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Development of a risk management model for public-private partnerships in Uganda
Thesis (PhD)--Stellenbosch University, 2023.
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| Format: | Thesis |
| Language: | en_ZA |
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Stellenbosch : Stellenbosch University
2023
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| _version_ | 1867614021723619328 |
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| access_status_str | Open Access |
| author | Bagenda, Bonny |
| author2 | Zwelinzima, Ndevu |
| author_browse | Bagenda, Bonny Zwelinzima, Ndevu |
| author_facet | Zwelinzima, Ndevu Bagenda, Bonny |
| author_sort | Bagenda, Bonny |
| collection | Thesis |
| dc_rights_str_mv | Stellenbosch University |
| description | Thesis (PhD)--Stellenbosch University, 2023. |
| format | Thesis |
| id | oai:scholar.sun.ac.za:10019.1/128702 |
| institution | Stellenbosch University (South Africa) |
| language | en_ZA |
| last_indexed | 2026-06-10T12:45:24.995Z |
| license_str | Other — see source repository |
| provenance_str_mv | Harvested via OAI-PMH from SUNScholar — Stellenbosch University Repository |
| publishDate | 2023 |
| publishDateRange | 2023 |
| publishDateSort | 2023 |
| publisher | Stellenbosch : Stellenbosch University |
| publisherStr | Stellenbosch : Stellenbosch University |
| record_format | dspace |
| source_str | SUNScholar — Stellenbosch University Repository |
| spelling | oai:scholar.sun.ac.za:10019.1/128702 Development of a risk management model for public-private partnerships in Uganda Bagenda, Bonny Zwelinzima, Ndevu Stellenbosch University. Faculty of Economic and Management Sciences. School of Public Leadership. Public-private sector cooperation -- Uganda Risk management -- Uganda Privatisation -- Uganda UCTD Thesis (PhD)--Stellenbosch University, 2023. ENGLISH SUMMARY: Governments are collaborating with the private sector through public-private partnerships (PPPs) to address the public infrastructure funding gaps and inefficiencies associated with conventional public procurement. This is amidst the increasing demand for public infrastructure and services. However, PPP projects are prone to several risks, which have accounted for their failure in many cases. This study focused on Uganda where existing PPP projects have not performed as expected mainly because of poor risk management practices. Additionally, risk management in PPP projects in the context of Uganda has hitherto not been well-studied despite the rising interest in the use of the PPP model to achieve Uganda’s Vision 2040. The study, therefore, sought to develop a risk management model for PPP projects in Uganda based on the supposition that when risks are adequately managed, PPP projects will achieve their objectives, and Uganda will be able to realise its public infrastructure aspirations. A pragmatic philosophical paradigm underpinned a convergent mixed-methods research design using four data collection methods. A systematic literature review was conducted to identify the risks associated with PPP projects, and a questionnaire survey was used to collect data from 83 PPP experts purposively sampled from the public and private sectors and academia. Additionally, four PPP projects were reviewed through interviews and documentary analysis. Furthermore, the study reviewed the literature on existing PPP risk management models and international risk management best practices. Data were then analysed through mean score ranking; Kendall’s coefficient of concordance; and qualitative content and thematic analysis. The study was guided by New Public Management and Post-Management theories which were used to justify the use of PPPs. Furthermore, transaction cost, stakeholder and complexity theories were used to understand risks in PPPs. Through a systematic literature review, 76 risks associated with PPP projects were identified of which 34 emerged as the principal risks specific to Uganda. The top principal risks included construction completion risks; corruption and bribery; land acquisition risks; construction cost overrun; and high financing costs. Concerning risk allocation, the respondents preferred most of the risks to be shared between PPP partners, which contradicted the findings of previous studies. Inadequate PPP experience was cited as the key challenge associated with risk allocation in PPP projects. Through a literature review and an analysis of documents on successful PPP projects globally, lessons were learnt from international best practices for risk management. These included the need for a sound regulatory framework; political support and commitment; stakeholder sensitisation and engagement; clear contract terms; relationship management; development of the local financial market; contingency plans and funds; and a transparent procurement process. Through interviews and documentary analysis, mechanisms used to manage risks in selected PPP projects in Uganda were analysed and gaps were identified. Drawing on these results, a PPP risk management model comprising four components including risk identification, risk allocation, risk mitigation and risk monitoring was developed. The model proposes a combination of risk checklists, brainstorming and the Delphi technique as effective tools for identifying risks. It also highlights the principal risks associated with PPP projects in Uganda, which are classified into nine risk groups. Furthermore, the model includes seven risk allocation criteria to be used to comprehensively assess the abilities of each party and to achieve optimal risk allocation. Risk management strategies for each principal risk are also highlighted in the model. In addition, the model emphasises the importance of risk monitoring whereby risk management strategies are assessed and risk reidentification and reassessment is carried out. The proposed model will guide PPP stakeholders in the identification, allocation, management, and monitoring of risks associated with PPP projects to ensure the successful implementation of PPP projects. This will enable the government to execute its planned infrastructure projects, thereby supporting Uganda’s efforts toward the realisation of Vision 2040 and the Sustainable Development Goals (SDGs). Although the proposed risk management model was developed with Uganda in mind, it could be adapted for use by other countries. AFRIKAANSE OPSOMMING: Regerings en die privaat sektor gaan openbare-privaatsektorvennootskappe (sogenaamde PPP’s) aan om gesamentlik die finansieringstekorte en ondoeltreffendheid wat met die konvensionele openbare verkryging van openbare infrastruktuur gepaardgaan, die hoof te bied. Dit geskied teen die agtergrond van ’n toenemende vraag na openbare infrastruktuur en dienste. Nietemin is PPP-projekte onderworpe aan verskeie risiko’s, wat menige projek al laat misluk het. Hierdie studie konsentreer op Uganda, waar bestaande PPP-projekte nie na verwagting presteer nie, hoofsaaklik as gevolg van swak risikobestuurspraktyke. Boonop is daar tot dusver nog geen deeglike studie van risikobestuur in PPP-projekte in Ugandese verband onderneem nie, ondanks die toenemende belangstelling in die PPP-model om Uganda se Visie 2040 te verwesenlik. Daarom was die doel van hierdie studie om ’n risikobestuursmodel vir PPP-projekte in Uganda te ontwikkel in die veronderstelling dat wanneer risiko’s behoorlik bestuur word, PPP-projekte hulle doelwitte sal bereik en Uganda sy aspirasies vir openbare infrastruktuur sal kan verwesenlik. Die navorsing is onderneem binne ’n pragmatiese filosofiese paradigma wat op ’n konvergente gemengdemetode-ontwerp berus. Data is met behulp van vier metodes ingesamel. ’n Stelselmatige literatuuroorsig is onderneem om die risiko’s verbonde aan PPP-projekte te identifiseer. Met ’n vraelysopname is data van ’n doelgerigte steekproef van 83 PPP-kenners uit die openbare en privaat sektor sowel as die akademie ingewin. Daarbenewens is vier PPP-projekte deur onderhoude en dokumentere ontleding ondersoek, en is die literatuur oor bestaande PPP-risikobestuursmodelle en internasionale beste risikobestuurspraktyk bestudeer. Data is daarna met behulp van ’n rangorde van gemiddelde tellings, Kendall se ooreenstemmingskoeffisient sowel as kwalitatiewe inhouds- en tematiese analise ontleed. Die studie is gerig deur nuwe openbarebestuurs- en -postbestuursteoriee wat die gebruik van PPP’s regverdig. Boonop is die transaksiekoste-, belanghebbende- en kompleksiteitsteoriee gebruik om die risiko’s van PPP’s te verstaan. Die stelselmatige literatuuroorsig het 76 risiko’s verbonde aan PPP-projekte aan die lig gebring, waarvan 34 as hoofrisiko’s vir Uganda geidentifiseer is. Onder die vernaamste hoofrisiko’s was konstruksievoltooiing, korrupsie en omkopery, grondverkryging, konstruksiekosteoorskryding en hoë finansieringskoste. Wat risikoverdeling betref, het die respondente verkies dat PPP-vennote gelyke risiko aanvaar, wat die bevindinge van vorige studies weerspreek. Onvoldoende PPP-ervaring is aangevoer as die hoofuitdaging ten opsigte van risikoverdeling in PPP-projekte. Die literatuuroorsig en ’n ontleding van dokumente oor suksesvolle PPP-projekte wereldwyd het bepaalde lesse uit internasionale beste risikobestuurspraktyk na vore gebring. Dít sluit in die behoefte aan ’n grondige reguleringsraamwerk, politieke steun en toewyding, belanghebbende-sensitisering en -skakeling, duidelike kontrakbepalings, verhoudingsbestuur, ontwikkeling van die plaaslike finansiele mark, gebeurlikheidsplanne en -finansiering, en ’n deursigtige verkrygingsproses. Deur middel van onderhoude en dokumentere analise is risikobestuursmeganismes in uitgesoekte PPP-projekte in Uganda ontleed en leemtes uitgewys. Op grond van hierdie resultate is ’n PPP-risikobestuursmodel met vier komponente, naamlik risikobepaling, -verdeling, -beperking en -monitering, opgestel. Die model stel risikokontrolelyste, dinkskrums en die Delphi-tegniek voor as doeltreffende instrumente om risiko’s te bepaal. Dit lig ook die hoofrisiko’s verbonde aan PPP-projekte in Uganda uit, wat in nege risikogroepe geklassifiseer word. Daarbenewens sluit die model sewe risikoverdelingskriteria in wat gebruik kan word om risiko optimaal toe te wys aan die party wat dit die beste kan bestuur. Risikobestuurstrategiee word vir elke hoofrisiko uitgelig, en die model beklemtoon boonop die belang van risikomonitering, wat die voortdurende evaluering van risikobestuurstrategiee en die herbepaling en -evaluering van risiko’s insluit. Die voorgestelde model sal as rigsnoer dien vir PPP-belanghebbendes om die risiko’s verbonde aan PPP-projekte te bepaal, te verdeel, te bestuur en te moniteer, en sodoende die suksesvolle implementering van PPP-projekte te verseker. Dit sal die regering in staat stel om sy beplande infrastruktuurprojekte uit te voer, wat Uganda se strewe na Visie 2040 en die volhoubare ontwikkelingsdoelwitte sal ondersteun. Hoewel die voorgestelde risikobestuursmodel met Uganda in gedagte ontwikkel is, kan dit ook vir gebruik deur ander lande aangepas word. Doctorate 2023-02-17T09:14:42Z 2023-11-16T08:54:16Z 2023-02-17T09:14:42Z 2023-11-16T08:54:16Z 2023-03 Thesis https://scholar.sun.ac.za/handle/10019.1/128702 en_ZA Stellenbosch University xxii, 465 pages : illustrations, includes annexures application/pdf Stellenbosch : Stellenbosch University |
| spellingShingle | Public-private sector cooperation -- Uganda Risk management -- Uganda Privatisation -- Uganda UCTD Bagenda, Bonny Development of a risk management model for public-private partnerships in Uganda |
| title | Development of a risk management model for public-private partnerships in Uganda |
| title_full | Development of a risk management model for public-private partnerships in Uganda |
| title_fullStr | Development of a risk management model for public-private partnerships in Uganda |
| title_full_unstemmed | Development of a risk management model for public-private partnerships in Uganda |
| title_short | Development of a risk management model for public-private partnerships in Uganda |
| title_sort | development of a risk management model for public private partnerships in uganda |
| topic | Public-private sector cooperation -- Uganda Risk management -- Uganda Privatisation -- Uganda UCTD |
| url | https://scholar.sun.ac.za/handle/10019.1/128702 |
| work_keys_str_mv | AT bagendabonny developmentofariskmanagementmodelforpublicprivatepartnershipsinuganda |