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The purpose of this paper was to support in the unraveling of the various complexities problematizing the concept of social innovation. The concept, generally understood as those innovations that serve to solve societal and social issues, is plagued by ambiguity and weak conceptualization which makes empirical studies difficult. To achieve the paper’s goal a concept analysis, a form of qualitative text analysis method based in philosophy and deductive hermeneutics, was performed. The results of the study were a new definition of social innovation that synthesizes previous definitions of social innovation as a multi-dimensional construct and ideas of social innovation being motivated by altruistic ideals. This new definition strikes a balance between specificity and generality by combining a variation of nuanced conceptual attributes with a clear distinction from the similar, economically motivated market innovations, including those market innovations that, with or without intention, also creates public value and helps combatting societal issues.

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.

With its central role in the development of public-private partnership (PPP) contracts, procurement structure has a significant influence on the economic and policy success of privately-financed toll roads throughout their lifecycle. Following a review of PPP fundamentals and the public-policy differentiation between public interest and public objectives, several approaches for establishing the key contract strategies of toll pricing, concession length, and risk mitigation are explored. These underpinnings motivate the central research question: Given specific policy objectives for road pricing, how should public owners select PPP contract strategies which support these outcomes? Through qualitative comparative analysis (QCA), a recently-developed method for evaluating qualitative data quantitatively, patterns of PPP contract strategies which correspond to three common policy objectives--achieving a specific toll rate, managing congestion, and minimizing state subsidy/maximizing revenue--are identified through evaluation of 18 domestic and international projects. Three practical decision-making tools resulting from this work are illustrated through application to current PPP procurements: (1) a traffic-risk worksheet, which provides a rapid estimate of a toll-financed project's viability; (2) analytical QCA results, which offer guidance for structuring PPP contracts based on the desired pricing objectives; and (3) case-library comparisons, which enable drawing parallels between proposed procurements and established PPP projects. Additional insights explore the nature of risk in this study, which concludes with thoughts on the appropriate role of PPPs in infrastructure delivery. / Ph. D.

Public-Private Partnerships (PPPs) have unique characteristics such as a long time horizon and multiple stakeholders involved. This can lead to common transaction hazards – uncertainty, asset specificity, imperfect information and incomplete contracts, which can further promote opportunistic behavior between parties. Although contracts are designed to govern projects and curb opportunism, their efficacy is limited by these transaction hazards. Therefore, the development of strong relationships and cooperative behavior among stakeholders are often emphasized to complement contractual provisions, which can mitigate transaction hazard impacts. Relational contracting includes a set of principles such as flexibility and effective communication, which promote cooperative behavior and advance mutually beneficial outcomes for stakeholders. A relational contract can include different relational approaches such as informal resolution procedures, partnering practices and incentives to promote relational exchanges in a project. The level of presence of these relational approaches in PPP contracts is an indication of their ability to further inter-organizational relationships. Although previous studies have summarized and further investigated relational approaches in construction projects using conventional delivery methods, similar investigations for PPP projects are limited. Furthermore, relational contracting theory suggests that the contractual inclusion of approaches does not assure their implementation in the field. Stakeholders tend to form working relationships different than what is intended in the contract. Therefore, examining the implementation of these approaches is an important precursor to exploring their effectiveness and capacity to promote stronger relationships between parties. Accordingly, this research presents three complementary studies to enhance understanding of relational approaches employed in PPP projects. The first study focused on the identification of relational approaches described in the literature for specification in PPP contracts to enhance cooperative behavior. A comprehensive literature review process identified relational approaches that were grouped into six categories – communication/nature of negotiations, partnering, conflict resolution methods, monitoring, changes process and risk allocation. The second study examined the extent that the relational approaches identified in the first study were specified in 22 PPP transportation project contracts in the United States. This investigation characterized how relational these contracts are, which is indicative of the capacity of these contracts to promote relational exchanges in a project. For instance, different partnering practices were either included in contracts or not, while the inclusion of conflict resolution methods in contracts was selective. The third study investigated the implementation of relational approaches in practice. Semi-structured interviews of 13 subject matter experts were conducted to obtain perspectives regarding the implementation of different relational approaches. For example, all the interviewees emphasized handling conflicts through informal resolution methods to save the time and effort required in third party methods such as mediation, arbitration and dispute review boards. A framework intended to promote proactive management of stakeholder relationships is proposed based on the findings. Collectively, these three complementary studies shed light on the current state of contractual inclusion and implementation of relational approaches in PPP projects in the United States. Overall, this research contributes towards the growing literature concerning the complementarity between contractual and relational governance, which is needed for improved project performance. These studies have advanced understanding of relational approaches in PPPs by establishing a baseline for their current contractual specification in PPP projects and identifying factors influencing their implementation in the field. Future research can explore their impact on project performance and counterparty relations. / Doctor of Philosophy / Different life cycle phases and stakeholders involved are some of the unique characteristics of Public Private Partnership (PPP) projects. This can lead to presence of transaction hazards such as uncertainty, asset specificity, incomplete contracts and imperfect information which makes contracts less effective in governing projects. Therefore, developing strong relationships between the stakeholders is necessary to complement contracts which can lead to improved project performance. Relational contracting includes a set of principles which aim at developing cooperative behavior between the stakeholders through improved communication and flexibility. A contract that includes such principles is called a relational contract. Although projects with traditional delivery methods such as design bid build and design build have been investigated regarding relational approaches in contracts, a similar review for PPP contracts has not been found. On the other hand, relational contracting theory suggests that the working relationships between the stakeholders can turn out to be completely different than what is intended in the contract. Therefore, it is important to investigate the actual implementation of relational approaches in PPP projects which has not been performed till now. Based on the arguments above, three complementary studies have been performed in this research to overcome the limitations mentioned and to have a better understanding of relational approaches in PPP projects. The first study aims at identifying a comprehensive list of relational approaches from the literature which can be included in PPP contracts to enhance cooperative behavior. A robust literature review process was followed to identify relational approaches which were further grouped into six categories – communication/nature of negotiations, partnering, conflict resolution methods, monitoring, changes process and risk allocation. The second study further investigates the contracts of PPP transportation projects in the United States regarding the level of relational approaches identified in the first study. Contracts from 22 PPP projects were investigated and compared. The findings provided insights into the ability of these contracts to promote relational exchanges in a project. For instance, the inclusion of partnering practices was either all-inclusive or not, whereas inclusion of conflict resolution methods was selective. The third study investigated the implementation of relational approaches in practice. Semi-structured interviews of 13 subject matter experts were conducted to gather insights into the implementation of different relational approaches. For example, all the interviewees emphasized the need to resolve conflicts through informal resolution methods to save time and effort required in third party methods such as mediation, arbitration and dispute review boards. A framework with the objective of promoting proactive management of stakeholder relationships was proposed based on the findings. Collectively, these three studies provide insights into the current state of contractual inclusion and implementation of relational approaches in PPP projects. This research contributes towards the growing literature concerning the complementarity between contractual and relational governance in PPP projects which is needed for improved project performance.

The purpose of this study was to determine if the instructional and organizational needs of educators were fully met in school buildings constructed through the provision of a public/private partnership and the degree of satisfaction in the completed facility. This study examined the implementation of the Public/Private Education Facilities and Infrastructure Act of 2002 (PPEA) in the Commonwealth of Virginia to construct public school facilities. School divisions that entered into a school construction project using the provisions of a public/private partnership between 2002 and 2013 were identified by the Virginia Department of Education. An electronic survey was created to solicit feedback from participants regarding their level of input and engagement during the planning and design stages of development and teacher and principal satisfaction with the completed school facility. The survey instrument had 33 items. Descriptive statistics were used to analyze the data. The frequency and percentage from each category, mean, and mode were also reported for each quantitative survey item. Qualitative data were examined by response categories according to the experiences teachers and principals. The Public/Private Partnership Survey was sent to the administrators and teachers of 14 public schools throughout the Commonwealth of Virginia. There were 131 participants from 14 schools that completed and returned the survey. The findings indicated that while some participants had an ideal experience throughout the construction project, the majority of the participants did not feel that they had significant engagement or input during the planning stages prior to the public/private partnership school construction project. Additionally, while thankful for an improved school facility, teachers and principals consistently responded that if their feedback had been valued, they would be working in a completed school facility better suited to meet the needs of all stakeholders. Principals and teachers who were the most satisfied with their school facility had high levels of engagement during the planning stages, the input they provided was valued, and translated into the educational specification documents and into the completed school facility. / Ed. D.

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.

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.

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.