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The objective of this report is to assess public financial management (PFM) systems existing at the province level with a particular focus on the health and education sectors, and to understand linkages existing between the institutional settings in these two sectors and PFM processes. By doing so, the report shows the direct impact of poor PFM on service delivery in health and education. Since these two sectors have significant effects on the bottom 40 percent of the population, this will help Argentina's subnational governments allocate and use public resources more efficiently, and with greater accountability for their expenditure.

This assessment of the current state of the implementation of the Basel core principles (BCP) for effective banking supervision in Bulgaria has been completed as a stand-alone report on the observance of standards and codes undertaken by the international monetary fund (IMF) and the World Bank during March of 2015 at the request of the Bulgarian authorities. It reflects the regulatory and supervisory framework in place as of the date of the completion of the assessment. The Bulgarian National Bank (BNB) has an internal governance structure which, by vesting the majority of the powers of supervision in the Deputy Governor for banking supervision, exposes the supervisory function to risks. Under the BNB's legal structure, supervision and enforcement is dissociated from the Governing Council, and the Governing Council has no right to compel transparency of decision making or to impose a framework to ensure consistency in the use of the enforcement regime. There are material concerns that the BNB is too resource constrained to deliver effective minimum levels of supervision. Despite a broad range of supervisory powers, there are some gaps in the legal framework that unduly restrict the BNB's locus. The BNB has a good understanding of risk and many strong practices, and also making good use of international standards and guidelines, but there are some important system wide vulnerabilities. The assessment team reviewed the framework of laws, rules, and guidance and held extensive meetings with officials of the BNB, and additional meetings with the Finance Ministry, auditing firms, professional bodies, and banking sector participants. The authorities provided a comprehensive self-assessment of the CPs, as well as detailed responses to additional questionnaires, and facilitated access to supervisory documents and files on a confidential basis as well as staff and systems.

This is a first for Indonesia: Program Keluarga Harapan (PKH) is the only household-targeted social assistance initiative to have designed randomized impact evaluation into the initial allocation of the program. This brings three major benefits for policymakers: 1) the evidence available for evaluating the impacts of the PKH program on household welfare is extensive and sound; 2) the program design and the impact analysis design have generated additional excitement, both nationally and internationally, about the program, its goals and social assistance initiatives in general; and 3) the results and underlying data will be made publicly available, which has already spurred interest in additional evaluations that will stock the shelves of social assistance policy research libraries. PKH's success in delivering real benefits to the very poor and in changing behaviors deserves further support and encouragement. PKH's initial weaknesses in implementation and delivery deserve continuing attention and thoughtful solutions for greater effectiveness. The Government of Indonesia (GOI) plans on expanding the PKH program to as many as three million households; while it is doing so, it should continue to refine implementation, coordinate and collaborate with affiliated service providers in health, education, and local government services, and continue developing a corps of organized, enthusiastic, and skilled facilitators who can assist very poor households in achieving healthier behaviors.

Direct cash transfers for vulnerable elderly and disabled populations have been provided by the Ministry of Social Welfare (Kementerian Sosial, Kemensos) since 2006; a similar cash transfer for at-risk youth was inaugurated in 2009. The Government of Indonesia's (GoI) pro-poor development initiatives, international agreements and domestic laws and regulations, and considerable experience delivering more general social assistance programs led to the creation of cash transfers for these historically neglected and difficult-to-reach groups. These programs Jaminan Sosial Lanjut Usia (JSLU), Jaminan Sosial Paca Berat (JSPACA), and program Kesejahteraan Sosial Anak (PKSA) for the elderly, disabled, and youth respectively transfer cash directly to beneficiaries. They account for increasing shares of the Kemensos overall budget, but subsidies directed to care and rehabilitation facilities as well as direct provision of institutional care still account for a noticeable portion of the Kemensos budget for these groups. Program support operations socialization and outreach; allocation, targeting and prioritization; monitoring and evaluation; and complaints and grievances have very small budgets and depend crucially on cooperation and enthusiasm from local governments and facilitators. A full range of safeguarding activities is spelled out in program guidelines but these have not been institutionalized at the local implementation level. There is variation in the content, methods, frequency, completion rates, and outcomes in all safeguarding activities, and no easy-to-use reporting process that would ensure information from implementation level reaches the central funding and policy agency, Kemensos. The note summarizes quantitative and qualitative evidence in order to build a sound foundation for evaluating the cash transfer programs JSLU, JSPACA, and PKSA provided by Kemensos. The evidence on which the evaluation is based here is composed primarily of first-hand observation of the programs in operation. Where possible information collected from administrative records, including monitoring and evaluation reports, and from Kemensos itself, is summarized. Design features, efficiency and effectiveness of program implementation and operation, and impacts (intended or not) the program produces for beneficiaries are all analyzed in as much detail as possible. Current policy planning within Kemensos assumes expansion of these programs in the coming years, so an evaluation of the programs' features is relevant for Indonesian policymakers and stakeholders.

The Mongolian economy is experiencing rapid growth in 2011 the second quarter saw the economy growing at a whopping 17.3 percent year on year, compared to 9.9 percent in the first quarter. Transportation and construction grew at 39.9 percent and 38.4 percent, respectively, while retail and wholesale trade grew at 24.7 percent, with Mongolians spending more on consumption as a result of higher incomes. The mining and manufacturing sectors recorded respectable growth rates of 8.3 and 12.9 percent yoy in the second quarter, respectively. Reflecting the higher growth, unemployment declined from 13 percent in December 2010 to 8.7 percent in June. Informal labor markets for unskilled workers are also booming, with real wages nearly doubling between December 2010 and June 2011. Mongolia's economic outlook depends heavily on global macroeconomic factors: the current uncertainty and poor growth prospects for the global economy are cause for concern. If there is another global recession, Mongolia's small, open economy will be affected. In that case, China's policy reaction will be crucial for Mongolia.

This paper covers selective aspects of Spain's experience in evaluating government performance and public policies. Rather than a cohesive evaluation system, there is instead a constellation of organizations, with evaluation mandates and/or practices, which are not interrelated. These organizations and their respective practices have been evolving without coordination over the past three decades. An evaluation culture is slowly emerging, amid different conceptual approaches used by different organizations that are managing and/or conducting evaluations. Evaluation activity has been taking place in Spain for years, with a marked acceleration and qualitative shift since 2005. Despite Spain's standing as an Organization for Economic Co-operation and Development (OECD) country as well as a European Union (EU) country, it still has not developed a consolidated evaluation system. This fact points out how long-term and complex is the task of institutionalizing an evaluation system. Finally, this paper contains several website addresses where readers can obtain additional information on aspects of the paper that most interest them and to follow the Spanish experience as it unfolds.

학위논문 (박사) -- 서울대학교 대학원 : 사회과학대학 사회복지학과, 2020. 8. 홍백의. ; This study characterizes 15 countries' pension reform trajectories and statistically examines how these pension reform trajectories affect pension effort during the CRP (Compound Reform Period 1990-2015). This study defines pension reform are either contractionary and expansionary reforms; pension effort refers to both pension expenditure and pension generosity. Conventionally, studies have often examined how socio-influential factors (e.g. socio-economic, institutional, and political factors) affect pension effort. However, these discourses have heavily emphasized contractionary pension reforms and pension expenditure, but have overlooked expansionary pension reforms and pension generosity. This study argues that the traditional retrenchment-focused approach to pension policy research is rooted largely in inherited theories of the 'Welfare State Crisis' and macro-socio-economics, that are not reflective of the recent post-industrial policy shifts occurring in the world. In particular to pension policy, in response to the 20th century old and new social risks, traditional Bismarckian and Beveridgean countries have implemented a mix of contractionary and expansionary reforms. These reforms were designed to deal with pension financial sustainability and adequacy against old-age poverty. Consequently, two primary limitations of previous studies have become apparent. The austerity-oriented and macro view of pension effort using socio-influential factors overlooks an important building block within the dynamic pension reform process. In addition, existing quantitative and qualitative studies have centered around institutions that examine pension policies from a static perspective - overlooking pension policy dynamic changes. During the CRP, pension systems have experienced two interconnected components - retrenchment and expansionary reforms - that ultimately define pension effort. Accordingly, it is necessary to comprehensively investigate how these components of dynamic pension reform affect pension effort in the context of both pension expenditure and pension generosity. This study organized expansionary and retrenchment pension reforms using ten pension reform variables based on the work Häusermann (2010): insurance (e.g. parametric pension reforms), capitalization (e.g. DB to DC shifts), targeting (e.g. means-tested), and recalibration (e.g. pension credits). In order to evaluate how these pension reforms affected pension effort, this study utilized two analytical methods: unsupervised clustering characterizes pension reform trajectories, and an LMM (Mixed Effect Model) statistically evaluates their effectiveness with respect to pension expenditure and pension generosity. Pension reforms were categorized into four pension reform clusters: labor-activated pension (LAP) reforms, extended privatization pension (EPP) reforms, latecomer structural pension (LSP) reforms, and extensive retrenchment pension (ERP) reforms. The labor-activated pension reform (LAP) cluster is generally composed of advanced welfare states that experienced the highest unemployment rates and most pressing demographic changes prior to the CRP. However, their transition into the CRP has been met with significant GDP growth and high employment rates. At the same time, this cluster is facing the highest level of new social risks in regions like women's labor participation, employment in services, and economic openness. In response to both old and new social risks, most of the countries in this cluster made significant reforms meant to mitigate their effects. Various parametric pension reforms (e.g. increasing the retirement age, penalizing early retirement, etc.) encourage individuals near retirement to continue working or re-enter the workforce, thus increasing labor supply. In addition, targeting and recalibration reforms incentivize participation in the labor market by lowering pension eligibility requirements. The extended privatization pension reform (EPP) cluster is very similar in its Marco-socio-economic structure to the labor-activated pension reform (LAP) cluster, in that it is defined by developed nations that experienced drastic macro-socio-economic changes before the CRP. However, in the CRP this cluster has the highest levels of aged 65 years and older individuals, coupled with a moderately high economic growth. Growth compared to the labor activated pension reform cluster may be lower due to this aging. When a higher proportion of a total population is elderly, a larger proportion of economic expenses must be spent on retirement care. However, another additional feature of this cluster's socio-economics is lower birth rates. Some new social risks of interest that have had a particular effect on this cluster are increasing service sector employment rates and higher economic openness. However, pension reform strategies are vastly different from the labor-activated pension reform (LAP) reform strategies. This reform cluster shifts enrollment in occupational or individual pension programs from voluntary to mandatory and these programs then work in conjunction with existing public pension systems. However, in order to compensate disadvantaged groups and unpaid workers, various expansionary pension reforms were also implemented in tandem; for example, means-tested pension benefits, tax reductions or earnings-related subsidies to employers, employees or individuals. The latecomer structural pension reform cluster (LSP) is uniquely composed of countries that had transitioned from centrally planned economies to widespread market-based economies at the inception of their original pension programs. Their transition to market based-economies was not smooth and this was reflected in their relatively slow economic growth. Structural changes are not the only facet that describes the struggles these countries have had during the CRP; demographic issues have also played an outsized role in their economies. Not only had their relative population aged, but at the same time, there was a dramatic drop in their fertility rates. New social risks have been reflected in their rising proportion of service sector employment and the swift opening of their economies. This cluster turned to structural-based reforms as a countermeasure to the ballooning pension expenditures that ensued, because of these different macro-socio-economic hardships. In order to compensate disadvantaged groups and unpaid workers, various expansionary pension reforms were also implemented in tandem with contractionary reforms (ex. targeting reform), but recalibration reforms were not implemented. The extensive retrenchment pension reform cluster (ERP), is composed of countries that demographically aged the most, and experienced the greatest long-term economic hardships because of economic crises during the CRP. Another critical issue was the decline of birth rates in these countries. New social risks have also added stress to their economic hardships with increases in atypical workers, women's labor participation rates, and serious issues with low employment rates. Under these increasing new social risks and problematic pension structures, the extensive retrenchment pension (ERP) reform cluster retrenched inherited asymmetric pension systems through radical parametric reforms, then means-tested programs were additionally added to compensate low-income groups and impoverished elderly. Each pension reform clusters' socio-economic backgrounds provide insight into the underlying indicators that are correlated with their adoption of different pension reform policies. Using these pension reform clusters as independent variables, this study demonstrates that different pension reforms have diversified the existing architecture of pension effort. According to the Linear Mixed Effect Model (LMM) results, the labor-activated pension reform (LAP) cluster statistically reduced pension expenditure relative to the reference pension reform cluster (extensive retrenchment pension reform cluster). The extended privatization pension (EPP) reform cluster significantly reduced pension generosity relative to the reference pension reform cluster (extensive retrenchment pension reform cluster). While the labor-activated pension (LAP) reform cluster maintained the highest standard pension retirement age and most restrictions on early retirement, the extended privatization pension (EPP) reform cluster created a more direct link between pension benefits and an individual's pension contributions, by shifting to mandatory enrollment in occupational or individual pension programs. This study asserts that pension reforms are the key to understanding pension effort (pension expenditure and pension generosity), and that contractionary and expansionary pension reform policies should be studied together. In addition, existing comparative studies have often excluded East-Asian countries, in particular, China, Japan, and Korea. They should be included in comparative policy analysis that will allow researchers to determine if they are empirically different, and thus compensate or address those differences more effectively in future research. In comparative social policy research, from the new institutionalism perspective, policy classifications should consider the process of policy change, from a dynamic perspective rather than static characteristics. This study suggests that policymakers may need to be concerned about each pension reform's pros and cons in the context of pension expenditure and generosity when adopting a pension reform. In future pension reforms, policymakers need to explicitly design their policies around increasing new profiles who, if not considered more carefully, are at higher risk of poverty in this post-industrialized global economy. The most sensible means of doing this is if policymakers avoid reducing benefits for these groups when legislating future pension reforms. Take Korean pension reforms as an example. Korea adopted an extensive parametric pension (ERP) reforms that may prove to be an effective way of curbing costs, while means-tested incentives provide more generous benefits to the growing population of at-risk individuals. However, extensive retrenchment pension (ERP) reforms have a high risk of providing inadequate pension benefits to at-risk groups without seriously resolving issues with program expenditure. Since extensive retrenchment pension (ERP) reforms do not sufficiently meet the needs of the Korean pension system, the next step is to look at alternative clusters to resolve these issues. Extended privatization pension reforms (EPP) generally supplement pension benefits by adopting a market-based pension component. However, adopting a reform from this cluster will also likely result in stagnated pension coverage, deteriorated pension benefits, and increased gender and income inequality. Adoption of a latecomer structural pension reform (LSP) (e.g. NDC) is also not realistic, because there are a large number of atypical workers in Korea (e.g. self-employed, part-time workers) who are unable to shoulder considerable financial burdens (double payment issues). This study suggests that adopting a labor-activated pension reform (LAP) may be the most effective pension strategy to strengthen Korean public pension system security. This strategy takes into account new career profiles that were previously overlooked by the system; the goal of including these workers to the system would be to reduce the occurrence of old-age poverty. ; 本论文定量比较分析了15个国家在1990-2015 (compound reform period, CRP:1990-2015)综合改革期间的养老金改革轨迹,及其对养老金努力(pension effort)的影响。本文定义了养老金改革包括消减性改革(contractionary pension reform)和扩张性改革(expansionary pension reform),养老金努力(pension effort)包括养老金支出(pension expenditure)和养老金慷慨度(pension generosity)。受"福利国家危机论"的影响,现存的大部分相关学术主要分析了宏观社会・经济因素(包括经济,政治和制度因素)对养老金政策的影响。这些研究集中在研究养老金支出而忽视了对养老金慷慨度的分析. 宏观社会经济背景及制度的遗产(institutional legacy)或历史轨迹等对养老金努力(pension effort)影响效应息息相关,但是本研究认为基于宏观理论并限定于养老金支出的传统文献没有充分的的分析到后工业社会下(post-industrialization)的养老金改革轨迹和特征。尤其是从20世纪末,为了应对新旧社会风险(old and new social risks)的压力,综合型养老金改革(compound pension reform),即消减性改革(contractionary pension reform)和扩张性改革(expansionary pension reform)被纷纷采纳去同时解决养老金财政可持续性和抵御老年贫困的两个问题。本文认为传统文献在研究养老金政策的影响因素中存在两个主要局限性问题:第一,忽视了核心变量-养老金改革对老金支出(pension expenditure)和养老金慷慨度(pension generosity)的影响。第二,现有的定量和定性社会政策比较或聚类研究只从围绕静态角度(static perspective)的政策特征却忽视了政策的动态变化(policy dynamic change)。 本文以Häusermann (2010)的养老金改革理论为基础,分析了包括消减性改革(contractionary pension reform)和扩张性改革(expansionary pension reform)养老金改革的十个变量:保险参数(parametric reform参数改革),市场化(例如: 从DB 改革成 DC),目标化(targeting) (例如: 经济能力审查:means-tested), 再调整(recalibration) (例如:养老金补贴: pension credits)。为了从统计学上评估分析这些养老金改革对养老金努力(pension effort)对影响效应,本文采用了两种分析方法:K均值无监督聚类分析(clustering analysis)和线性混合效应模型(linear mixed effect model, LMM)。根据聚类分析(clustering analysis)结果,15国家在1990-2015期间的养老金改革可分为四个改革类型:劳动激励改革型(labor-activated pension reform, LAP), 扩展私有化改革型(extended privatization pension reform, EPP), 后发结构改革型(latecomer structural pension reform, LSP),和激进消减改革型(extensive retrenchment pension reform, ERP). 基于定量统计数据比较分析,线性混合效应模型(linear mixed effect model, LMM)分析结果发现不同的改革轨迹对养老金支出和养老金慷慨度影响不同。 劳动激励改革型(labor-activated pension reform, LAP)是由发达福利国家组成,这些国家在CRP(1990-2015)之前遭遇过经济衰退和前所未有的失业率增加和人口转变问题,但是在CRP(1990-2015)的过度期间实现了GDP和就业率的总体水平回升。相比于其他的改革类型,这些国家面临着最高水平的社会新风险(new social risks): 女性劳动就业和服务性就业者不断增加。为了应对新旧社会风险(old and new social risks)和减轻养老金财政压力,这些国家采取了大力度的养老金参数改革。主要包括参数改革(例如: 延后退休, 处罚提前退休等),鼓励接近退休等人继续工作或重新加入劳动市场。此外利用扩张性的目标化(targeting)和再调整(recalibration)改革鼓励人们参与劳动市场并通过养老金水平等。 扩展私有化改革型(extended privatization pension reform, EPP)的宏观社会经济结构背景和劳动激励改革型(labor-activated pension reform, LAP)比较相似,但是他们的养老金改革决策却大相径庭。在CRP前期,这些国家也是经历过宏观经济巨变的发达福利国家.低生育率和最高的老年人口比例,这个改革类型的国家面临养老金支出巨大失衡的压力。另外不规则就业者(atypical worker)和服务性就业者的比例不断上升也威胁着养老金政策的长期可持续性。扩展私有化改革型(extended privatization pension reform, EPP)的主要决策是通过强制性策略提高参加职业和商业养老保险并且采取相对应的公共养老金参数改革方案。扩张型改革(expansionary pension reform)主要是为了弥补弱势和底薪群体,例如,对雇主,雇员或个人就行减税并且给以适当的补贴,经济能力审查的(means-tested)养老金补贴改革也是尤为突出。 后发结构改革型(latecomer structural pension reform cluster, LSP)的国家在养老金改革初期经历了市场经济转型独特社会变化。特别是在市场经济转型初期经济增长还没有真正的崛起,养老金制度不仅面临经济转型的挑战,人口转变包括人口老龄化和生育率下降问题更是加剧了养老金制度的财政失衡。另外新社会风险(new social risks)和全球化更激化了服务性劳动者的增加。为了扩大政府财政来源和弥补养老金缺口,这些社会背景推动了这些国家以结构改革(structural pension reform)为主线。为弱势群体也提供一定的社会补助,例如,经济能力审查的(means-tested)养老金补贴,但是后发结构改革型(latecomer structural pension reform cluster, LSP)目前缺乏再调整(recalibration)的扩张型改革(expansionary pension reform)。 激进消减改革型(extensive retrenchment pension reform, ERP)在CRP初期临最严重的老龄化增长和经济危机带来的长期经济困难。人口转变(生育率急剧下降,老龄化进程加速)更是加剧了养老金的经济持续性问题。同时,这些国家更面临着由迅速的现代化进程所带来的挑战:服务性劳动者,女性劳动市场的参与与日俱增,就业率急剧下降等新社会风险(new social risks)。在这种社会背景下,激进消减改革型 (extensive retrenchment pension reform, ERP)采用了大幅度的参数改革(parametric pension reform)为消减现存的养老金财政问题。资格审核(means-tested)的社会救助被采用去补助低收入人群和老人的养老金收入。 本文把以上的四个改革类型作为自变量研究分析了各个改革类型对养老金努力(pension effort: pension expenditure, pension generosity)的影响效果。根据线性混合效应模型(linear mixed effect model, LMM)的分析结果,相对于激进消减改革型 (extensive retrenchment pension reform, ERP), 劳动激励改革型(labor-activated pension reform, LAP)有效的消减了养老金支出; 扩展私有化改革型(extended privatization pension reform, EPP)有效的得降低了养老金的慷慨度。相比之下,劳动激励改革型(labor-activated pension reform, LAP)维持了最高标准的养老金退休年龄和提前退休的最大限制,而扩展私有化改革型(extended privatization pension reform, EPP)则是通过强制参与职业和商业退休金制度加大紧缩养老金和缴费之间的直接关系。 理论层面,第一,本研究强调养老金改革变量是理解养老金努力(pension effort)的关键。第二,1990年以来的养老金改革应该同时考虑消减性改革(contractionary pension reform)和扩张性改革(expansionary pension reform)。第三,从新制度主义的理论角度来看,社会政策比较更应该考虑动态政策变化(pension dynamic change),不应该只限于静态视角(static perspective)的政策特征。第四,传统的社会政策比较研究文献经常忽略了东亚国家,比如,中国,日本和韩国。本文认为,尤其是比较研究更应该把这些国家包括在内因为通过比较可以更有效的分析这些制度改革决策的差异性。 政策层面,在制定养老金改革方案时需要同时考虑改革对养老金支出和养老金慷慨度影响的利弊。考虑到后工业化所带来的新风险和现存的旧社会风险,在未来的养老金改革方案中养老金长期可持续性需要要均衡养老金支出可持续性和慷慨度。以韩国养老金改革为例,激进消减改革型(extensive retrenchment pension reform, ERP)可能有助于控制养老金支出,另外经济审查性的社会补助(means-tested)是可以填充贫穷老人的养老金水平;但是其改革方案很可能让高风险群体(ex. atypical workers, lower-income)面临养老金严重不足的问题。由于激进消减改革型(extensive retrenchment pension reform, ERP)不能充分满足韩国养老金制度的需求,本文总结分析了其他三个改革方案的可取性。扩展私有化改革型(extended privatization pension reform, EPP)方案主要是通过市场养老金组成部分来补充养老金福利慷慨水平,但是此改革方案可能导致韩国养老金覆盖率停滞,并恶化高风险群体(ex. atypical workers, lower-income group)的养老金慷慨度并且加剧性别福利水平不平等等问题。后发结构改革型(latecomer structural pension reform cluster, LSP) (ex. NDC) 方案对于韩国的现状更不现实。由于韩国的独特的工业及劳动市场结构,绝大部分的非典型就业者 (atypical workers) 会很难负担双重付费 (double payment issue) 问题。采用劳动激励改革型 (labor-activated pension reform, LAP) 方案可以加固韩国的公共养老金体系并有效的提高新型职业 (new career profiles) 人员的养老金覆盖率且减少老年贫困。 ; 본 연구는 15개 국가를 대상으로 1990-2015년 사이 발생한 다양한 연금개혁의 궤적을 군집화하고 이러한 연금개혁궤적 군집이 연금노력(Pension Effort)에 미치는 영향에 대해 분석하고자 한다. 본 연구에서 연금개혁은 축소개혁(Contractionary Reform) 과 확장개혁(Expansionary Reform)을 동시에 고려하며 연금노력(Pension Effort)은 연금지출(Pension Expenditure)과 연금관대성 (Pension Generosity)을 나타낸다. "복지국가의 위기론"의 영향으로 기존 대부분의 연구들은 연금노력(Pension Effort)과 관련하여 주로 거시적 관점에서사회・경제・정치 영향 요인이 연금지출에 미치는 영향에 대해서만 분석이 이뤄졌다. 특히 핵심적 연금정책수단인 연금개혁에 대한 연구가 부족했으며 연금노력(Pension Effort)에 연금관대성을 살펴본 연구는 많지 않았다. 또한 실질적으로 전통적인 "복지국가 축소론"을 기반으로 분석한 연구들은 脫산업화로 인해 복지정책의 다양한 변화 및 특징을 충분히 포착하지 못했다. 지난 20세기말부터 舊사회위험(Old Social Risk) 및 新사회위험(New Social Risk)을 동시에 대응하기 위해 많은 국가들은 연금제도의 지속가능성 개선을 위해 축소개혁(Contractionary Reform)뿐만 아니라 확장개혁(Expansionary Reform)도 같이 도입했다. 다시 말해, 기존의 연구들은 크게 두 가지 한계점을 뚜렷하게 나타내고 있었다. 첫째, 거시적 관점에서 분석한 기존연구들은 사회・경제・제도적 영향 요인이 연금노력(Pension Effort)에 미치는 영향과 연금관대성에 대해 연구가 부족하다. 또한 가장 중요한 영향요인 변수인 연금개혁에 대해 분석하지 못했다. 둘째, 기존의 질적 및 양적 비교정책연구들은 주로 연금제도의 정태적(靜態的) 특성만 포착했으며 동태적(動態的) 개혁과정에 대한 연구가 부족했다. 따라서, 동태적(動態的)인 연금개혁이 연금지출과 연금관대성에 대해 어떤 영향을 미치는가에 대한 연구가 시급하고 중요하다. 본 연구는 Häusermann (2010)의 연금개혁을 이론적 기반으로10가지 연금개혁 변수를 포함하며 15개 국가를 대상으로 26년 동안 연금개혁궤적에 대해 분석하고자 한다. 구체적으로 연금개혁 변수는 주로 보험(Insurance), 적립화(Capitalization) (예: DB에서 DC로 전환), 표적화(Targeting) (예: Means-Tested)과 再조준화(Recalibration) (예: 연금크레딧 혹은 교육크레딧)를 포함한다. 우선, 군집분석(Cluster Analysis)을 통해서 다양한 축소 및 확장 연금개혁을 연금개혁궤적으로 규명하였고, 선형혼합효과모형 (Linear Mixed Effect Model, LMM)을 통해 각 연금개혁궤적이 연금노력(Pension Effort), 즉 연금지출(Pension Expenditure)과 연금관대성(Pension Generosity)에 대한 영향을 분석하였다. 분석결과에 따라, 4가지 연금개혁 궤적 유형으로 구분할 수 있다: 노동활성화개혁(Labor-Activated Pension, LAP), 민영화확장개혁(Extended Privatization Pension, EPP)개혁, 후발구조적개혁(Latecomer Structural Pension, LSP) 그리고 긴축연금개혁(Extensive Retrenchment Pension, ERP). 노동활성화개혁(LAP)은CRP(1990-2015) 기간 이전의 매우 높은 실업률과 급진적인 인구학적 변화를 겪은 선진 복지국가로 구성되어 있다. CRP(1990-2015)기간에 진입하여 GDP 성장과 고용률 증가세를 점차적으로 확인할 수 있지만 新사회위험(New Social risk)에 가장 심각한 국면을 직면하고 있었다. 예를 들어, 높은 여성의 노동시장 참가율, 높은 세계화 지수 및 서비스업의 증가 등 있다. 이러한 舊사회위험(Old Social Risk) 및 新사회위험(New Social Risk)을 대응하기 위해 대부분 국가들은 다양한 모수적연금개혁을 실시했다. 특히 은퇴에 근접한 연령인 개인들은 계속 노동시장에 남을 수 있도록 많은 연금개혁을 노력해왔다. 예를 들어, 은퇴연령을 높이고 조기은퇴 연령 축소 및 조기은퇴의 감액을 강화하여 노동시장 참여를 유발하기 위한 많은 연금개혁을 했다. 동시에 표적화(Targeting)와 再조준화(Recalibration)등 확장개혁(Expansionary Reform)을 통해 연금 수급여건을 낮춤으로써 서비스업을 비롯한 저임금 노동자들의 노동시장 참여를 장려하기 위한 개혁을 실시하였다. 민영화확장개혁(EPP)은 거시적 사회경제 변화를 경험한 선진국으로 노동활성화개혁(LAP) 클러스터와 비슷한 거시적 사회변화 구조를 경험하였다. 이 클러스터는 CRP(1990-2015) 기간에 높은 서비스업 취업률과 더 높은 경제적 개방성을 나타낸다. 또한 65세 이상 인구 비율이 가장 높고 저출산 문제를 함께 경험하고 있다. 연금개혁 전략은 노동활성화개혁(LAP)의 채택 전략과 뚜렷한 차이가 존재하고 있다. 민영화확장개혁(EPP)은 직업 또는 개인연금의 가입을 자발적 가입에서 강제가입으로 확정하며 기존 공적연금시스템에 대한 축소개혁을 함께 진행해왔다. 저임금 노동자를 보상화기 위하여 자산조사 (Means-Test)를 통해 연금 혜택이나 연금 크레딧 (Pension Credit)과 같은 다양한 확장연금개혁(Expansionary Reform)도 이뤄졌다. 후발구조적개혁(LSP)은 기존의 연금제도는 중앙계획경제에서 광범위한 시장경제로의 이행을 경험한 국가들로 이루어졌다는 독특한 성격을 지닌다. 이러한 국가가 시장경제로 전환한 초기에는 비교적 느리게 경제가 성장하였으며 거시 경제적 전환뿐만 아니라 인구 구조적인 변화도 같이 직면하고 있었다. 또한 빠른 시장경제개방과 脫산업화로 인해 산업구조도 급격한 변화를 겪고 있기 때문에 기존의 연금제도의 골격을 유지하기 힘든 조건에 직면하고 있다. 후발구조적개혁(LSP)은 이처럼 다양한 거시 사회경제적 구조변화로 인해 급등한 연금비용 지출에 대한 대책으로 구조적개혁을 선택하였다. 취약한 집단을 보상하기 위해 여러 표적화(Targeting)와 같은 확장 연금개혁(Expansionary Reform)을 했지만 再조준화(Recalibration) 개혁은 아직 도입되지 않았다. 긴축형연금개혁(ERP)은 가장 빠른 고령화를 겪었으며 출산율이 급격히 하락한 것을 경험하고 있는 국가로 구성되었다. 新사회위험(New Social Risk) 역시 비정규직 노동자, 여성 노동시장 참여율 그리고 낮은 취업률을 포함하는 심각한 사회 및 경제적 어려움을 겪고 있다. 긴축형연금개혁(ERP)은 이처럼 점차 늘어나는 新사회위험 (New Social Risk)과 전통적인 '고급여, 저분담' 연금구조의 어려움에 직면하기 때문에 포괄적인 모수개혁을 통해 기존의 관대한 연금시스템을 축소하려고 한다. 저소득 집단과 고령 빈곤층에 대한 자산조사 (Means-test) 와 같은 표적화 (Targeting) 개혁을 통해 노후소득보장의 보조적 역할을 추가하였다. 본 연구는 위에 도출한 4가지 연금개혁 클러스터를 독립변수로 혼합효과모형(Linear Mixed Effect Model, LMM)에 투입하여 각 연금개혁이 연금노력 (Pension Effort)에 대해 통계적으로 분석하였다. 분석결과, 긴축형연금개혁(ERP)에 비해 노동활성화개혁(LAP)은 통계적으로 연금지출(Pension Expenditure)을 감소시켰으며, 반면에 민영화확장개혁(EPP)은 연금관대성(Pension Generosity)을 통계적으로 감소시켰다. 노동활성화개혁(LAP)의 연금개혁 특징을 보면 은퇴연령과 조기은퇴에 대해 가장 많이 강화했고, 한편 긴축형연금개혁(ERP)은 직업 또는 개인연금 가입을 강제가입으로 확장하여 연금 기여와 혜택 간의 더 직접적인 연결고리를 강조했다. 본 연구의 이론적 함의는 다음과 같다. 첫째, 본 연구는 연금개혁이 연금노력 (연금 지출 및 연금 관대성)에 대한 영향의 가장 핵심적인 변수라고 강조하며 또한 연금개혁은 축소형과 확장형 연금개혁을 함께 연구해야 한다고 주장한다. 둘째, 대부분 기존의 비교연구는 중국, 일본과 한국 등 동아시아 국가들을 제외해왔다. 하지만 비교정책에서 이러한 국가들을 실증적분석을 통해 차이점을 도출하여 미래 연구에서 더 효과적으로 다룰 수 있도록 해야 한다. 셋째, 이 연구는 비교사회정책 연구의 복지정책 및 제도를 분류에 대한 정태적(靜態的)인 관점이 아닌 정책변화를 반영할 수 있는 동태적(動態的)인 관점으로 보는 것을 더 타당하며 심층적으로 분석할 수 있다고 주장한다. 정책적 함의는 다음과 같이 제시하였다. 개혁 클러스터마다 각 장단점이 존재하며 정책 입안가들은 연금개혁 정책을 도입할 때 연금지출과 연금관대성을 모두 고려해야 한다. 특히 脫산업화로 인해 일시적・장기적 실업의 증가, 비정규직고용과 여성고용의 증가 등 新사회위험 및 舊사회위험을 고려해서 미래 연금개혁에서 연금지출과 연금 관대성을 동시에 고려해야한다. 이를 신중하게 고려하지 않으면 脫산업화 이후의 저소득 및 취약계층은 더 높은 노인 빈곤에 직면할 수 있다. 한국 연금개혁의 예를 들면, 긴축형연금개혁(ERP)은 장기적으로 연금지출을 낮추고 또한 자산조사(Means-Test)와 같은 표적화(Targeting)개혁을 통해 사회부조형 연금으로 노인빈곤을 해소할 수 있지만 이러한 포괄적인 축소 개혁은 특히 미래 세대의 저소득층의 심각한 연금부족의 문제를 초래할 수 있다. 또 다른 세 가지 한국의 연금개혁에 대한 시사점을 다음과 같이 제시한다. 민영화확장개혁(EPP)은 주로 개인연금 및 직업연금의 강제가입을 통해 연금의 관대성을 제고하기 때문에 이와 같은 개혁전략을 채택하면 한국의 연금의 보장성을 악화시킬 가능성이 매우 크다. 특히 비전형 노동자와 저소득층의 연금수준을 악화시킬 가능성이 매우 크다. 또한 후발구조적개혁(LSP)은 한국의 연금제도의 현황에 현실적이지 않다고 본다. 한국의 독특한 산업구조 및 脫산업사회적 요구와 수요로 인해 비정규직 노동자의 증가로 많은 가입자가 이중부담(Double Payment)을 직면해야 하는 실정이다. 노동활성화개혁(LAP)은 한국의 공적연금제도를 강화하며 한국의 노인 빈곤 및 新사회위험(New Social Risk) 등 문제를 완화하는데 있어 도움이 될 수 있다고 판단한다. ; Chapter One: Introduction 1 1.1 The Purpose of this Study 1 1.2 Limitations of Contemporary Literature 7 1.3 Identifying Dynamic Pension Reform and Pension Effort 13 1.4 Research Scope and Research Questions 15 Chapter Two: Theoretical Framework and Literature Review 18 1.1 Pension Reform Background 19 1.1.1 Demographic Pressures 19 1.1.2 Macro-economic Pressures 24 2.1 Pension Reforms Trends and Pension Structures 27 2.1.1 Trend 1: Convergence between Bismarckian and Beveridgean Structures 28 2.1.2 Trend 2: Retrenchment of Inherited Pension Systems 41 2.1.3 Summary 43 3.1 What Influences Changes in Pension Effort? Existing Arguments 45 3.1.1 Socio-economic Factors 46 3.1.2 Institutional Factors 50 3.1.3 Political Factors 52 4.1 Pension Reform Implementation - The Linchpin of Pension Effort 59 5.1 Characterizing Pension Reform – Four Pension Reform Dimensions 63 5.1.1 Insurance 69 5.1.2 Capitalization 70 5.1.3 Targeting 71 5.1.4 Recalibration 72 6.1 Empirical Research Overview 73 7.1 Analytical Framework 79 Chapter Three: Research Methodology 81 1.1 Data and Scope 81 2.1 Operational Definition of Variables 82 2.1.1 Dependent Variables 84 2.1.2 Independent Variables 87 2.1.3 Control Variables 98 3.1 Methodology 107 3.1.1 Part One: Pension Reform Classification 110 3.1.2 Part Two: Evaluation for Pension Effort - Linear Mixed-effect Model (LMM) 114 Chapter Four: Empirical Analysis 119 1.1 Descriptive Analysis 120 1.1.1 Data 120 1.1.2 Macro-socio-economic Changes 122 1.1.3 Tendencies of Pension Expenditure and Pension Generosity 127 1.1.4 Pension Reform across Countries from 1990 to 2015 132 1.1.5 Summary 151 2.2 Cluster Analysis Results 152 2.1.1 Identifying Pension Reform Clusters 152 2.1.2 Pension Reform Cluster Descriptive Statistics 156 2.1.3 Pension Expenditure and Pension Generosity 164 3.1 Pension Reform Characteristics in Four Pension Reform Clusters 166 3.1.1 Labor-activated pension (LAP) Reforms 166 3.1.2 Extended Privatization Pension (EPP) Reforms 175 3.1.3 Latecomer Structural Pension (LSP) Reforms 190 3.1.4 Extensive Retrenchment Pension (ERP) Reforms 198 3.1.5 Summary 207 4.1 Mixed Effect Model Analytical Results 211 4.1.1 Pension Expenditure 218 4.1.2 Pension Generosity 226 Chapter Five: Conclusion 232 1.1 Research Summary of Findings 232 1.2 Theoretical Implications 235 1.3 Policy Implications 239 1.4 Research Limitations 244 References 248 Appendix A. 267 Abstract (Korean) 272 Abstract (Chinese) 278 ; Doctor

학위논문 (박사) -- 서울대학교 대학원 : 사회과학대학 사회복지학과, 2020. 8. 홍백의. ; This study characterizes 15 countries' pension reform trajectories and statistically examines how these pension reform trajectories affect pension effort during the CRP (Compound Reform Period 1990-2015). This study defines pension reform are either contractionary and expansionary reforms; pension effort refers to both pension expenditure and pension generosity. Conventionally, studies have often examined how socio-influential factors (e.g. socio-economic, institutional, and political factors) affect pension effort. However, these discourses have heavily emphasized contractionary pension reforms and pension expenditure, but have overlooked expansionary pension reforms and pension generosity. This study argues that the traditional retrenchment-focused approach to pension policy research is rooted largely in inherited theories of the 'Welfare State Crisis' and macro-socio-economics, that are not reflective of the recent post-industrial policy shifts occurring in the world. In particular to pension policy, in response to the 20th century old and new social risks, traditional Bismarckian and Beveridgean countries have implemented a mix of contractionary and expansionary reforms. These reforms were designed to deal with pension financial sustainability and adequacy against old-age poverty. Consequently, two primary limitations of previous studies have become apparent. The austerity-oriented and macro view of pension effort using socio-influential factors overlooks an important building block within the dynamic pension reform process. In addition, existing quantitative and qualitative studies have centered around institutions that examine pension policies from a static perspective - overlooking pension policy dynamic changes. During the CRP, pension systems have experienced two interconnected components - retrenchment and expansionary reforms - that ultimately define pension effort. Accordingly, it is necessary to comprehensively investigate how these components of dynamic pension reform affect pension effort in the context of both pension expenditure and pension generosity. This study organized expansionary and retrenchment pension reforms using ten pension reform variables based on the work Häusermann (2010): insurance (e.g. parametric pension reforms), capitalization (e.g. DB to DC shifts), targeting (e.g. means-tested), and recalibration (e.g. pension credits). In order to evaluate how these pension reforms affected pension effort, this study utilized two analytical methods: unsupervised clustering characterizes pension reform trajectories, and an LMM (Mixed Effect Model) statistically evaluates their effectiveness with respect to pension expenditure and pension generosity. Pension reforms were categorized into four pension reform clusters: labor-activated pension (LAP) reforms, extended privatization pension (EPP) reforms, latecomer structural pension (LSP) reforms, and extensive retrenchment pension (ERP) reforms. The labor-activated pension reform (LAP) cluster is generally composed of advanced welfare states that experienced the highest unemployment rates and most pressing demographic changes prior to the CRP. However, their transition into the CRP has been met with significant GDP growth and high employment rates. At the same time, this cluster is facing the highest level of new social risks in regions like women's labor participation, employment in services, and economic openness. In response to both old and new social risks, most of the countries in this cluster made significant reforms meant to mitigate their effects. Various parametric pension reforms (e.g. increasing the retirement age, penalizing early retirement, etc.) encourage individuals near retirement to continue working or re-enter the workforce, thus increasing labor supply. In addition, targeting and recalibration reforms incentivize participation in the labor market by lowering pension eligibility requirements. The extended privatization pension reform (EPP) cluster is very similar in its Marco-socio-economic structure to the labor-activated pension reform (LAP) cluster, in that it is defined by developed nations that experienced drastic macro-socio-economic changes before the CRP. However, in the CRP this cluster has the highest levels of aged 65 years and older individuals, coupled with a moderately high economic growth. Growth compared to the labor activated pension reform cluster may be lower due to this aging. When a higher proportion of a total population is elderly, a larger proportion of economic expenses must be spent on retirement care. However, another additional feature of this cluster's socio-economics is lower birth rates. Some new social risks of interest that have had a particular effect on this cluster are increasing service sector employment rates and higher economic openness. However, pension reform strategies are vastly different from the labor-activated pension reform (LAP) reform strategies. This reform cluster shifts enrollment in occupational or individual pension programs from voluntary to mandatory and these programs then work in conjunction with existing public pension systems. However, in order to compensate disadvantaged groups and unpaid workers, various expansionary pension reforms were also implemented in tandem; for example, means-tested pension benefits, tax reductions or earnings-related subsidies to employers, employees or individuals. The latecomer structural pension reform cluster (LSP) is uniquely composed of countries that had transitioned from centrally planned economies to widespread market-based economies at the inception of their original pension programs. Their transition to market based-economies was not smooth and this was reflected in their relatively slow economic growth. Structural changes are not the only facet that describes the struggles these countries have had during the CRP; demographic issues have also played an outsized role in their economies. Not only had their relative population aged, but at the same time, there was a dramatic drop in their fertility rates. New social risks have been reflected in their rising proportion of service sector employment and the swift opening of their economies. This cluster turned to structural-based reforms as a countermeasure to the ballooning pension expenditures that ensued, because of these different macro-socio-economic hardships. In order to compensate disadvantaged groups and unpaid workers, various expansionary pension reforms were also implemented in tandem with contractionary reforms (ex. targeting reform), but recalibration reforms were not implemented. The extensive retrenchment pension reform cluster (ERP), is composed of countries that demographically aged the most, and experienced the greatest long-term economic hardships because of economic crises during the CRP. Another critical issue was the decline of birth rates in these countries. New social risks have also added stress to their economic hardships with increases in atypical workers, women's labor participation rates, and serious issues with low employment rates. Under these increasing new social risks and problematic pension structures, the extensive retrenchment pension (ERP) reform cluster retrenched inherited asymmetric pension systems through radical parametric reforms, then means-tested programs were additionally added to compensate low-income groups and impoverished elderly. Each pension reform clusters' socio-economic backgrounds provide insight into the underlying indicators that are correlated with their adoption of different pension reform policies. Using these pension reform clusters as independent variables, this study demonstrates that different pension reforms have diversified the existing architecture of pension effort. According to the Linear Mixed Effect Model (LMM) results, the labor-activated pension reform (LAP) cluster statistically reduced pension expenditure relative to the reference pension reform cluster (extensive retrenchment pension reform cluster). The extended privatization pension (EPP) reform cluster significantly reduced pension generosity relative to the reference pension reform cluster (extensive retrenchment pension reform cluster). While the labor-activated pension (LAP) reform cluster maintained the highest standard pension retirement age and most restrictions on early retirement, the extended privatization pension (EPP) reform cluster created a more direct link between pension benefits and an individual's pension contributions, by shifting to mandatory enrollment in occupational or individual pension programs. This study asserts that pension reforms are the key to understanding pension effort (pension expenditure and pension generosity), and that contractionary and expansionary pension reform policies should be studied together. In addition, existing comparative studies have often excluded East-Asian countries, in particular, China, Japan, and Korea. They should be included in comparative policy analysis that will allow researchers to determine if they are empirically different, and thus compensate or address those differences more effectively in future research. In comparative social policy research, from the new institutionalism perspective, policy classifications should consider the process of policy change, from a dynamic perspective rather than static characteristics. This study suggests that policymakers may need to be concerned about each pension reform's pros and cons in the context of pension expenditure and generosity when adopting a pension reform. In future pension reforms, policymakers need to explicitly design their policies around increasing new profiles who, if not considered more carefully, are at higher risk of poverty in this post-industrialized global economy. The most sensible means of doing this is if policymakers avoid reducing benefits for these groups when legislating future pension reforms. Take Korean pension reforms as an example. Korea adopted an extensive parametric pension (ERP) reforms that may prove to be an effective way of curbing costs, while means-tested incentives provide more generous benefits to the growing population of at-risk individuals. However, extensive retrenchment pension (ERP) reforms have a high risk of providing inadequate pension benefits to at-risk groups without seriously resolving issues with program expenditure. Since extensive retrenchment pension (ERP) reforms do not sufficiently meet the needs of the Korean pension system, the next step is to look at alternative clusters to resolve these issues. Extended privatization pension reforms (EPP) generally supplement pension benefits by adopting a market-based pension component. However, adopting a reform from this cluster will also likely result in stagnated pension coverage, deteriorated pension benefits, and increased gender and income inequality. Adoption of a latecomer structural pension reform (LSP) (e.g. NDC) is also not realistic, because there are a large number of atypical workers in Korea (e.g. self-employed, part-time workers) who are unable to shoulder considerable financial burdens (double payment issues). This study suggests that adopting a labor-activated pension reform (LAP) may be the most effective pension strategy to strengthen Korean public pension system security. This strategy takes into account new career profiles that were previously overlooked by the system; the goal of including these workers to the system would be to reduce the occurrence of old-age poverty. ; 本论文定量比较分析了15个国家在1990-2015 (compound reform period, CRP:1990-2015)综合改革期间的养老金改革轨迹,及其对养老金努力(pension effort)的影响。本文定义了养老金改革包括消减性改革(contractionary pension reform)和扩张性改革(expansionary pension reform),养老金努力(pension effort)包括养老金支出(pension expenditure)和养老金慷慨度(pension generosity)。受"福利国家危机论"的影响,现存的大部分相关学术主要分析了宏观社会・经济因素(包括经济,政治和制度因素)对养老金政策的影响。这些研究集中在研究养老金支出而忽视了对养老金慷慨度的分析. 宏观社会经济背景及制度的遗产(institutional legacy)或历史轨迹等对养老金努力(pension effort)影响效应息息相关,但是本研究认为基于宏观理论并限定于养老金支出的传统文献没有充分的的分析到后工业社会下(post-industrialization)的养老金改革轨迹和特征。尤其是从20世纪末,为了应对新旧社会风险(old and new social risks)的压力,综合型养老金改革(compound pension reform),即消减性改革(contractionary pension reform)和扩张性改革(expansionary pension reform)被纷纷采纳去同时解决养老金财政可持续性和抵御老年贫困的两个问题。本文认为传统文献在研究养老金政策的影响因素中存在两个主要局限性问题:第一,忽视了核心变量-养老金改革对老金支出(pension expenditure)和养老金慷慨度(pension generosity)的影响。第二,现有的定量和定性社会政策比较或聚类研究只从围绕静态角度(static perspective)的政策特征却忽视了政策的动态变化(policy dynamic change)。 本文以Häusermann (2010)的养老金改革理论为基础,分析了包括消减性改革(contractionary pension reform)和扩张性改革(expansionary pension reform)养老金改革的十个变量:保险参数(parametric reform参数改革),市场化(例如: 从DB 改革成 DC),目标化(targeting) (例如: 经济能力审查:means-tested), 再调整(recalibration) (例如:养老金补贴: pension credits)。为了从统计学上评估分析这些养老金改革对养老金努力(pension effort)对影响效应,本文采用了两种分析方法:K均值无监督聚类分析(clustering analysis)和线性混合效应模型(linear mixed effect model, LMM)。根据聚类分析(clustering analysis)结果,15国家在1990-2015期间的养老金改革可分为四个改革类型:劳动激励改革型(labor-activated pension reform, LAP), 扩展私有化改革型(extended privatization pension reform, EPP), 后发结构改革型(latecomer structural pension reform, LSP),和激进消减改革型(extensive retrenchment pension reform, ERP). 基于定量统计数据比较分析,线性混合效应模型(linear mixed effect model, LMM)分析结果发现不同的改革轨迹对养老金支出和养老金慷慨度影响不同。 劳动激励改革型(labor-activated pension reform, LAP)是由发达福利国家组成,这些国家在CRP(1990-2015)之前遭遇过经济衰退和前所未有的失业率增加和人口转变问题,但是在CRP(1990-2015)的过度期间实现了GDP和就业率的总体水平回升。相比于其他的改革类型,这些国家面临着最高水平的社会新风险(new social risks): 女性劳动就业和服务性就业者不断增加。为了应对新旧社会风险(old and new social risks)和减轻养老金财政压力,这些国家采取了大力度的养老金参数改革。主要包括参数改革(例如: 延后退休, 处罚提前退休等),鼓励接近退休等人继续工作或重新加入劳动市场。此外利用扩张性的目标化(targeting)和再调整(recalibration)改革鼓励人们参与劳动市场并通过养老金水平等。 扩展私有化改革型(extended privatization pension reform, EPP)的宏观社会经济结构背景和劳动激励改革型(labor-activated pension reform, LAP)比较相似,但是他们的养老金改革决策却大相径庭。在CRP前期,这些国家也是经历过宏观经济巨变的发达福利国家.低生育率和最高的老年人口比例,这个改革类型的国家面临养老金支出巨大失衡的压力。另外不规则就业者(atypical worker)和服务性就业者的比例不断上升也威胁着养老金政策的长期可持续性。扩展私有化改革型(extended privatization pension reform, EPP)的主要决策是通过强制性策略提高参加职业和商业养老保险并且采取相对应的公共养老金参数改革方案。扩张型改革(expansionary pension reform)主要是为了弥补弱势和底薪群体,例如,对雇主,雇员或个人就行减税并且给以适当的补贴,经济能力审查的(means-tested)养老金补贴改革也是尤为突出。 后发结构改革型(latecomer structural pension reform cluster, LSP)的国家在养老金改革初期经历了市场经济转型独特社会变化。特别是在市场经济转型初期经济增长还没有真正的崛起,养老金制度不仅面临经济转型的挑战,人口转变包括人口老龄化和生育率下降问题更是加剧了养老金制度的财政失衡。另外新社会风险(new social risks)和全球化更激化了服务性劳动者的增加。为了扩大政府财政来源和弥补养老金缺口,这些社会背景推动了这些国家以结构改革(structural pension reform)为主线。为弱势群体也提供一定的社会补助,例如,经济能力审查的(means-tested)养老金补贴,但是后发结构改革型(latecomer structural pension reform cluster, LSP)目前缺乏再调整(recalibration)的扩张型改革(expansionary pension reform)。 激进消减改革型(extensive retrenchment pension reform, ERP)在CRP初期临最严重的老龄化增长和经济危机带来的长期经济困难。人口转变(生育率急剧下降,老龄化进程加速)更是加剧了养老金的经济持续性问题。同时,这些国家更面临着由迅速的现代化进程所带来的挑战:服务性劳动者,女性劳动市场的参与与日俱增,就业率急剧下降等新社会风险(new social risks)。在这种社会背景下,激进消减改革型 (extensive retrenchment pension reform, ERP)采用了大幅度的参数改革(parametric pension reform)为消减现存的养老金财政问题。资格审核(means-tested)的社会救助被采用去补助低收入人群和老人的养老金收入。 本文把以上的四个改革类型作为自变量研究分析了各个改革类型对养老金努力(pension effort: pension expenditure, pension generosity)的影响效果。根据线性混合效应模型(linear mixed effect model, LMM)的分析结果,相对于激进消减改革型 (extensive retrenchment pension reform, ERP), 劳动激励改革型(labor-activated pension reform, LAP)有效的消减了养老金支出; 扩展私有化改革型(extended privatization pension reform, EPP)有效的得降低了养老金的慷慨度。相比之下,劳动激励改革型(labor-activated pension reform, LAP)维持了最高标准的养老金退休年龄和提前退休的最大限制,而扩展私有化改革型(extended privatization pension reform, EPP)则是通过强制参与职业和商业退休金制度加大紧缩养老金和缴费之间的直接关系。 理论层面,第一,本研究强调养老金改革变量是理解养老金努力(pension effort)的关键。第二,1990年以来的养老金改革应该同时考虑消减性改革(contractionary pension reform)和扩张性改革(expansionary pension reform)。第三,从新制度主义的理论角度来看,社会政策比较更应该考虑动态政策变化(pension dynamic change),不应该只限于静态视角(static perspective)的政策特征。第四,传统的社会政策比较研究文献经常忽略了东亚国家,比如,中国,日本和韩国。本文认为,尤其是比较研究更应该把这些国家包括在内因为通过比较可以更有效的分析这些制度改革决策的差异性。 政策层面,在制定养老金改革方案时需要同时考虑改革对养老金支出和养老金慷慨度影响的利弊。考虑到后工业化所带来的新风险和现存的旧社会风险,在未来的养老金改革方案中养老金长期可持续性需要要均衡养老金支出可持续性和慷慨度。以韩国养老金改革为例,激进消减改革型(extensive retrenchment pension reform, ERP)可能有助于控制养老金支出,另外经济审查性的社会补助(means-tested)是可以填充贫穷老人的养老金水平;但是其改革方案很可能让高风险群体(ex. atypical workers, lower-income)面临养老金严重不足的问题。由于激进消减改革型(extensive retrenchment pension reform, ERP)不能充分满足韩国养老金制度的需求,本文总结分析了其他三个改革方案的可取性。扩展私有化改革型(extended privatization pension reform, EPP)方案主要是通过市场养老金组成部分来补充养老金福利慷慨水平,但是此改革方案可能导致韩国养老金覆盖率停滞,并恶化高风险群体(ex. atypical workers, lower-income group)的养老金慷慨度并且加剧性别福利水平不平等等问题。后发结构改革型(latecomer structural pension reform cluster, LSP) (ex. NDC) 方案对于韩国的现状更不现实。由于韩国的独特的工业及劳动市场结构,绝大部分的非典型就业者 (atypical workers) 会很难负担双重付费 (double payment issue) 问题。采用劳动激励改革型 (labor-activated pension reform, LAP) 方案可以加固韩国的公共养老金体系并有效的提高新型职业 (new career profiles) 人员的养老金覆盖率且减少老年贫困。 ; 본 연구는 15개 국가를 대상으로 1990-2015년 사이 발생한 다양한 연금개혁의 궤적을 군집화하고 이러한 연금개혁궤적 군집이 연금노력(Pension Effort)에 미치는 영향에 대해 분석하고자 한다. 본 연구에서 연금개혁은 축소개혁(Contractionary Reform) 과 확장개혁(Expansionary Reform)을 동시에 고려하며 연금노력(Pension Effort)은 연금지출(Pension Expenditure)과 연금관대성 (Pension Generosity)을 나타낸다. "복지국가의 위기론"의 영향으로 기존 대부분의 연구들은 연금노력(Pension Effort)과 관련하여 주로 거시적 관점에서사회・경제・정치 영향 요인이 연금지출에 미치는 영향에 대해서만 분석이 이뤄졌다. 특히 핵심적 연금정책수단인 연금개혁에 대한 연구가 부족했으며 연금노력(Pension Effort)에 연금관대성을 살펴본 연구는 많지 않았다. 또한 실질적으로 전통적인 "복지국가 축소론"을 기반으로 분석한 연구들은 脫산업화로 인해 복지정책의 다양한 변화 및 특징을 충분히 포착하지 못했다. 지난 20세기말부터 舊사회위험(Old Social Risk) 및 新사회위험(New Social Risk)을 동시에 대응하기 위해 많은 국가들은 연금제도의 지속가능성 개선을 위해 축소개혁(Contractionary Reform)뿐만 아니라 확장개혁(Expansionary Reform)도 같이 도입했다. 다시 말해, 기존의 연구들은 크게 두 가지 한계점을 뚜렷하게 나타내고 있었다. 첫째, 거시적 관점에서 분석한 기존연구들은 사회・경제・제도적 영향 요인이 연금노력(Pension Effort)에 미치는 영향과 연금관대성에 대해 연구가 부족하다. 또한 가장 중요한 영향요인 변수인 연금개혁에 대해 분석하지 못했다. 둘째, 기존의 질적 및 양적 비교정책연구들은 주로 연금제도의 정태적(靜態的) 특성만 포착했으며 동태적(動態的) 개혁과정에 대한 연구가 부족했다. 따라서, 동태적(動態的)인 연금개혁이 연금지출과 연금관대성에 대해 어떤 영향을 미치는가에 대한 연구가 시급하고 중요하다. 본 연구는 Häusermann (2010)의 연금개혁을 이론적 기반으로10가지 연금개혁 변수를 포함하며 15개 국가를 대상으로 26년 동안 연금개혁궤적에 대해 분석하고자 한다. 구체적으로 연금개혁 변수는 주로 보험(Insurance), 적립화(Capitalization) (예: DB에서 DC로 전환), 표적화(Targeting) (예: Means-Tested)과 再조준화(Recalibration) (예: 연금크레딧 혹은 교육크레딧)를 포함한다. 우선, 군집분석(Cluster Analysis)을 통해서 다양한 축소 및 확장 연금개혁을 연금개혁궤적으로 규명하였고, 선형혼합효과모형 (Linear Mixed Effect Model, LMM)을 통해 각 연금개혁궤적이 연금노력(Pension Effort), 즉 연금지출(Pension Expenditure)과 연금관대성(Pension Generosity)에 대한 영향을 분석하였다. 분석결과에 따라, 4가지 연금개혁 궤적 유형으로 구분할 수 있다: 노동활성화개혁(Labor-Activated Pension, LAP), 민영화확장개혁(Extended Privatization Pension, EPP)개혁, 후발구조적개혁(Latecomer Structural Pension, LSP) 그리고 긴축연금개혁(Extensive Retrenchment Pension, ERP). 노동활성화개혁(LAP)은CRP(1990-2015) 기간 이전의 매우 높은 실업률과 급진적인 인구학적 변화를 겪은 선진 복지국가로 구성되어 있다. CRP(1990-2015)기간에 진입하여 GDP 성장과 고용률 증가세를 점차적으로 확인할 수 있지만 新사회위험(New Social risk)에 가장 심각한 국면을 직면하고 있었다. 예를 들어, 높은 여성의 노동시장 참가율, 높은 세계화 지수 및 서비스업의 증가 등 있다. 이러한 舊사회위험(Old Social Risk) 및 新사회위험(New Social Risk)을 대응하기 위해 대부분 국가들은 다양한 모수적연금개혁을 실시했다. 특히 은퇴에 근접한 연령인 개인들은 계속 노동시장에 남을 수 있도록 많은 연금개혁을 노력해왔다. 예를 들어, 은퇴연령을 높이고 조기은퇴 연령 축소 및 조기은퇴의 감액을 강화하여 노동시장 참여를 유발하기 위한 많은 연금개혁을 했다. 동시에 표적화(Targeting)와 再조준화(Recalibration)등 확장개혁(Expansionary Reform)을 통해 연금 수급여건을 낮춤으로써 서비스업을 비롯한 저임금 노동자들의 노동시장 참여를 장려하기 위한 개혁을 실시하였다. 민영화확장개혁(EPP)은 거시적 사회경제 변화를 경험한 선진국으로 노동활성화개혁(LAP) 클러스터와 비슷한 거시적 사회변화 구조를 경험하였다. 이 클러스터는 CRP(1990-2015) 기간에 높은 서비스업 취업률과 더 높은 경제적 개방성을 나타낸다. 또한 65세 이상 인구 비율이 가장 높고 저출산 문제를 함께 경험하고 있다. 연금개혁 전략은 노동활성화개혁(LAP)의 채택 전략과 뚜렷한 차이가 존재하고 있다. 민영화확장개혁(EPP)은 직업 또는 개인연금의 가입을 자발적 가입에서 강제가입으로 확정하며 기존 공적연금시스템에 대한 축소개혁을 함께 진행해왔다. 저임금 노동자를 보상화기 위하여 자산조사 (Means-Test)를 통해 연금 혜택이나 연금 크레딧 (Pension Credit)과 같은 다양한 확장연금개혁(Expansionary Reform)도 이뤄졌다. 후발구조적개혁(LSP)은 기존의 연금제도는 중앙계획경제에서 광범위한 시장경제로의 이행을 경험한 국가들로 이루어졌다는 독특한 성격을 지닌다. 이러한 국가가 시장경제로 전환한 초기에는 비교적 느리게 경제가 성장하였으며 거시 경제적 전환뿐만 아니라 인구 구조적인 변화도 같이 직면하고 있었다. 또한 빠른 시장경제개방과 脫산업화로 인해 산업구조도 급격한 변화를 겪고 있기 때문에 기존의 연금제도의 골격을 유지하기 힘든 조건에 직면하고 있다. 후발구조적개혁(LSP)은 이처럼 다양한 거시 사회경제적 구조변화로 인해 급등한 연금비용 지출에 대한 대책으로 구조적개혁을 선택하였다. 취약한 집단을 보상하기 위해 여러 표적화(Targeting)와 같은 확장 연금개혁(Expansionary Reform)을 했지만 再조준화(Recalibration) 개혁은 아직 도입되지 않았다. 긴축형연금개혁(ERP)은 가장 빠른 고령화를 겪었으며 출산율이 급격히 하락한 것을 경험하고 있는 국가로 구성되었다. 新사회위험(New Social Risk) 역시 비정규직 노동자, 여성 노동시장 참여율 그리고 낮은 취업률을 포함하는 심각한 사회 및 경제적 어려움을 겪고 있다. 긴축형연금개혁(ERP)은 이처럼 점차 늘어나는 新사회위험 (New Social Risk)과 전통적인 '고급여, 저분담' 연금구조의 어려움에 직면하기 때문에 포괄적인 모수개혁을 통해 기존의 관대한 연금시스템을 축소하려고 한다. 저소득 집단과 고령 빈곤층에 대한 자산조사 (Means-test) 와 같은 표적화 (Targeting) 개혁을 통해 노후소득보장의 보조적 역할을 추가하였다. 본 연구는 위에 도출한 4가지 연금개혁 클러스터를 독립변수로 혼합효과모형(Linear Mixed Effect Model, LMM)에 투입하여 각 연금개혁이 연금노력 (Pension Effort)에 대해 통계적으로 분석하였다. 분석결과, 긴축형연금개혁(ERP)에 비해 노동활성화개혁(LAP)은 통계적으로 연금지출(Pension Expenditure)을 감소시켰으며, 반면에 민영화확장개혁(EPP)은 연금관대성(Pension Generosity)을 통계적으로 감소시켰다. 노동활성화개혁(LAP)의 연금개혁 특징을 보면 은퇴연령과 조기은퇴에 대해 가장 많이 강화했고, 한편 긴축형연금개혁(ERP)은 직업 또는 개인연금 가입을 강제가입으로 확장하여 연금 기여와 혜택 간의 더 직접적인 연결고리를 강조했다. 본 연구의 이론적 함의는 다음과 같다. 첫째, 본 연구는 연금개혁이 연금노력 (연금 지출 및 연금 관대성)에 대한 영향의 가장 핵심적인 변수라고 강조하며 또한 연금개혁은 축소형과 확장형 연금개혁을 함께 연구해야 한다고 주장한다. 둘째, 대부분 기존의 비교연구는 중국, 일본과 한국 등 동아시아 국가들을 제외해왔다. 하지만 비교정책에서 이러한 국가들을 실증적분석을 통해 차이점을 도출하여 미래 연구에서 더 효과적으로 다룰 수 있도록 해야 한다. 셋째, 이 연구는 비교사회정책 연구의 복지정책 및 제도를 분류에 대한 정태적(靜態的)인 관점이 아닌 정책변화를 반영할 수 있는 동태적(動態的)인 관점으로 보는 것을 더 타당하며 심층적으로 분석할 수 있다고 주장한다. 정책적 함의는 다음과 같이 제시하였다. 개혁 클러스터마다 각 장단점이 존재하며 정책 입안가들은 연금개혁 정책을 도입할 때 연금지출과 연금관대성을 모두 고려해야 한다. 특히 脫산업화로 인해 일시적・장기적 실업의 증가, 비정규직고용과 여성고용의 증가 등 新사회위험 및 舊사회위험을 고려해서 미래 연금개혁에서 연금지출과 연금 관대성을 동시에 고려해야한다. 이를 신중하게 고려하지 않으면 脫산업화 이후의 저소득 및 취약계층은 더 높은 노인 빈곤에 직면할 수 있다. 한국 연금개혁의 예를 들면, 긴축형연금개혁(ERP)은 장기적으로 연금지출을 낮추고 또한 자산조사(Means-Test)와 같은 표적화(Targeting)개혁을 통해 사회부조형 연금으로 노인빈곤을 해소할 수 있지만 이러한 포괄적인 축소 개혁은 특히 미래 세대의 저소득층의 심각한 연금부족의 문제를 초래할 수 있다. 또 다른 세 가지 한국의 연금개혁에 대한 시사점을 다음과 같이 제시한다. 민영화확장개혁(EPP)은 주로 개인연금 및 직업연금의 강제가입을 통해 연금의 관대성을 제고하기 때문에 이와 같은 개혁전략을 채택하면 한국의 연금의 보장성을 악화시킬 가능성이 매우 크다. 특히 비전형 노동자와 저소득층의 연금수준을 악화시킬 가능성이 매우 크다. 또한 후발구조적개혁(LSP)은 한국의 연금제도의 현황에 현실적이지 않다고 본다. 한국의 독특한 산업구조 및 脫산업사회적 요구와 수요로 인해 비정규직 노동자의 증가로 많은 가입자가 이중부담(Double Payment)을 직면해야 하는 실정이다. 노동활성화개혁(LAP)은 한국의 공적연금제도를 강화하며 한국의 노인 빈곤 및 新사회위험(New Social Risk) 등 문제를 완화하는데 있어 도움이 될 수 있다고 판단한다. ; Chapter One: Introduction 1 1.1 The Purpose of this Study 1 1.2 Limitations of Contemporary Literature 7 1.3 Identifying Dynamic Pension Reform and Pension Effort 13 1.4 Research Scope and Research Questions 15 Chapter Two: Theoretical Framework and Literature Review 18 1.1 Pension Reform Background 19 1.1.1 Demographic Pressures 19 1.1.2 Macro-economic Pressures 24 2.1 Pension Reforms Trends and Pension Structures 27 2.1.1 Trend 1: Convergence between Bismarckian and Beveridgean Structures 28 2.1.2 Trend 2: Retrenchment of Inherited Pension Systems 41 2.1.3 Summary 43 3.1 What Influences Changes in Pension Effort? Existing Arguments 45 3.1.1 Socio-economic Factors 46 3.1.2 Institutional Factors 50 3.1.3 Political Factors 52 4.1 Pension Reform Implementation - The Linchpin of Pension Effort 59 5.1 Characterizing Pension Reform – Four Pension Reform Dimensions 63 5.1.1 Insurance 69 5.1.2 Capitalization 70 5.1.3 Targeting 71 5.1.4 Recalibration 72 6.1 Empirical Research Overview 73 7.1 Analytical Framework 79 Chapter Three: Research Methodology 81 1.1 Data and Scope 81 2.1 Operational Definition of Variables 82 2.1.1 Dependent Variables 84 2.1.2 Independent Variables 87 2.1.3 Control Variables 98 3.1 Methodology 107 3.1.1 Part One: Pension Reform Classification 110 3.1.2 Part Two: Evaluation for Pension Effort - Linear Mixed-effect Model (LMM) 114 Chapter Four: Empirical Analysis 119 1.1 Descriptive Analysis 120 1.1.1 Data 120 1.1.2 Macro-socio-economic Changes 122 1.1.3 Tendencies of Pension Expenditure and Pension Generosity 127 1.1.4 Pension Reform across Countries from 1990 to 2015 132 1.1.5 Summary 151 2.2 Cluster Analysis Results 152 2.1.1 Identifying Pension Reform Clusters 152 2.1.2 Pension Reform Cluster Descriptive Statistics 156 2.1.3 Pension Expenditure and Pension Generosity 164 3.1 Pension Reform Characteristics in Four Pension Reform Clusters 166 3.1.1 Labor-activated pension (LAP) Reforms 166 3.1.2 Extended Privatization Pension (EPP) Reforms 175 3.1.3 Latecomer Structural Pension (LSP) Reforms 190 3.1.4 Extensive Retrenchment Pension (ERP) Reforms 198 3.1.5 Summary 207 4.1 Mixed Effect Model Analytical Results 211 4.1.1 Pension Expenditure 218 4.1.2 Pension Generosity 226 Chapter Five: Conclusion 232 1.1 Research Summary of Findings 232 1.2 Theoretical Implications 235 1.3 Policy Implications 239 1.4 Research Limitations 244 References 248 Appendix A. 267 Abstract (Korean) 272 Abstract (Chinese) 278 ; Doctor

Sexual Objectification in Mo Yan's Big Breasts and Wide Hips Vianey Paramitha English Literature Faculty of Languages and Arts State University of Surabaya helenavianey23@gmail.com Dr. Ali Mustofa, SS., M.Pd. English Department Faculty of Languages and Arts State University of Surabaya ali_mustofa2005@yahoo.co.uk Abstrak Penelitian ini memfokuskan pada penggambaran objektifikasi seksual yang dialami oleh tokoh utama dan apa efek yang timbul sebagai akibat dari objektifikasi seksual. Fitur objektifikasi seksual ditampilkan untuk memberikan pemahaman tentang klasifikasi objektifikasi seksual. Untuk menjawab masalah pertama, penelitian ini menggunakan teori objektifikasi seksual oleh Fredrickson dan Roberts dan didukung oleh beberapa filsuf dan fitur objektifikasi seksual yang dikemukakan oleh Martha Nussbaum dan Rae Langton. Masalah kedua dijawab dengan menggunakan konsep dari Fredrickson dan Roberts dan filsuf lainnya tentang efek objektifikasi seksual. Data ini menyajikan objektifikasi seksual yang dialami oleh Shangguan Lu dan apa efek dari pengalaman objektifikasi seksual tersebut. Analisis ini mengungkapkan objektifikasi seksual yang dialami Shangguan Lu dan faktor-faktor yang menyebabkan objektifikasi seksual. Fitur dari objektifikasi seksual digunakan untuk menggambarkan bentuk objektifikasi seksual yang dialami Shangguan Lu. Selanjutnya, pengalaman objektifikasi seksual membawa efek di dalam hidupnya. Shangguan Lu mengalami kecemasan terhadap penampilan, disfungsi seksual, kemarahan, depresi, keinginan untuk bunuh diri, kepemilikan terhadap anak-anak, dan sikap seksual. Efek tersebut muncul karena pengalaman objektifikasi seksual. Kata Kunci: objektifikasi seksual, objektifikasi diri. Abstract This study focuses on depicting sexual objectification performed by the main character and what the effect arising as result of sexual objectification. Features of sexual objectification occur to give understanding about classification of sexual objectification. To answer the first problem, this study uses the theory of sexual objectification by Fredrickson and Roberts and supported by several philosophers and the features of sexual objectification offered by Martha Nussbaum and Rae Langton. The second problem is answered by using the concept from Fredrickson and Roberts and other philosopher about the effects of sexual objectification. The data presents Shangguan Lu's sexual objectification and what the effect of her sexual objectification experiences. The analysis reveals Shangguna Lu's sexual objectification and factors which causes sexual objectification. The features of sexual objectification are used to describe the shape of sexual objectification in Shangguan Lu. Furthermore, her sexual objectification experiences bring effect in her life. Shangguan Lu experiences appearance anxiety, sexual dysfunction, anger, depression, willing for suicide, property of children, and sexual attitude. Those effects arise because of her sexual objectification experiences. Keywords: sexual objectification, self objectification. INTRODUCTION Mo Yan is known as great Chinese writer. Many of his works are approved in the world. He is regarded as the winner of Noble Prize in Literature in 2012. The one of his novels which brings him gets the prize is Big Breasts and Wide Hips. This epic novel story is first and foremost about women, with the female body serving as the object for man sexual desire. The story is about the protagonist, Mother, is born in 1900 and married at seventeen into the Shangguan family. She has nine children, only one of whom is a boy. The boy becomes the narrator of the novel. A spoiled and ineffectual child, he stands in stark contrast to his eight strong and forceful female siblings (Mo Yan, 1996). The story begins when she was child, she called as Xuan'er, survives meanwhile her parents are die. She brought up by her aunt and uncle. She grows up, bound feet frowned upon, and so the blacksmith dares to propose marriage between Xuan'er and his son, Shangguan Shouxi. Her name becomes Shangguan Lu. This is reluctantly accepted and Shangguan Lu has to go and live with her despotic mother-in-law and her husband. Her mother-in-law starts becoming even more despotic when Shangguan Lu does not produce any children. However, she and her family eventually realize that it is her husband who is infertile, not her (Mo Yan, 1996: 48-54). Shangguan Lu has sex with other men to get a baby boy. First, she is fertilized by her uncle and gets two daughters. Further, she has sex with duck peddler, monk, dog butcher, even worse, rape by four men. Every time the result is a girl. Finally, Pastor Malory, the local priest who claims to be Swedish, though he speaks the local dialect perfectly, falls in love with her. From Pastor Malory, she manages to deliver another girl and then, immediately after, a son, Jintong (Mo Yan, 1996: 58-75). In 1900s, women in China are still exploited and follow the custom tightly. They have to follow the rules. Shangguan Lu lives between dynasty changing, the glory and collapse of dynasty Qing. When she still five years old, she must binding her feet. Binding feet is shape feet smaller. The smaller the size of their feet, they are considered more beautiful. In marriage, women usually betrothed to increase their level, as requirement, they must look beautiful in front of public. Shangguan Lu shapes her feet tiny in order to make people look her as beautiful woman and the scholar will marry her. Unfortunately, when she is seventeen years old, Qing dynasty is collapse. Binding feet becomes prohibited and tiny feet don't become benchmark of beauty. Her aunt accepts Shangguan family's marriage proposal because she is afraid of no man purpose Shangguan Lu who has tiny feet (Mo Yan, 1996: 48-50). Sexual objectification through Shangguan Lu begin when her mother in law, Shangguan Lü suppress her to have a baby boy. When Shangguan Lu doesn't give any child yet, Shangguan Lü starts to blame her and treat her rude. She concludes that her daughter in law is barren. The objectification between Shangguan Lu and her mother-in-law represents Sarah Gervais's words. Women also objectify woman as more of a comparison with themselves (Sarah Gervais's research article, 2012). Her aunt and uncle are disappointed with Shangguan family and check Shangguan Lu up in doctor. The result is nothing wrong with Shangguan Lu, so that actually Shangguan Shaoxi who is barren. They keep that fact secret in order not to make conflict with Shangguan family (Mo Yan, 1996: 58). Her aunt helps her. She makes Shangguan Lu unconscious and makes her husband have sex with Shangguan Lu. From her uncle, Shangguan Lu gets two daughters, but it can't make Shangguan Lü satisfied (Mo Yan, 1996: 58). Having a son moreover he is the first child in family in China is very important, it gives you pride because in China, men control is very strong. Heir of family is in the son's hand. A daughter is considered as a disgrace. So, Shangguan Lu begins to have sex with other men who is she meet with. She makes her body become an instrument as sex machine in order to fulfill her mother in law will. Objectification theory by Fredrickson and Roberts (1997: 173) postulates that many women are sexually objectified and treated as an object to be valued for its use by others. Her action has effects especially in her psychology. She must bear the burden alone. She keeps her husband disgrace, having sex with other men secretly, and takes care of her children alone. Her husband is not helping at all; he is too submissive with his mother and often treated Shangguan Lu rude. Women, in the other hand according to Evangelia Papadaki, who studies Mackinnon and Dworkin (2007: 344), may have the desire to change reality, but they certainly do not have the power required for such changes. In this case, Shangguan Lu can't rebel and denied Shangguan family's treatments. She wants to get respect from Shangguan family, in contrast, she does not get it even sacrifice her self-regard to other men in order to get baby boy (Mo Yan, 1996: 66). Discussing about woman often followed by stereotype that woman is a sexual object. The study about sexual objectification posted by Frederickson and Roberts is related to explore more about woman as sexual object. The theory of sexual objectification by Fredrickson and Roberts in Psychology of Women Quarterly will also support with other feminists theory likes, Kant in Lectures on Ethics, Dworkin in Pornography: Men Possessing Women, Sandra Bartky in Femininity and Domination: Studies in the Phenomenology of Oppression, Herman in Could It Be Worth Thinking About Kant on Sex and Marriage?, etc. Also this thesis contain of features of sexual objectification and the factor to make the reader understand more about sexual objectification. The psychology effects of sexual objectification will explain with theory by Fredrickson and Roberts Psychology of Women Quarterly, Harry Mills's article, Locke from Reason Paper no. 18, etc. Sexual objectification according Fredrickson and Roberts defined as the seeing and/or treating a person as an object. In this entry, the focus is primarily on sexual objectification. Sexual objectification theory suggests both direct and indirect consequences of objectification to women. Sexual objectification theory provides a useful model for understanding how socio cultural factors may give effects for women who experience sexual objectification (Fredrickson and Roberts, 1997: 174). Based on those perceptions it can be conclude that sexual objectification theory are the proper approaches to analyze the sexual objectification and its effects in the character Shangguan Lu in Mo Yan's Big Breasts and Wide Hips. RESEARCH METHOD This thesis uses the novel as object of research. The novel reads many times for properly understanding. The next step is finding appropriate theory for the novel and collecting the data through noting the quotation related with the theory. It is include in words, sentences, and discourse that can represent sexual objectification and its effect in Mo Yan's Big Breasts and Wide Hips. Classification data is important to answer the statement of problems. To make it easier, tabling the data occurs to simplify reading the analysis. SEXUALITY According to Richard A. Posner in Sex and Reason, sexuality is term social attitudes that make sex problematic, self-conscious, rather than just "natural" or biological. Sexual power is something special and comes with its own strings attached. In famous stereotype, men have been the experts in sex. They become the teacher of inexperienced female partners. It means men have sexual power through their female partners (Richard A. Posner, 1994: 13). SEXUAL ACT IN MEN AND WOMEN According to Richard A. Posner in Sex and Reason, woman who lives in sexual abstinence usually has depressions which are same with organic sexual tension. They are manifestation not from a physical urge, but of erotic yearning, narcissistic willing to be loved, and masochistic struggling to give. Even in wives of impotent husbands, the typical irritability and aggressive mood express disappointment, injury, vexation, and contempt rather than a state of somatic excitability. Once the pleasure has been enjoyed, the wish for repetition is naturally intensified (1994: 92). In many women, bourgeois morality or their mother malicious frigidity has created the idea that coitus is a sacrifice they must fulfill dirty needs of men. They must dutifully let it happen to them (Richard A. Posner, 1994: 95). SEXUAL OBJECTIFICATION According to Fredrickson and Roberts in Psychology of Women Quarterly, objectification theory provides a framework for understanding the experience of being female in a socio cultural context that sexually objectifies the female body. Objectification theory postulates that many women are sexually objectified and treated as an object to be valued for its use by others (1997: 173). Sexual objectification occurs when a woman's body or body parts are separated from her as human being and then she is viewed primarily as a physical object for satisfy male sexual desire (Kant, 1963: 165). Sexuality is not an inclination which one human being has for another. It is an inclination for the sex of another. It becomes a principle of degradation of human nature. It gives rise to the preference of one sex to the other, and to the dishonouring of that sex through the satisfaction of desire. A man has desire for woman is not directed towards her because she is human being, but it's because she is woman. The man has no concern because she is human being, only her sex is the object of man sexual desire (Kant, 1963: 164). According to Fredrickson and Roberts in Psychology of Women Quarterly, many woman experience more extreme forms of sexual objectification. It is sexual victimization such as rape, sexual assault, and sexual harassment. With these forms of victimization, a woman's body is literally treated as not more than instrument or thing by her perpetrator (1997: 186). Sexual objectification that forms sexual victimization and harassment experiences women at much higher rates than men (Fredrickson and Roberts, 1997: 189). Bartky says the psychological oppression of women consists of women being stereotyped, culturally dominated, and sexually objectified (1990: 23). According to Bartky, there are those practices that aim to produce a body of a certain size and shape: women must conform to the body ideal of their time (1990: 65–67). The very contours a woman's body takes on as she matures -the fuller breasts and rounded hips- have become distasteful (Bartky, 1990: 101). K. Martin also says within pubertal changes, a girl becomes more fully started enter to the culture of sexual objectification (1996: 31). Evangelia Papadaki, who studies MacKinnon and Dworkin, in Sexual Objectification: From Kant to Contemporary Feminism concludes women, on the other hand, may have the desire to change reality, but they certainly do not have the power required for such changes. This means that women are fifty-fifty to act in order to fight sexual objectification. It can be conclude that women are not fully responsible for their objectified fate. Women represent of powerless and victimized person. (2007: 344). Sarah Gervais, assistant professor of psychology at the University of Nebraska-Lincoln says that people can't just appoint to the men. Women see other women this way too. This happen related to different motives. Men might be doing it because they're interested in potential mates. Meanwhile women may do it as more of a comparison with themselves. In marriage, a woman is nothing more than an object for her husband's use and abuse. Dworkin posts his pessimistic language. Wife beating and marital rape are belief as a man's ownership of his wife licenses whatever he wishes to do to her. Her body belongs to him to use for his own impingement, to beat, her body belongs to him to use for his own release, to beat, to impregnate" (Dworkin, 1989: 34). According to Dawn M. Syzmanski et al in Sexual Objectification of Women: Advances to Theory and Research, drawing from feminist, vocational, and organizational psychology, the cores criteria for sexual objectification environment are ones in which: a) Traditional gender roles exist, b) a high probability of male contact exists (physically speaking, a male dominated environment), c) women typically hold less power than men in environment, d) high degree of attention is drawn to sexual/physical attributes of women's bodies, e) there is approval and acknowledgement of male gaze (2011: 20). Dawn M. Syzmanski, reading Worell and Remer, says that traditional gender role socialization encourages many men to be powerful, controlling, and dominant; see women as sex objects, view sex as a conquest; and believe that women are their property (2011: 21). Martha Nussbaum in Objectification (1995: 257) has identified seven features that are involved in the idea of treating a person as an object: 1) instrumentality: the treatment of a person as a tool for the objectifiers purposes; 2) denial of autonomy: the treatment of a person as lacking in autonomy and self-determination; 3) inertness: the treatment of a person as lacking in agency, and perhaps also in activity; 4) fungibility: the treatment of a person as interchangeable with other objects; 5) violability: the treatment of a person as lacking in boundary-integrity; 6) ownership: the treatment of a person as something that is owned by another (can be bought or sold); 7) denial of subjectivity: the treatment of a person as something whose experiences and feelings (if any) need not be taken into account. Rae Langton in Sexual Solipsism: Philosophical Essays on Pornography and Objectification (2009: 228–229) has added three more features to Nussbaum's list: 8) reduction to body: the treatment of a person as identified with their body, or body parts; 9) reduction to appearance: the treatment of a person primarily in terms of how they look, or how they appear to the senses; 10) silencing: the treatment of a person as if they are silent, lacking the capacity to speak. THE EFFECTS OF SEXUAL OBJECTIFICATION Appearance anxiety, according to medical dictionary, is social anxiety surrounding overall appearance, including body shape, and fear of negative evaluation by others. It likes the environment only looked someone by physical appearance. Commonly, it happens to woman who always worries with physical appearance. Fredrickson and Roberts posts in Psychology of Women Quarterly that self-objectification can increase women's anxiety about physical appearance, fear about when and how woman will be looked or evaluated, and reduce opportunities for gain position in states. It also diminishes awareness of internal bodily sensations and increase women's opportunities for body shame. Woman has emotion that results because of measure standard with other women. This self-objectification can increase women's physical safety in which can lead to depression and sexual dysfunction (1997: 180-181). Fredrickson and Roberts in Psychology of Women Quarterly also say that sexual dysfunctionorsexual malfunctionrefers to a difficulty experienced by an individual or a couple during any stage of a normalsexual activity, includingdesire, preference, arousal or orgasm. There are many factors which may result in a person experiencing a sexual dysfunction. These may result from emotional or physical causes. Emotional factors include in interpersonal or psychological problems. Emotional factors can be the result of depression, sexual fears or guilt, past sexual trauma, and sexual disorders. Sexual dysfunction is especially common among people who haveanxiety disorders (1997: 190). Anger can occur when people don't feel well, feel rejected, feel threatened, or experience some loss. Pain alone is not enough to cause anger. Anger occurs when pain is combined with some anger-triggering thought. Thought that can trigger anger is personal assessment, assumptions, evaluations, or interpretations of situations that makes people think that someone else is attempting, consciously or not, to hurt them. In this sense, anger is a social emotion. Sometimes people make themselves angry so that they don't have to feel pain. People change their feelings of pain into anger because it feels better to be angry than it does to be in pain (Harry Mills's article Psychology of Anger, 2005). According to Mental Health Foundation, depression can happen suddenly as a result of physical illness, experiences dating back to childhood, unemployment, bereavement, family problems or other life-changing events. Having a female body, according to Fredrickson and Roberts in Psychology of Women Quarterly, gives girls and women plenty worry about and little to control. A woman's body generates feeling of helplessness. It can also result of depression (1997: 188). Dawn M. Szymanski, reading Clark et al, adds that individuals who deal with oppressive events may have feelings of anger and depression. It continues to other negative substances to manage these feelings (2011: 18). Suicide, according to Oxford dictionary, is the action of killing oneself intentionally. Suicide is often committed out of despair, the cause of which is frequently attributed to a mental disorder such as depression, bipolar disorder, schizophrenia, alcoholism, or drug abuse (Keith Hawton's article Suicide, 2009). Common methods include: hanging, pesticide poisoning, and firearms. According to suicide case data from 1978–2008, China has one of the highest female suicide rates in the world and is the only country where it is higher than that of men (World Health Organization, 2011). Xu Rong, head of the Suicide Prevention Project at the Beijing Cultural Development Centre for Rural Women, explains this emotionally taxing situation so many Chinese women encounter: "They have their father-in-law to deal with, their mother-in-law, various uncles, sisters-in-law and so on. She's got to gain everyone's acceptance. When there are conflicts, she's the weakest." There are places in the world today where children are regarded more or less as property, and the results are not pretty. In some places parents do sell children, and especially daughters, into slavery, or otherwise exploit them for the parents' advantage. Mothers own their children (Reason Papers no. 18, 1993: 191). Okin in Justice, Gender, and the Family says that a woman presumably would be entitled to use her children in any way she wishes, to keep it in a cage to amuse her. It looks like as some people keep bird. She feels free to eat it or kill it if she were so inclined (1989: 84). Women have babies, and babies come into the world dependent and incomplete. They require years of parental nurturing, a huge investment of resources. The effect is women offer in return. It is legal contract as the return of parental nurturing (Reason Papers no. 18 Who Owns the Children? Libertarianism, Feminism, and Property, 1993). According to Greg R. Foster, we do not inherit sexual attitude. Rather than inherit, our attitudes evolve from social, economic, and political necessity. Often they evolve out of fear, guilt, or shame (1968: 317). The mothers are reluctant to talk about sexuality to their daughters as they find it embarrassing to discuss these issues even daughters want to discuss about such issues with their mothers but feel hesitant to ask fearing their curiosity may be rebuffed as 'too much interest'. In the absence of a cultural framework of communication both mothers and daughters are faced with a dilemma – whereas the culture and traditions advice against it, the time demands it. The adolescent girls do not get information from their mothers due to this. The social taboos surrounding sexuality are so great that young adolescent girls usually do not share their sexuality views with their mothers and they are misguided and hence indulge in pre- marital sex (from neerusha.wordpress.com, posted in 2008). SEXUAL OBJECTIFICATION IN SHANGGUAN LU Binding feet in order to make women looked beautiful is one of the example sexual objectification. Because of her gender and position, Xuan'er (childhood name of Shangguan Lu) who is innocent follows the old tradition and start to binding her feet. Her aunt utilizes her innocence to create Xuan'er future, marrying with rich or high social class man. Her aunt uses Xuan'er as an asset which can be exchange with another material. Xuan'er produces a feminine body which learn to see themselves as objects for gaining scholar men (based on Bartky, 1990: 65-67). By looking Xuan'er from her body shape and makes her body adorable as the society accept, her aunt and uncle do sexual objectification indirectly to her. According to K. Martin (1996: 31), with her pubertal changes, Xuan'er becomes more fully initiated into the culture of sexual objectification. Her mother-in-law also the person who makes Shangguan Lu experiences sexual objectification. As the theory women who objectify woman by Sarah Gervais's research article in 2012, women are perceiving women this way, too. It could be related to different motives. Men might be doing it because they're interested in potential mates, while women may do it as more of a comparison with themselves. Shangguan Lü can give a son to her family, so she compares her own pride to her daughter-in-law. Shangguan Lü feels valuable than Shangguan Lu because she can produce a son. Shangguan Shouxi only looks Shangguan Lu as the object of his desire. He has no role as husband who supposed to protect and take care of his wife. He exploits Shangguan Lu to fulfil his sexual desire. It means Shangguan Lu humanity is not respected. Shangguan Shouxi has no concern about Shangguan Lu's feeling. All he cares is whenever he wants to do sex, she must serving him, whether she wants or not. Sexual objectification puts wife as the object of husband. There is no protection to wife. Shangguan Shouxi makes Shangguan Lu not only as object for his sexual desire but also object to beat whenever he wants. Her body belongs to him, so Shangguan Shouxi feels free to do whatever he wants including beat his wife's body. Shangguan Lu is powerless person, Shangguan Shouxi can do anything rude to her freely. As Evangelia Papadaki's conclusion (reading MacKinnon and Dworkin), Shangguan Lu presented as completely powerless and victimized (2007: 344). Shangguan Lu experiences extreme forms of sexual objectification. She Lu is being rape by four men Four men have objectified Shangguan Lu. She becomes sexual victim. Shangguan Lu has less power, so she can't rebel or out from that situation. She never wants to be raped although she utilizes herself for sex (based on Fredrickson and Roberts, 1997: 186). There are factors why she is objectified by the men. Shangguan Lu portrays as the exotic women with big breasts and wide hips. Men bring high degree of attention by their body. Also, Shangguan Lu typically holds less power than the men in environment. Shouxi and other men become the ones who are powerful, controlling, and dominant (2011: 20-21). One of seven features idea of treating a person as an object by Martha Nussbaum (1995, 257) implies in Big Paw Yu attitude toward Xuan'er. It is ownership which is the treatment of a person as something that is owned by another (can be bought or sold). Matchmaking is one of the methods in selling human. Xuan'er's owner is her aunt and uncle.Big Paw Yu likes to exchange Xuan'er beauty with appropriate price for grown up Xuan'er. Big Paw Yu feels dominate Xuan'er as his own treasure because he deserves for raising Xuan'er. The way Pastor Malory describes Shangguan Lu's body also can be the example of Rae Langton (2009: 228-229) about the features of sexual objectification. It is reduction to body which is the treatment of a person as identified with their body, or body parts. Pastor Milory's description about Shangguan Lu waist and breasts means that Shangguan Lu identified through her sexual parts of her body. THE EFFECTS OF SEXUAL OBJECTIFICATION Shangguan Lu gets appearance anxiety as the effect of her sexual objectification. She anxiety about how society, especially men, value and pay attention in her. Shangguan Lu compares her feet with her aunt. In that time, a woman looks beautiful from the size of her feet. Woman with tinier feet values as the most beautiful women. Based on that stereotype, Shangguan Lu feels anxiety about her feet size. She wants to value as beautiful woman. Shangguan Lu does not enjoy at all doing sex with Dabiao. It may happen because Dabiao has no appeal, he describes as ugly man. Shangguan Lu who describes as beautiful woman with big breasts and wide hips is worth for better man than Dabiao. It influences her sexual activity, she does sex with no attractive and desire. Shangguan Lu keeps her anger inside to make her feel better. Even it is not move out, it can decrease her pain. Her anger occurs because she feels threatened to have baby boy, her efforts to become appropriate wife and daughter-in-law are not appreciated by Shangguan family, and the pain for what they do. Mostly, she keeps her anger inside because she doesn't want worse condition. If she disapprove, Shangguan family treatments to her will be getting worse. Cry is one of Shangguan Lu's emotions to decrease her depression. In fact, she cannot handle all of her disappointment, burden, and pain as a result of sexual objectification. Sexual objectification experiences make her weak, not only physically but also mentally. Dawn M. Szymanski, reading Clark et al, adds that individuals who deal with oppressive events may have feelings of anger and depression, which may then lead to coping via use of alcohol or other substances to manage these feelings (2011: 18). Passed out is one of the substances to manage her feeling. Shangguan Lu keeps many problems by herself. It makes her helplessness. Fredrickson and Roberts (1997: 188) also say that sexual objectification may result of depression. Shangguan Lu experiences sexual objectification, even sexual rape which also the shape of sexual objectification. Shangguan Lu has depression inside her. It leads to a will of suicide. According to Xu Rong's explanation, Shangguan Lu represents a Chinese woman with many problems. When Shangguan Lu is in conflict, she is the weakest. The biggest problem is the difficulties in producing son. Her willing for suicide is because of marital conflict. A woman, according Okin, presumably would be entitled to use her children in any way she wishes (1989: 84). Shangguan Lu who becomes a mother, entitled to use her daughter in any way she wishes for, including sell them. The reason of sell her child is because she is not capable for raising nine children and one granddaughter. The only way to survive this condition is sell her children so her daughter will raise appropriate with adoptive mother. Daughters of Shangguan Lu do not inherit Shangguan Lu's sexual attitude. Likes Greg R. Foster, their attitude evolve from social and fear (1968: 317). Her daughters don't know how sexual objectification experiences in their mother. Xiangdi knows her mother and sisters live poorly. They often have no food for eat. She is afraid if her family increasingly displaced. Her fear encourages to self objectify. She sold herself to give money for her mother and sister so they can live well. She sacrifices herself by objectify herself. She feels that she meritorious to her family. Greg R. Foster's theory implies that Xiangdi's fear about her family financial condition leads her to experience sexual objectification (1968: 37). CONCLUSION AND SUGGESTION Sexual objectification is treating or seeing person as sexual object to fulfill one's sexual desire. This person also evaluates only by her physical appearance. Based on Sarah Gervais's statement, sexual objectification commonly happens in woman's life. Woman and man have probability to objectify woman, but they will not objectify man. This study describes about sexual objectification experiences and the effects to Shangguan Lu in Mo Yan's Big Breasts and Wide Hips. Her mother-in-law's attitude toward her implies Sarah Gervais's statement about woman who objectify woman as comparison for herself. Shangguan Lu also experiences the extreme form of sexual objectification as Fredrickson and Roberts's theory such as rape and sexual harassment. The factors encourage sexual objectification experiences is Shangguan Lu are based on Dworkin and Syzmanski. Those are because men are human centre of the world and he is powerful, controlling, and dominant. Woman, likes Shangguan Lu, is typically hold less power. Based on Martha Nussbaum and Rae Langton's theory about features of sexual objectification, Shangguan Lu includes in instrumentality, ownership, and reduction to body. The sexual objectification in Shangguan Lu brings effects in her life and personality. They are appearance anxiety, sexual dysfunction, anger, depression, willing for suicide, property of children, and sexual attitude. Appearance anxiety is fear about how her body be evaluated with another. Appearance anxiety happens when Shangguan Lu makes decision to binding her feet. She does it to evaluate as beautiful woman. Sexual dysfunction occurs when she has no desire in sexual activity with Gao Dabiao. Anger appears because Shangguan Lu has pain of sexual objectified combined with disappointment. She mostly keeps her anger inside herself. Shangguan Lu who feels helpless because of sexual objectification often gets depression. Her depression expresses by surrender to condition and cry. The worse of her depression is when she passed out. Also, the extreme way of Shangguan Lu's sexual objectification experiences is takes shortcuts to suicide in order to free from her suffer. The other effects are her attitude towards her daughters. Okin gives thought that woman presumably would be entitled to use her children in any way she wishes, even if Shangguan Lu wishes her daughter to be sold. Shangguan Lu has full will in property her children. The last is her daughter sexual attitude. Daughters of Shangguan Lu do not inherit her sexual attitude. Xiangdi, who is afraid if her family displaced, sells her body to get money for her family. Shangguan Lu who experiences sexual objectification also hides her sexual activity from her daughter. Even though she is sexually objectify, she does not want her daughters get same experiences. This study gives contribution in sexual and gender study. Big Breasts and Wide Hips gives portrait of woman who looks by physical, sexual, and gender. Shangguan Lu's life story gives description how Chinese woman who has no social class treats unfair by the society especially men in that era. This novel brings knowledge about how hard to born as a woman in China at that time. The story in Big Breasts and Wide Hips also has other aspects beside sexual and gender study. In future, this novel worth to discuss in other issues viewpoints. REFERENCES Bartky, Sandra Lee. 1990. Femininity and Domination: Studies in the Phenomenology of Oppression. New York: Routledge. Brake, Elizabeth. 2005. Justice and Virtue in Kant's Account of Marriage in Kantian Review. Dallas: Spence Publishing Company. Dworkin, Andrea. 1989. Pornography: Men Possessing Women, New York: E.P. Dutton. Dworkin, Andrea. 1997. Intercourse. New York: Free Press Paperbacks. Foster, Greg R. 1968. Considerations in a Philosophy of Sex Education. Winchester Community School: A Laboratory of Ideas. Fredrickson, Barbara L. and Tomi-Ann Roberts. 1997. Objectification Theory in Psychology of Women Quarterly. Cambridge: Cambridge University Press. Herman, Barbara.1993. Could It Be Worth Thinking About Kant on Sex and Marriage? in A Mind of One's Own: Feminist Essays on Reason and Objectivity. Boulder: Westview Press. Kant, Immanuel. 1963. Lectures on Ethics. New York: Harper and Row Publisher. Langton, Rae. 2009. Sexual Solipsism: Philosophical Essays on Pornography and Objectification. Oxford: Oxford University Press. MacKinnon, Catharine. 1987. Feminism Unmodified. London: Harvard University Press. MacKinnon, Catharine. 1989. Towards a Feminist Theory of the State. London: Harvard University Press. MacKinnon, Catherine. 1989. Sexuality, Pornography, and Method: Pleasure under Patriarchy in Ethics volume 2. Chicago: The University of Chicago Press. Martin, K. 1996. Puberty, Sexuality, and the Self: Boys and Girls at Adolescence. New York: Routledge Nussbaum, Martha. 1995. Objectification in Philosophy and Public Affairs. New Jersey: Princeton University Press. Okin, Susan Moller. 1989. Justice, Gender, and the Family. New York: Basic Books. Papadaki, Evangelia. 2007. Sexual Objectification: From Kant to Contemporary Feminism. New York: Palgrave Macmillan. Posner, Richard A. 1994. Sex and Reason. Cambridge: Harvard University Press. Syzmanski, Dawn M. et all. 2011. Sexual Objectification of Women: Advances to Theory and Research. CA: Sage Publications. Vaughn, Karen I. 1993. Who Owns the Children? Libertarianism, Feminism, and Property in Reason Papers no. 18. Los Angeles: Nash Publishing. Yan, Mo. 1996. Big Breasts and Wide Hips. New York: Arcade Publishing. INTERNET SOURCES http://www.nobelprize.org/nobel_prizes/literature/laureates/2012/bio-bibl.html downloaded on December 20th, 2013 http://indiatoday.intoday.in/story/mo-yan-the-beacon-of-chinese-literature/1/224329.html downloaded on December 20th, 2013 http://www.mentalhealth.org.uk/help-information/mental-health-a-z/D/depression/ downloaded on April 9th, 2013 http://womanobjectification.blogspot.com/ downloaded on April 9th, 2013 http://www.mentalhelp.net/poc/view_doc.php?type=doc&id=5804 downloaded on April 9th, 2013 http://www.dekcsb.org/116-anger-management/article/5804-psychology-of-anger downloaded on April 9th, 2013 http://www.sciencedirect.com/science/article/pii/S014067360960372X downloaded on April 9th, 2013 http://www.cdc.gov/violenceprevention/pdf/suicide-factsheet-a.pdf downloaded on April 9th, 2013 http://rebekahnydam.hubpages.com/hub/The-Problem-of-Female-Suicide-in-China downloaded on April 9th, 2013 http://neerusha.wordpress.com/attitude-of-mothers-and-daughters-towards-sexuality-effect-of-mothers-work/ downloaded on April 9th, 2013

Esta tesis doctoral se ha realizado dentro del marco de un acuerdo de co-tutela entre la Universidad de Zaragoza (Universidad de origen), la Universidad de Calabria (Universidad anfitriona) y la Facultad de Ciencias y Tecnología de la Universidad NOVA de Lisboa (FCT NOVA) (Universidad anfitriona). El trabajo de investigación se ha llevado a cabo dentro del programa de Doctorado en Ingeniería de Membranas Erasmus Mundus (EUDIME), (FPA 2011-0014), financiado por la Unión Europea. La tesis se centró principalmente en el uso de la técnica de electrohilado para producir diferentes tipos de membranas que puedan ser utilizadas en distintas aplicaciones biomédicas. Se sintetizaron y produjeron nanopartículas orgánicas e inorgánicas para ser utilizadas como rellenos o como portadores (sistema de administración de fármacos), así como membranas nanofibrosas electrohiladas. Este trabajo se llevó a cabo en el Instituto de Nanociencia de Aragón (INA), específicamente en el grupo de Nanostructured Films and Particles (NFP) bajo la supervisión de la profesora Silvia Irusta y la Dra. Gracia Mendoza. Una parte importante de la caracterización físico-química se realizó en el INA. En la Universidad de Calabria se trabajó bajo la supervisión de la Dra. Loredana de Bartolo en el Instituto de Tecnología de Membranas (ITM). Allí se utilizaron técnicas específicas tanto para la caracterización como para estudiar diferentes señales biológicas producidas por las membranas sintetizadas, bajo la supervisión. Por otro lado, la movilidad llevada a cabo en la Facultad de Ciencias y Tecnología (FCT NOVA) de la Universidade NOVA (FCT NOVA) bajo la supervisión de la profesora Ana Isabel Aguiar-Ricardo, permitió realizar una caracterización completa de dos membranas asimétricas siguiendo diferentes Normas Internacionales que establecen diferentes ensayos a realizar en apósitos primarios utilizados en heridas. El desarrollo de nuevos scaffolds cargados con proteínas morfogenéticas o antibióticos es de gran interés en el campo de la ingeniería de tejidos óseos. Scaffolds electrohilados con una microporosidad mejorada puede ser beneficioso para mejorar la viabilidad celular debido a que una alta porosidad junto a la presencia de microporos puede proporcionar un entorno tridimensional (3D) que no solamente facilita la siembra y difusión celular sino también proporciona una mejor difusión de los nutrientes y residuos a través del scaffolds. La adición de cerámica de fosfato de calcio ha sido ampliamente investigada para fabricar scaffolds altamente porosos para la ingeniería de tejidos óseos debido a que presentan una composición muy similar al hueso, incluyendo excelentes propiedades de biocompatibilidad, osteoinductivas y osteoconductoras. Partículas cargadas con proteínas morfogenéticas de hueso distribuidas homogéneamente en el scaffolds podrían asegurar una liberación continua del factor de crecimiento proporcionando de esta forma las señales bioquímicas necesarias para la reparación y regeneración ósea. Los scaffolds cargados con antibióticos pueden proporcionar una liberación sostenida del fármaco en el sitio de interés, así como el mantenimiento de propiedades osteogénicas mejoradas para la regeneración exitosa del hueso. Evitando de esta forma que se alcancen niveles de toxicidad o niveles ineficaces en la zona de interés, así como la aparición de efectos secundarios indeseados en los pacientes que provocan un rechazo a los tratamientos prolongados de fármacos por vía sistemática (vía oral e intravenosa). Otra aplicación biomédica interesante de las membranas electrohiladas es la fabricación de apósitos inteligentes eficientes para el tratamiento de heridas. Para lograr una curación rápida de la herida es necesario desarrollar membranas apropiadas con poros interconectados capaces de prevenir la deshidratación rápida y la penetración de bacterias. Para mantener un ambiente húmedo en el lecho de la herida se necesita una alta capacidad de absorción y una adecuada transmisión de vapor de agua. Además, si la membrana electrohilada presenta propiedades bactericidas facilitará el proceso de curación. El objetivo principal de esta tesis fue el desarrollo mediante electrohilado de membranas fibrosas con las características apropiadas para ser utilizadas en la ingeniería de tejidos óseos o como apósito para heridas. En los Capítulos II al V se plantean una serie de objetivos específicos con el fin de cumplir el objetivo principal. Este documento de tesis se dividió en las siguientes secciones:  CAPÍTULO I, corresponde a la introducción general donde se describen los conceptos de biomateriales, scaffolds, ingeniería de tejidos y el objetivo principal de los sistemas de liberación de fármacos. Así como, la clasificación de los biomateriales y la ingeniería de tejidos según el origen de los materiales. Además se ponen de manifiesto todos los factores que deben tenerse en cuenta para desarrollar y aplicar adecuadamente los apósitos para heridas. Se mencionaron las diferentes técnicas utilizadas en la literatura haciendo énfasis en el uso de electrohilado y electropulverización para producir scaffolds o membranas para su uso en la ingeniería del tejido óseo y como apósitos para heridas.  CAPÍTULO II, se enfoca en el desarrollo y mejora de andamios 3D capaces de promover una eficiente regeneración ósea junto con la liberación de antibióticos dirigidos para prevenir la colonización de bacterias. El objetivo de este trabajo fue sintetizar y caracterizar un sistema de liberación de fármacos que consiste en nanofibras electrohiladas de policaprolactona (PCL) decoradas con partículas de poli (ácido láctico-coglicólico) (PLGA) cargadas con rifampicina (RFP). Este material debe promover la reparación ósea evitando el deterioro del scaffolds provocado por una infección. Se realizó la evaluación in vitro de la capacidad bactericida del material electrohilado sintetizado contra bacterias Gram positivas (Staphylococcus aureus) y Gram negativas (Escherichia coli), así como su citocompatibilidad en cultivos 3D con osteoblastos humanos. Estos resultados se enviaron a la Revista de farmacia "International Journal of Pharmaceuitics" para su publicación en formato de artículo y está bajo revisión.  CAPÍTULO III, se describe la síntesis y caracterización de membranas con estructura de núcleo-envoltura de PCL y acetato de polivinilo (PVAc) obtenidas por electrohilado. Las fibras se cargaron con nanopartículas de hidroxiapatita sintética (HAn) para aumentar la bioactividad de los materiales. Los scaffolds desarrollados se trataron con ablación láser para crear características topográficas deseadas a nivel micrométrico con el objetivo de favorecer la adhesión y crecimiento celular. Todas las membranas obtenidas presentaron una estructura de poros tridimensionalmente interconectados y el tratamiento con láser provocó un aumento en la viabilidad y densidad celular. Además, el aumento en la biocompatibilidad de los scaffolds sugiere que los microporos pequeños favorecen la adhesión y proliferación celular. Estos resultados fueron publicados en el artículo titulado "Laser-treated electrospun fibers loaded with nano-hydroxyapatite for bone tissue engineering". Javier Aragon, Nuria Navascues, Gracia Mendoza, Silvia Irusta. International Journal of Pharmaceutics 525,112–122, 2017. DOI:10.1016/j.ijpharm.2017.04.022.  CAPÍTULO IV, se refiere al desarrollo de un scaffold electrohilado compuesto por fibras con estructura de núcleo-cubierta de PCL o PCL/PVAc cargado con HAn sintética. Estas fibras se decoraron con partículas de PLGA cargadas con proteína morfogenética ósea 2 (BMP2) mediante el uso simultaneo de electrohilado coaxial y electropulverización. El objetivo de este trabajo fue evaluar las propiedades estructurales y físico-químicas así como el proceso de biodegradación de los nuevos scaffolds desarrollados y su capacidad para abordar las características arquitectónicas, bioquímicas y funcionales del tejido óseo. Para esto, se probó la bioactividad del scaffold mediante el cultivo de osteoblastos humanos sobre ellos y se monitoreo de la viabilidad celular durante 4 semanas. Se evaluó la actividad osteogénica in vitro de las células sembradas sobre los scaffolds determinando la actividad de la fosfatasa alcalina (ALP) y la expresión de osteocalcina (OCN) y osteopontina (OPN) como proteínas osteogénicas. Estos resultados fueron publicados en el artículo titulado "Polymeric electrospun scaffolds for bone morphogenetic protein 2 delivery in bone tissue engineering". Javier Aragón, Simona Salerno, Loredana De Bartolo, Silvia Irusta and Gracia Mendoza. Journal of Colloid and Interface Science, 531 (2018) 126–137. DOI:10.1016/j.jcis.2018.07.029.  El CAPÍTULO V, describe la síntesis de un apósito antimicrobiano para heridas, con una resistencia mecánica adecuada que es capaz de absorber exudados y evitar la deshidratación rápida de una herida. Se prepararon membranas asimétricas de PCL/PVAc cargadas con carvacrol (CRV) mediante el uso simultáneo de electrohilado y electropulverización. Las membranas constan de dos capas; la primera es una capa de PCL electrohilado; la segunda, una lámina de PVAc que estaría en contacto con la piel liberando a su vez el compuesto antimicrobiano. Se demostró que el uso de diferentes disolventes pueden dar lugar a la obtención de diferentes morfologías de la capa PVAc-CRV. Los valores obtenidos de elongación máxima de las membranas antes de romperse son adecuados para ser utilizados como apósitos para heridas ya que están en el mismo rango reportado de elongaciones en la piel humana. Las membranas presentan una tasa óptima de Transmisión de vapor de agua (WVTR) con valores que se encuentran en el rango requerido para mantener un buen balance entre humedad y pérdida de agua en la herida. En la primera semana, se liberó más del 60 % del CRV cargado, mientras que después de tres semanas, las membranas liberaron entre el 85 y el 100 % del CRV cargado mediante la contribución de un proceso de difusión de tipo Fickiano y la relajación delas cadenas poliméricas. Las membranas sintetizadas son candidatas potenciales para ser utilizadas como apósitos para heridas. El manuscrito que resume estos resultados se envió a la revista "Materials Science and Engineering C" y está bajo revisión (MSEC_2018_3013).  CAPÍTULO VI, resume las conclusiones generales del trabajo de tesis.  APÉNDICE 1, describe las principales técnicas de caracterización y los métodos para evaluar diferentes propiedades en función de las posibles aplicaciones.  APÉNDICE 2, resume los artículos publicados y la participación en foros científicos durante el período de tesis. 1 The current Doctoral Thesis work has been performed under a co-supervision agreement between University of Zaragoza (Home University), University of Calabria (Host University) and Faculty of Sciences and Technology of the NOVA University of Lisbon (FCT NOVA) (Host University). This research has been carried out inside the Erasmus Mundus Doctorate in Membrane Engineering program (EUDIME), (FPA 2011-0014), funded by the European Union. This thesis focused mainly on the use of the electrospinning technique to produce different kind of membranes for biomedical applications. In particular, it described the synthesis and production of inorganic and organic nanoparticles to be used as fillers or as carriers (drug delivery system) as well as the production of electrospun nanofibrous membranes. This work was carried out within the Institute of Nanoscience of Aragon (INA), specifically in the Nanostructured Films and Particles (NFP) group under the supervision of the Professor Silvia Irusta and Dr Gracia Mendoza. Also an important part of the physico-chemical characterization was done at INA. The study of different biological signals and the use of specific techniques for membrane characterization were acquired at the University of Calabria under the supervision of Dr. Loredana De Bartolo in the Institute on Membrane Technology of the National Research Council of Italy (ITM-CNR). On the other hand, the mobility carried out at the Faculty of Sciences and Technology (FCT NOVA) of Universidade NOVA (FCT NOVA) under the supervision of Professor Ana Isabel Aguiar-Ricardo, allowed a total characterization of two asymmetric membranes following different International Standards to accomplish testing for primary wound dressing. The development of novel membranes loaded with morphogenetic proteins or antibiotic are of great interest in the field of bone tissue engineering. To promote the cellular viability and extracellular matrix production, electrospun membranes with enhanced porosity and micro-scale pores could be beneficial since increased porosity and pore size can provide a three-dimensional (3D) environment that not only facilitates cell seeding/diffusion but also provides better diffusion of nutrients and waste throughout the membranes. The addition of calcium phosphate ceramics has been extensively investigated to fabricate highly porous membranes to bone tissue engineering due to their close similar composition of bone, including excellent biocompatibility, osteoinductive and osteoconductive properties. A homogeneous distribution of the bone morphogenetic protein-loaded particles along the entire membrane could be ensuring a continuous release of the growth factor to provide the necessary biochemical cues for bone repair and regeneration. Antibiotic-loaded membranes may provide drug targeted and sustained release, avoiding the long-term oral and intravenous systematic multidrug administration, which implies toxic side effects, low delivery to the target site and low patient adherence to the treatment. Therefore, membranes loaded with antibiotics can overcome the drawbacks of the traditional therapy sustaining enhanced osteogenic properties for the successful regeneration of the bone. Another interesting biomedical application of electrospun membranes is the fabrication of efficient smart dressings for the treatment of wounds. A rapid wound healing requires developing appropriate membranes with interconnected pores that allow the oxygen diffusion and transport of metabolic waste, as well as an adequate pore size to prevent rapid dehydration and bacteria penetration. A high absorption capacity and adequate water vapor transmission will be necessary to keep a moist environment in the wound bed. Besides, if the electrospun membrane has some bactericidal properties will be better for the healing process. The main goal of this thesis was the development of fibrous membranes by electrospinning with the appropriate characteristics to be used in bone tissue engineering or as wound dressing materials. To achieve this target, several specific objectives were defined, which are described in Chapters II to V. The thesis was divided in the following sections: CHAPTER I, is an introduction where the concepts of biomaterials, scaffolds and tissue engineering and the main target of drug delivery systems are described. The chapter includes the classification of biomaterials according to the origin of the materials and tissue engineering is also described as well as all the factors that must be taken into account to develop and properly apply a wound dressing are discussed. Different kind of techniques used in the literature to produce scaffolds or membranes for bone tissue engineering and wound dressings are mentioned, focusing on the use of electrospinning and electrospray to produce them. CHAPTER II, focuses on the development of enhanced 3D membranes able to promote efficient bone regeneration together with targeted antibiotic release to prevent bacteria colonization. The aim of this work was to synthesize and characterize a drug delivery system consisting of polycaprolactone (PCL) electrospun nanofibers decorated with rifampicin (RFP) loaded into poly(lactic-coglicolic acid) (PLGA) particles. This material would promote bone repair avoiding the impairment of the membrane mediated by infection. The bactericidal ability of the synthesized electrospun material was assessed In vitro against gram positive (Staphylococcus aureus) and gram negative (Escherichia coli) bacteria, as well as its cytocompatibility in human osteoblasts 3D cultures. These results are included in the accepted article entitled "Composite scaffold obtained by electro-hydrodynamic technique for infection prevention and treatment in bone repair". Javier Aragon, Sergio Feoli, Gracia Mendoza, Silvia Irusta. International Journal of Pharmaceutics. CHAPTER III, describes the synthesis and characterization of core-shell membranes of PCL and polyvinyl acetate (PVAc) obtained by electrospinning. The fibers were loaded with synthetic hydroxyapatite nanoparticles (HAn) to increase the bioactivity of the materials. The prepared membranes were then treated by laser ablation to create desired microscale topographical features in order to favor cell adhesion and growth. All prepared membranes exhibited a three-dimensional network structure with interconnected pores; the laser treatment has modified the structural characteristics of the membrane causing an increase the cell viability and cell density. The materials biocompatibility is affected by the structural properties of the membranes, indeed smaller micropore sizes favor cell adhesion and proliferation. These results are published in the article entitled "Laser-treated electrospun fibers loaded with nano-hydroxyapatite for bone tissue engineering". Javier Aragon, Nuria Navascues, Gracia Mendoza, Silvia Irusta. International Journal of Pharmaceutics 525,112–122, 2017. DOI:10.1016/j.ijpharm.2017.04.022. CHAPTER IV, refers to the development of a composite electrospun membrane of PCL or PCL/PVAc core–shell fibers loaded with synthetic HAn. These fibers were decorated with bone morphogenetic protein 2 (BMP2) loaded in/into PLGA particles via simultaneous electrospraying and coaxial electrospinning. The aim of this study was to evaluate the structural and physico-chemical properties and biodegradation processes of the newly developed membranes assessing their ability to address the architectural, biochemical, and functional features of bone tissue. For this purpose, the membrane bioactivity was tested by culturing human osteoblasts on the membranes and by monitoring cell viability up to 4 weeks. The In vitro osteogenic activity of cells seeded onto the membranes was evaluated by assessing alkaline phosphatase (ALP) activity and the expression of osteogenic proteins osteocalcin (OCN) and osteopontin (OPN). These results are published in the article "Polymeric electrospun scaffolds for bone morphogenetic protein 2 delivery in bone tissue engineering". Javier Aragón, Simona Salerno, Loredana De Bartolo, Silvia Irusta and Gracia Mendoza. Journal of Colloid and Interface Science, 531 (2018) 126–137. DOI:10.1016/j.jcis.2018.07.029. CHAPTER V, describes the synthesis of an antimicrobial wound dressing material, with appropriate mechanical resistance avoiding rapid dehydration and absorbing exudates. PCL/PVAc asymmetric membranes loaded with carvacrol (CRV) were prepared by electrospinning and electrospraying simultaneously. The membranes consist of two layers: the first is an electrospun PCL sheet, the second a PVAc sheet that would be in contact with the skin releasing the antimicrobial compound. The use of different solvents results in different morphologies for the PVAc-CRV layer. The membranes exhibit mechanical properties with strain to failure values that are in the range of human skin, being adequate to be deposited over a wound surface. The samples present Water Vapor Transmission (WVTR) values in the required range to keep good moisture balance with water loss from the wound at the optimal rate. In the first week, more than 60 % of the loaded CRV was released while after three weeks membranes released between 85 to 100 % of the loaded CRV through a Fickian diffusion and diffusion due to polymer relaxation. The synthesized membranes are potential candidates to be used for wound dressing applications. The manuscript summing up these results has been submitted to a scientific journal and is currently under review. GENERAL CONCLUSIONS, summarizes the conclusions of the thesis work. APPENDIX 1, describes the main characterization techniques and the methods to evaluate different properties according to the possible applications. APPENDIX 2, summarizes the articles published and the participation in scientific forums during the thesis period.

학위논문(석사)--서울대학교 대학원 :국제대학원 국제학과(국제통상전공),2019. 8. 김종섭. ; 본 연구의 목적은 글로벌 가치사슬 (global value chain, GVC), 혹은 여러 국가에 걸친 생산 단계의 분화 과정에 참여하여 특정 형태의 중간재 무역이 증가할 때, 숙련도가 다른 한국 노동자들의 임금에 차별적인 영향이 발생하는 가의 여부를 실증적 분석을 통해 검증하는 것이다. 최근 여러 개발도상국과 선진국에서 국가 내 불평등이 심화되는 현상이 관측되고 있으며, 이는 학계 및 정책입안자들 뿐만 아니라 일반인들의 주요 관심 대상이 되었다. 불평등이 정치적 안정성과 사회 통합에 영향을 미친다는 사실은 오랜 시간 인지되었다. 많은 국가 내에서 포퓰리즘과 시위가 늘어나는 등 정치적 갈등이 심화되고 있으며, 세계에서 경제 규모로 각각 1, 2위를 차지하는 미국과 중국 간의 무역 분쟁으로 현실화된 보호무역주의의 재등장은 오늘날 세계화와 불평등 사이의 상관 관계가 정치적으로 더욱 심각한 의의를 가진다는 것을 보여준다. 그러나 국제 생산 네트워크는 여러 국경을 넘나드는 글로벌 공급망 무역을 통해 촘촘하게 이어지는데, 이러한 글로벌 밸류 체인이 확산된 오늘날에는 관세, 쿼터, 그리고 기타 수입·수출 규제와 같은 비관세장벽의 비용이 더욱 높아졌다. 다시 말해 GVC 시대에서는 각 생산 단계를 거치며 수입 중간재가 국경을 여러 번 넘나들면서 관세의 비용이 누적·증폭되며, 전통적으로 내수형으로 여겨지는 농업과 서비스 같은 산업에 속한 생산과 고용 역시 해외 시장에 의존하는 경향이 커지는데, 이는 내수형 산업들조차 직접적으로 수출되는 제조업품 속의 부가가치로 체화되어 간접적으로 부가가치를 수출하기 때문이다. 따라서 과거 시대에 비해 무역 장벽은 고용과 임금에 더욱 부정적인 영향을 미칠 수 있을 뿐만 아니라, 양자간 무역의 직접적인 당사자 뿐만 아니라 간접적으로 국제 공급 사슬 무역에 참여하는 수많은 관련 국가와 산업들 모두에게 영향을 미칠 수 있다. 따라서 현대 사회에서 보호무역의 비용이 유래없이 높아진 만큼, 과연 그러한 정책의 밑바탕이 된 불평등 문제가 정말 무역에서 비롯된 것인지 정밀하게 연구하는 것은 아주 중요한 문제라고 할 수 있다. 1980년대와 90년대 초반까지 주류 경제학자들의 전반적인 의견은 무역이 불평등에 미친 영향이 미미했으며, 고숙련·저숙련 노동자들의 임금 격차가 벌어진 데에는 숙련 편향적 기술 진보와 같은 다른 요인들이 훨씬 중대한 효과를 미쳤다는 것이었다. 그럼에도 불구하고 세계화와 불평등의 관계에 대한 정책 입안자들과 일부 학계의 염려는 계속되어 왔으며, 특히 해외 아웃소싱 혹은 오프쇼어링과 임금 불평등의 관계에 대한 최근의 경험적 연구들은 여러 상반되는 결과들을 도출하였다. 한편, 글로벌 밸류 체인과 생산의 파편화가 확산된 상황에서는 무역의 잠재적인 숙련 편향적 효과를 새로운 GVC와 부가가치 무역 지수들로 연구하는 것이 중요하다. 이는 리카르도나 애덤 스미스 시대처럼 수출 속 부가가치가 거의 100% 국내에서 생산되는 것이 아니라 해외에서 수입한 중간재 혹은 다른 투입 요소가 차지하는 해외창출 부가가치 비중이 매우 커졌기 때문이다. GVC참여가 노동시장의 소득 재분배에 미치는 영향에 대한 최신의 경험적 연구들 역시 서로 상충되는 결과들을 내놓은 점에서, 더욱 정교한 방법론으로 다듬어진 실증 분석의 필요성이 제기된다. 특히 국제 공급 사슬 무역 속에 체화된 기술과 노동은 전통적 무역 이상으로 산업 고도화나 추가적인 노동 수요와 공급의 이동을 유발할 수 있기 때문에, 같은 GVC무역이라도 산업 혹은 국가에 따라 다른 영향을 미칠 수가 있다. 글로벌 가치 사슬에 가장 활발하게 참여하는 국가 중 하나인 한국의 사례가 중요한 또다른 이유는, 많은 경제학자들이 대학교와 같은 고등 교육에 투자를 해서 고숙련 노동의 비중을 높이는 것이 고숙련·저숙련 노동자 간의 임금 불평등을 해소할 수 있는 효과적 방안으로 제시하고 있고, OECD에서 가장 높은 비율의 고숙련 노동자를 보유하고 있는 한국의 경우 대학 교육 이수자의 지속적인 증가가 있었음에도 불구하고 임금 불평등이 해소되기는커녕 심화되었다는 점이다. 따라서 GVC와 임금 불평등의 구조를 연구하는 것은 GVC참여를 통해서 한국과 비슷한 방식으로 산업들의 기술 구조를 고도화하고자 하는 개발도상국들에게 좋은 참고가 될 수 있을 것이다. 한국의 예는 또한 선진국들에게도 중요한 의의를 가질 수 있다. 한국은 선진국 중에서 특이하게도 강건한 제조업 기반을 유지하고 있으며 반면에 서비스 산업이 상대적으로 낮은 비중을 차지하고 있다. 이런 산업 구조를 가지고 있음에도 GVC참여가 숙련 편향적인 효과를 보인다면, 최근 미국과 같은 선진국들이 보호무역을 통해 억지로 자국으로 (점점 낮은 부가가치를 차지하는) 생산·조립 단계 공정을 되돌리려는 "리쇼어링"을 유도하더라도 그들이 원하는 불평등의 개선 효과가 없을 수도 있다는 점을 함의한다. 산업 구조, 국가의 위치와 규모 등 수많은 요인에 따라 GVC참여가 노동 시장에 미치는 영향이 상이할 수 있는 바, 본 연구는 최근 축적된 국제 생산 분업에 대한 전반적인 선행 연구 분석과 함께 한국의 오프쇼어링, GVC관련 무역, 해외직접투자, 그리고 개발 및 산업 고도화 등의 다방면적인 질적 특성을 살펴봄으로써 이질적인 여러 종류의 GVC참여 방식이 국내 노동자들의 숙련도에 따라 임금에 어떤 상이한 영향을 미칠 수 있는지에 대한 가설을 설정한다. 본격적인 양적 회귀분석에 앞서 질적인 분석을 겸하는 이유는 GVC 무역 내에 체화된 업무와 숙련도를 알아야 노동 시장에 미치는 영향을 보다 정확히 파악할 수 있는 상황 속에서, 현재의 부가가치기준 무역 데이터조차 가치사슬 내의 정확한 산업 고도화 방향과 직무의 구성을 알기 어렵기 때문이다. 연구 가설들을 검정하기 위해 먼저 한국고용노동패널데이터 (KLIPS)에서 추출한 7,689명의 개인과 총 31,974개의 관측치로 이루어진 표본을 구성한 후 2018년 발표된 가장 최신 형태의 경제협력개발기구 (OECD) – 세계무역기구 (WTO) 부가가치 기준 무역 (TiVA) 지표들을 병합한다. 이 실증 분석 모형은 2005년부터 2015년까지 64개국간의 부가가치 무역을 추정하는 TiVA의 36개 산업 수준 지표들을 2009년부터 2017년까지의 개인 수준의 한국 노동자 데이터와 연결한다. 교육 수준으로 측정된 노동의 숙련 수준을 각 노동자가 속한 산업의 세 종류의 GVC 참여 지수 (총 참여율, 전방 참여도, 후방 참여도)와 함께 교차항에 넣어 상호 작용 효과 존재 여부를 살펴본다. 실증 분석을 위해 우선 변형된 Mincer 형태의 임금 모형에 종속변수인 각 개인 수준의 임금과 핵심 독립 변수인 노동 숙련도와 GVC참여율로 구성된 교차항과 함께 다양한 통제 변수와 고정 효과를 넣은 후, 패널 회귀분석을 실시한다. 이처럼 산업 수준 GVC 무역 지표를 개인 수준 임금 데이터와 통합시키는 방법론은 산업 수준 GVC 교역 지수를 산업 수준 임금 데이터와 연결 지은 기존 선행 연구에 비해서 동시적 인과관계로 인해 발생할 수 있는 내생성 편의 문제를 어느 정도 통제할 수 있다는 점에서 상당한 이점을 가진다. 실증 분석 결과 전반적으로 산업 수준에서의 GVC참여가 여러 숙련도로 나뉜 개인 노동자 수준의 임금에 유의미한 차등적인 효과를 보이는 것으로 나타났다. 우선 교차항을 고려하지 않았을 때 전방, 후방 및 총 GVC참여율 모두 다른 변수들을 통제했을 때에도 통계적으로 매우 유의미하게 임금을 높이는 것으로 보였다. 하지만 이와 동시에 GVC참여는 고숙련 노동자들에게 상대적으로 더욱 큰 긍정적 임금 효과를 주는 숙련 편향적 효과가 있는 것으로 나타났다. 여러 종류의 GVC참여 중에서도 전방 참여가 가장 큰 숙련 편향성을 나타내는 것을 드러냄으로써, 본 연구는 GVC참여의 종류를 구분하는 것이 매우 중요하다는 점을 확인하였다. 이는 한국의 노동 시장에 대한 선행 연구들이 거의 다루지 않은 부분일 뿐만 아니라, 최근에 세계 단위로 분석한 연구와 정 반대의 결과를 보여주기 때문에 기존 연구에 상당 부분 기여한다고 할 수 있다. 본 논문의 결과는 또한 동일한 형태의 GVC무역도 국가의 개별적 특성에 따라 체화된 숙련수준과 생산활동의 구성비에 따라 노동시장에 미치는 영향이 다를 수 있다는 점을 시사한다. 한편, 결과의 강건성 검증을 위해 다른 형태의 통제 변수와 모형, 그리고 대안적인 핵심 설명 변수로 시간 래그 변수와 총수출액 대비 부가가치 수출액의 비율(VAX Ratio)을 사용했을 때에도 전반적인 회귀 분석 결과는 유사하게 나오는 것으로 확인하였다. 본 연구는 한국의 경우 글로벌 공급 사슬 무역에 참여하는 것이 적어도 미시적인 수준에서 노동 시장에 숙련 편향적인 효과를 가져온다는 것을 밝히면서도, 동시에 모든 종류의 GVC참여가 노동자들의 전반적인 임금 수준에 긍정적인 영향을 미친다는 점을 보여줌으로써, 최근 불평등을 해소하는 정책으로 확산되는 보호무역주의는 최적의 해결책이 아니라는 경제학의 관점을 경험적 분석을 통해 확인하였다. 본 논문에서 무역과 노동 경제학이 가장 많은 부분을 차지하지만, GVC와 관련된 연구가 여러 학제간 교류가 활발한 간학문적인 분야라는 점과 최근의 무역 전쟁 및 불평등 문제가 정책적으로도 중대한 사안인만큼, 본 연구에 포함된 여러가지 이론 및 실증 분석의 결과들은 정치학, 국제관계학, 정치경제학, 사회학, 교육학, 행정학, 그리고 경영학과 같은 다양한 분야의 연구자들에게 유용한 결과를 제시한다. ; The main objective of this study is to elucidate how exposure to globalization in the form of participation in global value chains (GVCs), or the fragmentation of different stages of production across national and regional borders, has affected the wages of workers with different skill levels in the labor market of South Korea. The rise of income inequality within many developed and developing countries has once again captured the interest of academia, the public, and politicians. It has long been known that inequality affects political stability and social cohesion. Nowadays, political tensions run high in many nations, and as can be seen from various social phenomena such as the rise of populism, civil protests, and protectionism in the form of an ongoing trade war between the world's two largest economies, the U.S. and China, the potential relationship between globalization and inequality continues to have ever more serious political implications. However, the costs of trade barriers such as tariffs, quotas, and other non-tariff barriers such as import or export restrictions are now higher than ever, due to the importance of cross-border supply chain trade that links international production networks. In an era of GVCs, tariffs are escalated because inputs must cross borders multiple times, while production and employment in many seemingly domestic-oriented industries such as agriculture and services actually depend on foreign markets, because their value-added is indirectly embodied as inputs in manufactured exports. Thus, trade restrictions may lead to significantly greater negative impacts on wages and employment than in previous eras. Moreover, barriers aimed bilaterally at one country can affect numerous other countries that participate in production sharing. In light of the high costs of protectionism in the contemporary world, an examination of whether trade actually has adverse distributional effects is crucial. Until the 1980s and early 90s, the consensus of neoclassical economists was that trade only had a minor impact on inequality while skill-biased technical or technological change and other factors were far more important drivers of divergences in the income of high and low skilled workers. Nevertheless, public suspicion and concern over the relationship has been unabated, and more recent literature on the relationship between offshoring and income inequality has shown conflicting results. At the same time, the expansion of global value chains and fragmentation of production increases the importance of studying the potential effects of a skill bias in trade with new GVC and value added trade indicators, since nowadays foreign intermediate goods and services are significantly embodied in the final product exports of a country, unlike the age of David Ricardo or Adam Smith, when exports were only domestically produced. Empirical findings regarding the relation between GVC participation and its distributional impacts on labor have been mixed, furthering the case for continued empirical investigation. The case of Korea, one of the most heavily integrated developed countries in GVCs, is also important because many economists have suggested that more investment in the tertiary education of unskilled workers can alleviate income inequality, but Korea has been experiencing a rise in inequality in spite of having the largest proportion of high skilled workers among OECD countries when following ISCED classifications. As such, a careful examination of how GVCs affect wage inequality can provide useful insights for developing countries that want to consistently upgrade their industries akin to the path that Korea has followed. Likewise, Korea's case has important implications for developed nations: Korea is an outlier among developed nations because it has a remarkably robust manufacturing sector as compared to services, yet, the existence of a skill bias of global supply chain trade in spite of this may imply that current high income economies tempted to engage in protectionism to "re-shore" overseas production back into national borders (such as the U.S.) might not achieve the distributional results they intended. The lower value-added assembly stages of manufacturing coming back would not necessarily contribute to reducing inequality in the home country. A careful examination of the literature on the labor market impacts of international production sharing, as well as the qualitative characteristics of Korea's offshoring, GVC-related trade, foreign direct investment, and development - industrial upgrading trajectory are factored into the formulation of several hypotheses on how heterogeneous types of GVC participation might impact workers of different skills in Korea. This is to complement the limitations of value added trade data in showing the composition of business functions as well as direction of industrial upgrading, as finding the specific mix of tasks and skills embodied in GVC trade is crucial to understanding labor market impacts. To test these hypotheses, a panel data set consisting of 7,689 individuals and 31,974 individual-year observations is constructed by merging and matching data from the Korea Labor Income Panel Survey (KLIPS) with the updated 2018 version of the Organisation for Economic Co-operation and Development (OECD) – World Trade Organization (WTO) Trade in Value Added (TiVA) indicators, which are derived from the Inter-Country Input-Output (ICIO) database. This empirical model links the 36 industry-level indicators of TiVA, which covers 64 economies for 2005-2015, with the micro-individual level data of Korean workers from 2009-2017. The skill level of labor, measured in terms of educational attainment, is interacted with three different types of GVC participation indices (total, forward, and backward) of the respective industries in which the workers are employed each year. The wages of each individual worker, the dependent variable, are regressed on this product term of skills and GVC participation, using a variation of the Mincerian human capital wage equation along with various controls and fixed effects appropriate for this multi-dimensional panel data analysis. This approach of investigating the relationship between industry-level cross-border production sharing indicators on individual-level variables has a significant methodological advantage compared to many earlier studies using industry-level wage variables. Combining the two different levels can mitigate endogeneity concerns that may arise due to simultaneity bias. Overall, the findings of this study show that differences in GVC integration at the industry level indeed have heterogeneous effects on wages of individual workers classified in different skill groups. While all three types of GVC participation have positive effects on wages when controlling for other variables, the direction and magnitude of coefficients for each group of workers suggests the existence of a "skill-bias," in which increased GVC participation has a relatively favorable impact toward higher skilled employees as opposed to low or mid-skilled workers. This skill bias is strongest for forward participation, which underlines the importance of distinguishing between different types of GVC participation, a factor which was neglected in previous empirical studies combining sector-level GVC indicators with individual-level labor data. The fact that these results directly contrast with a recent cross-country study that found skill-biased effects for backward GVC trade rather than forward supply chain linkages, suggests that the country-specific business functions, skills, and tasks embodied within intermediate inputs trade affect the causal relationship between both types of GVC participation and labor market impacts, in line with this dissertation's analysis of Korea's specific position in GVC trade and development trajectory. Moreover, robustness checks show that the results are generally stable when estimated with complementary or alternative specifications of variables and models, including time lags and the Value Added Exports (VAX) ratio. At the same time, although there is a skill bias of global supply chain trade, this research shows that overall wages of workers are positively affected through all types of GVC trade, hence leading to the suggestion that the current protectionist sentiment spreading in the global economy is not the optimal answer to deal with inequality. Although the study mostly draws insights from and fills in the gap in contemporary international trade literature and labor economics, the multi-disciplinary relevance of the findings with respect to global value chains and within-country income inequality should be of interest to scholars and policymakers of many fields, including political science, international relations, political economy, sociology, educational studies, public policy, and business management among others. ; Abstract i Table of Contents v List of Tables and Figures vii I. Introduction 1 1. Background and Research Motivation 1 2. Overview of the Study 12 II. Literature, Theoretical Framework and Hypotheses 17 1. Literature Review 17 1.1. Global Value Chains (GVCs) 17 1.1.1 Concept, History and Terminology 22 1.1.2 GVCs and Value Added Trade Data 33 1.1.3 Importance of Trade in Value Added 42 1.1.4 The Role of Services 44 1.2. Labor Market Impacts of Trade and Offshoring 46 1.2.1 Benefits of Trade 51 1.2.2 Traditional Trade and Inequality 53 1.2.3 Trade in Tasks and Wage Effects 59 1.3 Traditional Proxy Measures of Offshoring Trade 64 1.3.1 Broad and Narrow Offshoring 64 1.4. Second Generation Offshoring Statistics 68 1.4.1 Vertical Specialization 70 1.4.2 VAX Ratio 73 1.5. The GVC Participation Index 76 1.5.1 Backward Participation (Foreign VA in Gross Exports) 78 1.5.2 Forward Participation (Domestic VA in Exports to third countries) 79 1.5.3 Total GVC Participation 79 1.5.4 Data Limitation: Absence of Business Functions and Tasks 81 1.6 Additional Labor Market Impacts of GVC Participation 83 1.6.1 The Smile Curve and Industrial Upgrading 85 1.6.2 Higher growth, development and productivity 93 1.6.3 Empirical Analyses on GVCs and Employment 96 1.6.4 Cross-country Analyses on GVCs and Wages 97 1.7 Korea and Global Value Chains 101 1.7.1 Korea's Prominent Role in GVC Trade 101 1.7.2 Factors underlying Korea's GVC participation 114 1.7.3 Korea's Export-Led Growth and Industrial Upgrading Path 116 1.7.4 Shifting to Higher Value Added Activities and Offshoring Assembly 122 1.7.5 Empirical Literature on the Labor Market Impacts of Globalization in Korea 128 2. Hypotheses Formulation 144 2.1. Model Predictions 144 2.2. Summary of Hypotheses 153 III. Data and Empirical Methodology 155 1. Data Sources and Sample 155 1.1. OECD-WTO Trade in Value Added (TiVA) Indicators 155 1.2. Korea Labor Income Panel Survey (KLIPS) 158 2. Econometric Analysis 161 2.1. Baseline Panel Regression Wage Equation Model 161 3. Variable Construction 163 3.1. Constructing Variables from KLIPS 163 3.2. Skills and Educational Attainment Variables 166 3.3. Constructing GVC Trade Variables from OECD TiVA 170 3.4. Alternative GVC Measures for Robustness Checks 172 3.5. Matching GVC Industries with KLIPS 174 IV. Results and Interpretation 177 1. Main Specification 177 1.1. Total GVC Participation 180 1.2. Forward GVC Participation 187 1.3. Backward GVC Participation 192 2. Further Robustness Checks 195 2.1. International ISCED Definition of Skills 196 2.2. Robustness to Endogeneity and Simultaneous Equation Bias 198 2.3. Individual Fixed Effects 199 2.4. Alternative Specifications: Time-Lagged GVC Trade Variables 202 2.5. Alternative Specifications: Value Added Export (VAX) Ratio 208 V. Conclusion 218 1. Contribution to Economics Literature 218 2. Contribution to Policy-Making and Other Academic Fields 222 3. Limitations and Suggestions for Future Research 223 List of References (Bibliography) 228 국문 초록 (Abstract in Korean) 260 ; Master

Not Available ; The land resource inventory of Horanchi-2 Microwatershed was conducted using village cadastral maps and IRS satellite imagery on 1:7920 scale. The false colour composites of IRS imagery were interpreted for physiography and the physiographic delineations were used as base for mapping soils. The soils were studied in several transects and a soil map was prepared with phases of soil series as mapping units. Random checks were made all over the area outside the transects to confirm and validate the soil map unit boundaries. The soil map shows the geographic distribution and extent, characteristics, classification, behavior and use potentials of the soils in the microwatershed. The present study covers an area of 389 ha in Yadgir taluk & district, Karnataka. The climate is semiarid and categorized as drought-prone with an average annual rainfall of 866 mm, of which about 652 mm is received during south-west monsoon, 138 mm during north-east and the remaining 76 mm during the rest of the year. An area of 341 ha in the microwatershed is covered by soils, about 25 ha covered by rock outcrops and 23 ha by others (water body). The salient findings from the land resource inventory are summarized briefly below.  The soils belong to 10 soil series and 12 soil phases (management units) and 7 land management units.  The length of crop growing period is about 120-150 days starting from 1st week of June to 4th week of October.  From the master soil map, several interpretative and thematic maps like land capability, soil depth, surface soil texture, soil gravelliness, available water capacity, soil slope and soil erosion were generated.  Soil fertility status maps for macro and micronutrients were generated based on the surface soil samples collected at every 320 m grid interval.  Land suitability for growing 29 major agricultural and horticultural crops was assessed and maps showing the degree of suitability along with constraints were generated.  An area about 341 ha (88%) in the microwatershed is suitable for agriculture.  About 49 per cent area of the microwatershed has soils that are deep to very deep (100 - >150 cm) 16 per cent soils are moderately deep (75-100) whereas 6 per cent soils are moderately shallow (50 -75 cm), 17 per cent soils are shallow (25 - 50 cm) in the microwatershed.  About 2 per cent area in the microwatershed has sandy soils, 38 percent soils are loamy and 48 per cent clayey soils at the surface.  Maximum area of about 71 percent soils are non gravelly (200 mm/m) in available water capacity, 10 percent soils are medium (51-100), 12 per cent soils are low (51-100 mm/m) and 17 per cent area is very low (0.75%) in organic carbon content.  About 80 percent is medium (23-57 kg/ha) in available phosphorus and 8 percent soils are high (>57 kg/ha) in available phosphorus.  Entire cultivated area of the microwatershed is medium (145-337kg/ha) in available potassium.  Entire cultivated area of the microwatershed is medium (10-20ppm) in available sulphur.  Available boron is low (4.5ppm) in an area of about 82 percent and deficient (<4.5ppm) is 6 per cent in the microwatershed.  Available manganese and copper are sufficient in all the soils of the microwatershed.  Available zinc is deficient (<0.6 ppm) in the entire cultivated area of the microwatershed  The land suitability for 29 major crops grown in the microwatershed were assessed and the areas that are highly suitable (S1) and moderately suitable (S2) are given below. It is however to be noted that a given soil may be suitable for various crops but what specific crop to be grown may be decided by the farmer looking to his capacity to invest on various inputs, marketing infrastructure, market price and finally the demand and supply position. Land suitability for various crops in the Microwatershed Crop Suitability Area in ha (%) Crop Suitability Area in ha (%) Highly suitable (S1) Moderately suitable (S2) Highly suitable (S1) Moderately suitable (S2) Sorghum 114(29) 147(38) Guava - 50(13) Maize - 251(65) Sapota - 50(13) Bajra - 261(67) Pomegranate - 238(61) Groundnut - 50(13) Musambi 188(48) 50(13) Sunflower 114(29) 124(32) Lime 188(48) 50(13) Redgram - 238(61) Amla - 261(67) Bengal gram 188(48) 23(6) Cashew - - Cotton 114(29) 97(25) Jackfruit - 50(13) Chilli - 261(67) Jamun - 188(48) Tomato - 261(67) Custard apple 188(48) 73(18) Brinjal 16(4) 245(63) Tamarind - 188(48) Onion - 228(59) Mulberry - 50(13) Bhendi 90(23) 171(44) Marigold - 261(67) Drumstick - 238(61) Chrysanthemum - 261(67) Mango - 16(4)  Apart from the individual crop suitability, a proposed crop plan has been prepared for the identified LMUs by considering only the highly and moderately suitable lands for different crops and cropping systems with food, fodder, fiber and horticulture crops.  Maintaining soil-health is vital to crop production and conserve soil and land resource base for maintaining ecological balance and to mitigate climate change. For this, several ameliorative measures have been suggested to these problematic soils like saline/alkali, highly eroded, sandy soils etc.  Soil and water conservation treatment plan has been prepared that would help in identifying the sites to be treated and also the type of structures required.  As part of the greening programme, several tree species have been suggested to be planted in marginal and submarginal lands, field bunds and also in the hillocks, mounds and ridges. This would help in not only supplementing the farm income but also provide fodder and fuel to generate lot of biomass which would help in maintaining an ecological balance and also contribute to mitigating the climate change. The data on households sampled for socio economic survey indicated that 34 farmers were sampled in Horanchi-2 micro-watershed among them 4 (11.76 %) were landless, 13 (38.24 %) were marginal farmers, 11 (32.35 %) were small farmers, 5 (14.71 %) were semi medium farmers and 1 (2.94 %) were medium farmers.  The data indicated that there were 117 (56.80 %) men and 89 (43.20 %) women among the sampled households. The average family size of landless farmers' was 4.25, marginal farmers' was 5.15, small farmers' was 7.27, semi medium farmers' was 7.4 and medium farmers' was 5.  The data indicated that, 55 (26.70 %) people were in 0-15 years of age, 103 (50 %) were in 16-35 years of age, 36 (17.48 %) were in 36-60 years of age and 12 (5.83 %) were above 61 years of age.  The results indicated that Horanchi-2had 45.63 per cent illiterates, 0.49 per cent Functional Literate, 23.30 per cent of them had primary school, 3.88 per cent of them had middle school, 12.62 per cent of them had high school education, 3.40 per cent of them had PUC, 0.49 per cent of them had Diploma and ITI, 2.43 per cent of them had Degree education and 1.94 per cent of them had Masters education.  The results indicate that, 88.24 per cent of household heads were practicing agriculture, 8.82 per cent of the household heads were agricultural labourers and 2.94 cent of the household heads were General labourers.  The results indicate that agriculture was the major occupation for 55.83 per cent of the household members, 67.66 per cent were agricultural labourers, 1.94 per cent were in general labour, 2.43 per cent were private service, 22.82 per cent were students, 5.83 per cent were housewives and 5.83 per cent were children.  The results show that, 100 per cent of the population in the micro watershed has not participated in any local institutions.  The results indicate that 20.59 per cent of the households possess Thatched house, 44.12 per cent of the households possess Katcha house and 32.35 per cent of them possess Pucca/RCC house.  The results show that 70.59 per cent of the households possess TV, 50 per cent of the households possess mixer/grinder, 2.94 per cent of the households possess bicycle, Computer/Laptop and Landline Phone, 47.06 per cent of the households possess motor cycle, 5.88 per cent of the households possess Auto, 2.94 per cent of the households possess Tempo and 94.12 per cent of the households possess mobile phones.  The results show that the average value of television was Rs. 5,625, mixer/grinder was Rs. 2,250, Bicycle was Rs. 3,000, motor cycle was Rs. 53,312, Landline Phone was Rs. 5,000, Computer/Laptop was Rs. 35,000 and mobile phone was Rs. 2,360. 2  About 29.41 per cent of the households possess Bullock Cart, 44.12 per cent of the households possess plough, 11.76 per cent of the households possess Power Tiller, 5.88 per cent of them possess Tractor, Sprayer, Sprinkler and Thresher, 8.82 per cent of them possess Harvester and 52.94 per cent of them possess weeder.  The results show that the average value of bullock cart was Rs. 14,200, plough was Rs. 2,153, Power Tiller was Rs. 78,250, Tractor was Rs. 650,000, sprayer was Rs. 4,000, sprinkler was Rs. 5,500, Harvester was Rs. 76, Thresher was Rs. 100 and the average value of weeder was Rs. 202.  The results indicate that, 32.35 per cent of the households possess bullocks, 23.53 per cent of the households possess local cow, 2.94 per cent of the households possess Crossbred cow, 8.82 per cent of the households possess Goat and 5.88 per cent of the households possess Poultry birds.  The results indicate that, average own labour men available in the micro watershed was 1.73, average own labour (women) available was 1.47, average hired labour (men) available was 9.37 and average hired labour (women) available was 9.63.  In case of marginal farmers, average own labour men available was 1.38, average own labour (women) was 1.23, average hired labour (men) was 8.69 and average hired labour (women) available was 8.69. In case of small farmers, average own labour men available was 2, average own labour (women) was 1.82, average hired labour (men) was 7.91 and average hired labour (women) available was 7.73. In case of semi medium farmers, average own labour men available was 2, average own labour (women) was 1.40, average hired labour (men) was 14.20 and average hired labour (women) available was 15.20. In case of medium farmers, average own labour men available was 2 and average own labour (women) was 1, average hired labour (men) was 10 and average hired labour (women) available was 9.63.  The results indicate that, 91.18 per cent of the households opined that the hired labour was adequate.  The results indicate that, 3.85 per cent of the households have migrated in the microwatershed.  The results indicate that, the average distance of migrated households was 2800 kms and average duration was for 4 months.  The results indicate that, 100 per cent of the households opined that Job/wage/work was the main purpose of migration.  The results indicate that, households of the Horanchi-2 micro-watershed possess 22.94 ha (64.46 %) of dry land, 9.41 ha (26.44 %) of irrigated land and 3.24 ha (9.10 %) of Permanent Fallow land. Marginal farmers possess 7.25 ha (92.94 %) of dry land and 0.55 ha (7.06 %) of irrigated land. Small farmers possess 12.41 ha (83.22 %) of dry land and 2.50 ha (16.78 %) of irrigated land. Semi medium farmers possess 0.45 ha (6.60 %) of dry land and 6.36 ha (93.40 %) of irrigated land. 3 Medium farmers possess 2.83 ha (46.67 %) and 3.24 ha (53.33 %) of Permanent Fallow land.  The results indicate that, the average value of dry land was Rs. 374,770.64, the average value of irrigated land was Rs. 339,956.99 and the average value of Permanent Fallow land was Rs. 247,000. In case of marginal famers, the average land value was Rs. 602,092.13 for dry land and the average land value was Rs. 908,088.23 for Irrigated land. In case of small famers, the average land value was Rs. 306,131.77 for dry land and Rs. 859,130.45 for irrigated land. In case of semi medium famers, the average land value was Rs. 445,045.04 for dry land and Rs. 298,726.93 for irrigated land. In case of medium farmers, the average land value was Rs. 352,857.14 for dry land.  The results indicate that, there were 1 De-functioning and 8 functioning bore wells in the micro watershed.  The results indicate that, there were 1 functioning open wells in the micro watershed.  The results indicate that, bore well was the major irrigation source in the micro water shed for 23.53 per cent of the farmers and Open Well was the irrigation source in the micro water shed for 5.88 per cent of the farmers.  The results indicate that, the depth of bore well was found to be 15.65 meters and the depth of open well was found to be 2.15 meters.  The results indicate that, marginal, small and semi medium farmers had an irrigated area of 1.08 ha, 4.92 ha and 4.25 ha respectively.  The results indicate that, farmers have grown cotton (4.19 ha), green gram (5.88 ha), groundnut (2.23 ha), Paddy (4.72 ha), red gram (10.19 ha) and sorghum (1.21 ha). Marginal farmers have grown red gram, paddy, cotton and green gram. Small farmers have grown cotton, groundnut, sorghum, red gram, green gram and paddy. Semi medium farmers have grown cotton, red gram, paddy and groundnut. Medium farmers have grown red gram and sorghum.  The results indicate that, the cropping intensity in Horanchi-2 micro-watershed was found to be 86.14 per cent.  The results indicate that, 67.65 per cent of the households have bank account and 2.94 per cent of the households have savings.  The results indicate that, 64.71 per cent of the households have availed credit from different sources.  The results indicate that, the total cost of cultivation for Cotton was Rs. 229722.04. The gross income realized by the farmers was Rs. 109333.82. The net income from Cotton cultivation was Rs. -120388.22. Thus the benefit cost ratio was found to be 1: 0.48.  The results indicate that, the total cost of cultivation for green gram was Rs. 39928.01. The gross income realized by the farmers was Rs. 47145.61. The net 4 income from green gram cultivation was Rs. 7217.60. Thus the benefit cost ratio was found to be 1: 1.18.  The results indicate that, the total cost of cultivation for groundnut was Rs. 55704.62. The gross income realized by the farmers was Rs. 68428.15. The net income from groundnut cultivation was Rs. 12723.53. Thus the benefit cost ratio was found to be 1: 1.23.  The results indicate that, the total cost of cultivation for Red gram was Rs. 34552.12. The gross income realized by the farmers was Rs. 48332.75. The net income from Red gram cultivation was Rs. 13780.63. Thus the benefit cost ratio was found to be 1: 1.4.  The results indicate that, the total cost of cultivation for Sorghum was Rs. 50898.75. The gross income realized by the farmers was Rs. 59280. The net income from Sorghum cultivation was Rs. 8381.25. Thus the benefit cost ratio was found to be 1: 1.16.  The results indicate that, 29.41 per cent of the households opined that dry fodder was adequate and 20.59 per cent of the households opined that green fodder was adequate.  The results indicate that the annual gross income was Rs. 114,889 for for marginal farmers, for small farmers it was Rs. 149,763.64, semi medium farmers it was Rs. 119,000 and medium farmers it was Rs. 290,000.  The results indicate that the average annual expenditure is Rs. 441,909.32. For marginal farmers it was Rs. 11,598.62, for small farmers it was Rs. 17,066.12, for semi medium farmers it was Rs. 8,680 and medium farmers it was Rs. 60,000.  The results indicate that, households have planted 64 Neem, 5 Acacia, 16 Banyan and 1 tamarind trees in their field.  The results indicated that, households have an average investment capacity of Rs. 4,647.06 for land development, households have an average investment capacity of Rs. 705.88 for Irrigation facility, households have an average investment capacity of Rs. 2,323.53 for improved crop production and households have an average investment capacity of Rs. 617.65 improved livestock management.  The results indicated that Loan from bank was the source of additional investment for 38.24 per cent for land development, 11.76 per cent for irrigation facility, 35.29 per cent for improved crop production and 11.76 per cent for improved livestock management. Own funds was the source of additional investment for 2.94 per cent for land development.  The results indicated that, cotton was sold to the extent of 84.41 per cent, Green gram was sold to the extent of 98.91 per cent, Groundnut was sold to the extent of 82.61 per cent, Paddy was sold to the extent of 44.05 per cent, Red gram was sold to the extent of 100 per cent and sorghum to the extent of 75 per cent. 5  The results indicated that, about 100 per cent of the farmers sold their produce to local/village merchants.  The results indicated that, 100 per cent of the households have used tractor as a mode of transportation.  The results indicated that, 82.35 per cent of the households have experienced soil and water erosion problems in the farm.  The results indicated that, 88.24 per cent have shown interest in soil test.  The results indicated that, 97.06 per cent of the households used firewood as a source of fuel and 2.94 per cent of the households used LPG as a source of fuel.  The results indicated that, piped supply was the major source of drinking water for 97.06 per cent of the households in the micro watershed and Bore Well was the major source of drinking water for 2.94 per cent of the households in the micro watershed.  The results indicated that, Electricity was the major source of light for 100 per cent of the households in micro watershed.  The results indicated that, 29.41 per cent of the households possess sanitary toilet facility.  The results indicated that, 100 per cent of the sampled households possessed BPL cards.  The results indicated that, 94.12 per cent of the households participated in NREGA programme.  The results indicated that, cereals and Pulses were adequate for 100 per cent of the households, Oilseed were adequate for 94.12 per cent of the households, Vegetables were adequate for 79.41 per cent, Egg were adequate for 8.82 per cent, Fruits were adequate for 2.94 per cent and Milk and were adequate for 82.35 per cent.  The results indicated that, cereals were inadequate for 29.41 per cent of the households, Pulses were inadequate for 20.59 per cent of the households, oilseeds were inadequate for 5.88 per cent, vegetables and milk were inadequate for 17.65 per cent, fruits were inadequate for 97.06 per cent, Egg were inadequate for 91.18 per cent of the households and Meat was inadequate for 100 per cent of the households.  The results indicated that, lower fertility status of the soil and Wild animal menace on farm field were the constraint experienced by 88.24 per cent of the households, frequent incidence of pest and diseases (82.35 %), High cost of Fertilizers and plant protection chemicals, Lack of marketing facilities in the area and High rate of interest on credit (85.29 %), Inadequacy of irrigation water (14.71 %), Low price for the agricultural commodities (76.47 %), Inadequate extension services (17.65 %) and Lack of transport for safe transport of the Agril produce to the market (79.41 %), Less rainfall (2.94 %) and Source of Agri-technology information(Newspaper/TV/Mobile) (8.82 %). ; Watershed Development Department, Government of Karnataka (World Bank Funded) Sujala –III Project

Not Available ; The land resource inventory of Danakkanadoddi-2microwatershedwas conducted using village cadastral maps and IRS satellite imagery on 1:7920 scale. The false colour composites of IRS imagery were interpreted for physiography and these physiographic delineations were used as base for mapping soils. The soils were studied in several transects and a soil map was prepared with phases of soil series as mapping units. Random checks were made all over the area outside the transects to confirm and validate the soil map unit boundaries. The soil map shows the geographic distribution and extent, characteristics, classification, behavior and use potentials of the soils in the microwatershed. The present study covers an area of 542ha in Koppal taluk and district, Karnataka. The climate is semiarid and categorized as drought - prone with an average annual rainfall of 662 mm, of which about 424 mm is received during south –west monsoon, 161mm during north-east and the remaining 77 mm during the rest of the year. An area of about 95per cent is covered by soils, about one per cent by rock outcrops , one per cent bywater bodies and three per cent by mining/industrial. The salient findings from the land resource inventory are summarized briefly below.  The soils belong to 15soil series and 23soil phases (management units) and 7land use classes.  The length of crop growing period is 150 cm).  About 62 per cent areahas loamy soils, 28 per cent area has clay soils and 5 per cent area has sandy soils at the surface.  About 69 per cent of the area has non-gravelly (200mm/m) in available water capacity.  Entire area has very gently sloping (1-3%) lands.  About 7per cent area has slightly eroded (e1) and about 89 per cent area has moderately eroded (e2) lands.  About 13 per cent area is slightly acid (pH 6.0-6.5), 30 per cent area is slightly alkaline (pH7.3-7.8)to strongly alkaline (pH 8.4-9.0)in soil reaction and 52 per cent area is neutral (pH 6.5-7.3).  The Electrical Conductivity (EC) of the soils are dominantly 0.75%) in organic carbon.  About 3 per cent area is low (57 kg/ha) available phosphorus.  Anarea of about 58 per centismedium (145-337 kg/ha)and about 38per cent ishigh (>337 kg/ha) in available potassium.  Available sulphur is low (1.0 ppm) in one per cent.  Available iron is sufficient (>4.5 ppm)in46 per cent area and deficient (1.0 ppm) in about 95 per cent area.  Available copper is sufficient(>0.2 ppm) in all the soils.  The land suitability for 28 major crops grown in the microwatershedwere assessed and the areas that are highly suitable (S1) and moderately suitable (S2) are given below. It is however to be noted that a given soil may be suitable for various crops but what specific crop to be grown may be decided by the farmer looking to his capacity to invest on various inputs, marketing infrastructure, market price and finally the demand and supply position. Land suitability for various crops in the microwatershed Crop Suitability Area in ha (%) Crop Suitability Area in ha (%) Highly suitable (S1) Moderately suitable (S2) Highly suitable (S1) Moderately suitable (S2) Sorghum 246 (45) 104 (19) Pomegranate 185 (34) 183 (34) Maize 65 (12) 260 (48) Guava 181 (33) 138 (25) Bajra 233 (43) 118 (34) Jackfruit 185 (34) 133 (24) Groundnut 164 (30) 299 (55) Jamun 164 (30) 74 (14) Sunflower 205 (37) 131 (24) Musambi 202 (37) 166 (31) Cotton 184 (34) 191 (35) Lime 202 (37) 166 (31) Red gram 185 (34) 141 (26) Cashew 229 (42) 40 (7) Bengalgram 17 (3) 390 (63) Custard apple 275 (51) 237 (44) Chilli 233 (43) 93 (17) Amla 258 (48) 254 (47) Tomato 233 (43) 67 (12) Tamarind 164 (30) 62 (11) Drumstick 185 (34) 260 (48) Marigold 181 (33) 194 (36) Mulberry 185 (34) 270 (50) Chrysanthemum 181 (33) 194 (36) Mango 164 (30) 21 (4) Jasmine 181 (33) 144 (11) Sapota 185 (34) 133 (24) Crossandra 181 (33) 194 (36) Apart from the individual crop suitability, a proposed crop plan has been prepared for the7identified LUCs by considering only the highly and moderately suitable lands for different crops and cropping systems with food, fodder,fibre and other horticulture crops.  Maintaining soil-health is vital to crop production and conserve soil and land resource base for maintaining ecological balance and to mitigate climate change. For this, several ameliorative measures have been suggested for these problematic soils like saline/alkali, highly eroded, sandy soils etc.,  Soil and water conservation treatment plan has been prepared that would help in identifying the sites to be treated and also the type of structures required.  As part of the greening programme, several tree species have been suggested to be planted in marginal and submarginal lands, field bunds and also in the hillocks, mounds and ridges. That would help in supplementing the farm income, provide fodder and fuel, and generate lot of biomass which in turn would help in maintaining the ecological balance and contribute to mitigating the climate change. SALIENT FINDINGS OF THE SURVEY  The data indicated that there were 104 (56.22%) men and 81 (43.78%) were women among the sampled households.  The average family size of landless farmers was 5, marginal farmers' was 5, small farmers' was 5.20, semi medium farmers' was 5.27 and medium farmers' was 7.  The data indicated that, 42 (22.70%) people were in 0-15 years of age, 83 (44.86%) were in 16-35 years of age, 49 (26.49%) were in 36-60 years of age and 11 (5.95%) were above 61 years of age.  The results indicated that Danakanadoddi-2 had 34.59 per cent illiterates, 24.86 per cent of them had primary school education, 3.78 per cent of them had middle school education, 20 per cent of them had high school education, 7.03 per cent of them had PUC education, 2.70 per cent of them had degree education and 1 person was doing masters.  The results indicate that, 34.29 per cent of households practicing agriculture, 60 per cent of the households were agricultural laborers, 5.71 per cent were in private service, 2.86 per cent were students and 2.86 per cent of the household heads were involved in other occupation.  The results indicate that agriculture was the major occupation for 25.95 per cent of the household members, 39.46 per cent were agricultural labourers, 3.78 per cent were in private service, 23.24 per cent of them were student, 1.62 per cent of them were housewife and 5.41 per cent were children.  The results show that 100 per cent of the households have not participated in any local institutions.  The results indicate that 17.14 per cent of the households possess thatched house, 54.29 per cent of the households possess Katcha house, 28.57 per cent of them possess pucca house.  The results shows that 74.29 per cent of the households possess TV, 34.29 per cent of the households possess Mixer grinder, 14.29 per cent of the households possess bicycle, 22.86 per cent of the households possess motor cycle and 94.29 per cent of the households possess mobile phones.  The results shows that the average value of television was Rs. 8,807, mixer grinder was Rs.2,000, motor cycle was Rs.30,875, mobile phone was Rs.1,673 and bicycle was Rs.2,000.  About 20 per cent of the households possess plough and 60 per cent of them possess weeder.  The results show that the average value of plough was Rs.2642 and the average value of weeder Rs.50.  The results indicate that, 11.43 per cent of the households possess bullocks and 20 per cent of the households possess local cow. 2  The results indicate that, average own labour men available in the micro watershed was 2, average own labour (women) available was 1.30, average hired labour (men) available was 13.52 and average hired labour (women) available was 12.71.  The results indicate that, 85.71 per cent of the household opined that hired labour was adequate. About 100 per cent of the marginal farmers, 100 per cent of small, 100 per cent of semi medium, 100 per cent of medium and large farmers have opined that hired labour was adequate.  The results indicate that, households of the Danakanadoddi-2 micro watershed possess 24.53 ha (56.03%) of dry land and 19.26 ha (43.97%) of irrigated land. Marginal farmers possess 4.72 ha (74.46%) of dry land and 1.62 ha (25.54%) of irrigated land. Small farmers possess 2.71 ha (53.60%) of dry land and 2.35 ha (46.40%) of irrigated land. Semi medium possess 12.95 ha (57.76%) of dry land and 9.47 ha (42.24%) of irrigated land. Medium farmers possess 4.15 ha (41.64%) of dry land and 5.82 ha (58.36%) of irrigated land.  The results indicate that, the average value of dry land was Rs. 358,561.53 and average value of irrigated was Rs. 477,595.63. In case of marginal famers, the average land value was Rs. 847,341.34 for dry land and Rs. 1,482,000 for irrigated land. In case of small famers, the average land value was Rs. 368,656.71 for dry land and Rs. 596,206.89 for irrigated land. In case of semi medium famers, the average land value was Rs. 231,562.50 for dry land and Rs. 411,666.67 for irrigated land. In case of medium famers, the average land value was Rs. 192,592.59 for dry land and Rs. 257,649.51 for irrigated land.  The results indicate that, there were 15 functioning bore wells in the micro watershed.  The results indicate that, bore well was the major irrigation source in the micro water shed for 42.86 per cent of the farmers.  The results indicate that, the depth of bore well was found to be 63.66 meters.  The results indicate that, marginal farmers had irrigated area of 1.62 hectares, small farmers had 2.35 hectares, semi medium farmers had 9.47 hectares and medium farmers had 5.67 hectares.  The results indicate that, farmers have grown maize (32.45 ha), bajra (6.69 ha), paddy (2.02 ha), groundnut (1.05 ha) and cotton (0.81 ha).  The results indicate that, the cropping intensity in Danakanadoddi-2 micro watershed was found to be 80.39 per cent. In case of marginal farmers it was 99.68 per cent, for small farmers it was 88 per cent, in case of semi medium farmers it was 84.71 per cent and medium farmers had a cropping intensity of 62.78 per cent.  The results indicate that, 40 per cent of the households possess bank account in the micro watershed. 3  The results indicate that, 45.45 per cent of marginal, 20 per cent of small, 54.55 per cent of semi medium and 66.67 per cent of medium farmers have borrowed credit from different sources.  The results indicate that, 21.43 per cent have availed loan from commercial, 14.29 per cent have availed loan from cooperative banks and 64.29 per cent have availed loan from grameena bank.  The results indicate that, marginal, small, semi medium and medium have availed a credit of Rs.181,000, Rs.20,000, Rs. 210,833.33 and Rs.135,000 respectively.  The results indicate that, 100 per cent of the households have borrowed loan from institutional sources for the purpose of agricultural production.  Results indicated that 100 per cent of the households did not repay their loan.  The results indicate that, around 7.14 per cent of the households opined that the rate of interest was higher in institutional sources and 92.86 per cent of the households opined that the loan helped them to perform timely agricultural operations.  The results indicate that, the total cost of cultivation for maize was Rs. 33796.50. The gross income realized by the farmers was Rs. 32938.44. The net income from Maize cultivation was Rs. -858.06, thus the benefit cost ratio was found to be 1:0.97.  The total cost of cultivation for Bajra was Rs. 27226.73. The gross income realized by the farmers was Rs. 25701.72. The net income from Bajra cultivation was Rs. -1525.01. Thus the benefit cost ratio was found to be 1:0.94.  The total cost of cultivation for paddy was Rs. 108212.51. The gross income realized by the farmers was Rs. 92625. The net income from paddy cultivation was Rs. -15587.51. Thus the benefit cost ratio was found to be 1:0.86.  The total cost of cultivation for groundnut was Rs. 64208.28. The gross income realized by the farmers was Rs. 87978.31. The net income from groundnut cultivation was Rs. 23770.03. Thus the benefit cost ratio was found to be 1:1.37.  The total cost of cultivation for Cotton was Rs. 65892.52. The gross income realized by the farmers was Rs. 49400. The net income from Cotton cultivation was Rs. -16492.52, thus the benefit cost ratio was found to be 1:0.75.  The results indicate that, 14.29 per cent of the households opined that dry fodder was adequate and another 14.29 per cent of the households opined that green fodder was adequate.  The results indicate that the average annual gross income was Rs. 37,400 for landless farmers, for marginal farmers it was Rs. 46,518.18, for small farmers it was Rs. 41,600, for semi medium farmers it was Rs. 87,581.82 and for medium farmers it was Rs. 155,000.  The results indicate that the average annual expenditure is Rs. 9,241.43. For landless households it was Rs. 9,900, for marginal farmers it was Rs 3,610.19, for 4 small farmers it was Rs. 7,640, for semi medium farmers it was Rs. 9,609.50 and for medium farmers it was Rs. 30,111.11.  The results indicate that, sampled households have grown 30 coconut trees in their field and 1 coconut tree in their backyard.  The results indicate that, households have planted 70 neem trees and 29 teak trees in their field.  The results indicate that, households have an average investment capacity of Rs. 2,600 for land development, Rs. 885.71 for irrigation facility, Rs.1,914.29 for improved crop production, Rs.57.14 for improved livestock management and Rs.228.57 for orchard development/maintenance.  The results indicate that, loan from bank was the major source of investment for 17.14 per cent of households for land development, for 5.71 per cent of the households for irrigation facility, for 11.43 per cent for improved crop production and for 2.86 per cent for improved livestock management. Own funds were the source of additional investment for 11.43 per cent for land development, for 2.86 per cent for irrigation facility, for 11.43 per cent for improved crop production and for 2.86 per cent improved livestock management. Soft loan was the source of additional investment for 14.29 per cent for land development, 8.57 per cent for irrigation facility, for 20 per cent for improved crop production and for 5.71 per cent for orchard development/ maintenance.  The results indicated that, bajra was sold to the extent of 78.26 per cent, cotton was sold to the extent of 62.50 per cent, groundnut was sold to the extent of 62.50 per cent, maize was sold to the extent of 86.96 per cent and paddy was sold to the extent of 74.29 per cent.  The results indicated that, about 77.14 per cent of the households sold their produce to local/village, another 17.14 per cent have sold their produce in cooperative marketing society and 5.71 per cent have sold in regulated markets.  The results indicated that 100 per cent of the farmers have used tractor as a mode of transport for their agricultural produce.  The results indicated that, 85.71 per cent of the households have experienced the soil and water erosion problems.  The results indicated that, 85.71 per cent of the households are interested in soil testing.  The results indicated that, piped supply was the major source of drinking water for 20 per cent of the households, bore well was the source of drinking water for 22.86 per cent of the households and lake/tank was the source of drinking water for 57.14 per cent of the households.  The results indicated that, 94.29 percent used fire wood, and 5.71 percent of the households used LPG as a source of fuel. 5  Electricity was the major source of light for 100 per cent of the households in micro watershed.  The results indicated that, 31.43 per cent of the households possess sanitary toilet i.e. 40 per cent of landless, 27.27 per cent of marginal, 40 per cent of small, 27.27 per cent of semi medium and 33.33 per cent of medium farmers had sanitary toilet facility.  The results indicated that, 100 per cent of the sampled households possessed BPL card.  The results indicated that, 51.43 per cent of the households participated in NREGA programme.  The results indicated that, cereals were adequate for 100 per cent of the households, pulses were adequate for 100 per cent, oilseeds were adequate for 2.86 per cent, vegetables were adequate for 5.71 per cent, fruits were adequate for 2.86 per cent, milk was adequate for 94.29 per cent, eggs were adequate for 97.14 per cent and meat was adequate for 11.43 per cent of the households.  The results indicated that, oilseeds were inadequate for 68.57 per cent, vegetables were inadequate for 40 per cent, fruits were inadequate for 48.57 per cent, milk were inadequate for 11.43 per cent, eggs were inadequate for 8.57 per cent and meat was inadequate for 22.86 per cent of the households.  The results indicated that, vegetables were market surplus for 2.86 per cent, and fruits were market surplus for 5.71 per cent of the households.  The results indicated that, lower fertility status of the soil was the constraint experienced by 65.71 per cent of the households, wild animal menace on farm field (62.86%), frequent incidence of pest and diseases (71.43%), inadequacy of irrigation water (48.57%), high cost of fertilizers and plant protection chemicals (71.43%), high rate of interest on credit (48.57%), low price for the agricultural commodities (62.86%), lack of marketing facilities in the area (62.86%), lack of transport for safe transport of the agricultural produce to the market (57.14%) and inadequate extension services (48.57%). ; Watershed Development Department, Government of Karnataka (World Bank Funded) Sujala –III Project

Not Available ; The land resource inventory of Heganagera-2 Microwatershed was conducted using village cadastral maps and IRS satellite imagery on 1:7920 scale. The false colour composites of IRS imagery were interpreted for physiography and the physiographic delineations were used as base for mapping soils. The soils were studied in several transects and a soil map was prepared with phases of soil series as mapping units. Random checks were made all over the area outside the transects to confirm and validate the soil map unit boundaries. The soil map shows the geographic distribution and extent, characteristics, classification, behavior and use potentials of the soils in the microwatershed. The present study covers an area of 576 ha in Yadgir taluk & district, Karnataka. The climate is semiarid and categorized as drought-prone with an average annual rainfall of 866 mm, of which about 652 mm is received during south-west monsoon, 138 mm during north-east and the remaining 76 mm during the rest of the year. An area of 564 ha in the microwatershed is covered by soils, 12 ha by others (water body). The salient findings from the land resource inventory are summarized briefly below.  The soils belong to 5 soil series and 7 soil phases (management units) and one land use class.  The length of crop growing period is about 120-150 days starting from 1st week of June to 4th week of October.  From the master soil map, several interpretative and thematic maps like land capability, soil depth, surface soil texture, soil gravelliness, available water capacity, soil slope and soil erosion were generated.  Soil fertility status maps for macro and micronutrients were generated based on the surface soil samples collected at every 250 m grid interval.  Land suitability for growing 26 major agricultural and horticultural crops was assessed and maps showing the degree of suitability along with constraints were generated.  Entire area in the microwatershed is arable lands and is suitable for agriculture.  Entire area of the microwatershed has soils that are moderately deep to very deep (75 - >150 cm).  About 94 per cent of the microwatershed has clayey soils and 4 per cent loamy soils at the surface.  Entire area in the microwatershed is non gravelly (200 mm/m) in available water capacity and 10 per cent is medium (101-150 mm/m).  Entire area in the microwatershed has very gently sloping (1-3% slope) lands.  An area of about 94 per cent is moderately (e2) eroded and 4 per cent area is severely (e3) eroded.  An area of about 56 per cent soils are moderately alkaline (pH 7.8-8.4) in soil reaction, 40 per cent soils are strongly alkaline (8.4 - 9.0) and 2 per cent soils are very strongly alkaline (pH >9.0).  The Electrical Conductivity (EC) of entire soils of the microwatershed is 0.75).  About 73 per cent area is low in available phosphorus and 25 per area is medium (23-57 kg/ha).  About 21 per cent is medium (145-337 kg/ha) in available potassium and 76 per cent is high (>337 kg/ha).  Available sulphur is low (20 ppm) in 39 per cent area of the microwatershed.  Available boron is low (1.0 ppm) in 19 per cent area.  Available iron is sufficient (>4.5 ppm) in 82 per cent area and deficient in 16 per cent area of the microwatershed.  Available manganese and copper are sufficient in all the soils of the microwatershed.  Available zinc is deficient (<0.6 ppm) in the entire area of the microwatershed.  The land suitability for 26 major crops grown in the microwatershed were assessed and the areas that are highly suitable (S1) and moderately suitable (S2) are given below. It is however to be noted that a given soil may be suitable for various crops but what specific crop to be grown may be decided by the farmer looking to his capacity to invest on various inputs, marketing infrastructure, market price and finally the demand and supply position. Land suitability for various crops in the Microwatershed Crop Suitability Area in ha (%) Crop Suitability Area in ha (%) Highly suitable (S1) Moderately suitable (S2) Highly suitable (S1) Moderately suitable (S2) Sorghum 524(91) 40(7) Sapota - - Maize - 564(98) Pomegranate - 564(98) Bajra - 564(98) Musambi 504(88) 59(10) Groundnut - - Lime 504(88) 59(10) Sunflower 504(88) 60(10) Amla 504(88) 59(10) Redgram - 564(98) Cashew - - Bengal gram 524(91) 40(7) Jackfruit - - Cotton 504(88) 60(10) Jamun - 504(88) Chilli - 564(96) Custard apple 563(98) - Tomato - 230(40) Tamarind - 504(88) Drumstick - 564(98) Mulberry - - Mango - - Marigold - 564(98) Guava - - Chrysanthemum - 564(98)  Apart from the individual crop suitability, a proposed crop plan has been prepared for the identified LMUs by considering only the highly and moderately suitable lands for different crops and cropping systems with food, fodder, fibre and other horticulture crops.  Maintaining soil-health is vital for crop production and conserve soil and land resource base for maintaining ecological balance and to mitigate climate change. For this, several ameliorative measures have been suggested for these problematic soils like saline/alkali, highly eroded, sandy soils etc.,  Soil and water conservation treatment plan has been prepared that would help in identifying the sites to be treated and also the type of structures required.  As part of the greening programme, several tree species have been suggested to be planted in marginal and submarginal lands, field bunds and also in the hillocks, mounds and ridges. This would help in not only supplementing the farm income but also provide fodder and fuel and generate lot of biomass which would help in maintaining an ecological balance and also contribute to mitigating the climate change. SALIENT FINDINGS OF THE SURVEY  The data indicated that there were 98 (58.68%) men and 69 (41.32%) were women among the sampled households.  The average family size of landless farmers' was 2.5, marginal farmers' was 5.2, small farmers' was 5, semi medium farmers' was 5.8, medium farmers' was 5.6 and for large farmers it was 4.  The data indicated that there were 34 (20.36%) people in 0-15 years of age, 75 (44.91%) were in 16-35 years of age, 39 (23.35 %) were in 36-60 years of age and 19 (11.38%) were above 61 years of age.  The results indicated that the Heganagera-2 had 45.51 per cent illiterates, 25.15 per cent of them had primary school education, 7.19 per cent of them had middle school education, 8.38 per cent of them had high school education, 5.39 per cent of them had PUC education, 0.60 per cent had diploma education, 4.19 per cent of them had degree education and 1.20 per cent of them had ITI education.  The results indicate that, 79.41 per cent of the households were practicing agriculture and 20.59 per cent were agricultural labourers.  The results indicate that agriculture was the major occupation for 17.96 per cent of the household members, agricultural labour was the major occupation for 50.90 per cent of the household members, 2.40 per cent of the households were in private service, 22.16 per cent were students, 4.19 per cent were housewives and 2.40 per cent were children.  The results show that 100 per cent of the population did not participate in any local organization.  The results indicate that 76.47 per cent of the households possess Katcha house and 23.53 per cent of them possess pucca house.  The results shows that 91.18 per cent of the households possess TV, 23.53 per cent of the households possess Mixer grinder, 2.94 per cent of the households possess bicycle, 17.65 per cent of the households possess motor cycle, and 88.24 per cent of the households mobile phones.  The results show that the average value of television was Rs. 9,774, mixer grinder was Rs. 2,000, bicycle was Rs.2,000, motor cycle was Rs. 50,000 and mobile phone was Rs. 2,430.  About 47.06 per cent of the households possess plough, 44.12 per cent of them possess bullock cart, 11.76 per cent of them possess sprayer, and 8.82 per cent of them possess weeder.  The results show that the average value of plough was Rs. 3,625, the average value of sprayer was Rs. 5,250, the average value of bullock cart was Rs. 17,133, and the average value of weeder was Rs.91. 2  The results indicate that, 29.41 per cent of the households possess bullock and 73.53 per cent of the households did not possess livestock. Those who possessed bullock included 33.33 per cent of marginal farmers, 27.27 per cent of small farmers, 50 per cent of semi medium farmers and 40 per cent of the medium farmers.  The results indicate that, average own labour men available in the micro watershed was 1.82, average own labour (women) available was 1.44, average hired labour (men) available was 14.18 and average hired labour (women) available was 15.12.  The results indicate that, 100 per cent of the households in the micro watershed opined that hired labour was inadequate.  The results indicate that, households of the Heganagera-2 micro watershed possess 115.07 ha (89.75%) of dry land and 13.14 ha (10.25%) of irrigated land. Marginal farmers possess 5.15 ha (100%) of dry land. Small possess 16.04 ha (100%) of dry land. Semi medium farmers possess 11.32 ha (89.54%) of dry land and 1.32 ha (10.46%) of irrigated land. Medium farmers possess 22.26 ha (88.44%) of dry land and 2.91 ha (11.56%) of irrigated land. Large farmers possess 60.30 ha (87.13%) of dry land and 8.90 ha (12.87%) of irrigated land.  The results indicate that, the average value of dry land was Rs. 88,608.31 and average value of irrigated was Rs. 121,749.85. In case of marginal famers, the average land value was Rs. 427,201.26 for dry land. In case of small famers, the average land value was Rs. 230,608.12 for dry land. In case of semi medium famers, the average land value was Rs. 185,382.42 for dry land and Rs. 377,675.84 for irrigated land. In case of medium famers, the average land value was Rs. 85,327.27 for dry land and Rs. 206,119.61 for irrigated land. In case of large farmers the average value of dry land was Rs. 4,973.15 and irrigated land was Rs. 56,136.36.  The results indicate that, there were 3 functioning and 3 de-functioning bore wells in the micro watershed.  The results indicate that, bore well was the major source of irrigation for 8.82 per cent of the households.  The results indicate that, the average depth of water for bore wells was 6.72 meters in the micro watershed.  The results indicate that, semi medium farmers had 1.32 hectares, medium farmers had 5 hectares of irrigated land and large farmers had 0.81 ha of irrigated land.  The results indicate that, farmers have grown redgram (28.66 ha), cotton (26.49 ha), sorghum (7 ha), groundnut (5.67 ha), and paddy (1.32 ha). Marginal and small farmers had grown redgram, cotton and sorghum. Semi medium farmers had grown redgram, cotton, groundnut and paddy. Medium farmers had grown 3 redgram, cotton and groundnut. Large farmers had grown red gram and groundnut.  The results indicate that, the cropping intensity in Heganagera-2 micro watershed was found to be 89.42 per cent.  The results indicate that, 85.29 per cent of the households in the micro watershed possess bank account and savings. This included 25 per cent of landless, 83.33 per cent of marginal, 90.91 per cent of small, 100 per cent of semi medium, medium and large farmers.  The results indicate that, 25 per cent of landless, 83.33 per cent of the marginal, 90.91 per cent of small, 100 per cent of semi medium, medium and large farmers have borrowed credit from different sources.  The results indicate that, the total cost of cultivation for groundnut was Rs. 45000.73. The gross income realized by the farmers was Rs. 86253.97. The net income from Groundnut cultivation was Rs. 41253.24, thus the benefit cost ratio was found to be 1:1.92.  The total cost of cultivation for cotton was Rs. 33321.94. The gross income realized by the farmers was Rs. 58965.48. The net income from cotton cultivation was Rs. 25643.54. Thus the benefit cost ratio was found to be 1:1.77.  The total cost of cultivation for red gram was Rs. 31792.03. The gross income realized by the farmers was Rs. 61693.81. The net income from red gram cultivation was Rs. 29901.79. Thus the benefit cost ratio was found to be 1:1.94.  The total cost of cultivation for paddy was Rs. 43847.66. The gross income realized by the farmers was Rs. 104993.88. The net income from paddy cultivation was Rs. 61146.22. Thus the benefit cost ratio was found to be 1:2.39.  The total cost of cultivation for sorghum was Rs. 33237.78. The gross income realized by the farmers was Rs. 46163.53. The net income from sorghum cultivation was Rs. 12925.76, thus the benefit cost ratio was found to be 1:1.39.  The results indicate that, 2.94 per cent of the households opined that dry fodder was adequate and another 2.94 per cent opined that the green fodder was adequate. The data also revealed that around 14.71 per cent of the households opined that the dry fodder was inadequate.  The table indicated that average annual gross income in case of landless farmers was Rs. 40,000, in case of marginal farmers it was Rs. 61,666.67, in case of small farmers it was Rs. 150,909.09, in case of semi medium farmers it was Rs. 190,000, in case of medium farmers it was Rs. 268,000 and in case of large farmers it was Rs.352,500.  The results indicated that, in case of landless farmers the average annual expenditure was Rs. 2,312.50, in case of marginal farmers it was Rs. 5,277.78, in case of small farmers it was Rs. 8,776.86, in case of semi medium farmers it was 4 Rs. 9,716.67, for medium farmers it was Rs. 18,800 and for large farmers it was Rs. 65,000.  The results indicate that, sampled households have grown 1 lime and 1 mango tree in their field.  The results indicate that, households have planted 1 pongamia, 4 tamarind, 24 teak and 69 neem trees in their field.  The results indicate that, the average additional investment capacity with the households for land development was Rs. 5,000 for marginal farmers, Rs. 8,181.82 for small farmers, Rs. 9,166.67 for semi medium farmers, Rs. 10,000 for medium farmers and Rs. 7,500 for large farmers.  The results indicate that, loan from bank was the source of additional investment capacity for 82.35 per cent of the households for land development.  The results indicated that, groundnut was sold to the extent of 90.90 per cent, paddy to the extent of 50 per cent, redgram to the extent of 90.91 per cent and sorghum was sold to the extent of 56.52 per cent. Cotton was sold to the extent of 100 per cent.  The results indicated that, about 11.76 per cent of the households have sold agricultural produce to the local/village merchants and 79.41 per cent of the households have sold their produce in regulated markets.  The results indicated that 8.82 per cent of the households have used cart as mode of transport and 85.29 per cent of the households have used tractor as a mode of transport.  The results indicated that, 55.88 per cent of the households have experienced soil and water erosion problems in the farm i.e., 83.33 per cent of the marginal farmers, 63.64 per cent of the small farmers, 33.33 per cent of the semi medium farmers, 60 per cent of medium and 100 per cent of large farmers have experienced soil and water erosion problems.  The results indicated that, 85.29 per cent of the households have shown interest in soil testing i.e. 100 per cent of marginal farmers, 90.91 per cent of small farmers, 100 per cent of semi medium, 100 per cent of medium and 100 per cent of large farmers have shown interest in soil testing.  The results indicated that, fire wood was the source of fuel for 91.18 per cent of the households and LPG was the source of fuel for 8.82 per cent of the households.  Piped supply was the major source for drinking water for 82.35 per cent and bore well was the source of drinking water for 17.65 per cent of the households in the micro watershed.  Electricity was the major source of light for all the households in micro watershed. 5  The results indicated that, 38.24 per cent of the households possess sanitary toilet i.e. 100 per cent of landless, 16.67 per cent of marginal, 27.27 per cent of small, 16.67 per cent of semi medium, 40 per cent of medium and 100 per cent of the large farmers had sanitary toilet facility.  The results indicated that, 97.06 per cent of the sampled households possessed BPL card and 2.94 per cent of the households did not possess PDS card.  The results indicated that, 94.12 per cent of the households in the micro watershed participated in NREGA programme.  The results indicated that, cereals were adequate for 97.06 per cent of the households, pulses were adequate for 26.47 per cent, oilseeds were adequate for 47.06 per cent, vegetables were adequate for 29.41 per cent, fruits were adequate for 61.76 per cent, milk was adequate for 29.41 per cent and egg were adequate for 38.24 per cent of the households.  The results indicated that, cereals were inadequate for pulses were inadequate for 73.53 per cent, oilseeds were inadequate for 47.06 per cent, vegetables were inadequate for 64.71 per cent, fruits were inadequate for 38.24 per cent, milk was inadequate for 35.29 per cent, and egg were inadequate for 38.24 per cent of the households.  The results indicated that, Lower fertility status of the soil was the constraint experienced by 88.24 per cent of the households, wild animal menace on farm field (35.29%), frequent incidence of pest and diseases (55.88%), inadequacy of irrigation water (26.47%), high cost of Fertilizers and plant protection chemicals (38.24%), high rate of interest on credit (14.71%), low price for the agricultural commodities (11.76%), lack of marketing facilities in the area (11.76%), inadequate extension services (8.82%), lack of transport for safe transport of the agricultural produce to the market (29.41%), less rainfall (47.06%) and source of agri-technology information (14.71%). ; Watershed Development Department, Government of Karnataka (World Bank Funded) Sujala –III Project

Not Available ; The land resource inventory of Shethalli-2 Microwatershed was conducted using village cadastral maps and IRS satellite imagery on 1:7920 scale. The false colour composites of IRS imagery were interpreted for physiography and the physiographic delineations were used as base for mapping soils. The soils were studied in several transects and a soil map was prepared with phases of soil series as mapping units. Random checks were made all over the area outside the transects to confirm and validate the soil map unit boundaries. The soil map shows the geographic distribution and extent, characteristics, classification, behavior and use potentials of the soils in the microwatershed. The present study covers an area of 645 ha in Yadgir taluk & district, Karnataka. The climate is semiarid and categorized as drought-prone with an average annual rainfall of 866 mm, of which about 652 mm is received during south-west monsoon, 138 mm during north-east and the remaining 76 mm during the rest of the year. An area of 610 ha (95%) in the microwatershed is covered by soils, 5 ha by railway, 7 ha by rock outcrops and about 23 ha by others (habitation and water bodies). The salient findings from the land resource inventory are summarized briefly below.  The soils belong to 10 soil series and 21 soil phases (management units) and 5 land use class.  The length of crop growing period is about 120-150 days starting from 1st week of June to 4th week of October.  From the master soil map, several interpretative and thematic maps like land capability, soil depth, surface soil texture, soil gravelliness, available water capacity, soil slope and soil erosion were generated.  Soil fertility status maps for macro and micronutrients were generated based on the surface soil samples collected at every 250 m grid interval.  Land suitability for growing 26 major agricultural and horticultural crops was assessed and maps showing the degree of suitability along with constraints were generated.  Entire area in the microwatershed is suitable for agriculture.  About 70 per cent area of the microwatershed has soils that are moderately deep to very deep (75 - >150 cm) and 25 per cent soils are shallow to moderately shallow (25-75 cm).  About 35 per cent area in the microwatershed has loamy soils, 56 per cent clayey soils and 4 per cent are sandy at the surface.  About 90 per cent area of the microwatershed is non gravelly (200 mm/m) in available water capacity.  Entire area in the microwatershed has very gently sloping (1-3% slope) lands.  An area of about 71 per cent is moderately (e2) eroded, 23 per cent severely eroded (e3) and about one per cent slightly eroded.  An area of about 2 per cent soils are slightly alkaline (pH 7.3-7.8), 31 per cent soils are moderately alkaline (7.8-8.4), 38 per cent soils are strongly alkaline (8.4-9.0) and 23 per cent soils are very strongly alkaline (>9.0).  The Electrical Conductivity (EC) of the soils in the entire area of the microwatershed is dominantly 0.75%) in organic carbon.  About 69 per cent area is low in available phosphorus and 26 per area is medium (23-57 kg/ha).  About 78 per cent is medium (145-337 kg/ha) in available potassium and 17 per cent is high (>337 kg/ha).  Available sulphur is low (20 ppm) in 18 per cent area of the microwatershed.  Available boron is low (1.0 ppm) in 23 per cent area of the microwatershed.  Available iron is deficient (4.5 ppm) in an area of 79 per cent.  Available manganese and copper are sufficient in all the soils of the microwatershed.  Available zinc is deficient (<0.6 ppm) in the entire area of the microwatershed.  The land suitability for 26 major crops grown in the microwatershed were assessed and the areas that are highly suitable (S1) and moderately suitable (S2) are given below. It is however to be noted that a given soil may be suitable for various crops but what specific crop to be grown may be decided by the farmer looking to his capacity to invest on various inputs, marketing infrastructure, market price and finally the demand and supply position. Land suitability for various crops in the Microwatershed  Apart from the individual crop suitability, a proposed crop plan has been prepared for the identified LMUs by considering only the highly and moderately suitable lands for different crops and cropping systems with food, fodder, fibre and other horticulture crops.  Maintaining soil-health is vital to crop production and conserve soil and land resource base for maintaining ecological balance and to mitigate climate change. For this, several ameliorative measures have been suggested to these problematic soils like saline/alkali, highly eroded, sandy soils etc.,  Soil and water conservation treatment plan has been prepared that would help in identifying the sites to be treated and also the type of structures required.  As part of the greening programme, several tree species have been suggested to be planted in marginal and submarginal lands, field bunds and also in the hillocks, mounds and ridges. This would help in not only supplementing the farm income but also provide fodder and fuel and generate lot of biomass which would help in maintaining an ecological balance and also contribute to mitigating the climate change. SALIENT FINDINGS OF THE SURVEY  The data indicated that there were 75 (61.98%) men and 46 (38.02 %) were women among the sampled households. The average family size of marginal farmers was 4.19, small farmers were 5, a semi medium farmer was 4.33, medium farmers were 4 and for large farmers it was 4.22.  There were 21(17.36%) people were in 0-15 years of age, 53 (43.8%) were in 16- 35 years of age, 40 (33.06 %) were in 36-60 years of age and 7 (5.79 %) were above 61 years of age.  The Shethalli-2 had 32.23 per cent illiterates, 14.05 per cent of them had primary school education, 5.79 per cent of them had middle school education, 21.49 per cent of them had high school education, 11.57 per cent of them had PUC education, 4.96 per cent of them had diploma, 0.83 per cent of them had ITI, 5.79 per cent of them had degree education and 3.31 per cent of them had masters education.  The results indicate that, 90 per cent of households practicing agriculture and 3.33 per cent of the household heads were general labourers and 3.33 percent of the households were housewife.  The results indicate that agriculture was the major occupation for 53.72 per cent of the household members, 0.83 per cent were general labourers, 4.13 per cent were private service, 23.14 per cent of them were in student ,14.88 per cent of them were housewife and 3.31 per cent of them were children . In case of landless households 33.33 per cent were general labourers. In case of marginal farmers 41.18 per cent were agriculturist, 29.41 per cent were student, and 11.76 per cent in housewife and 17.65 per cent were children. In case of small farmers, 57.14 per cent of the household members were practicing agriculture and 1.79 per cent of them were private sector. In case of semi medium farmers 46.67 per cent of the household members were practicing agriculture and 10 per cent of them were private service. In case of medium farmers, 77.78 per cent of the household members were practicing agriculture and 11.11 per cent were private sector. In case of large farmers, 83.33 per cent of the household members were practicing agriculture and 16.67 per cent were housewife.  The results indicate that 26.67 per cent of the households possess Katcha house and 70.0 per cent of them possess pucca house and 3.33 per cent of them possess semi pucca house.  The results shows that 3.33 per cent of the households possess radio, Cent per cent of the households possess TV, 23.33per cent of the households possess Mixer grinder, 30 per cent of the households possess motor cycle, 6.67 per cent of the households possess auto, 6.67 per cent of the households possess car/ four wheeler and Cent per cent of the households mobile phones. the average value of radio 2 was Rs.2000, television was Rs.9700, mixer grinder was Rs.2142, motor cycle was Rs.56400 and mobile phone was Rs.3588, Auto was 110000 and car/ four wheeler was 550000.  About 50 per cent of the households possess plough, 10 per cent of them possess tractor,46.67 per cent of them posses bullocks cart, 6.67 per cent of them power tiller , 13.33 per cent of them possess weeder, 3.33 per cent of them possess harvester and 6.67 per cent of the households possess sprayer. the average value of plough was Rs.4, 692, the average value of tractor was Rs. 750000 and the average value of sprayer was Rs.6000, the average value of bullock cart Rs.18,181, the average value of power tiller Rs.35000and the average value of harvester 10,000 and the average value of weeder Rs.1,160.  The results indicate that, 36.67 per cent of the households possess bullocks, 30 per cent of the households possess local cow.  Average own labour men available in the micro watershed was 1.29, average own labour (women) available was 1.1, average hired labour (men) available was 8.35 and average hired labour (women) available was 21.35.  The results indicate that, 53.33 per cent of the household opined that hired labour was adequate and 46.67 per cent of the households opined that hired labour was inadequate.  The results indicate that, 4 (3.31%) persons were migrated from the micro watershed which includes 1.79 persons from small medium farmers' and 10 per cent of semi medium farmer category.  People have migrated on average of 632.5 Kms and average duration was months 13. Small farmers have migrated 600 Kms and on an average 12 months in a year. Semi medium farmers have migrated 665 Kms and on an average 14 months in a year.  Job/ work were the reason for migration for all the migrants.  Improved quality of the life was the major Positive consequences of migration for 50 per cent of the better children education persons migrated from small framers households.  Households of the Shethalli-2 micro watershed possess 52.52 ha (96.13%) of dry land and 2.11 ha (3.87%) of irrigated land.  The average value of dry land was Rs. 267994.14 and average value of irrigated was Rs.1, 89,272.  Marginal farmers had irrigated area of 2.43 hectares, and medium farmers had 6.88 hectares of irrigated land.  Farmers have grown cotton (15.71 ha), jowar (2.83 ha), paddy (0.8ha), red gram (8.94ha), sorghum (5.32 ha), cotton (1.21ha). Marginal farmers have grown red gram (0.81 ha) and sorghum (5.32ha), Small farmers have grown cotton (4.21ha), jowar (2.83ha), red gram (6.11 ha), Semi medium farmers have grown cotton (4.49 3 ha), red gram (1.62ha). Medium farmers have grown cotton (7 ha), red gram (0.4ha), sorghum (5.32ha).  The cropping intensity in Shethalli-2 micro watershed was found to be 59.67 per cent. In case of Marginal farmers it was 196.57 per cent, for small farmers it was 68.98 per cent, in case of semi medium farmers it was 42.55 per cent, medium farmers had cropping intensity of 48.54 per cent and large farmers had 10.88 per cent.  The results indicate that, 96.67 per cent of the households possess bank account and 80 per cent of them have savings. With respect to category wise account, 100 per cent of land less, 100 per cent of marginal, 100 per cent of small, medium and large farmers and 83.33 per cent of semi medium, possesses bank account. With respect to savings, 80 per cent of marginal, 85.71per cent of small, 66.67 per cent of semi medium farmers and 100 per cent of large farmers had savings in the bank account.  The results indicate that, 40 per cent of marginal, 42.86 per cent of small, 50 per cent semi medium, 33.33 per cent of medium farmers and 100 per cent of large farmers have borrowed credit from different sources.  The results indicate that, 78.57 per cent have availed loan in commercial banks, 7.14 per cent have availed loan in cooperative bank, 100 per cent have availed loan from friends and relatives, 42.86 per cent have availed loan from grameena bank, 7.14 per cent have availed loan from money lender and 28.57 per cent have availed loan from Traders.  The results indicate that, marginal, small, semi medium and large farmers have availed Rs.12500, Rs.20333.33, Rs. 115000 and Rs.25000 respectively.  The results indicate that, 43.75 per cent of the households have borrowed loan for agriculture, 6.25 per cent of them have borrowed loan for education and 50 per cent of them have borrowed loan for health. 66.67 per cent of marginal farmers, 50 per cent of small farmers, 25 per cent of semi medium farmers and 100 per cent of the medium farmers availed loan for Agriculture production. About 50 per cent of small and landless have availed loan for animal husbandry.  Results indicated that 90.91 per cent of the households have repaid private source of credit partially.  The results indicate that, the total cost of cultivation for cotton was Rs. 48441.68. The gross income realized by the farmers was Rs. 57998.02. The net income from Cotton cultivation was Rs. 9556.34, thus the benefit cost ratio was found to be 1:1.2.  The total cost of cultivation for red gram was Rs. 46729.38. The gross income realized by the farmers was Rs. 67925.00. The net income from red gram cultivation was Rs. 21195.62. Thus the benefit cost ratio was found to be 1:1.45. 4  The results indicate that, the total cost of cultivation for red gram was Rs. 41504.09. The gross income realized by the farmers was Rs. 100035.00. The net income from red gram cultivation was Rs. 58530.91. Thus the benefit cost ratio was found to be 1:2.41.  The total cost of cultivation for red gram was Rs. 18417.27. The gross income realized by the farmers was Rs. 72741.10. The net income from red gram cultivation was Rs. 54323.83. Thus the benefit cost ratio was found to be 1:3.95  The results indicate that, the total cost of cultivation for sorghum was Rs. 33786.79. The gross income realized by the farmers was Rs. 44228.44. The net income from sorghum cultivation was Rs. 10441.65, thus the benefit cost ratio was found to be 1:1.31.  The total cost of cultivation for paddy was Rs. 57080.03. The gross income realized by the farmers was Rs. 80440.62. The net income from paddy cultivation was Rs. 23360.58. Thus the benefit cost ratio was found to be 1:1.4.  The total cost of cultivation for jowar was Rs. 43896.78. The gross income realized by the farmers was Rs. 59691.67. The net income from Jowar cultivation was Rs. 15794.89. Thus the benefit cost ratio was found to be 1:1.36.  The results indicate that, 50 per cent of the households opined that dry fodder was adequate which includes 80 per cent of marginal, 28.57 per cent of small, 83.33 per cent of medium and 100 per cent of large farmers. The data revealed that only 6.67 per cent of the households have opined that the green fodder is adequate which includes 20 per cent of marginal and 16.67 per cent of semi medium farmers.  sampled households have grown 2 custard apple among them marginal farmers have grown 2 and 3 mango among them small farmers and semi medium farmers.  The results indicate that, households have planted 5 teak, 76 Neem trees, 4 tamarind. Marginal farmers have planted 5 Neem, 1 tamarind; Small farmers have planted 23 neem and 1tamarinds. Semi medium farmers have planted 24 Neem, 2 tamarind and 5 teak trees. Medium farmers have planted 15 neem trees and large farmers 4.  Cotton, jowar, paddy, red gram, and sorghum were sold to the extent of production.  The results indicated that, About 73.33 per cent of the households have sold agricultural produce to the local/village merchants includes 100 per cent of the marginal farmers, 85.71per cent of the small farmers, 66.67 per cent of the semi medium farmers and 33.33 per cent medium farmers. About 23.33 per cent of the households have sold in regulated markets includes 14.29 per cent of small farmers, 33.33per cent of semi medium farmers, 66.67per cent of the medium farmers and 100 per cent of the large farmers. 5  The results indicated that 6.67 per cent of the households have use cart as mode of transport, 86.67 per cent have used tractor, and 3.33 per cent have used truck.  The results indicated that, the results indicated that, 20 per cent of the households have experienced the soil and water erosion problems i.e. 20 per cent of marginal farmers, 21.43 per cent of small farmers, 33.33 per cent of semi medium farmers.  The results indicated that, 96.67 per cent of the households have shown interest in soil testing i.e. 100 per cent of marginal farmers, 100 per cent of small farmers, 100 per cent of semi medium, 100 per cent of medium farmers and 100 per cent large farmers have shown interest in soil testing.  The results indicated that, 46.67 per cent of the households have adopted field bunding. Summer ploughing was adopted by 89.90 per cent of the households. About 3.33 per cent of the households have adopted farm pond. Contour bunding was adopted by 3.33 per cent of the households.  The results indicated that, 11 per cent of the households who adopted field bunding opined that bunds are good, 21.43 per cent opined that bunds are slightly damaged.  Piped supply was the major source for drinking water for 93.33 per cent includes 100 per cent of landless, 100 per cent of marginal, 92.9 per cent of small farmers, 83.33 per cent of semi medium and 100 per cent of medium and large farmers.  Electricity was the major source of light for all the households in micro watershed.  The results indicated that,33.33 per cent of the households possess sanitary toilet i.e. 100 per cent of landless, 20 per cent of marginal, 35.7 per cent of small, 17 per cent of semi medium and 33.33 per cent of medium farmers and 100 per cent of large farmers had sanitary toilet facility.  The results indicated that, Cent per cent of the households sampled possessed BPL card.  The results indicated that, Lower fertility status of the soil was the constraint experienced by 96.7 per cent of the households, wild animal menace on farm field (93.3%), frequent incidence of pest and diseases (43.3%), inadequacy of irrigation water (46.7%), high cost of Fertilizers and plant protection chemicals (90%), high rate of interest on credit (80%), low price for the agricultural commodities (90 %), lack of marketing facilities in the area (96.7%), inadequate extension services (46.7%), lack of transport for safe transport of the agricultural produce to the market (83.3%). Less rainfall (90%) and source of Agri–technology information (News paper/TV/Mobile) ; Watershed Development Department, Government of Karnataka (World Bank Funded) Sujala –III Project