The purpose of this dissertation is the delineation of a new approach, or, more precisely, a new "role" and "methodological system," for those persons engaged in building and managing multi-actor structures, or "networks," for the purpose of policy implementation. As policy formulation and implementation can be viewed increasingly as taking place inter-organizationally, and consisting of individuals, special-interest groups, public organizations, private organizations, non-profits, etc., none of whom have the individual power to autonomously determine the strategies and actions of all the other actors, policy processes can no longer be viewed as the implementation of ex ante formulated goals, but instead must be seen as an interaction process in which actors exchange information about problems, preferences and means, and trade-off goals and resources. That is, the context of "getting things done" in the public sector is changing from a singular organizational context to a multiple-organization network context. Managerially, we must respond accordingly. While there has been an increasing recognition in the literatures of at least three distinct fields of enquiry [political science, organization theory, and policy science] that such networks are becoming the "reality" of daily operation, much less has been written attempting to aid the acting administrator to function successfully within this new setting. Even less has been written concerning how to actually build and use a network setting to one's advantage in an implementation endeavor. We are left in need of a new way to successfully approach implementation through complex multi-actor settings. As it becomes increasingly difficult to administer policy implementation through a single, public organization, the need for new tools and understanding that will enable us to achieve public ends in such complex settings becomes apparent. Such an approach must work to successfully accommodate the increased role of extra-organizational actors, a new role of the administrator as "network facilitator," and still afford the ability to plan for and carry out project implementation. Because the invention of such an approach will require the accommodation of a different view of the administrative world (i.e. a more dynamic context, ephemeral definitions, new roles and responsibilities, and a new method to approaching work life), its development cannot constitute a straightforward reshuffling of the boxes of the administrative process, or the simple adoption of some new buzzwords. It demands, instead, that we begin by asking some fundamental ontological (what is reality) and epistemological (how can we know it) questions. It is after addressing these fundamental concerns that this volume will work to build a new approach to functioning proactively in a network setting. Following a discussion on what the role of "network facilitator" means in relation to current understanding of public management, this treatise will describe a new methodological system for use by the administrator playing such a role. The "methodological system" for building implementation networks that is advocated here is composed of three overlapping methodologies: 1) "Contextual Assessment" - Mapping a Network's Political-Economy; 2) "Stakeholder Analysis & Management" — Understanding Who Should be at the Table and Furthering the Conditions for Cooperation; and, 3) "Joint Visioning" " The Facilitation of Project Planning in a Network Setting. In the chapter on "contextual assessment," the reader will be introduced to a method that uses the political economy framework of Wamsley and Zald to derive an interview instrument for use by a recently appointed network facilitator (somebody appointed the responsibility of "getting something done" cross-organizationally). Combining the political economic framework with other standard qualitative methods, including gaining entrance, selecting interview type, snowballing, and quota sampling, one should be able to assess the existing political and economic environment surrounding a potential implementation network and, further, begin to select from that environment a first set of stakeholders in the budding implementation network. This method will result in a "conceptual mapping" of the environment from which one may begin to select potential resources to build an implementation network. Following that, the reader will be introduced to two methods, that when used together, will allow for the analysis, categorization, and selection of network stakeholders. Taken together, these methods can be referred to as "stakeholder analysis." It is the successful selection and management of these stakeholders that will result in the formation of a young implementation network. Finally, the reader will be introduced to a method of "joint-visioning," a process for working with a set of stakeholders to create a shared understanding of the social/organizational and technical/functional systems required for a new implementation network to function. While the theoretical conception here of joint-visioning is new, the techniques suggested to support this method are probably the least original of the techniques associated with the three methods introduced in this volume (in that they are based on recognized methods of group facilitation). The joint-visioning method proposed here is probably most remarkable for what it is not, corporate strategic planning. A discussion about the problems of adopting corporate strategic planning in the public sector will begin this section, followed by a discussion of why something else, like joint visioning, is probably more appropriate. Each methodology has been constructed from the ground up by appropriating parts of different methodologies that have been advocated in different areas of application. Specifically, methods, approaches, and understandings have been appropriated from the literatures of corporate management, stakeholder analysis, action research, political economy, community facilitation, knowledge engineering and management, and strategic planning. These methods have been combined and modified to better serve as tools for network establishment and management. This methodological system has been developed as much from experience as from scholarly analysis. Accordingly, a case study, one that has directly led to the development of many concepts in this system, will be discussed and used for "real-world" elaboration of the concepts described. Specifically, each of these methods will be accompanied by an in-depth discussion on how it was applied in the "Travel Shenandoah" case study. Benefits, as well as problems with the proposed methods will be highlighted. Where appropriate, possible modifications to a method will be suggested. / Ph. D.

This thesis asks the question: what roles do local governments and nongovernmental organizations play in resettling refugees in U.S. cities? To answer this question, I conducted a case study of the refugee resettlement structure and process as it occurs in the city of Roanoke, Virginia. I find that two governance structures dictate how refugees are resettled into the city. The first stems from federal refugee policy, which establishes the use of a public-private partnership between federal and state governments and federated civic organizations. The second is an evolving local-level grassroots organizational structure that assesses the needs of refugees in Roanoke following their initial resettlement. In the case study on Roanoke I examine the support roles and practices of government institutions and nongovernmental organizations during the initial refugee resettlement period. Additionally, I examine aspects of long-term service provision and additional supports that move refugees towards social and economic inclusion. I conducted interviews with government and non-governmental leaders to grasp their understandings of existing practices and norms of local-level refugee resettlement. I also examined local survey data, economic and demographic data, media reports, and other public documents prepared by government agencies and nonprofit organizations. I identify who offers, or influences decisions about, specific supports for refugees at different times throughout the resettlement/integration process. I will suggest further implications of the supports provided for how they structure the pattern of refugees' economic and social inclusion. This thesis is designed to contribute to the limited literature on the process of local-level refugee resettlement in U.S. cities. / Master of Arts / This thesis asks the question: How are refugees resettled by government agencies and private organizations at the local level? To answer this question, I examine how the U.S. preference of public-private partnerships to initially resettle refugees in U.S. cities produces a hierarchical structure that flows from federal policies and agency oversight to state and local level policies and practices. This structure exhibits a quasi-governance phenomenon in which both public and private actors make discretionary decisions on policy implementation throughout the resettlement process. I find also that besides the initial federal structure, a second local network structure forms among grassroots organizations that work to extend federal objectives and address service gaps in the formal resettlement structure. These unaddressed gaps primarily concern longer-term supports to promote refugees being socially and economically included in their communities. I performed a qualitative case study analysis of local refugee resettlement as it occurs in the City of Roanoke, Virginia. I conducted interviews with resettlement stakeholders among government agencies and private organizations in order to grasp their understandings of local-level refugee resettlement service provision. I also examined local survey data, economic and demographic data, media reports, and other public documents prepared by government agencies and nonprofit organizations. This thesis is designed to contribute to the limited literature on local-level refugee resettlement and the use of public-private partnerships for the provision of social services in the U.S.

No / Under the public-private partnership (PPP) programme, private sector finance, management expertise and innovation are used in ‘partnership’ to modernize public services. However, advocates fail to account for the differing aims and responsibilities of the public and private sectors, in that private companies plan to make a profit out of non-profit public sector organizations. There is a paucity of critical empirical research into new ‘partnership’ forms of privatization and the implications that these have for employment and work. This article will examine the PPP of National Savings and Investments (NS&I) and some of the initiatives introduced and problems encountered, which resulted in the creation of a multi-tier workforce, together with the insourcing, outsourcing and the first ever offshoring of UK Government work to India.

This thesis explores the circumstances around Public-Private-Partnership in library digitisation of cultural heritage. The thesis uses a qualitative analysis on pre-existing documents and covers two case studies where interests, communication and handling of cultural heritage is explored using latent thematic analysis. The first case study explores a digitisation effort with six academic libraries and the Swedish National Library as they initiate a partnership with Google Books. The second case study explores a digitisation partnership between the Swedish National Library and three American non-profit institution. The thesis uses the four spaces model developed for library institutions, and a theoretical representation of cultural heritage as Significance, Form and Material in analysis. The thematic analysis relates the interests of the partnerships with the expectations on the institutions and the trends spotted in previous Public-Private-Partnership digitisation. The findings are limited by the confidentiality of the Public-Private-Partnerships and make an argument for the need for further research in the field. The thesis finds strong connection between the development of the cases under study and the trends in cultural heritage digitisation identified in background and previous research. The analysis shows that the public institutions approached the partnerships with clear roles that pertained to the purposes of each institution. In the discussion the question of whether Public-Private-Partnership is being utilised to its best qualities is being raised. The findings work as a starting point for discourse and further research, and a resource of information on the two cases.

This dissertation analyzes contemporary transformations in urban policy and space production in Brazil; in particular, those associated with state efforts to attract the private sector to participate in the design, finance, development and long-term management of infrastructure and housing provision systems. While the study's focus is on adoption of the public-private partnership (PPP) mechanism in the affordable housing sector, empirical research is based on the case study analysis of Casa Paulista Program, the first PPP for affordable housing delivery in the country, sponsored by the State Government of São Paulo and implemented in the central districts of the city of São Paulo, the state's capital. Specific questions driving the research are twofold: in the first, I ask what were the characteristics of the Casa Paulista PPP model, and in the second, how public and private agents, including social groups, affected the evolution of the model. Permeating this analysis is the concern as to how housing provision through PPPs may affect the ability of local populations to access adequate housing and fully participate in city living, as demanded by social housing movements and urban reform advocates and predicted in Brazil's Federal Constitution, and rights-based urban policy at national and local levels. Findings indicate that the Casa Paulista model, while neither leveraging private capital nor scaling up housing production, facilitates rearrangements in the private local housing market, urban policy, and social relationships around housing provision. These efforts are successful only with support of the development and finance industries operating beyond the local scale. I argue that these new rearrangements support a publicly funded, privately managed model to support predominantly residential real estate development projects of large scale and which are debt financed through long term agreements. This dynamic generates risk to society's ability to control urban transformation in the central city area and support preservation of a stock of public and private land where affordable housing development is currently prioritized, an outcome I describe as 'privatizing planning and socializing risk'. / PHD / This dissertation analyzes contemporary transformations in urban policy and space production in Brazil. While the study’s focus is on adoption of the public-private partnership (PPP) mechanism in the affordable housing sector, empirical research is based on the case study analysis of Casa Paulista Program, the first PPP for affordable housing delivery in the country, sponsored by the State Government of São Paulo and implemented in the central districts of the city of São Paulo, the state’s capital. Specific questions driving the research are twofold: in the first, I ask what were the characteristics of the Casa Paulista PPP model, and in the second, how public and private agents, including social groups, affected the evolution of the Casa Paulista model. Findings indicate that the model, while neither leveraging private capital nor substantially increasing housing production, facilitates rearrangements in the private local housing market, urban policy, and social relationships around housing provision. I argue that these new rearrangements support a publicly funded, privately managed model to support predominantly residential real estate development projects of large scale and financed through long term debt agreements. This dynamic generates risk to society’s ability to control urban transformation in the central city area and support preservation of a stock of public and private land where affordable housing development is currently prioritized.

Öffentliche Gebäude, ob nun Kaufhäuser oder Bibliotheken, sind aufgrund ihrer Größe, ihrer oft originellen Architektur und der Vielfalt ihres Angebotes tendenziell unübersichtliche Räume, die mithilfe von Leitsystemen und Grundrissplänen erschlossen werden müssen. Anders als in Kaufhäusern, in denen die Juwelier-Abteilung schon aus der Ferne leicht vom Damenmoden- oder Sportartikel-Bereich zu unterscheiden ist, umfasst das Angebot von Bibliotheken traditionell in erster Linie physisch recht gleichartige Medien, die den Kunden in langen Regalreihen dargeboten werden. Das Problem der Unübersichtlichkeit ergibt sich hier also naturgemäß in schärferer Form. Gedruckte Übersichtspläne, in denen die Verteilung der Medienbestände entsprechend der jeweiligen Ordnungsprinzipien schematisch dargestellt werden, sind in Bibliotheken gang und gäbe. Schon seit geraumer Zeit bieten Bibliotheken natürlich Übersichtspläne auch online an, die eine mehr oder weniger ausgeprägte Funktionsvielfalt aufweisen und im günstigsten Falle direkt an den Bibliothekskatalog angebunden sind, so dass der Regalstandort eines dort gefundenen Buches mit einem Klick angezeigt werden kann. Gewöhnlich sind solche Übersichtspläne und Standortanzeigen zweidimensional und verharren, auch wenn sie im virtuellen Raum des Internets angeboten werden, in der Sphäre der physisch greifbaren Objekte. Das heißt, sie machen sicht- und auffindbar, was im realen Raum tatsächlich einen Platz einnimmt: gedruckte Bücher oder andere physische Medien, betretbare Gebäudeteile, Einrichtungsgegenstände oder Orte, an denen Dienstleistungen von Personen erbracht werden.

Öffentliche Gebäude, ob nun Kaufhäuser oder Bibliotheken, sind aufgrund ihrer Größe, ihrer oft originellen Architektur und der Vielfalt ihres Angebotes tendenziell unübersichtliche Räume, die mithilfe von Leitsystemen und Grundrissplänen erschlossen werden müssen. Anders als in Kaufhäusern, in denen die Juwelier-Abteilung schon aus der Ferne leicht vom Damenmoden- oder Sportartikel-Bereich zu unterscheiden ist, umfasst das Angebot von Bibliotheken traditionell in erster Linie physisch recht gleichartige Medien, die den Kunden in langen Regalreihen dargeboten werden. Das Problem der Unübersichtlichkeit ergibt sich hier also naturgemäß in schärferer Form. Gedruckte Übersichtspläne, in denen die Verteilung der Medienbestände entsprechend der jeweiligen Ordnungsprinzipien schematisch dargestellt werden, sind in Bibliotheken gang und gäbe. Schon seit geraumer Zeit bieten Bibliotheken natürlich Übersichtspläne auch online an, die eine mehr oder weniger ausgeprägte Funktionsvielfalt aufweisen und im günstigsten Falle direkt an den Bibliothekskatalog angebunden sind, so dass der Regalstandort eines dort gefundenen Buches mit einem Klick angezeigt werden kann. Gewöhnlich sind solche Übersichtspläne und Standortanzeigen zweidimensional und verharren, auch wenn sie im virtuellen Raum des Internets angeboten werden, in der Sphäre der physisch greifbaren Objekte. Das heißt, sie machen sicht- und auffindbar, was im realen Raum tatsächlich einen Platz einnimmt: gedruckte Bücher oder andere physische Medien, betretbare Gebäudeteile, Einrichtungsgegenstände oder Orte, an denen Dienstleistungen von Personen erbracht werden.

[pt] A partir da década de 90 houve um aumento da participação do setor privado em projetos de infra-estrutura no Brasil. Esta participação deu-se principalmente por meio de concessões tradicionais regidas pela Lei das Concessões. Contudo, para tornar economicamente viáveis projetos de baixa atratividade para o setor privado devido ao seu alto risco, o governo brasileiro passou a analisar formas de redução destes riscos, como as Parcerias Público- Privadas (PPPs), incluindo a flexibilização do prazo de concessão, garantias de tráfego, de risco cambial ou até mesmo garantias de financiamento. Neste trabalho é utilizado o modelo LPVR (Menor Valor Presente das Receitas) de prazo de concessão variável aliado a uma garantia de tráfego mínimo para a avaliação do caso do projeto da rodovia BR-116/324 através da metodologia das Opções Reais. Os resultados indicam que o uso deste modelo permite uma redução dos riscos tanto para o Governo, pela limitação de ganhos excessivos da concessionária, quanto para o investidor privado, pela flexibilidade do prazo e garantia de tráfego concedida. Concluímos que o modelo LPVR associado a uma garantia de tráfego mínimo de 80% aumenta em média o VPL do projeto em mais de 60%. Embora esta garantia represente um custo adicional para o Governo, ela é compensada pelo aumento da atratividade do investimento para o setor privado. / [en] Since the 90`s, there has been an increasing participation of the private sector in infrastructure projects in Brazil. This participation, however, took place mainly through traditional concessions, governed by the Concessions Law. However, to become economically viable projects that would not have attractiveness to the private sector due to its high risks, Brazilian government started to analyze some ways to reduce these risks such as the Public Private Partnerships (PPPs), including the term flexibility, traffic guarantee, guarantee of foreign currency risk or even assurance of funding. In this project it`s used the LPVR model (Least Present Value of Revenue) with variable period concession, ally to a minimum traffic guarantee and applying the case to the BR-116/324 highway project through the Real Options Methodology. The results show that the use of this model allows a reduction on the risks both for the government, avoiding excessive gains by the concessionaire, and for the private investor, either for the term flexibility or the guarantee of the traffic granted. So, we can conclude that the LPVR model associated with a minimum traffic guarantee of 80%, increases the VPL in an average of 60%, although this guarantee represents a further cost to the government which is compensated by the increasing attractiveness of the investment to the private sector.

Esta tese discute a operação urbana consorciada como instrumento de parceria entre o poder público e o setor privado para a promoção de projetos urbanos. O trabalho parte da hipótese de que a viabilização de intervenções urbanísticas por meio do instrumento estaria limitada à aplicação parcial da legislação e não à consecução de parcerias efetivas. Em 2001, a regulamentação nacional da operação urbana consorciada pelo Estatuto da Cidade trouxe inovações importantes no sentido de recuperar a essência do instrumento que aparentemente não foram assimiladas de forma equivalente. Esta tese avança na elucidação do instrumento, recuperando e enfatizando sua dupla dimensão projeto e gestão e apontando para um modelo que não negligencie o aspecto físico-urbanístico ao valorizar o apelo econômico-financeiro do instrumento. / This thesis discusses the consortiated urban operation as an urban planning tool of partnership between the public and the private sectors to promote urban projects. The work is based on the hypothesis that the viability of urban interventions through this planning tool would be limited to partial implementation of legislation and would not achieve effective partnerships. In 2001, the national regulation of the consortiated urban operation by the City Statute has brought major innovations in order to recover the essence of the instrument that seems not to have been understood equivalently. This thesis advances in the elucidation of the tool, recovering and valuing its dual dimension - project and management - and pointing to a model that does not neglect the physical urban aspect by overestimating the economic-financial appeal of the tool.

Este trabalho busca compreender a implementação das linhas de metrô em São Paulo e da Companhia do Metropolitano de São Paulo, desde sua formação, nos anos 1960, até os dias atuais. Buscou-se entender quem foram os principais atores nacionais e internacionais, dos setores público ou privado, que participaram das decisões sobre esta política pública em questão. Para isso, foram analisados os processos de tomada de decisão e de implementação das Linhas 1 Azul, 3 Vermelha, 2 Verde e 4 Amarela. Com os achados da pesquisa é possível argumentar que o Metrô de São Paulo, o qual foi constituído como uma empresa pública capacitada, passou por um rebaixamento do seu corpo técnico e de suas capacidades estatais, que deram espaço ao interesse de atores privados dentro da companhia, acarretando em prejuízo para a empresa pública e em atraso de obras. Tal processo se deu com a ascensão e queda de um modelo de Estado desenvolvimentista e do surgimento de novas visões de Estado influenciadas pelo New Public Management. / This work seeks to understand the implementation of subway lines in São Paulo and analyze the Companhia do Metropolitano de São Paulo, from its formation, in the 1960s, to the present time. The research also attempts to verify who were the main national and international actors, from the public and private sectors, that participated in the decisions on this public policy in question. For this purpose, the processes of decision making and implementation of the lines 1 - Blue, 3 - Red, 2 - Green and 4 - Yellow were analyzed. With the findings of the research it is possible to argue that the Metrô of São Paulo has undergone a downgrading of its technical staff and its state capabilities, characteristic of its constitution, that gave space to the interest of private actors inside the company, resulting in loss to the public company and in backlog of works. This process occurred with the rise and fall of a model of developmentalist State and the emergence of new visions of State influenced by New Public Management.