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  • About
  • The Global ETD Search service is a free service for researchers to find electronic theses and dissertations. This service is provided by the Networked Digital Library of Theses and Dissertations.
    Our metadata is collected from universities around the world. If you manage a university/consortium/country archive and want to be added, details can be found on the NDLTD website.
151

A multi-level inquiry into capacity-building : defying borders in a maritime journey through a personal territory and the Portuguese non-profit world

Franco, M. Raquel January 2012 (has links)
Capacity, the emergent combination of attributes that enables a human system to create developmental value (Morgan, 2006, 2008), is the point of arrival of an inquiry journey through a personal territory and the Portuguese non-profit world. Inspired by the metaphor of the Portuguese golden age of the maritime discoveries, and by Action Research, in line with Reason and Bradbury’s notion of inquiry into the “quality in our acting” (Reason and Bradbury, 2001), the author defies several borders in her exploration of answers to the question of “how to build capacity?”. This multi-level question is unfolded in three – the individual, the non-profit organisations and the society, in a journey that find points of connection. The author defies the border of her worldviews, embracing a participatory worldview that offers her an extended epistemology, which she explores in its multiple-level understanding of knowing comprised of experiential, practical, propositional and presentational knowing, in a process of personal and professional development in a concrete project – the Acreditar project. Through stories, another border the author defies, meaning is explored through layers of personal reflections and through shared meanings in a Learning History developed by the Acreditar team members. The stories presented are a result of a commitment to highlight the learning in capacity-building endeavours. In a particular story, and in a twist of irony, the learning emerges from an experience of dis-capacity. But that experience would serve as the departing basis for another re-start the author initiates, in a process of forgiveness that acknowledges the past as irreversible but redeemable. It is my intention to engage you in this journey from the beginning, and I hope this is also a useful journey for you. Ultimately its account is here to serve as basis for further dialogue I would be very glad to engage with you.
152

Towards a better understanding of SME responses to environmental regulatory pressures

Lynch-Wood, Gary January 2018 (has links)
The University of Manchester, PhD by Published Work, 2018 For several reasons, small and medium enterprises (SMEs) are an important group of firms. In most market economies SMEs contribute significantly to wealth and job creation, economic growth, and product and service innovation. At the same time, SMEs are said to produce environmental impacts that are significant and that need managing and regulating. Their importance, from an economic and environmental perspective, is reflected in the fact that SMEs have become an established subject for research, with a distinct area of analysis focusing on how they manage their environmental impacts. Despite considerable interest in this area, aspects of their behaviour are in need of further examination, for there are still misunderstandings and gaps in knowledge. An area where gaps exist is how SMEs respond to different forms of environmental regulation (e.g., command-based or market-based approaches) and different forms of regulatory pressure (e.g., such as those pressures from civil society that might induce compliance-related activities or market forces that might flow through, and affect, the value chain). Why the gaps? On the one hand, and generally speaking, a common claim among those who have considered issues affecting smaller firms is that regulation is an important driver of environmental behaviour. There is a well-documented set of linked claims and empirical findings that smaller firms tend to be motivated by compliance with regulatory standards, yet owing to their scarce resources can find themselves hovering on the edge of compliance. Typically, SMEs will attempt to do no more than the law requires of them. They tend not, as it were, to go beyond compliance. Of course, this is an important observation - one that might say much, even if indirectly, about the motivations and intentions of smaller firms. It might indicate that SMEs, rather than addressing environmental issues, are more concerned with making cost savings and efficiency gains, or with satisfying the requirements of customers over such matters as product or service quality and delivery. While significant, there are at least three reasons why this view remains incomplete as an explanation for the interaction between SMEs, regulation and the environment. Firstly, this view tends to over-homogenise smaller firms. By treating them as a standardized group, the inference is that SMEs view and respond to regulation - i.e., they are all driven by regulation - in a broadly similar way. Secondly, it says little about how and why regulation drives behaviour. Claiming that regulation drives behaviour is helpful, but the claim is unduly narrow and leaves several important questions. In what ways does regulation drive behaviour? Does regulation drive all smaller firms in the same way? Thirdly, and finally, it suggests that different forms of regulation drive SME behaviour and that different forms of regulation drive this behaviour in broadly similar ways. That is, it is incomplete as it lacks appreciation of the widening scope of regulation and governance, and the nature of smart mixes of regulation. It fails to properly consider whether and how SMEs might respond differently to command-based regulation, market- or information-based measures, or self- or so-called civil regulatory pressures. On the other hand, and again in general terms, while those who have examined regulation have looked at how it can influence firms, they have tended to pay too little regard to how firms of different size may respond to different approaches or to how the factors and characteristics relating to size may shape the effectiveness of regulation. SMEs particularly are often discussed as an unusual sideshow that might raise different issues in relation, say, to the impacts of regulation on performance or innovation. That we often pay too little regard to how firms of different size may respond raises difficulties, particularly given our increasing understanding that there is no guarantee that a particular instrument will work in all situations. In other words, we are becoming more aware of the fact that the effectiveness or ineffectiveness of regulation is likely to be context-sensitive, and that the size of the enterprise is likely to be an important determinant of context. This thesis does take, and provides evidence for, the view that the organisational context is crucial to understanding how regulation functions. The thesis does not claim to provide all answers, but it does adopt the position that, in aggregate terms, a firm's size, or the factors that can be associated with size (e.g., resources, skills, knowledge, visibility, profile, stakeholder relations), and related factors concerning a firm's mind-set, can affect two things; first, the types of regulatory influences that may affect organizational behaviour and, second, how firms will respond to those influences. By focusing on SMEs, the thesis in some ways reinforces the dominant view that regulation is a driver of behaviour. Nevertheless, it goes much farther than this by showing, both theoretically and empirically, that there are important differences across SMEs and that these differences determine how and why they respond to regulation. It extends the common view by showing how SMEs differ not only in terms of the types of regulatory influences that shape their behaviour, but also in terms of how they react to these different influences. The emerging picture thus shows that the responses of firms are determined by their particular characteristics. The term used in this thesis is 'receptive capacity', which is shown to be a composite measure that includes the capabilities (e.g., resources, skills, knowledge) and orientations (e.g., views) of firms. It is suggested here that the range of receptive capacities across firms is enormous, since no two firms will be identical. Yet, it is argued - and demonstrated - that firms can be grouped according to certain identifiable characteristics, and that these groups of firms will respond to regulatory pressures in broadly similar ways; that is, there are groups of firms that have broadly similar resources and broadly similar worldviews. Thus, as well as suggesting that differences can be found at the micro level, it is demonstrated that there are sufficient commonalities across some firms that we can understand them as groups - groups of individual firms with some common characteristics. In conclusion, it is the differences across firms that provide us with a more sophisticated view of how SMEs are influenced by, and respond to, regulation. It is the nature of differences that is the main contribution of this research to both the fields of regulation and organisational and management studies. It is suggested finally that these differences have implications for how we design regulation, for how we may expect regulation to work or indeed not work, and for issues such as regulatory complexity and smart mixes.
153

A strategic capacity allocation problem for a stochastic manufacturing and retailing system. / CUHK electronic theses & dissertations collection

January 2006 (has links)
In this thesis, we corroborate that the optimality in discounted profit setting is attained by a threshold policy which consists of base stock level and price switch thresholds. And we prove that the optimality and the structured properties of the optimal policy are inherit to the average profit setting. Furthermore, we find that the optimal policy in average profit setting is a piece-wise constant, left continuous and increasing function of the contractual sales rate, and the optimal average profit is a concave function about the contractual sales rate. More importantly, we evaluate the long-term contract with average profit criterion and provide an optimal supply curve, which is a strictly increasing function of contractual sales price. Manufacturer can use the curve as a baseline to negotiate a contract with contractual customer, who may present a demand curve. In addition, we extend the main results to an emergent supply mode, and we find that the optimal average profit is not only a concave function of contractual sales rate, but also an increasing concave function of the sales rate when the contractual purchase price is postulated to be higher than the additional penalty cost. / Keywords. Make-to-stock production mode, Capacity allocation, Production control, Retailing system, Demand process management, Dynamic pricing, Contract evaluation, Finished goods inventory management, Demand curve, Supply curve, Poisson process. / This thesis investigates a situation in which a manufacturing system produces a single item in make-to-stock mode with controllable production capability and sells the product through two independent marketing channels: a long-term contractual sales channel with constant prices and sales rate pre-specified by primary negotiation, and another retail market with dynamic prices specified by the manufacturer. In this setting, maximizing the long run average (or total) profit not only depends on joint management of the finished goods inventory and demand processes, but more importantly, depends on capacity allocation between these two sales channels. / Chen Liuxin. / "August 2006." / Adviser: Yonyi Feng. / Source: Dissertation Abstracts International, Volume: 68-03, Section: B, page: 1909. / Thesis (Ph.D.)--Chinese University of Hong Kong, 2006. / Includes bibliographical references (p. 110-117). / Electronic reproduction. Hong Kong : Chinese University of Hong Kong, [2012] System requirements: Adobe Acrobat Reader. Available via World Wide Web. / Electronic reproduction. [Ann Arbor, MI] : ProQuest Information and Learning, [200-] System requirements: Adobe Acrobat Reader. Available via World Wide Web. / Abstracts in English and Chinese. / School code: 1307.
154

Avaliação aeróbia de nadadores através de protocolos invasivos e não invasivos em duas situações distintas: nado livre e atado

Santhiago, Vanessa [UNESP] 16 March 2009 (has links) (PDF)
Made available in DSpace on 2014-06-11T19:30:52Z (GMT). No. of bitstreams: 0 Previous issue date: 2009-03-16Bitstream added on 2014-06-13T20:40:40Z : No. of bitstreams: 1 santhiago_v_dr_rcla.pdf: 487613 bytes, checksum: 08693467b4d88569bdc7cc8c28ab9031 (MD5) / Coordenação de Aperfeiçoamento de Pessoal de Nível Superior (CAPES) / Considerando a necessidade de avaliar a capacidade aeróbia de nadadores e assim prescrever as intensidades adequadas de treino durante ciclos de treinamento, vários estudos foram desenvolvidos com diferentes protocolos a fim de identificar instrumentos de aplicabilidade prática capazes de avaliar e quantificar a capacidade aeróbia. Entretanto, ainda existem controvérsias a respeito dos modelos invasivos e não invasivos e exaustivos e não exaustivos que representem de forma mais fidedigna a máxima fase estável de lactato (MFEL). Além disso, existe também, carência de investigações relacionadas à utilização do sistema de nado atado na avaliação de parâmetros fisiológicos, mecânicos e como ferramenta no treinamento de nadadores. Desse modo, o objetivo geral do presente estudo foi padronizar e testar diferentes modelos invasivos e não invasivos de avaliação aeróbia na natação, por meio de protocolos em nados livre e atado, validando-os através da comparação com a MFEL. Para isso, foram avaliados 12 nadadores do sexo masculino durante um período de polimento na natação. Foram utilizados protocolos de MFEL, velocidade crítica (Vcrit), Vcrit obtida por meio do protocolo proposto por Chassain (1986), MFEL em nado atado, força crítica (Fcrit) em nado atado e Fcrit obtida por meio do protocolo proposto por Chassain (1986). Para verificar possíveis diferenças entre as respostas agudas de stress obtidas após a utilização de diferentes protocolos em nados livre e atado, concentrações sanguíneas foram mensuradas. / Considering the need to evaluate the aerobic capacity in swimmers and to prescribe the appropriate intensities of training, several studies were developed with different protocols in order to identify practical applicability instruments capable to evaluate and to quantify the aerobic capacity in swimmers. However, still controversies exist regarding the invasive and non invasive models which represent the maximal lactate steady state (MLSS). The aim of the present study was to standardize and to test differents invasive and non invasive models of aerobic and anaerobic evaluation in the swimming, by protocols in free and tethered swimming, validating them by the comparison with the MFEL. Twelve male swimmers were evaluated during the taper period in the swimming. Protocols of MLSS, critical swimming velocity (CSV), Vcrit obtained through the protocol proposed by Chassain (1986), MFEL in tethered swimming, critical force (CF) in tethered swimming and CF obtained by the protocol proposed by Chassain (1986). To verify possible differences among the stress responses obtained after the use of different protocols in free and tethered swimming, enzymatic plasma concentrations were measured.
155

Psychological interventions for psychosis : a meta-analysis of social skills training followed by a randomised controlled experimental study assessing the impact of meta-cognitive training addressing the jumping-to-conclusions bias on capacity

Turner, David T. January 2017 (has links)
Background There now exist a range of efficacious options for the treatment of psychosis in mental healthcare. The importance of recovery, empowerment, dignity and choice among patients with severe mental health diagnoses are important topics in contemporary research and practice. This thesis presents a meta-analytic review followed by a randomised controlled experimental study. These address distinct but related questions which aim to further our understanding of the choices available for intervention in psychosis and whether intervention may improve the ability of psychosis patients to make those choices. Aims The first objective aimed to offer a comprehensive review of the effectiveness of social skills training (SST), which is a psychological intervention for psychosis. SST has fallen out of favour in the UK and is not widely implemented in practice. We hypothesised that SST would demonstrate superiority for the negative symptoms of psychosis. The second objective was to determine whether decision-making capacity regarding treatment among psychosis patients could be improved by the application of a brief psycho-educational intervention targeting the jumping-to-conclusions (JTC) bias, which is a commonly observed cognitive bias in psychosis. We hypothesised that the intervention would improve decision-making capacity. Methods Firstly, a series of 70 meta-analyses are presented in a systematic review assessing the efficacy of social skills training across a number of psychosis outcome domains: positive symptoms, negative symptoms, general symptoms, overall symptoms and social functioning outcomes. Secondly, a randomised controlled experimental study is presented in which 36 psychosis patients in NHS Lanarkshire and 1 in NHS Dumfries & Galloway were allocated to receive either a brief meta-cognitive training (MCT) intervention or an non-specific control presentation lecture. Capacity was assessed at baseline and post-treatment while the impact of the intervention upon capacity was estimated by ANCOVA. Mediation analyses assessed whether changes in the JTC bias mediated outcome. Findings In the meta-analytic review, SST demonstrated superiority over treatment as usual (TAU. g=0.3), active controls (g=0.2-0.3) and comparators pooled (g=0.2- 0.3) for negative symptoms; and over TAU (g=0.4) and comparators pooled (g=0.3) for general psychopathology. In the randomised controlled study, MCT demonstrated large effects on two capacity outcomes; overall capacity (d=0.96, p < .05) and appreciation (d=0.87, p < .05). Exploratory analyses suggested a mediating effect of JTC (d=0.64, p < .05). Interpretation SST demonstrates a magnitude of effect for negative symptoms similar to those commonly reported for CBT for positive symptoms and may have potential for wider implementation in mental healthcare settings. The randomised controlled study suggests that psycho-educational interventions targeting capacity have clinical utility and may be developed for implementation. Limitations included lack of blinding, no fidelity checks and inclusion based on clinical diagnosis therefore a larger randomised controlled trial addressing these limitations is warranted.
156

Green innovation adoption in the construction sector : the role of absorptive capacity and the effect of environmental requirements

Hashim, Rushanim January 2018 (has links)
This study has investigated and attempted to enhance understanding of the role of absorptive capacity in influencing a firm to adopt green innovation. Absorptive capacity which has been argued by previous study as an important factor to facilitate the adoption of innovation, may require some degree of pressure from regulators and customers, to be exerted on particular firms, to influence them to become involved in green innovation. Therefore, this study has also attempted to evaluate the extent of the moderating effect of regulatory and customer requirements on the relationship between a firm's absorptive capacity and its adoption of green innovation. A research framework was developed and three research questions were posited. An electronic questionnaire survey was created and distributed to general building firms from the construction industry in Scotland. Subsequent semi-structured interviews were conducted with a subset of participants from the survey as well as with a number of construction industry experts, to investigate further the results of the survey. A total of 84 respondents participated in the survey, while 13 respondents contributed invaluable input from the interview sessions. The findings suggest that, on the whole, the level of green innovation adoption by most of the general building firms in Scotland can be considered as relatively low. Their engagement in green-related activities, however, was focusing more on the technical and process side, which was directly influenced by firms' high levels of existing knowledge and efforts to build new knowledge through employee training. The green administrative practices, on the other hand, had not really been given attention by the building firms as it is a voluntary-based act, which does not demonstrate tangible, financial benefit to them. The evidence from the study also shows that neither environmental requirements from regulators nor customers could encourage the building firms to adopt green practices even when they have high levels of absorptive capacity. The low levels of compliance as well as poor environmental demand from the customers indicate the number one concern within the industry, that is, cost, which hinders the building firms from becoming 'greener'. Additionally, this study provided insights and further understanding regarding knowledge-based factors that could facilitate the adoption of green innovation. This study has also made a methodological contribution by providing evidence and support for the use of mixed method approach to enhance understanding of the construction industry, which has tended to be the focus of quantitative studies. The findings of this study also have a number of implications, especially for policy makers, to explore into strategy and stringent regulations that could encourage more firms in the construction sector, which are operating in one of the industries that contributes most to environmental problems, to seek to reduce their impact on the natural environment. As the government takes a leadership role in this regard, participation from the other stakeholders within the industry is of importance to prompt a wider adoption of green practices. Here, architects, in particular, are in a potentially useful position to have a very strong influence in encouraging building firms to become involved in green practices. Besides, both individuals within the organisations (e.g. the top management and decision makers) and the society outside the organisations (e.g. customers and users of construction outputs) need to be educated to motivate them to make better environmental choices in order to contribute to environmental protection or sustainability.
157

Adapting water management in India to climate change : institutions, networks and barriers

Azhoni, Adani January 2017 (has links)
Climate change is experienced most through the medium of water. The ability of water institutions and the factors that enable or hinder them to purposefully adapt to the new and additional challenges brought by climate change require better understanding. Factors that influence their perception of climate change impacts and initiatives being taken for adaptation are shaped by various enabling factors and barriers through the interaction with both governmental and non-governmental institutions across administrative scales. Better understanding of these adaptation enablers and barriers is essential for devising adaptation strategies. This research aims to identify and expound the characteristics that enable or hinder institutions to adapt for water management, and hence, it evaluates the involvement of key governmental and non-governmental institutions in India and the inter-institutional networks between them. It surveyed webpages and online documents of sixty Union Government institutions and interviewed representatives from twenty-six governmental, non-governmental, research and academic institutions operating at the national level and another twenty-six institutions operating within the State of Himachal Pradesh in India to assess the characteristics that enable or hinder adaptation. While the online projection of institutional involvement and interaction among key Union Government institutions on climate change and water indicate a more centralized network pointing to Planning Commission and Ministry of Environment and Forest, the interview responses indicated a more distributed network with both Ministries of Water Resources and Environment and Forest recognized as key institutions thereby indicating a potential variation in perception of who is in-charge. Moreover, online documents show institutions that are involved in water have less mention of climate change compared to Union Government ministries involved in less climate-sensitive sectors indicating that impacts of climate change on water are potentially ignored. While it is evident that research and consulting institutions engaging with both national and state level institutions play a key role in enabling adaptation, various barriers pertaining to data and information accessibility, inadequacy of resources and implementation gaps exist particularly due to inter-institutional network fragmentations. Although barriers identified in this study bear resemblance to barriers identified by other researchers in other contexts, this research shows similar barriers can emerge from different underlying causes and are highly interconnected; thereby indicating the need for addressing adaptation barriers collectively as a wider governance issue. Since many of the adaptation barriers emerge from wider governance challenges and are related to larger developmental issues, the findings have important policy implications. Among the various issues that the government needs to address is improving the inter-institutional networks between water institutions so that information dissemination, sharing of learning experiences and data accessibility is improved and prescriptive legislations are seen to be inadequate in this regard. Restructuring the way officials in government water institutions are recruited and deployed is suggested as a potential solution for improving the inter-institutional networks. The research elucidates that inter-institutional networks and transboundary institutions are two pillars that supports adaptation and also bridges the gap between adaptive capacity and adaptation manifestation that enable water institutions to cross the chasm of adaptation barriers. Thus the thesis presents an important analysis of key characteristics that enable or hinder water management institutions to adapt to climate change which have been so far under acknowledged by other studies through the analysis of the state of climate change adaptation in India. Therefore, this study provides valuable insights for developing countries, particularly, facing similar challenges of adapting water management for climate change.
158

Understanding Medication Self-Management Capacity among Older Adults Living in Low-Income Housing Communities

Badawoud, Amal M 01 January 2019 (has links)
Understanding Medication Self-Management Capacity among Older Adults Living in Low-Income Housing Communities ABSTRACT Background: Medication self-management capacity (MMC) is an individual’s cognitive and functional ability to self-administer a medication regimen as prescribed. Poor MMC is an issue in older adults often resulting in negative health outcomes and loss of independence. Therefore, understanding low-income older adults’ capacity to manage their medications may help identify individuals who are at risk for developing medication mismanagement and guide future intervention strategies based on an individual need to promote safe medication use and healthy aging in place in the community. Objectives: 1) To determine the cognitive and physical functional deficiencies in MMC among low-income older adults, 2) To identify variables that predict deficiencies in MMC in this population, 3) To determine the impact of using pharmaceutical aids/services on MMC, and 4) To examine the association between MMC and emergency room (ER) visits. Methods: This was a cross-sectional study of older adult residents living in low-income housing buildings served by the RHWP. At a study interview, information on demographics, medical history, and medication use was collected. MMC was evaluated using the Medication Management Instrument for Deficiencies in the Elderly (MedMaIDE) tool. Cognitive and functional status, health literacy and depression symptoms were assessed. ER visits were determined retrospectively over the last six months Descriptive analyses were performed to identify cognitive and physical functional deficiencies in MMC. Linear regression analysis was conducted to identify variables that predict MMC and assess the relationship between MMC and using pharmaceutical aid/service. Logistic regression analysis was used to examine the association between ER visits and MMC. Results: A total of 107 participants were included, and 89% were African-American with an average age of 68.54 years (±7.23). They had an average of 4.92 (±2.85) comorbidities and used approximately 8 (±4.12) medications on a regular basis. The mean total deficiency in medication management was 3 (±2.00) as assessed by MedMaIDE. Lacking medication knowledge was common among the participants: 69.16% could not name and 46% state the indication of all of their medications, and 38.32% did not how and when all of their medications should be taken. When controlling for ADLs and falls, the mean total deficiency score in MedMaIDE increased among those with an educational level equal to high school or less compared with participants who had a higher educational level than high school [β=1.32, 1.24, p= 0.0195, 0.0415, respectively], and participants who reported difficulty reading prescription medication labels or opening medication bottles compared with those who did not report any difficulties [β=1.18, 1.43, p= 0.0036, 0.0047, respectively]. About 20.56% of participants were receiving assistance with medications from someone, and 79.44% used at least one pharmaceutical aid/service. However, receiving assistance with medications and using pharmaceutical aid/service were not significantly associated with MMC [p= 0.5334, 0.0853, respectively]. The participants reported a total of 23 (21.5%) ER visits within six months. The adjusted model for age, educational level, number of comorbidities, and ADLs suggested that for every one-unit increase in the total deficiency score, the odds of ER visits increased by 1.23 (p=0.1809) times. Conclusion: Many older adults who lived in low-income housing had impaired capacity to manage their medications independently. They appeared to have inadequate medication knowledge, which affects their cognitive ability to manage medications. Low educational level and health literacy and reporting trouble reading labels or opening medication bottles were predictors to deficient MMC. Future studies are needed to confirm whether or not MMC predicts those who may not able to remain living independently safely or who may need additional support with medications to remain independent.
159

Human capacity challenges facing the Vhembe Further Education and Training College in the Limpopo Province

Raphulu, Matevhutevhu Ruth January 2011 (has links)
Thesis (MPA.) --University of Limpopo, 2011 / The research report seeks to investigate and analyse the performance of the Vhembe FET College as compared to the national objectives for Human Resources Management and the formulation of a meaningful policy and practice of effective human resources development practice Design/methodology/approach:The research report is based on an in-depth literature of review of human resources development (HRD) and primary sources data.Primary data generated from self-completeing questionaire and interview schedule tools covering small distinct group of fifty employees selected from three campuses and the central office of Vhembe FET College.Findings:Amongst others,it was found that Vhembe FET College indeed has human capacity challenges which manifest by at least four major issues.These pertain to the level of the personnel's awareness and knowledge about the college's human resources development function,selection of personnel for human resources training courses,the relevance of the HRD training courses to the nature of specific job performance,and the quality of post-training support system.Pratical implications:Addressing the human resource capacity challenges has enormous strategic and financial resource implications for policy makers in transition and developing economies,due to their over-reliance on external donors for funding.:Originality/value:The research report provides an answer to the need to develop processes which is linked to a national strategy of training college lectures and ensuring that there is a coherent framework of lecturere development.Of much value is that the results were from the perspective of the selected employees whose day-to-day inputs are critical for efficiency and effectiveness of college management and planning.
160

The Role of Firm-Level Legal and Administrative Capacity in Explaining Firm-Specific Dumping Margin Outcomes in U.S.-Administered Antidumping Investigations (2000-2014): An Econometric Analysis

January 2017 (has links)
acase@tulane.edu / The role of legal and administrative capacity (“LAC”) in shaping antidumping outcomes has increasingly captured the attention of scholars across a broad range of disciplines. Prior LAC scholarship has largely focused on the experience of member countries in antidumping proceedings brought before the WTO’s Dispute Settlement Body. No prior scholarship has analyzed the role of firm-level LAC in explaining the firm-specific dumping margins estimated by the administering authority of a particular country. The relationship between LAC and firm-specific dumping margins is relevant to the field of international development insofar as it has been postulated that capacity constraint-conditioned dumping margin differentials have a disproportionately adverse impact on respondent firms from developing countries. This dynamic, it is further postulated, compromises the ability of producers and exporters in developing countries to integrate themselves into global supply chains and/or access lucrative export markets. These outcomes, in turn, undercut developing country efforts to achieve export-driven economic growth and development strategies. This work empirically examines the theory that LAC is a significant determinant of firm-specific dumping margins in U.S. antidumping investigations administered between 2000 and 2014 using, in connection with a triangulated set of confirmatory and exploratory research questions, a newly constructed database and capacity index. Descriptive and inferential analyses reveal the presence of statistically significant differences between the average firm-specific dumping margins estimated for respondent firms with low- and high- levels of LAC. Moreover, this work finds evidence of a statistically significant association between firm-specific dumping margin outcomes and LAC, both on a stand-alone basis and when modeled alongside alternative explanatory variables. These results provide empirical grounds for concluding that (i) the capacity constraint theory has, in the context of U.S.-administered AD investigations, merit and (ii) U.S. statutes, regulations, procedures, and methodologies operate to impose differentially disadvantageous consequences on certain parties. The latter conclusion violates both the WTO prohibition against de facto discrimination and the U.S. commitment to give special regard to the situation of developing countries. This work concludes by presenting recommendations and diagnostic tools geared toward improving the experience of capacity-constrained respondent firms in U.S. antidumping investigations and identifying directions for future research. / 1 / Robert M. Kossick, Jr.

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