Governance and Knowledge Management for Public-Private Partnerships

Foreword About the Authors Chapter 1 Introduction 1.1 The Context 1.2 Key Drivers of PPP/PFI 1.3 Definitions and Key Features 1.4 Types of PPP/PFI Projects 1.5 Evolution and Development of PPP/PFI 1.6 Need for Governance and Knowledge Management 1.7 Organisation of the Chapters 1.7.1 Part 1 1.7.2 Part 2 1.7.3 Part 3 1.7.4 Part 4 References Chapter 2 Policy and Strategic Framework 2.1 Introduction 2.2 The Policy Framework 2.2.1 Policy environment 2.2.2 Policy theory and objectives 2.2.3 Monitoring and evaluation 2.2.4 Institutions and roles 2.2.5 Expertise and resources 2.2.6 Processes 2.2.7 Information and knowledge systems 2.3 Governing Principles of PFI Projects 2.3.1 Value for money and risk transfer 2.3.2 Whole life cycle commitment 2.3.3 Facilitating the delivery of 'core' public services 2.3.4 Payments for services based on performance 2.4 Management Strategy 2.4.1 Team composition 2.4.2 Contract and interface management 2.4.3 Stakeholder engagement 2.5 Funding Strategy 2.5.1 Debt and equity component 2.5.2 Project structuring, bankability and credit enhancement 2.6 Sustainability Strategy 2.7 European and International Perspective 2.8 Concluding Remarks References Chapter 3 Implementation and Delivery Mechanisms 3.1 Introduction 3.2 Needs Assessment and Business Case Development 3.2.1 The output specification 3.2.2 Risk transfer 3.2.3 Risk pricing 3.3 Advertisement, Pre-Qualification and Bidding 3.4 Competitive Negotiation and Dialogue Procedures 3.5 Evaluation of Bids 3.5.1 Value for money 3.5.2 Affordability 3.6 Preferred Bidder and Financial Close 3.6.1 Whole life cost plan 3.6.2 Financial modelling 3.6.3 Due diligence 3.7 Construction Activities 3.8 Operation and Service Delivery 3.8.1 Performance monitoring 3.8.2 Payment mechanism 3.8.3 Handing back 3.9 Concluding Remarks References Chapter 4 Governance in Project Delivery 4.1 Introduction 4.2 Definitions and Principles of Governance 4.3 Key Components of Governance 4.3.1 Organisational structure 4.3.2 Control and monitoring mechanisms 4.4 Planning and Development Phase of PPP/PFI Project 4.4.1 Organisational structure and accountability 4.4.2 Project approval processes 4.4.3 Project controls and gateways 4.4.4 Post-project evaluation 4.5 Construction Phase of PPP/PFI Projects 4.5.1 Design controls for construction 4.5.2 Project management 4.5.3 Project performance 4.6 Operation and Service Delivery Phase of PPP/PFI Project 4.6.1 Control and monitoring of service delivery 4.6.2 Organisational structure 4.7 Concluding Remarks References Chapter 5 Case Studies on Governance in the Health Sector 5.1 Introduction 5.2 Overview of Health Sector and Evolution of PFI/PPP Projects 5.3 Case Study Findings on Early PFI Schemes 5.4 Case Study Findings on Complex PFI Schemes 5.5 Analysis and Discussion of Case Studies (5.1-5.4) 5.5.1 Reporting structure and levels of responsibilities 5.5.2 Effective controls 5.5.3 Project management 5.5.4 Risk management 5.5.5 Critical success factors (CSF) in projects 5.5.6 Critical failure factors in projects 5.5. 7 Project outcome 5.6 Concluding Remarks References Chapter 6 Knowledge Management in Collaborative Projects 6.1 Introduction 6.2 Knowledge and Associated Concepts 6.3 Knowledge Management 6.4 Theory of Knowledge Creation 6.5 Types of Knowledge and Project Complexity 6.6 KM Life Cycle 6.7 KM Systems 6.7.1 KM technologies 6.7.2 KM techniques 6.8 Learning in Project Organisations 6.9 Developing a Business Case for KM 6.10 Development of a KM Strategy 6.11 KM Toolkit for PFI/PPP Projects 6.12 Concluding Remarks References Chapter 7 Case Studies on Knowledge Transfer 7.1 Introduction 7.2 Key Problem Areas and Scope for Learning 7.2.1 Outline business case 7.2.2 PB 7.2.3 FM 7.3 The Need for Knowledge Transfer 7.4 Improvement Capability and Organisational Readiness 7.5 Concluding Remarks References Chapter 8 Knowledge and Capacity Building Challenges 8.1 Introduction 8.2 Roles and Participation 8.3 Motivation and Perception 8.4 Value for Money, Costs, Innovation and Risks 8.5 Enablers and Barriers 8.5.1 Expertise and knowledge 8.5.2 Procurement periods 8.5.3 Other barriers 8.5.4 Unique PFI issues 8.6 Scope for Learning and Developing Knowledge 8.6.1 Output specification and client requirements 8.6.2 Project management structure 8.6.3 Risks 8.6.4 Design innovation/quality 8.6.5 Standardisation of documents 8.6.6 Market capacity and public perception 8.7 Developing Knowledge for Capacity Building 8.7.1 Knowledge centres 8.7.2 Dedicated PPP units 8.7.3 Best practice and guidance documents 8.7.4 Traditional training and CPD events 8.7.5 Knowledge sharing networks and communities of practice 8.7. 6 Conferences, seminars and workshops 8.7. 7 Staff exchange and secondment 8.7. 8 External advisers and technical assistance 8.7. 9 Research and innovation capacity 8.8 Concluding Remarks References Chapter 9 The Knowledge Transfer Framework 9.1 Introduction 9.2 Knowledge Transfer Issues 9.2.1 Knowledge transfer needs 9.2.2 Types of knowledge to transfer 9.2.3 Mechanisms for knowledge transfer 9.2.4 Knowledge transfer problems 9.3 The Knowledge Transfer Conceptual Model 9.4 Improving PFI/PPP Participation and Exploring Opportunities (Stage 1) 9.5 Building a Knowledge Map and Transfer Capability (Stage 2) 9.6 Creating an Action Plan for Learning and Capacity Building (Stage 3) 9.7 Evaluation of Framework 9.8 Industrial Application, Dissemination and Benefits 9.9 Concluding Remarks References Chapter10 Conclusion 10.1 Governance Issues 10.2 Knowledge Management and Capacity Building Issues 10.3 Sustainability of PFI/PPP Projects Reference Appendix A An Example of Output Specification (Accommodation Standard) Appendix B1 Output Specification (Facilities Management Standard) Appendix B2 Example of Performance Parameters (Car Park) Appendix C Performance Measurement System Index