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世界銀行2017版《PPP合同條款指南》—保密性與透明度

2018年01月02日 10:05 來源:PPP知乎打印

   世界銀行《PPP合同條款指南》(Guidance on PPP Contractual Provisions 2017,下稱“合同指南”),是世界銀行對PPP合同的官方指引,2017年版指南對特定國家不同層級的PPP交易和不同法律制度下的PPP交易經驗的表述方面進行了改進,并針對債券融資PPP合同和企業融資PPP合同增加專門章節。


PPP這群人、PPP知乎和上海段和段律師事務所余文恭律師團隊以拍攝系列視頻的創新形式,聯合推出世行合同解讀視頻,分章節對合同指南進行重點解讀,將其與國內PPP合同條款進行對比,并落腳于對國內PPP項目的借鑒以及對我國一帶一路PPP項目的借鑒意義。


北京明樹數據科技有限公司作為業內領先的PPP大數據服務提供商和綜合研究平臺,牽頭多家律所和咨詢公司參與了該合同指南的翻譯,致力推進PPP國際先進經驗在中國的學習和傳播。


公開和透明是PPP的基本原則。同時,世界銀行建議在PPP合同中設置保密條款,主要原因是:其一,PPP合同是商業合同,社會資本方會有保密需求;其二,政府方對于一些涉及個人隱私和國家秘密的敏感項目也會有保密需求。公開透明是原則,保密是例外,保密的限度應以法定保密為限,約定的保密義務應該具有正當性。關于如何制定保密條款,世行PPP合同指南給出了以英國PF2指南模式為基礎的草案范本。
(注:本指南中,締約政府部門指政府部門/實施機構;私營合作伙伴通常指社會資本。)


  世界銀行《2017版PPP合同條款指南》摘要之——保密性與透明度


1.
Transparency and disclosure is a high priority for PPP Projects as the Contracting Authorityis a public sector entity or agency. It has become increasingly common for Contracting Authorities to require a presumption in favor of transparency and disclosure in PPP Contracts to ensure that information on PPP Projects, PPP Contracts and related documents can be shared by them, to the fullest extent possible, with the public at large. Multiple factors have influenced this development. The main drivers in the PPP context are to reduce the risk of corruption, increase private sector involvement in infrastructure investment, increase public confidence and awareness and achieve value formoney. As with any infrastructure project, PPP Projects may also involve socialand environmental, public interest and human rights considerations, and these are additional factors in favor of enhanced transparency and disclosure.


PPP項目應高度優先考慮透明度和信息披露,締約政府部門屬于公共部門或機構。因此締約政府部門越來越普遍地要求PPP合同有透明度和以及信息披露披露,目的是確保關于PPP項目、PPP合同及相關文件的信息能夠在最大限度內與廣大公眾分享。有多項因素影響了這方面(透明度與信息披露)的發展。PPP環境下(透明度與信息披露)的主要驅動因素是降低腐敗風險,促進私營部門參與基礎設施投資,提升公眾信心和意識,以實現物有所值。正如任何基礎設施項目一樣,PPP項目亦可能涉及社會和環境、公眾利益和人權方面的考慮,而這些也是支持增加透明度和信息披露的其他因素。


2.
Given commercial sensitivities as well as public interest-related limitations,however, transparency and disclosure obligations in a PPP Contract aretypically subject to a number of exceptions in order to protect commercially or otherwise sensitive information relating to the Parties, the PPP Contract and the PPP Project. In most cases it is the Private Partner who has the most information to protect as it will not want its competitors to gain access to information which could give them a commercial advantage. However, the Contracting Authority may also wish to keep certain information confidential,for example if the PPP Contract is in the defense sector. In some highly sensitive projects, the Contracting Authority may require the Private Partnerand other parties and individuals directly involved in delivering the service to sign a written undertaking to be bound by national security legislation.


然而,由于商業敏感性以及公共利益的相關限制,PPP合同的透明度和披露義務通常有一些例外,以便保護與當事人、PPP合同方及PPP項目有關的商業信息或其他敏感信息。在大部分情況下,私營伙伴需要保護的信息最多,因為它不希望競爭對手獲得這些可能給其帶來商業優勢的信息。然而,締約政府部門亦可能希望對某些信息保密,例如,當PPP項目發生在國防領域時。在一些高度敏感項目中,締約政府部門可能要求私營伙伴及其他直接參與交付服務的當事人及個人簽署同意接受國家安全法約束的書面承諾。


3.
For public policy reasons, many jurisdictions have policies, laws or regulations imposing disclosure obligations on Contracting Authorities and/or ensuring the public have access to public procurement information. Clauses dealing with transparency, disclosure and confidentiality should always be drafted following an analysis of the legal and policy framework, and it is for the Contracting Authority to decide whether contractual obligations should go beyond what is legally required. It is usual to include specific reference to any such laws and regulations.


出于公共政策的原因,許多司法管轄區設有要求締約政府部門履行披露義務及/或確保公眾能夠獲得公共采購信息的政策、法律或法規。起草涉及透明度、信息披露和保密的條款前,始終應先進行法律和政策框架分析,并由締約政府部門決定應否在法定義務之上設定更嚴格的合同義務。通常的做法是在合同中加入對相關法律法規的具體引述。


4.
There may also be international financial institutions and multilateral agencies supporting the PPP Project which, as a condition of their support, require Contracting Authorities to comply with their own policies on transparency. The information required to be disclosed under such policies does not, however,usually include disclosure of commercially sensitive or proprietary information.


PPP項目還可能有國際金融機構和多邊機構的支持,而作為提供支持條件之一,就是要求締約政府部門遵守這些機構自己制定的透明度政策。然而,此類政策要求披露的信息通常不包括商業敏感信息或專有信息。


5.
A disclosure and transparency provision typically deals with how all announcements relating to the PPP Contract and the PPP Project are to bemanaged. The Contracting Authority will want to control how all information relating to the PPP Project is publicly communicated and will require prior approval of any media announcements and communications.


信息披露及透明度條款通常涉及如何管理相關PPP合同和PPP項目的所有公告。締約政府部門希望對相關PPP項目的所有信息如何公開進行控制,并要求任何媒體公告及通訊均須應經過事先批準。


6.
Injurisdictions with disclosure frameworks it has also become best practice to require the posting of important project and contract information in the public domain. The Contracting Authority may therefore also want to ensure that it has the right under the PPP Contract to make public the terms of the PPP Contractas well as related information (subject to applicable confidentiality restrictions) by its preferred means. This may include publishing on the internet. The level of information available for it to disclose regarding the progress of the PPP Project will be dependent upon the Private Partner's compliance with reporting provisions elsewhere in the PPP Contract which oblige the Private Partner to disclose certain information (such as performance data)to the Contracting Authority.


在設有信息披露框架的司法管轄區,在公共領域公開發布重要項目和合同信息已成為最佳做法。因此,締約政府部門亦希望確保其在PPP合同項下有權以其選擇的方式公開PPP合同條款及相關信息(受限于適用的保密限制)。公開可包括在互聯網上發布。有關PPP項目進展的信息的可披露程度取決于私營伙伴遵守PPP合同中其他報告條款的情況,這些報告條款則規定私營伙伴有義務向締約政府部門披露某些信息(例如績效數據)。


7.
Scope of the confidentiality undertaking:


In the context of a PPP Project, confidential information is typically information the disclosureof which would be likely to prejudice a party's commercial interests. This will include information contained in the PPP Contract terms or supporting documents, such as trade secrets, commercially sensitive intellectual property rights and know-how and personal data. Key financial information, such aspricing elements and methodology and the Private Partner's financial model,including details of the costs of financing through debt and equity and other aspects, are also typically treated as confidential information. From the Contracting Authority's perspective, confidential information will include information which it is not in the public or national interest to disclose (e.g. defense,national security and custodial matters).


承諾保密范圍:


在PPP項目中,保密信息通常是那些一旦披露則可能損害一方商業利益的信息。這包括PPP合同條款或配套文件所含的信息,例如商業秘密、商業敏感知識產權和技術訣竅、個人數據等。主要財務信息,例如定價要素和方法,以及私營合作伙伴的財務模型,包括債權和股權融資成本及其他方面詳情,通常亦被視為保密信息。從締約政府部門的角度來看,保密信息也包括假如披露會侵害公眾或國家利益的信息(例如國防、國家安全及羈押事務)。


8.
Confidential information in the context of a PPP Project should be the exception rather than the rule and should be justified by reference to principles of confidentiality in applicable underlying transparency and disclosure policies and legislation.Concerns relating to particular information should be addressed specifically in the drafting. Any disclosure of such information should be clearly justifiedand made in accordance with the terms of the confidentiality provisions in the PPP Contract. Certain categories of information are typically excluded from confidentiality undertakings, such as information already in the public domainor received legitimately from another source. Confidentiality undertakings also do not usually apply where a Party is obliged to disclose information, for example as part of a legal, regulatory or judicial process.


在PPP項目中,信息保密應是例外,而不應是常態,且應引述適用透明度及信息披露政策法律規定的保密原則以證明其合理性。與特定信息有關的事項,應通過起草特定條款作出規定。對此類信息的任何披露,均應明確說明其合理性并根據PPP合同保密條款的規定作出。某些類別的信息通常被排除在保密承諾范圍外,例如已存在于公共領域的信息,或從其他來源合法獲得的信息。保密承諾通常亦不適用于一方依照法律、監管或司法程序要求有義務披露信息的情況。

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