Leniency programs, antitrust enforcement and multimarket contact : three essays in industrial organization

The Layout of My Thesis This thesis contains three chapters in Industrial Organization that build on the work outlined above. The first two chapters combine leniency programs with multimarket contact and provide a thorough analysis of the potential effects of Amnesty Plus and Penalty Plus. The third chapter puts the whole discussion on leniency programs into perspective by examining other enforcement tools available to an antitrust authority. The main argument in that last chapter is that a specific instrument can only be as effective as the policy in which it is embedded. It is therefore important for an antitrust authority to know how it best accompanies the introduction or modification of a policy instrument that helps deterrence. INTRODUCTION Chapter 1 examines the efféct of Amnesty Plus and Penalty Plus on the incentives of firms to report cartel activities. The main question is whether the inclusion of these policies in a leniency program undermine the effectiveness of the latter by discouraging the firms to apply for amnesty. The model is static and focus on the ex post incentives of firms to desist from collusion. The results suggest that, because Amnesty Plus and Penalty Plus encourage the reporting of a second cartel after a first detection, a firm, anticipating this, may be reluctant to seek leniency and to report in the first place. However, the effect may also go in the opposite direction, and Amnesty Plus and Penalty Plus may encourage the simultaneous reporting of two cartels. Chapter 2 takes this idea further to the stage of cartel formation. This chapter provides a complete characterization of the potential anticompetitive and procompetitive effects of Amnesty Plus in a infinitely repeated game framework when the firms use their multimarket contact to harshen punishment. I suggest a clear-cut policy rule that prevents potential adverse effects and thereby show that, if policy makers follow this rule, a leniency program with Amnesty Plus performs better than one without. Chapter 3 characterizes the socially optimal enforcement effort of an antitrust authority and shows how this effort changes with the introduction or modification of specific policy instruments. The intuition is that the policy instrument may increase the marginal benefit of conducting investigations. If this effect is strong enough, a more rigorous detection policy becomes socially desirable.

Biostatistical evaluation and Management of sciaenid fishery with particular reference to Otolithes ruber (Schneider, 1801) andJohnieops sina (Cuvier, 1830) of Konkan coast

Fish, a natural resource, has received great attention from all over the world. since it provides a cheap protein, employment and income to the millions of people for centuries. So fishermen, industrialist and multinationals are trying to exploit the marine resources to their maximum benefit by using modern craft, advance fishing equipments and efficient gear. Fishery resources in the open system particularly in oceans, were considered to be unlimited. However, recent developments in the innovation of efficient craft and gear using well tested material fitted with modern equipments that have greatly enhanced the mobility of craft, agility of gear and the ability of equipments to locate fishery resources have proved otherwise. Hence as the exploitation increases with more effort entering the fishery, the catch per unit of fishing effort starts to decline due to the limitness of the resources. The heavy fishing pressure in the recent past led to commercial extinction of a number of stocks such as. the North Sea herring, California sardine, Japanese Sardine and Peruvian anchovy (FAO. 1968: Gulland, 1974). In India, seer fish from Palk-Bay declined due to uncontrolled fishing (Devaraj 1983).

Artisanal fisheries in urban reservoirs: a case study from Brazil (Billings Reservoir, São Paulo Metropolitan Region)

Billings Reservoir is an urban reservoir located in the São Paulo Metropolitan Region. Tt supports 101 active artisanal fishermen. To describe this fishery, landings were recorded daily between February 1996 and January 1997 at Colonia (23 degrees 50' 57 S; 46 degrees 40' 02 W). In every landing, a data collector recorded catch, effort, fishing gears and fishing grounds. A total of 147 593 kg of fish were recorded in 3515 fishing trips. The exotic Nile tilapia, Oreochromis niloticus (L.), was the main species exploited (81.4% of the annual catches). Five other species were also targeted: the characid Astyanax eigenmaniorum (Cope) (13.0% of the annual catches); the erythrinid Hoplias aff malabaricus (Block) (2.1%); the exotic cyprinid Cyprinus carpio L. (Campos & Fernandez-Yepez) (2.4%); the curimatid Cyphocharax modestus L. (1.1%); and the pimelodid Rhamdia sp. (0.1%). Two main groups of fishermen were discriminated using Principal Components Analysis; these were associated with the type of fishing gear and fishing strategies, i.e. those who exploited Nile tilapia with cast nets and beating gill nets, and those who exploited other species with set gill nets. Management and maintenance of this fishery should consider the positive top-down effects that Nile tilapia could have in controlling eutrophication and also the social benefits.

Small-scale fisheries in the middle River Tocantins, Imperatriz (MA), Brazil

The description of the small-scale fisheries in the middle River Tocantins and their dynamics, in a full year cycle, was made out using questionnaires when interviewing fishermen at Imperatriz market. The landed fish exhibited a seasonal pattern related to the hydrological cycle, fishing effort and species diversity. Curimata, Prochilodus nigricans Agassiz, is the most important commercial fish. The fishing gears used in the area are castnets, gillnets, longlines and beach seines. Thirty-six percent of fish landed were caught exclusively by beach seine which mainly targets curimata. Alterations in the physical and biological characteristics of the middle River Tocantins due to the building of the Tucurui dam (2850 km(2) total area) allowed the mapara, Hipophthalmus marginatus Valenciennes, to colonise this area. During the closed season for nets, Siluriformes are the target of the fisheries, caught exclusively by longlining.

Stock assessment and fishery management of the pink shrimp Farfantepenaeus brasiliensis Latreille, 1970 and F. paulensis Pérez-Farfante, 1967 in Southeastern Brazil (23° to 28° S)

Fundação de Amparo à Pesquisa do Estado de São Paulo (FAPESP)

Artisanal fisheries in a Brazilian hypereutrophic reservoir: Barra Bonita reservoir, middle Tietê river

Esse estudo avaliou aspectos quantitativos qualitativos do desembarque pesqueiro no reservatório hipertrófico de Barra Bonita. Os dados foram coletados mensalmente (julho/2004-junho/2006) em três localidades e informações sobre captura, esforço de pesca e técnicas de pesca foram registrados de 745 desembarques, totalizando 86.691,9 kg de pescado capturados. As espécies mais capturadas foram as exóticas tilápias, especialmente a tilápia-do-nilo (Oreochromis niloticus L.), que representaram 82,5% da biomassa total. A produtividade pesqueira do reservatório foi de 11,1 kg/ha-1/dia-1 com uma Captura Por Unidade de Esforço de 62,4 kg/pescador-1/dia-1 . Cinco técnicas de pesca foram identificadas: tarrafas, rede de espera, rede de arrasto, pesca da batida e pesca da batida + rede de espera. Análise de DCA relacionou as estratégias ativas com a captura de tilápia, as estratégias passivas com a captura de Pimelodus maculatus (Lacepède) e Triporthues angulatus (Spix & Agassiz) e a estratégia mista com a captura de tilápia, cascudos e Prochilodus lineatus (Valenciennes). Os resultados da ANCOVA foram significativos para todas as variáveis analisadas (época, local de pesca e técnicas de pesca). Os resultados mostram uma substituição da pesca da corvina, Plagioscion squamossisimus (Heckel) na década de 1990, pela tilápia-do-nilo. A substituição pode ter sido provocada pelo aumento da eutrofização do reservatório, aliado à mudança das estratégias de pesca. A pesca no reservatório de Barra Bonita seguiu padrões de outros reservatórios eutrofizados brasileiros, com a pesca sustentada pela exótica tilápia-do-nilo.

Análise de risco aplicada ao manejo precaucionário das pescarias artesanais na região do reservatório da UHE-Tucuruí (Pará, Brasil)

As pescarias no reservatório da UHE-Tucuruí no rio Tocantins, Pará, envolvem cerca de 6.000 pescadores e movimentam cerca de R$ 4,2 milhões/ano. A atividade se concentra em três espécies principais: tucunaré Cichla monoculus (capturado com anzol), pescada Plagioscion squamosissimus (capturado com rede e/ou anzol) e mapará Hypophthalmus marginatus (capturado com rede). Com o objetivo de caracterizar os pescadores e as pescarias do reservatório, criar cenários de aumento do esforço pesqueiro e prever os momentos de conflito pela escassez de recursos, foram levantadas informações da literatura e realizadas duas campanhas de coleta de dados nos anos de 1999 e 2000, envolvendo entrevistas com líderes comunitários e pescadores. As seguintes variáveis foram consideradas: desembarque por espécie-alvo (de acordo com os registros fornecidos pelas colônias de pescadores), artes de pesca, estratégias dos pescadores, conflitos e formas de apropriação do espaço e rendimentos da atividade. Estas variáveis foram inseridas em um modelo dinâmico, simulado no software Vensim PLE para um período de 10 anos a partir de 1999. Os resultados indicam que a pesca de anzol é a estratégia mais rentável, e que possíveis momentos de conflito devido à escassez de recursos podem acontecer em curto prazo (2005). A metodologia utilizada para as simulações e análises de risco também se revelou adequada à realidade local e ao conjunto de dados disponíveis.

A QUANTITATIVE APPROACH TO SUBSIDIZE THE PRECAUTIONARY MANAGEMENT of THE SMALL-SCALE FISHERIES IN ITAIPU RESERVOIR, BRAZIL

Conselho Nacional de Desenvolvimento Científico e Tecnológico (CNPq)

Estimativa da captura total: desenhos amostrais para pesca artesanal

Estimating total landings of artisanal fisheries in managed areas is essential for the development of programs aimed at the establishment of sustainable production systems. However, few experiences addressed the constraints of assessments targeted at multispecific and small scale fisheries with pulverized landings. Total annual production (fish, lobsters and octopus) at the Marine Extractive Reserve of Corumbau, Bahia, Brazil, in 2006, was estimated through yields recorded by fisherfolks, in the scope of a participatory fisheries monitoring program. Three designs were employed: 1) simple random sampling, 2) stratified random sampling by month and fishing frequency, 3) stratified random sampling by community, fishing frequency and months, resulting in estimates of 349t (95% confidence interval = 305-393), 330t (289-372) and 315t (279-351), respectively. This kind of information can help design strategies for aggregation of value to small scale fisheries production, and also for the dimensioning of the corresponding infrastructure. However, these estimates shall not be used to support fishing effort increase, as there is high uncertainty regarding the state of the stocks, as well as limitations related to the asymmetry in monthly landings per fisherfolk and to the sampling coverage in the different strata.

Políticas públicas e a sustentabilidade da pesca marinha no Brasil

Coordenação de Aperfeiçoamento de Pessoal de Nível Superior (CAPES)

A pesca comercial dos tucunarés Cichla Spp. (Peciformes, Cichlidae) no Reservatório da UHE-Tucuruí, Rio Tocantins, PA

A pesca na Amazônia se destaca entre as regiões brasileiras pela riqueza de espécies exploradas, quantidade de pescado capturado e dependência da população a esta atividade. Este estudo descreve a pesca comercial dos “tucunarés” Cichla spp. no Baixo Rio Tocantins-PA, norte do Brasil, na área de influência da UHE-Tucuruí, com ênfase no reservatório. O estudo foi dividido em 2 capítulos. O primeiro descreve a pesca em relação às artes de pesca, estratégia dos pescadores, ambientes explorados, sazonalidade e o manejo local segundo a percepção dos pescadores. Ainda neste capítulo, foram analisados o conhecimento local dos pescadores, a classificação etnobiológica dos “tucunarés”, e aspectos sócio-econômicos e ecológicos envolvidos. Foram realizadas entrevistas com os pescadores e observações diretas em campo. A pesca dos “tucunarés” no lago da usina tem grande importância na vida sócio-econômica desses pescadores, e se caracteriza como principal fonte de renda. A pesca ocorre em locais específicos e utiliza métodos e equipamentos rudimentares. Segundo os pescadores, a produção é influenciada por variáveis ambientais e pelo uso da rede de emalhar, a qual afasta os “tucunarés” dos ambientes de pesca. O uso do espaço é o principal conflito entre os pescadores. As relações sociais no sistema de parceria e a presença do atravessador diminuem a rentabilidade da pesca para o pescador. Os pescadores possuem conhecimento consistente sobre a ecologia dos “tucunarés”. O seu sistema de classificação reconhece três etnoespécies, duas das quais, constituem uma única espécie científica. No capítulo II, são analisados dados de captura dos “tucunarés” coletados pela ELETRONORTE de 1997 a 2003 e a unidade de esforço de pesca mais adequada para os dados. A captura foi analisada por porto, arte de pesca, tipo de embarcação, área de pesca e ciclo de enchente do rio. Os dados demonstram que as frotas dos diferentes municípios possuem características próprias e exploram as áreas de pesca mais próximas. Os maiores níveis de captura são encontrados nos períodos que o nível do rio está subindo ou descendo, sendo a pesca com “caniço”, responsável pela maior parte da captura. As canoas são as embarcações mais utilizadas. Os dados demonstram que a pesca dos “tucunarés” é mais importante nos municípios e áreas de pesca localizados no lago da usina. A CPUE só apresenta comportamento estatístico adequado quando analisada por área de pesca e as unidades de esforço mais adequadas são números de pescadores e de dias de pesca após sofrerem transformação logarítmica.

Slipper lobster (Crustacea, Decapoda, Scyllaridae) fisheries off the southeastern coast of Brazil: I. Exploitation patterns between 23 degrees 00 ` and 29 degrees 65 ` S

In southeastern Brazil, slipper lobsters (Scyllarides deceptor and S. brasiliensis) are caught by fleets trawling for pink shrimp (Farfantepenaeus brasiliensis and F. paulensis) and pots-and-traps fishing for octopuses (Octopus vulgaris). Eight hundred fifty-six landings of shrimp trawlers and 28 of the octopus fleet were monitored in the Santos region from May 2006 to April 2007. Additional analysis was performed using a database covering the period from 1999 onwards. This study seeks to identify the recent patterns of exploitation of these lobsters with the goal of improving the way towards fishery sustainability. Scyllarides deceptor was the dominant lobster species with 1032 specimens collected, while only three specimens of S. brasiliensis were identified. The area known as the `Farol do Boi` (23 degrees 01`S, 45 degrees 00`W to 25 degrees 00`S, 45 degrees 40`W at 60-135 m deep) showed the highest Catch Per Unit Effort (CPUE). A General Linearized Model (GLM) was used to investigate the factors influencing variations in CPUE in trawl fleets and led to the conclusion that year, month and depth were the most important factors. We detected a significant decrease in the relative abundance of lobsters in the fishing zone despite relatively low fishing effort. Recommendations to protect the lobster resources include taking special precautions in the natural refuge area of the `Farol do Boi`, as an exclusion zone for trawl fleets, and controlling the use of traps longlines to catch octopuses. Concerns about depensatory processes due to the over-exploitation of lobster populations around the world are raised. (C) 2009 Elsevier B.V. All rights reserved.

Tendencias espacio-temporales en las capturas accidentales de tortuga boba (Caretta caretta) en la costa catalana entre los años 2000 y 2009

Se describen las tendencias en las capturas accidentales de tortuga boba (Caretta caretta) a lo largo de la costa catalana (Mediterráneo occidental) a partir de los datos del Centro de Recuperación de Animales Marinos de Cataluña. En Girona, la provincia más septentrional y base de la fracción mayor de la flota pesquera de Cataluña, es donde se produce un mayor número de capturas accidentales de esta especie. La mayoría de estas capturas se dan en los meses de verano, coincidiendo con el mayor esfuerzo pesquero del año. La gran mayoría de los individuos son capturados vivos, siendo el palangre el aparejo que provoca más de la mitad de las capturas incidentales en esta región. ABSTRACT: Trends in the loggerhead turtle (Caretta caretta) captured along the Catalonian coasts (Western Mediterranean) are described using data collected by the Marine Animal Rescue Centre of Catalonia. Girona, the most northerly province and base of the greater fraction of the fishing fleet of Catalonia, is the area where the greater part of loggerhead turtle was captured, particularly during the summer, coinciding with the higher fishing effort season. The majority of individuals were caught alive, and the longline appeared to be the fishing gear that causes more than half of the incidental captures in this region

Los derechos de pesca, ¿una solución al estado de los caladeros de Gran Canaria (Islas Canarias, España)?

Máster en Gestión Sostenible de Recursos Pesqueros

Desarrollo de las infraestructuras portuarias y su implicación en el esfuerzo pesquero para La Palma (Canarias)

Máster en Gestión Sostenible de los Recursos Pesqueros