While government contracting out its work continues to proliferate and studies about this phenomenon have increased during the past two decades, still little is known about how effective government sponsored networks are at managing broad and complex networks of primarily non-governmental entities. This dissertation reports the results of one such investigation, which examined a U.S. federal agency's contracting experiences in evidence-based health care. The Agency for Healthcare Research and Quality (AHRQ) is a unit of the U.S. Department of Health and Human Services (HHS). Among other tasks, AHRQ supports the development and dissemination of evidence about current best practices in health services delivery through its Evidence-based Practice Center (EPC) programs that contract out its work and operate in broad and complex network. The purpose of this study was to examine the extent to which AHRQ's EPC Program I was effective in supporting the translation of evidence reports and disseminating the products to the public by contracting with public and non-profit entities to do the work. This dissertation also sought to examine the extent to which the evidence reports and derivative products were publicly accessible by operationalizing the objectives articulated in AHRQ's authorizing legislation in a manner consistent with theories of representative democracy and exploring Program I's effectiveness using William T. Gormley's ideas (1989; Gormley & Balla 2003) of bureaucratic control. The results from this dissertation suggest that a decentralized network was related to overall higher translation and dissemination network effectiveness. Specifically, the findings from this study suggest that a decentralized network was related to overall higher translation and dissemination network effectiveness. Also, weak ties among the network actors when transferring complex knowledge was associated with higher translation and dissemination network effectiveness on the whole. The findings from this dissertation also contribute to network theory by extending Gormley's bureaucratic control typology (1989; Gormley & Balla 2003) to the network level, and also to the type of control that was available to the Agency over the network. Finally, the results contribute to better understanding of the dynamics that can be associated with the effectiveness of similar programs. / Ph. D.

The global infrastructure gap has continually widened over the last few decades. Industry reports and academic publications suggest that, in terms of road infrastructure, both advanced and developing economies have not paid sufficient attention to modernize their infrastructure assets. A wider road infrastructure gap signifies that highway conditions have declined because governments have not had enough resources for maintenance and rehabilitation. In the same way, it also indicates that congestion levels have grown and the level of service in most road networks has dropped because public agencies have not had sufficient funds to generate new highways and expand existing corridors. This dissertation, therefore, provided insights into the difficulties associated with improving the existing highway assets and the barriers related to expanding the current roadway capacity through public-private partnerships (PPPs). The research involved three interdependent studies. In the first study, I examined the continuous deterioration of the US highway system through a system dynamics model, which focused on the dynamics of capital investments and maintenance expenditures in the US road infrastructure. The results confirmed that the American highway system is currently stuck in a capability trap. This makes it difficult for the system to improve at the rates required by the country's economic growth. In my second investigation, my attention shifted toward the governance challenges related to building new roads and expanding highway capacity through PPPs. I developed a systems map of governance variables informed by past-published evidence from actual projects. By specifically examining the shaping phase of public-private initiatives, the work uncovered the effects of feedback relationships and interdependencies on PPP feasibility. This offered insights about the relationship between governance mechanisms and successful PPP development. In the third study, I utilized variables and relationships identified in my second investigation to develop a management flight simulator in order to better explain governance difficulties in the procurement phase of PPP projects. The simulator was implemented during an educational exercise with graduate students of civil engineering. By doing so, I confirmed that the simulator has the potential to increase our understanding of PPP procurement processes. Results indicated that the simulation tool was a suitable instrument to explain how government capacity, project uncertainty, and technical complexity influence PPP tendering. Overall, my findings across the three studies illustrate different means to understand why closing the global road infrastructure gap is challenging. Together, the three inquiries indicate that examining the road infrastructure sector as a socio-technical system contributes to improve our understanding of the expenditure dynamics related to existing assets and to enhance our comprehension of the governance challenges associated with developing new roads. / Ph. D. / Over the last decades, the global infrastructure gap has continually expanded. In the road infrastructure sector, governments around the world have failed to meet the growing societal and economic demands for additional infrastructure investments. This suggests that highway conditions have declined because there are not enough resources to improve the existing roads and develop new highways. As a result, the size and quality of global road network keep deteriorating annually. This dissertation provided insights into the difficulties related to enhancing the quality conditions of the existing road network and the problems associated with increasing roadway capacity through public-private partnerships (PPPs). The research was conducted through three interdependent studies. In the first study, I developed a simulation model in order to understand the continuous deterioration of the US highway system. I concluded that the US government has been unable to achieve sustained improvements in the system because of prioritizing rehabilitation over preventive maintenance. In my second investigation, I conducted a literature review focused on analyzing governance-related concepts in PPP projects. I created a systems map that helps to understand how governance variables influence failure and success in the shaping phase of public-private agreements. In the third study, I developed an educational tool focused on explaining some of the challenges of conducting procurement processes in PPPs. This tool proved to be effective in terms of illustrating how government capacity, project uncertainty, and technical complexity influence PPP tendering. Overall, the three studies offer a socio-technical perspective of why closing the global road infrastructure gap is challenging. Together, they contribute to improve our understanding of the difficulties associated with enhancing the conditions of the current road network and developing new roads through PPPs.

Public-private partnerships (PPPs) have become a significant global phenomenon and governments are utilizing them more frequently to deliver projects that satisfy increasing societal demands in infrastructure sectors such as highways. Compared to traditional project delivery approaches, PPPs are long-term contracts between the public and the private sectors, where the private sector is engaged in more project tasks and accepts more risks. However, due to their long-term and complex nature, PPP contracts face many issues. Consequently, each project's contract becomes vital to project success because it: allocates risks, governs project relationships, and can align parties' interests. This dissertation examined 21 project contracts in the US highway PPP market to investigate risk allocation; contract designs and risk sharing mechanisms; and revenue risk guarantees. Using a content analysis framework, the allocation of 31 risks associated with highway PPPs was determined. These risks were mostly transferred to the private sector or shared between public and private parties, and project context had a significant influence on risk allocation. Assessment of contract designs indicated that the public sector imposes extensive monitoring and retains a majority of the decision rights to preclude opportunistic actions by the private sector; further, risk sharing mechanisms were complex and largely dependent on resolution during project implementation, which likely increases ex post transaction costs. Finally, revenue guarantees, commonly structured as standard options to mitigate revenue risk, were redesigned to incorporate exotic option features; quantitative analysis revealed that exotic structures can better serve chief PPP stakeholders' interests through increased robustness and flexibility. / Ph. D. / Public-private partnerships (PPPs) have become a significant global phenomenon and governments are utilizing them more frequently to deliver projects that satisfy increasing societal demands in infrastructure sectors such as highways. Compared to traditional project delivery approaches, PPPs are long-term contracts between the public and the private sectors, where the private sector is engaged in more project tasks and accepts more risks. However, due to their long-term and complex nature, PPP contracts face many issues. Consequently, each project’s contract becomes vital to project success because it: allocates risks, governs project relationships, and can align parties’ interests. This dissertation examined 21 project contracts in the US highway PPP market to investigate risk allocation; contract designs and risk sharing mechanisms; and revenue risk guarantees. Using a content analysis framework, the allocation of 31 risks associated with highway PPPs was determined. These risks were mostly transferred to the private sector or shared between public and private parties, and project context had a significant influence on risk allocation. Assessment of contract designs indicated that the public sector imposes extensive monitoring and retains a majority of the decision rights to preclude opportunistic actions by the private sector; further, risk sharing mechanisms were complex and largely dependent on resolution during project implementation, which likely increases ex post transaction costs. Finally, revenue guarantees, commonly structured as standard options to mitigate revenue risk, were redesigned to incorporate exotic option features; quantitative analysis revealed that exotic structures can better serve chief PPP stakeholders’ interests through increased robustness and flexibility.

The use of Public-Private Partnerships (PPPs) by governments on all continents has been rapidly growing as government departments and their agencies continue to look for improvised means of providing high quality services. In South Africa, the demand for the replacement of the aging government infrastructure has led to the increase in the use of PPPs. The PPPs are not only used for the improvement of roads, but also in the provision of social services and many other services that are traditionally a responsibility of government. Government institutions typically enter into relationships with PPPs to address their needs and to meet specific objectives. It is, therefore, up to these institutions to choose an ideal model of procurement that best addresses their objectives of delivering effective services (Palmer, 2009:Online). Government institutions will, however, only enter into relationship with PPPs if the services can be transferred in a responsible way and if the risks for failure are limited. Inefficiencies in the disbursement of social assistance grants by the South African Social Security Agency (SASSA) has received much attention and criticism from the stakeholders as the company contracted to perform the work on behalf of SASSA continues to provide poor quality services. In assessing a PPP, countries providing social security transfers need to take into consideration a partner that will assist in establishing and implementing the payment design and distribution mechanism that is capable of facilitating the cost effective, reliable and practical delivery of cash to the grant beneficiaries. A comprehensive review of literature and empirical investigation was carried out to respond to the research study’s set objectives. The study explored a wide-ranging survey of PPP projects in developed and developing countries focusing on the use of the PPP model in the South African context with specific reference to the disbursement of social grants by the SASSA. Alternative procurement methodologies in government were also reviewed. An analysis of relevant procurement theories was undertaken to form the basis of the research study. The mini-dissertation explores if there are any advantages for the government, and more specifically the SASSA, in using PPPs as opposed to traditional procurement methods. The study attempts to establish if a private partner can be encouraged to provide long-term investment in terms of expertise; well qualified staff; technology; infrastructure; and creation of an environment conducive for highly effective service delivery where the return on such investment is not guaranteed. / MA (Public Administration), North-West University, Potchefstroom Campus, 2015

The use of Public-Private Partnerships (PPPs) by governments on all continents has been rapidly growing as government departments and their agencies continue to look for improvised means of providing high quality services. In South Africa, the demand for the replacement of the aging government infrastructure has led to the increase in the use of PPPs. The PPPs are not only used for the improvement of roads, but also in the provision of social services and many other services that are traditionally a responsibility of government. Government institutions typically enter into relationships with PPPs to address their needs and to meet specific objectives. It is, therefore, up to these institutions to choose an ideal model of procurement that best addresses their objectives of delivering effective services (Palmer, 2009:Online). Government institutions will, however, only enter into relationship with PPPs if the services can be transferred in a responsible way and if the risks for failure are limited. Inefficiencies in the disbursement of social assistance grants by the South African Social Security Agency (SASSA) has received much attention and criticism from the stakeholders as the company contracted to perform the work on behalf of SASSA continues to provide poor quality services. In assessing a PPP, countries providing social security transfers need to take into consideration a partner that will assist in establishing and implementing the payment design and distribution mechanism that is capable of facilitating the cost effective, reliable and practical delivery of cash to the grant beneficiaries. A comprehensive review of literature and empirical investigation was carried out to respond to the research study’s set objectives. The study explored a wide-ranging survey of PPP projects in developed and developing countries focusing on the use of the PPP model in the South African context with specific reference to the disbursement of social grants by the SASSA. Alternative procurement methodologies in government were also reviewed. An analysis of relevant procurement theories was undertaken to form the basis of the research study. The mini-dissertation explores if there are any advantages for the government, and more specifically the SASSA, in using PPPs as opposed to traditional procurement methods. The study attempts to establish if a private partner can be encouraged to provide long-term investment in terms of expertise; well qualified staff; technology; infrastructure; and creation of an environment conducive for highly effective service delivery where the return on such investment is not guaranteed. / MA (Public Administration), North-West University, Potchefstroom Campus, 2015

This thesis articulates how the Kuh-Ke-Nah network (K-Net) shaped broadband development in remote indigenous communities. K-Net operates under the not-for-profit stewardship of Keewaytinook Okimanak (KO) Tribal Council. Located in Northwestern Ontario, KO brought K-Net to life amongst its six member First Nations in the mid 1990s. As K-Net evolved and expanded its membership, KO established a governance model that devolves network ownership and control to community networks in partner First Nations. This governance model reflects KO’s use of social enterprise to organize K-Net’s community-based broadband deployment amidst necessary partnerships with government programs and industry players. K-Net’s social enterprise has rapidly grown since 1997, when its core constituents fought for basic telephone service and internet access in Northern Ontario. In the space of less than a decade, K-Net communities have gone from a situation in which it was common for there to be but a single public payphone in a settlement, to a point where over thirty now have broadband internet services to households. Technologies now under K-Net control include a C-Band satellite transponder, IP videoconferencing and telephony, web and email server space, and a variety of terrestrial and wireless links that effectively connect small, scattered First Nations communities to each other and the wider world. K-Net’s governance model encourages member communities to own and control community local loops and internet services under the authority of a local enterprise. Community ownership and control over local loops allows First Nations to collaborate with KO to adapt broadband applications, such as telemedicine and an internet high school, to local challenges and priorities. K-Net’s aggregation of demand from disparate users, within and across member communities, creates economies of scale for the network’s social enterprise, and allows a dynamic reallocation of bandwidth to meet social priorities. Based on four years of research with K-Net stakeholders under the Canadian Research Alliance for Community Innovation and Networking (CRACIN), my thesis documents the evolution of K-Net’s governance model as a reflection of its social enterprise. Drawing from Community Informatics and the Ecology of Games, I trace K-Net’s history and organization to assess how KO, its partners, and K-Net’s constituents, cooperated to make social enterprise viable for member First Nations.

A presente tese tem por propósito contribuir para uma política de planejamento no campo da educação a distância (EAD). Para isto concebe uma proposta multi-modelo de referência lastreada na definição de estratégias em espectro de alta complexidade, que considera uma seqüência de procedimentos sistematizados nas seguintes fases: (i) Determinação das necessidades de informação, em duas etapas: (a) identificação dos fatores críticos de sucesso (FCS) e (b) identificação das áreas de informação; (ii) Determinação das competências, em três etapas: (a) determinação dos conhecimentos, (b) determinação das habilidades, e (c) determinação das atitudes; (iii) Determinação dos graus de avaliação de competências; (iv) Determinação das estratégias em redes de conhecimentos. Evidencia-se a aplicação a um estudo de caso nas concessões rodoviárias no Brasil, na perspectiva das parcerias público-privadas (PPPs). A consecução da pesquisa foi por meio da intervenção de especialistas e um grupo pequeno de estudantes de um programa de EAD (MBA) aplicado às PPPs. A coleta de dados foi por meio de um formulário semi-estruturado, do tipo escalar, em uma matriz de julgamento, com a intervenção de especialistas. Vários instrumentos de apoio foram utilizados na elaboração da modelagem, com vistas a reduzir a subjetividade dos resultados alcançados: escalagem psicométrica - Lei dos Julgamentos Categóricos de Thurstone (LJC), Multicriteriais-Compromise Programinng, Electre III, e Promethee II; Análise Multivariada; Krigagem, Redes Neurais Artificiais (RNA); Redes Neurofuzzy. Os resultados produzidos mostraram-se satisfatórios, validando o procedimento proposto para EAD. Procedimento este, fundamental na definição de programas destinados para planejar a capacitação de recursos humanos a distância, bem como para a constituição de outros elementos do capital intelectual em políticas de EAD. / This thesis intends to contribute to the planning guidelines in the field of distance education (DE). Thus, it develops a multi-model reference proposal supported by the definition of a highly complex spectrum of strategies that considers a sequence of systematic procedures in the following phases: (i) Determining the information needs in two stages: (a) identification of the critical success factors (CSF), and (b) identification of the information areas; (ii) Determination of competences in three stages, determining: (a) knowledge, (b) skills, and (c) attitudes; (iii) Determination of the degree of competence evaluation; and (iv) Determination of strategies in knowledge networks. There is the application to a case study of the road concessions in Brazil, within the perspective of public-private partnerships (PPPs). The research was achieved through the intervention of specialists and a small group of students from a DE program (MBA) applied to the PPPs. The data collection was conducted by means of a semi-structured form, the scalar type in a trial matrix, to which experts ascribed their assessments. Several support instruments were used in the modeling elaboration in order to reduce subjectivity in the results: psychometric scales - Thurstones Law of Comparative Judgment (LCJ), Multi-criteria Compromise Programming, Electre III, and Promethee II; Multivariate Analysis; Krigage, Artificial Neural Networking (ANN); Neuro-fuzzy networks. The results produced are satisfactory, validating the proposed procedure for DE. This is an essential procedure for the definition of programs designed to plan the training of human resources at a distance, as well as to establish other elements of intellectual capital for DE guidelines.

Made available in DSpace on 2016-08-10T10:32:07Z (GMT). No. of bitstreams: 1 Jandira Nascimento de Assis.pdf: 1225645 bytes, checksum: 4117bef4e9c598fd266d590c4b308352 (MD5) Previous issue date: 2012-03-29 / The purpose of this dissertation is to study the expressions of public-private relationship at the Universidade Federal de Goias, an institution embedded in a broader process of privatization of Federal Institutions of Higher Education, with the time frame from 2004 to 2009. Given the various educational reforms implemented, the Brazilian federal universities, including Goias, are have enabled the reduction of its workforce, which is replaced by workers from private companies. This dissertation shows that in UFG, retirement and incentive for joining the buyout, a process was implemented in the period of the study, when the institution extinguished several positions. As the functions developed in them are necessary, the institution expands the space to be covered by "outsiders" that in addition to cleaning, maintenance had been performed, also enters the administrative services. For this analysis were rescued historical aspects of Brazilian higher education, the first regulations to reach the current situation where the public higher education has taken on the privatization of its space through public-private relationship. / O objeto desta dissertação é entender as expressões da relação público privado na Universidade Federal de Goiás, instituição inserida em um processo de privatização amplo das Instituições Federais de Ensino Superior (IFES), com o recorte temporal de 2004 a 2009. Diante das diversas reformas educacionais implantadas, as universidades federais brasileiras, inclusive a de Goiás, têm possibilitado a redução de seu quadro de pessoal, que é substituído por trabalhadores de empresas privadas. Esta dissertação mostra que, na UFG, as aposentadorias e o incentivo para adesão ao PDV, foram processos implantados no período de referência do estudo, quando a instituição extingue diversos cargos. Como as funções neles desenvolvidas são necessárias, a instituição amplia o espaço a ser coberto pelas empresas terceirizadas que além dos serviços de limpeza, manutenção que já haviam sendo realizados, insere também os serviços administrativos. Para essa análise foram resgatados aspectos históricos da educação superior brasileira, as primeiras regulamentações para chegar à conjuntura atual aonde a educação superior pública vêm assumindo a privatização do seu espaço mediante a relação público privado.

As parcerias público-privadas (PPPs) consistem em um arranjo, formado pelo setor público e privado para a provisão de serviços de infraestrutura, os quais eram previamente providos pelo governo. No ambiente desses contratos realizam-se três estudos, sendo que o desenvolve-se um modelo teórico de PPPs para hospitais. Neste sentido, o regime de bundling, em que as empresas são agregadas em um consórcio, mostra-se se superior ao que as empresas são contratadas separadamente. Isto se dá, porque no primeiro modelo, as firmas conseguem internalizar as externalidades advindas do processo produtivo. Já no segundo ensaio faz-se um modelo computacional de risco moral com loterias aplicado a essa modalidade contratual. As simulações realizadas neste exercício indicam que projetos de valor econômico mais elevado atraem firmas mais capacitadas e esse maior valor monetário provavelmente está correlacionado com a complexidade do empreendimento o que pode ser o motivo das empresas empenharem mais esforço. O terceiro trabalho pretende identificar os determinantes do investimento e do número de projetos de PPPs em economias emergentes. Os resultados indicam que o ambientes de negócios, macroeconômico, político e o sistema legal são os principais preponderantes na formulação destes contratos. Por fim, as PPPs demandam esforços governamentais para o desenho de contratos que coíbam o comportamento oportunista e consigam monitorar de forma adequada as empresas responsáveis pelo empreendimento. O compartilhamento de riscos de certa forma é um mecanismo de proteção para o parceiro privado, mas são necessários o desenvolvimento de contratos bem estruturados, que possam lidar com as possíveis contingências e evitar abusos por parte de ambos agentes. / The Public-Private Partnerships (PPPs) consist of an arrangement formed by the public and private sectors for the supply of infrastructure services, which were previously provided by the government. In this contractual environment three studies have been performed. The first one develops a theoretical model for hospitals. In this sense, the bundling system, in which firms are aggregated into a consortium, is shown to be superior to when businesses are hired separately. This happens because in the first model, firms can internalize the externalities arising during the production process. The second essay makes a computational model of moral hazard, with lotteries applied to this type of contract. The simulations indicate that projects with a higher economic value attract more qualified firms and that greater monetary value is likely correlated with the project’s complexity, which may be why the companies pledge more effort. The third paper aims to identify the investment determinants and the number of PPP projects in emerging economies. The results indicate that the business, macroeconomic, political environments and legal system are the main preponderant in the formulation of these contracts. Finally, PPPs require government efforts to design contracts that restrain opportunistic behavior and are able to adequately monitor the companies responsible for the contracts. Risk sharing is a protection mechanism for the private partner, but there is a need to develop well-structured contracts which can deal with possible contingencies and prevent abuses by both agents.

PUBLIC-PRIVATE PARTNERSHIP AS A POLICY INSTRUMENT: THE CASE OF &Ccedil / ALBiR This dissertation assesses the nature and features of public-private partnerships in the case of &Ccedil / ALB&amp / #272 / R. In this study, the public policy literature (especially policy transfer, policy formation and implementation, and network approach) has been used to explain the policy process for the adoption of such a policy instrument. The findings of this study can be summarized as: Firstly, this study indicates that the selection of policy instrument- public private partnership- in the case of &Ccedil / ALB&amp / #272 / R was not neutral as the proponents of managerialism assert but it was ideological. Secondly, there occurred a democratic legitimacy problem for the establishment of public-private partnerships in &Ccedil / ALB&amp / #272 / R case when citizens in the elections elected a mayor who was against privatization. Thirdly, after the establishment of public-private partnership the steering performed by &Ccedil / ALBiR is not traditional command and control mechanism but instead it is managerial collaboration and persuasion mechanism. In addition, local government&rsquo / s working in accordance with managerial principles has brought about the elimination of public values. Lastly, this study shows that public-private partnership is not efficient enough due to compensation fee paid in early years, high operating expenses, and blurring of boundaries between public and private sector. Therefore, the main argument of this dissertation is that public-private partnerships as policy tools should be assessed case by case since so called characteristics of public-private partnerships such as efficiency, and equity may not exist as in case of &Ccedil / ALBiR.