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世界银行2017版《PPP合同条款指南》—保密性与透明度

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   世界银行《PPP合同条款指南》(Guidance on PPP Contractual Provisions 2017,下称“合同指南”),是世界银行对PPP合同的官方指引,2017年版指南对特定国家不同层级的PPP交易和不同法律制度下的PPP交易经验的表述方面进行了改进,并针对债券融资PPP合同和企业融资PPP合同增加专门章节。


PPP这群人、PPP知乎和上海段和段律师事务所余文恭律师团队以拍摄系列视频的创新形式,联合推出世行合同解读视频,分章节对合同指南进行重点解读,将其与国内PPP合同条款进行对比,并落脚于对国内PPP项目的借鉴以及对我国一带一路PPP项目的借鉴意义。


北京明树数据科技有限公司作为业内领先的PPP大数据服务提供商和综合研究平台,牵头多家律所和咨询公司参与了该合同指南的翻译,致力推进PPP国际先进经验在中国的学习和传播。


公开和透明是PPP的基本原则。同时,世界银行建议在PPP合同中设置保密条款,主要原因是:其一,PPP合同是商业合同,社会资本方会有保密需求;其二,政府方对于一些涉及个人隐私和国家秘密的敏感项目也会有保密需求。公开透明是原则,保密是例外,保密的限度应以法定保密为限,约定的保密义务应该具有正当性。关于如何制定保密条款,世行PPP合同指南给出了以英国PF2指南模式为基础的草案范本。
(注:本指南中,缔约政府部门指政府部门/实施机构;私营合作伙伴通常指社会资本。)


  世界银行《2017版PPP合同条款指南》摘要之——保密性与透明度


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项目应高度优先考虑透明度和信息披露,缔约政府部门属于公共部门或机构。因此缔约政府部门越来越普遍地要求PPP合同有透明度和以及信息披露披露,目的是确保关于PPP项目、PPP合同及相关文件的信息能够在最大限度内与广大公众分享。有多项因素影响了这方面(透明度与信息披露)的发展。PPP环境下(透明度与信息披露)的主要驱动因素是降低腐败风险,促进私营部门参与基础设施投资,提升公众信心和意识,以实现物有所值。正如任何基础设施项目一样,PPP项目亦可能涉及社会和环境、公众利益和人权方面的考虑,而这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,由于商业敏感性以及公共利益的相关限制,PPP合同的透明度和披露义务通常有一些例外,以便?;び氲笔氯?、PPP合同方及PPP项目有关的商业信息或其他敏感信息。在大部分情况下,私营伙伴需要?;さ男畔⒆疃?,因为它不希望竞争对手获得这些可能给其带来商业优势的信息。然而,缔约政府部门亦可能希望对某些信息保密,例如,当PPP项目发生在国防领域时。在一些高度敏感项目中,缔约政府部门可能要求私营伙伴及其他直接参与交付服务的当事人及个人签署同意接受国家安全法约束的书面承诺。


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,许多司法管辖区设有要求缔约政府部门履行披露义务及/或确保公众能够获得公共采购信息的政策、法律或法规。起草涉及透明度、信息披露和保密的条款前,始终应先进行法律和政策框架分析,并由缔约政府部门决定应否在法定义务之上设定更严格的合同义务。通常的做法是在合同中加入对相关法律法规的具体引述。


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项目还可能有国际金融机构和多边机构的支持,而作为提供支持条件之一,就是要求缔约政府部门遵守这些机构自己制定的透明度政策。然而,此类政策要求披露的信息通常不包括商业敏感信息或专有信息。


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.


信息披露及透明度条款通常涉及如何管理相关PPP合同和PPP项目的所有公告。缔约政府部门希望对相关PPP项目的所有信息如何公开进行控制,并要求任何媒体公告及通讯均须应经过事先批准。


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.


在设有信息披露框架的司法管辖区,在公共领域公开发布重要项目和合同信息已成为最佳做法。因此,缔约政府部门亦希望确保其在PPP合同项下有权以其选择的方式公开PPP合同条款及相关信息(受限于适用的保密限制)。公开可包括在互联网上发布。有关PPP项目进展的信息的可披露程度取决于私营伙伴遵守PPP合同中其他报告条款的情况,这些报告条款则规定私营伙伴有义务向缔约政府部门披露某些信息(例如绩效数据)。


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).


承诺保密范围:


在PPP项目中,保密信息通常是那些一旦披露则可能损害一方商业利益的信息。这包括PPP合同条款或配套文件所含的信息,例如商业秘密、商业敏感知识产权和技术诀窍、个人数据等。主要财务信息,例如定价要素和方法,以及私营合作伙伴的财务模型,包括债权和股权融资成本及其他方面详情,通常亦被视为保密信息。从缔约政府部门的角度来看,保密信息也包括假如披露会侵害公众或国家利益的信息(例如国防、国家安全及羁押事务)。


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项目中,信息保密应是例外,而不应是常态,且应引述适用透明度及信息披露政策法律规定的保密原则以证明其合理性。与特定信息有关的事项,应通过起草特定条款作出规定。对此类信息的任何披露,均应明确说明其合理性并根据PPP合同保密条款的规定作出。某些类别的信息通常被排除在保密承诺范围外,例如已存在于公共领域的信息,或从其他来源合法获得的信息。保密承诺通常亦不适用于一方依照法律、监管或司法程序要求有义务披露信息的情况。

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