Orientador: Carlos Américo Pacheco / Tese (doutorado) - Universidade Estadual de Campinas, Instituto de Economia / Made available in DSpace on 2018-08-16T17:31:47Z (GMT). No. of bitstreams: 1 Hollanda_FatimaSandraMarques_D.pdf: 1934849 bytes, checksum: 3aae546acb8d0becad9eb6dad3f9537d (MD5) Previous issue date: 2010 / Resumo: O tema da tese é o financiamento da inovação industrial no Brasil. O seu objetivo é compreender o sentido e o alcance dos esquemas especiais de financiamento e incentivos do setor público voltados às atividades de inovação nas empresas industriais brasileiras. Inicialmente apresenta-se um marco teórico e conceitual para a análise do financiamento da inovação industrial, entendido como objeto de investigação específico dentro do campo mais amplo da discussão do elo entre finanças e investimento e de seus principais determinantes. As características institucionais dos sistemas financeiros são consideradas fundamentais para a decisão das firmas de investir em inovação, ainda que os recursos próprios sejam reconhecidos como as principais fontes de financiamento das atividades inovativas nos países desenvolvidos e em desenvolvimento. Aponta-se que, a despeito das profundas mudanças no sistema financeiro brasileiro nas duas últimas décadas, o financiamento dos investimentos das empresas industriais no país permanece muito dependente das linhas de crédito públicas. No caso específico das atividades de inovação, há evidências de um padrão histórico de limitado esforço inovador por parte do conjunto das empresas industriais brasileiras e de um financiamento público de dimensão restrita. Na ultima década, contudo, houve uma ampla reestruturação do suporte público à inovação empresarial, que implicou a ampliação dos recursos e a diversificação dos mecanismos de financiamento e de incentivo às atividades inovativas. A tese procura dar um tratamento sistemático e analisar esse processo de mudanças A conclusão é que a rede de apoio governamental ainda tem alcance limitado, tanto em termos do universo das empresas inovadoras como das atividades inovativas beneficiadas / Abstract: This dissertation deals with financing of industrial innovation in Brazil. Its main goal is to contribute to the understanding of the scope and the effectiveness of government?s financial support for innovation activities of Brazilian industrial firms. Initially, a theoretical and conceptual analysis of financing for industrial innovation is developed within the framework of the literature on finance and investment links and their determinants. The specific institutional features of a national financial system is considered to be an important factor in firms? innovation decisions even though the most important source of finance for innovation is acknowledged to be firms? own resources in both developed and developing economies. A large part of the credit that supports industrial firms? investment in Brazil still comes from public institutions, in spite of the deep changes that took place in the Brazilian financial system during the last two decades. In the specific case of innovation activities, there are evidences of the existence of a historical pattern of weak innovative effort by industrial firms and the public support for those activities used to be of a lesser dimension. Public financing for business innovation, however, was the object of a strong process of change, expansion and diversification during the last decade, and the dissertation develops a systematic treatment and analysis of this process. The dissertation concludes by pointing out that governmental support still benefits a small proportion of innovative firms and few classes of innovative activities / Doutorado / Politica Economica / Doutor em Ciências Econômicas

Le contrat de partenariat public privé, est défini par l’ordonnance susvisée comme « un contrat administratif par lequel l'Etat ou un établissement public de l'Etat confie à un tiers, pour une période déterminée en fonction de la durée d'amortissement des investissements ou des modalités de financement retenues, une mission globale ayant pour objet la construction ou la transformation, l'entretien, la maintenance, l'exploitation ou la gestion d'ouvrages, d'équipements ou de biens immatériels nécessaires au service public, ainsi que tout ou partie de leur financement à l'exception de toute participation au capital.Il peut également avoir pour objet tout ou partie de la conception de ces ouvrages, équipements ou biens immatériels ainsi que des prestations de services concourant à l'exercice, par la personne publique, de la mission de service public dont elle est chargée ». La notion de partenariat public privé, est tout à fait adaptée et d'ailleurs utilisée pour le développement des équipements sportifs. Aujourd’hui les nouveaux équipements, au niveau de l’investissement et du fonctionnement, tendent à faire intervenir les financements privés. Cette tendance est, notamment remarquée pour les grands projets d’équipements structurants comme les grands stades, soit pour la France soit pour les pays du Golf Arabe. Dès lors, le contrat de partenariat public-privé, est une solution pour restaurer le parc d’installations et d’équipements sportifs.Pour la France, l’attribution de l’euro 2016à la France, a été l’occasion d’accomplir des projets de construction et/ou rénovation, à travers la forme de contrat de partenariat, des stades de Lille, Marseille, Nice et Bordeaux.Concernant la législation des pays du golf arabe, le contrat de partenariat public-privé, « est un contrat conclu entre la direction gouvernementale et la société du projet, dont ladite société s’engage d’exécuter le projet selon les disposition de cette loi, et les clauses prévues au contrat, dans une durée fixée et en contrepartie d’une rémunération ».Le droit saoudien, a précisé que le contrat de partenariat entre le secteur public et le secteur privé, porte sur la relation contractuelle, entre le secteur public et le secteur privé, cette relation est soumise à cette loi et au contrat de partenariat, et dont l’objectif est l’exécution partielle ou totale du projet pour garantir la réussite des projets PPP. Une telle réussite reste conditionnée par le cadre législatif dans lequel ce projet est mis en place et ses conditions de financement.Dans cette perspective, les pays du CCG ont mis en place des cadres législatifs pour contrôler la gestion et le financement desdits projets surtout après la chute des prix du pétrole et par la suite des ressources financières de ces gouvernements. Le cadre législatif régissant la pluralité des projets PPP dans ces pays sont régis par une cadre juridique largement inspirée du cadre français. / The public-private partnership contract is defined as an administrative contract by which the State or a public institution of the State entrusts to a third party, for a period determined according to the depreciation period of the investments or financing modalities retained, a global mission for the construction or transformation, maintenance, maintenance, operation or management of works, equipment or immaterial goods necessary for the public service, as well as all or part of their financing except for any shareholding. It may also have as its object all or part of the design of such works, equipment or immaterial goods as well as services that contribute to the exercise by the public corporation of the public service mission for which it is responsible. The concept of public-private partnership is suitable and moreover used for the development of sports equipment. Today, new equipment, in terms of investment and operation, tends to involve private financing. This trend is particularly noticeable for large structuring equipment projects such as large stadiums, for France or for the Arab Gulf countries. Therefore, the public-private partnership contract is a solution to restore the park of sports facilities and equipment. The allocation of the Euro 2016 to France, was the opportunity to accomplish projects of construction and / or renovation, through the form of partnership contract, the stadiums of Lille, Marseille, Nice and Bordeaux

Research on SME public policies has greatly evolved during the past years. This is the case particularly in developed countries, where many institutions have been put in place to support these firms owing notably to their social and economic importance. Yet, the scientific community acknowledges that we still have substantial knowledge gaps with regards to the question of how and when governments should intervene to assist SMEs, and which specific categories of SMEs should receive assistance in some shape or form. The objective of this thesis is to bring an element of response to the above-mentioned question concerning public financing measures in particular. More precisely, its objective is to show how the type of measures used by governments and the internal characteristics of beneficiary firms contribute to make government intervention more or less effective in the short term (over a one-year interval) notably in terms of job creation. The interest of this thesis thus lies in the fact that it highlights new parameters which can be used in the framework of strategies aiming at improving the results of government intervention in the SME sector. The measures we examine include research and development subsidies, capital interventions, and loans. The characteristics of firms we consider include the level of cash-flow, the level of equity, and the level of financial debt. To achieve our objective, we focus on the context of the Brussels-capital Region in Belgium and consider 2004-2010 as the period of study. The thesis is principally inspired by Storey’s propositions (one of the pioneers of research on entrepreneurship and public policies), who posits that setting effective SME policies requires an understanding of factors influencing the birth, the growth, and the death of the latter. It uses the comparative and longitudinal approaches in a quasi-experimental research design with the relative difference-in-differences estimation and panel-data regression including dummy variables as techniques of analysis. The thesis is presented in five chapters. The first is devoted to the general introduction, in which we delineate the framework of the study. The second reviews the literature on the foundations and evaluation methods of SME policies. It gives the state of the art of current research on the topic addressed and defines the background of the thesis. The third chapter describes the methodology used to answer the research question. The fourth chapter is devoted to the results, which are presented through two empirical studies. The first empirical study analyzes the influence of the type of measures. It reveals that subsidies are on average more effective than the two other forms of financing followed respectively by loans, and capital interventions. The second empirical study analyzes the simultaneous influence of the type of measures and the characteristics of beneficiary firms. It shows that public measures are in general more effective in categories of firms having a relatively-high level of cash-flow, a relatively-high level of equity, or a relatively-low level of debt than in the other categories of firms. This result means that a high level of cash-flow as a high level of equity and a low level of debt have a positive effect on the expected outcomes of government intervention in the SME sector. Finally, chapter 5 presents the general conclusion. In this chapter, we summarize the main points developed; present the limitations of the thesis and the perspectives for future research. / La recherche sur les politiques publiques visant à soutenir les PME s’est fortement développée au cours de ces dernières années. C’est le cas en particulier dans les pays développés, où de nombreuses institutions ont été mises en place pour soutenir ces entreprises en raison notamment de leur importance socio-économique. Pourtant, la communauté scientifique s’accorde sur le fait que nous ayons toujours des gaps de connaissance substantiels concernant la question du comment et quand les pouvoirs publics devraient intervenir pour assister les PME (ou les entrepreneurs), et quelles catégories spécifiques de PME devraient recevoir de l’aide sous une forme quelconque. Cette thèse essaye d’apporter un élément de réponse à la question susmentionnée en prenant le cas particulier des mesures publiques de financement. Son objectif est de montrer comment le type de mesure utilisé par les pouvoirs publics et les caractéristiques internes des entreprises bénéficiaires contribuent à rendre l’intervention publique plus ou moins efficaces dans le court terme (sur un intervalle d’un an) notamment en termes de création d’emplois. Ainsi, l’intérêt de cette thèse réside dans le fait qu’elle met en évidence de nouveaux paramètres ou facteurs qui peuvent être utilisés dans le cadre des stratégies visant à optimiser les résultats de l’intervention publique dans le secteur des PME. Les mesures que nous examinons incluent les subsides à la recherche développement, les interventions en capital, et les prêts. Les caractéristiques des entreprises que nous considérons comprennent le niveau de cash-flow, le niveau des capitaux propres, et le niveau de la dette financière à plus d’un an. Pour atteindre notre objectif, nous nous focalisons sur le contexte de la Région de Bruxelles-capitale en Belgique et considérons la période 2004-2010 comme période d’étude. La thèse s’inspire principalement des travaux de Storey (un des pionniers de la recherche sur l’entrepreneuriat et les politiques publiques), qui soutient que la mise en place de politiques efficaces dans le secteur des PME nécessite une compréhension et une prise en compte des facteurs concourant à la naissance, la croissance, et la faillite de ces entreprises. Elle utilise les approches comparative et longitudinale, dans un design de recherche quasi-expérimental avec l’estimation par différence-en-différences relative et la régression avec des données de panel incluant les variables dummy comme techniques d’analyse. La thèse est présentée en cinq chapitres. Le premier chapitre porte sur l’introduction générale, qui délimite le cadre général de la thèse. Le second passe en revue la littérature et ressort les fondements et méthodes d’évaluation des politiques visant à soutenir les PME. Il fait un état de l’art de la recherche actuelle sur le sujet abordé et définit le cadre théorique de la thèse. Le troisième chapitre présente la méthodologie utilisée pour répondre à la question de recherche. Le quatrième chapitre est consacré aux résultats, qui sont présentés à travers deux études empiriques. La première étude empirique analyse l’influence du type. Elle révèle que les subsides sont en moyenne plus efficaces que les deux autres formes de financement, suivis par les prêts, et le capital respectivement. La deuxième étude empirique analyse l’influence simultanée du type de mesure et des caractéristiques des entreprises bénéficiaires. Elle montre que les mesures publiques sont en général plus efficaces chez les catégories entreprises présentant un niveau de cash-flow relativement élevé, un montant de capitaux propres relativement élevé, et un niveau d’endettement relativement faible. Ces résultats indiquent ainsi qu’un niveau de cash-flow élevé de même qu’un niveau de capitaux propres élevé et un niveau d’endettement faible contribuent à rendre les mesures publiques plus efficaces. Pour finir, le chapitre 5 présente la conclusion générale. Dans ce chapitre, nous résumons les principaux point développés, et présentons les limites de la thèse ainsi que les perspectives pour la recherche future. / Doctorat en Sciences économiques et de gestion / info:eu-repo/semantics/nonPublished

Dentro do tema mais amplo do financiamento político, os objetivos desta tese são explicar o surgimento, a disseminação e os efeitos do financiamento público de partidos e campanhas eleitorais. Um dos principais achados desta tese é a constatação de que o modelo de financiamento político varia em função do sistema eleitoral. Em países com sistemas majoritários há uma tendência à adoção de financiamento exclusivamente privado; por outro lado, é possível dizer que o financiamento público é uma característica dos países com sistemas proporcionais, tamanha a sua predominância nesses países no início do século XXI. Além disso, o tipo de financiamento público também varia de acordo com o sistema eleitoral: em sistemas proporcionais é mais presente um tipo de financiamento público que utiliza critérios alocativos baseados no tempo passado, que tende a propiciar uma perpetuação do status quo ante partidário. Em sistemas majoritários, ao contrário, quando existe financiamento público, geralmente são utilizados critérios alocativos baseados no tempo presente, cujo efeito sobre a competição eleitoral é menos pronunciado. Esses achados sustentam a hipótese de que o financiamento público é adotado em sistemas proporcionais como instrumento de restrição do mercado eleitoral em benefício dos partidos mais estabelecidos. / Within the ample theme of political finance, this dissertation aims to explain the emergence, dissemination and the effects of public or state financing of political parties and campaigns. One of the main findings of this dissertation is that models of political financing vary according to electoral systems. In majoritarian system countries there is a tendency towards the adoption of a purely private model of political financing, whereas it can be said that public financing is a feature of proportional system countries given its prevalence in such countries in early 21st century. Furthermore, types of public financing also vary according to electoral systems: proportional countries tend to utilize allocation criteria on the basis of a previous moment, leading to a perpetuation of the party system status quo ante. When there is public financing in majoritarian countries, the allocation criteria are usually based on present time, which has a less pronounced effect on electoral competition. These findings support the hypothesis that public financing is adopted in proportional countries as an instrument to achieve a restrictive effect on the electoral market, benefiting more established parties.

Die vorliegende Studie befasst sich mit den betriebswirtschaftlichen Besonderheiten kleiner und mittlerer Unternehmen (KMU) im Osten Deutschlands, welche sich grundsätzlich auch in der Finanzierung zeigen. Die Forschungen belegen, dass auch die unzureichende Innovationsdynamik Ostdeutschlands keineswegs nur ein konjunkturelles oder gar mentales, sondern ein strukturelles Phänomen ist. Die Analyse unterstreicht einen besonderen Handlungsbedarf in den östlichen Bundesländern, da hier einerseits kleine Unternehmen in großer Zahl vorhanden sind, auch der Mittelstand insgesamt weitgehend etabliert ist, aber im Ost-West-Vergleich weiterhin etablierte Großunternehmen als Partner seltener anzutreffen und die einen positiven Ausstrahlungseffekt auf mittelständische Zulieferbetriebe bewirken. Auch sind in Deutschland-Ost die Finanzierungsverhältnisse besondere, d.h. der Anteil der Fremdfinanzierung ist differenziert ausgeprägt. Entsprechend sollte die „Hausbank“ wegen ihrem herausragenden Stellenwert für den Mittelstand auf den Prüfstand. Die hier nochmals gezeigten Finanzierungsschwächen gelten zwar für KMU grundsätzlich, aber besonders für die kleinere KMU im Osten, wo zwar die Eigenkapitalquote gewachsen ist, aber beispielsweise die Fristenstrukturen der Fremdfinanzierung teilweise mit der Kapitalbindung im Anlagevermögen nicht kongruent sind. Die private Finanzierung von KMU muss wegen der Defizite strukturellen Mängel noch gezielter durch staatliche Förderinstrumente unterstützt werden. / This study deals with the specific business characteristics of small and medium sized enterprises (SME) in eastern Germany, which also appear in the context of financing. Research proves that the insufficient innovation dynamic in eastern Germany is not only caused by cyclical or mental reasons, but rather it is a structural phenomenon. The analysis clarifies a need for action in the eastern federal states, because on the one hand there are a lot of small and even some medium sized companies located, but on the other hand the east-west comparison shows that there are just a very few major enterprises in the eastern part of Germany, which could have a positive effect on medium sized suppliers. In addition, the financial structure in eastern Germany is special, i.e. debt financing is further distinguished. In this context, the high significance of traditional house banks for SMEs has to be questioned. The demonstrated financial difficulties concern SMEs in general, but especially very small SMEs in eastern Germany. In fact, most of those small companies could increase their equity ratio, but e.g. maturity structure of debt financing is in parts not congruent to capital commitment of noncurrent assets. Public development institutions have to support private financing of SMEs even more specific, because of several structural shortcomings.

Made available in DSpace on 2014-12-17T15:46:23Z (GMT). No. of bitstreams: 1 MariaFMD_DISSERT.pdf: 2073723 bytes, checksum: 689d7589075fd822110e54c97420bb01 (MD5) Previous issue date: 2011-09-23 / Coordena??o de Aperfei?oamento de Pessoal de N?vel Superior / This dissertation analyzes the configuration of the financing of Social assistance in the municipality of Natal-RN in the context of their particular expressions of the problematizando municipal budget against neoliberal adjustment macroeconomic policy. The current trends of "disclaimer" and "desfinanciamento" of social protection by the State, in the context of contemporary capitalism, bring strong implications for Social Security, especially through the redirection of public resources to the international capital, which highlights the overlapping economic interests on social needs. Whereas the changes and innovations occurring in connection with the financing of Social assistance policy, the goal of this documentary research is to identify the characteristics and trends of funding this policy in Natal-RN, from the secondary data analysis from the City of Natal, the Ministry of Social development and hunger and Portal of transparency. In the light of the theoretical, research now presented, shows trends of investment in Social assistance in the municipality of Natal-RN, in the period 2005 to 2009, which are: the tiny role membership (08) Social assistance in the municipal budget; the dispersion and fragmentation of the resources of Social assistance in other organs and/or secretariats of municipal administration; the participation of just 47.5% in expenditure from own organ Manager; the low percentage of implementation of resources foreseen in the Annual Budget Laws; the low allocation of resources in Municipal Social Assistance Fund (FUMAS), which contradicts the national policy for Social Assistance-PNAS/2004; and the predominance of government transfers in the composition of the resources of Social assistance in the municipality. The results of this research suggest that the process of financing of Social assistance in Natal is distant from the principles and guidelines pointed by PNAS/2004. In addition to the effort to understand the complexity of the financing of Social assistance in Natal, this work seeks to contribute to a political analysis in the direction of strengthening social control and the struggle for the expansion of investment in social spending / A presente disserta??o analisa a configura??o do financiamento da Assist?ncia Social no munic?pio do Natal RN, no contexto do SUAS, problematizando as express?es particulares do or?amento municipal frente ? pol?tica macroecon?mica de ajuste neoliberal. As atuais tend?ncias de desresponsabiliza??o e desfinanciamento da prote??o social pelo Estado, no contexto do capitalismo contempor?neo, trazem fortes implica??es para a Seguridade Social, especialmente atrav?s do redirecionamento de recursos p?blicos para o capital internacional e nacional, o que evidencia a sobreposi??o dos interesses econ?micos ?s necessidades sociais. Considerando as mudan?as e inova??es ocorridas no ?mbito do financiamento da pol?tica de Assist?ncia Social, o objetivo desta pesquisa ? identificar as caracter?sticas e tend?ncias do financiamento desta pol?tica em Natal RN. Do ponto de vista metodol?gico o estudo privilegiou fontes documentais a partir da an?lise de dados das Leis Or?ament?rias Anuais, Comparativos de despesas, Resumos Financeiros e Resumos dos Balan?os Or?ament?rios, oriundos da Prefeitura Municipal do Natal, Minist?rio de Desenvolvimento Social e Combate ? Fome e Portal da Transpar?ncia. ? luz do referencial te?rico, a investiga??o ora apresentada, revela tend?ncias do investimento na Assist?ncia Social no munic?pio do Natal - RN, no per?odo de 2005 a 2011, quais sejam: a participa??o da Fun??o (08) Assist?ncia Social no or?amento municipal; a dispers?o e pulveriza??o dos recursos da Assist?ncia Social em outros ?rg?os e/ou secretarias da administra??o municipal; o percentual de execu??o dos recursos previstos nas Leis Or?ament?rias Anuais; a baixa aloca??o dos recursos no Fundo Municipal de Assist?ncia Social (FUMAS), o que contraria a Pol?tica Nacional de Assist?ncia Social - PNAS/2004; e a predomin?ncia das transfer?ncias governamentais na composi??o dos recursos da Assist?ncia Social no munic?pio. Os resultados desta investiga??o apontam, ainda, que o processo de financiamento da Assist?ncia Social em Natal est? distante dos princ?pios e diretrizes apontados pela PNAS/2004. Para al?m do esfor?o de compreender a complexidade do financiamento da Assist?ncia Social em Natal, este trabalho busca contribuir para uma an?lise pol?tica na dire??o do fortalecimento do controle social e da luta pela amplia??o do investimento nos gastos sociais

SALES, Maria Inez Simões. A inserção no mercado de trabalho via informalidade: uma avaliação do Programa de Geração de Trabalho e Renda em Fortaleza. 2006. 272f. – Dissertação (Mestrado) – Universidade Federal do Ceará, Programa de Pós-graduação em Avaliação de Políticas Públicas, Fortaleza (CE), 2006. / Submitted by Márcia Araújo (marcia_m_bezerra@yahoo.com.br) on 2013-09-26T11:30:40Z No. of bitstreams: 1 2006-DIS-MISSALES.pdf: 1080501 bytes, checksum: 2ed508b4b49efa7d881daf1e8023af4d (MD5) / Approved for entry into archive by Márcia Araújo(marcia_m_bezerra@yahoo.com.br) on 2013-09-26T11:34:20Z (GMT) No. of bitstreams: 1 2006-DIS-MISSALES.pdf: 1080501 bytes, checksum: 2ed508b4b49efa7d881daf1e8023af4d (MD5) / Made available in DSpace on 2013-09-26T11:34:20Z (GMT). No. of bitstreams: 1 2006-DIS-MISSALES.pdf: 1080501 bytes, checksum: 2ed508b4b49efa7d881daf1e8023af4d (MD5) Previous issue date: 2006 / This dissertation works consists in an avaluation of the work public policy, implanted in Brazil in the decade of 1990. Such policy had the objective of reduce the unemployment raise and precarious work effects, caused by the worldwide funds globalization and the productive restructuration processes. From an analisis of Castell contributions and national scientific production, it was possible to fix the analytic basis about the work centralization and its transformations, relating them with other productions about public policy avaluations. Such studies made the clees identification and questions formulations possible about the research problem, that consisted in enquirements about how far the work public policy was enough to supply the demands of the work market. Next to this bibliographic study, it was elaborated an exploratory and descriptive research whose datas was coleted from primary and secondary sources, having the PROGER Urbano as if a phenomenon of study, executed by Banco do Nordeste do Brasil S/A, in the city of Fortaleza, on the period between 1995-2002. It is suggested that the work public policy, developed by the PROGER Urbano, achieved, in part, the objectives for whom it was made, once the precarious conditions of the informal occupations remained, the financed business had low support rate and execution errors compromised the program results. As a contribution to the public policies avaluation theme, it concludes the study proposing an avaluation methodology to credit programs to informal sector. / Esta dissertação consigna uma avaliação do programa do Ministério do Trabalho e Emprego (MTE), que se insere no âmbito da política pública do trabalho direcionada para a geração de trabalho e renda nas áreas urbanas, em curso no país nos últimos quinze anos. Esse programa tem como principal objetivo reduzir os efeitos do aumento do desemprego e do trabalho precário, decorrente dos processos de mundialização do capital e da reestruturação produtiva. Tomando-se como eixo as teorizações de Robert Castell e de analistas do mundo do trabalho no cenário brasileiro, foi possível traçar as bases analíticas sobre a os impactos das transformações no âmbito do trabalho, enfocando mudanças e seus reflexos sobre a paisagem metropolitana no Brasil na década de 1990 e início dos anos 2000. Outro eixo de estudos incidiu nas produções acerca da avaliação de políticas públicas. Na articulação entre esses dois eixos, foram construídas as bases teóricas que possibilitaram a construção de um objeto de estudo, centrado na discussão das possibilidades de inserção no mercado de trabalho via políticas públicas para geração de emprego e renda, tomando-se como fenômeno de investigação o PROGER Urbano, operacionalizado pelo Banco do Nordeste do Brasil S/A, no município de Fortaleza, no período 1995-2002. Na análise desse objeto, foi desenvolvida uma pesquisa avaliativa de natureza quantitativa e qualitativa, trabalhando dados secundários, a partir de documentos do PROGER Urbano, e dados primários levantados mediante aplicação de questionários e realização de entrevistas. O estudo avaliativo do PROGER Urbano, consubstanciado nesta dissertação, mostrou a sua relevância no universo de um segmento de trabalhadores que encontrou na informalidade a alternativa de trabalho. A grande maioria dos participantes do referido programa reconhece a sua importância como apoio ao seu pequeno negócio. Assim, uma parte significativa dos negócios apoiados pelo PROGER Urbano conseguiu sustentabilidade ao longo do tempo. Entretanto, o estudo revelou também limites no alcance do programa, por falhas no monitoramento dos créditos e dos negócios. Outro elemento de restrição foi a falta de integração com outras políticas públicas, sobretudo na área de qualificação. Como resultado do estudo, configuram-se sugestões no âmbito do monitoramento e ampliação do foco do programa, assim como apresenta-se uma proposta de metodologia de avaliação para programas de crédito voltados para o setor informal.

Dentro do tema mais amplo do financiamento político, os objetivos desta tese são explicar o surgimento, a disseminação e os efeitos do financiamento público de partidos e campanhas eleitorais. Um dos principais achados desta tese é a constatação de que o modelo de financiamento político varia em função do sistema eleitoral. Em países com sistemas majoritários há uma tendência à adoção de financiamento exclusivamente privado; por outro lado, é possível dizer que o financiamento público é uma característica dos países com sistemas proporcionais, tamanha a sua predominância nesses países no início do século XXI. Além disso, o tipo de financiamento público também varia de acordo com o sistema eleitoral: em sistemas proporcionais é mais presente um tipo de financiamento público que utiliza critérios alocativos baseados no tempo passado, que tende a propiciar uma perpetuação do status quo ante partidário. Em sistemas majoritários, ao contrário, quando existe financiamento público, geralmente são utilizados critérios alocativos baseados no tempo presente, cujo efeito sobre a competição eleitoral é menos pronunciado. Esses achados sustentam a hipótese de que o financiamento público é adotado em sistemas proporcionais como instrumento de restrição do mercado eleitoral em benefício dos partidos mais estabelecidos. / Within the ample theme of political finance, this dissertation aims to explain the emergence, dissemination and the effects of public or state financing of political parties and campaigns. One of the main findings of this dissertation is that models of political financing vary according to electoral systems. In majoritarian system countries there is a tendency towards the adoption of a purely private model of political financing, whereas it can be said that public financing is a feature of proportional system countries given its prevalence in such countries in early 21st century. Furthermore, types of public financing also vary according to electoral systems: proportional countries tend to utilize allocation criteria on the basis of a previous moment, leading to a perpetuation of the party system status quo ante. When there is public financing in majoritarian countries, the allocation criteria are usually based on present time, which has a less pronounced effect on electoral competition. These findings support the hypothesis that public financing is adopted in proportional countries as an instrument to achieve a restrictive effect on the electoral market, benefiting more established parties.

This study aims to examine the budget management of the Federal University of Sergipe (UFS) in the period 1998 to 2008. Specifically, it seeks: a) analyze the composition of the resources of UFS highlighting the obstacles and alternatives to enlarge capture of revenue, b) present the costs to the institution, explaining the effect measures for its control, c) explain the accomplishments achieved through the actions budget executed, d) list the main results obtained and investments through direct appropriation, the parliamentary amendments, the highlights and the actions developed in extrabudgetary UFS. For development of research, we used the following resources: documents taken from the Financial Management System (SIAFI), Federal Government's Management Reports for t of this work and literature inherent to the subject. Among the results, we highlight the following: i) as to finance - the raising of funds through decentralization of credit from projects and partnerships is an important alternative to top up the credit institution's budget; ii) as to the allocation of expenditure - the establishment excels for cost containment with the applicability of measures for the rational use of resources, iii) as to the performance of the institution - there is an exponential increase in activities related to teaching, research and extension expressed by the increased number of courses and vacancies for undergraduate and graduate, as highlighted by the indexed publications. Partnerships have provided funding to exogenous UFS appropriate infrastructure for development of scientific and technological research in the state of Sergipe, besides promoting the articulation of the institution different external sectors, iv) on the Budget Process - the institution has conducted much of budget. The difficulties faced by UFS are inherent in every university in the national scene, like the excessive bureaucracy, the primacy of the accounting procedures and financial control bodies, to the detriment of the physical implementation of IFES. Suggestions are proposed to improve the management of the allocation of human, material and financial resources. / Este trabalho se propõe a analisar a gestão orçamentária da Universidade Federal de Sergipe (UFS), no período de 1998 a 2008. Especificamente busca: a) analisar a composição dos recursos da UFS destacando os entraves e alternativas ampliar a captação da receita; b) apresentar as despesas inerentes à instituição, explic as medidas efetivadas para seu controle; c) explanar as realizações alcançadas através das ações orçamentárias executadas; d) elencar os principais resultados e investimentos obtidos por meio da dotação direta, das emendas parlamentares, dos destaques e das ações extra-orçamentárias desenvolvidas na UFS. Para desenvolvimento da pesquisa foram utilizados os seguintes recursos: documentos extraídos do Sistema de Administração Financeira (SIAFI), do Governo Federal, Relatórios de Gestão do período compreendido neste trabalho e bib iografia inerente ao tema. Dentre os resultados obtidos, destacam-se os seguintes: i) - a captação de recursos por meio de descentralização de crédito, oriundos de projetos e parcerias é uma importante alternativa para majorar os créditos orçamentários da instituição; ii) - a instituição prima pela contenção dos custos com aplicabilidade de medidas que visam a utilização racional dos recursos; i) - observa-se um crescimento exponencial nas atividades relacionadas ao ensino, pesquisa e extensão expressos pelo aumento do número de cursos e vagas na graduação e na pós graduação, assim como pelo destaque nas publicações indexadas. Parcerias com financiamento exógeno têm proporcionado à UFS infra-estrutura apropriada para desenvolvimento de pesquisas científicas e tecnológicas no Estado de Sergipe, além de promover a articulação da instituição com distintos setores externo; iv) - a instituição tem realizado grande parte do orçamento. As dificuldades enfrentadas pela UFS são as inerentes às todas IFES no cenário nacional, a exemplo da excessiva burocracia; da primazia aos procedimentos contábeis e financeiros, pelos órgãos de controle, em detrimento das realizações físicas das IFES. Sugestões são propostas para aprimorar a gestão da alocação dos recursos humanos, materiais e financeiros.

Cette recherche porte sur le financement public de l’enseignement supérieur au Pérou et ses impacts dans une perspective longitudinale couvant la période 1993-2003. Cette période est importante parce qu’elle a été témoin, dans ce pays, de changements majeurs aux plans du financement public et de la configuration du système d’enseignement supérieur. La recherche consiste principalement dans des analyses secondaires de données pertinentes publiées par des organismes nationaux et internationaux. Les analyses sont structurées à partir d’un schéma d’inputs et outputs. On considère comme inputs les ressources financières et les ressources humaines, lesquelles comprennent les professeurs et les étudiants, et comme outputs les taux de diplomation (efficacité interne) et la demande de diplômés par le marché du travail (efficacité externe). La théorie de la dépendance de ressources sert de cadre pour interpréter les rapports entre le financement public et ses incidences sur les réponses institutionnels et ses conséquences. Dans la période retenue, le financement du secteur public a décru de 32% en raison d’un désengagement progressif de l’État. Une conséquence majeure de la diminution du financement public a été la croissance rapide du secteur privé de l’enseignement supérieur. En effet, alors qu’en 1993 il y avait 24 institutions privées d’enseignement supérieur, il y en avait, en 2003, 46 institutions. La baisse du financement public et la croissance du secteur privé d’enseignement supérieur ont eu des incidences sur la sélectivité des étudiants, sur le statut des professeurs, sur l’implication des universités en recherche et sur les taux de diplomation. Le taux de sélectivité dans le secteur public a augmenté entre 1993 et 2003, alors que ce taux a diminué, dans la même période, dans le secteur privé. Ainsi, le secteur public répond à la diminution du financement en restreignant l’accès à l’enseignement supérieur. Le secteur privé, par contre, diminue sa sélectivité compensant ainsi l’augmentation de la sélectivité dans le secteur public et, par le fait même, augmente sa part de marché. Également, tant dans le secteur public que dans le secteur privé, les professeurs sont engagés principalement sur une base temporaire, ce qui se traduit, particulièrement dans le secteur privé, dans un moindre engagement institutionnel. Enfin, les universités publiques et privées du Pérou font peu de recherche, car elles favorisent, pour balancer leurs budgets, la consultation et les contrats au détriment de la recherche fondamentale. Paradoxalement, alors que, dans le secteur privé, les taux de sélectivité des étudiants diminuent, leurs taux de diplomation augmentent plus que dans le secteur public. Enfin, les formations avec plus d’étudiants inscrits, tant dans le secteur public que privé, sont les moins coûteuses en infrastructure et équipements. Dès lors, la pertinence de la production universitaire devient problématique. Cette recherche révèle que les organisations universitaires, face à un environnement où les ressources financières deviennent de plus en plus rares, développent des stratégies de survie qui peuvent avoir des incidences sur la qualité et la pertinence de l’enseignement supérieur. / This research deals with public financing of higher education in Peru and its impacts in a longitudinal perspective. It covers a ten-year period from 1993 to 2003. This period is important since this country witnessed major changes in public financing of higher education and in the configuration of its higher education system. The research is based mainly in secondary analyses of relevant data published by national as well as international agencies. Analyses are conducted within an input-output scheme. Financial and human resources (professors and students) are considered inputs, and graduation rates (internal effectiveness) and market labour demands as outputs (external effectiveness). Dependency theory is used as framework for the interpretation of the relationships between public financing and institutional responses and its consequences. In the period considered, public financing diminished by 32% resulting from a progressive disengagement of the State. A major consequence of this disengagement was the rapid growth of the private sector of higher education. While in 1993 there were 24 private institutions of higher education, ten years later there were 46 institutions. The decline in public financing and the growth of the private sector of higher education had measurable consequences on selectivity rates, professorial status, research involvement, and graduation rates. Selectivity rates in the period considered increased in public institutions but decreased in the private ones. Thus the public sector reacted to the decline in financing by becoming more selective; the private sector responded to the increase in selectivity in the public sector by decreasing its rates which translates into a higher student market share. Also, in both sectors, professors are hired on a part-time basis which impacts on participation to academic life and on research production. Moreover, universities, both public and private, favoured applied contractual research as a means of gaining alternative funding to compensate for scarce financial resources. Paradoxically, whereas in the private sector selectivity rates diminished in the decade considered, graduation rates increased and so more than in the public sector. Finally, training programs with higher enrolments in both public and private sectors are those which require less investment in infrastructure and equipments without consideration of societal relevancy. This research reveals that higher education organisations which face an environment with diminishing financial resources devise survival strategies which might have a negative impact on the quality and relevance of higher education.