Desde la década de 1980, la migración laboral ha venido feminizándose cada vez en mayor medida en el este y sudeste asiáticos. Para principios del siglo XXI, se estimaba que había más de dos millones de mujeres trabajando en la región, lo que constituye un tercio de la población migrante. Casi todas las mujeres migrantes se desempeñan en labores reproductivas, como el trabajo doméstico y los servicios sexuales, en hogares de particulares y sectores comerciales informales. No obstante la gran necesidad de proteger su bienestar y sus derechos humanos, los gobiernos de los países de destino ven a los migrantes simplemente como una fuerza laboral que se requiere para cubrir la escasez de mano de obra local, e ignora las medidas de protección y las políticas en función del género. Por su parte, bajo la presión para incrementar los ingresos de divisas extranjeras, los países que constituyen la fuente de esta fuerza laboral alientan a sus mujeres a migrar y a remitir sus ganancias, pero ante la competencia mundial, los gobiernos de estos países han mostrado poco interés en el bienestar de las mujeres migrantes. En el contexto de los antecedentes poco alentadores en materia de derechos humanos de los países del este y sudeste asiáticos, los actores no estatales han adquirido una importancia creciente en la defensa de los derechos de los migrantes, lo que han logrado a través de redes locales y transnacionales. Las raíces de la migración–feminizada y que por lo tanto tiene en cuenta consideraciones de género–en el este y sudeste asiáticos se encuentran en el rápido pero desigual desarrollo económico de la región, caracterizado por la desigualdad y el conflicto que producen las diferencias de género, clase social y nacionalidad. La transferencia de mujeres extranjeras de la región desde economías de bajos ingresos (Filipinas, Tailandia, Indonesia y Viet Nam, entre otros) hacia países de altos ingresos (Singapur, Malasia, la Región Administrativa Especial de Hong Kong, Taiwán Provincia de China, la República de Corea y Japón) intensifica la actual desigualdad de género, injusticia económica y discriminación étnica. Sin embargo, la migración internacional es un proceso contradictorio que, si bien brinda a las mujeres migrantes oportunidades para la movilidad social, también las somete a abusos y explotación. La mayoría de las mujeres migrantes son trabajadoras independientes empleadas por contrato que buscan trabajo en el exterior a fin de aumentar los ingresos familiares y sus ahorros personales. El empoderamiento resulta de su resistencia diaria a las estructuras de poder existentes, así como de la oportunidad de acumular recursos personales y colectivos. El análisis de las políticas de inmigración de Asia y de los patrones de migración de las mujeres revela que existen seis categorías de mujeres migrantes con sus respectivas características: • trabajadoras domésticas • animadoras (trabajadoras sexuales) • trabajadoras no autorizadas • esposas inmigrantes • trabajadoras capacitadas • trabajadoras que comparten un patrimonio étnico con la población que las recibe (como los brasileños de origen japonés en el Japón y los chinos de ascendencia coreana en la República de Corea). Estas seis categorías de mujeres migrantes se diferencian entre sí en razón de las condiciones de traslado al otro país, de empleo y de protección legal, por lo que difieren en cuanto a las formas en que enfrentan las prácticas desiguales y discriminatorias que encuentran en sus lugares de destino. En consecuencia, los ciudadanos conscientes y las organizaciones no gubernamentales recurren a diferentes acciones civiles y contramedidas para mejorar los derechos de las mujeres migrantes. Los gobiernos de los estados importadores de mano de obra del este y sudeste asiáticos tienen niveles distintos de tolerancia política frente a las actividades de la sociedad civil, por lo que existen diferencias importantes en cuanto a las capacidades y los recursos con que cuentan sus sociedades civiles para la acción colectiva. La bibliografía sobre este tema identifica tres niveles de efectividad de las acciones civiles y de la resistencia de la mujer en Asia. El primer nivel agrupa a Singapur y Malasia, donde la aplicación de estrictas políticas de inmigración, rígidos sistemas de contratación laboral y bajos grados de tolerancia del activismo cívico por parte del Estado limitan seriamente las acciones a favor de las trabajadoras migrantes. El segundo nivel reúne al Japón y la República de Corea, donde los estrictos controles fronterizos y las grandes cantidades de trabajadores, combinados con un relativamente alto grado de tolerancia de la acción colectiva, permiten a muchos grupos y organizaciones desafiar la autoridad del Estado y brindar asistencia legal y cultural a los trabajadores migrantes. En el tercer nivel se encuentra la Región Administrativa Especial de Hong Kong, donde, a pesar de una estricta política de inmigración y un rígido sistema de contratación laboral, el legado colonial británico permite a los trabajadores migrantes defender abiertamente sus derechos económicos y emprender acciones colectivas. La frecuencia de las manifestaciones de trabajadoras migrantes, en particular de las trabajadoras domésticas filipinas en Hong Kong, destaca la importancia de establecer redes transnacionales que permitan estrechar los vínculos entre los trabajadores migrantes en los países fuentes de la mano de obra y las naciones receptoras. La creciente presencia de un movimiento transnacional de protección en toda la región de Asia facilita los esfuerzos de las organizaciones civiles por mejorar los derechos y el bienestar de las trabajadoras migrantes. En conclusión, la feminización de la migración ha incrementado la desigualdad y la injusticia basadas en el género, la clase social y la nacionalidad en Asia. Pero al mismo tiempo, ha abierto nuevas oportunidades para que las mujeres migrantes puedan aumentar los ingresos familiares y la creciente sociedad civil de Asia pueda desafiar las políticas y prácticas opresivas que afectan a las trabajadoras migrantes. A pesar de que persisten muchos obstáculos legales e institucionales a la justicia social en los países que importan mano de obra, las acciones civiles de ciudadanos y trabajadores migrantes constituyen un paso importante hacia el reconocimiento de los derechos de las trabajadoras migrantes. ; Since the 1980s, labour migration has been increasingly feminized in East and Southeast (hereafter E/SE) Asia. By the beginning of the twenty-first century, more than two million women were estimated to be working in the region, accounting for one third of its migrant population. Most female migrants are in reproductive occupations such as domestic work and sex services, in private households and informal commercial sectors. Despite the great need to protect their welfare and human rights, governments of their destination countries view migrants as merely a workforce to meet labour shortages, and ignore protective measures and gender-sensitive policies. Under pressure to increase foreign revenues, labour-source countries encourage their women to migrate and remit their earnings from abroad, but in the face of global competition, governments of source countries have shown little interest in their migrant women's welfare. In the context of the E/SE Asian countries' bleak records of human rights practices, non-state actors have assumed increasing importance in advocating migrants' rights, which they have done through local and transnational networks. Feminized, and therefore gendered, migration in E/SE Asia has its roots in the region's rapid but uneven economic development, which is characterized by the inequality and conflict that differences of gender, class and nationality produce. The transfer of foreign women within the region from the low-income economies (the Philippines, Indonesia, Viet Nam, Pakistan, Bangladesh among others) to the high-income ones (Singapore, Malaysia, Hong Kong Special Administrative Region (SAR), Taiwan Province of China, the Republic of Korea and Japan) intensifies existing gender inequality, economic injustice and ethnic discrimination. International migration is, however, a contradictory process that, while providing migrant women with opportunities for social mobility, also subjects them to abuses and exploitation. The majority of Asia's migrant women are independent contract workers seeking employment abroad in order to augment family incomes and personal savings. Empowerment results from their everyday resistance to existing power structures, and from the opportunity to accumulate individual and collective resources. An analysis of Asia's immigration policies and women's migration patterns reveals six widely recognized and designated categories and characteristics of the women involved: • domestic workers • entertainers (sex workers)• unauthorized workers • immigrant wives • skilled workers • workers who share an ethnic heritage with that of the host population (such as Japanese-Brazilians in Japan and Korean-Chinese in the Republic of Korea). These six categories of migrant women differ from one another in the conditions of their border crossing, employment and legal protection, and they therefore differ in the ways in which they resist the unequal and discriminatory practices they encounter at their destinations. Consequently, concerned citizens and non-governmental organizations choose different civil actions and counteractive measures to enhance migrant women's rights. The governments of labour-importing states in E/SE Asia vary in their political tolerance of civil-society activities. There are thus significant differences in the capacities and resources that their civil societies have for collective action. The existing literature indicates three levels of effectiveness of civil actions and women's resistance in Asia. The first is found in Singapore and Malaysia, where strict immigration policies, rigid labour contract systems and low degrees of state tolerance for civil activism severely curtail pro-migrant actions. The second level characterizes Japan and the Republic of Korea, where tight border controls and large numbers of undocumented workers, combined with relatively high degrees of tolerance for collective action, allow many groups and organizations to challenge state authority and provide legal and cultural assistance to migrants. The third level is manifest in Hong Kong SAR, where despite a strict immigration policy and rigid labour contract system, the British colonial legacy permits migrants to openly pursue economic rights and collective action. The frequency of demonstrations by migrants, especially Filipino domestic workers in Hong Kong SAR, highlights the importance of transnational networking that links migrants in sending and receiving countries. The growing presence of a transnational advocacy movement throughout Asia facilitates the efforts of civil organizations to enhance migrants' rights and welfare. In conclusion, feminized migration has increased inequality and injustice based on gender, class and nationality in Asia. It has also, however, opened up opportunities for migrant women to increase family incomes and for Asia's growing civil society to challenge oppressive policies and practices affecting migrants. Although many legal and institutional barriers to social justice remain in labour-importing countries, civil actions by citizens and migrants comprise significant steps toward the realization of migrant workers' rights. ; Depuis les années 80, les travailleurs migrants en Asie de l'est et du sud-est sont de plus en plus des femmes. Au début du XXIème siècle, on estimait que plus de deux millions de femmes, soit un tiers de la population migrante, travaillaient dans la région. La plupart des immigrées ont des emplois liés à l'économie de reproduction: elles sont employées de maison ou engagées dans l'industrie du sexe, travaillent dans des ménages privés ou le secteur commercial informel. Bien que leur bien-être et leurs droits aient un grand besoin d'être protégés, les gouvernements des pays d'accueil ne voient dans les immigrées qu'une force de travail capable de remédier à la pénurie de main-d'oeuvre et ne se soucient guère de prendre des mesures de protection ou d'appliquer des politiques nuancées selon le sexe. Pressés d'accroître leurs recettes en devises, les pays d'émigration encouragent leurs ressortissantes à émigrer et à rapatrier leurs gains de l'étranger et, face à la concurrence mondiale, leurs gouvernements s'intéressent peu au bien-être de celles qui ont émigré. Vu les pratiques des pays de l'Asie de l'est et du sud-est en matière de droits de l'homme et leur triste bilan dans ce domaine, des acteurs non étatiques ont pris de plus en plus de place dans la défense des droits des migrants, qu'ils assument par le biais de réseaux locaux et transnationaux. La féminisation des migrations en Asie de l'est et du sud-est, avec toutes les spécificités que cela suppose, vient du développement économique rapide mais inégal de la région, qui se caractérise par des disparités et des différences entre sexes, entre classes et entre nationalités qui engendrent des conflits. Les femmes se déplacent à l'intérieur de la région, quittant les pays à faible revenu (Philippines, Thaïlande, Indonésie et Viet Nam notamment) pour les pays à revenu élevé (Singapour, Malaisie, Région administrative spéciale (RAS) de Hong Kong, Province chinoise de Taiwan, République de Corée et Japon) et ce déplacement accentue les inégalités entre les sexes, l'injustice économique et la discrimination ethnique déjà existantes. Les migrations internationales sont cependant des phénomènes contradictoires qui, tout en offrant aux migrantes des chances de mobilité sociale, les exposent en même temps à des abus et à l'exploitation. La majorité des migrantes d'Asie sont des travailleuses contractuelles indépendantes qui cherchent un emploi à l'étranger pour grossir les revenus de leur famille et leur épargne personnelle. Elles acquièrent leur autonomie en résistant jour après jour aux structures de pouvoir en place, et en accumulant tout ce qu'elles peuvent gagner à titre individuel et collectif. Une analyse des politiques migratoires d'Asie et des caractéristiques des migrations féminines fait apparaître six catégories largement reconnues, qui définissent les femmes par des caractéristiques données: • employées de maison • entraîneuses (travailleuses du sexe) • travailleuses clandestines • épouses d'immigrés • travailleuses qualifiées • travailleuses qui ont un patrimoine ethnique commun avec la population du pays d'accueil (tels que les Nippo-Brésiliennes au Japon et les Sino-Coréennes en République de Corée). Ces six catégories de femmes immigrées se distinguent les unes des autres par les conditions dans lesquelles elles ont franchi la frontière, leur emploi et la protection que leur offre la loi et donc aussi par leur mode de résistance aux pratiques inégalitaires et discriminatoires auxquelles elles sont confrontées dans le pays d'accueil. Les modes d'action et de lutte que choisissent les citoyens concernés et les organisations non gouvernementales pour faire valoir les droits des migrantes varient en conséquence. Les gouvernements des Etats de l'Asie de l'est et du sudest qui importent de la main-d'oeuvre tolèrent à des degrés divers les activités de la société civile, de sorte que les capacités et moyens d'action collective dont celle-ci dispose varient sensiblement selon les pays. Il ressort de la littérature existante que l'on peut distinguer trois niveaux d'efficacité parmi les actions tentées par la société civile et la résistance des femmes en Asie. C'est à Singapour et en Malaisie qu'elles sont les moins efficaces: de strictes politiques d'immigration, des systèmes rigides d'attribution de contrats de travail et un Etat peu tolérant envers le militantisme civil réduisent sévèrement les actions de défense des droits des migrantes. Le second niveau correspond au Japon et à la République de Corée, où de sévères contrôles aux frontières et une multitude de travailleuses sans papiers, mais aussi une tolérance assez grande à l'égard de l'action collective, permettent à de nombreux groupes et organisations de contester l'autorité de l'Etat et d'apporter une assistance juridique et culturelle aux migrantes. Le troisième niveau est atteint dans la RAS de Hong Kong où, malgré une politique d'immigration stricte et un système rigide d'attribution des contrats de travail, l'héritage colonial britannique permet aux migrantes de faire valoir ouvertement leurs droits économiques et de mener une action collective. La fréquence des manifestations d'immigrées, en particulier d'employées de maison philippines dans la RAS de Hong Kong, montre l'importance des réseaux transnationaux qui relient les migrantes des pays d'origine et des pays d'accueil. La présence de plus en plus forte d'un mouvement de défense transnational dans toute l'Asie rend plus facile la tâche des organisations civiles qui s'emploient à défendre les droits et le bien-être des migrantes. En conclusion, la féminisation des migrations a aggravé les inégalités et l'injustice fondées sur le sexe, la clase et la nationalité en Asie. Elle a cependant donné aux femmes migrantes la possibilité de grossir les revenus familiaux et a permis à une société civile en expansion en Asie de contester les politiques et pratiques qui ont pour effet d'opprimer les migrants. Bien qu'il reste de nombreux obstacles juridiques et institutionnels à la justice sociale dans les pays importateurs de main-d'oeuvre, certaines des actions menées par les nationaux et les migrants marquent un progrès sensible vers la réalisation des droits des travailleurs migrants.
학위논문 (박사) -- 서울대학교 대학원 : 사회과학대학 사회복지학과, 2020. 8. 홍백의. ; This study characterizes 15 countries' pension reform trajectories and statistically examines how these pension reform trajectories affect pension effort during the CRP (Compound Reform Period 1990-2015). This study defines pension reform are either contractionary and expansionary reforms; pension effort refers to both pension expenditure and pension generosity. Conventionally, studies have often examined how socio-influential factors (e.g. socio-economic, institutional, and political factors) affect pension effort. However, these discourses have heavily emphasized contractionary pension reforms and pension expenditure, but have overlooked expansionary pension reforms and pension generosity. This study argues that the traditional retrenchment-focused approach to pension policy research is rooted largely in inherited theories of the 'Welfare State Crisis' and macro-socio-economics, that are not reflective of the recent post-industrial policy shifts occurring in the world. In particular to pension policy, in response to the 20th century old and new social risks, traditional Bismarckian and Beveridgean countries have implemented a mix of contractionary and expansionary reforms. These reforms were designed to deal with pension financial sustainability and adequacy against old-age poverty. Consequently, two primary limitations of previous studies have become apparent. The austerity-oriented and macro view of pension effort using socio-influential factors overlooks an important building block within the dynamic pension reform process. In addition, existing quantitative and qualitative studies have centered around institutions that examine pension policies from a static perspective - overlooking pension policy dynamic changes. During the CRP, pension systems have experienced two interconnected components - retrenchment and expansionary reforms - that ultimately define pension effort. Accordingly, it is necessary to comprehensively investigate how these components of dynamic pension reform affect pension effort in the context of both pension expenditure and pension generosity. This study organized expansionary and retrenchment pension reforms using ten pension reform variables based on the work Häusermann (2010): insurance (e.g. parametric pension reforms), capitalization (e.g. DB to DC shifts), targeting (e.g. means-tested), and recalibration (e.g. pension credits). In order to evaluate how these pension reforms affected pension effort, this study utilized two analytical methods: unsupervised clustering characterizes pension reform trajectories, and an LMM (Mixed Effect Model) statistically evaluates their effectiveness with respect to pension expenditure and pension generosity. Pension reforms were categorized into four pension reform clusters: labor-activated pension (LAP) reforms, extended privatization pension (EPP) reforms, latecomer structural pension (LSP) reforms, and extensive retrenchment pension (ERP) reforms. The labor-activated pension reform (LAP) cluster is generally composed of advanced welfare states that experienced the highest unemployment rates and most pressing demographic changes prior to the CRP. However, their transition into the CRP has been met with significant GDP growth and high employment rates. At the same time, this cluster is facing the highest level of new social risks in regions like women's labor participation, employment in services, and economic openness. In response to both old and new social risks, most of the countries in this cluster made significant reforms meant to mitigate their effects. Various parametric pension reforms (e.g. increasing the retirement age, penalizing early retirement, etc.) encourage individuals near retirement to continue working or re-enter the workforce, thus increasing labor supply. In addition, targeting and recalibration reforms incentivize participation in the labor market by lowering pension eligibility requirements. The extended privatization pension reform (EPP) cluster is very similar in its Marco-socio-economic structure to the labor-activated pension reform (LAP) cluster, in that it is defined by developed nations that experienced drastic macro-socio-economic changes before the CRP. However, in the CRP this cluster has the highest levels of aged 65 years and older individuals, coupled with a moderately high economic growth. Growth compared to the labor activated pension reform cluster may be lower due to this aging. When a higher proportion of a total population is elderly, a larger proportion of economic expenses must be spent on retirement care. However, another additional feature of this cluster's socio-economics is lower birth rates. Some new social risks of interest that have had a particular effect on this cluster are increasing service sector employment rates and higher economic openness. However, pension reform strategies are vastly different from the labor-activated pension reform (LAP) reform strategies. This reform cluster shifts enrollment in occupational or individual pension programs from voluntary to mandatory and these programs then work in conjunction with existing public pension systems. However, in order to compensate disadvantaged groups and unpaid workers, various expansionary pension reforms were also implemented in tandem; for example, means-tested pension benefits, tax reductions or earnings-related subsidies to employers, employees or individuals. The latecomer structural pension reform cluster (LSP) is uniquely composed of countries that had transitioned from centrally planned economies to widespread market-based economies at the inception of their original pension programs. Their transition to market based-economies was not smooth and this was reflected in their relatively slow economic growth. Structural changes are not the only facet that describes the struggles these countries have had during the CRP; demographic issues have also played an outsized role in their economies. Not only had their relative population aged, but at the same time, there was a dramatic drop in their fertility rates. New social risks have been reflected in their rising proportion of service sector employment and the swift opening of their economies. This cluster turned to structural-based reforms as a countermeasure to the ballooning pension expenditures that ensued, because of these different macro-socio-economic hardships. In order to compensate disadvantaged groups and unpaid workers, various expansionary pension reforms were also implemented in tandem with contractionary reforms (ex. targeting reform), but recalibration reforms were not implemented. The extensive retrenchment pension reform cluster (ERP), is composed of countries that demographically aged the most, and experienced the greatest long-term economic hardships because of economic crises during the CRP. Another critical issue was the decline of birth rates in these countries. New social risks have also added stress to their economic hardships with increases in atypical workers, women's labor participation rates, and serious issues with low employment rates. Under these increasing new social risks and problematic pension structures, the extensive retrenchment pension (ERP) reform cluster retrenched inherited asymmetric pension systems through radical parametric reforms, then means-tested programs were additionally added to compensate low-income groups and impoverished elderly. Each pension reform clusters' socio-economic backgrounds provide insight into the underlying indicators that are correlated with their adoption of different pension reform policies. Using these pension reform clusters as independent variables, this study demonstrates that different pension reforms have diversified the existing architecture of pension effort. According to the Linear Mixed Effect Model (LMM) results, the labor-activated pension reform (LAP) cluster statistically reduced pension expenditure relative to the reference pension reform cluster (extensive retrenchment pension reform cluster). The extended privatization pension (EPP) reform cluster significantly reduced pension generosity relative to the reference pension reform cluster (extensive retrenchment pension reform cluster). While the labor-activated pension (LAP) reform cluster maintained the highest standard pension retirement age and most restrictions on early retirement, the extended privatization pension (EPP) reform cluster created a more direct link between pension benefits and an individual's pension contributions, by shifting to mandatory enrollment in occupational or individual pension programs. This study asserts that pension reforms are the key to understanding pension effort (pension expenditure and pension generosity), and that contractionary and expansionary pension reform policies should be studied together. In addition, existing comparative studies have often excluded East-Asian countries, in particular, China, Japan, and Korea. They should be included in comparative policy analysis that will allow researchers to determine if they are empirically different, and thus compensate or address those differences more effectively in future research. In comparative social policy research, from the new institutionalism perspective, policy classifications should consider the process of policy change, from a dynamic perspective rather than static characteristics. This study suggests that policymakers may need to be concerned about each pension reform's pros and cons in the context of pension expenditure and generosity when adopting a pension reform. In future pension reforms, policymakers need to explicitly design their policies around increasing new profiles who, if not considered more carefully, are at higher risk of poverty in this post-industrialized global economy. The most sensible means of doing this is if policymakers avoid reducing benefits for these groups when legislating future pension reforms. Take Korean pension reforms as an example. Korea adopted an extensive parametric pension (ERP) reforms that may prove to be an effective way of curbing costs, while means-tested incentives provide more generous benefits to the growing population of at-risk individuals. However, extensive retrenchment pension (ERP) reforms have a high risk of providing inadequate pension benefits to at-risk groups without seriously resolving issues with program expenditure. Since extensive retrenchment pension (ERP) reforms do not sufficiently meet the needs of the Korean pension system, the next step is to look at alternative clusters to resolve these issues. Extended privatization pension reforms (EPP) generally supplement pension benefits by adopting a market-based pension component. However, adopting a reform from this cluster will also likely result in stagnated pension coverage, deteriorated pension benefits, and increased gender and income inequality. Adoption of a latecomer structural pension reform (LSP) (e.g. NDC) is also not realistic, because there are a large number of atypical workers in Korea (e.g. self-employed, part-time workers) who are unable to shoulder considerable financial burdens (double payment issues). This study suggests that adopting a labor-activated pension reform (LAP) may be the most effective pension strategy to strengthen Korean public pension system security. This strategy takes into account new career profiles that were previously overlooked by the system; the goal of including these workers to the system would be to reduce the occurrence of old-age poverty. ; 本论文定量比较分析了15个国家在1990-2015 (compound reform period, CRP:1990-2015)综合改革期间的养老金改革轨迹,及其对养老金努力(pension effort)的影响。本文定义了养老金改革包括消减性改革(contractionary pension reform)和扩张性改革(expansionary pension reform),养老金努力(pension effort)包括养老金支出(pension expenditure)和养老金慷慨度(pension generosity)。受"福利国家危机论"的影响,现存的大部分相关学术主要分析了宏观社会・经济因素(包括经济,政治和制度因素)对养老金政策的影响。这些研究集中在研究养老金支出而忽视了对养老金慷慨度的分析. 宏观社会经济背景及制度的遗产(institutional legacy)或历史轨迹等对养老金努力(pension effort)影响效应息息相关,但是本研究认为基于宏观理论并限定于养老金支出的传统文献没有充分的的分析到后工业社会下(post-industrialization)的养老金改革轨迹和特征。尤其是从20世纪末,为了应对新旧社会风险(old and new social risks)的压力,综合型养老金改革(compound pension reform),即消减性改革(contractionary pension reform)和扩张性改革(expansionary pension reform)被纷纷采纳去同时解决养老金财政可持续性和抵御老年贫困的两个问题。本文认为传统文献在研究养老金政策的影响因素中存在两个主要局限性问题:第一,忽视了核心变量-养老金改革对老金支出(pension expenditure)和养老金慷慨度(pension generosity)的影响。第二,现有的定量和定性社会政策比较或聚类研究只从围绕静态角度(static perspective)的政策特征却忽视了政策的动态变化(policy dynamic change)。 本文以Häusermann (2010)的养老金改革理论为基础,分析了包括消减性改革(contractionary pension reform)和扩张性改革(expansionary pension reform)养老金改革的十个变量:保险参数(parametric reform参数改革),市场化(例如: 从DB 改革成 DC),目标化(targeting) (例如: 经济能力审查:means-tested), 再调整(recalibration) (例如:养老金补贴: pension credits)。为了从统计学上评估分析这些养老金改革对养老金努力(pension effort)对影响效应,本文采用了两种分析方法:K均值无监督聚类分析(clustering analysis)和线性混合效应模型(linear mixed effect model, LMM)。根据聚类分析(clustering analysis)结果,15国家在1990-2015期间的养老金改革可分为四个改革类型:劳动激励改革型(labor-activated pension reform, LAP), 扩展私有化改革型(extended privatization pension reform, EPP), 后发结构改革型(latecomer structural pension reform, LSP),和激进消减改革型(extensive retrenchment pension reform, ERP). 基于定量统计数据比较分析,线性混合效应模型(linear mixed effect model, LMM)分析结果发现不同的改革轨迹对养老金支出和养老金慷慨度影响不同。 劳动激励改革型(labor-activated pension reform, LAP)是由发达福利国家组成,这些国家在CRP(1990-2015)之前遭遇过经济衰退和前所未有的失业率增加和人口转变问题,但是在CRP(1990-2015)的过度期间实现了GDP和就业率的总体水平回升。相比于其他的改革类型,这些国家面临着最高水平的社会新风险(new social risks): 女性劳动就业和服务性就业者不断增加。为了应对新旧社会风险(old and new social risks)和减轻养老金财政压力,这些国家采取了大力度的养老金参数改革。主要包括参数改革(例如: 延后退休, 处罚提前退休等),鼓励接近退休等人继续工作或重新加入劳动市场。此外利用扩张性的目标化(targeting)和再调整(recalibration)改革鼓励人们参与劳动市场并通过养老金水平等。 扩展私有化改革型(extended privatization pension reform, EPP)的宏观社会经济结构背景和劳动激励改革型(labor-activated pension reform, LAP)比较相似,但是他们的养老金改革决策却大相径庭。在CRP前期,这些国家也是经历过宏观经济巨变的发达福利国家.低生育率和最高的老年人口比例,这个改革类型的国家面临养老金支出巨大失衡的压力。另外不规则就业者(atypical worker)和服务性就业者的比例不断上升也威胁着养老金政策的长期可持续性。扩展私有化改革型(extended privatization pension reform, EPP)的主要决策是通过强制性策略提高参加职业和商业养老保险并且采取相对应的公共养老金参数改革方案。扩张型改革(expansionary pension reform)主要是为了弥补弱势和底薪群体,例如,对雇主,雇员或个人就行减税并且给以适当的补贴,经济能力审查的(means-tested)养老金补贴改革也是尤为突出。 后发结构改革型(latecomer structural pension reform cluster, LSP)的国家在养老金改革初期经历了市场经济转型独特社会变化。特别是在市场经济转型初期经济增长还没有真正的崛起,养老金制度不仅面临经济转型的挑战,人口转变包括人口老龄化和生育率下降问题更是加剧了养老金制度的财政失衡。另外新社会风险(new social risks)和全球化更激化了服务性劳动者的增加。为了扩大政府财政来源和弥补养老金缺口,这些社会背景推动了这些国家以结构改革(structural pension reform)为主线。为弱势群体也提供一定的社会补助,例如,经济能力审查的(means-tested)养老金补贴,但是后发结构改革型(latecomer structural pension reform cluster, LSP)目前缺乏再调整(recalibration)的扩张型改革(expansionary pension reform)。 激进消减改革型(extensive retrenchment pension reform, ERP)在CRP初期临最严重的老龄化增长和经济危机带来的长期经济困难。人口转变(生育率急剧下降,老龄化进程加速)更是加剧了养老金的经济持续性问题。同时,这些国家更面临着由迅速的现代化进程所带来的挑战:服务性劳动者,女性劳动市场的参与与日俱增,就业率急剧下降等新社会风险(new social risks)。在这种社会背景下,激进消减改革型 (extensive retrenchment pension reform, ERP)采用了大幅度的参数改革(parametric pension reform)为消减现存的养老金财政问题。资格审核(means-tested)的社会救助被采用去补助低收入人群和老人的养老金收入。 本文把以上的四个改革类型作为自变量研究分析了各个改革类型对养老金努力(pension effort: pension expenditure, pension generosity)的影响效果。根据线性混合效应模型(linear mixed effect model, LMM)的分析结果,相对于激进消减改革型 (extensive retrenchment pension reform, ERP), 劳动激励改革型(labor-activated pension reform, LAP)有效的消减了养老金支出; 扩展私有化改革型(extended privatization pension reform, EPP)有效的得降低了养老金的慷慨度。相比之下,劳动激励改革型(labor-activated pension reform, LAP)维持了最高标准的养老金退休年龄和提前退休的最大限制,而扩展私有化改革型(extended privatization pension reform, EPP)则是通过强制参与职业和商业退休金制度加大紧缩养老金和缴费之间的直接关系。 理论层面,第一,本研究强调养老金改革变量是理解养老金努力(pension effort)的关键。第二,1990年以来的养老金改革应该同时考虑消减性改革(contractionary pension reform)和扩张性改革(expansionary pension reform)。第三,从新制度主义的理论角度来看,社会政策比较更应该考虑动态政策变化(pension dynamic change),不应该只限于静态视角(static perspective)的政策特征。第四,传统的社会政策比较研究文献经常忽略了东亚国家,比如,中国,日本和韩国。本文认为,尤其是比较研究更应该把这些国家包括在内因为通过比较可以更有效的分析这些制度改革决策的差异性。 政策层面,在制定养老金改革方案时需要同时考虑改革对养老金支出和养老金慷慨度影响的利弊。考虑到后工业化所带来的新风险和现存的旧社会风险,在未来的养老金改革方案中养老金长期可持续性需要要均衡养老金支出可持续性和慷慨度。以韩国养老金改革为例,激进消减改革型(extensive retrenchment pension reform, ERP)可能有助于控制养老金支出,另外经济审查性的社会补助(means-tested)是可以填充贫穷老人的养老金水平;但是其改革方案很可能让高风险群体(ex. atypical workers, lower-income)面临养老金严重不足的问题。由于激进消减改革型(extensive retrenchment pension reform, ERP)不能充分满足韩国养老金制度的需求,本文总结分析了其他三个改革方案的可取性。扩展私有化改革型(extended privatization pension reform, EPP)方案主要是通过市场养老金组成部分来补充养老金福利慷慨水平,但是此改革方案可能导致韩国养老金覆盖率停滞,并恶化高风险群体(ex. atypical workers, lower-income group)的养老金慷慨度并且加剧性别福利水平不平等等问题。后发结构改革型(latecomer structural pension reform cluster, LSP) (ex. NDC) 方案对于韩国的现状更不现实。由于韩国的独特的工业及劳动市场结构,绝大部分的非典型就业者 (atypical workers) 会很难负担双重付费 (double payment issue) 问题。采用劳动激励改革型 (labor-activated pension reform, LAP) 方案可以加固韩国的公共养老金体系并有效的提高新型职业 (new career profiles) 人员的养老金覆盖率且减少老年贫困。 ; 본 연구는 15개 국가를 대상으로 1990-2015년 사이 발생한 다양한 연금개혁의 궤적을 군집화하고 이러한 연금개혁궤적 군집이 연금노력(Pension Effort)에 미치는 영향에 대해 분석하고자 한다. 본 연구에서 연금개혁은 축소개혁(Contractionary Reform) 과 확장개혁(Expansionary Reform)을 동시에 고려하며 연금노력(Pension Effort)은 연금지출(Pension Expenditure)과 연금관대성 (Pension Generosity)을 나타낸다. "복지국가의 위기론"의 영향으로 기존 대부분의 연구들은 연금노력(Pension Effort)과 관련하여 주로 거시적 관점에서사회・경제・정치 영향 요인이 연금지출에 미치는 영향에 대해서만 분석이 이뤄졌다. 특히 핵심적 연금정책수단인 연금개혁에 대한 연구가 부족했으며 연금노력(Pension Effort)에 연금관대성을 살펴본 연구는 많지 않았다. 또한 실질적으로 전통적인 "복지국가 축소론"을 기반으로 분석한 연구들은 脫산업화로 인해 복지정책의 다양한 변화 및 특징을 충분히 포착하지 못했다. 지난 20세기말부터 舊사회위험(Old Social Risk) 및 新사회위험(New Social Risk)을 동시에 대응하기 위해 많은 국가들은 연금제도의 지속가능성 개선을 위해 축소개혁(Contractionary Reform)뿐만 아니라 확장개혁(Expansionary Reform)도 같이 도입했다. 다시 말해, 기존의 연구들은 크게 두 가지 한계점을 뚜렷하게 나타내고 있었다. 첫째, 거시적 관점에서 분석한 기존연구들은 사회・경제・제도적 영향 요인이 연금노력(Pension Effort)에 미치는 영향과 연금관대성에 대해 연구가 부족하다. 또한 가장 중요한 영향요인 변수인 연금개혁에 대해 분석하지 못했다. 둘째, 기존의 질적 및 양적 비교정책연구들은 주로 연금제도의 정태적(靜態的) 특성만 포착했으며 동태적(動態的) 개혁과정에 대한 연구가 부족했다. 따라서, 동태적(動態的)인 연금개혁이 연금지출과 연금관대성에 대해 어떤 영향을 미치는가에 대한 연구가 시급하고 중요하다. 본 연구는 Häusermann (2010)의 연금개혁을 이론적 기반으로10가지 연금개혁 변수를 포함하며 15개 국가를 대상으로 26년 동안 연금개혁궤적에 대해 분석하고자 한다. 구체적으로 연금개혁 변수는 주로 보험(Insurance), 적립화(Capitalization) (예: DB에서 DC로 전환), 표적화(Targeting) (예: Means-Tested)과 再조준화(Recalibration) (예: 연금크레딧 혹은 교육크레딧)를 포함한다. 우선, 군집분석(Cluster Analysis)을 통해서 다양한 축소 및 확장 연금개혁을 연금개혁궤적으로 규명하였고, 선형혼합효과모형 (Linear Mixed Effect Model, LMM)을 통해 각 연금개혁궤적이 연금노력(Pension Effort), 즉 연금지출(Pension Expenditure)과 연금관대성(Pension Generosity)에 대한 영향을 분석하였다. 분석결과에 따라, 4가지 연금개혁 궤적 유형으로 구분할 수 있다: 노동활성화개혁(Labor-Activated Pension, LAP), 민영화확장개혁(Extended Privatization Pension, EPP)개혁, 후발구조적개혁(Latecomer Structural Pension, LSP) 그리고 긴축연금개혁(Extensive Retrenchment Pension, ERP). 노동활성화개혁(LAP)은CRP(1990-2015) 기간 이전의 매우 높은 실업률과 급진적인 인구학적 변화를 겪은 선진 복지국가로 구성되어 있다. CRP(1990-2015)기간에 진입하여 GDP 성장과 고용률 증가세를 점차적으로 확인할 수 있지만 新사회위험(New Social risk)에 가장 심각한 국면을 직면하고 있었다. 예를 들어, 높은 여성의 노동시장 참가율, 높은 세계화 지수 및 서비스업의 증가 등 있다. 이러한 舊사회위험(Old Social Risk) 및 新사회위험(New Social Risk)을 대응하기 위해 대부분 국가들은 다양한 모수적연금개혁을 실시했다. 특히 은퇴에 근접한 연령인 개인들은 계속 노동시장에 남을 수 있도록 많은 연금개혁을 노력해왔다. 예를 들어, 은퇴연령을 높이고 조기은퇴 연령 축소 및 조기은퇴의 감액을 강화하여 노동시장 참여를 유발하기 위한 많은 연금개혁을 했다. 동시에 표적화(Targeting)와 再조준화(Recalibration)등 확장개혁(Expansionary Reform)을 통해 연금 수급여건을 낮춤으로써 서비스업을 비롯한 저임금 노동자들의 노동시장 참여를 장려하기 위한 개혁을 실시하였다. 민영화확장개혁(EPP)은 거시적 사회경제 변화를 경험한 선진국으로 노동활성화개혁(LAP) 클러스터와 비슷한 거시적 사회변화 구조를 경험하였다. 이 클러스터는 CRP(1990-2015) 기간에 높은 서비스업 취업률과 더 높은 경제적 개방성을 나타낸다. 또한 65세 이상 인구 비율이 가장 높고 저출산 문제를 함께 경험하고 있다. 연금개혁 전략은 노동활성화개혁(LAP)의 채택 전략과 뚜렷한 차이가 존재하고 있다. 민영화확장개혁(EPP)은 직업 또는 개인연금의 가입을 자발적 가입에서 강제가입으로 확정하며 기존 공적연금시스템에 대한 축소개혁을 함께 진행해왔다. 저임금 노동자를 보상화기 위하여 자산조사 (Means-Test)를 통해 연금 혜택이나 연금 크레딧 (Pension Credit)과 같은 다양한 확장연금개혁(Expansionary Reform)도 이뤄졌다. 후발구조적개혁(LSP)은 기존의 연금제도는 중앙계획경제에서 광범위한 시장경제로의 이행을 경험한 국가들로 이루어졌다는 독특한 성격을 지닌다. 이러한 국가가 시장경제로 전환한 초기에는 비교적 느리게 경제가 성장하였으며 거시 경제적 전환뿐만 아니라 인구 구조적인 변화도 같이 직면하고 있었다. 또한 빠른 시장경제개방과 脫산업화로 인해 산업구조도 급격한 변화를 겪고 있기 때문에 기존의 연금제도의 골격을 유지하기 힘든 조건에 직면하고 있다. 후발구조적개혁(LSP)은 이처럼 다양한 거시 사회경제적 구조변화로 인해 급등한 연금비용 지출에 대한 대책으로 구조적개혁을 선택하였다. 취약한 집단을 보상하기 위해 여러 표적화(Targeting)와 같은 확장 연금개혁(Expansionary Reform)을 했지만 再조준화(Recalibration) 개혁은 아직 도입되지 않았다. 긴축형연금개혁(ERP)은 가장 빠른 고령화를 겪었으며 출산율이 급격히 하락한 것을 경험하고 있는 국가로 구성되었다. 新사회위험(New Social Risk) 역시 비정규직 노동자, 여성 노동시장 참여율 그리고 낮은 취업률을 포함하는 심각한 사회 및 경제적 어려움을 겪고 있다. 긴축형연금개혁(ERP)은 이처럼 점차 늘어나는 新사회위험 (New Social Risk)과 전통적인 '고급여, 저분담' 연금구조의 어려움에 직면하기 때문에 포괄적인 모수개혁을 통해 기존의 관대한 연금시스템을 축소하려고 한다. 저소득 집단과 고령 빈곤층에 대한 자산조사 (Means-test) 와 같은 표적화 (Targeting) 개혁을 통해 노후소득보장의 보조적 역할을 추가하였다. 본 연구는 위에 도출한 4가지 연금개혁 클러스터를 독립변수로 혼합효과모형(Linear Mixed Effect Model, LMM)에 투입하여 각 연금개혁이 연금노력 (Pension Effort)에 대해 통계적으로 분석하였다. 분석결과, 긴축형연금개혁(ERP)에 비해 노동활성화개혁(LAP)은 통계적으로 연금지출(Pension Expenditure)을 감소시켰으며, 반면에 민영화확장개혁(EPP)은 연금관대성(Pension Generosity)을 통계적으로 감소시켰다. 노동활성화개혁(LAP)의 연금개혁 특징을 보면 은퇴연령과 조기은퇴에 대해 가장 많이 강화했고, 한편 긴축형연금개혁(ERP)은 직업 또는 개인연금 가입을 강제가입으로 확장하여 연금 기여와 혜택 간의 더 직접적인 연결고리를 강조했다. 본 연구의 이론적 함의는 다음과 같다. 첫째, 본 연구는 연금개혁이 연금노력 (연금 지출 및 연금 관대성)에 대한 영향의 가장 핵심적인 변수라고 강조하며 또한 연금개혁은 축소형과 확장형 연금개혁을 함께 연구해야 한다고 주장한다. 둘째, 대부분 기존의 비교연구는 중국, 일본과 한국 등 동아시아 국가들을 제외해왔다. 하지만 비교정책에서 이러한 국가들을 실증적분석을 통해 차이점을 도출하여 미래 연구에서 더 효과적으로 다룰 수 있도록 해야 한다. 셋째, 이 연구는 비교사회정책 연구의 복지정책 및 제도를 분류에 대한 정태적(靜態的)인 관점이 아닌 정책변화를 반영할 수 있는 동태적(動態的)인 관점으로 보는 것을 더 타당하며 심층적으로 분석할 수 있다고 주장한다. 정책적 함의는 다음과 같이 제시하였다. 개혁 클러스터마다 각 장단점이 존재하며 정책 입안가들은 연금개혁 정책을 도입할 때 연금지출과 연금관대성을 모두 고려해야 한다. 특히 脫산업화로 인해 일시적・장기적 실업의 증가, 비정규직고용과 여성고용의 증가 등 新사회위험 및 舊사회위험을 고려해서 미래 연금개혁에서 연금지출과 연금 관대성을 동시에 고려해야한다. 이를 신중하게 고려하지 않으면 脫산업화 이후의 저소득 및 취약계층은 더 높은 노인 빈곤에 직면할 수 있다. 한국 연금개혁의 예를 들면, 긴축형연금개혁(ERP)은 장기적으로 연금지출을 낮추고 또한 자산조사(Means-Test)와 같은 표적화(Targeting)개혁을 통해 사회부조형 연금으로 노인빈곤을 해소할 수 있지만 이러한 포괄적인 축소 개혁은 특히 미래 세대의 저소득층의 심각한 연금부족의 문제를 초래할 수 있다. 또 다른 세 가지 한국의 연금개혁에 대한 시사점을 다음과 같이 제시한다. 민영화확장개혁(EPP)은 주로 개인연금 및 직업연금의 강제가입을 통해 연금의 관대성을 제고하기 때문에 이와 같은 개혁전략을 채택하면 한국의 연금의 보장성을 악화시킬 가능성이 매우 크다. 특히 비전형 노동자와 저소득층의 연금수준을 악화시킬 가능성이 매우 크다. 또한 후발구조적개혁(LSP)은 한국의 연금제도의 현황에 현실적이지 않다고 본다. 한국의 독특한 산업구조 및 脫산업사회적 요구와 수요로 인해 비정규직 노동자의 증가로 많은 가입자가 이중부담(Double Payment)을 직면해야 하는 실정이다. 노동활성화개혁(LAP)은 한국의 공적연금제도를 강화하며 한국의 노인 빈곤 및 新사회위험(New Social Risk) 등 문제를 완화하는데 있어 도움이 될 수 있다고 판단한다. ; Chapter One: Introduction 1 1.1 The Purpose of this Study 1 1.2 Limitations of Contemporary Literature 7 1.3 Identifying Dynamic Pension Reform and Pension Effort 13 1.4 Research Scope and Research Questions 15 Chapter Two: Theoretical Framework and Literature Review 18 1.1 Pension Reform Background 19 1.1.1 Demographic Pressures 19 1.1.2 Macro-economic Pressures 24 2.1 Pension Reforms Trends and Pension Structures 27 2.1.1 Trend 1: Convergence between Bismarckian and Beveridgean Structures 28 2.1.2 Trend 2: Retrenchment of Inherited Pension Systems 41 2.1.3 Summary 43 3.1 What Influences Changes in Pension Effort? Existing Arguments 45 3.1.1 Socio-economic Factors 46 3.1.2 Institutional Factors 50 3.1.3 Political Factors 52 4.1 Pension Reform Implementation - The Linchpin of Pension Effort 59 5.1 Characterizing Pension Reform – Four Pension Reform Dimensions 63 5.1.1 Insurance 69 5.1.2 Capitalization 70 5.1.3 Targeting 71 5.1.4 Recalibration 72 6.1 Empirical Research Overview 73 7.1 Analytical Framework 79 Chapter Three: Research Methodology 81 1.1 Data and Scope 81 2.1 Operational Definition of Variables 82 2.1.1 Dependent Variables 84 2.1.2 Independent Variables 87 2.1.3 Control Variables 98 3.1 Methodology 107 3.1.1 Part One: Pension Reform Classification 110 3.1.2 Part Two: Evaluation for Pension Effort - Linear Mixed-effect Model (LMM) 114 Chapter Four: Empirical Analysis 119 1.1 Descriptive Analysis 120 1.1.1 Data 120 1.1.2 Macro-socio-economic Changes 122 1.1.3 Tendencies of Pension Expenditure and Pension Generosity 127 1.1.4 Pension Reform across Countries from 1990 to 2015 132 1.1.5 Summary 151 2.2 Cluster Analysis Results 152 2.1.1 Identifying Pension Reform Clusters 152 2.1.2 Pension Reform Cluster Descriptive Statistics 156 2.1.3 Pension Expenditure and Pension Generosity 164 3.1 Pension Reform Characteristics in Four Pension Reform Clusters 166 3.1.1 Labor-activated pension (LAP) Reforms 166 3.1.2 Extended Privatization Pension (EPP) Reforms 175 3.1.3 Latecomer Structural Pension (LSP) Reforms 190 3.1.4 Extensive Retrenchment Pension (ERP) Reforms 198 3.1.5 Summary 207 4.1 Mixed Effect Model Analytical Results 211 4.1.1 Pension Expenditure 218 4.1.2 Pension Generosity 226 Chapter Five: Conclusion 232 1.1 Research Summary of Findings 232 1.2 Theoretical Implications 235 1.3 Policy Implications 239 1.4 Research Limitations 244 References 248 Appendix A. 267 Abstract (Korean) 272 Abstract (Chinese) 278 ; Doctor
학위논문 (박사) -- 서울대학교 대학원 : 사회과학대학 사회복지학과, 2020. 8. 홍백의. ; This study characterizes 15 countries' pension reform trajectories and statistically examines how these pension reform trajectories affect pension effort during the CRP (Compound Reform Period 1990-2015). This study defines pension reform are either contractionary and expansionary reforms; pension effort refers to both pension expenditure and pension generosity. Conventionally, studies have often examined how socio-influential factors (e.g. socio-economic, institutional, and political factors) affect pension effort. However, these discourses have heavily emphasized contractionary pension reforms and pension expenditure, but have overlooked expansionary pension reforms and pension generosity. This study argues that the traditional retrenchment-focused approach to pension policy research is rooted largely in inherited theories of the 'Welfare State Crisis' and macro-socio-economics, that are not reflective of the recent post-industrial policy shifts occurring in the world. In particular to pension policy, in response to the 20th century old and new social risks, traditional Bismarckian and Beveridgean countries have implemented a mix of contractionary and expansionary reforms. These reforms were designed to deal with pension financial sustainability and adequacy against old-age poverty. Consequently, two primary limitations of previous studies have become apparent. The austerity-oriented and macro view of pension effort using socio-influential factors overlooks an important building block within the dynamic pension reform process. In addition, existing quantitative and qualitative studies have centered around institutions that examine pension policies from a static perspective - overlooking pension policy dynamic changes. During the CRP, pension systems have experienced two interconnected components - retrenchment and expansionary reforms - that ultimately define pension effort. Accordingly, it is necessary to comprehensively investigate how these components of dynamic pension reform affect pension effort in the context of both pension expenditure and pension generosity. This study organized expansionary and retrenchment pension reforms using ten pension reform variables based on the work Häusermann (2010): insurance (e.g. parametric pension reforms), capitalization (e.g. DB to DC shifts), targeting (e.g. means-tested), and recalibration (e.g. pension credits). In order to evaluate how these pension reforms affected pension effort, this study utilized two analytical methods: unsupervised clustering characterizes pension reform trajectories, and an LMM (Mixed Effect Model) statistically evaluates their effectiveness with respect to pension expenditure and pension generosity. Pension reforms were categorized into four pension reform clusters: labor-activated pension (LAP) reforms, extended privatization pension (EPP) reforms, latecomer structural pension (LSP) reforms, and extensive retrenchment pension (ERP) reforms. The labor-activated pension reform (LAP) cluster is generally composed of advanced welfare states that experienced the highest unemployment rates and most pressing demographic changes prior to the CRP. However, their transition into the CRP has been met with significant GDP growth and high employment rates. At the same time, this cluster is facing the highest level of new social risks in regions like women's labor participation, employment in services, and economic openness. In response to both old and new social risks, most of the countries in this cluster made significant reforms meant to mitigate their effects. Various parametric pension reforms (e.g. increasing the retirement age, penalizing early retirement, etc.) encourage individuals near retirement to continue working or re-enter the workforce, thus increasing labor supply. In addition, targeting and recalibration reforms incentivize participation in the labor market by lowering pension eligibility requirements. The extended privatization pension reform (EPP) cluster is very similar in its Marco-socio-economic structure to the labor-activated pension reform (LAP) cluster, in that it is defined by developed nations that experienced drastic macro-socio-economic changes before the CRP. However, in the CRP this cluster has the highest levels of aged 65 years and older individuals, coupled with a moderately high economic growth. Growth compared to the labor activated pension reform cluster may be lower due to this aging. When a higher proportion of a total population is elderly, a larger proportion of economic expenses must be spent on retirement care. However, another additional feature of this cluster's socio-economics is lower birth rates. Some new social risks of interest that have had a particular effect on this cluster are increasing service sector employment rates and higher economic openness. However, pension reform strategies are vastly different from the labor-activated pension reform (LAP) reform strategies. This reform cluster shifts enrollment in occupational or individual pension programs from voluntary to mandatory and these programs then work in conjunction with existing public pension systems. However, in order to compensate disadvantaged groups and unpaid workers, various expansionary pension reforms were also implemented in tandem; for example, means-tested pension benefits, tax reductions or earnings-related subsidies to employers, employees or individuals. The latecomer structural pension reform cluster (LSP) is uniquely composed of countries that had transitioned from centrally planned economies to widespread market-based economies at the inception of their original pension programs. Their transition to market based-economies was not smooth and this was reflected in their relatively slow economic growth. Structural changes are not the only facet that describes the struggles these countries have had during the CRP; demographic issues have also played an outsized role in their economies. Not only had their relative population aged, but at the same time, there was a dramatic drop in their fertility rates. New social risks have been reflected in their rising proportion of service sector employment and the swift opening of their economies. This cluster turned to structural-based reforms as a countermeasure to the ballooning pension expenditures that ensued, because of these different macro-socio-economic hardships. In order to compensate disadvantaged groups and unpaid workers, various expansionary pension reforms were also implemented in tandem with contractionary reforms (ex. targeting reform), but recalibration reforms were not implemented. The extensive retrenchment pension reform cluster (ERP), is composed of countries that demographically aged the most, and experienced the greatest long-term economic hardships because of economic crises during the CRP. Another critical issue was the decline of birth rates in these countries. New social risks have also added stress to their economic hardships with increases in atypical workers, women's labor participation rates, and serious issues with low employment rates. Under these increasing new social risks and problematic pension structures, the extensive retrenchment pension (ERP) reform cluster retrenched inherited asymmetric pension systems through radical parametric reforms, then means-tested programs were additionally added to compensate low-income groups and impoverished elderly. Each pension reform clusters' socio-economic backgrounds provide insight into the underlying indicators that are correlated with their adoption of different pension reform policies. Using these pension reform clusters as independent variables, this study demonstrates that different pension reforms have diversified the existing architecture of pension effort. According to the Linear Mixed Effect Model (LMM) results, the labor-activated pension reform (LAP) cluster statistically reduced pension expenditure relative to the reference pension reform cluster (extensive retrenchment pension reform cluster). The extended privatization pension (EPP) reform cluster significantly reduced pension generosity relative to the reference pension reform cluster (extensive retrenchment pension reform cluster). While the labor-activated pension (LAP) reform cluster maintained the highest standard pension retirement age and most restrictions on early retirement, the extended privatization pension (EPP) reform cluster created a more direct link between pension benefits and an individual's pension contributions, by shifting to mandatory enrollment in occupational or individual pension programs. This study asserts that pension reforms are the key to understanding pension effort (pension expenditure and pension generosity), and that contractionary and expansionary pension reform policies should be studied together. In addition, existing comparative studies have often excluded East-Asian countries, in particular, China, Japan, and Korea. They should be included in comparative policy analysis that will allow researchers to determine if they are empirically different, and thus compensate or address those differences more effectively in future research. In comparative social policy research, from the new institutionalism perspective, policy classifications should consider the process of policy change, from a dynamic perspective rather than static characteristics. This study suggests that policymakers may need to be concerned about each pension reform's pros and cons in the context of pension expenditure and generosity when adopting a pension reform. In future pension reforms, policymakers need to explicitly design their policies around increasing new profiles who, if not considered more carefully, are at higher risk of poverty in this post-industrialized global economy. The most sensible means of doing this is if policymakers avoid reducing benefits for these groups when legislating future pension reforms. Take Korean pension reforms as an example. Korea adopted an extensive parametric pension (ERP) reforms that may prove to be an effective way of curbing costs, while means-tested incentives provide more generous benefits to the growing population of at-risk individuals. However, extensive retrenchment pension (ERP) reforms have a high risk of providing inadequate pension benefits to at-risk groups without seriously resolving issues with program expenditure. Since extensive retrenchment pension (ERP) reforms do not sufficiently meet the needs of the Korean pension system, the next step is to look at alternative clusters to resolve these issues. Extended privatization pension reforms (EPP) generally supplement pension benefits by adopting a market-based pension component. However, adopting a reform from this cluster will also likely result in stagnated pension coverage, deteriorated pension benefits, and increased gender and income inequality. Adoption of a latecomer structural pension reform (LSP) (e.g. NDC) is also not realistic, because there are a large number of atypical workers in Korea (e.g. self-employed, part-time workers) who are unable to shoulder considerable financial burdens (double payment issues). This study suggests that adopting a labor-activated pension reform (LAP) may be the most effective pension strategy to strengthen Korean public pension system security. This strategy takes into account new career profiles that were previously overlooked by the system; the goal of including these workers to the system would be to reduce the occurrence of old-age poverty. ; 本论文定量比较分析了15个国家在1990-2015 (compound reform period, CRP:1990-2015)综合改革期间的养老金改革轨迹,及其对养老金努力(pension effort)的影响。本文定义了养老金改革包括消减性改革(contractionary pension reform)和扩张性改革(expansionary pension reform),养老金努力(pension effort)包括养老金支出(pension expenditure)和养老金慷慨度(pension generosity)。受"福利国家危机论"的影响,现存的大部分相关学术主要分析了宏观社会・经济因素(包括经济,政治和制度因素)对养老金政策的影响。这些研究集中在研究养老金支出而忽视了对养老金慷慨度的分析. 宏观社会经济背景及制度的遗产(institutional legacy)或历史轨迹等对养老金努力(pension effort)影响效应息息相关,但是本研究认为基于宏观理论并限定于养老金支出的传统文献没有充分的的分析到后工业社会下(post-industrialization)的养老金改革轨迹和特征。尤其是从20世纪末,为了应对新旧社会风险(old and new social risks)的压力,综合型养老金改革(compound pension reform),即消减性改革(contractionary pension reform)和扩张性改革(expansionary pension reform)被纷纷采纳去同时解决养老金财政可持续性和抵御老年贫困的两个问题。本文认为传统文献在研究养老金政策的影响因素中存在两个主要局限性问题:第一,忽视了核心变量-养老金改革对老金支出(pension expenditure)和养老金慷慨度(pension generosity)的影响。第二,现有的定量和定性社会政策比较或聚类研究只从围绕静态角度(static perspective)的政策特征却忽视了政策的动态变化(policy dynamic change)。 本文以Häusermann (2010)的养老金改革理论为基础,分析了包括消减性改革(contractionary pension reform)和扩张性改革(expansionary pension reform)养老金改革的十个变量:保险参数(parametric reform参数改革),市场化(例如: 从DB 改革成 DC),目标化(targeting) (例如: 经济能力审查:means-tested), 再调整(recalibration) (例如:养老金补贴: pension credits)。为了从统计学上评估分析这些养老金改革对养老金努力(pension effort)对影响效应,本文采用了两种分析方法:K均值无监督聚类分析(clustering analysis)和线性混合效应模型(linear mixed effect model, LMM)。根据聚类分析(clustering analysis)结果,15国家在1990-2015期间的养老金改革可分为四个改革类型:劳动激励改革型(labor-activated pension reform, LAP), 扩展私有化改革型(extended privatization pension reform, EPP), 后发结构改革型(latecomer structural pension reform, LSP),和激进消减改革型(extensive retrenchment pension reform, ERP). 基于定量统计数据比较分析,线性混合效应模型(linear mixed effect model, LMM)分析结果发现不同的改革轨迹对养老金支出和养老金慷慨度影响不同。 劳动激励改革型(labor-activated pension reform, LAP)是由发达福利国家组成,这些国家在CRP(1990-2015)之前遭遇过经济衰退和前所未有的失业率增加和人口转变问题,但是在CRP(1990-2015)的过度期间实现了GDP和就业率的总体水平回升。相比于其他的改革类型,这些国家面临着最高水平的社会新风险(new social risks): 女性劳动就业和服务性就业者不断增加。为了应对新旧社会风险(old and new social risks)和减轻养老金财政压力,这些国家采取了大力度的养老金参数改革。主要包括参数改革(例如: 延后退休, 处罚提前退休等),鼓励接近退休等人继续工作或重新加入劳动市场。此外利用扩张性的目标化(targeting)和再调整(recalibration)改革鼓励人们参与劳动市场并通过养老金水平等。 扩展私有化改革型(extended privatization pension reform, EPP)的宏观社会经济结构背景和劳动激励改革型(labor-activated pension reform, LAP)比较相似,但是他们的养老金改革决策却大相径庭。在CRP前期,这些国家也是经历过宏观经济巨变的发达福利国家.低生育率和最高的老年人口比例,这个改革类型的国家面临养老金支出巨大失衡的压力。另外不规则就业者(atypical worker)和服务性就业者的比例不断上升也威胁着养老金政策的长期可持续性。扩展私有化改革型(extended privatization pension reform, EPP)的主要决策是通过强制性策略提高参加职业和商业养老保险并且采取相对应的公共养老金参数改革方案。扩张型改革(expansionary pension reform)主要是为了弥补弱势和底薪群体,例如,对雇主,雇员或个人就行减税并且给以适当的补贴,经济能力审查的(means-tested)养老金补贴改革也是尤为突出。 后发结构改革型(latecomer structural pension reform cluster, LSP)的国家在养老金改革初期经历了市场经济转型独特社会变化。特别是在市场经济转型初期经济增长还没有真正的崛起,养老金制度不仅面临经济转型的挑战,人口转变包括人口老龄化和生育率下降问题更是加剧了养老金制度的财政失衡。另外新社会风险(new social risks)和全球化更激化了服务性劳动者的增加。为了扩大政府财政来源和弥补养老金缺口,这些社会背景推动了这些国家以结构改革(structural pension reform)为主线。为弱势群体也提供一定的社会补助,例如,经济能力审查的(means-tested)养老金补贴,但是后发结构改革型(latecomer structural pension reform cluster, LSP)目前缺乏再调整(recalibration)的扩张型改革(expansionary pension reform)。 激进消减改革型(extensive retrenchment pension reform, ERP)在CRP初期临最严重的老龄化增长和经济危机带来的长期经济困难。人口转变(生育率急剧下降,老龄化进程加速)更是加剧了养老金的经济持续性问题。同时,这些国家更面临着由迅速的现代化进程所带来的挑战:服务性劳动者,女性劳动市场的参与与日俱增,就业率急剧下降等新社会风险(new social risks)。在这种社会背景下,激进消减改革型 (extensive retrenchment pension reform, ERP)采用了大幅度的参数改革(parametric pension reform)为消减现存的养老金财政问题。资格审核(means-tested)的社会救助被采用去补助低收入人群和老人的养老金收入。 本文把以上的四个改革类型作为自变量研究分析了各个改革类型对养老金努力(pension effort: pension expenditure, pension generosity)的影响效果。根据线性混合效应模型(linear mixed effect model, LMM)的分析结果,相对于激进消减改革型 (extensive retrenchment pension reform, ERP), 劳动激励改革型(labor-activated pension reform, LAP)有效的消减了养老金支出; 扩展私有化改革型(extended privatization pension reform, EPP)有效的得降低了养老金的慷慨度。相比之下,劳动激励改革型(labor-activated pension reform, LAP)维持了最高标准的养老金退休年龄和提前退休的最大限制,而扩展私有化改革型(extended privatization pension reform, EPP)则是通过强制参与职业和商业退休金制度加大紧缩养老金和缴费之间的直接关系。 理论层面,第一,本研究强调养老金改革变量是理解养老金努力(pension effort)的关键。第二,1990年以来的养老金改革应该同时考虑消减性改革(contractionary pension reform)和扩张性改革(expansionary pension reform)。第三,从新制度主义的理论角度来看,社会政策比较更应该考虑动态政策变化(pension dynamic change),不应该只限于静态视角(static perspective)的政策特征。第四,传统的社会政策比较研究文献经常忽略了东亚国家,比如,中国,日本和韩国。本文认为,尤其是比较研究更应该把这些国家包括在内因为通过比较可以更有效的分析这些制度改革决策的差异性。 政策层面,在制定养老金改革方案时需要同时考虑改革对养老金支出和养老金慷慨度影响的利弊。考虑到后工业化所带来的新风险和现存的旧社会风险,在未来的养老金改革方案中养老金长期可持续性需要要均衡养老金支出可持续性和慷慨度。以韩国养老金改革为例,激进消减改革型(extensive retrenchment pension reform, ERP)可能有助于控制养老金支出,另外经济审查性的社会补助(means-tested)是可以填充贫穷老人的养老金水平;但是其改革方案很可能让高风险群体(ex. atypical workers, lower-income)面临养老金严重不足的问题。由于激进消减改革型(extensive retrenchment pension reform, ERP)不能充分满足韩国养老金制度的需求,本文总结分析了其他三个改革方案的可取性。扩展私有化改革型(extended privatization pension reform, EPP)方案主要是通过市场养老金组成部分来补充养老金福利慷慨水平,但是此改革方案可能导致韩国养老金覆盖率停滞,并恶化高风险群体(ex. atypical workers, lower-income group)的养老金慷慨度并且加剧性别福利水平不平等等问题。后发结构改革型(latecomer structural pension reform cluster, LSP) (ex. NDC) 方案对于韩国的现状更不现实。由于韩国的独特的工业及劳动市场结构,绝大部分的非典型就业者 (atypical workers) 会很难负担双重付费 (double payment issue) 问题。采用劳动激励改革型 (labor-activated pension reform, LAP) 方案可以加固韩国的公共养老金体系并有效的提高新型职业 (new career profiles) 人员的养老金覆盖率且减少老年贫困。 ; 본 연구는 15개 국가를 대상으로 1990-2015년 사이 발생한 다양한 연금개혁의 궤적을 군집화하고 이러한 연금개혁궤적 군집이 연금노력(Pension Effort)에 미치는 영향에 대해 분석하고자 한다. 본 연구에서 연금개혁은 축소개혁(Contractionary Reform) 과 확장개혁(Expansionary Reform)을 동시에 고려하며 연금노력(Pension Effort)은 연금지출(Pension Expenditure)과 연금관대성 (Pension Generosity)을 나타낸다. "복지국가의 위기론"의 영향으로 기존 대부분의 연구들은 연금노력(Pension Effort)과 관련하여 주로 거시적 관점에서사회・경제・정치 영향 요인이 연금지출에 미치는 영향에 대해서만 분석이 이뤄졌다. 특히 핵심적 연금정책수단인 연금개혁에 대한 연구가 부족했으며 연금노력(Pension Effort)에 연금관대성을 살펴본 연구는 많지 않았다. 또한 실질적으로 전통적인 "복지국가 축소론"을 기반으로 분석한 연구들은 脫산업화로 인해 복지정책의 다양한 변화 및 특징을 충분히 포착하지 못했다. 지난 20세기말부터 舊사회위험(Old Social Risk) 및 新사회위험(New Social Risk)을 동시에 대응하기 위해 많은 국가들은 연금제도의 지속가능성 개선을 위해 축소개혁(Contractionary Reform)뿐만 아니라 확장개혁(Expansionary Reform)도 같이 도입했다. 다시 말해, 기존의 연구들은 크게 두 가지 한계점을 뚜렷하게 나타내고 있었다. 첫째, 거시적 관점에서 분석한 기존연구들은 사회・경제・제도적 영향 요인이 연금노력(Pension Effort)에 미치는 영향과 연금관대성에 대해 연구가 부족하다. 또한 가장 중요한 영향요인 변수인 연금개혁에 대해 분석하지 못했다. 둘째, 기존의 질적 및 양적 비교정책연구들은 주로 연금제도의 정태적(靜態的) 특성만 포착했으며 동태적(動態的) 개혁과정에 대한 연구가 부족했다. 따라서, 동태적(動態的)인 연금개혁이 연금지출과 연금관대성에 대해 어떤 영향을 미치는가에 대한 연구가 시급하고 중요하다. 본 연구는 Häusermann (2010)의 연금개혁을 이론적 기반으로10가지 연금개혁 변수를 포함하며 15개 국가를 대상으로 26년 동안 연금개혁궤적에 대해 분석하고자 한다. 구체적으로 연금개혁 변수는 주로 보험(Insurance), 적립화(Capitalization) (예: DB에서 DC로 전환), 표적화(Targeting) (예: Means-Tested)과 再조준화(Recalibration) (예: 연금크레딧 혹은 교육크레딧)를 포함한다. 우선, 군집분석(Cluster Analysis)을 통해서 다양한 축소 및 확장 연금개혁을 연금개혁궤적으로 규명하였고, 선형혼합효과모형 (Linear Mixed Effect Model, LMM)을 통해 각 연금개혁궤적이 연금노력(Pension Effort), 즉 연금지출(Pension Expenditure)과 연금관대성(Pension Generosity)에 대한 영향을 분석하였다. 분석결과에 따라, 4가지 연금개혁 궤적 유형으로 구분할 수 있다: 노동활성화개혁(Labor-Activated Pension, LAP), 민영화확장개혁(Extended Privatization Pension, EPP)개혁, 후발구조적개혁(Latecomer Structural Pension, LSP) 그리고 긴축연금개혁(Extensive Retrenchment Pension, ERP). 노동활성화개혁(LAP)은CRP(1990-2015) 기간 이전의 매우 높은 실업률과 급진적인 인구학적 변화를 겪은 선진 복지국가로 구성되어 있다. CRP(1990-2015)기간에 진입하여 GDP 성장과 고용률 증가세를 점차적으로 확인할 수 있지만 新사회위험(New Social risk)에 가장 심각한 국면을 직면하고 있었다. 예를 들어, 높은 여성의 노동시장 참가율, 높은 세계화 지수 및 서비스업의 증가 등 있다. 이러한 舊사회위험(Old Social Risk) 및 新사회위험(New Social Risk)을 대응하기 위해 대부분 국가들은 다양한 모수적연금개혁을 실시했다. 특히 은퇴에 근접한 연령인 개인들은 계속 노동시장에 남을 수 있도록 많은 연금개혁을 노력해왔다. 예를 들어, 은퇴연령을 높이고 조기은퇴 연령 축소 및 조기은퇴의 감액을 강화하여 노동시장 참여를 유발하기 위한 많은 연금개혁을 했다. 동시에 표적화(Targeting)와 再조준화(Recalibration)등 확장개혁(Expansionary Reform)을 통해 연금 수급여건을 낮춤으로써 서비스업을 비롯한 저임금 노동자들의 노동시장 참여를 장려하기 위한 개혁을 실시하였다. 민영화확장개혁(EPP)은 거시적 사회경제 변화를 경험한 선진국으로 노동활성화개혁(LAP) 클러스터와 비슷한 거시적 사회변화 구조를 경험하였다. 이 클러스터는 CRP(1990-2015) 기간에 높은 서비스업 취업률과 더 높은 경제적 개방성을 나타낸다. 또한 65세 이상 인구 비율이 가장 높고 저출산 문제를 함께 경험하고 있다. 연금개혁 전략은 노동활성화개혁(LAP)의 채택 전략과 뚜렷한 차이가 존재하고 있다. 민영화확장개혁(EPP)은 직업 또는 개인연금의 가입을 자발적 가입에서 강제가입으로 확정하며 기존 공적연금시스템에 대한 축소개혁을 함께 진행해왔다. 저임금 노동자를 보상화기 위하여 자산조사 (Means-Test)를 통해 연금 혜택이나 연금 크레딧 (Pension Credit)과 같은 다양한 확장연금개혁(Expansionary Reform)도 이뤄졌다. 후발구조적개혁(LSP)은 기존의 연금제도는 중앙계획경제에서 광범위한 시장경제로의 이행을 경험한 국가들로 이루어졌다는 독특한 성격을 지닌다. 이러한 국가가 시장경제로 전환한 초기에는 비교적 느리게 경제가 성장하였으며 거시 경제적 전환뿐만 아니라 인구 구조적인 변화도 같이 직면하고 있었다. 또한 빠른 시장경제개방과 脫산업화로 인해 산업구조도 급격한 변화를 겪고 있기 때문에 기존의 연금제도의 골격을 유지하기 힘든 조건에 직면하고 있다. 후발구조적개혁(LSP)은 이처럼 다양한 거시 사회경제적 구조변화로 인해 급등한 연금비용 지출에 대한 대책으로 구조적개혁을 선택하였다. 취약한 집단을 보상하기 위해 여러 표적화(Targeting)와 같은 확장 연금개혁(Expansionary Reform)을 했지만 再조준화(Recalibration) 개혁은 아직 도입되지 않았다. 긴축형연금개혁(ERP)은 가장 빠른 고령화를 겪었으며 출산율이 급격히 하락한 것을 경험하고 있는 국가로 구성되었다. 新사회위험(New Social Risk) 역시 비정규직 노동자, 여성 노동시장 참여율 그리고 낮은 취업률을 포함하는 심각한 사회 및 경제적 어려움을 겪고 있다. 긴축형연금개혁(ERP)은 이처럼 점차 늘어나는 新사회위험 (New Social Risk)과 전통적인 '고급여, 저분담' 연금구조의 어려움에 직면하기 때문에 포괄적인 모수개혁을 통해 기존의 관대한 연금시스템을 축소하려고 한다. 저소득 집단과 고령 빈곤층에 대한 자산조사 (Means-test) 와 같은 표적화 (Targeting) 개혁을 통해 노후소득보장의 보조적 역할을 추가하였다. 본 연구는 위에 도출한 4가지 연금개혁 클러스터를 독립변수로 혼합효과모형(Linear Mixed Effect Model, LMM)에 투입하여 각 연금개혁이 연금노력 (Pension Effort)에 대해 통계적으로 분석하였다. 분석결과, 긴축형연금개혁(ERP)에 비해 노동활성화개혁(LAP)은 통계적으로 연금지출(Pension Expenditure)을 감소시켰으며, 반면에 민영화확장개혁(EPP)은 연금관대성(Pension Generosity)을 통계적으로 감소시켰다. 노동활성화개혁(LAP)의 연금개혁 특징을 보면 은퇴연령과 조기은퇴에 대해 가장 많이 강화했고, 한편 긴축형연금개혁(ERP)은 직업 또는 개인연금 가입을 강제가입으로 확장하여 연금 기여와 혜택 간의 더 직접적인 연결고리를 강조했다. 본 연구의 이론적 함의는 다음과 같다. 첫째, 본 연구는 연금개혁이 연금노력 (연금 지출 및 연금 관대성)에 대한 영향의 가장 핵심적인 변수라고 강조하며 또한 연금개혁은 축소형과 확장형 연금개혁을 함께 연구해야 한다고 주장한다. 둘째, 대부분 기존의 비교연구는 중국, 일본과 한국 등 동아시아 국가들을 제외해왔다. 하지만 비교정책에서 이러한 국가들을 실증적분석을 통해 차이점을 도출하여 미래 연구에서 더 효과적으로 다룰 수 있도록 해야 한다. 셋째, 이 연구는 비교사회정책 연구의 복지정책 및 제도를 분류에 대한 정태적(靜態的)인 관점이 아닌 정책변화를 반영할 수 있는 동태적(動態的)인 관점으로 보는 것을 더 타당하며 심층적으로 분석할 수 있다고 주장한다. 정책적 함의는 다음과 같이 제시하였다. 개혁 클러스터마다 각 장단점이 존재하며 정책 입안가들은 연금개혁 정책을 도입할 때 연금지출과 연금관대성을 모두 고려해야 한다. 특히 脫산업화로 인해 일시적・장기적 실업의 증가, 비정규직고용과 여성고용의 증가 등 新사회위험 및 舊사회위험을 고려해서 미래 연금개혁에서 연금지출과 연금 관대성을 동시에 고려해야한다. 이를 신중하게 고려하지 않으면 脫산업화 이후의 저소득 및 취약계층은 더 높은 노인 빈곤에 직면할 수 있다. 한국 연금개혁의 예를 들면, 긴축형연금개혁(ERP)은 장기적으로 연금지출을 낮추고 또한 자산조사(Means-Test)와 같은 표적화(Targeting)개혁을 통해 사회부조형 연금으로 노인빈곤을 해소할 수 있지만 이러한 포괄적인 축소 개혁은 특히 미래 세대의 저소득층의 심각한 연금부족의 문제를 초래할 수 있다. 또 다른 세 가지 한국의 연금개혁에 대한 시사점을 다음과 같이 제시한다. 민영화확장개혁(EPP)은 주로 개인연금 및 직업연금의 강제가입을 통해 연금의 관대성을 제고하기 때문에 이와 같은 개혁전략을 채택하면 한국의 연금의 보장성을 악화시킬 가능성이 매우 크다. 특히 비전형 노동자와 저소득층의 연금수준을 악화시킬 가능성이 매우 크다. 또한 후발구조적개혁(LSP)은 한국의 연금제도의 현황에 현실적이지 않다고 본다. 한국의 독특한 산업구조 및 脫산업사회적 요구와 수요로 인해 비정규직 노동자의 증가로 많은 가입자가 이중부담(Double Payment)을 직면해야 하는 실정이다. 노동활성화개혁(LAP)은 한국의 공적연금제도를 강화하며 한국의 노인 빈곤 및 新사회위험(New Social Risk) 등 문제를 완화하는데 있어 도움이 될 수 있다고 판단한다. ; Chapter One: Introduction 1 1.1 The Purpose of this Study 1 1.2 Limitations of Contemporary Literature 7 1.3 Identifying Dynamic Pension Reform and Pension Effort 13 1.4 Research Scope and Research Questions 15 Chapter Two: Theoretical Framework and Literature Review 18 1.1 Pension Reform Background 19 1.1.1 Demographic Pressures 19 1.1.2 Macro-economic Pressures 24 2.1 Pension Reforms Trends and Pension Structures 27 2.1.1 Trend 1: Convergence between Bismarckian and Beveridgean Structures 28 2.1.2 Trend 2: Retrenchment of Inherited Pension Systems 41 2.1.3 Summary 43 3.1 What Influences Changes in Pension Effort? Existing Arguments 45 3.1.1 Socio-economic Factors 46 3.1.2 Institutional Factors 50 3.1.3 Political Factors 52 4.1 Pension Reform Implementation - The Linchpin of Pension Effort 59 5.1 Characterizing Pension Reform – Four Pension Reform Dimensions 63 5.1.1 Insurance 69 5.1.2 Capitalization 70 5.1.3 Targeting 71 5.1.4 Recalibration 72 6.1 Empirical Research Overview 73 7.1 Analytical Framework 79 Chapter Three: Research Methodology 81 1.1 Data and Scope 81 2.1 Operational Definition of Variables 82 2.1.1 Dependent Variables 84 2.1.2 Independent Variables 87 2.1.3 Control Variables 98 3.1 Methodology 107 3.1.1 Part One: Pension Reform Classification 110 3.1.2 Part Two: Evaluation for Pension Effort - Linear Mixed-effect Model (LMM) 114 Chapter Four: Empirical Analysis 119 1.1 Descriptive Analysis 120 1.1.1 Data 120 1.1.2 Macro-socio-economic Changes 122 1.1.3 Tendencies of Pension Expenditure and Pension Generosity 127 1.1.4 Pension Reform across Countries from 1990 to 2015 132 1.1.5 Summary 151 2.2 Cluster Analysis Results 152 2.1.1 Identifying Pension Reform Clusters 152 2.1.2 Pension Reform Cluster Descriptive Statistics 156 2.1.3 Pension Expenditure and Pension Generosity 164 3.1 Pension Reform Characteristics in Four Pension Reform Clusters 166 3.1.1 Labor-activated pension (LAP) Reforms 166 3.1.2 Extended Privatization Pension (EPP) Reforms 175 3.1.3 Latecomer Structural Pension (LSP) Reforms 190 3.1.4 Extensive Retrenchment Pension (ERP) Reforms 198 3.1.5 Summary 207 4.1 Mixed Effect Model Analytical Results 211 4.1.1 Pension Expenditure 218 4.1.2 Pension Generosity 226 Chapter Five: Conclusion 232 1.1 Research Summary of Findings 232 1.2 Theoretical Implications 235 1.3 Policy Implications 239 1.4 Research Limitations 244 References 248 Appendix A. 267 Abstract (Korean) 272 Abstract (Chinese) 278 ; Doctor
1. IntroducciónEn la ponencia se abordarán las relaciones entre instituciones y desarrollo económico focalizando en el problema de la autonomía administrativa de los entes autónomos en Uruguay. El llamado "dominio industrial y comercial" del Estado era la principal herramienta de intervención estatal en la economía en las tres primeras décadas del siglo (lo siguen siendo hoy en día, aunque de una manera diferente). El proceso de construcción de dicho dominio arranca con la fundación del BROU en 1896. La intención original por la cual se dio autonomía administrativa al instituto fue separar la administración de problemas complejos, de las angustias políticas o financieras de los gobiernos. Construir institutos de intervención en la economía que no estuvieran sujetos al juego de la "política menuda" (al decir de Carlos Real de Azúa) fue uno de los propósitos orientadores en la forja de los Entes Autónomos. Este principio fue imaginado como un mecanismo que permitiría una intervención racional del Estado en la economía privilegiando los criterios técnicos de actuación sobre los políticos. Sin embargo, la autonomía administrativa presentaba un problema crucial para el andamiaje institucional del Estado: no estaban previstos en la constitución de 1830. Al momento en que se reforma la constitución (hacia 1917) el problema aparece a los legisladores como un tema de difícil resolución. El artículo 100 de la constitución que entra en vigencia en 1919 pretende dar una solución a esta anomalía. Sin embargo, la solución propuesta deja en manos de la ley la reglamentación definitiva de la autonomía administrativa de cada ente Autónomo. Esta resolución no logra corregir los problemas previos y plantea otros que deberán ser resueltos por los gobiernos sucesivos. Un elemento clave de los intentos de los gobiernos por abordar la definición de la autonomía administrativa durante los años de 1920 es que se encontrarán con la oposición de los mismos Entes Autónomos, los cuales no querrán ceder en cuanto al grado de autonomía alcanzado previamente. En éstos, y especialmente en el más antiguo que era el BROU, se había forjado una fuerte cohesión entre los Directorios y los principales funcionarios de carrera que lideraban el instituto.Los gobiernos se enfrentan a un nuevo actor, el actor burocrático que pugna por mantener la situación de autonomía, consolidada en los años previos a 1920.En el trabajo original de investigación que sustenta esta ponencia, el objetivo central era describir el primer impulso racionalizador del Estado uruguayo. En esta ponencia abordaremos un aspecto crucial de ese primer impulso que fue el surgimiento dentro de las empresas públicas de un personal jerárquico con características particulares. Nuestra principal hipótesis es que al amparo de la autonomía administrativa surgió un estamento de burócratas con una clara conciencia de su rol en la política democrática. Intentaremos mostrar cómo este grupo de "high civil servants" se percibía a sí mismo como un grupo necesario y diferente del actor político. Creemos que esta hipótesis ilumina un aspecto poco estudiado de la construcción del Estado uruguayo y sus mecanismos de intervención en la economía y la sociedad. Tradicionalmente se ha estudiado el rol de los políticos, de los empresarios, de los trabajadores y las diferentes formas de articulación de estos actores en la conformación de las estructuras del Estado uruguayo. Nosotros quisiéramos agregar un actor más, el cual creemos tiene su propia historia para contar, y que es el actor burocrático.El foco de nuestra ponencia estará en el Banco República y en la figura de su primer gerente de carrera, don Octavio Morató.A continuación, delimitaremos las dimensiones analíticas que empleamos para abordar nuestro objeto de estudio. Nos limitaremos a enunciar las principales hipótesis con las cuales interrogaremos el material empírico recolectado. El lector que así lo quiera, puede profundizar el marco teórico en el libro de próxima aparición (BAUDEAN, 2011).De la reflexión de Max Weber sobre la burocracia tomamos el énfasis que éste hace en la importancia del marco legal en la construcción de los roles que llevarán a cabo políticos y burócratas y en la definición de las características organizacionales de la burocracia. Con esta idea como guía abordaremos el marco constitucional y legal que dio forma al sistema de empresas públicas en su origen y particularmente al Banco República. Del institucionalismo de corte estructuralista, tomamos la hipótesis según la cual en el momento en que el Estado conquista cierta autonomía en el manejo de problemas específicos se convierte en arena del conflicto social (EVANS, RUESCHEMEYER, 1985). Esta hipótesis nos conducirá a precisar cuáles eran los aspectos críticos de la autonomía administrativa que generaban conflicto entre burocracia y clase política. La reflexión de Rudolph y Hoeber Rudolph (1984) nos hará profundizar en laimportancia del manejo del poder hacia el interior de la organización. En este sentido, intentaremos mostrar cuáles eran los problemas que Directores y altos burócratas del BROU veían en la posibilidad de mayores controles por parte del poder político en el manejo interno de la organización.La reflexión de Morstein Marx (1963) sobre el high civil service nos llevará a darle especial importancia al pensamiento del actor burocrático. De aquí el foco en el pensamiento de Octavio Morató. Dicho pensamiento será interpretado como un indicador de la autopercepción que los altos burócratas tenían sobre su rol en la política democrática.Por último, de la corriente neo-institucionalista (MEYER, ROWAN, 1991) nos interesará explorar la hipótesis según la cual las organizaciones son construidas y modeladas en su estructura y funcionamiento por los valores y principios institucionalizados prevalecientes en las sociedades donde están insertas. Esta hipótesis permite prever que las organizaciones que se alejan de dicho entorno de valores y principios institucionalizados encontrarán problemas en su consolidación y legitimación. En consecuencia, el trabajo de reconstrucción histórica realizado enfatiza en los conceptos institucionalizados a lo largo del siglo XIX sobre la estructura del Estado, el valor político y social de la burocracia y la organización del sistema financiero. La idea de la autonomía administrativa obtenía legitimidad de ciertos principios institucionalizados sobre las finanzas así como entraba en conflicto con otros vinculados a la relación entre los partidos y sus bases sociales. 2. El problema de investigación en su contexto históricoEl período que va desde la década de 1870 hasta la segunda década del siglo XX es el momento histórico de la consolidación y centralización del poder estatal. En el mismo se pasa desde un Estado de cuño liberala un Estado interventor en la economía. El corolario de este proceso es la institucionalización de la democracia con la constitución de 1919. Con esta reforma se inician la depuración de los procesos electorales y los arreglos institucionales que conducirán a la coparticipación de los partidos tradicionales en la administración.En las primeras décadas del siglo XX, con Batlle y Ordoñez en la presidencia (1), se consolidan las principales instituciones que mediarán en la intervención en la economía por parte del Estado: las empresas públicas o entes autónomos(2). Dichos entes eran, precisamente, autónomos en un país cuyos cimientos constitucionales prefiguraban un estado "unitario y centralista" al decir de historiadores y constitucionalistas. Dicha autonomía, implicaba que los directorios de los entes tenían potestad de "libre, franca y general administración": capacidad de designar y destituir funcionarios y de elaborar su propio presupuesto. Los directorios, a su vez, eran designados por el Ejecutivo con previa venia del Senado(3). Sin embargo, según la constitución de 1830 -en curso al momento de la creación de los primeros entes- el poder Administrador recaía en el Ejecutivo. Es así que la descentralización administrativa y la creación de una burocracia estatal autónoma comienza en Uruguay con elementos emparentados con las reformas que por la misma época (1870-1920) se implementaban en Europa y Estados Unidos (RAMOS, 2004). El elemento en común es el problema de"resolver el cómo se deberá producir la politización y despolitización simultánea que se debe operar al interior del sistema Ejecutivo de gobierno" (RAMOS, 2004). Es decir, el problema de cómo construir una burocracia meritocrática relativamente autónoma de los vicios de la política, pero al mismo tiempo capaz de servir a los gobiernos democráticamente elegidos. Sin embargo, el origen del concepto de autonomía tiene una historia que se hunde en los problemas del Estado uruguayo en el siglo XIX. En particular, el problema de generar una estructura estatal con autonomía financiera de los sectores económicamente dominantes en el país. El Banco República fue pensado –entre otros fines- para resolver este problema. En la coyuntura marcada por la crisis de 1890, uno de los problemas centrales que proponía una institución bancaria vinculada al Estado radicaba en la desconfianza que este vínculo despertaba en los sectores que dominaban el crédito a nivel local. En un sistema de patrón oro, dicho grupo tenía múltiples mecanismos para desestabilizar el normal desarrollo de una nueva institución estatal. La autonomía de la que gozará por ley el BROU (desde 1896) fue una fórmula de compromiso, fruto de la debilidad del Estado frente al capital financiero local. Dicha autonomía aseguraba a éstos últimos que la nueva institución no iba a ser manipulada para sofocar las angustias financieras de los gobiernos.Ahora bien, hay dos elementos escasamente subrayados en toda su importancia en lo que respecta a esta creación institucional (la descentralización vía la creación de entidades autónomas).En primer lugar, que esta idea se constituyó en una verdadera tradición en nuestro país. Pero lo más importante es que esta tradición de autonomía (4) fue defendida y fundamentada en conceptos de eficiencia organizacional e interés público por las mismas empresas, sus directorios y altos jerarcas (especialmente en el caso del BROU que será el foco de interés de esta ponencia). Esto es de resaltar porque –en el lenguaje teórico que emplearemos- es un indicador del temprano desarrollo de un actor burocrático con conciencia de un rol diferenciado del actor político partidarios así como de otros actores sociales.En segundo lugar, el BROU fue a la postre el modelo sobre el cual se inspiraron el resto de las empresas públicas del período. Con la fundación del BROU el concepto de autonomía administrativa aparece por primera vez en su máximo grado de expresión (Sayagues Laso, 1991, 225-253). Batlle y Ordoñez vislumbró en la formula organizacional de la autonomía una forma eficiente de administrar organismos complejos y sujetos a la sospecha de "manejo político" y la respetó, difundió y alentó. El concepto de autonomía se volvió problemático cuando se le quiso dar estatuto constitucional. La primera solución es la del artículo 100 de la constitución de 1919. La misma fue una solución incompleta. Desde la entrada en vigencia de la constitución llevó a polémicas tanto a nivel jurídico como entre las nuevas empresas y el Poder Ejecutivo. Tras varios intentos frustrados de reglamentación del artículo 100 a lo largo de la década de 1920, el mismo quedó sin reglamentar. El Consejo Nacional de Administración (5) (CNA) era quien tenía a cargo la supervisión general de los entes. En sucesivas reformas constitucionales, la tradición autonómica persiste y se desarrolla a nivel constitucional (1934, 1942 y 1952). Pero persistirá manteniendo características diferentes a las originales. En 1983, Solari y Franco escribían que las autonomías de las empresas públicas fueron altas hasta 1930 (6) y que con la constitución de 1934 comienzan a verse limitadas, cerrándose un ciclo de re-centralización hacia la constitución de 1967. Asimismo sugieren que el estudio de las autonomías a posteriori de 1967 es más complejo de lo que parece si uno se guía exclusivamente por el marco legal (7).Ahora bien, poco se sabe de los debates y tensiones que se generaron en el período histórico que va de 1920 a 1933, momento en que la autonomía de las empresas públicas es fuertemente criticada. ¿Cuáles fueron las posiciones de políticos y burócratas en torno a la autonomía?, ¿cuáles eran los grandes temas que se discutieron?, ¿qué alternativas se planteaban para dar solución a los conflictos generados? En el resto de la ponencia abordaremos dos temas que permiten responder parcialmente las preguntas planteadas. Primero, la sanción constitucional de la autonomía administrativa de los entes autónomos (1917-1919). Este es el marco legal que da pie a los encuentros y desencuentros entre el BROU y el Poder Ejecutivo durante el período de duración de la segunda constitución que tuvo el país (1919-1933). Encuentros y desencuentros que estarán pautados por la discusión del alcance que la nueva constitución daba a la autonomía del instituto (particularmente en lo referente a la elaboración y sanción de su presupuesto) y la definición del estatuto de sus funcionarios (el debate acerca de si los mismos debían ser considerados funcionarios públicos o especiales). Segundo, profundizaremos en la perspectiva burocrática sobre estos problemas. Para ello abordaremos el pensamiento de Octavio Morató, gerente del BROU entre 1921 y 1937. (8)3. La autonomía administrativa del dominio industrial del Estado y la reforma de la constituciónEl marco en el que se debatió y se procesó la reforma que culminó en la constitución de 1919 fue una coyuntura donde se superpusieron nuevos y viejos problemas. Como lo expone Benjamín Nahum (NAHUM, 1998: 53-54), dicha coyuntura estuvo marcada por la resolución de al menos tres grandes problemas.En primer lugar, la experiencia de la guerra civil había puesto de manifiesto la necesidad de superar las limitaciones que la primera constitución oponía al sufragio. En segundo lugar, los nuevos entes autónomos creados no estaban "previstos ni regulados" por la vieja Constitución.En tercer lugar, y vinculado al problema anterior, la Constitución de 1830 era excesivamente centralista y ponía en manos del Presidente de la República una suma de poder que lo convertía en figura clave en la sociedad. Esta centralización era un problema para la democracia y la reforma constitucional debía dar una respuesta.En virtud de esta agenda, la discusión de dicha constitución fue uno de los momentos ideológicos más importantes del siglo XX en Uruguay (PANIZZA: 1990). Básicamente se discutió todo el andamiaje institucional que ordenaba la vida política del país. El problema jurídico que representaba la existencia de organismos y servicios tuvo un largo proceso de discusión que derivó en la redacción del artículo 100 de la Constitución de 1919. Veremos las diferentes posiciones sobre el problema a continuación.3.1. Posiciones sostenidas a nivel parlamentario sobre el problema de la descentralización (previo a la Constituyente de 1917) Veremos un resumen de las principales posiciones sostenidas en los debates parlamentarios tal como las resume Sayagués en el "Tratado de Derecho Administrativo" (1991: 144 y 145).Básicamente se sostuvieron tres criterios diferentes frente al problema de los nuevos organismos y servicios descentralizados: Posición 1. Las Cartas Orgánicas creadas mediante la ley eran inconstitucionales cuando consagraban una descentralización amplia.El principal argumento giraba en torno a la defensa del Poder Ejecutivo como "jefe superior de la administración" y al cual la ley no podía quitar las potestades que la Constitución le atribuía expresamente (dictar reglamentos, nombrar y destituir empleados públicos) para cederlas a las autoridades de los nuevos entes. Por otra parte, se cuestionaba fuertemente el hecho de que los presupuestos de gastos de algunas organizaciones (caso del BROU) pudiesen ser sancionados por sus propios directorios o con aprobación del Poder Ejecutivo, desconociendo de esta forma la competencia del Parlamento para autorizar los gastos públicos.Posición 2. Las Cartas Orgánicas creadas por la ley eran constitucionales. Esta posición fue mantenida por quienes defendieron la creación de los entes en el Parlamento (fuertemente por el sector batllista, pero también por blancos principistas como Martín C. Martínez). Resume Sayagués Laso (1991b: 145): "Se argumentaba diciendo que el Presidente era el jefe superior de la administración general de la República, pero no de las administracionesespeciales que el legislador crease; por tanto, concluíase que la ley podía dar amplios poderes de decisión a las autoridades de esos servicios. Un razonamiento análogo los llevaba a limitar la competencia del Poder Legislativo en materia presupuestal". (énfasis original).Posición 3. Las Cartas Orgánicas creadas por la ley no eran constitucionales ni inconstitucionales, sino EXTRACONSTITUCIONALES. Esta posición fue defendida por algunos legisladores que votaron favorablemente la creación de los nuevos entes. Se argumentaba que la Constitución de 1830 no preveía la descentralización administrativa por servicios, que comenzó a desarrollarse a posteriori por la vía de los hechos y por circunstancias especiales. En consecuencia, "el texto constitucional no la había permitido ni prohibido, sino simplemente ignorado"(SAYAGUÉS LASO, 1991: 145) .Los grandes temas que dividían las opiniones se centraban en:Los poderes de decisión de los directorios de los entes y su relación con la posición institucional del Poder Ejecutivo.La autoridad de la ley para crear dichos servicios frente a la autoridad de la Constitución misma.La competencia del Parlamento frente a los presupuestos de gastos de dichos servicios.Como puede observarse, se trata de una compleja mezcla de problemas jurídicos por una parte, y otros que van directamente a la relación entre política y administración. Estaba en juego la progresiva constitución de áreas de la administración que –de seguir las pautas de desarrollo que mantenían- podrían constituirse en arenas de decisión con alta independencia de los partidos en materias económicas, financieras y sociales. El problema radicaba en la precaria situación que tenía el Parlamento frente a estos nuevos segmentos de la administración.3.2. La Convención ConstituyenteHubo coincidencia entre los constituyentes en que la nueva Constitución consagrase el principio de la autonomía y en que el proyectado Consejo Nacional de Administración (CNA) tuviese a su cargo la superintendencia de dichos organismos. Las mayores divergencias surgieron en torno a la definición de la autonomía y a la conveniencia o no de extenderse sobre la misma en el texto constitucional. Existía diversidad de situaciones en los grados de autonomía que tenían los organismos y servicios descentralizados y también en la independencia económica que podían llegar a tener frente al Ejecutivo. Esto condujo a que no prosperara entre los constituyentes la idea de Martín C. Martínez de darle un contenido preciso al concepto mismo de autonomía. Predominó la idea de que sería la ley la que fijaría la extensión de la autonomía en cada caso. En consecuencia, el reconocimiento constitucional de la descentralización se redujo a un solo artículo (artículo 100) (8), no explicitándose el alcance de la autonomía. Esto generó la necesidad de definir con mayor precisión la relación entre el CNA y los diversos entes mediante la ley. Dado que preexistían diversas opiniones a nivel político sobre el tema y que los entes tenían posición tomada en defensa de la autonomía, se generaron debates y enfrentamientos mientras duró la Constitución de 1919 que nunca llegaron a resolverse en forma coherente y unificada.Pese a estos problemas, el artículo 100 fue un logro en varios sentidos. Constitucionalizó el proceso de descentralización administrativa que se había iniciado al margen de la Constitución de 1830. Con ello consagró un amplio traspaso de poderes de administración hacia los Consejos Directivos o Directorios de los entes.3.3. Las bases legales del conflicto entre gobierno y burocraciaTeniendo en cuenta estas disposiciones constitucionales, el problema estaba en resolver qué pasaba con las previas Leyes Orgánicas de los entes y servicios descentralizados: el artículo 100, ¿derogaba o no esas leyes? En caso afirmativo: ¿en qué medida se había operado dicha derogación? (SAYAGUÉS LASO, 1991:151).El BROU (9) se amparaba en la frase "serán administrados por Consejos Autónomos" para considerar derogadas de las previas Leyes Orgánicas todo lo referente a los controles administrativos que eventualmente el Ejecutivo pudiera imponer en el gobierno del instituto. Asimismo, en la postura institucional del BROU se consideraba como taxativos todos los casos de intervención del CNA enumerados en la segunda parte del artículo 100. En general, la postura de los entes fue acompañada por la doctrina jurídica de la época, siendo la mayor discrepancia el tema de las potestades presupuestales (donde juristas como Demichelli, Ramela de Castro y Martín C. Martínez mantenían posturas diferentes) (SAYAGUÉS LASO, 1991: 152). Por su parte, el Poder Ejecutivo (fundamentalmente el CNA) y el Parlamento sostuvieron la tesis de que el artículo 100 consagraba solamente el principio de la autonomía, dejando la precisión del alcance de la misma en manos del legislador. En consecuencia, mientras no se dictase la ley reglamentaria se deberían considerar vigentes todos los artículos de las previas Leyes Orgánicas que preveían intervenciones del Ejecutivo o el Parlamento en la administración de los entes. Esta divergencia dio lugar a enfrentamientos entre los poderes y las empresas. En nuestra opinión –pese a no tener evidencia contundente al respecto- las empresas se vieron en la obligación de exagerar sus fueros autonomistas debido a que la constitución de 1919 implicaba por primera vez la coparticipación de ambos partidos tradicionales en la conducción de temas administrativos de gobierno. Es plausible que las empresas -frente a un CNA que contenía en su interior a representantes de la oposición por primera vez- buscasen separar más radicalmente su administración de las injerencias de los poderes como forma de preservar el amplio margen de maniobra al que estaban acostumbradas.(1) Más precisamente, en su 2da presidencia: 1911 – 1916.(2) Luego de 1933 y en un contexto económico y político diferente, las empresas públicas también serán usadas con fines regulatorios junto a otros andamiajes institucionales destinados a tal fin.(3) Este modelo, que es el que corresponde a la 1era Carta Orgánica del Banco de la República (1896), se repitió –con variantes que delimitaban diversos grados de autonomía- para las empresas públicas creadas durante la 2da presidencia de Batlle.(4) Tradición que tuvo tiempo de madurar y permear la conciencia de los burócratas de carrera del Banco República por lo menos a lo largo de 3 décadas (desde la fundación del instituto hasta entrada la década de los '30).(5) Según la constitución de 1919 el Poder Ejecutivo se dividía en dos organismos: Presidente y Consejo Nacional de Administración con funciones específicas y diferenciadas.(6) Una prueba tangencial de ello son los debates con los gobiernos que se verán en el cuerpo central de esta tesis.(7) "Hasta esta última fecha [1967], sin embargo, la autonomía real frente al poder ejecutivo era elevada salvo en los casos, cada vez más frecuentes, de pérdida de la autonomía financiera . Sin embargo, la cuestión de la autonomía y su disminución no es tan simple. En forma paralela a la causa financiera se va produciendo también un proceso de pérdida de la autonomía real frente a los partidos políticos. Estos cada vez recurren con más fuerza al sector empresarial estatal, como recurso político. La paradoja es que dada la estructura de los partidos, la pérdida de autonomía frente a ellos puede traducirse muy a menudo en el surgimiento de la posibilidad de afirmar la autonomía frente al poder ejecutivo, inclusive en casos de imposibilidad de autofinanciamiento". Más adelante concluyen: ".surge la interrogante sobre si lo más característico del período actual es la disminución generalizada de las autonomías, lo que en algunos aspectos parece evidente, o una compleja transformación por la cual antiguas autonomías reales han sido sustituidas por otras diferentes, pero no menos reales" (SOLARI, FRANCO, 1983: 94-95).(8) Artículo 100: "Los diversos servicios que constituyen el dominio industrial del Estado, la instrucción superior, secundaria y primaria, la asistencia y la higiene públicas serán administrados por Consejos Autónomos. Salvo que sus leyes los declaren electivos, los miembros de estos consejos serán designados por el Consejo Nacional. A este incumbe destituir a los miembros de los consejos especiales con venia del Senado, ser juez de las protestas que originen las elecciones de los miembros electivos, apreciar las rendiciones de cuentas, disponer las acciones competentes en caso de responsabilidad y entender en los recursos administrativos según las leyes".(9) Junto con el BROU, también defendían dicha posición los entes autónomos que tenían en lo previo un grado similar de autonomía. *Profesor de Fundamentos de la Investigación Social, Métodos de investigación y Taller de Monografía.Depto de Estudios InternacionalesFACS – ORT Uruguay(ma.baudean@gmail.com). BIBLIOGRAFÍAABERBACH, J.; PUTNAM, R. ; ROCKMAN, B. 1981. Bureaucrats and politicians in western democracies. Cambridge: Harvard University Press.ACEVEDO, Eduardo. 1934. Anales históricos del Uruguay. Tomo IV. Montevideo: Barreiro y Ramos.Banco de la República Oriental del Uruguay [Raúl Montero Bustamante]. (s.f.) El Banco República en su Cincuentenario. Memoria Histórica (1896-1946). Montevideo: BROU.BARRÁN, J. P. 1998. El Apogeo del Uruguay pastoril y caudillesco. Montevideo: La República, EBO.BARRAN, J.P.; NAHUM, B. 1971. Historia Rural del Uruguay Moderno. Tomo II. Montevideo: EBO.BARRAN, J.P.; NAHUM, B. 1973. Historia Rural del Uruguay Moderno. Tomo III. Montevideo: EBO.BARRAN, J.P.; NAHUM, B. 1978. Historia Rural del Uruguay Moderno. Tomo VII. Montevideo: EBO.BARRAN, J.P.; NAHUM, B. 1984. El problema nacional y el Estado: un marco histórico. En: La crisis uruguaya y el problema nacional. Montevideo: CINVE, EBO.BARRAN, J.P.; NAHUM, B. 1986. Batlle, los estancieros y el imperio Británico. Tomo III. Montevideo: EBO.BARRAN, J.P.; NAHUM, B. 1987. Un caso monetario singular: el orismo uruguayo. En: Revista SUMA 2 (3) : pp. 79-87BARRAN, J.P.; NAHUM, B. 1990. Batlle, los estancieros y el imperio Británico. 2ª.ed. Tomo I. Montevideo: EBO.BAUDEAN, Marcos. 2011. Los dilemas de la intervención estatal en la economía. 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[spa] Los lenguajes de especialidad han sido tratados, en los últimos años, desde un punto de vista filológico. No obstante, su análisis se ha planteado principalmente desde disciplinas terminológicas, con el objetivo de delimitar y unificar en el presente el corpus léxico de una rama especifica del saber. En algunas otras ocasiones, su estudio se ha centrado en su posible caracterización teórica, en relación con el lenguaje común o con otros lenguajes. Ambas perspectivas, entendidas como intentos por delimitar cuantitativa y cualitativamente determinadas parcelas del léxico, no han incidido en demasía en dos aspectos fundamentales. En primer lugar, en el trazado de un itinerario histórico-lingüístico de la adopción y desarrollo de un grupo de términos comunes a una ciencia, a una técnica o a una profesión, con los textos en la mano; en segundo lugar, en la necesidad de establecer las relaciones que existen entre lengua, cultura y sociedad en los momentos de aparición y evolución de un lenguaje de especialidad. Por tanto, esta vertiente une el lenguaje con la historia de las ciencias y de las técnicas, sin restringir en ningún momento la explicación de los hechos lingüísticos al ámbito filológico. Este es el objetivo de la presente tesis doctoral: analizar y exponer exhaustivamente el proceso de introducción y desarrollo del léxico del ferrocarril en el español, teniendo en cuenta los documentos originales, la historia de los términos y el transcurrir paralelo de los mismos respecto a la evolución técnico-científica de nuestro país en materia ferroviaria. En cuanto a la estructura del estudio, éste se organiza en tres grandes apartados. El primero, tras una breve presentación, incluye los capitulas dos, tres y cuatro, que suponen una introducción alterna en distintos estadios. El capitulo dos se desdobla en una sucinta exposición de los antecedentes españoles en el tratamiento de los lenguajes de especialidad y en una serie de reflexiones teóricas de carácter metodológico sobre los mismos. En especial, en torno a la dificultad que existe, desde un punto de vista semántico, para establecer criterios que expliquen los procesos significativos y de cambio de sentido, o la organización del léxico por campos. Centrado ya en el léxico ferroviario, el capitulo tres ofrece, por una parte, un repaso de los estudios anteriores dedicados a este campo. En concreto, se dan referencias de las escasas aportaciones producidas en relación con la lengua española, así como de los estudios publicados durante el siglo XX sobre el léxico del ferrocarril en el inglés, el alemán y el francés. Por otra parte, se ubica la terminología ferroviaria española en la historia de los orígenes del nuevo medio de transporte en España. El capítulo cuatro es un extenso análisis de las fuentes consultadas para la documentación de los términos a partir de 1829, techa de los primeros testimonios escritos relativos al ferrocarril. Las obras corresponden a seis ámbitos diferenciados: 1) tratados y manuales técnicos, que en los primeros momentos correspondieron a traducciones de textos franceses; 2) documentación técnico-administrativa, en forma de prospectos, proyectos, memorias, instrucciones y manuales de divulgación; 3) obras legislativas, estatutos y reglamentos (con diferencia el tipo de fuente menos productivo); 4) prensa especializada, tanto específicamente ferroviaria como técnica en general; 5) textos literarios, de gran interés por lo que respecta a las primeras décadas; y 6) obras lexicográficas. El segundo gran apartado de la tesis corresponde a los capitulas cinco y seis, cuerpo fundamental del estudio. En el capitulo cinco, la introducción y el desarrollo del léxico del ferrocarril en la lengua española han sido analizados a través de siete periodos que van desde 1829 hasta 1910. Se ha intentado que los criterios seguidos para la delimitación de cada periodo se vean reflejados en su encabezamiento. De este modo, el itinerario se inicia con el titulo "Los primeros términos (1829-1835)" al que, tras un silencio en consonancia con la propia historia de España, siguen los siguientes cortes: "Testimonios literarios (1840-1842)", "Un nuevo arranque (1844-1846)" -coincidente con los proyectos que dieron lugar a los primeros kilómetros españoles de vía férrea-, "Primeras Incorporaciones lexicográficas (1846-1850)", "La consolidación del léxico ferroviario (1851-1862)", "La lexicografía ferroviaria (1863-1887)" y, finalmente, "El cambio de siglo (1888-1910)." El seguimiento del léxico del ferrocarril en todos los periodos se ha basado en una estructura de árbol de campo, que incluye los siguientes subcampos: Denominación del medio, Material fijo, Material móvil, Dependencias y construcciones, Personal, Circulación y servicios, y Señalización y seguridad. A su vez, el Material fijo, el Material móvil y las Dependencias y construcciones se han subdivido en diversos subcampos, con el fin de acercar la realidad del ferrocarril a un tipo de estructura cognitiva. El diseño ha facilitado el plan de vaciado de las fuentes y el establecimiento de relaciones internas entre los términos. Además, como puede observarse en el índice, esta organización posibilita una lectura distinta de la lineal. Se trata de una lectura transversal que permite el seguimiento de cada subcampo con una solución de continuidad entre los distintos periodos cronológicos. De este modo, por ejemplo, el subcampo correspondiente a "Dependencias y construcciones" puede hallarse en cada periodo bajo el subapartado cuatro. El seguimiento de todos los subapartados que figuran bajo esta numeración en !os sucesivos cortes adquiere una unidad propia en torno al subcampo y no obliga al lector a pasar por el resto de subcampos. En el capitulo seis, dos apéndices completan el estudio: el aludido anteriormente en relación a la "Evolución del léxico ferroviario español (Siglo XX"), donde a la misma estructura nocional ya comentada se unen unas paginas dedicadas a las siglas, y un segundo apéndice dedicado al léxico ferroviario hispanoamericano. Sobre la estructura de la tesis, resta aludir a un tercer apartado que concluye el estudio y que está formado por los capítulos siete, ocho y nueve. A ellos corresponden, respectivamente, las conclusiones, un índice de términos citados y las referencias bibliográficas utilizadas, bien como fuentes, bien como obras de consulta. Estos capítulos ofrecen una información de gran utilidad, añadida a la que, por supuesto, puede derivarse del uso de todo el texto en general. Hay que insistir en el valor que el índice de términos tiene en el conjunto de la tesis, ya que su disposición permite seguir los pasos de cada voz a lo largo de la obra y, por tanto, determinar su evolución en el tiempo de forma documentada. Además, la lematización del índice hace que, en los casos de estructuras complejas, cada uno de los lemas que las forman posea una entrada propia. Con ello se ha pretendido facilitar las remisiones internas y dar un rigor filológico a su contenido. El índice conviene así el trabajo en una especie de diccionario histórico del léxico ferroviario. ; [eng] The languages of specific themes have been treated, in the last years, from a philological point of view. Nevertheless, their analysis has been expounded mainly from terminological disciplines with the objective of defining and unify the corpus lexical of a specific branch of the knowledge presently. In some other occasions, Their study has been centred in their possible theoretical characterization, in connection with the common language or with other languages. Both perspectives there aren't fall into two fundamental looks. In first place, in the tracing of a historical-linguistic itinerary of the adoption of a group of common terms to a science, to a technique or to a profession, with the texts in the hand; in second place, in the necessity of establishing the relationships that exist between language, culture and society in the moments of apparition and evolution of a language of specialty. This is the objective of this doctoral thesis: analyzing the process of introduction and development from the lexicon of the railroad in the Spanish language, keeping in mind the original documents, the history of the terms and their lapse parallel to the technician-scientific Spanish evolution in rail matter. As for the structure of the study, this is organized in three big sections. The first supposes an introduction to the topic with metodological character. In the second section, the apparition of the lexicon of the railroad in the Spanish language has been analyzed through seven periods that go from 1829 up to 1910, with two appendixes corresponding to the XX century and to the Hispanic-American railway lexicon. The pursuit in all the periods has based an opinion on a lexical structure of tree of field. The third section pertains to the conclusions, an index of cited terms and the bibliographical references. The index of terms turns into the work in a kind of a historical dictionary of the railway lexicon.
Not Available ; The land resource inventory of Hire Shindhogi microwatershed was conducted using village cadastral maps and IRS satellite imagery on 1:7920 scale. The false colour composites of IRS imagery were interpreted for physiography and these physiographic delineations were used as base for mapping soils. The soils were studied in several transects and a soil map was prepared with phases of soil series as mapping units. Random checks were made all over the area outside the transects to confirm and validate the soil map unit boundaries. The soil map shows the geographic distribution and extent, characteristics, classification, behavior and use potentials of the soils in the microwatershed. The present study covers an area of 526 ha in Koppal taluk and district, Karnataka. The climate is semiarid and categorized as drought - prone with an average annual rainfall of 662 mm, of which about 424 mm is received during south–west monsoon, 161 mm during north-east and the remaining 77 mm during the rest of the year. An area of about 83 per cent is covered by soils and 17 per cent by habitation and water bodies, settlements and others. The salient findings from the land resource inventory are summarized briefly below. The soils belong to 9 soil series and 16 soil phases (management units) and 5 land management units. The length of crop growing period is 200 mm/m) in available water capacity. An area of about 18 per cent has nearly level (0-1%) and 65 per cent area has very gently sloping (1-3%) lands. An area of about 44 per cent has soils that are slightly eroded (e1) and 39 per cent moderately eroded (e2) lands. An area of about 9.0) in soil reaction. The Electrical Conductivity (EC) of the soils is non-saline (0.75%) in 32 per cent area of the soils. Available phosphorus is medium (23-57 kg/ha) in entire area of about 83 per cent in the microwatershed. About 2 per cent of the soils are medium (145-337 kg/ha) and 81 per cent soils are high (>337 kg/ha) in available potassium content. Available sulphur is high (>320 ppm) in the entire area of the microwatershed. Available boron is low (0.5 ppm) in about 48 per cent area and 35 per cent are medium (0.5-1.0 ppm). Available iron is sufficient (>4.5 ppm) in 81 per cent and deficient (0.6 ppm) in about 60 per cent area. Available manganese and copper are sufficient in all the soils. The land suitability for 31 major agricultural and horticultural crops grown in the microwatershed were assessed and the areas that are highly suitable (S1) and moderately suitable (S2) are given below. It is however to be noted that a given soil may be suitable for various crops but what specific crop to be grown may be decided by the farmer looking to his capacity to invest on various inputs, marketing infrastructure, market price and finally the demand and supply position. Land suitability for various crops in the microwatershed Crop Suitability Area in ha (%) Crop Suitability Area in ha (%) Highly suitable (S1) Moderately suitable (S2) Highly suitable (S1) Moderately suitable (S2) Sorghum 70 (13) 283 (54) Sapota 18 (3) - Maize 1 (<1) 351 (67) Pomegranate 18 (3) 335 (64) Bajra 18 (3) 334 (64) Musambi 70 (13) 283 (54) Groundnut 17 (3) 57 (11) Lime 70 (13) 283 (54) Sunflower 70 (13) 283 (54) Amla 18 (3) 391 (74) Red gram 18 (3) 272 (52) Cashew 17 (3) 1 (<1) Bengalgram 52 (10) 301 (57) Jackfruit 18 (3) - Cotton 70 (13) 283 (54) Jamun 18 (3) 272 (52) Chilli 18 (3) - Custard apple 70 (13) 338 (64) Tomato 18 (3) - Tamarind 18 (3) 273 (52) Brinjal - 410 (78) Mulberry 18 (3) 207 (39) Onion - 75 (14) Marigold 18 (3) 334 (64) Bhendi - 410 (78) Chrysanthemum 18 (3) 334 (64) Drumstick 18 (3) 392 (74) Jasmine 18 (3) - Mango 18 (3) - Crossandra 18 (3) 79 (15) Guava 17 (3) 1 (<1) Apart from the individual crop suitability, a proposed crop plan has been prepared for the 5 identified LMUs by considering only the highly and moderately suitable lands for different crops and cropping systems with food, fodder, fibre and other horticulture crops that helps in maintaining productivity and ecological balance in the microwatershed. Maintaining soil-health is vital for crop production and conserve soil and land resource base for maintaining ecological balance and to mitigate climate change. For this, several ameliorative measures have been suggested for these problematic soils like saline/alkali, highly eroded, sandy soils etc. Soil and water conservation treatment plan has been prepared that would help in identifying the sites to be treated and also the type of structures required. As part of the greening programme, several tree species have been suggested to be planted in marginal and submarginal lands, field bunds and also in the hillocks, mounds and ridges. That would help in supplementing the farm income, provide fodder and fuel, and generate lot of biomass which in turn would help in maintaining the ecological balance and contribute to mitigating the climate change. SALIENT FEATURES OF THE SURVEY The results indicated that 38 farmers were sampled in Hire Shindhogi micro watershed among them 7 (18.42 %) were marginal farmers, 10 (26.32%) were small farmers, 11 (28.95 %) were semi medium farmers and 5 (13.16%) were medium farmers. Apart from these 5 (13.16%) landless farmers were also interviewed for the survey. The data indicated that there were 96 (51.06%) men and 92 (48.94%) were women among the sampled households. The average family size of marginal farmers was 5, small farmer was 5, semi medium farmer was 5, medium farmers were 6 and for landless farmers it was 4. The data indicated that 43 (22.87%) people were in 0-15 years of age, 73 (38.83%) were in 16-35 years of age, 55 (29.26 %) were in 36-60 years of age and 17 (9.04%) were above 61 years of age. The results indicated that the Hire Shindhogi had 31.38 per cent illiterates, 1.06 per cent functional literates, 33.51 per cent of them had primary school education, 5.32 per cent of them had middle school education, 13.30 per cent of them had high school education, 7.45 per cent of them had PUC education, 0.53 per cent of them had ITI, 1.60 per cent of them had degree education and 5.32 per cent of them had other education. The results indicate that, 84.21 per cent of households practicing agriculture, 5.26 per cent of the household heads were agricultural labourers and 2.63 per cent of the household heads were doing private service. The results indicate that agriculture was the major occupation for 45.21 per cent of the household members, 21.28 per cent were agricultural labourers, 0.53 percent were in government service, 2.13 per cent of them were in private sector, 22.34 per cent of them were students and 0.53 per cent were housewives. In case of landless households 30 per cent were agricultural labourers, 5 per cent were private services and 40 per cent were students. In case of marginal farmers 50 per cent were agriculturist, 21.88 percent were agricultural labour and 25 per cent were students. In case of small farmers, 54.35 per cent of the household members were practicing agriculture and 17.39 per cent of them were students. In case of semi medium farmers 45.61 per cent of the household members were practicing agriculture and 19.30 per cent of them were students. In case of medium farmers, 48.48 per cent of the household members were performing agriculture, 18.18 per cent of them were agricultural labour and 21.21 per cent of them were students. The results showed that 1.06 per cent of them participated in Sthree Shakthi Sangha, 0.53 per cent of them participated in user group and 98.40 per cent of them have not participated in any local institutions. Landless, small and medium farmers were found to have no participation in any local institutions. Marginal and semi medium farmers were found to participate in one or the other local institutions. 2 The results indicated that 73.68 per cent of the households possess Katcha house, 7.89 per cent of them possess Pucca house and 21.05 per cent of them possess Semi Pacca house. 100 percent of the landless farmers possess Katcha house. The results showed that 5.26 per cent of the households possess radio, 76.32 per cent of the households possess TV, 7.89 per cent of the households possess DVD, 42.11 per cent of the households possess Mixer grinder, 44.74 per cent of the households possess bicycle, 26.32 per cent of the households possess motor cycle, 5.26 per cent of the households possess auto, 2.63 per cent of the households possess car and 78.95 per cent of the households possess mobile phones. The results showed that the average value of radio was Rs.400, average value of television was Rs.4968, the average value of DVD/VCD Player was Rs.2333, mixer grinder was Rs.2381, Auto was Rs.42500, bicycle Rs.1323, motor cycle was Rs.33150, Car was Rs. 250000 and mobile phone was Rs.1266. The results showed that about 23.68 per cent of the households possess plough, 28.95 per cent of them possess bullock cart, 2.63 cent of the households possess seed/fertilizer drill, 10.53 cent of the households possess tractor, 23.68 per cent of the households possess sprayer, 36.84 per cent of them possess weeder, 5.26 per cent of them were possess chaff cutter and 2.63 per cent of the households possess JCB/Hitachi. The results showed that the average value of plough was Rs.1655, the average value of bullock cart was Rs. 21072, the average value of seed/Fertilizer drill Rs. 15000, the average value of tractor Rs. 375000, the average value of sprayer was Rs.2655, the average value of weeder Rs. 69, the average value of chaff cutter Rs.1800, the average value of JCB Rs.1000000 and the average value of duster was Rs. 8000. The results indicated that, 31.58 per cent of the households possess bullocks, 26.32 per cent of the households possess local cow and 2.63 per cent of the households possess crossbred cow and buffalo respectively. The data showed that, in case of marginal farmers, 33.33 per cent of the households possess bullock and 50 per cent of the households possess local cow. In case of small farmers, 20 per cent of households possess bullock and local cow and 10 per cent possess buffalo. In case of semi medium farmers, 54.55 per cent of the households possess bullock, 18.18 per cent possess local cow and 9.09 per cent possess buffalo. In medium farmers, 20 per cent of the households possess bullock and 60 per cent possess local cow. The results indicated that, average own labour men available in the micro watershed was 2, average own labour (women) available was 1.64, average hired labour (men) available was 5.03 and average hired labour (women) available was 5.36. The results indicated that, in case of marginal farmers, average own labour men available was 1.71, average own labour (women) was 1.29, average hired labour (men) was 4.57 and average hired labour (women) available was 5.43. In case of 3 small farmers, average own labour men available was 1.90, average own labour (women) was 1.80, average hired labour (men) was 4.50 and average hired labour (women) available was 4. In case of semi medium farmers, average own labour men available was 1.82, average own labour (women) was 1.55, average hired labour (men) was 6.27 and average hired labour (women) available was 7.09. In medium farmers average own labour men available was 3, average own labour (women) was 2, average hired labour (men) was 4 and average hired labour (women) available was 4.20. The results indicated that, 65.79 per cent of the household opined that hired labour was adequate and 21.05 per cent of the household opined that hired labour was inadequate. About 71.43 per cent of the marginal farmers, 80 per cent of small, 63.64 per cent of semi medium and 100 per cent of the medium have opined that the hired labour was adequate and 28.57 per cent marginal farmers, 20 per cent of small farmers and 36.36 per cent of semi medium farmers were opined that hired labour was inadequate. The results indicated that, 1 person was migrated from micro watershed that belonged to medium farmer category. Total migration in the micro watershed was only 0.53 per cent. The results indicated that, people have migrated on an average of 390 Kms and average duration was 12 months. I.e. medium farmers have migrated 390 kms and on an average for 12 months. The results indicated that, job/work was the only reason for migration for all the migrants. The results indicated that, improved quality of the life and construction of house were the positive consequences of migration. The results indicated that, households of the Hire Shindhogi micro watershed possess 36.16 ha (64.11%) of dry land and 20.24 ha (35.89%) of irrigated land. Marginal farmers possess 4.21 ha (90.43 %) of dry land and 0.45 ha (9.57%) of irrigated land. Small farmers possess 9.25 ha (84.04%) of dry land and 1.76 ha (15.96 %) of irrigated land. Semi medium farmers possess 15.01 ha (63.53%) of dry land and 8.62 ha (36.47 %) of irrigated land. Medium farmers possess 7.69 ha (44.93%) of dry land and 9.43 ha (55.07 %) of irrigated land. The results indicated that, the average value of dry land was Rs. 343378.10 and average value of irrigated was Rs. 409856.06. In case of marginal famers, the average land value was Rs. 510625 for dry land and 1122727.25 for irrigated land. In case of small famers, the average land value was Rs. 434,356.96 for dry land Rs. 512,211.99 for irrigated land. In case of semi medium famers, the average land value was Rs. 246,467.10for dry land and Rs. 406,059.19 for irrigated land. In case of medium famers, the average land value was Rs. 331500 for dry land and the average land value was Rs. 360,583.94 for irrigated land. 4 The results indicated that, there were 11 functioning and 10 defunctioning bore wells in the micro watershed. The results indicated that, bore well was the major irrigation source for 28.95 per cent of the farmers. The results indicated that on an average the depth of the bore well was 31.25 meters. The results indicated that, in case of marginal farmers there was 0. 45 ha of irrigated land, in case of small farmers there was 1.85 ha of irrigated land, semi medium farmers were having 7.81 ha of irrigated land and medium farmers were having 15.62 ha of irrigated land. On an average there were 25.72 ha of irrigated land. The results indicated that, farmers have grown Bajra (6.89 ha), Banana (0.71 ha), Bengal gram (2.85 ha), Chilly (0.45 ha), Cotton (1.01 ha), Green gram (0.83 ha), Sorghum (1.62 ha), Maize (8.12 ha), Onion (0.93 ha), Red gram (4.45 ha), Sugandaraja (0.40 ha) and Sunflower (9.51 ha) in kharif season and Bajra (0.81 ha), Bengal gram (3.29 ha), Cotton (1.21 ha), Maize (5.09 ha), Sunflower (1.23 ha) and Sorghum (16.28 ha) in Rabi season. Data showed that, marginal farmers have grown Bengal Gram, chilly, bajra, cotton, Maize and Sorghum. Small farmers have grown Bajra, Green gram, Maize, Red Gram, Sunflower, Sorghum and Bengal Gram. Semi medium farmers have grown Bajra, Banana, Cotton, Bengalgram, Maize, Redgram, Sugandaraja, Sunflower and Sorghum. Medium farmers have grown Bajra, Bengal gram, Sorghum, Maize, onion, Red gram and Sunflower. The results indicated that, the cropping intensity in Hire Shindhogi micro watershed was found to be 76.82 per cent. In case of Marginal farmers it was 87.10 per cent, for small farmers it was 100 per cent, in case of semi medium farmers it was 78.94 per cent and medium farmers had cropping intensity of 61.78 per cent. The results indicated that, only 10.53 per cent of the households have bank account and savings respectively. Among marginal farmers 28.57 percent of them possess both bank account and savings respectively. Small farmers possess 9.09 per cent of both bank account and savings correspondingly and medium farmers possess 20 of bank account and savings in that order. The results indicated that 28.57 per cent marginal farmers, 9.09 per cent of semi medium farmers and 20 per cent of medium farmers have borrowed credit from different sources. The results indicated that, 50 per cent of the households have availed loan from Grameena bank and Commercial bank respectively. The results indicated that marginal farmers have availed Rs. 27500, semi medium farmers have availed Rs. 55000 and medium farmers have availed Rs.100000. Overall average credit amount availed by households in the micro watershed is 52500. 5 The results indicated that, 100 per cent of the households have borrowed loan for agriculture production from institutional source. The results indicated that, agriculture production was the main purpose for which semi medium farmers have borrowed loan from private credit. The results indicated that 100 per cent of the households have unpaid their institutional loan. Results indicated 50 percent of the households have unpaid their loan and 50 percent of the households have fully paid their private credit. The results indicated that 25 per cent of the households were opined that they were forced to sell the produce at low price to repay loan in time and 75 per cent of households were not given any opinion on institutional source of credit. The results indicated that 50 per cent of the households were opined that the rate of interest was high in non-institutional credit and 50 per cent of households were not given any opinion on non-institutional source of credit. The results indicated that, the total cost of cultivation for bajra was Rs. 23881.74. The gross income realized by the farmers was Rs. 22503.93. The net income from bajra cultivation was Rs. -1377.81, thus the benefit cost ratio was found to be 1:0.94. The results indicated that, the total cost of cultivation for maize was Rs. 30364.35. The gross income realized by the farmers was Rs. 32931.72. The net income from maize cultivation was Rs.6626.43, thus the benefit cost ratio was found to be 1:1.08. The results indicated that, the total cost of cultivation for sorghum was Rs. 18449.10. The gross income realized by the farmers was Rs. 27728.81. The net income from sorghum cultivation was Rs. 9279.71. Thus the benefit cost ratio was found to be 1:1.5. The results indicated that, the total cost of cultivation for bengalgram was Rs. 29334.18. The gross income realized by the farmers was Rs. 48503.01. The net income from bengalgram cultivation was Rs. 19168.83. Thus the benefit cost ratio was found to be 1:1.65. The results indicated that, the total cost of cultivation for redgram was Rs. 32495.55. The gross income realized by the farmers was Rs. 30698.57. The net income from redgram cultivation was Rs. -1796.98. Thus the benefit cost ratio was found to be 1:0.94. The results indicated that, the total cost of cultivation for cotton was Rs. 63323.50. The gross income realized by the farmers was Rs. 50427.06. The net income from cotton cultivation was Rs. -12896.44. Thus the benefit cost ratio was found to be 1:0.8. 6 The results indicated that, the total cost of cultivation for Onion was Rs. 34570.60. The gross income realized by the farmers was Rs. 34515.28. The net income from Onion cultivation was Rs. 55.32. Thus the benefit cost ratio was found to be 1:1.0. The results indicated that, the total cost of cultivation for Sunflower was Rs. 28043.53. The gross income realized by the farmers was Rs. 73693.85. The net income from Sunflower cultivation was Rs. 45650.32. Thus the benefit cost ratio was found to be 1:2.63. The results indicated that, the total cost of cultivation for Banana was Rs. 25564.87. The gross income realized by the farmers was Rs. 105858.The net income from Banana cultivation was Rs. 80293.13. Thus the benefit cost ratio was found to be 1:3.41. The results indicated that, the total cost of cultivation for Chilly was Rs. 69680.27. The gross income realized by the farmers was Rs. 75447.27. The net income from Chilly cultivation was Rs. 5767. Thus the benefit cost ratio was found to be 1:1.08. The results indicated that, the total cost of cultivation for Green gram was Rs. 26706.19. The gross income realized by the farmers was Rs. 72900.97. The net income from Green gram cultivation was Rs. 46194.78. Thus the benefit cost ratio was found to be 1:2.73. The results indicated that, 39.47 per cent of the households opined that dry fodder was adequate and 7.89 per cent of the households opined that dry fodder was inadequate also the data revealed that 39.47 per cent of the farmers opined that green fodder is adequate and 7.89 per cent of the farmers opined that green fodder is inadequate. The results indicated that the average income from service/salary was Rs. 8578.95, business Rs. 5157.89, wage Rs. 4368.42, agriculture Rs. 53161.32 and non farm income Rs. 6842.11and dairy farm Rs. 5018.42. The results indicated that the average expenditure from service/salary was Rs. 2289.47, business Rs. 2631.58, wage Rs. 1552.63, agriculture Rs. 31,815.79 and dairy farm Rs. 1921.05. The results indicated that, sampled households have grown 53 coconut trees, 20 lemon trees and 1 mango tree in their field and also grown 1 coconut tree in back yard. The results indicated that, 2.63 per cent of the households are interested in growing horticultural crops which include 14.29 per cent marginal farmers. The results indicated that, households have planted 90 Neem, 8 Banyan trees and 2 people trees in their field and also grown 27 Neem tree in the backyard. The results indicated that for 2.63 per cent of the households were dependent on government subsidy for irrigation facility and 5.26 percent of the households were have their own fund for additional investment. 7 The results indicated that, Bajra, Chilly, Green gram Cotton and Onion were sold to the extent of 100 per cent. Banana, Bengal gram, Sorghum, Maize, Red gram and Sunflower were sold to the extent of 72 per cent, 96.30 per cent, 98.36 per cent, 85.30 per cent, 91.67 per cent and 95.19 per cent respectively. The results indicated that, 65.79 percent of the households have sold their produce to agents/ traders, 34.21 percent of the households sold their produce in local/village merchant, 31.58 percent of the households sold their produce to regulated market and 7.89 percent of the households sold their produce to cooperative marketing society and contract marketing arrangement respectively. The results indicated that 57.89 per cent of the households have used cart as a mode of transport, 71.05 per cent have used tractor and 2.63 per cent have used Bus and Truck respectively. 5.26 households have used head load as a mode of transport. The results indicated that, 5.26 per cent of the households have experienced the soil and water erosion problems i.e. 14.29 percent of marginal farmers and 9.09 percent of semi medium farmers. The results indicated that only 5.26 per cent of the households have showed interest in soil testing i.e. 14.29 per cent of marginal farmers and 9.09 per cent of semi medium farmers have showed interest in soil testing. The results indicated that, 5.26 per cent of the households have adopted field bunding which includes 14.29 per cent of marginal and 9.09 per cent of semi medium farmers. Farm pond was adopted by 2.63 per cent of the households i.e. 9.09 per cent of the semi medium farmers. The results indicated that, 100 per cent of the households who adopted farm pond opined that farm ponds are good, 50 per cent opined that field bunds are good and another 50 per cent of the households have opined that field bunds are slightly damaged. The results indicated that 5.26 per cent of soil conservation structure is constructed by farmers on their own and 2.63 per cent of the soil conservation structures are constructed by the farmer's organization. The results indicated that, 84.21 percent used fire wood, 10.53 percent of the households used LPG and 2.63 percent of the households used Biogas as a source of fuel. The results indicated that, piped supply was the major source for drinking water for 50 per cent, 31.58 per cent of households used bore well water and 15.79 per cent of households used bore well water. The results indicated that, electricity was the major source of light for 97.37 per cent of the households in micro watershed. The results indicated that, 34.21 per cent of the households possess sanitary toilet i.e. 60 per cent of landless, 14.29 per cent of marginal, 50 per cent of small, 18.18 per cent of semi medium and 40 per cent of medium had sanitary toilet facility. 8 The results indicated that, 81.58 per cent of the sampled households possessed BPL card, 7.89 per cent of the sample households possess APL card and 7.89 per cent of the households have not possessed BPL card. The results indicated that, 34.21 per cent of the households participated in NREGA programme which included 100 per cent of the landless, 28.57 percent of the marginal, 30 per cent of the small, 9.09 per cent of the semi medium and 40 percent of the medium farmers. The results indicated that, cereals, pulses, oilseeds, vegetables, fruits, milk, Egg and meat were adequate for 89.47 percent, 39.47 percent, 18.42 percent, 47.37 percent, 42.11 percent, 55.26 percent, 31.58 percent, and 13.16 percent of the households respectively. The results indicated that, cereals, pulses, oilseeds, vegetables, fruits, milk, egg and meat were inadequate for 7.89 per cent, 57.89 per cent, 50 per cent, 28.95 per cent, 34.21 per cent, 28.95 per cent, 44.74 per cent and 52.63 per cent of the households respectively. The results indicated that, Lower fertility status of the soil was the constraint experienced by 15.79 per cent of the households, wild animal menace on farm field (39.47%), frequent incidence of pest and diseases (34.21%), inadequacy of irrigation water (18.42%), high cost of Fertilizers and plant protection chemicals (36.84%), high rate of interest on credit (47.37%), low price for the agricultural commodities (18.42%), lack of marketing facilities in the area (31.58%), inadequate extension services (5.26%), lack of transport for safe transport of the agricultural produce to the market (60.53%), less rainfall (89.47%) and Source of Agritechnology information(Newspaper/TV/Mobile) (57.89). ; Watershed Development Department, Government of Karnataka (World Bank Funded) Sujala –III Project
En stigende efterspørgsel efter satellitbaserede kørselsafgiftssystemer er på vej i Europa. Satellitbaserede kørselsafgifter omfatter opkrævning af trafikanterne for deres vejforbrug ved at at lade køretøjerne bestemme deres position indenfor et givent afgiftsområde ved hjælp af Global Navigation Satellit Systemer (GNSS). Den forskning, der præsenteres i denne afhandling, beskæftiger sig med performanceniveauet samt de teknologiske udfordringer ved bestemmelse af køretøjets placering inden for GNSS-baserede kørselsafgiftssystemer. GNSS-baserede kørselsafgiftssystemer kan antage en række forskellige former. Afhængigt af systemets formål kan disse kørselsafgiftssystemer være udformet på forskellig vis og varieret efter både politiske og teknologiske hensyn, men de har alle til formål at taksere trafikanterne for deres brug af vejnettet. Den første del af afhandlingen præsenterer en omfattende oversigt og klassificering af forskellige former for kørselsafgiftssystemer samt mulige teknologier, suppleret med en gennemgang af forskellige eksisterende systemer. Efterfølgende defineres det grundlæggende kørselsafgiftssystem og dette sættes ind i en begrebsramme, der danner grundlag for forskningen præsenteret i denne afhandling. For at forstå GNSS-baserede kørselsafgiftssystemers struktur og virkemåde er det vigtigt at fremhæve den overordnede systemarkitektur og definere de væsentlige funktioner samt beskrive forholdet mellem dem. Arkitekturen er brugt som et middel til at strukturere diskussionen om de teknologiske udfordringer i GNSS-baserede kørselsafgiftssystemer. Afhandlingen diskuterer de overordnede krav til afgiftsprocessens ydeevne indenfor GNSS-baserede kørselsafgiftssystemer. GNSS muliggør kilometer-baseret afgiftsopkrævning, hvor afgifterne beregnes for hvert enkelt køretøj baseret på den kørte afstand, tidspunktet for turen samt bilens geografiske position. Kilometerbaseret afgiftsopkrævning betragtes derfor som en mere retfærdig og effektiv form for afgiftsopkrævning, da disse systemer opkræver afgiften i forhold til den tilbagelagte afstand, og afspejler dermed den forbrugsbaserede tilgang mere præcist end andre afgiftsopkrævningspolitikker. Men kørselsafgifter på grundlag af den tilbagelagte afstand er teknisk udfordrende og betragtes ofte som en af de mest komplekse ordninger. Fastsættelsen af den faktisk kørte distance er den centrale del af afgiftsopkrævningen, og de vigtigste betænkeligheder omkring pålideligheden vedrører derfor denne del af afgiftsprocessen samt resultaterne af køretøjets lokaliseringsfunktion. Denne afhandling præsenterer endvidere en grundig gennemgang af de forskellige GNSS-baserede forsøg og eksperimenter, der er udført inden for de seneste år, for at vurdere resultater og muligheder ved brug af GNSS-baserede afgiftssystemer. I 2007–2009 blev et teknisk forsøg med et GNSS-baseret kørselsafgiftssystem udført i København som en del af denne forskning i samarbejde med Siemens. Forsøget blev udført for at vurdere resultater og tekniske udfordringer ved GNSS-baserede kørselsafgiftssystemer baseret på den nyeste kørselsafgiftsteknologi. Denne afhandling præsenterer det udførte eksperiment og giver en vurdering af køretøjets lokaliseringsfunktion inden for GNSS-baserede kørselsafgiftssystemer. Tidligere forsøg og vurderinger af ydeevnen af GNSS-baserede kørselsafgiftssystemer har generelt fokuseret på mulighederne i afgiftssystemerne i stedet for begrænsningerne. Ofte har det ikke været klart beskrevet, hvilke fejl og mangler der eksisterede i de indsamlede data, men i stedet er de blot blevet udelukket som ugyldige data forud for de foretagne vurderinger, som derefter konkluderede, at mere fokus bør lægges på de fundne fejl. Derfor har det været bevidst i denne ph.d.-forskning, ikke at udelukke fejlagtige og forkerte data i vurderingen af ydeevnen. Resultaterne der er præsenteret i denne afhandling er baseret på alle de indsamlede data fra forsøget, i sin oprindelige form, som det ville være input til den automatiserede afgiftsberegningsproces i et kørselsafgiftssystem. Endvidere er der udviklet nye metoder til vurdering af køretøjets lokaliseringsfunktion i form af datapålidelighed og lokaliseringsfunktionens performance. Resultaterne af vurderingerne foretaget i denne afhandlingen viser, at selvom betydelige performanceforbedringer er sket i løbet af de sidste fem år, er der væsentlige udfordringer at overvinde i forbindelse med implementering og drift af GNSS-baserede kørselsafgiftssystemer. Det tekniske forsøg i dette ph.d.-studie viste sig at lide under forskellige tekniske udfordringer, som havde forskellig indvirkning på den samlede systemp˚alidelighed. På grund af disse udfordringer, omfatter data både unøjagtige og ufuldstændige informationer, og det konkluderes derfor at med disse høje niveauer af datainvaliditet og -mangel, kan data ikke anvendes i sin nuværende form som grundlag for en afgiftsberegningsproces. Disse resultater understreger betydningen af at anvende en dataprocesseringsfunktionalitet før afgiftsberegningen og vejforbrugsbestemmelsen i afgiftsprocessen. Vurderingen af køretøjets lokaliseringsfunktion viser en signifikant forskel i den ønskede lok´aliseringsperformance. Mens nøjagtighedskravet delvist var opfyldt i København, led kontinuiteten og dermed tilgængeligheden nødvendig for bestemmelsen af køretøjets lokalitet af alvorlige udfald i positioneringsdata. Disse udfald skyldtes både satellitutilgængelighed, forårsaget af ringe signalmodtagelse i byområder og lang signalerhvervelsestid hos modtageren, og endvidere de forskellige tekniske problemer og konfigurationsfejl, der opstod under forsøget. Da både satellitsynligheden og positioneringsnøjagtigheden gennem de seneste år er forbedret markant, viser resultaterne at de største udfordringer i forbindelse med bestemmelse af køretøjets lokalitet ikke som ofte antaget, er positioneringsunøjagtigheder, men snarere et højt niveau af positioneringsafbrydelser hovedsageligt forårsaget af GPS. På baggrund af resultatvurderingen konkluderes det endvidere, at de væsentligste bekymringer vedrørende den manglende tilgængelighed til køretøjets lokaliseringsbestemmelse bør være, hvordan den lange systemnedetid og konfigurationsudfaldene kan fjernes samt hvordan forekomsten af de mange GPS-udfald kan reduceres. Da dataudfald og -svigt kan påvirke bestemmelsen af den kørte afstand i kontinuerlige afgiftssystemer, giver denne afhandling mulighed for at vurdere og forstå forskellige forekomster, bidrag og effekter af udfald i relation til GNSS-baserede kørselsafgiftssystemer. I denne afhandling præsenteres en vurdering af distancebestemmelsens tolerance overfor disse forskellige positioneringsudfald. Vurderingen er foretaget på grundlag af en simuleringsmetode der er udviklet i denne afhandling. Metoden analyserer indflydelsen af positioneringsudfald i forhold til bestemmelsen af kørte kilometer i både distancebaserede og distancerelaterede kørselsafgiftssystemer. Udfaldstolerancen i afstandsbestemmelsen i begge typer afgiftssystemer er vigtig for kørselsafgiftssystemets evne til at opfylde kravene til ydeevne samt i forhold til at taksere brugerne korrekt for deres vejforbrug. Simuleringsanalyserne af indflydelsen af udfald på bestemmelsen af den kørte afstand viser at afstandsbestemmelsesfunktionen er forholdsvis robust over for småudfald på mindre end 10 sekunder i positioneringen. Men med flere mellemstore og store udfald i turene, har begge afstandsbestemmelsesmetoder svært ved med at reproducere den kørte afstand med afstandsafvigelser på mere end 1 % fra den sande værdi. Det vigtige ved disse resultater er, at den kørte afstand kan fastlægges med mindre end 1 % afvigelse for hovedparten af turene eftersom forekomsten af småudfald er hyppigst i de kørte ture. GNSS-baserede kørselsafgiftssystemer anses for at være ansvarskritiske syste-mer, hvor nægtet service samt uopdagede fejl og mangler har betydelige retslige eller økonomiske negative konsekvenser. Fejl eller mangler, der fører til ukorrekt afgiftsopkrævning, kan forårsage økonomiske tab eller føre til forkerte juridiske afgørelser, idet det økonomiske ansvar er knyttet til de juridiske aspekter som følge af potentielle klager. Derfor introducerer denne ph.d.- afhandling anvendelsen af begrebet systempålidelighed i forbindelse med GNSS-baserede kørselsafgiftssystemer. Begrebet systempålide lighed, som er tilpasset fra informationsteknologien, er en effektiv metode til håndtering af de forskellige betænkeligheder i forbindelse med kørselsafgiftssystemer inden for en fælles begrebsramme. Pålidelighed er en vigtig forudsætning for et GNSS-baseret kørselsafgiftssystem, som skal levere en retfærdig afgiftsopkrævning og sikre brugernes tillid ved at sikre systemets p˚alidelighed og ansvar. Denne afhandling diskuterer konsekvenserne af vurderingsresultaterne i forhold til systemets driftssikkerhed og præsenterer en kvalitativ risikomatrix for driftssikkerheden af køretøjets lokaliseringsfunktion. For at sikre afgiftsprocessen en høj driftssikkerhed, skal fejltolerant design derfor overvejes i forhold til de mange forskellige komponenter og funktioner der indgår i processen. Baseret på fejltolerante metoder, giver denne afhandling retningslinjer for hvordan man kan opretholde korrekt service ved tilstedeværelsen af forskellige fejl, der skyldes tekniske problemer i forbindelse med bestemmelse af køretøjets lokalitet. Hovedformålet med fejl-tolerant design inden for afgiftsprocessen er at sikre retfærdig taksering af brugerne. Det betyder, at redundante systemer, procedurer og komponenter bør indføres for at sikre, at når fejl og svigt forekommer inden for afgiftsprocessen vil kørselsafgiftsfundamentet stadig være pålideligt og give retfærdige resultater for både brugerne og kørselsafgiftssystemet. Denne afhandling konkluderer derfor, at selv om performanceniveauet for bestemmelsen af køretøjets lokalitet er fair, bør opmærksomheden omkring systemets performance rettes imod hvordan fremtidige GNSS-baserede kørselsafgiftssystemer kan designes til at virke driftsikkert med forekomsten af både data invaliditet og datamangler. Det er derfor vigtigt at udvide fokus fra tekniske udfordringer og komponentunøjagtigheder alene til et fokus på pålideligheden af systemet som helhed. Der er dog stadig nogle teknologiske udfordringer at overvinde, som i højere grad elimineres ved bedre samarbejde på tværs af de mange forskellige involverede fagområder. Som med mange andre ITS-systemer, kan vellykket design, implementering og drift af et system kun opnås, når de mange forskellige interessenter forstår hinandens krav til systemet. Systemarkitekturen som konceptuelt design sammen med den systemteoretiske metode kan bidrage til at involvere alle de forskellige parter i systemudviklingen og dermed minimere de misforst˚aelser, der i sidste ende kan blive meget dyre for systemet. Baseret på de mange resultater af dette ph.d.-studie, er nogle generelle retningslinjer endeligt formuleret for fremtidige GNSSbaserede kørselsafgifts-systemer. De foreslåede retningslinjer, der er beskrevet i afhandlingen omfatter både GNSS-baserede kørselsafgiftsforsøg i almindelighed og et fremtidigt GNSS-baserede kørselsafgiftsssystem i Danmark. ; An increasing demand for satellite-based road charging systems is developing in Europe. Satellite-based road charging involves charging road users for their road usage by allowing the vehicles to locate themselves within a certain charge area using Global Navigation Satellite Systems (GNSS). The research presented in this thesis deals with the performance and technological challenges of vehicle location determination within GNSS-based road charging systems. GNSS-based road charging systems may take on a number of different forms. Depending on the charging objective, these road charging systems can be designed in various forms and varied by both policy and technology but they all share the overall function of charging vehicle users for their road usage. The first part of the thesis presents a comprehensive overview and classification of the various forms of road charging systems and enabling technologies; supplemented with a review of different worldwide examples. Next the system fundamentals are defined and presented in a conceptual framework which forms the basis for the research presented in this thesis. In order to understand the structure and behaviour of GNSS-based road charging systems, it is important to highlight the overall system architecture and define the essential system functions and describe the relationship among them. The framework is used as a means to structure the discussion about the technological challenges of GNSS-based road charging systems. The thesis discusses the overall performance requirements for the road charging process within GNSS-based road charging systems. GNSS allows for time-distance-place charging, where charges are calculated for each individual vehicle based on the distance driven, the time of the trip and the vehicle's geographic position. Timedistance- place charging is therefore considered a more fair and efficient way of charging as these systems levy charges proportionally to the distance travelled, and thereby reflects a usage-based approach more accurately than other charging policies. However, road charging on the basis of the distance travelled is technically challenging and is seen as one of the most complex schemes. Determining the distance driven is the key part of the charging process and the main dependability concerns therefore revolve around the road charging process and the performance of the vehicle location determination function. The thesis provides a thorough review of the different GNSS-based trials and experiments conducted within recent years to assess the performance and possibilities of GNSSbased charging systems. In 2007–2009, a GNSS-based road charging experiment was conducted in Copenhagen as part of this research in cooperation with Siemens to assess the performance and technical challenges of GNSS-based road charging systems based on state of the art road charging technology. This thesis presents the experiment conducted and provides an assessment of the vehicle location determination function within GNSS-based road charging systems. Previous trials and performance assessments of GNSS-based road charging systems have generally focused on the possibilities of the charging systems rather than on the impossibilities. Often it has not been clearly described which errors and shortages existed in the collected data, but instead they have just been excluded as invalid data prior to the assessments which then concluded that more focus should be placed on the errors occurred. Hence, it has been deliberate in this PhD research not to exclude faulty and incorrect data in the assessment. The results presented in this thesis are based on all the collected data from the experiment, in its original for, as it would be used as input for the automated charge calculation process in a road charging system. Furthermore, new methodologies are developed for assessing the performance of the vehicle location determination function in terms of data reliability and navigation function performance. The results from the assessments conducted in this thesis demonstrate that although significant performance improvements have happened during the last five years, there are significant challenges to overcome in relation to implementation and operation of GNSS-based road charging systems. The technical experiment conducted in this PhD study proved to suffer from different technical challenges which had different impacts on the overall system dependability. Due to these challenges, data includes both inaccurate and incomplete data information, and it is hence concluded that with these high levels of data invalidity and deficiency, data could not be used in its current form as basis for a road charging process. These results underline the importance of a data processing functionality prior to the road charge calculation and usage determination in the road charging process. The assessment of the vehicle location determination function show significant difference in the required navigation performance. While the accuracy requirement in Copenhagen was partly met, the continuity and hence availability required for vehicle location determination suffered from severe gaps in the positioning data. These gaps were due to both satellite unavailability, caused by poor urban signal reception and long receiver acquisition times, and furthermore due to the various technical problems and configuration faults which occurred during the experiment. As both the satellite visibility and the positioning accuracy had improved significantly, the results indicate that the main challenges related to vehicle location determination are not as often stated due to positioning inaccuracies but rather due to a high level of positioning interruptions mainly caused by GPS. From the performance assessment it is furthermore concluded that the main concerns regarding the unavailability of the vehicle location determination should be how to eliminate the large downtime and configuration gaps and reduce the occurrence of the many GPS gaps. As data outages and failures may affect the determination of the distance driven in continuous charging schemes, the thesis provides means to assess and understand the positioning gap occurrence, contribution and effects in relation to GNSS-based road charging systems. Hence, an assessment of the driven distance determination tolerance towards these different positioning related outages is provided. The assessment is conducted on the basis of a simulation methodology developed in this thesis. It analyzes the influence of positioning gaps on the determination of the driven distance in both distance-based and distance-related GNSS-based road charging schemes. The gap tolerance of the distance determination in both types of charging schemes is important for the road charging system's ability to meet the performance requirements and charge the road users correctly for their road usage. The simulation analyses of the gap influence on the driven distance determination show that the distance determination function is relatively robust against small gaps of less than 10 seconds in the positioning. However, with several medium and large gaps in the trips, both distance determination methods have trouble in reproducing the driven distances with distance deviations more than 1 % from the truth. The importance of these results is that for the majority of trips the distance driven can be determined with less than 1 % distance deviation as the occurrence of small gaps is most frequent in trips. GNSS-based road charging systems are considered liability-critical systems, where denial of service and undetected fault and failures generate significant legal or economic negative consequences. Any fault or failures that lead to incorrect charging may cause economic loss or provoke wrong legal decisions as the economic liability is associated to the legal aspects due to the repercussion of potential claims. Hence, the thesis introduces the use of system dependability of GNSS-based road charging systems. The concepts of system dependability, adapted from computer engineering, provide an effective means of managing various concerns for road charging systems within a single conceptual framework. Dependability is an important requirement for a GNSS-based road charging system as the system must provide fair charging and gain user trust by ensuring system reliability and liability. This thesis discusses the impact of the assessment results in relation to system dependability and provides a qualitative dependability risk matrix for the vehicle location determination function. To ensure high dependability of the road charging process, fault tolerant design should hence be considered in relation to many different components and functionalities within the process. Based on fault tolerant methodologies, this thesis provides guidelines of how to maintain correct service in the presence of different faults caused by technical problems related to vehicle location determination. The main objective of fault tolerant design within the road charging process is to ensure fair charging of the road users. This means that redundant systems, procedures and components should be implemented to ensure that when fault and failures occur within the road charging process, the road charge foundation will still be dependable and provide fair results towards both the road users and the road charging system. This thesis therefore concludes that though the vehicle location determination performance is fair, the focus of the system performance concerns should be placed on how future GNSS-based road charging system can be designed to work reliably with the occurrence of both data invalidity and data deficiency. It is therefore important to widen the focus from technical challenges and component inaccuracies alone to a focus on the system dependability as a whole. There is however still some technological challenges to overcome, which to a greater extent are remediated by better collaboration across the many different subject areas. As with many other ITS systems, a successful design, implementation and operation of a system is only achieved when the many different stakeholders understand each other's requirements to the system. The system architecture as a conceptual design together with the system engineering methodology can help to involve all the different parties in the system development and hence minimize the misunderstandings which at the end can become very costly for the system. Based on the several findings of this PhD research, some general guidelines are finally formulated for future GNSS-based road charging systems. The proposed guidelines described in the thesis address both GNSS-based road charging trials in general and a future GNSS-based road charging system in Denmark.
The Haiti Productive Land Use Systems (PLUS) Research Project continued and expanded the work of the Haiti Agroforestry project. It was intended to encourage Haitian farmers to plant trees as part of an overall plan by USAID to curb the devastating erosion which was washing the top soil into the sea. This project also investigated the effects on other crops as a result of tree planting. ; The Pinus genus is one of the most important sources of lumber in the world. It is represented in Haiti by P. occidentalis, a species that is endemic to the island of Hispaniola. The increasing demand for wood products, coupled with the deforestation of the pine forests in Haiti for agriculture, have seriously reduced the native populations of P. occidentalis. The ever increasing economic needs of peasants merit the testing of improved pine provenances that can offer greater value and be more efficiently managed in the current agroforestry systems of the high-elevation mountains. In 1989, 29 seed lots, representing 12 species of pine, were established in a species/provenance trial at Viard, near Kenscoff (alt. 1,500 m). A randomized complete block design was used with 3 replications. Survival, height and stem diameter measurements were recorded at 1, 2, 3 and 5 years after trial establishment. Merchantable volume was estimated at 7 years. Survival: Site survival, including all seed lots, was 80% after 5 years. Following a first year mortality of 10%, each additional year averaged an annual drop of 2.5%. The highest surviving species was P. taeda (90.3%), as compared to the lowest survivor, the P. occidentalis provenance from Cuba (62.7%). The only statistical difference detected at the species level was at the 3-year stage when P. taeda (91.9%) was shown to be superior to the Cuban P. occidentalis (67.0%). A large range of differences were observed among seed lots, though no statistical differences were detected by means comparison tests. The top three surviving seed lots were represented by P. taeda (94.7%, 93.3%, and 90.7%) compared to the lowest survival, 60.5%, exhibited by a P. caribaea hondurensis seed lot acquired from a commercial seed supplier. Average survival of the control (78.0%) was about the same as the overall site survival (79.6%) and approximately mid-ranked among all accessions tested. The control, a P. occidentalis seed lot from Séguin, Haiti, showed virtually no difference in survival from the other two seed lots originating in the Dominican Republic (both 76.7%). Height Growth: The overall mean height for the site, after 5 years, was 3.8 m. Growth rates during the initial 3 years averaged 0.5 m/yr overall, then jumped to 1.2 m/yr between 3 and 5 years. The P. occidentalis control grew an average 4.2 m (0.8 m/yr) - faster than the other two seed lots from the Dominican Republic (0.6 m/yr), though the means were not significantly different at the 95% probability level. P. oocarpa 15319 from Zimbabwe was the top performer, averaging 5.9 m over 5 years with an increment rate of 1.7 m/yr during the third and fourth year. It maintained its dominance throughout the measurement period. Three other seed lots exceeded an annual height growth rate of 1 m: P. patula 15275 and P. taeda 15169 from Zimbabwe and P. taeda 496 from SETROPA, a commercial seed company in Holland. These seed lots are superior to the local P. occidentalis in both growth rates and form. The slowest seed lot, P. caribaea caribaea 15/83 from Marbajitas, Cuba, averaged 1.8 m after 5 years. In general, the poorest performing seed lots were represented by P. caribaea caribaea, P. caribaea hondurensis, the P. occidentalis provenance from Cuba, and P. radiata. These species should be eliminated as candidates for agroforestry or reforestation at mid- to upper-elevation areas in Haiti. The P. taeda seed lots (496, 1003 and 15169) and P. elliottii 15441 exhibited a high degree of uniform growth, followed by P. oocarpa 15319. The most variable growth rates were exhibited by P. radiata, P. oocarpa 497, P. caribaea hondurensis 36/83, 19/85 and 17/85, P. elliottii 561. These seed lots are the same as those that showed poor adaptability. Diameter Growth: The overall site mean for DBH was 2.0 cm and 6.3 cm at 3 and 5 years, respectively. Differences were observed between height and stem diameter rankings among the pine seed lots. These differences reflect differences in taper form. The largest stem diameters (DBH) were achieved by P. taeda 496 (9.1 cm), P. oocarpa 15319 (8.8 cm) and P. caribaea bahamensis 3/80 (8.8 cm) after 5 years. This corresponds to a mean annual increment of 1.8 cm, as compared to 1.1 cm for the P. occidentalis control. The top seed lot for basal diameter, measured at a stump height of 0.1 m, was P. khasya 15212 (14.0 cm). The slowest diameter growths were exhibited by the seed lots that achieved the slowest height growth. Those species with seed lots below the mean annual growth rate of the control (1.1 cm/yr) included the following: the P. occidentalis provenance from Cuba (0.6 cm/yr), P. elliottii 651 (0.8 cm/yr), P. caribaea 9/76 and 15/83 (0.9 and 0.6 cm/yr, respectively), P. caribaea hondurensis 563 and 19/85 (0.7 and 1.0 cm/yr, respectively), P. occidentalis 38/77 and 66 (7293) (both 1.0 cm/yr), P. oocarpa 497 (0.8 cm/yr), and P. radiata 1008 (0.8 cm/yr). The 1.1 cm/yr rate of the 5-year old P. occidentalis in this trial should increase as the trees enter into the pole stage and selective thinning is conducted as recommended below. Merchantable Volume: The closely related species - P. patula, P. oocarpa, and P. tecunumanii - exhibited the highest yields of merchantable wood volume. The poorest performers at Kenscoff were P. caribaea caribaea, P. occidentalis, the P. occidentalis provenance from Cuba and P. elliottii. The difference between the top seed lot, P. patula 15275, and the P. occidentalis control is about a 3-fold difference. In addition to P. patula 15275, seven seed lots, representing 5 species, showed greater volume yield than the control, significant at the 95% probability level. Recommendations: (1) Eliminate the inferior seed lots from the Kenscoff trial. Selectively thin the promising seed lots, keeping the best trees, selected for form and size, for longer term study. Conduct selective thinning during the month of November and early December when the trial is most vulnerable to vandalism. Conduct the first phase of volume studies on the harvested trees for regression analyses. (2) Establish and distribute seed lots and provenances of known origin under similar growing conditions, particularly those with the greatest potential of making an economic impact among farmers: P. patula 15275, P. oocarpa 15319, P. tecunumanii 7/77, P. taeda 496 and P. caribaea bahamensis 3/80. Establish isolated stands for an in-country source of seed. Continue to distribute a balanced mix of P. occidentalis seed lots, harvested from trees selected for form and vigor from healthy populations in Haiti. Avoid collecting seed from the trial for extension purposes. The genetic quality of the seed harvested from a particular provenance or seed lot cannot be guaranteed because of the possibility of outcrossing. (3) Observe carefully any natural regeneration in the trials to confirm whether the imported pines can spread naturally. Observe any evidence of natural hybridization with P. occidentalis. (4) Study the social dimensions of the Kenscoff trial, especially encroachment problems and the use of the trial by neighboring peasants for cash cropping purposes. Develop suitable strategies to increase the security of the trial and establish control of land use. This has serious implications on the ability of government to address governance problems and encourage landowners to invest in alternative land use strategies that conserve natural resources. (5) Inform the Service des Ressources Forestière (MARNDR) of the uniqueness and importance of the Kenscoff trial and investigate the possibility for the SRF to collaborate with the Wynnes in managing and protecting the trial for future studies. The trial should be studied for long-term observations of pest and diseases, wood quality, natural regeneration, hybridization, tolerance to winds, form development and quantitative parameters of survival, height and stem diameters. ; Le genre Pinus est l'une des sources les plus importantes de bois dans le monde. Il est représenté en Haiti par P. occidentalis, une espèce endémique à l'île d'Hispaniola. La demande croissante pour les produits ligneux, ainsi que le défrichement des forêts de pins en Haiti pour l'agriculture, a séreusement réduit les populations natives de P. occidentalis. Les besoins économiques sans cesse croissants des paysans portent à tester des provenances améliorées de pins le systèmes agroforestiers en cours dans les montagnes de haute altitude. En 1989, 29 lots de semances, représentant 12 espèces de pins, ont été établis dans un essai espèce/provenance à Viard, près de Kenscoff (alt. 1.500 mètres). Le dessin expérimental utilisé était le bloc complètement au hasard avec 3 répétitions. Des données ont été recueillies sur la survivance, la hauteur et le diamètre de tige à 1, 2, et 5 ans après l'établissement de l'essai. Le volume marchand a été estimé à 7 ans. Survivance: Le taux de survivance, pour tous les lots de semences, était de 80% après 5 ans. Après une première année où le taux de mortalité était de 10%, une diminution moyenne de 2,5% chaque année, a été observée. L'espèce qui a donné le taux le plus élevé de survivance était le P. Taeda (90,3%), comparativement au Pinus sp. de Cuba, qui a accusé le taux le plus bas (62,7%). La seule différence statistique décelée au niveau de l'espèce était au stade de 3 ans quand le P. taeda (91,9%) s'est montré supérieur au Pinua sp. de Cuba (67,0%). De grandes différences ont été observées parmi les lot de semences, bien qu'aucune différence significative n'ait été détectée en analysant les lots séparément. Les trois meilleurs lots de semences au point de vue survivance, étaient représentés par P. taeda (94,7%, 93,3% et 90,7%), comparativement à ceux ayant le plus bas taux de survivance, 60,5%, accusé par un lot de P. hondurensis, obtenu d'un fournisseur commercial de semances au EUA. Le taux moyen de survivance du contrôle (78,0%) était à près le même que celui de tout le site 79,6%) et approximativement classé au milieu de tous les lots testés. Le contrôle, un P. occientalis en provenance de Seguin, Haiti, n'a virtuellement montré aucune différence de survivance avec les deux autres lots venant de la République Dominicaine (76,7% pour les duex). Croissance en hauteur: Le hauteur totale moyenne pour le site, après 5 ans, était de 3,8 m. Les taux de croissance pendant les 3 premières années furent de 0,5 m/an en moyenne pour tout le site, ensuite grimpèrent à 1,2 m/an entre 3 et 5 ans. Le contrôle P. occidentalis, grandit de 4,2 m (0,8 m/an) en moyenne - plus vite que les deux autres lots de la République Dominicaine (0,6 m/an), bien qu'il n'y ait pas de différence significative à 95% de probabilité. P. oocarpa 15319 de Zimbabwe était le plus performant, donnant en moyenne 5,9 m après 5 ans avec un taux d'ccroissement de 1,7 m/an pendant la troisième et la quatrième année. Il a maintenu sa domination pendant toute la période de mensurations. Trois autres lots de semences dépassa un taux de croissance annuel de 1 m; P. patula 15275 et P. taeda 15169 de Zimbabwe et P. taeda 469 de Setropa, une compagnie commerciale de semances établie en Hollande. Ces lots de semences sont supérieurs à ceux de l'espèce locale, P. occidentalis, tant pour les taux de croissance que pour la forme. Le lot de semences qui a manifesté la croissance la plus lente, P. Caribaea 15/83 de Marbajitas, Cuba, a donné une moyenne de 1,8 m après 5 années. En général, les lots de semences les moins performants furent représentés par P. Caribaea caribaea, P. Caribaea hondurensis, Pinus sp. de Cuba, et P. raidata. Ces espèces, généralement adaptées aux conditions de basse altitude, devraient être éliminées comme candidats pour l'agroforesterie ou le reboisement dans des zones de moyenne et de haute altitude en Haiti. Les lots de P. taeda (496, 1003 et 15169) et P. elliottii 15441 ont montré une plus grande uniformité de croissance, suivis de P. oocarpa 15319. Les taux de croissance les plus variables ont été ceux de P. radiata, P. oocarpa 497, P. caribaea hondurensis 36/83, 19/85 et 17/85, P. elliottii 561. Ces lots de semences sont les mêmes qui se sont montrés les moins adaptés. Croissance en diamètre: La moyenne de DHP pour tout le site était de 2,0 cm et 6,3 cm à3 et 5 ans, respectivement. Des différences de classement ont été observées pour la hauteur et le diamètre de tige parmi les lot de semences de pin. Elles reflètent des différences dans la forme de défilement. Les plus grands diamètres ont été atteints par P. taeda 496 (9,1 cm), P. oocarpa 15319 (8,8 cm) et P. caribaea bahamensis 3/80 (8,8 cm) après 5 ans. Ceci correspond à un accroissement annuel moyen de 1,8 cm, comparé à 1,1 cm pour le contrôle P. occidentalis. Le lot le plus performant pour le diamètre basal, mesuré à hauteur de souche de 0,1 m, était le P. khasya 15212 (14,0 cm). Les chiffres de croissance en diamètre les plus bas ont été accusés par les lots de semences qui ont montré la croissance en hauteur la plus lente. Ces espèces avec les lots de semences au-dessous du taux de croissance annuelle moyenne du contrôle (1,1 cm/an) comprennent: le Pinus sp. en provenance de Cuba (0,6 cm/an), P. elliottii 561 (0,8 cm/an), P. caribaea 9/76 et 15/83 (0,9 et 0,6 cm/an, respectivement), P. caribaea hondurensis 563 et 19/85 (0,7 et 1,0 cm/an, respectivement), P. occidentalis 38/77 et 66 (7293) (les deux 1,0 cm/an), P. oocarpa 497 (0,8 cm/an), et P. radiata 1008 (0,8 cm/an). Le taux de 1,1 cm/an du P. occidentalis âgé de 5 ans dans cet essai, devrait augmenter à mesure que les arbres entrent dans le stade de perchis et que l'éclairie sélective est pratiquée, comme recommandée ci-dessous. Volume marchand: Les espèces étroitement liées - P. patula, P. oocarpa, et P. tecunumanii - ont accusé les rendements les plus élevés de volume en bois marchand. Les moins performantes à Kenscoff furent P. caribaea caribaea, P. occidentalis, Pinus sp. de Cuba et P. elliottii. La différence entre le lot le plus performant, P. patula 15275, et le contrôle P. occidentalis, est d'environ 3 fois plus élevée. En plus du P. patula 15275, sept lots de semences, représentant 5 espèces, montrèrent un rendement en volume plus élevé que le contrôle, significatif à 95% de niveau de probabilité. Recommandations: (1) Eliminer les lots de semences inférieurs de l'essai de Kenscoff. Eclaircir sélectivement les lots prometteurs, en gardant les meilleurs arbres, sélectionnés pour leur forme et leur dimension, pour une étude à plus long terme. Pratiquer une éclaircie sélective pendant le mois de novembre et au début de décembre quand l'essai est le plus susceptible au vandalisme. Mener la première phase d'études de volume sur les arbres récoltés pour des analyses de régression. Eviter de collecter des semences de l'essai pour propagation, excepté pour la recherche. (2) Etablir et distribuer des lots de semences et provenances d'origine connue sous des conditions de croissance similaires, particulièrement ceux pouvant potentiellement avoir le plus d'impact économique sur les planteurs: P. patula 15275, P. oocarpa 15319, P. tecunumanii 7/77, P. taeda 496 et P. caribaea bahamensis 3/80. Etablir des peuplements isolés comme source de semences pour tout le pays. Continuer à distribuer un mélange balancé de lots de semences de P. occidentalis, récoltés d'arbres sélectionnés pour leur forme et leur vigueur, à partir de populations saines en Haiti. (3) Observer soigneusement toute régénération naturelle dans les essais pour confirmer si les pins importés peuvent se répandre naturellement. Observer tout signe d'hybridation naturelle avec le P. occidentalis. (4) Etudier les dimensions sociales de l'essai de Kenscoff, spécialement les problèmes d'incursions et l'utilisation de l'essai par les paysans avoisinants comme source de revenus. Développer des stratégies viables pour augmenter la sécurité de l'essai et établir un contrôle sur l'utilisation de la terre. Ceci a de sérieuses implications concernant la capacité du gouvernement à alternatives d'utilisation de la terre, qui conservent les ressources naturelles. (5) Informer le Service des Ressources Forestières (SRF du MARNDR) de l'aspect unique et de l'importance de l'essai de Kenscoff, et investiguer la possibilité pour le SRF de collaborer avec les Wynne dans la gestion et la protection de l'essai pour des études futures. L'essai devrait être étudié pour des observations à long terme sur les pestes et maladies, qualité de bois, régénération naturelle, hybridation naturelle, tolérance aux vents, développement de forme et paramètres quantitatifs de survivance, hauteur et diamètres de tige.
The Colombian legislator of year 2000, at the time of elaborating the penal code that at the present time prevails, created a new legally protected interest, which was located in Title II of the special part of the mentioned normative body, under the denomination of "Crimes against People and Goods Protected by the Humanitarian International Law". In such sense, one is due to understand that the conducts located in this part of the penal code go to protect of way prevalerte the values that inspire the well-known normative body like the Right Humanitarian International. Thus, in case of happening the death of a person internationally protected, one is due to understand that the punishment that not only prevails by such fact looks for to vindicate the right to the life of the victim, but that, in addition, necessarily must become an express recognition of the use and the respect due to the interests protected by the Humanitarian Right, as it is it the distinction principle, because otherwise some would not exist reason so that the legislator had created this class of punibles conducts, if he is not indeed because they go to the preservation of a new legally protected interest between us, as he is it the one of the stops interests that they sustain to the Right International of the Armed Conflicts. However, so that the crimes located in Title II of the special part of the penal code can be applied, they require that of the presence of a legal normative element of the type, as it is the existence of a situation that can be described like conflict armed, for the Colombian case, must have the character with internal. The previous thing in the measurement in which this class of penal types demands that the conduct is developed with developing occasion or of armed conflict.However, so that the crimes located in Title II of the special part of the penal code can be applied, they require that of the presence of a legal normative element of the type, as it is the existence of a situation that can be described like conflict armed, for the Colombian case, must have the character with internal. The previous thing in the measurement in which this class of penal types demands that the conduct is developed with developing occasion or of armed conflict.Being which one is a normative element, of legal character, in Colombia agreement does not exist on the existence or not of a situation that can be described like armed conflict internal, since the Executive authority denies it, whereas others affirm it. The previous situation generates one serious situation of legal insecurity, since the justice operator will be faced diverse interpretations, some of them of political content, that of necessary way will influence in the decision to take with respect to which crime to apply, if one against person or internationally protected, or on the contrary to go to the rest of the catalogue of crimes that are committed in normality state.Being a subject of legal interpretation, it corresponds to the justice operator to make the hermenéutica work, going for it to the legal sources on which it counts, for the case the normatividad that it defines what is due to understand by armed conflicto internal. ; El legislador colombiano del año 2000, al momento de elaborar el código penal que en la actualidad rige, creó un nuevo bien jurídico, el cual fue ubicado en el Título II de la parte especial del cuerpo normativo mencionado, bajo la denominación de "Delitos contra Personas y Bienes Protegidos por el Derecho Internacional Humanitario". En tal sentido, se debe entender que las conductas ubicadas en esta parte del código penal se dirigen a proteger de manera prevalerte los valores que inspiran el cuerpo normativo conocido como Derecho Internacional Humanitario. Así, en caso de ocurrir la muerte de una persona internacionalmente protegida, se debe entender que el castigo que se imponga por tal hecho no sólo busca reivindicar el derecho a la vida de la víctima, sino que, además, necesariamente debe hacerse un reconocimiento expreso de la vigencia y el respeto debido a los intereses protegidos por el derecho humanitario, tal como lo es el principio de distinción, pues de lo contrario no existiría razón alguna para que el legislador hubiese creado esta clase de conductas punibles, si no es precisamente porque se dirigen a la preservación de un bien jurídico nuevo entre nosotros, como lo es el de los altos intereses que sustentan al Derecho Internacional de los Conflictos Armados.Ahora bien, para que los delitos ubicados en el Título II de la parte especial del código penal puedan ser aplicados, requieren que se de la presencia de un elemento normativo jurídico del tipo, cual es la existencia de una situación que pueda ser calificada como conflicto armado, para el caso colombiano, tendrá que revestir el carácter de interno. Lo anterior en la medida en que esta clase de tipos penales exigen que la conducta se desarrolle con ocasión o en desarrollo de conflicto armado.Siendo que se trata de un elemento normativo, de carácter jurídico, en Colombia no existe acuerdo sobre la existencia o no de una situación que pueda ser calificada como conflicto armado interno, puesto que el poder ejecutivo lo niega, mientras que otros lo afirman. La anterior situación genera una grave situación de inseguridad jurídica, puesto que el operador de justicia se verá enfrentado a diversas interpretaciones, algunas de ellas de contenido político, que de manera necesaria influirán en la decisión a tomar respecto a cuál delito aplicar, si uno contra persona o bien internacionalmente protegido, o por el contrario acudir al resto del catálogo de delitos que se cometen en estado de normalidad.Siendo un tema de interpretación jurídica, corresponde al operador de justicia realizar la labor hermenéutica, acudiendo para ello a las fuentes jurídicas con las que cuenta, para el caso la normatividad que define qué se debe entender por conflicto armado interno.
En este trabajo se evalúan los efectos económicos de diferentes escenarios de asignación regional empleados en el esquema actual de transferencias interregionales en Colombia, destacando los posibles compromisos entre la eficiencia y la equidad regional. Las simulaciones realizadas en el trabajo, utilizando un modelo de equilibrio general computable interregional, contribuyen al análisis del impacto del crecimiento relacionado con algunos de los objetivos generales que persiguen los gobiernos centrales al asignar transferencias sub-nacionales a los gobiernos locales. En este sentido, se simulan escenarios contra factuales en los que las políticas redistributivas están diseñadas para evaluar los posibles resultados del Producto Bruto Regional. Los resultados muestran que cuando la distribución se lleva a cabo sobre la base del tamaño de la población regional, hay ganancias potenciales en el crecimiento nacional junto con un aumento en las disparidades regionales. Sin embargo, cuando la distribución se lleva a cabo de acuerdo con otros criterios redistributivos, como el número de personas en condición de pobreza o las brechas horizontales de equidad fiscal, existen mejoras potenciales en la desigualdad regional, a pesar de estar acompañadas de efectos negativos del crecimiento. En este sentido, si se prioriza el criterio redistributivo para compensar la reducción del crecimiento, las regiones que enfrentan un aumento neto en las transferencias deben asignar los recursos adicionales para mejorar en términos de Productividad Total de los Factores (PTF), específicamente, priorizando en inversiones que mejoran la PTF en el largo plazo, tales como aquellas en capital humano enfocadas a la educación y la salud. ; We assess the economic effects of different scenarios of regional allocation of the current interregional transfers' scheme in Colombia, highlighting potential tradeoffs between regional equity and efficiency. The simulations conducted in this work, using an interregional computable general equilibrium model, contribute to the analysis of the growth impact related to some of the broad objectives that central governments pursue when allocating subnational transfers to local governments. We simulate counterfactual scenarios in which redistributive policies are designed to assess potential Gross Regional Product (GRP) outcomes had they been applied to the Colombian economy. The results show that when the distribution is carried out based on regional population shares, there are potential gains in national growth together with an increase in regional disparities. However, when the distribution is carried out according to other redistributive criteria, such as the number of people impoverished or the horizontal equity gaps, there is a potential improvement in regional inequality despite negative growth effects. In this sense, if we prioritize the redistributive criterion in order to offset the reduction of growth, regions that face a net increase in transfers should allocate the additional resources to improve in terms of Total Factor Productivity (TFP), specifically, in long-term TFP-enhancing investments, such as human capital in the form of education and health outcomes. ; Enfoque Colombia es un país con amplias desigualdades en el ingreso, en comparación con otras economías. En 2016, el Índice Gini llegó a 0,51, situando al país como uno de los más desiguales del continente, solo superado por Haití. De otro lado, existen notables diferencias económicas regionales dentro del país. Por ejemplo, el PIB per cápita en el departamento de Casanare es diez veces mayor que el de Vaupés. Uno de los mecanismos a través del cual se abordan las desigualdades es mediante la redistribución del ingreso de las regiones más prósperas hacia aquellas donde hay más prevalencia de pobreza. En efecto, las políticas de descentralización han introducido mecanismos para redistribuir los ingresos de los recursos del Gobierno Nacional Central (GNC), pero las desigualdades aún persisten. La pregunta que se aborda en el trabajo 'Impacto de escenarios de transferencias interregionales en Colombia' es ¿Cuál sería el mecanismo de distribución de los recursos del Sistema General de Participaciones (SGP) que reduzca esas desigualdades? Contribución En esta investigación se llevó a cabo un análisis de la distribución de los recursos de GNC, evaluando diferentes escenarios contrafactuales. Este constituye el primer esfuerzo por evaluar cuáles serían los efectos de un cambio en la forma como se distribuyen las transferencias recibidas por los entes territoriales a través del Sistema General de Participaciones (SGP). Específicamente, se utilizó un modelo de equilibrio general interregional para simular los efectos que tendría un cambio en el SGP sobre el PIB agregado y sobre el producto bruto regional. Los mecanismos que se evaluaron son tres: (i) un escenario en el que se distribuyen los recursos solo teniendo en cuenta la población, (ii) uno en el que se utiliza el número de personas en condición de pobreza extrema y, por último, (iii) uno que tiene en cuenta los requerimientos para cerrar la brecha existente entre los ingresos potenciales de cada entidad territorial y sus necesidades de gasto. Destacado: Cuando la distribución se lleva a cabo sobre la base del tamaño de la población regional, hay ganancias potenciales en el crecimiento nacional junto con un aumento en las disparidades regionales. Resultados Con base en los supuestos del modelo que se usaron, los resultados evidencian que, si se distribuyen los recursos teniendo en cuenta la población, se aumentan las desigualdades, mientras que, en los otros dos escenarios, estas se reducen. Además, se encuentra que el criterio por el cual se maximiza el crecimiento del ingreso agregado, es el número de habitantes. Por otro lado, cuando la distribución se lleva a cabo de acuerdo con criterios redistributivos, como la cantidad de personas pobres o las brechas de equidad horizontal, no se alcanza el mismo crecimiento del ingreso agregado. Sin embargo, un criterio redistributivo también puede influir positivamente sobre el crecimiento, en especial si los recursos empleados se enfocan en aumentar la productividad de las regiones. Esos incrementos en productividad se pueden lograr si los mayores recursos se invierten en formación de capital humano y en mejoras en la salud de los individuos, en vez de convertirse en fuentes de gastos corrientes.
The Colombian legislator of year 2000, at the time of elaborating the penal code that at the present time prevails, created a new legally protected interest, which was located in Title II of the special part of the mentioned normative body, under the denomination of "Crimes against People and Goods Protected by the Humanitarian International Law". In such sense, one is due to understand that the conducts located in this part of the penal code go to protect of way prevalerte the values that inspire the well-known normative body like the Right Humanitarian International. Thus, in case of happening the death of a person internationally protected, one is due to understand that the punishment that not only prevails by such fact looks for to vindicate the right to the life of the victim, but that, in addition, necessarily must become an express recognition of the use and the respect due to the interests protected by the Humanitarian Right, as it is it the distinction principle, because otherwise some would not exist reason so that the legislator had created this class of punibles conducts, if he is not indeed because they go to the preservation of a new legally protected interest between us, as he is it the one of the stops interests that they sustain to the Right International of the Armed Conflicts. However, so that the crimes located in Title II of the special part of the penal code can be applied, they require that of the presence of a legal normative element of the type, as it is the existence of a situation that can be described like conflict armed, for the Colombian case, must have the character with internal. The previous thing in the measurement in which this class of penal types demands that the conduct is developed with developing occasion or of armed conflict.However, so that the crimes located in Title II of the special part of the penal code can be applied, they require that of the presence of a legal normative element of the type, as it is the existence of a situation that can be described like conflict armed, for the Colombian case, must have the character with internal. The previous thing in the measurement in which this class of penal types demands that the conduct is developed with developing occasion or of armed conflict.Being which one is a normative element, of legal character, in Colombia agreement does not exist on the existence or not of a situation that can be described like armed conflict internal, since the Executive authority denies it, whereas others affirm it. The previous situation generates one serious situation of legal insecurity, since the justice operator will be faced diverse interpretations, some of them of political content, that of necessary way will influence in the decision to take with respect to which crime to apply, if one against person or internationally protected, or on the contrary to go to the rest of the catalogue of crimes that are committed in normality state.Being a subject of legal interpretation, it corresponds to the justice operator to make the hermenéutica work, going for it to the legal sources on which it counts, for the case the normatividad that it defines what is due to understand by armed conflicto internal. ; El legislador colombiano del año 2000, al momento de elaborar el código penal que en la actualidad rige, creó un nuevo bien jurídico, el cual fue ubicado en el Título II de la parte especial del cuerpo normativo mencionado, bajo la denominación de "Delitos contra Personas y Bienes Protegidos por el Derecho Internacional Humanitario". En tal sentido, se debe entender que las conductas ubicadas en esta parte del código penal se dirigen a proteger de manera prevalerte los valores que inspiran el cuerpo normativo conocido como Derecho Internacional Humanitario. Así, en caso de ocurrir la muerte de una persona internacionalmente protegida, se debe entender que el castigo que se imponga por tal hecho no sólo busca reivindicar el derecho a la vida de la víctima, sino que, además, necesariamente debe hacerse un reconocimiento expreso de la vigencia y el respeto debido a los intereses protegidos por el derecho humanitario, tal como lo es el principio de distinción, pues de lo contrario no existiría razón alguna para que el legislador hubiese creado esta clase de conductas punibles, si no es precisamente porque se dirigen a la preservación de un bien jurídico nuevo entre nosotros, como lo es el de los altos intereses que sustentan al Derecho Internacional de los Conflictos Armados.Ahora bien, para que los delitos ubicados en el Título II de la parte especial del código penal puedan ser aplicados, requieren que se de la presencia de un elemento normativo jurídico del tipo, cual es la existencia de una situación que pueda ser calificada como conflicto armado, para el caso colombiano, tendrá que revestir el carácter de interno. Lo anterior en la medida en que esta clase de tipos penales exigen que la conducta se desarrolle con ocasión o en desarrollo de conflicto armado.Siendo que se trata de un elemento normativo, de carácter jurídico, en Colombia no existe acuerdo sobre la existencia o no de una situación que pueda ser calificada como conflicto armado interno, puesto que el poder ejecutivo lo niega, mientras que otros lo afirman. La anterior situación genera una grave situación de inseguridad jurídica, puesto que el operador de justicia se verá enfrentado a diversas interpretaciones, algunas de ellas de contenido político, que de manera necesaria influirán en la decisión a tomar respecto a cuál delito aplicar, si uno contra persona o bien internacionalmente protegido, o por el contrario acudir al resto del catálogo de delitos que se cometen en estado de normalidad.Siendo un tema de interpretación jurídica, corresponde al operador de justicia realizar la labor hermenéutica, acudiendo para ello a las fuentes jurídicas con las que cuenta, para el caso la normatividad que define qué se debe entender por conflicto armado interno.
La presente investigación hace referencia a la revocatoria directa de los actos administrativos definida por el Consejo de Estado, Sala de lo Contencioso Administrativo (2009), como: Una herramienta de la que pueden hacer uso tanto la Administración como el administrado para que en sede administrativa desaparezcan del ordenamiento jurídico aquellos actos administrativos que estén en oposición a la Constitución Política o a la ley, que no estén conformes con el interés público o social o cuando con ellos se cause agravio injustificado a una persona. (Consejo de Estado, Sala de lo Contencioso Administrativo, 13 de mayo de 2009, Sentencia 25000-23-26-000-1998-01286-01 [C.P. Ramiro Saavedra Becerra]. A su vez, la Ley 1437 de 2011, contiene en su articulado el procedimiento que debe seguir un ciudadano o una autoridad administrativa para adelantar el trámite de revocatoria directa de un acto administrativo, estipulando las causales por la que procede el trámite en mención, la oportunidad para solicitarlo, los efectos jurídicos que causa la decisión, la titularidad para solicitar la iniciación del trámite y declarar revocado un acto administrativo, el término en que deben ser resueltas las solicitudes y la revocatoria de actos administrativos particulares y concretos. (Ley No. 1437. 2011). De manera que, su característica principal consiste en sustraer del ordenamiento jurídico un acto administrativo del que se presume su legalidad y el cual se encuentra generando efectos jurídicos durante el tiempo que no ha sido revocado. (Galvis, 2013, p.19). Dentro del marco indicado, esta investigación analiza lo establecido en el artículo 95 del Código de Procedimiento Administrativo y de lo Contencioso Administrativo, según el cual las entidades públicas o las autoridades competentes tienen el término de dos meses para resolver la solicitud de revocatoria directa, enfatizando que frente a tal decisión no procede ningún tipo de recursos de ley, es decir, reposición, apelación y queja. Paralelo a ello, es necesario llevar a cabo el análisis del artículo 96, el cual estipula como efecto, que ni la petición ni la decisión de revocatoria, reviven los términos para que el acto administrativo sea demandado ante la jurisdicción contenciosa, no siendo posible la aplicación del silencio administrativo positivo ni negativo, cuando la administración no dé respuesta en el término estipulado a la mencionada solicitud. (Ley No. 1437. 2011). Con base a lo anterior, esta investigación se realiza con el interés académico y profesional de determinar qué herramienta jurídica tiene el ciudadano para obligar a la Administración a darle respuesta a la solicitud de revocatoria directa de un acto administrativo, si esta no se resuelve en el término estipulado en la Ley 1437 de 2011, al igual que busca establecer los efectos jurídicos del silencio administrativo frente a la solicitud de revocatoria directa. La metodología de esta investigación estuvo ligada al estudio teórico de la Ley 1437 de 2011, Ley 734 de 2002, Ley 1952 de 2019, Ley 80 de 1993, Ley 142 de 1994, el Decreto 01 de 1984, Decreto 2733 de 1959, la jurisprudencia del Consejo de Estado, jurisprudencia de la Corte Constitucional referente al tema y doctrina específica sobre revocatoria directa de actos administrativos. Como objetivo general de la investigación perfilé encontrar si existía o no una herramienta jurídica aplicable por parte del ciudadano en el evento que caducara el término para resolver su solicitud de revocatoria directa frente a un acto administrativo y, los efectos jurídicos que acarrea para la administración no resolver en el término tal solicitud. Para lo cual se analizan diferentes figuras y acciones legales tendientes a brindar una respuesta aplicable al problema de investigación, además, estudiar procedimientos administrativos específicos o especiales con el fin de determinar si la norma especial podría ser aplicada en el contexto de la norma general. De la investigación en concreto. El trabajo de investigación se estructura en tres capítulos: en el primer capítulo se hace referencia a los antecedentes normativos desde la expedición del Decreto 2733 de 1959, hasta la regulación de la revocatoria directa en la Ley 1437 de 2011. Plasmando la selección de jurisprudencias y conceptos emitidos por el Consejo de Estado, en la sala de Consulta y Servicio Civil y de Contencioso Administrativo, desde 1954 hasta 2019, con el objetivo de relatar el avance histórico que ha tenido la figura de la revocatoria directa de los actos administrativos en Colombia. Es importante recalcar, que el criterio de escogencia obedeció exclusivamente al avance interpretativo que el Consejo de Estado le ha dado a la figura jurídica en mención y no al orden cronológico en el tiempo. Se analiza el silencio administrativo y los recursos ordinarios contemplados para el procedimiento adelantado en sede administrativa. Efectuando una aproximación a los conceptos generales, normativos y jurisprudenciales sobre estas figuras para llegar a la conclusión de verificar si la Ley 1437 de 2011 y las demás estudiadas, plantean correctamente su postura sobre la improcedencia del silencio administrativo y los recursos en vía gubernativa y si su redacción corresponde a una correcta adecuación, o si por el contrario existe una contradicción jurídica dentro del procedimiento. En el capítulo segundo se estudia los procedimientos administrativos adelantados en ejercicio de funciones específicas de carácter administrativo. Verificando lo relativo a los procedimientos administrativos de revocatoria directa que se realizan en las actividades administrativas como en la prestación de servicios públicos domiciliarios, el ejercicio de la función fiscal del Estado y de la función disciplinaria de acuerdo a lo consagrado en la Ley 734 de 2002 y la Ley 1952 de 2019, en el entendido de determinar si lo contenido en el procedimiento especial prevalece sobre la norma general. Se indaga igualmente sobre la revocatoria de los actos administrativos de adjudicación en materia contractual y revocatoria de los actos administrativos pre-contractuales con el fin de determinar su revocabilidad o irrevocabilidad. En el capítulo tercero se analiza la acción de cumplimiento como posible solución al problema jurídico, es decir, como una herramienta jurídica utilizable por el administrado para obligar a la administración a darle cumplimiento a lo estipulado en el artículo 95 de la Ley 1437 de 2011. Plasmando el concepto normativo, jurisprudencial y doctrinal y comprobando los aspectos importantes de la Ley 393 de 1997, con el fin de resolver el problema jurídico. Igualmente, se examina la titularidad que se requiere para revocar actos administrativos tomando en cuenta las modificaciones realizadas con la expedición de la Ley 1437 de 2011, que específicamente determina las autoridades administrativas que tienen competencia para revocar actos administrativos. Así las cosas, se busca determinar si para el problema jurídico planteado existe una herramienta jurídica aplicable que obligue a la administración a dar respuesta al administrado o si por el contrario la norma deja la interpretación sin un sustento jurídico que conlleve a la no respuesta por parte de la administración. ; This investigation refers to the direct revocation of administrative acts defined by the Council of State, Administrative Litigation Chamber (2009), such as: A tool that can be used by both the Administration and the administered so that administrative acts that are in opposition to the Political Constitution or the law, that are not in accordance with the public or social interest or when with them unjustified injury is caused to a person. (Council of State, Administrative Litigation Chamber, May 13, 2009, Judgment 25000-23-26-000-1998-01286-01 [C.P. Ramiro Saavedra Becerra]. In turn, Law 1437 of 2011, contains in its articles the procedure that a citizen or an administrative authority must follow to carry out the process of direct revocation of an administrative act, stipulating the causes by which the procedure in question proceeds, the opportunity to request it, the legal effects caused by the decision, ownership to request the initiation of the procedure and declare an administrative act revoked, the term in which requests must be resolved and the revocation of particular and specific administrative acts. (Law No. 1437. 2011). Thus, its main characteristic consists in subtracting from the legal system an administrative act from which its legality is presumed and which is generating legal effects during the time that it has not been revoked. (Galvis, 2013, p.19). Within the indicated framework, this investigation analyzes the provisions of article 95 of the Code of Administrative Procedure and Administrative Litigation, according to which public entities or competent authorities have a period of two months to resolve the request for direct revocation, emphasizing that in the face of such a decision, no legal remedies, that is, replacement, appeal and complaint, proceed. Parallel to this, it is necessary to carry out the analysis of article 96, which stipulates, as an effect, that neither the petition nor the decision to revoke, revive the terms for the administrative act to be sued before the contentious jurisdiction, not being possible application of positive or negative administrative silence, when the administration does not respond within the stipulated term to the aforementioned request. (Law No. 1437. 2011). Based on the above, this investigation is carried out with the academic and professional interest of determining what legal tool the citizen has to compel the Administration to respond to the request for direct revocation of an administrative act, if it is not resolved in the term stipulated in Law 1437 of 2011, just as it seeks to establish the legal effects of administrative silence against the request for direct revocation. The methodology of this research was linked to the theoretical study of Law 1437 of 2011, Law 734 of 2002, Law 1952 of 2019, Law 80 of 1993, Law 142 of 1994, Decree 01 of 1984, Decree 2733 of 1959, jurisprudence of the Council of State, jurisprudence of the Constitutional Court referring to the subject and specific doctrine on direct revocation of administrative acts. As a general objective of the investigation, I outlined whether or not there was a legal tool applicable by the citizen in the event that the term expires to resolve their request for direct revocation against an administrative act and, the legal effects that it entails for the administration do not resolve such request within the term. For this, different legal figures and actions are analyzed to provide an applicable answer to the investigation problem, in addition, to study specific or special administrative procedures in order to determine if the special rule could be applied in the context of the general rule. Of the investigation in concrete. The research work is structured in three chapters: the first chapter refers to the regulatory background from the issuance of Decree 2733 of 1959, to the regulation of direct revocation in Law 1437 of 2011. Embodying the selection of jurisprudence and concepts issued by the Council of State, in the Consultation and Civil Service and Administrative Litigation room, from 1954 to 2019, with the aim of relating the historical progress that the figure of the direct revocation of administrative acts in Colombia has had. It is important to emphasize that the selection criterion was exclusively due to the interpretative advance that the Council of State has given to the mentioned legal figure and not to the chronological order in time. The administrative silence and the ordinary resources contemplated for the procedure advanced in administrative headquarters are analyzed. Making an approximation to the general, normative and jurisprudential concepts on these figures to reach the conclusion of verifying if Law 1437 of 2011 and the others studied, correctly state their position on the inappropriateness of administrative silence and resources in the government channel and if its wording corresponds to a correct adaptation, or whether by On the contrary, there is a legal contradiction within the procedure. The second chapter studies the administrative procedures carried out in the exercise of specific administrative functions. Verifying the relative to the administrative procedures of direct revocation that are carried out in the administrative activities as in the provision of domiciliary public services, the exercise of the fiscal function of the State and of the disciplinary function according to what is enshrined in Law 734 of 2002 and Law 1952 of 2019, in the understanding of determining if what is contained in the special procedure prevails over the general rule. It also investigates the revocation of administrative acts of adjudication in contractual matters and the revocation of pre-contractual administrative acts in order to determine their revocability or irrevocability. In the third chapter, compliance action is analyzed as a possible solution to the legal problem, that is, as a legal tool that can be used by the administrator to compel the administration to comply with the provisions of article 95 of Law 1437 of 2011. Embodying the normative, jurisprudential and doctrinal concept and checking the important aspects of Law 393 of 1997, in order to solve the legal problem. Likewise, the ownership required to revoke administrative acts is examined taking into account the modifications made with the issuance of Law 1437 of 2011, which specifically determines the administrative authorities that have jurisdiction to revoke administrative acts. Thus, it is sought to determine if there is an applicable legal tool for the legal problem raised that forces the administration to respond to the administered or if, on the contrary, the rule leaves the interpretation without a legal basis that leads to non-response by the party. of the administration.
학위논문(박사)--서울대학교 대학원 :보건대학원 보건학과(보건학전공),2020. 2. 조성일. ; 배경: 청소년을 담배 제품 사용으로부터 보호하는 것은 인구집단 수준의 담배 사용을 줄이기 위한 가장 빠르고 효과적인 방법이다. 2005년 담배규제기본협약 (Framework Convention on Tobacco Control, FCTC) 비준 이후 다양한 담배규제정책 추진에 대한 결과로 우리나라 청소년의 흡연율은 크게 감소하였다. 그러나 최근 발생한 흡연율 감소 추세의 둔화와, 신종 담배 제품 관련 행태의 변화는 사회적 변화를 일으킬 수 있는 새로운 관점의 필요성을 제시한다. 새로운 경험을 바탕으로 형성된 신규 세대는 사회적 변화의 원동력이 된다. 역학적 관점에서 세대 효과, 또는 출생 코호트 효과는, 출생연도에 따라 건강 결과의 위험이 다른 것을 의미한다. 세대/출생 코호트 효과는 일반적으로 인구집단 수준의 노출 변화를 수반한다. 따라서, 세대에 대한 역학 연구는 건강 결과에 대한 출생 코호트 효과와 인구집단 수준의 노출 변화를 확인하는 과정을 포함한다. 이와 같은 노출의 변화는 세대 특성을 의미한다. 청소년 흡연의 코호트 효과와 세대 특성을 확인하는 것은 특정 연도 이후 출생자에게 담배 판매와 공급을 제한하는 전략인 담배없는 세대 (Tobacco-free generation, TFG) 전략 추진을 위한 중요한 근거가 된다. TFG는 공급을 규제하는 전략이나, 이 전략이 최종적으로 달성하고자 하는 목표는 세대 간 담배 관련 규범의 차이를 형성하는 것이다. 따라서 담배 규제 정책 또는 중요 사건으로 인해 발생하는 출생 코호트 효과는 청소년의 담배 사용 행태에 세대 특성이 내포되어 있다는 전제를 가지는 전략에 대한 근거로 작용한다. 이 연구는 청소년 흡연의 세대 특성을 규명하는 것을 목적으로 한다. 구체적으로 이 연구는 출생 코호트 간 흡연 행태 차이와 이 차이에 기여하였을 수 있는 요인들을 파악하고, 세대 정체성 이론과 유사한 사회적 정체성 이론을 바탕으로, 청소년기의 성인 경험과 청소년 흡연 사이의 연관성을 확인하고, 담배 사용과 관련된 신규 세대의 출현에 기여할 수 있는 신종 담배 제품의 사용 현황과 신종 담배 제품들이 다른 담배 제품 사용에 미치는 영향을 파악한 다음, 신종 담배 제품 사용에 대한 시나리오를 바탕으로 향후 청소년 흡연율을 예측하고자 하였다. 방법: 연구목적을 달성하기 위해 활용한 자료는 우리나라 중∙고등학생 (연령: 12세-18세)의 건강행태 관련 정보를 제시하는 청소년건강행태조사이다. 첫번째 연구에서는 흡연율 변화 추세의 출생 코호트 효과를 파악하기 위해 연령-기간-코호트 분석을 수행하였다. 이후, 2011년 도입된 학교, 청소년 시설을 포함한 모든 공중이용시설의 금연구역 지정과, 2015년 역대 최대 규모의 담배 가격 인상 (2500원/갑 → 4500원/갑)의 효과를 분석하기 위해 분절 회귀 분석을 실시하였다. 추가로, 연령-기간-코호트 분석에서 도출된 출생연도별 흡연 위험을 바탕으로 출생 연도 구간을 구분하였으며, 해당 구간별로 세대 형성에 기여하였을 수 있는 거시적 환경 요인들을 기술하였다. 두번째 연구에서는 성인 경험과 청소년 담배 사용의 연관성을 로지스틱 회귀분석을 통해 확인하였다. 이때 고려한 성인 경험은 동일 성별, 연령 내 95 백분위수를 초과하는 신장, 10세 이하에서의 성 성숙 경험 (첫 월경 및 몽정), 부모로부터 독립적인 거주, 그리고 근로 경험이다. 그 다음으로 성인 경험과 부모 및 교사 흡연의 덧셈 상호작용을 확인하기 위한 분석을 실시하였다. 이후 추가 분석으로 청소년 개인의 성인 경험과 가까운 성인의 흡연 노출에 대한 코호트별 변화 추세를 확인하였다. 세번째 연구에서는 전자담배 및 가열담배의 사용률과 해당 제품들이 다른 담배 제품 사용에 미치는 영향을 평가하였다. 첫째로, 청소년을 8개의 상호 배타적인 담배/니코틴 제품 사용 상태로 구분한 후, 궐련 담배 및 다른 담배 제품에 대한 관문 효과를 확인하기 위해 마코프 모형을 적용하였다. 추가로, 청소년에서의 다중 담배 사용 행태를 확인하기 위해 전자담배 및 가열담배의 단독 또는 동시 사용 현황을 평가하였으며, 전자담배와 가열담배 그리고 궐련 담배 금연 시도 사이의 연관성을 로지스틱 회귀분석을 통해 확인하였다. 마지막으로, 시나리오 분석과 복잡계를 다루는데 특화되어 있는 시스템 다이내믹스 방법론을 활용하여 청소년 흡연율의 변화를 예측하는 모형을 구축하였다. 청소년 인구는 평생 비흡연자, 현재 흡연자 및 과거 흡연자의 3개 집단으로 구분하였다. 모형 내에서 고려한 부문은 담배 사용자, 담배 규제 정책, 담배 회사, 담배 제품 및 담배 사용에 대한 사회적 영향이다. 기본 모형으로부터 2006년-2018년의 청소년 흡연율 추정치를 도출하였으며, 최종적으로 도출한 모형에 대한 구조 및 행태 타당성 검사를 실시하였다. 이후 단계에서 신종 담배 사용에 대한 일련의 시나리오를 바탕으로 2019년-2040년의 청소년 흡연율을 예측하였다. 결과: 2006년부터 2017년 사이 우리나라 남학생의 흡연율은 16%에서 9%로, 여학생의 흡연율은 9%에서 3%로 감소하였다. 출생 코호트 효과 분석 결과, 1998년 이후에 태어난 남학생과 1997년 이후 태어난 여학생에서 담배 사용에 대한 위험이 지속적으로 감소한 것을 확인할 수 있었다. 학교 및 청소년 시설을 포함한 공공 장소에서의 흡연을 금지 한 이후, 남학생과 (β=-1.1; 95% CI: -1.9, -0.2) 여학생 (β=-0.4; 95% CI: -0.6, -0.1) 모두에서 장기적인 흡연율 감소 추세가 발생하였다. 반면, 담배 가격 인상 이후에는 여학생에서만 단기적인 흡연율 감소를 확인할 수 있었다 (β=-0.8; 95% CI: -1.5, -0.2). 흡연에 대한 위험에 따라 세 개의 출생 연도 구간이 도출되었으며, 각 구간의 청소년들은 서로 다른 특성을 나타냈다. 두번째 연구를 통해 큰 키 (OR=1.18; 95% CI=1.07, 1.30), 성 조숙 (OR=1.47; 95% CI=1.32, 1.63), 부모로부터 떨어진 거주 (OR=1.23; 95% CI=1.07, 1.41) 그리고 근로 경험 (OR=4.38, 95% CI=4.17, 4.61) 각각과 청소년 담배 사용 간의 연관성을 확인할 수 있었다. 근로 경험과 부모 흡연의 조합이 청소년 담배 사용에 미치는 영향은 각 개별 영향이 미치는 영향 크기의 합보다 더 커 덧셈 상호작용이 존재함을 확인 할 수 있었다 (RERI=0.47; 95% CI=0.11, 0.83). 마찬가지로, 성 조숙 (RERI = 0.54; 95 % CI = 0.12, 0.88), 부모로부터 떨어진 거주 (RERI = 0.55; 95 % CI = 0.09, 1.00), 직업 경험 (RERI=1.84 95% CI=1.42, 2.25) 각각과 교사 흡연의 조합이 각 개별 영향의 합보다 더 큰 것을 확인할 수 있었다. 우리나라 청소년 전체 중 2.9%는 평생 가열담배 경험자였으며, 7.9%는 평생 전자담배 경험자였다. 가열담배 평생 경험자 중 75.5%는 현재 궐련 담배 사용자였으며, 45.6%는 현재 전자담배 사용자였다. 전자담배 평생 경험자 중 55.4%는 궐련 담배 사용자였다. 평생 담배제품 비사용자와 비교하였을 때, 전자담배 (TIR=8.1; 95% CI=5.2, 12.4) 및 가열담배 (TIR=20.3; 95% CI=7.6, 53.7) 사용자는 궐련 담배 시작에 대해 더 높은 위험을 보였다. 궐련 담배에 대한 관문효과는 전자담배와 가열담배를 모두 경험한 청소년에게서 가장 컸다. (TIR=64.0; 95% CI=41.4, 98.9). 전자담배 평생 경험과 궐련 담배 금연 시도 사이에는 연관성을 확인할 수 있었던 반면 (aOR=1.35, 95% CI: 1.15, 1.58), 가열담배 평생 경험과 궐련 담배 금연 시도 사이에는 유의한 연관성을 찾아볼 수 없었다 (aOR=1.06, 95% CI: 0.90, 1.26). 담배 사용자, 담배 규제 정책, 담배 회사, 담배 제품, 및 사회적 영향을 모두 고려한 기초 모형의 R2 값은 0.95로, 2006년-2018년의 실제 청소년 흡연율 수치뿐만 아니라 변화의 동태 또한 잘 설명하는 것으로 나타났다. 현상 유지 시나리오에서는 청소년 흡연율이 2019년에 8.2%, 2040년에 6.8%로 약간 감소하는 것으로 나타났다. 반면, 가열담배 사용의 10배 증가 시나리오에서는, 담배 규제 정책의 영향이 고려되었음에도 불구하고 3년만에 궐련 담배 사용률이 3.1%p 증가하였으며, 2040년에도 8.6%로 높은 수치를 나타냈다. 결론: 이 연구는 청소년 흡연 변화 추세의 출생 코호트 효과를 확인하고, 세대 형성에 기여한 사건 및 변화를 기술하였으며, 신종 담배 제품의 도입으로 인한 담배 사용 관련 신규 세대 출현 가능성을 확인하였다. 전반적인 담배 규제 정책의 강화, 청소년 흡연율 감소에 특히 효과적이라고 알려져 있는 정책의 강화, 그리고 담배 사용을 기피하는 사회 전반의 움직임은 최근 청소년 코호트에서 흡연에 대한 위험을 줄이는데 기여하였다. 그러나 청소년 사이에서 신종 담배 제품의 빠른 확산과 다른 제품 사용으로의 높은 이행 확률은 기존의 세대와는 근본적으로 다른 담배 사용 관련 세대의 출현에 기여할 수 있다. 중요 생애 주기에 있는 사람들이 동일한 경험을 하는 것은 세대 정체성 형성에 매우 중요한 역할을 하는 것으로 알려져 있다. 청소년 담배 사용 행태의 구축에 있어 가장 중요한 시기는 초기 청소년 시기이다. 따라서, 향후 담배 규제 정책은 해당 시기의 모든 초기 청소년을 대상으로 실시하여 이전 세대와 새로운 세대를 구별하는데 기여하여야 한다. 이와 같은 전략의 예시 중 하나는 바로 TFG 제안이다. TFG의 도입은 기존의 세대와 최근 세대의 차이를 확대하여 새로운 규범을 가진 세대, 즉 담배와 무관한 규범을 가진 세대의 출현에 기여할 수 있다. 또한, 이 연구의 결과는 가열담배와 같은 신종 담배 제품 도입에 의한 신규 담배 사용 세대의 출현 가능성을 제시하였다. 청소년 담배 규제 정책 및 TFG 전략에 대한 논의는 궐련 담배 사용으로만 제한되어서는 안되며, 모든 담배 제품을 포괄해야 한다. ; Background: A success in preventing adolescent tobacco use is the most expeditious and effective way to reduce population-level tobacco use. Implementation of a series of tobacco control policies after the ratification of the Framework Convention on Tobacco Control led to a substantial decline in the cigarette smoking prevalence among South Korean adolescents. However, the recent deceleration in the reduction of smoking and evolving behavioral patterns regarding non-cigarette tobacco/nicotine product (NCTNP) among adolescents call for a new perspective that can drive societal transformation. Generations are considered engines of social change, as each new generation with new experience shape new culture. Epidemiologic views define generation, or cohort effects, as differences in the risks regarding a health outcome by birth year. These effects are often coincided with shifts in population-level exposure. Therefore, epidemiologic studies of generations or cohorts require identifying cohort effects from a health outcome, and describing changes in the population-level exposure to risk factors. Such exposure changes represent generational characteristics. Examination of cohort effects and related characteristics also serve as an evidence to implement a legislative measure of banning sales or supplies of tobacco products to those born in or after a certain year, known as the tobacco-free generation (TFG). The ultimate objective of the TFG proposal is to create normative differences between generations. Birth cohort differences occurring due to the impact of tobacco control policies, as well as other critical events would be an evidence in favor of measures considering generational traits. In this study, I aimed to address the generational characteristics of adolescent smoking. Specifically, this study first seeks to identify birth cohort effects in adolescent smoking, and examine possible changes or events that may have shaped generational cohorts regarding smoking. Second, drawing on the social identity theory, which is in line with the generational identity theory, I aimed to determine the association between adulthood experiences and adolescent cigarettes smoking, along with the joint association of adulthood experiences, and significant adults (parents and teachers) smoking with adolescent cigarette smoking. The third focus of this study is examining the impacts of NCTNPs, which may serve as a foundation for the emergence of a new generation regarding tobacco use. Lastly, this study attempted to project the landscape of adolescent smoking with different scenarios regarding NCTNPs. Methods: The four independent studies of this dissertation all used a nationally, representative cross-sectional data of school-attending Korean adolescents aged 12 to 18 years (mean age: 15 years). In the first study, age-period-cohort (APC) analysis was applied to determine the influence of cohort effects on the trends of adolescent smoking prevalence during 2006-2017. Then, the long-term impacts of two denormalization policies: banning of smoking in public places including schools and adolescent facilities, and the largest-ever increase in cigarette prices from 2500 WON per pack to 4500 WON per pack, were analyzed by segmented regression models. In addition, birth year intervals were delineated by the risks of smoking obtained from the APC model, and potential generation shaping events and changes were described accordingly. For the second study, the association of adulthood experience and adolescent cigarette smoking was examined by performing logistic regression analyses. The adulthood experiences examined in this study were height above the 95th percentile for age and sex, sexual development before 10-years old or younger, living arrangements away from parents, and having a job experience during the past 12-months. Tests for additive interaction between adulthood experiences, and parents or teacher smoking, with adolescent cigarette smoking, were also conducted. Moreover, additional analyses examining cohort differences in the exposure to adulthood experience and significant adult smoking were performed. Third, the prevalence, and the impacts of electronic nicotine delivery systems (ENDS) and heated tobacco products (HTPs) on other tobacco/nicotine product use behaviors were assessed. First, participants were categorized into eight mutually exclusive tobacco or nicotine use states. A multistate Markov model was applied to identify transitions between the states to assess gateway effects to cigarettes and other NCTNPs. Moreover, the prevalence of ENDS and HTPs were examined solely or jointly with other products, and the association between NCTNPs and cigarette quit attempts were examined to identify polytobacco use among adolescents. Lastly, a model based on the system dynamics methodology specialized in scenario testing, and handling complex systems was developed. The population of adolescents were categorized into three mutually exclusive groups of never smokers, current smokers and former smokers. The sectors included in the model were tobacco users, tobacco control policies, tobacco industry, tobacco products and social influence. The estimates derived from the exploratory model showed adolescent smoking prevalence from 2006 to 2018. Tests for validity, including tests for structure and behavior, were performed on the explanatory model. Then scenario testing assessing the impacts of NCTNP use, particularly HTPs, on adolescent cigarette smoking prevalence were conducted through 2019-2040. Results: Between 2006 and 2017, the prevalence of cigarette smoking among Korean adolescents decreased from 16% to 9% in boys, and from 9% to 3% in girls. According to the APC analysis, the risk of smoking decreased with every consecutive year for adolescents born after 1997. After a complete ban on smoking in public places, there were significantly negative trends in the prevalence of cigarette smoking for both boys (β=-1.1; 95% CI: -1.9, -0.2) and girls (β=-0.4; 95% CI: -0.6, -0.1). Immediate decrease among girls was found after cigarette prices increased (β=-0.8; 95% CI: -1.5, -0.2). Three generational cohorts were delineated by risks of cigarette smoking. These generational cohorts depicted different characteristics. From the second study, a positive correlation between tall stature (OR=1.18; 95% CI=1.07, 1.30), precocious sexual development (OR=1.47; 95% CI=1.32, 1.63), independent living from parents (OR=1.23; 95% CI=1.07, 1.41) and work experience (OR=4.38, 95% CI=4.17, 4.61), and adolescent smoking were found. The risk of adolescent cigarette smoking associated with a combination of job experience and parental smoking was larger than the sum of risk associated with each individual factor, indicating an interaction on an additive scale (RERI=0.47; 95% CI=0.11, 0.83). Moreover, the risk of adolescent cigarette smoking associated with a combination of precocious sexual development (RERI=0.51; 95% CI=0.12, 0.88), independent living (RERI=0.55; 95% CI=0.09, 1.00) and job experience (RERI=1.84; 95% CI=1.42, 2.25), and teacher smoking was more than the addition of risk associated with each individual factor, respectively. Additional analyses suggested exposure to parental smoking decreased from 36.7% in 2006 to 21.2% in 2018, and teacher smoking decreased from 26.1% in 2007 to 20.0% in 2018. In all, 2.9% of adolescents were ever HTP users and 7.9% were ever ENDS users. Among HTP ever users, 75.3% were current cigarette users and 47.2% were current ENDS users. Similarly, among ENDS ever users, 55.4% were current cigarette users. Compared with never use, use of ENDS and HTP was associated with an increased risk of initiation of cigarette use (TIR=8.1; 95% CI=5.2, 12.4 and TIR=20.3; 95% CI=7.6, 53.7, respectively). The gateway effect was greatest in subjects who had used both ENDS and HTPs (TIR=64.0, 95% CI=41.4, 98.9). Transitions between ENDS and HTPs were frequent. Unlike ever use of ENDS, which was associated with a higher likelihood of making cigarette quit attempts (aOR=1.35, 95% CI: 1.15, 1.58), no difference in cigarette quit attempts were found by ever use of HTPs (aOR=1.06, 95% CI: 0.90, 1.26). Adolescent cigarette smoking prevalence simulated by the explanatory model including the users, policy, industry, products, and social influence performed well in replicating the overall dynamics of adolescent cigarette smoking prevalence from 2006 to 2018, and showed the highest R2 coefficient of 0.95 among all other models. The status quo model showed gradual decrease in smoking prevalence from 8.2% in 2019 to 6.8% in 2040. On the other hand, the ten-fold increase in HTP use (HTP ever use: 28%) scenario showed that adolescent cigarette smoking increase by 3.2%p within three years. Under such scenario, smoking prevalence of 8.6% at 2040 was higher than that of 2019, even with tobacco control policies in effect. Conclusion: This study identified birth cohort effects in adolescent cigarette smoking, elucidated generation-shaping events and changes, and suggested the possibility of the emergence of a new generation due to the introduction of NCTNPs such as HTPs. The strengthening of overall tobacco control policies, along with policies specifically targeting adolescents, and societal level movements away from smoking contributed to reduced risks of cigarette smoking among recent cohorts. However, rapid adoption of novel and emerging tobacco/nicotine products and the high likelihood of transitioning to other product use among adolescents lay foundation for the emergence of a new tobacco-related generation. In creating generational identities, the role of collective experiences among those in critical stages are emphasized. The critical stage for formulating patterns of tobacco use are during early adolescence years. Thus, future tobacco control strategies must be focused on differentiating one generation from another, by implementing universal tobacco control policies reaching those at early adolescence. One innovative example is the TFG proposal. Implementation of the TFG, would be favorable in creating a new generational norm by widening the gap between the existing and new generations. As mentioned, the results of the study pointed to a possibility of an emergence of a new generation regarding tobacco use, as a result of NCTNP penetration into the tobacco market. Both non-legislative and legislative discussions on attaining a generation free from tobacco should cover all tobacco/nicotine products, not just cigarettes. ; Abstract i Chapter 1. Overall introduction 1 1.1. Prevention of adolescent tobacco use 2 1.2. Generational approach to adolescent tobacco use 7 1.3. Study objectives and framework 15 Chapter 2. Generational cohorts for adolescent smoking in Korea 19 2.1. Introduction 20 2.2. Methods 26 2.3. Results 33 2.4. Discussion 48 Chapter 3. Adulthood experience and adolescent smoking: the role of significant adults 57 3.1. Introduction 58 3.2. Methods 63 3.3. Results 69 3.4. Discussion 83 Chapter 4. Impacts of novel tobacco/nicotine products on adolescent cigarette smoking initiation and polytobacco use 93 4.1. Introduction 94 4.2. Methods 99 4.3. Results 108 4.4. Discussion 129 Chapter 5. System dynamics modelling to view the adolescent smoking problem: the impact of novel tobacco products on attaining a tobacco-free generation 137 5.1. Introduction 138 5.2. Methods 143 5.3. Results 165 5.4. Discussion 180 Chapter 6. Overall discussion 189 6.1. Summary of the studies 190 6.2. Recommendations for future policy and suggestions for future research 198 References 205 국문초록 223 ; Doctor
Die Stadtentwicklungspolitik in Deutschland formuliert aufgrund veränderter Rahmenbedingungen wie dem demografischen Wandel, der Globalisierung der Wirtschaftsbeziehungen oder auch veränderter öffentlicher Finanzen, die normative Idee, Stadtquartiere durch eine intensivere Beteiligung privater Akteure zu entwickeln. Bisherige Versuche der Städtebauförderung die Einbindung privater Kleineigentümer in quartiersbezogene Handlungsansätze zu stimulieren zeigen, dass dies bislang nur unzureichend gelingt. Auf rationalen Handlungslogiken basierende Theorien sprechen im Zusammenhang der privaten Erstellung öffentlicher Güter sogar von "Marktversagen". Und trotzdem existieren bereits erste Eigentümerstandortgemeinschaften (ESG) in Deutschland. Was ermöglichte dieses private Engagement? Angesichts fehlender empirischer Daten über freiwilliges kollektives Handeln privater Eigentümer in der Quartiers-entwicklung, geht die vorliegende Dissertation der Frage nach, welche Faktoren die Entstehung von ESG bestimmen und die institutionelle Struktur von ESG charakterisieren. Zur Beantwortung der Forschungsfrage wurde ein vergleichendes Fallstudiendesign mit ESG in Dortmund, Essen und Görlitz gewählt. Die Ergebnisse der Dissertation verdeutlichen, dass ESG als abhängige Variable sowohl durch die individuellen Interessen bzw. Handlungsstrategien der Immobilieneigentümer bei der Bewirtschaftung ihrer Immobilien, als auch durch den Steuerungsanspruch staatlicher Akteure in der Quartiersentwicklung bestimmt werden. Die Autorin leitet die individuellen und kollektiven Handlungsstrategien der Akteure her und setzt sich mit der individuellen Motivation zum Handeln auseinander. Zusätzlich werden grundlegende institutionelle Merkmale von ESG und ihre Eigenheit als Urban Governance-Ansatz diskutiert. Aus den als Hypothesen formulierten Ergebnissen werden abschließend Schlussfolgerungen für die Praxis sowie der weitere Forschungsbedarf abgeleitet.:A Einleitung.23 1 Hintergrund und Problemstellung.25 1.1 Städte im Wandel der Zeit.25 1.2 Die Städtebauförderung im Wandel der Zeit.33 2 Gegenstand und Zielstellung der Untersuchung.37 2.1 Gegenstand der Untersuchung.37 2.2 Ziel und Fragestellung der Untersuchung.42 3 Aufbau der Arbeit.45 4 Grenzen der Arbeit.49 B Kollektives Handeln – theoretische Einordnung der zentralen Problematik.51 1 Über die individuelle Herausforderung, kollektiv zu handeln.53 1.1 Zum Charakter des Kollektivgutes.54 1.2 Kollektives Handeln als rationales Handeln.56 1.3 Kollektives Handeln als soziales Handeln.60 1.4 Zwischenfazit.65 2 Über die Befähigung zum kollektiven Handeln mittels Institutionen.67 2.1 Verwendung des Begriffs und Entstehung von Institutionen.67 2.2 Einflussfaktoren bei der Entstehung von Institutionen.72 2.3 Typen von Institutionen und ihre Interaktionsformen.78 2.4 Charakter von Institutionen und ihre Wirkungen.84 2.5 Zwischenfazit.87 3 Kollektives Handeln als Koordinations- und Kooperationsaufgabe des Staates.91 3.1 Das Verhältnis zwischen staatlichen und privaten Akteuren.91 3.2 Von Planung über Steuerung zu Governance.94 3.3 Wandel im Planungsverständnis in der Stadtentwicklung.101 3.4 Zwischenfazit.108 C Herangehensweise und Methodik .111 1 Wahl des Forschungsdesigns.113 2 Auswahl und Erhebung der Daten.117 2.1 Auswahl der Fallstudien .117 2.2 Auswahl der Interviewpartner .121 2.3 Erhebung der Daten.124 2.4 Wahl der Interviewart und Durchführung der Interviews.126 3 Auswertung der Daten.129 3.1 Erkenntnistheoretische Grundannahmen.129 3.2 Prozess der Analyse.130 3.3 Generierungen der Hypothesen.135 D Einführung in Eigentümerstandortgemeinschaften (ESG) in Deutschland und die Fallstudien .137 1 Eigentümerstandortgemeinschaften in Deutschland.139 1.1 Anlass für Eigentümerstandortgemeinschaften in Deutschland.139 1.2 Entwicklungsstand von ESG in Deutschland .140 1.3 ESG als Regelungstatbestand der Bundesgesetzgebung.143 1.4 ESG als ExWoSt-Forschungsfeld.145 2 Fallstudie ESG Brunnenstraßenviertel in Dortmund .149 2.1 Strukturdaten der Stadt Dortmund.149 2.2 Strukturdaten des ESG-Standortes.151 2.3 Entstehung, Akteure und Inhalte der ESG.155 2.4 Handlungsmotive und -strategien der Beteiligten.157 2.5 Institutionelle Merkmale der ESG.161 3 Fallstudie ESG Vogelheim in Essen .163 3.1 Strukturdaten der Stadt Essen.163 3.2 Strukturdaten des ESG-Standortes.167 3.3 Entstehung, Akteure und Inhalte der ESG.169 3.4 Handlungsmotive und -strategien der Beteiligten.170 3.5 Institutionelle Merkmale der ESG.172 4 Fallstudie ESG Gründerzeitquartier in Görlitz .175 4.1 Strukturdaten der Stadt Görlitz.175 4.2 Strukturdaten des ESG-Standortes.180 4.3 Entstehung, Akteure und Inhalte der ESG.184 4.4 Handlungsmotive und -strategien der Beteiligten.186 4.5 Institutionelle Merkmale der ESG.188 E Vergleichende Analyse der Daten und Generierung übergreifender Aussagen zu ESG….191 1 Zwischen Idealisten und Rationalisten: Akteursgruppen und Rollenbilder.193 1.1 Die Akteursgruppen in ESG.193 1.2 Rollenbilder der Akteure und ihre Rolle in der ESG.199 2 Zwischen öffentlich und privat: Themen und Projekte der ESG.205 2.1 Zur Wahrnehmung der Handlungssituation .205 2.2 Projekte der ESG.209 3 Investition versus Exit: Handlungsstrategien der Akteure.215 3.1 Handlungsoptionen der Eigentümer bzgl. der Immobilie.215 3.2 Handlungsoptionen der Eigentümer bzgl. der ESG.222 3.3 Handlungsoptionen der öffentlichen Hand.226 3.4 Zusammenspiel und Pfadabhängigkeit in der Strategiewahl .229 4 Zwischen Unsicherheit und Sicherung: Motivation der Immobilieneigentümer.239 4.1 Reduzierung von Unsicherheit als übergeordnetes Motiv.240 4.2 Steigerung von Macht und Einfluss durch ESG.243 4.3 Monetäre Vorteile durch ESG.246 4.4 Lösung eines Sachproblems durch ESG.249 4.5 Der Einfluss von Kontextbedingungen auf die Entstehung von ESG.251 5 Hemmnisse und Erfolgsfaktoren im Entstehungsprozess.257 5.1 Hemmnisse für die Entstehung einer ESG.257 5.2 Erfolgsfaktoren für die Gründung einer ESG.263 6 Zwischen strategischem Netzwerk und Gemeinschaftsorganisation: institutionelle Ausprägung bei ESG.271 6.1 Die Generierung von Nutzen durch ESG.271 6.2 Mit der Institution ESG verbundene Kosten.273 6.3 Normen und Diskontierungsraten der Akteure.279 7 Zwischen Anreiz und Zwang: Urban Governance und die Rolle des Staates.283 7.1 Zwischen Anreiz und Zwang: Steuerungsansätze in ESG.283 7.2 Urban Governance: Zur Rolle der öffentlichen Hand in ESG.289 F Diskussion der Hypothesen und Schlussfolgerungen .293 1 Diskussion der Hypothesen zu den Forschungsfragen.295 1.1 Beteiligte und Themen von ESG.296 1.2 Handlungsmotive und -strategien der Beteiligten.301 1.3 Erfolgsfaktoren und Hemmnisse im ESG-Entstehungsprozess.307 1.4 Institutionelle Merkmale von ESG.310 1.5 ESG als Governance in der Stadtentwicklung.314 1.6 Fazit zur Leitfrage.319 2 Schlussfolgerungen und weiterer Forschungsbedarf .323 2.1 Schlussfolgerungen für die Praxis.323 2.2 Weiterer Forschungsbedarf.330 G Verzeichnisse.335 1 Quellen.337 1.1 Literatur.337 1.2 Internet.357 1.3 Interviewpartner.358 2 Abkürzungsverzeichnis.365 3 Abbildungsverzeichnis.367 4 Tabellenverzeichnis.369 ; This PhD thesis deals with a concept of urban development which is at present in a pilot phase in Germany, the Local Property Owner Partnership (LoPOP). These are characterized by a voluntary collective development of the quarter at the initiative of the property owners. The demographic, economic and social structures lead to spatially differentiated changes which induce complex problems in urban development. Among others, this may result in a notable increase of vacant flats, an increasing demand for low-barrier flats or in investment backlogs of the public infrastructure. A large part of the up-coming investment tasks concerns private property and requires action by private property owners, e.g. in the development of living space. Attempts to activate proprietors via urban development funding have shown minor success up to now. Current urban development policy formulates the idea to reach a positive development of structurally weak quarters by a more intensified participation of private actors in collective approaches. In view of the missing of empirical data on voluntary action by private proprietors in the urban development, the PhD thesis investigates which factors determine the establishment of Local Property Owner Partnerships and characterize their institutional structure. Due to the small number of existing LoPOPs in Germany as well as to the limited number of scientific publications dealing with this subject, a comparative case study design was chosen. Fifty-six partially structured interviews were held in three heterogeneously distinctive LoPOPs in Dortmund, Essen and Görlitz. The transcribed interview data were processed by means of reconstructive content analyses and the results were formulated as hypotheses. The results of the thesis show that the subject of examination, LoPOPs, can be discussed with respect to actor-related and institutional theories as well as governance approaches. LoPOPs are defined as a dependent variable with respect to the individual interests and strategies of action of the property owners concerning their real estate management as well as to the governance requirements of state actors concerning the development of the quarter. Thereby, it has become apparent that one should make a distinction between the strategies of action of the state and the private actors. Both groups show three basic types of action strategies which have constructional and social as well as structural impacts on the quarter. The individual strategies of action of the proprietors are invest, wait and exit. With regard to the quarter, the municipal actors have the strategies develop, wait or retract at their disposal. Moreover, the data analyses discovered a path dependency between the individual management strategies of the proprietors and their action in the collective situation. The actors who are focusing on wait or on exit play the role of free riders. With regard to the proprietors who are willing to invest, three collective strategies of action may be noted: wait, individual effort and cooperation. As a central motive for choosing the collective strategy of action cooperation and, thus for commitment to participating in the LoPOP, the reduction of uncertainty could be identified. According to this, the preparedness for cooperation depends on the intensity of uncertainty in the management of the property and, thus, also on the degree of being affected by the above mentioned structural change. Whether the LoPOP is a suitable tool for the elimination of this uncertainty is closely connected with its institutional structure. LoPOPs are - taking into account the specific constellation of actors - characterized by high transaction costs, due to the low legal and social possibilities for sanctions. Therefore, a clear value of the projects and the common standards of the actors are all the more necessary for success. LoPOPs deal with the development of quarters and produce, as a private initiative, also public goods. This establishes the public interest in their development. The results of the thesis show that, due to the constellation of actors, interests and themes in voluntary LoPOPs, the state actors concentrate on the interaction form of the horizontal coordination. Therefore, LoPOPs can be referred to as a form of Urban Governance. Moreover, it becomes obvious that, when the mission statement of a voluntary, informal and private network of small proprietors shall be realised, on the one hand free riders cannot be avoided, on the other hand the public authorities are indispensable providing consulting and financial support. In comparison with traditional approaches of urban development funding, LoPOPs, as collective development approaches, need an intensive involvement of local actors in addition to the thematic debate during their preparation. The thesis terminates with conclusions for practice as well as needs for further research drawn from the generated hypotheses. The needs for further research refer inter alia to the evaluation of effects of the LoPOPs; the analysis of learning processes among the groups of actors in the development process and in the verification of the generated hypotheses in this work.:A Einleitung.23 1 Hintergrund und Problemstellung.25 1.1 Städte im Wandel der Zeit.25 1.2 Die Städtebauförderung im Wandel der Zeit.33 2 Gegenstand und Zielstellung der Untersuchung.37 2.1 Gegenstand der Untersuchung.37 2.2 Ziel und Fragestellung der Untersuchung.42 3 Aufbau der Arbeit.45 4 Grenzen der Arbeit.49 B Kollektives Handeln – theoretische Einordnung der zentralen Problematik.51 1 Über die individuelle Herausforderung, kollektiv zu handeln.53 1.1 Zum Charakter des Kollektivgutes.54 1.2 Kollektives Handeln als rationales Handeln.56 1.3 Kollektives Handeln als soziales Handeln.60 1.4 Zwischenfazit.65 2 Über die Befähigung zum kollektiven Handeln mittels Institutionen.67 2.1 Verwendung des Begriffs und Entstehung von Institutionen.67 2.2 Einflussfaktoren bei der Entstehung von Institutionen.72 2.3 Typen von Institutionen und ihre Interaktionsformen.78 2.4 Charakter von Institutionen und ihre Wirkungen.84 2.5 Zwischenfazit.87 3 Kollektives Handeln als Koordinations- und Kooperationsaufgabe des Staates.91 3.1 Das Verhältnis zwischen staatlichen und privaten Akteuren.91 3.2 Von Planung über Steuerung zu Governance.94 3.3 Wandel im Planungsverständnis in der Stadtentwicklung.101 3.4 Zwischenfazit.108 C Herangehensweise und Methodik .111 1 Wahl des Forschungsdesigns.113 2 Auswahl und Erhebung der Daten.117 2.1 Auswahl der Fallstudien .117 2.2 Auswahl der Interviewpartner .121 2.3 Erhebung der Daten.124 2.4 Wahl der Interviewart und Durchführung der Interviews.126 3 Auswertung der Daten.129 3.1 Erkenntnistheoretische Grundannahmen.129 3.2 Prozess der Analyse.130 3.3 Generierungen der Hypothesen.135 D Einführung in Eigentümerstandortgemeinschaften (ESG) in Deutschland und die Fallstudien .137 1 Eigentümerstandortgemeinschaften in Deutschland.139 1.1 Anlass für Eigentümerstandortgemeinschaften in Deutschland.139 1.2 Entwicklungsstand von ESG in Deutschland .140 1.3 ESG als Regelungstatbestand der Bundesgesetzgebung.143 1.4 ESG als ExWoSt-Forschungsfeld.145 2 Fallstudie ESG Brunnenstraßenviertel in Dortmund .149 2.1 Strukturdaten der Stadt Dortmund.149 2.2 Strukturdaten des ESG-Standortes.151 2.3 Entstehung, Akteure und Inhalte der ESG.155 2.4 Handlungsmotive und -strategien der Beteiligten.157 2.5 Institutionelle Merkmale der ESG.161 3 Fallstudie ESG Vogelheim in Essen .163 3.1 Strukturdaten der Stadt Essen.163 3.2 Strukturdaten des ESG-Standortes.167 3.3 Entstehung, Akteure und Inhalte der ESG.169 3.4 Handlungsmotive und -strategien der Beteiligten.170 3.5 Institutionelle Merkmale der ESG.172 4 Fallstudie ESG Gründerzeitquartier in Görlitz .175 4.1 Strukturdaten der Stadt Görlitz.175 4.2 Strukturdaten des ESG-Standortes.180 4.3 Entstehung, Akteure und Inhalte der ESG.184 4.4 Handlungsmotive und -strategien der Beteiligten.186 4.5 Institutionelle Merkmale der ESG.188 E Vergleichende Analyse der Daten und Generierung übergreifender Aussagen zu ESG….191 1 Zwischen Idealisten und Rationalisten: Akteursgruppen und Rollenbilder.193 1.1 Die Akteursgruppen in ESG.193 1.2 Rollenbilder der Akteure und ihre Rolle in der ESG.199 2 Zwischen öffentlich und privat: Themen und Projekte der ESG.205 2.1 Zur Wahrnehmung der Handlungssituation .205 2.2 Projekte der ESG.209 3 Investition versus Exit: Handlungsstrategien der Akteure.215 3.1 Handlungsoptionen der Eigentümer bzgl. der Immobilie.215 3.2 Handlungsoptionen der Eigentümer bzgl. der ESG.222 3.3 Handlungsoptionen der öffentlichen Hand.226 3.4 Zusammenspiel und Pfadabhängigkeit in der Strategiewahl .229 4 Zwischen Unsicherheit und Sicherung: Motivation der Immobilieneigentümer.239 4.1 Reduzierung von Unsicherheit als übergeordnetes Motiv.240 4.2 Steigerung von Macht und Einfluss durch ESG.243 4.3 Monetäre Vorteile durch ESG.246 4.4 Lösung eines Sachproblems durch ESG.249 4.5 Der Einfluss von Kontextbedingungen auf die Entstehung von ESG.251 5 Hemmnisse und Erfolgsfaktoren im Entstehungsprozess.257 5.1 Hemmnisse für die Entstehung einer ESG.257 5.2 Erfolgsfaktoren für die Gründung einer ESG.263 6 Zwischen strategischem Netzwerk und Gemeinschaftsorganisation: institutionelle Ausprägung bei ESG.271 6.1 Die Generierung von Nutzen durch ESG.271 6.2 Mit der Institution ESG verbundene Kosten.273 6.3 Normen und Diskontierungsraten der Akteure.279 7 Zwischen Anreiz und Zwang: Urban Governance und die Rolle des Staates.283 7.1 Zwischen Anreiz und Zwang: Steuerungsansätze in ESG.283 7.2 Urban Governance: Zur Rolle der öffentlichen Hand in ESG.289 F Diskussion der Hypothesen und Schlussfolgerungen .293 1 Diskussion der Hypothesen zu den Forschungsfragen.295 1.1 Beteiligte und Themen von ESG.296 1.2 Handlungsmotive und -strategien der Beteiligten.301 1.3 Erfolgsfaktoren und Hemmnisse im ESG-Entstehungsprozess.307 1.4 Institutionelle Merkmale von ESG.310 1.5 ESG als Governance in der Stadtentwicklung.314 1.6 Fazit zur Leitfrage.319 2 Schlussfolgerungen und weiterer Forschungsbedarf .323 2.1 Schlussfolgerungen für die Praxis.323 2.2 Weiterer Forschungsbedarf.330 G Verzeichnisse.335 1 Quellen.337 1.1 Literatur.337 1.2 Internet.357 1.3 Interviewpartner.358 2 Abkürzungsverzeichnis.365 3 Abbildungsverzeichnis.367 4 Tabellenverzeichnis.369
Not Available ; The land resource inventory of Abbagiri Tanda-2 microwatershed was conducted using village cadastral maps and IRS satellite imagery on 1:7920 scale. The false colour composites of IRS imagery were interpreted for physiography and these physiographic delineations were used as base for mapping soils. The soils were studied in several transects and a soil map was prepared with phases of soil series as mapping units. Random checks were made all over the area outside the transects to confirm and validate the soil map unit boundaries. The soil map shows the geographic distribution and extent, characteristics, classification, behavior and use potentials of the soils in the microwatershed. The present study covers an area of 644 ha in Koppal taluk and district, Karnataka. The climate is semiarid and categorized as drought - prone with an average annual rainfall of 662 mm, of which about 424 mm is received during south –west monsoon, 161 mm during north-east and the remaining 77 mm during the rest of the year. An area of 88 per cent is covered by soils, 10 per cent rock outcrops, 2 per cent is by water bodies and 150 cm). About 3 per cent area in the microwatershed has sandy soils, 54 per cent soils are loamy and 31 per cent clayey soils at the surface About 14 per cent area has non-gravelly (200 mm/m) in available water capacity. About 9 per cent in the microwatershed has nearly level (0-1% slope) lands, 74 per cent has very gently sloping (1-3% slope) lands and 5 per cent area is gently sloping (3-5% slope). An area of about 68 per cent is moderately (e2) eroded and 20 per cent area is slightly (e1) eroded. An area of about 15 per cent soils are strongly acid (pH 5.0-5.5), an area of about 37 per cent soils are moderately acid (pH 5.5-6.0), an area of about 18 per cent soils are slightly acid (pH 6.0-6.5) in soil reaction and an area of 17 per cent is neutral (pH 6.5-7.3). The Electrical Conductivity (EC) of the soils in the entire area of the microwatershed is dominantly 0.75%) in 72 per cent area. Available phosphorus is medium (23-57 kg/ha) in an area 18 per cent and high (>57 kg/ha) in an area of 70 per cent. About 29 per cent is low (145 kg/ha) in available potassium, 51 per cent is medium (145-337 kg/ha) and 9 per cent is high (>337 kg/ha). Available sulphur is low (4.5 ppm) in the entire area of the microwatershed. Available zinc is deficient (0.6 ppm) in 83 per cent area. Available copper and manganese are sufficient in all the soils. The land suitability for 28 major crops grown in the microwatershed were assessed and the areas that are highly suitable (S1) and moderately suitable (S2) are given below. It is however to be noted that a given soil may be suitable for various crops but what specific crop to be grown may be decided by the farmer looking to his capacity to invest on various inputs, marketing infrastructure, market price and finally the demand and supply position. Land suitability for various crops in the microwatershed Crop Suitability Area in ha (%) Crop Suitability Area in ha (%) Highly suitable (S1) Moderately suitable (S2) Highly suitable (S1) Moderately suitable (S2) Sorghum 27 (4) 103(16) Pomegranate - 271(42) Maize 23 (4) 97 (17) Guava - 253 (39) Bajra 23 (4) 356 (55) Jackfruit - 253 (39) Groundnut - 417 (65) Jamun - 266 (41) Sunflower 4 (<1) 83 (13) Musambi 4 (<1) 265(41) Cotton 4 (<1) 123(19) Lime 4 (<1) 285 (44) Red gram - 70 (10) Cashew - 246 (38) Bengalgram 61 (9) 108 (17) Custard apple 9 (1) 503 (78) Chilli - 96 (17) Amla 4 (<1) 508 (79) Tomato 23 (4) 73 (11) Tamarind - 38 (6) Drumstick - 166 (26) Marigold - 129 (20) Mulberry - 400 (62) Chrysanthemum - 129 (20) Mango - - Jasmine - 92 (14) Sapota - 233 (36) Crossandra - 92 (14) Apart from the individual crop suitability, a proposed crop plan has been prepared for the 7 identified LMUs by considering only the highly and moderately suitable lands for different crops and cropping systems with food, fodder, fibre and other horticulture crops. Maintaining soil-health is vital for crop production and conserve soil and land resource base for maintaining ecological balance and to mitigate climate change. For this, several ameliorative measures have been suggested for these problematic soils like saline/alkali, highly eroded, sandy soils etc., Soil and water conservation treatment plan has been prepared that would help in identifying the sites to be treated and also the type of structures required. As part of the greening programme, several tree species have been suggested to be planted in marginal and submarginal lands, field bunds and also in the hillocks, mounds and ridges. That would help in supplementing the farm income, provide fodder and fuel, and generate lot of biomass which in turn would help in maintaining the ecological balance and contribute to mitigating the climate change. SILENT FINDINGS OF THE STUDY The results indicated that among 35 famers 11 (22.45%) were marginal farmers, 14 (31.82 %) were small farmers, 9 (20.45 %) were semi medium farmers and 5 (11.36 %) was medium farmer. Apart from these 5 landless farmers were also interviewed for the survey. The data indicated that there were 98 (52.69%) men and 88 (47.31%) were women among the sampled households. The average family size of marginal farmers was 4, small farmer was 4, semi medium farmer was 5, medium farmers were 3 and for landless farmers it was 4. The data indicated that 32 (17.20 %) people were in 0-15 years of age, 81 (43.55%) were in 16-35 years of age, 59 (31.72 %) were in 36-60 years of age and 14 (7.53 %) were above 61 years of age. The results indicated that the Abbagiri Tanda-2 had 33.87 per cent illiterates, 1.61 per cent functional literates, 23.12 per cent of them had primary school education, 10.75 per cent of them had middle school education, 14.52 per cent of them had high school education, 5.91 per cent of them had PUC education, 0.54 per cent of them had ITI, 1.08 per cent them had Diploma education, 4.84 per cent of them had degree education and 3.76 per cent of them had other education. The results indicated that, 81.82 per cent of households practicing agriculture and 9.09 per cent of the household heads were general labours. The results indicated that agriculture was the major occupation for 56.45 per cent of the household members, 2.15 per cent were agricultural labourers, 5.91 per cent were general labours, 1.61 percent were in government service, 2.15 per cent of them were in private sector, 0.54 per cent of them were trade and business, 20.43 per cent of them were students and 2.69 per cent were housewives. In case of landless households 50 per cent were general labours, 5 per cent were in private service and 35 per cent were students. In case of marginal farmers 71.79 per cent were agriculturist, 2.56 percent were agricultural labour and general labour and 17.95 per cent were students. In case of small farmers, 62.07 per cent of the household members were practicing agriculture and 20.69 per cent of them were students. In case of semi medium farmers 58.54 per cent of the household members were practicing agriculture and 21.95 per cent of them were students. In case of medium farmers, 60.71 per cent of the household members were performing agriculture. The results showed that 4.30 per cent of them participated in self help groups, 1.08 per cent of them participated in user group and 94.62 per cent of them have not participated in any local institutions. Landless and medium farmers were found to have no participation in any local institutions. Marginal, small farmers and semi medium farmers were found to participate in one or the other local institutions. 2 The results indicated that 68.18 per cent of the households possess Katcha house. 100 percent of the landless farmers possess Katcha house. The results showed that 68.18 per cent of the households possess TV, 36.36 per cent of the households possess Mixer grinder, 22.73 per cent of the households possess bicycle, 43.18 per cent of the households possess motor cycle, 77.27 per cent of the households possess mobile phones and 2.27 per cent of the households possess refrigerator. The results showed that the average value of television was Rs.4800, mixer grinder was Rs.1400, refrigerator Rs.15000, bicycle Rs.1727, motor cycle was Rs.30350 and mobile phone was Rs.1220. The results showed that, about 15.91 per cent of the households possess bullock cart, 27.27 per cent of them possess plough, 2.27 per cent of the households possess sprayer, 9.09 per cent of the households possess tractor, 20.45 per cent of the households possess sprayer, 15.91 per cent of the households possess sprinkler, 50 per cent of the households possess weeder, 6.82 per cent of the households possess harvester, 2.27 per cent of the households possess thresher and 11.36 per cent of the households possess chaff cutter. The results show that the average value of plough was Rs.1318, the average value of bullock cart was Rs. 17000, the average value of power tiller Rs. 100000, the average value of tractor Rs. 300000, the average value of sprinkler Rs.3192, the average value of was sprayer Rs.2409, the average value of weeder Rs. 72, the average value of harvester Rs.4662 and the average value of chaff cutter Rs.3000. The results indicated that, 31.82 per cent of the households possess bullocks, 11.36 per cent of the households possess local cow, 6.82 per cent of the households possess buffalo and 2.27 per cent of the households possess sheep and goat respectively. In case of marginal farmers, 27.27 per cent of the households possess bullock. In case of small farmers, 42.86 per cent of households possess bullock, 14.29 per cent possess local cow and buffalo and 7.14 per cent possess sheep and goat respectively. In case of semi medium farmers, 44.44 per cent of the households possess bullock, 11.11 per cent possess local cow and buffalo correspondingly. In medium farmers 20 per cent of the households possess bullock and 40 per cent of the households possess local cow. The results indicated that, average own labour men available in the micro-watershed was 1.53, average own labour (women) available was 1.26, average hired labour (men) available was 11 and average hired labour (women) available was 11.82. In case of marginal farmers, average own labour men available was 1.36, average own labour (women) was 1.09, average hired labour (men) was 6 and average hired labour (women) available was 6. In case of small farmers, average own labour men available was 1.46, average own labour (women) was 1.08, average hired labour 3 (men) was 10.23 and average hired labour (women) available was 12.38. In case of semi medium farmers, average own labour men available was 1.88, average own labour (women) was 1.63, average hired labour (men) was 19.38 and average hired labour (women) available was 20. In medium farmers average own labour men available was 1.50, average own labour (women) was 2, average hired labour (men) was 10 and average hired labour (women) available was 7.50. The results indicated that77.27 per cent of the household opined that hired labour was adequate About 100 per cent of the marginal farmers, 92.86 per cent of small, 88.89 per cent of semi medium and 40 per cent of the medium farmers have opined that the hired labour was adequate. The results indicated that, 2 person was migrated from micro-watershed that belonged to small and semi medium farmer category. Total migration in the microwatershed was only 1.08 per cent. The results indicated that, people have migrated on an average of 375 Kms and average duration was 6.50 months. Small farmers have migrated 150 kms and on an average for 6months and semi medium farmers have migrated 600 kms and on an average for 7 months. The results indicated that, job/work was the only reason for migration for all the migrants. The results indicated that, households of the Abbagiri Tanda-2 micro-watershed possess 21.53 ha (40.38 %) of dry land and 31.79 ha (59.62%) of irrigated land. Marginal farmers possess 7.83 ha (95.08%) of dry land and 0.40 ha (4.92%) of irrigated land. Small farmers possess 11.27 ha (69.10%) of dry land and 5.04 ha (30.90 %) of irrigated land. Semi medium farmers possess 2.43 ha (16.18%) of dry land and 12.58 ha (83.82 %) of irrigated land. Medium farmers possess 13.76 ha (100%) of irrigated land. The results indicated that, the average value of dry land was Rs. 264642.86 and average value of irrigated was Rs. 380532.21. In case of marginal famers, the average land value was Rs. 370372.28 for dry land and Rs. 741000 for irrigated land. In case of small famers, the average land value was Rs. 221643.93 for dry land Rs. 713643.66 for irrigated land. In case of semi medium famers, the average land value was Rs. 123500 for dry land and Rs. 389414.42 for irrigated land. In case of medium famers, the average land value was Rs. 239735.29 for irrigated land. The results indicated that, there were 21 functioning and 12 defunctioning bore wells in the micro watershed. The results indicated that, there was only 1 functioning open well in the micro watershed. The results indicated that, bore well was the major irrigation source for 47.73 per cent of the farmers and open well was source of irrigation source for 2.27 per cent of the farmers. The results indicated that, marginal farmers having 0.81 per cent of irrigated land. In case of small farmers there were 5.17 ha of irrigated land, semi 4 medium farmers were having 15.08 ha of irrigated land and medium farmers were having 11.34 ha of irrigated land. The results indicated that, farmers have grown Bajra (12.61 ha), Bengal gram (0.91 ha), Chilly (0.81 ha), Ground nut (1.62 ha), Kanakambara (0.40 ha), Maize (21.16 ha), Navane (3.24 ha), Paddy (0.81 ha), Papaya (1.67 ha) and Tomato (0.87 ha) in kharif season and Bengal gram (1.21 ha), Ground nut (1.74 ha), Paddy (0.81 ha) and Red gram (1.46 ha) in Rabi season. Marginal farmers have grown Maize, Bajra, Navane and Kanakambara. Small farmers have grown Bajra, Maize, Navane, Tomato, Water melon and Groundnut. Semi medium farmers have grown Bajra, Bengal Gram, Chilly, Groundnut, Maize, Paddy and Papaya. Medium farmers have grown Groundnut and Maize. The results indicated that, the cropping intensity in Abbagiri Tanda-2 microwatershed was found to be 95.82 per cent. In case of Marginal farmers, small farmers and medium farmers it was 100 per cent and in case of semi medium farmers it was 87.26 per cent. The results indicated that, 61.36 per cent of the households have bank account and savings respectively. Landless farmers 80 percent of them possess both bank account and savings. 81.82 per cent of marginal farmers possess both bank account and savings correspondingly. Small farmers possess 71.43 per cent of both bank account and savings and medium category of farmers possess 44.44 per cent of bank account and also savings in that order. The results indicated that, 80 per cent of landless, 81.82 per cent of marginal, 14.29 per cent of small and 44.44 per cent semi medium have borrowed credit from different sources. The results indicated that, 20.83 per cent have availed loan in Commercial bank, 50 per cent of the households availed loan in Grameena bank, 45.83 per cent have availed loan from money lender and 12.50 per cent have availed loan from SHGs/CBOs. The results indicated that, landless, marginal, small and semi medium have availed Rs. 26,250, Rs. 50,000, Rs. 177,000, and Rs. 137,500 respectively. Overall average credit amount availed by households in the micro-watershed is 97,666.67. The results indicated that, 93.75 per cent of the households have borrowed loan for agriculture production and 6.25 per cent of the households have borrowed loan for Social functions like marriage. The results indicated that, agriculture production, bore well/irrigation related equipments, construction-house, construction-cattle shed, household consumption and other reasons were the main purpose for which marginal, small farmers, semi medium farmers borrowed loan. 33.33 per cent of the household's barrowed loan for agriculture production, 8.33 per cent of the household's barrowed loan for Bore well/irrigation related equipments, 5 Construction-house, Construction-cattle shed respectively and 25 per cent of them took loan for household consumption. The data regarding the repayment status of credit borrowed from institutional sources by households in Abbagiri Tanda-2 showed that 47.06 per cent of the households partially their loan and 52.94 per cent of the households have unpaid their loan. Results indicated that 64.29 per cent of the households have repaid their private credit partially, 21.43 percent of the households have unpaid their loan and 7.14 per cent of them fully paid their loan. The results indicated that, the total cost of cultivation for bajra was Rs. 12086.76. The gross income realized by the farmers was Rs. 26429.00. The net income from bajra cultivation was Rs. 14342.24, thus the benefit cost ratio was found to be 1:2.19. The results indicated that, the total cost of cultivation for maize was Rs. 16778.52. The gross income realized by the farmers was Rs. 31106.06. The net income from maize cultivation was Rs.14327.53, and the income generated from red gram was Rs.1613.22, thus the benefit cost ratio was found to be 1:1.85. The results indicated that, the total cost of cultivation for navane was Rs. 11950.89. The gross income realized by the farmers was Rs. 26799.50. The net income from navane cultivation was Rs. 14848.61. Thus the benefit cost ratio was found to be 1:2.24. The results indicated that, the total cost of cultivation for crossandra was Rs. 54865.08. The gross income realized by the farmers was Rs. 173888.00. The net income from crossandra cultivation was Rs.119022.92. Thus the benefit cost ratio was found to be 1:3.17. The results indicated that, the total cost of cultivation for bengalgram was Rs. 32635.87. The gross income realized by the farmers was Rs. 76962.18. The net income from bengalgram cultivation was Rs. 44326.31. Thus the benefit cost ratio was found to be 1:2.36. The results indicated that, the total cost of cultivation for groundnut was Rs. 42105.75. The gross income realized by the farmers was Rs. 70296.94. The net income from groundnut cultivation was Rs. 28191.18. Thus the benefit cost ratio was found to be 1:1.67. The results indicated that, the total cost of cultivation for chilly was Rs. 49859.57. The gross income realized by the farmers was Rs. 222300.00. The net income from chilly cultivation was Rs. 172440.43. Thus the benefit cost ratio was found to be 1:4.46. The results indicated that, the total cost of cultivation for paddy was Rs. 50482.00. The gross income realized by the farmers was Rs. 81510.00. The net income from paddy cultivation was Rs. 31028.00. Thus the benefit cost ratio was found to be 1:1.61. The results indicated that, the total cost of cultivation for redgram was Rs. 13048.22. The gross income realized by the farmers was Rs. 32933.33. The net income from redgram cultivation was Rs. 19885.12. Thus the benefit cost ratio was found to be 6 1:2.52. The results indicated that, the total cost of cultivation for Papaya was Rs. 44258.18. The gross income realized by the farmers was Rs. 575534.00. The net income from Papaya cultivation was Rs. 531275.82. Thus the benefit cost ratio was found to be 1:13.0. The results indicated that, the total cost of cultivation for Tomato was Rs. 24942.81. The gross income realized by the farmers was Rs.111150.00. The net income from Tomato cultivation was Rs. 86207.19. Thus the benefit cost ratio was found to be 1:4.46. The results indicated that, the total cost of cultivation for Watermelon was Rs. 32084.97. The gross income realized by the farmers was Rs. 526018.50. The net income from Watermelon cultivation was Rs. 493933.52. Thus the benefit cost ratio was found to be 1:16.39. The results indicated that, 27.27 per cent of the households opined that dry fodder was adequate, 2.27 per cent of the households opined that dry fodder was inadequate also the data revealed that 22.73 per cent of the farmers opined that green fodder is adequate. The results indicated that, Bajra, Bengal Gram, Chilly, Groundnut, Maize, Navane, Paddy, Papaya, Red Gram, Tomato, Water Melon and Kanakambara flower sold to the extent of 100 per cent. The results indicated that the average income from service/salary was Rs. 10500, business Rs. 12727.27, wage Rs. 22340.91, agriculture Rs. 89061.36, dairy farm Rs. 1409.09 and goat farming was Rs. 454.55. The results indicated that the average expenditure from service/salary was Rs. 340.91, business Rs. 4818.18, wage Rs. 8204.55, agriculture Rs. 52295.45, dairy farm Rs. 795.45 and goat farming was Rs. 386.36.The overall on an average expenditure was Rs.18800. The results indicate that, sampled households have grown 36 coconut trees and 224 mango trees in their field. The results indicated that, 40.91 per cent of the households are interested in growing horticultural crops which include 81.82 per cent marginal farmers, 35.71 per cent small farmers and 44.44 per cent semi medium farmers. The results indicate that, households have planted 3 Teak and Eucalyptus trees in field respectively, also grown 108 neem tree and 1 tamarind tree in the field. The results indicated that for 38.64 per cent of the households were dependent on government subsidy for land development. Similarly for the dependency was for irrigation facility 36.36 percent, 29.55 percent for improved crop production and only 2.27 per cent for improved livestock management. The results indicated that, Bajra, Bengal Gram, Chilly, Groundnut, Maize, Navane, Paddy, Papaya, Red Gram, Tomato, Water Melon and Kanakambara flower sold to the extent of 100 per cent. 7 The results indicated that, 31.82 percent of the households have sold their produce to local/village merchants, 52.27 percent of the households sold their produce in regulated markets and 22.73 per cent of the households sold their produce to agents/traders. The results indicated that 77.27 per cent of the households have used tractor as a mode of transport and 29.55 per cent have used cart. The results indicated that, 54.55 per cent of the households have shown interest in soil testing i.e. 90.91 per cent of marginal farmers, 71.43 per cent of small farmers and 44.44 per cent of semi medium farmers have shown interest in soil testing. The results indicated that, 22.73 per cent of the households have adopted field bunding, 54.55 per cent of the households have adopted summer ploughing and 9.09 per cent of the households have adopted dead furrow, mulching, contour cultivation and combination of deep and shallow root crops respectively. The results indicated that 15.91 per cent of the soil conservation structures are constructed by the government and another 2.27 per cent is constructed by other organization. The results indicated that, 100 per cent of the households who adopted field bunding opined that 100 per cent of the bunds required full replacement. The results indicated that, 72. 73 percent used fire wood as a source of fuel, 25 percent of the households used LPG and 2.27 per cents of the households used Kerosene as a source of fuel. The results indicated that, piped supply was the source for drinking water for 63.64 per cent of the households, 25 per cent of the households were using bore well and 2.27 per cent of the households were using open well as a source of drinking water. The results indicated that, electricity was the major source of light which was found to be 97.73 per cent and only 2.27 per cent of the people were using kerosene as a source of light. The results indicated that, 50 per cent of the households possess sanitary toilet i.e. 40 per cent of landless, 63.64 per cent of marginal, 50 per cent of small, 44.44 per cent of semi medium and 40 per cent of medium had sanitary toilet facility. The results indicated that, 93.18 per cent of the sampled households possessed BPL card and 6.82 per cent of the sampled households not possessed BPL card. The results indicated that, 50 per cent of the households participated in NREGA programme which included 100 per cent of the landless, 45.45 percent of the marginal, 21.43 per cent of the small, 66.67 per cent of the semi medium and 60 percent of the medium farmers. The results indicated that, cereals, pulses, oilseeds, vegetables, fruits, milk, egg and meat were adequate for 100 per cent, 79.55 per cent, 34.09, 25 per cent, 2.27 per cent, 93.18 per cent, 84.09 per cent and 11.36 per cent of the households respectively. 8 The results indicated that, pulses were inadequate for 20.45 per cent, oilseeds were inadequate for 61.36 per cent, vegetables were inadequate for 75 per cent, fruits were inadequate for 63.64 per cent, milk was inadequate 2.27 per cent, eggs were inadequate for 4.55 per cent and meat was inadequate for 65.91 per cent of the households. The data regarding farming constraints experienced by households in Abbagiri Tanda -2 micro-watershed is presented in Table 60. The results indicated that, Lower fertility status of the soil was the constraint experienced by 45.45 per cent of the households, wild animal menace on farm field (77.27%), frequent incidence of pest and diseases (75%), inadequacy of irrigation water (52.27%), high cost of Fertilizers and plant protection chemicals (68.18%), high rate of interest on credit (54.55%), low price for the agricultural commodities (56.82%), lack of marketing facilities in the area (59.09%), inadequate extension services (54.55%), lack of transport for safe transport of the agricultural produce to the market (56.82%), less rainfall (36.36%) and Source of Agri-technology information(Newspaper /TV/Mobile) (6.82). ; Watershed Development Department, Government of Karnataka (World Bank Funded) Sujala –III Project
