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Framework

policies, procedures and institutions for successful PPPs

This section of the PPP cycle walks through the characteristics of a robust PPP framework. A PPP framework includes the policy, procedures, institutions, and rules that together define how PPPs will be identified, assessed, selected, budgeted for, procured, monitored, and accounted for.

The four stages and sub-stages of a typical PPP project

Although PPPs can be implemented on a one-off basis, without any specific supporting policy framework, most countries with a successful PPP program have built it on a sound framework. Establishing a clear framework communicates the government’s commitment and helps ensure good governance by promoting efficiency, accountability, transparency, fairness, and participation. These benefits in turn can help generate private sector interest and public acceptance of PPPs. 

Components of a sound PPP framework: policy, legal framework, governance, institutional, financial

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    • 2014
    • Asian Development Bank (ADB), World Bank Group (WBG), Inter-American Development Bank (IDB), PPIAF

    PPP Framework

    PPP Reference Guide Version 2.0

    The PPP Reference Guide presents a global overview of the diversity of approaches and experiences in the implementation of PPPs, providing an entry point to the substantial body of knowledge on PPPs that has been built up by practitioners in governments, the private sector, international institutions, and academics. It seeks to provide advice on what PPP practitioners should know, rather than provide advice on what to do. Module 2 describes the policy, legal, regulatory, and institutional framework most conducive to successful PPPs.

    • 2014
    • European Investment Bank (EIB)

    The EPEC PPP Guide

    The European PPP Expertise Centre (EPEC) has published several versions of its Guide to Guidance over the last few years. The Guide to Guidance is principally aimed at public procuring authorities considering the use of public-private partnership (PPP) arrangements. Given the positive feedback it has received, EPEC decided to turn the Guide to Guidance into a webtool rebranded as the EPEC PPP Guide. The aim of the EPEC PPP Guide is to give users easy access to regularly updated PPP guidance and allow them to interact with the EPEC team (e.g. propose new guidance, rate the EPEC PPP Guide).  

    • 2016
    • United Nations Economic and Social Commission for Asia and the Pacific (ESCAP)

    E-Learning Series on Public-Private Partnerships

    The ESCAP E-Learning series on PPPs consists of six modules that cover major areas related to PPPs, the E-Learning series contains essential knowledge for government officials considering to go down the PPP path and constitutes an ideal introduction to more advanced courses. The third module provides guidance through the main steps required to develop a PPP programme. The key questions addressed in this module are: How can governments best facilitate the development of PPP projects, and what can governments do to foster a PPP enabling environment?

    • 2010
    • Edward Farquharson, Clemencia Torres de Mästle, E.R. Yescombe, and Javier Encinas
    • PPIAF

    How to Engage with the Private Sector in Public-Private Partnerships in Emerging Markets

    This guide reviews the necessary steps to successfully engage and manage a public-private partnership (PPP) from the early stages. It presents a framework that highlights the requirements, options, and challenges that governments face when embarking into PPPs, and explains how to address them so that a sound PPP program can be implemented and the benefits for both public and private partners can fully materialize. This book draws on experiences from both mature and developing PPP markets across the world, and case studies illustrate the key messages throughout. It discusses the policies, processes, and institutions needed to select the right projects and then manage preparation for market and operation. It identifies the underlying...

    • 2010
    • H.K. Yong
    • Commonwealth Secretariat, United Kingdom

    Public-Private Partnerships Policy and Practice

    Public–Private Partnerships Policy and Practice provides guidance on public-private partnership theory and practice for senior policy-makers and other public sector officials in developing countries. The guide focuses on the key lessons learned, and emerging best practices, from both successful and failed PPP transactions over a thirty-year period. The guide explains relevant concepts in non-specialist language. Each section begins with a summary of its key points, and provides a high-level outline. Page 33 provides a checklist for modern concession law principles from the European Bank for Reconstruction and Development (EBRD).

    • 2012
    • OECD
    • Organisation for Economic Co-operation and Development (OECD)

    Recommendation of the Council on Principles for Public Governance of Public-Private Partnerships

    This document contains recommendations of the Council on Principles for Public Governance of Public-Private Partnerships. 

    • 2007
    • Organisation for Economic Co-operation and Development (OECD)

    OECD Principles for Private Sector Participation in Infrastructure

    On 20 March 2007, the OECD Council approved the OECD Principles for Private Sector Participation in Infrastructureto help governments work with private sector partners to finance and bring to fruition projects in areas of vital economic importance,such as transport, water and power supply and telecommunications. They are intended to be used for government assessment, action plans and reporting, international co-operation and public-private dialogue, in conjunction with other OECD instruments, such as the Policy Framework for Investment and the OECD Guidelines for Multinational Enterprises.

    • 2011
    • ADB, EIU
    • Asian Development Bank (ADB), The Economist Intelligence Unit

    Asia-Pacific 2011 Infrascope

    Evaluating the Environment for Public-Private Partnerships

    This document comprises a summary and analysis of a benchmark index and learning tool that assesses the capacity of countries in the Asia-Pacific region to carry out sustainable public-private infrastructure partnerships, as of June 2011. The methodology is based on a similar study of Latin America and the Caribbean published in 2009 and 2010. The index was built by the Economist Intelligence Unit and commissioned by the Asian Development Bank (ADB).  

    • 2012
    • European Bank for Reconstruction and Development (EBRD), The Economist Intelligence Unit

    Eastern Europe and the Commonwealth of Independent States: 2012 Infrascope

    Evaluating the Environment for Public-Private Partnerships

    This first edition of the EECIS Infrascope provides a snapshot of PPP readiness across the region. It benchmarks countries against each other, focusing on the sustainability of PPPs by evaluating the rules, processes, institutions and practices in place to create and oversee them. The methodology is the same as that used for Infrascope reports covering Latin America and the Caribbean and Asia in 2010 and 2011.

    • 2014
    • Inter-American Development Bank (IDB), The Economist Intelligence Unit

    Latin America and the Caribbean 2014 Infrascope

    Evaluating the Environment for Public-Private Partnerships

    This document is the fourth edition of an informational tool and benchmarking index that assesses the capacity of countries in Latin America and the Caribbean to carry out sustainable publicprivate partnerships (PPPs) in infrastructure. The study is based on a methodology developed in 2009 and revised in 2010. The analysis and content of this index covers the period from May 2014 to August 2014. The index was built by The Economist Intelligence Unit (EIU) and is supported financially by the Multilateral Investment Fund (MIF), a member of the Inter-American Development Bank Group. The views and opinions expressed in this publication are those of the EIU and do not necessarily reflect the official position of the MIF.

    • 2010
    • Timothy Irwin, Tanya Mokdad
    • World Bank Group (WBG), PPIAF

    Managing Contingent Liabilities in Public-Private Partnerships: Practice in Australia, Chile, and South Africa

    Governments that use public-private partnerships (PPPs) to build infrastructure usually acknowledge contingent liabilities. Examples include contingent liabilities regarding early contract termination, or debt and revenue guarantees. Governments can face difficulties as they consider whether or not to assume these liabilities, and how to value, monitor, and limit liability. This report reviews how governments in Australia, Chile, and South Africa have tackled these problems, and explores whether other governments (such as governments with less administrative capacity) should adopt comparable practices. All three countries rely on careful project preparation, competitive bidding, and a review of proposed PPPs by a specialized unit in the...

    • 2014
    • Asian Development Bank (ADB), World Bank Group (WBG), Inter-American Development Bank (IDB), PPIAF

    Marco para las APP

    Asociationes Publico-Privadas: Guia de Referencia

    • 2015
    • European PPP Expertise Centre (EPEC), European Investment Bank (EIB)

    A Programme Approach to PPPs

    Lessons from the European Experience

    A PPP program approach brings individual PPP projects together to deliver them in a coordinated way. This usually involves projects with a common objective such as a sector focus. A PPP program uses tools and resources, such as standardized documents or a specialized team, to deliver PPP projects more effectively and efficiently than might be the case with delivering projects individually. PPP programs have been, and continue to be, used across Europe in a range of sectors. There are a number of ways in which projects can be grouped together to improve delivery and management. This report focuses on program approaches that have been used to group projects where there is a strong sectoral basis and consequent benefits for doing...

For legal and regulatory resources go to PPPIRC

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