Institutional Dynamics in Community-Based Fisheries Resources Management for Sustainable Development of Marine Fisheries in Kerala

Department of Applied Economics, Cochin University of Science and Technology

Essays on cultural and institutional dynamics in economic development using spatial analysis

This thesis seeks to research patterns of economic growth and development from a number of perspectives often resonated in the growth literature. By addressing themes about history, geography, institutions and culture the thesis is able to bring to bear a wide range of inter-related literatures and methodologies within a single content. Additionally, by targeting different administrative levels in its research design and approach, this thesis is also able to provide a comprehensive treatment of the economic growth dilemma from both cross-national and sub-national perspectives. The three chapters herein discuss economic development from two broad dimensions. The first of these chapters takes on the economic growth inquiry by attempting to incorporate cultural geography within a cross-country formal spatial econometric growth framework. By introducing the global cultural dynamics of languages and ethnic groups as spatial network mechanisms, this chapter is able to distinguish economic growth effects accruing from own-country productive efforts from those accruing from interconnections within a global productive network chain. From this, discussions and deductions about the implications for both developed and developing countries are made as regards potentials for gains and losses from such types and levels of productive integration. The second and third chapters take a different spin to the economic development inquiry. They both focus on economic activity in Africa, tackling the relevant issues from a geo-intersected dimension involving historic regional tribal homelands and modern national and subnational administrative territories. The second chapter specifically focuses on attempting to adopt historical channels to investigate the connection between national institutional quality and economic development in demarcated tribal homelands at the fringes of national African borders. The third chapter on the other hand focuses on looking closer at the effects of demarcations on economic activity. It particularly probes how different kinds of demarcation warranted by two different but very relevant classes of politico-economic players have affected economic activity quite distinguishably within the resulting subnational regions in Africa.

Identity dynamics and the emergence of new organizational arrangements: A multi-level study

Organizational and institutional scholars have advocated the need to examine how processes originating at an individual level can change organizations or even create new organizational arrangements able to affect institutional dynamics (Chreim et al., 2007; Powell & Colyvas, 2008; Smets et al., 2012). Conversely, research on identity work has mainly investigated the different ways individuals can modify the boundaries of their work in actual occupations, thus paying particular attention to ‘internal’ self-crafting (e.g. Wrzesniewski & Dutton, 2001). Drawing from literatures on possible and alternative self and on positive organizational scholarship (e.g., Obodaru, 2012; Roberts & Dutton, 2009), my argument is that individuals’ identity work can go well beyond the boundaries of internal self-crafting to the creation of new organizational arrangements. In this contribution I analyze, through multiple case studies, healthcare professionals who spontaneously participated in the creation of new organizational arrangements, namely health structures called Community Hospitals. The contribution develops this form of identity work by building a grounded model. My findings disclose the process that leads from the search for the enactment of different self-concepts to positive identities, through the creation of a new organizational arrangement. I contend that this is a particularly complex form of collective identity work because it requires, to be successful, concerted actions of several internal, external and institutional actors, and it also requires balanced tensions that – at the same time - enable individuals’ aspirations and organizational equilibrium. I name this process organizational collective crafting. Moreover I inquire the role of context in supporting the triggering power of those unrealized selves. I contribute to the comprehension of the consequences of self-comparisons, organizational identity variance, and positive identity. The study bears important insights on how identity work originating from individuals can influence organizational outcomes and larger social systems.

Institutions, Anomie, and Violent Crime: Clarifying and Elaborating Institutional-Anomie Theory

A limited but accumulating body of research and theoretical commentary offers support for core claims of the “institutional-anomie theory” of crime (IAT) and points to areas needing further development. In this paper, which focuses on violent crime, we clarify the concept of social institutions, elaborate the cultural component of IAT, derive implications for individual behavior, summarize empirical applications, and propose directions for future research. Drawing on Talcott Parsons, we distinguish the “subjective” and “objective” dimensions of institutional dynamics and discuss their interrelationship. We elaborate on the theory’s cultural component with reference to Durkheim’s distinction between “moral” and “egoistic” individualism and propose that a version of the egoistic type characterizes societies in which the economy dominates the institutional structure, anomie is rampant, and levels of violent crime are high. We also offer a heuristic model of IAT that integrates macro- and individual levels of analysis. Finally, we discuss briefly issues for the further theoretical elaboration of this macro-social perspective on violent crime. Specifically, we call attention to the important tasks of explaining the emergence of economic dominance in the institutional balance of power and of formulating an institutional account for distinctive punishment practices, such as the advent of mass incarceration in the United States.

Clinton e a reinven????o do governo federal: o national performance review

O artigo analisa o National Performance Review (NPR), programa de reforma administrativa na gest??o do presidente Clinton, implementado em 1993, e que traduz o novo paradigma empreendedorialista proposto para o funcionamento da burocracia do governo federal americano. Na primeira parte s??o apresentados os princ??pios, objetivos e natureza da agenda, ressaltando-se as suas bases conceituais. Segue-se uma an??lise sobre a forma????o da agenda e a seq????ncia da sua implementa????o. A 3?? parte compreende uma vis??o da din??mica pol??tico-institucional, com destaque para as tens??es observadas entre o Legislativo e o Executivo, e o impacto destas nas mudan??as da agenda. Na ??ltima se????o, apresenta-se um painel emp??rico sobre alguns dos resultados em determinadas ag??ncias e departamentos do Governo, pretendendo-se oferecer contribui????es ao processo de reformas administrativas atualmente em curso no Brasil.

As universidades e a participação pública em ciência. Perceções e práticas de cientistas, profissionais de comunicação e cidadãos em Portugal e Espanha

Tese de doutoramento em Ciência da Comunicação.

Citizen participation and the Lisbon Treaty : A legal perspective

How to "bring the [European] Union closer to its citizens" is a vexed and vital problem of European integration. Article 11 TEU on participatory democracy, recently introduced by the Lisbon Treaty, is meant to be part of the solution. The EU Economic and Social Committee has gone so far as to define this provision "a milestone on the road to a people's Europe that is real and feasible". This appears to be an overly optimistic assessment - partly because art. 11 relies heavily on the involvement of civil society organisations, which political science literature suggests is conceptually and/or practically irrelevant to citizen involvement; partly because it largely formalizes participatory practices that have been in existence for years without cognizable effects on citizen participation; and partly because even its most innovative element - the European citizens' initiative (ECI) - does not bring significant changes to the Union's constitutional arrangements in terms of redistributing decision-making power. In addition to that, secondary legislation places significant hurdles on the submission of ECIs and might prevent or delay their becoming a standard democratic practice. This is not to say that art. 11 TEU has no potential at all. Its insertion in the Treaty might provide impetus to rethink and develop past participatory practices, such as horizontal civil dialogue. Moreover, the effects of "popular input" in the form of ECIs on EU institutional dynamics is as yet unknown - and perhaps not negligible, to judge from the keen interest that the European Parliament and other bodies have demonstrated in "appropriating" it as a political asset. Finally, art. 11 raises the stakes of the Union's democratic challenge and might pressure EU institutions to make full use of its potential. Or, if eventually proved inadequate, art. 11 might constitute a constitutional experiment on the way to meaningful forms of direct democracy at EU level.

Préoccupations et attentes en réadaptation physique dans des contextes pluralistes : vers un cadre théorique interculturel

Cette thèse porte sur les dynamiques interculturelles et la réactivité des institutions dans les contextes pluralistes. Le contexte clinique, un exemple parmi tant d’autres, sert à saisir les enjeux des rencontres entre personnes d’origines différentes. Le milieu de la réadaptation physique apparaît particulièrement intéressant pour étudier les enjeux induits par les rencontres interculturelles, car les interventions y sont d’une durée relativement longue en comparaison avec les soins aigus, et ce type de pratique demande une grande collaboration de la part des clients. Cette recherche sollicite trois acteurs essentiels dans ce contexte : clients immigrants, intervenants et agents tiers payeurs (CSST) ont pris la parole lors de groupes de rencontre (focus group). La recherche d’un cadre théorique pertinent en anthropologie interculturelle revisite les courants moderniste et postmoderniste, à partir d’une approche critique, et propose une épistémologie interactionniste. Ces courants qui traversent l’anthropologie sont étudiés à la lumière de la clinique, ce qui engendre un dialogue entre les intervenants et les anthropologues. Le contexte ethnographique permet de cerner différents enjeux concernant les politiques de santé dans les contextes pluriethniques, ce qui permet de saisir, à partir de la gestion, des rapports d’emboitement entre le macro et le micro. Le fonctionnement de la réadaptation physique au Québec sert de toile de fond pour comprendre les discours des acteurs sollicités par cette recherche. L’ethnographie met en lumière les convergences et les divergences entre ces trois acteurs dans les contextes pluriethniques. Selon une méthode caractéristique des relations interculturelles, je présente d’abord l’intervention dans les institutions de réadaptation. Les clients immigrants sont mis en scène avec l’intervention dans les contextes pluriethniques. Les discours de tous ces acteurs mettent en lumière des barrières dites objectives et des facteurs liés à la culture. L’analyse s’intéresse à la communication et à la circulation de l’information dans les contextes pluriethniques; elle étudie les rapports entre l’information, la connaissance et les préjugés. L’analyse offre quelques pistes qui aident à comprendre l’imperméabilité du système de santé dans les contextes pluralistes. La conclusion propose une approche complémentariste pour établir un dialogue entre les modèles de discrimination et l’interculturel. Les anthropologues sont alors interpellés en vue de répondre aux nouveaux défis générés par le néolibéralisme.

Trends and gaps in the academic literature on EU labour migration policies. CEPS Paper in Liberty and Security No. 50/December 2012

This paper provides an overview of the ‘state of the art’ in the academic literature on EU labour migration policies. It forms part of the research agenda of Work Package 18 of the NEUJOBS project, which aims at reviewing legislation and practices regarding the labour market inclusion and protection of rights of different categories of foreign workers in European labour markets. Accordingly, particular attention is paid to the works of scholars who evaluate the status of rights of third-country national workers in relation to labour market access, employment security, social integration, etc., in European legislation on labour immigration. More specifically, the review has selected those scholarly works that focus specifically on analysing the manner in which policy-makers have addressed the granting of rights to non-EU migrant workers, and the manner in which policy agendas – through the relevant political and institutional dynamics – have found their translation in the legislation adopted. This paper consists of two core parts. In the first section, it reviews the works of scholars who have touched on these research questions with respect to the internal dimensions of EU labour migration policies. The second section does the same for the external dimensions of these policies. Both sections start off by analysing the main trends in the literature that reviews these questions for the internal and external dimensions of European migration policies as a whole, and then move on to how these ‘trends’ can (or cannot) be found translated in scholarly writings on labour migration policies more specifically. In the final section, the paper concludes by summarising the main trends and gaps in the literature reviewed, and indicates avenues for further research.

Does the Stockholm Programme matter? The struggles over ownership of AFSJ multiannual programming. CEPS Paper in Liberty and Security No. 51/December 2012

Does the 2009 Stockholm Programme matter? This paper addresses the controversies experienced at EU institutional levels as to ‘who’ should have ownership of the contours of the EU’s policy and legislative multiannual programming in the Area of Freedom, Security and Justice (AFSJ) in a post-Lisbon Treaty landscape. It examines the struggles around the third multiannual programme on the AFSJ, i.e. the Stockholm Programme, and the dilemmas affecting its implementation. The latest affair to emerge relates to the lack of fulfilment by the European Commission of the commitment to provide a mid-term evaluation of the Stockholm Programme’s implementation by mid-2012, as requested by both the Council and the European Parliament. This paper shifts the focus to a broader perspective and raises the following questions: Is the Stockholm Programme actually relevant? What do the discussions behind its implementation tell us about the new institutional dynamics affecting European integration on the AFSJ? Does the EU actually need a new (post- Stockholm) multiannual programme for the period 2015–20? And last, what role should the EP play in legislative and policy programming in order to further strengthen the democratic accountability and legitimacy of the EU’s AFSJ?

Policy ‘framing’ and evidence-based planning: ‘epistemic communities’ in the multi-jurisdictional environment of an enlarged Europe

The following paper builds on ongoing discussions over the spatial and territorial turns in planning, as it relates to the dynamics of evidence-based planning and knowledge production in the policy process. It brings this knowledge perspective to the organizational and institutional dynamics of transformational challenges implicit in the recent enlargement of the EU. Thus it explores the development of new spatial ideas and planning approaches, and their potential to shape or ‘frame’ spatial policy through the formulation of new institutional arrangements and the de-institutionalization of others. That is, how knowledge is created, contested, mobilized and controlled across governance architectures or territorial knowledge channels. In so doing, the paper elaborates and discusses a theoretical framework through which the interplay of knowledge and policymaking can be conceptualized and analyzed.

Transparência, a resposta institucional à pressão social: o caso do Tribunal de Contas do Estado do Rio de Janeiro

The present work aims to identify emerging organizational changes in the Court of Accounts of the State of Rio de Janeiro - TCE/RJ that are happening in the contemporary scenery known as the Age of Information. The search for the comprehension of the institutional dynamics is oriented by concepts originated from the theory of complexity, which believe that the public services external control system can be understood in a political, technical and legal environment with growing levels of learning and innovation. While chasing the possible causes of these changes, we try to prove the hypothesis that the TCE/RJ is turning into a more transparent organization. For this purpose, we define the outlines and reaches of the principle of transparency, based in bibliographical and documental researches, and analyze the phenomenon perceived in a explanation research through semi-structured interviews performed with two groups: a sample representing the universe under jurisdiction entities top level directors and the other obtained in the universe of formal and informal leaderships existing in the educational body of the institution. The conclusion of the present work confirms the initial questions, indicating that the organization is really becoming more and more transparent. The social-technical changes that are happening today at the TCE/RJ are caused by the growing social pressure for more effective results in the control of public expenditures. Under the systemic point of view, we observe cracks in the protective bell-glass that evolves the institution - previously hermetic to the external contingencies and that works today as a SAC - Adaptive Complex System. Aspects such as organization structural changes, the introduction of strategic planning and the growing democratization of the decision process are producing a new organizational culture. The seniority of the Technical Headcount contributes to establish the pre-conditions for the development of a administration where the participation of the TCE/RJ technical employees adds importance to its development as an institution that generates republican effects in the society from its less hermetic decision process.

Federalismo e descentralização do SUS : formação de um regime polarizado de relações intergovernamentais na década de 1990

A presente tese teve como objetivo explicar a dinâmica político-institucional que produziu um quadro de relações intergovernamentais polarizado na política de saúde no âmbito do SUS ao final da década de 1990. Tal polarização ocorreu em virtude da presença simultânea de expressivo grau de municipalização e elevada capacidade indutiva e regulatória do Ministério da Saúde. As abordagens anteriores presentes na literatura sobre a descentralização do SUS produziam explicações parciais em virtude de apontarem como fatores explicativos da polarização um conjunto de razões específicas, em especial o escopo expressivamente descentralizador da Constituição de 1988, as preferências municipalistas do Movimento da Reforma Sanitária, o conteúdo das normas operacionais, o legado centralizador da trajetória da política de saúde no Brasil, a agenda centralizadora das reformas econômicas realizadas a partir da implementação do Plano Real, entre outros. Com base no arcabouço teórico do NeoInstitucionalismo Histórico, essa tese propõe uma abordagem que integra os diversos fatores condicionantes do jogo federativo setorial em torno de uma explicação sequencial das decisões que marcaram a trajetória da descentralização do SUS. Nessa abordagem, a trajetória das relações intergovernamentais é o resultado cumulativo de uma longa cadeia de decisões tomadas em contextos singulares que marcaram os governos Collor, Itamar e FHC, onde a escolha de um governo afetou o leque de opções disponíveis ao governo seguinte, deixando-lhe menos margem de mudança. Nessa lógica, a polarização federativa é vista como o produto não intencional de uma sequência de decisões que, acumuladas ao longo da década, concentraram poder, atribuições e recursos na União e nos municípios.

Processos jurídicos transnacionais estatais: o fair trade e a construção do sistema de comércio justo e solidário no Brasil

Este trabalho busca responder à seguinte pergunta: qual a influência que a prática e os princípios transnacionais do Fair Trade tiveram na criação do Sistema Nacional de Comércio Justo e Solidário no Brasil (SCJS)? A fim de respondê-la, foram utilizados dois tipos de fontes: documental (normas jurídicas, documentos institucionais, relatórios, atas, informativos, formulários e outros registros disponibilizados na internet pelas organizações aqui pesquisadas) e entrevistas com os dois atores chave do processo de construção do SCJS - Fabíola Zerbini, Secretária Executiva do Faces à época de sua criação (grupo central no processo de construção do SCJS), e Antonio Haroldo Pinheiro Mendonça, o coordenador do Grupo de Trabalho para o SCJS e hoje responsável por coordenar os trabalhos referentes ao SCJS junto ao Ministério do Trabalho e Emprego. Este trabalho se insere na literatura sobre atores regulatórios privados e sua atuação no âmbito transnacional, e se utiliza da ferramenta analítica proposta por Gregory Shaffer para estudar o impacto dos processos transnacionais nas mudanças estatais. Foi possível observar que os intermediários dos processos transnacionais, inseridos em suas próprias pautas e movimentos nacionais, tiveram papel central na construção de uma prática de comercialização justa distinta da praticada no âmbito transnacional, junto com outros elementos como a existência de um ambiente político e institucional favorável para a temática de uma comercialização justa e as demandas locais já existentes. Notou-se, ainda, a presença constante do Estado, que participou de todas as etapas do processo e pretende colocar-se como uma referência na construção de políticas públicas de fomento à comercialização justa e solidária junto a atores, privados ou públicos, que atuem em outros países. Concluiu-se que os processos transnacionais que geram transformações estatais não são lineares e seus resultados não podem ser previsíveis, sobretudo porque são caracterizados pela a recursividade - dinâmica em que os atores envolvidos nos processos transnacionais buscam influenciar a regulação e prática das normas jurídicas nacionais, ao mesmo tempo em que o nível local fornece resistências e adaptações que, por sua vez, podem influenciar o processo regulatório transnacional, fornecendo um modelo posterior a ser exportado por processos transnacionais. O estudo sobre a produção de normas sob influência de processos transnacionais contribui para a construção do conhecimento no campo da literatura sobre a regulação privada transnacional (RPT) e a legislação nacional, bem como sobre Direito e Desenvolvimento, ao organizar informações a respeito da construção do SCJS e de seus arranjos jurídicos vis-à-vis a prática regulatória transnacional do Fair Trade, bem como ao olhar para as dinâmicas referentes à atuação dos atores, públicos e privados, e de seus contextos na formulação da regulação pública.