Text in German / The present thesis undertakes a comprehensive survey and criticak analysis of the concept of duty and its significance in the prose of Siegfried Lenz (born in 1926). It concentrates on those novels and narratives in which duty is the main motif; these are Schwierige Trauer (1960), Das Feuerschiff (1960), Deutschstunde (1968) and Ein Kriegsende (1984). After an introduction which outlines the development and the influence of the concept of duty in Germany, the thesis deals with Lenz's prose in chronological order. Siegfried Lenz's main motif is the significance of the concept of duty within the moral code of the individual, the specific meaning and influence of which has been developed in Germany. Lenz does not deny that duty is a necessary element of the process of socialization. But he rejects the unreflected and uncritical acceptance of a dubious morality based on a sense of duty, at the expense of individuality and responsibility for oneself. It is a deformed understanding of duty which Lenz exposes and criticizes in his work: a characteristic mark of submissiveness and slavish obedience ("Untertanengeist und Kadavergehorsam"). These distortions are determined by political-historical events, theological dogmas, philosophical theses and an authoritarian upbringing. The reasons for the attitudes and behaviour of Lenz's fictitious characters have their roots in those factors. Lenz always insists on reflection. He refuses the uncritical acceptance of a morality based on duty, which allows a person to avoid his or her responsibility. However, Siegfried Lenz neither attempts to construct a social background nor does he offer recipes for a new social order. Rather he restricts himself to the sceptical questioning of norms and values, which are maintained by authority. The author creates a conflict in a hermetic environment, for example a ship or a small village, in which his fictitious characters have to prove themselves. By confronting his readers with such an extreme situation and the protagonists' questionable decisions, Lenz forces his public to reconsider their own position. The author's aim is to make his readers realize that right and wrong cannot always be distinguished in a clear-cut manner / Linguistics and Modern Languages / D.Litt. et Phil. (German)

abstract: This dissertation is a collection of three essays relating household financial obligations to asset prices. Financial obligations include both debt payments and other financial commitments. In the first essay, I investigate how household financial obligations affect the equity premium. I modify the standard Mehra-Prescott (1985) consumption-based asset pricing model to resolve the equity risk premium puzzle. I focus on two channels: the preference channel and the borrowing constraints channel. Under reasonable parameterizations, my model generates equity risk premiums similar in magnitudes to those observed in U.S. data. Furthermore, I show that relaxing the borrowing constraint shrinks the equity risk premium. In the Second essay, I test the predictability of excess market returns using the household financial obligations ratio. I show that deviations in the household financial obligations ratio from its long-run mean is a better forecaster of future market returns than alternative prediction variables. The results remain significant using either quarterly or annual data and are robust to out-of-sample tests. In the third essay, I investigate whether the risk associated with household financial obligations is an economy-wide risk with the potential to explain fluctuations in the cross-section of stock returns. The multifactor model I propose, is a modification of the capital asset pricing model that includes the financial obligations ratio as a ``conditioning down" variable. The key finding is that there is an aggregate hedging demand for securities that pay off in periods characterized by higher levels of financial obligations ratios. The consistent pricing of financial obligations risk with a negative risk premium suggests that the financial obligations ratio acts as a state variable. / Dissertation/Thesis / Doctoral Dissertation Economics 2017

Les pertes de rendement dues au climat sont positivement corrélées. Cela va à l’encontre des principes d’assurance et expose l’assureur à des risques financiers qu’il ne peut supporter seul. Les réassureurs eux-mêmes peuvent être dépassés par les sommes en jeu. Les marchés financiers en revanche possèdent la capacité financière requise et l’effet diversifiant des risques climatiques pourraient intéresser les investisseurs. Une stratégie de gestion du risque systémique consistant pour l’assureur à isoler la partie corrélée du risque rendement et à la transférer aux marchés financiers via des obligations catastrophe est analysée en trois points. Tout d’abord, des modèles de tarification isolant la part systémique du risque sont présentés. Ensuite, la démonstration de la faible corrélation d’une obligation agricole est faite, ainsi que de ses rendements élevés, confirmant son potentiel pour les investisseurs. Enfin, l’évolution de la valeur de marché des compagnies émettrices d’obligations catastrophe est étudiée. Au global, aucun impact n’est détecté. En détail, des émissions répétées favorisent la hausse de la valeur de l’émetteur, et de grosses émissions en favorisent la baisse. Les assurances indicielles sont utilisées comme support de l’étude. Basées sur des proxys de rendement plutôt que sur des rendements réels, elles donnent accès à des bases de données complètes et fiables. Ces travaux contribuent à la littérature restreinte concernant les risques agricoles et leur transfert vers les marchés financiers. Ils fournissent aux assureurs une stratégie alternative de transfert de risque et ouvrent la voie vers des outils innovants d’investissement. / Crop yield insurance comes with loss correlation, impeding the classical insurance risk pooling. Insurers alone cannot face the high exposure entailed by weather risks, which can even fall beyond the reinsurers’ financial capacity. Financial markets appear as a logical risk-transfer solution, investors being potentially interested by the diversifying effect of weather-linked risks. A systemic risk management strategy consisting for the insurer to isolate the correlated component of the crop yield risk and to transfer it to the financial markets through catastrophe bonds is investigated in three points. First, insurance pricing models separating the risk into a systemic and a non-systemic component are presented. Second, the interest for investors to take part in a cat bond based on agricultural risks is analyzed. The low correlation to financial markets of such bonds and their potentially high returns confirm the attractiveness of this new asset class for investors. Finally, the evolution of the market value of cat bonds issuers is studied. No general evolution is identified, but firms used to issue cat bonds may expect their market value to increase, while the firms issuing the largest bonds may expect their market value to decrease. The study is applied to the case of index insurance, based on yield proxys rather than real yields, which provides detailed data for accurate risk quantification. This work contributes to the still limited literature regarding agricultural risks and insurance by describing an integrated systemic risk management strategy providing insurers with alternative risk-sharing solutions and investors with innovative asset allocation opportunities.

Submitted by Johnny Rodrigues (johnnyrodrigues@ufcg.edu.br) on 2017-11-27T15:29:08Z No. of bitstreams: 1 JULIETE MIRANDA ALVES - Tese PPGCS - 2015..pdf: 2318624 bytes, checksum: f6ca852173b4fa50df54421905611193 (MD5) / Made available in DSpace on 2017-11-27T15:29:08Z (GMT). No. of bitstreams: 1 JULIETE MIRANDA ALVES - Tese PPGCS - 2015..pdf: 2318624 bytes, checksum: f6ca852173b4fa50df54421905611193 (MD5) Previous issue date: 2015-09-04 / O objetivo central deste trabalho consiste em analisar, através das redes sociais, os vínculos e as formas de retribuição constituídas na carreira de militantes das lideranças da Transamazônica e Xingu-Estado do Pará. Centralizamos nossa análise nas lideranças que construíram sua militância em movimentos sociais e se projetaram em entidades de classe, como a Federação dos Trabalhadores na Agricultura (FETAGRI regional) e o Sindicato dos Trabalhadores na Educação Pública do Pará (SINTEPP regional). O periodo selecionado para essa análise foi a partir da década de 1980, culminando com o momento de reorganização dos movimentos sociais na Transamazônica e Xingu. Consideramos, nestes vínculos, os sistemas de troca e retribuição, compreendidos como as alianças tecidas, as trocas realizadas e as formas de retribuição ao longo de suas trajetórias de militantes. Para tal análise, fundamentamo-nos na concepção de dádiva de Marcel Mauss (1872-1950) e sistematizada em sua obra Essai Sur le Don: Forme et Raison de l’Échange dans les Sociétés Archaiques, de 1925. A dádiva foi escolhida como perspectiva teórica porquanto ela é dotada de poder analítico capaz de explicar um dos aspectos mais significativos da tese: as noções de “aliança” e “vínculo” presentes nas redes tecidas por essas lideranças. A metodologia adotada se baseia na análise das trajetórias de lideranças vinculadas à noção de carreira. Esta noção pretende dar conta de um modelo processual ou sequencial da ação militante, considerando as redes sociais tecidas nas trajetórias das lideranças. Compreendemos, nesta pesquisa, que a adesão, engajamento, longevidade e extensão da militância dessas lideranças são fundadas mediante variadas formas de reconhecimento, baseadas, sobretudo, na obrigação moral de retribuição. / This study’s main objective is to examine compensation links and forms made in militant career of Transamazônica and Xingu leaders (Pará, Brazil) through social networks. Our analysis is focused on leaders who built his/her activism in social movements and they are designed in professional associations such as Agricultural Workers Federation (regional FETAGRI) and Public Education Workers Union (SINTEPP from Pará state). The period selected for this analysis since the 1980, culminating with the moment from reorganization of social movements Transamazônica e Xingu. We conceive such bonds, exchange and retribution systems as woven alliances, exchanges carried out and retribution ways over their trajectories as militants. This analysis is grounded in Marcel Mauss (1872-1950)’ donation concept, which has been and systematized in his essay Essai Sur le Don: Forme et Raison de l’Échange dans les Sociétés Archaiques, from 1925. The gift was chosen as theoretical perspective because it is endowed with analytical power able to explain one of this thesis’ most significant aspects: “covenant” and “link” notions present in the networks woven by such leaders. Methodology is based on leaders’ trajectory analysis linked to career concept. This concept aims to realize a procedural or sequential militant action model when it comes to social networks woven in leaders’ trajectories. In this research, we understand that such leaders’ militancy adherence, engagement, longevity and extent are based upon various recognition forms, mainly related to the moral obligation to return.

Made available in DSpace on 2014-06-11T19:24:14Z (GMT). No. of bitstreams: 0 Previous issue date: 2008-07-08Bitstream added on 2014-06-13T18:20:25Z : No. of bitstreams: 1 cia_m_me_fran.pdf: 1413817 bytes, checksum: 68d44c988b7aaa47e3e45e2c8e0562ec (MD5) / São deveres do Estado, no contexto do ato do portador de anomalia psíquica que entra em contradição com o ordenamento jurídico pátrio, proteger a sociedade de novas lesões de bens jurídicos penalmente relevantes, proporcionar ao indivíduo adequado tratamento terapêutico, reinseri-lo no convívio social, e, não por último, respeitar e fomentar sua dignidade humana. O presente trabalho investiga as potencialidades da desinternação progressiva na efetivação das finalidades político-criminais das medidas de segurança, finalidades essas que se constituem verdadeira obrigação do Estado Social e Democrático de Direito Material. Ao lado do quadro teórico a respeito de tais finalidades e dos princípios constitucionais aplicáveis à medida de segurança, este trabalho apresenta dados a respeito de sua execução tradicional no Brasil, que apontam para a urgente necessidade de sua reestruturação. O trabalho também expõe dados empíricos relacionados à desinternação progressiva, colhidos no Hospital de Custódia e Tratamento Psiquiátrico II de Franco da Rocha, local em que a experiência inovadora se dá. Revela seus objetivos, características e critérios de funcionamento, assim como desvela os resultados já obtidos e patenteia as imperfeições encontradas. Por fim, evidencia em que medida a desinternação progressiva permite o atingimento das finalidades político-criminais das medidas de segurança e o que deve ser feito para aumentar-lhe a eficácia / Protecting the society from attempts against interests protected by criminal legal rules, providing the patients a proper therapeutical treatment, embedding the patients in the social conviviality, and also respecting and promoting their human dignity, are obligations of the Brazilian State considering the mental ill’s act against legal rules. This paper investigates the potentiality of progressive disinternment on accomplishing the politic-criminal purposes of the Safety Measures. Such purposes are stablished as real obligations of the actual Democratic Welfare Legal State. Besides theoretics on these purposes and applicable constitucional principles related to Safety Measures, the research presents information about their usual execution in Brazil, whose qualifications bring up the need of urgent reorganization. It also presents empirical data about progressive disinternment, collected from the Franco da Rocha Custody and Psychiatric Treatment Second Hospital, establishment in which this innovative experience occurs. It discloses the objectives, characteristics and operational criteria of this experience as well as it studies the results obtained and points the imperfections revealed. Finally, it highlights how progressive disinternment is able to provide the achievement of the politic-criminal purposes related to the Safety Measures and what should be done in order to increase its effectiveness

Made available in DSpace on 2015-05-07T14:27:10Z (GMT). No. of bitstreams: 1 arquivototal.pdf: 736170 bytes, checksum: edc80578ae810393fe1425c7becef552 (MD5) Previous issue date: 2009-11-19 / Coordenação de Aperfeiçoamento de Pessoal de Nível Superior / The Federal Constitution of 1988 lists several principles for the protection of citizens, to assure compliance with citizenship and human dignity. Therefore, the State has the duty to observe these principles in order that we can give equal access to all individuals who sought public health services, as recommended by the art. 6 c / c 196, of the Constitution, which deals with the state's obligation to provide health services in full and free for those in need. There is also a vast constitutional legislation regulating the protection, promotion and restoration of health. So, given that health is a fundamental right of all social and obligation of the Government, should be provided with efficiency, by the State. Therefore, the role of bodies responsible for provision of health services, mainly to the National Health System, to promote proper enforcement. Since often these bodies do not comply with its constitutional duty. This work aimed to precisely check the proper realization of the right to health for all guarantees and principles existing in Brazilian law are respected. The effect was the need to examine the state's responsibility and the means of realization of such a service, showing the importance of providing health service, the existing problem as well as the duty of the state and its possible liability, and also analyzing the means of ensuring the right to health, applicable laws and the attitudes of the Brazilian Justice on the matter. He tried to find solutions for the improvement and proper realization of the health service. / A Constituição Federal de 1988 elenca diversos princípios de proteção aos cidadãos, no sentido de assegurar-lhes o respeito à cidadania e à dignidade da pessoa humana. Por isso, tem o Estado o dever de observar tais princípios, a fim de que se possa dar igualdade de acesso a todos os indivíduos que procuraram o serviço público de saúde, conforme preconiza os art. 6º c/c 196, da Carta Magna, que trata da obrigação do Estado de prestar o serviço de saúde de forma integral e gratuita para aqueles que necessitam. Também existe uma vasta legislação infraconstitucional que regulamenta a proteção, promoção e recuperação da saúde. Assim, sabendo-se que a saúde é um direito fundamental social de todos e de obrigação do Poder Público, deve ser prestado, com eficiência, pelo Estado. Portanto, incumbe aos órgãos encarregados da prestação do serviço de saúde, principalmente, ao Sistema Único de Saúde, promover a devida efetivação. Sendo que, muitas vezes, tais órgãos não cumprem com o seu dever constitucional. Assim, este trabalho teve como objetivo, justamente, buscar a devida efetivação do direito à saúde para que todas as garantias e princípios fundamentais existentes no ordenamento jurídico brasileiro sejam respeitados. Daí decorreu a necessidade de examinar a responsabilidade do Estado e os meios de efetivação do mencionado serviço, mostrando a importância da prestação do serviço de saúde, a problemática existente, assim como o dever do Estado e sua possível responsabilização, e, ainda, analisando-se os meios de efetivação do direito à saúde, as legislações aplicáveis e os posicionamentos do Poder Judiciário brasileiro sobre a matéria. Com isso, procurou-se apontar soluções para a melhoria e devida efetivação do serviço de saúde.

Medical records are being adjusted to match the practical way of understanding an illness as a disorder in the balanced state of the organism. This approach has also modified opinions regarding the form of medical documentation, the determination of necessary examinations and treatment. The progress in medicine along with the growing need for specific medical information made it necessary to look for new ways of making medical information available. One of these ways is to make the system of health care documentation electronic. The main tool of this system is an electronic health card. The objective of my work was to find out the following: the extent of utilization of electronic health cards; doctors´ opinions regarding the use of electronic medical documentation; the attitude of patients to medical documentation and the willingness of doctors to join the IZIP project of electronic health cards. Two hypotheses were checked for the purpose of the graduation work. Hypothesis no. 1 {--} Medical personnel expect that the project of electronic health cards will speed up the process of providing information about patients´ state of health. Hypothesis no. 2 {--} Health care facilities are willing to keep electronic documentation only if they receive compensation for increased administrative activities. To check the hypotheses, the author used the method of quantitative research. Data was collected by means of a questionnaire. The research was carried out between January and March 2009. The research was performed in health care facilities in South Bohemia represented by private doctors. 200 questionnaires were printed out. 152 of these could be fully used for the research. Hypothesis no. 1 was confirmed since 58% of the people who filled out the questionnaire agreed with the statement that the project of electronic health cards would accelerate the process of sharing information about patients´ state of health. Hypothesis no. 2 was not confirmed. There are two main problems preventing the use of IZIP; one of them is that patients are not interested and the other that doctors do not trust the system. That is why the necessary information is not always found in the IZIP since some health care facilities do not work with the system. Doctors would have to be forced or sufficiently motivated to transfer to the use of electronic medical documentation and they would have to change their negative attitude to modern technologies. This work could extend the information about medical documentation and electronic health cards among health care providers and the broader public and give feedback to people working in health care facilities.

Os institutos clássicos do direito das obrigações, notadamente os conceitos de obrigação, adimplemento e inadimplemento precisam ser relidos à luz dos valores da Constituição Federal de 1988 e dos princípios e das cláusulas gerais trazidos pelo Código Civil de 2002, em especial a boa-fé objetiva. A noção tradicional de obrigação, consubstanciada na ideia de uma submissão do devedor ao credor, vem sendo paulatinamente abandonada em favor de um novo conceito de relação obrigacional, composto por direitos e deveres recíprocos que convergem para a consecução de um objetivo comum: o adimplemento. Assim examinado, o adimplemento consiste em um processo dinâmico dentro do qual o devedor deve executar uma série de atos e observar inúmeros deveres (principais, secundários e laterais) necessários ao adimplemento. Foi diante dessa premissa que a doutrina moderna começou a sustentar que a infringência de deveres de conduta e de deveres anexos ao longo da relação obrigacional pode configurar um inadimplemento antecipado do contrato, que se refere às hipóteses em que o inadimplemento resta configurado a despeito de ainda não se ter atingido o termo contratual. Esse estudo visará analisar o conceito e demonstrar a necessidade da consolidação do inadimplemento antecipado como um mecanismo de proteção do credor, examinando a sua possibilidade de aplicação no direito brasileiro, os seus requisitos, a sua natureza jurídica, os seus limites e os seus efeitos. / The classic institutes of contract law, notably the concepts of obligation, performance and breach of contract need to be reread pursuant to the values of the Federal Constitution of 1988 and the principles and general clauses brought by the Civil Code of 2002, in special the good faith. The traditional notion of obligation, based on the idea of the debtors submission to the creditor, has been gradually abandoned in favor of a new concept of obligatory relationship, composed of reciprocal rights and duties converging to achieve a common goal: performance. Thus, performance consists of a dynamic process in which the debtor must perform a series of acts and observe numerous duties (primary, secondary and lateral duties arising of good faith) necessary for performance. It was under this premise that modern legal scholars began to argue that any breach of duties along with the obligatory relationship can configure an anticipated breach of contract, which refers to cases in which the breach is affirmed before the contractual term. This essay aims to analyze the concept and demonstrate the need for consolidation of the anticipated breach as a creditor protection mechanism, examining its application possibility under Brazilian law, along with its requirements, legal status, limits and effects.

Made available in DSpace on 2016-03-15T19:33:31Z (GMT). No. of bitstreams: 1 Ana Paula Caldin da Silva.pdf: 472983 bytes, checksum: bc775c0a7de4347bb88288601e900dd3 (MD5) Previous issue date: 2010-08-12 / Fundo Mackenzie de Pesquisa / This study approaches the concept, origin and evolution of reasonableness and proportionality, as well as their relationship with some constitutional warranties. It analyses the importance of these principles at the examination, by the Judiciary, of the legislator s discretion. It verifies the application of the reasonableness and proportionality by the superior courts on tax demands, from the elements of tax obligation material, spatial, temporal, quantitative and personal. It also examines the application of these principles at the international tax jurisprudence, from countries like Germany, Spain, Argentina and United States. It concludes defining the roles of reasonableness and proportionality at the defense of taxpayer s constitutional warranties. / Este estudo aborda o conceito, a origem e a evolução dos princípios da razoabilidade e da proporcionalidade, bem como suas possíveis diferenças e sua relação com determinadas garantias constitucionais. Analisa a importância destes princípios no exame da discricionariedade do legislador pelo Poder Judiciário. Verifica a aplicação dos princípios da razoabilidade e da proporcionalidade pelos tribunais superiores em demandas tributárias, a partir dos elementos da obrigação tributária material, espacial, quantitativo, temporal e pessoal. Confere a aplicação destes princípios na jurisprudência tributária internacional, mais especificamente de países como Alemanha, Espanha, Argentina e Estados Unidos. Conclui definindo o papel da razoabilidade e da proporcionalidade na defesa das garantias constitucionais do contribuinte.

This thesis explores the role and effectiveness of police authorities in connecting policing and the citizen and in increasing the citizen's involvement in the delivery of their policing service. The thesis examines: police authorities in the context of citizenship and in relation to accountability; and whether the operational function of law enforcement, the original charge of Keeping the Kings Peace and policing by consent - can work homogenously within a system characterised by both active and passive citizenry. Individual chapters discuss whether police authorities have sufficient power, whether the home secretary and chief constable have too much power, and the propensity of police authorities to demand answers and call the police service to account. As history shows, it is possible to have a police service carrying out policing functions in the absence of a police authority performing a scrutiny function; but it would be impossible to have a police authority without a police service. Therefore, the thesis argues that the added value, the relevance and the effectiveness of police authorities needs to be unambiguous.