Thesis (M.S. in Contract Management)--Naval Postgraduate School, December 2004. / Thesis advisor(s): Richard Doyle. Includes bibliographical references (p. 69-73). Also available online.

Thesis (Ph. D.)--University of Wisconsin--Madison, 1975. / Typescript. Vita. eContent provider-neutral record in process. Description based on print version record. Includes bibliographical references (leaves 163-167).

The state of the Tendering Process in South African Government Institutions has become an area of concern in recent years with issues related to transparency, governance and rigid retrospective procedures being cited as impediments to efficiency. In tum, Knowledge Management (KM) and its ability to be applied to all types of organisations to increase efficiency has been popularised extensively. An analysis of KM literature suggested that the principles of KM may be used to increase efficiency and create competitive advantage. This study attempted to identify whether the benefits gained by other organisations through the application of Knowledge Management principles, could be applied to the Tendering Process in South African Government Institutions. The study sought to identify how Knowledge Value Chain by Wang and Ahmed (2005) may be leveraged to create an enhanced Tendering Process. The study then reviewed the Tendering Processes conducted in Australia, United States of America, Malaysia and South Africa and sought to identify the common steps in a tendering process in order to construct a standard tendering process. The Knowledge Value Chain was then applied to this process to create a standard tendering process enhanced by Knowledge Management Principles. The model was compared to the processes currently conducted in two Government institutions and two parastals. The findings indicated that the model is well suited for Government Organisations and would assist in the creation of greater transparency, however the practical implementation of the model is yet unlikely as the model suggest electronic access to information, and the process in South African Government Institutions is predominately paper-based.

The dissertation consists of a set of essays which investigate optimal contracting policies in the presence of asymmetric information and uncertainty. The first essay studies how risk aversion and a sunk investment by the firm influence the contracting outcome. The government contracts with a single, risk-averse supplier for the production of output. Both the government and the firm face uncertainty with respect to the marginal production cost of the item. Prior to full-scale production, the firm performs start-up work, during which it may make a costly investment which lowers the marginal cost of production. This cost-reducing effort is not observable by the government. At the end of the start-up phase, the firm privately learns its production cost. It then reports to the government concerning this cost, and production takes place according to the terms of the contract. The primary result concerns the effect that the firm’s investment has on the private information problem. Specifically, the investment by the firm in the start-up phase reduces the firm’s incentive to misrepresent (overstate) its cost to the government later on. From this, it follows that the firm provides a strictly smaller investment than the government would prefer under the optimal contract. The second essay examines the optimal incentive contract to offer to bidders with independent private values when it is costly for the principal to monitor the agent’s cost performance ex post. Cost sharing reduces the winner’s informational rents when the bidders possess heterogeneous private cost information but also discourages the agent from providing effort to reduce cost. In addition, if cost observation is costly for the principal, cost sharing gives the agent an incentive to pad his cost ex post. The essay investigates the consequences of this ex post adverse selection problem for the optimal incentive contract. The principle results of the analysis are as follows. First, it is demonstrated that when monitoring is costly, a low cost agent will overreport his realized cost with positive probability in equilibrium. Depending upon the cost sharing parameter, the equilibrium cost reporting and monitoring strategies may either involve pooling or a mixed strategy solution. Second, we show that the optimal contract with costly monitoring generally differs from the contract which is optimal when monitoring is costless. Depending upon the characteristics of the contracting environment, the optimal contract may induce either pooling or a mixed strategy outcome ex post. If the optimal contract involves pooling, the ‘costly monitoring’ cost sharing parameter is weakly smaller than the optimal cost sharing parameter with costless monitoring. If the optimal contract induces a mixed strategy equilibrium, the optimal level of cost sharing is strictly higher than the optimal cost sharing parameter when monitoring is costless. Finally, our model predicts that, other things equal, the level of cost sharing should be higher, the smaller the number of bidders and the more diffuse the bidder’s expected costs. / Ph. D.

Thesis (M.S.)--Naval Postgraduate School, 2004. / Mode of access: Internet via the World Wide Web. Title from title screen (viewed May 10, 2005). "December 2004." Includes bibliographical references (p. 69-73). Also issued in paper format.

Este projeto de mestrado objetiva trazer aos responsáveis pelas áreas de aquisição das Instituições Federais de Ensino Superior (IFES), principalmente às da Universidade Tecnológica Federal do Paraná (UTFPR), esclarecimento a respeito da atual legislação aplicada ás licitações, bem como a proposição aos seus Administradores de modelos para os processos de licitação, a fim de padronizá-los, trazendo melhorias em seu desenvolvimento, reduzindo custos e eliminando retrabalho. O método adotado nesta pesquisa foi o estudo de caso, que envolve estudo profundo e exaustivo de um determinado tema, de modo a permitir conhecê-lo de forma ampla. O estudo também foi fundamentado na pesquisa documental dos processos licitatórios elaborados pela Reitoria da UTFPR, de 2010 a abril de 2012, nas notas técnicas emitidas pela Procuradoria Jurídica da UTFPR (PROJU) e nas constatações colhidas no portal da Controladoria Geral da União (CGU). De posse das informações, optou-se, como instrumento de coleta de dados, a elaboração de um questionário, que foi respondido por servidores da UTFPR atuantes nas áreas de licitação, da Auditoria Interna e da Procuradoria Jurídica. Como resultado da pesquisa foi apresentado a legislação e os procedimentos para a realização de uma licitação, bem como os modelos, com os requisitos e fases da licitação, para as modalidades de Concorrência Pública, Tomada de Preços, Convite, Cotação Eletrônica, Inexigibilidade, Dispensa, Pregão Eletrônico e Ata de Registro de Preços. / This master's project aims to bring those responsible for the areas of acquisition of Federal Institutions of Higher Education (IFES), especially at the Federal Technological University of Paraná (UTFPR) clarification regarding the current legislation witch ace bids, as well as the proposition their administrators bidding process models in order to standardize them, bringing improvements in their development, reducing costs and eliminating rework. The method adopted in this scientific research was the case study, which involves deep and thorough study of a particular topic, to enable it to meet broadly. The study was also based on desk research of bidding process developed by the Rectory of UTFPR the years 2010 to April 2012, in the technical notes issued by the Legal Department of UTFPR (PROJU), and the findings taken from the portal of the Comptroller General's Office (CGU). As a result of the research were presented legislation and procedures for conducting a bidding, and models, with the requirements and stages of bidding for the modalities of Competitive Bidding, Socket Pricing, Announcement, Electronic Quotation, Unenforceability, Utility , Electronic Trading and Price Registry Act.

This dissertation is a collection of articles on the design of procurement auctions. Chapter 1 provides a primer to the subsequent three essays. Rather than addressing all the issues involved, it illustrates some basic concepts about auctions, both institutionally and theoretically. It also highlights some problems that arise when auction theory is applied to procurement auctions. / Ph. D.

CAPES / A presente pesquisa tem como tema central a análise das compras públicas realizadas na Universidade Tecnológica Federal do Paraná (UTFPR) sob o prisma da Sociedade Sustentável, da Educação Tecnológica e da Ciência do Direito. O objetivo principal foi verificar se as compras da UTFPR podem ser consideradas Compras Públicas Sustentáveis, a partir das contribuições dos aspectos teóricos de direcionamento da pesquisa nomeados de Unidades de Análise. O método empregado foi o Estudo de Caso, que se baseia em pesquisa exploratória e descritiva do tipo mista (quantitativa e qualitativa). Da análise dos 507 arquivos de pregões eletrônicos realizados pela UTFPR no período escolhido, constatou-se que, dos 14.758 itens comprados, poucos traziam previsões específicas sobre a sustentabilidade. Em função destes resultados, foram propostas linhas de referência traçadas especificamente para o caso das Compras Públicas da UTFPR. A intenção foi colaborar para que esta Instituição Tecnológica de Ensino Superior possa demonstrar um comprometimento com as normas e princípios vigentes no Direito Ambiental e com a Sociedade Sustentável, o que lhe permitirá tornar-se uma referência para outras Instituições que realizem compras públicas. / This research focuses on the analysis of public procurements made by the Federal Technology University of Paraná (Universidade Tecnológica Federal do Paraná - UTFPR) from the perspective of the Sustainable Society, the Technological Education and the Science of Law. The main objective was to verify by applying these guiding theoretical aspects – named herein as Analysis Units – whether UTFPR purchases can be considered as Sustainable Public Procurements. The methodology employed for it has been a case study based on a mixed type (quantitative and qualitative) exploratory and descriptive research. Based on the analysis of 507 records of electronic auctions conducted by UTFPR in the chosen period, it was found that, out of the 14,758 items purchased, very few of them contained specific references to sustainability. According to these results, reference guidelines were specifically drawn for the case of the UTFPR Public Procurements. The purpose has been to contribute to this higher education technological institution o that it can demonstrate a clear commitment with the current rules and principles of Environmental Law and the Sustainable Society, becoming a model for other institutions performing public procurement.

A presente dissertação trata do Procedimento de Manifestação de Interesse/PMI, que é um instrumento empregado na preparação de projetos de concessão e atualmente bastante difundido na teoria e prática do Direito Administrativo brasileiro. O PMI foi desenvolvido com esteio na interpretação do art. 21, da Lei n.º 8.987/95 (lei geral de concessões) e em regulamentos editados pelos Poderes Executivos de diversos entes federativos brasileiros. A jurisprudência dos tribunais de contas e o trabalho da doutrina administrativista também têm contribuído significativamente para a sedimentação de ideias a respeito deste instituto. O principal fator impulsionador do uso do PMI é a circunstância de que a Administração Pública, nas suas três esferas federativas, enfrenta limitações técnicas, operacionais e jurídicas para a preparação de suas concessões. Diante dessa realidade, o PMI torna possível que agentes privados ( autorizados ) apoiem, por sua conta e risco, o Estado na realização de estudos de viabilidade (técnicos, econômico-financeiros e jurídicos) e na execução de outras atividades compreendidas na fase interna dos certames concessórios. Tal mecanismo, que enseja uma relação jurídica de índole não contratual, tem sido reputado como flexível e apto para gerar um processo decisório público permeável à expertise do setor privado. Modelos semelhantes ao PMI também são adotados na experiência do direito comparado, sendo designados na literatura especializada como unsolicited proposals. O presente trabalho desenvolve a ideia de que a regulação atual do PMI enseja riscos e objeções, as quais estão relacionadas à existência de conflitos de interesses, assimetrias informacionais e ineficiência na alocação de recursos públicos e privados aplicados no procedimento. No que tange aos seus resultados, os dados empíricos coletados convergem para a constatação de que os PMIs se caracterizam pela baixa efetividade na geração de contratos de concessão assinados e baixa competição nas licitações realizadas na esteira do procedimento. A dissertação, porém, também se ocupa de propor novas interpretações e aperfeiçoamentos na regulação do instrumento, de modo a reformar a sua estrutura de incentivos e torná-lo mais facilmente manejável para o atingimento do interesse público. / This dissertation analyses the unsolicited proposals procedure (named in Brazil as "Procedimento de Manifestação de Interesse" - PMI), which is a legal tool applied for the preparation of concession contracts. The PMI was developed on the basis of the interpretation of art. 21 of Law n.º 8.987/95 ( general concessions law ) and regulations issued by executive branches of various Brazilian federal entities. Cases from accounting courts and books on administrative law doctrine have also contributed significantly to the development of this procedure. To succeed in the preparation of projects and concession contracts, the Public Administration in Brazil has to overcome technical, institutional and legal difficulties. Given this reality, the PMI allows private agent support (at their own risk and expense) of the state entities in the developing of feasibility studies (technical, economic, financial and legal) and in the execution of other activities necessary for a successful bidding process. The PMI generates a non-contractual relationship between private and public actors. The mechanism is also viewed as being flexible and able to enrich the public decision-making process with the expertise and technical capability of the private sector. Procedures like the PMI are also adopted in other countries. However, this paper presents the idea that the current regulation of PMI entails several risks and objections, which are related to the existence of conflicts of interest, informational asymmetries and inefficiency in the allocation of public and private funds during the procedure. With respect to the results of PMI, the empirical data presented and analyzed make it possible to conclude that the PMI is characterized by low effectiveness (ingenerating signed concession contracts) and also drives to low competition in the tender process conducted afterwards. This dissertation also proposes new interpretations of the current legislation and improvements in the regulation of the procedure in order to reform its incentives structure and make it more easily manageable for the achievement of public interest. / Dissertação (Mestrado) - Programa de Pós-Graduação em Direito, Faculdade de Direito, Universidade do Estado do Rio de Janeiro, Rio de Janeiro, 2015. / Bibliografia: p. 304-315.

Approved for public release, distribution is unlimited / This study examines the effects of acquisition reform on Women-Owned Small Businesses (WOSBs) and Small Disadvantaged Businesses (SDBs) who contracted with DOD during the 1990s through 2002 timeframe. Review and analysis of DOD data for fiscal years 1992 through 2002, an analysis of websites and acquisition literature, and interviews with DOD contracting and small business specialists provided the basis for this study. It identifies acquisition reform legislation enacted in the 1990s that has had a direct impact on WOSBs and SDBs and examines the charge that the practice of contract bundling has negatively impacted the ability of small businesses to win DOD contracts. An analysis of contract bundling data from the Small Business Office of Advocacy, Congress and DOD demonstrates that the data is insufficient and inconsistent to prove or disprove that contract bundling is negatively impacting small businesses. However, DOD data for fiscal years 1992 through 2002 indicates that DOD contracting with WOSBs improved consistently, particularly after enactment of the Federal Acquisition Streamlining Act (FASA) of 1994 which mandated that the federal government, inclusive of DOD, award five percent of total yearly procurement dollars to WOSBs. / Civilian, United States Army