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Thesis (PhD)--Stellenbosch University, 2011 / ENGLISH ABSTRACT: The Public-Private Partnership (PPP) is a popular instrument for public service delivery. It is important that public managers will be able to recognize when a PPP would be an appropriate service delivery option, and will be able to maximize a PPP‘s chances of success when it is the chosen service delivery instrument. The research question addressed in this dissertation is: ―What are the critical factors that can be replicated that separate successful PPPs from PPPs that do not deliver or that collapse? In this dissertation critical success factors for PPPs are identified through a step-by-step process in which different sources of success factors are analysed and where successively identified sets of success factors are compared and combined in a repetitive layered process of synthesis. A list of success factors is created and expanded through an iterative process of evaluation, removal of duplications, combination of related success factors and listing of unique success factors. Success factors are found in literature while describing the PPP concept and partnership mechanics and management. Success factors are identified in partnership literature, in public governance literature, in private sector collaboration literature, in entrepreneurial studies and in a collection of perspectives on success. These perspectives include those of stakeholders, of private operators, of the third sector as well as perspectives from disciplines and knowledge and practice frameworks such as project management, corporate governance, enterprise risk management and organisational design. Additional success factors are identified in a discussion on the evaluation of partnerships, where it is shown that success factors can be derived from evaluation based on characterization, from partnership definitions, from the perspective of programme evaluation, from measuring the performance of business improvement districts, from alternating focus partnership evaluation (sector by sector, theme-based, local-level) and from service delivery evaluation. The evaluation of partnership examples also provides insight into success factors. The final filtering and synthesis of evidence uses the results of questionnaires, from which success factors are derived, to conduct a final distillation and produce the final list of success factors identified. A total of 466 individual success factors are identified in this dissertation, these factors are grouped into 43 distinct categories. The two most critical success factors for PPPs are identified as firstly delivering a publicly needed service and secondly achieving the objectives of the partnership. The answer to the research question described above is that critically, two conditions must be met to make a PPP successful, and that is that the goals of the PPP must be achieved and that a public need must be satisfied. There are many additional success factors which can further define success and degrees of success, all of which are descriptions of desired conditions from the perspective of stakeholders. The exploratory and hypothesis-generating study culminates in a hypothesis that states that if public managers are faced with a choice of service delivery options, and the use of a PPP is one option, and if the manager applies the categories of recommended critical success factors identified in this dissertation, the manager will be able to determine whether a PPP would be an appropriate service delivery vehicle, and furthermore, if PPP is chosen as service delivery vehicle, the public manager would, through the application of the success factors identified in this dissertation, have a greater chance of successful implementation of the PPP through purposeful collaboration. The study contributes to the public management body of knowledge by covering new ground in terms of the evaluation and management of public-private partnerships. / AFRIKAANSE OPSOMMING: Publiek-Privaat Vennootskappe (PPVe) is 'n gewilde instrument vir die lewering van openbare dienste. Dit is belangrik dat openbare bestuurders sal weet wanneer 'n PPV 'n goeie opsie sal wees vir openbare dienslewering en hoe om 'n PPV se geleentheid vir sukses te verhoog as dit die gekose dienslewerings-instrument is. Die navorsings-vraag wat in hierdie proefskrif aangespreek word is: Wat is die kritieke sukses-faktore wat gerepliseer kan word wat suksesvolle PPVe onderskei van PPVe wat nie presteer nie of wat ineenstort? In hierdie proefskrif word kritieke suksesfaktore vir PPVe geïdentifiseer deur 'n stap-vir-stap proses waardeur verskillende bronne van suksesfaktore ge-analiseer word en agtereenvolgende stelle van suksesfaktore vergelyk en gekombineer word in 'n herhalende, gelaagde proses van sintese. 'n Lys van suksesfaktore word geskep en uitgebrei deur ‗n iteratiewe proses van evaluasie, die verwydering van herhalings, die kombinasie van verwante faktore en die lys van unieke faktore. Suksesfaktore word gevind in literatuur terwyl die PPV konsep en vennootskap meganismes en -bestuur beskryf word. Suksesfaktore word geïdentifiseer in vennootskap literatuur, in openbare bestuur literatuur, in privaatsektor samewerkingsliteratuur, in entrepeneur studies en in 'n versameling perspektiewe op sukses. Hierdie perspektiewe sluit in die van belanghoudendes, van private operateurs, van die derde sektor sowel as perspektiewe van dissiplines en kennis en praktyk raamwerke soos projekbestuur, korporatiewe bestuur, ondernemingsrisikobestuur en organisatoriese ontwerp. Bykomende suksesfaktore word geïdentifiseer in 'n bespreking oor die evaluasie van vennootskappe, waar dit aangedui word dat suksesfaktore afgelei kan word van karakter-gebaseerde evaluasie, van die prestasiemeting van besigheidsverbeteringsdistrikte ("Business Improvement Districts"), van alternatiewelik-fokusende vennootskap-evaluasie (sektor-vir-sektor, tema-gebasseerd, plaaslike vlak) en van dienslewerings-evaluasie. Die evaluering van vennootskap voorbeelde voorsien ook insig in suksesfaktore. Die finale filtrasie en sintese van bewyse gebruik vraelyste, waarvandaan suksesfaktore afgelei word, vir 'n finale distillasie en die saamstel van 'n finale lys van geïdentifiseerde suksesfaktore. In totaal word 466 indiwiduele suksesfaktore in hierdie proefskrif geïdentifiseer, wat in 43 aparte kategorieë gegroepeer word. Die twee mees kritieke suksesfaktore wat uitgewys word is om eerstens 'n benodigde publieke of openbare behoefte te bevredig of diens te lewer, en tweedens om die doelwitte van die vennootskap te bereik. Die antwoord op die navorsings-vraag wat hierbo beskryf word is dat daar krities aan twee voorwaardes voldoen moet word om 'n PPV susksevol te maak, en dit is dat die vennootskap se doelwitte moet bereik word en dat ‗n openbare behoefte bevredig moet word. Daar is verskeie bykomende suksesfaktore wat sukses en die mate van sukses verder kan definieer, waarvan almal beskrywings is van verlangde toestande uit die oogpunt van belanghebbendes. Die uitset van die verkennende en hipotese-vormende studie is 'n hipotese wat lei dat, indien openbare bestuurders met 'n keuse van dienslewerings opsies gekonfronteer word, en indien die gebruik van 'n PPV een van hierdie opsies is, en indien die bestuurder dan die kategorieë van voorgestelde suksesfaktore wat in hierdie proefskrif geïdentiseer is toepas, sal dit vir die bestuurder moontlik wees om te bepaal of 'n PPV 'n toepaslike diensleweringsvoertuig kan wees, en verder dat, indien 'n PPV die gekose diensleweringsvoertuig is, die openbare bestuurder deur die toepassing van die susksesfaktore wat in hierdie proefskrif geïdentifiseer is 'n groter kans sal hê vir suksesvolle implementering van die PPV deur doelgerigte samewerking.

Thesis (MPA)--Stellenbosch University, 2013. / ENGLISH ABSTRACT: This study gives an analysis of urban water services provision in Zimbabwe in general. The case study of Harare Municipality was used to get an in-depth analysis of urban water provision in an urban set-up and assess the possibility of private sector engagement for water provision. The engagement of the private sector through Public- Private Partnerships (PPPs) in the provision of public services has become a common practice in many countries. The overall benefits noted for the use of these partnerships include increased effectiveness and efficiency of service delivery. The private sector has been favoured for the provision of services, given the financial and expertise benefits that it brings into public service delivery. Water services delivery in many countries in Africa has been dogged by a plethora of problems that include, water losses, poor revenue collection, lack of cost recovery, inadequate financial investment to expand water infrastructure and overall inability to meet demand resulting from urban expansion. Given these challenges, PPPs provide an option for service delivery. These partnerships have been in the form of leases, management and service contracts, as well as concessions for the provision of public services. Private sector participation (PSP) in service delivery in different forms is rooted in various theoretical ideologies that include New Public Management (NPM), Public Value, New Governance and Network Governance. The reduction of the role of government in the provision of public services; the adoption of private sector management style; the use of networks in service provision and participation of the stakeholders are key principles in these theoretical ideologies. These principles have thus been adopted through public sector reforms for service delivery. Case studies from Senegal, Kenya, South Africa and Tanzania are applied in this study, to take note of key lessons on the engagement of the private sector for provision of urban water services, as well as the key determinants of successful partnerships. The institutional and legal framework of reforms undertaken in these countries are analysed as part of the enabling environment for successful partnerships. Data collection for this study was done through key informant interviews, covering water administration issues, water provision challenges and private sector engagement in Harare. The obsolete water infrastructure and inadequate financial levels have affected water provision and coverage in Harare. Unaccounted for water was found to be above 30 percent for the City of Harare, whilst water production levels are much lower than demand. Attempts at engaging the private sector for improving water provision through a concession for the Kunzvi Dam Project have not gone beyond the signing of the contract. What is clear is that there is a lack of a regulatory framework; political willingness, lack of trust, economic uncertainty, lack of financial sustainability and a performance monitoring framework. These are key factors in ensuring a viable public- private arrangement. For private sector involvement to be successful, in the context of this study, the recommendations include the need for a regulatory framework for PPPs in Zimbabwe, establishment of a regulator through policy, political willingness and transparency. / AFRIKAANSE OPSOMMING: Hierdie studie bied ’n algemene analise van stedelike watervoorsieningdienste in Zimbabwe. Die gevallestudie van die Harare-munisipaliteit word gebruik ten einde ’n in-diepte analise van stedelike watervoorsiening in ’n stedelike omgewing te bekom en om die moontlikheid van privaatsektor-betrokkenheid ten opsigte van watervoorsiening te assesseer. Die betrokkenheid van die privaatsektor deur middel van Openbare-Privaatvennootskappe met die oog op die verskaffing van openbare dienste het in vele lande wêreldwyd algemene gebruik geword. Die algehele voordele vir die gebruik van sulke vennootskappe sluit verhoogde doeltreffendheid en deeglikheid van diensverskaffing in. Die privaatsektor geniet voorkeur vir die voorsiening van dienste gegewe die finansiële en kundigheidsvoordele wat dit aan openbare dienslewering toevoeg. Die lewering van waterdienste in vele lande in Afrika word deur ’n oormaat probleme geteister wat waterverliese, onvoldoende betalings, gebrek aan kosteverhaling , onvoldoende geldelike beleggings om waterinfrastruktuur uit te brei, en die algehele onvermoë om aan die aanvraag weens stedelike uitbreiding te voldoen, insluit. In die lig van die vermelde uitdagings bied Openbare-Privaatvennootskappe ’n opsie vir dienslewering. Dié vennootskappe is in die vorm van huurkontrakte, bestuurs- en dienskontrakte, sowel as konsessies vir die verskaffing van openbare dienste, vergestalt. Deelname deur die privaatsektor aan dienslewering in verskillende vorme is gewortel in verskeie teoretiese ideologieë wat Nuwe Openbare Bestuur, Openbare Waarde, Nuwe Leiding en Netwerkleiding insluit. Die vermindering van die regering se rol in die voorsiening van openbare dienste; die aanvaarding van privaatsektor-bestuurstyl; die gebruik van netwerke ten opsigte van diensverskaffing en die deelname van belanghebbendes, is sleutelbeginsels in hierdie teoretiese ideologieë. Hierdie beginsels is dus deur openbare sektorhervormings met die oog op diensverskaffing aanvaar. Gevallestudies uit Senegal, Kenia, Suid-Afrika en Tanzanië is in hierdie studie toegepas met die oog daarop om sleutellesse rakende die betrokkenheid van die privaatsektor ten opsigte van die voorsiening van stedelike waterdienste ter harte te neem, sowel as die sleuteldeterminante van geslaagde vennootskappe. Die institusionele en wetlike raamwerk van hervormings wat in vermelde lande onderneem is, is geanaliseer as deel van die geskikte omgewing vir geslaagde vennootskappe. Data-insameling vir hierdie studie is gedoen deur sleutel ingeligte onderhoude wat wateradministrasie-aangeleenthede, watervoorsiening-uitdagings en privaatsektor-betrokkenheid in Harare dek. Die afgeleefde waterinfrastruktuur en onvoldoende finansiële stelsels het watervoorsiening en dekking in Harare geraak. Daar is bevind dat die onverantwoordbaarheid ten opsigte van water in die stad Harare bo 30 persent was onderwyl waterleweringsvlakke veel laer is as die aanvraag daarvoor. Pogings om die privaatsektor te betrek by die verbetering van watervoorsiening deur middel van ’n konsessie vir die Kunzvi Dam-projek, het nog nie verder gevorder as die kontrakondertekening nie. Wat duidelik is, is dat daar ’n gebrek aan ’n reguleringsraamwerk bestaan, daar is geen politieke wil nie, daar heers algemene gebrek aan vertroue, ekonomiese onsekerheid en ’n gebrek aan finansiële volhoubaarheid, en daar bestaan nie ’n prestasiemoniteringsraamwerk nie. Hierdie is sleutelfaktore ten einde ’n lewensvatbare openbare-private ooreenkoms te verseker. Om privaatsektor betrokkenheid – in die konteks van hierdie studie – geslaagd te maak, sluit die aanbevelings die volgende in: die behoefte aan ’n reguleringsraamwerk vir Openbare-Privaatvennootskappe in Zimbabwe, die totstandkoming van ’n reguleerder deur middel van beleid, ’n politieke wil en deursigtigheid.

Thesis (MDF)--Stellenbosch University, 2014. / Globally, the demand for public infrastructure has been growing. However, governments have not been able to meet this demand due to limited fiscal revenue. Many governments have turned to the private sector to finance, build and operate infrastructure projects through public-private partnerships (PPPs). Despite the great demand and the availability of capital to develop these projects, many have failed the PPP test due to a number of constraints. This paper is meant to research the viability of water PPPs by considering the case of the Kunzvi Water Development Project (KWDP), which is in its infancy stage. The literature review from developed and developing countries shows a number of critical success factors which were applied to this study. These critical success factors were rated by key stakeholders in the KWDP – from the government and private sector to development finance institutions (DFIs). A questionnaire was then given to each group to assess the critical success factors. The results show that political commitment and support, macroeconomic environment, and the legal and regulatory framework were the top three critical success factors. The respondents rated the first as strong, but the macroeconomic environment was rated as weak. The paper recommends that government improves the nature of the political support going forward as more involvement will be required as the project develops. The paper also recommends that the government engages DFIs to provide financial and technical support to develop the project as the government may not be able to afford professional services. This paper highlights the views of the respondents but the author also noted limitations even though the project is still in its early stages. Hence, further review may be needed as the project progresses, and/or the lessons learnt may have to be studied and compared with similar projects in a similar context.

published_or_final_version / abstract / Politics and Public Administration / Master / Master of Philosophy

<p>Public-private partnerships to provide services are a relatively new policy initiative in Mexico, and have shown contrasting results. This research has endeavored to analyze the possible determinants behind the failure, or the success, of the choice of a specific mode of service provision. By using contracting literature based on transaction costs, and looking specifically at the case of AGSAL, a joint venture established between Saltillo, a northern Mexican city, and INTERAGBAR, a private investor, for the provision of water, this study showed that characteristics of the transaction at stake. More specifically, it showed that specificity of the investments that support a given transaction, the unanticipated changes in circumstances surrounding an exchange, either from physical assets or its ownership rights, and the frequency and duration with which parties engage in the transaction.</p>

Masters Research Report Department of International Relations School of Social Sciences Faculty of Humanities The University of the Witwatersrand / This research report provides a framework to assess the value of private-public partnerships (PPPs) in shaping the regulatory framework of the food safety regime within southern Africa. As one of Africa’s largest economies and major exporting countries, South Africa provides a clear case for analysing how developing countries in Africa have adopted and enforce international standards relating to the safety of foodstuffs that are produced, distributed and sold. Within the international systems, governments are generally held responsible for the ratification of international treaties that inform global standards and are criticised or excluded when they fail to comply. However, the role of private sector in supporting and enforcing food safety practices has not been evaluated in any meaningful way. The aim of this research is further the understanding of how PPPs have formed in South Africa and to what extent they have had a positive impact on the advancement of food safety between the years 2000 and 2015. With the help of document analysis and a review of the current regulatory framework, this research is framed within the concept of hybridity and allows us to better understand the focus of PPPs within South Africa’s food safety regime. The main conclusion is that South Africa’s commitment to food safety is strong but the relevant policy remains uncoordinated and undefined. South African businesses and the government are involved at the international level in terms of standards-setting and are aware of the global food safety strategy. The primary reason for this is that the country’s involvement improves trade prospects and affirms its role as a collaborative actor within the International Food Safety Complex (IFSC). However, South Africa still experiences several issues relating to food safety risks that affect trade and challenge the efficacy of existing food safety regulations. The recommendation is that public and private sectors should invest more capital and capacity in establishing a comprehensive food safety policy that brings together legislation, identifies key actors and provides a guideline to improve transparency and accountability relating to food safety issues in South Africa. / MT2017

Since 2009 the Metropolitan Municipality of Lima has partnered with private corporations to deliver three highway projects worth US$1.5bn. This process follows a state-building strategy developed since the 1990s to allow different levels of government to deliver infrastructure projects with private finance. In Lima, the model has almost exclusively produced highways through a specific scheme that allows firms to submit unsolicited proposals. In this dissertation, I investigate how the availability of private finance transforms the political process and local planning outcomes. I argue that rather than being simply a solution for cash-strapped governments looking to invest in specific pieces of infrastructure, the introduction of private finance shapes what projects get built. Private finance not only transforms the implementation part of a two-step process: it has a deep impact on the planning phase itself by setting constraints on what can be done and to what ends. I call the specific mechanism by which private finance influences planning ‘unplanning.’ Here, the state is not simply retreating to let the private sector determine priorities. In other words, it is not abandoning planning, or simply not planning. Rather, it is being transformed in order to follow a proactive role in attracting investment, and to adapt planning to the needs of private capital. The dissertation goes beyond understandings of infrastructures as neutral conduits and into their techno-political nature in order to reveal how they reflect, reproduce and become both the conduit and the site of political conflicts between private capital, the state, and urban dwellers.

University of Macau / Faculty of Law

With rapid urbanization and population growth in urban areas, urban development is necessary and urgent. However, with tight land supply from expropriating new farmland, redeveloping urban villages at central urban area would be full of potential. Basically, an urban village is the byproduct of rapid urbanization, with collective-owned non-agricultural use land surrounded by a state-owned urban area. Because of the particular land ownership structure in urban villages, conventional urban redevelopment methods are not suitable for the redevelopment of urban villages, public-private partnerships had been introduced into urban redevelopment to integrate the power and resources of private sector into the process of urban redevelopment with a legal contract, to form a collaboration between public and private sections, and to share the profits and benefits. A study on such partnerships in the redevelopment of urban villages could be instructive and enlightening for the future redevelopment of rural non-agricultural land in China. The major aim of the research is to discover the conditions under which partnerships for the redevelopment of urban villages could be established in China. The redevelopment of three urban villages in Shenzhen, namely the villages of Yunong, Gangxia and Huanggang, were thoroughly studied. A research framework has been established by examining the power relations of such partnerships and has been tailored to the scenario of redevelopment of urban village in China. The partnership synergy between local government, urban village communities and private developers, and role conflicts of each participants have been analyzed by considering the impact factors inherent in the institutional context of municipal government and the cultural context of urban villages in Shenzhen. These factors affect the composition, the process and the outcome of partnership in redevelopment of urban villages. The study found that because institutional support and land resource are exclusively and irreplaceably provided by the local government and the urban village, local government with systematic power is the primary partner who influences the partnership in redevelopment of urban villages the most. The local government arranges and executes the redevelopment timetable, decides the objective of redevelopment and devises rules of redistributing redevelopment profits. Under some conditions like better location, larger size and well-organization and efficient leadership, the secondary dominator namely village community becomes more important on the power balance of partnership. Private developer has no unique advantage in the partnership and could only be the follower of other two partners. Case studies from different cities with diversified institutional and cultural context are expected to be included into the future research areas. / published_or_final_version / Real Estate and Construction / Doctoral / Doctor of Philosophy