Made available in DSpace on 2014-12-17T14:34:37Z (GMT). No. of bitstreams: 1 MariaJAS.pdf: 1115261 bytes, checksum: eb48e427acc4d376595d1ba927b0c5f5 (MD5) Previous issue date: 2007-12-18 / Petr?leo Brasileiro SA - PETROBRAS / It analyzes the magnitude, the nature and the direction of public revenues and the public expenses in oil and natural gas producing municipalities in the state of Rio Grande do Norte in the post-constituent period, and, more precisely, from the approval of Law 9.478/97, called Oil Law . It argues the fiscal federalism normative theory, the typology and the role of the intergovernamental transferences in the performance of the public finances of the local governments. Shows that the economy of Rio Grande do Norte went through deep social-economic changes in the last few decades, among which includes the discovery of the oil and the natural gas and its importance for the growth of the industrial and services sectors. It points out that the increase of the production and the international price of the oil contributed for the growth in revenues of royalties and the special participation in the beneficiary cities, what did not mean an automatic increase in the resources destined to the investment and in the quality on the provision of the goods and services come back toward the local development. On the contrary, the main conclusion of the work is that the trajectory of the oil producing municipalities is marked by paths and embezzlements in the performance of the public finances and in the provision of public goods and services. Paths, that lead to the improvement of the performance of the public finances and the quality of the public goods and services. Embezzlements, that lead to the inefficiency in the provision of goods and services and the capture of the public resources. That is, the fiscal decentralization is a necessary condition, however not enough to improve the amount and the quality of the public goods and services given by these municipalities. For that it is necessary to advance in the fiscal federalism normative theories, in search of optimum model of federalism in local governments where still predominated by patrimonialism, clientelism, fiscal illusion and the capture of the public resources in benefit of the private interests / Analisa a magnitude, a natureza e a dire??o das receitas e dos gastos p?blicos nos munic?pios produtores de petr?leo e g?s natural no estado do Rio Grande do Norte no per?odo p?s-constituinte, e, mais precisamente, a partir da aprova??o da Lei 9.478/97, denominada Lei do Petr?leo . Discute a teoria normativa do federalismo fiscal, a tipologia e o papel das transfer?ncias intergovernamentais no desempenho das finan?as p?blicas dos governos locais. Mostra que a economia do Rio Grande do Norte passou por profundas mudan?as s?cio-econ?micas nas ?ltimas d?cadas, entre as quais se incluem a descoberta do petr?leo e do g?s natural e a sua import?ncia para o crescimento dos setores industrial e de servi?os. Destaca que o aumento da produ??o e do pre?o internacional do petr?leo contribuiu para o crescimento nas receitas dos royalties e das participa??es especiais nos munic?pios benefici?rios, o que n?o significou um aumento autom?tico nos recursos destinados ao investimento e na qualidade na provis?o dos bens e servi?os voltados para o desenvolvimento local. Ao contr?rio, a principal conclus?o do trabalho ? que a trajet?ria dos munic?pios produtores de petr?leo ? marcada por caminhos e descaminhos no desempenho das finan?as p?blicas e na provis?o de bens e servi?os p?blicos. Caminhos, que levam ? melhoria do desempenho das finan?as p?blicas e da qualidade dos bens e servi?os p?blicos. Descaminhos, que levam ? inefici?ncia na provis?o de bens e servi?os e na captura dos recursos p?blicos. Ou seja, a descentraliza??o fiscal ? uma condi??o necess?ria, por?m n?o suficiente para melhorar a quantidade e a qualidade dos bens e servi?os p?blicos prestados por esses munic?pios. Por isto ? preciso avan?ar nas teorias normativas do federalismo fiscal, em busca do melhor modelo de federalismo em munic?pios onde ainda predominam o patrimonialismo, o clientelismo, a ilus?o fiscal e a captura dos recursos p?blicos em benef?cio dos interesses privados

CoordenaÃÃo de AperfeiÃoamento de Pessoal de NÃvel Superior / The main objective of this study is quantify the impact caused by changes in federal tax on the tax policy of the states, considering the presence of horizontal tax competition between states. In federal systems, where various levels of government operate simultaneously in the same tax regime, setting tax rates on the same basis of taxation, there may be the existence of externalities. In that sense, the tax policy of a government level affects the size of the tax base of another level. Using a panel data covering 26 Brazilian states plus the Federal District for the period 1995-2009, it was estimated two models that represent the average reaction of state taxes in response to changes in federal tax rates, considering horizontal tax competition as a relevant variable in the model. The first model assumes that both levels of government act together simultaneously in setting its taxes rates (Cournot-Nash Model). The second model assumes that states react with delay to changes in federal taxes, as if this act as a Stackelberg leader in setting their tax (Model Stackelberg). The results indicate a positive response from the states to significant increases in the federal tax rate, in the presence of horizontal tax competition between states, resulting in a overtaxation tax base common to high taxes rates. The results of the J test proposed by Davidson and MacKinnon to choose the model indicate that state and federal adjust their rates both together as in a Cournot-Nash game. / O objetivo principal desse trabalho à quantificar qual o impacto provocado por mudanÃas no imposto federal sobre a polÃtica tributÃria dos estados, considerando a presenÃa de competiÃÃo tributÃria horizontal entre os estados. Em sistemas federativos, quando vÃrios nÃveis de governo operam simultaneamente em um mesmo regime fiscal, definindo alÃquotas sobre as mesmas bases de tributaÃÃo, pode ocorrer a existÃncia de externalidades. Nesse sentindo, a polÃtica tributÃria de um nÃvel de governo afeta o tamanho da base tributÃria do outro nÃvel. Utilizando um painel de dados que abrange os 26 estados brasileiros mais o Distrito Federal para o perÃodo 1995â2009, foram estimados dois modelos que representam a reaÃÃo mÃdia dos estados em resposta a mudanÃas nas alÃquotas do governo federal, considerando a competiÃÃo tributÃria horizontal como variÃvel relevante do modelo. O primeiro modelo considera que ambos os nÃveis de governo agem simultaneamente em conjunto no ajuste de suas alÃquotas (Modelo Cournot-Nash). Jà o segundo modelo considera que os estados reagem com atraso a mudanÃas nos impostos do governo federal, como se este agisse como um lÃder Stackelberg na definiÃÃo de seus impostos (Modelo Stackelberg). Os resultados apontam para uma resposta positiva e significante dos estados à aumentos na alÃquota tributÃria federal, na presenÃa de competiÃÃo tributÃria horizontal entre os estados, resultando em uma sobretaxaÃÃo da base tributÃria comum e alÃquotas elevadas. Os resultados do teste J propostos por Davidson e MacKinnon para escolha do modelo indicam que estados e federaÃÃo ajustam suas alÃquotas simultaneamente em conjunto como em um jogo de Cournot-Nash.

nÃo hà / The redemocratization, the economic opening and stability and the reconfigurations of state functions with duties reduction and competence rise were peremptory issues to new Brazilian federative relation implemented from the 1988-Federal-Constitution on, which was marked by the implementation of an extensive redistribution of tax funds, but, with a wide binding on the allocation of them, in addendum of states and especially the municipalities. Within this context, the present study aims to evaluate the correlation between the levels of expenses on public education in Brazil from 2000 to 2011, with quantitative equivalence of students enrolled in each governmental domain (federal, state and municipal) and in each type of education (basic education and higher education). The implemented methodology has materialized as an explicative one, for the purpose of the research, as bibliographical and documentary concerning the procedures for data collection, and concurrently qualitative and quantitative regarding how to address and answer the problem. The applied statistics were based on the use of descriptive actions, with the use of graphs, tables and measures of position. As results, it was found multiple antagonisms between the correlation of the amount of resources and the total enrollment effectuated. As an empirical fact, in 2011 the municipal sphere accounted for 52.48% of all students enrolled and 35.60% of the active volume of expenditure on education. In parallel, the federal sphere had as attribute 2.67% of students placed in public schools and universities and 24.38% of the granted income. As a result, the investment per capita per student promoted for that year, for federal level, was 13.55 times higher than for municipal level. Performing similar analogy for teaching modalities, there are similarly latent abrupt deformities. While a student enrolled in elementary school in 2011 from the federal system received annual investment equivalent to R$ 24,079.94, at the state instance amounted to R$ 3,384.85 and at the municipal instance R$ 3,189.14, representing improper distinction potentials for formation. Adding to this, as a backdrop mismatches in intergovernmental transfers made by conditional and inflexible manner and the absence of any parameter of quality in the training of students and professionals involved with education. Thus, it gets to the current conjuncture of Brazilian education, with the country showing up far to assert the principle of equal opportunities intrinsic with primary function of education and fiscal Federalism. / A redemocratizaÃÃo, a abertura e estabilidade econÃmica e a reconfiguraÃÃo das funÃÃes do Estado, com reduÃÃo de obrigaÃÃes e ascensÃo de competÃncias, foram pontos peremptÃrios para novas relaÃÃes federativas brasileiras, implementadas a partir da ConstituiÃÃo Federal de 1988, que ficou marcada pela concretizaÃÃo de uma vasta redistribuiÃÃo de recursos tributÃrios, porÃm, com ampla vinculaÃÃo sobre a destinaÃÃo dos mesmos, em aditamento dos estados e, especialmente, dos municÃpios. Dentro desse contexto, o presente trabalho buscou avaliar a correspondÃncia entre os nÃveis dos gastos em educaÃÃo pÃblica no Brasil no perÃodo de 2000 a 2011, com a equivalÃncia quantitativa dos discentes matriculados em cada esfera de governo (federal, estadual e municipal) e em cada nÃvel de ensino (educaÃÃo bÃsica e ensino superior). A metodologia implementada materializou-se como explicativa para o objetivo da pesquisa, como bibliogrÃfica e documental quanto aos procedimentos na coleta de dados, e concomitantemente qualitativa e quantitativa quanto à forma de abordar e responder ao problema. A estatÃstica aplicada baseou-se no emprego de aÃÃes descritivas, com o uso de grÃficos, tabelas e medidas de posiÃÃo. Como resultados, constataram-se mÃltiplos antagonismos entre a correlaÃÃo do volume de recursos e o total de matrÃculas efetivadas. Como fato empÃrico, no ano de 2011 o Ãmbito municipal respondeu por 52,48% do total de estudantes matriculados e 35,60% do volume ativo dos gastos em educaÃÃo. Em paralelo o domÃnio federal teve como atributo 2,67% do total de discentes inseridos nas escolas e universidades pÃblicas e 24,38% dos proventos deferidos. Como decorrÃncia, o investimento per capita por aluno promovido nesse ano na esfera federal foi 13,55 vezes maior que a nÃvel municipal. Realizando analogia similar para as modalidades de ensino, ficam igualmente latentes abruptas deformidades. Enquanto o aluno matriculado no ensino fundamental no ano de 2011 da rede federal recebia investimento anual equivalente a R$ 24.079,94, na instÃncia estadual era de R$ 3.384,85 e no Ãmbito municipal de R$ 3.189,14, o que representa distinÃÃes potenciais truanescas de formaÃÃo. Somaram-se a isso, como cenÃrio os descompassos nas transferÃncias intergovernamentais realizadas de modo condicional e inflexÃvel e a ausÃncia de qualquer parÃmetro de qualidade na formaÃÃo de alunos e na capacitaÃÃo dos profissionais envolvidos com o ensino. Chega-se assim a conjuntura atual da educaÃÃo brasileira, com o paÃs mostrando-se longÃnquo de asseverar o princÃpio da igualdade de oportunidades intrÃnseco como funÃÃo precÃpua da educaÃÃo e do Federalismo fiscal.

A melhoria das condições de vida é o objetivo principal da migração individual, mas seu resultado pode ser o oposto. Esta dissertação estuda as implicações da migração em duas distintas e importantes literaturas. A tradição do Federalismo Fiscal sugere que a migração pode levar à ampliação das disparidades regionais. Em muitos casos, a ação individualmente racional é coletivamente irracional, resultando em pior qualidade de vida para o imigrante. A Nova Geografia Econômica sugere que a migração funciona para quem migra, mas pode novamente resultar em aumento das disparidades regionais. A partir da crítica a alguns dos pressupostos destas duas teorias, é apresentado um modelo em que a migração aumenta a desigualdade na região de atração, devido à desigual propriedade da terra. / The improvement of living standards is the main objective of individual migration, but its results can be opposite. This dissertation studies the implications of migration in two distinct and important literatures. The Fiscal Federalism tradition suggests that migration can lead to severing regional and social disparities. In many cases, the individually rational decision is collectively irrational, resulting in a worse living standard for the immigrant. The New Economic Geography suggests that migration do work for the migrating people, but still can result in an increase in regional disparities. After some critiques to assumptions and hypotheses of those two theories, it is presented a model in which the migration increases inequality in the attractive community because of the land ownership.

O propósito deste trabalho é analisar a regulação jurídica brasileira da intervenção do Estado, por meio da tributação, sobre a economia. Esta tarefa se desenvolve em três momentos teórico, dogmático e histórico/institucional que se estendem ao longo dos três capítulos do trabalho, respectivamente. O primeiro momento lida com a dimensão doutrinária jurídica de análise, interpretação, metodologia e abordagem deste fenômeno. Buscamos recuperar historicamente a trajetória da doutrina do direito tributário brasileiro em contraposição à doutrina do direito econômico brasileiro, recuperando o conceito de extrafiscalidade como ponto limite da doutrina tributária e ponto de partida para uma análise sistemática da intervenção estatal pela tributação. O segundo momento é a tentativa de traçar uma abordagem pertinente para essa análise da extrafiscalidade tributária pelo direito econômico, problematizando-a à luz do ordenamento brasileiro, sobretudo, em nível constitucional. Para tanto, assumimos as categorias de Eros Roberto Grau, sobre a intervenção estatal na economia, e as de Richard A. Musgrave, sobre as finalidades da política fiscal, para aprofundarmos a classificação do fenômeno quanto à sua forma (indução), suas técnicas (oneratórias/ desoneratórias), suas finalidades (extrafiscalidade alocativa/ extrafiscalidade distributiva/ extrafiscalidade estabilizadora) e seu regime de competências. O terceiro momento remonta um panorama da evolução histórica do sistema tributário nacional, seus principais diplomas normativos, encadeado em uma narrativa que envolve os atores, interesses, ideias e modelos institucionais e jurídicos adotados pelo Brasil, principalmente em torno do federalismo fiscal. Por fim, concluímos haver uma tendência à separação progressiva do regime jurídico da fiscalidade e da extrafiscalidade, por conta da própria trajetória econômica, política, histórica, normativa e institucional do sistema tributário brasileiro. Fato diante do qual resta ao conhecimento jurídico, como saber tecnológico que é, reconhecer, compreender, se aprofundar e performar. / The purpose of this paper is to analyze the legal regulation of the Brazilian state intervention through taxation on the economy. This task is unfolded in three parts - theoretical, dogmatic and historical/ institutional - that are developed in the three chapters of the work, respectively. The first deals with the doctrinal legal dimension of analysis, interpretation, methodology and approach of this phenomenon. We seek to recover the historical trajectory of the Brazilian tax law doctrine in contrast with the Brazilian economic law doctrine, recovering the concept of taxation based on police powers as a threshold point of the tax law doctrine and a starting point for a systematic analysis of state intervention through taxation. The second part is an attempt to draw a pertinent approach to the analysis of the taxation based on police powers by the economic law doctrine, questioning it under the lens of the Brazilian legal system, especially at the constitutional level. Therefore, we assume Eros Roberto Graus categories about the state intervention in the economy, and Richard A. Musgraves categories about the aims of fiscal policy, to further classify the phenomenon by its shape (induction), its techniques (overtax/ exonerate), its purposes (allocative/ distributive/ stabilizer) and its regime of competence. The third part is an overview of the historical evolution of the Brazilian tax system, its main laws and regulatory instruments, through a narrative that involves actors, interests, ideas, and institutional and legal models adopted by Brazil, particularly around fiscal federalism. Finally, we conclude that there is a tendency to a progressive separation between the legal regime of taxation based on revenues and of the legal regime of taxation based on police powers because of the economic, political, historical, normative and institutional trajectory of the Brazilian tax system. As a consequence of that, we believe that legal thought should, as technological knowhow, recognize this fact, understand it, deepen it and perform it.

A concepção tradicional de federação remete à possibilidade de uma melhor organização do Estado, proporcionando-lhe maior desempenho na execução da atividade financeira para satisfazer as necessidades públicas em níveis mais eficientes. As estruturas federativas existentes no mundo, porém, apresentam diferenças entre si e vários são os elementos que contribuem para essa ocorrência, motivo pelo qual não se pode conceber um modelo único de federação, imune a deficiências e problemas. Um Estado federado, dependendo do padrão de federação que adote (mais descentralizado ou menos descentralizado, por exemplo), pode não ser capaz de solucionar questões de vital interesse à sociedade. Na presente tese de doutorado, o autor analisa as características da federação brasileira e procura perscrutar se existe relação entre a estrutura do federalismo fiscal adotada no Brasil e a ocorrência de desvios de recursos públicos, dentre os quais os deflagrados por atos de corrupção. A preocupação contida no estudo não é apenas a de investigar essa relação, mas a de avaliar suas possíveis causas, analisando de forma criteriosa os níveis de descentralização presentes na federação e o grau de autonomia dos entes federados. No primeiro capítulo são discutidos o conceito, características e classificação dos Estados federais, a importância da federação para a atividade financeira estatal, os princípios do federalismo fiscal e as funções fiscais alocativa, distributiva e estabilizadora. A investigação sobre a possibilidade da existência de vínculo entre o desvio de recursos e o tipo de estrutura do federalismo fiscal é objeto de análise no segundo capítulo, no qual também serão expostas definições e características de condutas que tendem a provocar o mencionado transviamento, tais como o rent-seeking (comportamento caçador de renda), o patrimonialismo, o clientelismo, o coronelismo e a corrupção. O terceiro capítulo cuida da análise do arcabouço do federalismo fiscal brasileiro e procura examinar se os níveis de descentralização presentes no país são adequados para uma perfeita relação entre os entes subnacionais e o governo central, bem como se essa estrutura impede ou estimula as ocorrências de desvios de recursos públicos. No quarto capítulo, as hipóteses contidas nos capítulos anteriores são demonstradas por meio da análise do processo orçamentário federal (mais especificamente em relação às consequências advindas da elaboração da lei orçamentária anual) e das transferências intergovernamentais no Brasil. / The traditional conception of a federation leads us to the possibility of a better organized Government, capable of satisfactorily performing the financial activity in order to meet the public needs at more efficient levels. However, the federative structures existing worldwide today are quite different from each other and various are the elements contributing to such occurrence and this is why we cannot conceive one single federation model unaffected by deficiencies and problems. A federate Union, depending on the federation model adopted thereby (either a more or less decentralized one, for instance), may be unable to solve issues of vital interest to the society as a whole. In this dissertation, the author analyzes the characteristics of the Brazilian federation and seeks to scrutinize whether there is a relation between the fiscal federalism structure adopted in Brazil and the occurrence of deviation of public funds, including those triggered by corruption acts. Rather than simply investigating such relation, this dissertation is concerned with evaluating the possible causes for deviation of public funds, minutely examining the levels of decentralization present in the federation and the degree of autonomy among the federated entities. In chapter one, the author discusses the concept, characteristics and classification of the federal states, the importance of the federation for the financial activity performed by the Government, the principles of fiscal federalism and the allocable, distributive and stabilizing fiscal functions. Whether there is a connection between the deviation of funds and the type of structure of fiscal federalism is investigated in chapter two, where definitions and characteristics of conducts prone to cause the mentioned deviation are expounded by the author, such as rent-seeking, patrimonialism, clientelism, coronelismo and corruption. In chapter three, the author analyzes the framework of Brazilian fiscal federalism and examines whether the levels of decentralization existing in Brazil are proper for a perfect relation between the subnational entities and the central Government, as well as whether such structure either impedes or otherwise fosters the occurrences of public fund deviation. Chapter three demonstrates the hypotheses contained in the previous chapters by means of an analysis of the federal budgetary process (more specifically in relation to the consequences derived from preparation of the annual budgetary law) and intergovernmental transfers in Brazil.

Esta dissertação versa sobre o controle do endividamento dos Estados, do Distrito Federal e dos Municípios, analisando as questões jurídicas daí decorrentes em face da sua autono-mia. São examinados em primeiro lugar conceitos e classificações relacionados à dívida pública. Posteriormente, é exposta a relevância do endividamento para a atividade finan-ceira dos entes subnacionais, e as razões que tornam necessário o seu controle pela União, a fim de preservar a estabilidade econômica. Noutro giro, são analisados os quatro métodos de controle do endividamento dos entes subnacionais vigentes em diferentes países, com o aprofundamento dos métodos vigentes no Brasil. Por fim, após incursão histórica na evolu-ção da dívida dos entes subnacionais, analisam-se dispositivos da Lei de Responsabilidade Fiscal cuja constitucionalidade é discutível por ferir a autonomia dos Estados, do Distrito Federal e dos Municípios. / This dissertation is about the control of borrowing of the States, Federal District and Mu-nicipalities and analyses legal issues arising therefrom in light of their autonomy. Firstly, concepts and classification related to the public debt are analyzed. Later, the relevance of borrowing for the financial activity of subnational governments and the reasons that make its control by the Federal government necessary in order to preserve economic stability are exposed. In another turn, the four methods of borrowing control of the subnational gov-ernments in force in different countries are analyzed and the methods in force in Brazil are deepened. Finally, after the historical raid in the evolution of debt of the subnational gov-ernments, provisions of the Fiscal Responsibility Act, which constitutionality is questiona-ble for violating the autonomy of the States, Federal District and Municipalities are also studied.

Made available in DSpace on 2016-03-15T19:34:48Z (GMT). No. of bitstreams: 1 Marcelo Gollo Ribeiro.pdf: 684936 bytes, checksum: bab136515a8832e1e6c94dc570d88f10 (MD5) Previous issue date: 2009-08-19 / The discussion of tax incentives is not new in the legal world, especially for the tax law. However, in the country, eventually gaining more impact at the moment, in view of the entities of the federation, particularly the municipalities, they increasingly seek alternatives to promote certain activities and local development. The federal state along the Brazilian constitutional history went through periods of greater or lesser centralization, where the municipalities have experienced changes in their autonomy, but most often very dependent on the advent of the Union Constitution of 1988 was to promote greater decentralization in the planning and implementation of government policies, the municipalities have gained greater autonomy (political, administrative and financial) and over time, particularly since the enactment of subsequent constitutional amendments, has gained greater powers. The division of tasks and responsibilities between the entities of the federation, in conjunction with an imbalance on the revenue available, just creating a crisis in fiscal federalism. Increasingly, public policies are collected Cities and increasingly fail revenue. With the aim of promoting local development, with increasing economic activity and attraction of businesses to the area and thus, enabling the implementation of public policies for the population, many municipalities make use of incentives, including tax on these. The research aims at examining the role of tax incentives under the Municipalities, analyzing the feasibility and process of granting, and limitations facing the legal and economic structure of the country. / A discussão sobre os incentivos fiscais não é uma novidade no mundo jurídico, em especial para o direito tributário. No entanto, no País, acabou ganhando maior repercussão no momento atual, tendo em vista os entes da federação, no presente caso os Municípios, cada vez mais buscarem neles alternativas para fomentar determinadas atividades e o desenvolvimento local. O Estado federal brasileiro ao longo da história constitucional passou por períodos de maior ou menor centralização, onde os Municípios experimentaram variação em sua autonomia, sendo que na maioria das vezes muito dependentes da União. O advento da Constituição de 1988 veio promover uma maior descentralização no planejamento e na execução das políticas governamentais, os Municípios como nunca, ganharam maior autonomia (política, administrativa e financeira) e ao longo do tempo, principalmente a partir da promulgação de sucessivas emendas constitucionais, ganhou também maiores atribuições. A divisão de tarefas e competências entre os entes da federação, conjugado com um desequilíbrio em relação às receitas disponíveis, acabou gerando uma crise em nosso federalismo fiscal. Cada vez mais são cobradas políticas públicas dos Municípios e cada vez mais mínguam as receitas. No desígnio de promover o desenvolvimento local, com incremento de atividades econômicas e atração de empresas para o seu território, e com isso, a possibilidade na implementação de políticas públicas para a população, muitos Municípios lançam mão de incentivos, nestes incluídos os fiscais. A pesquisa tem por escopo analisar o papel dos incentivos fiscais no âmbito dos Municípios, analisando a viabilidade e o processo de concessão, e os limites diante da estrutura jurídica e econômica do País.

This dissertation consists of three essays in theoretical and applied microeconomics: the first essay is in cooperative game theory, and the second and third essays relate to forest economics. The first chapter studies a class of cooperative games dubbed ``r-essential games''. Cooperative game theory has proposed different notions of powerful players. For example, big-boss games (Muto et al., 1988) and clan games (Potters et al., 1989) are particular cases of veto games (Bahel, 2016). The first chapter extends these veto games by assuming that there is a given subset of powerful (or essential) players, but only a few (as opposed to all) essential players are required for a coalition to have a positive value. The resulting games, which are called r-essential games, encompass convex games (Shapley, 1971) and veto games. We show that r-essential games have a nonempty core. We give a recursive description of the core. Moreover, it is shown that the core and the bargaining set are equivalent for every r-essential game. An application to networks is provided. The second chapter employs a two-principal, one-agent model to estimate the social cost of fiscal federalism in China's northeast native forests. China's key forested region is located in the northeast and consists of state forest enterprises which manage forest harvesting and reforestation. Deforestation is a major problem there and has resulted in several central government reforms. We develop a framework for assessing the social cost of state forest enterprise deforestation. We first develop a two-principal, one-agent model that fits the federalistic organization of state forests, in that state forest managers make (potentially hidden) decisions under influence of provincial and central government policies. This model is used to quantify the social cost of these hidden actions. We then use panel data from a survey conducted by Peking University to compute social welfare losses and to formally identify the main factors in these costs. A sensitivity analysis shows that, interestingly, command and control through lower harvesting limits and a more accurate monitoring system are more important to lowering social welfare losses than conventional incentives targeting the wages of forest managers. Through regression analysis we also find that the more remote areas with a higher percentage of mature natural forests are the ones that will always have the highest social welfare losses. The third chapter studies the problem of choosing a rotation under uncertain future ecosystem values and timber prices. This problem is nearly as old as the field of forest economics itself. A forest owner faces various uncertainties caused by climate change and market shocks, due to its long-term nature of production and the joint production of interrelated timber and amenity (non-harvesting) benefit streams. The vast literature in stochastic rotation problems simply assumes a known probability distribution for whatever parameter is uncertain, but this type of assumption may lead to misspecification of a rotation decision model if a forest owner has no such information. We study a more relevant question of how to choose rotation ages when there is pure (or Knightian) uncertainty, in that the forest owner does not know distributional features of parameters and further can be averse to this type of information deficit. This chapter is the first to investigate pure uncertainty in amenity benefit streams and is also the first to analytically solve a stochastic rotation problem under pure uncertainty in either amenity streams or market prices. We use robust methods developed in macroeconomics that are particularly suited to forest capital investment problem, but with important differences owing to the nature of forest goods production. The results show that newer models suggesting rotation ages could be longer under volatile parameter distributions do not hold generally when pure uncertainty and forest owner uncertainty aversion is considered. Rather, the earlier literature showing faster or greater harvesting with increases in risk under risk neutrality may actually be a more general result than current literature supposes. In particular, we find that a landowner tends to harvest more when his degree of uncertainty aversion is higher and the model is misspecified by assumption, or when the volatility of an uncertain process is higher. These situations tend to magnify model misspecification costs, especially because the forest manager always assumes the worst case will happen when there is uncertainty. This implies the decision maker is pessimistic in the sense that he or she is always trying to maximize the utility under the worst possible state of nature (the lowest amenity benefit or the lowest timber price). Whether landowners are in fact uncertainty averse and assume the worst case in their decisions remains to be empirically investigated, but our work suggests it is an important question that must be answered. / Doctor of Philosophy / This dissertation consists of three essays in theoretical and applied microeconomics: the first essay is in cooperative game theory, and the second and third essays relate to forest economics. The first chapter studies a class of cooperative games dubbed ``r-essential games''. Cooperative game theory has proposed different notions of powerful players. For example, veto games (Bahel, 2016) have powerful players that are named veto players. Any coalition needs to include all these powerful players to achieve a positive coalition value. The first chapter extends these veto games by assuming that there is a given subset of powerful (or essential) players, but only a few (as opposed to all) essential players are required for a coalition to have a positive value. The resulting games, which are called r-essential games, encompass two classic games, convex games (Shapley, 1971) and veto games. We show that each r-essential game has at least one solution that is an allocation guaranteeing that no coalition can do better on its own. We provide a process allowing to compute this allocation in each r-essential game. An application to networks is provided. The second chapter estimates the damage of deforestation in China's northeast forests. This region consists of state forest enterprises which manage harvesting and reforestation and have represented the most important source of wood supplies since the 1950s. Deforestation is a major problem there. We develop a framework for assessing the damage to the society because of deforestation. We develop a theoretical model to describe the forest management structure, in which state forest managers make (potentially hidden) decisions under influence of provincial and central government policies. This model is used to quantify the damage. We then use data from a survey conducted by Peking University to compute the damage and confirm the main factors in these damages in practice. We find that lower harvesting limits and a more accurate monitoring system are the keys to lowering the damage. These are more important than conventional instruments used by the governments such as the wages for managers that achieve certain targets. We also find that the remote areas with a higher percentage of mature natural forests are the ones that will always have the largest damage. These areas are the hardest to monitor, but our results show they must be a critical focus moving forward. The third chapter studies when should a forest owner harvest under uncertain future ecosystem values and timber prices. A forest owner faces various uncertainties caused by climate change and market shocks, due to its long-term nature of production and the joint production of interrelated timber and non-harvesting benefit streams (such as the recreation value, the biodiversity value and the clean air supported by forests). Previous studies assume a known probability distribution for whatever parameter is uncertain, but this type of assumption may lead to a wrong decision model if a forest owner has no such information. We study a more relevant question of how to choose when to harvest with pure uncertainty, in that the forest owner does not know distributional features of parameters and further can be averse to this type of information deficit. This chapter is the first to investigate pure uncertainty and is also the first to analytically solve a harvest decision making problem under pure uncertainty in either non-harvesting benefit streams or market prices. We use macroeconomics methods that are particularly suited to forest capital investment problem. We find that a landowner tends to harvest more when there is pure uncertainty. Because the forest manager is pessimistic and always thinks the worst case will happen when there is uncertainty.

O presente estudo volta-se à discussão do Federalismo Fiscal na América Latina, em particular nas quatro Federações Brasil, Argentina, México e Venezuela, como instrumento de integração. A proposta de integração desenvolve-se a partir da compreensão do sentido de pobreza, que na região está associado à desigualdade, inserido sobretudo a partir de uma primeira integração digamos, quando houve um encontro entre as civilizações pré-hispânicas e europeia, notadamente Espanha e Portugal, em decorrência da qual se enraízam a pobreza e a exclusão social na sociedade dela resultante. No entanto, passados cinco séculos, entende-se que a integração da América Latina poderá encontrar em oportunidades de participação da sociedade no debate político, e portanto, na inclusão social, uma outra realidade em que a pobreza possa ser reduzida ou extinta. Para tanto, o estudo ora apresentado utiliza da teoria sobre uma ética de participação e distribuição, construída nas democracias latino-americanas. Esse sentido de construção de relações sociais vincula-se à necessidade também de serem estruturadas relações sociais condizentes com a solidariedade social, estabelecendo-se na região instituições próprias que assegurem a redução das desigualdades sociais e que possam revelar um novo e autêntico modelo de integração. As normas jurídicas presentes no Federalismo Fiscal nas quatro Federações mencionadas são valioso instrumento do fortalecimento de um institucionalismo próprio ao ensejo de desenvolvimento regional, com inclusão social em que a conservação do meio ambiente reflete a preocupação com o ser humano. Enfim, a proposta de integração regional está expressa na distribuição e aplicação de receitas arrecadas por meio da tributação ambiental, enlaçando o Federalismo Fiscal próprio e comum às Federações latino-americanas. / This paper then turns to a discussion of Fiscal Federalism in Latin America, particularly in the four Federations Brazil, Argentina, Mexico and Venezuela, as an instrument of integration. The proposed integration is developed from the understanding of the meaning of poverty in the region that is associated with inequality , especially inserted from a first integration say, when there was a meeting between the pre - Hispanic and European civilizations , notably Spain and Portugal , as a result of which are rooted poverty and social exclusion resulting in her society. However, after five centuries, it is understood that the integration of Latin America can find opportunities in a society participation in political debate, and therefore, social inclusion, another reality in which poverty can be reduced or extinguished. Thus, the study presented here uses the theory of an ethic of participation and distribution , built in Latin American democracies. This sense of building social relationships linked to the need also to be structured social solidarity, settling in the region institutions that ensure the reduction of social inequalities and that may prove a new and authentic integration model . Legal norms present in Fiscal Federalism in the four Federations mentioned are valuable instrument of strengthening a institutionalism itself and the opportunity for regional development with social inclusion in the conservation of the environment, which reflects a concern with the human being. Finally, the proposed regional integration is expressed in the distribution and application of revenues collected through environmental taxation, linking the Fiscal Federalism itself and common to Latin American Federations.