A tese buscou verificar se os fatores considerados pelas Operadoras de Planos de Saúde quando tomam a decisão de se integrar verticalmente encontram respostas na Teoria dos Custos de Transação. Para tanto, reconstruiu a história dos planos de saúde no Brasil, enfocando o processo de regulamentação do mercado de saúde suplementar, que restringiu mecanismos utilizados para reduzir o comportamento oportunista de beneficiários e prestadores de serviços e que contribuiu para aumentar a complexidade e incerteza. Além disso, o maior ativo específico do setor, a relação médico-paciente, está em grande medida fora das Operadoras. Soma-se aos fatos a impossibilidade de se prever contratualmente todas as circunstâncias futuras e se tem o cenário ideal para a integração vertical em direção aos prestadores de serviços. As demonstrações financeiras das Operadoras entre 2007 e 2011 confirmam a crescente verticalização nas modalidades nas quais é permitida, com destaque para as Cooperativas Médicas. Entrevistas realizadas com gestores de cinco Operadoras, selecionadas dentre aquelas que mais incorreram em despesas assistenciais em rede própria no período 2007-2011, permitiram verificar a presença dos determinantes da integração vertical previstos na Teoria dos Custos de Transação. Constatou-se, ainda, que as referidas Operadoras estão internalizando atividades de prestação de serviços assistenciais e aquisição de insumos, além de desejarem internalizar a gestão da atenção médica dispensada a seus beneficiários, como forma de prover um serviço mais eficaz e sustentável economicamente. / The thesis verifies if the factors considered by the Health Insurance Companies (HICs) when they decide to integrate vertically are coherent with the Transaction Cost Theory. In order to do so, the history of the health plans in Brazil was reviewed, with a focus on the process of regulation of the health plans market which restricted the mechanisms typically used to refrain opportunistic behavior of clients and service providers, what contributed to increase the market's uncertainty and complexity. Besides, the health market's greatest asset – the doctor-patient relationship – is outside of the HICs control. If you add to these factors the impossibility to put in a contract all possible situations that may happen in the future, you get the ideal scenario for the vertical integration of the HICs with those who provide services for them. The analysis of the HICs' financial statements between 2007 and 2011 confirms an increased verticalization on those niches where it is allowed, with a special emphasis on the Physician Cooperatives. Interviews conducted with the managers of five HICs, selected among those that incurred in the largest expenses for providing healthcare services in their self-owned facilities between 2007 and 2011, allowed for the verification of the existence of the determinants of vertical integration predicted by the Transaction Cost Theory. Moreover, it was also verified that the analyzed HICs are internalizing healthcare assistance and procurement services, besides intending to internalize the management of the medical services provided to their clients, as a way to provide a more efficient and economically sustainable service. / Tese (doutorado) - Universidade Federal do Rio de Janeiro. Instituto de Economia, Rio de Janeiro, 2013 / Bibliografia: p. 243-248

Coordenação de Aperfeiçoamento de Pessoal de Nível Superior / The present work had as central objective to research companies of forest base of Rio Grande do Sul to determine their mechanisms and strategies in the supply of raw material forest (MPF). Specifically, it analyzed the similarities and differences in the strategies and mechanisms for the supply of MPF that the companies use. This allowed the identification of the main governance structures as well as their main determinants. As a theoretical basis, the present work used the framework offered by New Institutional Economics (NEI), specifically the theories of the Economics of Transaction Costs (ECT), through its behavioral assumptions (limited rationality and opportunism) and the characteristics of transactions (asset specificity, frequency and uncertainty), and the Institutional Environment. This work is characterized as a multiple-case study, because it was used 5 companies as units of analysis. To obtain the data necessary for the execution of this study were held semi-structured interviews with companies, through key-informants nominated by them. It was concluded that the forest base companies use different strategies for their supply of MPF, since transactions carried through market until full production verticalized. It was noticed that the main determinant that takes the companies analyzed to integrate vertically through plantations themselves, partnerships and leasing of areas is the uncertainty in transactions for the supply of MPF. Other determinants that also mold the structures of the companies are: the formal and informal institutional environment, the increased demand for raw materials, the forest certification, the legitimacy before the society, among others. / O presente trabalho teve como objetivo central pesquisar empresas de base florestal do Rio Grande do Sul para determinar os seus mecanismos e estratégias no suprimento de matérias primas florestal (MPF). Especificamente, analisaram-se as semelhanças e diferenças nas estratégias e mecanismos de abastecimento de MPF que as empresas utilizam. Isso permitiu a Identificação das principais estruturas de governança utilizadas bem como seus principais condicionantes. Como base teórica, o presente trabalho utilizou o arcabouço oferecido pela Nova Economia Institucional (NEI), mais especificamente as teorias da Economia dos Custos de Transação (ECT) por meio de seus pressupostos comportamentais (racionalidade limitada e oportunismo) e das características das transações (especificidade dos ativos, freqüência e incerteza), e do Ambiente Institucional. Este trabalho caracteriza-se como um estudo de caso múltiplo, pois se utilizou 5 empresas como unidades de análises. Para a obtenção dos dados necessários para a execução deste estudo realizaram-se entrevistas semi-estruturadas junto às empresas, por meio de informantes-chave designados pelas mesmas. Outros condicionantes que também moldam as estruturas das empresas são: o ambiente institucional formal e informal, o aumento da demanda por matéria prima, a certificação florestal, a legitimação perante a sociedade, entre outros. Pôde-se concluir que as empresas de base florestal utilizam diferentes estratégias para o seu suprimento de MPF, desde transações realizadas via mercado até a produção integralmente verticalizada. Percebeu-se que o principal condicionante que leva as empresas analisadas a integrarem-se verticalmente através de plantios próprios, parcerias e arrendamento de áreas é a incerteza nas transações para o suprimento de MPF. E por fim, conclui-se que existe a necessidade da construção de mercados florestais no RS, em que pequenos e médios produtores rurais possam se inserir e oferecer às empresas MPF em quantidade e qualidade a longo prazo.

Made available in DSpace on 2016-06-02T19:50:04Z (GMT). No. of bitstreams: 1 TeseACVS.pdf: 675186 bytes, checksum: 67b856479ec3ed479604f17e0ed475de (MD5) Previous issue date: 2003-01-01 / Financiadora de Estudos e Projetos / This work presents a study regarding the strategy adopted for the processing concentrated orange juice companies to produce in proper orchards. It is treated to analyze the vertical integration process, that it occurs from the end of 80´s and that goes to provoke several changes in the interior of the citric network. The objective established here is to discuss the strategy of the companies, searching to understand what role is performed by the land, while it assumes not only the function of asset of capital, but of liquid asset too. Considering the characteristics of the land market in Brazil, that functions without restrictions and privileges who get more financial resources, and also that the land fulfills the function of value reserve, this analyze becomes important, as that vertical integration necessarily involves the land purchase. The hypothesis raised of that the land (while liquid active) fulfill influence in the enterprise strategy, mainly because it initiates in a period of economical instability, that favors the land purchase as a safe form to apply resources. At the same time, the institutional environment is favorable and the companies strategy does not find any type of restriction, formal or informal, in what refers to the lands purchase. The citrus complex is studied through the policy networks, the enterprises actions are looked through resouce-based perspective and dynamic capability and the institutional environment is used because is considered that the system regulation is important to define his dynamics. To the long of the work it is presented information that demonstrate the crisis of the orange producers and the process of exclusion what initiated after the changes of the 90 s, and that had beginning with the strategy of the industry in produce in self orchards. In the conclusion it is evidenced the importance of the land, wich convert in companies power resource, as well as the institutional environment importance in the decision of vertical integration for the processing concentrated orange juice companies. / Este trabalho apresenta um estudo a respeito da estratégia adotada pelas empresas processadoras de suco de laranja concentrado de produzir em pomares próprios. Trata-se de analisar o processo de integração vertical que ocorre a partir do final da década de 80 e que vai provocar diversas mudanças no interior da rede citrícola. O objetivo aqui estabelecido é discutir a estratégia das empresas, buscando entender que papel é desempenhado pela terra, na medida em que ela assume a função não apenas de ativo de capital, mas também de ativo líquido. Considerando as características do mercado de terras no Brasil, que funciona sem restrições e privilegia quem detém mais recursos financeiros, e também que a terra historicamente cumpre a função de reserva de valor, esta análise se torna importante, já que a integração vertical necessariamente envolve a compra de terras. A hipótese levantada é de que a terra (enquanto ativo líquido) exerce influência na estratégia empresarial, principalmente porque esta se inicia num período de instabilidade econômica, que favorece a compra de terras como uma forma segura de aplicar recursos. Ao mesmo tempo, o ambiente institucional é propício e a estratégia das empresas não encontra nenhum tipo de restrição, formal ou informal, no que se refere à compra de terras. O complexo citrícola é estudado através da perspectiva das Redes de Poder, as ações empresariais são olhadas sob a ótica da Perspectiva Baseada em Recursos e da Capacitação Dinâmica e o Ambiente Institucional é utilizado ao se considerar que a regulação do sistema seja importante para definir sua dinâmica. Ao longo do trabalho são apresentadas informações que demonstram a crise dos produtores de laranja e o processo de exclusão que se iniciou após as mudanças da década de 90 e que tiveram início com a estratégia das indústrias de produzirem em pomares próprios. Na conclusão fica evidenciada a importância da terra, que se torna um recurso de poder para as empresas, assim como a importância do ambiente institucional na decisão da integração vertical por parte das empresas processadoras de suco de laranja concentrado.

The objective of this paper is to research and present the motives which sustain the decisions of outsourcing in the clothing producers in the state of CearÃ. It also aims at qualitatively evaluating the practices of managing the human factor in outsourcing. Initially, technical approaches were made such as: organizations in networks and strategic contracting out; business strategy and managing the human element; the textile industry and the clothing sector. After looking over the bibliography, a field survey was taken using two semi-structured questionnaires and a guided interview in the larger clothing manufactures in CearÃ. After this, the information gathered was dealt with quantitatively and qualitatively. To do this the reversibility model was utilized. The survey enabled us to show that the decision to outsource, on the part of the companies surveyed, had a limited effect due to the inability to reduce costs and to the fact that quality was compromised. In this case, the fragility of the techniques in managing the human element in outsourcing is notorious. Although decisions to contract out are based, in general, on strategic criteria, the congruency between these decisions and the practices of managing the human element when outsourcing was not evident in the larger clothing producers in CearÃ. It is believed that investment in the technology of managing work which is outsourced could correct the dysfunctions which were perceived. / O presente trabalho tem como objetivo pesquisar e apresentar as motivaÃÃes que sustentam as decisÃes de terceirizaÃÃo nas empresas de confecÃÃo do Estado do Cearà e avaliar qualitativamente as prÃticas da gestÃo do fator humano terceirizado. Inicialmente, foram feitas abordagens teÃricas tais como: organizaÃÃes em rede e terceirizaÃÃo estratÃgica; estratÃgia empresarial e gestÃo do fator humano; indÃstria tÃxtil e o setor de confecÃÃo. ApÃs a revisÃo bibliogrÃfica, realizou-se uma pesquisa de campo, com a aplicaÃÃo de dois questionÃrios semi-estruturados e uma entrevista por pauta, junto Ãs grandes empresas de confecÃÃo do CearÃ. Em seguida, as informaÃÃes coletadas foram tratadas quantitativa e qualitativamente, sendo para isso utilizado o modelo de reversibilidade. A pesquisa permitiu constatar que as decisÃes de terceirizaÃÃo nas empresas pesquisadas tÃm alcance limitado pela incapacidade de reduzir custos e pelo comprometimento da qualidade. Onde a terceirizaÃÃo se afirma com forÃa, assume uma conotaÃÃo custos, com prejuÃzos para a qualidade. Neste caso, a fragilidade das tÃcnicas da gestÃo do fator humano terceirizado à flagrante. Embora as decisÃes de terceirizaÃÃo se pautem, em geral, por critÃrios estratÃgicos, nÃo fica evidente a congruÃncia entre as referidas decisÃes e as prÃticas da gestÃo do fator humano terceirizado nas grandes indÃstrias cearenses de confecÃÃo. Acredita-se que os investimentos em tecnologias da gestÃo do trabalho terceirizado possam corrigir as disfunÃÃes percebidas.

O objetivo principal da presente tese é realizar um estudo empírico acerca do efeito da incerteza sobre a forma de organização econômica da indústria petroquímica brasileira, que se caracteriza pela forte presença de integração vertical. Para tal, adotou-se como referencial teórico a Economia dos Custos de Transação (ECT). Inicialmente, foram desenvolvidos alguns conceitos e temas que seriam úteis à posterior construção de variáveis e ao próprio formato do exercício empírico. Desta forma, abordaram-se as principais visões da literatura para os conceitos de integração vertical e incerteza, assim como se apresentaram os principais pontos da ECT. O exercício empírico elaborado consistiu na realização de cross sections que visavam captar um retrato do desenho organizacional da indústria em tela em dois instantes: 1989 e 1999. O primeiro corresponde ao momento imediatamente anterior ao início de diversas transformações que iriam modificar o ambiente institucional no qual as empresas petroquímicas nacionais atuavam. Estes acontecimentos foram a abertura comercial do governo Collor, a privatização do setor e o Plano Real. O pressuposto assumido é que estas mudanças representaram um aumento permanente do grau de incerteza a que as empresas petroquímicas nacionais estavam sujeitas. A segunda cross section refere-se ao ano de 1999, dez anos após. As várias amostras constituídas foram compostas por transações envolvendo produtos petroquímicos. Dois grupos de transações foram construídos. O primeiro com transações entre petroquímicos de 1a geração e petroquímicos de 2a geração. O segundo com transações entre petroquímicos de forma geral, sem referência à posição exata na cadeia produtiva. O principal resultado obtido refere-se aos coeficientes estimados para variável representativa da incerteza. A despeito de todas as dificuldades relacionadas à mensuração deste conceito, a variável apresentou o comportamento previsto. Nas estatísticas descritivas, verificou-se um incremento da incerteza em 1999 relativamente a 1989. Nas regressões, os coeficientes estimados foram na maioria das vezes significantes e apresentaram o sinal esperado. Com relação aos demais resultados, observou-se que aqueles referentes a cross section de 1989 foram mais consistentes do que os da cross section de 1999, o que reforça o argumento de que o setor petroquímico nacional atravessa mudanças ainda não concluídas, razão pela qual não permitiram que um novo desenho de organização econômica fosse claramente estabelecido. / The main purpose of the present thesis is to perform an experimental study about the effect caused by uncertainty on the economic organization of the Brazilian petrochemical industry, which is characterized by a strong presence of vertical integration. For that, the Economy of Transaction Costs (ECT) was adopted as theoretical reference. Initially, some concepts and essays, that would be useful to the posterior variable construction and to the form of the experimental exercise, were developed. Thus, the main viewpoints in literature for the concepts of vertical integration and uncertainty, as the main topics of ECT presented, were discussed. The elaborated experimental exercise consisted in performing cross sections that aimed getting a picture of the organizational design of the industry in question in two different moments: 1989 and 1999. The first one corresponds to the moment immediately before the start of several changes that would alter the institutional environment in which the national petrochemical companies actuated. These happenings were the commercial opening of the Collor government, the privatization of this sector and the Real Plan. The assumed conjecture is that those changes represented a permanent increase of the uncertainty level to which the petrochemical industries were subject. The second cross section is related to 1999, ten years later. The several samples were composed by transactions involving petrochemical products. Two transaction groups were constituted. The first one comprises transactions between 1st and 2nd generation petrochemicals. The second one comprises transactions between general petrochemicals, with no reference to the exact position in the productive chain. The main result obtained refers to the estimated rate for the variable that represents uncertainty. In spite of all difficulties related to measuring this concept, the variable presented the foreseen behavior. In the descriptive statistics, it could be verified an increase of uncertainty in 1999 relatively to 1989. In the regressions, the estimated rates were most of the times significant and presented the expected sign. As for the further results, it was observed that those related to the cross section of 1989 were denser than those of the cross section of 1999, which reinforces the argument that the national petrochemical sector is going through changes not yet concluded, reason why a new design of economic organization has not been clearly established.

Made available in DSpace on 2016-03-15T19:31:18Z (GMT). No. of bitstreams: 1 Adilson Aderito da Silva.pdf: 1146737 bytes, checksum: 8cd5e83fb0f914d05834ba4cd0ffbb5b (MD5) Previous issue date: 2009-03-03 / Fundo Mackenzie de Pesquisa / Based on the transaction cost reasoning this doctoral dissertation proposed a model that theorizes on the relationship between uncertainty, bounded rationality, asset specificity, opportunism and vertical integration in supply chains. An extensive literature review was conducted in three basic fields: transaction cost economics; organizational theory; and strategy to better understand the definition of those variables and their theoretical relationship. The review also helped to identify scales used in previous research to measure the research variables. The identified scales were then back translated and adapted to be used in this research. The research instrument was pre-tested and then it was made available on the internet from April to October 2008 and managers from industrial organizations classified in the D section in the Brazilian SIC and also listed in the database of FIESP (São Paulo State Industry Association) were asked to participate in the survey. The section D includes industries that perform physical, chemical and biological transformation of inputs into new products. From the population we selected only firms classified by the association as medium or large sizes which resulted in a target of three thousand potential subjects. Electronic messages which explained the survey proposal and instructions to fill in the questionnaire were sent through the internet. All those that not answered the first message received another message few days later and they were again contacted by phone. Due to the nature of the study only middle managers and directors working in the target firms were asked to answer the questionnaire. Some 111 good responses were available in the end of data collection process and they represent 87 different firms and 14 economic activities the collected data were analyzed using the EQS 6.1 software, which allowed the validation of the research constructs through SEM. The use of this methodology represented an innovation in the research field, because it gives the possibility to include more variables in the basic model, and they are simultaneously considered in the search of explanations for vertical integration. This choice brought important methodological contributions to the research field. Validation of the uncertainty construct as multidimensional derived from three types of uncertainty. The second contribution was to test the construct bounded rationality as a second order latent variable and in the first order were used two types of uncertainty effect and response. The third contribution refers to the level of refinement introduced by the use of the EQS software and structural equation modeling. This approach allowed us to verify the validation of the theoretical model. The statistical significance of most tested direct and indirect relationships among constructs confirmed the proposed theoretical model. Another finding derived from the data is that the explanation of degree of vertical integration in supply chain has to consider all research constructs included in the model to interact together. So no single construct in the TCT can explain alone the vertical integration. / Neste trabalho um modelo teórico para testar o relacionamento entre incerteza, racionalidade limitada, especificidade dos ativos, o comportamento oportunista e o grau de integração vertical em cadeias de suprimentos foi proposto e testado. Para tal foi realizada uma revisão na literatura de Teorias das Organizações, Teoria dos Custos de Transação e Economia visando fundamentar os conceitos subjacentes nessas variáveis latentes e identificar escalas com indicadores que se apresentaram confiáveis em estudos prévios. A partir dessa revisão, elaborou-se um instrumento para a coleta de dados que ficou disponível on-line entre os meses de abril a outubro de 2008. O universo da pesquisa foi definido pelo conjunto de empresas da indústria de transformação classificadas na seção D do CNAE (2004) constantes na base da Federação das Indústrias do Estado de São Paulo - FIESP envolvendo a transformação física, química ou biológica de materiais, substâncias ou componentes para a obtenção de novos produtos. Nesse universo foram selecionadas e convidadas para participar da pesquisa 3000 empresas. O convite foi efetuado, num primeiro momento, a partir do envio de mensagens eletrônicas contendo os objetivos, as instruções e o link de acesso à pesquisa e, num segundo momento, o convite foi ratificado junto aos respondentes por meio de contatos telefônicos. Dada a sua natureza, a pesquisa de campo foi limitada àqueles que desempenhavam funções de Gerentes ou de Diretores em suas empresas, resultando numa amostra com 111 respondentes, que representaram 87 empresas em 14 setores de atividades econômicas. Os dados coletados foram processados com o software EQS 6.1 que permitiu operacionalizar e validar os construtos propostos por meio da Modelagem por Equações Estruturais. A utilização dessa metodologia de análise representou um avanço em relação aos estudos anteriores, pois possibilitou a inclusão de um número maior de variáveis latentes no modelo de mensuração para avaliar o grau de integração vertical em cadeias de suprimentos. Nesse sentido o estudo trouxe contribuições metodológicas importantes no campo da pesquisa empírica em Teorias das Organizações e Teoria dos Custos de Transação. A primeira foi a validação do construto de incerteza como um construto multidimensional que subsiste em incerteza de estado, de efeito e de resposta. A segunda foi operacionalização do pressupostode racionalidade limitada como um construto de segunda ordem a partir das incertezas de efeito e de resposta. A terceira contribuição está relacionada ao nível de refinamento introduzido pelo processamento dos dados com o EQS 6.1 por meio de Equações Estruturais. A partir dessa abordagem foi possível verificar que a validação do modelo proposto, foi suportada pelos dados empíricos. As significâncias estatísticas dos efeitos diretos e indiretos entre os construtos propostos confirmaram empiricamente o relacionamento entre: incerteza, racionalidade limitada; especificidade dos ativos; e, comportamento oportunista. Estes conceitos, que são apresentados como pressupostos e dimensões básicas na Teoria dos Custos de Transação, são relevantes para explicar o grau de integração vertical em cadeias de suprimentos somente se considerados conjuntamente.

Les travaux de thèse concernent le design optique et le développement d’un microscope confocal miniature MEMS intégré verticalement. Différentes architectures optiques ont été proposées afin de combiner un design optique optimal aux nombreuses contraintes technologiques liées à la fabrication collective des différents blocs élémentaires du microscope sur puce. Ceux-ci, réalisés avec des technologies hybrides, sont encapsulés par assemblage vertical de wafers utilisant les technologies de soudure ≪multi-wafer≫, et permettent la construction d’un microsystème complet d’instrumentation. Un accent particulier a été émis sur la minimisation des aberrations optiques générées par les différents composants micro optiques pour permettre une résolution de mesure élevée. Pour satisfaire ces besoins, différentes briques élémentaires ont été développées : un cube semi-transparent micro-fabriqué, différentes microlentilles réfractives basées sur le micro moulage silicium et un micro-objectif réflecteur. Un montage expérimental de caractérisation dédié à l’ évaluation de la qualité de ces micro composants a également été proposé. De plus, les différents procédés de micro-usinage silicium (gravure humide anisotrope et isotrope, gravure sèche isotrope du silicium) pour la génération de micro-miroirs et de microlentilles ont été comparés. Enfin, les procédures d’assemblage vertical, incluant toutes les technologies d’interconnexion électrique ont été développées. Le travail de thèse a été réalisée dans le cadre du projet DWST-DIS ( The Development of Multi Wafer Stacking 3D Technology for Displays and Imaging MicroSystems), programme financé par le programme Inter Carnot Fraunhofer (PICF) - un projet ANR entre FEMTO-STet l’institut Fraunhofer ENAS. / The thesis manuscript concerns optical design and development of a vertically integrated MEMSbasedconfocal microscope. Different optical architectures have been proposed that aim to combineoptimal optical design and the numerous technological constraints linked to the batch fabricationof the different building blocks. The latter, made by hybrid technologies, and packaged byvertical assembly using multi- wafer bonding, allow the construction of a complete microsystem forinstrumentation. Special emphasis is placed on the minimization of optical aberrations generatedby the different microoptical components to ensure good resolution of measurement. For thesepurposes, different building blocks have been developed, namely a batch-fabricated cube-typedbeamsplitter, different silicon moulded refractive microlenses and a miniature reflective objective.Dedicated characterization system for quality assessment of the fabricated micro-components wasalso developed. Moreover, different processes of silicon-based micromachining for generation ofmicromirrors and microlenses (wet anisotropic and isotropic etch, dry isotropic etch of silicon) havebeen compared. Finally, procedures of vertical assembly including all electrical interconnectiontechnologies have been developed. The thesis work was performed in the frame of the DWST-DIS(The Development of Multi Wafer Stacking 3D Technology for Displays and Imaging MicroSystems)project funded by the Programme Inter Carnot Fraunhofer (PICF) – an ANR project between FEMTO-STand ENAS - Fraunhofer Institute.

Le secteur des TIC est caractérisé par des arrangements stratégiques de transferts de technologies tels que les licences et les regroupements de brevets. Par ailleurs, les produits et services ont souvent de fortes relations de complémentarité dans ce secteur. Afin de garantir un niveau satisfaisant d'interopérabilité aux utilisateurs, les producteurs de biens complémentaires doivent échanger des informations techniques. Cette thèse cherche à prendre en compte ces deux dimensions et à produire de nouveaux éclairages sur les cas de politique de concurrence impliquant des marchés complémentaires (e.g Intel/McAfee, Google/Motorola). Nous étendons la littérature sur les licences de brevets en modélisant des marchés avals différenciés et complémentaires. En utilisant les méthodes de l'économie industrielle, nous caractérisons les stratégies de licences profitables pour un innovateur en situation de monopole concernant le nombre de licences, les instruments tarifaires ainsi que l'intégration verticale et conglomérale. Nous montrons que le nombre de licences attribuées diffère généralement de celui observé lorsque la technologie est utilisée dans un marché aval isolé. En particulier, nous obtenons que le nombre de licences distribuées est plus élevé dans les marchés de niche lorsque le nombre de firmes intéressées par la technologie est limité. Dans ce cadre d'analyse, l'intégration verticale n'est pas profitable à l'exception des cas où, une seule firme est susceptible d'acquérir une licence sur le marché homogène, ou lorsque la demande pour le produit final est incertaine. Par ailleurs, les royalties unitaires perçus sur le nombre de produits vendus en aval ne sont utilisés que dans la structure de l'industrie la plus concurrentielle et lorsque la valorisation pour le bien final est élevée. Enfin, nous montrons que lorsque la demande est incertaine et que les acquéreurs de la technologie sont réticents à la prise de risque, l'innovateur préfère utiliser des royalties ad valorem qui portent sur les revenus issus des ventes de produits finals. Nos résultats montrent que les relations de complémentarité entre les marchés finals influent sur la manière dont sont transférées les technologies et que les fusions verticales et conglomérales ne semblent pas générer de comportements de forclusion. / IT industries are characterized by strategic patent agreements such as patent licensing or patent pools. Products and services frequently have strong potential complementarity relations in this industry. To guarantee a satisfactory level of interoperability to users, the exchange of technical information is required between complementary producers. This dissertation aims at taking into account these two dimensions of the IT sector in order to provide new insights on competition policy cases involving high technology complementary products (e.g Intel/McAfee, Google/Motorola). We extend the literature on patent licensing by explicitly modeling downstream differentiated complementary goods. Using industrial organization methods, we characterize the profitable strategies of a monopoly innovator with respect to the number of licenses, the pricing instruments as well as vertical and conglomerate mergers. We show that the number of licenses delivered in equilibrium can differ from the standard model with a single downstream market. In particular, we consistently find, for various forms of licensing contracts that more licenses are issued in niche markets when the number of potential licensees is capped. Overall vertical integration and conglomerate mergers are found to be unprofitable except when there is only one firm likely to acquire the technology or when there is demand uncertainty. On the other hand, per unit royalty rates are only used in the most competitive structure of the industry for high valuations of the final good. Finally, sales revenue (i.e ad valorem) is found to be a more profitable royalty base than the number of sales (i.e per unit royalties) when demand is uncertain and licensees are risk averse. Our results show that complementarity influences the way in which technologies are transferred and that vertical mergers do not generate foreclosing behaviors in this framework.

Les besoins en pétrole ont généré des dépendances et des fragilités, autant au niveau des pays consommateurs, que producteurs. Cette ressource a un rôle stratégique dans notre société, notamment dans le transport. Les NOCs (compagnies nationales pétrolières) en sont des acteurs centraux, qui poursuivent leurs objectifs, mais aussi des intérêts de l’Etat. Les pays dits BRIC (Brésil, Russie, Inde et Chine) sont des économies avec une influence significative sur le marché de l’énergie. Nous analysons deux comportements des NOCs pour améliorer la sécurité énergétique nationale : l’intégration verticale pour les pays consommateurs (Inde et Chine) et l’exploration réalisée par les coentreprises en partenariat avec les IOCs (compagnies privées) pour les producteurs (Brésil et Russie). Nous utilisons des méthodes économétriques et le calcul de rentabilité d’un projet d’exploration. Nous estimons le coût d’opportunité lié à un retard de la production. Le sujet est pertinent, dans un contexte d’instabilité politique de certains producteurs de pétrole et un prix du brut faible depuis la moitié de l’année 2014, obligeant les compagnies à revoir leurs stratégies. / Oil needs have generated dependencies and fragilities for producing and consuming countries. This resource plays a strategic role in our modern society. NOCs (National Oil Companies) are main actors pursuing, in addition to their objectives, State’s interest. BRIC (Brazil, Russia, India and China) are economies with a significant influence on the energy market. In this research, we analyze two NOCs’ behaviors to improve national energy security: vertical integration for the consuming countries (India and China) and joint-ventures with IOCs (private companies) in exploration for the producing countries (Brazil and Russia). We use econometric methods and the profitability calculation in an exploration project. We calculate the opportunity cost related to a production delay. The subject is particularly relevant, in a context of political instability of certain oil producing areas and also with a low crude price since mid-2014, forcing oil companies to review their strategies.

This volume contains contribution form the refereed “MobIS 2010” main program and selected papers of its tracks. The conference on information systems modeling was held in Dresden September 15-17, 2010. The guiding theme for MobIS 2010 focused on modeling topics between model-based management and component and service engineering.:Vorwort..................................................................................................................7 Modellgestütztes Management Esswein Werner, Stark Jeannette, Schlieter Hannes The selection of modeling grammars...................................................................13 Trojahner Iris, Weller Jens, Fürstenau Bärbel, Esswein Werner Der Einfluss von Modellierungswerkzeugen auf Qualität und Quantität von Modellen – Eine empirische Untersuchung.........................................................29 Weller Jens, Helbig Michaela, Großmann Knut Eine Methode fu!r den praktischen Einsatz von Konfigurationsmanagement in verteilten Modellierungsprojekten.......................................................................47 Fengel Janina, Rebstock Michael Domänensemantik-orientierte Integration heterogener konzeptueller Modelle................................................................................................................63 Bögel Stephan, Esswein Werner Vertikale Modellintegration in Rahmenwerken – Evaluation von Integrationsansätzen und Untersuchung der Implementierbarkeit anhand eines Fallbeispiels.........................................................................................................79 Fellmann Michael, Hogrebe Frank, Thomas Oliver, Nüttgens Markus An ontology-driven approach to support semantic verification in business process modeling.................................................................................................99 Juhrisch Martin, Dietz Gunnar Context-based Modeling: Introducing a Novel Modeling Approach................111 Strecker Stefan, Heise David, Frank Ulrich Toward modeling constructs for audit risk assessment: Reflections on internal controls modeling..............................................................................................131 Schlieter Hannes, Bürger Maik, Esswein Werner Konstruktion eines adaptiven Referenzmodells für den ambulanten Sektor.....149 Deindl Matthias, Naß Eric, Beckhoff Tim Anwendung der enhanced Telecom Operations Map auf Dienstleistungsunternehmen in der Stromwirtschaft am Beispiel eines Prozesses im Bereich Messwesen.........................................................................................................171 Komponentenorientierte betriebliche Anwendungssysteme Schrödl Holger Service- und komponentenorientierte Informationssystemarchitekturen für die strategische Beschaffung von hybriden Produkten – ein Vergleichsrahmen.....................................................................................195 Houy Constantin, Reiter Markus, Fettke Peter, Loos Peter Potentiale serviceorientierter Architekturen für Software-Werkzeuge des Geschäftsprozessmanagements..........................................................................211 Sadek Tim, Meuris Daniel Datentechnische Integration und Visualisierung von Anforderungen innerhalb von CAD-Systemen...........................................................................................229