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INSTITUTIONALFRAMEWORKFORPUBLIC-PRIVATEPARTNERSHIPSININFRASTRUCTURE基础设施基础设施基础设施基础设施PPPPPPPPPPPP制度框架制度框架制度框架制度框架JUNGLIMHAHM,PSDSPECIALIST,WORLDBANKPPPIWorkshop,Qingdao,China,June23-25,2009Introduction简介Partnership伙伴关系Private私营部门Public公共部门BestPracticeinPPP�Legislationhasclearandtransparentprocedure�Institutionswithclearmandateandenoughcapacity�Governmentwithvisionandleadership�Projectswellselected,analyzedup-front�Qualifyofservicecanbereadilydefinedandmeasured�Adequaterisktransfertotheprivatesector�Competitionandcapacityinthemarket�Monitoringandevaluationprocedureinplace�IncentivebasedregulationPPP项目最佳实践�立法程序清晰透明�相关机构权责清晰、能力充分�政府具有战略眼光和领导力�项目选取合理，前期分析充分�(项目提供的)服务质量可被界定和衡量�风险向私营部门的合理转移�市场竞争和能力�监控和评估程序到位�基于激励的监管Experienceismorelikelytobe…�LegislationseemstocreatemoreconfusionthantogiveclearinstructiononhowtodoPPPbothinpublicandprivatesector�Therearewillingandcapablegovernmententitiesbutmorecoordinationisrequired.�It’sopaquewhatgovernmentaimstoachievethroughPPP:Fiscalspace?Efficiency?�Selectinganddesigningprojectsarenotfreeofpoliticalandsocialpressure�Analyzingprojectsoftenhastoomuchofoptimisticbias�Projectsarenotbankable�Notenoughnumberofequityinvestors,nolongtermlendingmarket,lessenthusiasticinternationalinvestors�Insufficientconsiderationisgiventotheoperatingstage经验基本表明...�相关法规似乎对公共和私营部门如何运作PPP造成更多混淆而不是提供明确的指导�政府有意愿和能力，但需要更多的协调�政府采用PPP的目标不明确：财政余地？效率？�项目选择和设计难逃政治和社会压力�项目分析常常存在过于乐观的偏见�项目不能被银行接受�没有足够的资本金投资者，缺乏长期借贷市场，缺少积极的国际投资者�没有充分考虑经营阶段ChallengingEnvironment严峻的市场环境NewPrivateInfrastructureProjectandAssociatedInvestmentCommitmentReachingClosureinDevelopingCountries,Jul2003-Mar2009发展中国家私营基础设施新项目数量和相应完成的投资额，2003.7-2009.3Source:WBandPPIAF,PPIProjectandImpactofFinancialCrisisonPPIDatabase出处：世行和公私基础设施咨询基金，公私基础设施项目(PPI)和金融危机对PPI的影响ChallengingEnvironment严峻的市场环境InfrastructureProjectwithPrivateParticipationReachingClosureinMainRecipientsandRestofDevelopingCountries,Jul2008-Mar2009主要受惠国和其他发展中国家中私营部门参与完成的基础设施项目，2008.6-2009.3Source:WBandPPIAF,PPIProjectandImpactofFinancialCrisisonPPIDatabase出处：世行和公私基础设施咨询基金，公私基础设施项目(PPI)和金融危机对PPI的影响WeakInstitutionsresultin…�PortugalpursueditsfirstPPPsinthemid-1990stomoreefficientlybuildnewinfrastructure�ThegovernmentPPPunitsufferedfromlackofexperiencewithPPPprojectsandinexperiencedstaff�Asaresult,Portugal’searlyPPPsweresubjectoconstantdelaysandcostoverruns–by2003,thecountry’sPPP-relatedliabilitiesamountedto10%ofGDP�Weakpublicsectorcapacitywasevidentininsufficientrisktransfertotheprivatesectoranddelaysingivinggovernmentapprovalsonessentiallandandenvironmentalaspects�45projectswerebidout(centralgov’ts),only10signedCA.�Weakqualitycontrolinbiddingdocuments,andcontractsespeciallyonlocalgov’tlevel�Nointernationalinvestorparticipation�Privatesectorfrustratedwithnoclearcommunicationchannel�LittleprogressinfinancingclosurePortugaluntil2003Portugaluntil2003Portugaluntil2003Portugaluntil2003****Korea1994-1999Korea1994-1999Korea1994-1999Korea1994-1999*Vikram,2006制度薄弱导致...�葡萄牙在上世纪90年代中期实施第一个PPP项目，以更有效率地建设新基础设施�政府的PPP工作组缺少PPP项目经验和有经验的工作人员�因此，葡萄牙早期的PPP项目遭受了持续的延误和成本超支-截至2003年，该国PPP相关的负债已占其GDP的10%�政府能力不足体现在向私营部门转移的风险不足，在给予有关必要土地和环保的政府批准方面出现延误�中央政府招标45个项目，只有10个项目签订了特许权协议�招标文件和合同(特别是地方政府层面)的质量控制不力�没有国际投资者的参与�私营部门受挫于缺乏明确的(与政府)沟通的途径�在融资完成方面进展甚微葡萄牙葡萄牙葡萄牙葡萄牙截至截至截至截至2003200320032003****韩国韩国韩国韩国1994-19991994-19991994-19991994-1999*Vikram,2006BuildingInstitutionsforPPPPPP的制度建设PrioritytostrengtheningtheinstitutionalframeworkSource:IMF,2004优先加强制度建设出处:国际货币基金组织,2004RemedyforsuccessfulPPP?改进以保证PPP成功小组PublicInfrastructure公共基础设施PublicInfrastructure+PrivateParticipation公共基础设施+私营部门参与AdditionalFunctionsrequiredforPPPPPP项目需要的额外功能MinistryofPlanningMinistryofPlanningMinistryofPlanningMinistryofPlanningPPPCommitteePPPCommitteePPPCommitteePPPCommitteeMinistryofMinistryofMinistryofMinistryofTransportationTransportationTransportationTransportationMinistryofEnergyMinistryofEnergyMinistryofEnergyMinistryofEnergyMinistryofConstructionMinistryofConstructionMinistryofConstructionMinistryofConstructionMinistryofUrbanMinistryofUrbanMinistryofUrbanMinistryofUrbanInfrastructureInfrastructureInfrastructureInfrastructureLocalGovernmentsLocalGovernmentsLocalGovernmentsLocalGovernmentsPPPUnitPPPUnitPPPUnitPPPUnit�LeadingGovernmentMinistry�PPPUnit�RiskManagementUnit�PPPNods�PPPBoardMinistryofFinanceMinistryofFinanceMinistryofFinanceMinistryofFinanceOtherLineMinistriesOtherLineMinistriesOtherLineMinistriesOtherLineMinistries计划部计划部计划部计划部PPPPPPPPPPPP委员会委员会委员会委员会交通部交通部交通部交通部能源部能源部能源部能源部建设部建设部建设部建设部城市基础设施部城市基础设施部城市基础设施部城市基础设施部地方政府地方政府地方政府地方政府PPP工作组�牵头政府部委�PPP工作组�风险管理工作组�PPP小组�PPP董事会财政部财政部财政部财政部其他行业部委其他行业部委其他行业部委其他行业部委PPPUnit工作组WhatisPPPUnit?�SpecializedunitforassistingPPPprogram�Advisoryroleforpolicy+Transactionaladvisoryforprojects�InternationalexperienceshowscountrieswithPPPunitshavepositiveperformanceincludingUK,Australia,SouthAfrica,India,Korea�Location,mandates,governancevarycountrybycountry�Manycountrieshaveshownpositiveexperienceandit’sbecomingatrendinmanycountriesstartingPPPprogramtosetupaPPPunit�TherearenosingledesignofPPPunit,andallcountrynee