Development of Policy, Legal, and Insitutional Framework for - ppiaf

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Development of Policy, Legal, & Institutional Framework for the PPP Program in Malawi Final Report As long as the mature stage PPP Unit is not engaged in privatization, there is no need to create a formal departmentalization structure to segregate activities of the PPP Unit. If a decision were to be made to have the PPP Unit engage in privatization activities, then it would be best to create formal, separate departments or divisions to distinguish between PPP and privatization in the minds of stakeholders. This will help PPP activities to be conducted without people assuming the Unit’s personnel are trying to divest of government assets, when what they are really doing with PPP is forming joint ventures to create new assets. The mature stage (Phase III) PPP Unit structure assumes that the privatization program will gradually wind down and conclude its mission from within a structure other than the PPP Unit. Accordingly, the functional divisions illustrated by boxes in the organization charts should not be interpreted to mean formal departments or divisions are necessary. The boxes reflect the functional areas, and in practice many personnel will have responsibilities that overlap one or more of the functional areas portrayed by the boxes. We recommend a matrix management style for managing the Unit and its personnel, to accommodate this flexible and scalable design. In Phase I, the PPP Program will be implemented by selected PC personnel, and the activities required to move to Stage II are conducted by consultants. This approach is designed to keep fixed costs to a minimum. The assumption is that while the privatization program winds down, fewer PC personnel will be required to conduct privatization activities. Rather than gradually laying off PC personnel as privatization deal flow subsides, we provide selected PC personnel with the opportunity to transition to PPP, and eventually become full-time staff members of the PPP Unit when it is moved under the MoF in Phase II. In the section below, we present a profile of the human resources that will be needed at the time the PPP Program is ready to graduate to Stage II: setting up a small, scalable PPP Unit reporting to the Ministry of Finance. Key Positions for Phase II PPP Unit (PPP Regulations have been passed and Standards & Procedures are in place) 1. Director General / CEO Overall Co-ordination; this will be a working hands-on role with specific responsibility for high profile PPP projects. Also serves as spokesperson for the PPP Program. Reports directly to the Minister of Finance and is accountable to PPP Unit board of directors. 2. Assistant to DG/CEO and Office Manager Provides administrative support to the DG/CEO and manages human resources. 3. Information and Education Officer Very important position: responsible for information dissemination, media relations, public relations, and investor relations. Manages the PPP Program website, responds to inquiries received via the website and from other sources. 4. Transaction Specialist(s) THE INSTITUTE FOR PUBLIC-PRIVATE PARTNERSHIPS 40
Development of Policy, Legal, & Institutional Framework for the PPP Program in Malawi Final Report One Transaction Specialist capable of handling multiple sectors. Sector specialists and transaction-specific specialists will be recruited as the need arises, with contracts based on duration of transaction. This can expanded out to many roles as required according to each or multi-project assignments. Must be familiar with PPP project life cycles. 5. Economic / Financial Analyst This is a key position that will require not only the usual abilities to assess economic and financial viability of proposed PPP projects, but also PPP-specific technical skills needed for calculating Value for Money using Public Sector Comparators, and knowledge of the Government budget system necessary to assess Affordability. Must also have technical skill in contingent liability risk assessment, so he/she can advise the risk management group at MoF regarding risk exposures in PPP contracts. 6. Contract Specialist Commercial contact specialist who has the skills to evaluate draft PPP contracts, direct experience in dealing with concession agreements, and PPP-specific skills needed for risk allocation in PPP contracts. Does not have to be an attorney, but should have at least some formal training in contract law. 7. Procurement Specialist Must have strong familiarity with Government and donor procurement regulations and procedures. Responsible for PPP project compliance with those regulations/procedures. Until the PPP Unit has enough deal flow to justify the expense of hiring a new Contracts Monitoring & Compliance specialist, the Procurement Officer will perform those tasks. 8. Accountant Makes daily bookkeeping entries, posts to General Ledger and prepared monthly and quarterly financial statements, performs annual compilations and financial statements, prepares monthly financial reports for management. Does not have to be a chartered accountant but should have at least several years of bookkeeping experience. 9. International Advisor(s) If donor funds are available for a resident advisor recruited from international experts, we recommend that such a person be recruited. One advisor could be engaged on a 1-year contract with possibility of renewal, for this Stage II of the PPP Unit’s evolution. In Stage III it would be advisable to hire an additional resident advisor, if funds are available. In addition to providing technical expertise, the advisors will be tasked with transferring their skills to local counterparts so that at the end of the advisors’ contracts local professionals can carry on the work. V.B. Segregation of Duties and Prevention of Conflicts of Interest In defining duties, responsibilities, and reporting relationships for personnel described above, and in defining the internal reporting relationships for the PPP Unit itself, it is essential to ensure that the design allows for the prevention of conflicts of interest. The principles to be applied for prevention of conflicts of interest are: THE INSTITUTE FOR PUBLIC-PRIVATE PARTNERSHIPS 41
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