Made available in DSpace on 2017-07-10T18:33:36Z (GMT). No. of bitstreams: 1 Udo Strassburg.pdf: 4432381 bytes, checksum: 42a8df5ef91cd1f7e0165d05bce49a00 (MD5) Previous issue date: 2016-06-13 / The aim of this study was to identify and analyze the institutional, organizational, technological, business, competitive and environment factors, which are influencing the agro-industrial system of biogas in western Paraná state (Brazil), due to the recycling activity of waste produced by the activities of pig farming. To reach the goal the following methodological procedures were used: hypothetical-deductive method and empirical and analytical research as working technique. Regarding the type of research, the study was descriptive, while the procedures used consisted in a field research (survey), the problem approach was qualitative. Finally the methodology used was the Discourse of the Collective Subject (DCS) method. A questionnaire with 25 open questions was applied to 14 leaders of the organizations involved in pig farming. The organizations surveyed are located in 10 municipalities most effective in pig farming in Western of Paraná. The theoretical framework is based on the New Institutional Economics - NIE, reporting to the model proposed by Farina, 1999. The description of the western Paraná state was realized by exposing its data on pig production. It was also presented biogas system, its origin, and characteristics, how it appears in the Brazilian and world energy matrix, highlighting as it shows the environment, the institutional environments, competitive, business, organizational and technological of its system. After, the view of related organizations with pig production and the consequent production of biogas in western Paraná was exposed. The agro-industrial system of biogas in the Western of Paraná state is in its early stage, and it has a good way still to go. At the institutional scope can be highlighted the Resolução Normativa ANP nº 8/2015 (a Brazilian Normative Resolution presented by the National Agency of Petroleum, Natural Gas and Biofuels ANP), as the resource that will support the system. Organizations linked to biogas in Western Paraná state have few contributions with regard to biogas; they have not acted together, leaving to join forces to progress. In the technological environment it was found that there needs to develop advances for use in small farms, which are prevalent in the study environment, missing prove that this technology is sufficient and that can give some return for the activity. Regarding the competitive environment was found that biogas is still not a product it has market. The transactions do not exist, bringing many uncertainties and mistrust of information provided. With the environment there is a constant concern, even so the producer makes a logical connection, stating that there is a need for return on investment. / O objetivo deste trabalho foi identificar e analisar os fatores institucionais, organizacionais, tecnológicos, dos negócios, competitivos e do meio ambiente que estão influenciando o sistema agroindustrial do biogás na região Oeste do Paraná em função da atividade de reaproveitamento dos dejetos produzidos pelas atividades da suinocultura. O método foi o hipotético-dedutivo e como técnica de trabalho foi utilizada a pesquisa empírico-analítica. Pesquisa descritiva, em que foi realizada uma pesquisa de campo (survey), sendo que a abordagem do problema foi qualitativa. E, por fim, a metodologia utilizada foi a do Discurso do Sujeito Coletivo DSC. Foi utilizado um questionário com 25 questões abertas, aplicadas a 14 dirigentes das organizações envolvidas com a criação de suínos. As organizações pesquisadas estão situadas nos 10 municípios com maior efetivo de suínos do Oeste do Paraná. O referencial teórico utilizado se baseou na Nova Economia Institucional NEI, reportando a adaptação do modelo proposto de relações sistêmicas elaborado por Farina (1999). Foi realizada a descrição da região Oeste do Paraná, expondo seus principais indicadores e demonstrando dados sobre a produção de suínos. Foi apresentado, também, o biogás, sua origem, suas características e como ele se apresenta nas matrizes energéticas brasileira e mundial, destacando como se situam no meio ambiente, nos ambientes institucional, competitivo, dos negócios, organizacional e tecnológico de seu sistema agroindustrial. Na sequência, foi exposta a visão das organizações ligadas com a produção de suínos e a consequente produção de biogás no Oeste do Paraná. O sistema agroindustrial do biogás, no Oeste do Paraná, está em fase embrionária, tendo um bom caminho ainda a percorrer. No âmbito institucional pode-se destacar a Resolução Normativa ANP nº 8/2015, como o recurso que dará suporte ao sistema. As organizações ligadas ao biogás, no Oeste do Paraná, apresentam poucas contribuições no que diz respeito ao biogás e não têm atuado em conjunto, deixando de unir forças para progredir. No ambiente tecnológico verificou-se que há necessidade de desenvolver avanços para ser utilizado nas pequenas propriedades, as quais são predominantes no ambiente de estudo, faltando comprovar que esta tecnologia é suficiente e que pode dar retorno para a atividade. Em relação ao ambiente competitivo foi verificado que o biogás ainda não é um produto que possui mercado; as transações não existem, trazendo muitas incertezas e desconfianças em relação às informações fornecidas. Com o meio ambiente há uma preocupação constante, mas mesmo assim o produtor faz uma ligação lógica afirmando que há necessidade de obter retorno sobre o investimento realizado.

Made available in DSpace on 2017-07-10T18:33:58Z (GMT). No. of bitstreams: 1 Nelinho Davi Graef.pdf: 1216839 bytes, checksum: f6ebc12c87bd5236997fdbccf2d4fdc2 (MD5) Previous issue date: 2012-08-14 / Coordenação de Aperfeiçoamento de Pessoal de Nível Superior / This study examined and prospected the potential and limitations of the agribusiness of biodiesel in Parana, from the concepts of New Institutional Economics. For this, we used the exploratory and descriptive research on ends. The means we use has been made of bibliographical and documentary research and qualitative methods. The content analysis method was used to observe the results, performing a comparison between the theoretical elements and information gathered in surveys. The results suggest the major potential SAI biodiesel Paraná: The state has the second largest consumer market for biodiesel and is geographically located near the largest market that is São Paulo, the state's second largest soybean producer in Brazil; the system includes an organizational environment solid with important support and research organizations, biodiesel has two important differences as the marketing contribution to ensuring the sovereignty and energy security and environmental benefits offered. The main bottlenecks were prospected: So far not found a raw material that is technologically and economically feasible to produce biodiesel, the industrial processing of soybeans, raw material most used in the production of biodiesel is higher in Paraná that the production thereof; other raw materials does not guarantee production scale for the production of biodiesel, the production technology is not stabilized and presents a set of problems that need to be resolved, the price of biodiesel cannot be competitive against the diesel fuel, requiring government subsidies for the continuation of the program, the sale of oil these raw materials for other uses has a higher valuation. Thus, the bottlenecks found in the SAI biodiesel Parana has been outstanding on the potential, there were preventing growth and development of the agribusiness biodiesel in Paraná. / Este opúsculo prospectou e analisou as potencialidades e limitações do Sistema Agroindustrial do biodiesel, doravante denominado SAI biodiesel Paraná, a partir dos conceitos da Nova Economia Institucional. Para isto, utilizou-se de pesquisa exploratória e descritiva quanto aos fins. Quanto aos meios, fez-se uso de pesquisa bibliográfica, documental e qualitativa. A análise de conteúdo foi o método utilizado para análise dos resultados, realizando um confronto entre os elementos teóricos e informações levantadas nas pesquisas. Os resultados apontaram como principais potencialidades do SAI biodiesel paranaense: o estado possui o segundo maior mercado consumidor de biodiesel e está geograficamente localizado perto do maior mercado consumidor que é São Paulo; o estado é segundo maior produtor de soja brasileiro; o sistema abarca um ambiente organizacional sólido com importantes organizações de apoio e pesquisa; o biodiesel possui dois importantes diferenciais mercadológicos como a contribuição para garantia da soberania e segurança energética e os benefícios ofertados ao meio ambiente. Os principais gargalos prospectados foram: Até o momento não se encontrou uma matéria-prima que seja tecnológica e economicamente viável para a produção do biodiesel; o parque industrial de processamento da soja, matéria-prima mais utilizada na produção do biodiesel no Paraná, é maior que a produção da mesma; as demais matérias-primas não garantem produção em escala para a produção de biodiesel; a tecnologia de produção não está estabilizada e apresenta um conjunto de problemas que precisam se resolvidos; o preço do biodiesel não consegue ser competitivo frente ao óleo diesel, necessitando de subsídios governamentais para a continuidade do programa; a venda do óleo dessas matérias-primas em outros usos tem uma valoração maior. Destarte, os gargalos encontrados no SAI biodiesel paranaense tem se sobressaído sobre as potencialidades, impedindo que houvesse um desenvolvimento e crescimento do SAI biodiesel no Paraná.

In the last two decades, more than half of the countries in the world have introduced a reform process in their power industries and billions of dollars have been spent on liberalizing electricity markets around the world. This thesis presents a doctoral research concerned with the cross-country empirical analysis of the electricity market reforms. The thesis is in three-paper format; that is, we present three independent but related stand-alone papers. The first paper focuses on the impact of power market reforms on electricity price-cost margins and industrial/residential price ratios. It investigates this issue by looking at the impact of the electricity industry reforms on residential and industrial electricity price-cost margins and their effect on industrial/residential price ratios. Using panel data from 63 developed and developing countries covering the period 1982–2009, empirical models are developed and analysed. The results suggest that each individual reform step has different impact on price-cost margins and industrial/residential price ratios for each consumer and country group. That is to say, our findings imply that similar reform steps may have different impacts in different countries, which supports the idea that reform prescription for a specific country cannot easily be transferred to another one with similar success. The second paper explores whether the question of why some countries are able to implement more extensive reforms is closely related to the question of why some countries have better institutions than others. It analyses this question by using an empirical econometric model based on Poisson regression with cross-section data covering 51 states in US, 13 provinces in Canada and 51 other countries. The study concludes that both the background of the chairperson and the minister/governor and institutional endowments of a country are important determinants of how far reforms have gone in a country. Considering the fact that ideological considerations, political composition of governments and educational/professional background of leaders have played and will play a crucial role throughout the reform process; the third paper attempts to discover the impact of political economic variables on the liberalization process in electricity markets. It develops and analyses empirical models using panel data from 55 developed and developing countries covering the period 1975–2010. The results suggest that a portion of the differences in the reform experiences of reforming countries in the past three decades can be explained by differences in the political structure, in the ideology of the government and in the professional and educational backgrounds of the political leaders.

This thesis examines the development of the micro-insurance sector in less developed countries, using the theoretical approach of new institutional economics. The main research questions are whether it is the insufficient compatibility between formal and informal institutions that hinders the development of micro-insurance below what had been widely predicted by the academic community? And what has to be done institutionally to make this industry an active contributor to economic growth? To investigate these questions, three distinct empirical studies, of which one is based on field work data generated for the thesis specifically, were carried out using a Probit model, a system of Generalized Method of Movements model, and a Vector Error Correction model. The hypotheses tests suggest that (i) the relevant informal institutions have a significant influence on the decision of individuals to enrol into micro-insurance product in Nigeria; (ii) by controlling for institutional quality, a positive development of the institution of micro-insurance contributes to reducing the size of the informal economy in Nigeria and other less developed countries); and (iii) that micro-insurance has both short and long term positive impacts on the economic growth in Nigeria.:Table of contents Versicherungen 2 Table of contents 3 List of tables 8 List of figures 9 list of Appendices 11 List of Abbreviations 12 Acknowledgement 15 Abstract 17 Chapter 1 19 1. Overview of the study 19 1.1 Introduction 19 1.2 Aims and objectives 23 1.3 Structure of the Thesis 23 1.4 reference 26 Chapter 2 29 2. Theories and concepts of (micro) insurance 29 2.1 The poor and risk 29 2.2 The theoretical framework of insurance 36 2.3 The meaning of micro-insurance 40 2.4 The two faces of micro-insurance 42 2.5 Micro-insurance and traditional insurance 44 2.6 Demand and supply of micro-insurance 48 2.7 Micro-insurance supply chain 53 2.8 Reference 59 Chapter 3 65 3. New institutional economy 65 3.1 Introduction 65 3.2 Institution 65 3.3 Institution and organization 67 3.4 Neoclassical Approach 68 3.5 Institutional economic approach 70 3.6 New institutional economics 72 3.6.1 Property right 73 3.6.2 Transaction costs 76 3.6.3 Agency theory 78 3.7 New institutional economics and insurance 79 3.8 Conclusion 84 3.9 Reference 86 Chapter 4 90 4. Methodology 90 4.1 Introduction 90 4.3 Mixed-research strategy 92 4.3.1 Qualitative research 92 4.3.2 Quantitative research 93 4.4 The research method 95 4.4.1 Data collection 96 4.4.2 The sampling framework 96 4.4.3 Sample size and sampling technique 97 4.4.4 Questionnaire design 98 4.5 Instrument validity and reliability 98 4.5.1 Pre-testing of the instruments 100 4.6 Analytical approaches 100 4.7 Reference 102 Chapter 5 105 5. Nigeria and the development of micro-insurance industry 105 5.1 Introduction 105 5.2 Broad country context 106 5.3 Insurance Sector 109 5.4 Segments of the Nigerian insurance industry 110 5.4.1 Non-life insurance 112 5.5 Regulatory Landscape 115 5.5.1 Market development and restructuring initiative (MDRI): 117 5.6 Nigerian Insurance industry vs Global peers 118 5.7 Problems of the insurance industry in Nigeria 120 5.8 Micro-insurance in Nigeria 123 5.9 Reason to be optimistic 125 5.10 Distribution Channel of Micro-Insurance 127 5.11 Conclusion 129 5.12 Reference 130 Chapter 6 133 6. The effect of Societal norms on the likelihood of individuals to enrol in different forms of Micro-insurance products 133 6.1 Introduction 133 6.2 Institution, Values and Norms 134 6.3 Methods and variables 137 6.3.1 Dependent Variable: Micro-insurance enrolment 137 6.3.2 Independent variables 138 6.4 Justification for control variables 144 6.4.1 Formal institutional variables 144 6.4.2. Personal Characteristics 145 6.5 Model estimation 149 6.6 Result, analysis and discussion of findings 151 6.6.1 Presentation of the result 151 6.6.2 Analysis of the impact of values and norms 152 6.6.3 Analysis of the impact of formal institutions 156 6.6.4 Analysis of the impact of personal characteristics 158 6.7 Robustness of the Result 161 6.8 Conclusion 162 6.9 Reference 164 6.10 Appendix 171 Chapter 7 179 7. The Role of Institutions in the relationship between micro-insurance development and Size of the Informal economy in Sub-Saharan Africa 179 7.1 Introduction 179 7.2 A theoretical review of Informal economy 183 7.3 Theoretical and conceptual review 186 7.4 Data 186 7.5 Descriptive statistics 194 7.6 Model specification and estimation strategy 197 7.7 Empirical Results 200 7.8 Estimation and interpretation of system GMM 202 7.9 Robustness Checks 205 7.10 Conclusion 207 7.11 Reference 208 7.12 Appendix 213 Chapter 8 221 8. How does micro-insurance impact the economic growth of Nigeria? 221 8.1 Introduction 221 8.2 The conceptual and theoretical framework 224 8.3 Literature review 225 8.4 Theoretical model and empirical analysis 228 8.5 Empirical result and findings 229 8.5.1 Descriptive statistics 229 8.5.2 Stationarity test 230 8.5.3 Co-integration test 233 8.5.4 Vector error correction model (VECM) 235 8.6 Diagnostic test on VEC Model (robustness of the model) 237 8.7 Conclusion and recommendation 238 8.8 Reference 241 8.9 Appendix 246 Chapter 9 250 9. The conclusion and policy recommendations 250 9.1 Introduction 250 9.2 Summary of the study 250 9.3 Research conclusions and implications 252 9.4 Contributions of the research 254 9.5 Research limitations 256 9.6 Direction for future research 257 9.7 reference 259

Society is becoming increasingly dependent on the development of institutions generatingsustainability. In order to speed up this development there is a need to find, evaluate andgeneralize existing institutional mechanisms holding this characteristic. In this study, the current theoretical framework is expanded to describe how an institution shouldbe designed to generate sustainability. To explain this, a distinction is made between short-termefficient markets (currently known as Pareto-efficient markets) and long-term efficient markets(currently known as ‘strong’ or ecologic sustainability). Further, a sustainable development isdefined as a combination of short-term and long-term Pareto-efficiency. This implies that aconsumption decision today cannot make an individual better off, without making anothercurrent or future individual worse off. Green building certifications are an interesting candidate to empirically test the theoreticalframework. An empirical study was made in cooperation with Confederation of Indian Industry -Indian Green Building Council, consisting of 18 qualitative interviews with companies andexperts in the Indian building industry. The main purpose of the study has been to investigatewhy actors engage in green building and green building certifications, or why they do not. Theresults have then been analyzed and put in an institutional context. Building on these results, conclusions have been drawn that bring a valuable perspective to theongoing debate on sustainability. Green building certifications have several interestingcharacteristics contributing to a sustainable development. Most importantly, results areindicating that short-term economic efficiency can lead to long-term mechanisms generatingsustainability. However, there are also limitations to the growth of certifications as an institution,e.g. cultural aspects, risk of ambiguity and insufficient levels of human capital. / Utvecklingen av institutioner som genererar hållbarhet blir allt viktigare. För att påskynda dennautveckling finns det ett behov av att hitta, utvärdera och generalisera befintliga institutionellamekanismer som uppfyller denna egenskap. För att kunna beskriva hur en institution bör utformas för att generera hållbarhet, utökar dennastudie det aktuella teoretiska ramverket. En distinktion görs mellan kortsiktigt Pareto-effektivamarknader (detta är att likställas med nuvarande begreppet ’Pareto-effektiva marknader’) ochlångsiktigt Pareto-effektiva marknader (detta är att likställas med ’ekologisk hållbarhet’). Vidareär hållbar utveckling definierad som en kombination av kortsiktigt- och långsiktigt effektivamarknader. Detta innebär att ett konsumptionsbeslut idag inte kan öka välfärden för en individ,utan att minska välfärden för en annan nuvarande eller framtida individ. Certifieringar för hållbart byggande är en intressant kandidat för att empiriskt testa det teoretiskaramverket. Fallstudien gjordes i samarbete med Confederation of Indian Industry - Indian GreenBuilding Council, och består av 18 kvalitativa intervjuer med företag och experter inom denindiska byggindustrin. Det huvudsakliga syftet med studien har varit att undersöka varför aktörerengagerar sig i grönt byggande och certifieringar, eller varför de väljer att inte göra det.Resultaten har sedan analyserats och satts i ett institutionellt sammanhang. Som institution har certifieringarna flera intressanta egenskaper som bidrar till en hållbarutveckling. Slutsatserna i studien skänker ett värdefullt perspektiv till den pågåendehållbarhetsdiskussionen, framförallt genom att påvisa att kortsiktig ekonomisk effektivitet kanleda till mekanismer som skapar hållbar utveckling. Det finns också begränsningar i tillväxten avdenna typ av institution som kan härledas till t.ex. kulturella skillnader, antalet certifieringar påmarknaden samt tillgång till humankapital.

Qu’est-ce qui détermine la survie et le succès des organisations à travers les différents régimes institutionnels? La présente étude tente à répondre à la question en analysant l’évolution d'une institution médicale publique russe, c. à. d. l'Institution de l'Etat Fédéral « Le Complexe Intersectoriel de Recherche et Technologie « Microchirurgie de l'Œil » de Rosmedtechnologie. L’étude s’étend sur quatre périodes bien définies: 1960-1985 (la Russie Soviétique, la période de pré-perestroïka), 1986-1991 (la perestroïka de Gorbatchev), 1992-2000 (la transition), et 2001-2009 (la Russie actuelle, la période post-Fyodorov). L’analyse se centre sur une coévolution des institutions externes et de la structure organisationnelle de l'entreprise, le système de droits de propriété, les tendances d'innovation et les canaux de diffusion technologique. Les conclusions suggèrent que l'environnement institutionnel général exerce une influence sur la performance de l'entreprise en déterminant « les règles du jeu » pour les transactions économiques et en établissant un ensemble de possibilités de développement. C'est alors les processus internes à l'entreprise, ses compétences dynamiques et sa capacité à innover qui déterminent si l'organisation peut s'adapter aux changements externes, reconnaître les possibilités de développement et en profiter. Par ailleurs, la direction (le leadership), le type de technologie et le niveau de sa diffusion, l’initial soutien de l'Etat, de même que la demande jouent un rôle apparent pour soutenir la performance réussie. Une structure multi-niveaux des récompenses de performance en combinaison avec les méthodes de traitement innovatrices (c. à. d. l’usage d’un conveyor chirurgical et la production en brigades) ont amené à des volumes de procédures cliniques performées plus élevées, de même que la qualité, la complexité et la diversité de traitement plus élevées. D’autant plus, pendant les étapes plus anciennes du développement de l’entreprise, la présence des inventeurs prolifiques et la structure organisationnelle qui soutenait l’apprentissage, la production et l’accumulation des connaissances (le cycle « clinique – ingénierie – approbation – production – clinique ») étaient cruciaux pour la création d’une base d’innovation persistante. Pendant les périodes plus récentes, la combinaison d’accès aux ressources (matérielles, financières, capital humain), les collaborations externes, les méthodes innovatrices d’organisation de traitement, la diffusion extensive des technologies inter- et intra-firme ont aussi contribué à des hauts niveaux d’innovation. Au total, le travail soutient une approche interdisciplinaire à l’étude des organisations, c. à. d. une combinaison de l'analyse institutionnelle, l’économie évolutionnaire et l’économie dynamique d’organisations, le management stratégique, l’économie d'innovation, l’analyse des droits de propriété et le rôle de leadership. / What determines organizational survival and success across different institutional regimes? The present historical case study attempts to answer the question by analyzing the evolution of a Russian state medical institution, i.e. the S.N. Fyodorov “Inter-Sectoral Research and Technology Complex “Eye Microsurgery””. The study spans over four clearly defined regimes: 1960 – 1985 (Soviet Russia, pre-perestroika period), 1986 – 1991 (Gorbachev’s perestroika), 1992 – 2000 (the transition years), and 2001 – 2009 (current Russia, post-Fyodorov period). The analysis focuses on the co-evolution of the external institutions and the firm’s organizational structure, the system of property rights, innovation patterns and the channels of technological diffusion. The findings suggest that the general institutional environment exerts influence on the firm’s performance through determining the “rules of the game” for economic transactions and through establishing a set of development possibilities. It is then the firm’s internal processes, dynamic competences and the ability to innovate that determine whether the organization can adapt to external changes, recognize the development possibilities and take advantage of them. In addition, the roles of leadership, the type of technology and its diffusion scope, initial State support, as well as the extent of demand are apparent in sustaining successful performance. Multi-level high performance rewards structure in combination with novel industrialized treatment methods (e.g. the use of a surgical conveyer and team production) resulted in greater volumes of clinical procedures performed, as well as higher quality, complexity and diversity of treatment. In addition, at the earlier stages of the firm’s development, the presence of prolific innovators and the organizational structure that supported learning, knowledge production and accumulation (the “clinic – engineering – approbation – production – clinic” cycle) were crucial for creating a basis for persistent innovation. In later periods, the combination of resource availability (material, financial, human capital), external collaborations, novel ways of organizing treatment, extensive inter and intra-firm diffusion of technologies also contributed to high levels of innovation. Overall, the work provides support for an interdisciplinary approach to the study of organizations, i.e. combining institutional analysis, evolutionary and dynamic organizational economics, strategic management, the economics of innovation, the analysis of property rights and the role of leadership.

This doctoral thesis presents the basic and the main developments of the theories of the firm rooted in Transaction Cost Theory (TCT). Since the article of Coase on the nature of the firm, this question has been elaborated by number of economists. In my point of view, I would like to introduce the last theory developed by the representative of the school called New Institutional Economics. The theory concentrates on the role of institutions. We distinguish institutions formal and informal. The formal are laws, constitution, regulations, contracts and other written rules. The informal don't require a written form and they represent informal restrictions such as rules of behaviour, conventions, traditions and habits. The main purpose of the institutions in their various forms is mainly to protect property rights, enforce voluntary contracts and establish the physical and regulatory infrastructure to facilitate economic activity. Generally, we can call them the rules of the game. They inform us about possible economic behaviour and give us basic restrictions in this sense. First -- the theoretical part of this thesis, we can find a simple model with human asset specificity based on TCT. The main proposition is that transactions with a high level of asset specificity are more probably internalised because the firm handles better such transactions compared to the market, even if asset specificity increases the cost of coordination in the firm. If the hierarchy, for example through the formation of routines, may enhance the efficiency compared to the market, we can modify the previous model. The model developed according to a Knowledge-based view assumes that asset specificity reduces transaction costs inside the firm and increases transaction costs on the market. In the conclusion of the theoretical part is discussed the reply on first formulate hypothesis if the TCT is still compatible with a newer Capability and Knowledge based view. In my opinion based on the presented arguments and views, both theories are compatible, they can answer more questions and explain more issues. The last step links the aforementioned theories into one Theory of firm boundaries. In the practical part of the thesis, I bring basic arguments about the institutional framework quality in the Czech Republic. These arguments rely on the latest studies of the international institutions such The Transparency International, The Heritage Foundation, The Kurtzman Group and mainly The World Bank. Studies reveal certain weak arrangements concerning for example the number of procedures when starting a business, complicated construction permits, rigidity of working hours, time-consuming and administrative demanding tax system, duration of judicial process which results in ineffective contract enforcement and mainly poor protection of property rights. Taking these disclosures into account we have to say that emergent transaction costs are enormous. These transaction costs influence negatively the competitiveness of the firms and the whole Czech economy. Therefore a negative response to the second hypothesis relating to the quality of the institutional framework in the Czech Republic.

論文提要 論文名稱：新制度經濟學對當代行政改革之啟示 頁數：335 校（院）所組別：國立政治大學公共行政系碩士班 提要別：八十七學年第二學期碩士學位論文提要 研究生：謝俊義 提要內容： 指導教授：孫本初博士 自一九九三年美國高爾副總統的『國家績效評估報告』（Al Gore Report of the National Performance Review）明確呼籲建立「師法企業的政府」（business-like entreneurial government），於是政府再造（reinventing government）的風潮引起全球大規模的行政改革運動，儼然成為當代世界各國政府謀求提昇政府效率的救世主；在學術界對這些名詞的爭辯，逐漸以新公共管理(New Public Management,NPM)一詞來整合。在這一波的行政改革運動是以經濟市場理論作為政治與行政關係的區分模型，究其本質乃是受到公共選擇理論、主要代理人理論以及交易成本經濟學假定的強烈影響。新制度主義在近幾年受到社會科學家廣泛的重視，在國際關係、比較公共政策、健保政策、歐洲共同體的決策與整合、公共行政等社會科學領域中廣泛的被應用，本論文主要是將「新制度主義帶進入行政改革」（Bringing New Institutionalism back in Administrative Reform）的分析之中。 本論文的研究目的即欲以新制度主義的經濟學途徑來分析市場導向的行政改革，試圖釐清下列幾個主題： 1.區分新制度主義各個途徑的差異，並藉此釐清新制度經濟學的理論意涵。 2.以市場與層級節制間的關係來探討效率導向的行政改革。 3.從對官僚體制的挑戰、消費者主權、制度性的績效與誘因策略以及制度的選擇等四個構面來分析行政改革的制度效率面。 4.本文欲以制度的變遷、公部門的集體行動、行政改革制度的多元弔詭、制度的設計以及認知的轉向等制度分析面向，解析效率為導向的行政改革運動所可能存在的問題。 5.透過以上的分析提出新制度主義經濟學對行政改革的啟示及優缺點，並進而對新制度主義的未來提出建議。 本論文認為要重建公共行政的價值應立基於公共行政對社會服務的價值與回應性，而非解構官僚體系（debureaucratization）或授權（deregulation），如何使得政府運作更有價值，組織具有創造力、回應力與責任，這是現代化政府的要務。以新制度經濟學來探討組織理論的關係，如果忽略了關鍵性的組織機制如權力、認同與協調，在解釋組織與市場間的關係是不夠完全；因此，必須以組織目標、結合組織認同、物質報酬以及監督來激勵員工的需求，對於制度角色的認知不能僅是化約為「硬性市場界限」(hard market constraints)與「軟性官僚界限」(soft bureaucratic constraints)的兩極化發展，而是採取多元化制度的發展。此外，筆者在研究過程中發現新制度主義到目前為止亦僅是各學科對於舊制度論的反省與修正，對於這個領域還存有許多分歧，嚴謹地說，並不算是學科的典範，如果這個領域要欲在社會科學的社群中能尋求認同與突破，必須在方法論與理論基礎上能有所共識，以及建立學術的對話機制。 目 錄 第壹章 緒 論-------------------------------------------------------------1-1 第一節 研究動機與目的------------------------------------------------1-1 第二節 研究方法與範圍------------------------------------------------1-6 第三節 相關名詞背景闡述---------------------------------------------1-11 第四節 研究流程與架構------------------------------------------------1-19 第貳章 相關文獻檢閱---------------------------------------------------2-1 第一節 新制度主義的興起---------------------------------------------2-1 第二節 新制度經濟學---------------------------------------------------2-20 第三節 新制度經濟學與新公共管理---------------------------------2-37 第四節 市場與層級節制------------------------------------------------2-55 第參章 制度的效率面---------------------------------------------------3-1 第一節 官僚體系的挑戰--------------------------------------------------3-1 第二節 消費者（顧客）主權--------------------------------------------3-19 第三節 制度性績效與誘因策略-----------------------------------------3-33 第四節 制度的策略性選擇-----------------------------------------------3-49 第肆章 制度的分析-------------------------------------------------------4-1 第一節 從組織重組到政府再造-----------------------------------------4-1 第二節 公部門的集體行動-----------------------------------------------4-22 第三節 行政改革制度的多元弔詭--------------------------------------4-41 第四節 制度的設計--------------------------------------------------------4-60 第五節 認知的轉向--------------------------------------------------------4-79 第伍章 綜合研究發現與建議--------------------------------------------5-1 第一節 新制度經濟學對行政改革之啟示-----------------------------5-1 第二節 新制度主義的批判與策進--------------------------------------5-17 參考書目---------------------------------------------------------------------註1 中文參考書目--------------------------------------------------------------註1 英文參考書目--------------------------------------------------------------註5 圖表目錄 壹、圖目錄 圖1-1：研究架構圖------------------------------------------------------------1-19 圖1-2：研究流程---- ----------------------------------------------------------1-20 圖2-1：交易成本架------------------------------------------------------------2-29 圖4-1：財貨的分類------------------------------------------------------------4-27 貳、表目錄 表1-1：國內新制度主義相關博碩士論文檢閱---------------------------1-8 表2-1：新舊制度論之差------------------------------------------------------2-3 表2-2：新制度主義各個途徑異同處---------------------------------------2-5 表2-3：新制度主義相關學派表徵------------------------------------------2-6 表2-4：新制度經濟學的多重面---------------------------------------------2-33 表2-5：對傳統公共行政學說的四項批判---------------------------------2-42 表2-6：新公共管理的學理基------------------------------------------------2-45 表2-7：新公共管理的四項模型---------------------------------------------2-49 表2-8：公共行政的研究途---------------------------------------------------2-52 表2-9：市場、層級節制與網路的特徵------------------------------------2-55 表2-10：組織的模式：市場、層級節制與區----------------------------2-70 表3-1：公私關係與服務傳遞的公民與顧客導向模型------------------3-23 表3-2：組織結構設計的方---------------------------------------------------3-58 表3-3：B.Guy Peters的四種治理模------------------------------------------3-58 表3-3：公部門改革的目的與手段------------------------------------------3-62 表3-4：策略與結果------------------------------------------------------------3-63 表4-1：二十世紀迄今美國總統設立行政改革委員會及計畫一覽---4-9 表4-2：我國政府遷台後行政改革的歷史演進---------------------------4-13 表4-3：維持長期共同集合資源制度設計的原則------------------------4-33 表4-4：承諾的兩種觀點：組織行為與理性選擇------------------------4-39 表4-5：轉換公部門的五項基因---------------------------------------------4-71 表4-6：制度設計的種類與方法---------------------------------------------4-76 表5-1：理性選擇學派與社會詮釋觀點的差異---------------------------5-23 表5-2：新制度主義的核心---------------------------------------------------5-27 表5-3：三種新制度主義型式的比較---------------------------------------5-29

土地制度規範著對於土地的使用所引起的人與人之間相互認可的行為關係，對於制度起源的討論，往往認為制度具有降低成本、創造集體利益的功能，但由於制度主體的因素，制度則可能是國家對某一群體的剝削，例如日治時期將原住民土地收歸國有；由於制度安排的失當，很可能使得後續的發展陷入惡性的路徑依賴之中，例如民國五十五年的保留地私有化政策後原住民地權的快速流失。 　　一項近年的政府調查顯示，原住民保留地被非法使用、私下轉讓的情況日益嚴重，但同一時期的另一項研究卻又指出：原住民社會普遍傾向認為原住民保留地不得移轉給非原住民的限制不宜開放。從政治經濟的角度來說，保留地若朝向全面的私有化、開放原漢買賣，固然可以回應市場立即的需求，但交易過程中信息不完全、原住民經濟的弱勢等等外部效果卻不可能依靠市場機制加以解決，同時，可預見的原住民土地大量流失將和社會普遍認同的價值相違背；另一方面，保留地若朝向以國有化進行政府的干預，固然可以抑制自由買賣造成的原住民地權流失，但卻又和資源利用極佳化的市場邏輯相去甚遠而必須付出高額的成本，亦難以有效執行；從制度研究的眼光來看，現行的保留地制度正處於兩難下的制度失衡狀態。 　　在五年的反覆討論之後，內政部法規會於九十年一月十七號通過了「原住民族保留地開發管理條例草案」，該條例草案最大的特色是在所有權移轉限制下，增加了「原住民族保留區」的制度設計，在「原住民族保留區」中的土地所有權，得登記為原住民部落團體「共有」，土地的經營管理也將由部落團體來共同進行，這樣的政策所呈現是政府對於社會壓力和原住民土地困境的回應。然而，作為共有制實行的基礎，無論是在學理上或實證上，對於共有資源自主治理的探討都有尚待進一步充實的空間。 　　經過先期的調查和訪談，本研究選定新竹縣尖石鄉中三個公共資源自主治理的案例，並從制度經濟與集體選擇理論的架構，分析案例中人們如何建立自主性的組織，如何經由集體的選擇制定符合當地條件的公共資源治理規則，如何履行彼此的承諾並相互監督，以及如何避免陷入集體不理性的過度利用的悲劇，且對於案例中影響原住民部落採取資源共有和自主治理策略的因素加以探討。最後，評析內在制度的變遷及泰雅族傳統制度在現代的演化，以及公共資源自主管理在降低執行和監督成本、降低其外部效果、降低制度供給的成本等方面的制度優勢，並指出資源形式與共有範圍的關係、學習過程的重要、共有組織的作用是為共有制度有效運作的關鍵。 　　此外，在後續研究部份，本研究亦建議：理論上對於非以直接提取資源單位方式產生的利益分配問題、排他性技術的成本的雙重影響的探討；實證上對於集團移住後的原住民部落中共有組織的分析；政策上對共有組織「分級分類」原則的研議，皆值得作為後續進一步研究的課題。 / Institution about land rules the relationship, which is caused by land using and identified between people. According to the discussion of the beginning of institution, it can descend the cost of trade and make collective interesting. However, institutions can also be the means for a nation to exploit its people because of the subject of institution. The Nationalization of land, which is owned by aboriginal people in the time Japan governed Taiwan for instance. And, because of the improper arrangement of institution, the development may go in to a vicious path-dependence circle; the privatization policy in 1966 made the fast lapse of aboriginal land for example. 　　A recent investigation made by government shows that more and more aboriginal reserved-land was illegally sold and transferred in the black market. However, in the same time, another research appointed that most people in aboriginal society disagree the revocation of the limit that non-aboriginal cannot get the property of aboriginal reserved-land. In the view of political economics, if the property of aboriginal reserved-land was turn to entirely privatized, it can reply the immediate need market, but the external diseconomy such as incomplete information and the lower position of the aboriginal people can not be resolved by the market, and the following results that most of the aboriginal land property lapse will belie the general value identified by our society. On the other hand, if the property of aboriginal keeps on nationalized it can bate the lapse of the land property, but government has to pay high cost to belie the market logic hat resource should be optima used, and it will be difficult to administer. In the view of institutional study, the institution of aboriginal reserved-land is in a situation of inequilibrium. 　　After a long discussion lasted from more than five years, the Act Committee of Administer Department announced a proposed act for the development and administers of aboriginal reserved-land. The most particular part of this proposed act is the design of "aboriginal-reserved zone" and common land property. The total area of the aboriginal reserved zones was supposed to be 1.4 million acres, and the land property in the zones may belong to the whole settlement society. Such a policy is a positive reply to the social strait and the predicament of aboriginal society. However, being the base to exercise the common property institution, either the theoretical or the practical discussion of the "common pool resources self-governing" still needs to be completed. 　　A previous investigation and visiting, an Atayal county with three CPR self-governing cases was chosen in this approach. With a framework of institutional economics and collective act theory, this approach analyzed how people organized a self-governing organization, how a public choice was made to design the rules which are proper to local CPR situation, how people fulfill their obligation and supervise each other, how people avoid the tragic result o collective irrationality such as over using, furthermore, discuss the factor effect the CPR self-governing strategy .In the end, this approach discuss the change of internal institution and the evolution of Atayal tribes’ traditional institution in modern time, and the advantage of self-governing institution. Then, pointed out the relation between types of resources and areas of common property, the processes of learning, and the effects of organization are the key points to exercise the common property institution. 　　In addition, this approach suggested: in the theoretical aspect, the dispute caused by distribution of the interest that was not made by direct appropriation, the dual influence from the cost of exclusion technology. And, in the practical aspect, the principles to classify the self-governing organizations, can be the new problematic for further approach.

Submitted by Leonardo Gomes Ribeiro Gonçalves (lgribeirogoncalves@gmail.com) on 2016-03-17T23:30:17Z No. of bitstreams: 1 GONÇALVES, Leonardo Gomes Ribeiro_dissertação.pdf: 1606735 bytes, checksum: 22d73e62ebec198cb8b8f9a1fcf85787 (MD5) / Approved for entry into archive by BRUNA BARROS (bruna.barros@fgv.br) on 2016-03-23T14:59:50Z (GMT) No. of bitstreams: 1 GONÇALVES, Leonardo Gomes Ribeiro_dissertação.pdf: 1606735 bytes, checksum: 22d73e62ebec198cb8b8f9a1fcf85787 (MD5) / Approved for entry into archive by Maria Almeida (maria.socorro@fgv.br) on 2016-03-30T17:30:18Z (GMT) No. of bitstreams: 1 GONÇALVES, Leonardo Gomes Ribeiro_dissertação.pdf: 1606735 bytes, checksum: 22d73e62ebec198cb8b8f9a1fcf85787 (MD5) / Made available in DSpace on 2016-03-30T17:38:40Z (GMT). No. of bitstreams: 1 GONÇALVES, Leonardo Gomes Ribeiro_dissertação.pdf: 1606735 bytes, checksum: 22d73e62ebec198cb8b8f9a1fcf85787 (MD5) Previous issue date: 2016-02-22 / The water and sewage public service relevance is widely recognized. Nevertheless, there is high deficit level of access in Brazil, with different situations in the various country regions. In this sense, the objective of this dissertation is (i) from the interdisciplinary perspective of the Transaction Costs Economics, introduce an understanding of water and sewage public service in Brazil, currently regulated by Law No. 11,445/2007, (ii) evaluate the efficiency of the mainly used mode of governance, and (iii) eventually purpose alternative designs for the organization of the provision, economically superior in terms of reducing transaction costs for necessary investments to fulfill the fundamental objectives defined in art. 2 of Law No. 11,445/2007. The research used as a methodological strategy an interdisciplinary approach to law, economics and organizations, based on the new institutional economics. From the study of the basic institutional environment, with support in the theoretical framework, it was observed that the governance mechanism predominantly used to provide the water and sewage public service in Brazil, ie delegations to State Sanitation Companies through long-term contracts (program contracts) does not favor investments in specific assets (infrastructure) necessary for the supply and does not ensure policy goals. It was also found that there are viable alternatives to overall governance design, although the use of alternative forms probably are not feasible by implementing simple transplant standards, that is, by formal means. The modification of the prevailing water and sewage public service mode of governance, overcoming the verified low performance (low-level equilibrium), can not be held without charge. Therefore, it is necessary to overcome the costs for breaking the path dependence caused by hold-up carried out by the Sanitation State Companies to public service holders (municipalities), as well as costs for the disruption of path dependence in the Brazilian administrative law, which restricts the development of a legal theory of regulation to enable the construction of an adequate regulatory governance to reduce transaction costs in order to make viable investments in infrastructure assets with a high degree of specificity. / O serviço público de saneamento básico tem relevância amplamente reconhecida. Apesar disso, ainda são verificados no Brasil elevados índices de déficit ou de atendimento precário, com situações distintas nas diversas regiões do país. Nesse sentido, o objetivo desta dissertação é (i) apresentar, a partir da perspectiva interdisciplinar da Economia dos Custos de Transação, uma compreensão do serviço público de saneamento básico no Brasil, atualmente regulamentado pela Lei nº 11.445/2007, (ii) avaliar a eficiência do modo de governança majoritariamente utilizado e, (iii) eventualmente, propor desenhos alternativos para a organização da prestação que sejam economicamente superiores em temos de redução de custos de transação para a realização de investimentos necessários ao cumprimento dos objetivos fundamentais definidos no art. 2º, da Lei nº 11.445/2007. A pesquisa adotou como estratégia metodológica a utilização de uma abordagem interdisciplinar de direito, economia e organizações, nos termos da análise econômica da nova economia institucional. A partir o estudo do ambiente institucional básico, com apoio no referencial teórico, observou-se que o mecanismo de governança predominantemente utilizado no serviço público de saneamento básico no Brasil, isto é, delegações a Companhias Estaduais de Saneamento por meio de contratos de longo-prazo (contratos de programa), não favorece a realização de investimentos em ativos específicos (infraestrutura) necessários à prestação e cumprimentos de metas da política. Foi também constatado que existem alternativas de governança viáveis ao desenho predominante, embora a utilização de formas alternativas provavelmente não possua execução viável pelo simples transplante de normas, isto é, pela via formal. A modificação da forma de governança predominante no saneamento básico no Brasil, com a superação do baixo desempenho verificado (low-level equilíbrium), não é possível de ser realizada sem custos. Nesse sentido, é necessário superar os custos para o rompimento do path dependence provocado pelo hold up realizado pelas Companhias Estaduais de Saneamento Básico sobre os titulares do serviço público (municípios), bem como os custos para o rompimento do path dependence no direito administrativo brasileiro, o qual restringe o desenvolvimento de uma teoria jurídica da regulação apta a viabilizar a construção de uma governança regulatória adequada à redução dos custos de transação, de modo a tornar viáveis investimentos em ativos de infraestruturas com elevado grau de especificidade.