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2010/2011 ; The present thesis was developed for the characterization of the risk associated to palytoxins as seafood contaminants. To this aim, an integrated approach between in vitro and in vivo studies was chosen. Palytoxin and its analogues are known seafood contaminants that can accumulate in several edible species of shellfish, fish, crustaceans and echinoderms. Generally, primary symptoms associated to the ingestion of contaminated food involve the gastro-intestinal apparatus and later develop with the involvement of the muscular tissue. For a better comprehension of the mechanism of action of this family of biotoxins, the effects of PLTX have been studied on primary culture of mouse skeletal muscle cells. The myotoxic insult triggered by PLTX was described in detail with the definition of the cytotoxicity together with the description of the morphologic alterations and functional impairment caused by the toxin. Moreover, the influence of the ionic composition of the extracellular medium on the effects of the toxin was elucidated. Primary cultures of skeletal muscle cells, that presents in vitro many of the peculiarities of the adult muscle fiber, allowed the investigation of the membrane mechanisms that regulate the intracellular calcium increase triggered by the toxin. It was possible to discriminate the difference between calcium release from intracellular stores and the calcium entrance from extracellular compartment both elicited by the toxin, and to understand the importance of the latter in relation to the toxic event. Moreover, the involvement of the main membrane channels and transporters that may be related to the entrance of calcium was investigated and the crucial role of stretch-activated channels in the mechanism of toxicity was demonstrated. Once defined the crucial molecular mechanisms of action of PLTX, experiments were also performed with two of its analogue: the 42-hydroxyl-palytoxin and the ostreocin-D. In parallel to in vitro studies, the effects of repeated oral administration of PLTX in mice were also investigated. In fact, in vitro studies are not sufficient for the complete comprehension of the real hazard associated to a food contaminant, since molecules once in contact with the body may undergo adsorption, distribution and metabolism before reaching the target tissue. Short-term (7 days) administration of the toxin revealed toxicity at all the doses tested and lethality was recorded in the treated animals already from the dose of 30 µg/kg. Histological analysis highlighted alterations in several tissues: severe inflammatory processes and even foci of necrosis were observed in lungs. Alteration of the muscular tissues was visible as fiber separation and degeneration in the heart and increased cellularity between fibers in skeletal muscle. Moreover, depletion of glycogen content of hepatocytes and moderate alterations of the spleen were also observed. Data collected in the present project revealed, for the first time, toxicity of PLTX at doses much lower than that currently used by European Food Safety Authority (EFSA) for the estimation of limit values for presence of these compounds in seafood. For this reason, these results are likely to have a considerable impact at regulatory level and to have crucial importance for the protection of the consumers. ; Il presente lavoro di tesi è stato sviluppato con lo scopo di caratterizzare il rischio associato alla presenza delle palitossine quali contaminanti dei prodotti ittici destinati ad uso alimentare. A tal fine, è stato scelto un approccio integrato tra studi in vitro e in vivo. La palitossina e i suoi analoghi sono noti contaminanti dei prodotti ittici e possono accumularsi in diverse specie edibili di molluschi, pesci, crostacei ed echinodermi. Generalmente, i primi sintomi associati all'ingestione di cibo contaminato coinvolgono l'apparato gastro-intestinale e poi si sviluppano con l'interessamento del tessuto muscolare. Per una migliore comprensione del meccanismo d'azione di questa famiglia di biotossine, gli effetti della PLTX sono stati studiati mediante colture primarie murine di cellule muscolari scheletriche. L'insulto miotossico indotto dalla PLTX è stato descritto nel dettaglio con la definizione della citotossicità assieme alla descrizione delle modifiche morfologiche e delle alterazioni funzionali causate dalla tossina. Inoltre, è stata caratterizzata l'influenza della composizione ionica dell'ambiente extracellulare negli effetti della tossina. Le colture primarie di cellule muscolari scheletriche, che presentano molte delle caratteristiche peculiari della fibra muscolare adulta, hanno permesso l'indagine dei meccanismi che regolano l'aumento intracellulare di calcio indotto dalla tossina. E' stato possibile discriminare la differenza tra il rilascio di calcio dai depositi intracellulari e l'entrata di calcio dai compartimenti extracellulari, entrambi effetti indotti dalla tossina, e comprendere l'importanza del secondo meccanismo in relazione agli eventi tossici. E' stato indagato il coinvolgimento dei canali e trasportatori di membrana in relazione all'ingresso di calcio ed è stato dimostrato il ruolo cruciale dei canali attivati da stiramento nel meccanismo di tossicità. Una volta definiti i meccanismi d'azione cruciali per la PLTX, esperimenti sono stati condotti anche con due dei suoi analoghi, la 42-idrossi-palitossina e l'ostreocina-D. Parallelamente agli studi in vitro, sono stati studiati gli effetti della somministrazione orale ripetuta della PLTX nel topo. Infatti, gli studi in vitro non sono sufficienti alla comprensione del reale pericolo associato ad un contaminate alimentare, dal momento che, le molecole, una volta a contatto con l'organismo, possono subire assorbimento, distribuzione e metabolismo prima di raggiungere il tessuto bersaglio. La somministrazione a breve termine della tossina (7 giorni) ha rivelato tossicità a tutte le dosi somministrate, e letalità è stata registrata negli animali trattati già alla dose di 30 µg/kg. Le analisi istologiche hanno evidenziato alterazioni a carico di diversi tessuti: a livello polmonare sono stati osservati severi processi infiammatori associati anche a focolai di necrosi. Le alterazioni del tessuto muscolare erano visibili come degenerazione e separazione delle fibre nel cuore e aumento degli elementi cellulari tra le fibre del muscolo scheletrico. Inoltre sono stai osservati, deplezione del contenuto di glicogeno negli epatociti e moderate alterazioni della milza. I dati raccolti nel presente elaborato hanno rivelato, per la prima volta, la tossicità della palitossina a dosi molto inferiori rispetto a quelle correntemente utilizzate della European Food Safety Authority (EFSA) per la stima di valori limite per la presenza di questi composti nei prodotti ittici destinati ad uso alimentare. Per questo motivo, i risultati avranno probabilmente un considerevole impatto a livello legislativo e un'importanza cruciale per la protezione dei consumatori. ; XXIV Ciclo ; 1984

The world is experiencing an unprecedented shift in wealth and power away from the West and towards the developing countries According to some estimates the combined gross domestic product of the BRICs (Brazil, Russia, India and China) will surpass that of the G7 nations by 2032. India's GDP alone is predicted to surpass that of the United States by 2043 and China's GDP will be almost twice that of the US by 2050. Rising powers are using this newfound wealth to expand their global influence. China has taken the lead in investment and development in Africa. Russia is consolidating its influence in the Post-Soviet space. India is flexing its muscle on the subcontinent. Brazil is pushing for regional integration in South America and promoting diplomatic initiatives to address some of the world's most difficult problems, such as the Iranian nuclear program. What is the impact of institutions and regimes during periods of major power transition in the international system? My dissertation challenges liberal theories, which argue that the institutions and regimes established by the Western powers after World War II constitute a resilient and robust "International Liberal Order" (ILO) that will shape and restrain the behavior of rising powers. I develop a test of eight observable hypotheses for how the ILO should affect the behavior of rising and then test these against the behavior of post-Soviet Russia. I find that the Russian case fails along all eight hypotheses and that Russia has adopted a range of policies that undermine the existing order and work to transform it. The ILO's institutions and regimes have not shaped and constrained Russia's behavior in the ways that the theory predicts. Nor have the larger political and economic processes that ILO theorists believe bolster the existing order, such as global economic integration, the rise of transnational non-state actors (NGOs and big business) and the spread of liberal and democratic values, made Russia more amenable to integration into the ILO. Evaluated in this way, claims about the robustness and resilience of the existing order fail, suggesting that Russia and other rising states will look to use their growing power to bring about major changes in the international order.Interestingly, it's not only Russia's behavior that does not conform to the ILO's expectations. The leading Western powers have not been willing to give Russia a seat at the table that would give it a real say over major political and economic questions. They continue to be wary of growing Russian power and suspicious of Russia's true intentions. As a result, Russia's leaders are unsatisfied with the existing order's ability to promote their country's interests. Instead of embracing the ILO, Russia has increasingly looked to preserve its freedom of action and has followed an independent foreign policy course. The Russian case challenges the ILO's universalistic argument that all emerging states will simply find common cause within the existing framework of international institutions and regimes. It shows that rising states have a mind of their own and that they are ready to utilize a wide range of tools to realize their ambitions. They see the ILO as only one among many means to pursue their interests. But in many cases concerns about relative gains and their reluctance to enter into relationships of dependence will also make them question the wisdom of working through existing institutions. Rising states will often see the pursuit of their own power and capabilities - rather than strengthening institutional relationships - as the most reliable strategy for promoting their interests. They will also look to use their newfound power to transform international institutions so that they serve their interests more effectively. Not only is there a demand for change on the part of rising powers, but they may also be able to effect change more readily than is usually acknowledged by either realist or liberal IR theories. Both realist and liberal theories assume that rising powers only have two strategies open to them: they can either accept the existing order or wage a full-out frontal assault to overthrow it (i.e., behave as Germany and Japan did in the lead up to WWI/WWII or the Soviet Union did after WWII). Proponents of the ILO argue that rising powers will accept the established order because they will find the costs and risks of pushing for change to be prohibitive. In examining Russia's behavior, I find that rising powers have a wider menu of effective strategies and tactics available to them - from simply ignoring the parts of the ILO that they do not like, to forming new relationships and institutions that achieve specific aims. These strategies allow rising powers to resist the current order and work towards its gradual transformation without having to challenge it openly and directly. The future international order may take the form of a traditional multi-polar system where order is the product of power balancing between system's most powerful states. This does not mean that we will see a complete return to intense military completion between great powers, as some realists have claimed. Though liberal theorists tend to overstate their transformative effects, new technologies and other processes related to globalization have had a profound effect on international relations. Nuclear weapons and growing economic interdependence will moderate conflict between states and make the prospects of great power war - and even the type of hard balancing we witnessed in earlier historical periods - remote. Competition between states will be intense, though it will manifest itself primarily in the economic and ideological (soft power) realms. Nontraditional security threats will also continue to be a primary concern in the years to come. However, states will be more likely to address these threats through ad-hoc and bilateral cooperation, rather than through institutions. Change can be gradual and can come through the decay and reform of old international institutions or the creation of new ones. This last point gives us some comfort and hope for the future as we enter an era of uncertainty and unpredictability in international politics. It suggests that Western leaders need not be afraid of change. Rather than insisting that rising powers accept the existing order, it may be in the West's own long-term interests to begin looking for ways to work with rising powers to transform the international order so that it better serves the interests of all of states.

Point (Overview): Interpersonal and institutional racial biases are the principal reasons for racial disparities in accessing health care and disparities in African Americans' health status, which can only be addressed by acknowledging and putting an end to interpersonal and institutional racial bias in the health care system that adversely affects the health status African-Americans. Counterpoint (Overview): The irrational structure of health care, which is based on ability to pay, rather than need is the main cause of racial disparities in health, which will not be equalized until the structure of the health care system is fixed or when African Americans' economic inequalities are addressed. Defining the Problem: The U.S. Department of Health and Human Services ("HHS") defines health disparities as differences in health between groups of people who have systematically experienced greater obstacles to health based on their racial group; socioeconomic status; or other characteristics historically linked to discrimination or exclusion. Decades of government reports and research studies have shown that racial disparities in accessing quality health care and health status continue to exist, particularly between African-Americans and Caucasians. The largest disparity in health status was and remains to be between African-Americans and Caucasians. In 1985, the Secretary of HHS issued a landmark report, the Heckler Report, which exposed the existence of racial disparities in the U.S. health care system (Office of the Director, 1985). In 2003, the groundbreaking Institute of Medicine Study ("IOM study") Unequal Treatment: Confronting Racial and Ethnic Disparities in Healthcare acknowledged the continuation of racial disparities in health status and accessing health care and provided suggestions for the elimination of these disparities (IOM, 2003). Finally, in 2007 the National Healthcare Disparities Report ("NHDR") noted that racial disparities in health status and accessing quality health care were not getting smaller; instead the gaps had not only persisted, but also gotten worse (HHS 2008). In addition to these reports, empirical research studies have shown that racial disparities in health care have worsened. In 1985, 60,000 excess deaths occurred each year in minority populations. By 2005, an estimated 83,570 African-Americans died each year that would not die if African-American death rates were equivalent to Caucasian rates (Satcher, 2005). In fact, research studies have shown that in 1950 before the end of legalized racial segregation, the life expectancy rates of 65 year old African-Americans and Whites was the same. Since 1950, African-Americans' life expectancy has continued to decline even after the advent of Title VI of the Civil Rights Act of 1964 ("Title VI"), which granted them "equal" access to health care services. In response to this data, the government has issued several initiatives to put an end to racial disparities in access to health care and health status. In 1990, HHS issued the first national health initiative, which provides science-based ten-year national objectives for improving the health of all Americans. In the first national health initiative, called Healthy People 2000, one of the main objectives was to reduce health disparities among all Americans. In 1998, President Bill Clinton announced the Initiative to Eliminate Racial and Ethnic Disparities in Health Care that was supposed to eliminate racial and ethnic health disparities in six key areas of health status, including infant mortality, by the year 2010. In 2000, the Healthy People 2010 initiative was issued with an objective of eliminating racial disparities in health care. In 2010, the Healthy People 2020 initiative expanded the goal of eliminating racial disparities in health care to include achieving health equity and improving the health of all groups. In spite of all the research, government reports and initiatives, health care disparities persist and in some cases have worsened. A recent report estimated that 30.6%, or $230 billion, of direct medical expenditures between 2003 and 2006 were excess costs due to racial disparities in health status and access to health (LaViest, 2009). Scholars and researchers have asserted a panoply of causes for the continuation of racial disparities in access to quality health care and health care status, including, cultural differences, insurance status, socioeconomic status, and education levels. Yet, innumerable research studies show that even when all these factors are controlled racial disparities in health care persist, leaving race as the only plausible explanation for the continuation of disparities. But what does race have to do with it? Some argue that race means that there are biological differences that explain these disparities in health outcomes; however, biologically race differences accounts for at most .03% of genetic variation (Mak, 2006). Thus, if race plays a role in racial disparities, genetic research suggests that it is due to the social construction of race not biological differences. As Professors David Williams and Pamela Jackson noted, "race is a marker for differential exposure to multiple disease-producing social factors. Thus, racial [disparities] in health should be understood not only in terms of individual characteristics but also in light of patterned racial inequalities in exposure to societal risks and resources." (Williams and Jackson, 2005). Unfortunately, the significance of societal risks, such as racial bias in causing racial disparities in health care is often ignored. However, some credible and robust research studies have suggested that racial bias is the chief factor in the continuation of racial disparities in health care. There are three levels of racial bias: interpersonal, institutional, and structural. Interpersonal bias is the conscious (explicit) and/or unconscious (implicit) use of prejudice in interactions between individuals. Interpersonal bias is best illustrated by physician's treatment decisions based on racial prejudice and it's effect on African-Americans' health status. Institutional bias operates through organizational structures within an institution that "establishes separate and independent barriers" to health care services, which is best demonstrated by hospital closures in African-American communities. Finally, operating at a societal level, structural bias is the organizational structure of society, which privileges some groups, while denying others access to health care. An example of structural bias is the rationing of health care based on ability to pay rather than need. Seemingly similar, there is a significant difference between institutional and interpersonal bias versus structural bias. Both interpersonal and institutional biases focus on the direct racial effects of individual or institutional actions, whereas structural bias measures how non-race based factors, such as economic inequalities, indirectly affect racial minorities (Grant-Thomas and Powell, 2006).

Infrastructures and utility services are fundamental to economic and human development. Therefore, investment in these areas is critical to economic growth, quality of life, poverty reduction, access to education and health care and achieving many of the objectives of a robust economy. Yet, whereas the public sector provides the vast majority of financing for infrastructure services, investments have not matched demand, public funds or borrowings are insufficient and governments are seeking methods to improve the efficient procurement of infrastructure services. Private sector participation in public projects is increasingly becoming a reliable source of investment and, as far as public policies are concerned, an unavoidable feature of our contemporary society even in "core public policies" (for example, greater responsibility for financial planning and welfare provision is being increasingly shifted by the states to the private sector and individuals). In the area of infrastructures and utility services, Public-Private Partnerships (PPP), despite some of their challenging features, are one of the tools in a policy maker's arsenal which help to increase investment in infrastructure services and improve its efficiency. One of the main advantages of PPP is that, unlike privatization, the government retains strategic control over the project and the ownership of its assets. PPP offers multiple options or structures. As shown in this study, Build, Operate and Transfer (BOT) Projects are one of the numerous options offered by PPP. In a BOT project, a private entity is given the right to design, finance, build and operate for a defined period ("concession period") a facility that would normally be built by the government. The operation of the project generates revenues and the private entity uses these revenues to service debt and provide the investors with a return. At the end of the defined period, the private entity turns over the facility to the government. In practice, a number of parties - each with sometimes different interests, levels of sophistication and available resources - will be involved in a BOT project: the grantor/host government, the sponsors (generally throughout the project company), the lenders and the contractors (construction contractor, operator, offtake purchaser, input supplier) and the BOT approach can be used for different and various projects (power generation, water treatment, airports, roads, tunnels, bridges…) and, hence, has many variants such as BOO (Build, Own and Operate), BOOT (Build, Own, Operate and Transfer), BTO (Build, Transfer and Operate) etc. The BOT approach is not, however, a panacea for the host government and may involve some disadvantages. In effect, BOT projects are highly complex (from both financial and legal points of view), commercially driven projects, requiring extensive documentation and negotiation and a suitable political, legal, regulatory and economic environment. Nevertheless, it has many potential advantages and still is a viable alternative in most countries to the more traditional approach to public projects. For policy makers, practitioners, investors and, above all, the targeted populations to fully benefit from these advantages, the BOT concept must however be clarified and lifted from the fuzziness in which it has been plunged by commentators. There has actually been a dual view of the BOT concept: On one hand, some commentators consider the BOT concept as a simple public procurement modality, comparable to the concession model, and hence to be subjected to classical public law concepts, practices and requirements such as the public services, public ownership and standards and rules of public budget and accountancy. On the other hand, some other commentators view the BOT concept as a modality of project financing which should therefore be subjected to the requirements of profitability and risks sharing. However, if this dual view presents the BOT concept under two specialized lenses and tends to protect certain interests - i.e. public interests and private interests - it is in fact non satisfactory conceptually as well as practically. In fact, this dual view describes a unique reality which an economic cooperation characterized by harmony and conflict, change and equilibrium. The ambition and objective of this study is therefore to give a full understanding of the BOT concept and to shed light on its originality and its unity. The BOT concept is therefore considered as an economic cooperation device, demonstration made in this study principally under the light of law and economics approach. In effect, structuring a BOT project requires the use of (free) market tools (especially economic and financial tools), which render the law and economic approach perfectly suitable to analyze the BOT concept and reveal its rationality and coherence. Hence, the use of the (strategic) game theory to underline the mutual gains resulting from the cooperation between partners involved in a BOT project; the use of the incomplete contract theory to explain the special care needed to design the BOT contract and its possible adjustments; the use of the theory of the firm and financial contracting to explain the functions of coordination and integration of the project company; or also the use of the public choice theory to analyze the notion of general interest which has led to the conclusion that BOT projects are a combination of public and private interests in order to achieve optimality and mutual gains. More generally however, this study has adopted a pragmatic view, using various and different methods, because analyzing the relationships between State and market requires taking into account a great range of fields, considerations and expertise. This pragmatic approach suggested the study be carried out as a genealogic enterprise, such a process allowing a criticizing stance and a formulation of a new and global theoretical frame presenting the relics and the transformations of the current (dual) views of the BOT concept from which its originality and its unity derive. This study has therefore shown that the contractual, structural, economic and financial interdependence of the BOT project makes it an undeniable economic cooperation device. The BOT concept therefore acquires a conceptual unity which reinforces its functional and practical nature and adds a guarantee of legal security to its use. Besides, it has also been demonstrated that BOT is a signaling and an accountability tool for the partners involved in those operations. Ultimately, as regard to public projects, the BOT concept introduces a bit of rationality in equity and humanity to efficiency.

During the past several decades, agricultural intensification has been crucial to increase the food supply. Several processes related to intensification are very detrimental to the environment, particularly biodiversity. Today, agriculture is facing the challenge of satisfying its demand for food while improving its environmental sustainability. Knowledge of the shape of the relationship between biodiversity and intensity is necessary to determine both where conservation policies will be most effective and how to allocate intensity to reconcile production and biodiversity. Few empirical studies on this relationship exist, and the influence of the spatial arrangement of intensity on biodiversity remains untested. This Ph.D. thesis determined how to target both agricultural intensity and its spatial allocation for meeting production and conservation objectives of farmlands. To answer this research question, we used a country-scaled approach that combined two France-scaled databases that describe agriculture and farmland birds. We characterized a nationwide gradient of agricultural intensity and studied a farmland bird community along this gradient, using several trait-based descriptors (specialization, trophic level, and species main habitat). Agricultural intensity and bird communities were described at the Small Agricultural Region (SAR; mean width = 22.4 km) level. As a first step, we developed a novel method to estimate an intensity indicator that was based on Input Costs/ha, with SAR resolution. This indicator provides a continuous intensity measure that is relevant across different types of agricultural systems. Secondly, we investigated the effects of a gradient of land uses (grassland to arable land) and its heterogeneity on the bird community. We found habitat specialists suffered from habitat loss, while generalists benefited from heterogeneity. Thirdly, we showed that the community responded significantly to intensity, with winner species replacing loser species along the gradient. The shift between losers and winners was sharper at low intensities. Interestingly, spatial aggregation of intensity had a strengthening effect on the bird community. Finally, the relationships linking intensity to the bird community, food production, and economic performance were integrated into a model aimed at optimizing intensity allocation. Optimal allocations reached win-no-lose solutions with the three criteria. They corresponded to targeted intensity modifications: many small changed, favoring homogeneous, extensive clusters, were optimal within an extensification scenario; while a few large changes, favoring heterogeneity, were optimal within an intensification scenario. We provide one of the first studies demonstrating that spatial aggregation of intensity can influence the biodiversity/intensity relationship. Our results also provide an opportunity to improve the effectiveness of conservation policies, at national scales, with spatial targeting: opposite targeting should be performed either to maximize biodiversity benefits or to increase production, while mitigating biodiversity impacts. Our results highlight the importance of mixed allocation strategies between land sparing/sharing extremes. In order to put these opportunities into effect, further research should address the technical solutions that achieve intensity modification at the farm level and design targeted policies that benefit biodiversity and other environmental criteria ; L'intensification de l'agriculture a joué un rôle crucial pour augmenter la production alimentaire au cours des dernières décennies. Plusieurs processus liés à l'intensification ont aussi causé d'importants dommages environnementaux, sur la biodiversité en particulier. L'agriculture doit aujourd'hui faire face au défi de satisfaire à une demande alimentaire croissante tout en améliorant son impact environnemental et sa durabilité. Il est nécessaire de connaître la forme de la relation entre biodiversité et intensité agricole pour déterminer où les politiques de conservation seront les plus efficaces et quelles allocations spatiales de l'intensité permettront de concilier production et biodiversité. Il existe peu de preuves empiriques de la forme de cette relation, de plus, l'influence de l'arrangement spatial de l'intensité sur la biodiversité demeure inconnue. Cette thèse avait pour objectif de déterminer comment cibler l'intensité agricole et son allocation spatiale afin d'atteindre des objectifs à la fois productifs et environnementaux. Afin de répondre à cette question, nous avons adopté une approche à l'échelle de la France entière, en couplant des bases de données décrivant l'agriculture et des oiseaux spécialistes des milieux agricoles à cette échelle. Nous avons caractérisé un gradient d'intensité à l'échelle du pays et étudié une communauté d'oiseaux spécialistes des milieux agricoles tout au long de ce gradient. Plusieurs descripteurs de cette communauté ont été utilisés, renseignant sa taille (richesse spécifique) mais aussi sa composition (spécialisation, niveau trophique, habitat). L'intensité agricole et les communautés d'oiseaux ont été reliées au niveau de la Petite Région Agricole (PRA; largeur moyenne = 22.4 km). Tout d'abord, nous avons développé une méthode permettant d'estimer un indicateur d'intensité agricole basé sur le coût intrant par hectare, au niveau de la PRA. Cet indicateur fournit une valeur d'intensité continue, pertinente à la fois pour les systèmes d'élevage et de culture. Ensuite, nous avons examiné les effets d'un gradient d'utilisation des sols (des prairies aux grandes cultures) et de leur hétérogénéité, sur la communauté d'oiseaux. L'hétérogénéité a un effet négatif sur les espèces spécialistes car elle entraine la perte de leur habitat. En revanche, elle avantage les espèces généralistes. Lors d'une troisième étape, nous avons montré que la communauté d'oiseaux était significativement influencée par l'intensité. Le long du gradient des espèces « gagnantes » remplacent des espèces « perdantes », ce changement étant plus marqué aux faibles intensités. L'effet de l'intensité sur la communauté d'oiseaux est renforcé par son agrégation spatiale. Enfin, les relations entre l'intensité, la communauté d'oiseaux, et les performances productives et économiques ont été intégrées dans un modèle d'optimisation de l'allocation de l'intensité. Les allocations optimales révèlent des solutions gagnant-non-perdant entre les trois critères de performance (biodiversité, production et économie). Ces allocations optimales correspondent à des modifications d'intensité ciblées: beaucoup de petits changements, favorisant des zones homogènes et extensives dans le cas d'un scénario d'extensification, à l'opposé de changements importants et moins nombreux, favorisant plus d'hétérogénéité, dans le cas d'un scénario d'intensification. Cette thèse apporte une des premières démonstrations de l'influence de l'agrégation spatiale de l'intensité sur la relation entre biodiversité et intensité. Nos résultats révèlent une opportunité pour améliorer l'efficacité des politiques de conservation de la biodiversité à l'échelle nationale. Il s'agit d'un ciblage de ces politiques, qui devra être différent pour maximiser la biodiversité à coût productif réduit ou pour augmenter la production tout en limitant les dommages sur la biodiversité

Flüsse besitzen eine wichtige ökologische, sozioökonomische und politische Bedeutung für den Menschen, z.B. zur Trinkwasser- und Stromgewinnung, als Transportweg und zur Bewässerung. Zudem können lokale Süßwassereinträge die regionale Ozeanzirkulation beeinflussen. Demnach besteht ein Bedarf zur Erfassung der räumlichen und zeitlichen Variationen der weltweiten Flussvolumentransporte. Das bisherige Verständnis der Abflussdynamik basiert auf Daten von In-situ-Messstellen, die global sehr ungleich verteilt sind, deren Anzahl abnimmt und deren Datenqualität und -verfügbarkeit für viele Anwendungen oft nicht ausreicht. Die Verfügbarkeit von satellitengestützten Verfahren zur Messung verschiedener Flussparameter bietet die Möglichkeit zur deutlichen Verbesserung dieser Bedingungen. Die bisherige Erfassung von satellitengestützten Abflüssen erfolgt im Wesentlichen auf punktuellen Wasserstand- und Neigungsmessungen an Flussquerschnitten durch, für Ozeananwendungen konzipierte, Radaraltimeter. Dem Mangel wird durch die zukünftige Surface Water and Ocean Topography (SWOT) Satellitenmission, die eine flächenhafte Erfassung von Wasserständen erlaubt, Rechnung getragen. Eine andere, vielversprechende Methodik stellt die Along-Track SAR Interferometrie (ATI) dar, die die simultane Messung der Strömungsgeschwindigkeit und der Flussbreite erlaubt. Seit 2007 können durch den Satelliten TerraSAR-X (im experimentellen Operationsmodus) erstmals vom Weltraum aus Fließgeschwindigkeiten in Flüssen und Flussmündungen gemessen werden. In dieser Studie werden beide Messmethoden (ATI, Altimetrie) gegenübergestellt und kombiniert, um das Potential zur Bestimmung von satellitengestützten Flussvolumentransporten zu untersuchen. Um die komplexen Zusammenhänge zwischen den satellitenbasierten Messgrößen und den daraus abgeleiteten Volumentransporten möglichst genau zu untersuchen, wird ein numerisches, hoch aufgelöstes Modell der Tideelbe benutzt, das sowohl zur Simulation von Satellitenbeobachtungen als auch als Referenz benutzt wird. Viele Flüssen unterliegen einem Gezeiteneinfluss. Die Tidesignale in den Messzeitreihen werden durch das Annähern von Fourierreihen der Frequenzen der Hauptgezeiten M2 und K1 reduziert. Die Effektivität des Mittelwertschätzers hängt im Wesentlichen von der Anzahl der Messungen und nicht von der Abtastperiode des Satelliten ab. Unter Annahme der Parallelität der Fluss- und der wirklichen Fließrichtung kann ein zweidimensionales Geschwindigkeitsfeld aus den gemessenen ATI-Geschwindigkeiten (parallel zur Radarblickrichtung) abgeleitet werden. Die Berechnung der Abflüsse geschieht durch die Verwendung von empirischen Abflussmodellen. Nur aus der durch das ATI messbaren Geschwindigkeit und Flussbreite lassen sich realistische instantane Volumentransporte erfassen, auch in einem stark tidebehafteten Fluss. Reale TerraSAR-X ATI-Abflussberechnungen für die Tideelbe und die Lena bekräftigen die Simulationsergebnisse. Auch Nettotransporte können mittels ATI bestimmt werden. Durchgeführte TerraSAR-X ATI-Überflugsimulationen über der Elbe zeigen, dass nach 20 Überflügen realistische Nettotransporte mit einer Ungenauigkeit in der Größenordnung von 70% ermittelt werden. Für eine einjährige Mittelungsperiode (ca. 100 Messungen) erhöht sich die Genauigkeit auf 20-30%, was im Bereich traditioneller, kontaktloser, bodengestützter Abflussmessverfahren liegt. Aus ATI-Geschwindigkeitsmessungen können unter Verwendung von empirischen Abflussmodellen auch Aussagen zur Wassertiefe in einem Fluss getroffen werden. Die SWOT-Mission eignet sich kaum zur Abschätzung von Flussvolumentransporten in Flussmündungen. Simulationen der Überflüge der SWOT-Mission zeigen, dass sich im Gegensatz zu den ATI-Messungen aus den berechneten Neigungen keine realistischen Flussvolumentransporte ermitteln lassen. Der Grund hierfür sind ungültige Annahmen der empirischen Abflussmodelle in den Flussmündungen. Auch eine Kombination beider Technologien (zusätzliche Messgröße) verbessert die Abflussbestimmung gegenüber den alleinigen ATI-Messungen nicht. Mit einer Satellitenmission rein für ATI-Messungen können für verschiedene Flusseinzugsgebiete auf der Erde Süßwassereinträge in den Ozean bestimmt werden. Diese repräsentieren ca. 89% der gesamten jährlichen Flussausströme. Mit den derzeitigen Voraussetzungen ist die ATI-Technologie auf die großen Flüsse und Flussmündungen beschränkt. Sie ist besonders für schlecht überwachte Regionen und Regionen, für die keine flussspezifischen Kenntnisse vorliegen, geeignet. Altimeterbasierte Abflussbestimmungen sind meist nur außerhalb von Flussmündungen möglich. Die Fehler satellitengestützter Abflussberechnungen resultieren im Wesentlichen aus den angewendeten Abflussmodellen, weniger aus den fernerkundlich erfassten Messgrößen. ; Rivers have much ecological, socioeconomical, and political relevance to human society, e.g. for drinking water supply, electric power generation, ship traffic, and irrigation. River discharge is also an important link between terrestrial hydrology and the freshwater balance in the oceans. There is a strong need for accurate knowledge about temporal and spatial variations of the global river runoff. Our present knowledge about the dynamic of global river discharge is mainly based on an ever-declining global in-situ gauge measurement network. The global river discharge dynamics are monitored inadequately because the gauge network is sparse in many regions, the access to the streamflow data is difficult or impossible, or the data quality is not always satisfactory. Advances in satellite-based measurement techniques to detect various river parameters can improve this situation. Up to now, satellite-based river discharge determinations are mainly based on point-based water-level and slope measurements of radar altimeters that are designed for ocean applications. To overcome this lack, the concept for the planned SWOT (Surface Water and Ocean Topography) mission is based on a swath-mapping radar interferometer providing precise maps of water surface. In contrast, the promising technique of along-track interferometric SAR (along-track InSAR, ATI) allows simultaneous measurements of surface currents and river widths with a relatively high spatial resolution. Since 2007, satellite-based ATI current measurements in rivers (in experimental mode of operation) are possible from the satellite TerraSAR-X. The main goal of this study is to evaluate the potential of spaceborne ATI velocity data and future wide-swath altimetry height measurements for river runoff retrievals. Given the lack of appropriate in-situ data, the feasibility study is based on simulations of a high-resolution numerical flow model of the Elbe estuary, which is being sampled in a satellite-simulated way and which acts as ground truth as well. Possible tidal influence of many rivers can be removed from the measured signal by fitting the main tidal M2 and K1 oscillations. The effectiveness of the reduction of the tidal signal primarily depends on the number of measurements used rather than the sampling period of the satellite. The ATI imaging geometry provides only the line-of-sight velocity component. Using the assumption that the river direction is close to the flow direction, the full flow field is resolved. Empirical flow models are used for calculating discharges. It is shown that, by only measuring surface velocity and river width with an ATI system, realistic instantaneous discharge estimates for an estuary can be obtained. These results are proved using real TerraSAR-X ATI data of the Elbe river estuary and the Lena river. Also, net volume transports can be obtained. Realistic TerraSAR-X ATI sampling simulations for the Elbe river test area show that at least 20 samples are necessary to reach an accuracy in the range of 70% of the estimated net discharges. For an annual observation period (approx. 100 samples), discharges can be estimated in the range of 20-30%, which is comparable to the accuracy range of traditional non-contact, ground-based measurements. Additionally, using ATI velocity measurements, estimates of water depth can be made. Estimation of river volume transports in river mouths by the SWOT mission is almost impossible. Sampling simulations of the SWOT mission show, that in contrast to ATI measurements, no realistic discharge estimates can be obtained using calculated slope measurements, because assumptions of the empirical discharge models do not hold in a river mouth. Also a combination of both measurement technologies (providing an additional river parameter) does not show improvements of discharge estimates, in contrast to solely ATI-based discharge estimates. Spaceborne ATI measurements are suitable for global monitoring of freshwater inputs into the ocean. Discharges of observable river basins (at river mouth) account for about 89% of the total global mean annual freshwater input. Satellite-based ATI observations are especially promising for river mouths and in regions where ground-based data are missing and no site-specific information is available. For the proposed SWOT mission, river discharge measurements are quite problematic in river mouths. Errors arise mainly from the empirical discharge models, not from the remotely sensed parameters.

A strong increase of onshore and offshore wind power capacities is an official political target in Germany and other countries. The wind energy shares therefore rise in many power systems. Wind power generation has other characteristics than the power generation by conventional power plants. The wind is a natural resource that is fluctuating. The meteorological dependency leads to a limited predictability of the available power. A third aspect is the concentration of wind farms at locations with high wind yields as in the North of Germany. From a methodological point of view, the thesis focuses on the analysis of the three aspects with regard to the power system operation and the development of related modelling approaches. This especially refers to the application of a stochastic optimization model for the system analysis and to the simulation of wind power generation and wind power forecasts. The application orientated focus is on a scenario analysis of the German power system in 2020. The analysis aims at the identification of promising system adaptations that lead to an improved wind power integration and a more efficient power system operation. Before the model presentation, the importance of the three aspects above is discussed giving the basics for the latter modelling. It is shown that the residual load fluctuations are increased by the wind power generation, especially if they are related to the residual load levels. The flexibility of thermal power plants is also regarded here. An analysis of operational uncertainties shows the importance of wind power forecast errors in relation to load forecast errors. The DC load flow model and characteristics of the transmission grid are explained. A stochastic market model is presented that allows an integrative analysis of the wind power integration. One characteristic of the optimization model is the application of a rolling planning so that forecast errors can be specifically considered. A main modification of the model compared to earlier model versions is given by the representation of grid constraints. A grid reduction approach is developed that reduces the transmission grid to a simplified structure that is applied in the market model. The grid reduction approach is based on a comparison of DC load flow solutions in the reduced and unreduced grid. Additionally, an approach for the calculation of tertiary reserves is given. The approach considers the wind forecast quality and combines probabilistic elements with an optimization. The simulation of wind power generation and forecasts combines different analyses and methods. General quantitative relations between the variability of wind power generation and the geographical region size are derived. The equations are applied in the simulation of wind power generation that is based on adapted wind power curves. The adapted power curves consider regional smoothing effects in the transformation of wind speed to wind power. The simulation results reflect the high variability of the concentrated offshore wind power. For the simulation of the wind power forecasts, a scenario generation method based on moment matching is presented that allows simulating non Gaussian distributed forecast errors and their correlations. The results of a statistical analysis of measured forecast errors are used in the simulation. An empirical relation between error correlation and geographical distance is for example given. The German forecast quality that is simulated for 2020 assuming an improvement of forecasting by 20% is, related to the installed capacity, similar to the one of today due to the high spatial concentration of the offshore capacities. For the scenario analysis of the power system in 2020, the power plant portfolios of twelve German regions and other parameters are derived based on different sources. This includes reserve requirement values and reduced grid parameters that are calculated by the methods mentioned above. The results show that, in the regarded scenario, 3% of the yearly wind energy cannot be integrated into the system. They are curtailed nearly exclusively due to transmission constraints. The network congestions also lead to high differences between the regional electricity prices. The yearly costs of wind forecast errors amount to circa 180 million Euros or 1% of the operational system costs. The model results thereby indicate a large cost saving potential by risk management methods. Based on scenario modifications, integration measures related to CAES capacities, demand side management and more flexible power plants as well as infrastructural changes by grid expansions and an adapted geographical allocation of power plants are analysed. The importance of a stochastic modelling approach for the evaluation of flexibility related scenarios is shown. The comparison of the integration measures identifies infrastructural changes as most efficient system improvements whereas the benefits of CAES capacities are small. Assuming a grid without any transmission constraints, the yearly system costs are reduced by one billion Euros. A limited grid upgrade leads to 10% of this cost reduction. Similar cost savings are achieved by adapting the geographical locations of the power plants. Adjusting the generation to the grid is therefore a promising alternative to grid expansions especially considering the long processes that are involved with new transmission lines. A market design with regional electricity prices would give related incentives. ; Ein starker Ausbau der Windenergie, onshore und offshore, ist ein erklärtes politisches Ziel in Deutschland und anderen Ländern. Der Windenergieanteil nimmt folglich in immer mehr Stromsystemen zu. Die Stromerzeugung durch Windenergie weist andere Eigenschaften auf als sie beim Betrieb konventioneller Kraftwerke gegeben sind. Die Erzeugung beruht auf der natürlichen Ressource Wind und ist daher fluktuierend. Die meteorologische Abhängigkeit führt auch zu einer begrenzten Prognostizierbarkeit des verfügbaren Stromes. Ein dritter Aspekt ist die Konzentration der Windenergieanlagen an windreichen Standorten wie im Norden Deutschlands. Die Arbeit verfolgt zunächst das methodische Ziel, diese drei Aspekte bei der Analyse des Strombetriebs greifbar zu machen und geeignete Ansätze für die Strommarktmodellierung zu entwickeln. Dies betrifft insbesondere die Simulation der Windstromerzeugung und Windstromprognosen und die Anwendung eines stochastischen Optimierungsmodells zur Systemanalyse. Außerdem wird das anwendungsorientierte Ziel verfolgt, verschiedene Szenarien des deutschen Stromsystems für das Jahr 2020 zu untersuchen. Vielversprechende Systemanpassungen für eine verbesserte Integration der Windenergie und einen effizienteren Strombetrieb sind dabei zu identifizieren. Vor der Methodenentwicklung und Anwendung des Strommarktmodells wird zunächst die Bedeutung der drei obengenannten Aspekte erörtert und die Grundlage für dianpassungen hinsichtlich des Einsatzes von CAES Speicherkraftwerken, Demand Side Mangagement und flexiblerer Kraftwerke sowie Änderungen der Infrastruktur durch Netzausbauten und einer angepassten geographischen Allokation von Kraftwerken untersucht. Die Ergebnisse belegen die Vorteile eines stochastischen Marktmodellierungsansatzes für die Evaluierung flexibilitätsbezogener Integrationsmaßnahmen. Der Vergleich der Integrationsmaßnahmen identifiziert infrastrukturelle Maßnahmen als wirksamste Systemverbesserung, während der Nutzen zusätzlicher CAES Speicherkapazitäten gering ist. Unter der Annahme eines Netzes ohne Übertragungsengpässe reduzieren sich die jährlichen Systembetriebskosten um eine Milliarde Euro. In einem moderateren Netzausbauszenario lassen sich nur 10% dieser Einsparung realisieren. Eine Kostenreduktion in ähnlicher Höhe wird durch eine angepasste Standortwahl neuer Kraftwerke erreicht. Eine Anpassung der Stromerzeugung an die Netzsituation ist demnach eine vielversprechende Alternative zu Netzausbauten, die vor allem auch wegen der langwierigen Prozesse beim Bau neuer Netzleitungen interessant ist. Ein regionales Preismodell würde dafür Anreize schaffen.

[por] A presente tese, constituída por estudo de caso, se inscreve no contexto da questão ambiental que, na atualidade, problematiza a degradação das condições de vida no planeta e as evidências segundo as quais o modelo de crescimento econômico, cuja tendência tem provocado crescente esgotamento e destruição dos recursos naturais e energéticos não-renováveis, é responsável pela perda da biodiversidade e a contaminação dos ecossistemas terrestres. Ao mesmo tempo, favorece uma crise social acentuando as discriminações, as desigualdades socioeconômicas e os processos de exclusão. Estamos vivendo uma crise socioambiental a ser abordada pela reflexão científica e pela revisão dos valores e modelos que inspiram a gestão dos recursos naturais. Os problemas ambientais têm ocupado parte significativa da agenda dos políticos, dos economistas, dos juristas, dos meios de comunicação. Ademais, estão tendo adesão da opinião pública. A cada dia os movimentos ambientalistas se fortalecem e impõem medidas de proteção e de mudanças nos comportamentos em relação aos problemas ambientais, destacando os desafios atuais para alcançarmos um equilíbrio ecológico e uma equidade social. Hoje, a proteção à biodiversidade é uma preocupação. Com esse estudo procuro mostrar como diante das pressões e ameaças advindas do predomínio de formas ambientalmente predatórias de exploração dos recursos naturais, a criação de áreas naturais protegidas está sendo considerada uma estratégia de controle do território, sobretudo por definir limites para o uso e ocupação bem específicos. Mas o estabelecimento, sua existência e gestão têm tido implicações diversas, especialmente para as condições de vida das comunidades circunvizinhas. Este estudo de caso examina o processo de criação da RPPN Serra das Almas, o trabalho desenvolvido na Reserva, as características e repercussões destas atividades nas comunidades localizadas no entorno da área de proteção ambiental. Por meio de uma metodologia qualitativa, exploratória, descritiva e interpretativa, a pesquisa de campo foi direcionada para identificar a percepção da população do entorno acerca da existência da Reserva, e as mudanças decorrentes da implantação de uma área de proteção ambiental. Palavras-chave: Questão Ambiental, Biodiversidade, Bioma Caatinga, Áreas de Proteção Ambiental, Reservas Privadas e Comunidades do Entorno. ; [spa] La presente tesis, constituida por estudio de caso, se inscribe en el contexto de la cuestión ambiental que en la actualidad problematiza la degradación de las condiciones de vida en el planeta y las evidencias según las cuales el modelo de crecimiento económico, cuya tendencia ha venido provocando un creciente agotamiento y destrucción de los recursos naturales y energéticos no-renovables, es responsable de la pérdida de biodiversidad y de la contaminación de los ecosistemas terrestres. Al mismo tiempo dicho modelo económico favorece una crisis social al acentuar las discriminaciones, las desigualdades socioeconómicas y los procesos de exclusión. La sociedad vive actualmente una crisis socio-ambiental a ser abordada por la reflexión científica y por la revisión de los valores y modelos que inspiran la gestión de los recursos naturales. Los problemas ambientales han venido ocupando parte significativa de la agenda de los políticos, de los economistas, de los juristas, de los medios de comunicación y asimismo, cuentan con la adhesión de la opinión pública. A cada día los movimientos ambientalistas se fortalecen e imponen medidas de protección y de cambios en los comportamientos relacionados a los problemas ambientales, destacando los desafíos actuales que deben vencerse a fin de lograr un equilibrio ecológico y una equidad social. Hoy, la protección a la biodiversidad es una preocupación y a través del presente estudio la autora ha procurado mostrar por qué, ante las presiones y amenazas advenidas del predominio de formas ambientalmente predatorias de explotación de los recursos naturales, la creación de áreas naturales protegidas viene siendo considerada una estrategia de control del territorio, sobre todo porque define una forma de uso y ocupación con límites bien específicos. Sin embargo, el establecimiento, la existencia y la gestión de estas áreas naturales, ha tenido implicaciones diversas en las condiciones de vida de las comunidades circundantes. Este estudio de caso examina el proceso de creación de la RPPN Serra das Almas, el trabajo desarrollado en la Reserva, las características y repercusiones de estas actividades en las comunidades localizadas en el entorno del área de protección ambiental. A través de una metodología cualitativa, exploratoria, descriptiva e interpretativa, la investigación de campo ha sido orientada en el sentido de identificar la percepción de la población del entorno acerca de la existencia de la Reserva, y de los cambios derivados de la implantación de un área de protección ambiental. ; This thesis consists by case study, applies in the environmental context issues that in the present, discusses the degradation of the planet's living conditions and the evidences by which the economic growth model, has caused the growing exhaustion and destruction of natural resources and non-renewable energies, is responsible for the loss of biodiversity and the contamination of terrestrial ecosystems. At the same time, promotes a social crisis emphasizing discrimination, socioeconomic inequalities and exclusion processes. We are living a socio-environmental crisis to be broach by scientific reflection and by revision of values and models that inspire the management of natural resources. Environmental issues have occupied a significant part of the agenda of politicians, economists, lawyers and the media. Moreover, they are having the support of public opinion. Each day, the environmental movements get strengthen and imposes protection actions and also the changing of behavior regarding to environmental issues, highlighting the current challenges to reach an ecological balance and social equity. Today, the protection of biodiversity is a concern. With this study I try to show in front of all pressures and threats from the predominance of environmentally predatory exploration of natural resources, the creation of protected natural areas is considered a strategy of controlling the territory, especially to set limits for the use and a well specific occupation. But the establishment, its existence and management has had several implications, especially for the living conditions of surrounding communities. This case study examines the creating process of the RPPN Serra das Almas, the work developed at the Reserve, the characteristics and repercussions of these activities in the communities located around the area of environmental protection. Through a qualitative methodology, exploratory, descriptive and interpretive, the field research has directed to identify the perception of the surrounding population about the existence of the Reserve, and the changes resulting from an implementation of an environmental protection area.

Le système français d'assurance maladie repose sur une organisation hybride. Le service est fourni par des prestataires publics (hôpitaux) ou privés (cliniques et médecine ambulatoire). Les patients peuvent choisir librement leurs praticiens et payent le service à l'acte. Depuis 1971, les honoraires du corps médical sont définis par des conventions signées par les représentants de la profession et des caisses d'assurance maladie. Jusqu'au début des années 1970, le système a fonctionné à " guichet ouvert ", c'est-à-dire sans limitation des dépenses (Palier, 2005). Les prestations sont prises en charge par un dispositif d'assurance maladie obligatoire, complété par des organismes complémentaires. À partir du milieu des années 1970, des politiques de freinage des dépenses sont mises en oeuvre. Elles coïncident avec un changement de référentiel des politiques publiques (Palier, 2008), mais se déclinent de façon différente suivant les périodes (Théret, 2007). Dans un premier temps, les pouvoirs publics favorisent des mesures centrées sur l'offre. Durant la phase dite de stagflation, (1975-1983), un dispositif de limitation du nombre de diplômes délivrés (numerus clausus), institué en 1971, est renforcé. Il a pour objectif de réduire l'offre de soins censée participer à la croissance de la demande. La période de désinflation compétitive (1983-1993) marque une certaine continuité politique (resserrement du numerus clausus, mise en place des taux directeurs et du budget global, .). Elle est complétée par une tentative de désocialisation de la demande de soins (développement d'un secteur 2 dit à honoraires libres, .). Mais, ces mesures se révèlent vite financièrement inefficaces et socialement inégalitaires. Un premier revirement a lieu au milieu des années 1990 avec une forte affirmation béveridgienne (renforcement du poids décisionnel législatif, fiscalisation du financement, réforme de l'offre publique de soins, .). Dans le même temps, la tutelle abandonne toute tentative de réforme de l'offre privée de soins qui est trop risquée au plan politique (Barbier, Théret, 2004). Depuis le début des années 2000, la politique économique de santé prône une régulation par la demande. La théorie économique des anticipations rationnelles, en soutenant que les mesures keynésiennes sont non seulement stériles, mais également nuisibles pour l'économie, a contribué à cette évolution. Désormais, la politique économique de santé repose sur un système complexe d'incitations censées orienter le comportement des individus dans un sens davantage marchand (Batifoulier, Domin, Gadreau, 2007). Ce travail cherche à prolonger la notion de marchandisation à partir des thématiques visant à montrer le développement d'un " marché au-delà du marché ". La marchandisation doit s'entendre au sens performatif et normatif. Elle vient compléter les conceptions plus usuelles de la marchandisation de la protection sociale qui mesure le degré d'éloignement au marché du travail qu'opère la protection sociale ou qui dénoncent la désocialisation quand elle s'exprime par un mécanisme de balancier où la part de l'assurance obligatoire diminue en même temps que la part de l'assurance complémentaire augmente. Une autre forme de marchandisation de la santé se traduit par un engagement qualitatif de l'État social quand il cherche à exporter les valeurs du marché dans un secteur dit à imperfections comme celui de la protection sociale. L'importance donnée aux incitations financières constitue alors le fer de lance de cette marchandisation. Celle-ci repose sur une construction politique, tout autant que sur une philosophie morale, qui requiert des individus rationnels, dont les valeurs sont réduites à l'intérêt. Le marché a besoin d'individus qui adoptent un comportement de marché. La marchandisation doit alors s'entendre comme la construction, par les incitations, d'attitudes qui sont proches de celle de l'homo oeconomicus (Callon, 1998). Le retrait de l'assurance maladie obligatoire favorise le développement de l'assurance maladie complémentaire qui doit être envisagé comme la création d'un marché (Coriat, Weinstein, 2004). Cette thèse est étayée à partir du cas du patient et des politiques de la demande en santé. Au nom de l'activation de la responsabilité et de l'expression des préférences individuelles, les politiques de santé sont dorénavant caractérisées par un transfert de charge croissant vers le patient et son assurance complémentaire maladie. Avec les mesures de copaiement, généralisées en Europe et durcies récemment en France (loi du 13 août 2004 qui introduit un ticket modérateur d'ordre public), le patient est désormais incité à adopter un comportement vertueux. La recherche d'économies est opérée par un mécanisme de malus venant taxer une consommation jugée superflue ou inutile. Définir une dépense nécessaire ou abusive est difficile et il n'y a pas de fondation théorique solide à une telle entreprise. Cependant la ligne de démarcation pragmatique est donnée en France par la part de remboursement laissée aux assurances complémentaires. L'importance de la part complémentaire mesure implicitement la place laissée aux préférences individuelles et à la prévoyance libre. Elle révèle en creux l'espace potentiel des comportements de type free rider. Ceci explique notamment qu'elle soit plus forte en médecine de ville qu'à l'hôpital. La refondation du rôle de l'assurance maladie complémentaire cristallise ainsi l'ampleur de l'individualisation et la modulation des droits sociaux. Elle intime aussi aux individus d'adopter un comportement de marché consistant à faire des plans en fonction de prix (fictifs) reconstruits par les incitations. Elle active alors le calcul intéressé qui est l'un des rouages essentiels du fonctionnement d'un marché. Nous organiserons le propos en deux temps. Nous verrons dans une première partie que le secteur de l'assurance maladie complémentaire connaît aujourd'hui une transformation profonde, notamment en raison d'un transfert progressif des dépenses de l'assurance maladie obligatoire. Mais, cette évolution génère de nouvelles inégalités, créées par la politique de santé, qui viennent s'ajouter aux inégalités sociales existantes. Cette dérive inégalitaire ne peut pas être considérée comme l'expression d'un antagonisme naturel entre efficacité économique et justice sociale. En matière de santé, les inégalités s'accroissent et les dépenses demeurent à un niveau élevé. Les inégalités ne sont donc pas le prix à payer pour des dépenses décroissantes. L'analyse de cette crise de régulation fait l'objet de la seconde partie. Les errements de la politique de santé sont reliés à la crise du régime des idées et notamment aux limites atteintes par la conception normative du patient, fraudeur parce que rationnel. Ces limites ont conduit le législateur à amender sa politique en exonérant certains patients de la contribution au financement de leurs propres dépenses de santé. Ces aménagements notables restent prisonniers d'une conception strictement économiste du patient et n'ont pas desserré le dilemme entre efficacité et équité dans les politiques de santé.

The rational allocation of transportation resources involves both the evaluation of the effectiveness of programs designed to improve transportation systems, as well as the formulation of policies representing a balance of competing public interests in those systems. Such interests often include: curbing automobile emissions, expanding highway infrastructure, providing affordable transit services for inner-city residents, and extending commuter rail services to sprawling suburban areas. Designing policies that cost-effectively further each these objectives can attenuate the degree of inherent tradeoffs between them and expand the frontier of achievable policy goals. This dissertation presents a set of essays addressing two such aspects of transportation policy decisions: 1) an evaluation of programs aimed at increasing transportation safety and public health, and 2) an examination of the processes through which competing public interests and agendas are mobilized in the legislative arena by transportation agencies.Chapter One: Graduated driver license programs (GDL), which progressively move teens through three stages of licensing while limiting driving to lower risk conditions, have become an increasingly popular approach in the past decade to address the high rate of teen driving related fatality and injury crashes. Teens are 2 to 6 times as likely as adults, per mile driven, to die in motor vehicle accident, and teen crashes tend to involve more fatalities per crash than for any other age group. Driving at night past 9pm or with young passengers under the age of 20 are significant risk factors for teen crashes.This research uses a panel data set of teen driver involved fatal vehicle crashes among 16 to 17 year old drivers in 742 counties and 137 commuting zones straddling state borders for the years 1996 to 2009. I use a cross-state policy discontinuity design with an ordinary least squares fixed-effects regression model to identify the effects of graduated driver license laws on teen driver error related fatal crashes and associated fatality counts. Additionally, I analyze the impacts on crash characteristics most likely associated with teen driving mistakes, such as presence of young occupants and those occurring at night or involving alcohol. By taking into account local heterogeneities, the policy-discontinuity design provides more credible identification than previous studies. Importantly, the findings indicate much larger GDL effects than in the extant literature. I find that the strongest GDL programs, as rated by the Insurance Institute for Highway Safety, reduce teen driving related fatal crash rates by 25 to 34 percent and teen driving error related fatal crash rates by 34 to 45 percent. The most effective components of the GDL were early nighttime driving curfews beginning between 6pm to 10pm at night. Passenger restrictions had statistically significant effects only when controlling for the number of licensed teens on the road. For example, the zero to one passenger limit reduced quarterly county-level young teen driver involved fatal crash rates per 100,000 by -6.388 points, relative to a mean rate of 9.5 in state-periods without restrictions. These passenger limits were also highly effective at reducing nighttime crashes among teens, with a reduction in these crash rates of -5.909. Finally, the extended practice period during which newly licensed teens are only allowed to drive under adult supervision were effective in reducing fatal crashes per unit population but only were statistically significant for nighttime crashes that occur after 9pm when controlling for the number of licensed teen drivers. Chapter Two: Government transportation agencies spend considerable amounts of money attempting to influence state and federal legislation, through their own legislative staff, and the efforts of appointed officials and hired lobbyists. Almost none of the literature to date has examined how transportation agencies use their funding and political influence to shape state and federal policy. By looking at what topics agencies choose to lobby on, or not to lobby on, we can better understand how transportation agencies attempt to shape the transportation legislation, and how potential biases in their agendas are mobilized. This analysis includes four agencies in the San Francisco Bay Area Metropolitan region: the Metropolitan Transportation Commission (MTC), a regional Metropolitan Transportation Planning Organization, the Bay Area Rapid Transit District (BART), the region's commuter rail operator, Alameda-Contra Costa Transit (AC Transit), a local bus agency serving two counties in the East Bay, and the Santa Clara Valley Transit Authority (VTA), a bus and light-rail transit operator in the southern portion of the region. Collectively, these four agencies account for approximately 80 percent of the total spending on lobbying activities by San Francisco Bay Area transportation agencies.This research draws on government reports filed by the agencies, in-house agency legislative agenda records, and interviews with legislative and agency staff. Descriptive statistics and a probit analysis of lobbying data are applied to compare the substance of each agency's lobbying activities to the set of pressing transportation issues the agencies themselves have identified in their planning documents, and the set of transportation issues and needs identified by other key stakeholders including business groups, social justice advocates, and environmentalists. All of the transportation agencies lobbied heavily for finance bills that increase revenue and flexibility in fund use as well as funding redistribution. Equity related bills that address transportation for low-income populations have a significantly higher marginal probability of gaining both MTC and AC Transit support, relative to bills that do not address these issues. Overall, VTA was less likely to support highway bills but did not have biases toward any other particular bill issues. BART overwhelming supported bills promoting smart growth principles and transit oriented development, two strategies believed to increase transit ridership. Both the Santa Clara VTA and BART were strategic in the bills they chose to support, having a greater likelihood of supporting bills authored by transportation committee chairs, perhaps in an effort to both build political capital and to expend resources on bills with a greater chance of passage. MTC was more likely to take a supporting position on social equity related bills; however, the degree of effort in that support is unknown. Notably, MTC was not statistically more likely to support bills specific to expanding public transit, a mode important to low income groups, relative to other bill categories.

The thesis has been conducted upon a unique and primary database manually collected through courts and various reliable sources (governmental and non-governmental offices). This is the major strength of this thesis. With such a database, we built individual statistics on the corporate bankruptcies process in for two major European countries (France and United Kingdom). The collected data deals with the causes of financial default, the recovery rates of creditors, the process of decision making at the time of default, the efficiency of such decisions, etc. Such research project helps in distinguishing the origins of corporate financial default: are they independent from the national bankruptcy code or not? In order to test the effect of legal environment, we computed the most comprehensive legal indexes till date. Our legal indexes consist of more than 300 questions that explain the particular function of bankruptcy. We merge these indexes with the hand collected database for France and UK. This makes this thesis really unique as it is composed of original hand collected databases. To the best of our knowledge the UK database has no equivalence as for the first time we manage to include liquidations which constitute more than 85% of bankruptcies in UK. Even the scholars in UK lack such information. Such empirical work is completed by a microeconomic theoretical analysis and would yield interesting results that will be discussed in detail in the rest of the chapters of the thesis and also open avenues for future research work. Chapter 1 presents a brief introduction to the topic, explaining the research aims and research methodology. Chapter 2 presents the detailed survey of literature on bankruptcy. It starts by explaining the basic concept associated with bankruptcy, need of bankruptcy laws, the main objective of bankruptcy, the main processes associated with bankruptcy, classification of bankruptcy regimes and the law and finance approach to understand legal environment affecting bankruptcy. It explores the previous literature and findings and provides our contribution to the pre-existing literature and justifies our research goals and our approach. Chapter 3 empirically investigates the choice between informal and formal (court-supervised) restructuring of small and medium French firms in default. The procedure is depicted as a sequential game in which stakeholders first decide whether or not to engage in an informal negotiation. Then, conditional on opting for an informal workout, the creditors and the debtor can succeed or fail in reaching an agreement in order to restructure the firm's capital structure. Based on a sample of 735 credit lines allocated to 386 French distressed firms, we test different hypotheses which captures i) coordination vs. bargaining power issues, ii) informational problems, iii) firms' characteristics, and iv) loan characteristics. Using a sequential LOGIT approach, we first find that the probability for opting for an informal workout i) decreases when the bank is the debtor's main creditor and ii) increases with the size of the loan. In addition, the likelihood of success of an informal workout i) decreases when the management of a badly rated firm is considered as incompetent, and ii) decreases when the bank is the debtor's main creditor. The result concerning the bank as being the main creditor suggests that "bargaining power" argument dominates the "coordination" argument. Finally, we find no evidence of the impact of collateral on the decision between informal and formal restructuring. Chapter 4 describes the prevalent bankruptcy procedure of UK and France; in general it provides an entire macro view of the bankruptcy laws in given two countries. It presents the various formal and informal procedures, explains their functioning, how they are triggered and the underlying specificities about each process. It is very crucial to understand the working of each procedure as this forms the basis for the future chapters where we related the result of our summary statistics and econometrics to specificities of these procedure and come up with useful conclusions and insights. In chapter 5 the focus returns to the micro economic analysis. We explore the two unique hand coded databases, collected through different sources. Our database consists of 264 small and medium sized enterprises representing France and 564 small and medium sized enterprises representing UK. These countries represent two major legal systems prevailing in Europe: common law and civil law. Both legislations have features that are of interest for research. Based on are datasets we provide summary statistics on both the countries. Our descriptive statistics explains the average profile of our sample company, it provides us with the reasons that lead the company into bankruptcy, it provides us the detailed asset and liability structures of the firms and the detailed claim structure and recovery structure. In addition it also provides us with the duration of the procedure and the costs involved in the process. We also perform multivariate analysis to test the choice between continuation and liquidation for France and to test the factors that increase or decrease the chances of receivership (procedure made for the benefits of banks) and administration (regarded as reorganization procedure) in UK. The main aim of the chapter 6 is to find the legal characteristics that impact on the recovery rates. Previous studies (LLSV, Doing Business Report, World Bank) have usefully used a set of legal indexes to rank the bankruptcy law prevalent within the country. But they fail to identify the characteristics of bankruptcy procedures that create more recoveries. We give here elements of answer by taking into consideration two countries that are good representatives of the two main legal systems prevailing in Europe: France (Civil Law) and United Kingdom (Common Law). To enable this, we built original legal indexes comprising of 158 binary questions that highlight ten major dimensions of corporate bankruptcy procedures: (1) accessibility, (2) exclusivity, (3) bankruptcy costs, (4) production of information, (5) protection of the debtor's assets, (6) protection of claims, (7) coordination of creditors, (8) decision power, (9) sanction of faulty management, and (10) inclination towards liquidation / reorganization. We then propose a mapping of procedures that shows a clear specialization between them. The French procedures ("redressement judiciaire" and "liquidation judiciaire") are more protective of the debtor's assets and favor more the coordination of secured claims, public claims, and unsecured claims. In UK, we find strong opposition between the procedures oriented to liquidation and the other procedures.

Aus der Einleitung: Einleitung: 1.1 Anstoß und Problemstellung: 'Weder haben wir die Ursachen der Krise beseitigt, noch können wir heute sagen: Gefahr erkannt, Gefahr gebannt.' Bundespräsident Christian Wulff nutzte seine Ansprache auf dem Deutschen Bankentag 2011 um an die unverändert hohen Gefahrenpotenziale im Finanzintermediationssystem zu erinnern. In der Geschichte kam es immer wieder zu schweren Finanzmarktkrisen. Doch keine ist mit dem jüngsten Zusammenbruch hinsichtlich der Gefährlichkeit und Dynamik vergleichbar. Schnell weitete sich die Krise auf andere Märkte aus und führte zum schwersten Wirtschaftseinbruch seit 1929. Heute sind direkte und indirekte Folgen bedrohlicher denn je. Extreme Kursschwankungen an den Börsen spiegeln die Unsicherheit über die gegenwärtige Situation wieder. Drohende Staatspleiten lassen das Vertrauen in funktionierende Märkte weiter sinken. Das gesellschaftliche Interesse an einer strengeren Finanzmarktregulierung zur Vermeidung zukünftiger Krisen ist auffällig gestiegen. Kein anderer Wirtschaftszweig ist traditionell so stark reguliert wie der Finanzsektor. Dennoch ist es den Behörden nicht gelungen, die Fehlausbildungen des Systems frühzeitig zu erkennen und zu verhindern. Obwohl Finanzmarktakteure ihren Tätigkeitsbereich fortlaufend über Ländergrenzen hinweg ausdehnen, ist die Finanzmarktregulierung weitestgehend auf nationaler Ebene verblieben. In der Folge sind mehrere Behörden an der Regulierung beteiligt, so dass mangelnde Zusammenarbeit und Informationslücken die Sicherstellung der Systemstabilität gefährden könnten. Die geschilderte Situation verlangt nach einer genaueren Betrachtung um die resultierenden Implikationen verstehen zu können. Multinationale Banken sind heute bedeutende Akteure auf dem globalen Finanzmarkt und besitzen großen ökonomischen Einfluss. Sie eignen sich daher als repräsentatives Untersuchungsobjekt hinsichtlich der Effizienz von Regulierungsmaßnahmen. 1.2 Zielsetzung und Organisation der Arbeit: Ziel dieser Arbeit ist es, die Regulierung von Multinationalen Banken zu analysieren und Verbesserungspotenziale zu erkennen. Aus den Wechselwirkungen der Regulierung in den Niederlassungsländern der Bank sollen Schlüsse über das Verhalten der zuständigen Instanzen gezogen und mögliche Ineffizienzen aufgedeckt werden. Das in dieser Arbeit verfolgte Ziel wird demnach unter folgende Forschungsfrage gestellt: Ist es möglich durch die Zusammenarbeit der verantwortlichen Regulatoren einer Multinationalen Bank ein wohlfahrtsoptimales Ergebnis zu erreichen? Um diese Frage zu beantworten wird wie folgt vorgegangen. Die vorliegende Arbeit gliedert sich in vier wesentliche Abschnitte. Im ersten Teil werden die Grundlagen der Regulierungstheorie erläutert und das Untersuchungsobjekt, die Multinationale Bank, vorgestellt. Zudem wird auf die Begründung von Staatseingriffen in den Bankenmarkt näher eingegangen und mögliche Maßnahmen kategorisiert. Im zweiten Teil der Arbeit wird ein Modell zur Analyse der Ausgangssituation vorgestellt. Dabei werden zwei Gesichtspunkte betrachtet. Zum einen die Situation aus Sicht der Regulierer. Zum anderen die Entscheidung der Bank über die Art der Niederlassung im Ausland. Durch die Beobachtung des Verhaltens der beteiligten Parteien werden Rückschlüsse auf die jeweiligen Verhaltensweisen und Anreize gezogen. Im dritten Abschnitt wird die internationale Kooperation der Regulierung von Multinationalen Banken untersucht. Eine Darstellung der Bemühungen hinsichtlich der international abgestimmten Aufsicht multinationaler Bankaktivitäten dient einem aktuellen Überblick über die Sachlage. Darauf folgt die Betrachtung der Kooperation in der Regulierung von Multinationalen Banken. Hierbei werden drei Situationen geschildert. Die Differenzierung erfolgt nach der Art der Niederlassung und dem Kooperationsverhalten. Es werden dabei unter anderem auch die Verhalten der Regulierer zwischen den ausländischen Niederlassungen betrachtet. Anschließend wird die Möglichkeit eine Zentralisierung der Regulierung diskutiert. Im letzten Abschnitt werden die Ergebnisse der Arbeit zusammengefasst und mögliche Lösungsvorschläge erörtert. Dabei wird zu jeder Zeit auf die Konvergenz zu international anerkannten Meinungen geachtet.Inhaltsverzeichnis:Inhaltsverzeichnis: AbstractI AbbildungsverzeichnisIV TabellenverzeichnisV Box-VerzeichnisVI SymbolverzeichnisVII AbkürzungsverzeichnisVIII Kapitel 1Einleitung1 1.1Anstoß und Problemstellung1 1.2Zielsetzung und Organisation der Arbeit7 2.Grundlagen8 2.1Finanzintermediation und Banken als Finanzintermediäre8 2.2Multinationale Banken11 2.3Gegenstand der Regulierungstheorie15 2.4Die Zwecke der Regulierung von Banken17 2.5Eine Systematisierung der Bankenregulierung24 3.Modellbetrachtung27 3.1Das Grundproblem und die Vorgehensweise27 3.2Modellrahmen und Ablauf30 3.3Die Regulierung von Subsidiary und Branch34 3.4Die Wahl der Repräsentationsform im Ausland41 3.5Modell-Zusammenfassung43 4.Harmonisierung der Regulierung44 4.1Prinzipien für die internationale Aufsicht44 4.2Kooperation in der Regulierung von multinationalen Banken47 4.3Pro und contra einer zentralen Finanzmarktregulierung56 5.Auswertung und Empfehlungen63 5.1Ergebnisse63 5.2Handlungsempfehlungen65 Literaturverzeichnis67 Anhang A: Grundlagen74 A.1 Verbriefungen74 A.2 Basel II75 A.3 Implementierung Basel II76 A.4 Kreditinstitute aus rechtlicher Sicht77 A.5 Ausländische Besitzanteile78 A.6 Ausländische Banken in Osteuropa und Lateinamerika79 Anhang B: Regulierung von Branch und Subsidiary80 B.1 Regulierungsentscheidung über Subsidiary-MNB80 B.2 Regulierungsentscheidung über Branch-MNB82 B.3 Determinanten für Branch-Repräsentation83 Anhang C: Kooperative Regulierung84 C.1 Empfehlungen der 'Cross-border Bank Resolution Group' (März 2010)84 C.2 Internationale Regelung in der Bankenaufsicht87Textprobe:Textprobe: Kapitel 2., Grundlagen: 2.1, Finanzintermediation und Banken als Finanzintermediäre: Das Funktionieren einer Volkswirtschaft ist maßgeblich von der Sicherstellung des effizienten Kapitaltransfers sowie der effizienten Allokation von Überschuss- und Defiziteinheiten abhängig. 'Mit dem Begriff Finanzintermediation werden die zahlreichen Prozesse umschrieben, die es zum Ziel haben, Nachfrage und Angebot nach Kapital zusammenzuführen und abzustimmen.' Effiziente Finanzintermediation erhöht das Wachstum und die Stabilität eines ökonomischen Systems. Im Sinne des funktionellen Erklärungsansatzes stehen folgende fünf Kernfunktionen im Mittelpunkt: Transfer-, Transformations-, Risikotransformations-, Logistik- und Informationsfunktion. Innerhalb variabler Rahmenbedingungen (zum Beispiel nationale Finanzmarktgesetzgebung) sind diese Funktionen gleichbleibend und es gilt, sie zu erfüllen. Die Grundaussagen der Kernfunktionen lauten: Transferfunktion: Der Transfer von Kapital zwischen verschiedenen Akteuren im Wirtschaftssystem verursacht Kosten und Risiken, welche durch effiziente Intermediation reduziert werden können. Transformationsfunktion: Das Volumen von Kapitalangebot und Nachfrage kann differieren. Mittels Losgrößentransformation wird ein großer Kredit durch viele kleine zusammengefasste Einlagen finanziert bzw. wird eine große Einlage in Form von vielen kleineren Krediten verliehen. Unterschiede in der Fristigkeit werden durch Fristentransformation ausgeglichen. Langfristige Kredite können durch den Finanzintermediär aus Einlagen kürzerer Laufzeiten finanziert, und umgekehrt längerfristige Einlagen in Kredite mit kürzerer Laufzeit investiert werden. Eine dritte Form der Transformationsfunktion von Finanzintermediären ist der intertemporale Ausgleich zwischen Konsum und Sparen bzw. Finanzieren und Investieren. Diese zeitliche Verschiebung der Prioritäten im Lebenszyklus wird als Life Cycle-Transformation bezeichnet. Risikotransformationsfunktion: Wirtschaftsteilnehmer besitzen eine unterschiedliche Risikoneigung und Risikotragfähigkeit. Finanzintermediation ermöglicht den direkten oder indirekten Transfer von Risiken entsprechend der Präferenzen. Ein direkter Transfer kann mittels Diversifikation, Hedging oder das Abschließen von Versicherungen erreicht werden. Der Finanzintermediär ist aber auch in der Lage, Risiken indirekt zu senken. Eine entscheidende Rolle spielen dabei Informationsvorteile, welche dem einzelnen Nicht-Intermediär gänzlich unzugänglich bzw. nur mit hohem Kostenaufwand zugänglich sind. Gegen Zahlung einer Entschädigung kann sich der Kapitalgeber Informationen über die Risiken des Investitionsobjektes beschaffen. Aber auch Eigenkapitalhaftung und Diversifikationsmöglichkeiten (welche dem Einzelnen nicht zur Verfügung stehen) sind Möglichkeiten zur Reduktion von Risiken durch Finanzintermediation. Logistik- und Servicefunktion: Für die effiziente Erfüllung der Intermediationsfunktion bedarf es bestimmter logistischer Voraussetzungen. Aufgabe ist es, diese Basis zu schaffen und sie den Marktteilnehmern zugänglich zu machen. Informationsfunktion: Die Beschaffung von notwendigen Informationen für die Investitions- oder Finanzierungsentscheidung der Wirtschaftssubjekte ist mit hohem Ressourceneinsatz verbunden. Informationsungleichgewichte zwischen Kapitalanbieter und Nachfrager erhöhen das Risiko in vielfältiger Weise. 'Im Rahmen der Informationsfunktion gewährleistet die Finanzintermediation eine permanente und effiziente Verbesserung der Informationsbasis, auf deren Grundlage die Marktteilnehmer Finanzentscheidungen treffen.' Aus diesen fünf Kernfunktionen können die drei Ziele Kapitalallokation, Transaktionskostenreduktion und Risikoreduktion abgeleitet werden. Dabei stehen diese Zielelemente nicht nur ergänzend zueinander. Unter Einbeziehung der Kosten wird das Konfliktpotenzial ersichtlich. So hat sich in der jüngsten Krise des Finanzintermediationssystems deutlich gezeigt, wie hoch Systemrisikokosten und damit die Kosten für die Volkswirtschaft sein können. Der Finanzintermediär kann als Anbieter von Finanzintermediationsleistungen bezeichnet werden. Dabei werden neun Anbieterkategorien unterschieden: Banken und bankähnliche Organisationen, Finanzgesellschaften und Gesellschaften mit Nähe zu Banken, Zentralbanken, Versicherungsgesellschaften, Beratungs- und vermittlungsorientierte Organisationen, Non-Banks, Anbieter von Marktplattformen, Informationsdienstleister und Technologieprovider. Es kann weiter zwischen Finanzintermediären im engeren und im weiteren Sinn differenziert werden. In der engeren Definition werden Finanzintermediäre als Institutionen verstanden, die Kapital von Anlegern annehmen und an Kapitalnehmer weitergeben. Eine Bank, in deren Geschäftstätigkeit dieser Vorgang berücksichtigt wird, kann als Finanzintermediär im engeren Sinn bezeichnet werden. Allerdings fallen auch andere Unternehmen, wie zum Beispiel Venture Capital Gesellschaften oder Versicherungen, in den Bereich dieser Definition. Weiterhin werden Institutionen, welche den Handel zwischen Kapitalgebern und Kapitalnehmern ermöglichen oder erleichtern, als Finanzintermediäre im weiteren Sinn bezeichnet. In diese Gruppe sind Finanzmakler, Börsendienste oder Rating Agenturen einzuordnen. 'Banken bieten heutzutage eine Fülle unterschiedlicher Produkte an und konkurrieren mit anderen Instituten, die gleiche Funktionen erfüllen.' Definitionsansätze des Begriffs 'Bank' sind daher sehr heterogen. Sie können aus einzelwirtschaftlicher, gesamtwirtschaftlicher oder rechtlicher Sicht erfolgen. Der Tätigkeitsbereich von Banken gliedert sich in Commercial Banking und Investment Banking. Im Commercial Banking nehmen Kreditinstitute Kapital entgegen und geben dieses als Kredite an Dritte weiter. Damit übernehmen diese Institute die Transformationsleistungen der Finanzintermediation in Bezug auf Risiko, Fristigkeit und Losgrößen. Im Zuge des delegated monitoring wird stellvertretend für den Kapitalgeber die Überwachung der Kreditnehmer übernommen, und dadurch Kosten eingespart. Zudem erfüllen sie Umtausch und Zahlungsleistungen und sind damit klar den Finanzintermediären im engeren Sinn zuzuordnen. Im Gegensatz dazu unterstützen Investmentbanken den Handel an den Kapitalmärkten und sind damit als Finanzintermediäre im weiteren Sinne tätig. Klar wird an dieser Stelle, dass Banken einen großen Teil des Spektrums der Finanzintermediation abdecken. Sie zählen zu den wichtigsten Finanzintermediären und nehmen eine bedeutende Position in einer Volkswirtschaft ein. 2.2, Multinationale Banken: In der vorangegangen Betrachtung wurden Banken in die Finanzintermediationstheorie eingeordnet, ohne dabei näher auf den 'geographischen' Tätigkeitsbereich der Intermediäre einzugehen. Es konnte aus der Finanzintermediation heraus auf den Finanzintermediär selbst Bezug genommen werden. Diese Vorgehensweise wird nun auf globaler Ebene fortgesetzt. Die internationale Finanzintermediation besitzt eine Reihe von Spezifika. Das Risiko internationaler Transaktionen ist höher als auf nationaler Ebene. Insbesondere tragen Fremdwährungs- und Länderrisiken zu diesem hohen Risikofaktor bei. Die Intermediationskette sowie die Intensität der Interbankenbeziehungen, sind im globalen Umfeld ausgedehnter als in inländischen Märkten. Das Argument der größeren Informationslücke, aufgrund der größeren Entfernung von Kapitalnehmer und Kapitalgeber, hat im Zeitalter des Internets und der internationalen Vernetzung kaum noch Gültigkeit. Kritisch zu betrachten sind in diesem Zusammenhang auch Aussagen über die erhöhte Wettbewerbsintensität auf dem internationalen Bankenmarkt. Die fehlende internationale Regulierung soll für diesen Zustand verantwortlich sein. In Hinsicht auf die in der jüngsten Vergangenheit abgeschlossenen internationalen Abkommen ist dieses Argument als heikel anzusehen. Ebenfalls spricht die Tatsache, dass auf internationalen Kapitalmärkten unvollkommene Marktbedingungen vorherrschen, welche Intermediären Monopolrenten verschaffen können, dagegen. Die Wettbewerbsintensität wäre somit sogar geringer. Ein internationaler Finanzintermediär ist ein Intermediär, welcher die Funktionen der Finanzintermediation in (über) mehreren Ländern erfüllt. Im Folgenden wird die Multinationale Bank (MNB) als ein Vertreter näher betrachtet. Eine MNB ist eine Bank, welche in mehr als einem Land physische Niederlassungen unterhält. Sie besitzt Elemente ausländischer Direktinvestitionen (FDI) und eines multinationalen Unternehmens (MNE). Die meisten Aktivitäten der MNB sind grundsätzlich als eine Art Verlängerung von Aktivitäten der inländischen Ebene zu verstehen. Im Gegensatz dazu, werden Internationale Banken abgegrenzt, welche zwar international operieren, aber keine physischen Niederlassungen im Ausland besitzen. Unter die Tätigkeiten Internationaler Banken fallen traditionelle grenzüberschreitende Geschäfte sowie das sogenannte Euroccurrency Banking, bei dem Transaktionen in einer Fremdwährung durchgeführt werden.

Development of an in vitro system for the detection of substance induced gene expression alterations in primary rat hepatocytes Following the new European legislation for chemicals (REACH) a large amount of chemicals need to be evaluated from the toxicological perspective. With commonly used techniques, the current testing capacities will be overloaded. Therefore, there is a requirement for faster and more reliable test systems for toxicology. In the last couple of years there has been a lot of progress in the field of toxicogenomics. After exposing animals to toxic substances, it is possible to detect the mode of action based on the substance induced gene expression alterations. This kind of analysis requires animal experiments and is not feasible for high throughput testing. An alternative test method would be the investigation of cultured hepatocytes. Approx. 600 million hepatocytes can be isolated from one rat liver, which would be sufficient for roughly 100 six well plates. At the beginning of this thesis the majority of groups working in this field saw no feasible option to perform gene expression analysis of cultured hepatocytes. This is based on the fact, that cultured hepatocytes undergo a ("spontaneous") change of more then 1000 genes caused only by the culture conditions. Nonetheless, in this thesis an in vitro system based on primary rat hepatocytes has been established which is able to detect similar substance induced gene expression changes as observed in the in vivo rat model. To achieve this, three commonly used culture systems for the cultivation of primary cells were investigated: (1) the classical collagen monolayer culture, where hepatocytes are cultured on a thin film of collagen, (2) the collagen sandwich culture, where hepatocytes are cultivated between two layers of a collagen gel and (3) Matrigel®-culture, a commercially available smooth extracellular matrix in which the hepatocytes are embedded. The hepatocytes were incubated with methapyrilene as a test substance in a concentration of 100 and 200 μM and the gene expression of four markergenes (Abat, Gsk3b, Myd116 and Sult1a1) was measured. These genes were already known as characteristically up- (Gsk3b, Myd116) and downregulated (Abat, Sult1a1) under the influence of methapyrilene. It could be shown that these characteristic deregulations were the most pronounced and the most reproducible in the collagen sandwich culture. Therefore, the collagen sandwich was used in subsequent experiments. Besides the choice of the collagen sandwich culture as the optimal culture system, it was discovered that there is an advantage to cultivate both control and treated cells on the same six well dish. The variability on the same plate was less then the plate-to-plate variability. When developing a new in vitro system, the choice of the correct concentration of test substances is one critical aspect. This concentration should be in the range of a concentration which can also be obtained in vivo. The results, using the optimized system, show a deregulation at a level of 0.39 μM and a clear deregulation at a level of 6.25 μM methapyrilene. It is known from the literature, that an i.p.-injection of 0.7 mg/kg BW methapyrilene results in a plasma level of approx. 0.5 μM 10 minutes after injection. This led to the conclusion that this test system is able to detect a substance induced effect on gene expression, even at a level close to in vivo relevant concentrations. This was confirmed by measuring additional genes (Bax, Cdkn1, Gsta2, Hsf1, Mdm2 und Nqo1). A concentration dependent effect could also be shown for aflatoxin B1, piperonylbutoxide and 2-nitrofluorene as additional liver-carcinogens. Based on these encouraging results, a larger study was performed to investigate if the substance induced gene expression changes in the in vivo rat liver and in vitro primary rat hepatocytes are comparable. Two genotoxic (aflatoxin B1, 2-nitrofluorene) and two non-genotoxic (methapyrilene, piperonylbutoxide) compounds were used as test substances. Two gene groups were analyzed: one gene group associated with stress response, DNA-repair and metabolism (gene group 1: Abcb1, Ugt1a6, Gsta5, Gsta2, Hsf1, Nqo1, Apex1, Bax, Cdkn1a, Gadd45a, Mt1a, Sds, Mdm2, Myc) and one gene group which is active during cell proliferation (gene group 2: Mcm6, Cdc2, Hdc, 3-Pgdh, Cdc20, Igfbp1, Top2a, Map3k1, Atf3). The in vitro experiments were performed related to this thesis. The results from the in vivo experiments were provided by a cooperation-partner. Interestingly, there was a very good correlation between the in vivoand the in vitro-results when analysing gene group 1 (p< 0.001). For gene group 2 no significant correlation could be found (p=0.286). This could be explained by the fact that stress-response, DNArepair and metabolism are similar processes both in vitro and in vivo. The missing correlation of proliferation-associated genes (gene group 2) could be due to the fact, that there is no replacement proliferation in vitro. Replacement proliferation in organs means that damaged cells are replaced by the proliferation of surrounding healthy cells. With the current state of the art in culturing primary hepatocytes, the effect of replacement-proliferation can not be seen in vitro. The investigation of gene groups, whose substance induced gene expression alterations correlate between in vitro and in vivo systems, will facilitate the development of toxicological test-systems by focusing only on the relevant genes. At present, the use of primary rat hepatocytes is very often criticized. One reason is that hepatocytes produce artificial or false positive results in vitro. For example, the genes Gsk3b and Myd116 were altered by the influence of methapyrilene in vitro only, but not in rat liver in vivo. If this argumentation is correct, a further use of cultivated rat hepatocytes in toxicogenomics would not make any sense. This was the basis for investigating the apparently occurring in vitro/in vivo discrepancy. The result of these investigations showed that this discrepancy is simply based on the different pharmacokinetics in vitro and in vivo. Methapyrilene has a half-life of 2.8 h. The previous studies focused on 24 h as the earliest time point for sampling, therefore the substance was already completely excreted and the gene expression change had already returned to basal level. By investigation of earlier timepoints, it could be shown, that an induction of Gsk3b and Myd116 also occurred in vivo . Due to this fact, the argument of a discrepancy between in vitro and in vivo is no longer valid. In summary, it has been shown that the culture system described in this thesis, is able to detect substanceinduced gene expression alterations at in vivo relevant concentrations. These changes in gene expression correlate well with the in vivo situation concerning the group of stress-associated genes.

Dissertação de mestrado em Ecologia, apresentada à Faculdade de Ciências e Tecnologia da Universidade de Coimbra ; Natural systems provide a multitude of goods and services that benefit human societies, known as environmental services (ES). Most of these ES are currently undervalued, or have no economic value at all, and ecosystem managers have no direct incentives to ensure their provision. The market failure in incorporating the value of natural systems is a major reason behind current ecosystem losses and unsustainable use of resources. The Montado ecosystem in Portugal is an agro-silvo-pastoral system of high conservation value because it sustains high biodiversity and provides important ES. Its ecological stability is depended on traditional management practices, which have become economically unviable due to recent changes in the context for Portuguese agriculture. Montados are current threatened by land use change, and innovative policy tools are needed to maintain the economic viability of these systems. "Payments for Ecosystem Services" (PES) is an incentive-based mechanism considered a new promising policy tool to address environmental problems. It relies on arrangements through which ES beneficiaries pay individuals or communities to undertake practices that increase levels of desired services. PES is a highly variable instrument whose success is determined by choices in policy design combined with implementation context. The aim of this project is to propose PES as a conservation tool for Montados. This project started with literature review of the Montado ecosystem and the instrument PES. Then, Montado's potential to provide the three major groups of ES sold to date was assessed, as well as the current demand for them. It was concluded that PES schemes should focus on the services biodiversity protection and carbon sequestration and storage, for which demand may come from voluntary buyers or government-funded payments. This insight was complemented with lessons learned from the analysis of three case studies. The mechanisms and case studies selected for biodiversity protection were: Environmental Certification (The Biodiversity and Wine Initiative, South Africa); and Payments for Environmental Stewardship (The Environmental Stewardship Scheme, United Kingdom). For carbon sequestration and storage, The Scolel Te Project (Mexico) was chosen to represent small-scale project targeting voluntary markets. As final outcome, this work analyses potential of the three mechanisms to Montados. It also highlights the main caveats and challenges of implementing these tools, in order to provide guidance and advice to policymakers and project developers. In general, the main requirements for applying PES are: reliable sources of funding; the presence of a strong intermediary; and understanding the science behind ES provision. From this study was concluded that PES is a policy tool with several advantages but its implementation can be complex and costly. The mechanisms analysed are only suitable to very specific situations, where requirements are met and challenges can be overcome. Thus, none of them should be consider a universal solution. Instead, Montados conservation is more likely to be attained through the implementation of several different instruments, each one applied to specific situations where they have greater chances to achieve desired results. ; Os ecossistemas naturais são responsáveis por provisionar uma série de bens e serviços que condicionam o bem-estar humano, os quais são conhecidos como serviços ambientais (ES). A maioria deles possui valor econômico nulo ou muito baixo, o que faz com que os gestores dos ecossistemas não tenham incentivo para garantir sua provisão. A falta de reconhecimento do valor dos ES no mercado é uma das principais razões por trás da destruição do meio ambiente e do uso insustentável dos recursos naturais. O ecossistema do Montado, em Portugal, é um sistema agro-silvo-pastoral que apresenta alta biodiversidade e fornece importantes ES. Sua estabilidade ecológica depende de práticas de manejo tradicionais, as quais se tornaram economicamente inviáveis após mudanças no contexto agrícola português. Os Montados encontram-se ameaçados e necessitam de políticas inovadoras para manter sua viabilidade econômica. "Pagamentos por Serviços Ambientais" (PES) é um instrumento baseado em incentivos econômicos considerado uma nova e promissora abordagem para problemas ambientais. Este instrumento consiste em acordos onde beneficiários de serviços ambientais pagam indivíduos ou comunidades pela adoção de práticas que aumentem os níveis dos serviços desejados. PES são altamente variáveis, e seu sucesso é determinado por escolhas feitas durante a sua concepção, bem como por particularidades no contexto de implementação. Este trabalho tem como objetivo propor PES como uma ferramenta de conservação ambiental para os Montado. Este trabalho se inicia com uma revisão literária sobre os Montados e sobre o instrumento a ser proposto. Em seguida, é analisado o potencial do ecossistema-alvo em provisionar os três principais grupos de serviços comercializados atualmente, bem como a demanda por estes serviços. Conclui-se análise que PES em Montados devem focar-se nos serviços proteção da biodiversidade e armazenamento e sequestro de carbono. Demanda para estes serviços deve vir de compradores voluntários e pagamentos financiados pelo governo. Tais descobertas são completadas com lições retiradas da analise de três estudos de caso escolhidos para representar esquemas de PES compatíveis com características do Montado e com suas limitações de mercado. Os mecanismos e estudos de caso selecionados para proteção da biodiversidade foram: Certificação ambiental (The Biodiversity and Wine Initiative, Africa do Sul); e Pagamentos por Manejo Sustentável (The Environmental Stewardship Scheme, Inglaterra). Para armazenamento e sequestro de carbono, o Projeto Scolel Te (México) foi selecionado para representar projetos em pequena escala visando mercados voluntários. Como resultado final, este trabalho analisa a adequabilidade de cada um dos mecanismos para o ecossistema do Montado. No intuito de fornecer orientação para políticos e conservacionistas, são apontados os maiores desafios da implementação destas ferramentas. Os requisitos mais relevantes para a aplicação de PES são: uma fonte de financiamento; um intermediário forte; e compreensão da ciência por trás da provisão de ES. Como conclusão, PES é uma ferramenta com muitas vantagens, porém sua implementação pode ser complexa e custosa. Os mecanismos analisados são apenas aplicáveis a situações muito específicas onde requisitos mínimos são cumpridos e desafios superados. Por isso, nenhum deles deve ser considerado uma solução universal. A conservação dos Montados tem maiores chances de ser alcançada através da implementação de diversos instrumentos concomitantemente, cada um deles aplicado nas situações onde o potencial de alcançar os resultados desejados é maior.

Since the late 1990s, with the acceleration of economic reforms and aggravating social conflict, researches on the Chinese labor market and the relationships between workers, employers and state have been multiplied. But little studies are focused to create a link between the tolerance and the protesting of workers in the grassroots, the intervention of local authority in the middle level and the promulgation of politics and laws from the macroscopic view. To fill this gap, firstly we start from participant observation in a local union at the district level. Then we extend our research to administrative departments, official unions at lower level, those in private companies and with mixed capital, managers and skilled or unskilled workers. Then, the rich empirical materials let us arrive to two main issues: on one hand, since the economic reform, what changes have taken place in action space of workers and what role has trade union played with the establishment of the Chinese legal system; On the other hand, it is necessary to clarify the reasons which contributed to these changes and at the same time, the two conflicting results of instructional constructions which have helped and hindered the expansion of action space of workers . This means that this thesis not only seeks to describe the changes in industrial relations which took place in China through the field work in a district of Shanghai, but also we propose to study the transitions which the system of industrial relations is facing from 4 angles: 1) We must analyze the transformation from the legal and economic reforms implemented since 1978, which bring major changes to the system industrial relations in China. 2) And since then the transition of the role that the ACFTU played also took place. What relationship the ACFTU and its local branches have created with their union branches in enterprises ? Can they represent the interests of workers, and how ? 3) Under the context of economic and legal reform, the workers' action space is also extended compared to the period of planed economy without respect to rules. How do they defend their rights? We will show this by workers' democratic participation in enterprises, workers' protests against employers' infringement, activities of trade union branches in enterprises and NGOs which help workers outside enterprises to demand their legal rights. 4) The interaction between the state and society must be considered. The state is not as almighty as before. It retreats from some social areas, establishes rules and governs society indirectly with them; however the promulgation of rules is not enough. Good laws are still anticipated and the application of laws is still a big problem. With more and more manifestations, how the government responds to the social crisis ? What strategies do workers use against violations of labor rights by employers ? With these analyses, the framework of the system of industrial relations in China progressively come out, which frames individual or collective actors, every unique enterprises and regions with familiar arrangements ; Depuis la fin des années 90, avec l'accélération des réformes économiques et l'aggravation des conflits sociaux, les recherches sur le marché du travail chinois et les relations entre travailleurs, patronat et l'Etat se sont multipliées. Cependant, peu d'études ont cherché à créer un lien entre les activités quotidiennes, la gouvernance de l'autorité locale et l'évolution institutionnelle en Chine, c'est-à-dire, entre la tolérance, la soumission et la protestation de travailleurs au niveau de base, l'intervention de l'autorité locale au niveau intermédiaire et la promulgation des politiques et des lois au niveau supérieur. Afin de combler cette lacune, nous sommes tout d'abord partis de l'observation participante au sein d'un syndicat local. Puis nous étendons notre recherche aux départements administratifs, aux syndicats d'office administratif du quartier, du bourg, aux entreprises privées ainsi qu'aux entreprises à capital mixte, chinois et étranger, aux gestionnaires et aux travailleurs qualifiés ou non. Les matériaux empiriques riches nous permettent de réfléchir à deux questions principales : d'une part, depuis la réforme économique, quels changements ont eu lieu dans l'espace d'action des travailleurs et quel est le rôle du syndicat avec la mise en place du système juridique chinois; D'autre part, il est nécessaire de se pencher sur les raisons qui ont contribué à ces changements et, en même temps, sur doubles résultats conflictuels de constructions institutionnelles qui ont favorisé et défavorisé l'extension de cet espace d'action. Cela signifie que notre thèse ne cherche pas seulement à décrire les changements dans les relations professionnelles qui ont eu lieu en Chine, ceci à travers un arrondissement à Shanghai, mais aussi nous nous proposons d'étudier les transitions que connaissent les relations professionnelles sous 4 angles : 1) On doit analyser les transformations à partir des réformes juridiques et économiques mises en œuvre parallèlement depuis 1978, qui amènent de grands changements au système de relations professionnelles en Chine. 2) Et depuis alors la transition du rôle que joue la Fédération nationale des syndicats chinois (FNSC) a eu lieu également. Quel lien ont créé la FNSC et ses sections locales avec les sections syndicales au sein des entreprises ? Peuvent-elles représenter les intérêts de travailleurs, et comment ? 3) Dans le contexte de la réforme économique et juridique, l'espace d'action des travailleurs est aussi étendue par rapport la période de l'économie sans respect de règlements. Comment font-ils pour défendre leur droits du travail ? Nous analysons les protestations de salariés, les activités de sections syndicales au sein des entreprises, les participations démocratiques et les ONG de défense des droits du travail. 4) L'interaction entre l'Etat et la société doit être réfléchie. L'Etat n'est pas si tout-puissant comme avant. Il se dégage de certains domaines sociaux, met en place des règles avec lesquelles gouverne-t-il la société indirectement. Par contre, la promulgation de règles n'est pas suffisante. Tandis que les bonnes lois sont anticipées, l'exécution est encore un grand problème. Avec de plus en plus de manifestations, comment le gouvernement y répond-il ? Quelles stratégies utilisent les travailleurs en face de violation des droits du travail ? Grâce à ces analyses, le système de relations professionnelles en Chine est fait sortir progressivement, qui encadre les acteurs individuels ou collectifs, toutes les entreprises et les régions uniques avec des dispositifs familiers.