Suchergebnisse

In Madagaskar ist ein Großteil der ländlichen Bevölkerung von Armut betroffen und ist damit auf kleinbäuerliche Landwirtschaft und die Nutzung natürlicher Ressourcen zur Grundversorgung angewiesen. Folglich sind die natürlichen und artenreichen Ökosysteme des Landes einem hohen Landnutzungsdruck ausgesetzt. Vor allem die Regenwälder im Nordosten des Landes weisen eine bemerkenswerte Vielfalt an Baumarten und eine hohe Endemismusrate auf, sind jedoch von einer raschen Umwandlung in eine von Menschen veränderte Mosaiklandschaft bedroht. In dieser Mosaiklandschaft im Nordosten Madagaskars findet sich noch ein kleiner Anteil geschützter alter Wälder, ansonsten setzt sich die Landschaft aus einem Mosaik landwirtschaftlicher Flächen, Waldfragmente und Agroforste zusammen. Diese Agroforste dienen dem kleinbäuerlichen Anbau von Gewürzvanille, die Madagaskars wichtigstes Exportprodukt darstellt. In diesen Agroforsten spielen Bäume eine entscheidende Rolle. Sie werden entweder als Schattenbäume oder als Stützbäume für die kletternde Vanille-Orchidee (Vanilla planifolia) dauerhaft in das Anbausystem integriert. Vanille-Agroforste decken bezüglich ihrer Struktur und ihrer Artenzusammensetzung ein breites Spektrum ab. Somit weisen sie vielversprechende Landnutzungsoptionen auf, um die Erhaltung der biologischen Vielfalt mit den Produktionszielen im Nordosten Madagaskars in Einklang zu bringen. Da es bisher nur wenige Belege gibt, die eine soziale und ökologische Bewertung der Vanille-Agroforstwirtschaft erlauben, befasst sich das Forschungsprojekt "Diversity Turn in Land Use Science" mit dieser Forschungslücke. Im Rahmen des Diversity Turn-Projekts befasst sich die vorliegende Doktorarbeit mit dem Naturschutzwert von Agroforsten, indem sie die Vielfalt, Bestandsstruktur und Zusammensetzung von Baumgemeinschaften in Vanille-Agroforsten untersucht und sie mit anderen baumbasierten Landnutzungstypen in der Mosaiklandschaft im Nordosten Madagaskars vergleicht. Um dies zu erreichen, entwickelt die vorliegende Doktorarbeit zunächst einen konzeptionellen Rahmen, der eine Naturschutzbewertung von Agroforstsystemen erleichtert. Anschließend werden einzelne Aspekte dieses konzeptionellen Rahmens anhand von Fallstudien untersucht. Die Fallstudien setzen unterschiedliche Schwerpunkte und decken damit ein umfassendes Spektrum ab, das von der Baumartenvielfalt und Bestandsstruktur, über die Baumartenzusammensetzung, die Vielfalt der Agroforst-Stützbäume bis zur Erfassung des oberirdischen Kohlenstoffbestands reicht. Die Fallstudien stützen sich auf Bauminventurdaten, die in Vanille-Agroforsten mit unterschiedlicher Landnutzungsgeschichte erhoben wurden, sowie in weitgehend ungestörten Wäldern, Waldfragmenten und holzigen Brachflächen, die alle Teil der kleinbäuerlichen Mosaiklandschaft im Nordosten Madagaskars sind. In der konzeptionellen Studie (Kapitel 1) wird zunächst dargelegt, dass sich tropische Agroforste in ihrer Landnutzungsgeschichte unterscheiden: sie können entweder im Wald oder auf Brachland angelegt werden. Jedoch wird dieser Unterschied in der Agroforstforschung und -politik bisher kaum beachtet. Auf der Grundlage von Literaturdaten und einem Beispiel aus eigenen Bauminventurdaten zeigt die Studie, dass sich Agroforste mit unterschiedlicher Landnutzungsgeschichte in Bezug auf biologische Vielfalt, Ökosystemfunktionen und Ökosystemdienstleistungen unterscheiden. Die Studie legt nahe, dass die Unterscheidung basierend auf der Landnutzungsgeschichte in verschiedenen Regionen und Agroforstsystemen anwendbar sein könnte, um lokale Naturschutzziele und Landschaftsmanagement besser aufeinander abzustimmen. Kapitel 2 analysiert die Bestandsstruktur und die Artenvielfalt von Bäumen in den verschiedenen Landnutzungstypen der kleinbäuerlichen Mosaiklandschaft. Dabei steht insbesondere im Fokus, wie sich die Landnutzungsgeschichte in Vanille-Agroforsten auf deren Bestandsstruktur und die Baumartenvielfalt auswirkt: die Studie zeigt, dass Agroforste, die im Wald etabliert wurden, wichtig für die Erhaltung der Lebensraumstruktur und der Baumvielfalt sind, während Agroforste, die auf Brachland etabliert wurden, eine Möglichkeit zur Wiederherstellung der Baumbestände auf diesen ehemals bewaldeten Brachflächen bieten. Kapitel 3 quantifiziert die Vielfältigkeit und Zusammensetzung der Baumartengemeinschaften innerhalb und zwischen verschiedenen Landnutzungstypen in der Mosaiklandschaft. Die Studie verwendet Beta-Diversitätsmaße, die Veränderungen in der Baumartenzusammensetzung und -häufigkeit in diesen verschiedenen Landnutzungstypen widerspiegeln, und zeigt, dass (bis jetzt) viele Baumarten in dieser Mosaiklandschaft überleben können. Allerdings sind die Fluktuationsraten innerhalb und zwischen den Baumgemeinschaften in den verschiedenen Landnutzungstypen hoch, was darauf hindeutet, dass sich die Baumgemeinschaften sowohl in ihrer Identität als auch in ihrem Abundanz verändern. Die Studie befürwortet die Durchführung von Maßnahmen zur Aufforstung und Renaturierung ehemals bewaldeten Brachlands, um die einzigartigen Baumartengemeinschaften in der vom Menschen veränderten Mosaiklandschaft zu erhalten, und schlägt als Einstieg die Etablierung von Agroforsten auf ehemals bewaldeten Brachflächen vor. Die Studie betont jedoch, dass die hohe Fluktuationsrate von Baumartengemeinschaften bei der Planung solcher Aktivitäten zu berücksichtigen ist. Kapitel 4 befasst sich mit der Vielfalt und Zusammensetzung von Agroforst-Stützbäumen, denen bisher wenig wissenschaftliche Aufmerksam zukam. Die Studie stützt sich auf Daten aus der Bestandsaufnahme von Agroforst-Stützbäumen in Vanille-Agroforsten mit unterschiedlicher Landnutzungsgeschichte, sowie auf Befragungen der Besitzer:innen der jeweiligen Vanille-Agroforste. Die Studie analysiert die Artenvielfalt, die Zusammensetzung und die geographische Herkunft der Stützbäume in diesen Vanille-Agroforsten und zeigt, dass Stützbäume wesentlich zur Baumvielfalt dieser Agroforste beitragen, aber abhängig von der Landnutzungsgeschichte werden deutliche Unterschiede zwischen Stützbaum-Beständen sichtbar: Stützbäume in Agroforsten, die im Wald etabliert wurden, umfassen viele einheimische und endemische Stützbaumarten und weisen einen viermal höheren Artenreichtum auf als Agroforste, die auf Brachland etabliert wurden und einen hohen Anteil an eingeführten Stützbaumarten beherbergen. Da auf Brachland etablierte Vanille-Agroforste eine wichtige Rolle bei der Aufforstung und Renaturierung ehemals bewaldeten Brachlands spielen können, empfiehlt die Studie bei deren Etablierung verstärkt auf einheimische oder endemische Baumarten als Stützbäume zurück zu greifen. Kapitel 5 quantifiziert die oberirdischen Kohlenstoffvorräte in den verschiedenen Landnutzungstypen der kleinbäuerlichen Mosaiklandschaft. Dabei wird insbesondere analysiert, wie die Landnutzungsgeschichte die oberirdischen Kohlenstoffvorräte in Agroforstsystemen beeinflusst. Die Studie zeigt, dass Agroforste als Kohlenstoffspeicher in einer multifunktionalen Landschaft fungieren können, dass es aber wichtig ist, ihre Landnutzungsgeschichte und ihre Bewirtschaftung zu berücksichtigen, um ihren Naturschutzwert zu maximieren: Agroforste, die im Wald etabliert wurden, weisen größere oberirdischen Kohlenstoffvorräten auf und haben das Potenzial, eine waldähnliche Struktur mit einheimischen und endemischen Bäumen in der Landschaft zu erhalten, während Agroforste, die auf Brachland etabliert wurden, dieses ehemalig bewaldete Brachland in dauerhaft baumdominierte Landnutzungssysteme zurückführen. Zusammenfassend tragen die Studien im Rahmen dieser Doktorarbeit dazu bei, die ökologische Bewertung tropischer Agroforste zu verbessern. Die Studien liefern datengestützte Erkenntnisse aus Fallstudien in der Mosaiklandschaft im Nordosten Madagaskars, welche die ökologische Bewertung der Vanille-Agroforstwirtschaft in dieser Region ermöglichen. Die vorliegende Doktorarbeit beleuchtet die Vielfalt, die Zusammensetzung und die Bestandsstruktur von Baumgemeinschaften in der Mosaiklandschaft im Nordosten Madagaskars und liefert damit wichtige Informationen, um die Folgen von Landnutzungsänderungen in dieser tropischen Landschaft zu quantifizieren und zu verstehen. Ein solches Verständnis ist unerlässlich für die Entwicklung von regional angepassten Landnutzungsplänen und Schutzmaßnahmen, die darauf abzielen, die Artenvielfalt, Ökosystemfunktionen und Ökosystemdienstleistungen zu erhalten, und ist somit sowohl für die Forschung als auch für den angewandten Naturschutz von hohem Wert. ; In Madagascar, a large percentage of the rural human population faces multifaceted poverty and depends on agriculture and natural resources as main livelihood sources. Consequently, the country's biodiverse natural ecosystems experience high land-use pressure. Especially the north-eastern rainforests comprise a remarkable diversity of trees species with high endemism rates but face rapid transformation into a human-modified mosaic landscape. This human-modified mosaic landscape in north-eastern Madagascar still contains a small share of protected old-growth forest and is otherwise composed of smallholder agricultural land, forest fragments, and smallholder agroforests to cultivate Madagascar's major export product vanilla. In these agroforests, trees are permanently integrated into the crop cultivation system either as shade trees or as support trees for the climbing vanilla orchid (Vanilla planifolia). Vanilla agroforests cover a wide range of structural and compositional characteristics and might offer promising land use options to reconcile biodiversity conservation with production goals in north-eastern Madagascar. Since evidence on the social and environmental benefits and tradeoffs of vanilla agroforestry has been scarce so far, the research project "Diversity Turn in Land Use Science" addresses this research gap. Within the frame of the Diversity Turn project, this thesis addresses the conservation value of agroforests by examining the diversity, stand structure, and composition of tree communities in vanilla agroforests and contrasting them to other tree-based land-use types in the mosaic landscape of north-eastern Madagascar. To do so, this thesis first establishes a conceptual framework on agroforestry systems and then works through the individual aspects of this framework, using case studies on species diversity and stand structure, species composition, support tree diversity, and aboveground carbon stocks. The case studies build on tree inventory data from vanilla agroforests of contrasting land-use history, old-growth forests, forest fragments, and woody fallows after slash-and-burn shifting cultivation, which all contribute to the smallholder mosaic landscape of north-eastern Madagascar. The conceptual study (chapter 1) elaborates that tropical agroforests differ in land-use history and may be either established inside a forest or on open land but this difference is often neglected in agroforestry research and policy. Based on literature data and an example from own tree inventories, the study shows that agroforests of contrasting land-use history differ in biodiversity, ecosystem functions, and services. The study suggests that the differentiation based on land-use history might be applicable in various regions and agroforestry systems, to better align landscape management with conservation goals. Chapter 2 analyses the stand structure and species diversity of trees in the different land-use types of the smallholder mosaic landscape. Therein, the study puts a special focus on how land-use history affects stand structure and species diversity in vanilla agroforests and demonstrates that forest-derived agroforests are important for maintaining habitat structure and tree diversity, whereas fallow-derived agroforests offer tree cover rehabilitation opportunities on open but formerly forested land. Chapter 3 quantifies the variation of tree species communities within and among different land-use types in the mosaic landscape. The study uses beta-diversity metrics that reflect changes in both species composition and abundance in these different land-use types and demonstrates that (thus far) many tree species can persist in this mosaic landscape. However, turnover rates are high within and between tree communities in the land-use types, indicating that tree communities are transforming both in identity and abundance. The study endorses the implementation of conservation and restoration activities to maintain the unique tree species assemblages in the human-modified mosaic landscape and suggests the establishment of agroforests on formerly forested degraded land as an entry point. However, the study emphasizes considering the high turnover rates of tree species communities in the planning of such activities. Chapter 4 focuses on the diversity and composition of agroforest-support trees, which have received little scientific attention so far. The study builds on support tree inventory data and farmer interviews from vanilla agroforests of contrasting land-use history. The study analyses the species diversity, composition, and geographic origin of support trees in these vanilla agroforests and shows that support trees substantially contribute to the tree diversity in these agroforests, but show clear differences based on land-use history: support trees in forest-derived agroforests encompass many native and endemic species richness and have four times higher species richness compared to fallow-derived agroforests, which harbor a high share of introduced species. Since fallow-derived vanilla agroforests can play an important role in restoration and rehabilitation, the study suggests a stronger consideration of native or endemic tree species in new to establish vanilla agroforests. Chapter 5 estimates aboveground carbon stocks across stem diameters and geographic origin of tree species in the different land-use types of the smallholder mosaic landscape. Therein, the study particularly analyses how land-use history influences aboveground carbon stocks in agroforestry systems. The study demonstrates that agroforests can act as carbon reservoirs in a multifunctional landscape, but considering their land-use history and management is important to maximize their benefits: forest-derived agroforests support higher aboveground carbon stocks than fallow-derived agroforests and have the potential to maintain a forest-like structure with native and endemic trees in the landscape, whereas fallow-derived agroforests take land out of the slash-and-burn cycle by converting it into permanent tree-dominated land-use systems. In conclusion, the studies within this thesis contribute to refining the conservation evaluation of tropical agroforests and provide data-based evidence to assess the conservation value of vanilla agroforests in the mosaic landscape of north-eastern Madagascar. The thesis sheds light on the diversity, composition, and stand structure of tree communities in the mosaic landscape of north-eastern Madagascar and thereby provides vital information to quantify and understand the consequences of land-use change in this tropical landscape. Such understanding is essential to develop land-use management schemes and conservation measures that aim to maintain species diversity, ecosystem functions, and services and is thus important for research and applied conservation alike. ; 2022-01-21

The theme of this thesis is the symbolic battles between towns people and 'peasants' in the context of the re-elaboration of rurality. The general aim is to analyze the reinterpretation process of countryside practices by the 'peasants' participation in the tourism development in the city of Areia - state of Paraíba. The qualitative research has an eminently ethnographic character, focusing on the observation of social relations in the Chã de Jardim Community and the small landowners reconversion strategies. The data were produced and collected through observation and structured and semi-structured interviews with craftsmen, workers of the Restaurante Rural Vó Maria, members of Adesco, tourism entrepreneurs in Areia, and representatives of intermediary bodies - a role played by entities such as Senar, Sebrae,PBTur, Cooperar, Atura, among others involved in modelling the tourism in rural areas. In addition, an exploratory survey was carried out among the customers of the restaurant through questionnaires and by monitoring excursions, which allowed to draw a profile and identify the demands of the consumers. The analysis links "native" (produced by the people studied) and analytical categories, keeping in perspective the symbolic exchanges between the smalllandowners and the other agents. The solidarities and games of interest which mark the relations between them, at the micro and macro social levels, are discussed by the theory of the gift of Marcel Mauss, the sociology of domination of Pierre Bourdieu, and the notion of hierarchical reciprocity of Marcos Lanna. This study defends the thesis that the participation of the small landowners in the production of the tourist offer is made possible by means of alliances at the internal and external level, established on the basis of the exchange of gifts,following the principle of hierarchical reciprocity. On the one hand, the exchanges of giftswith other agents tend to promote social recognition and raise the self-esteem of the smalllandowners; and, on the other hand, it generates internal differentiation and new hierarchies,"naturalizing" the subordination and symbolic domination of the employees towards their peasant bosses. In this sense, the symbolic battles are understood as daily struggles for recognition and dignity, aiming to overcome the process of inferiorization and invisibility towhich 'peasants' and other groups, poorly placed in the social space, are submitted in their relationship with the dominant classes. For a long time "kept invisible", these struggles could only emerge through the implementation of public policies to confront rural poverty,stimulating rural education and rural development actions, which, in addition to improving the living conditions of the rural population, allowed the emergence and the strengthening of local leaderships. Far from being a one-directional movement that results in a real restructuring of positions in the social space, the observed solidarities and battles between the agents reveal themselves as a complex and ambiguous process, full of contradictions in which different levels of reciprocity are established, whether within the community microsystem orin the exchanges between the 'peasants' and the town entrepreneurs, the intermediary bodies or the consumers, forming what could be considered an extended circuit of circulation of giftsin the tourism market in Brejo Paraibano. ; Cette thèse s'intéresse au thème des luttes symboliques entre les citadins et les « sitiantes » (« petits propriétaires terrien »), dans un contexte de réélaboration de la ruralité. L'objectif général est d'analyser le processus de réinterprétation des pratiques paysannes à partir de la participation des « sitiantes » au développement du tourisme dans la municipalité d'Areia–État de Paraíba, dans le Nord este du Brésil. La recherche qualitative a un caractère éminemment ethnographique, favorisant l'observation des relations sociales dans la Communauté « Chã de Jardim » et les stratégies de reconversion des « sitiantes ». Les données ont été produites et collectées au travers de l'observation directe et d'entretiens semi directifs et directifs avec les artisanes, les travailleurs du Restaurant Rural Vó Maria, les membres de l'Adesco, les entrepreneurs du tourisme à Areia et les représentants des instances intermédiaires –rôle joué par des entités telles que le Senar, le Sebrae, le PBTur, la Cooperar, l'Atura, parmi d'autres impliquées dans la structuration du tourisme dans les zones rurales. En outre, une enquête exploratoire a été réalisée auprès des clients du restaurant Vó Maria, au travers de questionnaires et de l'accompagnement d'excursions, ce qui a permis de dresser un profil et d'identifier les demandes du public consommateur. L'analyse met en relation des catégories « indigènes » (produites par les propres personnes étudiées) et analytiques, en gardant en perspective les échanges symboliques entre les « sitiantes » et les autres agents. Les solidarités et les jeux d'intérêts qui marquent les relations entre eux sont traités à partir de la théorie du don de Marcel Mauss, de la sociologie de la domination de Pierre Bourdieu et de la notion de réciprocité hiérarchique de Marcos Lanna. L'hypothèse centrale est que la participation des « sitiantes » à la production de l'offre touristique est rendue possible par des alliances internes et externes, établies sur la base de l'échange de dons, suivant le principe de la réciprocité hiérarchique. D'une part, les échanges de dons avec d'autres agents tendent à promouvoir la reconnaissance sociale et à renforcer l'estime de soi ; et, d'autre part, ils engendrent une différenciation interne et de nouvelles hiérarchies, naturalisant la subordination et la domination symbolique des employés vis-à-vis des nouveaux « patrons ». Ainsi, les luttes symboliques sont conçues comme des luttes quotidiennes pour la reconnaissance et la dignité, visant à surmonter les processus d'infériorisation et d'invisibilité auxquels sont soumis les « sitiantes », et d'autres groupes mal situés dans l'espace social,dans leurs relations avec les dominants. Longtemps « invisibilisées», ces luttes n'ont pu émerger qu'au travers de la mise en œuvre de politiques publiques visant à lutter contre la pauvreté rurale, à promouvoir l'éducation dans les milieux ruraux et les actions de développement rural qui, en outre d'améliorer les conditions de vie de la population rurale, a permis l'émergence et le renforcement du leadership local. Loin d'être un mouvement à sens unique, qui se traduit par une véritable restructuration des positions dans l'espace social, les solidarités et les luttes observées entre les agents se révèlent être un processus complexe et ambigu, rempli de contradictions, au sein duquel différents niveaux de réciprocité sont établis,que ce soit au sein du microsystème communautaire ou dans les échanges entre les« sitiantes » et les entrepreneurs de la municipalité, les organismes intermédiaires ou les consommateurs, formant ce que l'on pourrait considérer comme un réseau étendu de circulation des dons dans le marché touristique de Brejo Paraibano. ; O tema da presente tese são as lutas simbólicas entre citadinos e sitiantes, no contexto dere elaboração da ruralidade. O objetivo geral é analisar o processo de ressignificação daspráticas camponesas a partir da participação dos sitiantes no desenvolvimento do turismo nomunicípio de Areia, na Paraíba. A pesquisa qualitativa tem caráter eminentemente etnográfico, privilegiando a observação das relações sociais na Comunidade Chã de Jardim eas estratégias de reconversão dos sitiantes. Os dados foram produzidos e coletados por meioda observação e de entrevistas semidirigidas ou dirigidas, realizadas com as artesãs, ostra balhadores do Restaurante Rural Vó Maria, os membros da Adesco, os empre endedores deturismo, em Areia, e os representantes das instâncias intermediárias – papel ocupado porentidades como o Senar, o Sebrae, a PBTur, o Cooperar, a Atura, dentre outras implicadas naformatação do turismo no espaço rural. Complementarmente, realizou-se uma pesquisa exploratória junto aos clientes do Restaurante, por meio de questionários e do acompanhamento de excursões, o que permitiu traçar um perfil e identificar as demandas do público consumidor. A análise articula categorias nativas e analíticas, mantendo em perspectiva as trocas simbólicas entre os sitiantes e os outros agentes. As solidariedades e osjogos de interesse que marcam as relações entre eles são tratados a partir da teoria da dádiva,de Marcel Mauss, da sociologia da dominação, de Pierre Bourdieu, e da noção de reciprocidade hierárquica de Marcos Lanna. Defende-se a tese que a participação dos sitiantesna produção da oferta turística viabiliza-se por meio de alianças, nos planos interno e externo,estabelecidas com base na troca de dons, seguindo o princípio da reciprocidade hierárquica.Por um lado, as trocas de dádivas com outros agentes tendem a promover o reconhecimento social e elevar a autoestima dos sitiantes; e, por outro lado, tendem a gerar diferenciação interna e novas hierarquias, naturalizando a subordinação e a dominação simbólica dos empregados aos patrões. Desse modo, as lutas simbólicas são compreendidas como lutas cotidianas por reconhecimento e dignidade, que visam à superação do processo deinferiorização e invisibilidade às quais os sitiantes e outros grupos mal posicionados noespaço social são submetidos na relação com as classes dominantes. Por muito tempo "invisibilizadas", essas lutas só puderam ganhar a cena a partir da implantação de políticas públicas de enfrentamento à pobreza rural, do estímulo à educação no campo e de ações de desenvolvimento rural, que, além de elevar as condições de vida da população rural,permitiram a emergência e o fortalecimento de lideranças locais. Longe de ser um movimentoem sentido único, que resulte em uma verdadeira reestruturação das posições no espaço social, as solidariedades e lutas observadas entre os agentes revelam-se um processo complexo e ambíguo, pleno de contradições, dentro do qual se estabelecem diferentes níveisde reciprocidade, seja dentro do microssistema comunitário, sejam nas trocas entre os sitiantese os empre endedores do município, as instâncias intermediárias ou os consumidores,formando o que poderia ser considerado um circuito ampliado de circulação de dádivas nomercado turístico no Brejo Paraibano.

El objetivo de esta investigación es fijar el campo semántico del concepto de representación en el momento de su origen (siglos XVII y XVIII). Pretendemos identificar las diversas esferas de la experiencia sobre las que se ha fundamentado esta construcción conceptual y, al mismo tiempo, describir las mutaciones que ha sufrido, hasta su crisis. Estas esferas son: artística, epistemológica y jurídico-política. Nuestra hipótesis supone que la nueva concepción del poder político contractualista depende de la metáfora de la representación teatral. Trataremos de mostrar cómo la vieja metáfora del Theatrum Mundi, liberada del sistema teológico, se va a transformar en el Barroco en una forma de sociedad espectacular. El ciudadano se convierte en espectador tanto en el teatro como en la sociedad y en la política. Nuevas relaciones de poder y nuevos sujetos (la burguesía y las masas urbanas), pero también nuevos espacios ciudadanos: reales y abiertos (plazas y jardines), y espacios virtuales y cerrados (teatros). Ese complejo estético-político tiene en la ópera cómica, desarrollada durante el clasicismo, el signo distintivo de la Ilustración y de la burguesía. Los textos han sido tratados por una metodología hermenéutica haciendo una nueva lectura de todos aquellos documentos originales que presentaban una perspectiva de esa metáfora escénica. La problemática actual de la representación política se ha tratado desde el método genealógico usando tres perspectivas que constituyen sendas figuras conceptuales. La primera es la que presenta las tres disciplinas por las que conocemos la representación en Occidente: la teoría política, la epistemología y la estética. La segunda hace referencia a los personajes representativos: el político, el científico y el artista. Finalmente, la representación cultivada por estos tres personajes constituye el espectáculo que se ofrece al público. El espectador "actúa" en la representación como el representado. El espectador (público-masa), constituye la tercera figura conceptual o perspectiva. El resultado de este tratamiento nos permite ver cómo, gracias a esa forma de diferenciación social basada en la distinción o gusto estético, frente a la ópera y otras manifestaciones artísticas, se configuraba un sistema espectacular absolutamente vertical. Las altas culturas se presentaban a aquellos individuos distinguidos, convertidos en personajes representativos (alta burguesía). La moderna sociedad de clases reinventa la desigualdad a través de la cultura. En las reflexiones sobre el arte dramático hemos descubierto las claves para la comprensión del moderno hombre público en tanto que personaje representativo. El espacio público se ha transformado en un escenario (El gran teatro del mundo) y se presenta bajo la forma de la representación. La sociedad y la ciudad se han convertido en una escenografía para el espectáculo; el ciudadano es el público y para él se procede a organizar la compleja representación. Se diseña la figura profesional del representante de los asuntos públicos: el político representativo, casi de la misma manera que hay un protagonista de la representación en el teatro: el actor. Dentro de las conclusiones constatamos que la representación no ha entrado en crisis, como viene anunciado en arte y política, más bien al contrario, se ha reforzado, y la moderna red global está organizada por los sistemas mediáticos que gestionan la opinión pública y estimulan el consumo espectacular de las masas. Hemos identificado, en diálogo con Foucault, que la crisis no ha afectado al sistema completo de la representación sino a uno de sus componentes, ese que caracterizó al racionalismo clásico: al modelo cartesiano del orden metódico. En consecuencia, podemos constatar la pervivencia del clasicismo actualmente. Las músicas populares, las dramaturgias cinematográficas, etc. van a promover un nuevo género que regresa a las fuentes populares, aunque se aleja de los patrones musicales del clasicismo ya convertido en música culta, música clásica. El mundo de la comedia clásica está en nuestra sensibilidad, las estructuras espectaculares creadas en aquella época siguen funcionando. Este mundo de la comedia ilustrada ha llegado a convertirse en la dramaturgia de la cultura de masas que la Dialéctica de la Ilustración llamó "industria cultural". Este trabajo ha pretendido realizar la genealogía de los contenidos de esa cultura que impregna todos los productos culturales que se producen en la segunda mitad del siglo XX, especialmente después de que la ilusión de la crisis de la representación haya acabado con la Vanguardia. Y a través de ese análisis hemos definido un modelo crítico de la actitud ciudadana. Respecto a esa construcción cultural se construyen dos figuras del espectador: la ofrecida por Rousseau y otra de Diderot. Nuestra perspectiva es más diderotiana que roussoniana: el espectador debe dejar de serlo, pero en el teatro mismo, no contra el teatro. Nuestras formas culturales y espectaculares forman parte de nuestra identidad y, por ello, debemos exigir no solo su mantenimiento sino la calidad de su custodia, su renovación y su desarrollo. The objective of this research is to set the semantic field of the concept of representation at the time of its origin (17th and 18th centuries). We aim to identify the various areas of the experience on which this conceptual structure is based upon and, at the same time, describe the mutations it has suffered up to its crisis, in its triple aspect: artistic, epistemological and juridical. We will try to show how the old metaphor of the Theatrum Mundi, freed from the theological system, became a form of spectacular society, during the Baroque period Our hypothesis is that the new concept of contractual political power, depends on the metaphor of the theatrical performance, which is the indisputable paradigm of this cultural model. The citizen becomes a spectator both at the theatre as in society and politics. New relations of power and new individuals (the bourgeoisie and the urban masses), but also new urban and civic spaces: real and open (squares and gardens), or virtual and closed (theatres). These aesthetic-political complex performances will reveal through the musical show invented in the 16th century: the opera. During the 18 th. century, the comic opera became a hallmark of the Enlightenment and the bourgeoisie. The texts have been submitted by a hermeneutics methodology by doing a transversal reading about all those original documents presenting a perspective of this scenic metaphor. The current issue of political representation has been treated since the genealogical method using three perspectives. The first one by presents the three disciplines which we know the representation in the West: political theory, epistemology and aesthetics. The second perspective, that illuminates a capital element within this system, makes reference to the representative characters: the politician, the scientist and the artist. Finally, the representation cultivated by these three characters is the performance that is offered to the public, which "acts" in the representation as the represented: the spectator (the crowd-audience), which is the third conceptual figure or perspective. The result of this process lets us see how, thanks to that form of social differentiation based on the distinction or aesthetic taste, opposite the opera and other artistic manifestations, a spectacular system absolutely vertical was configured. High cultures addressed those distinguished individuals converted into emblematic (representative) characters (gentry). We have discovered the keys to the understand the modern public man as a symbol, through our reflections about drama. The public space has been transformed into a stage (the great theatre of the world) and is presented in the form of representation. The society, the city, has become a stage for the show; the citizen is the public and for it proceeds to organize complex representation. The professional figure of the public affairs representative is designed: the political representative, almost in the same way that there is a protagonist of the representation in the Theatre: the actor. One of the most important conclusions is that performance has not entered into crisis, but strengthened enormously while the modern global network is organized by the media that manage public opinion and stimulate mass consumption. Therefore, the crisis has not affected the whole system of performance, but us one of its components, the one which characterized classical rationalism, the Cartesian model of the methodical order. As a result, we can recognize the survival of classicism: popular music, the cinema dramaturgy, etc. generate a new genre that returns to the popular sources, although it moves away from the musical patterns of classicism as converted into art music, classical music. The world of classical comedy is in our sensitivity, the spectacular structures created at that time are still operating. This world of the illustrated comedy has become the drama of mass culture that Dialectics of Enlightenment called cultural industry. This work has tried to carry out the genealogy of the contents of that culture that permeates all cultural products that are produced in the second half of the 20th century, especially since the illusion of the crisis of performance finished with the avant-garde. Through this analysis, we have defined a critical model of citizen attitude. Two figures of the viewer are built on that cultural construction: the one offered by Rousseau and another by Diderot. Our perspective is more Diderot-like than Roussonian: the spectator must cease to be, but within the theatre itself, not against the theatre. Our cultural and spectacular forms are part of our identity, thus we must demand not only its maintenance but also the quality of its custody, renewal and development.

The art of medical writing and science of scientific publishing has made tremendous progress during the last two decades. The revolution in information technology while on one hand has brought lot of ease and benefits, it has also created tremendous pressure and problems for the medial editors who are trying to come up to the expectations of authors who are very keen to see their manuscript published soon after submission.1,2 One can be a good physician or a good surgeon but it does not mean that he/she can also be a good Editor as one has to learn this art. That is why starting with the International Committee of Medial Journal Editors (ICMJE)3,4 which was formed in 1978 and later World Association of Medical Editors formed in 19955 have been working to improve the professional skills of medial editors by regularly organizing conferences, Hands on Workshops as well as seminars to train the editors. Their websites offer lot of useful information and training material. American Medial Writers Association (AMWA),6 European Medical Writers Association (EMWA)7 and European Association of Science Editors (EASE)8 founded in 1982 have also been doing a commendable job helping the authors and researchers. They too organize their annual conferences and training workshops on regular basis. Then came the various regional bodies like Eastern Mediterranean Association of Medical Editors (EMAME) and Asia – Pacific Association of Medial Editors (APAME) which have been busy in promoting the discipline of medical journalism in their respective regions.9,10 Numerous countries in these regions have also formed their own associations of medical journal editors to improve the professional capacity of their member editors in their respective countries. Pakistan which had taken an active part in establishing the EMAME in 2003 did not lag behind and established Pakistan Association of Medial Editors (PAME) in 2010. Since then it has not only hosted EMMJ5 Medical Journals Conference in 2010 which was attended by thirty four foreign delegates and guest speakers from eighteen countries but has also organized three national conferences and a large number of Hands on Workshops all over the country.11 PAME organized training course for medical journal editors at Karachi on July 14, 2012, at PIMS Islamabad on September 15, 2012, at Khyber Medical University at Peshawar in Khyber KPK on September 16, 2012 and at University of Health Sciences Lahore on April 25, 2013. PAME organized yet another training course for medical journal editors at University of Health Sciences Lahore on March 4-5th 2016. All this was aimed at to build up the professional capacity of editors of biomedical journals published from Pakistan. Journalology has now emerged as an important discipline with numerous subspecialties. Publishing a good quality peer reviewed journal is an uphill task which requires a team work. Publishing a medical journal is not economically viable for many institutions and organizations. The problems are further compounded with the non-availability of good Peer Reviewers, willing and interested Editorial Board Members which play a vital role in improving the contents and quality of a journal. If this was not all, the issues like plagiarism, scientific misconduct and upholding professional ethics has made the job of the editors more difficult. Institutions like Committee on Publication Ethics (COPE) UK has come up with very informative Flow Charts to guide the editors on dealing with scientific misconduct including plagiarism, duplicate and redundant publication etc., but it has not made the life of medical journal editors easy.12 It is extremely important that one should opt for professionalism, seeks help and assistance from the respective government institutions, organizations to find a solution to the various problems with the medical journal editors are facing. It was in this context that PAME in its Third National Conference held at UHS Lahore from April 1 – 2, 2016 had devoted a special session to "Professionalism and Medical Journal Editors†where representatives of Higher Education Commission (HEC) and Pakistan Medical and Dental Council (PM&DC) were also invited. However, it was unfortunate that none of them came to attend the meeting thus deprived themselves to update on latest developments and problems faced by Editors. Some of the issues concerning both these institutions which were highlighted during the conference were as under: Pakistan Medical and Dental CouncilIts website is not updated regularly.List of PM&DC recognized journals is not update and lacks lot of information and there is no mention of Publication Ethics.There is a communication gap between the PM& DC and the Editors. Not enough time is given when asking for some documents or holding meeting of Journals Evaluation Committee.Communications sent to the PM&DC remain unanswered and it makes no differentiation between those journals who fulfill all the requirements, are published regularly and those who do not follow the laid down criteria.Communications received from the Journals Committee of PM&DC from time to time have a threatening tone and they need to show respect to the Editors.PM&DC wants the journals to submit plagiarism report but provides no help or assistance to the journals in this regard. Higher Education CommissionCommunications received from Quality Assurance Department regarding meeting of Journal Evaluation Committee does not give enough time.In the past HEC used to provide the facility of checking manuscripts for plagiarism using the Turnitin software but now it has been restricted to medical universities only.HEC website is also not updated regularly.Communication gap between the HEC and Medial Journal Editors also needs improvement. It will be unfair not to mention the generous grant the Higher Education Commission has been providing to its recognized biomedical journals for the last many years but it will be much better if it is replaced by providing much needed services and software facilities. Pakistan Association of Medical Editors with its meager resources has been doing a commendable job to help improve the professional capacity of Editors through various ways. Its website also contains some useful material for the training of the new editors.11 Regulatory bodies like PM&DC and HEC working in close collaboration with PAME can work wonders and go a long way in improving the standard of biomedical journals published from Pakistan. Commission on Iranian Medical Journals based in Ministry of Health in Islamic Republic of Iran apart from providing financial assistance also provides software for checking plagiarism, helps the journal in preparing their websites, helps them provide facilities of XML which has helped a large number of Iranian Medical Journals to go to PubMed Central and has thus increased their visibility and readership manifold. The number of medical journals published from Iran was ninety in 2005 which has now increased to over four hundred. Seventy two of these Iranian Medical Journals are visible on PubMed, PubMed Central and Medline while twenty are covered by ISI Thompson Reuter known for Impact Factor.13 On the contrary only about half a dozen medical journals from Pakistan are covered by Medline, PubMed and PubMed Central and only four medical journals from Pakistan has an Impact Factor.14 Our regulatory bodies can learn from Iran and that is what the HEC should be doing in Pakistan. Instead of offering any financial grants it can better utilize the same resources to provide facilities for checking plagiarism, software to prepare XML files for submission to PubMed Central, organizing training workshops for Editors and support staff on Open Journal System, electronic publishing, peer review, publication ethics etc. PAME has the professional capacity to help PM&DC and HEC to realize these objectives. What is missing is the proper liaison and understanding between Medical Journal Editors and these regulatory bodies like PM& DC and HEC. A study presented at the PAME Third National Conference by the author had also heighted some basic and serious deficiencies in the journals which are recognized by PM&DC as well as HEC because the members of their respective Journal Evaluation Committees are not fully conversant with the latest developments in the field of medical journalism. These committees need to be further strengthened by inducting competent, knowledgeable professional editors and PAME has time and again offered its help and assistance in this regard. Even once the PM&DC had also issued a notification making PAME President an exoffico member of the Journals Evaluation Committee but no meeting was ever held.15 To improve the present situation and find a workable, feasible, practical solution to the various problems being faced by the medical journal editors in Pakistan is not an uphill task. The objective of every one, the editors and regulatory bodies like PM&DC and HEC are the same i.e. improvement in the quality of contents, standard of medical journals so that we can increase our contribution to the world medical literature and promote research culture in Pakistan. Intentions of everyone are good but what is lacking is cooperation, coordination and bridging the communication gap. It is never too late and let us makes a new beginning in our relationship. The role of the regulatory bodies is to facilitate and not to create hurdles and discourage those who are working under difficult circumstances with meager resources and facilities available.

The analysis of the relationship between architecture, the territory and modern tourism, the subject of this research, is part of the interpretation of the tourist phenomenon as a spatial phenomenon at the basis of new urban scenarios, capable of influencing the processes of the urbanization of places and their perception, of generating renewed urban metaphors contributing to modify social forms and methods of communication. In this sense the initial frame of reference within which research is developed, refers to the theory of space aimed at understanding the phenomenon of tourism.The study of the "space tourist" has so far placed itself within the scientific debate regarding the geographical knowledge, of which two tasks have been traditionally assigned: the first was to provide representations, the second to translate the reading and interpretation of the territory into operational tools in order to transform it according to the needs of society. The latest spatial manifestations of tourism have therefore represented significant areas whereby to draft the features of a possible postmodern geography. But the analysis of space tourism, in recent decades, has taken on a new dimension and with it, a new relevance in terms of social and cultural aspects, in fact tourist images of places have contributed in an ever more consistent way to feed the mind maps of individuals and thus their vision of space, of the territory and of the world. The horizon of tourist research was broadened enormously by the research of the last ten ye- ars, and tourism has thus become an important key for interpreting significant phenomena, starting with the process of nation building, the Americanization of consumer styles and production patterns, the elaboration of the con- cept of heritage, the courses of development of backward economies, up until the most recent studies on the relationship between tourism and urbanism. And it is precisely on contemporary urban horizon which I intend to focus on in this work, thanks to more recent research trends of the French school, in particular in the transition from the study of geography of tourism to the study of the relationship between tourism and urban themes and by the research carried out by the MIT team (MIT Team – Mobilités, Itinéraires, Territoires). Today we can speak of hyper-tourist phase- a definition that may be useful to distinguish first generation tourism from the current one - for the fact that the relationship which has been established between tourist industry, urban are as and local systems is typically post-modern. In fact, both in terms of territorial transformation and economic and cultural terms, many cities have taken tourism as the reference model and, in turn, tourist spots and places have adopted dynamics which are typically urban even when pre-existing urban settlements are not mentioned. These premises are the basis of the objectives of this research that by analyzing the contemporary tourist phenomenon in its architectural and urban spatial dimension, intends to bring materials and methodologies for interpreting it as a phenomenon that generates "urbanity". The concept of urbanity thus allows us to approach tourism in a different way than just studying a set of practices which have incre- ased exponentially: rural tourism, ecological tourism, seaside tourism, urban tourism, etc., allowing us to highlight the properties common to the tourist phenomenon and what forms it may take on. At the same time, the concept of urbanity allows us to bring out the urban characteristics produced through tourism. The concept of "urbanity" is then referred to the transformations of the territory tied to tourism: from the evolutionary trends of the settlement, which also fits the role and orientation of planning, up to the current processes of restructuring the territory. In this sense it was deemed necessary to distinguish two reference scales: the extra-territorial dimension of the phenomenon where, in the dynamics of contemporary flows, it is possible to identify a sort of macroplace (destination) that includes all the spaces where people come to and which they often share, and bringing us to a phenomenology of generalized de-localisation and de-territorialization. - the territorial dimension, the one where in the concrete relationship with places, tourism leaves deep traces in space, produces urban substance becoming the generator of urbanity forms, which often defy the rules of the city in the consolidated or traditional sense, and for which it is necessary to define critical issues and politics of intervention . Starting from the need to bring the attention to the territorial dimension, in which analysis and formalization of the relationship between territory-tourism-urbanity can lead to theoretical and operational outcomes, the developments of this research thesis are then referred to the specific case study of Sardinia. This research is structured into three main sections. The first is dedicated to the analysis of space tourism, where, starting from the modern-post modern dichotomy as identified by Minca (1996), an in-depth examination is carried out, on the one hand, a kind of tourist space explo- sion, with the acquisition of new and increasingly large territories and, on the other hand, a genuine tourist space implosion with the concentration inside closed or semi-closed areas in a series of images and pure, stylized tourist landscapes. The focus is placed on the territory: the tourist territory - namely the spatial organization (or space-time) tourism, which presents itself since its origins as a consumer-driven system, because it is moulded favouring methods of access to resources and exchange, that today becomes the paroxysmal place of the flows both in terms of material consumption of goods – starting with the territory - in terms of geographical mobility (movement) and in terms of symbolic exchange (communication). The analysis of the first section focuses, as indicated in the introduction, focuses on the interpretation of the tourist phenomenon as a spatial phenomenon which causes space tran- sformations through the construction of images and landscapes, creating forms of urbanity in terms of urban 'products' and architecture 'products'. With reference to specific case studies and analysis we will then refer to the alternation in time of genuine models tied to the courses of differentiation and approval, related to the creation and organization of tourist area in which fundamental interpretations regard the formulations of Battilani (2007) and the research contribution of Trillo (2003). This type of analysis is supported by a further comparison, the one with the specialised 'manuals' and its contents compared to the reflections and attempts to define guidelines for the space tourist project. Therefore those elements emerge - which is the basis and where the thesis is oriented towards with the ability to confer quality to the project of tourist spots, with a significant contribution in the Italian case, consisting of a lecture by Gio Ponti entitled "Architettura e turismo" (Architecture and Tourism), held in 1942 for the Directorate General for tourism and ENIT (National Tourist Agency), which widens the horizon of the debate, from the manual type of debate to the more complex one: the context. The following paragraphs relate to a specific analysis of spatial transformations induced by tourism and in particular to the phenomena of cultural and physical de-location and de-territorialization, up to the analysis of urban dynamics- related processes, in which often the concept of city is represented, made into a utopia, or subverted. If in the first section of the thesis tourism has been identified as a spatial phenomenon, which begins with a project, an intention tied to the use of places, it is evident to steer this research within a framework of analysis on the relationship between tourism and the theme of urban, introducing the second section with an interpretation of Tourism as a generator of urbanity. The possibility to analyze and identify the specific characters of urbanity, referring to the evolutionary dynamics of a given territory, can constitute a conceptual tool that allows us to receive the tourist dimension as a component of the ur- ban aspect. This is formalized through the interpretation of three different dimensions: that of urban monuments, urban public spaces and mobility, deepening the analysis on the relations between tourist spots and the differentials of urbanity, illustrating the issues whereby that tourist aspect is featured as "relative urbanity". Consequently a second analysis scenario is introduced, the one that refers to the relationship between Tourists and Urbanists, hence between tourism and planning. Some a few fundamental references, Oddi (2011) with regard to the study of the relationship between tourism and urban planning, we start with the fundamental differences that exist between the two scopes: the town is basically a technique and an art2 ; while tourism is – just as with all the "isms" - a movement, a flow, even before a pure and simple activity. In this sense the town is the tourism object but it does not deplete its interests and interferes only partially with its reasons strongly tied to moving. That which unites urban planning and tourism, however, is the need for design, planning and programming of transformations that generate in the territory in order to ensure the control and quality of interventions. It is clear that the town planning technique (more rarely art) has established the necessary instrument for implementing tourist settle- ments, but the goals have strongly come apart, producing a sort of mutual distrust that under lies many still pervasive attitudes.

Research problem In the present doctoral dissertation, the problematic issues of the institute of multiple offences are analysed. Multiple offences as an institute of criminal law is characterised as involving the problems of both the qualification of criminal offences and the individualisation of criminal liability. The problems of the qualification of criminal offences are relevant, when questions of the separation of single criminal acts from multiple offences are dealt with. When the existence of multiple offences is established, it is necessary to move on to the consideration of another problem—the individualisation of criminal liability. The individualisation of criminal liability depends on the form of multiple offences. Therefore, for the formation of a uniform case-law, homogeneous and clear criteria for the differentiation of the forms of multiple offences and their separation form each other are essential. When the forms of multiple offences are defined, it is necessary to evaluate their impact on the criminal liability of the person who committed the criminal act. Of course, the key influence on criminal liability manifests through the rules of the combination of sentences; however, one should not forget other topical issues (such as sentence suspension, release from a custodial sentence on parole and the replacement of the term not served of the custodial sentence with a more lenient penalty, statute of limitations of a judgement of conviction, etc.) the solution of which in one way or another depends on the existence of multiple offences. Moreover, sometimes it is necessary to deal with the problems of the separation of multiple offences from other similar institutes of criminal law (repeat offence, competition between the norms of criminal law). Therefore, a number of such issues constitute the problem of the present research. The implementation of the principle of legal justice depends on appropriate and unvaried solution of these issues. Topicality, originality and significance of the research Multiple offences is a rather frequent phenomenon in the Lithuanian case-law; often persons are judged for several rather than single criminal acts. However, the criminal law jurisprudence still lacks a uniform attitude towards the issues regarding multiple offences. First, there exist different definitions of the notion of multiple offences itself, different forms of multiple offences are distinguished and their interpretations change, the criteria for the separation of single criminal acts from multiple offences vary (they often depend on the type of the criminal act committed). Special attention should be paid to the process of the individualisation of criminal liability in cases of multiple offences. In the case-law, the fact that prosecutors more and more often lodge appeals against the decisions of lower instances about improper combination of sentences is observed. In the case-law, the process of the combination of sentences has become 'forgotten', as often sentences are combined only formally (by adding 3–6 months of imprisonment) without any motivations regarding the choice of the additional sentence imposed. Moreover, after the entering into force of the new Criminal Code on 1 May 2003, due to the changes in case-law and the entrenchment of new ideas in the criminal law jurisprudence, it became crucial to revise the old and well-established provisions regarding multiple offences. Thus, even if the issues of multiple offences have been analysed for a rather long time, in the present dissertation, a new approach of the author as well as of other researchers to the institute of multiple offences is presented together with general considerations (and critical evaluations) on the newly developing case-law. Furthermore, with reference to the fact that the majority of the issues regarding multiple offences (except for the imposition of sentences) are not regulated by the Criminal Code and the decision-making is left for the case-law and the criminal law jurisprudence, the present paper may have great practical significance for the constantly changing and developing Lithuanian case-law in terms of the peculiarities of multiple offences. The aim and the tasks of the research The aim of the present doctoral dissertation is to develop a uniform attitude (corresponding to the needs of the theory of criminal law and the relevant case-law) towards the institute of multiple offences and the solution of problems related to it by generalising the experience and achievements of science and case-law. The tasks of the doctoral dissertation: 1) to define the notion of the institute of multiple offences and its elements by separating it from other similar institutes of criminal law (repeat offence, competition between the norms of criminal law); 2) to develop uniform (by generalising and concretising the existing ones or by suggesting new ones) criteria for the separation of single criminal acts from multiple offences; 3) to review the existing variety of the forms of multiple offences found in the criminal law jurisprudence and distinguish the ones which would correspond to the needs of the Lithuanian case-law as well as define them by distinguishing and describing their characteristics and developing clear and uniform criteria for their separation form each other; 4) to identify the key problems related to the influence of multiple offences on the individualisation of criminal liability as well as to suggest the most appropriate ways of solving these problems; 5) to provide suggestions for the legislator and the courts regarding the development of the institute of multiple offences and the ways of solving the problems related to it. Propositions to be defended 1) Multiple offences must be related not to the fact of committing several criminal acts but to the legal evaluation of this fact—prosecution for committing several criminal acts. 2) Repeat offence should not be considered as an independent form of multiple offences and should be evaluated from the perspective of the perpetrator's personality. 3) In case-law, the separation of single criminal acts from multiple offences is often casuistic (depends on a particular category of cases), having no clear and well-established criteria and thus violating the principle of legal justice. 4) The key attributes of single criminal acts are a violation of a direct value or the whole of values protected under a specific norm of the Criminal Code as well as a united content of guilt. 5) The case-law of the recent years, which broadens the perception of the ideal coincidence of criminal acts, forms an incoherent and exceptions-based case-law. 6) In the cases of multiple offences, the rules for sentence imposition restrict the freedom of courts and disturb the appropriate individualisation of sentences; therefore, it is crucial to improve the laws. 7) In case-law, the process of the combination of sentences is 'forgotten' and often does not properly reflect the gravity of all the criminal acts committed; therefore, changes in laws orienting courts towards the case-law appropriate from the perspective of criminal policy are a must. Research methodology For the present doctoral dissertation, various methods of scientific research were applied: logical, comparative, historical, linguistic, systemic, method of criticism, document analysis, etc. Firstly, the logical method and the method of criticism were rather widely applied in the present dissertation. The logical method was applied for making generalisations and conclusions aiming at the development of the institute of multiple offences. The method of criticism was also applied: the author criticised case-law, opinions of scholars, the lack of argumentation for such opinions, etc. The logical method and the method of criticism allowed making the final conclusions and forming suggestions regarding the changes of law and the development of case-law. A lot of attention was paid to the method of comparative analysis. It was applied for the comparison of scientific conceptions and different opinions of scholars. In order to gain experience, the laws and case-law of different foreign countries were analysed and compared. The application of the historical method allowed revealing the drawbacks of the former laws and case-law (under the Criminal Code of 1961) as well as reviewing the origin of the institute of multiple offences and the history of certain terms. The linguistic method was applied for the analysis of the denominations of the forms of multiple offences (ideal and real coincidence of criminal acts) and the consideration of their ability to convey the actual meaning. A different variant of these terms, which linguistically better corresponds to the meaning of the forms of multiple offences, was suggested. For the present research, the systemic method was applied as well. It allowed revealing the structure of the institute of multiple offences, its elements, their interrelation and the place in the system of the bases for criminal liability. By applying this method, the drawbacks of certain notions as well as the use of excessive elements were identified. The main method applied for the research was the method of document analysis. As even the case-law of the Supreme Court of Lithuania contains rather numerous incongruities and contradictions, namely the rulings, decisions and summary reviews of the case-law of this court passed during the term of the Criminal Codes of 1961 as well as of 2003 being in force were chosen as the key source. However, the scope of analysis was not limited to the case-law of the Supreme Court of Lithuania. The case-law of the European Court of Human Rights, the Court of Appeal of Lithuania, the Vilnius and Panevežys Regional Courts as well as the District Court of Šiauliai Region was analysed. Structure and review of the doctoral dissertation, main conclusions The dissertation is c

Research problem In the present doctoral dissertation, the problematic issues of the institute of multiple offences are analysed. Multiple offences as an institute of criminal law is characterised as involving the problems of both the qualification of criminal offences and the individualisation of criminal liability. The problems of the qualification of criminal offences are relevant, when questions of the separation of single criminal acts from multiple offences are dealt with. When the existence of multiple offences is established, it is necessary to move on to the consideration of another problem—the individualisation of criminal liability. The individualisation of criminal liability depends on the form of multiple offences. Therefore, for the formation of a uniform case-law, homogeneous and clear criteria for the differentiation of the forms of multiple offences and their separation form each other are essential. When the forms of multiple offences are defined, it is necessary to evaluate their impact on the criminal liability of the person who committed the criminal act. Of course, the key influence on criminal liability manifests through the rules of the combination of sentences; however, one should not forget other topical issues (such as sentence suspension, release from a custodial sentence on parole and the replacement of the term not served of the custodial sentence with a more lenient penalty, statute of limitations of a judgement of conviction, etc.) the solution of which in one way or another depends on the existence of multiple offences. Moreover, sometimes it is necessary to deal with the problems of the separation of multiple offences from other similar institutes of criminal law (repeat offence, competition between the norms of criminal law). Therefore, a number of such issues constitute the problem of the present research. The implementation of the principle of legal justice depends on appropriate and unvaried solution of these issues. Topicality, originality and significance of the research Multiple offences is a rather frequent phenomenon in the Lithuanian case-law; often persons are judged for several rather than single criminal acts. However, the criminal law jurisprudence still lacks a uniform attitude towards the issues regarding multiple offences. First, there exist different definitions of the notion of multiple offences itself, different forms of multiple offences are distinguished and their interpretations change, the criteria for the separation of single criminal acts from multiple offences vary (they often depend on the type of the criminal act committed). Special attention should be paid to the process of the individualisation of criminal liability in cases of multiple offences. In the case-law, the fact that prosecutors more and more often lodge appeals against the decisions of lower instances about improper combination of sentences is observed. In the case-law, the process of the combination of sentences has become 'forgotten', as often sentences are combined only formally (by adding 3–6 months of imprisonment) without any motivations regarding the choice of the additional sentence imposed. Moreover, after the entering into force of the new Criminal Code on 1 May 2003, due to the changes in case-law and the entrenchment of new ideas in the criminal law jurisprudence, it became crucial to revise the old and well-established provisions regarding multiple offences. Thus, even if the issues of multiple offences have been analysed for a rather long time, in the present dissertation, a new approach of the author as well as of other researchers to the institute of multiple offences is presented together with general considerations (and critical evaluations) on the newly developing case-law. Furthermore, with reference to the fact that the majority of the issues regarding multiple offences (except for the imposition of sentences) are not regulated by the Criminal Code and the decision-making is left for the case-law and the criminal law jurisprudence, the present paper may have great practical significance for the constantly changing and developing Lithuanian case-law in terms of the peculiarities of multiple offences. The aim and the tasks of the research The aim of the present doctoral dissertation is to develop a uniform attitude (corresponding to the needs of the theory of criminal law and the relevant case-law) towards the institute of multiple offences and the solution of problems related to it by generalising the experience and achievements of science and case-law. The tasks of the doctoral dissertation: 1) to define the notion of the institute of multiple offences and its elements by separating it from other similar institutes of criminal law (repeat offence, competition between the norms of criminal law); 2) to develop uniform (by generalising and concretising the existing ones or by suggesting new ones) criteria for the separation of single criminal acts from multiple offences; 3) to review the existing variety of the forms of multiple offences found in the criminal law jurisprudence and distinguish the ones which would correspond to the needs of the Lithuanian case-law as well as define them by distinguishing and describing their characteristics and developing clear and uniform criteria for their separation form each other; 4) to identify the key problems related to the influence of multiple offences on the individualisation of criminal liability as well as to suggest the most appropriate ways of solving these problems; 5) to provide suggestions for the legislator and the courts regarding the development of the institute of multiple offences and the ways of solving the problems related to it. Propositions to be defended 1) Multiple offences must be related not to the fact of committing several criminal acts but to the legal evaluation of this fact—prosecution for committing several criminal acts. 2) Repeat offence should not be considered as an independent form of multiple offences and should be evaluated from the perspective of the perpetrator's personality. 3) In case-law, the separation of single criminal acts from multiple offences is often casuistic (depends on a particular category of cases), having no clear and well-established criteria and thus violating the principle of legal justice. 4) The key attributes of single criminal acts are a violation of a direct value or the whole of values protected under a specific norm of the Criminal Code as well as a united content of guilt. 5) The case-law of the recent years, which broadens the perception of the ideal coincidence of criminal acts, forms an incoherent and exceptions-based case-law. 6) In the cases of multiple offences, the rules for sentence imposition restrict the freedom of courts and disturb the appropriate individualisation of sentences; therefore, it is crucial to improve the laws. 7) In case-law, the process of the combination of sentences is 'forgotten' and often does not properly reflect the gravity of all the criminal acts committed; therefore, changes in laws orienting courts towards the case-law appropriate from the perspective of criminal policy are a must. Research methodology For the present doctoral dissertation, various methods of scientific research were applied: logical, comparative, historical, linguistic, systemic, method of criticism, document analysis, etc. Firstly, the logical method and the method of criticism were rather widely applied in the present dissertation. The logical method was applied for making generalisations and conclusions aiming at the development of the institute of multiple offences. The method of criticism was also applied: the author criticised case-law, opinions of scholars, the lack of argumentation for such opinions, etc. The logical method and the method of criticism allowed making the final conclusions and forming suggestions regarding the changes of law and the development of case-law. A lot of attention was paid to the method of comparative analysis. It was applied for the comparison of scientific conceptions and different opinions of scholars. In order to gain experience, the laws and case-law of different foreign countries were analysed and compared. The application of the historical method allowed revealing the drawbacks of the former laws and case-law (under the Criminal Code of 1961) as well as reviewing the origin of the institute of multiple offences and the history of certain terms. The linguistic method was applied for the analysis of the denominations of the forms of multiple offences (ideal and real coincidence of criminal acts) and the consideration of their ability to convey the actual meaning. A different variant of these terms, which linguistically better corresponds to the meaning of the forms of multiple offences, was suggested. For the present research, the systemic method was applied as well. It allowed revealing the structure of the institute of multiple offences, its elements, their interrelation and the place in the system of the bases for criminal liability. By applying this method, the drawbacks of certain notions as well as the use of excessive elements were identified. The main method applied for the research was the method of document analysis. As even the case-law of the Supreme Court of Lithuania contains rather numerous incongruities and contradictions, namely the rulings, decisions and summary reviews of the case-law of this court passed during the term of the Criminal Codes of 1961 as well as of 2003 being in force were chosen as the key source. However, the scope of analysis was not limited to the case-law of the Supreme Court of Lithuania. The case-law of the European Court of Human Rights, the Court of Appeal of Lithuania, the Vilnius and Panevežys Regional Courts as well as the District Court of Šiauliai Region was analysed. Structure and review of the doctoral dissertation, main conclusions The dissertation is c

Text in English; Abstract: English and Turkish ; Includes bibliographical references (leaves 225-238) ; xix, 276 leaves ; The dissertation focuses on disclosing the link between objective bargaining criteria(i.e the inflation rate,labour productivity,comparative wages and ability to pay)and the realized wage outcomes in Turkey. The extent to which each of the driteria is effective in the determination of the wage outcome in Turkey,this focus constitutes the main significance of the proposed study. The set of changes brought about by collective bargaining in Turkey has implications for the standard of living of wage earners, the welfare of the firms and the economy in general.The broad problem are is the role of criteria used in wage determination under collective bargaining in major firms of the Turkish economy. The problem definition is defining the effect of bargaining criteria discussed in indurtrial relations literature on the determination of wages in selected unionized ISE-100 Companies from 1998 until 2005.A survey of Turkey's related labour unions and employers' associations was conducted,using the face-to-face interview method. Kruskal Wallis analysis, Cross Tabulation analysis and Spearman Correlation analysis were then used to test the proposed framework.The study attempts to shed light on the determinants of the ISE-100 companies' wages by using panel data on the firms from 1998-2005.In particular it tries to extend the results by focusing on the roles of certain factors in wage determination by also constructing an Econometric Model,using the Panel Least Square analysis in order to test the proposed framework. Overall all the dimensions of the model were found to be effective in wage determination.however,the effects of each criterion seem to vary.Thus,it was possible under some circumtances for example to determine exactly what increas in wages was required to compenste for changes in comparative wages. However,the results suggest that inflation emerges as the most important criterion,followed by wage comparisons used most widely in collective bargaining. The link between wage bargaining criteria and the economic environment of the country in relation to wage levels.The findings are expected to contribute to research concerning the industrial relation system of Turkey. ; Bu tez çalışması, toplu pazarlık sürecinde kullanılan pazarlık kriterleriyle (enflasyon oranı, işgücü verimliliği, sektördeki emsal ücretler ve şirketin karlılığı) Türkiye'de gerçekleşmiş nihai ücretler arasındaki bağlantıyı göstermesi açısından önem taşımaktadır. Toplu pazarlığın sonuçlanmasıyla oluşan oluşum ücretlerinin yaşam standardı, firmaların pazar durumları ve ekonominin gidişatı açısından önemlidir. Çalışmada araştıralacak konu ücret belirleme sırasında önde gelen Türk firmalarında toplu pazarlık sırasında ele alınan kriterlerin neler olduğunu saptamaktadır. Bu amaçla İstanbul Menkul Kıymetler Borsa'sında 1998-2005 yılları arasında en fazla ilk 100 firma arasında yer alan firmalardan işveren sendikasına üye ve toplu iş sözleşmesi bağıtlayan 50 tanesinin toplu pazarlık sırasında kullandıkları pazarlık kriterlerini incelemeye çalıştım. Veriler, seçilen firmaların bağlı bulunduğu işçi ve işveren sendikalarındaki toplu sözleşme uzmanlarına ya da yönetim kurulu üyelerine yüz yüze anket yönetimi uygulaması yoluyla toplanmıştır. Önerilen model, Kruskal Wallis testi, Çapraz Tablo analizi ve Spearman Korelasyon analizi yollarıyla sınanmıştır. Bu amaçla 1998-2005 yılları arasında seçilen IMKB'ye bağlı seçilmiş firmaların panel verileri kullanılarak çalışmayı bir de ekonometrik açıdan regresyon analizi uygularak genişlettim. Bu çalışmada seçilen firmaların ücret oluşumundaki 1998-2005 dönemlerinde gerçekleşen toplu pazarlık kriterlerinin etkisini araştırmaya çalıştım. Modelin bütün boyutlarının, ücret oluşundaki etkisi olduğu görülmüştür. Ancak toplu pazarlık kriterlerinin gösterdikleri etkiler, içinde bulunan şartlara göre farklılık göstermektedir. Uygulanacak ücret artışı çalışanların hayat pahalılığıyla olan mücadelesinde farklı, verimlilik göstergelerindeki değişikliklerde farklılık ve sektördeki emsal ücretlerin gösterdiği trend göz önüne alındığında farklı olacaktır. Ancak araştırma sonuçları, tarafların en önem verdiği faktörün, enflasyon kriteri olduğunu ortaya koymuştur. Ayrıca araştırma ücret oluşumunu belirleyen faktörler arasında sektördeki benzer ücretlerin önemli derecede etkili bir kriter olduğunu ortaya koymaktadır. Görgül bulgular kurama uygundur ve ücret oluşumunda ücret pazarlık kriterleri kadar ekonomik koşulların da rol oynadığını kanıtlamaktadır. Sonuçların, endüstri ilişkileri sistemi araştırmalarına bir katkı yapacağı düşünülmektedir. ; Introduction ; Importance of the Research ; Objectives of the Study ; Outline of the Study ; Definition of Major Terms in Wages and Collective Bargaining ; Wage ; Wage from Different Perspectives ; Wage from Labour's Perspective ; Wage from Employer's Perspective ; Employers' Union's Function ; Wage from the National Economy Perspective ; Wage from the Labour Union's Perspective ; Wage Determination ; Collective Bargaining ; Structure of Collective Bargaining ; The Union Structure ; The Employer Structure ; Collective Bargaining Negotiations ; Preparation of Negotiation ; Sources of Information ; Negotiation Encounter ; Collective Agreement ; How Wage Rates are Defined in the Agreement? ; Flat Rate (Standard Rate), Pay Range System ; Deferred Wage Increases ; Cost-of-Living Adjustments ; Profit Sharing ; Two-Tier Wage Systems ; Lump-Sum Payments ; Determination of the Basic Wage Rate ; Criteria for Wage Determination ; Comparative Wage ; Types of Comparisons ; Opponents Views on Using the Comparative Norm ; Ability to Pay ; Opponents Views on Using Ability-to-Pay Considerations ; Cost of Living ; Nominal Wage Increases and Inflation ; Escalator Clauses Arrangements ; Wage Re-Openers Arrangements ; Productivity ; Problem of Measurement Productivity ; Productivity Bargaining ; Labour Market Indicators for Turkey ; Labour Market Analysis ; The Structural Adjustment of the Labour Market in Turkey ; Labour Market in Turkey ; Informal Labour Market in Turkey ; Labour Productivity in Turkey ; Economic Environment ; Competition ; Turkey and EU Labour Market Policies ; The Periods of Unionization and Factors Which Affect Unionization in Turkey ; An Overview of Turkish Unions Today ; Union Density in Turkey ; Strike ; Third Party Intervention in Negotiations ; Why Managers Resist Unions? ; Methodology of the Research ; Problem Definitions ; Research Questions ; Conceptual Model of the Proposed Study ; The Research Model Framework ; Hypotheses ; Research Method and Data Collection ; Sample ; Istanbul Stock Exchange Company's Qualifications ; Data Collection ; Pilot Study ; Data Analysis ; Research Findings ; The Reliability Analysis of the Measurement Instruments ; Descriptive Non-Inferential Statistics ; Hypothesis Testing ; Analyses of Wage Determination Criteria ; Analysis of Wage Determination Criteria for Labour Unions ; Analysis of Wage Determination Criteria for Employers Unions ; Analysis of Wage Determination Criteria Using Mann Whitney Test ; Analysis of Criteria in Fixing Wage Demands ; Analysis of Fixing Wage Demands Criteria for Labour Unions ; Analysis of Fixing Wage Demands Criteria for Employers Unions ; Analysis of Fixing Wage Demands Criteria for Using Mann Whitney Test ; Analysis of Intervening Variables Effects on Wage Determination ; Analysis of Intervening Variables for Wage Setting from Labour Unions Perspective ; Analysis of Intervening Variables for Wage Setting from Employers Unions Perspective ; Analysis of Intervening Variables for Wage Determination, Using Mann Whitney Test ; Analysis of the Importance of Negative Factors in Wage Bargaining ; Analysis of Negative Factors for Labour Unions in Wage Bargaining ; Analysis of Negative Factors for Employers Unions in Wage Bargaining ; Using Mann Whitney Test; Analysis of the Negative Factors Effect ; Analysis on the Advantage of Wage Policy ; Analysis of Advantage of Wage Policy for Labour Unions ; Analysis of Advantage of Wage Policy for Employers Unions ; Using Mann Whitney Test on "Advantage of Wage Policy" ; Analysis of Union's Bargaining Power ; Analyses of the Hypothesis, that Wage Increases Narrow Wage Differentials ; Flat Rate Wage Increase Method ; Percentage Wise Wage Increase Method ; Information Relating to Structure of Wages ; Analysis of Effects of Skill Wage Differentials on Business Costs ; Analysis of Effects of Type of Differentiation on Business Costs ; Analysis of Perceiving the Wage Concept ; Analysis of the Effects of Reductions in the Payroll Taxes Ease on Negotiations ; Analysis of Perceiving Welfare Share Differently ; Analyses Reflecting of Changes in CPI to Compensate for Losses in Real Wages ; Analysis of Reflecting Changes in CPI to Compensate for Losses ; Analysis of Changes in Inflation Criterion Bringing the Purchasing Power to Desired Level ; Analyses of the Use of Actual Inflation Level ; Analyses of the Productivity Criterion ; Productivity Reflected onto Wages ; Final Wage Being Independent from Productivity Criteria ; Analysis of the Profit Criterion ; Analysis of the Comparative Wage Criterion ; Analysis of Considering Comparative Wages and Rival Firm's Effect on Wage Outcome ; Analysis of Considering Comparative Wages Effect on Wage Bargaining ; Analysis of Comparative Wages Role and their Effec on Wages at the Establishment ; Analysis Considering Comparative Wages and Their Role in Wage Determination ; Exploratory Study ; Wage Determination Criteria Used in the Automotive Sector ; Wage Determination Criteria Used in the Basic Metal Sector ; Wage Determination Criteria Used in the Food and Beverages Sector ; Wage Determination Criteria Used in the Rubber and Tire Sector ; Wage Determination Criteria Used in the Chemical Sector ; Wage Determination Criteria Used in the Chemical Sector (revised) ; Wage Determination Criteria Used in the Paper Sector ; Wage Determination Criteria Used in the Glass Sector ; Wage Determination Criteria Used in the Composite Sectors ; Conclusions and Implications for Further ; Discussion of Results ; Limitations of the Study ; Implications for Further Research ; Appendix A Results of Reliability Analysis of Scale Items ; Appendix B Results of Mann Whitney Analysis of Wage Criteria ; Appendix C Results of Mann Whitney Analysis of Fixing Wage Demands ; Appendix D Results of Mann Whitney Analysis of Intervening Variables ; Appendix E Results of Mann Whitney Analysis of Negative Factors ; Appendix F Results of Mann Whitney Analysis of Advantage of Wage Policy ; Appendix G Results of Mann Whitney Analysis of Bargaining Power ; Appendix H Information Relating to Wage Increase ; Appendix I Analysis about Structure of Wage ; Appendix J Employers/ Unions Approach to Payroll Taxes ; Appendix K Employers/ Unions Approach to Single Wage ; Appendix L Criterion of Productivity in Wage Determination ; Appendix M Profitability Criterion in Wage Determination ; Appendix N Comparative Wages Criterion in Wage Determination ; Appendix O Survey Form Applied to Labour Unions ; Appendix P Survey Form Applied to Employers' Unions ; Vita ; Figure 2.1 The Labour Marke ; Figure 2.2 Influences on Workplace Representative Role ; Figure 2.3 Negotiating Encounter ; Figure 2.4 Distributive Bargaining Negotiation: First-year Base Wage Increase ; Figure 3.1 Pay Equity ; Figure 5.1 A Conceptual Model Wage Bargaining Criteria

Loet Leydesdorff on the Triple Helix: How Synergies in University-Industry-Government Relations can Shape Innovation Systems





This is the sixth and last in a series of Talks dedicated to the technopolitics of International Relations, linked to the forthcoming double volume 'The Global Politics of Science and Technology' edited by Maximilian Mayer, Mariana Carpes, and Ruth Knoblich 







The relationship between technological innovation
processes and the nation state remains a challenge for the discipline of
International Relations. Non-linear and multi-directional
characteristics of knowledge production, and the diffusive nature of knowledge
itself, limit the general ability of governments to influence and steer
innovation processes. Loet Leydesdorff advances the framework of the "Triple
Helix" that disaggregates national innovation systems into
evolving university-industry-government eco-systems. In this Talk, amongst others, he shows that these eco-systems can be
expected to generate niches with synergy at all scales, and emphasizes that, though
politics are always involved, synergies develop unintentionally.




Print version of this Talk (pdf)




What is the most relevant aspect
of the dynamics of innovation for the discipline of International Relations?



The
main challenge is to endogenize the notions of technological progress and
technological development into theorizing about political economies and nation states.
The endogenization of technological innovation and technological development
was first placed on the research agenda of economics by evolutionary economists
like Nelson and Winter in the late 1970s and early 1980s. In this context, the
question was how to endogenize the dynamics of knowledge, organized knowledge,
science and technology into economic theorizing. However, one can equally well
formulate the problem of how to reflect on the global (sub)dynamics of
organized knowledge production in political theory and International Relations.



From
a longer-term perspective, one can consider that the nation states – the
national or political economies in Europe – were shaped in the 19th
century, somewhat later for Germany (after 1871), but for most countries it was
during the first half of the 19th century. This was after the French
and American Revolutions and in relation to industrialization. These nation
states were able to develop an institutional framework for organizing the
market as a wealth-generating mechanism, while the institutional framework
permitted them to retain wealth, to regulate market forces, and also to steer
them to a certain extent. However, the market is not only a local dynamics; it
is also a global phenomenon.



Nowadays,
another global dynamics is involved: science and technology add a dynamics different
from that of the market. The market is an equilibrium-seeking mechanism at each
moment of time. The evolutionary dynamics of science and technology nowadays
adds a non-equilibrium-seeking dynamics over time on top of that, and this puts
the nation state in a very different position. Combining an equilibrium-seeking
dynamics at each moment of time with a non-equilibrium seeking one over time
results in a complex adaptive dynamics, or an eco-dynamics, or however you want
to call it – these are different words for approximately the same thing.



For
the nation state, the question arises of how it relates to the global market
dynamics on the one side, and the global dynamics of knowledge and innovation on
the other. Thus, the nation state has to combine two tasks. I illustrated this
model of three subdynamics with a figure in my 2006 book entitled The Knowledge-Based Economy: Modeled,
measured, simulated (see image). The figure shows that first-order interactions
generate a knowledge-based economy as a next-order or global regime on top of
the localized trajectories of nation states and innovative firms. These complex
dynamics have first to be specified and then to be analyzed empirically.



For
example, the knowledge-based dynamics change the relation between government
and the economy; and they consequently change the position of the state in
relation to wealth-retaining mechanisms. How can the nation state be organized
in such a way as to retain wealth from knowledge locally, while knowledge (like
capital) tends to travel beyond boundaries? One can envisage the complex system
dynamics as a kind of cloud – a cloud
that touches the ground at certain places, as Harald Bathelt, for example,
formulated.



How
can national governments shape conditions for the cloud to touch and to remain
on the ground? The Triple Helix of University-Industry-Government Relations can
be considered as an eco-system of bi- and tri-lateral relations. The three
institutions and their interrelations can be expected to form a system carrying
the three functions of (i) novelty production, (ii) wealth generation, and
(iii) normative control. One tends to think of university-industry-government
relations first as neo-corporatist arrangements between these institutional
partners. However, I am interested in the ecosystem shaped through the tri- and
bilateral relationships.



This
ecosystem can be shaped at different levels. It can be a regional ecosystem or
a national ecosystem, for instance. One can ask whether there is a surplus of synergy
between the three (sub-)dynamics of university-industry-government relations
and where that synergy can generate wealth, knowledge, and control; in which
places, and along trajectories for which periods of time – that is, the same
synergy as meant by "a cloud touching the ground".



For
example, when studying Piedmont as a region in Northern Italy, it is
questionable whether the synergy in university-industry-government relations is
optimal at this regional level or should better be examined from a larger perspective
that includes Lombardy. On the one
hand, the administrative borders of nations and regions result from the
construction of political economies in the 19th century; but on the
other hand, the niches of synergy that can be expected in a knowledge-based
economy are bordered also; for example, in terms of metropolitan regions (e.g.,
Milan–Turin–Genoa).



Since
political dynamics are always involved, this has implications for International
Relations as a field of study. But the dynamic analysis is different from
comparative statics (that is, measurement at different moments of time). The
knowledge dynamics can travel and be "footloose" to use the words of Raymond
Vernon, although it leaves footprints behind. Grasping "wealth from knowledge"
(locally or regionally) requires taking a systems perspective. However, the
system is not "given"; the system remains under reconstruction and can thus be
articulated only as a theoretically informed hypothesis.



In
the social sciences, one can use the concept of a hypothesized system
heuristically. For example, when
analyzing the knowledge-based economy in Germany, one can ask whether more synergy
can be explained when looking at the level of the whole country (e.g., in terms
of the East-West or North-South divide) or at the level of Germany's Federal
States? What is the surplus of the nation or at the European level? How can one
provide political decision-making with the required variety to operate as a
control mechanism on the complex dynamics of these eco-systems?



A
complex system can be expected to generate niches with synergy at all scales,
but as unintended consequences. To what extent and for which time span can
these effects be anticipated and then perhaps be facilitated? At this point,
Luhmann's theory comes in because he has this notion of different codifications
of communication, which then, at a next-order level, begin to self-organize
when symbolically generalized.



Codes
are constructed bottom-up, but what is constructed bottom-up may thereafter
begin to control top-down. Thus, one should articulate reflexively the
selection mechanisms that are constructed from the bottom-up variation by
specifying the why as an hypothesis.
What are the selection mechanisms? Observable relations (such as
university-industry relations) are not neutral, but mean different things for
the economy and for the state; and this meaning of the observable relations can
be evaluated in terms of the codes of communication.



Against
Niklas Luhmann's model, I would argue that codes of communication can be
translated into one another since interhuman communications are not
operationally closed, as in the biological model of autopoiesis. One also needs a social-scientific perspective on the
fluidities ("overflows") and translations among functions, as emphasized, for
example, by French scholars such as Michel Callon and Bruno Latour. In
evolutionary economics, one distinguishes between market and non-market
selection environments, but not among selection environments that are
differently codified. Here, Luhmann's theory offers us a heuristic: The complex
system of communications tends to differentiate in terms of the symbolic
generalizations of codes of communication because this differentiation is
functional in allowing the system to process more complexity and thus to be
more innovative. The more orthogonal the codes, the more options for
translations among them. The synergy indicator measures these options as
redundancy. The selection environments, however, have to be specified historically
because these redundancies—other possibilities—are not given but rather constructed
over long periods of time.





How did you arrive where
you currently work on?


I
became interested in the relations between science, technology, and society as
an undergraduate (in biochemistry) which coincided with the time of the student
movement of the late 1960s. We began to study Jürgen Habermas in the framework
of the "critical university," and I decided to continue with a second degree in
philosophy. After the discussions between Luhmann and Habermas (1971), I
recognized the advantages of Luhmann's more empirically oriented systems approach
and I pursued my Ph.D. in the sociology of organization and labour.



In
the meantime, we got the opportunity to organize an interfaculty department for
Science and Technology Dynamics at the University of Amsterdam after a
competition for a large government grant. In the context of this department, I
became interested in methodology: how can one compare across case studies and
make inferences? Actually, my 1995 book The
Challenge of Scientometrics
had a kind of Triple-Helix model on the cover: How do cognitions, texts, and
authors exhibit different dynamics that influence one another?



For
example, when an author publishes a paper in a scholarly journal, this may add
to his reputation as an author, but the knowledge claimed in the text enters a
process of validation which can be much more global and anonymous. These
processes are mediated since they are based on communication. Thus, one can add
to the context of discovery (of authors) and the context of justification (of
knowledge contents) a context of mediation (in texts). The status of a journal,
for example, matters for the communication of the knowledge content in the article.
The contexts operate as selection environments upon one another.



In
evolutionary economics, one is used to distinguishing between market and
non-market selection environments, but not among more selection environments
that are differently codified. At this point, Luhmann's theory offers a new
perspective: The complex system of communications tends to differentiate in
terms of the symbolic generalization of codes of communication because this differentiation
among the codes of communication allows the system to process more complexity
and to be more innovative in terms of possible translations. The different
selection environments for communications, however, are not given but constructed
historically over long periods of time. The modern (standardized) format of the
citation, for example, was constructed at the end of the 19th
century, but it took until the 1950s before the idea of a citation index was
formulated (by Eugene Garfield). The use of citations in evaluative
bibliometrics is even more recent.



In
evolutionary economics, one distinguishes furthermore between (technological)
trajectories and regimes. Trajectories can result from "mutual shaping" between
two selection environments, for example, markets and technologies. Nations and
firms follow trajectories in a landscape. Regimes are global and require the
specification of three (or more) selection environments. When three (or more)
dynamics interact, symmetry can be broken and one can expect feed-forward and
feedback loops. Such a system can begin to flourish auto-catalytically when the
configuration is optimal.



From
such considerations, that is, a confluence of the neo-institutional program of
Henry Etzkowitz and my neo-evolutionary view, our Triple Helix model emerged in
1994: how do institutions and functions interrelate and change one another or,
in other words, provide options for innovation? Under what conditions
can university-industry-government relations lead to wealth generation and
organized knowledge production? The starting point was a workshop about Evolutionary Economics and Chaos Theory: New
directions for technology studies held in Amsterdam in 1993. Henry
suggested thereafter that we could collaborate further on university-industry
relations. I answered that I needed at least three (sub)dynamics from the
perspective of my research program, and then we agreed about "A Triple Helix of
University-Industry-Government Relations". Years later, however, we took our
two lines of research apart again, and in 2002 I began developing a
Triple-Helix indicator of synergy in a series of studies of national systems of
innovation.





What would you give as
advice to students who would like to get into the field of innovation and
global politics?



In
general, I would advise them to be both a specialist and broader than that.
Innovation involves crossing established borders. Learn at least two languages.
If your background is political science, then take a minor in science &
technology studies or in economics. One needs both the specialist profile and
the potential to reach out to other audiences by being aware of the need to
make translations between different frameworks. Learn to be reflexive about the
status of what one can say in one or the other framework.



For
example, I learned to avoid the formulation of grandiose statements such as
"modern economies are knowledge-based economies," and to say instead: "modern
economies can increasingly be considered as knowledge-based economies." The
latter formulation provides room for asking "to what extent," and thus one can
ask for further information, indicators, and results of the measurement.



In
the sociology of science, specialisms and paradigms are sometimes considered as
belief systems. It seems to me that by considering scholarly discourses as
systems of rationalized expectations one can make the distinction between
normative and cognitive learning. Normative learning (that is, in belief
systems) is slower than cognitive learning (in terms of theorized expectations)
because the cognitive mode provides us with more room for experimentation: One
can afford to make mistakes, since one's communication and knowledge claims
remain under discussion, and not one's status as a communicator. The cognitive
mode has advantages; it can be considered as the surplus that is further
developed during higher education. Normative learning is slower; it dominates
in the political sphere.





What
does the "Triple Helix" reveal about the fragmentation of "national innovation
systems"?



In
2003, colleagues from the Department of Economics and Management Studies at the
Erasmus University in Rotterdam offered me firm data from the Netherlands containing
these three dimensions: the economic, the geographical, and the technological dimensions
in data of more than a million Dutch firms. I presented the results at the
Schumpeter Society in Turin in 2004, and asked whether someone in the audience
had similar data for other countries. I expected Swedish or Israeli colleagues
to have this type of statistics, but someone from Germany stepped in, Michael
Fritsch, and so we did the analysis for Germany. These studies were first
published in Research Policy.
Thereafter, we did studies on Hungary, Norway, Sweden, and recently also China
and Russia.



Several
conclusions arise from these studies. Using entropy statistics, the data can be
decomposed along the three different dimensions. One can decompose national
systems geographically into regions, but one can also decompose them in terms
of the technologies involved (e.g., high-tech versus medium-tech). We were
mainly relying on national data. And of course, there are limitations to the
data collections. Actually, we now have international data, but this is
commercial data and therefore more difficult to use reliably than governmental
statistics.



For
the Netherlands, we obtained the picture that would more or less be expected:
Amsterdam, Rotterdam, and Eindhoven are the most knowledge-intensive and
knowledge-based regions. This is not surprising, although there was one surprise:
We know that in terms of knowledge bases, Amsterdam is connected to Utrecht and
then the geography goes a bit to the east in the direction of Wageningen. What
we did not know was that the niche also spreads to the north in the direction
of Zwolle. The highways to Amsterdam Airport (Schiphol) are probably the most
important.



In
the case of Germany, when we first analyzed the data at the level of the
"Laender" (Federal States), we could see the East-West divide still prevailing,
but when we repeated the analysis at the lower level of the "Regierungsbezirke"
we no longer found the East-West divide as dominant (using 2004 data). So, the
environment of Dresden for example was more synergetic in Triple-Helix terms
than that of Saarbruecken. And this was nice to see considering my idea that
the knowledge-based economy increasingly prevails since the fall of the Berlin
Wall and the demise of the Soviet Union. The discussion about two different
models for organizing the political economy—communism or liberal democracy—had
become obsolete after 1990.



After
studying Germany, I worked with Balázs Lengyel on Hungarian data. Originally,
we could not find any regularity in the Hungarian data, but then the idea arose
to analyze the Hungarian data as three different innovation systems: one around
Budapest, which is a metropolitan innovation system; one in the west of the
country, which has been incorporated into Western Europe; and one in the east
of the country, which has remained the old innovation system that is state-led
and dependent on subsidies. For the western part, one could say that Hungary
has been "europeanized" by Austria and Germany; it has become part of a
European system.



When
Hungary came into the position to create a national
innovation system, free from Russia and the Comecon, it was too late, as
Europeanization had already stepped in and national boundaries were no longer
as dominant. Accordingly, and this was a very nice result, assessing this
synergy indicator on Hungary as a nation, we did not find additional synergy at
the national (that is, above-regional) level. While we clearly found synergy at
the national level for the Netherlands and also found it in Germany, but at the
level of the Federal States, we could not find synergy at a national level for
Hungary. Hungary has probably developed too late to develop a nationally
controlled system of innovations.



A
similar phenomenon appeared when we studied Norway: my Norwegian colleague
(Øivind Strand) did most of our analysis there. To our surprise, the
knowledge-based economy was not generated where the universities are located (Oslo
and Trondheim), but on the West Coast, where the off-shore, marine and maritime
industries are most dominant. FDI (foreign direct investment) in the marine and
maritime industries leads to knowledge-based synergy in the regions on the West
Shore of Norway. Norway is still a national system, but the Norwegian
universities like Trondheim or Oslo are not so much involved in entrepreneurial
networks. These are traditional universities, which tend to keep their hands
off the economy.



Actually,
when we had discussions about these two cases, Norway and Hungary, which both
show that internationalization had become a major factor, either in the form of
Europeanization in the Hungarian case, or in the form of foreign-driven
investments (off-shore industry and oil companies) in the Norwegian case, I
became uncertain and asked myself whether we did not believe too much in our
indicators? Therefore, I proposed to Øivind to study Sweden, given the availability
of well-organized data of this national system.



We
expected to find synergy concentrated in the three regional systems of
Stockholm, Gothenburg, and Malmö/Lund. Indeed, 48.5 percent of the Swedish
synergy is created in these three regions. This is more than one would expect
on the basis of the literature. Some colleagues were upset, because they had
already started trying to work on new developments of the Triple Helix, for
example, in Linköping. But the Swedish economy is organized and centralized in
this geographical dimension. Perhaps that is why one talks so much about
"regionalization" in policy documents. Sweden is very much a national
innovation system, with additional synergy between the regions.





Can governments alter
historical trajectories of national, regional or local innovation systems?



Let
me mention the empirical results for China in order to illustrate the
implications of empirical conclusions for policy options. We had no Chinese
data set, but we obtained access to the database Orbis of the Bureau van Dijk
(an international company, which is Wall Street oriented, assembling data about
companies) that contains industry indicators such as names, addresses,
NACE-codes, types of technology, the sizes of each enterprise, etc. However,
this data can be very incomplete. Using this incomplete data for China, we said
that we were just going to show how one could do the analysis  if one had full data. We guess that the
National Bureau of Statistics of China has complete data.
I did the analysis with Ping Zhou, Professor at Zhejiang University.



We
analyzed China first at the provincial level, and as expected, the East Coast
emerged as much more knowledge intense than the rest of the country. After
that, we also looked at the next-lower level of the 339 prefectures of China.
From this analysis, four of them popped up as far more synergetic than the
others. These four municipalities were: Beijing, Shanghai, Tianjin, and
Chongqing.



These
four municipalities became clearly visible as an order of magnitude more
synergetic than other regions. The special characteristic about them is that –as
against the others – these four municipalities are administered by the central
government. Actually, it came out of my data and I did not understand it; but
my Chinese colleague said that this result was very nice and specified this
relationship.



The
Chinese case thus illustrates that government control can make a difference. It
shows – and that is not surprising, as China runs on a different model – that
the government is able to organize the four municipalities in such a way as to
increase synergy. Of course, I do not know what is happening on the ground. We
know that the Chinese system is more complex than these three dimensions
suggest. I guess the government agencies may wish to consider the option of
extending the success of this development model, to Guangdong for example or to
other parts of China. Isn't it worrisome that all the other and less controlled
districts have not been as successful in generating synergy?



Referring
more generally to innovation policies, I would advise as a heuristics that
political discourse is able to signal a problem, but policy questions do not
enable us to analyze the issues. Regional development, for example, is an issue
in Sweden because the system is very centralized, more than in Norway, for
example. But there is nothing in our data that supports the claim that the
Swedish government is successful in decentralizing the knowledge-based economy
beyond the three metropolitan regions. We may be able to reach conclusions like
these serving as policy advice. One develops policies on the basis of intuitive
assumptions which a researcher is sometimes able to test.



As
noted, one can expect a complex system continuously to produce unintended
consequences, and thus it needs monitoring. The dynamics of the system are
different from the sum of the sub-dynamics because of the interaction effects
and feedback loops. Metaphors such as a Triple Helix, Mode-2, or the Risk
Society can be stimulating for the discourse, but these metaphors tend to develop
their own dynamics of proliferating discourses.



The
Triple Helix, for example, can first be considered as a call for collaboration
in networks of institutions. However, in an ecosystem of bi-lateral and
tri-lateral relations, one has a trade-off between local integration
(collaboration) and global differentiation (competition). The markets and the
sciences develop at the global level, above the level of specific relations. A
principal agent such as government may be locked into a suboptimum. Institutional
reform that frees the other two dynamics (markets and sciences) requires
translation of political legitimation into other codes of communication. Translations
among codes of communication provide the innovation engine.





Is there a connection
between infrastructures and the success of innovation processes?



One
of the conclusions, which pervades throughout all advanced economies, is that
knowledge intensive services (KIS) are
not synergetic locally because they can be disconnected – uncoupled – from the
location. For example, if one offers a knowledge-intensive service in Munich
and receives a phone call from Hamburg, the next step is to take a plane to
Hamburg, or to catch a train inside Germany perhaps. Thus, it does not matter
whether one is located in Munich or Hamburg as knowledge-intensive services
uncouple from the local economy. The main point is proximity to an airport or
train station.



This
is also the case for high-tech knowledge-based manufacturing. But it is
different for medium-tech manufacturing, because in this case the dynamics are
more embedded in the other parts of the economy. If one looks at Russia, the
knowledge-intensive services operate differently from the Western European
model, where the phenomenon of uncoupling takes place. In Russia, KIS
contribute to coupling, as knowledge-intensive services are related to state
apparatuses.



In
the Russian case, the knowledge-based economy is heavily concentrated in Moscow
and St. Petersburg. So, if one aims –as the Russian government proclaims – to create
not "wealth from knowledge" but "knowledge from wealth" – that is, oil revenues
–it might be wise to uncouple the knowledge-intensive services from the state
apparatuses. Of course, this is not easy to do in the Russian model because
traditionally, the center (Moscow) has never done this. Uncoupling
knowledge-intensive services, however, might give them a degree of freedom to
move around, from Tomsk to Minsk or vice
versa, steered by economic forces more than they currently are (via institutions
in Moscow).





Final question. What does path-dependency mean in the context of
innovation dynamics?



In
The Challenge of Scientometrics. The development, measurement, and
self-organization of scientific communications (1995), I used Shannon-type information theory to study
scientometric problems, as this methodology combines both static and dynamic
analyses. Connected to this theory I developed a measurement method for
path-dependency and critical transitions.



In
the case of a radio transmission, for example, you have a sender and a
receiver, and in between you may have an auxiliary station. For instance, the
sender is in New York and the receiver is in Bonn and the auxiliary station is
in Iceland. The signal emerges in New York and travels to Bonn, but it may be possible
to improve the reception by assuming the signal is from Iceland instead of
listening to New York. When Iceland provides a better signal, it is possible to
forget the history of the signal before it arrived in Island. It no longer
matters whether Iceland obtained the signal originally from New York or Boston.
One takes the signal from Iceland and the pre-history of the signal does not
matter anymore for a receiver.



Such
a configuration provides a path-dependency (on Iceland) in
information-theoretical terms, measurable in terms of bits of information. In a
certain sense you get negative bits of information, since the shortest path in
the normal triangle would be from New York to Bonn, and in this case the
shortest path is from New York via Iceland to Bonn. I called this at the time a
critical transition. In a scientific text for instance, a new terminology can
come up and if it overwrites the old terminology to the extent that one does
not have to listen to the old terminology anymore, one has a critical
transition that frees one from the path-dependencies at a previous moment of
time.



Thus,
my example is about radical and knowledge-based changes. As long as one has to
listen to the past, one does not make a critical transition. The knowledge-based
approach is always about creative destruction and about moving ahead,
incorporating possible new options in the future. The hypothesized future
states become more important than the past. The challenge, in my opinion, is to
make the notion of options operational and to bring these ideas into
measurement. The Triple-Helix indicator measures the number of possible options
as additional redundancy. This measurement has the additional advantage that one
becomes sensitive to uncertainty in the prediction.





Loet Leydesdorff is Professor Emeritus at the Amsterdam School of Communications Research (ASCoR) of the University of Amsterdam. He is Honorary Professor of the Science and Technology Policy Research Unit (SPRU) of the University of Sussex, Visiting Professor at the School of Management, Birkbeck, University of London, Visiting Professor of the Institute of Scientific and Technical Information of China (ISTIC) in Beijing, and Guest Professor at Zhejiang University in Hangzhou. He has published extensively in systems theory, social network analysis, scientometrics, and the sociology of innovation (see at http://www.leydesdorff.net/list.htm). With Henry Etzkowitz, he initiated a series of workshops, conferences, and special issues about the Triple Helix of University-Industry-Government Relations. He received the Derek de Solla Price Award for Scientometrics and Informetrics in 2003 and held "The City of Lausanne" Honor Chair at the School of Economics, Université de Lausanne, in 2005. In 2007, he was Vice-President of the 8th International Conference on Computing Anticipatory Systems (CASYS'07, Liège). In 2014, he was listed as a highly-cited author by Thomson Reuters. 





Literature and Related
links:



Science & Technology Dynamics,
University of Amsterdam / Amsterdam School of Communications
Research (ASCoR) 


Leydesdorff,
L. (2006). The Knowledge-Based Economy: Modeled, Measured, Simulated. Universal Publishers, Boca Raton, FL.


Leydesdorff, L. (2001). A Sociological Theory of Communication: The Self-Organization of the
Knowledge-Based Society. Universal Publishers, Boca Raton, FL.


Leydesdorff,
L. (1995). The Challenge of Scientometrics . The development, measurement, and
self-organization of scientific communications. Leiden, DSWO Press, Leiden University.


http://www.leydesdorff.net/





Print version of this Talk (pdf)



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Limbal stem cells (LSCs) are a quiescent cell population responsible for the renewal of the corneal epithelium. Their deficiency is responsible for the conjunctivization of the cornea that is seen in different ocular pathologies, both in humans and in the canine species. The canine species represents an interesting preclinical animal model in ocular surface pathologies. However, the role of LSCs in physiological and pathological conditions in canine species is not well understood. Our objective was to characterize for the first time the soluble factors and the proteomic profile of the secretome and exosomes of canine LSCs (cLSCs). In addition, given the important role that fibroblasts play in the repair of the ocular surface, we evaluated the influence of the secretome and exosomes of cLSCs on their proliferation in vitro. Our results demonstrated a secretory profile of cLSCs with high concentrations of MCP-1, IL-8, VEGF-A, and IL-10, as well as significant production of exosomes. Regarding the proteomic profile, 646 total proteins in the secretome and 356 in exosomes were involved in different biological processes. Functionally, the cLSC secretome showed an inhibitory effect on the proliferation of fibroblasts in vitro, which the exosomes did not. These results open the door to new studies on the possible use of the cLSC secretome or some of its components to treat certain pathologies of the ocular surface in canine species. ; GR was supported by the RD16/0011/ 0022 grant of the Spanish Network on Cell Therapy (TerCel). AV and VF were supported by the Contract Aljama Gestión SL-University of Malaga (8.06/5.02.5013). MM was supported by the UMA18-FEDERJA-133 grant of the Operational programme FEDER Andalucía 2014-2020. CA was supported by the Promotion of Youth Employment and implementation of the Youth Guarantee in R&D&I, 2018 (PEJ2018-004785-A) grant of the Ministry of Science, Innovation and University. The funders had no role in study design, data collection and analysis, decision to publish, or preparation of the manuscript. VI National R&D&I Plan 2008– 2011, Iniciativa Ingenio 2010, Consolider Program, CIBER Actions, Instituto de Salud Carlos III with assistance from the European Regional Development Fund and Regional Government of Andalusia (Junta de Andalucia, PAIDI (BIO217), provided support in the form of materials, but did not have any additional role in the study design, data Cover Letter collection and analysis, decision to publish, or preparation of the manuscript. ; Yes

This paper uses a global general equilibrium simulation model to quantify the effects of lifting economic sanctions on Iran with and without strategic responses. Iran benefits the most, with average per capita welfare gains ranging from close to 3 percent, in the case when Iran's crude oil exports to the European Union recover to half their pre-embargo level, to 6.5 percent, in the best case of complete recovery of oil exports to the European Union, successful domestic reforms that enable a strong supply response, and increased market access for Iranian exports in developed markets. Iran could achieve benefits close to the upper range if Gulf Cooperation Council oil exporters limit their crude oil exports to support the oil price. If they do nothing, however, the price of oil will decline by 13 percent in the case of complete recovery of oil exports to the European Union, leaving net oil importers better off and net oil exporters worse off.

[ita] La presente tesi si concentra sui processi di decentramento in Italia e Spagna, analizzando l'impatto dei mutamenti del quadro giuridico europeo sull'autonomia finanziaria regionale. L'ordinamento finanziario sovranazionale è stato infatti ampiamente modificato negli ultimi anni (specialmente con riferimento alla c.d. "Eurozona") per affrontare le pressanti sfide di natura macroeconomica derivanti dalla crisi del debito sovrano, che ha coinvolto svariati Stati Membri. L'analisi del tema proposto viene effettuata con il metodo della comparazione, prendendo in considerazione gli ordinamenti italiano e spagnolo. Tale scelta metodologica riposa essenzialmente su due elementi, che integrano il requisito della comparabilità tra i due ordinamenti: a) la vicinanza strutturale e l'influenza reciproca che storicamente si è verificata tra i due modelli di decentramento (che vengono usualmente riportati alla forma – o tipo – di Stato regionale); b) la comune soggezione ai vincoli finanziari derivanti dall'ordinamento europeo, unita a una condizione di grave difficoltà finanziaria che coinvolge il sistema regionale in generale, e – in maniera più acuta – le Regioni e Comunidades Autónomas (d'ora in poi, CC.AA.) che sono state (o sono) colpite da fenomeni di mala gestio. Si presenterà ora brevemente la struttura del lavoro. I primi due capitoli parlano dello Stato regionale in Italia e in Spagna, ossia il contesto, lo "sfondo", nel quale si inserisce il tema dell'autonomia finanziaria, seguendo la contrapposizione astratto/concreto, statico/dinamico: da un lato i modelli elaborati dalla dottrina, dall'altro l'evoluzione storica delle esperienze regionali, in entrambi i casi con particolare riferimento ai profili finanziari. Il primo capitolo descrive dunque la modellistica che viene generalmente utilizzata rispetto alle forme di distribuzione territoriale del potere politico (unione di stati, confederazione, stato federale, stato regionale, stato unitario), con un particolare approfondimento per la problematica categoria dello Stato regionale e, rispetto ad esso, registrando sia le posizioni critiche sull'utilità della categoria sia la particolare rilevanza che il livello di autonomia finanziaria regionale può avere a fini classificatori. Il secondo capitolo tratta invece partitamente le due linee storiche che si incrociano nella tematica in esame. Da un lato, lo sviluppo del regionalismo in Spagna e in Italia e le varie fasi dell'autonomia finanziaria nei due ordinamenti: non sfugge infatti a chi scrive che l'attuale stato delle finanze pubbliche territoriali sia in entrambi i casi il frutto di un complesso processo di evoluzione; tuttavia – ai fini della comparazione – pare opportuno privilegiare l'aspetto sincronico a quello diacronico, concentrandosi sull'ultimo stadio di questo percorso, nel suo intreccio con un sistema normativo e decisionale sempre più complesso, nazionale e sovranazionale. Dall'altro lato, si fa appunto un quadro dell'evoluzione della governance finanziaria europea sotto l'impatto della crisi economico-finanziaria che si è originata a livello globale a partire dal 2008. Tale evoluzione costituisce infatti il presupposto dei mutamenti costituzionali e normativi che si vogliono analizzare nel presente lavoro. Il terzo capitolo, che è il più ampio del lavoro, descrive l'ordinamento finanziario di Regioni e CCAA nel quadro di un sistema normativo che ormai affonda le sue radici nel livello sovranazionale. Obiettivo di questa parte del lavoro è tanto dare conto del sistema delle fonti dell'autonomia finanziaria da un punto di vista formale, quanto esporre ed analizzare le scelte normative compiute in concreto. Al suo interno, il capitolo è tripartito: ordinamento UE, ordinamento italiano e ordinamento spagnolo. La ragione di una trattazione separata dei due Paesi sul piano delle fonti è evidente: si tratta di sistemi peculiari e non sovrapponibili. In Spagna il metodo di finanziamento delle CCAA è determinato da due importanti leggi organiche, la LOFCA (Ley Orgánica de Financiación de las Comunidades Autónomas) e la LOEPSF (Ley Orgánica de Estabilidad Presupuestaria y Sostenibilidad Financiera): diventa dunque essenziale approfondire natura e ambito di competenza di ciascuna di esse, assieme al discusso problema del rapporto tra leggi organiche e Statuti delle CCAA nel sistema delle fonti del diritto. In Italia il quadro delle fonti si è fatto nel tempo sempre più articolato: basti ricordare la previsione di una specifica legge rinforzata da parte della nuova formulazione dell'art. 81, c.6, Cost. e il ruolo della legge delega sul federalismo fiscale (l. n. 42 del 2009) nel condizionare il contenuto dei relativi decreti legislativi di attuazione. All'interno dei paragrafi relativi all'uno e all'altro Paese si cerca di porre in luce i due versanti dell'autonomia finanziaria già esplicitati in precedenza, entrata e spesa. Rispetto al''autonomia di entrata, si dà conto tanto dello spazio concesso alla potestà impositiva di Regioni e CCAA – e quindi il potere di istituire tributi propri regionali e i ccdd. tributos cedidos anche dal punto di vista normativo nel caso spagnolo – quanto del problema centrale del finanziamento delle autonomie territoriali mediante risorse derivanti dai tributi statali, nelle forme della compartecipazione al gettito degli stessi e dei trasferimenti statali. Il profilo dell'autonomia di spesa riceve poi una considerazione altrettanto approfondita. In sistemi regionali in cui la decisione sulle entrate è ancora sostanzialmente in mano al livello di governo centrale, è chiaramente l'autonomia di spesa a concretare più direttamente l'autonomia finanziaria regionale, fino a spingere taluno a coniare la categoria del federalismo fiscale "di spesa". Proprio sull'autonomia di spesa hanno però impattato in maniera più diretta la crisi economico- finanziaria, i vincoli finanziari europei e la loro attuazione a livello interno: quest'ultima è avvenuta non soltanto tramite provvedimenti del legislatore statale volti a porre un limite globale alla spesa delle autonomie, al fine di garantire il rispetto dei vincoli sovranazionali da parte del complesso dei soggetti che compongono la c.d. finanza pubblica allargata (limiti diretti all'autonomia di spesa), ma anche tramite norme di legge che incidevano su ambiti rientranti nella competenza delle Regioni, fra i quali gli aspetti ordinamentali, giustificati dallo scopo di contenimento della spesa pubblica (limiti indiretti). Il quarto capitolo approfondisce il tema delle relazioni finanziarie fra Stato e Regioni/CCAA sul piano dei principi costituzionali: a differenza del capitolo precedente, la trattazione viene svolta trasversalmente fra i due ordinamenti, nella convinzione che vi siano alcune linee fondamentali in comune fra di essi. Si delinea quindi un vero e proprio statuto costituzionale dell'autonomia finanziaria nello Stato regionale che si sostanzia nei seguenti principi: autonomia finanziaria e corresponsabilità fiscale; solidarietà; sufficienza finanziaria (connessione risorse-funzioni); coordinamento finanziario; equilibrio di bilancio e sostenibilità finanziaria; leale collaborazione. Per ciascun principio non si dà conto soltanto dei riferimenti normativi ma soprattutto dell'interpretazione che ne è stata data dalla giurisprudenza costituzionale, istanza deputata a far "vivere" i principi nei mutamenti istituzionali e sociali tramite l'interpretazione costituzionale. Il quinto capitolo approfondisce infine un profilo spesso trascurato a livello dottrinale, ossia quello dei sistemi finanziari delle autonomie differenziate, nell'uno e nell'altro ordinamento. Nel caso italiano, il tema è quello della c.d. specialità finanziaria, che configura un percorso originale e peculiare nel quadro del regionalismo italiano. Il tema parrebbe porsi in maniera più complessa nel caso spagnolo, in virtù della potenziale asimmetria che caratterizza il sistema: tuttavia, in virtù della portata omogeneizzatrice della LOFCA, la maggior parte delle comunità autonome presenta un sistema di finanziamento sostanzialmente unitario. La reale differenziazione si coglie piuttosto rispetto al sistema del convenio e concierto autonómico seguito da País Vasco e Navarra, sistema che costituisce il portato di un lungo percorso storico e concreta una delle peculiarità del regimen foral di questi territori. Specialità finanziaria e regime forale presentano tratti di somiglianza e costituiscono esperienze meritevoli di approfondimento: essi sono da un lato oggetto di critica in entrambi i Paesi in quanto considerati "privilegi fiscali", allo stesso tempo non di rado la estensibilità dei sistemi ad alcune (o a tutte le) Regioni viene fatto oggetto di studio. ; [spa] The first two chapters deal about the "regional State" in Italy and Spain. The first chapter describes the categories that are generally used to classify the forms of territorial distribution of political power (union of States, confederation, federal State, regional State, unitary State), with particular attention to the problematic category of the regional State. The second chapter concerns the two historical aspects of the matter. On the one hand, the development of regionalism in Spain and Italy and the various phases of financial autonomy in the two systems; on the other hand, the evolution of European financial governance under the impact of the economic crisis since 2008. This evolution is, in fact, the precondition of the constitutional and legislative changes that the thesis aims to analyse. The third and fourth chapters are devoted to regional financial autonomy according to a general constitutional perspective: the third from the formal point of view, with reference to the system of sources of law, and the fourth from the substantive standpoint (constitutional principles). In particular, the third chapter deals with financial autonomy and, respectively, with tax power and power of expenditure in the Italian and Spanish cases, considering both the European Union and the internal sources of law. In relation to the tax autonomy, the thesis focuses mainly on the problem of the power of Regions and Autonomous Communities to establish their own regional taxes (and their limits), as well as on the taxes assigned by the State to the Autonomous Communities in Spain. Then, the thesis deepens the central problem of financing territorial autonomies through resources derived from State taxes, in the form of revenue sharing and State transfers. The topic of spending power also plays a central role in the research: the European financial rules and their application have a direct impact on regional spending autonomy. The problem of public debt, which is significantly regulated by the new supranational legal context, will also be considered. The fourth chapter is devoted in particular to the constitutional case law on the following principles: the principle of financial autonomy, the principle of financial sufficiency, the principle of coordination, the balance budget principle, the principle of solidarity and its limits, the principle of institutional loyalty and cooperation. Finally, the fifth chapter deals with a matter often neglected at the doctrinal level, which is the financial systems of differentiated autonomies, in both countries. In the Italian case, the Financial Specialty represents an original and peculiar way within the framework of Italian regionalism. In the Spanish case, the most important differentiation is the system of the convenio/concierto autonómico (agreement) of the Basque Country and Navarre.

The relevance of the research topic. After the World War II the leaders and intellectuals of the world were forced to look for new principles and methods of management. New theories for analysis of complex systems appeared. The D. Meadows' group from the Club of Rome and other analysts discovered the fact of the deepening humanity in an irreversible and deadly crisis. Up to now, economists and politicians have not offered a way to guarantee rescue. However, there is a consensus that hopes can be linked to the development of education and science in the world. The phrase "internationalization of higher education (IHE)" is used more and more often, and the number of scientific works is growing rapidly. However, in our opinion, the phenomenon of IHE is perceived superficially because of inattention to the latest scientific achievements, which are not followed by humanities scholars. This caused our interest and stimulated the desire to prove that global process of IHE started in accordance with the laws of the evolution of industrial production.The purpose of our study is to apply the theory of analysis of very large systems to the phenomena of kinds and variants internationalization to obtain the most probable scenarios for human progress. The task of the study is seen in the critical analysis of the trend we noted in the process of training the PhD-level professional in space and time and transforming the figure of a young worker from a national to an international "product" of the systems of education and training. The methodology of the research was dictated by the chosen goal and tasks under the pressure of the grandiose object – a complex of educational systems in a globalized planet environment. This is due to the use of the means of many sciences, theories of systemic research and a multidisciplinary approach in the conditions of global evolutionism.The results of the study in their essence, are still based on historical methods, in conjunction with the achievements of young sciences – synergetics, theories of complex systems, and others. An original table was created to match the agrarian, industrial and informational societies – those within which the system of higher education had been developed. The direction of its characterization has proven that the autonomy of universities has been diminished at present, the size of the whole system and its orientation towards political and economic demands have increased. It is indicated at the time when the high school began to lose its national character and to acquire features of internationality. It is noted that this coincided with the growth of the volume and impact of globalization and its study mainly within the humanities.The widespread representation of the interaction in higher education with the influences of globalization and internationalization, the basic definitions and differentiation, etc. is presented. The newest data on internationalization within the universities and far beyond them in state and interstate institutions are presented.The conclusions and recommendations formulated and proved the main hypothesis of our study and its main result. It consists in the fact that the higher school in general began to reproduce the path of industry with its variant of internationalization – a combination of products of many countries. We argue that in higher education the division of time and space of educational programs, institutions, places of internship, etc. began. Instead of ensuring PhD competences within a single state, basic schooling is found to be more profitable in one place, the profile secondary is in the other, the baccalaureate or master's program in the country "A", postgraduate study somewhere in "B", the final professional development in the best world's centers of MBA or some other training in London or Harvard. From this follows the following conclusion: Ukraine's resources are already inadequate for the preparation of national personnel of the highest world quality. Such a "product" has already become international ; Актуальность и разработка проблемы. После II мировой войны руководители и ведущие ученые человечества были вынуждены искать новые принципы и методы управления. Появились новые теории анализа сложных систем. Группа Д. Медоуза в Римском клубе и другие аналитики обнаружили факт погружения человечества в необратимый и смертельный кризис. До сих пор экономисты и политики не предложили способ гарантировать спасение. Однако есть консенсус, что надежды могут быть связаны с развитием образования и науки в мире. Поэтому все чаще используется фраза «интернационализация высшего образования (ИВО)», Однако, в подобных материалах, по нашему мнению, явление интернационализации высшего образования осознается поверхностно, что обусловлено преимущественно невниманием к новейшим научным достижениям, за которыми не следят исследователи-гуманитарии. Это вызвало наш интерес и стимулировало желание доказать, что в мире начался процесс тотально глобальной интернационализации высшей школы согласно законам эволюции не образования, а промышленных производств.Цель нашего исследования – применение теории анализа очень больших систем к явлениям интернационализации всех видов и вариантов с получением максимально достоверных сценариев прогресса человечества.Задачи исследования мы видим в критическом анализе замеченного нами тренда фрагментации процесса подготовки кадров высших квалификаций в пространстве и времени и преобразования фигуры молодого работника из национального в международный «продукт» деятельности имеющихся классических и новых систем обучения и профессиональной подготовки.Методологию исследования диктовали цель и задачи под давлением грандиозности объема и сложности объекта исследования – комплекса систем образования в глобальной всепланетной среде. Этим обусловлено использование средств многих наук, теорий системных исследований и мультидисциплинарный подход в условиях глобального эволюционизма.Результаты исследования в своей основе все же опираются на исторические методы в сочетании с достижениями молодых наук – синергетики, теории сложных систем и др. Была создана оригинальная таблица для сопоставления аграрного, индустрального и информационного обществ – тех, в пределах которых развивалась система высшего образования. Наведение ее характеристик доказало, что с приближением к настоящему уменьшалась автономия университетов, рос размер всей системы и ее ориентированность на политико-экономические запросы. Указан тот период времени, когда высшая школа начала терять свой национальный характер и приобретать черты интернациональности. Отмечено, что это совпало с ростом объема и влияния глобализации и изучением ее преимущественно в пределах гуманитарных наук. Изложены распространенные представления о взаимодействии в высшем образовании воздействий глобализации и интернационализации, основные определения и дифференциации и тому подобное. Приведены новейшие данные об учете интернационализации в пределах университетов и далеко за их пределами в государственных и межгосударственных институциях. В выводах и рекомендациях сформулирована и доказана основная гипотеза всего нашего исследования и его главный результат. Он состоит в том, что высшая школа в целом стала воспроизводить путь промышленности с ее вариантом интернационализации – сочетанием в изделиях продукции многих государств.Главный вывод: мы утверждаем, что и в высшем образовании началось разделение во времени и пространстве учебных программ, заведений, мест стажировок и т.д. Вместо обеспечения получения PhD-компетентности в пределах одного государства выгоднее оказывается базовое школьное образование в одном месте, профильное среднее в другом, бакалаврская или магистерская программа в стране «А», аспирантура где-то в «В», окончательное профессиональное совершенствование в лучшем в мире центре МВА или какой-то другой подготовки в Лондоне или Гарварде. Из этого следует вывод: ресурсы Украины или другого государства уже оказываются недостаточными для подготовки национальных кадров наивысшего мирового качества. Подобный «продукт» уже стал интернациональным ; Актуальність і розробка проблеми. Після II світової війни керівники і провідні науковці людства були змушені шукати нові принципи і методи управління. З'явилися нові теорії аналізу складних систем. Група Д. Медоуза в Римському клубі та інші аналітики виявили факт занурення людства в незворотну і смертельну кризу. Досьогодні економісти і політики не запропонували спосіб гарантувати порятунок. Однак є консенсус, що надії можуть бути пов'язані з розвитком освіти та науки в світі. Тому все частіше використовується фраза «інтернаціоналізація вищої освіти (ІВО)», а кількість наукових праць стрімко зростає. Однак, на нашу думку, феномен ІВО сприймається поверхово через неуважність до останніх наукових досягнень, за якими не слідкують науковці-гуманітарії. Це викликало наш інтерес і стимулювало прагнення довести, що в світі процес ІВО розпочався відповідно до законів еволюції промислового виробництва.Метою нашого дослідження є застосування теорії аналізу дуже великих систем до явищ інтернаціоналізації всіх видів і варіантів для отримання найбільш ймовірних сценаріїв людського прогресу. Завдання дослідження ми вбачаємо в критичному аналізі поміченого нами тренду фрагментації процесу підготовки кадрів найвищих кваліфікацій у просторі й часі та перетворення фігури молодого працівника з національного в інтернаціональний "продукт" діяльності наявних класичних і нових систем навчання і професійної підготовки.Результати дослідження в своїй основі все ж спираються на історичні методи у поєднанні з досягненннями молодих наук – синергетики, теорій складних систпем та ін. Була створена оригінальна таблиця задля співставлення аграрного, індустрального та інформаційного суспільств – тих, у межах яких зростала система вищої освіти. Наведення її характеристк довело, що з наближенням до сьогодення зменшувалася автономія університетів, зростав розмір всієї системи та її орієнтованість на політично-економічні запити. Вказано період часу, коли вища школа розпочала втрачати свій національний характер і набувати рис інтернаціональності. Відзначено, що це співпало зі зростанням обсягу і впливу глобалізації та вивченням її переважно у межах гуманітарних наук.У статті викладено поширені уявлення про взаємодію у вищій освіті впливів глобалізації та інтернаціоналізації, основні визначення і диференціацію тощо. Наведені новітні дані про врахування інтернаціоналізації у межах університетів та далеко поза ними в державних та міждержавних інституціях. У висновках і рекомендаціях сформульована і доведена основна гіпотеза всього нашого дослідження та його головний результат. Він полягає у тому, що вища школа в цілому стала відтворювати шлях промисловості з її варіантом інтернаціоналізації – поєднанням у виробах продукції багатьох держав.Наш висновок: ми стверджуємо, що і у вищій освіті розпочався поділ у часі й просторі навчальних програм, закладів, місць стажування і т.д. Замість забезпечення отримання PhD-компетентності у межах однієї держави вигіднішим виявляється базове шкільне навчання в одному місці, профільне середнє – в іншому, бакалаврська чи магістерська програма у країні "А", аспірантура – десь у "В", остаточне професійне вдосконалення – у кращому в світі центрі з МВА чи якоїсь іншої підготовки в Лондоні чи Гарварді. З цього випливає що ресурси України чи навіть більшої держави вже виявляються недостатніми для підготовки національних кадрів найвищої можливої світової якості. Подібний "продукт" вже став інтернаціональним

Why are motion pictures often attributed to authors – or "filmmakers" – while dozens of names and occupations appear in film credits? Following Foucault's definition of authorship as a form of appropriation, this dissertation focuses on copyright law and authorship battles in order to explain the origins and existence of film authors. Rather than considering authors as the individuals who "make" movies or as a fiction overshadowing the collective nature of filmmaking, I show that the attribution of films to authors is the result of the division of filmmaking labor and its power relations. This research uses a sociohistorical perspective and a transnational approach centered on the United States and France, where film authors are not granted the same authorship rights. It sheds light on the national, international and transnational dimensions of the appropriation of motion pictures. This study starts when film authors first appeared in copyright law: as early as the 1900s.The first part of this dissertation focuses on the writing of motion pictures' property rights from the birth of cinema to the passing of the French copyright law of 1957 and of the Copyright Act of 1976. After decades of battles, these laws provided different definitions of film authors and granted them with different property rights. Using legal publications, congressional records and reports, as well as film journals, I study French and American laws as the results of a codification process shaped by preexisting law and by the cooperation and power relations between lawyers, public officials, politicians and film organizations. A study of the revisions of the Berne Convention for the protection of literary and artistic works also show the interdependency between national and international norms of film authorship and copyright law.The second part of the dissertation study the appropriation of motion pictures as a social relation based on the division of filmmaking labor and social labor. Film authorship battles which started in the 1910s contributed to the creation of professional hierarchies and to the differentiation of film value from other forms of economic and artistic value. I use various writings of film professionals, along with other sources, to show that film authorship was shaped by various aspects of film production, dissemination and reception (including the power relations between film professionals, the diversity of film careers and the uses of authors' names by film critics and audiences). To study the division of filmmaking labor, I use Pierre Bourdieu's research on cultural fields, Howard Becker's work on art worlds as well as scholarship on professions. The dissertation also shows that the professional hierarchies of motion picture production interrelate with various forms of domination common to other fields. For example, gender helped to establish and legitimate hierarchies between professions and occupations, to distribute film labor and to exclude women from dominant professions. Film production also generated huge economic inequalities which nurtured authorship battles and rose the prestige of authors. Lastly, I show that film authorship was influenced by transnational circulations of movies, workers and ideas, by the asymmetries of the international film market and by film nationalism. To study the international division of filmmaking labor, I use world-systems theory, research on translations and quantitative data.The third part of the dissertation focuses on film directors and their copyright battles since the 1960s. Film directors took part in the negotiations of bargaining agreements, the French copyright law of 1985, the ratification of the Berne Convention by the United States and various laws sanctioning "internet piracy" (such as HADOPI law and the SOPA law). In these legal battles, film directors claimed to be authors in order to be granted with rights fostering their power, recognition and earnings. The legal claims were denounced by other filmmakers who challenged film authorship, copyright law and the interests of dominant film companies. Using the concept of field, biographical data, network analysis and multiple correspondence analysis, I explain that the alliances and oppositions of filmmakers in copyright battles were shaped by their professional careers. I study the political representation of film directors by members and leaders of their professional organizations. I conducted dozens of interviews to understand the points of views of French filmmakers on their property rights and on economic inequalities between film professionals. I show that their points of view vary according to their incomes and positions in the filmmaking field.This dissertation is meant to be useful for scholars interested in the history of copyright law, motion pictures, authorship, the division of (artistic) labor, professions and transnational approaches. ; Pourquoi les films de cinéma sont-ils souvent attribués à des auteurs alors même que leurs génériques énumèrent des dizaines de noms propres et de noms de métiers ? A la suite de Michel Foucault et de sa définition de la « fonction-auteur » comme forme d'appropriation des discours, cette thèse étudie la genèse et l'existence des auteurs de films au prisme des luttes de définition de leurs droits de propriété. Plutôt que de considérer les auteurs de cinéma comme ceux qui « font » les films ou comme une fiction occultant le caractère collectif de leur fabrication, elle montre que les auteurs sont les produits d'une division du travail cinématographique et des rapports de domination qui la traversent. Ce travail, inscrit dans une perspective de sociologie historique, adopte un référentiel binational centré sur la France et les Etats-Unis, où les auteurs de films ne disposent pas des mêmes droits. Il vise à objectiver les dimensions nationales, internationales et transnationales de l'appropriation des films. La période étudiée débute au moment où des personnes et des groupes ont été définis juridiquement comme des auteurs de cinéma : dès les années 1900.La première partie de ce texte est consacrée à la définition du droit de propriété des films depuis l'émergence du cinéma jusqu'à l'adoption de la loi du 11 mars 1957 et du Copyright Act de 1976. Après des décennies de débats, ces lois ont défini différemment l'identité et les droits des auteurs de films. A partir de publications juridiques, cinématographiques et parlementaires, on étudie ces lois comme les résultats d'un travail de codification structuré par des normes préexistantes et par les relations entre les acteurs qui ont participé à leur rédaction. Le développement du droit de propriété cinématographique est à la fois la cause et la conséquence de la constitution d'un espace de négociation regroupant des professionnels du droit, des hauts fonctionnaires, des professionnels de la politique et des organisations professionnelles du cinéma, dont certaines se sont constituées dans le but de défendre le statut d'auteur de leurs membres. La thèse montre ce que les normes du droit de propriété cinématographique français et américain doivent aux savoir-faire et concurrences entre des experts du droit de propriété intellectuelle, ainsi qu'aux relations entre des organisations professionnelles inégalement dotées en ressources économiques, juridiques et politiques. En examinant les révisions de la Convention de Berne, on analyse les interdépendances entre les processus de définition des normes nationales et internationales de la propriété des films. La deuxième partie de la thèse prolonge et dépasse l'étude du droit de propriété en analysant l'appropriation des films comme une relation structurée par la division du travail cinématographique et social. Les luttes de définition de l'auteur de film qui ont débuté dans les années 1910 ont contribué à la hiérarchisation du personnel cinématographique et à la différenciation de la valeur cinématographique par rapport à d'autres formes de valeur économique et artistique. Des témoignages, autobiographies et publications cinématographiques permettent de montrer que l'attribution des films à des auteurs dépend de diverses relations de production, de diffusion et de valorisation des films, comme la répartition des tâches et du pouvoir entre le personnel, les incertitudes et inégalités qui structurent les trajectoires des prétendants au statut d'auteur et les vertus cognitives et distinctives de la fonction-auteur employée par les critiques et une fraction des spectateurs. On mobilise pour cela les travaux de Pierre Bourdieu sur les champs de production culturelle, d'Howard Becker sur les mondes de l'art et d'autres recherches sur les professions et artistiques et non-artistiques. En outre, la thèse constate que les hiérarchies professionnelles du cinéma se sont construites à l'intersection de rapports de domination communs à différents domaines d'activité. Par exemple, le genre a servi à hiérarchiser les groupes professionnels, à répartir le travail cinématographique et à exclure les femmes de certains métiers du cinéma. Le cinéma a produit d'immenses inégalités de richesse qui ont attisées les luttes de définition de l'auteur et accru le prestige de certains métiers. La thèse explique également ce que les hiérarchies professionnelles du cinéma doivent à des échanges transnationaux, des concurrences internationales et aux nationalismes et universalismes cinématographiques. A cette fin, elle objective les asymétries de la division internationale du travail cinématographique, à l'aide des concepts de centre et de périphérie employés par la théorie des systèmes-monde, de travaux sur les échanges internationaux de biens culturels et de données sur les palmarès de festivals internationaux et la production et les échanges de films.La troisième partie est centrée sur les cinéastes et leur mobilisation autour du droit de propriété des films depuis les années 1960. En négociant des conventions collectives, la loi du 3 juillet 1985 sur le droit d'auteur, l'adhésion des Etats-Unis à la Convention de Berne et des lois réprimant les pratiques dites de téléchargement illégal (comme les lois HADOPI et SOPA), des réalisateurs, des réalisatrices et leurs organisations ont fait valoir le statut d'auteur pour obtenir ou défendre des droits censés accroître leur pouvoir, leur reconnaissance et leurs revenus. Leurs revendications ont été dénoncées par des cinéastes remettant en cause la notion d'auteur, la propriété des œuvres et/ou les intérêts d'entreprises dominantes. Les alliances et divisions des cinéastes français sont rapportées à leurs trajectoires cinématographiques grâce au concept de champ et à des données prosopographiques traitées en combinant les méthodes de l'analyse des correspondances multiples et de l'analyse de réseaux. La thèse étudie la division du travail de représentation des cinéastes entre des professionnels plus ou moins connus et reconnus, des militants et des dirigeants de sociétés d'auteurs. Sur la base d'entretiens et d'observations, on observe les points de vue des cinéastes français sur leurs droits de propriété et sur la répartition de l'argent entre les groupes professionnels du cinéma. Ces points de vue varient en fonction des positions des cinéastes dans la division du travail cinématographique, dans le champ du cinéma et dans des hiérarchies économiques, objectivées à l'aide de données statistiques.Ce travail s'adresse ainsi aux personnes intéressées par l'histoire du droit d'auteur, du copyright, du cinéma, de ses auteurs et de leurs modes de production ; aux personnes réfléchissant à la division, la hiérarchisation et l'appropriation du travail artistique ou non-artistique ; aux personnes intéressées par les approches transnationales.

Why are motion pictures often attributed to authors – or "filmmakers" – while dozens of names and occupations appear in film credits? Following Foucault's definition of authorship as a form of appropriation, this dissertation focuses on copyright law and authorship battles in order to explain the origins and existence of film authors. Rather than considering authors as the individuals who "make" movies or as a fiction overshadowing the collective nature of filmmaking, I show that the attribution of films to authors is the result of the division of filmmaking labor and its power relations. This research uses a sociohistorical perspective and a transnational approach centered on the United States and France, where film authors are not granted the same authorship rights. It sheds light on the national, international and transnational dimensions of the appropriation of motion pictures. This study starts when film authors first appeared in copyright law: as early as the 1900s.The first part of this dissertation focuses on the writing of motion pictures' property rights from the birth of cinema to the passing of the French copyright law of 1957 and of the Copyright Act of 1976. After decades of battles, these laws provided different definitions of film authors and granted them with different property rights. Using legal publications, congressional records and reports, as well as film journals, I study French and American laws as the results of a codification process shaped by preexisting law and by the cooperation and power relations between lawyers, public officials, politicians and film organizations. A study of the revisions of the Berne Convention for the protection of literary and artistic works also show the interdependency between national and international norms of film authorship and copyright law.The second part of the dissertation study the appropriation of motion pictures as a social relation based on the division of filmmaking labor and social labor. Film authorship battles which started in the 1910s contributed to the creation of professional hierarchies and to the differentiation of film value from other forms of economic and artistic value. I use various writings of film professionals, along with other sources, to show that film authorship was shaped by various aspects of film production, dissemination and reception (including the power relations between film professionals, the diversity of film careers and the uses of authors' names by film critics and audiences). To study the division of filmmaking labor, I use Pierre Bourdieu's research on cultural fields, Howard Becker's work on art worlds as well as scholarship on professions. The dissertation also shows that the professional hierarchies of motion picture production interrelate with various forms of domination common to other fields. For example, gender helped to establish and legitimate hierarchies between professions and occupations, to distribute film labor and to exclude women from dominant professions. Film production also generated huge economic inequalities which nurtured authorship battles and rose the prestige of authors. Lastly, I show that film authorship was influenced by transnational circulations of movies, workers and ideas, by the asymmetries of the international film market and by film nationalism. To study the international division of filmmaking labor, I use world-systems theory, research on translations and quantitative data.The third part of the dissertation focuses on film directors and their copyright battles since the 1960s. Film directors took part in the negotiations of bargaining agreements, the French copyright law of 1985, the ratification of the Berne Convention by the United States and various laws sanctioning "internet piracy" (such as HADOPI law and the SOPA law). In these legal battles, film directors claimed to be authors in order to be granted with rights fostering their power, recognition and earnings. The legal claims were denounced by other filmmakers who challenged film authorship, copyright law and the interests of dominant film companies. Using the concept of field, biographical data, network analysis and multiple correspondence analysis, I explain that the alliances and oppositions of filmmakers in copyright battles were shaped by their professional careers. I study the political representation of film directors by members and leaders of their professional organizations. I conducted dozens of interviews to understand the points of views of French filmmakers on their property rights and on economic inequalities between film professionals. I show that their points of view vary according to their incomes and positions in the filmmaking field.This dissertation is meant to be useful for scholars interested in the history of copyright law, motion pictures, authorship, the division of (artistic) labor, professions and transnational approaches. ; Pourquoi les films de cinéma sont-ils souvent attribués à des auteurs alors même que leurs génériques énumèrent des dizaines de noms propres et de noms de métiers ? A la suite de Michel Foucault et de sa définition de la « fonction-auteur » comme forme d'appropriation des discours, cette thèse étudie la genèse et l'existence des auteurs de films au prisme des luttes de définition de leurs droits de propriété. Plutôt que de considérer les auteurs de cinéma comme ceux qui « font » les films ou comme une fiction occultant le caractère collectif de leur fabrication, elle montre que les auteurs sont les produits d'une division du travail cinématographique et des rapports de domination qui la traversent. Ce travail, inscrit dans une perspective de sociologie historique, adopte un référentiel binational centré sur la France et les Etats-Unis, où les auteurs de films ne disposent pas des mêmes droits. Il vise à objectiver les dimensions nationales, internationales et transnationales de l'appropriation des films. La période étudiée débute au moment où des personnes et des groupes ont été définis juridiquement comme des auteurs de cinéma : dès les années 1900.La première partie de ce texte est consacrée à la définition du droit de propriété des films depuis l'émergence du cinéma jusqu'à l'adoption de la loi du 11 mars 1957 et du Copyright Act de 1976. Après des décennies de débats, ces lois ont défini différemment l'identité et les droits des auteurs de films. A partir de publications juridiques, cinématographiques et parlementaires, on étudie ces lois comme les résultats d'un travail de codification structuré par des normes préexistantes et par les relations entre les acteurs qui ont participé à leur rédaction. Le développement du droit de propriété cinématographique est à la fois la cause et la conséquence de la constitution d'un espace de négociation regroupant des professionnels du droit, des hauts fonctionnaires, des professionnels de la politique et des organisations professionnelles du cinéma, dont certaines se sont constituées dans le but de défendre le statut d'auteur de leurs membres. La thèse montre ce que les normes du droit de propriété cinématographique français et américain doivent aux savoir-faire et concurrences entre des experts du droit de propriété intellectuelle, ainsi qu'aux relations entre des organisations professionnelles inégalement dotées en ressources économiques, juridiques et politiques. En examinant les révisions de la Convention de Berne, on analyse les interdépendances entre les processus de définition des normes nationales et internationales de la propriété des films. La deuxième partie de la thèse prolonge et dépasse l'étude du droit de propriété en analysant l'appropriation des films comme une relation structurée par la division du travail cinématographique et social. Les luttes de définition de l'auteur de film qui ont débuté dans les années 1910 ont contribué à la hiérarchisation du personnel cinématographique et à la différenciation de la valeur cinématographique par rapport à d'autres formes de valeur économique et artistique. Des témoignages, autobiographies et publications cinématographiques permettent de montrer que l'attribution des films à des auteurs dépend de diverses relations de production, de diffusion et de valorisation des films, comme la répartition des tâches et du pouvoir entre le personnel, les incertitudes et inégalités qui structurent les trajectoires des prétendants au statut d'auteur et les vertus cognitives et distinctives de la fonction-auteur employée par les critiques et une fraction des spectateurs. On mobilise pour cela les travaux de Pierre Bourdieu sur les champs de production culturelle, d'Howard Becker sur les mondes de l'art et d'autres recherches sur les professions et artistiques et non-artistiques. En outre, la thèse constate que les hiérarchies professionnelles du cinéma se sont construites à l'intersection de rapports de domination communs à différents domaines d'activité. Par exemple, le genre a servi à hiérarchiser les groupes professionnels, à répartir le travail cinématographique et à exclure les femmes de certains métiers du cinéma. Le cinéma a produit d'immenses inégalités de richesse qui ont attisées les luttes de définition de l'auteur et accru le prestige de certains métiers. La thèse explique également ce que les hiérarchies professionnelles du cinéma doivent à des échanges transnationaux, des concurrences internationales et aux nationalismes et universalismes cinématographiques. A cette fin, elle objective les asymétries de la division internationale du travail cinématographique, à l'aide des concepts de centre et de périphérie employés par la théorie des systèmes-monde, de travaux sur les échanges internationaux de biens culturels et de données sur les palmarès de festivals internationaux et la production et les échanges de films.La troisième partie est centrée sur les cinéastes et leur mobilisation autour du droit de propriété des films depuis les années 1960. En négociant des conventions collectives, la loi du 3 juillet 1985 sur le droit d'auteur, l'adhésion des Etats-Unis à la Convention de Berne et des lois réprimant les pratiques dites de téléchargement illégal (comme les lois HADOPI et SOPA), des réalisateurs, des réalisatrices et leurs organisations ont fait valoir le statut d'auteur pour obtenir ou défendre des droits censés accroître leur pouvoir, leur reconnaissance et leurs revenus. Leurs revendications ont été dénoncées par des cinéastes remettant en cause la notion d'auteur, la propriété des œuvres et/ou les intérêts d'entreprises dominantes. Les alliances et divisions des cinéastes français sont rapportées à leurs trajectoires cinématographiques grâce au concept de champ et à des données prosopographiques traitées en combinant les méthodes de l'analyse des correspondances multiples et de l'analyse de réseaux. La thèse étudie la division du travail de représentation des cinéastes entre des professionnels plus ou moins connus et reconnus, des militants et des dirigeants de sociétés d'auteurs. Sur la base d'entretiens et d'observations, on observe les points de vue des cinéastes français sur leurs droits de propriété et sur la répartition de l'argent entre les groupes professionnels du cinéma. Ces points de vue varient en fonction des positions des cinéastes dans la division du travail cinématographique, dans le champ du cinéma et dans des hiérarchies économiques, objectivées à l'aide de données statistiques.Ce travail s'adresse ainsi aux personnes intéressées par l'histoire du droit d'auteur, du copyright, du cinéma, de ses auteurs et de leurs modes de production ; aux personnes réfléchissant à la division, la hiérarchisation et l'appropriation du travail artistique ou non-artistique ; aux personnes intéressées par les approches transnationales.