In recent years, institutional shareholders have more frequently engaged themselves in dialogue with corporations on corporate social and environmental factors (ESG factors) through a new investment strategy often referred to as socially responsible investments. The Swedish public pension funds work with socially responsible investments and shareholder engagement are based on their mandate to serve the Swedish people and to manage their retirement capital in a desirable way. Since 2019, the AP funds are also legally obliged by the AP Funds Act (2000:192) to contribute to sustainable development by their investments. The findings of this thesis suggest that shareholders can positively influence the social and environmental performance of a corporation. It suggests that shareholder engagement dialogue is an effective influence instrument to generate positive social and environmental outcomes, with an open and constructive dialogue between the shareholder and the corporation. In order to build a successful long-term relationship between the shareholder and investee, it is important for the engager to enhance the preparation and try to stay fully informed on the matters being raised to the investee. This can be achieved by the shareholder by letting the engager focus the engagement on a manageable number of corporations and sectors and by having a dialogue with several different stakeholders throughout the network such as local union trade organisations or other NGOs.

An antinomy is a contradiction between a principle and its opposite, where there is a compelling case for accepting both. This thesis adopts the antinomy of local-state government in Australia as its central conceptual theme, describing it with the following defensible, but contradictory principles that:¶ · Australian local governments are statutory agencies of Australia’s state governments, with no power or authority beyond that which is ascribed to them by the states (the outside-in principle); and¶ · Local governments in Australia are independent agencies whose authority and interests transcend their regulatory powers by nature of their attachment to their local area (the inside-out principle).¶ The central conceptual theme of the antinomy of local-state government shapes the overall thesis, as well as providing the focus for its introduction and conclusion. The thesis induces elements of the antinomy and structures much of its discussion around these key issues. It does not try to prove or resolve the antinomy. Instead the thesis uses the concept to explore and develop its second complex theme - the practical and applied experience of Australian local governments (LGs) as they attempt to deliver beneficial environmental outcomes. The great bulk of the substantive work presented in the thesis focuses on descriptions and analyses of LGs’ environmental work and the contexts within which they do it. The thesis contends that the local-state antinomy underpins many problems facing Australian LGs as they attempt to deliver beneficial environmental outcomes. Four research questions are addressed. They are:¶ · How can Australian LG capacity to deliver beneficial environmental outcomes be understood?¶ · Within this capacity, what are the environmental outcomes now being achieved by Australian LGs?¶ · How can Australian local government extend its capacity to deliver beneficial environmental outcomes? And¶ · What are the implications of the local-state antinomy on Australian LG capacity to deliver beneficial environmental outcomes?¶ This thesis reviews literature on Australian LG, LG environmental work, and the methods that are appropriate in investigating these questions. The overall thesis uses scientific, grounded theory and action research methods and draws on ideas from symbolic interactionism. Parts of the thesis also use environmental risk assessment, gap analysis techniques, case study and comparative analysis. The goal of generating grounded theories led to a strong focus on the development and exploration of analytical categories and the relationships between them. One such category summarises the relationship between LG and state government (SG), whereby LGs are identified as the inside sphere of government, while the SG is one of several outside spheres. Environmental efforts that impact between the spheres are described in relation to their source and impact, using this terminology, so that inside-out initiatives are driven by LGs but impact more broadly, and outside-in initiatives are driven by states but impact on local areas.¶ Two extensive studies are presented, each stemming primarily from one side of the local-state antinomy. The first is a quantitative, statewide study of local (and state) government implementation of the Queensland Environmental Protection Act. That process is considered a predominantly outside-in environmental initiative, in that LG interest and authority for that work stem directly from a SG statute. For simplicity, this is referred to as an outside-in study. That study involved the development and application of the Comparative Environmental Risk Assessment Method, that enabled the assessment of the environmental and other outcomes from the Queensland legislation.¶ The outside-in study is complimented by comparative case studies that mostly reflect inside-out environmental initiatives as they are defined and described by LGs. Again, this required the development of innovative research methods, specifically a comparative case study method. 34 case studies gathered from different types of LGs across Australia are presented, each representing an attempt by LG to deliver beneficial environmental outcomes.¶ In answer to the research questions, LG capacity to deliver environmental outcomes can be understood when the antinomy is examined through the research methods and analytical categories developed and presented here. LGs are delivering significant beneficial environmental outcomes, both as agents of SGs and through their own initiatives. Improving LG capacity to deliver environmental outcomes primarily requires a respect for LG perspectives, and for LG priorities, which inherently include a focus on their own local areas. State governments can build effective partnerships between the spheres and enhance LG environmental capacity by recognising and supporting LG’s own priorities, while assisting their engagement with broader strategic objectives.

Cette thèse contribue à la compréhension de la relation entre le commerce et l’environnement, en mettant l’accent sur le rôle de la réglementation environnementale entre pays. Trois essais abordent ce lien selon différentes perspectives. Le premier chapitre analyse l’efficacité de la formalisation de la Convention de Bâle sur le commerce des déchets dangereux dans l’Union européenne (UE-WSR) puis sur les pays en développement, divisés en régions. Je construis un indice de réglementation environnementale, qui comprend notamment la qualité des institutions. Les résultats montrent peu de preuves d’un effet de havre de déchets dans les pays de l’UE les moins développés. Dans l’analyse régionale, il n’y a aucune preuve de l’efficacité de l’UE-WSR. Le second chapitre étudie l’efficacité des accords internationaux sur l’environnement. Ce chapitre évalue les effets de la ratification et de l’adoption de ces accords sur les importations de produits chimiques dangereux et de polluants organiques persistants. Les résultats soulignent l’effet partiel de ces deux conventions. Plus précisément, lorsqu’on évalue un accord moins restrictif, les importations ne sont réduites que lorsque l’exportateur ratifie la convention. Lors de l’évaluation de l’interdiction des polluants organiques persistants, les importations sont réduites. Le troisième examine l’effet de la réglementation environnementale sur les résultats environnementaux. Ce chapitre a pris en compte les déterminants de la pollution et une variable de réglementation environnementale composée de lois environnementales adoptées par les pays. Les résultats montrent que les lois environnementales ont un effet améliorant les résultats environnementaux. Cet effet est particulier aux résultats environnementaux et à la loi. Ainsi on met en question certaines conclusions antérieures tirées de la littérature sur l’effet bénéfique du commerce sur l’environnement. / This thesis contributes to an understanding of the relationship between trade and the environment, with an emphasis on the role of environmental regulation among countries. Three essays deal with this link from different perspectives. The first chapter analyses the effectiveness of the formalization of the Basel Convention on trade in hazardous wastes in the European Union (EU-WSR), followed by developing countries, and divided into regions. I build an environmental regulation index, which includes the quality of the institutions. The results show little evidence of a waste haven effect in the least developed EU countries. In the regional analysis, there is no evidence of the effectiveness of the EU-WSR. The second chapter examines the effectiveness of international environmental agreements. This chapter assesses the effects of the ratification and adoption of these agreements on imports of hazardous chemicals and persistent organic pollutants. The results underline the partial effect of these two conventions. More specifically, when assessing a less restrictive arrangement, imports are reduced only when the exporter ratifies the agreement. In assessing the ban on persistent organic pollutants, imports are reduced. The third examines the effect of environmental regulation on environmental outcomes. This chapter has taken into account the determinants of pollution and an environmental regulatory variable composed of environmental laws adopted by countries. The results show that environmental laws have an effect improving environmental outcomes. This effect is unique to environmental outcomes and to the law. Thus, some previous conclusions drawn from the literature on the beneficial effect of trade on the environment are questioned.