基础设施建设评估（英）.pdf

PPP Regulatory Landscape:Assessing Quality and Exploring ReformsBenchmarkingInfrastructureDevelopmentPublic Disclosure AuthorizedPublic Disclosure AuthorizedPublic Disclosure AuthorizedPublic Disclosure Authorized 2024 International Bank for Reconstruction and DevelopmentThe World Bank1818 H Street NWWashington,DC 20433Telephone:[phone]Internet:www.worldbank.orgThis work is a product of the staff of The World Bank with external contributions.The findings,interpretations,and conclusions expressed in this report are entirely those of the authors and should not be attributed in any manner to The World Bank Group,to its affiliated organizations,or to members of its Board of Executive Directors or the countries they represent.The World Bank Group neither guarantees the accuracy of the data included in this publication nor accepts responsibility for any consequence of their use.The boundaries,colors,denominations,and other information shown on any map in this report do not imply on the part of The World Bank Group any judgment on the legal status of any territory or the endorsement or acceptance of such boundaries.For questions about this publication or information about ordering more copies,please e-mail:benchmarkinginfrastructureworldbank.org.Rights and PermissionsThe material in this work is subject to copyright.Because The World Bank Group encourages dissemination of its knowledge,this work may be reproduced,in whole or in part,for noncommercial purposes as long as full attribution to this work is given.Any queries on rights and licenses,including subsidiary rights,should be addressed to World Bank Publications,The World Bank Group,1818 H Street NW,Washington,DC 20433,USA;fax:[phone];e-mail:pubrightsworldbank.org.2Measuring the Legal and Regulatory Quality to Prepare,Procure,and Manage PPPs 24Regulatory Frameworks and Institutional Arrangements for PPP Projects 25Regulatory Frameworks for PPPs 25Institutional Arrangements for PPPs 28Preparation of PPPs 31Assessments of PPPs 35Fiscal Treatment of PPPs 37Procurement of PPPs 40PPP Procurement Methods 46Standstill Period 49Contract Management 51Contract Management System:Oversight Mechanisms 55Mechanisms Addressing Changes to the Contract 57Unsolicited Proposals 61Regulatory Framework for USPs 64Competitive Bidding and Minimum Time Limit 65Incentive(Compensation)Mechanisms 67Disclosure of Information Throughout PPP Life Cycle 68Acknowledgments 6Abbreviations 7Key Messages 8Overview 10ContentsBuilding Ecosystems for Successful Infrastructure PPP Programs 16Introduction 17Beyond Regulations:Country Paths to Achieving PPP Program Success 18PPP Regulatory Reforms and Infrastructure Investments 1914Benchmarking Infrastructure DevelopmentUnderstanding PPP Regulatory Reforms Through Country Case Studies 72Ghana 75Panama 77Saudi Arabia 79Ukraine 81Conclusions 85Economy Data Tables for PPP Scores 91References 116Endnotes 11835ContentsAcknowledgments Benchmarking Infrastructure Development(BID)is a product of the World Banks Infrastructure Finance Practice Group.It was prepared by a team led by Fernanda Ruiz Nuez and Mikel Tejada Ibaez.Guangzhe Chen,Imad Fakhoury,Sebastian Molineus,Fatouma Ibrahima Wane,Aijaz Ahmad,and Maria Vagliasindi provided overall guidance during the preparation of this report.The core team members included Iana Djekic,Isabela Franco Emerick Albergaria,and Maroi Kouka.Alejandro Sicra and Khasankhon Khamudkhanov provided data analysis.Mumba Ngulube,Fernanda Ruiz Nuez,and Maria Vagliasindi produced the analytical background paper under this flagship report.Seong Ho Hong and Deblina Saha provided support with World Bank Private Participation in Infrastructure(PPI)data.Jyoti Bisbey assisted with the preparation of country case studies.The team would like to offer special thanks to the formal peer reviewers of this report:Mazen Alsad,Daron Bedrosyan,Henri Blass,Bekele Debele,Vivien Foster,Antoni Albert Nogues Comas,Victoria Hilda Rigby Delmon,Edgar Saravia,Stephane Straub,Tea Trumbic,and Namoos Zaheer.The Public-Private Infrastructure Advisory Facility(PPIAF)provided financial support for the reports PPP regulatory reform analysis.The report was edited by Luba Vangelova and designed by a team from Base Three LLC,led by Marianne Siblini.Fernando Di Laudo was responsible for overseeing the reports knowledge management and outreach strategy,and Erin Scronce and Alia Nankoe managed the reports media and external outreach components.Benchmarking Infrastructure Development would not have been possible without the generous contributions of a network of almost 1,200 local public-private partnership(PPP)legal experts,private sector operators,academics,government officials,and other professionals administering or advising on PPP procurement processes in the 140 economies surveyed.The names of those wishing to be acknowledged individually are listed at http:/bpp.worldbank.org.6Benchmarking Infrastructure DevelopmentAbbreviationsADB Asian Development BankBID Benchmarking Infrastructure DevelopmentBAFObestandfinalofferBOT build-own-transfer EIA environmental impact assessmentESA European System of Accounts IPSAS International Public Sector Accounting StandardsMoF Ministry of FinancePDF project development fundsPPI Private Participation in InfrastructurePPP public-private partnershipRFP request for proposalsSIA social impact assessmentUSP unsolicited proposalVfM value for money RegionsAFE Eastern and Southern Africa AFW Western and Central AfricaEAPEastAsiaandPacificECA Europe and Central AsiaLAC Latin America and the CaribbeanMENA Middle East and North AfricaOECD Organisation for Economic Co-operation and DevelopmentSAR South Asia7Abbreviations051015202530Related trends of PPP investment and economies adopting PPP regulatory reformsRegulatory PPP reforms associated with almost US$488 million increase in infrastructure PPP investments*New evidence developed for this study confirms the significant correlation between PPP regulatory reforms and PPP investments.Benchmarking Infrastructure Development:Key Messages Countries have strengthened their PPP regulatory frameworks,with 45 economies passing reforms that impacted their BID scores between June 2019 and June 2022.Most of the changes have been seen in contract management practices and in the Middle East and North Africa(MENA)region.20250Note:*The correlation was determined using data from the average country in the sample,which has a gross domestic product(GDP)per capita of US$4,000,spanning the years 1990 to 2019.PreparationProcurementContract managementUSPFigure ES1:Number of Economies Adopting Major PPP Regulatory Reforms and Total PPP Investments(US$,billions),1990-2022Figure ES2:Number of Economies with PPP Regulatory Reforms Increasing BID Scores by Thematic Area and Region(June 1,2019-June 1,2022,N=140).Viet NamLao PDRIndonesiaCambodiaPanamaEcuadorDominican RepublicBrazilArgentinaUkraineMontenegroArmeniaEstoniaPPP investment,all sectors(US$,billions)Number of economies adopting major PPP regulatory reformsPresented data for 6 months04812160501001502001990199520002005201020152022PPP investment,all sectorsNumber of economiesUnited Arab EmiratesSaudi ArabiaQatarMoroccoJordanEgypt,Arab Rep.TanzaniaSudanMalawiTogoSenegalGuineaGhanaChadViet NamLao PDRIndonesiaUkraineMontenegroKyrgyz RepublicPanamaEcuadorDominican RepulicParaguayEcuadorDominican RepulicUkraineArmeniaViet NamLao PDRUnited Arab EmiratesSaudi ArabiaMoroccoLebanonJordanEgypt,Arab Rep.DjiboutiTanzaniaMalawiKenyaBotswanaAngolaZimbabweSudanSomaliaAngolaTogoGuineaGhanaChadTogoGhanaPanamaEcuadorDominican RepulicPolandGreeceTrkiyeUzbekistanUkraineMontenegroArmeniaAlbaniaViet NamPhilippinesLao PDRIndonesiaCambodiaUnited Arab EmiratesTunisiaSaudi ArabiaQatarJordanSaudi ArabiaQatarEgypt,Arab Rep.TanzaniaSudanMalawiAngolaNepalPakistanGreecePolandEastern and Southern AfricaEast Asia and PacificOrganisation for EconomicCo-operation and DevelopmentMiddle East and North AfricaWestern and Central AfricaEurope and Central AsiaLatin America and the CaribbeanSouth AsiaTogoSenegalGuineaGhanaChadUS$488 mil.increase in infrastructurePPP investments128Benchmarking Infrastructure Development051015202530Related trends of PPP investment and economies adopting PPP regulatory reformsRegulatory PPP reforms associated with almost US$488 million increase in infrastructure PPP investments*New evidence developed for this study confirms the significant correlation between PPP regulatory reforms and PPP investments.Benchmarking Infrastructure Development:Key Messages Countries have strengthened their PPP regulatory frameworks,with 45 economies passing reforms that impacted their BID scores between June 2019 and June 2022.Most of the changes have been seen in contract management practices and in the Middle East and North Africa(MENA)region.20250Note:*The correlation was determined using data from the average country in the sample,which has a gross domestic product(GDP)per capita of US$4,000,spanning the years 1990 to 2019.PreparationProcurementContract managementUSPReforms tend to be concentrated in certain areas,leaving many relatively simple and useful reforms systematically left on the table across the world.636427444627Procurement64653057591820202023Number of economies that increased their scoreGlobal progress on PPP regulatory quality from these reforms has been modest,averaging two out of 100 score points.PPP preparation remains the thematic area with the most room for improvement,particularly for low-income and Western and Central Africa(AFW)economies.13%19%18%15%20%19%11%26%26%5%Minimum time to submitalternative bids:at least 90 daysOperation performanceinfo published onlineContract management teamwith required specific qualificationsConstruction performanceinfo published onlineSpecific procedure for sole proposalMinimum time to submitthe bids:at least 60 daysDebriefing meeting regulatedAssessment includedin tender documentsProcurement strategyUSPContractmanagementProcurementPreparationMarket soundingtechnologicalalternatives and innovationsUS$488 mil.increase in infrastructurePPP investments1234PreparationContract managementUSPEven economies that have undergone significant reforms can further refine their regulatory frameworks.The projects website,http:/bpp.worldbank.org,has all the details,with specific good international regulatory practices yet to be adopted by each of the 140 economies.Source:Benchmarking Infrastructure Development 2023.5Figure ES3:Average PPP Score by Thematic Area in 2020 and 2023(score 1-100,N=140)Figure ES4:Lowest Adoption of Good International Practices by Score Area(percent,N=140)9AbbreviationsKey MessagesOverview10Benchmarking Infrastructure Development Increasing efficiencies in delivering infrastructure services is at the core of addressing the infrastructure gap,and the private sector plays a crucial role.Numerous countries have turned to private sector participation in infrastructure development to achieve these efficiencies and catalyze private capital investments.Although there are different modalities to procure infrastructure,many countries have extensively used public-private partnerships(PPPs)to deliver successful programs.This report aims to provide a better understanding of the governance factors that contribute to successful PPP programs(Chapter 1);assess the quality of the PPP regulatory frameworks globally,and identify areas of improvement(Chapter 2);and provide greater insights into the complexity of the most recent regulatory reforms through country case studies(Chapter 3).Building Ecosystems for Successful Infrastructure PPP Programs(Chapter 1)To make the transition from a single project to a successful program,countries need a robust PPP ecosystem.Strengthening the PPP ecosystem is an evolving journey.As evidenced by many countries,such as Colombia,Kenya,and the Philippines,this process requires numerous actions to be taken,including making regulatory and institutional reforms,developing mechanisms to reduce project risks,securing project preparation funding to create a pipeline of viable projects,and consistently adapting to changes in market conditions.Regulatory quality is only one ingredient of the PPP ecosystem,yet empirical evidence suggests that it plays an important role in attracting PPP infrastructure investments.PPP experts agree that good governance gives the private sector a more predictable,stable,and safe investment climate for PPP projects.The empirical literature,such as Hammami,Ruhashyankiko,and Yehoue(2006),Moszoro et al.(2015),and Kumar(2019),supports the hypothesis that higher governance quality is positively associated with increased levels of PPP investments.Using primary data collected as part of Benchmarking Infrastructure Development(BID)2023 and the World Bank Private Participation in Infrastructure(PPI)database,this study fills a critical gap in knowledge and contributes to the World Bank Knowledge Compact and the Private Capital Enabling(PCE)agendas.This report provides fresh insights into the role of PPP-specific major regulatory reforms in unlocking PPP investments.It shows that there is a positive correlation between adopting a major PPP regulatory reform and PPP investments.Even though causality cannot be confirmed,the data suggest that when major PPP regulatory reforms are implemented,there tends to be an average increase in infrastructure PPP investments in transport,energy,water,and information and communication technology(ICT)of approximately US$488 million,and US$211 million when only the transport sector is considered,with the latter having a higher statistical significance two years after the reform.Those correlations are estimated for the average country with a mean gross domestic product(GDP)per capita of approximately US$4,000 during 1990-2019.Using the BID 2023 database,this report assesses the regulatory quality of preparing,procuring,and managing PPP infrastructure projects in 140 economies.This initiative builds on the success of the 2020 edition and uses the same methodology,questionnaire,and geographical coverage.It aims to support evidence-based regulatory reforms to improve the environment that enables the development of high-quality PPP infrastructure projects.BID focuses on the different phases of the infrastructure project cycle,including preparation,procurement,and contract management.It also assesses the management of unsolicited proposals(USPs)and highlights the importance of disclosure of information for PPP projects.It only assesses regulations at the national/federal level,providing de jure indicators that are strictly regulatory based.11Overview Primary data were collected under BID 2023,and the data are available online,along with economy profiles,customized queries,and additional methodological details.BID 2023 presents the PPP regulatory landscape as of June 1,2022,and provides actionable indicators to improve the PPP regulatory framework.The projects revamped and