L’adoption de codes de conduite par de grandes entreprises privées est un phénomène observé dès la fin des années 1980. Les codes de conduite s’intègrent dans un mouvement plus général en faveur de la responsabilité sociale de l’entreprise (RSE). Cette tendance à la moralisation du comportement des entreprises – appelée éthique des affaires – semble provenir des craintes suscitées par leurs activités, notamment quant aux conditions de travail exercées dans les pays en voie de développement.Ces instruments d’origine privée interpellent les juristes au regard de la forme qu’ils revêtent, la régulation des comportements qu’ils instaurent et leur nature éthique. Leurs caractères les attirent irrémédiablement dans le champ juridique. Les positions doctrinales à l’égard des codes de conduite s’avèrent toutefois contrastées. Néanmoins, leur rapport au droit et aux sources du droit est questionné. L’objectif de l’étude est alors d’explorer les voies d’accès des codes aux sources du droit.Dans cette perspective, la conception classique des sources du droit présente, face aux codes de conduite, des limites certaines. En revanche, la catégorie contemporaine du droit souple apparaît plus disposée à les accueillir. L’adéquation entre les codes de conduite et le droit souple se fonde sur les effets juridiques que chacun d’eux est susceptible de produire. L’étude du fonctionnement des codes de conduite permet dès lors de vérifier leurs effets juridiques et de les comprendre comme de véritables sources du droit. / Corporate-initiated codes of conduct appeared at the end of the 1980s. They are part of corporate social responsibility (CSR), an effort on the part of corporations to protect their right to operate in a business environment increasingly subject to new norms, especially when it comes to labour conditions in developing countries.Codes of conduct raise several legal questions, most notably with respect to their form, the behaviors they regulate and their ethical nature, generating strong, diverse doctrinal positions. Many call into question the legal nature of such codes and their connection with the sources of law. Therefore, the objective of this research is to explore the complex relationship between codes of conduct and the sources of law. In this light, the traditional conception of the sources of law reveals some shortcomings, whereas the more contemporary soft law approach seems more inclusive. The nexus between soft law and the codes of conduct revolves around the legal effects that each can produce. To that end, the study of how these codes work in practice is essential not only to address their legal effect, but also to see codes of conduct as true sources of law.

L'idée de départ à partir de laquelle a trouvé son origine le présent travail était de traiter le problème de l’inégalité, selon une perspective sociologique, à travers la catégorie de genre et spécifiquement dans le cadre de la science. La différence du nombre de femmes au plus haut niveau (et pas seulement) des hiérarchies du travail dans la science (universités, laboratoires, centres de recherche, institutions) est une réalité. Notre recherche s'est donnée pour objectif d'enquêter les mécanismes à travers lesquels l'inégalité de genre opère dans l’univers scientifique et, pour atteindre ce but, nous avons utilisé l'étude d'un cas jugé particulièrement important et utile, celui des lauréates du prix Pour les Femmes et la Science, une importante reconnaissance au niveau international dédié aux femmes qui travaillent dans la science. Après avoir esquissé l'horizon théorique vers lequel diriger notre attention, nous avons d'abord entrepris une analyse secondaire des données. Nous avons élaboré puis soumis les lauréates du prix à un entretien structuré, intégrant donc la phase d’étude préparatoire avec la voix directe des protagonistes. Le noyau central de la recherche est donc constitué par l'étude de cas du prix qui nous a permis d'établir un dialogue direct avec les femmes qui ont réussi à percer les murs puissants qui ont toujours entourés le “fortin” de la science et qui nous aidé à mettre en évidence certaines des dynamiques clés qui peuvent être tenues responsables de l’inégalité. D'une part, en effet, le prix indique comment la présence des femmes dans l'univers scientifique est encore perçue comme un phénomène à souligner, par conséquent, par certains aspects, à protéger, ce qui témoigne que l'égalité de genre dans la science ne doit pas être prise pour acquise, mais plutôt comme un objectif à poursuivre avec persévérance et détermination. D'autre part, il souligne que la recherche scientifique est devenue - comme la Communauté européenne n'a pas manqué de le mettre en évidence et comme la littérature le souligne - un aspect constitutif d'une société développée et de ses dynamiques économiques et politiques. Nous pouvons nous demander : pourquoi une multinationale a décidé d’investir dans un domaine apparemment si éloigné de son propre secteur ? Comment le prix se situe-t-il dans le contexte de l'entreprise ? Ce sont quelques-unes des questions que nous nous sommes posées et auxquelles nous avons tenté de répondre car considérées indispensables pour affronter de la manière la plus approfondie possible l'étude de cas choisi / The starting point from which this work originated is to understand and investigate the problem of inequality, from a sociological perspective, through the gender category and specifically in science. The difference in the number of women at the highest level (and not only) of professional hierarchies in science (universities, laboratories, research centers, institutions) is a reality. Our research aims to investigate the mechanisms through which gender inequality operates in the scientific world and, to achieve this goal, we have used a case study considered particularly important and useful, that of the For Women and Science Award, an important international recognition dedicated to women who work in science. After defining the theoretical horizon which constitutes the context of the thematics of our research, we have realised a secondary analysis of data and then, we have developed and submitted the award’s winners to a structured interview, integrating, in this way, the preparatory study phase with the direct voice of the protagonists. The core of the research is represented by the case study of the L’Oréal’s Award, which has permitted to establish a direct dialogue with the scientists who have succeeded in science and therefore it has helped us to highlight some of the key dynamics responsible of inequality. On one hand, the Award’s case study reflects how the presence of women in the scientific world is still perceived as a phenomenon to be underlined, therefore, in certain aspects, to be protected, showing that gender equality in science must not be taken for granted, but rather as an objective to be pursued with perseverance and determination. On the other hand, it stresses that scientific research has become - as the European Community has not failed to highlight and as the literature underlines - a constitutive aspect of a developed society and of its economic and political dynamics. We may wonder: why a multinational has decided to invest in an area apparently so far from its own sector? How is the Award’s placement in the company’s context? These are some of the questions we have asked and we have tried to answer in order to face the case study chosen and to receive important and innovative informations about the thematics we wanted to analyse with this research / L’idea di partenza da cui ha avuto origine il presente lavoro è stata quella di confrontarsicon il problema, secondo una prospettiva sociologica, della disuguaglianza attraverso lacategoria di genere e, specificatamente, nell’ambito della scienza. La differenza del numerodi donne ai livelli apicali (e non solo) delle gerarchie lavorative in ambito scientifico(università, laboratori, centri di ricerca, istituzioni) è un dato inoppugnabile in quantopermane costante nel tempo. Nella nostra ricerca ci siamo posti, dunque, l’obiettivo di indagarei meccanismi attraverso cui le discriminazioni di genere operano nell’universoscientifico. La nostra indagine ha principiato con un’analisi della letteratura che ci hapermesso di comprendere e definire lo stato dell’arte attuale evidenziando un trend cheresta, purtroppo, invariato. Abbiamo, in seguito, studiato e cercato di capire e mettere inluce quali siano le motivazioni e le dinamiche alla base della perdurante condizione dimarginalità in cui versano le donne e, a tal fine, siamo ricorsi allo studio di un caso giudicatoparticolarmente significativo e interessante, rappresentato dal Premio Pour les femmeset la science. I racconti delle vincitrici del Premio, rappresentanza dell’eccellenzascientifica mondiale, ci hanno permesso di raccogliere importantissime informazioni riguardoa molteplici aspetti relativi alle nostre tematiche. E’ stato infatti possibile fare lucesull’impatto effettivo esercitato sulle carriere scientifiche femminili da parte dell’iniziativadella multinazionale e, in particolar modo, abbiamo potuto raccogliere direttamente dallavoce delle scienziate opinioni, visioni ed esperienze significative che ci hanno permesso diapprofondire dall’interno e secondo un punto di vista inedito e foriero di spunti, le tematicheoggetto della presente tesi. In questo scenario, dopo aver delineato l’orizzonte teoricoentro cui dirigere la nostra attenzione, abbiamo dapprima intrapreso un’analisi secondariadei dati e, in un secondo momento, abbiamo elaborato e somministrato alle vincitrici delPremio un’intervista strutturata. Il nucleo centrale della ricerca è costituito, quindi, dallostudio del caso del Premio che ci ha permesso di instaurare un dialogo diretto con quelledonne che sono riuscite a fare breccia nelle potenti mura che da sempre hanno delimitatoil fortino della scienza, permettendoci così di rilevare alcune delle principali dinamicheche possono essere ritenute responsabili delle dinamiche discriminatorie che produconodisuguaglianze nell’operato delle donne. Da un lato, infatti, il Premio indica come la presenzafemminile nell’universo scientifico sia ancora avvertita come un fenomeno non risolto,dunque, per certi aspetti, da porre costantemente all’attenzione, a testimonianza diquanto la parità di genere nella scienza non vada data per scontata, ma sia anzi un obiettivoda perseguire con costanza e determinazione. Dall’altro lato, esso mette in evidenzache la ricerca scientifica è diventata – come la Comunità Europea non ha mancato di sottolinearee come rimarca molta letteratura – un aspetto costitutivo di una società evoluta edelle sue dinamiche economiche e politiche. Possiamo allora chiederci: perché una famosissimamultinazionale che opera nel campo della cosmesi ha deciso di investire in unaquestione apparentemente così distante e lontana dal proprio ambito di intervento nel mercato? Come si colloca il premio all’interno del contesto aziendale? Questi sono alcuni deiquesiti che ci siamo posti e a cui abbiamo tentato di rispondere perché ritenuti imprescindibiliper affrontare in modo il più possibile approfondito il caso studio prescelto

A l’heure de la mondialisation, réguler la responsabilité sociétale des entreprises (RSE) au niveau international est un défi majeur auquel sont confrontés les Etats. Devant ce défi, le cadre du droit international classique semble sinon impuissant, du moins à la peine. Réguler la RSE nécessite de composer avec maintes difficultés tant en terme institutionnel que matériel. Concurrencés par de nouvelles normativités, tributaires de la volonté des Etats, les instruments de droit international classique semblent peu adaptés pour remédier à cette situation. En face de ses tentatives désarticulées et dispersées, le marché trouve sa traduction juridique internationale dans un espace normatif large, intégré, et doté d’un pouvoir de contrainte effectif : l’OMC. Entre une régulation internationale de la RSE qui s’apparente à une course d’obstacles en ordre dispersé et une régulation du commerce mondial doté de solides fondations, le décalage est considérable et le dialogue faible. Cette thèse a pour objet d’ébaucher une piste de rééquilibrage à travers un outil encore peu étudié : la standardisation. Parmi les instruments de régulation, les standards techniques offrent un potentiel intéressant à plus d’un titre. Instrument de soft law, ses dimensions juridiques sont nombreuses et il s’affirme comme un instrument incontournable tant pour le marché que pour la régulation des innombrables dimensions techniques de la RSE. Il semble le plus à même d’échapper aux contraintes auxquels font face les instruments de droit classique pour contribuer à davantage de cohérence entre la responsabilité sociétale des entreprises en droit international et le champ de l’OMC. / In a global world, regulate social responsibility (CSR) at international level is a major challenge for States. Framework of traditional international law seems powerless. Regulate CSR requires to cope with many institutional and material difficulties. In competition with new non-legal norms, dependent on the will of States, traditional international law instruments seem ill-suited to address this situation.In front of these disarticulated and scattered attempts, the international market finds its legal translation in a broad, integrated, normative space, with an effective power of constraint: the WTO. Between the international regulation of CSR and the world trade rules world the gap t is considerable and the dialogue is weak. This PhD thesis aims to draft a rebalancing trail through an understudied tool: standardization. Ttechnical standards have have a huge and unique potential. As soft law instrument, it is emerging as a key instrument for both international market and the regulation of innumerable technical dimensions of CSR. It seems best able to escape the constraints facing classical international law instruments to contribute to greater coherence between the social responsibility of corporations in international law and the WTO field.

O estudo teve por objetivo avaliar as sinergias e lacunas existentes entre marketing e sustentabilidade. Procurou-se a inserção de sustentabilidade dentro da abordagem de marketing, com a integração entre as várias escolas de pensamento de marketing e a consequente ampliação do conceito de marketing. A justificativa para este tema se escora em três vertentes: sua relevância planetária dada a agenda que o tema sustentabilidade desfruta na sociedade e contexto empresarial e de marketing atuais; sua importância para a teoria de marketing e seu desenvolvimento pleno como uma ciência social; e sua adequação para o país em face de nosso estágio de desenvolvimento econômico, riqueza ambiental e desigualdade social. O conceito de sustentabilidade foi analisado em seus antecedentes, sua gênese e evolução, bem como relacionado com os conceitos de desenvolvimento sustentável e responsabilidade social corporativa. Além do tratamento conceitual foi realizada uma pesquisa empírica visando validar algumas hipóteses relacionadas com o tema marketing e sustentabilidade na percepção da população. Referenciou-se marketing como um elemento fundamental para a sustentabilidade, seja a nível global, corporativo ou individual. O estudo indica a necessidade de continuidade na ampliação do conceito de marketing, visando sua consolidação como ciência social autônoma tendo as relações humanas como objeto de estudo. Este esforço deve se dar em duas dimensões: interna e externa à área. Internamente deve-se procurar integrar as escolas de pensamento de marketing social, macromarketing e marketing crítico ao mainstream da área; superar as barreiras de classificações e pensamentos baseados em dicotomias e derrubar as limitações referentes às caracterizações dos agentes sociais e modos de produção envolvidos. Externamente deve-se procurar a integração com outras áreas de conhecimento, notadamente filosofia, sociologia e comunicações, visando a discussão crítica exógena e a consolidação das bases conceituais. / The aim of this study is to assess the synergies and gaps between marketing and sustainability. The study intended the inclusion of sustainability into the marketing approach, with the integration between the various schools of marketing thought and broadening the marketing concept. This theme was chosen by three reason: its global relevance due the schedule that the sustainability issue enjoys in society and business environment, its importance to marketing theory to its full development as a social science, and his suitability for Brazil in face of our stage of economic development, environmental issues and social inequality. The concept of sustainability was analyzed in its antecedents, genesis and evolution, as well as related to the concepts of sustainable development and corporate social responsibility. Besides the conceptual approach, an empirical survey was conducted in order to validate some hypotheses related to sustainability and marketing perceptions by the population. The study refer marketing as a key element for sustainability, in global, corporate or individual level. The study indicates the need for continuity in broadening the marketing concept, aiming its consolidation as an autonomous social science with human relations as an object of study. This effort should be directed in two dimensions: internal and external to the area. Internally in necessary to integrate the schools of thought of social marketing , macromarketing and critical marketing theory with the mainstream of marketing scholars; put down classifications and thoughts barriers based on dichotomies; and overthrow the limitations concerning characterizations of social agents and mode of production involved. Externally marketing should seek integration with other areas of knowledge, particularly philosophy, sociology and communications, targeting the exogenous critical discussion and consolidation of its conceptual bases.

Idag är turismen en av världens största näringar och den förväntas växa ytterligare framöver. Turismen bidrar på många sätt till den ekonomiska utvecklingen världen över men effekterna av tillväxten kan även få förödande konsekvenser för miljön. En ökad miljömedvetenhet inom turismbranschen har på senare tid resulterat i olika miljöledningssystem och miljömärkningar. En miljömärkning är Svanen som bildades som ett svar på den ökade miljömedvetenheten i samhället. År 1988 beslöt sig det Nordiska Ministerrådet att utreda möjligheterna att införa en frivillig nordisk miljömärkning. Svanens kriterier för miljömärkning av hotell blev klara år 1999 och det första Svanenmärkta hotellet öppnades i Sverige. Idag finns det över 250 Svanenmärkta hotell i Sverige. I uppsatsen undersöks huruvida en Svanenmärkning av ett hotell resulterar i positiva miljömässiga och ekonomiska effekter. Uppsatsen undersöker även varför hotellen har valt att miljömärka sig, vad de anser sig fått ut av miljömärkningen och vilka möjligheter och svårigheter miljömärkningen har bidragit med. Studien är avgränsad till Stockholmsområdet och behandlar tio hotell med Svanenmärkningen. Det finns flera anledningar varför ett hotell väljer att miljömärka sig men de flesta grundar sig i den ökande efterfrågan från samhället som avser att företag måste ta mer ansvar för miljön. Miljöarbete på ett hotell handlar ofta om att minska vatten-, energi-, och materialförbrukningen. I studien visar sig dessa vara en stor drivkraft bakom en miljömärkning då minskningen ofta leder till ekonomiska besparingar. Corporate Social Responsibility (CSR) är ett begrepp som fått genomslag de senaste åren och innebär att företag på en frivillig grund integrerar social och miljömässig hänsyn i sin verksamhet, utöver vad lagen kräver. I studien visar det sig att hotell som aktivt arbetar med CSR-frågor och integrerar dessa i sin verksamhet stärker relationen mellan anställda och ägare, och inte minst kunder, vilket i sin tur kan leda till en ökad lönsamhet och tillväxt.

O estudo teve por objetivo avaliar as sinergias e lacunas existentes entre marketing e sustentabilidade. Procurou-se a inserção de sustentabilidade dentro da abordagem de marketing, com a integração entre as várias escolas de pensamento de marketing e a consequente ampliação do conceito de marketing. A justificativa para este tema se escora em três vertentes: sua relevância planetária dada a agenda que o tema sustentabilidade desfruta na sociedade e contexto empresarial e de marketing atuais; sua importância para a teoria de marketing e seu desenvolvimento pleno como uma ciência social; e sua adequação para o país em face de nosso estágio de desenvolvimento econômico, riqueza ambiental e desigualdade social. O conceito de sustentabilidade foi analisado em seus antecedentes, sua gênese e evolução, bem como relacionado com os conceitos de desenvolvimento sustentável e responsabilidade social corporativa. Além do tratamento conceitual foi realizada uma pesquisa empírica visando validar algumas hipóteses relacionadas com o tema marketing e sustentabilidade na percepção da população. Referenciou-se marketing como um elemento fundamental para a sustentabilidade, seja a nível global, corporativo ou individual. O estudo indica a necessidade de continuidade na ampliação do conceito de marketing, visando sua consolidação como ciência social autônoma tendo as relações humanas como objeto de estudo. Este esforço deve se dar em duas dimensões: interna e externa à área. Internamente deve-se procurar integrar as escolas de pensamento de marketing social, macromarketing e marketing crítico ao mainstream da área; superar as barreiras de classificações e pensamentos baseados em dicotomias e derrubar as limitações referentes às caracterizações dos agentes sociais e modos de produção envolvidos. Externamente deve-se procurar a integração com outras áreas de conhecimento, notadamente filosofia, sociologia e comunicações, visando a discussão crítica exógena e a consolidação das bases conceituais. / The aim of this study is to assess the synergies and gaps between marketing and sustainability. The study intended the inclusion of sustainability into the marketing approach, with the integration between the various schools of marketing thought and broadening the marketing concept. This theme was chosen by three reason: its global relevance due the schedule that the sustainability issue enjoys in society and business environment, its importance to marketing theory to its full development as a social science, and his suitability for Brazil in face of our stage of economic development, environmental issues and social inequality. The concept of sustainability was analyzed in its antecedents, genesis and evolution, as well as related to the concepts of sustainable development and corporate social responsibility. Besides the conceptual approach, an empirical survey was conducted in order to validate some hypotheses related to sustainability and marketing perceptions by the population. The study refer marketing as a key element for sustainability, in global, corporate or individual level. The study indicates the need for continuity in broadening the marketing concept, aiming its consolidation as an autonomous social science with human relations as an object of study. This effort should be directed in two dimensions: internal and external to the area. Internally in necessary to integrate the schools of thought of social marketing , macromarketing and critical marketing theory with the mainstream of marketing scholars; put down classifications and thoughts barriers based on dichotomies; and overthrow the limitations concerning characterizations of social agents and mode of production involved. Externally marketing should seek integration with other areas of knowledge, particularly philosophy, sociology and communications, targeting the exogenous critical discussion and consolidation of its conceptual bases.

Submitted by Alexandre Setubal de Luna Freire (aslftriathlon@gmail.com) on 2012-10-23T14:54:02Z No. of bitstreams: 1 Dissertação - Alexandre Setúbal de Luna Freire - 23 10 2012.pdf: 1446436 bytes, checksum: 66a3b2b87ff5c689e8aee5b8a9da9efa (MD5) / Approved for entry into archive by Janete de Oliveira Feitosa (janete.feitosa@fgv.br) on 2012-11-01T16:52:44Z (GMT) No. of bitstreams: 1 Dissertação - Alexandre Setúbal de Luna Freire - 23 10 2012.pdf: 1446436 bytes, checksum: 66a3b2b87ff5c689e8aee5b8a9da9efa (MD5) / Approved for entry into archive by Marcia Bacha (marcia.bacha@fgv.br) on 2012-11-06T11:22:27Z (GMT) No. of bitstreams: 1 Dissertação - Alexandre Setúbal de Luna Freire - 23 10 2012.pdf: 1446436 bytes, checksum: 66a3b2b87ff5c689e8aee5b8a9da9efa (MD5) / Made available in DSpace on 2012-11-06T11:22:40Z (GMT). No. of bitstreams: 1 Dissertação - Alexandre Setúbal de Luna Freire - 23 10 2012.pdf: 1446436 bytes, checksum: 66a3b2b87ff5c689e8aee5b8a9da9efa (MD5) Previous issue date: 2012-06-28 / Este estudo, que se vale ontologicamente da pós-modernidade crítica, tem por objetivo apreender como o discurso de Responsabilidade Social Corporativa e Sustentabilidade de uma corporação brasileira é percebido pelos seus empregados lotados na região metropolitana do estado do Rio de Janeiro. Esta apreensão se deu através do confronto entre as afirmações contidas no discurso da organização e as percepções dos empregados para cada uma destas afirmações. Foram realizadas 26 entrevistas individuais em cinco prédios distintos da corporação pesquisada, tendo sido entrevistados cinco gerentes, nove analistas, sete especialistas e cinco assistentes, nos meses de abril, maio e junho de 2012. As anotações de campo e as entrevistas foram transcritas e submetidas à análise do discurso e análise conversacional. Este estudo revelou que há grandes contradições entre o dito e o praticado pela organização, sendo o discurso de Responsabilidade Social e Corporativo em grande parte identificado como uma ferramenta instrumental de propaganda institucional. / This study, which relies on ontological critique of postmodernity, is aimed at learning how the discourse of Corporate Social Responsibility and Sustainability of a Brazilian corporation is perceived by its employees stationed in the metropolitan area of the state of Rio de Janeiro. This seizure was made through the confrontation between the statements contained in the speech of the organization and the perceptions of employees for each of these statements. Twenty six individual interviews were conducted in five separate sites of the corporation investigated, having been interviewed five managers, nine analysts, seven specialists and five assistants, in April, May and June 2012. The field notes and interviews were transcribed and submitted to discourse analysis and conversational analysis. This study revealed that there are major contradictions between the stated and practiced by the organization, and the speech of Corporate Social Responsibility and largely identified as an instrumental tool for institutional advertising.

Depuis le rapport Brutland (1987) le nombre de labels et de normes ayant trait à la RSE se multiplie. Bien qu’historiquement les premiers travaux et outils relatifs à la RSE soient tournés vers les grandes entreprises, les PME sont de plus en plus concernées par cette thématique. Ce projet de thèse a pour ambition d’explorer comment les organisations s’approprient un outil de gestion qui participe à l’institutionnalisation de la RSE. Pour ce faire, nous étudions le cas particulier d’un contexte d’inter-clusters de PME du numérique disposant d’un label RSE sectoriel. Cette étude comprend 44 entretiens et des phases d’observations auprès de 28 entreprises des clusters, des instances de gouvernances des clusters et des porteurs du dispositif.Les apports de ce projet de thèse sont à un niveau managérial d’apporter des éléments facilitant la valorisation de ce type de dispositif par les entreprises concernées et par les porteurs de ces dernières. À un niveau académique, l’originalité de notre terrain d’étude ouvre des contributions théoriques sur l’intégration de la RSE dans les PME, sur les relations inter-clusters et sur la gestion d’un outil dans le cadre d’un projet d’institutionnalisation. / Since the Brundtland report (1987) the number of labels and standards related to CSR have multiplied. Although historically the first works and tools related to CSR were mainly targeting large enterprises, Small and Medium Enterprises (SMEs) are increasingly concerned by this topic. This thesis aims at exploring how organizations assimilate a management tool, which, in turns, contributes to CSR institutionalization.In order to do this, we develop a particular case study in a context of SME digital inter-clusters with a sectorial CSR label. This study includes 44 interviews and observation phases within 28 businesses embedded in clusters, cluster governance authorities and system holders/creators.The contributions of this thesis project are at a managerial level to provide elements that facilitate the appreciation/valorization of this type of device by both the relevant undertakings and the device holders. At an academic level, the originality of our research field lies in its potential to open up theoretical contributions on the integration of CSR in SMEs, inter-cluster relations and management of a tool to achieve institutionalization.

La concurrence est considérée, dans la littérature en finance d'entreprise, comme un mécanisme de gouvernance. En effet, celle-ci permet en théorie de réduire les comportements opportunistes des dirigeants aux dépens des actionnaires. Comment se phénomène se traduit-il dans la réalité et quelles sont les conséquences concrètement observées à l'échelle des entreprises? Ainsi pourrait-être résumée la question transversale qui anime les recherches présentées dans cette thèse. Un premier chapitre dresse un état des lieux des mesures de concurrence existantes, en identifie les limites et propose une approche alternative basée sur les rendements financiers. Un second chapitre étudie l'effet de la concurrence sur le marché des fusions et acquisitions. Le troisième chapitre examine l'impact de l'intensité concurrentielle sur la performance sociale et environnementale des entreprises. Les résultats empiriques manifestent que -1- la concurrence entre deux firmes se traduit sur les marchés financiers par des mouvements boursiers négativement corrélés, -2- les opérations de fusions et acquisitions sont plus efficientes lorsque la concurrence s'intensifie, -3- les initiatives socialement responsables ont un caractère stratégique plus prononcé dans un environnement compétitif. Ces conclusions sont cohérentes avec l'argument théorique statuant que la concurrence exerce une pression sur les dirigeants d'entreprise à agir de manière efficiente, et plus précisément dans le meilleur intérêt des actionnaires. Le troisième chapitre de la thèse soulève néanmoins qu'un marché concurrentiel n'entraîne statistiquement pas d'amélioration de la performance sociale des entreprises vis-à-vis de l'environnement et de la société en général (parties prenantes éloignées). / Product market competition is considered, in corporate finance, as a governance mechanism. It indeed theoretically reduces managerial opportunism at the expense of shareholders. How is this phenomenon actually reflected in reality and what are the concrete consequences at the firm level? This thesis proposes an investigation of this transversal question through three studies. The first chapter reviews existing measures of competitive intensity, identifies their limitations and proposes an alternative method based on financial returns. The second chapter studies the effect of competition on mergers and acquisitions. The third chapter examines the impact of competitive pressure on corporate social and environmental initiatives. The empirical results suggest that -1- intense competition between two firms leads to negative correlations of their stock returns, -2- mergers and acquisitions are more efficiency-driven when competition becomes more intense, and -3- socially responsible initiatives are more strategic under competitive pressure. These conclusions support the theoretical argument that competition exerts a pressure on managers to make efficient decisions, and more specifically to act in the best interest of shareholders. Nevertheless, the third chapter of the thesis raises that intense competition is not statistically associated with better social performance towards the environment and society at large (peripheral stakeholders).

Over the past 30 years, the Upper Echelons perspective of strategic management has sought to explain a given organization’s strategies and effectiveness as a reflection of the differences in personality, background, and other characteristics of the senior executives that guides each organization. An important stream of research within this field has linked a firm’s strategy to the grandiose way that executives are often thought to view themselves – namely through examining the narcissism, core self-evaluations (CSE), and hubris of Chief Executive Officers (CEOs). In this dissertation, I focus on understanding the strategic impact of CEO humility – a trait that has often been erroneously thought of to represent a poor view of oneself. Consistent with ancient writings and recent research, humility is defined herein as a multi-faceted trait that is the common core of four dimensions: self-awareness, developmental orientation/teachability, appreciation of others' strengths and contributions, and low self-focus. In the first essay, I explore the conceptual relevance and various potential implications of executive humility. Drawing on existing empirical research about the humility construct and general behavioral implications of humility, I argue that executive humility is a critical avenue toward a more rich and nuanced understanding of the delicate interplay and implications of executive self-concept. In essay two, I develop and validate an unobtrusive measure of CEO humility. Ten indicators of humility are suggested and then validated using a self-reported survey administered to a sample of 30 U.S. and Canadian CEOs. Two behaviors were found to be significantly positively related to self-reported humility: CEOs who volunteered some of their time for non-profit organizations and CEO’s who reported that part of their own firm’s success was due to the help of the board of directors. In essay three, I examine the relationship between the level of CEO humility and four firm-level outcomes. Employing a sample of 163 CEOs appointed to S&P 500 firms between 2005-2008, I show that firms led by humble CEOs (measured by the unobtrusive indicators) tend to outperform others in regards to corporate social performance, while at the same time showing that their financial performance is generally no better or worse.