Approved for public release; distribution is unlimited. / This publication is a work of the U.S. Government as defined in Title 17, United States Code, Section 101. As such, it is in the public domain, and under the provisions of Title 17, United States Code, Section 105, it may not be copyrighted. / MBA Professional Report / The purpose of this paper is to explore the use of Enerrgy Saving Performance Contracts (ESPC) within the Department of Defense, focusing on the United States Air Force's utility and energy acquisition. The significant value of the ESPC is its alternative financing mechanism that authorizes Federal facilities regionalization without upfront investments. The paper focuses on Dyess Air Force Base's ESPC, as Dyess's benchmarking ESPC was selected for the Presidential Award recognition for Leadership in Federal Energy Management. The six major contracting processes within the three main management levels encompass many of the best-preactice characteristics. The interviews referenced herein with the service end-users, both the regional and local contracting officers, allow the reader to further understand how the Integrated Product Team's significant efforts resulted in a successful ESPC.

MBA Professional Report / Approved for public release; distribution in unlimited. / The purpose of this research is to study the federal government's historical use of public-private partnerships (PPPs) and their view on the issue. Then we study recent applications (case studies) of innovative financing arrangements by Hannon Armstrong, LLC, an Annapolis, Maryland based financial services firm. The intention is to build upon previous Naval Postgraduate School research efforts is this subject; specifically, expanding upon the efforts of Professor San Miguel, Shank and Summers by investigating current examples of PPPs. First, we examine Hannon Armstrong's "fee for service contract" solution to the lack of appropriated capital funds needed for a vital fiber-optic link near the Arctic Circle. Then, we will explore the history of the Energy Saving Performance Contracts (ESPCs), which have been a useful tool in reducing the energy consumption throughout the federal government. Historically, this program has only been used for fixed assets. There is little debate over the success of these contracts in reducing energy consumption. The authors believe that applying Energy Saving Performance Contracts to mobile assets could further reduce the energy consumption of the Department of Defense (DoD) and save tax-payers millions of dollars.

This dissertation will investigate how Product Performance Contracts are organized in Multi Component Systems contexts that proliferate contemporary OEM industries. The last two decades have seen a big change in both practice as well as the product engineering technologies that form the ecosystem within which suppliers and buyers negotiate the scale and scope of their transaction contracts. While we have seen the focus of industrial procurement move from specifications based contracts to performance based contracts, we are also witnessing a burgeoning technological capability that allows remote monitoring of product performance. These capabilities are part of the interconnectivity driving the much-touted Internet of Things (IoT) technology and at the heart of the Industrial Big Data ecosystem. The dissertation will attempt to explain three major phenomena in the industrial buyer and seller relationship in the context of Multi Component System Industries. First, we uncover the factors that explain the choice of product performance contract specificity between the OEM and suppliers. We first set up an analytical model to explain the notion of an optimal contract specificity level and predict and further empirically test the role of different factors in the choice of contract specificity. We find that while the technology uncertainty decreases the level of optimal contract specificity, OEM’s transaction specific investment, unconstrained mixing-and-matching of branded component, and extent of product monitoring technology increases the level of optimal contract specificity. Second, we provide empirical evidence that any deviation from optimal contract specificity erodes value in the form of an increase in total transaction cost. In our transaction cost efficiency model, we also illustrate with a precise granularity that under-specified contracts lead to more ex-post dispute costs, and over-specified contracts lead to more ex-post contract monitoring cost and ex-ante contract writing cost. Third, we investigate how contracts, investments in strategic capabilities such as monitoring technology, the overall firm strategy, and transaction costs determine the firm performance. We find that not every transaction cost is a dead weight loss in terms of product performance. Most notably we find that ex-post dispute costs are associated with higher product performance when there is a major incident such as component failure between the OEM and the supplier. Methodologically, this dissertation proposes to use a combination of field work, mathematical modeling, conceptual theory building, and empirical analysis of primary data about firm practices. / Thesis / Doctor of Philosophy (PhD)

This thesis deals with the issue of extra performences, ie. constructional procurement contracts amendments. The main objektive was to compare the legislativ of extra performances in the Czech Republic and Germany and to study the influence of both legislations on the practice in the construction industry. There have been solved causes why the extra performances are needed and their legitimacy, as well as the consequences which are result from the imperfection of the legislative in both countries. There are also analyzed the cancelled perfomances and the question of edgibility against the extra performances. Finally there are sumarized some recommendations for both countries to improve their legal basis in this area.

本文是以Candel-Sánchez and Campoy-Miñarro (2004)的績效契約制訂為基礎 ，開放單獨由政府制訂契約的假設，賦予央行與政府部門雙方皆具有談判力，並利用Nash談判解(Nash bargaining solution)做出最適績效契約。此外，我們也討論政府央行的談判力、對薪資的偏好和央行官員保守度在不同工資調整指數下與最適績效契約之間的關係，並分析能影響產出及通貨膨脹穩定性的因素。 經本文的研究分析，我們可以發現:政府的談判力愈大績效誘因基數愈大，此時能有效抑制通膨產生，但是同時也會使產出下降。當工資調整指數趨於零時，政府的談判力將不會對產出造成影響只會降低通貨膨脹率。 央行官員若是愈保守愈重視通貨膨脹帶來的效用損失，會使績效誘因基數下降。其中，本文的分析與Rogoff (1985)的有相同的結果，增加央行官員的保守性雖有利抑制通膨且增加通膨穩定性，另一方面卻打擊產出水準同時會使產出易受外來衝擊的影響。當工資調整指數愈低時，央行官員的保守性也會對績效誘因基數的變動愈大。 央行官員愈關心薪資收入多寡，績效誘因基數就愈低，但是對通貨膨脹與產出的影響則須視談判央行對薪資的偏好程度與最適誘因基數大小而定。政府愈在意營運成本，談判出的最適績效誘因基數會愈低，而且會同時造成通貨膨脹率與產出的上升。 在討論經濟穩定性時，我們發現僅有央行官員保守程度、工資調整指數與隨機干擾衝擊的變異數會對產出及通貨膨脹率的穩定性造成影響;但納入談判協商得到的績效誘因基數，並不會造成經濟體系的波動。我們也發現本文與Rogoff (1985)的結論相同之處在於央行官員極度保守時會完全消除通貨膨脹率，但是會使產出完全反映隨機干擾項的衝擊。

由於石化能源的蘊藏量有限，各國政府目前以能源的安全供給與環保的使用做為主要的能源政策，經過各國公部門與私部門多年來的努力，許多替代能源的技術雖然開始商品化，但實際上對於傳統石化能源依賴度的減少，仍舊有限。反觀節能技術雖然表面上不如屬於”開源”概念的再生能源響亮，但技術的成熟度與產業化對於減少石化能源依賴的貢獻度並不亞於開源的效果，尤其許多發展中的國家短期內勢必無法負擔新的再生能源技術所要付出的昂貴能源費用，能源管理服務業所能提供的節能效果，可以同時解決能源效率低落所造成的浪費以及環境的衝擊。 而能源管理服務業重點在於節能，歐洲與日本市場無論是民眾或是政府在開發替代能源與節約能源的議題上之成果有目共睹，但反觀耗能最高的美國、發展中的中國，節能議題相對來講更形重要，這與台灣的狀況相當類似，因此本研究期望經由法制政策面、產業面以及智慧財產佈局狀況，探討美國與中國之能源管理服務業之現況，並與台灣本身能源管理服務業之發展做比較，提出能源管理服務業未來發展上的建議。 1. 能源管理服務業不宜將有限資源過分集中於發展太陽能與風力發電技術 2. 以美國市場為鏡，以中國大陸能源管理市場為目標 3. 積極從事中國大陸能源管理服務業相關技術之專利佈局 4. ”中央能源管理服務系統”概念的導入-節能減排的技術與服務的創新 5. 發展能源管理服務業住宅之應用 6. 創新的融資模式 7. 人員的培訓與教育 / Due to the limited deposits of fusil energy, the safety and environment protection of energy use ate the most two crucial issues among the countries. After decades of development, alternative energy commercialization successfully started in developed countries. Nevertheless, it’s still not material enough comparing to the energy consumption now days. However, the effect of the energy efficiency technologies is far more practical for developing countries that do not have enough budget for alternative renewable energy research and development. With effective energy management, the Energy Service Companies (ESCOs) can reduce significantly the waste of energy and the influence to the environment while mitigate the impact of the economical growth of emerging countries. ESCOs profit from the energy conservation of their clients by enhance the energy efficiency in various categories including utilities, government, industrial and commercial sectors. According to present study, European countries and Japan in Asia have already developed outstanding environmental friendly policies both in public and private sectors. On the other hand, highly energy consumption country like United States and rapidly growing China just started to deal with this global warming problem and hopefully can still maintain the economy growth at the same time. Undoubtedly, we face the same issue here in Taiwan. As a result, this study is trying to gather and analyze information about ESCO industry in United States, China and Taiwan from three aspects, governmental policies, industry environment and intellectual property strategies to conclude as well as raise opinion and suggestion about the future development of ESCOs. This study concludes in following opinion and suggestion, 1. ESCOs shouldn’t emphasize all their resources to conduct Solar and Wind power technologies instead of energy efficiency technologies. 2. Learn the track of ESCOs in United States and focus on the market in China. 3. Aggressively develop intellectual property strategies about ESCO related subjects in China. 4. Introduce the concept of “Centralized Energy Management System” and encourage innovation of law carbon discharge and high efficiency technologies. 5. Develop ESCO model in residential application. 6. Develop creative fund raising tools for ESCOs. 7. Invest in education and training program related to ESCO industry.