Interest of STI policies to influence the innovation behaviour of firms has been increased considerably. This gives rise to the notion of behavioural additionality, broadening traditional evaluation concepts of input and output additionality. Though there is empirical work measuring behavioural additionalities, we know little about what role distinct firm characteristics play for their occurrence. The objective is to estimate how distinct firm characteristics influence the realisation of behavioural additionalities. We use survey data on 155 firms, considering the behavioural additionalities stimulated by the Austrian R&D funding scheme in the field of intelligent transport systems in 2006. We focus on three different forms of behavioural additionality project additionality, scale additionality and cooperation additionality and employ binary regression models to address this question. Results indicate that R&D related firm characteristics significantly affect the realisation of behavioural additionality. Firms with a high level of R&D resources are less likely to substantiate behavioural additionalities, while small, young and technologically specialised firms more likely realise behavioural additionalities. From a policy perspective, this indicates that direct R&D promotion of firms with high R&D resources may be misallocated, while attention of public support should be shifted to smaller, technologically specialised firms with lower R&D experience.

Solar photovoltaic (PV) energy has become a topic of intense policy debate at the state level in the United States (U.S.). Solar supporters have pointed to the economic development, environmental, and public health benefits this technology can provide. However, electric utilities and other interests have fought to scale back or cut favorable state PV policies as grid-connected solar PV installations have increased, due to decreased profits, grid complications, and customer fairness, among other reasons. This research first uses a hierarchical regression analysis with cross-sectional data from the years 2012–2013 to examine the suite of state-level policies used to encourage state non-utility PV installations. Comparing the impact of various policy approaches to other factors such as electricity costs, electricity market deregulation, per capita income, and the availability of solar energy resources, this research finds net energy metering to be the most important policy driver of non-utility PV installed capacity. Given this finding, the research shifts its focus to community net energy metering or shared solar, which is an innovative policy approach that allows multiple consumers to share the costs and benefits of ownership in an off-site solar PV facility, opening market access to a wide variety of individuals. Using the punctuated equilibrium framework and semi-structured telephone interviews with policy experts across the U.S. from the solar industry, environmental groups, government, and electric utilities, this research discovers that electric utility lobbying and an overall lack of attention have hindered community solar enabling legislation. However, opportunities exist for future development via increased participation, collaboration, and key events that may alter the policy equilibrium. Finally, this method is utilized in Virginia to more narrowly study why the state has dismissed community solar legislation multiple times. Such an approach is useful in understanding how other historically laggard states may adopt community net energy metering or shared solar legislation in the future.

This thesis explores the causal relationships between tax incentives, research and development (R&D) and productivity. Using R&D survey data from the United Kingdom (UK) Office for National Statistics and administrative data on corporation tax returns from HM Revenue and Customs, I first conduct empirical analyses of tax incentive policies for R&D, and then estimate the elasticity of output with respect to firms' own R&D efforts as well as external R&D performed by neighboring firms in technology and product space. In the first two chapters which focus on tax incentive policies and their evaluation, I am able to identify the policy effect of interest by exploiting two significant reforms in the UK in 2002 and 2008. I find that tax incentives had a positive and significant stimulating effect on businesses' R&D spending. I argue that the availability of a quasi-experimental set up helps in better identifying the policy impact. The production function estimation exercise in the third chapter shows that double counting of R&D human resources and materials in the production function causes the elasticity of output with respect to the firms' own R&D to be substantially underestimated. I also find that the R&D done in multi-unit enterprise groups is productive for the production facilities which themselves do not perform R&D. The Jaffe (1986) and Bloom et al. (2013) measures of external R&D, which account for closeness of firms in technology and product space can be constructed and included in the production function in the spirit of Griliches (1979). I find that the point estimate for the elasticity of output with respect to firms' own R&D is around 3 percent and statistically significant. Evidence is mixed regarding the productivity effects of R&D carried out by competitors in the product market or neighboring firms in technology space. The detailed data sets used in this study offer valuable resources for empirical work on R&D and productivity.

En dépit des objectifs énoncés de respect du principe d'équité horizontale, on observe des inégalités sociales dans la consommation de soins des pays dotés de systèmes de santé socialisés.Cette thèse se propose, au travers de quatre études, de contribuer à l’analyse des politiques publiques dans le système de santé, du point de vue de l’équité de recours aux services de santé. L’introduction propose des éléments descriptifs des inégalités sociales de recours aux soins en France ainsi que des principaux mécanismes qui, à l’intérieur du système de santé français, peuvent en être à l’origine.Le premier chapitre étudie les liens entre barrières financières à l’accès aux soins et état de santé. Il montre que le fait de renoncer à des soins pour des raisons financières est associé à un état de santé futur plus détérioré.Le deuxième chapitre propose une analyse de l’interaction médecin-patient et de son rôle dans la formation des inégalités de recours aux soins. Nous étudions les catégorisations opérées par les médecins au sujet de leurs patients en fonction de leurs situations sociales. Nous montrons ensuite les relations entre ces catégorisations et les pratiques observées.Un troisième chapitre collige deux études portant sur la réforme du médecin traitant. La première propose une analyse de la réforme et de son contexte, en particulier le rôle des différents acteurs. La seconde propose une étude des conséquences de la réforme sur l’accès financier aux soins de spécialistes / Although horizontal equity is considered a universal guiding principle in socialized health systems, most of the countries where such systems are implemented show social inequalities in health care services consumption.This thesis brings together four studies. It aims at contributing to the analyses of health system reforms regarding equity in access to health care services.The introduction provides a description of social inequalities in health care services consumption in France as well as of the main mechanisms which, inside the French health system, can give rise to these inequalities.In the first chapter we study the links between financial barriers in accessing healthcare and health status. We show that unmet needs for financial reasons are associated with worse future health status.The second chapter proposes an analysis of the doctor-patient interaction and how it can affects inequalities in health care consumption. We first study the categorizations operated by the doctors about their patients according to the patients’ socioeconomic status. We then study how these categorizations interact with observed practices patterns.The third chapter brings together two analyses of the “preferred doctor reform”. A first study analyses the reform and its context, with a focus on the role of the stakeholders. A second study investigates the consequences of the reform on financial access to specialist care.

O objetivo deste trabalho é contribuir para literatura empírica que avalia o impacto dos incentivos públicos à pesquisa e desenvolvimento (P&D) com dados de firmas brasileiras. Em particular foi avaliado o impacto da Lei do Bem, instrumento de incentivo fiscal à atividade de pesquisa e desenvolvimento privado. Essa avaliação foi conduzida a partir de estimações de modelos econométricos com microdados de empresas industriais brasileiras. Foi aplicado a técnica de matching e realizadas estimações de modelos empíricos de investimento com dados em painel. O impacto foi avaliado considerando toda amostra de empresas industriais e por intensidade tecnológica, adicionalmente foi analisado o efeito de dosagem. Os resultados trazem evidências que existe impacto positivo no dispêndio em P&D nas firmas, rejeitando a hipótese de crowding-out. / The objective of this work is to contribute to the empirical literature that evaluates the effectiveness of public support on private R&D with Brazilian firms data. In particular was evaluated an instrument of fiscal incentive called ,,Lei do Bem\". The evaluation was conducted applying econometric approach using microdata of industrial firms. A matching was conducted and estimated empirical investment equation with panel data. The effect was evaluated in full sample and dividing by technological intensity, the dosage effect was also considered. The results indicate a positive impact on the expenditure in R&D, rejecting the crowding-out hypothesis.

Esta pesquisa insere-se na linha de pesquisa, política, planejamento e gestão ambiental do Departamento de Saúde Ambiental da Faculdade de Saúde Pública da Universidade de São Paulo. Tem por objetivo propor um arcabouço teóricoconceitual para aplicação da avaliação ambiental estratégica para avaliar políticas ambientais municipais em fase de implementação. Partindo da constatação de que a avaliação de políticas ambientais apresenta um relativo atraso em relação a outros campos, são adotados os pressupostos de que ferramentas desenvolvidas para avaliação de políticas sociais podem ser adaptadas para avaliar políticas ambientais, mas ferramentas da área ambiental também podem contribuir para o avanço do campo de estudo. Dessa forma foi proposto um arcabouço teórico conceitual com base nos princípios norteadores da avaliação ambiental estratégica, com o uso de ferramentas de apoio originárias da AAE e do estudo de políticas públicas. Como forma de aproximar o arcabouço teórico da realidade, foi analisado o contexto da política de Gestão e Saneamento Ambiental de Santo Andre a partir do arcabouço proposto. O presente trabalho conclui que a AAE pode ser usada para avaliação de políticas ambientais municipais em fase de implementaçao ao usar as estruturas de decisão existentes. / This research is part of the research line in policy, planning and environmental management of the Environmental Health Department of School of Public Health, University of São Paulo. It aims to propose a framework to application of Strategic Environmental Assessment to ongoing local environmental policies. Based on the premise that environmental policy evaluation has a delay compared to other fields, are adopted assumptions that tools developed for evaluation of social policies can be adapted to evaluate environmental policies, but tools in the environmental area may also contribute to advancing the field of study. Thus we proposed a framework based on the guiding principles of strategic environmental assessment, with the use of support tools originated from strategic environmental assessment and from the study of public policy. As a way of anchor the framework in reality, it was analyzed the context of Policy on the Environmental Management and Sanitation in Santo Andre by using the proposed framework. This study concludes that the SEA can be applied to evaluation of ongoing local environmental policies when using existing decision-making structures.

This licentiate’s thesis consists of two essays on immigrant self-employment and labour supply. The first essay (co-author Mats Hammarstedt), Intergenerational transmissions in immigrant self-employment: Evidence from three generations, reviews intergenerational transmissions in immigrant self-employment over three generations. More precisely, we study whether self-employment is transferred both from grandfather to grandson and from father to son, as well as if there are any differences between immigrant groups and differences between immigrants and natives. In addition, we investigate the importance of the intergenerational transfer of general and specific human capital for choice of business line. The results show that having a self-employed father and self-employed grandfather have a strong positive effect on self-employment propensities for male third-generation immigrants. On the other hand, natives were found to transfer self-employment from father to son, but not from grandfather to grandson. The results also indicate that immigrants inherit self-employment abilities from their self-employed fathers increasing the self-employment propensity, but not necessarily in the same business line. In contrast, native self-employed fathers transfer human capital to their sons making them more prone to become self-employed in the same business line as the father is in. The second essay, Female immigrant labour supply: The effect of an in-work benefit, focuses on immigrant labour supply, and evaluates the effect of a recently introduced in-work benefit, the so called job deduction, on the labour supply of single immigrant women. In this study, we address the following questions: What is the effect of the in-work benefit on the labour supply of single immigrant women? Does the effect of the in-work benefit on working hours differ between immigrant groups? The results show that, on average, there is no major effect of the in-work benefit on the labour supply of single immigrant women. However, households with the lowest incomes increase their working hours quite strongly. Furthermore, on average, there appears to be no difference in the effect of the in-work benefit between immigrant groups. In the low-income households, though, immigrants from non-European countries and from Southern and Eastern European countries, increase their labour supply relatively more than immigrants from Nordic countries and Western Europe. Finally, the relatively large increase in working hours for single immigrant women with the lowest incomes appears, above all, to be a result of increased participation in the labour market. However, part of the effect is related to an increase in the number of working hours of already employed women.

A presente pesquisa teve como objetivo avaliar a política de desoneração da folha de pagamentos da indústria de transformação por meio de uma abordagem metodológica alternativa e complementar ao método de diferenças em diferenças, que é usualmente utilizado em tais casos. Este tema é relevante na medida em que a perda de dinamismo do setor industrial brasileiro tem feito ressurgir o debate a respeito da hipótese de desindustrialização. Ainda que a ocorrência ou não deste fenômeno não seja consensual, este cenário levou o governo a retomar o uso de políticas industriais desde 2004, sendo a desoneração da folha de pagamentos uma das medidas mais relevantes tomadas recentemente para promover a recuperação do setor industrial. A medida ambiciona reduzir os custos trabalhistas para impulsionar o emprego e a produção do setor, além de melhorar sua competitividade, e se destaca pela grande quantidade de recursos empregada: entre 2011 e 2013 a renúncia fiscal associada à pollítica foi de R$ 20 bilhões. Para avaliar esta medida, a presente pesquisa considerou a tributação sobre a mão de obra como uma fonte de imperfeição no mercado de trabalho, a qual é estimada por meio da metodologia proposta por Petrin e Sivadasan (2013). Ao considerar que a política reduz tais imperfeições, foi possível estimar seu efeito no nível de emprego da indústria por meio de extensões ao modelo proposto pelos autores. Foram utilizados microdados da Pesquisa Industrial Anual (PIA-Empresa) em nível de firma entre os anos de 1996 e 2011. A variação no emprego das indústrias beneficiadas pela medida foi de apenas 0,84%, considerando somente as indústrias inicialmente beneficiadas pela política. Os efeitos da política aumentaram com sua expansão, o que ocorreu não somente como consequência do aumento no número de indústrias beneficiadas, mas também porque a medida passou a contemplar indústrias cujas elasticidades do emprego em relação aos tributos são maiores, fazendo com que o aumento no nível de emprego passasse para 5,14%. Além disso, os resultados mostraram que a variação no nível de emprego é maior para o trabalho do tipo blue collar do que para o trabalho do tipo white collar. Isto está em acordo com a teoria econômica sobre o mercado de trabalho porque um tipo de trabalho com atribuições mais específicas e que envolve maior aquisição de conhecimentos, como é o trabalho white collar, deve ser mais afetado por outras variáveis que não os tributos. / The Brazilian government and policy makers have been concerned about the industrial performance lately, which made industrial policies recover its relevance in the political agenda since 2004. One of the most important of such policies was the payroll tax exemption to some industries, which was created to reduce labor costs, and to stimulate the Brazilian industry production, employment and competitiveness. The high coverage of this policy resulted in an important reduction in the Social Security contribution: the policy has already reduced the contribution in BRL20 billion from 2011 to 2013. Both the program expenses and the perceived need to increase Brazilian industrial competitiveness are reasons to carry out a formal empirical evaluation. However, there are many factors to control in order to identify the policy effects by the Randomized Control Trials, which makes this approach hardly suitable. The methodology to estimate market imperfections developed by Petrin e Sivadasan (2013) is helpful in this case. These estimates represent any phenomena that moves the market away from competitive equilibrium, such as mark ups, firing and hiring costs, capital adjustment costs, taxes and subsides. Therefore, the payroll tax exemption can be treated as a decrease in the gap for industrial sector labor market equilibrium, and this relationship between policy and market imperfections allows the policy effects identification. The variables used are from the Annual Industrial Research - Enterprise (\"PIA - Empresa\"), and were studied at the firm level for the period between 1996 and 2011. The results suggest that the policy increased the employment level in 0.84% considering only industries selected at the policy\'s first stage. The estimated effect on employment level increases to 5.14% considering also industries benefited by the policy after its expansions, which is related to higher elasticity of employment with respect to taxes for the industries included. Besides that, results show that most of the jobs created are blue collar jobs, which is in accordance with previous expectations since white collar jobs usually requires more skilled workers and, therefore, reacts more to other factors than taxes.

Governance of the healthcare systems is one of the most important challenges forWestern countries. Within this, an accurate assessment of the quality is key to policy makers and public managers, in order to guarantee equity, effectiveness and efficiency. In this thesis, we investigate aspects and methods related to healthcare evaluation by focussing on the healthcare system in Lombardy (Italy), where public and private providers compete with each other, patients are free to choose where to be hospitalized, and a pay-for-performance program was recently implemented. The general aim of this thesis is to highlight the role of statistics within a quality evaluation framework, in the form of advancing the statistical methods used to measure quality, of evaluating the effectiveness of implemented policies, and of testing the effect that mechanisms of competition and cooperation can have on the quality of a healthcare system. We firstly advance a new methodological approach for measuring hospital quality, providing a new tool for managers involved in performance evaluations. Multilevel models are typically used in healthcare, in order to account for the hierarchical structure of the data. These models however do not account for unobserved heterogeneity. We therefore propose an extension of the cluster-weighted models to the multilevel framework and focus in particular on the case of a binary dependent variable, which is common in healthcare. The resulting multilevel logistic cluster-weighted model is shown to perform well in a healthcare evaluation context. Secondly, we evaluate the effectiveness of a pay-for-performance program. Differently from the existent literature, in this thesis we evaluate this program on the basis of five health outcomes and across a wide range of medical conditions. Availability of data pre and post-policy in Lombardy allows us to use a difference-in-differences approach. The statistical model includes multiple dependent outcomes, that allow quantifying the joint effect of the program, and random effects, that account for the heterogeneity of the data at the ward and hospital level. The results show that the policy has overall a positive effect on the hospitals' performance. Thirdly, we study the effect of pro-competition reforms on the hospital quality. In Lombardy, competition between hospitals has been mostly driven by the adoption of a quasi-market system. Our results show that no association exists between hospital quality and competition. We speculate that this may be the result of asymmetric information, i.e. the lack of transparent information provided to citizens about the quality of hospitals. This is bound to reduce the impact of pro-competition reforms on quality and can in part explain the conflicting results found in the literature on this subject. Our results should motivate a public disclosure of quality evaluations. Regardless of the specifics of a system, hospitals are altruistic economic agents and they cooperate in order to improve their quality. In this work, we analyse the effect of cooperation on quality, taking the network of patients' transfers between hospitals as a proxy of their level of cooperation. Using the latest network models, we find that cooperation does lead to an increase in quality and should therefore be encouraged by policy makers.

Esta pesquisa insere-se na linha de pesquisa, política, planejamento e gestão ambiental do Departamento de Saúde Ambiental da Faculdade de Saúde Pública da Universidade de São Paulo. Tem por objetivo propor um arcabouço teóricoconceitual para aplicação da avaliação ambiental estratégica para avaliar políticas ambientais municipais em fase de implementação. Partindo da constatação de que a avaliação de políticas ambientais apresenta um relativo atraso em relação a outros campos, são adotados os pressupostos de que ferramentas desenvolvidas para avaliação de políticas sociais podem ser adaptadas para avaliar políticas ambientais, mas ferramentas da área ambiental também podem contribuir para o avanço do campo de estudo. Dessa forma foi proposto um arcabouço teórico conceitual com base nos princípios norteadores da avaliação ambiental estratégica, com o uso de ferramentas de apoio originárias da AAE e do estudo de políticas públicas. Como forma de aproximar o arcabouço teórico da realidade, foi analisado o contexto da política de Gestão e Saneamento Ambiental de Santo Andre a partir do arcabouço proposto. O presente trabalho conclui que a AAE pode ser usada para avaliação de políticas ambientais municipais em fase de implementaçao ao usar as estruturas de decisão existentes. / This research is part of the research line in policy, planning and environmental management of the Environmental Health Department of School of Public Health, University of São Paulo. It aims to propose a framework to application of Strategic Environmental Assessment to ongoing local environmental policies. Based on the premise that environmental policy evaluation has a delay compared to other fields, are adopted assumptions that tools developed for evaluation of social policies can be adapted to evaluate environmental policies, but tools in the environmental area may also contribute to advancing the field of study. Thus we proposed a framework based on the guiding principles of strategic environmental assessment, with the use of support tools originated from strategic environmental assessment and from the study of public policy. As a way of anchor the framework in reality, it was analyzed the context of Policy on the Environmental Management and Sanitation in Santo Andre by using the proposed framework. This study concludes that the SEA can be applied to evaluation of ongoing local environmental policies when using existing decision-making structures.