Shaoul et al. (2012) state that the accounting, scrutiny and oversight of Public Private Partnerships (PPPs) remain areas of concern. Also, there have been calls for a more socio-technical and multidisciplinary approach to accounting and governance studies (Broadbent, 2012; Broadbent and Guthrie 2008), especially in relation to the empirical study of PPPs (Hodge et al., 2010). This thesis responds to these calls in part by drawing on Giddens’ structuration theory to examine the financial accountability and governance concerns that are created in PPP joint venture structures. The empirical work focuses on the health sector, which is identified as one of the sectors inundated by PPP activities, particularly in the UK (Treasury, 2012; Whitfield, 2010). It adopts a case study approach, based on qualitative methodology, which involves documentary analysis of secondary data and interviews in relation to two PPP schemes under the Local Improvement Finance Trust (LIFT) scheme in the UK’s health sector.The thesis investigates: the extent to which the corporate structures of the LIFT scheme do complicate financial accountability and governance including external scrutiny; the extent to which the LIFT scheme does enhance partnership working between the public and private sector partners; the structures in financial accountability and governance in the LIFT scheme; the human agents that provide agency in financial accountability and governance in the LIFT scheme and; whether and in what ways structures and human agency in financial accountability and governance interact in the LIFT scheme and what the implications are.The thesis finds firstly that the complex corporate structure of the LIFT scheme is very complicated and the joint venture mechanism cannot be relied upon to deliver transparency of reporting. Secondly, as limited companies, all financial reporting follows private sector accounting regulations and Company Law and there is minimal disclosure in terms of information available to the general public. This is worsened by lack of information sharing between partners as evidenced in one case study group. Thirdly, there was considerable inconsistency in the reporting due to multiplicity of interpretive schemas between the two case study groups. Fourthly, there was considerable change in the reporting due both to changes in accounting regulations and changes in organisational structure and interpretive schemas throughout the period. Fifthly, there is lack of continuity of public sector oversight and monitoring as the public sector, in practice, restricts its activities to pre-operational phase and limited oversight after construction phases. Moreover, partnership working is very difficult in the context of profit seeking under the LIFT structure. Partnership working and success of the LIFT scheme may depend on trust, key personalities working together as well as leadership. From the structuration perspective, the study finds structural contradictions and conflicts of interests in financial accountability and governance practices. Therefore, transparency, public accountability, oversight and scrutiny are necessarily undermined and, policy makers should pay attention to not only the private sector technologies but also the manner in which they are used to benefit finance capital.

Submitted by Fabio Sobreira Campos da Costa (fabio.sobreira@ufpe.br) on 2016-04-19T14:05:45Z No. of bitstreams: 2 license_rdf: 1232 bytes, checksum: 66e71c371cc565284e70f40736c94386 (MD5) Tese Versão Biblioteca.New.pdf: 8228465 bytes, checksum: 555e31ae83e9955c8ba2d9d9fc24b9ae (MD5) / Made available in DSpace on 2016-04-19T14:05:45Z (GMT). No. of bitstreams: 2 license_rdf: 1232 bytes, checksum: 66e71c371cc565284e70f40736c94386 (MD5) Tese Versão Biblioteca.New.pdf: 8228465 bytes, checksum: 555e31ae83e9955c8ba2d9d9fc24b9ae (MD5) Previous issue date: 2015-08-18 / FACEPE / Grandes empresas e grupos econômicos, dentro do atual processo de reprodução ampliada do capital e de seu regime de acumulação com dominância da valorização financeira, requerem, cada vez mais, grandes negócios (megaprojetos, megaeventos), e esses só são viáveis em parceria com o Estado. Esta relação, com o tempo, torna-se mais complexa e envolve uma série de inovações em arranjos político-institucionais e espaciais. Assim, questionou-se se grandes obras ligadas à reestruturação do espaço metropolitano implementadas na Região Metropolitana do Recife - RMR podiam ser consideradas expressões de uma acumulação rentista-patrimonial ampliada entre o Estado e diferentes frações do capital, amplificando a unidade contraditória entre fixos e fluxos própria da reprodução do capital contemporâneo. Para responder a essa, questão buscou-se demonstrar as ações do Estado e o seu papel na concentração e centralização do capital nas mãos de oligarquias econômicas, neste caso, grupos econômicos nacionais ligados à produção do espaço (construção civil) e ao capital financeiro, e em assegurar importantes condições econômicas e extraeconômicas para a acumulação, com o uso dos fundos públicos, créditos subsidiados, incentivos fiscais, terras entre outros. Identificou-se que setores como o da construção civil ganham com o crescimento da economia nacional que leva à busca por investimentos em capital fixo, que também ocorre em períodos de crises econômicas do sistema capitalista. Optou-se por uma pesquisa do tipo qualitativa, explicativa, documental e bibliográfica. Fundamenta-se aqui na compreensão de que urbanização, modernização, política econômica e o planejamento são realidades sociais, e que toda realidade social é espacial e historicamente determinada. Na organização da exposição da tese, optou-se por seguir o método regressivo-progressivo de H. Lefebvre. Entende-se, nesta pesquisa, que os grandes negócios da produção do espaço têm como principais beneficiados as grandes empreiteiras “As Campeãs Nacionais”. Analisaram-se os grandes projetos: Cidade da Copa/Arena Itaipava; Rota dos Coqueiros e Cidade Saneada como representativos de uma “nova” articulação entre o público e o privado dentro do processo chamado por nós de acumulação rentista-patrimonial ampliada entre Estado e capital. Assim, o estudo focou-se na reestruturação econômica e espacial da RMR ligadas a esses projetos e concluiu que este processo é produto da concorrência global capitalista agora movida por um amplo processo de financeirização da economia mundial, fruto de um ajuste espaço temporal do sistema e sua ligação com a produção do espaço, e também representa uma coalizão de interesses entre frações do capital nacionais e locais representantes de grupos econômicos ligados ao setor da construção civil, via arranjos político-institucionais e espaciais como concessões e parcerias público-privadas, financiamentos de longo prazo e participações no capital social de um número seleto de empresas do setor da construção pesada ligadas a grandes holdings nacionais, agentes esses capazes de manipular o fundo público via poder político e econômico, dentro de um contexto de imbricação de escalas geográficas. / Major companies and economic groups, within the current expanded reproduction process of the capital and its accumulation regime with dominance of financial valuation, require, increasingly, major business (mega projects, mega-events), and those can only be feasible in partnership with the State. This relationship, over time, becomes more complex and includes a number of innovations in political-institutional and spatial arrangements. Thus, the question has been raised as to whether great works connected to the restructuring process of the metropolitan space implemented in the Metropolitan Region of Recife – MRR could be considered as expressions of an expanded patrimonial rentier accumulation among the State and different fractions of the capital, amplifying the contradictory unity between ‘’fix and flows’’ peculiar of the reproduction of the contemporary capital. To solve this question efforts have been made to demonstrate the actions of the State and its role regarding the concentration and centralization of the capital in the hands of economic oligarchies, in this case, national economic groups connected to space production (building construction) and to the financial capital, and to assure important economic and extra-economic conditions for accumulation, using public funds, subsidized credit, tax incentives, lands and others. It has been identified that sectors such as building construction gain from the growth of the national economy, leading to the search for investments in fixed capital, which also occurs in times of economic crises of the capitalist system. It has been chosen a qualitative, explanatory, documentary and bibliographic type of research. It is based here on the understanding that urbanization, modernization, economic policy and planning are social realities, and that all social reality is spatially and historically determined. In the organization of the thesis exhibition it was chosen to follow the regressive-progressive method of H. Lefebvre. It is understood in this research that the big businesses of production of the space have as main beneficiaries the great contractors "The National Champions". The major projects have been analyzed: The Cup City/Itaipava Arena; Rota dos Coqueiros e Cidade Saneada as representative of a ‘’new’’ articulation between public and private within the process which we call expanded patrimonial rentier accumulation between State and capital. Thus, the study focused on the economic and spatial restructuring of the MRR linked to those projects and concluded that this process is the result of global capitalist competition now driven by a broad process of financialization of the world economy, result of an space-time adjustment of the system and its link with the production of the space, and also represents a coalition of interests among national and local fractions of the capital which represent economic groups connected to the construction industry, via political-institutional and spatial arrangements such as concessions and public-private partnerships, long-term debt and shares in the social capital of a select number of companies from the heavy construction sector linked to great national holdings, being those agents able to manipulate the public fund via political and economic influence, in an overlay context of geographic scales.

La thèse porte sur l’étude de la formation de convergences et de tensions dans les choix stratégiques opérés par les partenaires public et privé engagés dans la valorisation des activités collaboratives de R&D. Il s’agit d’en caractériser les déterminants et d’identifier également les moyens permettant de les dépasser. L'originalité de l'approche consiste à mobiliser l'outil conceptuel du business model pour en évaluer la portée en tant qu'artefact cognitif d'analyse de cette situation de gestion et en tant qu'instrument de management stratégique de celles-ci. Le travail s'appuie sur deux études de cas longitudinales élaborées dans le cadre de deux recherche-interventions dans les pôles de compétitivité dédiés à la conception dans l'industrie automobile (Movéo) et des systèmes embarqués (Systematic). Les résultats sont présents à trois niveaux: au niveau du contexte, l'importance des mécanismes d'appropriation à partir des capacités d'absorption des organisations; au niveau du processus, le rôle des trajectoires et du leadership des acteurs et au niveau du contenu, les limites spécifiques liées aux incertitudes du mode projet. / The main objective of the thesis consists into the study of convergences and tensions in the interplay between value co-creation and strategic planning in public private R&D partnerships. Two in-depth longitudinal case studies are used to investigate the usefulness of the business model as a cognitive artifact enhancing the partners to collaborate on designing, articulating and implementing collective strategic choices of R&D outcomes. Data were gathered on two collaborative partnerships among two French Clusters (pôles de compétitivité) Movéo and Systematic. Methodology design employed a triangulation strategy based on both qualitative and quantitative methods (interviews and survey-based, structured methods of scenarios screening, participatory and qualitative methods of information gathering – project’s journals and meeting analysis). Based on internal validity, we have pointed out some issues in the management of inter-organizational relationships and networks regarding the process of how value can be created in strategic project management practices in public private R&D partnerships with these innovative clusters.

Med bakgrund av de satsningar som görs på Sveriges civila försvar och beredskap samt trenden av offentlig-privat samverkan för samhällssäkerhet, undersöker den här pilotstudien hur sju svenska kommuner samverkar med privata aktörer inom krisberedskap- och hantering. Studien utgår ifrån ett principal-agentperspektiv där kommunen är principal och privata aktörer är agent. Genom sju semistrukturerade informantintervjuer med säkerhetschefer på Haninge, Huddinge, Nacka, Norrtälje, Salem, Solna och Värmdö kommun undersöks former för samverkan samt om det uppstår några principal-agentproblem i samverkan med privata aktörer. Analysen görs genom kvalitativ tematisk textanalys på det transkriberade materialet och finner att samverkan med privata aktörer i kommunerna befinner sig i en uppstartsfas och att det finns utvecklingspotential. Formerna för samverkan är informell och dialogbaserad. Några principal-agentproblem kan inte beläggas vilket kan härledas till formerna för samverkan samt att de intervjuade kommunerna nyligen kommit igång med samverkansarbetet.

Philosophiae Doctor - PhD / Local government in South Africa is an autonomous policy implementation arm of the government system. The purpose of this study was to examine the institutional, organisational, and human resource capacity challenges the Saldanha Bay and Swellendam Municipalities in the Western Cape faced in their policy implementation especially on poverty alleviation. The objectives of the study were to develop a theoretical framework for examining institutional, organisational and human resource capacity in the Saldanha Bay and Swellendam Municipalities; to discuss the local government constitutional, legislative and policy framework within which the Saldanha Bay and Swellendam Municipalities delivered services to communities; to examine the capacity challenges in the service delivery of the Saldanha Bay and Swellendam Municipalities and, thereby, highlight operational problem areas; and to make general policy recommendations on the basis of the research findings of the study. The methodology used was the case-study approach. It allowed an in-depth understanding of the dynamics present within Saldanha Bay and Swellendam municipality. The methodology enabled the researcher to answer the research question: In what ways, and with what results has institutional, organisational and human resource capacity affected service delivery in the Saldanha Bay and Swellendam Municipalities in the Western Cape? The major findings of the study were that local government capacity for policy implementation is directly influenced by the presence or otherwise of institutional, organisational and human resource capacity. These dimensions of capacity are mutually inclusive, independent and interrelated in practice. The study makes several policy recommendations. In the area of institutional capacity the recommendations were that floor-crossing legislation and practices must be done away with; that weak capacitated municipalities ought to be alleviated by public - private partnerships as a mechanism to enhance a municipality's ability to develop and implement policy; and that instead of solely setting standards and monitoring performance, the provincial treasury should assist municipalities to acquire financial competencies. In the area of organisational capacity it was recommended that the community ought to participate in the recruitment and selection committee of the Municipal Manager. It was also recommended that municipalities should establish district-wide forums for financial heads whose purpose would be to create a platform for collaboration, and for the exchange of ideas. And in the area of human resource capacity it was recommended that district municipalities ought to assume a more prominent role in building the capacity of the local authorities with which they share legislative and administrative powers. It was also recommended that both the administrative and political leadership ought to participate in compulsory executive and/or leadership training programmes SALGA implements through some tertiary educational institutions and/or through private service providers.

A shift has occurred in the traditional type of centralised government control to a more multilevel type of governing referred to as governance. The change from government to governance can be illustrated with an emphasis on networks and social capital enhancement. In higher education this is enveloped through a larger emphasis on institutionalisation of collaboration between the higher education institutions (HEI) and the surrounding environment. In lieu of large block grants come financial incentives through semi-governmental agencies embracing collaboration projects between industry and HEI as well as municipalities.` This licentiate thesis objective is to study the collaboration task’s practical implication on undergraduate education in terms of social capital enhancement and research and teaching links. This is reported in two articles that elaborate on social capital establishment through a policy program and whether policy programs focusing on research collaborations also have an effect on undergraduate education by improving research and teaching links. In general, the findings of this thesis indicate that semi-governmental policy programs have a positive effect on establishing new social capital between regional HEI, industry and municipalities, and that semi-governmentally financed research profiles also have a positive effect on undergraduate education by introducing a link to research outside and within the HEI. / QC 20110117

Por medio del Decreto Supremo Nº 410-2015-EF, el cual aprobó el Reglamento del Decreto Legislativo Nº 1224, Decreto Legislativo que regula la Promoción de la Inversión Privada mediante Asociaciones Público-Privadas (en adelante, las APP’s) y Proyectos en Activos (actualmente derogado) se incorporó a las optimizaciones en el marco normativo nacional referido a la ejecución de contrato de APP. El mencionado mecanismo ha vuelto a ser considerado dentro del Decreto Legislativo N° 1362 y su reglamento aprobado por Decreto Supremo N° 240-2018-EF. Así, las optimizaciones se incorporaron como un mecanismo para realizar cambios a determinadas obligaciones establecidas en los contratos de APP. No obstante, se ha apreciado que dichas optimizaciones presentan una regulación confusa, la cual ha generado confusiones y discordancias respecto de en su correcta ejecución y, por ende, el desarrollo de las obligaciones establecidas en los contratos; ello se aprecia por ejemplo en el caso específico del Contrato de Concesión de la Línea 2 del Metro de Lima. Por lo tanto, por medio del presente trabajo de investigación se planteará una propuesta de regulación de las optimizaciones, la cual tiene por finalidad que estas se vuelvan una herramienta que permita mejorar su aplicación en los contratos de APP. / Through the promulgation of Supreme Decree 410-2015-EF, which approved the Regulation of Legislative Decree No. 1224, Legislative Decree that regulates the Promotion of Private Investment through Public-Private Partnerships and Projects in Assets was incorporated into the optimizations in the national regulatory framework referred to the execution of the PPP contract. The mentioned mechanism has been considered again in Legislative Decree No. 1362 and its regulations approved through Supreme Decree No. 240-2018-EF. Thus, the optimizations were incorporated as a mechanism to make changes to certain obligations established in the PPP contracts. However, it has been appreciated that these present incoherent regulations, which damages their correct execution and, therefore, the development of the established obligations; This has been seen in the specific case of the Concession Contract for Line 2 of the Lima Metro. Therefore, by means of this research work, a proposal for the regulation of optimizations will be proposed, it is intended that they become a tool to improve their application in PPP contracts. / Tesis

Little published research has examined the post-implementation outcomes of public private partnerships for housing, specifically the Military Privatized Housing Initiative (MPHI) from the perspective of the end user, the Military Family Housing (MFH) resident. Using Mettler and SoRelle's conceptualization of policy feedback theory as the foundation, the purpose of this repeated cross-sectional study was to assess residential satisfaction pre- and post- implementation of the MPHI. The study also addressed the influence of sociodemographic factors on MFH residents' perceived residential satisfaction. Secondary data were collected using 2 Department of Defense surveys administered pre- and post-implementation. An independent-samples t test was used to examine residential satisfaction before and after implementation of the MPHI. Multiple regression analysis was used to examine the influence of sociodemographic characteristics on residential satisfaction of MFH residents. Results indicated that privately-managed MFH residents were less satisfied than residents of government-managed MFH (p < .001). Results also showed that paygrade, branch of service, ethnicity/race, and having children or dependents in a household were significant determinants of residential satisfaction for government-managed MFH residents (p < .05). In privately-managed MFH, residents having children or dependents in the household was a significant determinant of residential satisfaction (p < .05). The positive social change implications stemming from this study include recommendations to policy makers to continue examination of MPHI outcomes and improve data collection consistency to ensure current housing policies are meeting the needs of military families.

No description available.

Indiana University-Purdue University Indianapolis (IUPUI) / This study demonstrates application of the demand/supply model that derives from the three failures theory to the study of partnership effectiveness, showing that effective partnership is a partnership that provides each partner with assets that help them spend fewer resources on achieving their goals than when working alone, by compensating for each other's weaknesses while maximizing their own strengths. The study uses public-private partnership (PPP) in humanitarian settings as a unique opportunity to investigate partnership as a process and contribute to a nascent collaboration theory. The study shows that factors that define effective PPP during different stages of disaster relief are similar. However, different stages of partnership require different levels of compensation mechanisms from partnership participants to ensure that both actors maximize their strengths while achieving their missions. As a result, different stages of partnership call upon different combinations and degrees of factors affecting partnership effectiveness. This research uses descriptive data and inferential analysis, based on interviews with 10 representatives of humanitarian agencies that partner with the European Commission's Humanitarian Aid and Civil Protection Office. It gives scholars and practitioners of philanthropy insights into the question: "how to give?" It also provides collaboration research and public policy with guidance on how to create stronger partnerships and increase the likelihood of better collaboration outcomes as well as how to better deal with hazards in order to mitigate disaster outbreaks.