Le PPP (Precise Point Positioning) est une méthode GNSS (Global Navigation Satellite Systems), basée sur le concept SSR (State Space Representation). Grâce aux améliorations récentes des modèles atmosphériques, le PPP en temps réel (RT-PPP) peut être également amélioré. L'objectif principal de ce travail est d'étudier le RT-PPP et l'infrastructure optimisée en termes de coûts et d'avantages pour réaliser la méthode en utilisant des corrections atmosphériques. Pour cela, différentes configurations d'un réseau GNSS dense et régulier existant en France, le réseau Orphéon, sont utilisées. Ce réseau compte environ 160 sites, propriété de Geodata-Diffusion (Hexagon Geosystems). Dans un premier temps, le mode «PPP-RTK flottant» a été évalué, il correspond au RT-PPP avec des améliorations issues des corrections de réseau, mais avec les ambiguïtés flottantes. Ensuite, des corrections de réseau sont appliquées pour améliorer le mode « PPP-RTK » où les ambiguïtés sont fixées à leurs valeurs entières. Pour le PPP-RTK flottant, une version modifiée du package RTKLib 2.4.3 (beta) est utilisée pour prendre en compte les corrections réseau. Les effets ionosphériques de premier ordre ont été éliminés par la combinaison iono-free et le retard troposphérique zénithal est estimé. Les corrections ont été appliquées en introduisant des paramètres troposphériques a priori contraints. Une modélisation adaptative basée sur les OFCs (Optimal Fitting Coefficients) a été mise en place pour décrire le comportement de la troposphère, en utilisant des estimations des retards troposphériques pour les stations Orphéon. Cette solution permet une communication monodirectionnelle entre le serveur et l'utilisateur. Les gains réalisés sur le temps de convergence pour obtenir un positionnement de 10 centimètres de précision ont été quantifiés statistiquement. La topologie du réseau a été évaluée, en réduisant le nombre de stations de référence (jusqu'à 75%), via une configuration de réseau lâche. Dans la deuxième étape, le PPP-RTK est réalisé grâce au logiciel PPP-Wizard 1.3 et avec les produits temps réel CNES (Centre Nacional de Estudes Spatiales) pour les orbites, les horloges et les biais de phase des satellites. Le RT-IPPP (RT-Integer PPP) est réalisé avec estimation des délais troposphériques et ionosphériques. Les corrections ionosphériques et troposphériques sont introduites en tant que paramètres a priori contraints au PPP-RTK. Pour générer des corrections ionosphériques, il a été mis en place un algorithme d'interpolation à distance inversée (IDW–Inverse Distance Weighting). Les améliorations apportées au positionnement horizontal dues aux corrections atmosphériques SSR externes provenant d’un réseau (dense ou lâche) sont prometteuses et peuvent être utiles pour les applications qui dépendent principalement du positionnement horizontal. / PPP (Precise Point Positioning) is a GNSS (Global Navigation Satellite Systems) method, based on SSR (State Space Representation) concept. Thanks to recent improvements in atmospheric models, Real-time PPP (RT-PPP) can also be improved. The main objective of this work is to study the RT-PPP and the optimized infrastructure in terms of costs and benefits to realize the method using atmospheric corrections. Therefore, different configurations of a dense and regular GNSS network existing in France, the Orpheon network, are used. This network has about 160 sites and is owned by Geodata-Diffusion (Hexagon Geosystems). Initially, ‘float PPP-RTK’ was evaluated, it corresponds to RT-PPP with improvements resulting from network corrections, although with ambiguities kept float. Further on, network corrections are applied to improve “PPP-RTK” where ambiguities are fixed to their integer values. For the float PPP-RTK, a modified version of the RTKLib 2.4.3 (beta) package is used to apply network corrections. First-order ionospheric effects were eliminated by the iono-free combination and zenith tropospheric delay estimated. The corrections were applied by introducing a priori constrained tropospheric parameters. Adaptive modeling based on OFCs (Optimal Fitting Coefficients) has been developed to describe the behavior of the troposphere, using estimates of tropospheric delays for Orpheon stations. This solution allows one-way communication between the server and the user. The gains achieved in convergence time to 10 centimeters accuracy were statistically quantified. Network topology was assessed by reducing the number of reference stations (up to 75%) using a sparse network configuration. In the second step, PPP-RTK is realized using the PPP-Wizard 1.3 software and CNES (Centre National d'Etudes Spatiales) real-time products for orbits, clocks and phase biases of satellites. The RT-IPPP (RT-Integer PPP) is performed with estimation of tropospheric and ionospheric delays. Ionospheric and tropospheric corrections are introduced as a priori parameters constrained in PPP-RTK. To generate ionospheric corrections, it was implemented an Inverse Distance Weighting (IDW) algorithm. Improvements achieved in horizontal positioning due to external SSR corrections from a (dense or sparse) network are promising and may be useful for applications that depend primarily on horizontal positioning. / O PPP (Precise Point Positioning) é um método GNSS (Global Navigation Satellite Systems) baseado no conceito SSR (State Space Representation). Graças às melhorias recentes nos modelos atmosféricos, o PPP em tempo real (RT-PPP) também pode ser aprimorado. O objetivo principal deste trabalho é estudar o RT-PPP e a infraestrutura otimizada em termos de custos e benefícios para realizar o método usando correções atmosféricas. Portanto, são utilizadas diferentes configurações de uma rede GNSS densa e regular existente na França, a rede Orphéon. Esta rede tem cerca de 160 estações, sendo propriedade da Geodata-Diffusion (Hexagon Geosystems). Inicialmente, foi avaliado o "float PPP-RTK", que corresponde ao RT-PPP com melhorias resultantes de correções de rede, embora mantendo as ambiguidades como float. Em um segundo momento, as correções de rede são aplicadas para aprimorar o "PPP-RTK", onde ambiguidades são fixadas para seus valores inteiros. Para o float PPP-RTK, uma versão modificada do software RTKLib 2.4.3 (beta) é empregada de modo a levar em consideração as correções de rede. Os efeitos ionosféricos de primeira ordem foram eliminados pela combinação iono-free e o atraso troposférico é estimado. As correções são aplicadas introduzindo parâmetros troposféricos a priori injuncionados. Uma modelagem adaptativa baseada em OFCs (Optimal Fitting Coefficients) foi implementada para descrever o comportamento da troposfera, utilizando estimativas de atraso troposférico para estações da rede Orpheon. Tal solução permite a comunicação unidirecional entre o servidor e o usuário. Os ganhos alcançados no tempo de convergência para acurácia de 10 centímetros foram quantificados estatisticamente. A topologia de rede foi avaliada reduzindo o número de estações de referência (até 75%) usando uma configuração de rede esparsa. Na segunda etapa, o PPP-RTK é realizado usando o software PPP-Wizard 1.3, bem como os produtos para tempo real do CNES (Centre National d’Etudes Spatiales) de órbitas, relógios e biases de fase de satélites. O RT-IPPP (RT-Integer PPP) é realizado com estimativa de atrasos troposféricos e ionosféricos. As correções ionosféricas e troposféricas são introduzidas como parâmetros a priori injuncionados no PPP-RTK. Para gerar correções ionosféricas, foi implementado um algoritmo baseado na ponderação pelo inverso da distância (IDW–Inverse Distance Weighting). As melhorias alcançadas no posicionamento horizontal com o uso das correções SSR externas de uma rede (densa ou esparsa) são promissoras e podem ser úteis para aplicações que dependem principalmente do posicionamento horizontal.

The diploma thesis evaluates the topical situation regarding PPP projects (Public Private Partnership) in the Czech Republic. The definition of the PPP project together with advantages and disadvantages of this concept and the explanation of the PPP process can be found in the first chapter. Second part is mostly focused on the description of the transport infrastructure in Czech and its possible expansion determined by the usage of PPP projects. The crucial part of the third section is the analysis of the already executed PPP projects -- both on the governmental and municipal level. The implementation of PPP projects in the Czech Republic is also confronted with the situation in the Visegrad countries and Russia.

A modalidade de contratação via parceria público-privada (PPP) vem sendo cada vez mais utilizada no mundo todo. No Brasil, foi criada pela Lei nº 11.079 e vem crescendo impulsionada pelos megaeventos esportivos como a Copa do Mundo de 2014 e as Olimpíadas em 2016, especialmente na área de infraestrutura em mobilidade urbana. Esta dissertação tem como objetivo fazer uma avaliação por value for money (VfM) da contratação e mérito de um projeto de PPP em um protótipo de uma linha de metrô na cidade de São Paulo baseado na atual Linha 6-Laranja. Após a avaliação, também será verificado o mérito pela escolha de um projeto de PPP de um segundo protótipo similar a Linha 4-Amarela do metrô de São Paulo, o que possibilitará a análise de qual o maior VfM entre dois protótipos de PPP de linhas de metrô, com escopo e divisão de riscos distintos, sendo um similar à Linha 6-Laranja e outro similar à Linha 4-Amarela, permitindo verificar qual a opção de melhor eficiência e retorno exigido pelo ente privado em projetos dessa magnitude, além de identificar as principais dificuldades e propor recomendações e melhorias. A metodologia do estudo é baseada na construção de um modelo de estimativa de custo e receita de linha-protótipo na cidade de São Paulo, tendo como base projetos similares no Brasil e no exterior, fundamentação teórica especializada do setor bem como avaliação de aspectos jurídicos e econômico-financeiros. Dentre as conclusões, observou-se a existência de mérito pela escolha por projetos de PPP em futuras linhas de metrô e, em razão das dificuldades do setor público em tocar grandes obras, com a falta de investimento e expertise em planejamento, da necessidade de melhoria no regime de contratação, com a criação de câmaras especializadas para discutir a viabilidade e a adequada transferência dos riscos entre o ente privado e o Estado em projetos de PPP verificados por meio da comparação do VfM entre os dois protótipos propostos. / The contracting mode public-private partnership (PPP) has been increasingly used in the world, and in Brazil, created by Law No. 11,079, is growing driven by mega sporting events like the World Cup 2014 and the Olympics in 2016, especially in infrastructure of urban mobility area. This thesis aims to make a value for money analysis for a PPP model contracting and therefore the credit through the contractual mode (PPP) of a prototype subway line in the city of Sao Paulo based on current Line 6 - Orange. After such an evaluation, it will also be verified through another prototype like Line 4 - Yellow which will enable the analysis of the higher value for money between the two prototypes of PPP existing in São Paulo with different scopes, one based on subway Line 4 - Yellow and other as the Line 6 - Orange, allowing to check the returns required by private entity in projects of this magnitude, in addition to predict the main difficulties and make recommendations and improvements. The study methodology is based on building a model to estimates costs and revenues of a prototype subway line in Sao Paulo city through a PPP model, based on Brazilian and international similar projects, specialized literature of the sector as well the assessment of legal, economic and financial aspects. Among conclusions, it was found that, given the difficulties of the public sector in leading major projects, such as lack of investment and expertise in planning, there is need for improvement in the procurement regime, such as the creation of specialized chambers to discuss the feasibility and appropriate division of risks between the private entity and the State in PPP projects through the comparison of both prototypes value for money proposed.

Le partenariat public privé est un instrument pour la réalisation des objectifs du développement en Egypte. Sur le plan international, le recours aux PPP soulève des difficultés compliquées à résoudre. La nature complexe de ce type de projets augmentent la probabilité de litiges entre les parties. L’analyse comparée des expériences britannique et française, permet d’élaborer une référence pour le gouvernement égyptien en matières des réformes juridique et économique. Dans le cadre d’améliorer la gestion des projets de PPP en Egypte, deux approches peuvent être adressées dans notre recherche. En premier lieu, le développement d’une méthodologie de gestion efficace des risques par l’analyse de types des risques attachés aux PPP pendant le cycle de vie du projet. En deuxième lieu, la présentation des mécanismes les plus efficaces de résolution des litiges découlant des projets de PPP / Public-private partnership is an instrument for achieving development objectives in Egypt. On the international level, the use of the PPP model raises complicated challenges and difficulties. The complex nature of such projects increase the probability of disputes between the parties. The comparative analysis of the British and French experience allows the elaboration of a reference for the Egyptian government in the legal and economicreforms. In order to improve the management of PPP projects in Egypt, two approaches can be addressed in our research. First, the development of an effective risk management methodology through the analysis of the types of risk associated with PPP during the life cycle of the project. Second, the presentation of the most effective mechanisms for the resolution of disputes arising from PPP projects

Made available in DSpace on 2016-04-27T18:47:12Z (GMT). No. of bitstreams: 1 Gracielle Elaine Ramos Costa.pdf: 1506343 bytes, checksum: e3f58746533f5f7ff859fed09352312f (MD5) Previous issue date: 2013-05-10 / The increase in the aging population is a reality according to Brazilian demographics. However, few measures are being taken to address this challenge and improve the quality of life of this population group, thus triggering great mystification and discrimination regarding aging in contemporary society. Therefore, the need arises to qualify professionals from various fields to meet this new demand, especially in the field of education. Education for seniors is usually done in a non-formal environment with the help of many professionals from all academic fields. Specifically: the drama teacher, who is able to develop theatrical activities for seniors using exercises with a socializing/inter-activity character. In this context, this research aims to investigate whether the aging and longevity issues are addressed in Pedagogical Political Projects (PPP) of Theatre Degree courses in Brazil, questioning primarily if the Supervised Internship III and/or IV courses address the teaching of seniors in the non-formal environment. As the theoretical basis were used the sociological reflections by Bauman on liquid-modernity which is associated with theater-education theorists. Furthermore, as a methodical basis, the social/documented search method with qualitative and quantitative approaches was used, of which the data analysis was based on Bardin and the laws of the MEC and the new LDBEN. The result of the research shows a negative picture: out of the 49 undergraduate Degrees in Theatre that were surveyed, only 2 address the aging issue in their PPPs, particularly in the courses of Supervised Internship III and/or IV belonging to the following Academic Institutions: UNIRIO and UFPE. We conclude that the need for inclusion of the topic in aging and longevity flowcharts in the curricula of undergraduate Degrees in Theatre is an urgent matter. Therefore, at the end of this research, we recommend the integration of gerontology education with the under-graduate Theatre Degree courses, using the transverse method, in a continuous and permanent manner, like the creation of National Curriculum Guidelines for Education on Aging and Human Longevity in the curricula of undergraduate courses, including degrees in Theatre / O aumento do envelhecimento populacional já é uma realidade segundo as configurações demográficas brasileiras. Porém, poucas medidas estão sendo tomadas para enfrentar esse desafio e melhorar a qualidade de vida desse grupo populacional, desencadeando, assim, grandes mistificações e descriminações sobre a velhice na contemporaneidade. Por essa razão, emerge a necessidade de qualificar profissionais de diversas áreas para atender essa nova demanda, em especial a área de educação. A educação para idosos normalmente é feita em espaços não-formais e conta com o apoio de diversos profissionais das áreas de licenciatura, especificamente: o professor de teatro, o qual é capaz de elaborar atividades teatrais para práticas sociais com idosos. Nesse contexto, esta pesquisa busca investigar se a temática envelhecimento e longevidade é abordada nos Projetos Políticos Pedagógicos (PPP) dos Cursos de Teatro Licenciatura no Brasil, observando, principalmente, se nas disciplinas de Estágio Supervisionado III e/ou IV abordam o ensino em espaços não-formais para idosos. Utilizou-se como base teórica as reflexões sociológicas de Bauman sobre modernidade-líquida associada aos teóricos do teatro-educação. Além disso, utilizou-se como base metodológica a pesquisa social documental com abordagem quali-quantitativa, cuja análise de dados foi realizada com base em Bardin e nas leis do MEC e da nova LDBEN. O resultado se apresenta de maneira insuficiente, visto que dos 49 cursos de graduação em Teatro Licenciatura pesquisados, somente dois abordam o tema envelhecimento nos seus PPP, especificamente nas disciplinas de Estágio Supervisionado III e/ou IV, os quais pertencem às seguintes Instituições de Ensino Superior: UNIRIO e UFPE. Conclui-se que a necessidade de inclusão do tema envelhecimento e longevidade nos fluxogramas curriculares dos cursos de graduação em Teatro Licenciatura faz-se urgente e, por isso, sugere-se, ao final desta pesquisa, a integração da educação gerontológica às disciplinas dos cursos de Teatro Licenciatura de modo transversal, contínuo e permanente, como a criação de Diretrizes Curriculares Nacionais para Educação do Envelhecimento e Longevidade Humana nos fluxogramas curriculares dos cursos de Licenciatura, inclusive nas graduações de Teatro

Nas últimas décadas a administração pública, em nível mundial, vem se transformando, passando de burocrática e ineficaz para uma administração gerencial buscando a eficiência na prestação dos serviços públicos. Assim diversos países optaram por delegar alguns serviços públicos para o setor privado, dando-se início às privatizações e concessões e o Estado mudou a sua postura de empresário a regulador. Os contratos de concessão não são padronizados, com características econômicas distintas gerando diversos eventos contábeis. Esse trabalho tem como objetivo analisar a contabilização desses arranjos para que as demonstrações contábeis dos parceiros privado e público evidenciem a essência econômica em detrimento da forma jurídica, com uma representação patrimonial mais próxima da realidade. Para o alcance desse objetivo foi feita uma revisão conceitual sobre as concessões e suas características econômicas e a necessidade de normatização contábil específica quanto ao tema, principalmente porque esses arranjos em sua maioria não constavam dos balanços patrimoniais (off-balance sheet). Em seguida discorreu-se sobre a contabilização desses arranjos de acordo com as normas internacionais: IFRIC 12 (normativo contábil para o parceiro privado) e ED 43 (minuta de interpretação para o parceiro público). Também através da análise de conteúdo foram analisadas as minutas de interpretações relativas a contabilização dos contratos de concessão que foram disponibilizadas para audiência pública e os comentários de diversos órgãos e profissionais a fim inferir se os órgãos regulamentadores (IASB e IFAC) buscaram evidenciar nos normativos a verdadeira substância econômica desses arranjos. E ainda foi realizada a contabilização do contrato de parceira público-privada (que é uma modalidade de concessão), na modalidade patrocinada da PPP MG-050, tendo por base a recente regulação para o parceiro privado e ainda em discussão a regulação para o parceiro público. Conclui-se que ao buscar a essência sobre a forma nas demonstrações contábeis principalmente nesses arranjos, com os diversos riscos a que estão expostos, a contabilidade contribui com a sua função social que é de fornecer informações úteis aos seus diversos usuários, e nesse caso específico, que podem auxiliar o parceiro público a tomar decisão quando da fixação das tarifas e nas renegociações contratuais. Quanto aos balanços públicos, o estudo revela que poderão estar mais transparentes evidenciando o endividamento dos entes públicos e o custo social desses arranjos. / In recent decades, public management around the world has been changing from bureaucratic and ineffective to a search for efficiency in public service delivery. Different countries have chosen to delegate some public services to the private sector, starting, with a change in the States posture from entrepreneurial to regulatory. In the concessions context, these contracts are not standardized and display distinct economic characteristics, entailing the need for detailed interpretation and analysis with a view to their accounting treatment in the affected entities. This research aims to analyze the accounting treatment of these arrangements so that the financial statements of public and private partners evidence the contracts economic essence. To achieve this goal, a conceptual review was done about concessions and their economic characteristics, as well as about the need for specific accounting standards on the theme. Next, the accounting treatment of these arrangements was discussed in accordance with the interpretation of international standard IFRIC 12 (accounting standard for the private partner) and ED 43 (draft accounting standard for public partner). Using content analysis, the minutes of interpretations about the accounting treatment of concession contracts made available for public hearing were analyzed in detail, as well as comments by different entities and professionals, in order to infer whether regulatory entities (IASB and IFAC) attempted to disclose the economic substance of these arrangements in their standards. In empirical terms, the public-private partnership contract of PPP MG-050 was analyzed and the financial statements of the private and public partners were estimated throughout the contract period in the framework of the abovementioned standards. Based on these methodological procedures, it is concluded that, by attempting to picture the economic essence in the financial statements of the entities affected by the diverse risks in those contracts, accounting contributes to its social function of offering useful information to its different users and, in this specific case, information that can help the public partner to make tariff decisions and in contract renegotiations. As for public balance sheets, the research reveals that these can be more transparent, evidencing public entities indebtedness and the social cost of these arrangements.

Orientador: João Francisco Galera Monico / Resumo: A tecnologia Global Navigation Satellite Systems (GNSS) tem sido amplamente utilizada em posicionamento, desde as aplicações cotidianas (acurácia métrica), até aplicações que requerem alta acurácia (poucos cm ou dm). Quando se pretende obter alta acurácia, diferentes técnicas devem ser aplicadas a fim de minimizar os efeitos que o sinal sofre desde sua transmissão, no satélite, até sua recepção. O sinal GNSS ao se propagar na atmosfera neutra (da superfície até 50 km), é afetado por gases hidrostáticos e vapor d’água. A variação desses constituintes atmosféricos causa uma refração no sinal que gera um atraso. Esse atraso pode ocasionar erros na medida de no mínimo 2,5 m (zenital) e superior a 25 m (inclinado). A determinação do atraso na direção inclinada (satélite-receptor) de acordo com o ângulo de elevação é realizada pelas funções de mapeamento. Uma das técnicas para o cálculo do atraso é o traçado de raio (ray tracing). Essa técnica permite mapear o caminho real que o sinal percorreu e modelar a interferência da atmosfera neutra sobre esse sinal. Diferentes abordagens podem ser usadas para obter informações que descrevem os constituintes da atmosfera neutra. Dentre as possibilidades pode-se citar o uso de medidas de radiossondas, modelos de previsão do tempo e clima (PNT), medidas GNSS, assim como modelos teóricos. Modelos de PNT regionais do Centro de Previsão de Tempo e Estudos Climáticos (CPTEC) do Instituto Nacional de Pesquisas Espaciais (INPE) apresentam-se como um... (Resumo completo, clicar acesso eletrônico abaixo) / Abstract: Global Navigation Satellite Systems (GNSS) technology has been widely used in positioning, from day-to-day applications (metric accuracy) to applications that require high accuracy (few cm or dm). For high accuracy, different techniques may be applied to minimize the effects that the signal suffers from its transmission on the satellite to its reception. GNSS signal when propagating in the neutral atmosphere (from surface up to 50km) is influenced by hydrostatic gases and water vapor. The variation of these atmospheric constituents causes a refraction in the signal that generates a delay. This delay may cause errors of at least 2.5 m (zenith) and greater than 25 m (slant). The determination of the delay in the slanted direction (satellite-receiver) according to the elevation angle is performed by the mapping functions. One of the techniques for calculating the delay is raytracing. This technique allows us to map the actual path that the signal has traveled and to model the interference of the neutral atmosphere on it. Different approaches can be used to obtain information describing the neutral atmosphere constituents - temperature, pressure and humidity. The possibilities include the use of radiosonde measurements, weather and climate models (NWP), GNSS measurements, as well as theoretical models. Regional NWP models from the Center Weather Forecasting and Climate Studies (CPTEC) of the National Institute for Space Research (INPE) are a good alternative to provide atmospheri... (Complete abstract click electronic access below) / Doutor

Öffentlich Private Partnerschaften (ÖPPs) haben in den letzten zehn bis fünfzehn Jahren in Deutschland einen beachtlichen Stellenwert erreicht. Auch zukünftig ist aufgrund der Finanzkrise der Kommunen mit einem weiteren Bedeutungszuwachs zu rechnen. Damit ÖPPs die von der öffentlichen Hand gewünschten Vorteile mit sich bringen können, wie zum Beispiel die Entlastung des öffentlichen Haushalts oder Effizienzsteigerungen, sollten sie im Vorfeld und im Tagesgeschäft aktiv und umsichtig begleitet werden. In diesem Zusammenhang ergibt sich der Ansatzpunkt für die Themenstellung der Dissertation sowie angesichts der Erkenntnis, dass bisher noch keine umfassend fundierten und systematischen Untersuchungen vorliegen, welche die bestehenden Praxiserfahrungen mit ÖPPs mit anwendbaren Theorien in Verbindung setzen und Entscheidungshilfen für öffentliche Akteure ableiten. Aufgrund der verschiedenen möglichen Ausprägungsformen wurde eine Eingrenzung des Themas auf institutionelle ÖPPs auf kommunaler Ebene vorgenommen. Die Untersuchung beginnt mit der Auseinandersetzung der Grundlagen zu ÖPPs, um ein generelles Verständnis für dieses Themengebiet zu schaffen. Nachdem der Begriff erläutert und Merkmale von ÖPPs herausgearbeitet wurden, erfolgt eine Abgrenzung zwischen vertraglichen und institutionellen ÖPPs. Daraufhin werden mögliche Motive der öffentlichen und privaten Seite beim Eingehen einer solchen Partnerschaft aufgeführt sowie erste mögliche Chancen und Risiken skizziert. Im Anschluss erfolgt mit Hilfe der wissenschaftlichen Theorie des Neuen Institutionalismus eine vertiefende Analyse zu institutionellen ÖPPs. Dabei schließt sich die Dissertation an die von Mayntz und Scharpf vorgenommene Einteilung in einen ökonomischen, (organisations-) soziologischen und politikwissenschaftlichen Neo-Institutionalismus an. Der Neue Ökonomische Institutionalismus wurde anhand der drei Teillehren Transaktionskostentheorie, Prinzipal-Agent-Theorie und Theorie der Verfügungsrechte untersucht. Zunächst werden theoretische Erkenntnisse zu den einzelnen Theorien herausgearbeitet und erste Schlussfolgerungen für institutionelle ÖPPs gezogen. Daraus werden nachfolgend Untersuchungskriterien in Form von Fragestellungen für den späteren Fallstudienvergleich entwickelt. Nach Abschluss des Theorieteils erfolgt eine Betrachtung institutioneller ÖPPs aus realer empirischer Sicht. Hierzu werden Fallstudien vorgestellt und an den Untersuchungskriterien, welche aus den einzelnen Theorien abgeleitet wurden, gespiegelt. Zuerst werden recherchierte Fallstudien analysiert, beginnend mit den Teilprivatisierungen der Stadtentwässerung Dresden GmbH und der Stadtwerke Görlitz AG, bei denen sich die Zusammenarbeit wohl positiv entwickelt. Als Negativbeispiel wird dann auf die Privatisierung der Wasserversorgung von Grenoble und ihre spätere Rekommunalisierung eingegangen. Im folgenden Schritt werden Fallstudien aus den realen Erfahrungen des Verfassers diskutiert. Hierbei bildet die Teilprivatisierung und anschließende Rekommunalisierung des Wasserbetriebes in Potsdam den Schwerpunkt. Ergänzt wird dies durch die Darstellung der positiven Zusammenarbeit mit dem privaten Gesellschafter bei der Energie und Wasser Potsdam GmbH. Abschließend werden die anfänglichen Probleme zwischen Kommune und Privat bei der teilprivatisierten STEP Stadtentsorgung Potsdam untersucht und aufgezeigt, wie die Partnerschaft zum Vorteil der öffentlichen Seite verändert wurde. Aus dem Vergleich von Theorie und Praxis konnten wissenschaftlich fundierte Schlussfolgerungen für institutionelle ÖPPs gezogen und Erfolgsfaktoren für das Gelingen einer solchen Kooperation abgeleitet werden. Die gewonnenen Erkenntnisse werden in Form von Thesen zusammengefasst und dienen als Basis für die Ableitung von Handlungsempfehlungen für kommunale Akteure beim Eingehen einer institutionellen ÖPP. Zu Beginn erfolgt eine Darstellung der Empfehlungen, die sich aus den Untersuchungskriterien der jeweiligen Theorien ergeben haben. Nachfolgend wird diese Betrachtung erweitert, indem näher auf die wesentlichen Phasen des Entscheidungsfindungsprozesses eingegangen und eine Untersetzung dieser Phasen mit den erarbeiteten Handlungsempfehlungen vorgenommen wird. Auf diese Weise kann den kommunalen Entscheidungsträgern eine sehr praxisnahe Hilfestellung gegeben werden. Insgesamt betrachtet, geht aus der Dissertation ein umfangreicher, fundierter und sehr praxisrelevanter Leitfaden hervor, der wichtige Anhaltspunkte für das Eingehen einer institutionellen ÖPP im kommunalen Bereich gibt. Aus der Spiegelung von Theorie und Praxis werden wertvolle Hinweise abgeleitet, wodurch insbesondere deutlich wird, an welchen Stellen sich die öffentliche Seite absichern sollte. Darüber hinaus können die kommunalen Entscheidungsträger durch die gewonnenen Erkenntnisse sensibilisiert und ihr Blick für den individuellen Fall geschärft werden. Letztendlich werden dadurch wichtige Voraussetzungen geschaffen, um ein solches Vorhaben zum Erfolg zu führen. / In the past ten to fifteen years, Public-Private Partnerships (PPPs) have become considerably important. It is also due to the financial crisis, that even in future a further growth is expected in the municipalities. To ensure that the PPPs, which add such desired advantages like reduction of costs for the public budget or increasing the efficiency of the public entity, they should be actively and carefully guided prior to its formation as well as during the day-to-day business. This dissertation is based on this context while considering that up to date there have not been any well-founded and systematic researches connecting the existing practical experience with applicable theory and from which advice can be derived for the decision-makers in the public sector. Because of the several formats that are possible, the subject has been limited with a focus on institutional PPPs at municipal level. The research begins with the explanation of the basics of PPPs, offering a general understanding of this subject. The explanation of the concept and the elaboration of the characteristics of PPPs, are then followed by the definition of contractual and institutional PPPs. The possible motives for entering such a partnership on both sides, public and private, are shown on a list as well as an outline of the possible prospects and risks. Subsequently, an in-depth analysis on institutional PPPs is presented, which is based on scientific theory on new institutionalism. For this purpose, the dissertation is linked up with the economical, (organisational) sociological and political scientific classification by Mayntz and Scharpf. The new economic institutionalism was researched with the help of the three part-theories: transaction cost theory, principal agent theory and property rights theory. To begin with, the theoretical perception of each individual theory is developed and first deductions for institutional PPPs are reached. Based on this, the development of research criteria follows, depicted as questions that may arise for comparing future case studies. The conclusion of the theoretical part is followed by a contemplation of institutional PPPs, from an empirical point of view. For this purpose, case studies are presented and reflected onto the research criteria, which had been derived from each individual theory. To begin with, the researched case studies are analysed, starting with the partial privatisation of the Stadtentwässerung Dresden GmbH (Dresden’s municipal water drainage company) and the Stadtwerke Görlitz AG (public utility company of Görlitz), where the collaboration is actually developing in a positive manner. A negative example is depicted in the privatisation of the waterworks of Grenoble and its subsequent reversion to a fully municipal service. In the following step, case studies from the authors’ actual experience are discussed. In this case, the focus is placed on the partial privatisation and the subsequent reversion to its municipal status of the waterworks of Potsdam. This is complemented by the portrayal of the positive collaboration between the private partner and Energie und Wasser Potsdam GmbH (Potsdam’s energy and water company). Subsequently, the initial problems that arose during the partial privatisation STEP Stadtentsorgung Potsdam (municipal waste management of Potsdam) between the municipality and the private sector are researched, depicting the positive changes in the partnership, which evolved in favour of the public sector. Founded conclusions for the institutional PPPs were arrived at based on the comparison between theory and practice, and scientific and positive factors for the success of such a co-operation were derived. The knowledge thus gained is summarised in the form of theses, and serve as a basis for the derivation of advice for course of action for municipal decision-makers when entering into an institutional PPP. At the beginning, a portrayal of the advice that is derived from the individual theories is given. This observation is broadened by taking a closer look at the substantial phases of the decision-making process, and by condensing such phases by applying the decision-making advice that has been derived. In this manner the municipal decision-makers are given sound practical advice. Considering the dissertation as a whole, it offers a complete, founded and sound practical guideline, which includes important criteria for entering into institutional PPPs in the municipal sector. From the reflection between theory and practice valuable hints are derived, through which it becomes especially clear which points the public side should secure. Furthermore, the municipal decision-makers can become sensitised by the knowledge gained and sharpen their senses for each individual case. Finally, important conditions are created to ensure the success of such a project.

台灣的國內生產毛額及薪資在過去十幾年來相當的穩定,但是生活水準卻仍然一直提升。這種矛盾現象來自於新台幣的名目跟實質匯率背離,在先進國家裡面是相當罕見的。本論文研究了台灣與國際經濟的整合、貨幣政策、政治局勢以及收支平衡帳等因素,並了解他們跟此矛盾之間的潛在因果關係。由於台灣未能充分參與最近一波的全球化浪潮,使得它的價格體系跟國際水準脫勾。而對外投資、外匯累積,以及傳統商業跟文化結構等因素,共同創造了現有獨特的低物價水準環境。為了防止這種長期的價格扭曲影響,台灣的國際政治情勢必須改善,或至少跟經濟行為能力分離。唯有如此,台灣的經濟情況才能恢復正常,讓實質跟名目匯率的差距縮小,(以美金計價的)名目國內生產總值和工資也才能成長。 / Taiwan’s GDP and wages have remained steady for more than a decade, though the living standard continued to rise. This paradox is induced by the New Taiwan Dollar’s nominal and real exchange rates diverging, an anomaly amongst advanced economies. Investigating ongoing international economic integration, Taiwan’s monetary policy, political situation, and balance of payments unveils the underlying causality. Taiwan could not participate in the most recent wave of globalisation, insulating its price level. In combination with outgoing investments, reserves accumulation, and its traditional business culture and structure, this has created an area of inimitable low prices. In order to prevent distortionary long-term effects, Taiwan’s political situation needs to either be resolved, or separated from its economic capacity to act. Only then can Taiwan’s economic situation normalise and the real/nominal exchange rate spread fade, which implies an increase in nominal GDP and wages (measured in USD).

[pt] A precificação de garantias governamentais em PPP é um tema atual e é resolvido com o uso da teoria de opções reais (TOR). Normalmente, as garantias mínimas de demanda ou receita são modeladas como PUTs em que o concessionário está comprado e o governo vendido e é calculado o ganho que adicionam ao projeto. Entretanto, pouco se discute sobre o cálculo do passivo que tais garantias podem representar para os cofres públicos no longo prazo. Este trabalho usa o segundo edital do TAV Brasil (Rio – São Paulo) como estudo de caso por se tratar da maior PPP já realizada no Brasil com investimento total de 37 bilhões de reais. Mostramos que o projeto somente é viável através da adição de garantias governamentais e precificamos 12 níveis diferentes de garantias. Usamos o VaR e o CVaR como ferramentas para mensurar o risco do governo ao estar vendido nessas PUTs. Com o objetivo de reduzir tais riscos, colocamos 10 níveis de tetos (CAPs) a fim de limitar o valor do somatório das PUTs ao longo dos 40 anos de concessão. Ao final, criamos uma função objetiva que define a melhor combinação de pisos de garantia e CAPs com o objetivo de maximizar o valor do projeto para o concessinário e minimizar o risco do governo ao oferecer tais garantias. Acreditamos que essa é a melhor combinação para a sociedade. / [en] The pricing of government guarantees is an actual subject and it is solved with the usage of Real Options Theory. Usually, these minimum demand or revenue guarantees are modeled as PUTs where the concessionaire is long and the government is short and it is calculates its value added gain to the project. However, almost no discussions are made to the long term liabilities that these guarantees can bring to public finance. In this study we analyze the second bidding of the Rio – Sao Paulo High Speed Railway project, which with a total investment of 37 billion reais (18 billion dollars) was the largest PPP auction ever held in Brazil. We show that only the addition of government guarantees makes the project feasible and we price 12 different levels of guarantees. We use VaR and CVaR as tools to measure the liability risk that government is exposure as it short in these PUTs. In order to mitigate these risks, we add 10 levels of caps in order to limit the sum of the PUT values in the 40 years of the project. In the end, we created an objective function in order to define the best combination of minimum guarantees and government liability caps in order to maximize the value of the project value for the concessionaire and minimize the risk for the government. We believe that is the best combination for the society.