Este trabalho se insere nas discussões sobre governança global ambiental e debate o papel dos líderes burocráticos nas organizações para o meio ambiente, em face à condições externas que desafiem o exercício de sua função política, sob a hipótese exploratória de a despeito de um ambiente desafiador, o tipo de liderança e características pessoais e de formação do líder podem contribuir para a criação e fortalecimento do poder de agenda de uma organização. O caso a ser estudado é o do Programa das Nações Unidas para o Meio Ambiente, no qual se analisa a liderança de três Diretores Executivos (Maurice Strong, Mostafa Tolba e Achim Steiner) durante três marcos históricos (Conferência de Estocolmo, Rio 92 e Rio+20). A forma de liderança empregada é estudada através da tipologia de Oran Young. Características pessoais serão analisadas através do conceito de liderança transformacional. Neste estudo, a formação profissional destes líderes também serão consideradas a fim de compreender sua contribuição para o fortalecimento da função politica ou técnica desta organização. A análise tem como base produções acadêmicas sobre o tema, materiais oficiais e relatórios acerca dos momentos históricos, declarações públicas e percepções de personalidades acerca da atuação e formação dos líderes, além de entrevistas realizadas exclusivamente para esta dissertação. / This dissertation is inserted in the discussions on global environmental governance and it debates the role of international leadership in international organizations for the environment, under the assumption that in face of challenge external conditions, the kind of leadership and the leaders\' personal characteristics and background can positively impact the power of agency of an organization. The case of study is the United Nations Environment Program, analyzing the leadership of three Executive Directors (Maurice Strong, Mostafa Tolba and Achim Steiner) over three historical milestones (Stockholm Conference, Rio 92 and Rio + 20). The kind of leadership performed by individuals is studied using Oran Young\'s typology. Personal characteristics will be analyzed through the concept of transformational leadership. Besides, in this study, leader\'s professional experiences will, also, be considered in order to understand their contribution in strengthening organizations political or technical function organization. The analysis is based on academic contributions on the subject, official materials and reports on the milestones, public statements and perceptions of individuals about leaders\' performance and professional background, as well as interviews conducted exclusively for this dissertation.

La Grande muraille verte est le nom d’un programme régional de lutte contre la désertification au Sahel lancé en 2007 sous l’égide de l’Union africaine et des organisations régionales. Il consiste à favoriser le reboisement des territoires semi-arides le long d’un tracé reliant Dakar à Djibouti et traversant onze États, afin de créer un « bandeau végétal dressé face à l’avancée du désert ». Cette thèse a pour but de proposer une lecture géographique et critique de ce projet insolite, appréhendé ici comme une utopie environnementale. À partir d’enquêtes de terrain principalement menées au Sénégal (région du Ferlo) et enrichies par les apports de la political ecology, elle met en lumière la tension qui existe entre d’un côté, la formulation d’un projet de territoire au nom du développement des zones semi-arides et de la gestion des ressources naturelles et, de l’autre, la promotion d’un instrument d’extraversion politique et économique permettant de capter de nouvelles rentes environnementales : en quoi la territorialisation du projet est-elle subordonnée à une quête de visibilité globale ? La première partie montre comment la Grande muraille verte recycle dans un moment historique favorable des pratiques anciennes en matièr ede lutte contre la désertification. La deuxième partie décrit le déficit d’ancrage territorial de ses aménagements à l’échelle locale. La troisième partie montre que l’appropriation globale du projet est la source principale de sa grande résilience. / The Great Green Wall is a regional initiative to combat desertification in the Sahel. It was launched in2007 under the leadership of the African Union and other regional organisations. The program supports reforestation of drylands from Dakar to Djibouti, and aims to form a line of trees protecting against desert encroachment. In a geographical and critical perspective, it can regarded as a green utopia. This thesis, based essentially on field research carried out in Senegal (Ferlo region) supplemented by political ecology insights sheds light on the existing tension between two approaches to the project : one, the objectives of this local project are to develop drylands and better manage natural resources, and two, it can also be seen as promoting an instrument of political and economic extraversion, producing newrent-seeking opportunities. To what extent can the territorialization process of the local project be impaired by the search for global visibility ? The first part shows how the Great Green Wall, at a historical moment, is reactivating traditional techniques to combat desertification. The second partdescribes the lack of territorial anchorage and its local applications. The third part shows that the project derives its great resilience mainly from global ownership.

A finalidade primeira desta dissertação é análise da governança ambiental global e brasileira frente ao caso concreto do Porto do Rio Grande. Para tanto, o trabalho se desenvolveu com a hipótese de que os instrumentos regulatórios de tutela ao meio ambiente presentes na política portuária brasileira possuem como escopo a sustentabilidade da atividade portuária, em conformidade com os ditames do programa de governança ambiental global na área portuária, o que pode ser verificado no Porto do Rio Grande – RS. O objetivo geral deste trabalho centrou-se na identificação das principais Convenções e Tratados internacionais e no ordenamento jurídico do Brasil, dos instrumentos utilizados como mecanismos de tutela do meio ambiente nas atividades portuárias, analisando a finalidade destes instrumentos, bem como desenvolver um estudo de caso do Porto do Rio Grande – RS. A natureza complexa do problema a ser investigado enseja em sua tratativa metodológica a aplicação do processo dedutivo, que permite conhecer aspectos particulares de um fenômeno, em especial atinentes aos aspectos ambiental, econômico e jurídicos decorrentes da atividade portuária. Nesse sentido, a presente dissertação faz considerações a partir do conceito da governança ambiental global e enumera os tratados e acordos internacionais, bem como a legislação nacional que visam a proteção do meio ambiente aplicáveis ao subsetor portuário. Constitui o objeto de estudo o Porto do Rio Grande, no Estado do Rio Grande do Sul, considerado pela Secretaria Especial de Portos da Presidência da República como um dos portos mais ambientalmente responsáveis no contexto portuário nacional, um entre poucos com licença ambiental do IBAMA para operar, sendo destacados seus programas e projetos de gestão na área ambiental. / Submitted by Marcelo Teixeira (mvteixeira@ucs.br) on 2014-05-22T13:54:45Z No. of bitstreams: 1 Dissertacao Nicole da Silva Paulitsch.pdf: 2158760 bytes, checksum: d7819a63cdd5bde5e847c5e9284cd883 (MD5) / Made available in DSpace on 2014-05-22T13:54:45Z (GMT). No. of bitstreams: 1 Dissertacao Nicole da Silva Paulitsch.pdf: 2158760 bytes, checksum: d7819a63cdd5bde5e847c5e9284cd883 (MD5) / Fundação Universidade de Caxias do Sul / The first purpose of this dissertation is the analysis of global environmental governance and the case of the Brazilian port of Rio Grande. To this end, the work developed with the hypothesis that the regulatory instruments to protect the environment present in Brazilian ports policy have scoped the sustainability of port activity, in accordance with the dictates of the global environmental governance programme in the port area, which can be checked at the port of Rio Grande-RS. The overall objective of this work has focused on the identification of the main international conventions and treaties and the legal system of Brazil, of the instruments used as mechanisms to protect the environment in the port activities, analyzing the purpose of these instruments as well as develop a case study of the port of Rio Grande-RS. The complex nature of the problem to be investigated immediately in their methodological handling the deductive procedure, that allows to know particular aspects of a phenomenon, in particular with respect to environmental, economic and legal aspects of port activities. In this sense, this dissertation make considerations from the concept of global environmental governance, and enumerates the international treaties and agreements, as well as national legislation for the protection of the environment applicable to the subsector. The object of study is the port of Rio Grande, in the State of Rio Grande do Sul, considered by the Special Secretariat of ports of the Presidency of the Republic as one of the most environmentally responsible ports in the context of national port, one of the few with IBAMA's environmental license to operate, being highlighted their programs and environmental management projects.

A finalidade primeira desta dissertação é análise da governança ambiental global e brasileira frente ao caso concreto do Porto do Rio Grande. Para tanto, o trabalho se desenvolveu com a hipótese de que os instrumentos regulatórios de tutela ao meio ambiente presentes na política portuária brasileira possuem como escopo a sustentabilidade da atividade portuária, em conformidade com os ditames do programa de governança ambiental global na área portuária, o que pode ser verificado no Porto do Rio Grande – RS. O objetivo geral deste trabalho centrou-se na identificação das principais Convenções e Tratados internacionais e no ordenamento jurídico do Brasil, dos instrumentos utilizados como mecanismos de tutela do meio ambiente nas atividades portuárias, analisando a finalidade destes instrumentos, bem como desenvolver um estudo de caso do Porto do Rio Grande – RS. A natureza complexa do problema a ser investigado enseja em sua tratativa metodológica a aplicação do processo dedutivo, que permite conhecer aspectos particulares de um fenômeno, em especial atinentes aos aspectos ambiental, econômico e jurídicos decorrentes da atividade portuária. Nesse sentido, a presente dissertação faz considerações a partir do conceito da governança ambiental global e enumera os tratados e acordos internacionais, bem como a legislação nacional que visam a proteção do meio ambiente aplicáveis ao subsetor portuário. Constitui o objeto de estudo o Porto do Rio Grande, no Estado do Rio Grande do Sul, considerado pela Secretaria Especial de Portos da Presidência da República como um dos portos mais ambientalmente responsáveis no contexto portuário nacional, um entre poucos com licença ambiental do IBAMA para operar, sendo destacados seus programas e projetos de gestão na área ambiental. / Fundação Universidade de Caxias do Sul / The first purpose of this dissertation is the analysis of global environmental governance and the case of the Brazilian port of Rio Grande. To this end, the work developed with the hypothesis that the regulatory instruments to protect the environment present in Brazilian ports policy have scoped the sustainability of port activity, in accordance with the dictates of the global environmental governance programme in the port area, which can be checked at the port of Rio Grande-RS. The overall objective of this work has focused on the identification of the main international conventions and treaties and the legal system of Brazil, of the instruments used as mechanisms to protect the environment in the port activities, analyzing the purpose of these instruments as well as develop a case study of the port of Rio Grande-RS. The complex nature of the problem to be investigated immediately in their methodological handling the deductive procedure, that allows to know particular aspects of a phenomenon, in particular with respect to environmental, economic and legal aspects of port activities. In this sense, this dissertation make considerations from the concept of global environmental governance, and enumerates the international treaties and agreements, as well as national legislation for the protection of the environment applicable to the subsector. The object of study is the port of Rio Grande, in the State of Rio Grande do Sul, considered by the Special Secretariat of ports of the Presidency of the Republic as one of the most environmentally responsible ports in the context of national port, one of the few with IBAMA's environmental license to operate, being highlighted their programs and environmental management projects.

O meio ambiente se apresenta como um dos desafios da governança global no que se refere às abordagens de Relações Internacionais e Ciência Política. Isso se deve ao fato de que os recursos naturais não se submetem à soberania direta do Estado e/ou das organizações internacionais formais como fonte de autoridade devido à transnacionalidade que o tema enseja. Neste sentido, os diferentes atores das relações internacionais, estatais e não estatais, precisam construir arenas de atuação, criar regulamentações onde os Estados (eventualmente) não estão presentes, e criar instrumentos de enforcement e compliance. No entanto, a centralidade das questões ambientais é colocada em xeque por teorias racionalistas de relações internacionais baseadas na autoridade do Estado e de sua capacidade de enforcement top-down. O meio ambiente é um assunto melhor considerado por arenas transnacionais em um contexto multinível e policêntrico. Neste sentido, a análise em nível local e a capacidade de organização de grupos sociais na constituição dos arranjos institucionais através da ação coletiva para solucionar a possível \"tragédia dos comuns\" tem atraído estudiosos que procuram demonstrar a sua efetividade e, consequentemente, a sua contribuição para a resolução das contendas ambientais globais. Desta forma, o objetivo deste trabalho é demonstrar como a relação entre a governança dos recursos de uso comum em âmbito local vincula-se aos instrumentos de governança global definidos por governos e organizações internacionais formais para o uso da biodiversidade. Inicialmente, realiza-se revisão bibliográfica da literatura de Relações Internacionais e Ciência Política para articular as questões ambientais entre o local e o global para, posteriormente, revelar como a governança ambiental multinível e policêntrica é estabelecida para o caso do uso da biodiversidade em comunidades locais na Amazônia brasileira, como apresentado no trabalho empírico. / The environment is presented as one of the challenges of global governance with regard to the approaches of International Relations and Political Science. This is due to the fact that natural resources are not subjected to the direct sovereignty of the State and/or formal international organizations as a source of authority because of the transnationality that the subject entails. In this sense, the different actors of International Relations, State and non-State, need to build action arenas, create regulations where States (eventually) are not present, and create instruments of enforcement and compliance. However, the centrality of environmental issues is kept in check by rationalist theories of International Relations based on States\' authority and ability to top-down enforcement. The environment is a subject better considered in transnational arenas in a multilevel and polycentric context. In this sense, the analysis at the local level and the organizational ability of social groups in the constitution of institutional arrangements through collective action to address the possible \"tragedy of the commons\" has attracted scholars seeking to demonstrate its effectiveness and, consequently, their contribution for the resolution of global environmental issues. Thus, the aim of this study is to demonstrate how the relationship between the governance of the common-pool resources at the local level is linked to the global governance instruments set by governments and formal international organizations for the use of biodiversity. Initially, a literature review of International Relations and Political Science literature is carried out to articulate environmental issues between the local and the global to reveal how the multilevel and polycentric environmental governance is established in the case of the use of biodiversity in local communities in the Brazilian Amazon, as shown in the empirical work.

L’Organisation des Nations Unies (ONU) – une organisation unique à vocation universelle possédant sa propre personnalité juridique contrairement aux autres organisations internationales soumises, elles, au droit international, et disposant du pouvoir de définir ses relations avec les tiers ou parties prenantes, agit dans le cadre d’un système de gouvernance à deux niveaux. Ce système est composé d’une part de mécanismes de « gouvernance externe » (pour une coordination entre différents acteurs comme les États, les Ministères, les autres institutions internationales, les entreprises et les Organisations non gouvernementales) et d’autre part de dispositifs de « gouvernement interne » (cf. Bouquin & Kuszla, 2014), qui encadrent les différents organes de l’ONU. L’articulation de ces deux formes de gouvernance doit assurer la mise en œuvre des politiques internationales. Ces politiques prennent la forme de plans ou programmes d’action dans différents domaines, en particulier dans le domaine environnemental. Même si cet axe ne fait pas partie des missions historiques de l’ONU comme la paix et la sécurité internationale, il a pris de l’importance à partir de 1972 avec la création du Programme des Nations Unies pour l’environnement – PNUE. Bien que ses missions aient évolué, le PNUE n’a jamais été aussi faible. L'analyse des configurations de contrôle du PNUE nécessite une approche sociologique prenant en compte les interactions entre les acteurs et la structure (théorie de la structuration et des métaorganisations). La comparaison de deux études de cas mit au jour trois configurations de contrôle des organisations à vocation universelle et une grille d’analyse des facteurs à prendre en compte pour assurer une articulation cohérente de leurs deux formes de gouvernance. / The United Nations (UN) – an atypical organization with its own legal personality unlike other international organizations, has the power to define its relationships with all its stakeholders and is acting within a system of governance at two levels: one of "external governance" (for coordination between different actors such as governments, other international institutions, international funds, businesses and non-governmental organizations) and one of internal governance (Bouquin, Kuszla, 2014) which frames the various UN bodies. The articulation of those two forms of governance ensures the implementation of international policies at the national level. These policies take the form of plans or programs of action in various fields, especially in the environmental field. Although this axis is not part of the historic UN missions such as peace and international security, it gradually took on some importance in 1972 with the establishment of the United Nations Environment Programme - UNEP. Although its missions and its organizational control model have progressively changed, UNEP’s governance has never been that weak. Analysis of UNEP’s control configurations requires a sociological approach that captures the interactions between actors and structure (structuration and metaorganizations theory). The comparison of two case studies carried out in a situation of participant observation revealed three universal’s organizational control configurations and a grid of factors to be considered in order a coherent articulation of these organizations’ two forms of governance.

Submitted by Rosina Valeria Lanzellotti Mattiussi Teixeira (rosina.teixeira@unisantos.br) on 2019-01-23T11:49:13Z No. of bitstreams: 1 Josieni Pereira de Barros.pdf: 1175399 bytes, checksum: b1b307c03889b30b3cd67f95cd45fc77 (MD5) / Made available in DSpace on 2019-01-23T11:49:13Z (GMT). No. of bitstreams: 1 Josieni Pereira de Barros.pdf: 1175399 bytes, checksum: b1b307c03889b30b3cd67f95cd45fc77 (MD5) Previous issue date: 2018-09-20 / A presente tese propõe-se a apresentar a tributação ambiental, pautada na extrafiscalidade, como uma fundamental política pública de fomento ao desenvolvimento sustentável, de modo a estimular outros atores não estatais na cooperação para a gestão da sustentabilidade. Pretende-se, com esta abordagem, demonstrar a possibilidade de atuação da política fiscal ambiental e a instituição de ecotributos como uma ação global e local para a implementação de pontuais Objetivos do Desenvolvimento Sustentável (ODS), especialmente os objetivos 11 e 12. Para atingir tal propósito, demonstrou-se a participação dos atores subnacionais como mecanismo da governança ambiental global. A pesquisa analisou o efeito dessa participação na solução de problemas comuns, crescentes na era globalizada e no mundo pós-moderno, onde os conceitos tradicionais do direito internacional são insuficientes para a tratativa dos problemas líquidos que permeiam a atualidade. Verificou-se essa mudança de paradigma pelo viés da tributação ambiental e da cooperação internacional local, estabelecendo a criação de ecotributos como instrumento essencial para fomento da produção, do consumo e das cidades sustentáveis. / The present thesis aims to present environmental taxation, based on extrafiscality, as a fundamental public policy to promote sustainable development, in order to stimulate other non-state actors to cooperate towards sustainable management. This approach sets out to demonstrate the viability of environmental fiscal policy and the creation of greentaxes as global and local action to implement specific Sustainable Development Goals (SDG), especially goals 11 and 12. To this end, this study establishes the participation of subnational actors as a mechanism for global environmental governance. The study examined the effect of this participation in solving common problems, increased in the globalized era and in the postmodern world, where traditional concepts of international law have proved insufficient to deal with liquid problems. This change of paradigm was observed through environmental taxation and local international cooperation, establishing the creation of greentaxes as a fundamental instrument to promote production, consumption and sustainable cities.

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This research provides a novel outlook on the emergence of norms in world politics. Guided by a constructivist theoretical framework and a process tracing methodology, it tests Martha Finnemore and Kathryn Sikkink's pioneering life cycle model of norms (1998) with an unexplored case study. By investigating the processes that led to the legally binding Plastic Waste Amendments of the Basel Convention, it evaluates the model’s main mechanisms and studies the question of ‘How can we explain the emergence of a norm on plastic pollution within the scope of the Basel Convention?’ To do so, it combines an in-depth analysis of the international relations literature, official reports, and carefully selected interviews with actors involved in the global governance of plastic and the World Ocean. This research shows that co-construction processes between ideas, agents, and structures are at play in the emergence of norms. It offers a detailed understanding of the processes of norm emergence in world politics, original insights for the global governance of plastic pollution in the World Ocean, and opportunities to answer the challenges brought by transnational environmental issues. The findings of this research will likely be of particular interest for global environmental governance scholars and to those looking for pathways to foster global cooperation. / Cette recherche offre une perspective nouvelle sur l’émergence des normes en politique mondiale. Guidé par un cadre théorique constructiviste et une méthodologie basée sur le traçage des processus, elle teste le modèle de cycle de vie des normes de Martha Finnemore et Kathryn Sikkink (1998) par l’entremise d’une étude de cas inexplorée. En étudiant les processus qui ont menés aux amendements juridiquement contraignants sur les déchets de plastique de la Convention de Bâle, elle évalue les principaux mécanismes du modèle de cycle de vie des normes et étudie la question suivante : « Comment expliquer l’émergence d’une norme sur la pollution des plastiques dans le cadre de la Convention de Bâle ? ». Pour ce faire, cette étude combine une analyse approfondie de la littérature des relations internationales, des rapports officiels et des entretiens soigneusement sélectionnés avec des acteurs œuvrant dans la gouvernance globale du plastique et de l'océan mondial. Cette recherche montre que des processus de co-construction entre idées, agents et structures contribuent à l'émergence des normes. Cette recherche offre une compréhension détaillée des processus d'émergence des normes en politique mondiale; des perspectives originales pour la gouvernance globale de la pollution plastique dans l'océan mondial; et des opportunités pour relever les défis posés par les enjeux environnementaux transnationaux. Les résultats de cette recherche seront probablement d’intérêt pour les spécialistes de la gouvernance environnementale globale et pour ceux qui cherchent des moyens pour renforcir la coopération mondiale.