Esta dissertação procurou relacionar a teoria da Nova Economia Institucional e a Cliometria com o método de pesquisa em história econômica, a partir da revisão teórica das obras dos seus principais autores, Douglass North e Robert Fogel, respectivamente. Estas teorias serão relacionadas com os acontecimentos que ocorreram na história econômica do Brasil durante o século XIX, em específico no Rio Grande de Sul. Antes disso serão apresentadas diversas interpretações clássicas e modernas a respeito deste período de importantes transformações, focando a mais importante delas: a transição da escravidão para o trabalho assalariado. Por fim serão analisados dados relativos à riqueza financeira no estado do Rio Grande do Sul neste período. / This dissertation seeks to relate New Institutional Economics theory and Cliometrics with economic history research method, since the theorethical review of it main autors, Douglass North and Robert Fogel. These theories will be related with happenings which occurred during the XIXth century in Economic History of Brazil, specifically at Rio Grande do Sul state. Before it, will be presented many classic and modern interpretations about this period of important changes focusing on the most important of them: the transition from slavery to free work. At the end will be analized data relative to financial richess in the state of Rio Grande do Sul.

O objetivo deste estudo foi estudar as performances socioeconômicas dos assentamentos de reforma agrária do estado do Rio Grande do Sul por meio da análise dos indicadores de capital social e de suas instituições. O problema de pesquisa foi exposto com a seguinte questão: Em que medida as abordagens da Nova Economia Institucional e do Capital Social explicam as distintas performances dos assentamentos de reforma agrária? Tratou-se de estudar as relações entre os assentados e entre esses e os demais atores envolvidos no processo de desenvolvimento dos assentamentos para conhecer o tipo de capital social que é gerado e acumulado internamente. As áreas de estudos compreenderam três assentamentos da região metropolitana de Porto Alegre, a saber: Capela, 19 de Setembro e Integração Gaúcha localizados nos municípios de Nova Santa Rita, Guaíba e Eldorado do Sul, respectivamente. A metodologia utilizada foi a de corte qualitativo fazendo-se uso do método histórico, do comparativo, do survey de questionários e entrevistas pessoais semi-estruturadas. A base de dados foi organizada utilizando o software Statistical Package for the Social Sciences (SPSS) e cotejada por meio da análise de Variância, Crosstabulation e Regressão Linear. O estudo foi dividido em sete capítulos. O primeiro, a introdução, expõe o problema de pesquisa, os objetivos e hipóteses, os procedimentos metodológicos e a área de estudo. O segundo apresenta o referencial teórico metodológico abordando as teorias do Capital Social e da Nova Economia Institucional. O terceiro capítulo trata da discussão e análise dos resultados. Começam com a caracterização dos assentamentos e exposição da trajetória de luta dos assentados desde o acampamento até a criação dos assentamentos, período muito difícil para aquelas famílias, mesmo depois de assentadas. Inicialmente os assentamentos se organizaram em cooperativas. A única que continua em operação é a Coopan do assentamento Capela. A falta de orientação e o desconhecimento sobre como gerir uma cooperativa foram as causas da liquidação das outras. A continuidade da Coopan pode ser atribuída ao estoque de capital social que vinha se acumulando antes mesmo dos acampamentos. O quarto capítulo identifica e caracteriza as organizações que atuam nos assentamentos. Observou-se que as relações entre assentados e outras organizações se restringem ao Movimento Social de Trabalhadores sem Terra (MST). O quinto capítulo investiga a percepção dos assentados sobre a confiança e a honestidade dentro do grupo (assentamento) e nas relações com outros agentes. Observou-se que o MST é a organização em que eles mais confiam e consideram a mais honesta. O governo federal aparece em segundo lugar. Apesar do MST ser uma organização não formal é ele quem estabelece as regras a serem seguidas dentro dos assentamentos. No sexto capítulo são analisadas as dimensões do capital social, relacionando-as com as performances dos assentamentos. As análises estatísticas mostraram não haver diferenças significativas com relação às dimensões do capital social, analisadas entre os três assentamentos. No entanto as informações socioeconômicas coletadas permitem afirmar que o grupo Coopan do assentamento Capela é o que apresenta melhor performance socioeconômica. O sétimo capítulo apresenta as conclusões. / This study had the aim of studying the socioeconomic performances of settlements of the agrarian reform in the Rio Grande do Sul state (southerm Brazil), through the analysis of indicators of social capital and their institutions. The research problem is exposed by means of the following question: in what extent the approach of the New Institutional Economy and the Social Capital can explain the different performances of the settlements of agrarian reform? The attempt was to study the relationships among the different settlements and among them and other actors involved in the process of development of settlement to know the type of social capital which is created and accumulated inside the settlements. The areas of this study included three settlements of the Metropolitan Region of Porto Alegre, as follows: "Capela", "19 de Setembro" and "Integração Gaúcha", located in the municipalities of Nova Santa Rita, Guaíba and Eldorado do Sul, respectively. The used methods were of qualitative type that employs historical and comparative methods, survey inquiries and semi-structured personal interviews. The data base was organized utilizing the Statistical Package for the Social Sciences (SPSS) software and compared through analysis of variance, cross tabulation and linear regression. The study was divided in seven chapters. The first chapter, which is the introduction, expounds the research problem, the objectives, the hypothesis, the methodological procedures and the area of study. The second chapter presents the theoretical reference with the approaching theories of the Social Capital and the New Institutional Economy. The third chapter tackles the discussion and analysis of the results. It begins with the characterization of the settlements and the presentation of the path of struggle of the settled people from the occupation camp until the settlement formation that was very hard even after the settlement formation. Initially the settled people were organized in cooperatives. The only cooperative currently in activity is that from the settlement "Capela" (Coopan). Lack of orientation and knowledge about managing were the causes of the liquidation of the cooperatives. The continuity of the Coopan may be attributed to the social capital stoking accumulated before the settlement was established. The fourth chapter identifies and characterizes the organizations that act inside the settlements. It was observed that the relationships maintained between the settlements and organizations are restricted to the MST (landless movement). The fifth chapter investigates the perception of the settled people concerning the confidence and honesty inside the group (settlement) and the relationships with other agents. It was observed that the MST is the organization in which they have more confidence and that consider to be more honest. The federal government appears in the second place. In spite of the MST being a non formal organization, the settlement follows the rules established by that organization. The sixth chapter analyses the dimensions of the social capital in relation to the performances of the settlements. Statistical analysis showed no significant differences in relation to the dimensions and the social capital in the three settlements. However the socioeconomic information that was collected let state that the Coopan group from "Capela" settlement was that of the best socioeconomic performance. The seventh chapter presents the conclusion.

Submitted by Erika Demachki (erikademachki@gmail.com) on 2017-04-06T21:47:39Z No. of bitstreams: 2 Dissertação - Éverton de Carvalho Castro - 2017.pdf: 2619502 bytes, checksum: 835b124dc02d09042e979a533617e1c6 (MD5) license_rdf: 0 bytes, checksum: d41d8cd98f00b204e9800998ecf8427e (MD5) / Approved for entry into archive by Luciana Ferreira (lucgeral@gmail.com) on 2017-04-07T11:20:07Z (GMT) No. of bitstreams: 2 Dissertação - Éverton de Carvalho Castro - 2017.pdf: 2619502 bytes, checksum: 835b124dc02d09042e979a533617e1c6 (MD5) license_rdf: 0 bytes, checksum: d41d8cd98f00b204e9800998ecf8427e (MD5) / Made available in DSpace on 2017-04-07T11:20:07Z (GMT). No. of bitstreams: 2 Dissertação - Éverton de Carvalho Castro - 2017.pdf: 2619502 bytes, checksum: 835b124dc02d09042e979a533617e1c6 (MD5) license_rdf: 0 bytes, checksum: d41d8cd98f00b204e9800998ecf8427e (MD5) Previous issue date: 2017-03-03 / Fundação de Amparo à Pesquisa do Estado de Goiás - FAPEG / The purpose of this work is to study the production chain of common bean (Phaseolus vulgaris L.) seeds, observing the organizational arrangements, as well as the influence of the establishment of institutions to guarantee property rights and others Topics of the New Institutional Economy, such as “limited rationality”, “transaction cost” and “asset specificity”. Through interviews with representatives of the protection holders of common bean cultivars, the decisions and motivations for structuring the seed production chain were raised, and with official MAPA data the current situation in Brazil was exposed. Seed multiplication occurs mostly through licensing contracts, in the face of much concern about the existence of illegal seed trade. Among findings, we verify that uncertainty and moral hazard may indicate the reason for the development of common bean cultivars in Brazil to be headed by public organizations and with little participation of the private sector. / A proposta deste trabalho é aprofundar o estudo da cadeia de produção de sementes de feijão-comum (Phaseolus vulgaris L.), com observação das formações de arranjos organizacionais, bem como da influência do estabelecimento de instituições para a garantia do direito de propriedade e outros tópicos da Nova Economia Institucional, como “racionalidade limitada”, “custo de transação” e “especificidade de ativos”. Por meio de entrevistas realizadas com representantes dos detentores de proteção de cultivares de feijão-comum foram levantadas as decisões e motivações para a estruturação da cadeia produtiva de sementes, e com dados oficiais do Ministério da Agricultura, Pecuária e Abastecimento (Mapa) foi exposta a atual conjuntura no Brasil. A multiplicação de sementes ocorre na maioria das vezes por meio de contratos de licenciamento, diante de muita preocupação com a existência do comércio ilegal de sementes. Entre os achados, verifica-se que a incerteza e o risco moral podem indicar a razão de o desenvolvimento de cultivares de feijão-comum no Brasil ser encabeçado por organizações públicas, com pouca participação da iniciativa privada.

A grande maioria das organizações falha no processo de implementação de estratégias. A farta literatura de administração de empresas evidencia o fenômeno, e desafia os cientistas das organizações a buscarem aprimoramentos para o problema em questão. A presente tese identifica as principais variáveis críticas de sucesso para a implementação de estratégias, e desenvolve uma análise empírica do sistema de distribuição de defensivos agrícolas no Brasil. O referencial teórico empregado inova, ao trazer as abordagens da Economia das Organizações, na vertente da Economia dos Custos de Transação (ECT), para a análise de um problema de governança corporativa, complementando as tradicionais abordagens de Management, adotadas nas disciplinas de Administração Geral. A análise por meio da Economia das Organizações traz o embasamento econômico e a descrição social do comportamento humano aos processos de geração e implementação de estratégias, preenchendo uma lacuna teórica. A ECT desenvolve uma visão contratual do processo de implementação de estratégias, que analisa a relação entre os proprietários e executivos, para o desenvolvimento de ações definidas pelas estratégias. Assim, a tese associa as estruturas de governança minimizadoras dos custos de transação para a implementação de estratégias com as características das diversas organizações. A tese identificou como variáveis críticas de sucesso no processo de implementação de estratégias: i) a presença de gestão contratada, com executivos (gestores contratados) iniciando as estratégias, estrategistas (proprietários) ratificando-as, executivos implementando-as e estrategistas monitorando-as, para organizações complexas; ii) a existência de mecanismos de adaptação do processo de implementação de estratégias; iii) a existência de salvaguardas contratuais em função da necessidade de investimentos em ativos específicos, gerados a partir das estratégias; e iv) a existência de salvaguardas contratuais em função das incertezas do ambiente de negócio. A pesquisa empírica desenvolveu-se por meio de um survey, que analisou o processo de implementação de estratégias em 32 canais de distribuição de defensivos agrícolas no Brasil. Assim, tornou-se possível o desenvolvimento de uma discussão empírica das hipóteses, que evidencia a relevância das variáveis críticas de sucesso identificadas na revisão teórica. Os resultados da pesquisa empírica apontaram, com exceção da restrição ao resíduo do tomador de decisão, para empresas não complexas, que todas as variáveis críticas de sucesso identificadas na revisão teórica apresentaram relação direta e positiva com a performance do processo de implementação de estratégias, variando entretanto, com relação à significância estatística. A variável gestão contratada não apresentou significância estatística, o que se justifica em parte, pela presença de poucas organizações que apresentam profissionais contratados para gerirem as empresas que compõem a amostra, fato que dificultou a análise. Os resultados da pesquisa empírica não podem ser extrapolados para a população, uma vez que a amostra não é aleatória nem representativa. A partir da revisão teórica e das evidências da pesquisa empírica, a tese elaborou uma proposta metodológica que promove o desenvolvimento de estruturas de governança a partir da análise das variáveis críticas de sucesso, que geram eficiência no processo de implementação de estratégias. Foram estruturadas três dinâmicas que exploram as variações do comportamento dos agentes nas organizações, a necessidade de investimentos em ativos específicos em função das estratégias definidas no processo, e o nível de exposição a incertezas do ambiente de negócios das organizações. A tese consolidou um modelo de gestão estratégica e as dinâmicas são focadas na fase de implementação, após a definição das estratégias. / The great majority of organizations fail when it comes to implement strategies. The great amount of literature in business administration shows such a fact, and challenges the scientists of organizations to find improvements to this issue. The following thesis identifies the main critical success variables to implement strategies and comes up with an empirical analysis of the distribution system of agricultural agrochemical in Brazil. The theoretical references employed are innovative, for they bring the approaches of the Economy of Organizations, under the lines of Transactional Costs Economics (TCE), to the analysis of an issue of corporate governance, in addition to the traditional approaches of Management adopted in the subject matters of Business. The analysis through Economy of Organizations has the economic foundation and the social description of human behavior in the processes of generation and implementation of strategies, thus fulfilling a theoretical gap. TCE develops a contractual approach of the strategies implementation process, one which analyzes the relationship between owners and executives to develop actions defined by strategies. Thus, the thesis associates governance structures which are diminishing factors of cost transactions to implement strategies with the characteristics of several organizations. The thesis identified as critical success variables in the process of implementing strategies: i) the presence of contracted management, with executives (contracted managers) initiating the strategies, strategists (owners) ratifying them, executives implementing them and strategists monitoring them in complex organizations; ii) the presence of mechanisms to adapt the process of strategies implementation; iii) the existence of contractual safeguards due to the need for investments in specific assets generated as result of strategies; and iv) the presence of contractual safeguards due to the uncertainties of the business environment. The empirical research was conducted through a survey, which analyzed the process of strategies implementation in 32 agricultural agrochemical distribution channels in Brazil. Thus it was possible to develop an empiric discussion of the hypothesis that demonstrates the relevance of the critical success variables identified in the theoretical review. The results of the empirical survey show, with the exception of the restriction to the remnant of the decision maker for non-complex enterprises, that all critical success variables identified in the theoretical review showed a direct and positive relation with the performance of the process of strategies implementation, but with variations in relation to their statistical significance. The variable contracted management showed no statistical significance, partially due to the existence of few organizations with contracted professionals to manage the companies, a factor which hindered the analysis. The results of the empirical survey cannot be extended to the population, since the sampling is neither aleatory nor representative. With the theoretical review and the evidence presented in the empirical survey the thesis established a methodological proposal that promotes the development of governance structures from the analysis of critical success variables that generate efficiency in the strategies implementation process. Three dynamics were structured which explore the behavioral variations of agents in organizations, the need of investments in specific assets according to the strategies defined in the process and the level of exposure to uncertainties in the business environment of organizations. The thesis consolidated a model of strategic management and the dynamics are focused in the implementation phase, after the definition of strategies.

É comum no Brasil, a afirmação de que existem leis que \"não pegam\". Nesse sentido, o presente estudo visa a analisar como os incentivos influenciam no cumprimento de normas positivadas em sistemas agroindustriais (SAG). Sendo assim, as leis escolhidas foram: a lei de uso e conservação do solo, com foco no combate e controle da erosão e a lei dos agrotóxicos, com ênfase no armazenamento na propriedade agrícola e retorno das embalagens. A base teórica adota a linha da Nova Economia Institucional, tratando assim do conceito e da importância do ambiente institucional, dos custos sociais, dos custos de transação e mensuração, da questão dos bens comuns e dos direitos de propriedade. Partindo-se desses conceitos foram fundamentadas cinco hipóteses de trabalho, os cinco tipos de incentivos ao cumprimento das normais formais, os quais são: alinhamento da norma formal às normas sociais; a influência do interesse privado; a influência do interesse do Estado; custos ao Estado e aos agentes econômicos. Para a parte empírica optou-se pelo método de estudo de casos, contemplados por análises de estatísticas descritivas. Foram utilizados, portanto, dados qualitativos e quantitativos. Destaca-se que foi feito um recorte com relação às culturas agrícolas e regiões para a coleta de dados. As culturas selecionadas foram a da cana-de-açúcar e a da pastagem (bovinocultura). Assim, as regiões nas quais foram feitas as entrevistas e questionários foram: Andradina, Araçatuba, Presidente Prudente, São José do Rio Preto e Ribeirão Preto. Como resultado verificou-se que quatro das cinco hipóteses de trabalho apresentaram evidências para sua não rejeição. A exceção ficou por conta da hipótese associada ao efeito do custo de adesão pelos agentes econômicos. Embora tal hipótese tenha sido rejeitada pelos números obtidos, observa-se que ela deve ser levada em consideração na análise de incentivos, mas não de forma isolada. Os custos a que se refere essa hipótese podem estar associados a outros incentivos, como, por exemplo, as outras hipóteses de estudo. Por meio de tais resultados, concluiu-se que normas que tratam dos bens comuns (em alguma medida) possuem um mecanismo de cumprimento mais complexo, já que não se trata de uma questão puramente econômica. Ações que promovam o conhecimento de tais normas e a conscientização da amplitude do tema são importantes para que as normas sociais, que não se modificam rapidamente, estejam alinhadas à norma formal promovendo o seu cumprimento voluntário. Além disso, as normas que tratam da temática ambiental devem envolver toda a cadeia (SAG), dado que, particularmente nesse tipo de cadeia, há uma dependência grande entre os atores. Assim, devem-se analisar conjuntamente os efeitos da norma formal em questão. / It is common in Brazil, the affirmation that there are laws that \"do not catch\". In this sense, this study aims to analyze how incentives influence the compliance of rules in agribusiness systems. Thus, the laws that were chosen are: the law of use and conservation ground, focusing on combating and controlling erosion, and the agrochemicals law, with an emphasis on storage on the farm and the return of packages. The theoretical basis adopts the line of the New Institutional Economics, thus treating the concept and the importance of the institutional environment, the social costs, the transaction and measurement costs, the question of the commons and property rights. Based on these concepts were developed five working hypotheses, the five types of incentives to comply formal rules which are: the alignment of the formal norms to social norms, the influence of private interest, the influence of the interest of the State, the costs to the State, and the costs to economic agents. For the empirical part it was chosen the method of cases study, contemplated by analysis of descriptive statistics. Therefore qualitative and quantitative data were employed. It is highlighted that a cut was made with respect to agricultural crops and regions for data collection. The cultures that were selected are the sugar cane and the pasture (cattle). Thus, the interviews and questionnaires were made in the following regions: Andradina Araçatuba, Presidente Prudente, São José do Rio Preto and Ribeirão Preto. As a result it was found that four of five working hypotheses showed no evidences for its rejection. The exception was the hypothesis associated with the effect of the adhesion costs by economic agents. Although this hypothesis has been rejected by data obtained, it is observed that this hypothesis must be taken into account in the analysis of incentives, but not in an isolated way. The costs that are treated on that hypothesis may be associated with other incentives, such as the incentives that are treated in the other hypotheses of this research. Through these results, it was concluded that formal rules that deal with commons (in some measure) have a compliance mechanism more complex, once it is not a purely economic question. Activities that promote knowledge of the formal norm and the awareness of the breadth of the subject are important for that the social norms (which do not change quickly) are aligned with the formal norm, promoting the voluntary compliance of this. Moreover, the formal rules that deal with environmental issues should involve the all chain (agribusiness system), inasmuch as, particularly in this type of chain there is a great dependency between actors. Thus one should make an analysis considering, in a set, the effects of the formal norm in question.

L’objectif de ce travail est d’identifier les contraintes économiques à prendre en compte pour encourager l’investissement (public et prive) dans la restauration des écosystèmes aquatiques à partir du prisme de l’économie néo-institutionnelle. Au cours de ce travail nous avons mobilisé des matériaux et des méthodes variés qui nous ont permis d’identifier trois types de contraintes : des contraintes de coûts, des contraintes organisationnelles et des contraintes institutionnelles.Nos résultats montrent que ces projets sont exposés à une grande variabilité de coûts de production dans laquelle certains attributs jouent un rôle clé: le type d’écosystème cible, le contexte institutionnel, le degré de perturbation initial, l’ampleur des travaux à réaliser, le climat et la taille des projets.La mobilisation du cadre de l’économie néo-institutionnelle nous a conduits à nous intéresser aux coûts de transaction qui entourent les actions d’investissement dans la restauration des écosystèmes aquatiques. Ces coûts sont liés à l’existence de dispositifs de coordination particuliers entre acteurs du fait de la complexité des dynamiques de la biodiversité. Trois caractéristiques des projets sont à l’origine des coûts de transaction : la spécificité des actifs, l’incertitude et la fréquence des transactions. À partir de l’étude du marché de la compensation aux États-Unis et de quatre cas d’étude en France, nous montrons le lien qui existe entre source des coûts de transaction et efficacité organisationnelle du système. Nous montrons notamment qu’il existe une tension entre un objectif ambitieux de conservation et un objectif de développement des incitations à l’investissement. / The objective of this work was to develop the framework of the new institutional economics to identify the economic constraints to overcome in order to encourage public or private agents to invest in restoring aquatic ecosystems. In the course of this work we mobilized different materials and methods that allowed us to identify three types of constraints: cost constraints, organizational constraints and institutional constraints.Our results show that these projects are exposed to a great variability of production costs, some key attributes play a decisive role in this variability: the type of targeted ecosystem, the institutional context, the initial degree of disturbance, the amount of works needed, the climate and the size of projects.Using the new institutional economics framework, we were interested in the transaction costs that surround investment project of restoring aquatic ecosystems. These costs are associated to the need of specific coordination devices between actors adapted to the complexity of biodiversity dynamics. Transaction costs originate from three different characteristics of projects: asset specificity, uncertainty and frequency of transactions. From the study of the market of wetland mitigation in the United States and of four case study in France, we show the link between the origin of transaction costs and organizational efficacy of the system. Among other results, we show that there is a tradeoff between an objective of challenging conservation and an objective of creating incentives for investment for the restoration of aquatic ecosystems.

Chinese compradors, official managers, and overseas Chinese capitalists have received scholarly attention of late with special notice to studying their contributions to China’s industrial modernization. This thesis shifts this emphasis to seeing these three groups of Chinese merchants as types of Chinese capitalist middlemen, whose principal efforts were in the commercial sector during the late Qing and early Republican periods. Specifically, it focuses on their activities within Shanghai’s International Settlements, where the openings for entrepreneurial innovation could be made the most of with little interference from Chinese state officials. The market created by Chinese capitalist middlemen is distinguished from the greater Chinese economy by its concentration in Shanghai’s International Settlements and its being a commercial revolution. Particularly, this thesis links entrepreneurial business history with New Institutional Economics by placing the entrepreneur at the heart of Chinese commercial development beginning in the 1860s. It investigates how the above three types of middlemen’s commercial activities impacted the structural organization of the traditional family firm, reshaping this organization into a modern operation. As the traditional Chinese family firm emerged in a political institutional framework that both favored firms’ risk reduction and official sponsorship, Chinese capitalist middlemen played a part in structurally re-organizing the family firm into the modern firm. Chinese entrepreneurial behavior arose through a social process of bridging, which occurred through Chinese middlemen’s daily interactive commercial activities in Western firms in Shanghai. In the cases of compradors, these acculturated practices were employed in their own family firms and reflected a novel risk-taking pattern wherein they engaged in new fields of enterprise. In the cases of guandu shangban enterprises, official managers evolved these firms to absorb the pricing mechanism and lower transaction costs to benefit customers and the firm’s revenue. In the cases of returned overseas Chinese capitalists, in this thesis Australian ones are examined, they capitalized their department stores’ operations through reinvesting overseas Chinese surplus income that had traditionally been returned as remittances home to China. All of them fashioned a cosmopolitan view of themselves and fostered a moral view that combined Confucian and Christian ethics giving rise to a notion of human capital as a form of commercial welfare. / Graduate

Labour migration to the Gulf Cooperation Council (GCC) countries has been occurring forseveral decades. Most of the GCC countries regulate this process through the Kafala System, alegal regime through which individuals and companies can sponsor foreigners with whom theyhave concluded an employment contract. But why do these countries bring millions of foreignersto their lands and what rights does the Kafala System guarantee them? Are there any negativeeconomic and political consequences that result from the way that the Kafala System has beenconceived in the GCC countries? If so, how can this system be reformed so that it produces moredesirable economic and political outcomes? This thesis explores these questions in the contextof the Kafala System in Saudi Arabia. It uses a New Institutional Economics (NIE) approach tounderstand the political, economic, and historical context within which the Kafala System arose,positing that the design of the system reflects a desire to promote economic growth and improvepolitical stability while remaining rooted in the Islamic identity of Saudi Arabia. It further showsthat for a long time, the Kafala System was successful in furthering these objectives. However, ithas lately become prone to producing suboptimal outcomes. Foreign direct investment in SaudiArabia has gone down, remittance outflows as a percentage of GDP have increased, skilled andhighly skilled workers are leaving the kingdom, and even Saudi Arabia’s political stability has beenreduced. Given all of these problems, the thesis uses Path Dependence (PD) theory to argue thatthe only reason that the Kafala System continues to be in place is that it has become a path-­‐dependent institution that is resistant to change. This took place in three steps: (1) the initial setof choices that created the Kafala System were informed by important economic and politicalconsiderations as well as an affirmation of the Kingdom’s commitment to tie all legal institutionsto an Islamic source, (2) the Kafala System successfully helped Saudi Arabia achieve rapideconomic growth and increased political stability, outcomes which served as a positive feedbackeffect, and (3) the continued use of the Kafala System has increased switching costs because oflearning effects, coordination effects, and adaptive expectations. The thesis then argues that inorder to successfully reform this system, it is important in the first instance to justify proposedchanges in light of Islamic teachings, since this will improve how receptive Saudi society is tothem. At the same time, it is also necessary to show that changes in the international investmentclimate and the transition to a global information economy constitute a ‘critical juncture’ duringwhich the problem of switching costs can be overcome and far-­‐reaching reforms can besuccessful. Of course, it goes without saying that reforms that increase protections for the rightsof workers would also align Saudi Arabia’s domestic law with its international treaty obligations.

Cette thèse examine les déterminants qui expliquent les types de contrats choisis par les exportateurs et les importateurs pour gérer les risques du commerce international. Elle analyse le cas des exportations chiliennes comme l'un des leaders de l'hémisphère sud sur le commerce des fruits. En appliquant la Théorie de Coûts de Transaction et l'Analyse Institutionnelle, ce travail étudie l'influence de l'incertitude environnementale et comportementale ainsi que la spécificité des actifs sur le degré de complétude, la formalisation et l'exécution des contrats. Cette recherche applique une méthodologie multistrand intégrant des méthodes qualitatives et quantitatives. L'analyse utilise les informations provenant de 39 entretiens directs avec des exportateurs et des importateurs et de 65 enquêtes auprès d' exportateurs conduites à l'aide d'un questionnaire. Elle s'appuie également sur une base de données exhaustive issue des douanes chiliennes et documentant les 170370 transactions avec leurs contrats respectifs réalisées par le Chili dans ses exportations vers l'ensemble du monde sur la période 2009-2010. Elle s'appuie enfin sur 44 cas d'arbitrage international dans le commerce de fruits et légumes. Les résultats montrent que les niveaux d'incertitude environnementale liés aux « risques - pays importateurs » conduisent à des contrats plus complets tandis que des niveaux d'incertitude liés à la périssabilité des fruits conduisent à des contrats moins complets. De son côté, la pénurie d'offre sur le marché met l'entreprise exportatrice dans une position favorable pour négocier des contrats plus complets. Ces transactions internationales sont supportées par des moyens oraux et écrits; dans le négoce international des fruits, les contrats signés sont plus importants que pressenti, et leur rôle est davantage destiné à satisfaire les exigences institutionnelles qu'à compenser les risques. Pour faire respecter les contrats, les entreprises adoptent des mécanismes formels comme les inspections, les assurances et l'arbitrage, ainsi que des mécanismes informels tels que la confiance et la réputation. Cette étude a ses limites car elle porte principalement sur le point de vue de l'exportateur, la base de données des douanes ne fournissant pas l'identité de l'importateur et l'analyse transversale ne permettant pas d'observer l'évolution des pratiques contractuelles dans la durée. Jusqu'à présent, peu de recherches empiriques ont été faites sur les contrats intégrés dans différents contextes institutionnels; cette thèse contribue donc à la connaissance des choix contractuels dans 117 pays importateurs et plus généralement à la compréhension du commerce international des produits périssables. Elle est sur le plan académique, une contribution à la littérature économique et gestionnaire des contrats (complétude, formalisation, exécution) et des changements de forme de gouvernance dans les filières internationales. / This doctoral dissertation examines the determinants explaining the type of contracts chosen by exporters and importers to manage the hazards of international trade. It analyzes the case of Chilean off-season exports as one of the southern-hemisphere leaders in the fruit trade. Applying Transaction Cost Economics and Institutional Analysis as a framework, this work will analyze the influence of environmental and behavioral uncertainty and time-specificity on the degree of completeness, formalization and enforcement of contracts. A multi-strand research design integrating qualitative-quantitative methods is applied to analyze information gathered through: 39 face-to-face interviews with exporters and importers; questionnaire surveys from 65 exporters; an exhaustive Chilean customs database containing 170,370 shipments and contracts from Chile to worldwide buyers; and 44 international arbitration cases for the fruit and vegetable trade. The results show that high levels of uncertainty in the alternative importing countries increase the use of more complete contracts. When levels of fruit perishability are high, this often leads to less complete contracts. Shortage of market supply allows the exporting company a favorable position to negotiate a more complete contract. International transactions are supported by oral and written means; the use of signed contracts is more important than perceived in the fruit industry, but its role is more oriented to respond to institutional requirements rather than as a mechanism to offset hazards, such as exporting to risky countries or dealing with distrustful importers. To enforce contracts firms adopt formal and informal mechanisms. These include inspections, insurance, arbitration, in addition to trust and reputation. Limitations of this study include: the customs database does not include the identity of the importer, the cross-sectional analysis performed does not allow observing the evolution of contracting practices, the study is placed predominately from the exporter's perspective. There is also little empirical research on contracts analyzing transactions embedded in different institutional settings. This thesis contributes to the knowledge of contractual choices in 117 importing countries. It contributes to the understanding of international trade of perishable products. It also contributes to the economics and management literature on international contract completeness, formalization, enforceability, and to literature focusing on the changes of governance in the international supply chains.

Cette thèse traite de l'évolution du cadre organisationnel et institutionnel de l'industrie pétrolière russe durant la période 1992-2012. Son objectif est de caractériser et d'interpréter l'accroissement du rôle des compagnies pétrolières à capitaux majoritairement publics, Rosneft et Gazpromneft, dans les opérations de l'amont pétrolier qui est observé depuis le milieu des années 2000. Dans ce cadre théorique de la Nouvelle économie institutionnelle, notre thèse soutient que le rôle accru des compagnies pétrolières publiques russes marque le passage d'une structure de gouvernance pétrolière libérale à une structure de gouvernance pétrolière hybride. Cela doit être interprété comme la réponse faisable, de la part des autorités fédérales, à l'incohérence existant entre la structure de gouvernance pétrolière libérale définie au début du processus de transition et l'environnement institutionnel prévalant en Russie. / This PhD dissertation deals with the evolution of the institutional and organizational framework of the Russian oil indThis PhD dissertation deals with the evolution of the institutional and organizational framework of the Russian oil industry during the period 1992-2012. Its main objective is to characterize and reinterpret the increasing involvement of the national oil companies (NOCs), Rosneft and Gazpromneft, in the upstream activities observed since the middle of the 2000's. Relying on the New Institutional Economics framewrokd, we argue that the increasing involvement of the Russian NOCs can be characterized as a change from a liberal oil governance structure to a hybrid oil governance structure. We show that this organizational evolution must be interpreted as the feasible reform that can be implemented by the federal authorities for dealing with the incoherence between the liberal governance structure defined at the beginning of the transition process and the Russian institutional environment.