Suchergebnisse

Non-Timber Forest Products (NTFPs) make a major contribution to the livelihoods and diets of rural households in the savanna ecosystems of West Africa. However, land use change and climatic variability might affect their availability in the future. Based on a survey among 227 households in Northern Benin, we investigated local substitution patterns for the seeds of the three socio-economically most important NTFP-species in the region, Vitellaria paradoxa, Adansonia digitata and Parkia biglobosa, being major sources for protein, fat, and micronutrients in local daily diets. Our study compared substitution patterns between, firstly, three income groups, to assess whether a households' socio-economic status has an influence on the choice of surrogates (low cost vs. more costly options). Secondly, we compared substitution patterns between the five major ethnic groups in the study region (the Fulani, the Bariba, the Ditammarie, the Kabiyé and the Yom). The choice of substitutes differed significantly across income groups. However, the poorest households clearly show to be the most vulnerable: up to 30 % of the sampled households stated they would lack an adequate replacement for the NTFPs in question. Furthermore, ethnic affiliation showed to have a considerable impact on the preferred alternative products due to underlying cultural traditions of plant use. Subsequently, aiming at maintaining – and enhancing – the local supply of V. paradoxa, P. biglobosa and A. digitata in order to secure their contributions to local diets, local land use policy should have a particular focus on their ethnic-conditioned use and particularly the specific requirements of the poorest community members. ; Les produits forestiers non ligneux (PFNL) apportent une contribution majeure aux besoins quotidiens et aux régimes alimentaires des ménages ruraux dans les écosystèmes des savanes d'Afrique de l'Ouest. Cependant, le changement de l'occupation du sol et la variabilité climatique pourraient affecter leur disponibilité dans l'aven ir. Sur la base d'une enquête menée auprès de 227 ménages du nord du Bénin, nous avons étudié les modèles de substitution locale pour les produits alimentaires des trois espèces de PFNL socio-économiquement les plus importantes de la région, Vitellaria paradoxa, Adansonia digitata et Parkia biglobosa. Leurs graines sont une importante source de protéines, lipides et micronutriments. Notre étude a comparé les schémas de substitution entre, premièrement, trois groupes de revenu afin d'évaluer si le statut socioéconomique des ménages aurait une influence sur le choix des substituts (coût faible par rapport aux options plus coûteuses). Deuxièmement, nous avons comparé les modes de substitution entre les cinq principaux groupes ethniques dans la région étudiée (Fulani, Bariba, Ditammarie, Kabiyé et Yom). Le choix des substituts différait considérablement d'un groupe de revenu à l'autre. Cependant, les ménages les plus pauvres sont clairement les plus vulnérables: jusqu'à 30% des ménages échantillonnés ont déclaré qu'ils n'auraient pas un remplaçant approprié pour les PFNL en question. De plus, l'appartenance ethnique s'est révélée avoir un impact considérable sur les produits alternatifs préférés en raison des traditions culturelles sous-jacentes de l'utilisation des plantes. Par la suite, dans le but de maintenir - et d'améliorer - l'approvisionnement local de V. paradoxa, P. biglobosa et A. digitata afin d'assurer leur contribution aux régimes alimentaires des ménages ruraux, la politique locale d'utilisation des terres devrait porter une attention particulière à leur utilisation, surtout aux besoins spécifiques des membres les plus pauvres de la communauté. ; Essbare Wildpflanzen stellen wichtige Nahrungsergänzungen, zu einer ansonsten nährstoffarmen Ernährung ländlicher Nichtholz-Forstprodukte (non-timber forest products, NTFPs) leisten einen wesentlichen Beitrag zu den Lebensgrundlagen und der Ernährung ländlicher Haushalte in den Savannenökosystemen Westafrikas. Landnutzungsänderungen und klimatische Variabilität könnten ihre Verfügbarkeit in Zukunft jedoch beeinträchtigen. Basierend auf einer Befragung von 227 Haushalten in Nord-Benin untersuchten wir die lokalen Substitutionsmuster für die in der Ernährung genutzten Samen der drei sozioökonomisch wichtigsten NTFP-Arten in der Region, Vitellaria paradoxa, Adansonia digitata und Parkia biglobosa, die wesentliche Quellen für essentielle Proteine, Fett und Mikronährstoffe sind. Unsere Studie verglich zunächst die Substitutionsmuster zwischen drei Einkommensgruppen, um festzustellen, ob der sozioökonomische Status der privaten Haushalte einen Einfluss auf die Wahl der Substitute haben würde (geringere versus höhere Kosten bei der Beschaffung dieser Substitute). Zweitens verglichen wir die Substitutionsmuster zwischen den fünf großen ethnischen Gruppen des Untersuchungsgebietes (Fulani, Bariba, Ditammarie, Kabiyé und Yom). Die Wahl der Substitute unterschied sich signifikant zwischen den drei Einkommensgruppen, wobei die ärmsten Haushalte die höchste Vulnerabilität aufweisen: Bis zu 30% der in die Stichprobe einbezogenen Haushalte gaben an, dass ihnen ein angemessener Ersatz für die betreffenden NTFP fehle. Darüber hinaus zeigte die ethnische Zugehörigkeit einen erheblichen Einfluss auf die bevorzugten Alternativprodukte, der auf die unterschiedlichen kulturellen Traditionen bei der Nutzung der NTFPs zurückzuführen ist. Mit Blick auf die Sicherung der Beiträge von V. paradoxa, P. biglobosa und A. digitata zur lokalen Ernährung bzw. deren Verbesserung, sollte lokale Landnutzungspolitik die ethnisch bedingten Unterschiede in der Nutzung der NTFPs sowie die besonderen Bedürfnisse der unteren Einkommensgruppen stärker berücksichtigen.

24 ноября 2016 г. Президент России внес в Государственную Думу Федерального Собрания РФ проект Федерального конституционного закона «О внесении изменений в Федеральный конституционный закон "О Конституционном Суде Российской Федерации"». Законопроектом предлагается новый вид постановления, принимаемого Конституционным Судом РФ по итогам рассмотрения дела о проверке конституционности нормативного акта органа государственной власти или договора между органами государственной власти, постановление о признании нормативного акта или договора либо отдельных их положений соответствующими Конституции РФ в истолковании, данном Конституционным Судом РФ. На взгляд авторов статьи, такой новый вид (и правовая природа) постановления Конституционного Суда РФ знаменует исторический поворот российской государственной политики в сторону развития прецедентного права, усиления места и роли судебного прецедента и правотворчества. Это означает, что другие (возможные) толкования уже не будут учитываться судами, тем самым вся судебная система России станет более управляемой, а принимаемые судами решения в части возможных толкований Основного закона страны более предсказуемыми. В статье также исследуется понятие «судейское право», обретающее в связи с принятием проекта Федерального конституционного закона новый смысл и правовую природу: во-первых, судейское право как одно из распространенных в современной западноевропейской юриспруденции и странах англо-американского «общего права» понятий, по сути, начинает интенсивное развитие в России, во-вторых, классическая концепция судьи как «выразителя» права с самого начала начинает искажаться в России, поскольку право быть «выразителем» (толкователем) принадлежит только Конституционному Суду РФ, нижестоящие звенья судебной системы уже не могут, но обязаны следовать позиции Конституционного Суда РФ. В любом случае, по мнению авторов статьи, развитие судебного прецедента и правотворчества это важный позитивный шаг для развития правовой системы современного государства в целом. Дискуссионным является вопрос: чему отдавать предпочтение при толковании нормативного акта уяснению воли законодателя, которую он хотел выразить, либо тексту нормативного акта. Воля законодателя лишь настолько составляет закон, насколько она выражена в нормативном акте, поскольку существуют единообразные на территории государства требования к актам, устанавливающим права и обязанности. ; 24th of November 2016, the President of Russia submitted to the State Duma of the Russian Federation's Federal Assembly the draft Federal constitutional law «On introducing amendments to the Federal constitutional law «On the Constitutional Court of the Russian Federation». The bill proposes a new form of the Constitutional court judgment regarding the results of consideration of the case about the verification of constitutionality of a statutory act of public authority or a treaty between bodies of public authority, the decision to declare the statutory act or the treaty or individual provisions of them corresponding to the Constitution in the interpretation given by the Constitutional Court of the Russian Federation. In the authors' opinion, such a new form (and new legal nature) of the Constitutional Court judgment marks a historic turn of the Russian state policy towards the development of case law, strengthening the place and role of judicial precedent and lawmaking. This means that other (possible) interpretation will not be taken into account by courts, thereby, the judicial system will become more manageable, and decisions taken by courts in terms of possible interpretations of the Basic law more predictable. The article also explores the concept of «judge-made law», which in connection with the submission of the draft Federal constitutional law, takes on new meaning and new legal nature: firstly, the judge-made law, as one of the most common concepts in modern Western European jurisprudence and the Anglo-American common law, in fact, starts its development in Russia, secondly, the classic concept of the judge as an «implementer» of the law-making functions of the court right from the beginning starts to be distorted in Russia, because the right to be «interpreter» (commentator) belongs only to the Constitutional Court of the Russian Federation, the lower units of the judicial system no longer can, but are obliged to follow the position of the Constitutional Court of the Russian Federation. In any case, according to the authors, the development of judicial precedent and lawmaking is a significant positive step for the development of the legal system of the state. The question is debatable: what to give preference in case of interpretation of the regulation to explanation of a will of the legislator which he wanted to express, or to the text of the regulation. The will of the legislator only so makes the law as far as it is expressed in the regulation as there are requirements to the acts, uniform in the territory of the state, establishing the rights and obligations.

El propósito de este artículo es tanto teórico como metodológico: busca contribuir a la reflexión de la sociología acerca de los usos de las políticas sociales, mostrando que el estudio de una determinada "política" como Bolsa Familia requiere un dispositivo de investigación multi-escalar que permita captar los diversos conflictos que atraviesan su concretización, desde su emergencia hasta su despliegue en el territorio. En este sentido, a modo de ejercicio, se interroga la trayectoria de implementación del programa Bolsa Familia en dos momentos distintos en torno a su tecnología política "por arriba" y "por abajo": como dispositivo de gobierno (Foucault, 1976), emblemático durante el período de "Lula", y como dispositivo de gestión del territorio y de las poblaciones a través de la externalización o tercerización asistencial. En uno y otro momento, lo social adquiere valor de "mercadería política" a distintos niveles. Mostraremos cómo se produce en ellos el despliegue de la política de asistencia social: a nivel de Estado y lo público, y a nivel del territorio y la acción privada y no gubernamental. A nivel de su concretización, mostraremos, a partir de un caso de estudio en São Paulo, la importancia de seguir la cadena de producción de la política. Destacaremos, así, algunos elementos centrales de lo que podría ser llamado un modelo "PSDB", vigente en esa ciudad, como veremos al final. PALABRAS-CLAVE: Bolsa Familia. Políticas sociales. Asistencia social.BOLSA FAMILIA AND SOCIAL WELFARE IN BRAZIL: from political debate to local mercantilization Isabel Georges Marco Ceballos The goal of this article is both theoretical and methodological: to contribute for a reflection in sociology regarding the use of social policies by showing that the study of a particular "policy", like Bolsa Família, requires a multiscaled investigation model which allows the capture of the many conflicts crossing its concretization from its creation until its spreading over the country. This way, as an exercise, the trajectory of the implementation of Bolsa Família is questioned, in two different moments, as to its political technology "over" and "under": as a governmental device (Foucault, 1976), emblematic during Lula's government, and as a device for the management of territory and population through externalization or assistance outsourcing. In both these moments, the social acquires value as political merchandise in different levels. We will show how the unfolding of social assistance policies happens in them: in the scope State and public, and in the scope of private, non-governmental territory and action. As to its concretization, we will show, from a case study done in São Paulo, the importance of following the rhythm of political production. Thus, we will highlight some of the central elements of what could be called the "PSDB" model, active in this city, as shown at the end of the article. KEYWORDS: Bolsa familia. Welfare policies. Assistance outsourcing.L'ALLOCATION FAMILIALE ET L'AIDE SOCIALE AU BRÉSIL: de la lutte politique à la mercantilisation locale Isabel Georges Marco Ceballos Le propos de cet article est aussi bien théorique que méthodologique: il cherche à contribuer à la réflexion de la sociologie sur les usages des politique sociales, en montrant que l'étude d'une quelconque "politique" comme le Bolsa Familia requiert d'un dispositif de recherche multi-scalaire permettant de capter les conflits divers que traversent sa concrétisation, depuis son émergence à son déploiement sur le territoire. Dans ce sens, à titre d'exercice, on interroge la trajectoire de mise en oeuvre du programme Bolsa Família à deux moments différentes autour de sa technologie politique "par le haut" et "par le bas": en tant que dispositif de gouvernement (Foucault, 1976), emblématique sous la période de "Lula", et en tant que dispositif de gestion du territoire et des populations à travers la sous-traitance de l'assistance. À ces deux moments, le social acquière une valeur de "marchandise politique" à deux niveaux: au niveau de l'État et du domaine public, et au niveau du territoire et de l'action privée et non gouvernementale. Au niveau de sa concrétisation, nous montrons, à partir d'un cas d'étude à São Paulo, combien il est important de suivre la chaîne de production de la politique. Nous soulignerons, ainsi, quelques éléments centraux de ce qu'on peut appeler un modèle "PSDB" en vigueur dans cette ville, comme nous le verrons à la fin. MOTS-CLÉS: Bolsa familia. Politique l'assistance sociales. Sous-traitance de l'assistance. Publicação Online do Caderno CRH no Scielo: http://www.scielo.br/ccrh Publicação Online do Caderno CRH: http://www.cadernocrh.ufba.br

Policy prescriptions for poor developing countries struggle to expand employment opportunities toraise their income levels. Among these are the MENA Arab countries that have recently experiencedan unprecedented tide of popular uprisings following the rising poverty, inequality and exclusion, muchof which is related to the labor market. Since the flow approach to labor markets has become the basic toolbox to modern labor economics, this thesis has at its central insight explaining the functioning ofthose specific labor markets, particularly the Egyptian and Jordanian, using the search equilibrium theory. It looks at analyzing job accession, separations and mobility trends. Overall, evidence of highlevels of rigidity is revealed. The impact of introducing flexible employment protection regulations in these rigid markets is then discussed both empirically and theoretically. Findings show that lowering firing costs in Egypt increased significantly the job separations, but had no impact on job creations.This partial failure of the liberalization reform is interpreted theoretically by a crowding out effect due to increased corruption set up costs or increased public sector wages. A novel theoretical matching model a la Mortensen Pissarides is developped allowing for the existence of public, formal private and informal private sectors, reflecting the particular nature of developing countries. Workers' movements up the job ladder is then explored through a structural estimation of the frictional parameters in a job search model a la Burdett Mortensen. These markets are found to have very high levels of search frictions especially among the young workers. Given the non-availability of panel data to study labor market flows, longitudinal retrospective panel datasets are extracted from the Egypt and Jordan Labor Market Panel Surveys. These panels are then compared to available contemporaneous crosssectional information, showing that they suffer from recall and design measurement erros. An original methodology is therefore proposed and developped to correct the biased labor market transitionsboth on the aggregate macro-level, using a Simulated Method of Moments (SMM), as well as on themicro-individual transaction level, using constructed micro-data weights. ; Dans les pays en voie de développement, les politiques visent à augmenter les opportunités d'emploi afin d'élever les revenus et les niveaux de vie des populations. Parmi ces pays, les pays arabes de la région MENA ont récemment connu une vague de soulèvement populaire, faisant suite aux accroissements de la pauvreté, des inégalités et de l'exclusion, résultats des faibles performances du marché du travail. Comme l'analyse des flux est devenu l'outil de base de l'économie du travail moderne, cette thèse propose d'expliquer le fonctionnement de ces marchés du travail assez spécifiques, particulièrement ceux de l'Egypte et de la Jordanie, en utilisant la théorie de la recherche d'emploi. Elle se penche sur l'analyse des créations et destructions d'emploi ainsi que des mobilités entre emplois. Elle montre que ces marchés sont très rigides. L'impact de l'introduction des réformes structurelles, visant à flexibiliser l'emploi est ensuite discuté de manière empirique ainsi que théorique. Les résultats montrent que la baisse des coûts de licenciement en Egypte a augmenté significativement les destructions d'emploi, mais n'a eu aucun impact sur les créations. Cet échec partiel de la réforme est un paradoxe empirique, qui est interprété théoriquement par un effet d'éviction dû à l'augmentation du coût de la corruption ou/et à l'augmentation des salaires du secteur public. Une extension originale du modèle théorique de Mortensen-Pissarides est alors développée, permettant l'existence de trois secteurs, public, privé formel et privée informel. Ce cadre rend compte de la nature particulière des pays en voie de développement. Pour examiner la qualité des emplois et pour étudier les avancements dans l'échelle des salaires, une estimation structurelle du modèle de Burdett-Mortensen est ensuite proposée. Elle permet d'étudier et mesurer les frictions d'appariement sur les marchés du travail égyptien et jordanien. Les paramètres estimés sont extrêmement faibles, soulignant la forte rigidité de ces marchés. Le marché du travail jordanien s'avère, par contre, être plus flexible que l'égyptien. Compte tenu de la non-disponibilité de données de panels annuelles dans ces pays, il est montré que des données de panel rétrospectives peuvent être utilisées, pour étudier les transitions de court terme sur ces marchés du travail. Ces données de panel sont par contre soumises à un biais de mémoire. Une méthode originale de correction du biais de mémoire est donc proposée et développée. Elle vise à corriger les transitions à la fois à un niveau macro, en utilisant une méthode de moments simulés, ainsi qu'au niveau micro, en construisant des matrices de poids.

In most of the developed societies, in France too, we are now witnessing an increase of the social and economic disparities between regions, an occurrence and persistence of neighborhoods "in difficulty", concentrating the most vulnerable populations. "Spatial segregation" appears as a norm of urban organization and territory as an issue of social cohesion. Many economic and sociological studies have sought to explain the differentials observed between these populations, particularly in the labor market. Three main mechanisms explain the impact of the place of residence on the individuals' labor market achievement: the spatial mismatch, the social environment and the discrimination based on place of residence. In this doctoral dissertation we focus on this last mechanism through which the place of residence affects the individuals' labor market achievement. Across three studies covering three chapters, we highlight three important elements in the analysis of discrimination related to place of residence: the feeling of discrimination, wage discrimination and employment discrimination. These are illustrated by different methods: an analysis of subjective survey data, an analysis of objective survey data and, finally, an analysis of experimental data. The main results are as follows. We have shown that there are specific effects of place of residence on the feeling of discrimination among young people. We have shown that the place of residence has a direct influence on the probability of finding a job after the school as well as on the salary associated with the job. Using a decomposition of wage differentials we have shown that there is a potential discrimination related to the place of residence that affects especially young women. We found a major impact of the residential county on the individuals' chances of access to hiring. The same effect also exists, more weakly, at the level of the neighborhood reputation. An analysis of the order of answers to job candidates confirmed these results and revealed an even stronger discrimination. On the basis of these results, we propose policy recommendations related to different aspects of discrimination based on place of residence. ; Dans la plupart des sociétés développées, en France aussi, on assiste aujourd'hui à une augmentation des disparités sociales et économiques entre les territoires, à l'apparition et à la persistance de quartiers « en difficulté », concentrant les populations les plus fragiles. La « ségrégation spatiale » apparait comme une norme d'organisation urbaine et le territoire comme un enjeu de cohésion sociale. De nombreuses études issues de l'économie et de la sociologie ont cherché à expliquer les écarts de situations observés, notamment sur le marché du travail, entre ces populations. Trois mécanismes principaux expliquent l'impact du lieu d'habitation sur la réussite sur le marché du travail des individus : le spatial mismatch, l'environnement social et la discrimination en raison du lieu de résidence. Dans cette thèse de doctorat nous nous intéressons à ce dernier mécanisme à travers lequel le lieu de résidence affecte les performances sur le marché du travail des individus. Au travers de trois études couvrant trois chapitres, nous mettrons en évidence trois éléments importants dans l'analyse de la discrimination liée au lieu de résidence : le sentiment de discrimination, la discrimination salariale et la discrimination à l'embauche. Ceux-ci sont illustrés par des méthodologies différentes : une analyse de données d'enquêtes subjectives, une analyse de données d'enquêtes objectives et enfin une analyse de données expérimentales. Les résultats principaux sont les suivants. Nous avons montré qu'il y a des effets spécifiques du lieu de résidence sur le ressenti de discriminations des jeunes. Nous avons montré que le lieu de résidence a une influence directe sur la probabilité de trouver un emploi à la sortie des études ainsi que sur le salaire associé à cet emploi. A l'aide d'une décomposition des écarts salariaux nous avons montré qu'il existe une probable discrimination relative au lieu de résidence qui affecte notamment les jeunes femmes. Nous avons trouvé un effet déterminant du département de résidence sur les chances d'accès à l'embauche des individus. Le même effet existe aussi, de manière plus faible, au niveau de la réputation du quartier de résidence des candidats. Une analyse de l'ordre des réponses faites aux candidats a confirmé ces résultats et a même révélé une discrimination encore plus forte. A partir de ces résultats, nous proposons des recommandations de politiques publiques liées aux différents aspects de la discrimination liée au lieu de résidence.

L'objectif principal de cette thèse est d'étudier le problème de planification de la production dans le contexte d'une demande incertaine, d'un niveau de service variable et d'approvisionnements incontrôlables dans une usine de seconde transformation du bois. Les activités de planification et de contrôle de production sont des tâches intrinsèquement complexes et difficiles pour les entreprises de seconde transformation du bois. La complexité vient de certaines caractéristiques intrinsèques de cette industrie, comme la co-production, les procédés alternatifs divergents, les systèmes de production sur commande (make-to-order), des temps de setup variables et une offre incontrôlable. La première partie de cette thèse propose une plate-forme d'optimisation/simulation permettant de prendre des décisions concernant le choix d'une politique de planification de la production, pour traiter rapidement les demandes incertaines, tout en tenant compte des caractéristiques complexes de l'industrie de la seconde transformation du bois. À cet effet, une stratégie de re-planification périodique basée sur un horizon roulant est utilisée et validée par un modèle de simulation utilisant des données réelles provenant d'un partenaire industriel. Dans la deuxième partie de cette thèse, une méthode de gestion des stocks de sécurité dynamique est proposée afin de mieux gérer le niveau de service, qui est contraint par une capacité de production limitée et à la complexité de la gestion des temps de mise en course. Nous avons ainsi développé une approche de re-planification périodique à deux phases, dans laquelle des capacités non-utilisées (dans la première phase) sont attribuées (dans la seconde phase) afin de produire certains produits jugés importants, augmentant ainsi la capacité du système à atteindre le niveau de stock de sécurité. Enfin, dans la troisième partie de la thèse, nous étudions l'impact d'un approvisionnement incontrôlable sur la planification de la production. Différents scénarios d'approvisionnement servent à identifier les seuils critiques dans les variations de l'offre. Le cadre proposé permet aux gestionnaires de comprendre l'impact de politiques d'approvisionnement proposées pour faire face aux incertitudes. Les résultats obtenus à travers les études de cas considérés montrent que les nouvelles approches proposées dans cette thèse constituent des outils pratiques et efficaces pour la planification de production du bois. ; The main objective of this thesis is to investigate the production planning problem in the context of uncertain demand, variable service level, and uncontrollable supply in a wood remanufacturing mill. Production planning and control activities are complex and represent difficult tasks for wood remanufacturers. The complexity comes from inherent characteristics of the industry such as divergent co-production, alternative processes, make-to-order, short customer lead times, variable setup time, and uncontrollable supply. The first part of this thesis proposes an optimization/simulation platform to make decisions about the selection of a production planning policy to deal swiftly with uncertain demands, under the complex characteristics of the wood remanufacturing industry. For this purpose, a periodic re-planning strategy based on a rolling horizon was used and validated through a simulation model using real data from an industrial partner. The computational results highlighted the significance of using the re-planning model as a practical tool for production planning under unstable demands. In the second part, a dynamic safety stock method was proposed to better manage service level, which was threatened by issues related to limited production capacity and the complexity of setup time. We developed a two-phase periodic re-planning approach whereby idle capacities were allocated to produce more important products thus increasing the realization of safety stock level. Numerical results indicated that the solution of the two-phase method was superior to the initial method in terms of backorder level as well as inventory level. Finally, we studied the impact of uncontrollable supply on demand-driven wood remanufacturing production planning through an optimization and simulation framework. Different supply scenarios were used to identify the safety threshold of supply changes. The proposed framework provided managers with a novel advanced planning approach that allowed understanding the impact of supply policies to deal with uncertainties. In general, the wood products industry offers a rich environment for dealing with uncertainties for which the literature fails to provide efficient solutions. Regarding the results that were obtained through the case studies, we believe that approaches proposed in this thesis can be considered as novel and practical tools for wood remanufacturing production planning.

State policy in the field of law enforcement during the Khrushchev's period wasn't a stabile. The first wave of changes was associated with the abolition of some legislative acts of the Stalinist period, a significant softening of punitive line, narrowing of the scope of capital punishment, empowerment convicted people etc. On the one hand, these steps are partially rehabilitating the Soviet law enforcement. On the other hand, government actions were unreasoned and populist, designed for quick political effect.The next wave of change was due to the spread of the idea of the gradual withering away of the state in terms of building a communist society. As a consequence of this ideology was the reduction of employees in the field of law enforcement and attracting a variety of civic organizations, labor groups and citizens to fulfill a variety of law enforcement functions (voluntary civil police, civil judges, civil assistant investigator, civilian prosecutors, civil lawyers, etc.).And finally, the soviet leadership made steps in the field of law enforcement toward stricter penalties for serious crimes, as well as expanding the scope of the death penalty.The country's leadership was actively intervened in the work of law enforcement. Communist Party took control the law enforcement agencies due to the appointment to senior positions along party lines and managing work of party members through the party cell.One of the major controversies of the time was mixing the steps to improve of law enforcement sphere (increased attention to the frames, structural changes, strengthening analytical work in the study of crime statistics), with a desire to demonstrate the advantages of the socialist way of life (which was manifested in the silencing of certain criminal manifestations, artificially lowering their significance by reducing the liability on them, outright ignoring problems and their causes, etc.).Contradictions were observed in the conduct of state punitive line too. On the one hand, it was a significant step up from the Stalinist penal system by expanding the rights of prisoners, procedural rules, which led to a softening of the repressive pressure on the population.On the other hand, the state retained its attitude to dissent; applying the new forms social exclusion of dissidents, for example, applying to them the impact of psychiatric measures.These moments hampered consolidation of the new format of normative behavior in the minds of ordinary citizens, and gave rise to "double standards", the imbalance between what is declared and what actually happened. ; В статье проанализирована государственная политика в правоохранительной сфере в период хрущевской оттепели. В частности определено, что идея о постепенном отмирании государства в условиях построения коммунистического общества повлекла отмену ряда законодательных актов сталинского периода, значительное смягчение карательной линии, сужение действия смертной казни, расширение прав осужденных и т.д. Реформированию подверглась и сама правоохранительная система государства, вследствие чего произошло сокращение в органах внутренних дел с одновременным привлечением различных общественных организаций, трудовых коллективов и рядовых граждан к выполнению целого ряда правоохранительных функций (добровольные народные дружины, общественные судьи, общественные помощники следователя, общественные обвинители, адвокаты и др.). Следствием этих реформ стал рост показателей преступности, после чего произошел возврат к более жестким наказаниям за тяжкие преступления, а также расширение сферы применения смертной казни.Констатировано активное вмешательство коммунистической партии и руководства страны в работу правоохранительных органов, которое приводило к доминированию партийной линии над правоохранительной целесообразностью, что в значительной мере отражалось на криминогенной ситуации в стране и ее освещении в официальной статистике. ; У статті проаналізовано державну політику в правоохоронній сфері в період хрущовської відлиги. Зокрема визначено, що ідея про поступове відмирання держави в умовах побудови комуністичного суспільства спричинила скасування ряду законодавчих актів сталінського періоду, значне пом'якшення каральної лінії, звуження дії смертної кари, розширення прав засуджених тощо. Реформування зазнала й сама правоохоронна система держави, унаслідок чого відбулося скорочення в органах внутрішніх справ з одночасним залученням різноманітних громадських організацій, трудових колективів і рядових громадян до виконання цілого ряду правоохоронних функцій (добровільні народні дружини, громадські судді, громадські помічники слідчого, громадські обвинувачі, адвокати та ін.). Наслідком цих реформ став ріст показників злочинності, після чого відбулося повернення до більш жорстких покарань за тяжкі злочини, а також розширення сфери застосування смертної кари.Констатовано активне втручання комуністичної партії і керівництва країни в роботу правоохоронних органів, яке призводило до домінування партійної лінії над правоохоронною доцільністю, що значною мірою відбивалось на криміногенній ситуації в країні і її відображенні в офіційній статистиці.

The development of Education systems in Sub-Saharan Africa as a whole and specially in Burkina Faso, Congo, Senegal shows ups and downs due to their low development, despite commitments made by the international community in 1990 at Jomtien in Thailand. The Dakar Forum in 2000, while recognizing progress recorded since independence for African countries,highlighted the need for States to undertake deep reforms with regard to education systems. Actually, since independence, the will shown by States to grant priority to education - as they are convinced that education has a positive impact on development of nations - was undermined by a number of uncertainties, including Structural Adjustment Programs in the 1990's, which have been limiting factors in education systems development. Consequently, education systems weremaintained through a number of strategies aiming at increasing education opportunities in situations where there was almost no financial investment. Recommendations from the Dakar Forum targeting the adoption of education development policies helped to address the most important expenditure line in education budget, i.e. the wage bill. Therefore, appealing to new types of teachers or Non-Government teachers is becoming widespread and is emerging as a standard, thereby deregulating the teaching profession formerly built. After reviewing developments in education system within three countries, from independences to the 2000's, we analyzed the background in which new types of teachers emerged before showing their contribution to education systems development, both in terms of quantity and quality. This analysis was conducted following a methodology consisting in reviewing documents and using several databases of the Education Systems Analysis Program of CONFEMEN (PASEC), the Evaluation of Learning Achievement (EAS) and the Southern and Eastern Africa Consortium for Monitoring Education Quality (SACMEQ). At the end of our research, we have reached the conclusion that new types of teachers or contractual teachers or Non-Government teachers contributed to achieving significant development in terms of education opportunities and they were not less performing than their Government counterparts. It was also noted, based on country experiences, some policy convergence towards stabilizingsuch new jobs by professionalizing them. ; Le développement des systèmes éducatifs en Afrique subsaharienne en général et au Burkina Faso, au Congo et au Sénégal en particulier, connaît beaucoup de péripéties du fait de leur faible développement malgré les engagements pris par la communauté internationale en 1990 à Jomtien en Thaïlande. Le forum de Dakar, en 2000, tout en reconnaissant les progrès enregistrés depuis les indépendances par les pays africains, a mis en évidence la nécessité pour les États d'engager des réformes profondes des systèmes éducatifs. En effet, depuis les indépendances, la volonté manifestée par les États de faire de l'éducation une priorité parce que convaincus de son impact positif sur le développement des nations, s'est heurtée à un certain nombre d'aléas dont les programmes d'ajustement structurel dans les années 1990 qui ont limité fortement le développement des systèmes éducatifs. Dès lors, les systèmes éducatifs se sont maintenus à travers un certain nombre de stratégies visant à accroître l'offre dans des situations où l'investissement financier est pratiquement nul. Les recommandations issues du forum de Dakar visant à adopter des politiques de développement de l'éducation, ont ainsi conduit à s'attaquer au poste de dépenses le plus important dans le budget de l'éducation, qu'est la masse salariale. Dès lors, le recours à de nouveaux types d'enseignants ou enseignants non fonctionnaires va se généraliser et apparaître comme une norme, dérégulant ainsi la fonction enseignante anciennement construite. Après avoir passé en revue l'évolution du système éducatif dans les trois pays, des indépendances aux années 2000, nous avons analysé le contexte d'émergence des nouveaux types d'enseignants avant d'indiquer leur apport tant au plan quantitatif que qualitatif au développement des systèmes éducatifs. Cette analyse a été possible grâce à une méthodologie basée sur une revue documentaire et l'exploitation de plusieurs bases de données du Programme d'analyse des systèmes éducatifs de la CONFEMEN (PASEC), de l'évaluation des acquis scolaires (EAS) et du Consortium de l'Afrique Australe et Orientale pour le pilotage de la qualité de l'éducation (SACMEQ). Au terme de notre recherche, nous pouvons conclure que les nouveaux types d'enseignants ou enseignants contractuels ou non fonctionnaires ont contribué à un développement appréciable au niveau de l'offre éducative sans être moins performants que leurs collègues fonctionnaires. Il ressort également suivant les expériences des pays, une certaine convergence des politiques vers la stabilisation de ces nouveaux emplois à travers leur professionnalisation.

RIASSUNTO IN ITALIANO Il progetto di studio alla base della seguente ricerca vorrebbe rendere più chiaro il rapporto tra la normativa sottesa al controllo degli armamenti e la funzione di difesa cui le Forze Armate assurgono. Il ruolo delle Forze Armate ha subito, o determinato a seconda dei casi, l'evolversi della funzione di difesa all'interno dell'ordinamento giuridico. I più recenti sviluppo hanno visto un'iniziale apertura verso le esternalizzazioni con la legge 130/2011 e la creazione di Difesa Servizi S.p.a., società in house con funzioni di centrale di committenza. La scelta di porre alla base della struttura di regolamentazione del mercato degli armamenti la funzione di difesa può apparire anacronistica, tuttavia proprio la delicata funzione che i materiali in oggetto ricoprono, giustifica l'attenzione particolare verso il settore. A lungo gli interessi economici hanno approfittato della scarsa regolamentazione del mercato, fino alla legge 185/1990, la quale invece ha reso chiara l'importanza del controllo del settore e la rendicontazione al cittadino, sottolineando nuovamente il ruolo di difesa del metodo democratico ai cui principi si ispira l'operato delle Forze Armate. L'assenza della normativa europea ha poi trovato risposta nei tentativi di accordo multilaterale e nei progetti avviati ad esempio in ambito Organisation Conjointe de Coopération en matière d'ARmement (OCCAR), fino alla formazione della European Defence Agency (EDA), da cui si attende un indirizzo univoco di sviluppo standardizzato del settore nel rispetto delle singole nicchie di eccellenza industriale. Il ruolo della NATO ha fornito un ottimo esempio di operatività a controllo congiunto sul settore degli armamenti, anche se non pare sufficiente a garantire la futura operatività proiettata in uno spazio internazionale. Tra il sistema giuridico nazionale ed il mercato internazionale di riferimento si intravedono ampie prospettive per una regolamentazione dinamica, saldamente connessa ai principi della funzione di difesa globalmente intesa. ABSTRACT (ENGLISH) This research is a study project based upon the objectives to understand the connection between the rule of laws that assures functionality in the market of armaments and permits to the army forces to do the function that they are supposed to carry out. The role that the army forces has in the State organization has changed depending on the evolution of laws, technologies and markets. In Italy, the last juridical development of army forces function has moved the management of armaments to the outsourcing process, initially with the creation of an "in house" company, called Difesa Servizi S.p.a., later on with a specific law regarding contractors use, law 130/2011. At the first glance, the decision to study the market of armaments regulation based upon the interpretation of the function of defense in a modern democracy, might appear anachronistic but the armaments are the tools that the combatants can use to carry out the orders received. For a long period the economic interests has trade on the leakage of laws for this market until the law 185/1990. This law has made it clear the importance of regulation on this sensitive market. After it implementation finally the citizen can know the importance of the connection between the international relations and the choices for the armaments production and exchange. The annual report, instituted with the law, can be a great democratization for the decisions of this production sector. Due to the absence of a clear European regulation, with a coherent application all over the European area, some multilateral arrangements have result as an important input for the different national laws. Several projects of cooperation has started during the last century, from the Organisation Conjointe de Coopération en matière d'ARmement (OCCAR) institution up until the foundation of the European Defence Agency (EDA). Although the expectation for standardization of the requirements, the revaluation of national niches of excellence and the efficiency due to the scale production are not reach yet. Waiting for a Europe with a stronger position in foreign policy, the NATO has given a good example of operative control with a standardization of the usage of arms but not yet on the supply side. Today the NATO can plan, not without difficulties, complex campaign with several different armaments involved, but the objective is to gain the needed standards and to be able to use all the assets in a more valuable and flexible way. Today the relationship between the national regulation and the international market of armaments is undoubtedly more complex than the last century, but this is also a strong opportunity for a dynamic perspective of defense function with a global vision.

The present dissertation attempts to answer to the following questions. (1) How does the development of the financial system favor economic growth, and thereby economic development? (2) What are the drawbacks of the development of the financial system? How to take full advantage of financial system development while minimizing the costs resulting from financial crises? The task consists of two main parts. In the first part, we set up simple endogenous growth models that establish a positive relationship between financial development (i.e. financial intermediaries and stock markets development) and economic growth. We also investigate empirically the relationship in question. In the second part, we investigate the issues of the determinants of banking stability, contagion, and measures to foster financial stability. The main results findings are: (1) There is a positive between finance and economic growth. (2) Financial intermediaries stimulate economic growth if countries have attained a minimum initial level of education. The development of stock markets boosts economic growth if countries have a high level of initial income (threshold effect). (3) The direction of the causality between financial development and economic growth is country specific. It is either unidirectional or bi-directional, with more cases where finance Granger causes economic growth. (4) Banking crises are likely to occur every ten years or so, even if financial system has been stable (i.e. absence of crises) until the year before the crises. (5) The US financial Market appears to be the leader in the world: a shock in US financial market rapidly contaminate other financial markets in the world. whilst Hong Kong and Thailand appear to be the leading markets in Asia. The policy implications are: (a) Developing countries have interest to favor the development of their financial systems by progressively liberalizing their financial markets. (b) Developing countries should invest in education so that financial intermediaries that constitute the main component of their financial systems could foster their economic growth. (c) An international financial coordination in prudential supervision and regulation policies is required in order to minimize the costs of financial crises. ; L'objectif de cette thèse est de contribuer aux niveaux théorique et empirique à l analyse sur le lien finance-croissance tout en insistant sur le rôle des banques et sur celui des marchés. La question centrale est la suivante : dans quelle mesure le développement financier (DF) stimule-t-il la croissance et le développement économiques ? La première partie consiste à développer des modèles de croissance endogène intégrant le secteur financier et à tester empiriquement l effet du DF sur la croissance. La deuxième partie aborde les déterminants de la durée de la stabilité bancaire, le phénomène de contagion à travers les marchés de capitaux et les mesures pour renforcer la stabilité financière. Les principaux résultats sont les suivants : (1) Il existe un lien théorique positif entre le DF et la croissance avec toutefois des effets de seuil. (2) Un système financier (SF) basé sur les banques ne pourrait amorcer un processus de croissance que si le développement éducatif a franchi un certain seuil permettant aux banques de collecter et d allouer efficacement les ressources . Un SF à prééminence de marché ne pourrait stimuler la croissance que si le développement économique a atteint un certain seuil permettant aux agents économiques de prendre part au marché. (3) Il apparaît plusieurs cas où le sens de la causalité part de la finance à la croissance. (4) Le SF mondial a de fortes chances de connaître une crise bancaire tous les 10 ans ou plus, même si il a été stable jusqu à la période précédant la crise. (5) Le marché boursier américain apparaît comme le leader mondial : les chocs sur le marché américain se transmettent rapidement aux autres marchés. Alors que Hong Kong et Thaïlande apparaissent comme les leaders de la zone asiatique. Les implications de politiques économiques sont : (a) Les pays en voie de développement ont intérêt à développer leurs systèmes financiers par la voie d une libéralisation financière progressive. (b) Les pays en voie de développement ont intérêt à investir dans l éducation pour que le système bancaire, principale composante de leurs systèmes financiers, puisse stimuler la croissance économique. (c) Une surveillance permanente du système financier mondial qui passe par une coordination internationale des efforts de supervision prudentielle et de réglementation au niveau national.

En la actualidad, los países en desarrollo, entre los que se encuentra Ecuador, necesitan mejorar sus ingresos y productividad, con el fin de eliminar la pobreza de un modo que sea ambiental y socialmente sostenible. A medida que los países pobres pasan a una situación de más holgura, el aumento de la productividad implica un cambio hacia actividades no agrícolas, y este dicho cambio presiona sobre los bienes ambientales y sociales. De ahí se deriva que se haya tomado conciencia de la importancia que tiene el desarrollo sostenible y el interesante papel que en él puede jugar el turismo, al ser un sector económico con un gran dinamismo y motor del crecimiento de muchos países. La búsqueda de alternativas al turismo tradicional ha llevado a explorar destinos turísticos con ecosistemas que, en muchos casos, presentan gran fragilidad y corren el riesgo de una rápida e irreversible degradación. Muchos de los países en vías de desarrollo han comenzado a variar su percepción del turismo como un medio para mejorar el nivel de vida y han dejado de considerar un lujo la preocupación por los problemas medioambientales. Efectivamente, estos problemas se han convertido en un tema central en las políticas de desarrollo turístico. El turismo ha crecido tanto que se ha convertido en una de las industrias más importantes del mundo y cada vez se está relacionando más con temas como el desarrollo, la globalización, la justicia económica, los derechos a la tierra y a la cultura, y los derechos de las sociedades indígenas y otros grupos, esto es, el turismo está teniendo una gran trascendencia. En Ecuador, la actividad turística está jugando un papel muy importante en los últimos años y se encuentra entre las primeras actividades económicas generadoras de ingresos. Desde hace varias décadas, el gobierno de Ecuador tomó conciencia de su importancia e inició el desarrollo de una legislación cada vez más completa sobre el turismo. Ecuador, país de la Comunidad Andina, posee, a pesar de su escaso nivel económico, una sorprendente naturaleza con una elevada biodiversidad. Esta, junto con sus diversas culturas, constituye un potencial turístico de primer orden en aventura, arte, cultura y naturaleza, características que permite desarrollar importantes proyectos de ecoturismo. At this time, developing countries such as Ecuador, need to improve their revenues and productivity in order to eradicate poverty by means of environmental and socially sustainable policies. Developing countries face a frail economic environment, the increase of their productivity implies a change into non agricultural activities which means a depletion of their natural resources and an alteration of their social stability. Due to this current situation, the international community highlights the need for further progress in taking conscience of the importance of sustainable development and the interesting roll that tourism could play in it. Indeed, tourism is a dynamic economic sector which is currently reanimating the economy of a lot of countries. Looking for different options to traditional tourism, the impact of alternative tourist destinations are exhausting ecosystems which are weak and with a high risk of irreversible degradation in short time. Many developing countries have already considered tourism as the main economic activity that could improve their level of life. In this context, environmental problems that were before in second place have become the central issue of tourism developmental policies. In the last decade, tourism activity has been rapidly growing in such a way that has become one of the most important industries in the world. Therefore, tourism has currently a great transcendence concerning development, globalization, fair trade, land rights, right to culture, rights of indigenous communities and other groups. At the Andean Community, all member states are warning about their biodiversity and as a response are taking measures in order to protect their natural resources. In this context, the biodiversity of Ecuador constitutes a prospect tourism activity with a range of possibilities, such as tourism of nature, adventure, art or culture. Therefore, in Ecuador the tourism activity is playing an important role, due to that it is one of the most important economic activities in terms of revenue. For several decades, the Ecuador government has been taking conscience of its importance and in order to protect their natural resources he has drawn up a comprehensive master plan for sustainable tourism policy, in which a completed legal framework has been set up.

Summary of Doctoral Dissertation Assessment of Innovation Effects of Mergers The adequate consideration of innovation effects of mergers in merger review was ; and still is ; one of the most controversially discussed issues between antitrust scholars. In this connection the question has been raised whether the traditional categories in competition law are sufficiently suitable for dealing with innovation aspects or whether new concepts for the assessment of innovation effects of mergers are needed. This argument relates to the question whether the firms who compete in regard to existing products necessarily play a role in regard to innovation competition. Or ; by asking the opposite question ; whether there are perhaps additional firms (by also accounting for firms outside the current product market) that actually compete with one another in the sphere of innovation. Thus ; although the assessment of product markets as a device to identify the relevant competitors is a well-founded step to protect static price and non-price competition ; the sole assessment of the respective product market will probably not reflect the true situation regarding innovation competition. Accordingly ; each of the five articles of this thesis builds on the idea that the relevant competitors in terms of innovation do not necessarily correspond to the relevant competitors on existing product markets. From an economic perspective the definition of "markets" was always only a vehicle for identifying the set of relevant competing firms. In a concept of static competition ; it was logical to use the set of current products ; and analyze their substitutability conditions from the demand and the supply side in order to determine the set of relevant competitors. However ; the attempt to stick to the product market concept for defining the relevant competitors for innovation is theoretically deeply flawed. Since the production and sale of products does not require the same resources and capabilities as the generation of innovations ; a general assumption of such an identity cannot be defended. This discussion led to the development of the so-called "Innovation Market Analysis" (IMA) ; an innovation-specific assessment approach ; in the 1990s. Even though the IMA was also applied to a significant number of U.S. merger cases in the years thereafter ; it was heavily criticized by many lawyers and economists. Hence ; it is still not clear how antitrust agencies should deal with innovation aspects in the review process of mergers. This research project assesses how and to what extent the U.S. antitrust authorities in their case practice investigated mergers on possible negative effects on innovation and whether the investigation concepts are appropriate or need to be developed. Particular relevant questions which arise in this connection are: (1) how the firms ; which compete with one another in the sphere of innovation ; should be identified. This raises the question whether the identification of the relevant competitors should be carried out by relying on the traditional product market concept ; or whether there is a need to use/develop alternative approaches ; such as the "Innovation Market Analysis". (2) In this connection it is also necessary to consider the theory of harm behind the claimed negative effects of mergers on innovation. Should competition authorities rely predominantly on well-established arguments about innovation incentives ; provided by the neoclassical industrial organization literature ; or is it instead advisable to also include the insights provided by other strains of literature ; e.g. the evolutionary economics literature? (3) How should an adequate assessment framework ; which would help competition authorities to deal with innovation effects of mergers look like? How can it account for the complex and often divergent effects between competition and innovation while providing legal guidance at the same time? These research questions are addressed by this dissertation ; both from a theoretical/conceptual (articles 1-3) ; as well as from an empirical perspective (articles 4-5). It is remarkable ; that the data set which was generated in connection with the empirical part of the present work is unique and provides the basis for the only econometric analysis of the U.S. merger control practice with respect to the consideration of innovation aspects which exists so far. The first article deals with the question of how the firms which compete with one another in the sphere of innovation should be identified and whether these mergers should be assessed under the theory of Innovation Markets ; Future Markets or Potential Competition. Traditionally ; competition authorities tend to focus on the assessment of competition on relevant product markets. Hereby ; the relevant firms that compete with one another are identified ; and possible anticompetitive effects are revealed. But ; in contrast to competition concerning prices ; quantities ; or product quality ; competition in the sphere of innovation is not necessarily tied to existing product markets. The same holds true for the counterexample. Competition authorities might find that a certain product market is highly concentrated. However ; by also accounting for innovation competitors outside the current product market (e.g. ; firms that are well situated to undertake R&D in a particular field or firms that are already undertaking R&D) ; the merger could appear less anticompetitive ; at least in respect to innovation. Hence ; this first article reviews the (existing) approaches that can generally be used for the assessment of anticompetitive innovation effects in merger control and explores these approaches through exemplary merger cases. In this connection the paper develops six case groups of merger cases in which innovation aspects play a role. Based on these case groups ; the paper demonstrates that the traditional approaches of 'potential competition' and 'future markets' cannot account for all aspects of innovation competition. In addition ; the article also shows that it is furthermore questionable whether the 'future market' concept can capture innovation competition to its full extent ; even in those merger cases in which it can generally be applied. However ; the 'Innovation Market Analysis' ; the only tool especially designed to account for innovation competition so far ; also has several shortcomings. Hence ; at present there is no clear-cut approach which the antitrust agencies in the U.S. as well as in the E.U. could utilize as reference for an intervention aimed at the protection of innovation competition. The development of a revised approach for the assessment of potential anticompetitive innovation effects in merger reviews is therefore required. Nevertheless ; the 'IMA' might still serve as a good starting point for the development of such a revised framework. Specifically ; the framework should incorporate the concept of assessing relevant innovation competitors independently of their role on current product markets – a breakthrough idea that was introduced in the 'IMA'. The second article builds on the results of the first article. Hereby the paper aims to develop the basic outlines for an assessment framework which could help competition authorities to deal with innovation effects of mergers and which could furthermore provide legal guidance. In addition ; this contribution will specially cater for the implications which result from the separate consideration of innovation competition from actual product markets for the relationship between competition ; concentration and innovation. These implications arise from the fact that the differentiation into product market competition on the one hand and innovation competition on the other ; does not only have consequences for the identification of the relevant competitors ; but is also crucial for assessing the anticompetitive effects of mergers on innovation. Consider for instance a merger which takes place between firms that compete with one another only in terms of innovation (leaving product market competition unaffected). This would imply that only a fraction of the insights ; provided by the vast array of theoretical models ; matters in this concrete merger review. Hence ; these types of mergers require focusing on different models in order to gain insights for the assessment of possible anticompetitive innovation effects ; than a merger taking place between two firms that do also compete with one another on pre-innovation product markets. As a consequence ; since mergers of firms that compete with one another in the sphere of innovation could leave product market concentration unaffected ; it is very questionable whether the findings about the ambiguous interrelationship between product market competition and innovation can be transferred one-to-one to the assessment of those mergers. Therefore ; this paper analyzes the model-theoretic industrial organization literature and its findings about competition and the incentives to invest in product innovation oriented R&D against the background of this distinction into innovation competition on the one hand and product market competition on the other. For this purpose ; we firstly reviewed the broad range of theoretical models ; provided by the industrial organization literature. Hereby we particularly examined the underlying mechanisms of the models with respect to the question whether they rely on pre-innovation product market competition ; or not. As a consequence ; we received two distinct groups of potential innovation effects of mergers. The first group consists of effects which hinge on a change of current product market concentration ; while the second group encompasses those kinds of effect which come into play even though pre-innovation product market competition is unaffected. Consequently ; the effects of the first group are only relevant ; if pre-innovation product market structure is affected by a certain merger ; while the effects of the second group have to be considered even in those situations in which mergers do only affect innovation competition. Due to the fact that not every innovation effect is always relevant and since these innovation effects can furthermore have different impacts due to prevailing industry- and competition characteristics ; it is helpful to assess the effects of mergers on innovation within certain case groups. However ; in order to build these case groups ; it is necessary to find the appropriate differentiation criteria. For this purpose ; this article aims at identifying the relevant determinants ; which are decisive for how a certain effect (e.g. the escape competition effect or the replacement effect) acts on the incentives to innovate. The identification and categorization of the innovation effects and relevant determinants thereby provides (1) a checklist of assessment criteria which antitrust authorities should take into account when analyzing innovation effects of mergers. (2) Besides this ; this paper furthermore demonstrates how the development of such a decision theoretic assessment framework could be achieved. Such an assessment approach would allow combining the objective of a case-specific analysis with the requirement that this analysis is carried out in a consistent and transparent manner. It would therefore be in the spirit of a rule-based competition policy which is ; from a law and economics perspective ; ought to reduce error costs ; give legal guidance and reduce legal uncertainty. Apart from that ; the paper aims to demonstrate that the link between competition and the incentives to undertake product innovation oriented R&D ; which can be derived from the industrial organization literature ; is not always that unclear as it seems on the first sight. Especially with respect to mergers between firms that compete with one another in terms of innovation ; absent/detached from actual product markets ; the relationship appears to be far less cloudy. The third article then focuses on the question about the appropriate theory of harm behind the claimed negative effects of mergers on innovation. Traditionally ; the discussion about anticompetitive innovation effects of mergers focused on the question whether a more or rather a less concentrated market structure (mostly narrowed to product market structure) is beneficial to innovation. However ; until to date ; theoretical as well as empirical contributions delivered rather contradictory results in the sense that they support the proposition that highly competitive just as much as more concentrated markets can basically spur innovation. Hence ; from this perspective ; it is not clear whether a merger ; which leads to a higher market concentration ; is detrimental or maybe even beneficial to innovation. However ; while mainstream economics focuses almost exclusively on the likely effects of a change of market structure on the firms' incentives to invest in R&D and their ability to innovate ; a change of the market structure can also have an additional effect on innovation. This effect originates from the fact that a merger ; which causes a reduction of the number of innovation competitors ; can also harm innovation because it reduces the variety of heterogeneous entities which are currently undertaking R&D or which are well situated to undertake R&D in a certain field. Assuming that companies differ not only with respect to their cost functions ; but also in terms of their resources ; organizational structure ; corporate culture ; as well as with respect to their expectations about promising areas of business and research projects ; then the reduction of the number of competitors may already be detrimental to the overall innovativeness of an industry. Against this background ; "diversity" can be considered as another dimension of the process of innovation competition - a dimension which ; in addition to the firms' incentives and capabilities to innovate ; might be worth protecting. However ; this property of competition is much less recognized in the respective antitrust literature. One explanation for this phenomenon might be the fact that mainstream economics and especially the modern industrial organization literature have fundamental difficulties to capture this dimension of competition ; which Joseph Farrell therefore called vividly "the dark matter of competition". Apart from that it is also argued that ; if "diversity" indeed has a noticeable effect on innovation ; a merged entity should have an incentive to preserve such a fruitful environment in-house. Hence ; a reduction of "diversity" among different firms ("inter-firm diversity") might get balanced by an increase of the diversity within the remaining firms ("intra-firm diversity") by itself. As a consequence ; if one had to expect such an effect ; antitrust authorities would have no reason to further consider this issue. By assessing the management and organizational science literature ; this first article aims to bring to light whether and how firms consider the preservation of "diversity" ; (1) either as a consequence of a newly created "intra-firm diversity" ; or (2) because of a direct maintenance of an acquired firm's autonomy ; after a merger. For this purpose this contribution firstly investigates the "Corporate Entrepreneurship" (CE) literature which highlights the creation of independent subunits and spinoffs within a corporation. It is thereby demonstrated that the idea of a creation of independent entities in-house is indeed considered as an important determinant for the innovativeness and general performance of firms. However ; it is also shown that firms ; pursuing a CE strategy ; will most likely face several grave implementation problems and trade-offs. The same holds true for a direct maintenance of "diversity" after a merger. Although the examined literature on post-merger integration presents strong arguments in favor of securing an acquired firm's independence and autonomy in order to keep its innovation capacity ; it also indicates that there will emerge a trade-off between this objective and the realization of efficiency gains through integration. Hence ; on the one hand ; the extensive management and organizational science literature suggests that considerations about the preservation of "diversity" in merger review might be exaggerated because firms should indeed have a strong incentive to preserve "diversity" in-house. On the other hand the analysis also shows that antitrust authorities cannot trust in the creation/maintenance of such an "intra-firm diversity" after a merger ; since the merged entity will most likely face grave implementation problems and trade-offs. Whilst the first three articles focus on theoretical/conceptual questions ; the forth article analyses empirically how the applied U.S. antitrust dealt with these issues in connection with the assessment of innovation effects in merger reviews. The decision to analyse the U.S. merger control practice stems from the fact that the U.S. authorities have examined a far greater number of mergers also towards innovation effects ; than the European Commission. In this respect the paper analyzes the "complaints" and "decision and orders" in the course of an exhaustive survey from all 399 mergers ; challenged by the DOJ or FTC in the period between 1995 and 2008. By using probit techniques ; the econometric study tackles the question of how and to what extent the U.S. agencies have assessed innovation effects of mergers. Additionally ; it is also asked whether the two agencies have used the same or different approaches in regard to innovation effects of mergers ; and whether we can observe developments during this period 1995 until 2008 in regard to these assessments. Important questions in that regard were (1) whether the U.S. authorities used predominantly a traditional assessment approach based upon the product market concept or whether they also used more innovation-specific assessment approaches ; e.g. the "Innovation Market Analysis". (2) In addition ; it is important what theory of harm was brought forward in connection with the claimed anticompetitive innovation effects. Overall ; the results about the practice of the assessment of innovation effects of mergers by the two U.S. antitrust authorities are very mixed and ambivalent. It is shown ; that the agencies had innovation concerns in 135 mergers and that both agencies did consider for innovation effects in a third of all cases. However ; on the basis of the 323 relevant markets with innovation aspects ; the study also reveals that the two agencies did not have a clear and consistent assessment approach ; and that both of them differed significantly also in regard to the question whether a more traditional product market approach should be used (mainly the DOJ) or whether a more innovation-specific approach should be applied ; in which innovation is already considered in the market definition. A problematic outcome of our investigation is that in most cases the agencies gave no specific reasoning why the merger should lead to negative effects on innovation. Only in a minority of cases innovation incentive arguments and in some cases diversity arguments were mentioned. Another surprising and puzzling result is that the agencies increasingly have claimed simultaneously negative innovation and static price effects which can be interpreted as a sign of insecurity of the agencies ; leading them to backing up their innovation concerns with more traditional and well-established claims about price effects. As a result ; the article demonstrates that ; on the one hand ; assessing innovation effects is a well-established practice in U.S. merger policy ; but ; on the other hand ; there are also a lot of inconsistencies and open conceptual questions in regard to the assessment approach ; which also have not diminished over time. The fifth and last paper of the dissertation builds mainly on the empirical results of the forth paper and aims to put the observations into a wider picture by also incorporating the findings of the three theoretical/conceptual articles. For this purpose ; the paper starts with reviewing the rich theoretical and empirical literature on competition and innovation. Hereby the theoretical models and reasonings get examined against the background of the differentiation into models which rely solely on innovation competition and those which do also incorporate current product market competition ; proposed in the second paper of this dissertation. This structured overview is followed by an investigation of the vast array of the empirical studies on industry structure and innovation ; market structure and innovation ; and mergers and innovation. After introducing the existing assessment concepts for innovation effects of mergers ; the empirical results of the forth article are introduced and subsequently assessed from a high-level competition policy perspective. Besides this ; the article also provides a qualitative analysis of important merger cases after 2008 as well as an analysis of the U.S. Merger Policy under the Obama Administration and the reform discussion leading to the revision of the Horizontal Merger Guidelines in 2010. Hereby it is shown (1) that the cautious approach of assessing innovation effects has not changed under the Obama Administration ; and (2) that despite the general consensus about the importance of innovation effects ; the U.S. discussion is still very critical to more innovation-specific approaches in merger reviews. This can also be seen in the revised U.S. Horizontal Merger Guidelines ; which stick entirely to the traditional product market approach. In that respect ; the guidelines also do not seem to reflect the already well-established practice of the U.S. antitrust agencies of using innovation-specific assessment approaches to a considerable extent. Instead ; the results provided by the empirical analysis of the fourth paper of this dissertation offer good reasons to assume that this reluctance to consider innovation effects in the Guidelines lies to a large extent in the uncertainty about how competition authorities should assess the impact of a merger on innovation. This uncertainty appears to be the consequence of the disagreement about how competition authorities should grasp and assess the innovation effects of mergers properly. Finally the article concludes by proposing different perspectives for future research. In this connection it is proposed to (1) base the theory of harm regarding mergers and innovation not exclusively on neoclassical economics ; but to also include the evolutionary economics literature which is generally more suited to deal with dynamic innovation effects. (2) Besides this ; future research should focus on the question of how the relevant innovation competitors should be identified most reliable. The first article of this dissertation showed that the "Innovation Market Analysis" started to ask the right questions about "overlapping R&D" and about the existence of "specialized assets" ; which can be interpreted as barriers to entry into innovation competition. (3) Last but not least ; this paper establishes reference to the second article of this dissertation which already discussed the necessity of developing a structured investigation and assessment approach ; capable of dealing with the problem that the innovation effects of mergers might be very different under different circumstances.

Guest Editors: Prof. Alessandra Siveira (University of Minho, PORTUGAL), Prof. Alexandre Veronese (University of Brasilia, BRAZIL) Editorial Board: Prof. Marcio Iorio Aranha (University of Brasilia – BRAZIL), Prof. André Rossi (Utah Valley University - USA), Prof. Ana Frazao (Universidade de Brasilia - BRAZIL), Prof. Clara Luz Alvarez (Universidad Panamericana - MEXICO), Prof. Diego Cardona (Universidad de Rosario - COLOMBIA), Prof. Flavia M. S. Oliveira (Universidade de Brasilia - BRAZIL) Prof. Francisco Sierra Caballero (Universidad de Sevilla - SPAIN), Prof. Fabio Bassan (Universitá degli Studi Roma Tre - ITALIA), Prof. Hernán Galperin (University of Southern California - USA), Prof. Jerônimo Siqueira Tybusch (Universidade Federal de Santa Maria - BRAZIL), Prof. João Alberto de Oliveira Lima (Universidade do Legislativo Brasileiro - BRAZIL), Prof. Judith Mariscal (CIDE - MEXICO), Prof. Liliana Ruiz de Alonso (Universidad San Martín de Porres - PERU), Prof. Lucas Sierra (Universidad de Chile - CHILE), Prof. Luís Fernando Ramos Molinaro (Universidade de Brasília - BRAZIL), Prof. Murilo César Ramos (Universidade de Brasília - BRAZIL), Prof. Raúl Katz (Columbia University - USA), Prof. Roberto Muñoz (Universidad Técnica - CHILE). ISSN: 1984-9729 EISSN: 1984-8161 Periodicity: annual issues uninterrupted since May 2009 and two annual issues on May and October uninterrupted since May 2018. Mission/Scope/Focus: http://periodicos.unb.br/index.php/RDET/about Submission process: authors are requested to submit their papers following the instructions at http://periodicos.unb.br/index.php/RDET/about/submissions. The journal adopts the double-blind peer review process. Archiving policy: LOCKSS-CARINIANA, DOAJ and Brazil's Senate Library. Indexation: Scopus (Elsevier); EBSCOhost research databases (EBSCO Publishing Inc.); Gale Group; AE Global Index; OAI (Open Archives Initiative) - DOAJ (Directory of Open Access Journals); WorldCat; Google Scholar; The European Library; CIEPS (Centre International d'Enregistrement des Publications en Série; SEER/IBICT. Permanent Web Identifier: LexML and DOI. ; Guest Editors: Prof. Alessandra Siveira (University of Minho, PORTUGAL), Prof. Alexandre Veronese (University of Brasilia, BRAZIL) Editorial Board: Prof. Marcio Iorio Aranha (University of Brasilia – BRAZIL), Prof. André Rossi (Utah Valley University - USA), Prof. Ana Frazao (Universidade de Brasilia - BRAZIL), Prof. Clara Luz Alvarez (Universidad Panamericana - MEXICO), Prof. Diego Cardona (Universidad de Rosario - COLOMBIA), Prof. Flavia M. S. Oliveira (Universidade de Brasilia - BRAZIL) Prof. Francisco Sierra Caballero (Universidad de Sevilla - SPAIN), Prof. Fabio Bassan (Universitá degli Studi Roma Tre - ITALIA), Prof. Hernán Galperin (University of Southern California - USA), Prof. Jerônimo Siqueira Tybusch (Universidade Federal de Santa Maria - BRAZIL), Prof. João Alberto de Oliveira Lima (Universidade do Legislativo Brasileiro - BRAZIL), Prof. Judith Mariscal (CIDE - MEXICO), Prof. Liliana Ruiz de Alonso (Universidad San Martín de Porres - PERU), Prof. Lucas Sierra (Universidad de Chile - CHILE), Prof. Luís Fernando Ramos Molinaro (Universidade de Brasília - BRAZIL), Prof. Murilo César Ramos (Universidade de Brasília - BRAZIL), Prof. Raúl Katz (Columbia University - USA), Prof. Roberto Muñoz (Universidad Técnica - CHILE). ISSN: 1984-9729 EISSN: 1984-8161 Periodicity: annual issues uninterrupted since May 2009 and two annual issues on May and October uninterrupted since May 2018. Mission/Scope/Focus: http://periodicos.unb.br/index.php/RDET/about Submission process: authors are requested to submit their papers following the instructions at http://periodicos.unb.br/index.php/RDET/about/submissions. The journal adopts the double-blind peer review process. Archiving policy: LOCKSS-CARINIANA, DOAJ and Brazil's Senate Library. Indexation: Scopus (Elsevier); EBSCOhost research databases (EBSCO Publishing Inc.); Gale Group; AE Global Index; OAI (Open Archives Initiative) - DOAJ (Directory of Open Access Journals); WorldCat; Google Scholar; The European Library; CIEPS (Centre International d'Enregistrement des Publications en Série; SEER/IBICT. Permanent Web Identifier: LexML and DOI. ; Editores Convidados: Profa. Alessandra Silveira (Universidade do Minho – PORTUGAL), Prof. Alexandre Veronese (Universidade de Brasília - BRASIL) Conselho Editorial: Prof. Marcio Iorio Aranha (Universidade de Brasília – BRASIL), Prof. André Rossi (Utah Valley University – ESTADOS UNIDOS DA AMÉRICA), Prof. Ana Frazao (Universidade de Brasília - BRASIL), Prof. Clara Luz Alvarez (Universidad Panamericana - MÉXICO), Prof. Diego Cardona (Universidad de Rosario - COLÔMBIA), Prof. Flavia M. S. Oliveira (Universidade de Brasília - BRASIL) Prof. Francisco Sierra Caballero (Universidad de Sevilla - ESPANHA), Prof. Fabio Bassan (Universitá degli Studi Roma Tre - ITÁLIA), Prof. Hernán Galperin (University of Southern California – ESTADOS UNIDOS DA AMÉRICA), Prof. Jerônimo Siqueira Tybusch (Universidade Federal de Santa Maria - BRASIL), Prof. João Alberto de Oliveira Lima (Universidade do Legislativo Brasileiro - BRASIL), Prof. Judith Mariscal (CIDE - MÉXICO), Prof. Liliana Ruiz de Alonso (Universidad San Martín de Porres - PERÚ), Prof. Lucas Sierra (Universidad de Chile - CHILE), Prof. Luís Fernando Ramos Molinaro (Universidade de Brasília - BRASIL), Prof. Murilo César Ramos (Universidade de Brasília - BRASIL), Prof. Raúl Katz (Columbia University – ESTADOS UNIDOS DA AMÉRICA), Prof. Roberto Muñoz (Universidad Técnica - CHILE). ISSN: 1984-9729 / EISSN: 1984-8161 Periodicidade: (Mínima) Semestral. Linha editorial: http://periodicos.unb.br/index.php/RDET/about Avaliação das submissões: método de avaliação cega por pares (duplo cego), por intermédio de submissões eletrônicas administradas no sistema SEER, do IBICT, no link http://periodicos.unb.br/index.php/RDET/about/submissions, em que os manuscritos são distribuídos aos avaliadores sem identificação de autoria. Política de arquivamento: sistema LOCKSS, da Universidade de Stanford (Stanford University Libraries), via Rede Brasileira de Serviços de Preservação Digital Cariniana, do IBICT; projeto de preservação de longo prazo do DOAJ (Directory of Open Access Journals); e-Depot, National Library (Haia, Países Baixos, www.kb.nl/e-Depot); e Biblioteca do Senado Federal do Brasil. Indexação em bases de pesquisa: Scopus (Elsevier); EBSCOhost research databases (EBSCO Publishing Inc.); Gale Group; AE Global Index; OAI (Open Archives Initiative) - DOAJ (Directory of Open Access Journals); WorldCat; Google Scholar; The European Library; CIEPS (Centre International d'Enregistrement des Publications en Série); Sistemas SEER e Diadorim, do IBICT; Latindex (28283). Indexação em bibliotecas: Rede Virtual de Bibliotecas do Congresso Nacional (RVBI); HELKA (Union Catalogue of Helsinki University Libraries); University of Saskatchewan; Erasmus Universiteit Rotterdam; Koninklijke Bibliotheek (National Library of the Netherlands); Universiteit Twente; Bibliotheek Rijksuniversiteit Groningen. Endereçamento permanente: LexML e DOI. ; Editores Convidados: Profa. Alessandra Silveira (Universidade do Minho – PORTUGAL), Prof. Alexandre Veronese (Universidade de Brasília - BRASIL) Conselho Editorial: Prof. Marcio Iorio Aranha (Universidade de Brasília – BRASIL), Prof. André Rossi (Utah Valley University – ESTADOS UNIDOS DA AMÉRICA), Prof. Ana Frazao (Universidade de Brasília - BRASIL), Prof. Clara Luz Alvarez (Universidad Panamericana - MÉXICO), Prof. Diego Cardona (Universidad de Rosario - COLÔMBIA), Prof. Flavia M. S. Oliveira (Universidade de Brasília - BRASIL) Prof. Francisco Sierra Caballero (Universidad de Sevilla - ESPANHA), Prof. Fabio Bassan (Universitá degli Studi Roma Tre - ITÁLIA), Prof. Hernán Galperin (University of Southern California – ESTADOS UNIDOS DA AMÉRICA), Prof. Jerônimo Siqueira Tybusch (Universidade Federal de Santa Maria - BRASIL), Prof. João Alberto de Oliveira Lima (Universidade do Legislativo Brasileiro - BRASIL), Prof. Judith Mariscal (CIDE - MÉXICO), Prof. Liliana Ruiz de Alonso (Universidad San Martín de Porres - PERÚ), Prof. Lucas Sierra (Universidad de Chile - CHILE), Prof. Luís Fernando Ramos Molinaro (Universidade de Brasília - BRASIL), Prof. Murilo César Ramos (Universidade de Brasília - BRASIL), Prof. Raúl Katz (Columbia University – ESTADOS UNIDOS DA AMÉRICA), Prof. Roberto Muñoz (Universidad Técnica - CHILE). ISSN: 1984-9729 / EISSN: 1984-8161 Periodicidade: (Mínima) Semestral. Linha editorial: http://periodicos.unb.br/index.php/RDET/about Avaliação das submissões: método de avaliação cega por pares (duplo cego), por intermédio de submissões eletrônicas administradas no sistema SEER, do IBICT, no link http://periodicos.unb.br/index.php/RDET/about/submissions, em que os manuscritos são distribuídos aos avaliadores sem identificação de autoria. Política de arquivamento: sistema LOCKSS, da Universidade de Stanford (Stanford University Libraries), via Rede Brasileira de Serviços de Preservação Digital Cariniana, do IBICT; projeto de preservação de longo prazo do DOAJ (Directory of Open Access Journals); e-Depot, National Library (Haia, Países Baixos, www.kb.nl/e-Depot); e Biblioteca do Senado Federal do Brasil. Indexação em bases de pesquisa: Scopus (Elsevier); EBSCOhost research databases (EBSCO Publishing Inc.); Gale Group; AE Global Index; OAI (Open Archives Initiative) - DOAJ (Directory of Open Access Journals); WorldCat; Google Scholar; The European Library; CIEPS (Centre International d'Enregistrement des Publications en Série); Sistemas SEER e Diadorim, do IBICT; Latindex (28283). Indexação em bibliotecas: Rede Virtual de Bibliotecas do Congresso Nacional (RVBI); HELKA (Union Catalogue of Helsinki University Libraries); University of Saskatchewan; Erasmus Universiteit Rotterdam; Koninklijke Bibliotheek (National Library of the Netherlands); Universiteit Twente; Bibliotheek Rijksuniversiteit Groningen. Endereçamento permanente: LexML e DOI.

DOI: https://doi.org/10.26512/l.s.t.r.v13i2 SCOPUS Q2 - MIAR Index 9.6 Editor: Prof. Marcio Iorio Aranha (University of Brasilia, BRAZIL) Editorial Board: Prof. Marcio Iorio Aranha (University of Brasilia – BRAZIL), Prof. André Rossi (Utah Valley University - USA), Prof. Ana Frazao (Universidade de Brasilia - BRAZIL), Prof. Clara Luz Alvarez (Universidad Panamericana - MEXICO), Prof. Diego Cardona (Universidad de Rosario - COLOMBIA), Prof. Flavia M. S. Oliveira (Universidade de Brasilia - BRAZIL) Prof. Francisco Sierra Caballero (Universidad de Sevilla - SPAIN), Prof. Fabio Bassan (Universitá degli Studi Roma Tre - ITALIA), Prof. Hernán Galperin (University of Southern California - USA), Prof. Jerônimo Siqueira Tybusch (Universidade Federal de Santa Maria - BRAZIL), Prof. João Alberto de Oliveira Lima (Universidade do Legislativo Brasileiro - BRAZIL), Prof. Judith Mariscal (CIDE - MEXICO), Prof. Liliana Ruiz de Alonso (Universidad San Martín de Porres - PERU), Prof. Lucas Sierra (Universidad de Chile - CHILE), Prof. Luís Fernando Ramos Molinaro (Universidade de Brasília - BRAZIL), Prof. Murilo César Ramos (Universidade de Brasília - BRAZIL), Prof. Raúl Katz (Columbia University - USA), Prof. Roberto Muñoz (Universidad Técnica - CHILE). ISSN: 1984-9729 EISSN: 1984-8161 Periodicity: annual issues uninterrupted since May 2009 and two annual issues on May and October uninterrupted since May 2018. Mission/Scope/Focus: http://periodicos.unb.br/index.php/RDET/about Submission process: authors are requested to submit their papers following the instructions at http://periodicos.unb.br/index.php/RDET/about/submissions. The journal adopts the double-blind peer review process. Archiving policy: LOCKSS-CARINIANA, DOAJ and Brazil's Senate Library. Indexation: SCOPUS (Elsevier); CROSSREF; ROAD; THE KEEPERS; LATINDEX (28283); EBSCOhost research databases (EBSCO Publishing Inc.); Gale Group; AE Global Index; OAI (Open Archives Initiative) - DOAJ (Directory of Open Access Journals); WorldCat; Google Scholar; The European Library; CIEPS (Centre International d'Enregistrement des Publications en Série); Sistemas SEER e Diadorim, do IBICT. Permanent Web Identifier: LexML and DOI. ; DOI: https://doi.org/10.26512/l.s.t.r.v13i2 SCOPUS Q2 - MIAR Index 9.6 Editor: Prof. Marcio Iorio Aranha (University of Brasilia, BRAZIL) Editorial Board: Prof. Marcio Iorio Aranha (University of Brasilia – BRAZIL), Prof. André Rossi (Utah Valley University - USA), Prof. Ana Frazao (Universidade de Brasilia - BRAZIL), Prof. Clara Luz Alvarez (Universidad Panamericana - MEXICO), Prof. Diego Cardona (Universidad de Rosario - COLOMBIA), Prof. Flavia M. S. Oliveira (Universidade de Brasilia - BRAZIL) Prof. Francisco Sierra Caballero (Universidad de Sevilla - SPAIN), Prof. Fabio Bassan (Universitá degli Studi Roma Tre - ITALIA), Prof. Hernán Galperin (University of Southern California - USA), Prof. Jerônimo Siqueira Tybusch (Universidade Federal de Santa Maria - BRAZIL), Prof. João Alberto de Oliveira Lima (Universidade do Legislativo Brasileiro - BRAZIL), Prof. Judith Mariscal (CIDE - MEXICO), Prof. Liliana Ruiz de Alonso (Universidad San Martín de Porres - PERU), Prof. Lucas Sierra (Universidad de Chile - CHILE), Prof. Luís Fernando Ramos Molinaro (Universidade de Brasília - BRAZIL), Prof. Murilo César Ramos (Universidade de Brasília - BRAZIL), Prof. Raúl Katz (Columbia University - USA), Prof. Roberto Muñoz (Universidad Técnica - CHILE). ISSN: 1984-9729 EISSN: 1984-8161 Periodicity: annual issues uninterrupted since May 2009 and two annual issues on May and October uninterrupted since May 2018. Mission/Scope/Focus: http://periodicos.unb.br/index.php/RDET/about Submission process: authors are requested to submit their papers following the instructions at http://periodicos.unb.br/index.php/RDET/about/submissions. The journal adopts the double-blind peer review process. Archiving policy: LOCKSS-CARINIANA, DOAJ and Brazil's Senate Library. Indexation: SCOPUS (Elsevier); CROSSREF; ROAD; THE KEEPERS; LATINDEX (28283); EBSCOhost research databases (EBSCO Publishing Inc.); Gale Group; AE Global Index; OAI (Open Archives Initiative) - DOAJ (Directory of Open Access Journals); WorldCat; Google Scholar; The European Library; CIEPS (Centre International d'Enregistrement des Publications en Série); Sistemas SEER e Diadorim, do IBICT. Permanent Web Identifier: LexML and DOI. ; DOI: https://doi.org/10.26512/l.s.t.r.v13i2 SCOPUS Q2 - MIAR Index 9.6 Editor: Prof. Marcio Iorio Aranha (Universidade de Brasília) Conselho Editorial: Prof. Marcio Iorio Aranha (Universidade de Brasília – BRASIL), Prof. André Rossi (Utah Valley University – ESTADOS UNIDOS DA AMÉRICA), Prof. Ana Frazao (Universidade de Brasília - BRASIL), Prof. Clara Luz Alvarez (Universidad Panamericana - MÉXICO), Prof. Diego Cardona (Universidad de Rosario - COLÔMBIA), Prof. Flavia M. S. Oliveira (Universidade de Brasília - BRASIL) Prof. Francisco Sierra Caballero (Universidad de Sevilla - ESPANHA), Prof. Fabio Bassan (Universitá degli Studi Roma Tre - ITÁLIA), Prof. Hernán Galperin (University of Southern California – ESTADOS UNIDOS DA AMÉRICA), Prof. Jerônimo Siqueira Tybusch (Universidade Federal de Santa Maria - BRASIL), Prof. João Alberto de Oliveira Lima (Universidade do Legislativo Brasileiro - BRASIL), Prof. Judith Mariscal (CIDE - MÉXICO), Prof. Liliana Ruiz de Alonso (Universidad San Martín de Porres - PERÚ), Prof. Lucas Sierra (Universidad de Chile - CHILE), Prof. Luís Fernando Ramos Molinaro (Universidade de Brasília - BRASIL), Prof. Murilo César Ramos (Universidade de Brasília - BRASIL), Prof. Raúl Katz (Columbia University – ESTADOS UNIDOS DA AMÉRICA), Prof. Roberto Muñoz (Universidad Técnica - CHILE). ISSN: 1984-9729 / EISSN: 1984-8161 - Periodicidade: (Mínima) Semestral. Linha editorial: http://periodicos.unb.br/index.php/RDET/about Avaliação das submissões: método de avaliação cega por pares (duplo cego), por intermédio de submissões eletrônicas administradas no sistema SEER, do IBICT, no link http://periodicos.unb.br/index.php/RDET/about/submissions, em que os manuscritos são distribuídos aos avaliadores sem identificação de autoria. Política de arquivamento: sistema LOCKSS, da Universidade de Stanford (Stanford University Libraries), via Rede Brasileira de Serviços de Preservação Digital Cariniana, do IBICT; projeto de preservação de longo prazo do DOAJ (Directory of Open Access Journals); e Biblioteca do Senado Federal do Brasil. Indexação em bases de pesquisa: SCOPUS (Elsevier); CROSSREF; ROAD; THE KEEPERS; LATINDEX (28283); EBSCOhost research databases (EBSCO Publishing Inc.); Gale Group; AE Global Index; OAI (Open Archives Initiative) - DOAJ (Directory of Open Access Journals); WorldCat; Google Scholar; The European Library; CIEPS (Centre International d'Enregistrement des Publications en Série); Sistemas SEER e Diadorim, do IBICT. Indexação em bibliotecas: Rede Virtual de Bibliotecas do Congresso Nacional (RVBI); Erasmus Universiteit Rotterdam; Universidade de Lisboa. Endereçamento permanente: LexML e DOI. ; DOI: https://doi.org/10.26512/l.s.t.r.v13i2 SCOPUS Q2 - MIAR Index 9.6 Editor: Prof. Marcio Iorio Aranha (Universidade de Brasília) Conselho Editorial: Prof. Marcio Iorio Aranha (Universidade de Brasília – BRASIL), Prof. André Rossi (Utah Valley University – ESTADOS UNIDOS DA AMÉRICA), Prof. Ana Frazao (Universidade de Brasília - BRASIL), Prof. Clara Luz Alvarez (Universidad Panamericana - MÉXICO), Prof. Diego Cardona (Universidad de Rosario - COLÔMBIA), Prof. Flavia M. S. Oliveira (Universidade de Brasília - BRASIL) Prof. Francisco Sierra Caballero (Universidad de Sevilla - ESPANHA), Prof. Fabio Bassan (Universitá degli Studi Roma Tre - ITÁLIA), Prof. Hernán Galperin (University of Southern California – ESTADOS UNIDOS DA AMÉRICA), Prof. Jerônimo Siqueira Tybusch (Universidade Federal de Santa Maria - BRASIL), Prof. João Alberto de Oliveira Lima (Universidade do Legislativo Brasileiro - BRASIL), Prof. Judith Mariscal (CIDE - MÉXICO), Prof. Liliana Ruiz de Alonso (Universidad San Martín de Porres - PERÚ), Prof. Lucas Sierra (Universidad de Chile - CHILE), Prof. Luís Fernando Ramos Molinaro (Universidade de Brasília - BRASIL), Prof. Murilo César Ramos (Universidade de Brasília - BRASIL), Prof. Raúl Katz (Columbia University – ESTADOS UNIDOS DA AMÉRICA), Prof. Roberto Muñoz (Universidad Técnica - CHILE). ISSN: 1984-9729 / EISSN: 1984-8161 - Periodicidade: (Mínima) Semestral. 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Indexação em bases de pesquisa: SCOPUS (Elsevier); CROSSREF; ROAD; THE KEEPERS; LATINDEX (28283); EBSCOhost research databases (EBSCO Publishing Inc.); Gale Group; AE Global Index; OAI (Open Archives Initiative) - DOAJ (Directory of Open Access Journals); WorldCat; Google Scholar; The European Library; CIEPS (Centre International d'Enregistrement des Publications en Série); Sistemas SEER e Diadorim, do IBICT. Indexação em bibliotecas: Rede Virtual de Bibliotecas do Congresso Nacional (RVBI); Erasmus Universiteit Rotterdam; Universidade de Lisboa. Endereçamento permanente: LexML e DOI.

In this dissertation, we focus on the planning and control of supply chains where part of the supply chain is outsourced to a contract manufacturer(s). Supply Chain Management deals with the integration of business processes from end-customers through original suppliers that provide products, services and information that add value for customers (Cooper et al., 1997). In a narrow sense, a supply chain can be 'owned' by one large company with several sites, often located in different countries. Planning and coordinating the materials and information flows within such a worldwide operating company can be a challenging task. However, the decision making is easier than in case more companies are involved in a supply chain, since the sites are part of one organization with one board and it is likely that the decision makers have full access to information needed for the supply chain planning. Outsourcing is an 'act of moving some of a firm's internal activities and decision responsibilities to outside providers' (Chase et al., 2004) and it has been studied extensively in the literature.Outsourcing is developing in many industries, but in this dissertation, we focus on outsourcing in the pharmaceutical industry, where outsourced supply chain structures are rapidly developing. Recent studies show that the global pharmaceutical outsourcing market has doubled from 2001 to 2007 and it is expected to further increase in the upcoming years. In the pharmaceutical industry, the outsourcing relationship is typically long-term and customers often require high service levels. Due to high setup costs, production is conducted in fixed large batch sizes and campaign sizes. The cumulative lead time within the supply chain is more than one year, whereas the customer lead time is about two months. In this industry, production activities are outsourced for three main reasons. First, intellectual property legislation requires outsourcing the production activities to a contract manufacturer that owns the patent for specific technologies that are needed to perform the production activities. Second, expensive technologies or tight (internal) capacity restrictions also result in outsourcing. Third, to limit the supply uncertainty, companies outsource to have an external source producing the same product next to an internal source. This dissertation deals with the planning and control of outsourced supply chains, which are supply chains where part of the supply chain is outsourced to a contract manufacturer. Most supply chain operations planning models from the literature assume that the supply chain is planned at some level of aggregation and that further coordination is conducted at a more detailed level by lower planning levels. These concepts implicitly assume that the lower planning level and the operations are conducted within the same company with full information availability and full control over the operations, which is not case when part of the supply chain is outsourced. Hence, the objective of this dissertation is to obtain insights into the implications of outsourcing on the supply chain planning models. First, we review the literature on outsourcing research and we find that little is known on the operational planning decisions in an outsourced supply chain and on the implications of outsourcing on the operations planning. The literature on outsourcing at the operational level uses outsourcing purely as a secondary source to control performances such as the delivery reliability. Consequently, we discuss two case studies that we conducted into outsourced supply chains to understand the implications of outsourcing on the supply chain operations planning function, where the contract manufacturer is the only source of supply. The main implications of the planning and control of outsourced supply chains can be summarized in three categories: limited information transparency, limited control over the detailed planning and priorities at the contract manufacturer, and contractual obligations. Below, we discuss these in more detail. In order to decide on the release of materials and resources in a supply chain, it is required that the decision maker is able to frequently monitor the status of the supply chain. In an outsourced supply chain, the outsourcer does not have access to all relevant information of the entire supply chain, especially not to the available capacity in each period, also because the contract manufacturer serves a number of different (and sometimes even competing) outsourcers on the same production line. Moreover, the contract manufacturer plans and controls its part of the supply chain based on rules and priorities that are unknown to the outsourcer. This results in facing an uncertain capacity allocation by the outsourcer. Another implication is that the contract manufacturer requires by contract to reserve capacity slots prior to ordering. These reservations are subject to an acceptation decision, which means that part of the reservation quantity can be rejected. The accepted reservation quantity bounds the order quantity that follows later on. Therefore, another main insight from the case study is that in an outsourcing relationship, the order process consists of different (hierarchically connected) decisions in time. In the ordering process, the uncertain capacity allocation of the contract manufacturer should be incorporated. Hence, the order release mechanism requires a richer and more developed communication and ordering pattern than commonly assumed in practice. In a subsequent study, we build on this insight and we design three different order release mechanisms to investigate to what extent a more complicated order release function improves (or deteriorates) the performance of the supply chain operations planning models. The order release mechanisms differ in the number of decision levels and they incorporate the probabilistic behaviour of the contract manufacturer. Based on a simulation study, we show that a more advanced order release strategy that captures the characteristics of outsourcing performs significantly better than a simple order release strategy that is commonly used in practice. We also discuss the conditions for a successful implementation of the more advanced order release strategy. In another study, we study the case where the contract manufacturer is a second source next to an internal manufacturing source for the same product and where the outsourcer faces inaccurate demand forecasts. The two sources are constraining the supply quantities in different ways. Its own manufacturing source is more rigid, cheaper and tightly capacitated, whereas the contract manufacturer is more flexible but more expensive. In that study, we compare the performance of two different allocation strategies by a simulation study in which we solve the model in a rolling horizon setting. The results show that the rigid allocation strategy (the cheaper source supplies each period a constant quantity) performs substantially better than the dynamic allocation strategy (each period the allocation quantities are dynamic) if the parameters are chosen properly. In another study, we study the outsourcer's problem of deciding on the optimal reservation quantity under capacity uncertainty, i.e., without knowing what part of the reservation will be accepted. In that study, we develop a stochastic dynamic programming model for the problem and we characterize the optimal reservation and order policies. We conduct a numerical study where we also consider the case where the capacity allocation is dependent on the demand distribution. For that case, we show the structure of the optimal policies based on the numerical study. Further, the numerical results reveal several interesting managerial insights, such as that the optimal reservation policy is little sensitive to the uncertainty of the capacity allocation from the contract manufacturer. In that case, the optimal reservation quantities hardly increase, but the optimal policy suggests increasing the utilization of the allocated capacity. We also study the outsourced supply chain from the contract manufacturer's perspective. In that study, we consider the case where the contract manufacturer serves a number of outsourcers with different levels of uncertainty. The contract manufacturer faces the question of how to allocate the contractual capacity flexibility in an optimal way. More precisely, we focus on the contract manufacturer's decision to make the acceptation decision under uncertainty. The more the contract manufacturer accepts from an outsourcer, the more risk is taken by the contract manufacturer, as the outsourcer might not fully utilize the accepted reservation quantity. However, we assume that the outsourcer is willing to pay an additional amount to compensate the contract manufacturer for that risk. We develop a mixed-integer programming model, which optimizes the allocation of capacity flexibility by maximizing the expected profit. Offering more flexibility to the more risky outsourcer generates higher revenue, but also increases the penalty costs. The allocated capacity flexibilities are input (parameters) to the lower decision level, where the operational planning decisions are made and demands are observed. The simulation results reveal interesting managerial insights, such that the more uncertain outsourcer gets at least the same capacity flexibility allocated as the less uncertain outsourcer. Moreover, we have seen that when the acceptation decision is made, priority is given to the less uncertain outsourcer, because that information is the most valuable. However, we see the opposite effect when orders are placed, namely that priority is given to the more uncertain outsourcer, i.e., the most paying outsourcer, as no uncertainty is involved anymore. These insights are helpful for managers of contract manufacturers when having contract negotiations with the outsourcers. We believe that the results and insights that we obtained in the various research studies of this dissertation can contribute to solving the broader real-life problems related to the planning and control of outsourced supply chains. We also discuss potential managerial implications of our findings explicitly addressing the management decisions that may be affected by using the insights from our studies. Considering the operational implications of outsourcing when taking the strategic outsourcing decision will lead to a different and a better estimate of the transaction costs and probably to a different strategic outsourcing decision. Based on our research, we think that the transaction cost estimate will be higher if the outsourcer and the contract manufacturer do not agree on operational issues, such as the multi-level order release mechanism. From a tactical point of view, the outsourcer may include the options of postponement and cancellation in the contract, even if the contract manufacturer would charge little extra for these options. The results show that the benefits of including these options are substantial. Moreover, we showed that controlling a contract manufacturer operationally in the same way as an internal manufacturing source leads to a nervous ordering behaviour with a lot of changes and a lot of panicky communication between the outsourcer and the contract manufacturer. Combining the insights from different studies, one can also conclude that including little reservation cost is beneficial to both parties; it leads to a win-win situation. The outsourcer with a high level of demand uncertainty secures sufficient capacity allocation from the contract manufacturer and avoids more expensive penalty costs. For the outsourcer with less demand uncertainty, it is wise to set the contract such that the reservation costs are subtracted from the total paid amount. Moreover, this outsourcer may gain competitive advantage if his competitors operate in the same market by securing sufficient capacity allocation (by paying little reservation costs). For the contract manufacturer, including reservation cost is also beneficial, as it leads to a better match between the outsourcer's reservation and ordering behaviour.