An Overview of Accountability Mechanisms in PublicPrivate Partnerships in South Africa.docx

1、An Overview of Accountability Mechanisms in Public Private Partnerships in South AfricaUfahamu: A Journal of African StudiesUCLAPeer Reviewed同行评审Title:题目： An Overview of Accountability Mechanisms in Public - Private Partnerships in South Africa南非的公私合作问责机制概述Journal Issue:期刊号：Ufahamu: A Journal of Afr

2、ican Studies, 37(1)Ufahamu:非洲研究杂志，37（1）Author:作者：Fombad, Madeleine, UNISAFombad, Madeleine, UNISAPublication Date: 2013出版日期：2013Permalink: http:/escholarship.org/uc/item/18j0h3ng永久链接：http:/escholarship.org/uc/item/18j0h3ngAuthor Bio: DeKeywords:关键词：accountability public private partership South Afri

3、ca责任 公共合作 南非Local Identifier: international_asc_ufahamu_13947Abstract:摘要Public-private partnerships (PPPs) are generally envisaged by countries around the world as major innovative policy tools that will remedying the lack of dynamism in traditional public service delivery by increasing investment i

4、n infrastructure as well as improving the delivery of social services. To this end, the South African government since 1999 has adopted the use of PPPs as an integral strategy in its national and international developmental plan. However, with the growing trends in international best practice, notic

5、eable loopholes and omissions have been observed in the existing PPP legal framework resulting in some accountability gaps. Therefore, if the government needs to compliment its developmental aspirations, there is a need to instill the confidence and competitiveness amongst bidders to use PPPs as coh

6、erent developmentorientated best value tool to deliver services and infrastructures to taxpayers. This paper therefore draws attention to some of the accountability challenges resulting from the PPP legal framework and suggests some techniques that could serve as a platform for the possible review a

7、nd amendment of core competencies公私合作（PPPs）一般被设想为世界各国主要的创新政策工具，将通过增加基础设施投资和改善提供的社会服务来弥补传统公共服务所缺乏的活力。为此，自1999年以来，南非政府已通过利用公私合作作为其在国家和国际的发展计划中一项不可或缺的战略。然而，随着国际最佳做法对公私合作的问责机制与良好治理的趋势增长，明显的漏洞和疏忽在现有的公私合作的法律框架下被发现。因此，如果政府要实现其发展愿景，有必要通过使用公私合作作为连贯和发展的最佳工具向纳税人提供服务和基础设施，来向投标人灌输信心和竞争。因此，本文关注一些由公私合作的法律框架所带来的问责制

8、挑战，并提出一些技术，这些技术可以作为一个可能进行审查和修订核心竞争力的平台。Copyright Information:All rights reserved unless otherwise indicated. Contact the author or original publisher for any necessary permissions. eScholarship is not the copyright owner for deposited works. Learn more at http:/www.escholarship.org/help_copyright.ht

9、ml#reuseAn Overview of Accountability Mechanisms in Public-Private Partnerships in South Africa 南非的公私合作问责机制概述Abstract 摘要Public-private partnerships (PPPs) are generally envisaged by countries around the world as major innovative policy tools that will remedy the lack of dynamism in traditional publi

10、c service delivery by increasing investment in infrastructure as well as improving the delivery of social services. To this end, since 1999 the South African government has adopted the use of PPPs as an integral strategy in its national and international developmental plan. However, with the growing

11、 trends in international best practice for accountability and good governance in PPPs noticeable loopholes and omissions have been observed in the existing PPP legal framework. Therefore, if the government needs to fulfil its developmental aspirations, there is a need to instill the confidence and c

12、ompetitiveness amongst bidders to use PPPs as coherent and development-orientated best value tools to deliver services and infrastructures to taxpayers. Hence, this paper draws attention to some of the accountability challenges resulting from the PPP legal framework and suggests some techniques that

13、 could serve as a platform for the possible review and amendment of core competencies 公私合作（PPPs）一般被设想为世界各国主要的创新政策工具，将通过增加基础设施投资和改善提供的社会服务来弥补传统公共服务所缺乏的活力。为此，自1999年以来，南非政府已通过利用公私合作作为其在国家和国际的发展计划中一项不可或缺的战略。然而，随着国际最佳做法对公私合作的问责机制与良好治理的趋势增长，明显的漏洞和疏忽在现有的公私合作的法律框架下被发现。因此，如果政府要实现其发展愿景，有必要通过使用公私合作作为连贯和发展的最佳工具

14、向纳税人提供服务和基础设施，来向投标人灌输信心和竞争。因此，本文关注一些由公私合作的法律框架所带来的问责制挑战，并提出一些技术，这些技术可以作为一个可能进行审查和修订核心竞争力的平台。 Keywords 关键词Public-private partnership, accountability, community participation, transparency, Millennium Development Goals 公私合作、 问责制、 社区参与、 透明度、千年发展目标An Overview of Accountability Mechanisms in Public-Priva

15、te Partnerships in South Africa 南非的公私合作问责机制概述1. Introduction 导论 Public-private partnerships (PPPs) are envisaged by countries around the world as major innovative policy tools that will remedy the lack of dynamism in traditional public service delivery by increasing investment in infrastructure as w

16、ell as improving the delivery of social services. To this end, since 1999 the South the African government has adopted the use of PPPs as an integral strategy in its national and international developmental plan to improve its deeply rooted socio-economic, political, fiscal, and societal problems. E

17、xamples of the development strategies are the Millennium Development Goals (MDG), the Accelerated and Growth Initiative for South Africa (Asgi-SA), the Medium Term Strategic Framework (MTSF, 20092014), and the National Development Plan (NDP) that charts the development and progress of the country un

18、til 2030. South Africa is the leading sub-Saharan country in PPPs, with robust legislation and policies. The country has completed some of the most successful PPPs, amongst which are the Gautrain state-of-the-art rapid rail network, the Inkosi Albert Luthuli Hospital, and toll roads such as the N1,

19、N2, N3, and N4. However, with the growing trends in international best practice for accountability noticeable loopholes and omissions have been observed in the existing legal framework for PPPs., resulting in accountability gaps. Therefore, if the government has to fulfil its developmental aspiratio

20、ns, there is a need to instill confidence amongst bidders that PPPs remain a coherent and development-orientated best value tool to deliver services and infrastructures to taxpayers. 公私合作（PPPs）一般被设想为世界各国主要的创新政策工具，将通过增加基础设施投资和改善提供的社会服务来弥补传统公共服务所缺乏的活力。为此，自1999年以来，南非政府已通过利用公私合作作为其在国家和国际的发展计划中一项不可或缺的战略。

21、发展战略的例子包括千年发展目标（MDG）、对南非倡议的加速、增长(Asgi- SA)、中期战略框架 （MTSF，2009年-2014 年）和国家发展计划 （NDP），为直到 2030 年的国家进步与发展描绘出一副宏图。南非有稳定的法律和政策，在公共合作领先于撒哈拉沙漠以南的国家。国家已经完成了一些最成功的公私合作，其中包括高腾省使用最先进技术的高速铁路网络项目，因科西阿尔伯特卢图利医院项目和如 N1、N2、 N3和N4收费公路项目。然而，随着国际最佳做法对公私合作的问责机制与良好治理的趋势增长，明显的漏洞和疏忽在现有的公私合作的法律框架下被发现，从而在问责制方面产生了差距。因此，如果政府要实现

22、其发展愿景，有必要通过使用公私合作作为连贯和发展的最佳工具向纳税人提供服务和基础设施，来向投标人灌输信心和竞争。This paper therefore draws attention to some of the shortcomings of the PPP legal framework in relation to enhancing accountability and suggests some techniques that could serve as a platform for the possible review and amendment of the core co

23、mpetencies for PPPs. First, taking stock of the fast-growing literature on PPPs, a working definition of PPP is proposed. The second section expounds on the concept of accountability. The third section provides an appraisal of the challenges to accountability in PPPs in South Africa. The fourth sect

24、ion suggests some mechanisms for enhancing accountability in PPPs. 因此，本文关注一些由公私合作的法律框架所带来的问责制挑战，并提出一些技术，这些技术可以作为一个可能进行审查和修订核心竞争力的平台。第一部分通过快速增长的文献对公共合作进行评估，提出了PPP的工作定义。第二部分论述了问责制的概念。第三部分提供了对南非问责制的挑战的评估。第四部分对提升公共合作的问责机制提出了一些提出了一些方法。 2. What are PPPs? Although PPPs have existed in some form since the R

25、oman Empire, e.g., private tax and toll roads, there remains some ambiguity as to what exactly this concept entails. The definition varies amongst authors jurisdictions and contexts. In general, it accommodates a variety of cooperative, long-term arrangements between the government and the private s

26、ector whereby risk, rewards, resources, skills, expertise, and finance are shared to improve infrastructure networks and enhance service delivery in the form of contracting out, outsourcing, donation, or privatization of public good. Two definitions are relevant to the understanding of PPPs within t

27、he context of this paper. First, PPPs are defined as a partnership between the public and private sector pursuant to a long-term contractual agreement involving high capital cost, lengthy contract periods, and sharing of risks (Australia 2006). The second definition specifies relationships beyond co

28、ntractual commitments and captures elements of trust, mutual commitment, and social and community obligations. To this end, Bovaird (2004) defines PPPs as working arrangements based on a mutual commitment over and above that implied in any contract between a public- sector organization and any other

29、 organization outside the public sector. The different models of PPPs already in implementation in South Africa are the Design Finance Operate (DFO); Design, Finance, Build, Operate, Transfer (DFBOT); Design and Transfer (DT); Build Operate, Transfer (BOT) and equity partnerships (Treasury Regulatio

30、n 16; South Africa 2004c). 3. Accountability in PPPs Accountability is rooted in the effective principles of good governance and the fundamental values of a democratic society. It is increasingly recognized that governance principles and norms should be incorporated in the operationalization and des

31、ignated objectives of PPPs (Hodge and Greve 2005; Clifton and Duffield, 2006; UNECHE 2008; Brinkerhoff and Brinkerhoff 2011). Given the increased use of PPPs, issues surrounding their accountability are becoming critical. Three main dimensions of accountability that are useful for understanding acco

32、untability in PPPs in practical terms are the hierarchical perspective, the horizontal perspective, and accountability as a virtue. The hierarchical perspective is based on the traditional mode of accountability, where the vertical chain of authority and the principal and agent relations are inherent in hierarchical and bureaucratic situations (Mulgan 2003; Armstrong 2005; Bovens 2007). Within the context of PPPs, hierarchical accountability reflects a structure where individuals perceive themselves as responsible for reporting, justifying, or explain