Als Organisationsmodelle haben Public Private Partnerships (PPP) in den zurückliegenden Jahren geradezu rasant an Bedeutung gewonnen. Das unterstreicht nicht zuletzt auch die Vielfalt der seither zu diesem Thema erschienenen Literatur. Allerdings – auch das zeigen viele Veröffentlichungen – bereitet oft schon die Definition einige Schwierigkeiten.

O presente trabalho tem por objetivo apresentar ao leitor as diversas formas de garantia que poderão ser oferecidas ao particular, pelo Estado, como forma de atraí-lo à contratação de parcerias público-privadas, instituídas em âmbito federal pela lei nº. 11.079, de 30 de dezembro de 2004. A escassez de recursos públicos, culminando com a incapacidade estatal de investir em áreas de sua responsabilidade, fez com que se buscassem novas formas de interação entre os setores público e privado. Contudo, o histórico de mau pagador da Administração Pública brasileira implicou na necessidade de oferecimento de garantias àqueles que irão contratar com o poder público, sem as quais talvez poucos ousassem investir seu capital em atividades nem sempre certamente rentáveis. A proposta é analisar as diversas modalidades de garantias, apontando suas fragilidades e seus aspectos favoráveis, sempre no intuito de mostrá-las viáveis e eficientes. Por fim, algumas sugestões de novas espécies serão apresentadas, aumentando a gama de opções que o administrador terá ao seu alcance quando pretender levar a efeito uma contratação desta natureza. / The present work aims at presenting the reader a wide range of guarantees which can be offered to private companies by the State, so as to attract them to contracting public-private partnerships, instituted in federal extent under law number 11.079, dated December 30, 2004. The shortage in public resources, culminating with the incapacity of the State to invest in sectors of its own responsibility, has brought about the pursuit of new ways of interaction between the public and private sectors. Notwithstanding, the fact that Brazilian Public Administration has a history of being a bad payer has implied the need for guarantees to those who will hire the Public Power, taking into consideration that perhaps only a few people will be willing to invest their funds in doubtfully profitable activities. The purpose of this paper is to analyze the various forms of guarantees, pointing out weaknesses and favorable aspects, always targeting on turning them viable and efficient. At last, some other new suggestions will be introduced, enhancing the range of options the administrator may have at reach whenever one intends to put into practice such kind of hiring.

Als Organisationsmodelle haben Public Private Partnerships (PPP) in den zurückliegenden Jahren geradezu rasant an Bedeutung gewonnen. Das unterstreicht nicht zuletzt auch die Vielfalt der seither zu diesem Thema erschienenen Literatur. Allerdings – auch das zeigen viele Veröffentlichungen – bereitet oft schon die Definition einige Schwierigkeiten.

The Master's thesis consists of an introduction, three sections, a conclusion, an appendix and a bibliography. The object of the research is the Public-Private Partnership (PPP) system as an instrument for the economic development of a region and a small town. The theoretical and methodological section describes the basis of formation of the public-private partnership (PPP) mechanism, reveals the essence and content of the PPP concept, as well as its classification. The second section includes an analysis of the development of partnership between the state and business in the Sverdlovsk region, as well as an analysis of the current PPP situation in Russia. The third section is devoted to the analysis and improvement of public-private partnership mechanisms as an effective form of interaction between government and business in the region and the small town. The total number of pages of the Master's thesis - 105. The work contains 5 tables, 6 figures, 1 appendix. / Магистерская диссертация состоит из введения, трех разделов, заключения, приложения и библиографического списка. В теоретическом и методическом разделе дается характеристика и основы формирования механизма государственно-частного партнерства (далее ГЧП), раскрыта сущность и содержание понятия ГЧП, а также их классификация. Второй раздел работы включает в себя анализ развития партнерства государства и бизнеса на территории Свердловской области, а также анализ современного состояния ГЧП в России. Третий раздел посвящен анализу и совершенствованию механизмов государственно-частного партнерства как эффективной формы взаимодействия власти и бизнеса в регионе и малом городе. Основные понятия, рассматриваемые в работе: государственно- частное партнерство, малый город России, механизмы государственно-частного партнерства. Общее количество страниц магистерской диссертации (без приложений) – 105. Работа содержит 5 таблиц, 6 рисунков, 1 приложение.

In un periodo di risorse pubbliche scarse e bisogni collettivi complessi, le collaborazioni (o partenariati) pubblico-privato (PPP) rappresentano un’opzione preziosa per i decisori pubblici e una fonte di crescente interesse per gli studiosi. In tali collaborazioni, il privato viene coinvolto in scelte che, spesso, hanno un notevole impatto sugli interessi pubblici. Tuttavia, i fini istituzionali dei partner continueranno ad essere diversi e dunque a generare delle tensioni. In questo contesto, la ricerca di efficaci forme di accountability (rendicontazione in senso ampio, trasparenza) riveste grande importanza. I tre articoli della tesi dottorale si concentrano sulle PPP in ambito sanitario e socio-sanitario; si ricollegano al tema della valutazione, anche preventiva, delle PPP come strumento per rispondere adeguatamente ai bisogni pubblici. Il primo articolo rifinisce e allarga le attuali classificazioni delle possibili forme di governance delle PPP. Sul piano teorico, il lavoro mostra un’associazione tra alcune classiche determinanti dell’esternalizzazione dei servizi pubblici (misurabilità e contendibilità) e tratti come la forma giuridica, la natura dei partner, gli obiettivi strategici. Il secondo articolo approfondisce le caratteristiche contingenti dei PPP che possono orientare l’elaborazione di efficaci sistemi di performance measurement. Come contributo teorico, il lavoro presenta un modello per regolare il grado di disclosure economica della collaborazione nei confronti del pubblico e i trade off tra fattibilità e ricchezza della misurazione. Il terzo articolo approfondisce l’impatto delle PPP per il rinnovamento infrastrutturale e la gestione di servizi di supporto in ambito ospedaliero, focalizzandosi su alcuni aspetti non finanziari di valutazione: la coerenza delle caratteristiche quali-quantitative dell’infrastruttura con i desiderata aziendali (alla consegna e nel tempo); la flessibilità di adeguamento a potenziali cambiamenti nei bisogni epidemiologici; il contributo alla riduzione della complessità del cambiamento interno (organizzativo) ed esterno (stakeholder management). Sul piano teorico, l’articolo identifica le PPP come mezzo per conservare autonomia strategica a livello meso (regione) e micro (azienda), anche se gli impatti globali sono molto influenzati dalle economie di esperienza. / In times of resource scarcity and swift change in collective needs, public authorities are making increasing use of public - private partnerships (PPPs) to reshape day-by-day delivery of public services or to renovate infrastructure. In PPPs, the private partners become involved in government decision-making and program delivery; however, those partners maintain their own long-term institutional objectives, which naturally diverge from public ones. The three papers of the dissertation relate to the application of the accountability issue to PPPs, with different sub-themes, drawn from Forrer et al. (2010): characteristics and classification of the partnership; performance measurement and management; social and political impacts. The first paper aims to refine the governance taxonomy of PPPs focusing on public service provision. Considering the levels of service contestability and measurability, which were drawn from the literature on public service outsourcing, the study identified four clusters of partnerships. With each of these clusters, I associated some relevant governance features: legal form, institutional aim of the partners, and strategic goal of the PPP. Indeed, higher levels of measurability appear to be associated with contractual (non-organizational) forms of partnerships, whereas higher contestability with corporate forms involving for profit partners. The second paper draws on the consolidated literature on performance management and contingency theory to identify appropriate Key Performance Measures (KPM) for service-focused PPPs. The work provides a model drawing on the integration with the public system to regulate the degree of economic disclosure; while it draws on the degree of specialization to solve the trade-off between measurement feasibility and richness. The third paper focuses on the specific impact of a PPP-DBFO (Design, Build, Finance, Operate) operation on three non-financial issues: building’s compliance to public partner’s desiderata, infrastructure’s flexibility and project’s governance complexity. PPPs appear to help policymakers and managers to maintain the possibility of making strategic choices. If the public partner is experienced enough to cope with a laborious practice, the PPP can help to reach notable social and political achievements; however, costs remain higher compared to the public finance alternative.

Vor dem Hintergrund der angespannten Finanzlage in den Kommunen und eingebettet in einen Prozess der Binnenmodernisierung der Kommunalverwaltungen, der Einführung der Doppik und einer intensiven Debatte um die effizientere und effektivere Bereitstellung öffentlicher Dienstleistungen sowie deren Bereitstellungsstrukturen steigt die Attraktivität von lebenszyklusorientierter Infrastrukturbeschaffung für die kommunale Ebene. Damit nimmt auch der Bedarf an unterstützender Beratung der kommunalen Ebene zu. Diese hängt einerseits mit den naturgemäß begrenzten Kapazitäten – bei gleichzeitig erhöhtem Abstimmungsdarf zwischen den Akteuren auf lokaler Ebene und der hohen Komplexität der Thematik über einen längeren Realisierungszeitraum – zusammen. Hier kann durch wissenschaftliche Expertise und praxisfundierte Begleitung ein Mehrwert geschaffen werden. Gleichzeitig können durch ein intensives Erfahrungsmanagement Optimierungspotentiale aus bestehenden ÖPP-Projekten generiert werden. Bei heutigen lebenszyklusorientierten Infrastrukturprojekten werden alle Phasen einer Infrastruktureinrichtung ganzheitlich über ihre gesamte Lebensdauer hinweg betrachtet und dabei ggf. Effizienz- und Einspareffekte im Vergleich zur konventionellen Realisierung aufgezeigt. Dies kann eine transparente und mit Blick auf notwendige Finanzströme antizipative Wirkung entfalten, die den Prozess nachhaltiger steuert als der konventionelle Fall. Die Städte und Gemeinden im Freistaat Sachsen stehen diesem Ansatz derzeit noch verhalten gegenüber, was häufig daraus resultiert, dass lebenszyklusorientierte Infrastrukturbeschaffung und deren Folgen und Wirkungen teilweise unreflektiert diskutiert und in den Modellen vermischt werden. Die vorliegende Untersuchung hat das Ziel, Ansprüche an und Erfahrungen mit Infrastrukturbeschaffung – konventionell oder lebenszyklusbasiert – in den sächsischen Kommunen darzulegen und darauf aufbauend den Städten und Gemeinden im Freistaat in der Kommunalberatung unterstützend und kritisch zur Seite zu stehen. Eine einzelfallbezogene Analyse statt pauschaler Urteile ist hierbei stets notwendig.

Seit einigen Jahren erfolgt in Deutschland eine verstärkte Einbindung von privatwirtschaftlichen Akteuren bei der Bereitstellung öffentlicher Leistungen. Insbesondere im Bereich der Infrastrukturbereitstellung haben sich Öffentlich-Private-Partnerschaften als eine alternative Beschaffungsvariante etabliert. Diese Vertrags-ÖPP sind in den Kontext einer allgemeinen Privatisierungskritik geraten, vor allem wird die Wirtschaftlichkeit dieser Variante bzw. deren Berechnung diskutiert. Vor diesem Hintergrund liegt das Ziel der Studie darin, die geringe empirische Datenlage zum Status quo der Umsetzungspraxis zu vergrößern, die Beschaffungsalternativen konventionelle Beschaffungsvariante (KBV) und ÖPP komparativ gegenüberzustellen und dabei auch auf Aspekte einzugehen, die im Erfahrungsbericht der Rechnungshöfe nicht behandelt werden, da dieser ausschließlich die Wirtschaftlichkeit von ÖPP fokussiert. Der Untersuchungsgegenstand fokussiert nur kommunale ÖPP-Projekte die einen Lebenszyklusansatz verfolgen, folglich Infrastruktureinrichtungen wie Schulen, Kindertagestätten und Verwaltungsgebäude. Allen diesen Projekten ist inhärent, dass während der Vertragslaufzeit kein öffentliches Eigentum veräußert wird, die Aufgabenverantwortung folglich stets bei der öffentlichen Hand verbleibt und somit auch keine Privatisierung öffentlichen Eigentums erfolgt. Die Studie zeigt, dass bei vielen KBV-Projekten die Betriebskosten in den anfänglich zu erstellenden Wirtschaftlichkeitsvergleichen keine oder nur eine untergeordnete Rolle spielen, während bei ÖPP in der Regel von Anfang an der gesamte Lebenszyklus der Infrastruktureinrichtung betrachtet wird, da der Großteil der Gesamtkosten der Infrastrukturmaßnahme während der Betriebsphase anfällt. (Kostensparende) Synergieeffekte bleiben deshalb bei den KBV vielfach ungenutzt. Die Nutzung von ABC-Ausschreibungen löst dieses Problem nur bedingt, da durch sie Aufwand und Transaktionskosten enorm gesteigert werden. Die Betrachtung unterschiedlicher Wertschöpfungsstufen (Planung, Bau, Finanzierung, Betrieb, Verwertung) stellt den entscheidenden Punkt für die Wirtschaftlichkeit von ÖPP-Projekten im Vergleich zur KBV dar, da die private Seite veranlasst ist, die Bauleistungen betriebsoptimierend zu planen und durchzuführen. Ferner zeigt die Studie, dass die von den Rechnungshöfen angemahnte Verfahrenstransparenz eine Herausforderung bei allen öffentlichen Beschaffungsvarianten darstellt und das Fehlanreize, die durch die Prinzipal-Agent-Problematik entstehen, ebenfalls kein singuläres Defizit des ÖPP-Ansatzes sind. Dem Vorwurf, dass ÖPP-Projekte dazu genutzt würden, Schulden in öffentlichen Haushalten zu verschleiern und Kosten möglichst intransparent darzustellen, wird mit der schrittweisen bundesweiten Umstellung der Kommunen auf doppische Haushaltsführung weitestgehend der Boden entzogen, da ÖPP-Projekte mit Forfaitierung sogar Transparenzvorteile gegenüber den KBV aufweisen. Ziel der Studie ist nicht, die ÖPP als „Königsweg“ der öffentlichen Beschaffung darzustellen, sondern den Versuch zu unternehmen, einen kritischen Blick auf die Beschaffungsvariante selbst und die an ihr geäußerte Kritik zu werfen. Es gilt: Vor dem Hintergrund der langfristigen Bindung des privaten Partners und der damit verbundenen Verantwortungs- und Risikoteilung ist es nach wie vor möglich, dass wirtschaftlichere und bedarfsgerechtere Lösungen als bei der KBV gefunden werden.

[pt] A crescente expansão das atividades sociais efetivadas pelas Organizações Não-Governamentais (ONGs) têm sido constante nas sociedades contemporâneas. Este modelo de intervenção social traz como pano de fundo a redefinição do papel do Estado, aliado ao predomínio da lógica mercadológica e suas conseqüências sociais. No Brasil, o cenário não é diferente, na medida em que o Estado legitima a ação dessas ONGs por meio do estabelecimento de parcerias que possibilitam que suas responsabilidades sejam desenvolvidas através da efetivação de ações sociais coordenadas pelas ONGs. Nesta dissertação buscou-se traçar o perfil das Organizações-Não-Governamentais localizadas na cidade de Manaus/AM, assim como dos profissionais de Serviço Social que atuam nessas organizações, com o objetivo de coletar dados que possibilitassem conhecer os desafios e possíveis limites impostos a esses profissionais. Neste sentido, foi feita uma pesquisa com as assistentes sociais que desenvolvem seu trabalho junto a ONGs que mantêm convênio com a Secretaria de Estado de Assistência Social do Amazonas. Para dar suporte teórico às propostas neste trabalho, foi realizado um levantamento bibliográfico e documental acerca do tema. Os resultados encontrados levam a concluir, ainda que preliminarmente, que o Serviço Social não ficou imune às mudanças societárias em curso, desde a década de 1990. Antes, sofre diretamente, seja nas requisições que lhes são direcionadas pelas mudanças na fatia do mercado de trabalho que lhe cabe, pelos impactos gerados pelas relações que se estabelecem entre Estado, mercado e sociedade, que vai se (re) construindo na atualidade. / [en] The increasing expansion of the social activities accomplished by the Not-Governmental Organizations has been a constant in the societies contemporaries, this model of social intervention brings as deep cloth of the redefinition of the paper of the State, social ally to the predominance of the marketing logic and its consequences. In Brazil the scene is not different, in the measure where the State legitimizes the action of these ONGs by means of the establishment of partnerships that they make possible that its responsibilities are repassed and thus developed through to take the effect of social actions co-ordinate by the ONGs. In this thesis the objective is to trace the profile of Organization-Not-Governmental of Manaus AM, as well as of the professionals of Social Service who act in these ONGs, in order analyzing the limits and the challenges taxes to these professionals. For in such a way, a research with the Social Assistants will be made who develop its work next to ONGs that they keep accord with the State secretary of Social Assistance of Amazon (Brazil). To give theoretical support to the constant reflections in this work, a bibliographical and documentary survey concerning the subject was carried through, object of this study. Thus, one concludes briefly that the Social Service was not immune to the society changes, but that it suffers directly, either in the solicitations that are directed to them, either for the changes in the slice of the work market that fits to it, the impacts generated for the relations that if establish between State, market and society, that goes if (reverse speed) constructing in the present time.

1 1 Abstract The topic of this dissertation thesis is Public Private Partnership. Public Private Partnership is a new phenomenon for delivering services and works by public authorities and other public bodies and entities (as contracting authorities). It emerged in the English speaking countries, namely in the USA and UK, in the 70s and 80s of the last century. Later, because of budgetary restraints and problems with financing public con tracts other countries across the European Union and the world showed interest in this phenomenon. Public Private Partnership is an economic rather than a legal term. Legislation does not use this designation. Instead, common features of Public Private Partnership are used to describe and set down Public Private Partnership in law. It is a general designation for different forms of cooperation between public and private entities which have the following features: The cooperation is based on contractual relations, it is a long term relation and the private entity bears risks related to the performance which would bear the public entity otherwise. The objective of establishing the cooperation is to deliver services and works in the public interest and to satisfy public needs. Provided that the aforementioned features are given we can consider the relation as the Public...

Este projeto de pesquisa tem como proposta o estudo dos critérios de formatação de funding1 que auxiliem nos projetos de transporte rodoviário no Brasil, em particular as estradas vicinais no Estado de São Paulo. A partir de uma análise crítica da formatação de modelos já existentes para estradas vicinais, no Brasil e no exterior, são estabelecidos processos para o levantamento e formatação de funding para esta classe de negócios. Através da condução de um estudo de caso destinado a avaliar a aplicação destes processos, ao final, esta proposição de critérios é consolidada em um conjunto de diretrizes para a formatação de funding para projetos de estradas vicinais. Desta forma, as empresas do setor de transporte rodoviário e ligadas às atividades do Agronegócio poderão alcançar níveis mais eficientes de planejamento e competitividade, melhorando o suporte às decisões de nível tático, tanto no ambiente da empresa quanto dos empreendimentos de estradas vicinais. / The objective of this research is to study the existing criteria of funding`s models applied in projects of road transportation in Brazil, in particular the feed roads in state of São Paulo. Starting from a critical analysis of existing references and criteria of funding`s models in feeder roads in Brazil and surrounding, processes and database are established to give support to format this type of business. Through study case required to evaluate the application of these processes, at the end, these criteria are consolidated to provide guidelines to format funding applied in feeder roads. So that, the companies of the sector of road transport and agribusiness sector will be able to reach more efficient levels of planning and competitiveness, and improve their support to tactical level decisions, as much in the environment of the company such as the environment of enterprises of feeder roads.