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Title: Dynamic models at the transfer phase of water public-private partnerships in China
Authors: Bao, Fengyu
Degree: Ph.D.
Issue Date: 2019
Abstract: Public-private partnerships (PPPs) have emerged in developing countries, such as China, as a ubiquitous means by which government procures needed infrastructure. In this regard, PPPs have been much studied. However, due to their long concession period, which runs into decades, few have run their full course into the transfer phase (TP) in which the PPP concession reverts from the private entity back to the public. In China, this situation is about to change as many PPPs, especially water PPPs, approach their TP. Unfortunately, knowledge about this phase remains limited, causing a problematic transfer process in practice. Hence, the purpose of this study is to define and investigate the main managerial issues in the TP of PPPs in China, with a specific focus on the water sector, from the local governments' perspective. Firstly, this study uses transaction cost economics (TCE) theory to define the particular issues existing in the TP, including the adaptation, safeguarding and performance evaluation issues. Four research objectives plus 12 research questions are further established according to the nature of the three TCE issues in the TP. On the basis of the detailed research objectives and questions, appropriate research methods are adopted, such as literature review, Integration DEFinition 0, logical framework method, qualitative interview, questionnaire survey and case study, as well as several analytical techniques, including content analysis, mean score analysis, risk significance index, one-sample t-test, Kruskal-Wallis test, Mann-Whitney U-test, fuzzy synthetic evaluation and correlation analysis. This triangulation approach guarantees the reliability of the multiple research findings of this exploratory study.
The four research objectives are attained by developing three sub-models and one overall model. The first sub-model regards the generic transfer process model by which the entire transfer process is hierarchically exhibited to address the adaptation issue; the second sub-model, the transfer risk management system, is developed to effectively mitigate significant transfer risks that could lead to the safeguarding issue in the TP; and the third sub-model, the transfer performance evaluation system, serves as a tool to evaluate the authentic performance of the transfer management to avoid the performance evaluation issue. Finally, supported by statistical evidence, the integration of the three sub-models into the dynamic framework transfer management system is conducted and validated by the viewpoints of the experts in water PPPs of China. To the best knowledge of the author, this study is the first attempt to systematically examine the TP of the water PPPs in China. Outcomes of the study could provide useful knowledge for practitioners, especially for the local governments in China, to come up with an overall transfer management plan that covers various aspects such as transfer process management, transfer risk management and transfer performance evaluation, and to compatibly deal with these aspects during the transfer process. The research outcomes also contribute to the body of knowledge by defining a number of new concepts and related theories, such as critical transfer success factors, critical transfer risk categories and key transfer performance indicators, as well as by identifying the significant correlations among the above three types of factors. Researchers with interests in other PPP sectors or phases can also benefit from the replicable research manner shown by this study.
Subjects: Hong Kong Polytechnic University -- Dissertations
Public-private sector cooperation -- China
Water utilities -- China
Pages: xxv, 340 pages : color illustrations
Appears in Collections:Thesis

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