This thesis report is aiming to make a literature review on the risk management of PPP projects. At first, 22 risks are identified from different literatures, and next the suggested risk allocations from various literatures are given and get compared with each other. In addition, one more important part in the risk management, i.e. risk mitigation strategy, is collected from some literatures.  The risk management of PPP projects will not focus only on Chinese area, but mostly on the management of commonly occurred risks in PPP projects worldwide. Also, the PPP projects will only focus on the infrastructure projects. The scientific research method in this report is mainly qualitative data collection. In the discussion chapter, knowledge risk management is introduced to be added to the risk management of PPP projects. The SECI model and PPP knowledge base are two rational ways of handling risks. They can not only improve the communications and understandings among the stakeholders, but can also tackle many risks and the knowledge gaps. Finally, conclusions will be drawn from the results and the discussions; recommendations for future research will be given. / Denna examensarbete syftar till att göra en litteraturstudie om riskhanteringen av PPP-projekt (offentlig-privat samverkan). Först identifieras 22 risker från olika litteraturer, och därefter ges de föreslagna riskallokeringarna från olika litteraturer och jämförs med varandra. Dessutom samlas en viktig del i riskhanteringen, dvs riskreduceringsstrategin, som är samlad från vissa litteraturer. Riskhanteringen av PPP-projekt kommer inte att endast fokusera på kinesiskt område, utan mestadels på förvaltningen av vanliga risker i PPP-projekt världen över. Dessutom kommer PPP-projekten endast att fokusera på infrastrukturprojekten. Den vetenskapliga forskningsmetoden i denna rapport är huvudsakligen kvalitativ datainsamling. I diskussionskapitlet introduceras kunskapsriskhantering som läggs till i riskhanteringen av PPP-projekt. SECI-modellen och PPP-kunskapsbasen är två rationella sätt att hantera risker. De kan förutom att förbättra kommunikationen och förståelserna bland intressenterna, även ta itu med många risker och kunskapsbrister. Slutligen kommer slutsatser att dras av resultaten och diskussionerna. Rekommendationer för framtida forskning kommer att ges.

QC 20110812

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Over roughly the last three decades, governments worldwide have implemented public private partnerships (P3s) to mobilize both private funds and public resources to develop transportation infrastructure, which has provided private entities contemporary opportunities to design, finance, construct, operate and maintain these important assets. Typically, P3s are large and complex undertakings that involve and impact many stakeholders, including public officials, financiers, builders, business owners and taxpaying citizens. Consequently, their efficacy depends – to a great extent – on how well they meet the interests of this array of stakeholders. Hence, effective assessment of P3s is crucial to determine whether these infrastructure initiatives and project outcomes satisfy these stakeholders' interests throughout a P3's life-cycle. Researchers and practitioners have considered various aspects of P3s when considering their performance. In general, the current research landscape related to P3 performance includes two major areas: (1) the identification and implementation of critical success factors (CSFs) and key performance indicators (KPIs), and (2) the development of frameworks that conceptualize approaches to measure P3 performance. Numerous studies have focused on CSFs that are the "ingredients" of effective P3s. More recent studies have emphasized KPIs that are metrics to assess them. Alternatively, some research has taken a life-cycle approach to propose approaches for P3 evaluation that are more comprehensive than assessments of P3 delivery time and cost. While this research has produced useful insights, limited emphasis has been placed on assessing P3 performance comprehensively and beyond the public and private sector dichotomy. Therefore, this research develops a framework that identifies and assesses key stakeholder interests in P3s as a means to characterize their performance. Subsequently, this framework was employed in a case study of four P3 projects to evaluate how well these cases met stakeholder expectations and ultimately performed. The research to develop the framework and conduct the case study was organized in three integrated studies. The first study employed a systematic literature review of CSFs and KPIs where the extant literature remains largely segmented and fragmented. Synthesis of the literature helped to identify and characterize various CSFs and KPIs and their current employment within the P3 performance domain. This led to the development of a CSF-KPI framework that integrates these factors and indicators throughout a P3 project's lifecycle. The outcome of the first study served as the foundation for the second study where the framework to assess stakeholders' interests was constructed. In this process, the second study followed a systematic approach by integrating key components to assess performance. The development process involved several key steps: (1) identification of the key stakeholders – specifically the state (elected bodies and executive agencies), investors (equity providers), producers (project service providers) and users/citizens (individuals or groups impacted by a project); (2) characterization of their principal interests; (3) selection of indicators of these interests; (4) linkage of the indicators with 11 performance dimensions ranging from project environment to revenue and operations; and (5) connection of the performance dimensions with four levels of performance: planning, project management, business, and future potential. The framework was demonstrated and substantiated using data from the I-495 Capital Beltway Express project. The application confirmed the replicability of the framework. The final study utilized the framework to evaluate P3s effectiveness in serving stakeholders goals and objectives. A multiple case study was conducted of four P3 highway projects in the United States: I-495 Capital Beltway Express, LBJ Expressway, SR 125 (South Bay Expressway), and SH 130 (5and6) to examine the extent that state, investor, producer, and user/citizen interests were fulfilled. Overall, I-495 and LBJ Expressway met stakeholder interests more effectively than SR 125 and SH 130 (5and6); these two cases had stronger planning, project management, and business performance. Notably, the I-495 case was an unsolicited (or market lead) proposal that followed a collaborative planning process to shape and define the project to meet mutual interests while the LBJ Expressway case utilized a competitive best-value procurement to generate an innovative technical solution that reduced the project's cost and footprint. Whereas SR 125 and SH 130 (5and6) experienced various issues that led to their bankruptcy; the new owners of both projects have taken steps to improve their outlook. Overall, the research deepens understanding of the factors that impact stakeholder interests and their expectations of P3s, presents a holistic framework for P3 assessments, and provides evidence of how well multiple P3s performed, moving beyond conceptual frameworks that are currently found in the literature. / Doctor of Philosophy / Public-Private Partnerships (P3s) have been adopted extensively to facilitate the development of transportation infrastructure. The need for more efficient and effective P3 projects makes performance assessment increasingly important, especially with respect to stakeholder interests and expectations. Also, effective and efficient assessment of P3 performance is crucial to determine whether this infrastructure development strategy meets owners and stakeholders needs throughout the P3 project lifecycle. The absence of an effective and comprehensive approach to evaluate P3 performance can result in reliance on anecdotal evidence, which may inaccurately portray the outcomes of these projects. While numerous studies have examined multiple facets of P3s over the last two decades, limited emphasis has been placed on comprehensively assessing their performance. Consequently, the purpose of this research is to advance the state of knowledge of P3 project performance in the transportation sector. To realize this purpose, this dissertation performed three integrated studies. The first study examined the current literature to identify factors that influence P3 outcomes and metrics that measure them. The second study developed a performance assessment framework, which captures various phases of a project's life cycle and considers the perspectives and objectives of the range of stakeholders involved in or impacted by P3s. Further, the framework was demonstrated and substantiated using data from the I-495 Capital Beltway Express project. Finally, the third study examined four cases in the US market – I-495, LBJ Expressway, SR 125 (South Bay Expressway), and SH 130 (5and6) – to examine to what extent state, investor, producer, and user/citizen interests were fulfilled. The case study illustrated that I-495 and LBJ Expressway met stakeholder interests more effectively than SR 125 and SH 130 (5and6); I-495 and LBJ Expressway fulfilled their implementation, financial and service expectations whereas SR 125 and SH 130 (5and6) experienced implementation issues and financial distress. Overall, these studies support improved understanding of the factors that impact stakeholder interests in P3s and provide evidence of how well four P3s projects performed over time.

Gezeitenbewegungen auf Eisschelfen werden schon seit den 90er-Jahren mit globalen Navigationssatellitensystemen (GNSS) gemessen. Kürzlich wurden an der Neumayer-Station III auf dem Ekström-Eisschelf mit Seismologie und GNSS unerwartet große drittel- und vierteltägige Gezeitensignale in der horizontalen Bewegung beobachtet. Es wurde die Hypothese aufgestellt, dass diese hochfrequenten Gezeitensignale ihren Ursprung an der Aufsetzzone des Ekström-Eisschelfs haben. Deshalb wurden im Laufe der letzten zwei Jahre weitere seismologische und GNSS-Messungen an der Aufsetzzone durchgeführt. Diese Arbeit verfolgt die Forschungsfragen, mit welcher Genauigkeit epochenweise geschätzte Koordinaten der GNSS-Messungen an der Aufsetzzone bestimmt werden können und welche Gezeitensignale signifikant auf geophysikalische oder glaziologische Prozesse zurückzuführen sind. Dafür wurden sowohl mit den Grundgestein verbundene GNSS-Stationen als auch die GNSS-Stationen an der Aufsetzzone mit der Bernese GNSS Software ausgewertet. Die stationären mit dem Grundgestein verbundenen GNSS-Stationen wurden dabei zur Abschätzung der erreichbaren Genauigkeit genutzt und als Referenzstation für die differentielle GNSS-Auswertung verwendet. Die Koordinatenzeitreihen wurden anschließend im Zeit- sowie Frequenzbereich analysiert. Die Ergebnisse zeigen, dass mit differentiellem GNSS kinematische Koordinaten in Nordrichtung auf 6,0 mm, in Ostrichtung auf 5,4 mm und vertikal auf 17,7 mm genau bestimmt werden können. Dabei handelt es sich aber um eine Genauigkeit zu einem zeitlichen Mittel. Die absolute Position wird eventuell weniger genau bestimmt. Die Signifikanz geophysikalischer und glaziologischer Signale ist abhängig vom Messrauschen in den Zeitreihen. Die dadurch entstehenden Unsicherheiten konnten in dieser Arbeit akkurat abgeschätzt werden. Zusätzlich wird die Signifikanz einzelner Signale stark von Artefakten aus den GNSS-Orbits beeinflusst. Konkret betrifft das Frequenzen, die nahe den ganzzahligen Vielfachen der K1-Tide liegen. An der Aufsetzzone konnten signifikante drittel- und vierteltägige Gezeitensignale in der horizontalen Bewegung beobachtet werden. Diese Signale haben ein ähnliches Ausmaß wie an der Neumayer-Station III. Die Hypothese, dass diese Signale ihren Ursprung an der Aufsetzzone haben, könnte somit richtig sein. Die hochfrequenten Gezeiten sind aber nicht als eigene Signale zu verstehen, sondern als Teil (halb-)tägiger, nicht harmonischer Periodizitäten.:1. Einleitung 2. Theoretische Grundlagen 2.1. Glaziologische und geophysikalische Grundlagen 2.1.1. Die Aufsetzzone 2.1.2. Eisströmungen 2.1.3. Gezeiten an der Aufsetzzone 2.2. GNSS 2.2.1. Beobachtungsgleichungen 2.2.2. Bestimmungen der Mehrdeutigkeiten in Trägerphasenbeobachtungen 2.2.3. GNSS zur Bestimmung von Eisbewegungen auf Eisschelfen und Eisströmen 3. Daten 3.1. GNSS-Beobachtungen 3.2. CODE-Datenprodukte 3.3. Weitere Datensätze 4. Methodik 4.1. Prozessieren der GNSS-Beobachtungen mit der Bernese GNSS Software 5.4 4.1.1. Statische GNSS-Auswertung der Referenzstationen mit PPP-AR 4.1.2. Kinematische GNSS-Auswertung mit PPP 4.1.3. Kinematische GNSS-Auswertung im Netzwerk 4.2. Analyse der Koordinatenzeitreihe 4.2.1. Ausreißertest 4.2.2. Frequenzanalyse 5. Ergebnisse 5.1. Kinematische Lösung der Referenzstationen 5.1.1. PPP-Strategien im Vergleich 5.1.2. Basislinie FOP1 -- VESL 5.2. Das GrouZE-Netzwerk 5.2.1. Ergebnisse der Netzwerkauswertung 5.2.2. PPP 6. Diskussion 6.1. Rauschverhalten und Artefakte aus den Satellitenkonstellationen 6.2. Gezeitensignale 6.2.1. Signifikanz 6.2.2. Erste geophysikalische und glaziologische Interpretation 7. Zusammenfassung Anhang A. Partialtiden Anhang B. Aufbau der GNSS-Stationen Anhang C. Zusätzliche Ergebnisse zu den Referenzstationen Anhang D. Weitere Ergebnisse aus dem GrouZE-Netzwerk Anhang E. Gezeitenkataloge der GrouZE-GNSS-Stationen

Engagée à l’occasion de l’introduction en France de contrats de commande publique de type "partenariat public-privé" [PPP] – elle fut initiée peu après la promulgation de l’Ordonnance du 17 juin 2004 créant les « Contrats de Partenariat » – notre recherche explore les PPP, modalités de commande publique complexe à caractéristiques financières, en tant qu’ils constituent un marché émergent pour des acteurs financiers, fournisseurs de capitaux et de techniques de financement, potentiellement porteurs de valeurs, modes de raisonnement, et logiques économiques, exogènes au monde de la commande publique. Aiguillonné par notre désir de participer aux débats disciplinaires des mondes de la sociologie économique, des études sociales de la finance, et d’autres approches hétérodoxes des phénomènes économiques, par notre souci de contribuer à la compréhension des formes d’organisation des services publics et des infrastructures urbaines, stimulé également par notre curiosité à l’égard des mutations des économies occidentales, interpellé évidemment par l’actualité incontournable de la grande crise financière, puis économique, entamée en 2007-08, notre travail prend prétexte de ce "phénomène" – l’immixtion, par l’entremise des PPP, de nouveaux acteurs financiers dans une partie de la commande publique de grands équipements – pour nous inscrire dans le programme de recherche qui vise à caractériser le mouvement socio-économique plus large parfois qualifié de "financiarisation". Ce terme recouvre, sans grande précision ni définition consacrée et indiscutable, un ensemble d’évolutions liées à l’extension du domaine de la finance, que ce soit au niveau macroéconomique, sectoriel, ou cognitif, dans l’ordre de la connexion de pans entiers de la vie économique et sociale aux "marchés" financiers et à leurs exigences. Notre ambition est donc, à partir d’un sujet particulier et technique, non réductible à sa seule dimension financière4, de considérer la valeur heuristique du cas des PPP pour interroger plusieurs dimensions caractéristiques de ce mouvement de "financiarisation" – voire essayer d’en identifier les principaux éléments constitutifs. Ce dessein passe par une analyse en termes de sociologie économique menée à plusieurs niveaux / Committed (Hired) on the occasion of the introduction in France of contracts of state commission of type(chap) "Public Private Partnership" [ PPP] - She (it) was introduced shortly after the promulgation of the Prescription of June 17th, 2004 creating "Partnership agreements" - our search (research) explores the PPP, the modalities(methods) of complex state commission with financial characteristics, as they establish (constitute) an emerging market for financial actors, suppliers of capital and techniques of financing, potentially valuable carriers, ways of reasoning, and economic, exogenous logics to the world of the state commission

Os Procedimentos de Manifestação de Interesse (PMI) e Propostas Não Solicitadas (PNS) são mecanismos para a viabilização de projetos de Parcerias Público-Privadas (PPP/PFIs). Contudo, a ausência de critérios claros para avaliação e priorização de parceiros, de forma transparente e técnica, leva à seleção adversa de propostas, contribuindo para o insucesso dos projetos. O principal instrumento utilizado na avaliação PPP/PFIs é uma análise quantitativa baseada no Value For Money (VfM). O propósito deste trabalho foi investigar os problemas relacionados com os processos de avaliação das propostas dos PMI submetidas aos órgãos demandantes dos serviços. Iniciou-se com a análise do Fatores Críticos para o Sucesso (FCSs) das PPP/PFIs, dos PMI e PNS, identificadas na literatura. Os Fatores Críticos foram apresentados a um conjunto de 78 especialistas que responderam também sobre a processo de análise das propostas. No questionário os autores foram confrontados também com as propriedades da visão. O resultado indica que a análise com o VfM seria incompleta e insuficiente para capturar a complexidade do escopo destes projetos. A pesquisa possibilitou ainda organizar os fatores críticos em 7 dimensões a serem consideradas na avaliação destes projetos. Essas dimensões podem ser utilizadas para a criação de instrumentos de avaliação e um exemplo foi proposto, um indicador nomeado de índice \"T\", avaliado por um grupo de 12 especialistas em projetos de PPP/PFIs. A pesquisa contribui, portanto, para apoiar a criação de instrumentos de avaliação de PPP/PFIs que considerem uma análise mais ampla, considerando aspectos qualitativos e quantitativos. / Unsolicited Proposals (UNPs) are one of the main mechanisms for verifying the feasibility of Public-Private Partnerships (PPP/PFIs/PFIs) projects. However, the lack of clear criteria to evaluate and to prioritize the partner, in a transparent and technical way, has led to adverse selection of proposals increasing the level of failure of these projects. The main instrument used in the PPP/PFIs evaluation is a quantitative analysis based on Value for Money. The purpose of this research was to investigate the problems related with the processes of evaluation of the Unsolicited Proposals (UNPs) that are submitted to the respective government offices. The study compiles the analysis of Critical Success Factors (CSFs) for Public-Private Partnerships (PPP/PFI) and the Unsolicited Proposals (UNPs), identified in the literature, and synthetized by the evaluation of a group of 78 specialists, resulting in the organization of 7 (seven) dimensions to be considered in the evaluation of these projects. This study also demonstrated that, according to these experts, the analysis with VfM would be incomplete and insufficient to capture the complexity of the scope of these projects. As an alternative a set of 7 (seven) indicators where created related to each dimension and a general index that synthetize the performance in the dimensions, considering qualitative and quantitative aspects. The index was labeled as \"T\" index and evaluated by a group of 12 (twelve) experts on PPP/PFI projects. The results from the analyses indicate that the index allows a linear comparative analysis between the proposals received by the public entity requesting the Public- Private Partnership (PPP/PFI) services. The model of indicators decreases the subjectivity of the choices made by public managers, resulting in greater transparency for the process of proposal qualification and security to the market.

Neste trabalho buscamos investigar a aplicação dos mecanismos de participação dos administrados nos processos administrativos de elaboração dos contratos de parceria público-privada (PPP) e indicar alternativas de aprimoramento do diálogo com o Poder Público para possibilitar a preparação de avenças aos objetivos desses tipos de concessão. Concentramos nossas reflexões em quatro instrumentos que permitem a aproximação dos administrados na modelagem dos contratos de concessão administrativa e patrocinada, quais sejam, o procedimento de manifestação de interesse (PMI), a consulta pública, a audiência pública e o roadshow. / This essay intends to analyze individuals´ participation mechanism in the administrative procedure of public-private partnership (PPP) contract elaboration and to indicate alternatives for a better dialogue with Public Sector, in order to prepare the agreements and to assure its attainment to the objectives of such concession model. The analysis is focused in four different instruments that grant the individual approach on the developing of the PPP contracts, which are: call for expressions of interest (translated as PMI - procedimento de manifestação de interesse), public consultation, public hearing and roadshow.

Os Procedimentos de Manifestação de Interesse (PMI) e Propostas Não Solicitadas (PNS) são mecanismos para a viabilização de projetos de Parcerias Público-Privadas (PPP/PFIs). Contudo, a ausência de critérios claros para avaliação e priorização de parceiros, de forma transparente e técnica, leva à seleção adversa de propostas, contribuindo para o insucesso dos projetos. O principal instrumento utilizado na avaliação PPP/PFIs é uma análise quantitativa baseada no Value For Money (VfM). O propósito deste trabalho foi investigar os problemas relacionados com os processos de avaliação das propostas dos PMI submetidas aos órgãos demandantes dos serviços. Iniciou-se com a análise do Fatores Críticos para o Sucesso (FCSs) das PPP/PFIs, dos PMI e PNS, identificadas na literatura. Os Fatores Críticos foram apresentados a um conjunto de 78 especialistas que responderam também sobre a processo de análise das propostas. No questionário os autores foram confrontados também com as propriedades da visão. O resultado indica que a análise com o VfM seria incompleta e insuficiente para capturar a complexidade do escopo destes projetos. A pesquisa possibilitou ainda organizar os fatores críticos em 7 dimensões a serem consideradas na avaliação destes projetos. Essas dimensões podem ser utilizadas para a criação de instrumentos de avaliação e um exemplo foi proposto, um indicador nomeado de índice \"T\", avaliado por um grupo de 12 especialistas em projetos de PPP/PFIs. A pesquisa contribui, portanto, para apoiar a criação de instrumentos de avaliação de PPP/PFIs que considerem uma análise mais ampla, considerando aspectos qualitativos e quantitativos. / Unsolicited Proposals (UNPs) are one of the main mechanisms for verifying the feasibility of Public-Private Partnerships (PPP/PFIs/PFIs) projects. However, the lack of clear criteria to evaluate and to prioritize the partner, in a transparent and technical way, has led to adverse selection of proposals increasing the level of failure of these projects. The main instrument used in the PPP/PFIs evaluation is a quantitative analysis based on Value for Money. The purpose of this research was to investigate the problems related with the processes of evaluation of the Unsolicited Proposals (UNPs) that are submitted to the respective government offices. The study compiles the analysis of Critical Success Factors (CSFs) for Public-Private Partnerships (PPP/PFI) and the Unsolicited Proposals (UNPs), identified in the literature, and synthetized by the evaluation of a group of 78 specialists, resulting in the organization of 7 (seven) dimensions to be considered in the evaluation of these projects. This study also demonstrated that, according to these experts, the analysis with VfM would be incomplete and insufficient to capture the complexity of the scope of these projects. As an alternative a set of 7 (seven) indicators where created related to each dimension and a general index that synthetize the performance in the dimensions, considering qualitative and quantitative aspects. The index was labeled as \"T\" index and evaluated by a group of 12 (twelve) experts on PPP/PFI projects. The results from the analyses indicate that the index allows a linear comparative analysis between the proposals received by the public entity requesting the Public- Private Partnership (PPP/PFI) services. The model of indicators decreases the subjectivity of the choices made by public managers, resulting in greater transparency for the process of proposal qualification and security to the market.