Made available in DSpace on 2010-04-20T20:12:48Z (GMT). No. of bitstreams: 0 Previous issue date: 2002-03-06T00:00:00Z / A abertura da economia e o reinício das relações econômicas japonesas com o exterior e o processo de industrialização da economia japonesa na Era Meiji levaram o Japão a investir no exterior. Os investimentos japoneses no exterior cresceram preponderantemente no Leste Asiático, concentrando-se nessa área até o término da Segunda Guerra Mundial. A tese mostra que existem restrições de caráter institucional e histórico, que impõem limitações às empresas quanto ao leque de opções para investirem no exterior. Uma vez que as empresas japonesas fizeram a opção, impostas por aquelas restrições, de investir no Leste Asiático, feedbacks positivos, propiciados pelos eventos históricos e institucionais, geraram auto-reforços, levando a um resultado de inflexibilidade - lock-in - para sair dessa região. A tese comprova que explicar os investimentos externos japoneses pelo modelo de economia evolucionária, através do processo de path dependence, que incorpora o caráter institucional e histórico, é mais plausível do que as interpretações convencionais.

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This dissertation looks at Northeast Asia as a region composed of China, Japan and South Korea in order to understand the regional dimension of international cooperation. It takes the Tripartite Environment Ministers’ Meeting and the China-Japan-Korea Meeting on<p>Information and Telecommunication Standards cases for comparative analysis. Its aim is to<p>examine cooperation and decision-making under uncertainty and to explore how they affect<p>institutional development and enhanced regional cooperation. Analysis of current cooperation activities as well as development of chosen cases illustrates interactions between individuals, organizations and states. Risks associated with decision-making affect<p>behaviors of actors and self-reinforcement mechanisms of institutions creating path<p>dependence. / Doctorat en Sciences politiques et sociales / info:eu-repo/semantics/nonPublished

[EN] This doctoral thesis analyses human resources management evolution in organizations. That is, changes introduced throughout people management. The key objective is to analyze how organizations evolve and change over time by means of human capital. Recent years have demonstrated that levels of adjustment and change required by organizations in order to adapt to a changing environment, are increasingly high. One of the main drivers behind this organizational change, is the introduction of new programs and tools that help organizations to improve their business performance. This work is focused on the identification and analysis of such programs in the field of human resources management. In particular: what sort of HRM practices are implemented, in what sort of organization, at which point in time, and finally, in which order. Although there are numerous studies to date analyzing HRM practices, none of them introduce methodologies that consider order or time factor within the management process of HR. This is the reason why 'path dependence' and 'cladistics' approaches are introduced in this doctoral thesis. 'Path dependence' approach shows how certain management decision taken at a certain point of time, influence future decisions. This makes it all the more essential to press ahead with analysis of where we come from and which path we have followed before being designed the future strategy of the organization. According to this approach, throughout this doctoral thesis, cladistics is used as methodology for analyzing organizations from a different perspective of people management compared to the habitual viewpoints. Cladistics is a methodology that can be used in the decision-making process; moreover, it allows identifying the expected result of implementing certain bundles of HRM practices, taking also into account HRM practices already implemented. It considers therefore, also prior organization history. This methodology, for the analysis and classification, has been commonly used in the field of biology for many years. Throughout this doctoral thesis, the transference of this methodology to HRM is shown. Biologist use Cladistics in order to build evolutionary maps termed as cladograms. Cladograms are graphic representations of animal species evolution. This methodology has already been used in fields other than biology, such as linguistics or astronomy among others. In management, it has not yet been developed sufficiently; in particular, the most relevant examples in this field are in operations management area. The purpose of this work is to extrapolate the basics of Cladistics to HRM field. In doing so, HRM practices have been analyzed, such as personnel selection, rewards systems, appraisal systems, training, etc¿ The bundle of HRM practices that certain organization has been implemented at certain point of time will determine what kind of organization is. Thus, a evolutionary map is built. It can be use as a benchmarking tool in order to analyze what sort of HRM practices has been implemented by competitors, haw far they have gone, and in what sort of organization have become. In this work, a simple example of evolution in time of Spanish manufacturing companies is shown. The organization growth in size (number of employees) has been considered as evolutionary factor. This is due to the fact that, as number of employees increase, HRM programs have to be different. Furthermore, a preliminary application of Cladistics is offered in hospitality sector. / [ES] La presente tesis estudia la evolución del sistema de gestión de recursos humanos en las organizaciones. Es decir, cambios introducidos a través de la gestión de personas. El objetivo principal de la tesis es analizar cómo las empresas van evolucionando y cambiando en el tiempo a través del capital humano. En los últimos años se ha demostrado que los niveles de adaptación y cambio que requieren las organizaciones para adaptarse a su entorno cambiante, son cada vez más elevados. Uno de los motores que facilitan este cambio organizacional, es la introducción de nuevos programas de gestión y herramientas que ayuden a las organizaciones a mejorar sus resultados empresariales. Este trabajo se centra en la identificación y análisis de estos programas en el ámbito de la gestión de RRHH. En particular: qué prácticas de RRHH se implementan, en qué tipo de empresas, en qué momento y, por último, en qué orden. Aunque ya existen numerosos estudios que analizan las prácticas de RRHH, hasta el momento, no existen herramientas que introduzcan el factor orden o tiempo en este proceso gestión de RRHH. Ésta es la causa por en esta tesis se utilizan los enfoques de 'path dependence' y 'cladistics'. El concepto de 'Path dependence', muestra cómo las decisiones de gestión que son tomadas en un momento determinado, influyen en las decisiones futuras. Este hecho hace que, antes de diseñar la estrategia a seguir en el futuro, se haya de analizar de dónde venimos y que camino se ha seguido para llegar hasta aquí. Bajo este enfoque, a lo largo de esta tesis, se utiliza la cladística como metodología de análisis de las organizaciones desde una perspectiva de gestión de personas diferente a las habituales en este ámbito. La Cladistica es una metodología que puede ser empleada como herramienta de toma de decisiones, y que permite identificar qué resultado se obtendría tras implantar un conjunto determinado de prácticas de gestión de RRHH, en función de las que ya se han implantado previamente (y por tanto de la historia previa de la organización). Esta metodología de análisis y clasificación ha sido comúnmente empleada en el ámbito de la biología y a lo largo de la presente tesis, se muestra cómo puede transferirse a la gestión de RRHH. Los biólogos, emplean la Cladística para la construcción de mapas evolutivos denominados cladogramas. Éstos son representaciones gráficas de la evolución de las especies animales. Si bien esta metodología se ha empleado ya en otros ámbitos diferentes a la biología, tales como la lingüística o la astronomía entre otros; en el área de management se ha desarrollado poco aún estando enmarcados los ejemplos más relevantes en el área de la gestión de operaciones. En este trabajo se extrapolan los conceptos básicos de la Cladistica al área de la gestión de recursos humanos. Para ello se estudian las prácticas de recursos humanos, tales como la selección de personal, sistemas de retribución, sistemas de evaluación, formación, etc¿ El tipo de prácticas de RRHH que ha seguido una determinada organización a lo largo del tiempo, es lo que determinará a qué tipo de organización pertenecen. Así, se construye un mapa evolutivo que puede emplearse como herramienta de benchmarking para ver qué practicas han implementado otros, dónde han llegado con ello y en qué tipo de organización se han convertido. En esta tesis se muestra un ejemplo sencillo de evolución en el tiempo de empresas en el sector manufacturero español, considerando como factor evolutivo el crecimiento en tamaño de organización (número de empleados). Entendiendo que, a medida que se incrementa el número de empleados, los programas de gestión de personas han de ser diferentes. Así mismo, se presenta una aplicación preliminar de la Cladistica al sector hospitality. / [CAT] Aquesta tesi estudia l'evolució del sistema de gestió de recursos humans a les organitzacions. És a dir, els canvis realitzats a través de la gestió de persones. L'objectiu principal de la tesi és analitzar com les empreses estan evolucionant i canviant en el temps a través de la capital humà. En els darrers anys s'ha demostrat que els nivells d'adaptació i canvi que requereixen les organitzacions a adaptar-se al seu entorn canviant, són cada cop més elevats. Un dels motors que facilita aquest canvi organitzacional és la introducció de nous programes de gestió i ferramentes que ajuden les organitzacions a millorar els seus resultats de negoci. Aquest treball es centra en la identificació i anàlisi d'aquests programes en l'àmbit de gestió de recursos humans. En particular: quines pràctiques RRHH estan implementades, a quin tipus d'empreses, quan i, finalment, en quin ordre. Encara que hi ha nombrosos estudis que analitzen les pràctiques RRHH, fins ara, no hi ha cap ferramenta que introdueixen el factor ordre o temps en aquest procés de gestió de recursos humans. Aquesta és la raó per la cual s'utilitzen en aquesta tesi els enfocaments de "dependència del camí' i 'cladística'. El concepte de "Path dependence", mostra com les decisions de gestió que es prenen en un moment donat, influencien les decisions futures. Això significa que, abans de dissenyar l'estratègia a seguir en el futur, cal analitzar d'on venim així com el camí que s'ha seguit per arribar fins ací. Davall este enfocament, al llarg d'esta tesi, s'utilitza la cladística com a metodologia d'anàlisi de les organitzacions des d'una perspectiva de gestió de persones diferent de les habituals en este àmbit. La Cladistica és una metodologia que pot ser empleada com a ferramenta de presa de decisions, i que permet identificar què resultat s'obtindria després d'implantar un conjunt determinat de pràctiques de gestió de RRHH, en funció de què ja s'han implantat prèviament (i per tant de la història prèvia de l'organització). Esta metodologia d'anàlisi i classificació ha sigut comunament empleada en l'àmbit de la biologia i al llarg de la present tesi, es mostra com pot transferir-se a la gestió de RRHH. Els biòlegs, usen la Cladística per a la construcció de mapes evolutius denominats cladogramas. Aquests són representacions gràfiques de l'evolució d'spècies animals. Si bé esta metodologia s'ha utilitzat ja en altres àmbits diferents de la biologia, com ara la lingüística o l'astronomia entre altres; en l'àrea de management s'ha desenvolupat poc encara, estant emmarcats els exemples més rellevants en l'àrea de la gestió d'operacions. En aquest treball s'extrapolen els conceptes bàsics de la Cladistica a l'àrea de la gestió de recursos humans. Per a això s'estudien les pràctiques de recursos humans, com ara la selecció de personal, sistemes de retribució, sistemes d'avaluació, formació, etc... Les pràctiques de recursos humans que ha seguit una organització particular al llarg del temps, és el que determinarà a quin tipus d'organització pertanyen. Així, es construïx un mapa evolutiu que es pot utilitzar com a ferramenta de benchmarking per a veure què practiques ha implementat la competnecia, a on han arribat amb això, i en quin tipus d'organització s'han convertit. A aquesta tesi es mostra un exemple senzill d'evolució en el temps d'empreses en el sector manufacturer espanyol, considerant com a factor evolutiu el creixement en grandària de l'organització (nombre d'empleats) . Entenent que, a mesura que s'incrementa el nombre d'empleats, els programes de gestió de persones han de ser diferents. Així mateix, es presenta una aplicació preliminar de la Cladistica al sector hospitality. / Perelló Marín, MR. (2015). Study of evolution in human resources management programs in organizations. Application of "Path Dependence" and "Cladistics" [Tesis doctoral no publicada]. Universitat Politècnica de València. https://doi.org/10.4995/Thesis/10251/54110 / TESIS

Native nation building is a phenomenon largely neglected by mainstream political science. There are empirical and theoretical gaps in the study of political structures of Native nations. The empirical focus of this dissertation is on the rebuilding process of the White Earth Nation located in northwestern Minnesota. The objective is to investigate the long-term process of White Earth governance in order to get insights into the background of the present state of the White Earth institutional stalemate. I trace external and internal factors that influenced the formation, preservation, and transformation of the White Earth government established as part of the Minnesota Chippewa Tribe under the Indian Reorganization Act provisions in 1936. To understand this process, it is necessary to include the historical context of the White Earth constitutionalism from 1913 to the present. I analyze some hitherto unknown archival materials using a flexible theoretical framework which I designed specifically for the purpose of studying the White Earth nation-building process. This case-specific framework eclectically uses a combination of theoretical approaches of Native American studies, genealogy, Vincent Pouliot's practice tracing, and new institutionalism. My findings suggest that the White Earth...

Bestämmelserna om flyttningsförbud återfinns i 24 och 27 §§ lag (1990:52) med särskilda bestämmelser om vård av unga (LVU). Enligt 24 § LVU får förvaltningsrätten meddela ett flyttningsförbud om det finns en påtaglig risk för att barnets hälsa eller utveckling skadas vid en flyttning från familjehemmet. Om det är sannolikt att ett flyttningsförbud behövs och rättens beslut inte kan avvakta med hänsyn till risken för barnets hälsa eller utveckling får socialnämnden besluta om ett tillfälligt flyttningsförbud, se 27 § LVU. I 28 § LVU stadgas att ett beslut om tillfälligt flyttningsförbud ska underställas förvaltningsrätten. Utifrån teoribildningen om stigbundenhet kan en problematik med beslut om flyttningsförbud urskiljas. Stigbundenhet innebär att tidigare beslut bildar en utgångspunkt för senare beslut. Huvudsyftet med uppsatsen är dels att utreda i hur många beslut om flyttningsförbud socialnämnden har fått ett tillfälligt flyttningsförbud fastställt innan förvaltningsrätten meddelar ett flyttningsförbud, dels att studera antalet mål kammarrätten kommer till samma beslut som förvaltningsrätten i en process om flyttningsförbud. Om förvaltningsrätten och kammarrätten i många mål kommer till samma beslut undersöker uppsatsen om det vid beslut om flyttningsförbud finns en risk för stigbundenhet. Finns det en risk för stigbundenhet granskar uppsatsen ifall domstolen beslutar om flyttningsförbud trots att det inte är motiverat av principen om barnets bästa. Ett delsyfte med uppsatsen är att kartlägga vid vilka situationer och varför ett flyttningsförbud meddelas och ett tillfälligt flyttningsförbud fastställs. Ännu ett delsyfte med uppsatsen är att konstatera hur bestämmelsen om flyttningsförbud fungerar i praktiken och om förändringar av gällande rätt borde ske. En rättsdogmatisk metod används i uppsatsen för att utreda gällande rätt när det gäller regleringen om vård av barn och speciellt hur bestämmelserna om flyttningsförbud tillämpas. För att konstatera hur bestämmelsen om flyttningsförbud fungerar i praktiken och om förändringar av gällande rätt borde ske nyttjas en kritisk rättsdogmatisk metod. För att besvara uppsatsens huvudsyfte, delsyften och frågeställningar studeras domar där både förvaltningsrätten och kammarrätten prövat frågan om tillfälligt flyttningsförbud eller flyttningsförbud i sak. Utifrån resultatet av rättsfallsstudien är det befogat att konstatera att det finns en risk för stigbundenhet vid beslut om flyttningsförbud. Det finns en risk för stigbundenhet eftersom förvaltningsrätten och kammarrätten tog samma beslut i 85 % av målen och kammarrätten i en av fyra domar mer eller mindre endast hänvisade till förvaltningsrättens bedömning. I åtminstone majoriteten av domarna i rättsfallsstudien tog förvaltningsrätten och kammarrätten ett beslut som är i linje med barnets bästa. Rättsfallsstudien visar att ett flyttningsförbud i regel meddelas, när vårdnadshavaren uttryckt att den tänker eller vill hämta barnet från familjehemmet, efter en sammanvägning av diverse omständigheter. Det mest centrala vid bedömningen var barnets anknytning till familjehemmet och den risk för skada en separation skulle innebära för barnet. Det är genom rättsfallsstudien möjligt att se ett mönster för när ett flyttningsförbud anses behövligt. Bestämmelsen om flyttningsförbud verkar därmed fungera någorlunda. För att bestämmelsen om flyttningsförbud ska fungera mer tillfredställande borde dock en förändring av gällande rätt ske. / The regulations on prohibiting the relocation of a child in preventive care are found in sections 24 and 27 of the Care of Young Persons Act (1990: 52, LVU). According to section 24 LVU, the Administrative Court may issue a prohibition to relocate a child if there is a significant risk that the child's health or development could be damaged by the relocation from the family home. If it is plausible that a relocation ban is needed and the court's decision cannot wait, with regard to the risk for the child's health or development, the Social Welfare Committee may decide on a temporary relocation ban, see section 27 LVU. Section 28 LVU, stipulates that a decision on a temporary relocation ban shall be submitted to the Administrative Court. Based on a theory of path dependence a problem with decisions about a relocation ban can be distinguished, as the concept of path dependence entails that earlier decisions influence later decisions. The main purpose of the thesis is partly to investigate in how many cases the Social Welfare Committee has temporarily prohibited the relocation of a child before the Administrative Court announces a relocation ban, and partly to study the number of cases the Administrative Court of Appeal comes to the same decision as the Administrative Court in a relocation ban process. If the Administrative Court and the Administrative Court of Appeal come to the same decision in multiple cases the thesis will examine whether there is a risk of path dependence. If there is a risk of path dependence the thesis will further examine whether the court decides to prohibit the relocation of a child even though it is not justified by the principle of the best interests of the child. A subsidiary purpose of the thesis is to map out in which situations and why the court announce a relocation ban and establish a temporary relocation ban. Another subsidiary purpose of the thesis is to establish how the regulation of the relocation ban works in practice and if changes to applicable law should take place. A legal dogmatic method and a critical legal dogmatic method is used in the thesis. To answer the thesis' main purpose, subsidiary purposes and research questions, decisions from both the Administrative Court and the Administrative Court of Appeal about temporary relocation ban and relocation ban are examined.  Based on the results of the case study it is justified to state that there is a risk of path dependence when the court decides on a relocation ban. There is a risk of path dependence because the Administrative Court and the Administrative Court of Appeal made the same decision in 85 % of the cases. Another factor that signifies a risk of path dependence is that the Administrative Court of Appeal in one out of four verdicts more or less only referred to the Administrative Court's assessment. In at least the majority of the verdicts the Administrative Court and the Administrative Court of Appeal made a decision that is in line with the best interests of the child. The case study shows that the court usually announces a relocation ban, when the child’s guardian expresses that he or she intends or wants to move the child from the family home, depending on different circumstances. The most central circumstance was the child's connection to the family home and the risk of harm when separated. Through the case study it is possible to see a pattern for when a relocation ban is considered necessary. Thus, it can be concluded that the provision on the relocation bans seems to work reasonably well. However, to make the provision on the relocation ban function more satisfactorily a change in the applicable law should take place.

Covid-19 brought various challenges that the world that was not fully prepared to face since 2019. The pandemic came with both health and economic repercussions, and various organizations had to adapt their Organization Design to confront these new challenges posed by this Black Swan event. Since the pandemic is still recent, most of the research related to Organization Design and Covid-19 has focused on the changes during the pandemic. What has been missing in the research is a perspective on the evolution of Organization Design over time. Two research questions were addressed. The first question explored how individuals from different positions perceived changes in Organization Design during the pandemic using Jay Galbraith's Star Model. The findings revealed variations in perceptions across positions, particularly regarding hiring growth, structure, communication, rewards, and the hiring process. The second research question uses a combination of Path Dependence Theory and Jay Galbraith's Star Model to compare the short-term and long-term effects of contingencies on Organization Design within a Medical Manufacturing Company. Some changes, like temporary Covid-19 protocols and rewards, were phased out, while others, including remote work, digital transformation, hybrid work models, and certain structural changes, became permanent. The thesis contributes to the understanding of how Black Swan events impact Organization Design in the Medical Manufacturing Industry, providing practical recommendations for decision-making during crises and emphasizing the significance of organizational resilience and change management. The study's theoretical contributions include exploring path dependence in crisis-induced transformations, highlighting the dynamic nature of organizational responses, and suggesting future research avenues. Overall, this research enhances knowledge of Organization Design dynamics and offers guidance for organizations in crisis response and resilience-building. / Covid-19 förde med sig olika utmaningar och konsevenser såväl ekonomiskt som hälsomässigt. Pandemin kan ses som ett exempel på en svart svan-händelse, dvs. en osannolik händelse med omfattande konsekvenser. Organisationer var tvungna att anpassa sig för att möta utmaningarna som denna svarta svan-händelse medförde, i synnerhet när det gäller organisationsdesign. Eftersom pandemin fortfarande ligger relativt nära i tiden, har en stor del av forskningen kring organisationsdesign och Covid-19 fokuserat på förändringarna under pandemin. Det som har saknats i forskningen är ett perspektiv på utvecklingen av organisationsdesign över tid. Denna uppsats bidrar till att fylla detta kunskapsgap genom en fallstudie av ett medicinskt tillverkningsföretag. Två forskningsfrågor behandlas, den första frågan fokuserar på hur individer på olika positioner i företaget uppfattade förändringar i organisationsdesign under pandemin. Med utgångspunkt i Jay Galbraiths Star Model visar uppsatsen att uppfattningar om förändringar skiljer sig åt mellan olika positioner, särskilt med avseende på personaltillväxt, struktur, kommunikation, belöningar och rekryteringsprocesser. Den andra forskningsfrågan behandlar hur organisationsdesignen utvecklats i ett stigberoende perspektiv.Vissa förändringar, som rutiner för hantering av Covid-19 och specifika belöningsmodeller, fasades ut, medan andra, som distansarbete, digitalisering, hybridarbetsmodeller och vissa strukturella förändringar, förblev permanenta. Uppsatsen bidrar till en ny förståelse för hur en svarta svan-händelse kan påverka organisationsdesign inom ett företag och ger rekommendationer för beslutsfattande under kriser samt betonar betydelsen av organisationsresiliens och förändringshantering. Studiens teoretiska bidrag ligger i kombinationen av stigberoendeteori och omvandling under en extern kris av svart svan-typ.

1. Contextual outline of the PhD Research<p><p>Climate change is today often seen as one of the most challenging issue that our civilisation will have to face during the 21st century. This is especially so now that the most recent scientific data have led to the conclusion that the globally averaged net effect of human activities since 1750 has been one of warming (IPCC 2007, p. 5) and that continued greenhouse gas emissions at or above current rates would cause further warming (IPCC, 2007 p. 13). This unequivocal link between climate change and anthropogenic activities requires an urgent, world-wide shift towards a low carbon economy (STERN 2006 p. iv) and coordinated policies and measures to manage this transition.<p><p>The climate issue is undoubtedly a typical policy question and as such, is considered amenable to economic scrutiny. Indeed, in today’s world economics is inevitable when it comes to arbitrages in the field of policy making. From the very beginning of international talks on climate change, up until the most recent discussions on a post-Kyoto international framework, economic arguments have turned out to be crucial elements of the analysis that shapes policy responses to the climate threat. This can be illustrated by the prominent role that economics has played in the different analyses produced by the Intergovernmental Panel on Climate Change (IPCC) to assess the impact of climate change on society.<p><p>The starting point and the core idea of this PhD research is the long-held observation that the threat of climate change calls for a change of climate in economics. Borrowing from the jargon used in climate policy, adaptation measures could also usefully target the academic discipline of economics. Given that inherent characteristics of the climate problem (e.g. complexity, irreversibility, deep uncertainty, etc.) challenge core economic assumptions, mainstream economic theory does not appear as appropriately equipped to deal with this crucial issue. This makes that new assumptions and analyses are needed in economics in order to comprehend and respond to the problem of climate change.<p><p>In parallel (and without environmental considerations being specifically the driving force to it), the mainstream model in economics has also long been (and still is) strongly criticised and disputed by numerous scholars - both from within and outside the field of economics. For the sake of functionality, these criticisms - whether they relate to theoretical inconsistencies or are empirically-based - can be subsumed as all challenging part of the Cartesian/Newtonian legacy of economics. This legacy can be shown to have led to a model imprinted with what could be called “mechanistic reductionism”. The mechanistic side refers to the Homo oeconomicus construct while reductionism refers to the quest for micro-foundations materialised with the representative agent hypothesis. These two hypotheses constitute, together with the conjecture of perfect markets, the building blocks of the framework of general equilibrium economics. <p><p>Even though it is functional for the purpose of this work to present them separately, the flaws of economics in dealing with the specificities of the climate issue are not considered independent from the fundamental objections made to the theoretical framework of mainstream economics. The former only make the latter seem more pregnant while the current failure of traditional climate policies informed by mainstream economics render the need for complementary approaches more urgent. <p><p>2. Overview of the approach and its main insights for climate policy<p><p>Starting from this observation, the main objective of this PhD is thus to assess the implications for climate policy that arise from adopting an alternative analytical economic framework. The stance is that the coupling of insights from the framework of evolutionary economics with the perspective of ecological economics provides a promising way forward both theoretically as well as on a more applied basis with respect to a better comprehension of the socioeconomic aspects related to the climate problem. As claimed in van den Bergh (2007, p. 521), ecological economics and evolutionary economics “share many characteristics and can be combined in a fruitful way" - which renders the coupling approach both legitimate and promising. <p><p>The choice of an evolutionary line of thought initially stems from its core characteristic: given its focus on innovation and system change it provides a useful approach to start with for assessing and managing the needed transition towards a low carbon economy. Besides, its shift of focus towards a better understanding of economic dynamics together with its departure from the perfect rationality hypothesis renders evolutionary economics a suitable theoretical complement for designing environmental policies.<p><p>The notions of path-dependence and lock-in can be seen as the core elements from this PhD research. They arise from adopting a framework which is founded on a different view of individual rationality and that allows for richer and more complex causalities to be accounted for. In a quest for surmounting the above-mentioned problem of reductionism, our framework builds on the idea of ‘multi-level selection’. This means that our analytical framework should be able to accommodate not only for upward but also for downward causation, without giving analytical priority to any level over the other. One crucial implication of such a framework is that the notion of circularity becomes the core dynamic, highlighting the importance of historicity, feedbacks and emergent properties. <p><p>More precisely, the added value of the perspective adopted in this PhD research is that it highlights the role played by inertia and path-dependence. Obviously, it is essential to have a good understanding of the underlying causes of that inertia prior to devising on how to enforce a change. Providing a clear picture of the socio-economic processes at play in shaping socio-technical systems is thus a necessary first step in order to usefully complement policy-making in the field of energy and climate change. In providing an analytical basis for this important diagnosis to be performed, the use of the evolutionary framework sheds a new light on the transition towards low-carbon socio-technical systems. The objective is to suggest strategies that could prove efficient in triggering the needed transition such as it has been the case in past “lock-in” stories. <p><p>Most notably, the evolutionary framework allows us to depict the presence of two sources of inertia (i.e at the levels of individuals through “habits” and at the level of socio-technical systems) that mutually reinforce each other in a path-dependent manner. Within the broad perspective on path dependence and lock-in, this PhD research has first sketched the implications for climate policy of applying the concept of ‘technological lock-in’ in a systemic perspective. We then investigated in more details the notion of habits. This is important as the ‘behavioural’ part of the lock-in process, although explicitly acknowledged in the pioneer work of Paul David (David, 1985, p. 336), has been neglected in most of subsequent analyses. Throughout this study, the notion of habits has been studied at both the theoretical and applied level of analysis as well as from an empirical perspective. <p><p>As shown in the first chapters of the PhD, the advantage of our approach is that it can incorporate theories that so far have been presented opposite, partial and incomplete perspectives. For instance, it is shown that our evolutionary approach not only is able to provide explanation to some of the puzzling questions in economics (e.g. the problem of strong reciprocity displayed by individual in anonymous one-shot situations) but also is very helpful in bringing a complementary explanation with respect to the famous debate on the ‘no-regret’ emission reduction potential which agitates the experts of climate policy. <p><p>An emission reduction potential is said to be "no regret" when the costs of implementing a measure are more than offset by the benefits it generates such as, for instance, reduced energy bills. In explaining why individuals do not spontaneously implement those highly profitable energy-efficient investments ,it appears that most prior analyses have neglected the importance of non-economic obstacle. They are often referred to as “barriers” and partly relate to the ‘bounded rationality’ of economic agent. As developed in the different chapters of this PhD research, the framework of evolutionary economics is very useful in that it is able to provide a two-fold account (i.e. relying on both individual and socio-technical sources of inertia) of this limited rationality that prevent individuals to act as purely optimising agents.<p><p>Bearing this context in mind, the concept of habits, as defined and developed in this study, is essential in analysing the determinants of energy consumption. Indeed, this concept sheds an insightful light on the puzzling question of why energy consumption keeps rising even though there is an evident increase of awareness and concern about energy-related environmental issues such as climate change. Indeed, if we subscribe to the idea that energy-consuming behaviours are often guided by habits and that deeply ingrained habits can become “counter-intentional”, it then follows that people may often display “locked-in” practices in their daily energy consumption behaviour. This hypothesis has been assessed in our empirical analysis whose results show how the presence of strong energy-consuming habitual practices can reduce the effectiveness of economic incentives such as energy subsidies. One additional delicate factor that appears crucial for our purpose is that habits are not fully conscious forms of behaviours. This makes that individuals do not really see habits as a problem given that it is viewed as easily changed.<p><p>In sum, based on our evolutionary account of the situation, it follows that, to be more efficient, climate policies would have to both shift the incumbent carbon-based socio-technical systems (for it to shape decisions towards a reduction of greenhouse gas emissions) and also deconstruct habits that this same socio-technical has forged with time (as increased environmental awareness and intentions formulated accordingly are not sufficient in the presence of strong habits).<p><p>Accordingly, decision-makers should design measures (e.g. commitment strategies, niche management, etc.) that, as explained in this research, specifically target those change-resisting factors and their key features. This is essential as these factors tend to reduce the efficiency of traditional instruments. Micro-level interventions are thus needed as much as macro-level ones. For instance, it is often the case that external improvements of energy efficiency do not lead to lower energy consumption due to the rebound effect arising from unchanged energy-consuming habits. Bearing this in mind and building on the insights from the evolutionary approach, policy-makers should go beyond the mere subsidisation of technologies. They should instead create conditions enabling the use of the multi-layered, cumulative and self-reinforcing character of economic change highlighted by evolutionary analyses. This means supporting both social and physical technologies with the aim of influencing the selection environment so that only the low-carbon technologies and practices will survive. <p><p><p>Mentioned references:<p><p>David, P. A. (1985), Clio and the economics of QWERTY, American Economic Review 75/2: 332–337.<p><p>IPCC, 2007, ‘Climate Change 2007: The Physical Science Basis’, Contribution of Working Group I to the Fourth Assessment Report of the Intergovernmental Panel on Climate Change [Solomon, S. D. Qin, M. Manning, Z. Chen, M. Marquis, K.B. Averyt, M. Tignor and H.L. Miller (eds.)]. Cambridge University Press, Cambridge, United Kingdom and New York, NY, USA, 996 pp. <p><p>Stern, N. 2006, ‘Stern Review: The economics of Climate Change’, Report to the UK Prime Minister and Chancellor, London, 575 p. (www.sternreview.org.uk)<p><p>van den Bergh, J.C.J.M. 2007, ‘Evolutionary thinking in environmental economics’, Journal of Evolutionary Economics 17(5): 521-549.<p> / Doctorat en Sciences économiques et de gestion / info:eu-repo/semantics/nonPublished

This thesis examines first-line managers' perceptions about their organizational prerequisites for trust-based governance and management through a case study within the municipality of Norrköping, focusing on the public home care organization. A qualitative research design was used in the thesis based on first-line managers perceptions of the organizational prerequisites for an ideal trust-based governance and management. The material has been analyzed through an ideal-type analysis based on central elements within the governing principles of market, bureaucracy, and trust. An overall picture gives the impression that the organizational prerequisites primarily is perceived as being well-functioning for the ideal of trust-based governance and management. It is also considered that certain organizational prerequisites are less well-functioning for the ideal. Furthermore, the thesis indicates certain organizational prerequisites which are seen as central to the ideal. This thesis provides some empirical evidence that a balance between the governing principles of market, bureaucracy, and trust is perceived as essential to achieve the ideal of trust-based governance and management in the given context. At the same time, the thesis indicates that a greater emphasis on trust as a governing principle is perceived as desirable to achieve the optimal balance for the ideal in the given context. In addition, the study depicts that there is some path dependence that affects the view of the organizational prerequisites for an ideal trust-based governance and management in the managerial role. This means that a legacy of market-inspired and bureaucratic instruments is perceived to prevent the trust-based management philosophy from having a greater impact on the organization.

本論文含蓋三篇文章，分別從評價、避險和風險控管三方面，分析上限型股權連結保本票券。 第一篇文章為上限型股權連結保本票券之設計、評價和比較。本文考量投資人保守的投資行為與設限型股權連結票券所存在的delta跳躍(delta jump)現象，延伸Brennan and Schwartz (1976)模型，提出一個能在股價波動之際，使發行的避險部位delta呈現平滑變動且兼具保本(protected principal)功用的一般化模型(general form)。相較於一般的設限型股權連結保本模型，本模型具有以下特色。第一，加入股價成長率的調整因子(adjustable factor)，當景氣低靡，股價不停下跌時，正的調整因子可減緩股價下滑之勢，進而增加投資人在票券到期日時獲取更多資本利得(capital gain)的機會。同時，調整因子縮小了當期股價成長率與股價上限成長率(capped stock growth rate)之間的差距，繼而減緩delta 跳躍的幅度，降低發行者的避險成本。並且在HJM利率模型下，delta隨股價與股價波動度的變化更顯平滑(smooth)。第二，在保本率(protection rate)和參與率 (participation rate)不變之下，本模型的期初合理價格(fair price)較低，投資人能以較低的成本取得同等的投資保障。第三，若將本票券的名目面額(notional principal)視作共同基金(mutual fund)的淨值(net value)，而該淨值與股價連動，則本模型即成為股權連結的保本型基金(principal-protected fund)。 第二篇文章是路徑依賴之上限型股權連結保本模型之評價和風險測量。該文是擴展Brennan and Schwartz (1976)模型發展一個路徑依賴之上限型股權連結保本模型，並且提出一個比二元數模型更精確的封閉解。此外，也對七個時間序列進行股價波動度之精確檢定，得知AR-ARCH(1)模型對上限型股權連結保本票券而言，較其它時間序列模型，更能有效估計股價之波動度。 第二篇文章是外國資產的風險管理。目前在國內金融市場上，國外金融商品很多，大都以外幣計價，因此匯率風險是投資人不可忽視的因子。本文拓展Kupiec(1999)模型，將匯率風險加入模型中，使投資人更有效進行風險管理。 / This thesis studies valuation, hedge and risk management of capped equity-linked and principal-protected notes by means of the following essays: (1) Design, Valuation and Comparison of Capped Equity-linked and Principal-protected Notes (2) Valuation and Risk Measurement of Capped Equity-linked and Principal-protected Notes with Path Dependence (3) Risk Management of Foreign Assets Capped equity-linked and principal-protected notes are similar with barrier options. There exists delta jump as stock price or growth rate reaches the barrier. But previous studies about equity-linked and principal-protected notes with a restricted growth rate of stock price never explicitly discussed how the delta jump could be solved. In my first essay, I present a new design for capped equity-linked and principal-protected notes and add an adjustable factor to growth rate of stock price in such a way that the adjustable factor narrows the gap between the current stock growth rate and the capped stock growth rate and thus really reduces the magnitude of the delta jump and hence lowers the hedging cost for brokers. Recently, the focus of previous studies about principal-protected notes has been on either the restriction on the rate of stock return or the path dependence on the underlying asset, but not both in the same context. In my second essay, I develop a model on the capped, equity-linked and principal-protected notes with path dependence. There are two issues in this article. The first issue is valuation on the capped, equity-linked and principal-protected notes with path dependence. I find a closed-form approximation using the 2nd-order Taylor approximation and the method of Vorst (1992) that has higher accuracy than binomial tree model as maturity time or volatility becomes large. The second issue is risk measurement. I use VaR model to evaluate market risk of the principal-protected notes, and employ seven univariate time series models to forecast volatility and examine the accuracy. Additionally, investors may well encounter potential loss as the prices of financial products are reduced in the secondary market. The VaR is mainly concerned with the downside risk and becomes a standard measure of financial market risk that is increasingly used by investors. But if we want to apply 〝textbook〞formulation to risk management of foreign assets, there leaves exchange rate risk out of consideration. Therefore, I extend the work by Kupiec (1999) to present VaR formula with exchange rate risk for foreign assets and then to manage market risk usefully.