

   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,它可以透明地處理PPP資金。公共部門的財務管理記錄有時難以理解。相比之下,PPP則遵循社會資本會計準則,這使股東能夠確保最大限度地利用資金。

   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, 提供激勵措施以幫助社會資本參與,例如減免稅收。歸根結底社會資本改善服務所帶來的經濟連鎖反應超過了稅收優惠。

   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,社會資本正在不斷創新。社會資本發明和引進新技術可以支持更有效的公共服務。

   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.

   基礎設施發展對于整個非洲實現可持續的社會經濟發展至關重要。千年發展目標(MDGs)首先認可建設有彈性的基礎設施和促進可持續工業化是提高生活水平的重要要求。繼千年發展目標之后,可持續發展目標認識到建設有彈性的基礎設施、促進包容性和可持續工業化以及促進創新的重要性。解決基礎設施積壓問題,開發新的公共資產,如交通、醫療和電力,對非洲的長期發展至關重要,特別是在農村地區,因為農村地區經常面臨基礎設施建設的高昂前期成本。世界銀行估計,撒哈拉以南非洲糟糕的基礎設施使經濟增長降低2%,企業生產率降低高達40%,而撒哈拉以南非洲基礎設施服務不足的成本可能是世界其他國家/地區的兩倍。非盟通過其《2063年議程》和非洲基礎設施發展計劃(PIDA)認識并優先考慮了基礎設施發展和工業化。PIDA雄心勃勃的努力集中在建立跨境基礎設施上,這將最終提高區域基礎設施一體化,解決貧困水平,減少收入不平等,促進社會經濟發展。PIDA優先行動計劃中確定的51個項目(programme)分布在能源、運輸、跨境水利基礎設施以及信息和通信技術(ICT)部門。政府和社會資本合作有潛力在幫助非洲國家實現其基礎設施目標和降低貧困水平方面發揮真正和重要的作用。在全球范圍內政府和社會資本合作貢獻了基礎設施投資總額的15%至20%,作為刺激增長和消除貧困的工具,世界銀行對PPP項目(programme)的支持從2002年的9億美元增加到2012年的20億美元。

   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,非洲開發銀行(African Development Bank)支持采用PPP作為基礎設施發展融資的替代手段。電力、信息和通信技術和港口是撒哈拉以南非洲PPP的三大領域。盡管政府和社會資本合作不是解決非洲基礎設施赤字的“一刀切”的解決方案,但重要的是要了解PPP如果實施得當,可以做出什么樣的貢獻,以及社會資本可以為加強其對基礎設施項目的參與提供哪些商業論證。

   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.

   南部非洲發展共同體(SADC)發展融資資源中心成立于2003年,是一個附屬機構,目前有來自所有15個SADC國家的41名成員。它委托編寫了一份PPP案例研究報告,以審查SADC社會資本的PPP經驗。隨后于2011年2月在南非啟動了一個SADC的PPP網絡,作為促進該區域PPP政策協調、交流信息和經驗以及發展PPP能力的平臺。就PPP準備工作和必要的行政管理成熟度而言,SADC參差不齊。而南非顯然是領頭羊,而目前有幾個國家沒有PPP部門。

   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區域的不同背景下實施的,那里的政治形勢、格局和背景細微差別的知識可以促進其成功。

   Practical recommendations would thus be:

   因此,切實可行的建議是:

   ·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.

   ·修改仍舊落后的國家法規,使公眾參與成為整個項目周期的強制性過程;

   ·制定指導方針,涵蓋參與的范圍、程序和方法;

   ·鼓勵更多人參與,采取多樣化的方式收集民意,如網上調查、公共論壇、面對面采訪等;

   ·更加關注特殊群體。

   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.

   還必須對外部潛在合作伙伴進行盡職調查,因為這將減少雙方之間的信息不對稱和不信任。適當的盡職調查將減少承建商放棄項目的事件,因為他們的歷史記錄信息會在事前得到仔細審查。要做到這一點,一種方法是在過程的早期讓交易顧問參與,這在SADC的某些國家似乎并非如此。此外至關重要的是給予PPP單位足夠的空間和自由,使其能夠有效地開展工作。在某些情況下明顯的政治干預可能導致作出錯誤或不可持續的決定的情況。

   Important considerations hampering the uptake of PPPs in SADC countries

   阻礙南共體國家采用PPP的重要考慮因素

   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”的轉變傾向于將更大比例的經濟活動分配給社會資本。降低成本的一種典型方式是將曾經由政府實施的活動外包出去,特別是與基礎設施相關的活動。然而這種安排往往反過來導致PPP具有自然壟斷的特征,其中許多企業需要私募股權資本。盡管新興市場迫切需要基礎設施投資和充足的資金,但由于投資者對利潤最大化的需求與不成熟的PPP框架之間的差異,新興市場總體上仍面臨挑戰。投資者有他們想要滿足的要求,這可能是為什么一些南共體國家中存在股權問題的原因。

   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.

   政府擔保:非洲的能源和其他項目往往很難融資,為了讓潛在的貸款人放心,其法律結構比發達國家需要更多的安全手段。例如為了滿足這一要求,獨立發電商通常會尋求其所在國政府的主權擔保。由于對應急負債(會計準則中的或有負債)的厭惡,一些國家不愿發行這些債券。這反過來又阻礙了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.

   保險:大量外資占有SADC的保險公司所有權,盡管各國之間差異很大。南非共有19%的保險公司為外資控股,毛里求斯和津巴布韋為20%,莫桑比克和坦桑尼亞為73%,斯威士蘭為100%。考慮到保險收入時,外資所有權的影響更大。在6個南共體國家,超過20%的外資保險公司由其他南共體國家的機構持有多數股權,而在三個國家中,這一比例上升到50%以上。因此南共體內部的跨境所有權已經是一個重要因素。這意味著任何想要冒險進入南共體市場的人(可能是與國際參與者合作)都可能使用南非的保險資源。南非在可靠的保險公司方面有著良好的記錄,因此該地區從強大的鄰國中受益。

   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和債務陷阱:非洲不斷上升的債務現象的最大挑戰之一是,如果一個國家負債累累,它可能會挪用本可用于推動發展項目(programme)償還債務的資源。即使一個國家有債務,一些項目(programme)仍然勢在必行,僅靠債務是不能滿足大量投資要求的。這就是PPP可以做出寶貴貢獻的地方,然而政府使用PPP進行投資的成本通常比它們自己借錢的成本要高。歐洲議會2014年委托進行的研究表明,PPP是各國政府投資基礎設施的最昂貴方式,最終成本是通過銀行貸款或債券發行籌集的融資的兩倍多。

   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.

   具有政府擔保的PPP是真正的罪魁禍首。例如在可獲得性PPP方面,無論設施是否得到充分利用,政府都要為設施可用這一事實買單。其中一個示例是為提供醫院設施而支付的固定年度費用。其他成本可能是或有負債,即如果收入沒有達到一定水平,政府就會為付款提供擔保,例如如果收入沒有達到合同金額或未履行債務,政府就會向電力生產商補充付款。這些安排給政府帶來的財政負擔與其直接借貸時相同,但支付義務不包括在政府債務中。這樣債務支付通常被隱藏在公眾視線之外。他們對政府的總成本應清晰,透明地計算,以確定他們是否物有所值。如果透明度不足則意味著PPP有可能比傳統方法更昂貴。這加強了該區域對資源充足和管理得當的PPP單位的需求。

【相關閱讀】
BHI工程咨詢(甲級資質)

PPP各地區項目

PPP各類型項目

大乐透开奖号码查询