金砖国家政府和社会资本合作推动可持续发展技术报告（英）

entBRICSTaskForceonPPPandInfrastructure2022AbstractFacingthechallengessuchastheCOVID-19pandemic,climatechange,andsluggisheconomicrecovery,theBRICScountrieshavefurtherrealizedthatitisnecessarytopromotethesustainabledevelopmentoftheeconomy,societyandenvironmentwiththeguidanceoftheUnitedNations2030SustainableDevelopmentAgenda.Infrastructureplaysacrucialroleinthedevelopmentofhumansocietyandisalsoanimportantpillarforsustainabledevelopment.ThePublic-PrivatePartnerships(PPP),amarket-drivenapproach,isconducivetofacilitateprivatesectorinvestmentandinnovation,relieveshort-termfiscalburdenandsmoothgovernmentpaymentacrossPPPprojectlifecycle,andimprovethequalityofpublicgoodsandservices.PPPiswidelyrecognizedandappliedaroundtheworldnow.TheTechnicalReport,consistingoffourchapterswithtwoannexes,summarizesthegoodexperiencesandpracticeoftheBRICScountriesinpromotingsustainabledevelopmentthroughPPPinrecentyears.Thefirstchapterdescribesthebackgroundandobjectivesofthereport,pointingoutthatPPPisaneffectiveapproachfortheBRICScountriestodevelopinfrastructureandpromotesustainabledevelopment.ThesecondchaptersummarizestheprogressandeffectsofPPPineachBRICScountryintThethirdchapterintroducesthegoodexperiencesandpracticeoftheBRICScountriesinPPPregulatoryframework,institutionalarrangement,fiscalriskmanagement,andvariousstagesofthewholePPPprojectlifecycle,suchasplanning,design,procurement,financing,constructionandoperation.ThefourthchapterconcludesthekeylearningsandwayforwardtofuturePPPcooperationamongtheBRICScountries.TheAnnexIcompilestheprogress,achievementsandpracticalexperienceofeachBRICScountryonpromotingsustainabledevelopmentthroughPPP,andtheAnnexIIcollectsfromeachBRICScountry2or3goodPPPprojectcasestudies.TheTechnicalReportaimstocontributetopromotingtheinfrastructuredevelopmentintheBRICScountriesandprovidevaluablereferencestootherdevelopingcountriesthroughsharinggoodPPPpracticesandexperienceforsustainabledevelopment.Contentsckgroundsandobjectives PPPintheBRICScountriesinpromotingsustainabledevelopment 22.1Brazil 22.2Russia 32.3India 42.4China 5SouthAfrica 63.Goodpracticesandexperience 73.1Implementationofideasandimprovementofregulatoryframework 71PPPandsustainabledevelopment 8OptimizinggovernmentgovernanceimprovesbusinessenvironmentforPPP 83.1.3Regulatoryframeworkisunderongoingimprovement 8isadvocatedinnationalandindustrialdevelopmentstrategiesandplans 93.2Institutionalframework 93.2.1ThegovernmentagenciescooperatetopromotePPP 10ThePPPcentersarededicatedtopromotingandapplyingPPP 103.2.3Financingsupportmechanismhelpsinprojectfinancing 113.2.4Third-partyconsultingagenciesplayarole 113.2.5Theinformationplatformanddigitaltoolsimprovetheeffectiveness 12ifecyclemanagementofprojects Intheplanningstageprojectisinlinewithoverallplananddevelopmentpriorities 13Inthedesignstage,theideaofsustainabledevelopmentisembeddedintotheproject'swholelifecycle 14Intheprocurementstagethecriteriaonsustainabledevelopmentareemphasizedwhenselectingcompetentprivatepartners 14Duringfinancingitisvaluabletomakeuseoftheexpertiseongreenfinanceoffinancialinstitutions 153.3.5Intheconstructionstage,theprivatesectorconsciouslypracticestheideaofinabledevelopmentwiththesupervisionandsupportfromthegovernment 16Intheoperationstagetheprivatesectorensurestheprovisionofpublicgoodsandserviceswhilegovernmentsconductperformanceevaluationandpayaccordingly 163.4Fiscalcostandriskmanagement 17PPPfiscalcostandriskarecentrallymanagedbytheMinistryofFinance.17fiscalcostandriskmanagementstartfromtheearlystageoftheprojectandiscarriedoutthroughouttheproject'swholelifecycle 183.4.3ThetotalfiscalexpendituresofallPPPprojectsarecapped 184.Keylearningsandwayforward 19VyGoodPracticesandExperienceofPPPforSustainableDevelopment 1Brazil 21s 2.Goodpracticesandexperience 253.Outlook 34Russia 35s 2.Goodpracticesandexperience 363.Outlook 42India 44s 2.Goodpracticesandexperience 473.Outlook 65China 69ressesandachievements 2.Goodpracticesandexperience 723.Outlook 82a s 2.Goodpracticesandexperience 853.Outlook 90SustainableDevelopmentfromMemberCountries 91Brazil 91Case1:BR101/116/RJ/SP 91Projectsummary 12.Highlightsofprojectdevelopmentandimplementation 923.Projectoutcomes 92ojectimages gServicesintheCityofAracajuStateofSergipe 94Projectsummary 42.Highlightsofprojectdevelopmentandimplementation 953.Projectoutcomes 95ojectimages CaseConcessionofBlocks1,2,3and4ofCEDAE–RiodeJaneiroStateerandSewageCompanyPPP Projectsummary 72.Highlightsofprojectdevelopmentandimplementation 983.Projectoutcomes 98ojectimages Russia 100tionalTrackandTraceDigitalSystemChestnyZNAK 100Projectsummary 002.Highlightsofprojectdevelopmentandimplementation 1013.Projectoutcomes 101rojectimages CaseHighwayWesternHighSpeedDiameter"(WHSD) 103Projectsummary 032.Highlightsofprojectdevelopmentandimplementation 1043.Projectoutcomes 104rojectimages India 106Case1:PuneMetroRailLineIII-HinjewaditoShivajinagar 106Projectsummary 062.Highlightsofprojectdevelopmentandimplementation 1093.Projectoutcomes 110Projectimages 112ionsManagementandDevelopmentofAirportsvizuruGuwahatiJaipurandThiruvananthapuramthroughPublic-PrivatePartnership(PPP) 114.Projectsummary 1142.Highlightsofprojectdevelopmentandimplementation 1173.Projectoutcomes 118rojectimages China 128ePPPProjectofSpecialtyTownforHomeFurnishingIndustryofNankangDistrictinGanzhouCity,JiangxiProvince 128Projectsummary 282.Highlightsofprojectdevelopmentandimplementation 1293.Projectoutcomes 130rojectimages ciencyWatersavingIrrigationin Projectsummary 352.Highlightsofprojectdevelopmentandimplementation 1373.Projectoutcomes 139 eThePPPProjectofSmartJinnanandDataLakePhaseIinJinnanDistrict,TianjinCity 145Projectsummary 452.Highlightsofprojectdevelopmentandimplementation 1463.Projectoutcomes 147rojectimages ca CaseInkosilAlbertLuthuliCentralHospital(IALCH) 153Projectsummary 532.Highlightsofprojectdevelopmentandimplementation 1543.Projectoutcomes 154rojectimages Case2:DepartmentofBasicEducation(Building) 156Projectsummary 562.Highlightsofprojectdevelopmentandimplementation 1573.Projectoutcomes 159rojectimages 1TechnicalReportonPublic-PrivatePartnershipsforSustainableDevelopmentinBRICSCountriesivesCurrentlytheglobalsituationisfacinghugechallengessuchastheCOVID-19pandemic,climatechange,andsluggisheconomicrecovery.Whencopingwiththesechallenges,countriesaroundtheworld,includingtheBRICScountries,havefurtherrealizedthatitisnecessarytopromotethesustainabledevelopmentcharacterizedbyinnovation,greenness,coordination,inclusiveness,andresilience,aimingatachievingtheUnitedNations2030SustainableDevelopmentGoals(SDGs).Infrastructureplaysacrucialroleinthedevelopmentofhumansociety,andisalsoanimportantpillarforsustainabledevelopment.Withtheincreasingdemandandthetureontheonehandandthegrowingfiscalconstraintsofcountriesontheother,governmentsencouragetheparticipationofprivatesectorndmanagementexpertisetoexpandtheinvestmentininfrastructure.ThePublic-PrivatePartnerships(PPP)arewidelyrecognizedandappliedaroundtheworld,promotingprivatesectorinvestmentandinnovationvitality,supportingnationaldevelopmentprograms,improvingthequalityofpublicgoodsandservices,relievingshort-termfiscalburdenandsmoothinggovernmentpaymentacrossPPPprojectlifecycle,andenhancingtheinternationalconnectivityPPPhasthecharacteristicsofimplementingprojectsfromaholisticperspectiveofthewholeprojectlifecycle,acceleratinginvestments,faircompetitioninthemerit-basedbetweenthepublicandprivatesectors,opennessandtransparency,etc.InternationalorganizationsincludingtheUnitedNationsagenciesattachgreatimportancetoPPP.In2019,the52ndsessiontheformerLegislativeGuideandModelLegislativeProvisionsonPrivatelyFinancedegislativeGuideandtheModelLegislativeProvisionsonPublic-PrivatePartnerships.AndtheregionaleconomicandsocialcommitteesoftheUnitedNationshavebeenfacilitatingPPPcapacitybuildingandinternationalcooperationamongtheirmembercountries.PromotingPPPtospeedupinfrastructuredevelopmenthasbeenhighlightedasaprioritybyleadinginternationalforasuchasBRICSandG20.Inrecentyears,theBRICScountrieshavebeenmaintainingcooperationinPPPand2onBRICSGoodPracticesonPublic-PrivatePartnershipFrameworkswasjointlycompiled.In2018,theBRICSTaskForceonPPPandInfrastructurewasestablished,andthePPPprojectcasestudiesweresupplementedtotheReportAfterthat,theBRICScountrieshavemadejointprogressinareassuchasinfrastructuredigitalplatform,socialinfrastructurefinancinganddigitaltechnologiesapplication,whichdinfrastructureinBRICScountriesandprovidedsupportfordevelopment.ckdropofCOVIDpandemicclimatechangeandsluggisheconomicrecovery,theBRICScountriesneedtokeepenhancingtheirexperiencesharing,especiallythesharingofgoodpracticesandexperienceinPPPforsustainabledevelopment,whichisconducivefortheBRICScountriestolearnfromeachother,acceleratePPPinfrastructuredevelopment,andprovidePPPexperiencereferencesforotherdevelopingcountries.2.ProgressandeffectofPPPintheBRICScountriesinpromotingsustainablezilInfrastructuredevelopmentisoneofBrazil'stopprioritiestolowercostsandincreasereachUSD50billion1incontractedinvestmentsintransport/logisticprojectswithPrivateSectorParticipants,anamountsubstantiallyhigherthanthepublicbudgetofPPPsarethemostefficientwaytopromoteinfrastructureinvestment.Brazilhasarobustandwell-structuredpipelineofconcessions,authorizations,andprivatizations.Thegoalistomobilizetheprivatesectortoown/lease,operate,and/orfinanceinfrastructureassetstoquicklyreducetheinfrastructuregapwithoutnegativelyaffectingfederal,stateandlocalbudgets.DuetoPPPandconcessionprojectswhichhaveprovidedprivatesectorinvestmentandtheexpertisetomanagetheinfrastructureprojects,Brazilhassuccessfullyincreasedtheamountofinvestmentindifferentinfrastructures,andprovidednewjobs,aswellasmoresecurityandcomfortfortheusers.TheInvestmentPartnershipsProgram(PPI)establishedintheFederalGovernmentofBrazilinactsasafacilitatorofinfrastructureprojectsconsideredastopprioritiesforthecountry'sdevelopment,thoughitisjustapartofthePPPinitiativesandconcessionscarriedoutinBrazil.ThepriorityareasunderPPIhavebeenlogisticsand1Hereinafterareferentialexchangerateof5BRL=1USDused3FromJanuary1,2017toMarch30,2022,263projectsunderthePPIhavebeenauctionedoff,andwillmobilizefromprivatesector,throughouttheexecutionofthecontracts,investments(CAPEX)estimatedatUSD188.56billionandoperatingbillion,consideringtheminimuminvestmentamountsforeseenincontract.And198auctionshavebeenfullycompleted(procuringauthoritiesandprivatepartnershaveandtransmission),sanitation,andlogisticsrepresentalargeshareintermsofnumberarebasicsanitation,streetlighting,pipedgasdistribution,publicearlychildhoodeducation,juvenilecorrectionalfacilities,andstateprisonsystems.PPprocessmuststartwithastudyjustifyingthereasonsforadoptingthismodalityandpresentingitsadvantagesanddisadvantages.Andasdisclosedbysurveys,theserviceprovidedbytheprivateowners/operatorsonPPPandconcessionprojectshasbeenbetterwhencomparedtothoseprovidedbytraditionalpublicproviders.ssiaInRussia,PPPmodelisactivelyusedtoreachthenationalprioritydevelopmentgoalsofeconomy,societyandenvironment,andplaysanimportantroleinthedevelopmentofsocial,digital,transport,andutilityinfrastructure.Alotofstrategicand/orlargeprinciples.AsofDecember2021,therewere3,648commercially-closedPPPprojectstsabouttrillionrublesUSDbillionand76%fromprivatesector.966oftheseprojectswereinconstructionstage,whichctorandprojectswereinoperationstage,accumulating2.1trillionrubles(USD29.1billion)with69%fromprivatesector.ThestrategiceconomicPPPprojectsincludeforexamplethetollroad"Neva"fromMoscowtoSt.Petersburg,Togliattibypass(SamaraRegion)whichispartofWesternZNAK"whichisthelargestfederalPPPprojectwithinvestmentof220billionrubles(USD3.0billion).Forthedevelopmentgoalofdigitaltransformation,therewere25PPPprojectsintheareawithtotalinvestments272billionrubles(USD3.7billion).Performanceofthedevelopmentgoalsofbothpreservationofthepopulation,health,andwell-beingofpeopleandopportunitiesforself-realizationanddevelopmentof2Hereinaftertheexchangerateof72.1RUB=1USDused4thcareandsports.AsofDecember2021,554PPPprojectswerebeingimplementedinsocialinfrastructurewithtotalinvestmentsabout420billionrubles(USD5.8billion).alityofinfrastructure,forexample,thekickoffofpilotcertificationonconformitywithprinciplesoftheSystemforAssessmentandCertificationofInfrastructureProjectsIRIIS),whichwasdevelopedinRussiain2021.ndiaTheGovernmentofIndiaenvisionsamajorroleofPPPtoleverageprivatesectorinvestmentandoperationalefficienciesintheprovisionofaffordableandsustainablepublicassetsandservices.PPPprojectsareexecutedbyNationalgovernment,SubnationalgovernmentsorLocalGovernmentbodies.TheGovernmentofIndiaalsomaintainsacentralizeddatabaseoftheseprojectstocapturevariousstagesofprojectimplementationwhichfurthersupportsineffectivereviewingandmonitoringofPPPprojects.PPPsinIndiahavedeliveredsomeofthecountry'smostsuccessfulinfrastructureprojects.Overall,approximately15%ofprojectsbynumber,undertheNational2,000PPPprojectswithatotalinvestmentofapproximatelyUSD372.9billionhaveachievedfinancialclosureandUSD363.4billioninprivatecapitalhasbeenleveragedthroughprivatemode.PPPprojectsinIndiaareundertakenthroughavarietyofmodessuchasDesignBuildFinanceOperateTransfer(DBFOT),HybridAnnuityModel(HAM),BuildOperateTransfer(BOT),OperateManageDevelopAugment(OMDA),dependingonthespeculiartoasectorEachmodelhasadifferentlevelofprivatesectorparticipationandhence,privatesectorcapitalrangesbetween40%ofprojectcostand100%ofprojectcost.ThePPPsinIndiahaveawell-designedbalancedconcessionagreementasitsheartandsoulwhichdrivesanddelineatestherolesandresponsibilitiesofthepublicsectorandtheprivatepartner.Indoingso,theconcessionagreementmarriestheprivatesectorefficiencieswiththepublicsectorservicedeliveryresponsibilitiesintheformofKeyPerformanceIndicators(KPIs).ThepriorityareasofinfrastructuredevelopmentforIndiaincludetransport(roads,railways,airports,ports,waterwaysetc.),energy,logistics,urbandevelopment,andseveralinitiativestodevelopPPPprojectsacrosssectorsincludingprioritysectors.Topromoteprioritysocialsectorlikehealthandeducation,thegovernmenthasenhancedViabilityGapFunding(VGF)supportforPPPprojectsupto80%ofCapitalexpenditure(CAPEX)and50%ofOperationalExpenditure(OPEX).Inpriorityareas,theresultantefficienciesofthePPPmodelandtheconsequentleveragedprivate5investmenthaveaffectedaprogressiveturnaroundsuchastheimprovementofdevelopmentpaceefficiency,projectsustainabilityefficiency,costandperformanceefficiencyandscalingup.inpaceofconstruction,highperformanceefficiency,augmentingtheprojectsustainabilitythroughimprovedO&M,scalingupcapabilitiesacrossstatesandcities,eakagesandimprovementinprojectfinancingmetricsamongotheroperationalefficiencies.Theprivateplayerisalsoabletobringininnovativefinancingmodelstolowertheoverallcostoffundsrequiredfortheproject.hinaAsstatedinboththeOutlineofthe14thFive-YearPlan(2021-2025)forNationalEconomicandSocialDevelopmentandtheLong-RangeObjectivesthroughtheYear2035andtheReportontheWorkoftheGovernment2022adoptedbytheNationalPeople'sCongress,Chinaappliesthenewdevelopmentphilosophyofinnovation,lopmentUndertheguidanceofthephilosophy,ChinahasvigorouslypromotedtheapplicationofPPPasanimportantmeanstocomprehensivelydeepenreform,transformgovernmentfunctionsandpromotethemodernizationofnationalgovernance.Throughoptimizingtheregulatoryandinstitutionalframeworks,easingmarketaccess,introducingcompetition,encouraginginnovationandadheringtoperformance-orientedapproach,ChinahasextensivelydevelopedagreatnumberofPPPprojectsofallthreereturnmechanisms,i.e.user-pay,viabilitygapfunding,andgovernment-pay.Suchactionsleadtotheimprovementofthesupplyofinfrastructureandpublicservicesintermsofquantity,qualityandefficiency,andconsequentlyadvancemajornationalkeytaskssuchassteadyeconomicgrowthrate,povertyeradicationandruralrevitalization,livelihoodguarantee,coordinatedregionaldevelopment,andgreenandlow-carbondevelopment.Bytheendof2021,atotalof10,243PPPprojectshavebeenregisteredintheProjectManagementDatabaseoftheNationalPPPIntegratedInformationPlatform,withalionyuanUSDtrillionTheseprojectsscatteracrossthenationandcover19sectors,includingenergy,transportation,waterconservancy,denvironmentalprotectionmunicipalengineeringcomprehensiveurbancare,education,culture,andsports.PPPcontractsof7,683projectshavebeensigned,ninvestmentoftrillionyuanUSDtrillionprojectshaveenteredtheconstructionstage,withaninvestmentof7.6trillionyuan(USD1.2trillion),and3Hereinaftertheexchangerateon31December,2021of6.3757RMB=1USDused6operationstagewithaninvestmentoftrillionyuan(USD282.3billion).PPPmodelspursthevitalityoftheprivatesectortoformamarket-drivenendogenousgrowthmechanismforinvestment.Consequently,effectiveinvestmentcouldbesignificantlystimulatedviaPPPprojectstoexpandthescaleofinfrastructure,whichhaspositiveeffectsonfacilitatingstructuraladjustmentstoeconomy,shoringupweaklinks,strengtheningthedevelopmentfoundation,enhancingsustainability,andimprovingpeople'slivelihood.Firstly,PPPsupportsdevelopmentof"newtypesofinfrastructure4,newurbanizationinitiativesandmajorprojects",transformationofscientificandtechnologicalachievements,andpromotionofnewdriversofeconomicsustainabledevelopment.Majorprojectsinareassuchasnewtypesofinfrastructure,urbanization,transportationandwaterconservancyaccountsfor87.0%ofallthePPPinvestmentinChina,whichfuelstheinnovativeintegrationofnewtechnologiesofgreennessandlow-carbon,internet,bigdataandartificialintelligencewithtraditionalindustries.Secondly,PPPimproveseconomicandsocialinfrastructure,supportspovertyalleviationandruralrevitalization,enhancespeople'shappinessandsatisfactoryexperienceinlife,andincreasesthequalityandefficiencyofpublicservices.2,854PPPprojectsinsewage,wastetreatment,heatingandenvironmentaleducationandhealthcarehavecontributedtoensuringaccesstoelderlycareservices,PPPprojectsinculture,tourism,andsportssectorshaveenhancedpeople'slifeeenliftedfrompovertyhaveappliedbillion).Thirdly,PPPpromotespollutionpreventionandgreendevelopment.5,919894.0billion),whichhaschangedthesituationcharacterizedbyexcessivefinancialburdenforthegovernment,lackofpollutioncontrolfacilitiesandinadequatecapacity.ThePPPregulatoryframeworkinSouthAfricahasremainedunchangedfornearly15years.DespitetheearlysuccessofthePPPmodelinSouthAfrica,newprojecttransactionshavedeclinedoverthepastnineyears,fromanestimatedR10.7billionin2011/12toR5.6billionin2019/20.ndthefinancialsupportprovidedtostate-ownedcompanieshaveconstrainedgovernment'sabilitytoinvestinnewinfrastructureAsaresult,capitalinvestmenthasbeenadverselyaffected.4InChina,newtypesofinfrastructureinclude5G,internetofthings,industrialinternet,cloudcomputing,blockchain,datacenters,smartcomputingcentersandsmarttransportation.7neffortsionTheinitiativeencouragesthepublicsectortoworkwiththeprivatesectorintheplanningandimplementationofinfrastructureprojects.In2020,GovernmentDepartmentssignedamemorandumofagreementtokickstartedbyInfrastructureSouthAfrica,anentitywithintheofficeofthePresidency;DepartmentofPublicworksandtructureNationalTreasuryandtheDevelopmentBankofSouthernAfricaTheInfrastructureFundinitiativewillfocusondevelopingPPPprojectsinpriorityareasthathavethepotentialtocrowd-inprivatesectorfundingthatcancontributetoeconomicdevelopment.TheFundisintendedasgovernmentfundingandancillarytsincludingfinancingfromtheprivatesectorandinternationalfinancinginstitutionstoaddressproblemsininfrastructurepreparationandfinancing.TheNationalTreasury,DepartmentofPublicWorksandInfrastructure(DPWI),aryreformstostrengthentheinfrastructurevaluechain.InitiativesincludetheNationalInfrastructurePlan2050,theBudgetFacilityforInfrastructure(BFI)andtheInfrastructureFund.TheDPWIisdevelopingacomprehensive,focusedinfrastructurengtounblockpolicyandregulatoryobstaclestobuildacredibleandbankablepipelineofprojects;theBFIisincreasingtherigorintheplanningandappraisalofprojects;andtheInfrastructureFundisincreasingskillsthefinancingwillcomefromtheprivatesector.TheNationalTreasury,togetherwiththePPPunitwithintheGovernmentTechnicalAdvisoryCentre(GTAC)initiatedthe