Made available in DSpace on 2016-12-23T14:00:37Z (GMT). No. of bitstreams: 1 Oldair Luiz Goncalves.pdf: 966844 bytes, checksum: dfff481b4e04c97921352cfb29baa59c (MD5) Previous issue date: 2011-05-27 / In the context of Environmental Regulation and Sustainable Development this dissertation has as focus the economic study of the potential and limitations of PSA projects, as instruments for promotion of sustainable development in the state of Espírito Santo. It systematizes concepts of growth, economic and sustainable development, environmental regulation, public assets, externalities and theoretic solution proposals. Systematize technical and historical data aiming at identifying the water s role on sustainable development and, finally, synthesizes and analyses the structure and operationalization of the Project "ProdutorES de Água do Espírito Santo", pointing out conclusions as follows: although still very limited in it s capacity and area of coverage, this program has important potential as an instruments sustainable development promotion in the state of Espírito Santo / No contexto do tema Regulação Ambiental e Desenvolvimento Sustentável esta dissertação tem como objeto o estudo econômico das potencialidades e limitações de projetos de PSA e mais especificamente do Projeto Produtor ES de Água, como instrumento de promoção do desenvolvimento Sustentável no Estado do Espírito Santo. Sistematiza conceitos de crescimento, desenvolvimento econômico e desenvolvimento sustentável, de regulação ambiental, bens públicos, bens comuns, externalidades e propostas teóricas de solução destas. Sistematiza informações técnicas e históricas objetivando a identificação dos papéis da água no desenvolvimento e finalmente sintetiza e analisa a estrutura e a operacionalização do Projeto Produtor ES de Água no Espírito Santo apontando para as conclusões de que embora ainda muito limitado em seu escopo e área de abrangência este programa tem importante potencial como instrumento de promoção do desenvolvimento sustentável no Estado

Cette thèse étudie le rôle et l’impact des groupes de pression dans le processus d'adoption d'uneréglementation environnementale. En effet, les controverses scientifiques de ces dernières années(OGM, Médiator, gaz de schiste) nous interrogent sur leurs effets, notamment lorsque la réalisation oul'ampleur d'un dommage environnemental et / ou sanitaire sont incertaines. En particulier, lors d'unedemande d'Autorisation de Mise sur le Marché d'un produit potentiellement dangereux, noussupposons que deux groupes de pression s'affrontent, représentant, respectivement, les intérêts d'uneindustrie et ceux des victimes d'un dommage : le premier milite pour son autorisation et le second pourson interdiction. Dans ce contexte, l'information détenue par le régulateur bénévole est primordiale.Présumant qu’il est inconscient, ex ante, de l'ampleur du dommage, nous nous interrogeons sur lapertinence d'écouter les groupes de pression afin de prendre une décision socialement efficace dans lecas où le groupe industriel fait face à un système de responsabilité, ex post. Pourtant, l'application dece système est imparfaite, suite à l'insolvabilité de l'industriel ou par le fait qu'il ne soit pas poursuiviou reconnu coupable. Lorsque le régulateur prend sa décision après l'affrontement des groupes depression, la mise en place d'un contest séquentiel, avec l'outsider qui joue en premier, est socialementpréférable. Par ailleurs, les conditions sous lesquelles le régulateur doit accorder son attention auxgroupes de pression plutôt que prendre sa décision sur la base d'une analyse coûts-bénéfices, utilisantses croyances a priori sur le dommage, sont caractérisées / This thesis examines the role and the impact of pressure groups in environmental regulation process.Indeed, in recent years, scientific controversies (GMO, Médiator, shale gas) have lead us to wondermore about their effects, especially when the achievement or the extent of environmental damage and /or health are uncertain. In particular, in the context of a market approval process of a potentialdangerous product, we assume that two pressure groups are fighting, representing respectively theinterests of industry and those of victims of damage: the first campaigns for its authorization and thesecond for its prohibition. In this context, information available to the voluntary regulator is important.Assuming that he is unaware of the magnitude of the damage ex ante, we question the relevance ofpaying attention to lobbyists to take a socially efficient decision, in a case where the industrial groupfaces a responsibility system, ex post. However, the application of this system is imperfect, because ofthe insolvency of the industry or by the fact either that the industrial group responsibility is notrecognized, or that the victims group does not request compensation for damages. When the regulatortakes his decision based on a contest, the introduction of a sequential contest in which the outsidermoves first is socially preferable. Moreover, the conditions under which the regulator has to payattention to the pressure groups rather than taking his decision based on a cost-benefit analysis, usinghis prior beliefs on damage, are characterized.

The challenge of climate change is twofold: to mitigate (prevent) the causes of climate change and to prepare (adapt) to the inevitable effects and consequences. Building and construction are key sectors for decarbonisation (mitigation). The increase in intensity, frequency and duration of heat waves threatens indoor comfort and constitutes a health and comfort risk (adaptation).Therefore, regulations are being changed to take into account related emissions and extreme episodes through new indicators. However, up to now, past climate observations are still used in the calculation of these indicators. This raises the question of how to integrate future climate predictions into regulations. This work aims at characterising the vulnerability of buildings to climate change and aimsat taking into account future climate predictions in building design. It establishes a method for constructing standard weather data based on climate projections and for identifying vulnerable building typologies that are at risk. This project stands out for the use of a large number of building and meteorological data. 77 residential buildings from the Centre Scientifique et Technique du Bâtiment (CSTB) database and 78 years (1981-2058) of weather data for 9 climate models (RCP8.5 scenario) are crossed for Dynamic Thermal Simulations (DTS) on COMETh. The study first highlights the relevance of using reference and extreme years, representative of the climate data, to reduce the number of simulations. The reference year makes it possible to observe the average needs over a period. The extreme year estimates the range of values around this mean.The report then raises the issue of cooling systems as one of the major challenges for energy needs. Under the effect of climate change, heating requirements are decreasing and largely compensate the increase of cooling needs. But few buildings in France are already equipped with cooling systems and the creation of a need exceeding a threshold leads to the purchase of new units. This raises a problem of social equity in access to thermal comfort. Moreover, the environmentalimpact of these systems is more related to refrigerants necessary for the manufacturethan to energy consumption.The research finally proposes a method to classify passive or active buildings (in the sense of cooling needs), that are adapted or not adapted to future extreme weather conditions. This involves applying a clustering algorithm (k-means) to group similar buildings together in terms of energy requirements for different climate models. This method already makes it possible to identify the buildings at risk and to prioritise the measures to be taken (energy renovation). This classification also opens up the possibility of extending this work to newer, larger and more diversified samples. Similar encouraging results were obtained from 2470 offices. They could helpidentify technical and architectural characteristics and assist in the design of efficient passive buildings.

Den höga textilkonsumtionen i Sverige har resulterat i stora mängder textilavfall, vilket har en negativ påverkan på miljön. Denna kandidatuppsats, författad på° svenska, behandlar hur svenska textilföretag anpassar sig vid ett införande av utökat producentansvar (EPR) för textilier som miljöreglering. Genom att ge producenter ansvar för att hantera sina egna produkter genom hela livscykeln, syftar lagförslaget att främja hållbarhet och cirkulär ekonomi i den textila värdekedjan. Detta är avsett att minska miljöpåverkan och öka återanvändningen av material. Denna studie identifierar de möjligheter och utmaningar som svenska textilföretag möter vid ett införande av EPR för textilier samt undersöker på vilket sätt textilföretagen anpassar sig efter dessa. Studien ämnar att skapa fördjupad förståelse för hur textilsektorn kan navigera genom dessa förändringar för en effektiv implementering av lagen. Studien har samlat empiri genom semistrukturerade intervjuer samt data genom en litteraturstudie. Den kvalitativa metodologin återspeglar ett bekvämlighetsurval på fem respondenter som besitter arbetsroller inom hållbarhet. Insikter från intervjuer, kombinerat med en tematisk analys, identifierar återkommande mönster som presenteras i resultat. Dessa mönster kopplas sedan till litteraturen i analysen och presenteras i diskussionen. Bland möjligheterna som identifierades framhålls ökade incitament för cirkularitet och främjande av samarbetsstrukturer. Vidare möjligheter tyder på åtgärder som främjar cirkulära processer, såsom design för återvinning och användning av återvunnet material. Utmaningarna identifieras ekonomiskt olönsamma strategier, upplevd osäkerhet där otydliga krav presenteras samt bristfällig innovation, där mycket teknologisk utveckling saknas. Utöver dessa möjligheter och utmaningar pekar studien på att företag upplever en viss osäkerhet kring EPR för textilier och därför anpassar sig olika. Bristen på detaljerade tillvägagångssätt hindrar företagen från att förbereda sig fullt ut. Därav väljer vissa att jobba proaktivt och förbereda sig inför vad som komma skall medan andra väntar genom att jobba mer reaktivt för att se hur andra företag agerar. / The high consumption of textiles in Sweden has resulted in large amounts of textile waste, which has a negative impact on the environment. This bachelor's thesis, written in Swedish, addresses how Swedish textile companies adapt to the introduction of extended producer responsibility (EPR) for textiles as an environmental regulation. By assigning producers responsibility for managing their own products throughout their entire lifecycle, the proposed legislation aims to promote sustainability and a circular economy in the textile value chain. This is intended to reduce environmental impact and increase the reuse of materials. This study identifies the opportunities and challenges faced by Swedish textile companies with the introduction of EPR for textiles and examines how these companies adapt to these changes. The study aims to create an in-depth understanding of how the textile sector can navigate these changes for effective implementation of the law. The study collected empirical data through semi-structured interviews and additional data through a literature review. The qualitative methodology reflects a convenience sample of five respondents who hold roles in sustainability. Insights from the interviews, combined with a thematic analysis, identify recurring patterns that are presented in the results. These patterns are then connected to the literature in the analysis and discussed in the discussion section. Among the identified opportunities are increased incentives for circularity and the promotion of collaborative structures. Further opportunities include measures that promote circular processes, such as design for recycling and the use of recycled materials. The challenges identified include economically unfeasible strategies, perceived uncertainty due to unclear requirements, and inadequate innovation, where much technological development is lacking. In addition to these opportunities and challenges, the study indicates that companies experience some uncertainty regarding EPR for textiles and therefore adapt differently. The lack of detailed procedures prevents companies from fully preparing. As a result, some choose to work proactively and prepare for what is to come, while others adopt a more reactive approach, waiting to see how other companies act.

Le Chapitre 1 propose un survol de la littérature consacrée à l'éco-innovation. A la lumière des travaux passés en revue, l'éco-innovation n’est pas encore un concept bien stabilisé : sa définition même continue d'évoluer, appelant des corrections et des précisions. Ce chapitre accorde une attention particulière au rôle de la règlementation, qui est souvent présentée dans la littérature comme un déterminant essentiel de l'éco-innovation, notamment quand l'innovation concerne un procédé de fabrication. Une controverse demeure à ce propos, en particulier quand la règlementation repose sur des normes environnementales peu contraignantes, voire facultatives (telle la norme ISO 14001). Le processus de diffusion de l'éco-innovation est un autre objet de controverse dans la littérature.[...]. Le Chapitre 2 va donc s'intéresser au premier point de controverse, à savoir le rôle des règlementations environnementales ayant une dimension facultative, comme les normes de type ISO 14001. A l'aide d'une analyse par appariement sur les scores de propension, nous examinons l'effet de l'adoption de normes de type ISO 140001 sur la performance des entreprises (mesurée à partir de la Valeur Ajoutée).[...] Le Chapitre 3 s'intéresse à savoir le processus de diffusion de l'éco-innovation. En raison des contraintes posées par les données disponibles, cette investigation se fait du point de vue des barrières à, et des déterminants de, l'innovation environnementale.[...] Le Chapitre 4 exploitant les données des Enquêtes Communautaires sur l'Innovation de 2008 (CIS 2008), qui contiennent un module spécifiquement dédié à l’éco-innovation. Ainsi, à la différence du chapitre 3, nous établissons – à l'aide du module spécifique de l'enquête – une typologie originale permettant de distinguer, parmi les entreprises éco-innovantes: (1) les entreprises adoptant une éco-innovation de manière passive, (2) les entreprises adoptant tardivement une éco-innovation de manière stratégique, (3) les entreprises adoptant précocement une éco-innovation de manière stratégique, (4) les éco-innovateurs stratégiques tardifs et (5) les éco-innovateurs stratégiques précoces.[...] / Environmental innovation or eco-innovation is considered one of the most significant paradigm shifts in the innovation behaviour. The specificity of eco innovation lies in the fact that environmental improvement, in addition to technological advancement, is the main reason of its development. By combining these two objectives, eco-innovation has become one of primary tools in the search to solve the world’s environmental problems and sustainability challenges. Despite its prevalence, there is still more to be discovered within the eco-innovation literature. The drivers of and barriers to eco-innovation discussion is one of the most significant amongst all. More notably, the role of a firm’s social, technological, economic and organizational characteristics within the eco-innovation process has been little studied. With this Ph.D. thesis we aim to fill the existing gap with four distinct research articles. [...] Chapter 2 investigates, firstly, whether firms’ internal characteristics have an impact on the adoption of voluntary environmental standards. Secondly, the causal effect of adoption of environmental standards on the firms performance. Based on the empirical evidence obtained, we show that medium-size, high-tech manufacturing firms operating at the EU level and using quality standards are more likely to adopt these standards earlier. [...] In Chapter 3, we stressed the significance of a firm’s structural characteristics in another context and aimed at investigating the role these characteristics play in realization of product and/or process eco-innovation. [...] In Chapter 4 we moved forward the analyses conducted in Chapter 3 to another context and examined the influence of firm’s economic, technological, organisational capabilities on the eco-innovation behaviour for different types of product, process, organisational or marketing eco-innovators. The results of our empirical analyses point out the marginal impacts of firm’s characteristics changes with respect to type of eco-innovator. [...]

The aim of this thesis is to reach further understanding of the development of environmental adaptation in Swedish heavy industry by studying the case of the Rönnskär Smelter 1960-2000. More specifically, the aim of the thesis is to investigate the interplay between firm level environmental adaptation and national environmental politics and economic development. To fulfil this aim, the following questions are asked: How have company activities such as production processes, organisation and company strategies been developed and adopted in order to meet environmental demands with maintained competitiveness? How have company activities been framed by environmental policies and the specific environmental regulations, relevant for this case? What other factors, beside environmental regulations, have driven and framed the environmental adaptation process of the firm? The study concludes that a long-range competitive environmental adaptation was reached by a combination of investments in environmental technology with an overall rationalisation and modernisation of the enterprise. The study suggests that the environmental adaptation process of the Rönnskär Smelter became part of an overall process of industrial modernisation during the period, which reflects a wider context than the environmental issue itself. It mirrors technological development on other fields than the environment, and an increasing competition on a global scale that called for lower unit costs of production. This led to a modernisation for pollution reduction strategy that enabled the firm to increase production but still cutting its pollution levels considerably over time. The result is partly consistent with the Porter hypothesis that suggests that strict environmental regulation can strengthen firms’ and nations’ competitiveness. Time series data shows that emissions from the Rönnskär factory have radically declined since the 1960s. For these changes, process technology has proven to be most important. Technological adjustments came about through a step-by-step adaptation. It is clear that internal solutions, developed by the companies’ own engineers were more important at an early stage, when the supply of external solutions was limited. The study also concludes that environmental regulation has strongly influenced the environmental adaptation at the Rönnskär Smelter. Of most importance is the Environmental Protection Act (EPA: Miljöskyddslagen) implemented in 1969. In the economic historian Nathan Rosenberg’s terminology, this study suggests that the EPA model of individual testing promoted long-term innovative and cost-effective technical solutions, because it was consistent with decentralised experimental activity and the specific conditions that characterise the dynamics of technological development. However, not much can be said before comparative studies within the Swedish system have been conducted, or perhaps most fruitful, between various national systems of environmental protection. This study also concludes that the environmental issue became of strategic dignity at the very beginning of the 1970s, mainly as a consequence of the implementation of the EPA. Even though environmental issues did not become important for market strategies until the 1990s, the environmental issue called already in the 1970s for adjustments that required financial and personnel resources that demanded priorities and strategic decisions at the highest level of the organisation. The study also concludes that even though the technological dimension has played the most decisive role for lowering emissions, the significance of organisation has increased over time. While the 1960s, and especially the 1970s, brought about substantial pollution reductions through new technology, organisational aspects became relatively more important when the costs of abatement were rising in the 1980s. Organisational co-ordination, division of local responsibilities and education of personnel became a supplement to technology to obtain further pollution reductions. The technician as the “environmental hero” of the firm was successively replaced by the organisational co-ordinator.

In this article the authors highlight the promotion of private sector participation in infrastructure development for the provision of public services, through joint actiondesigned for the private and public sector instruments. Under that context, they take asa starting point the figure of corporate governance, as an efficient state action, because itinvolves a change in the conception of the state and non-state roles in investment in publicservices, considering the actors public and private, as a cooperating conjunction with theformulation and implementation of public policies.In this context, the authors develop and analyze pending tasks in the exercise of regulatoryauthority and its relation to the patrimonial liability of the State, which in their view must also be taken into account for the effectiveness of corporate governance. / En el presente artículo, se destaca el fomento de la participación del sector privado en el desarrollo de infraestructura para la prestación de servicios públicos, a través de instrumentos ideados para una actuación conjunta de los sectores privado y público. Bajo ese contexto, toman como punto de partida a la gobernanza corporativa como una actuación eficiente del Estado, en tanto implica una variación de la concepción de los roles estatales y no estatales en materia de inversión en la prestación de servicios públicos, considerando a los actores públicos y privados como una conjunción cooperante con la formulación y la ejecución de políticas públicas.En ese contexto, los autores desarrollan y analizan tareas pendientes en materia del ejercicio de la potestad reguladora y su relación con la responsabilidad patrimonial del Estado que, desde su perspectiva, deben también tenerse en cuenta para la efectividad de la gobernanza corporativa.

Made available in DSpace on 2014-12-17T14:27:14Z (GMT). No. of bitstreams: 1 CarlosSGS_DISSERT.pdf: 1178601 bytes, checksum: a28efb1abc1d8f161f4f10625c193e6c (MD5) Previous issue date: 2010-09-06 / This study approaches the question of the administrative procedure of the environmental licensing of ranks of fuel resale, taking as basis a study case of the reality of the City of Natal/RN (Brazil). For in such a way, it was done a retrospect on the evolution of the system of road transport in Brazil, having started to briefly analyze the urbanization process that if after accented in the capitals of the Brazilian States the decade of 1950, relating these subjects with the growth of the sector of fuel resale. After that, it was transferred boarding of the defense of the national environment to the light of ambient principles constitutional. In the sequence, a boarding on the ambient guardianship in the Federal Constitution of 1988 was made, treating basically specifies and on the national urban politics and the national politics of the environment, with its instruments. In the sequence, it was transferred the analysis of the abilities and attributions of the National Advice of the Environment (CONAMA) and its Resolutions, for then only enter in the most important part of this work: an analysis of the environmental licensing of ranks of fuel resale, in the reality of the City of Natal/RN. Before this specific boarding, it was proceeded specifically a survey and communication from the applicable norms to such establishments (Resolutions of the CONAMA and norms of the ABNT), for after that carrying through an geo-ambient characterization of the City of Natal/RN. Finally, a reflection was made on the possibility of magnifying of the state activity, in terms of guarantees for the responsible members for the environmental policy and of administrative efficiency, through the idea of the ambient regulation. For the accomplishment of this study, it was proceeded research in diverse sources such as books, magazines, sites of the Internet, periodicals, thesis and dissertations, among others material, beyond visits the agencies that direct or indirectly act with the ambient defense and as fuel resale, such as Secretariat of Environment and Urbanism of the City of Natal (SEMURB), Institute of Economic Development and Environment of RN (IDEMA), Brazilian Institute of the Environment and the Natural resources You renewed, Executive Management of RN (IBAMA/RN), Public prosecutor's office of the Environment of Natal (Public prosecution service of the RN), National Agency of Oil (ANP) and Union of the Retailing of Derivatives of Oil of the RN, among others. To the end, satiated regulation is observed that although on the substance of the ambient licensing in ranks of fuel resale, also with federal, state and municipal norms, the municipal Public Power is very far from the fulfilment of its institutional functions, in the question environmental policy of these establishments, a time that few are the permitted ranks of resale in the city of Natal/RN / Esta disserta??o aborda a quest?o do procedimento administrativo do licenciamento ambiental de postos de revenda de combust?veis, tomando-se como base um estudo de caso da realidade do Munic?pio de Natal/RN. Para tanto, partiu-se de um retrospecto sobre a evolu??o do sistema de transporte rodovi?rio no Brasil, passando a analisar brevemente o processo de urbaniza??o que se acentuou nas capitais dos Estados brasileiros ap?s a d?cada de 1950, relacionando estes temas com o crescimento do setor de revenda de combust?veis. Em seguida, passou-se a abordagem da defesa do meio ambiente nacional ? luz de princ?pios constitucionais ambientais. Na seq??ncia, foi feita uma abordagem sobre a tutela ambiental na Constitui??o Federal de 1988, tratando especifica e basicamente sobre a pol?tica urbana nacional e a pol?tica nacional do meio ambiente, com seus instrumentos. Na seq??ncia, passou-se ? an?lise das compet?ncias e atribui??es do Conselho Nacional do Meio Ambiente (CONAMA) e de suas Resolu??es, para s? ent?o adentrar na parte mais importante do trabalho: uma an?lise do licenciamento ambiental de postos de revenda de combust?veis, na realidade do Munic?pio de Natal/RN. Antes desta abordagem espec?fica, procedeu-se a um levantamento e explana??o das normas aplic?veis especificamente a tais estabelecimentos (Resolu??es do CONAMA e normas da ABNT), para em seguida realizar uma caracteriza??o geo-ambiental do Munic?pio de Natal/RN. Por fim, realizouse uma reflex?o sobre a possibilidade de amplia??o da atividade estatal, em termos de garantias para os membros respons?veis pela fiscaliza??o ambiental e de efici?ncia administrativa, atrav?s da id?ia da regula??o ambiental. Para a realiza??o deste estudo, procedeu-se a pesquisas em diversas fontes tais como livros, revistas, s?tios da internet, jornais, teses e disserta??es, entre outros materiais, al?m de visitas a ?rg?os que direta ou indiretamente atuam com a defesa ambiental e como revenda de combust?veis, tais como Secretaria de Meio Ambiente e Urbanismo do Munic?pio de Natal (SEMURB), Instituto de Desenvolvimento Econ?mico e Meio Ambiente do RN (IDEMA), Instituto Brasileiro do Meio Ambiente e dos Recursos Naturais Renov?veis, Ger?ncia Executiva do RN (IBAMA/RN), Promotoria do Meio Ambiente de Natal (Minist?rio P?blico do RN), Ag?ncia Nacional do Petr?leo (ANP) e Sindicato do Com?rcio Varejista de Derivados de Petr?leo do RN, entre outros. Ao final, observa-se que apesar de farta regulamenta??o sobre a mat?ria do licenciamento ambiental em postos de revenda de combust?veis, inclusive com normas federais, estaduais e municipais, o Poder P?blico municipal est? muito aqu?m do cumprimento de suas fun??es institucionais, no quesito fiscaliza??o ambiental destes estabelecimentos, uma vez que poucos s?o os postos de revenda licenciados na cidade de Natal/RN

Cette thèse s'articule autour de trois propositions de représentation de la structure incitationnelle qui sous-tend les contextes de régulation environnementale dans lesquels les agents producteurs de l'externalité adoptent des comportements proactifs pour devancer et prévenir la mise en place d'une éventuelle mesure contraignante par l'autorité régulatrice. Ces trois propositions sont faites dans une perspective normative, i.e. en considérant que l'autorité régulatrice peut jouer sur les modalités et résultats de l'autorégulation des agents par le moyen de menaces, d'effets d'annonce, pour d'induire les comportements souhaités, et atteindre l'efficacité environnementale et/ou de coût. Les mécanismes étudiés sont regroupés sous une dénomination commune d' 'approche volontaire collective préventive' (AVCP). La menace, sous la forme d'une taxe unitaire en cas de non-atteinte volontaire d'un objectif environnemental, est au centre de résultats de la thèse. D'abord dans un jeu statique d'émission (premier essai), ensuite dans un jeu différentiel d'extraction (second essai), et enfin, dans un jeu général de participation à l'AVCP (troisième essai). Dans chacun des contextes de régulation environnementale décrits, cette taxe est formalisée comme endogène, ce qui permet de considérer les AVCP comme de réels instruments de régulation, rejoignant la famille des outils dits basés sur les incitations. / This dissertation consists of three essays on the specific incentive structure that underlies regulation contexts in which the agents generating an environmental externality self-regulate in order to preempt the enforcement of a mandatory policy by a regulatory agency. The three essays take a normative perspective, i.e. investigate the way the regulatory agency may induce efficient proactive behavior by the mean of purposely designed threat and announcement effects. Such mechanisms fall under the common denomination of 'collective voluntary-threat policies' (CVTP). The three essays' results focus on the threat, formalized as a unit tax that is said to be implemented by the regulator if the environmental target is not reached voluntarily : first in a two-stage and static emission game (first essay) ; then in a differential extraction game (second essay) ; finally in a general participation game to the CVTP (third essay). In each framework, the tax is considered as endogenous, and thereby, the CVTP being studied as part of the Incentive-Based Regulatory Approaches.

Cette thèse couvre deux sujets : le dessin des permis à polluer et la gestion des déchets. Le premier chapitre analyse la mise en œuvre des permis à polluer. Le chapitre se concentre sur les impacts de la distribution liés à la sévérité de l’allocation gratuite basée sur la production courante quand deux secteurs sont couverts par le marché des permis et le plafond reste constant. Un nouveau type d’augmentation des profits dans les secteurs qui ne sont pas exposés à la concurrence internationale a été démontré théoriquement. Le deuxième chapitre traite la question de la différenciation de l’allocation des permis dans les différentes régions, liée à la possibilité des entreprises à délocaliser. Les conditions dans lesquelles le bien-être décroît avec la délocalisation sont déterminées. Dans ce cas, des distributions gratuites de permis peuvent être utilisées pour éviter la délocalisation des entreprises. Le troisième chapitre compare l’efficacité des programmes de la responsabilité élargie du producteur (REP) avec l’efficacité d’une ex-ante taxe. La taxe permet plus de flexibilité ex-ante quant aux conditions du marché, mais la REP permet plus d’adaptation ex-post aux réalisations des coûts. Ainsi, l’efficacité relative de la REP augmente avec l’incertitude des coûts et la compétitivité du marché. / This thesis covers two subjects. One is the design of pollution permits and the other is the waste management. The first chapter analyses the implementation of pollution permits. It focuses on the distributional impacts linked with the stringency of output-based allocation,when two sectors are covered by the market for permits and the total cap is held constant. Theoretically demonstrated is a new type of profit increase in sectors that are not exposed to international competition. The second chapter addresses the issue of differentiating permit allocation across areas, this being linked to the possibility of firms to relocate. The conditions under which welfare decreases with relocation are determined. In such a case, free allowances may be used to prevent firms from relocating. The third chapter compares the efficiency of extended producer responsibility (EPR) programs and the efficiency of an ex-ante tax. The tax allows more ex-ante flexibility regarding market conditions, but the EPR allows more ex-post adaption to cost realizations. As a result, the relative efficiency of the EPR increases with uncertainty of the costs and competitiveness of the market.