This research has analyzed how the institutions of the merit-based bureaucratic system in the Korean Government changed from 1948 to 1963, applying the gradual institutional change theory of Mahoney and Thelen (2010). Though copious research has been produced on Korean economic development, little analysis has been made on the emergence of the Korean developmental state. This research aimed to fill in the analytical gap by examining how effective bureaucratic institutions was established in the Korean developmental state to draw out implications for the institutional change theory as well as the discussion on the developmental sate and state capacity. This research has found that the merit-based bureaucratic institutions of the Korean Government positively changed in a piecemeal approach from 1948 to 1963, though once disturbed from 1955 to 1959. Contrary to the existing literature, this research also has found that the institutional setting for the merit-based bureaucracy was set from the very beginning of the Syngman Rhee Administration; however, the selective implementation and enforcement of the rules in the Syngman Rhee period hindered the Weberian bureaucracy. This research has, therefore, drawn out that for positive institutional change, the role of the change agents is critical especially the vertical chain of reformative leadership and capable practitioners. The low level of opposition is beneficial for not only positive but also negative change. In the end, in the case of Korea, the initially ambiguous institutions provided the actors with considerable discretion to manipulate or misuse rules. As a result of the institutional reform the rules and regulations became detailed reducing the gap between what the rules say and how the rules are implemented. The empirical tests of this research have confirmed the basic assumptions of the gradual institutional change theory of Mahoney and Thelen (2010). Firstly, the empirical results have shown that the institutional change has more to do with a piecemeal internal process than to do with any external shock or event. Secondly, the gap between the existence and the enforcement of an institution has also been proved valid. Thirdly, the empirical tests have confirmed the influence of three change factors producing different types of change in the theory. Based on the empirical findings, this research has identified important implications for the institutional change theory with three key areas for improvement. The first is the validity of the three modes of change in the theory. The test has identified the need to address the different magnitudes of the three factors affecting change. This research has also identified the need to clarify the definition of gradualness and the concept of the change agents to solidify the theory. This research has also enriched the discussion on the developmental state and state capacity by identifying the limitations of the merit-based institution in different contexts. Based on the analysis, this research has drawn out four key lessons for developing countries and for the donors: the importance of the enforcement of rules; the synchronized reform coalition between committed leadership and competent practitioners; the importance of understanding local contexts; and the relationship between dictatorship and development. By analyzing the emergence of the bureaucratic institutions, this research has not only broadened our understanding of development and state capacity but also presented a practical policy solution to overcome the persistent state of incapacity in the developing countries today.

Cette thèse questionne la financiarisation du régime d’accumulation en Corée du sud après la crise asiatique de 1997 à partir de l’observation des changements macroéconomiques et institutionnels importants poussés par l’adoption de politiques néolibérales ; de l’insertion croissante des entreprises dans les marchés financiers et commerciaux internationaux ; de la refonte du rôle de l’État pour promouvoir les secteurs intensifs en technologie. Le cadre conceptuel et les outils analytiques de la théorie de la Régulation, combinés à ceux de l’économie post-keynésienne, sont mobilisés pour envisager ces transformations de manière systémique, à plusieurs niveaux et à plusieurs échelles. Le travail de thèse discute les moteurs et les vecteurs qui participent à la financiarisation de l’économie politique sud-coréenne et les caractéristiques locales de ce processus global, intrinsèquement inégal et hiérarchique. • Le chapitre 1 De l’industrialisation à la financiarisation pose les jalons de la thèse en étudiant la dynamique macroéconomique contemporaine à la lumière des transformations politiques et institutionnelles depuis l’industrialisation. A partir d’une estimation du régime de demande en vigueur de 1980 à 2015, il est montré que le régime d’accumulation dominé par la finance qui se met en place après 1997 est tiré par le profit et entraîné par la consommation. • Le chapitre 2 Financiarisation le long des chaînes de valeurs examine la chute structurelle de l’investissement des entreprises manufacturières sud-coréennes en considérant le rôle de trois canaux de la financiarisation (effet d’évincement et fardeau financier) auxquels est rajouté le canal de l’intégration internationale des firmes dans les chaînes globales de valeurs (CGV). Une fonction d’investissement incluant ces trois canaux est estimée économétriquement sur données de firmes (1990-2015). Les résultats indiquent que l’effet des canaux de la financiarisation dépendent des modalités d’insertion des firmes dans les CGV.• Le chapitre 3 La répercussion contrastée de la financiarisation sur les capacités de l’État se concentre sur les transformations institutionnelles et organisationnelles au sein de l’État liées à la financiarisation. A partir d’un travail de terrain sur les politiques de promotion des start-ups, un mécanisme de changement institutionnel au sein de la structure étatique est identifié, celui de sédimentation. En promouvant les start-ups via l’industrie du capital-risque, les agences d’État tendent à adopter les pratiques et représentations du secteur financier, ainsi qu’à donner plus de poids aux acteurs financiers privés, ce qui pèse sur ses capacités d’innovation. / This thesis examines the financialization of the accumulation regime in South Korea since the 1997 Asian crisis based on three inter-related transformations: macroeconomic and institutional changes under the neoliberal restructuring; the growing integration of firms into financial and trade markets; the restructuring of the role of the state under the drive to promote technology-intensive sectors. Building upon regulation theory and post-Keynesian economics, the analysis considers several levels—macroeconomic, institutional and political, and different scales—local, national, transnational. The thesis discusses the determining drivers and the conduits of the financialization of the South Korean political economy and the local characteristics of this global process, conceptualized as intrinsically uneven and hierarchical • Chapter 1 From industrialization to financialization analyzes the joint transformation of the macroeconomic trend, institutional change, and political change since industrialization. Based on the estimation of the demand regime(s) from 1980 to 2015, it is highlighted that the finance-dominated accumulation regime that has emerged after the 1997 Asian crisis is consumption driven and profit led. • Chapter 2 Financialization along value chains investigates the slowdown of accumulation of South Korean manufacturing firms by assessing the impact of three channels, the crowding out of fixed investment by financial investment, the financial burden of increasing payments to financial markets, and the modes of insertion to global value chains (GVCs). A dynamic panel model of an investment function is estimated on firm-level data (1990–2015). The results show that the impact of financialization channels depends on the modalities of firms’ insertion into GVCs. • Chapter 3 The uneven impact of financialization on state capacities examines the institutional and organizational transformations of the state associated with the financialization process. Based on semi-structured interviews in the start-up ecosystem, the layering mechanism of gradual institutional change within the state innovation bureaucracy is identified. The results outline a complex picture of the financialization of the state with the combination of the uneven diffusion of financialized reasoning in the innovation bureaucracy via entrepreneurship policies and the localized power shift from bureaucrats to private financiers.

The purpose of this dissertation is to examine if, and how, the executive-centered approach to public administration, which emphasized public administrators' unwavering loyalty to the president, intellectually shaped the founding and growth of Korean mainstream public administration in the 1962-1987 period. Specifically, this dissertation identifies the four normative tenets underlying the executive-centered approach and conducts comprehensive qualitative content analysis of mainstream scholars' journal articles and book chapters to investigate if, and how, such normative tenets framed the intellectual trajectory of Korean mainstream public administration in the 1962-1987 period. The major findings of this dissertation indicate that: 1) Korean public administration was intellectually founded upon the four tenets of the executive-centered approach and such tenets became fully entrenched as unassailable normative beliefs in Korean mainstream public administration scholarship in the 1962-1987 period and 2) Korean mainstream public administration scholars' strong commitment to the executive-centered approach led them to uphold executive-centered governing order, in which the president exercised exclusive control of public administrators, and to champion the authoritarian developmental state, in which the authoritarian president pushed administrators into controlling civil society and market in line with his political and policy agenda, in the 1962-1987 period. This dissertation also contends that in the post-1987 period, the advent of the new governing order of separation of powers created an intellectual dilemma for Korean public administration scholars because their blind adherence to the executive-centered approach, which stressed administrators' exclusive responsiveness to the president, came into essential tension with the new governing order of separation of powers, in which administrators were required to be simultaneously responsive to not only the president, but also the legislative and judicial branches. / Ph. D.

Made available in DSpace on 2016-04-28T20:12:54Z (GMT). No. of bitstreams: 1 2006-Marco Antonio Albuquerque de Araujo Lima.pdf: 1022139 bytes, checksum: 84ce3d60c48c765930941cc90fa271e3 (MD5) Previous issue date: 2006-10-26 / Coordena??o de Aperfei?oamento de Pessoal de N?vel Superior / This dissertation assesses the impact of the Growth Convention on the creation of Brazil s National Bank for Economic and Social Development (BNDE) as well as the impact that the Growth Convention had on the strategies and programs of the BNDE from 1952 until 1978. Conversely, the dissertation also evaluates the influence that the BNDE had on the evolution of the Growth Convention over this period. Much of the information used to analyze the relationship between the BNDE and the Growth Convention was collected through personal interviews with individuals involved in the creation of the BNDE and the development of its policies. In discussing the BNDE s development from 1952 to 1978, this dissertation uncovers two significant findings. First, all of the administrations that governed Brazil during this period attempted to benefit from the BNDE, regardless of whether or not they were seen publicly as supportive of the BNDE. Second, by consistently producing high-quality work, the BNDE was able to gain the trust of the various administrations many of which were initially wary of the BNDE and enhance its own autonomy as an institution. Chapter one discusses the concepts and goals of the Growth Convention, a term coined by Brazilian economist Antonio Barros de Castro to describe the economic and social growth strategy in Brazil between 1930 and 1980. The chapter also draws upon the economic and philosophic theories of Adam Smith and John Maynard Keynes to discuss the Growth Convention theories. Chapter two analyzes the impact that the military coup of April 1964 had on the BNDE personnel and its policies. Specifically, interviews with employees of the BNDE at the time of the coup illustrate that BNDE officials were concerned that the policies of the Castello Branco administration would jeopardize the Bank s economic and social development initiatives. Chapters three through five delve into three periods in the development of the BNDE. The first period described in chapter three begins with the foundation of the BNDE in 1952 and continues through the Plan of Goals formulated and implemented by the Bank during the Juscelino Kubitschek administration. Chapter four starts with the turbulent administration of J?nio Quadros and continues through the governments of Jango Goulart, Castello Branco, Costa e Silva, and M?dici, until October 1970, when Minister Reis Velloso appointed Marcos Vianna as President of the BNDE during the Economic Miracle. The common denominator of these very distinct administrations discussed in chapter four was that Brazil enjoyed widespread economic growth despite the fact that the country had abandoned the democratic process during this period. Another similarity among these administrations was that none of them adopted long-term growth strategies such as the Plan of Goals formulated during the Juscelino Kubitschek administration. Chapter five covers the eight year tenure (1970-1978) of Mr. Reis Velloso as Minister of Planning and Mr. Marcos Vianna as President of BNDE. It was during this period that the National Development Plan II was formulated and implemented, continuing Brazil s national growth strategy. Finally, the conclusion of the dissertation provides some reflections on why Brazil may have been unable to sustain its course toward greater economic growth with social justice, fiscal transparency, and inflationary control. / Esta disserta??o analisa como a Conven??o do Crescimento influenciou no processo de cria??o do Banco Nacional de Desenvolvimento Econ?mico e Social BNDES, e na determina??o de suas estrat?gias e programas at? o ano de 1978, quando termina a execu??o do II Plano Nacional de Desenvolvimento − II PND. Em conseq??ncia da forma como foi feita sua institucionaliza??o, o BNDES tamb?m influenciou, e muito, a Conven??o do Crescimento. Com esse objetivo, utilizei, inicialmente, a metodologia de hist?ria oral, para as entrevistas realizadas, pois s?o as pessoas que fundaram e consolidaram o Banco que v?o contar essa hist?ria. No cap?tulo conceitual, apresento a defini??o filos?fica do conceito de Conven??o e a sua utiliza??o por te?ricos de linhas distintas como Adam Smith e Keynes. A partir da?, comento o artigo do economista Ant?nio Barros de Castro sobre a Conven??o do Crescimento, ocorrida no Brasil de 1930 a 1980. Antes de passar para a periodiza??o hist?rica, descrevo, no segundo cap?tulo, o reflexo do golpe militar de 1964, sobre os quadros do BNDES. Relato tamb?m a maneira como esse pessoal percebeu a pol?tica do Governo Castello com o Banco e seus temores sobre o futuro do processo do desenvolvimento. Minha disserta??o est? dividida em tr?s per?odos. O primeiro, descrito no terceiro cap?tulo, come?a com a funda??o do Banco e vai at? o final do Plano de Metas, formulado e executado pelo BNDE durante o governo de Juscelino Kubitschek. No quarto cap?tulo procuro descrever o conturbado governo de J?nio Quadros e os governos de Jango Goulart, Castello Branco, Costa e Silva e Garrastazu M?dici. Finalizo este cap?tulo quando o Ministro Reis Velloso, em outubro de 1970, nomeia Marcos Vianna para a presid?ncia do BNDE em pleno Milagre Econ?mico . O que aglutina per?odos de governos t?o distintos ? a manuten??o do prop?sito, por todos, do crescimento, apesar do Pa?s ter abandonado o processo democr?tico. Outro motivo para a reuni?o destes governos ? a aus?ncia de planos de longo prazo como o Plano de Metas. Enfoco no quinto cap?tulo os oito anos de mandato em que o Minist?rio do Planejamento e o BNDE foram administrados por Reis Velloso e Marcos Vianna, quando o II PND foi planejado e executado no governo de Ernesto Geisel, a partir de 1974. Duas hip?teses foram confirmadas durante a pesquisa. A primeira, que os governos procuraram utilizar, cada um ? sua maneira, o potencial da institui??o. A outra, ? que a busca de autonomia e qualidade, pelo BNDE, ao inv?s de assustar o poder executivo, aumentava sua confian?a nos quadros t?cnicos do Banco. Na conclus?o re?no evid?ncias que comprovam as hip?teses citadas no par?grafo anterior e te?o algumas reflex?es sobre as causas que impediram o Brasil de continuar o seu processo de crescimento, incorporando, ao mesmo tempo, maior justi?a social e maior transpar?ncia fiscal, com a infla??o controlada.

This thesis investigates democratisation in South Korea. Unlike what structure- and process-oriented accounts of democratisation claim, democracy in South Korea was achieved through sustained popular action. The late-late development led by the authoritarian developmental state did not allow bourgeois or institutional politics to take the leading role for democracy. Social movements replaced them by making political opportunities and developing collective identity, their mobilising structures, and by using various discourses, repertoires, and framing. The structural context, movements' interaction with the state, and their strategies produced democracy with paradoxical results. Not only did they fail to achieve social democracy as their objective, but also the “founding election” for the transition to democracy in 1987 was exploited by elites. The paradoxical process of democratisation suppressed the reverse transition to reauthoritarianism on the one hand and constrained the popular sovereignty expressed through constitutionally legitimate massive collective action on the other hand. Though democratisation through collective action did not end “happily ever after,” it brought about democracy not only in institutional politics but also in noninstitutional politics. / Graduate

This paper investigates different stakeholder groups’ perceptions on how Chinese investments contribute to the development of Ethiopia in the capital city Addis Ababa. To delimit the thesis, one recently completed infrastructural project was analyzed, namely the Light Railway Transit (LRT) in Addis. This project was a collaboration between the Ethiopian and the Chinese governments and to 85% funded by Chinese loans. By conducting twenty-six semi-structured interviews with interviewees from six strategically selected stakeholder groups, varying perceptions on Ethio-China relations and the LRT project were encountered. The main findings of the study include that the Ethio-China relations have been beneficial for the two governments and that Chinese investments have affected Ethiopia’s economic growth positively. However, in the case of the LRT project, the main observable was that it contributed to developmental image-building and failed to meet some of the other objectives pursued by it, such as providing reliable transportation service to the citizens. Moreover, experts and representatives from international organizations, the Ethiopian private sector and trade unions as well as citizens brought up problems with respect to skill transfer and working conditions related to Chinese investments, among other things. Further, they claimed that Ethio-China relations might negatively affect Ethiopia’s potential for democratization.

How do catch-up East Asian countries cultivate their exchange rate (ER) policies in a different trajectory than advanced economies often cited in current literature? What are the dynamics and results (pros and cons) of choosing a particular ER policy, and what influence does it have on the progress of developmental states? How do domestic and international politics explain the convergences and variances of ER policy decisions in East Asia? The decisions of ER policy are by all means political choices. ERs influence the prices of daily exchanged goods, and thereby determine resource allocation within and across national borders. Therefore, any internal political actor, including a government, interest group, foreign party or constituent exerts discretionary power to manipulate an ER to satisfy its own interests. Externally, the size of foreign trade and the status of international monetary accounts closely depend on the valuation and volatility of ER. Thus for the transitional polities and the trade-driving economies in East Asia, the analysis of ER politics not only helps to clarify the complex mechanisms of ER influences combined with various interests and institutional settings, but also to advance the political study of globalization. My dissertation proposes an integrated framework to contend that the domestic distributional politics and economic determinants, as well as the international monetary relations, and regional market force and adaptive policy diffusion are crucial factors that influence and interact with ER policy in East Asia. This theoretical framework explains how an ER policy decision is compromised between domestically generated preferences and apparently intense international interactions. Likewise, this dissertation provides a vigorous empirical specification toward the spatiotemporal differences of ER policy in East Asia. The application of the structural vector autoregression (SVAR) model properly specifies the theoretical dynamics across variables in the East Asian panel data compiled from 1980 to 2004. Furthermore, by using the alternative Bayesian estimation, SVAR successfully demonstrates the "spinning stories" that distinguish the variances with regard to country-specific development under the asymmetrically international and interdependently regional monetary system. The empirical findings verify that my theoretical variables interact significantly with ER policy decisions in East Asia. The statistics also demonstrate that most East Asian countries tend to strategically withstand influences from the various waves of capital liberalization and keep their currencies at low values. In a general testing, however, domestic pursuits for preferred interests gradually yield to the persistent influences of international and regional forces on ER policy making in East Asia. / text

This thesis follows and analyses the involvement of both social actors and the state in the industrial transformation of Mexico. While these actors have been key associates in the development of the Mexican economy for decades, with the 1982 debt crisis, and especially after the promotion of a structural reform in 1986, the patterns of their involvement changed. However, this change was more limited than expected, and the state did not abandon its participation in some key industrial sectors. This thesis will demonstrate that the role of the state remained important during the process of change towards an Export-Oriented developmental paradigm, although the state continued to participate in fashioning social relations, it did so in new ways that can be termed “protective liberalization.” / Cette thèse évalue et analyse la participation des acteurs sociaux et de l'État dans la transformation industrielle du Mexique. Alors que durant plusieurs décennies ces acteurs on été des partenaires stratégiques dans le développement de l’économie mexicaine, avec la crise de la dette de 1982 et spécialement suite à la réforme structurelle de 1986, le modèle de leur participation a changé. Néanmoins, ce changement a été plus limité que prévu et l‘État n‘a pas abandonné sa participation dans certains secteurs industrielles clés. Cette thèse démontre que le rôle de l’État n’a pas perdu de son importance pendant le transfert vers un paradigme du développement orienté vers l’exportation et que même si l ́État a continué à participer dans la structuration des relations sociales, cela c’est fait d’une nouvelle manière que l'on pourrait dénommer “libéralisation protective”.

Este trabalho aborda a política científica e tecnológica brasileira no período do regime militar (1964-1985). As questões às quais ele se refere dizem respeito às idéias e aos interesses de alguns dos seus atores fundamentais: os militares, a comunidade científica e os técnicos responsáveis pela condução da área econômica dos governos. Esses atores, com interesses e idéias distintas e muitas vezes conflituosas acerca dos rumos do desenvolvimento, embora buscassem objetivos diferentes construíram uma trajetória única com projetos ambiciosos para organizar internamente uma rede de instituições que visassem a produção e a aquisição de ciência e tecnologia de ponta. Antes de econômicas, as decisões acerca das políticas de ciência e tecnologia possuíram uma natureza fundamentalmente política e privilegiaram os interesses dos governos e das elites que os sustentaram. Para o Estado, o desenvolvimento científico e tecnológico nem sempre foi um propósito em si; às vezes foi parte de um intento, às vezes um meio para alcançar determinados objetivos. Como meio, essas políticas podiam ser dispensáveis quando se acreditava que era possível ou desejável se chegar aos mesmos resultados percorrendo caminhos mais curtos e menos tortuosos. Seja como meios ou como fins, só é possível entender as políticas do setor quando se tem um horizonte amplo, capaz de deixar perceber quais são os objetivos finais e como eles são perseguidos; para compreender melhor essas relações, dois aspectos são fundamentais: a) as idéias que conduziram à formação, estruturação, organização e atuação do sistema nacional de ciência e tecnologia e dos rumos do desenvolvimento científico e tecnológico no Brasil e, b) os interesses e objetivos que os principais atores possuíam e como esses são, ou não, levados a cabo dentro da estrutura burocrática, e nas ações dos governos, de acordo com as limitações impostas pelos contextos políticos e econômicos internos e externos. / The present thesis approaches the science and technology Brazilian politicses during the period of the military regime (1964-1985). Their main matters tell respect to the ideas and to the interests of some of your central personages: the militaries, the scientific community and the technocrats responsible for the administration of the Government economic sector of that period. Such personages, with interests and distinct thoughts - and many times locking conflicts concerning about of the bearings of the national development, although they sought different goals, they built a single trajectory with ambitious projects to foment internally a joint of institutions with sights to the production and to the acquisition of a science and an advanced technology. Before being economics, the decisions concerning the science and technology policies had a political fundamentally profile and privileged governments\' interests and of the elites that sustained them. For the State, the scientific and technological development not always it was a purpose only; sometimes was a goal, and in at other times was a form of if reach specific goals. Thought as a way, these political can be dispensable from the moment in which it is possible or desirable to reach the same results traversing smaller and less problematic paths. Like means or as ends, only is possible to comprehend the policies of the sector at issue when there is a wide horizon in which is possible to realize whats are the goals and how they are demanded. To comprehend better these relations, two aspects are important: a) the thoughts that led to the formation, structuring and performance of the science and technology national system, as well as of the bearings of the scientific and technological development in Brazil and, b) the interests and objectives that the main personages detained, how were - or were not - carried of radical way inside the bureaucratic structure and in the governments\' lawsuits according to the limitations imposed by the political and economic contexts, both internal and external.

許多學者認為開放市場、降低管制是提升電視產業競爭力的不二法門，然而，國家介入與電視產業績效之間的實證研究仍相當缺乏，因此本研究的目的旨在討論國家干涉程度和節目產製能力間的關係。本研究採用歷史制度途徑的分析，解釋同樣被歸類為發展型國家的台灣與韓國，為何在1997年金融風暴後選擇不同的轉型路徑。研究結果顯示，台灣電視產業因國家干涉程度低，放任市場過度競爭而導致產製能力下滑，另一方面，韓國電視產業則受惠於國家高度干預，因寡佔結構而有效維持產製能力和經營績效。總結而言，本研究證明韓國在發展型國家的基礎上成功轉型升級，而台灣則是揚棄原本的發展模式，向新自由主義靠近。 / Many researchers have often suggested that the best way to improve broadcast industry growth is always through deregulation and opening up to competition. However, research which has empirically documented the link between state intervention in market and performance of broadcast industry is scant. Therefore, the aim of this research attempts to explore how state intervention and program productivity are related. Historical institutionalism has been used to explain the different transformation paths that Taiwan and Korean, the typical examples of the developmental states, have taken after financial crisis in 1997. Results of this study showed competitive market structure shaped by weak state intervention had contributed to productivity decline in Taiwan. And, strong state intervention in Korea did lead to stable program productivity and better industry performance. To conclude, the Korean developmental state is successfully transformed, on the other hand, Taiwan has transformed developmental state into neoliberal state.