Dissertations / Theses on the topic 'North, Douglass'

A principal proposição da teoria de Douglass North é que as instituições formam-se com diferentes graus de eficiência de sociedade para sociedade para promover a cooperação entre os agentes. Existem, a princípio, dois tipos de eficiência: a produtiva e a adaptativa. À luz das formulações teóricas de North e dos "interpretes" do Brasil, a saber, Sérgio Buarque de Holanda, Vianna Moog e Raymundo Faoro, este trabalho analisa as especificidades das instituições brasileiras que justificam seu atraso. Dessa leitura comum, apesar de os "interpretes" e North perfilharem-se a marcos teóricos bem distintos, destacou-se o fato da sociedade brasileira ser ineficiente tanto em termos produtivos quanto adaptativos. Duas razões justificam a ineficiência produtiva: a primeira diz respeito à cooperação, ou seja, produziu-se um intercâmbio baseado nas redes de relações pessoais em detrimento da impessoalidade advogada por North. A segunda razão advém do fato de o marco institucional brasileiro não ter estimulado a competição. Em Faoro, isto ocorre porque o Estado não assume o papel de fiador de uma ordem jurídica impessoal e universal. Em Sérgio Buarque, a devoção dos brasileiros para com as relações pessoais, ensejou um tipo de cooperação contrária às instituições modernas como o Estado e o mercado. Para Moog, por sua vez, as relações capitalistas foram desvirtuadas pelo espírito predatório herdado das bandeiras. Em se tratando da eficiência adaptativa, poder-se-ia dizer, de acordo com Faoro, que o tipo de arranjo institucional que se desenvolveu no Brasil favoreceu o interesse dos grupos de poder em detrimento dos direitos dos cidadãos. Para Sérgio Buarque e Vianna Moog, a educação no país apresentou-se mais como ornamento e fonte de prestígio formal do que meio para gerar conhecimento produtivo. Quanto à democracia e a garantia das liberdades, para Sérgio Buarque, o que de fato existiu foi a substituição de um personalismo por outro. Em Moog, tanto os valores que animaram os bandeirantes, quanto o mazombo, incentivaram o desenvolvimento de uma ética contrária ao espírito público. Por fim, no que diz respeito à mudança institucional, o patrimonialismo, na visão de Faoro, é a estrutura que se renova e se perpetua, sendo a mudança filtrada pelo estamento. Em Sérgio Buarque, é o personalismo o elemento a permanecer em todo o processo de mudança institucional. Na concepção de Moog, é o espírito predatório herdado das bandeiras elevado à condição de imagem mental coletiva que impede a mudança institucional.
The main proposition of Douglass North's theory is that institutions are formed with different degrees of efficiency of society for society to promote cooperation among agents. There are, in principle, two types of efficiency: the productive and adaptive. Despite the theoretical formulations of North and "interpreters" of Brazil, namely, Sérgio Buarque de Holanda, Vianna Moog and Raymundo Faoro, this work examines the peculiarities of Brazilian institutions to justify their "backwardness". From this common reading, although the "interpreters" and North shares distinct theoreticals framework, there is the fact that brazilian society is inefficient in terms productive and adaptive. Two reasons justify the productive inefficiency: the first relates to cooperation, that is produced is an exchange based on networks of personal relationships rather than impersonality sustained by North. The second reason is the fact that the Brazilian institutional matrix has not encouraged competition. To Faoro, this occurs because the State does not assume the role of guarantor of an impersonal and universal legal order. To Sérgio Buarque, the devotions of brazilians to personal relationships encouraged a type of relationship against the modern State and market. To Moog, in turn, the capitalist relations have been corrupted by predatory spirit inherited the "bandeiras". In the case of adaptive efficiency, one could say, according Faoro, the type of institutional arrangement that has developed in Brazil favored the interests of groups of power to the detriment of citizens' rights. According to Sérgio Buarque and Vianna Moog, education in the country has been presented more as ornament and source of prestige than as a way to generate productive knowledge. In respect to democracy and liberties, which in fact existed, second Sérgio Buarque, was the replacement of one by another personalism. To Moog, both the values that animated the "bandeirantes", as mazombo, encouraged the development of an ethic against the public spirit. Finally, with respect to institutional change, the patrimonialism, in the view of Faoro, is the structure that is renewed, the change is filtered by the groups of status. In Sérgio Buarque, personalism is the element to remain in the whole process of institutional change. In View of Moog, the predatory spirit of "bandeiras", like a collective simbol, is the legacy that prevents institutional change.

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This paper analyses the work and rhetoric of Douglass North. After discussing his main proposals for the economics of institutions -1973, 1981, 1990- we investigate the author's speech. It is shown that his conciliatory strategy with neoclassical economics plays a crucial role on the acceptance ofhis ideas. After a brief analysis of the origins of his proposals, we conc1ude stressing the importance of his rhetoric.
O texto faz uma análise da teoria e da retórica de Douglass North. Após discutirmos as propostas em três de seus principais livros - 1973, 1981 e 1990 - testamos a hipótese que motivou o estudo. Ao fazer uma análise retórica de North, procuramos mostrar como o autor construiu um aparato institucional deliberadamente - talvez até de forma questionável - complementar à teoria neoclássica. Após uma breve discussão acerca da originalidade do que propõe, concluímos o trabalho com um destaque para a importância retórica no sucesso de suas idéias entre os economistas.

NUNES, Rafael Domingos Acioly. A nova economia institucional de Douglass North e seus reflexos no panorama dos direitos fundamentais brasileiros. 2015. 169 f. Dissertação (Mestrado em Direito) - Faculdade de Direito, Universidade Federal do Ceará, Programa de Pós-Graduação em Direito, Fortaleza, 2015.
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The combination between two sciences; economics and law: then the New Institutional Economics appeard. The justification of this argument will be explained in two different parts. The first one explains the relation between jurists and economists. This part also hilights the differences and rivalries of its knowledge, participation in the Brazilian laws’ structure as well as the contruction of a stage that is, currently, prestigious by the economic knowledge. The second part deals with the details and phases of a specific economics science research. It also supports with theory, the recent reform in the legal institutions and brings back the knowledge that one day was manipulated only by jurists. In this sense, by the program above mentioned (NIE), lawyers can also take place in the highest positions in the economics market. From this heterodox formal division of the labor, it is possible to verify the aim of the law’s knowledge regarding to the need of its reformulation. So, it is wished to create a field for the theorical assumptions improvements, explain the globalised world complexities, revoke the lawyer’s thecnical competences in its field and in the State as a whole. As a tool for those proposals, the bibliographic methodology of Douglass North as well as the contribution of some jurists, have been used. The present study tries to demonstrate that NIE’s legitimacy impacts in the fundamental laws and in the jurists’ conditions to the Brazilian society – through multilateral organizations. From the sinergy of those two aspects, it can be revealed a great opportunity to improve those laws’ effectiveness as well as their legitimacies. The conclusion forms an argument that NIE, specially after the negotiations related to the Rule of Law and the informal institutions, serves more as an incentive to the jurists bring back their legitimacies than as a barrier for them.
O toque ocorrido entre ciência econômica e “ciência do direito”: assim a Nova Economia Institucional (NEI) pode ser tratada. A justificativa desse argumento é vista em duas partes adiante organizadas. A primeira parcela trata da relação direta entre juristas e economistas. Enaltece os antagonismos e rivalidades dos seus respectivos conhecimentos, as suas participações nas estruturações do Brasil e a construção de um pódio cujo ponto mais alto é momentaneamente prestigiado pelo conhecimento econômico. A segunda tranche narra os detalhes e fases de um programa de pesquisa específico da ciência econômica e que, basicamente, além de fornecer pressupostos teóricos às recentes reformas de instituições jurídicas, avoca o conhecimento sobre ambientes exclusiva e historicamente manejados por juristas. Nesse sentido, justamente por esse programa – a NEI – tocar em nuances e nichos próprios do ambiente jurídico, é que fornece, também e de maneira secundária, a possibilidade ao jurista de dividir o lugar mais alto da “premiação”. Dessa heterodoxa divisão formal do trabalho, é possível verificar as finalidades precisas quanto à necessidade de reformulação do conhecimento jurídico. Deseja-se formar um campo para aperfeiçoamentos dos pressupostos teóricos, explanar complexidades e embates do mundo globalizado, revocar a competência técnica do jurista ante seu nicho primordial e ao Estado como um todo. Como ferramenta para tais finalidades, usa-se a metodologia explanatório-bibliográfica, mesclando o quadro-teórico de Douglass North – um dos bastiões da NEI – e o resgate de esforços de alguns juristas do passado e do presente. Tenta-se demonstrar que, além dos impactos da legitimidade da NEI na eficácia de direitos fundamentais e na condição do jurista perante a sociedade brasileira – através de organismos multilaterais –, revela-se desta sinergia uma porta aberta para a eficácia daqueles direitos e da retomada de suas legitimidades. A conclusão cunha o argumento de que a NEI, principalmente após as tratativas com temas relacionados ao Estado de Direito e às instituições informais, serve muito mais como incentivo aos juristas para retomada de sua legitimidade do que propriamente um obstáculo para tanto.

In this study, I examine the New Institutionalist Economic History (NIEH) of Douglass C. North from a historiographical and philosophical perspective. As a point of departure for this purpose I take North’s critical engagement with the primitivism-modernism debate in premodern economic history, as represented in his early work by the ‘challenge of Karl Polanyi’. This challenge, I argue, has given shape to the development of the NIEH in its various stages of theoretical elaboration. Therefore, understanding its contextual significance is indispensable for making sense of North’s oeuvre as a whole. On my reading, North interpreted the challenge of Polanyi to mean combining two methodological conceptions previously not united in one work. On the one hand, North’s NIEH extends the scope of economic theory to the study of the longue durée of economic history; while on the other hand North seeks to theorize the importance of historical variation in sociocultural institutions for understanding why there are rarely complete or well-functioning markets in most of economic history. North considers neoclassical economics suitable for neither of these purposes. Yet his critique of Polanyi’s substantivist-primitivist approach is primarily based on the absence of an integration of his project with the tools of economic theory. For this purpose, North therefore adopted the theory of transaction cost economics, also called New Institutional Economics (NIE), to this new ambitious end. More than perhaps any other author North has been responsible for extending the scope and sophistication of this economics based approach in the study of economic history. In the present work, I discuss to what extent this approach has been successful in its own aims, internally consistent, and to what extent it is plausible as a historiographical approach from an ‘external’ point of view. I do this by combining a close reading and interpretation of a variety of North’s writings, focusing in particular on the most contemporary version of his work - which has not been much studied - with a methodological and theoretical discussion of various major themes in or aspects of his work from the viewpoints of historiography, anthropology, and philosophy of social science. These themes include (among others) North’s understanding of the functioning of markets in politics and economics, his approach to choice theory, rationality, and game theory, his use or neglect of evolutionary concepts, the meaning of embeddedness in his work, and North’s contractarian anthropology. As this work shows, North’s NIEH is situated in a difficult intermediate position within larger debates in economic thought: between primitivism and modernism, between substantivism and formalism (in the anthropological sense), and most significantly, between the ‘new mainstream’ of economic theory and the quest for successive endogenisation of the institutional context of economic behavior. This certainly speaks for the ambition and sophistication of North’s historiographical approach, something which has only increased with the further development of his theory. But in his quest to unite the best insights of choice theory with New Institutionalist economics as well as incorporating the ‘anthropological’ level of fully socialized beliefs, preferences, and how they give rise to institutional variation in history, North frequently seeks to have his cake and eat it. The persistent methodological ambiguities in his work give rise to problems of internal consistency and external plausibility, which are present from the very inauguration of his NIEH research programme. The subsequent development of his work has not, I argue, been able to overcome this fundamental problem. For this reason, while much of North’s toolset and his overarching ambitions are valuable developments in economic historical theory, he does not achieve his aim of overcoming the challenge of Karl Polanyi. Without a more decisive break with his original economic microfoundations, North’s NIEH project cannot ultimately live up to its grand ambitions.

Dissertação (mestrado)—Universidade de Brasília, Faculdade de Direito, 2013.
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A presente dissertação trata da influência da teoria neoinstitucionalista de Douglass North no debate sobre direito e desenvolvimento no Brasil. Para este fim, foi realizada uma revisão da literatura que trata das teorias econômicas que fundamentaram o desenvolvimentismo e da teoria neoinstitucionalista de Douglas North. Por fim, foram analisados estudos realizados por juristas brasileiros relacionados ao tema. A dissertação é dividida em duas partes. A primeira parte, dividida em três capítulos, aborda as teorias com que economistas e juristas compreendem o desenvolvimento. No capítulo 1, analisamos o pensamento econômico do desenvolvimentismo brasileiro clássico, incluindo a análise de Celso Furtado e de Roberto Campos, bem como as teorias que servem de fundamento para o novo desenvolvimentismo, tais como Amartya Sen e Dani Rodrik. No capítulo 2, desenvolvemos o debate a respeito do “giro institucional” ocorrido com a incorporação das instituições no debate sobre desenvolvimento. Neste capítulo são expostas as principais considerações de Douglass North a respeito das instituições e da mudança institucional. O capítulo 3 trata do surgimento do novo desenvolvimentismo no cenário teórico e político, comparando-o com sua versão antiga. A segunda parte da dissertação, dividida em dois capítulos, tem foco na discussão sobre as relações entre direito e desenvolvimento. No capítulo 4, são expostas as principais posições a respeito do movimento “direito e desenvolvimento”, partindo de Max Weber até o New Law and Development. O capítulo 5 tem por objetivo analisar o debate sobre direito e desenvolvimento no Brasil a partir do estudo de alguns juristas selecionados. Ao final, pudemos concluir que é possível fazer aproximações entre a teoria neoinstitucionalista de Douglass C. North com as análises feitas por juristas brasileiros relacionados ao movimento “direito e desenvolvimento”. ______________________________________________________________________________ ABSTRACT
The present dissertation analyzes the influence of the new institutionalism theory of Douglass North in the debate regarding law and development in Brazil. For this purpose, a review of the literature on the economic theories which are the basis of classic developmentalism and new institutionalism theory of Douglass North was performed. Finally, studies conducted by Brazilian jurists and related to the theme were analyzed. The dissertation is divided into two parts. The first part, divided into three chapters, deals with theories which economists and jurists understand as development. In chapter 1, we analyze the economic thinking of classic Brazilian developmentalism, including the analysis of Celso Furtado and Roberto Campos, as well as theories that may serve as basis for the new developmentalism, such as Amartya Sen and Dani Rodrik. In chapter 2, we develop the debate on the “institutional turn”, which took place with the incorporation of institutions in the development debate. In this chapter, the main considerations of Douglass North concerning institutions and institutional change are discussed. Chapter 3 depicts the rise of the new developmentalism in the political and theoretical landscapes, comparing it with its previous version. The second part of the dissertation, which has two chapters, focuses on the discussion about the relations between law and development. In chapter 4, the main considerations on the “law and development” movement are discussed, beginning with Max Weber until the New Law and Development. Chapter 5 aims at analyzing the debate on law and development in Brazil based on the study of some selected jurists. At the end, we conclude that it is possible to approximate the Northean theory and the studies conducted by Brazilian jurists related to the “law and development” movement.

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Trata de analisar o processo de criação das instituições à luz do pensamento de North (1990) e o seu efeito na trajetória de crescimento econômico das nações. Utilizando a história da Previdência Social no Brasil embasa a sua argumentação que nem todo processo de criação das instituições segue necessariamente os preceitos da lógica econômica.

Dentro da proposta de estudo do desenvolvimento, a presente pesquisa propõe a análise da gênese do empresário no Rio Grande do Sul sob a perspectiva institucional, mais propriamente segundo os modelos de matriz institucional e de construção mental de Douglass North. Para tanto, recorre-se a teoria de Schumpeter para caracterizar esse empresário, bem como o seu papel no sistema capitalista. Os primeiros empresários gaúchos são imigrantes ou descendentes de germânicos e, ao contrário do que acontece em São Paulo, na sua maioria são descapitalizados. Boa parte exerce também a função de capitalista, e assume-se a tese de Pesavento de que o capital industrial é acumulado na atividade comercial, prioritariamente vinculada à economia colonial. Deste modo, apesar de ser a economia pecuária-charqueadora a mais rentável durante a formação econômica do estado, não é dela que surgem o capital e a mão-de-obra da indústria, nem o empresário. Visando compreender o ambiente tradicional não propício ao surgimento do empresário vis-à-vis o capitalismo moderno, são utilizadas as teses de Weber e Veblen sobre o desenvolvimento das sociedades, relacionando as instituições com as trajetórias seguidas. Ainda, para o estudo dessa dicotomia entre instituições tradicionais e modernas, são apresentadas as análises de Florestan Fernandes e Sérgio Buarque de Holanda para a sociedade brasileira. Assume-se que o legado cultural dos imigrantes alemães, tanto a ética protestante, quanto a superação das adversidades, foi um dos vetores de estímulo da matriz institucional que permitiu o surgimento do empresário no Rio Grande. Ainda, a dominação do capital e a disciplina do trabalho, bem como a aliança com o Estado e a constituição da classe empresarial, são os três outros vetores da matriz institucional que se forma na transição capitalista no estado, durante a República Velha. Na aplicação do modelo de construção mental são estudadas as biografias de alguns empresários do escalão regional onde se verifica um comportamento diferenciado que procurava aproveitar as oportunidades econômicas, na tentativa de mostrar como a leitura do ambiente institucional desses atores é influenciada pela herança cultural.
Within development study purpose, this present research proposes to analyze the genesis of entrepreneur in Rio Grande do Sul under institutional perspective, more specifically following institutional matrix and mental construction models created by Douglass North. It is based in the theory of Schumpeter to characterize this entrepreneur as well as its role in the capitalist system. The first gaúchos entrepreneurs are Germanic immigrants or descendants and, unlike what happens in São Paulo, most of them are undercapitalized. Much of them also had capitalist functions, and it is assumed Pesavento's thesis that industrial capital is accumulated in commercial activity, primarily linked to the colonial economy. Thus, although the livestock-dry beef economy was the most profitable activity during the economic formation of the state, is not from it that that appears the capital and labor of industry neither the entrepreneur. To understand the traditional environment not auspicious to the emergence of the entrepreneur vis-à-vis modern capitalism, are used Weber and Veblen thesis on the development of societies, relating institutions with the paths followed. To the study of this dichotomy between traditional and modern institutions, are presented the analysis of Florestan Fernandes and Sergio Buarque de Holanda to Brazilian society. It is assumed that the cultural legacy of German immigrants (both Protestant ethic, and overcoming adversity) was one of the vectors to stimulate institutional matrix that allowed the emergence of the entrepreneur in the Rio Grande. Still, the domination of capital and labor discipline, as the alliance with the State and the constitution of a business class are the three other vectors of institutional matrix that forms in capitalist transition during the República Velha in the state. In the application of mental construction model are studied the biographies of some entrepreneurs from regional level where there is a differentiated behavior that seek to take advantage of economic opportunities in an attempt to show how the perception of the institutional environment of these actors is influenced by cultural heritage.

Si l’on conçoit le développement comme un processus d’élimination des rentes, le cadre conceptuel de Douglass North, John Wallis, Barry Weingast (NWW) élaboré en 2009 qui le définit comme processus de transition institutionnelle d’un ordre social d’accès limité (pays en développement) où la violence est permanente et disséminée, vers un ordre social d’accès ouvert (pays développés) où les accès économiques et politiques sont ouverts à tous grâce à la libre compétition, élimine-t-il véritablement les rentes ? Par une critique théorique interne et une critique empirique illustrée par l’histoire du Nigeria et en particulier l’activité des multinationales pétrolières, nous soutenons que le cadre conceptuel de NWW est défaillant i) dans sa conception du rôle des élites et des non-élites dans le processus d’ouverture des accès au sein de l’ordre social d’accès limité ii) et dans sa construction épistémologique du modèle d’ordre social d’accès ouvert basé sur la libre compétition politique et économique. L’ordre d’accès ouvert de NWW entretient des rentes, et légitime la prédation, que nous définissons comme l’exploitation de rentes de domination. Les prédateurs font ainsi peser sur leurs victimes des coûts sociaux que les démarches de développement durable (DD) et de responsabilité sociétale des entreprises (RSE) peinent à éliminer. Le DD et la RSE ne parviendront à éliminer la prédation qu’en développant des institutions et des référentiels qui contraignent les acteurs à la prise en compte de l’asymétrie de pouvoir et du risque de domination dans les négociations entre parties prenantes, en vue du respect de la dignité humaine dans les transactions
The conceptual framework developed in 2009 by Douglass North, John Wallis, Barry Weingast (NWW) regards development as an institutional transition from a limited access social order (developing countries), where violence is a spread and permanent threat, to an open access social order (developed countries), where economic and political accesses are open to all through free competition. If we consider development as a process of rents elimination, does this framework enable rents elimination? Combining a theoretical analysis, and an empirical analysis illustrated by the history of Nigeria and oil multinationals’ activities, we argue that NWW’s framework fails i) in the design of the role of elites and non-elites in the transition process within the limited access order ii) and in the epistemological shaping of the open access order based on political and economic free competition. The NWW’s open access order maintains rents, and legitimizes predation which we define as the exploitation of domination rents. Predators generate on their victims various social costs which sustainable development (SD) and corporate social responsibility (CSR) initiatives are failing to eradicate. SD and CSR approaches will succeed in eradicating predation only if they consider within transactions the power asymmetry and the risk of domination in negotiations between stakeholders, in order to protect the human dignity

Through their editorial arrangements of African-American, Euro-American and European poetry, fiction and news, Frederick Douglass’s anti-slavery periodicals (The North Star and Frederick Douglass’ Paper) imagine a cosmopolitan discourse that predates the segregated realities of the antebellum United States. In spite of Southern blockades against the infiltration of Northern texts, Douglass’s material space uniquely capitalized on the limited restrictions of his reprinting culture to relocate the voice of the ‘outraged slave’ onto a global stage. From the poems of Phillis Wheatley and William Cowper to Charles Dickens’s Bleak House and Douglass’s own novella “The Heroic Slave,” this project considers how Douglass’s literary inclusions—and exclusions—complicate our static considerations of the historicized Douglass and exhibit his savvy insertions of black print into an exclusive, transatlantic nineteenth-century print culture.

This thesis explores how Shakespeare was used by Antebellum American writers to frame slave revolts as either criminal or revolutionary. By specifically addressing The Confessions of Nat Turner by Thomas R. Gray and "The Heroic Slave" by Frederick Douglass, this paper looks at the way invocations of Shakespeare framed depictions of black violence. At a moment when what it means to be American was questioned, American writers like Gray and Douglass turned to Shakespeare and the British roots of the English language in order to structure their respective arguments. In doing so, these texts illuminate how transatlantic identity still permeated American thought. This thesis also argues that the conscious use of British literature, Shakespeare in particular, by abolitionists constitutes a critique of the unfulfilled American ideals they believe slavery undermines. In addressing depictions of slave revolts and black masculinity in this period, this thesis explores how allusions to Shakespeare helped frame the historiography surrounding how slave revolts in America were and are remembered.

Dans cette thèse nous analysons les causes du déclin socio-économique de long terme du territoire de la moitié sud (MS) du Rio Grande do Sul (RS) à travers la méthodologie de recherche de la nouvelle économie institutionnelle de Douglass NORTH. Dans le Chapitre 1 nous étudions la construction théorique northienne et nous démontrons sa pertinence lorsqu’elle appliquée à l’analyse d’un territoire. Le Chapitre 2 est consacré à la formation économique et territoriale du Brésil et de l’extrême sud du pays entre les XVIème et la fin du XXème siècles. Dans le Chapitre 3 nous analysons la « bifurcation » économique et institutionnelle entre les territoires du RS. Ainsi, nous constatons qu’à partir de la fin du XIXème siècle les activités économiques les plus performantes du RS tendent à se localiser dans sa portion nord. Les causes d’une telle concentration sont la spécialisation économique de la MS (élevage bovin extensif et riziculture), la faible génération d’emplois de ces activités et la forte concentration foncière du territoire. La « bifurcation » économique entre les territoires du RS augmente au cours de la deuxième moitié du XXème siècle en raison des politiques institutionnelles aux échelles régionale et nationale dirigées vers les activités (i) industrielles et (ii) agricoles intensives (« révolution verte »). Finalement, dans le Chapitre 4, nous étudions les différentes formes entrepreneuriales et institutionnelles territorialisées du RS. Ainsi, d’une part nous avons analysé les trajectoires institutionnelle et économique du district industriel de chaussures de la vallée do Sinos et, de l’autre, la faillite des mesures institutionnelles publiques de création d’un système agro-alimentaire localisé d’industrialisation de fruits et légumes à Pelotas, le centre économique et décisionnel de la MS. En Conclusion, nous arrivons au constat que la prise en compte des facteurs institutionnels, historiques, démographiques et naturels (la pampa) fournit des réponses plus complètes aux causes économiques du déclin du territoire qu’une analyse économique néoclassique pourrait le permettre
In this thesis we analyse the long term socio-economic decline of the Rio Grande do Sul (RS) southern territory through the Douglass NORTH’s new institutional economics. In the Chapter 1 we did study D. North’s theoretical construction and his relevance on the territory economic analysis. Chapter 2 concerns Brazilian and its southern portion socio-economic and territorial formation between XVIth and XXth centuries. In Chapter 3 we analyse the economic and institutional “fork” between the RS’s territories. Through our analysis we found that from the end of the XIXth century the main human and economic activities tend to locate on the RS’s north and the nord-est geographical portions. The reasons of that are the southern portion economic specialization (cattle and rice), and the week labour generation into a high land concentration. We concluded that the “fork” between the RS territories increases during the XXth century on account of the regional and national strategic, economic and institutional politics guidance on (i) increasing industrial activities and (ii) intensive agricultural activities (the “green revolution”). Finally, in the Chapter 4, we’ve studied the economic and institutional trajectories of the Sinos valley shoes industrial district “success story”, and the Pelotas fruits and vegetables localised agri-food system territorial failure. In the Conclusions we had observed that taking into account the institutional, historical, demographic and natural factors (pampa ecosystem) gives more complete answers to the decline of the territory than an neoclassical analyse can do

Three growth and yield models have been developed for Douglas fir plantations in the Central North Island of New Zealand: DFCNIGM1, DFCNIGM2 and DFCNIGM3. DFCNIGM1 ___ Douglas Fir Central North Island Growth Model version 1, is a whole stand model for Central North Island plantations, that includes Kaingaroa, Pureora, Waimihia and Whirinaki. Data for Karioi and Whakarewarewa forests were also available but were excluded from the model, because their growth trends differed from the rest, they are separated geographically from the main block of forests and their plot data base was not big enough to allow adequate validation of their inclusion. The version 1 model, which was completed and put into routine operation in March 1989, consists of three parts: a growth and yield projector for (I) healthy, (II) diseased and thinned, and (III) diseased and unthinned stands. Each part consists of a basal area projection equation (Schumacher), a stand volume (combined variable) equation, and a merchantable volume equation (being a function of total volume). All three share the same site index equation (Chapman-Richards) and mortality equation (a simple decay function). Inputs to the model are initial age, initial stems/ha, initial basal area per hectare, site index (or mean top height) and values specified for proposed thinning operations. Outputs of future values generated by the model are basal area/ha, volume/ha, merchantable volume/ha to a 15 cm top diameter limit, stems/ha, mean top height and quadratic mean diameter of the stand. The version 1 model has been in use by New Zealand Forestry Corporation, Timberlands Ltd, since its completion and proved able to give good prediction for all stand statistics except regular mortality, which statistic appears to have been over-estimated. For this reason, the model was subsequently revised into DFCNIGM2 ____ Douglas Fir Central North Island Growth Model version 2, in October 1989, with the original mortality equation replaced by a new one. The new mortality equation was derived by establishing a rate of change in stems/ha over time as a function of stems/ha at beginning of the growth period, basal area/ha, dbh and site quality; mortality was obtained by integrating this rate function. This equation reduced the residual sums of squares by 37% in comparison with the original one. Although the basal area projection equations in DFCNIGM1 predict the future basal area/ha well, they were replaced with an even better-fitting Hossfeld equation. The Hossfeld equation has a more desirable property than the Schumacher: at age zero its yield is equal to zero, whereas it is not defined in Schumacher's equation. DFCNIGM3 ___ Douglas Fir Central North Island Growth Model version 3, is a diameter distribution model for the same plantations resources. This model consists of two parts, namely separate growth and yield projectors for healthy and diseased stands. Each part consists of a stand level and a diameter distribution model. The stand level model is basically the same as DFCNIGM2, and the diameter distribution is generated from stand variables. The reverse Weibull distribution was used as the probability density function distribution of diameters at for characterising the breast height over bark (dbhob) using maximum dbhob, arithmetic mean dbhob and standard deviation of dbhob as state variables. The maximum diameter and standard deviation projection equations were based on the Hossfeld function. Estimating the moments using difference equations makes use of initial values which are generally available in permanent sample plot (PSP) data and which can improve the fit substantially. The b and c parameters of the reverse Weibull distribution were estimated in the usual manner. The location parameter “a” was estimated through the type III Extreme Value Distribution and an extreme percentile calculated from the return period. Based on the stability postulate by Fisher and Tippett (1928) and comments from Gumbel (1958), it was shown that the type III Extreme Value Distribution should be used as the extreme value distribution when a reverse Weibull function is used as the initial distribution. Maximum diameters of each of the PSP plot measurements were extracted. Those maximum diameters were sorted by age, then the arithmetic mean, standard deviation and the maximum of the maximum diameters of each age class were calculated. Moments of the type III Extreme Value Distribution, i.e. the arithmetic mean, standard deviation of the extreme largest diameters, for generating the parameters of the type III Extreme Value Distribution were fitted to those calculated values just described using the Hossfeld function. The scale parameter bx and shape parameter cx of the type III Extreme Value Distribution are calculated using method of moments. The location of the type III Extreme Value Distribution is set equal to the projected maximum of the largest diameters. With parameters ax, bx and cx of the type III Extreme Value Distribution determined, the location of the reverse Weibull distribution was obtained by a = ax -bx [-log(p)] 1/cx Where the percentile p is calculated from the return period. Theoretically, p should be the 100th percentile on the extreme value distribution, which would ensure that the maximum diameter (or the location parameter of the initial distribution) chosen will not be exceeded at a specified age. In practice, the 100th percentile might not be able to produce a good fit and some lower percentile can be tried. But how much lower? Based on the return period, it is shown that it can be chosen between the 95 and 100 percentiles, and still ensure that the maximum diameter chosen will not be exceeded for a specified age, while producing a better fit. Thus by combining the extreme percentile with the extreme value distribution, a good fit can be obtained and bias can be safely avoided; this cannot be achieved if the percentile on the extreme value distribution is chosen arbitrarily. According to the symmetry principle, the Weibull itself should be used as the extreme value distribution when one works with the smallest diameter. Thus the proposed procedure can be applied to the conventional Weibull approach by using the Weibull distribution as the extreme value distribution, which is also called a type III Extreme Value Distribution (Gumbel, 1958). A modified linear equation was used to model the height corresponding to mid-point diameters. Existing volume and taper functions currently used to generate PSP results were employed for the purpose of this study. These functions could be the subject of further investigation to see if useful refinements to them could be made. In version 3 of DFCNIGM, thinned and unthinned data are pooled and the thinning effect on yield is treated by introducing a thinning index to relevant equations and fitting them to the pooled data. Inputs and outputs of DFCNIGM1 and DFCNIGM2 are the same as for most New Zealand growth and yield models and have been described elsewhere (Liu Xu, 1989). Inputs to DFCNIGM3 are age, area/ha, deviation site index or mean top height, initial basal initial stems/ha, maximum dbhob, standard of dbhob, initial extreme largest diameter/initial mean extreme largest diameter, standard deviation of the extreme largest diameter and values for specified thinning operations. Outputs are dbh class, number of trees/ha, mean height, volume and merchantable volume per hectare of each class plus basal area/ha calculated from a stand basal area equation that is compatible with that summed up from all the dbh classes. Preliminary verification and validation indicated that the proposed models give good predictions of both stand and diameter distributions statistics.

A vegetation monitoring study was conducted from 1999 to 2015 at Douglas Creek Military Reservation (DCMR), Garrison in McLean County, North Dakota to assess how climatic and military training disturbance affects plant community composition. The objectives were to 1) describe the prairie vegetation at DCMR across four plant communities for sixteen years and 2) explore shifts in plant community composition in correlation with time. Sixteen transects were randomly selected on native prairie and classified into four types based on plant communities. Frequency data was collected at each of these sites four times from 1999-2015, with plant communities compared using non-metric multidimensional scaling (NMS) ordination. The NMS ordination showed that the frequency of invasive graminoids Kentucky bluegrass (Poa pratensis L.) and smooth brome (Bromus inermis Leyss.) increased during the study. Increases in precipitation and growing season days appear to be the primary influence on the changes in plant communities from 1999-2015.

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CNPq - Conselho Nacional de Desenvolvimento Científico e Tecnológico
Este trabalho foi construído a partir de um questionamento central que procurava entender o porquê de uma região como a do município de Guajará-Mirim que era considerada a cidade mais bonita do estado de Rondônia, durante as décadas de 1970 e 1980, hoje, porém, se vê apática, desfocada de uma visão de progresso, cega de um projeto de desenvolvimento local definido, sem ânimo e sem o brilho que no passado tão recente fazia com que sua população se orgulhasse de seu “apelido” mais famoso, “Pérola do Mamoré”. De outro lado, os municípios ao longo do eixo da BR-364 que apresentavam uma situação bem distinta de Guajará-Mirim, portanto, mais prósperos. Diante deste aspecto, se pretendeu verificar se a teoria institucionalista de Douglass North seria adequada para explicar a desigualdade regional do Estado de Rondônia já que para esta corrente teórica, a questão histórica exercia um poder “path dependence”. Deste modo, procurou-se testar se o contexto histórico atrelado às mudanças institucionais estaria interferindo ou não no desempenho institucional das mesorregiões do Estado de Rondônia. Como primeira grande ação deste processo foi evidenciada, no território rondoniense, a existência de duas mudanças institucionais que impactaram, de forma distinta, as respectivas mesorregiões, as quais foram relacionadas aos dois grandes empreendimentos implantados em Rondônia, ou seja, a EFMM com impacto sobre a porção mesorregional Madeira-Guaporé e a BR-364 com impacto sobre a porção mesorregional Leste Rondoniense, ampliando, com isso, o poder de análise. Como segunda grande ação foi levantado indicadores agrupados nas categorias de “capacidade institucional”, de “gestão ambiental”, de “economia regional” e de “qualidade de vida”, os quais permitiram chegar, com base na análise fatorial e na utilização da ferramenta estatística SPSS, aos índices de desempenho institucional municipal, microrregional e mesorregional do Estado. Com base nos índices de desempenho institucional levantados pela pesquisa ficou, portanto, evidenciado que a história econômica interferiu no desempenho institucional mesorregional de Rondônia, o qual demonstrou uma tendência de crescimento positivo para a mesorregião Leste Rondoniense e negativo para a mesorregião Madeira-Guaporé, comprovando o poder “Path Dependence”. Contudo, objetivando averiguar a capacidade de explicação da desigualdade regional com base no capital social, a partir de um contexto qualitativo, fica evidenciada a coerência deste resultado com o pensamento teórico do institucionalismo de Douglass North já que pelos parâmetros de capital social utilizados pela pesquisa, o poder “Path Dependence” fica, ainda mais, transparente, o que demonstra a adequação destas perspectivas teóricas para a explicação da desigualdade regional do Estado de Rondônia, mesmo se tratando de uma região periférica inserida em um país, também periférico, como o Brasil.
This work was built starting from a central question which tried to understand the reason why an area such as the municipal district of Guajará-Mirim which used to be considered the most beautiful city of the state of Rondônia, during the 1970’s and 1980’s, today, however, it is apathetic, with no focus at all of a vision of progress, blind of a project of defined local development, without vitality and without the shine that used to have in such recent past which made its population proud of it and its famous "nickname", "Pearl of Mamoré."On the other hand, the municipal districts along the axis of BR-364 that presented a situation very different from Guajará-Mirim, therefore, more prosperous. Considering this aspect, it was intended to verify if Douglass North’s institucionalist theory would be suitable to explain the regional inequality of the State of Rondônia considering that for this theoretical thought, the historical somehow would influence "Path Dependence." Therefore, it sought to test whether the historical context harnessed to the institutional changes would be interfering or not in the institutional performance of the mesoregions of Rondônia State. As great first action of this process was highlighted, in the Rondônia territory, the existence of two institutional changes that influence, in a different way, the respective mesoregions, which were related to the two great enterprises implanted in Rondônia, in other words, EFMM with impact on the mesoregional Madeira-Guaporé portion and BR-364 with impact on the mesoregional East portion, enlarging, this way, the analysis power. As second great action, it was colected indicators contained in the categories of "institutional capacity", of "environmental administration", of "regional economy" and of “life quality”, which allowed to get, with base in the factorial analysis and in the use of the statistical tool SPSS, to the indexes of municipal institutional performance, microregional and mesoregional of the State.based on the indexes of institutional performance collected by the research it was, therefore, highlighted that the economical history interfered in the mesoregional institutional performance of Rondônia, which demonstrated a tendency of positive growth to the East mesoregion and negative for the Madeira-Guaporé mesoregion, proving the power "Path Dependence". However, aiming at to discover the capacity of explanation of the regional inequality with base on the social capital, starting from a qualitative context, the coherence of this result is evidenced with the theoretical thought of institutionalism of Douglass North considering the for the parameters of social capital used by the research, the power "Path Dependence" is, even more, transparent, which demonstrates how suitable are these theoretical perspectives for the explanation of the regional inequality of the State of Rondônia, even when it comes to an outlying region inserted in a country, also outlying, like Brazil itself.

This thesis argues that consumerism and the mass media wield an unparalleled influence over contemporary North American society, and that these forces constitute the primary means through which identity is constituted. The historical and theoretical developments that have led to the foregrounding of these forces are outlined in the introduction - developments, it is argued, that are intrinsically connected to the social upheava1 that characterized America in the late 1960's and early 1970's, while their presence in and effects on the fiction of four contemporary North American writers - Thomas Pynchon, Don DeLillo, Bret Easton Ellis and Douglas Coupland - are examined in the main body of the thesis. Chapter I focuses on Pynchon whose novels, it is argued, are the product of a uniquely post-1960's America, which mourns the sacrifice of traditional ideals to the corporate mindset which has been prevalent since ths 1980's Pynchon's dominant metaphor for the direction in which he believes American society to be moving is the thermodynamic concept of entropy, which stipulates that all prqress is towards death. His novels abound with characters who disintegrate due to the information overload fostered by their media-based world. However, he retains his faith that a return to historical values and traditions will stem and even reverse the entropic tide DeLillo, a close contemporary of Pynchon's, draws on a different aspect of the legacy of the 1960's, for his writing is overshadowed by the 1963 assassination of President Kennedy and the years of turbulence that ensued. His novels are ultimately more pessimistic because his characters do not succeed in escaping from the repressive narratives of consumerism and the mass media in order to reassert their own personalities. One reason for this failure, it is argued, is that DeLillo's characters represent a metaphorical dramatization of the dichotomy between the modernist desire for structure and the postmodernist embrace of fluidity and uncertainty. The fictional characters of the younger authors, Ellis and Coupland, inhabit this postmodern world where all experience has been rendered depthless and traditional ontological and epistemological certainties have been collapsed Ellis' characters fluctuate between the extremes of apathy and violence as they search for a way of preventing their psyches from disintegrating amidst the surrounding chaos. Neither one of these options brings - any relief. Coupland is more optimistic about the ability of his characters to survive and even prosper in the contemporary world. He arms them with the linguistic and technological skills necessary to adapt to the rapid social and technological changes. Most importantly of all, he draws on the sense of objectivity fostered by his own background as a Canadian in order to provide them with an alternative and a sense of escape from the media-saturated environment of the American West Coast. What is perhaps most remarkable about these four authors as a group is that in spite of their obvious insight into the nature of the contemporary postmodern world, they are unwilling - or perhaps even unable - to fully relinquish their hold on a number of traditional metanarratives, most notably the ideal of the stable, supportive family unit. This implies a degree of uncertainty and perhaps even of fear on their parts about fully committing to the fluidity of contemporary culture.

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Coordena??o de Aperfei?oamento de Pessoal de N?vel Superior - CAPES
Douglas Kellner (?1943) emerged in the 1990's as a leading scholar of media phenomena. This research seeks to reconstruct his trajectory in this area of knowledge. His ideas are analyzed by assessing their merits and problems, progress and difficulties. It is emphasized the way in which his intellectual course was influenced by the so-called western marxism, in particular by the School of Frankfurt. It also highlights how the author approaches cultural studies by appropriating the legacy of the Center for Contemporary Cultural Studies. Kellner makes both currents dialogue, in the shadow of discussions about postmodernism and the so-called cultural wars in the United States. Aiming to show how all this has repercussions in his analysis of what he called ?media culture?, and then ?era of the spectacle?, first his ideas are contextualized historically and intellectually. Second, his proposal for media literacy is analyzed, as a pragmatic dimension of his critical study of the media. Subsequently, the application of his studies about cinema and, especially, television is evaluated. In the end, the material presented is commented, interpreted, and criticized, making the study of media theories dialog with other areas of knowledge. In conclusion, Kellner proposes an innovative synthesis in theoretical and methodological terms, profiled with the so-called cultural Marxism. But also that it is not exempt of conceptual contradictions that generate analytical simplifications during the research, apparently deriving from unbridled ideological commitments.
Douglas Kellner (?1943) emergiu nos anos 1990 como importante estudioso dos fen?menos de m?dia. A presente pesquisa busca reconstruir sua trajet?ria nessa ?rea do conhecimento. Quer-se analisar suas ideias avaliando m?ritos e problemas, avan?os e dificuldades. Salienta-se o modo como seu percurso intelectual foi influenciado pelo chamado marxismo ocidental, em especial pela Escola de Frankfurt. Tamb?m se ressalta como o autor se aproxima dos estudos culturais, ao apropriar-se do legado do Centre for Contemporary Cultural Studies. Kellner faz ambas as correntes dialogarem, ? sombra das discuss?es relativas ao p?s-modernismo e ?s chamadas guerras culturais ocorridas nos Estados Unidos. Visando mostrar como tudo isso repercute em sua an?lise do que chamou de ?cultura da m?dia? e, em seguida, ?era do espet?culo?, primeiro contextualiza-se historicamente e intelectualmente suas ideias. Em segundo, examina-se sua proposta de alfabetiza??o midi?tica, enquanto dimens?o pragm?tica de sua proposta de estudo cr?tico da m?dia. Em um terceiro momento, mostra-se a forma como ela se aplica em seus estudos sobre cinema e televis?o. Ao final, procede-se ao coment?rio, interpreta??o e cr?tica do material apresentado, vendo como se deu a recep??o de suas ideias no mundo acad?mico. Conclui-se que Kellner prop?s s?ntese inovadora em termos te?ricos e metodol?gicos, perfilada com o chamado marxismo cultural. Mas tamb?m que ela n?o est? isenta de contradi??es conceituais geradoras de simplifica??es anal?ticas durante a pesquisa, aparentemente oriundas de compromissos ideol?gicos desenfreados.

Tree-ring studies have demonstrated that conifer latewood measurements contain information on long-term North American monsoon (NAM) variability, a hydroclimatic feature of great importance to plants, animals, and human society in the US Southwest. This paper explores data-treatment options for developing latewood chronologies aimed at NAM reconstruction. Archived wood samples for five Douglas-fir (Pseudotsuga menziesii, Mirb. Franco) sites in southeastern Arizona are augmented with new collections. The combined dataset is analyzed along with time series of regionally averaged observed precipitation to quantify the strength of regional precipitation signal in latewood time series and to identify ways of increasing the signal strength. Analysis addresses the signal strength influences of including or excluding ‘‘false’’ latewood bands in the nominal ‘‘latewood’’ portion of the ring, the necessary adjustment of latewood width for statistical dependence on antecedent earlywood width, and tree age. Results suggest that adjusted latewood width chronologies from individual sites can explain around 30% of the variance of regional summer (July–August) precipitation—increasing to more than 50% with use of multiple chronologies. This assessment is fairly insensitive to the treatment of false latewood bands (in intra-annual width and 𝛿¹³C variables), and to whether latewood-width is adjusted for dependence on earlywood-width at the core or site level. Considerations for operational chronology development in future studies are (1) large tree-to-tree differences in moisture signal, (2) occasional nonlinearity in EW-LW dependence, and (3) extremely narrow and invariant latewood width in outer portions of some cores. A protocol for chronology development addressing these considerations is suggested.

碩士
國立臺灣大學
科際整合法律學研究所
104
One goal of corporate law is to deal with the agency problem between different members of a corporation, and Delaware corporate law dominates in the state corporate laws. Accordingly, this thesis focuses on the agency problem between shareholders and directors and analyzes how Delaware corporate law as an institution balances the authority and accountability of directors as agents. This thesis adopts the Douglass North''s institutional framework to analyze Delaware corporate law, and the framework includes three parts: 1. a theory of property right that describes the individual and group incentives in the system; 2. a theory of the state, since it is the state that specifies and enforces property rights; 3. a theory of ideology that explains how different perceptions of reality affect the reaction of individuals to the changing “objective” situation. Chapter one is a preface. Chapter two focuses on institutional economics and Douglass North''s institutional framework. Two topics are introduced: first, the reason institutions matter is that transaction costs exist and various institutions may reduce the transaction cost to improve transaction efficiency; second, the main transaction costs in an agency contract are the measuring cost and the monitoring cost. Chapter three focuses on the agency problem analysis. I introduce here that the reasons of the agency problem are information asymmetry and a conflict of interest between agents and principles, and the costs and problems may arise by dealing with the agency problem. Accordingly, Delaware corporate law applies different standards of review depending on seriousness of the agency problem, and therefore directors can remain the full discretion of business judgment but be restrained from abuse of power. Chapter four focuses on measuring cost and related Delaware court decisions. Institutional investors, proxy advisory firms and activist investors existing in the market help to reduce measuring cost. Accordingly, Delaware courts carefully review any board actions designed to impede the effective exercise of corporate democracy by shareholders, therefore protecting the stockholder franchise and negating unlawful efforts by the directors to maintain board control. Chapter five focuses on monitoring cost and related Delaware court decisions. Positive externality of shareholder litigation causes inadequate supervision on directors and attorney fee award is used for dealing with the problem of externalities. Attorney fee award provides attorneys incentives to supervise directors actively, but also causes problems such as frivolous litigation and collusion, and therefore the court intervention is needed. Chapter six focuses on the ideology of Delaware and the summary. Because of the existence of national incorporation market, corporations as buyers can purchase the corporate law produced by each state and states as sellers can sell corporate law to earn tax revenue. The tax revenue makes Delaware to invest its corporate law to response to the needs of corporations and the competitive pressure.

碩士
國立中山大學
政治學研究所
99
This paper summaries the institutional change of traditional institutionalism and new institutionalism, and discuss North’s books: 1981, Structure and Change in Economic History、1990, Institutions, Institutional Change and Economic Performance、2005, Understanding the Process of Economic Change, figuring out the idea of north’s institutional change? And how does his study influence new institutionalism of politics? Finally, I’ll compare the institutional perspective of North, traditional institutionalism and new institutionalism. This paper researched by historical document analysis and comparative analysis. Studying North’s institutional research in different period to outline his institutional perspective, especially in his late period. North focused on mental model of human being in his latest book, that’s a rare way to research institutional change. By this paper, I hope to outline whole North’s perspective of institutional change, and do a good comparison of North, traditional institutionalism and new institutionalism.

Thesis (M.S.) -- Central Connecticut State University, 2006.
Thesis advisor: Tiffany M. Doan. "... in partial fulfillment of the requirements for the degree of Master of Science in Biology." Includes bibliographical references (leaves 44-49). Also available via the World Wide Web.

The extensive reduction in adult Pacific lamprey (Entosphenus tridentatus) counts at many hydroelectric dams in the northwestern USA signals a substantial decline in lamprey numbers across the entire region in the past 40 to 50 years. Among the many potential causes of this decline, obstruction of migration routes has likely played a substantial role. Within the North Umpqua River basin in southwest Oregon, USA, I focused on the following three research goals: 1) to describe the passage efficiency and migration routes of adult Pacific lamprey at Winchester Dam; 2) to evaluate the seasonal movement patterns of adult Pacific lamprey and their use of holding habitat at Winchester Dam in relation to temperature conditions; and 3) to portray the diversity of upstream migratory behaviors of adult Pacific lamprey and the environmental factors that influence these behaviors. This radio telemetry study was conducted between March 2009 and August 2011 with a combination of fixed stations and manual tracking. Passage efficiency was low in both years (8% and 19%, respectively), and all tagged lamprey that successfully passed the dam used routes other than the fish ladder. Lamprey that migrated early within the run and those with relatively small tags had higher passage rates and traveled further than the other groups of lamprey. Lamprey released above of the dam or those that passed the dam on their own distributed themselves widely in the upstream environment, suggesting that the dam deterred their upstream migration. Using mark-recapture data for the two years, the adult Pacific lamprey population upstream of Winchester Dam was estimated at 960 (95% C.I. [188, 4760]) in 2009 and 556 (95% C.I. [110, 2798]) in 2010, which was considerably lower than historical counts at the dam (between 14,532-46,785 in 1965-1971). Most tagged lamprey that did not pass the dam remained at the base of the dam at the end of the summer migration (63% in 2009 and 67% in 2010). Types of habitat most frequently used by lamprey downstream from the dam included the dam surface (wooden structures with crevices), interface zones between fast and slow water, and highway bridge pilings. The lamprey movement changed considerably between August and September, and the frequency of movements decreased sharply during this period. Tagged lamprey were detected using thermal refuges immediately downstream of the dam that were 0.4 to 2.8 C° colder than the mean river temperature at the dam, and this temperature differential increased as the season progressed. Lamprey may be seeking overwintering habitat associated with hyporheic exchange flows at the dam towards the end of the summer season after their display of heightened activity early in the summer. Ninety-five percent of the overall upstream migration took place during the first spring/summer period, and only small-scale upstream movements were observed during the winter and second spring/summer (4% and 1%, respectively). The rate of upstream migration (median) was the fastest during the initial migration phase and was 1.9 km/day (ranging from 0.3 to 11.0 km/day) for tagged lamprey released above Winchester Dam. During winter, 71% of the lamprey remained in the same location where they initiated holding. Multiple regression analysis indicated that the total upstream distance traveled by individual lamprey was most strongly related to presence/absence of Winchester Dam, relative tag size, and water temperature and photoperiod conditions at release. The presence of Winchester Dam, large relative tag size, and high water temperature / short photoperiod conditions at release significantly reduced upstream migration distance.
Graduation date: 2012