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.

Lors de la synthèse des aciers ODS, la première étape consiste à réaliser un broyage actif, appelé mécano-synthèse, entre les matériaux de départ qui sont la poudre métallique et les renforts d’oxyde. Ce procédé peut se réaliser au moyen d’un broyeur à boulets, constitué d’une cuve cylindrique à l’intérieur de laquelle des billes en acier sont introduites. Le broyage résulte des combinaisons de chocs entre billes, poudre et paroi de la cuve, ce qui conduit à une évolution de la de la taille, de leur forme et de leur polydispersité. La première partie de cette thèse s’est attachée à élaborer un moyen de caractérisation de la poudre par des mesures ultrasonores. Une méthode qui consiste à sonder un échantillon de poudre métallique pour la mesure des paramètres acoustiques s’est avérée être adaptée pour la qualification de la poudre métallique en cours de broyage. Une dépendance des paramètres acoustiques avec les caractéristiques morphologiques du milieu a également été mise en évidence pour des échantillons granulaires. Dans une deuxième partie, l’optimisation du procédé par l’identification de la vitesse optimale de rotation de la cuve est recherchée dans un premier temps. Une mise en parallèle des signaux acoustiques et vibratoires en fonction de la vitesse de rotation de la cuve avec le mouvement des billes, montre que les énergies acoustique et vibratoire sont des indicateurs pouvant conduire à la vitesse de rotation optimale. Puis, il est montré comment des mesures acoustiques et vibratoires durant un broyage permettent de caractériser l’évolution de la nature des poudres et d’identifier la présence de colmatage de la poudre sur les parois de la cuve. / During the ODS steel (Oxide Dispersion Strengthened) synthesis, the first stage consists in an active milling between original materials, which are metallic powder and oxide to obtain reinforced micro/nanoscale dispersions. This process, known as mechanical alloying, could be realized by balls milling composed by a cylindrical tank rotating around its main axis, within which steel beads are introduced. The grinding results from different combinations of collisions between beads and powders on the tank walls, that lead to morphological grain powder evolution (grain size and shape). The first part of this thesis proposes an ultrasonic method to characterize the metallic powder. An experimental method, which consists in acoustic probing for measuring linear acoustic parameters (longitudinal wave velocity and elastic modulus) of a slab of powder sample, appears to be suitable to follow different mechanical alloying stages. A dependence of the acoustic parameters on the morphological characteristics of metallic powder (grain shape and grain size distribution) is shown with the same sample preparation and the same confining pressure. In the second part, optimization process by identification of ball milling optimal rotation speed is researched in a first step. Correlation between acoustic or vibration signals and bead motion versus rotation speed, shows that acoustic and vibration energy are good indicators that can be used to find the optimal rotation speed. In a second step, acoustic and vibration measures are used to follow grain material properties evolution during a grinding (for a period of 176hrs) and to identify powder clogging mechanism on a milling tank.

[pt] Em reação aos problemas causados pelo crescimento da urbanização mundial, o movimento da agricultura urbana vem se expandindo e consolidando como infraestrutura verde capaz de gerar novas alternativas para o ambiente urbano e a segurança alimentar, tanto no Norte como no Sul Global. Majoritariamente implantadas em espaços residuais, as hortas urbanas comunitárias promovem dinamismo na produção do espaço e ações de impacto socioambiental que podem contribuir para sustentabilidade e resiliência urbanas. O objeto de estudo desta dissertação é o programa de agricultura urbana comunitária da prefeitura do Rio de Janeiro – Hortas Cariocas, que, desde 2006, viabiliza a produção de alimentos orgânicos em favelas, escolas e vazios urbanos. Buscou-se cruzar o referencial teórico com dados do programa, visitas, entrevistas e aplicação de questionários para analisar o Programa Hortas Cariocas e verificar suas contribuições para a cidade e a Agenda 2030 como vetor de desenvolvimento sustentável no contexto urbano. / [en] Reacting to the problems caused by the growth of world urbanization, the urban agriculture movement has been expanding and consolidating as a green infrastructure able to generate new alternatives for the urban environment and food security, regardless of climate or city location – North or Global South. Mostly implemented in residual spaces, community urban gardens promote dynamism in space production and socioenvironmental impact that can also contribute to urban sustainability and resilience.The object of study of this dissertation is the communal urban agriculture program of the city of Rio de Janeiro – Hortas Cariocas, which since 2006 produces organic food in slums, schools and urban voids. This research aimed to cross the theoretical framework with data from the program, visits, interviews and application of questionnaires to analyze Hortas Cariocas and verify its contributions to the city and 2030 Agenda as a sustainable development vector in the urban context.

[pt] A presente dissertação tem como proposta de estudo, analisar e propor ação interventiva local, tomando como referência analítica a Agenda 2030 para o desenvolvimento sustentável, pois considerando que no ano de 2015, após um longo período de discussão, a ONU lançou o documento Transformando nosso mundo e elegeu os 17 Objetivos de Desenvolvimento Sustentável, os quais visam orientar as lideranças governamentais na gestão de países e cidades. Tomamos como ponto de investigação as proposições do ODS 11 - que objetiva tornar cidades e assentamentos humanos inclusivos, seguros, resilientes e sustentáveis - seus indicadores e a operacionalização de práticas sustentáveis, alinhadas à responsabilidade social. Desse modo, acreditamos que seja um caminho para reafirmar a importância da Engenharia Urbana e Ambiental na elaboração e na construção de parâmetros para as políticas públicas sustentáveis, voltadas ao desenvolvimento urbano e ao enfrentamento dos problemas das cidades. Neste sentido como proposta de intervenção, nossa pesquisa além de ter sido alicerçada na revisão bibliográfica e documental, fundamentou-se metodologicamente no de Planejamento Estratégico Situacional - PES, desenvolvido por Carlos Matus, que será demonstrado através do estudo de caso, objetivando analisar os indicadores relacionados ao Objetivo de Desenvolvimento Sustentável 11 - ODS 11 e sua aplicabilidade prática e efetiva sobre as necessidades de uma comunidade localizada na Zona Oeste do Rio de Janeiro, que após trabalho de campo, nos garantiu elencar os principais nós críticos relacionados ao contexto socioambiental e estabelecer prioridades para a construção de propostas sustentáveis em resposta às deficiências estruturais de espaços públicos de esporte e lazer e do descarte irregular de resíduos sólidos. / [en] This study aims to present and analyze a local intervention action, taking as analytical reference the 2030 Agenda for sustainable development launched after a long period of discussion by the United Nations with government leaders. Based on the document was titled: Transforming our world: the 2030 agenda for sustainable development, the 2030 Agenda presents an action plan for the 17 Sustainable Development Goals (SDGs) to be achieved by 2030: 1. Poverty Eradication; 2. Ending hunger, achieving food security and improving nutrition and promoting sustainable agriculture; 3. Ensuring a healthy life and promoting well-being for all, at all ages; 4. Ensure quality inclusive and equitable education, and promote lifelong learning opportunities for all; 5. Achieving gender equality and empowering all women and girls; 6. Ensure the availability and sustainable management of water and sanitation for all; 7. Ensure reliable, sustainable, modern and affordable access to energy for all; 8. Promote sustained, inclusive and sustainable economic growth, full and productive employment, and decent work for all; 9. Build resilient infrastructure, promote inclusive and sustainable 10. industrialization, and foster innovation; 11. Reduce inequality within and between countries; 12. To pray for inclusive, safe, resilient and sustainable human cities and settlements; 13. Ensure sustainable production and consumption patterns; 14. Take urgent measures to combat climate change and its impacts; 15. Conserve and sustainably use the oceans, seas and marine resources for sustainable development; 16. Protect, recover and promote the sustainable use of terrestrial ecosystems, sustainably manage forests, combat desertification, stop and reverse land degradation, and stop biodiversity loss; 17. Promote peaceful and inclusive societies for sustainable development, provide access to justice for all and build effective, accountable and inclusive institutions at all levels; 18. Strengthen the means of implementation and revitalize the global partnership for sustainable development (UN, 2014). In this sense, we take as a point of investigation for this study the indicators related to Sustainable Development Goals No. 11 (SDG11) and its interrelationship between urban development, environment and the participation of local social actors, having as research locus a sub-neighborhood of the west of the city of Rio de Janeiro, called Murundu, located in the neighborhood of Padre Miguel. According to data from the City Hall of Rio de Janeiro, this region is part of the XVII Administrative Region / Bangu and comprises the neighborhoods of Bangu, Gericinó, Padre Miguel, Senador Camará and Vila Kennedy, planning area 5 (AP5). In addition, according to the official website of the city hall, the murundu community is a sub-located along Murundu and Olimpia Esteves streets. Originally called The Aurea Garden, it became popularly known by its name, due to the Murundu Cemetery.

[pt] O oceano é um ecossistema fundamental para a sobrevivência dos humanos e não humanos. Todavia, vem sendo explorado de forma desordenada e sufocado com poluição plástica, como demonstram diagnósticos recentes, elaborados na Década do Oceano, inclusive em relação ao cenário brasileiro. Nesse período, pretende-se alavancar ações para alcançar um oceano saudável e produtivo, entre outros atributos, mediante integração e colaboração entre diversos atores, inclusive as instituições financeiras, que dispõem de recursos para financiar sua execução. O presente trabalho objetiva demonstrar como o Planejamento Espacial Marinho, cujo estudo para implementação do Projeto-Piloto na região sul do país será apoiado pelo Banco Nacional de Desenvolvimento Econômico e Social (BNDES), poderá, além de servir de base para a adequada regulação do uso sustentável do oceano, também acelerar o combate à poluição plástica nesse ecossistema, induzindo a ampliação de ações voltadas à gestão de resíduos sólidos, nele planejadas. Esse efeito adicional poderá ser alcançado porque esse planejamento será desenvolvido com base ecossistêmica e observando a integração entre as políticas públicas marinhas e terrestres já existentes, além de considerar todas as questões que afetam o oceano. A Convenção das Nações Unidas sobre Diversidade Biológica definiu a base ecossistêmica como uma estratégia para a gestão integrada da terra, da água e dos recursos vivos, que promove a conservação e o uso sustentável, de um modo equitativo. No âmbito do referido financiamento, deverão ser produzidos cadernos técnicos setoriais, entre os quais sobre meio ambiente e mudança do clima, analisando, inclusive, a poluição marinha e como esse problema ambiental e social pode afetar o uso econômico do oceano. Assim, aliando essa iniciativa a outras que já são apoiadas, em linha com sua missão socioambiental, o BNDES irá induzir transformações relevantes, ao colaborar para a efetividade da Política Nacional de Resíduos Sólidos, necessária para o desenvolvimento da Economia Azul e a consequente sustentabilidade do oceano. / [en] The ocean is a fundamental ecosystem for the survival of humans and non-humans. However, it has been exploited in a disorderly way and suffocated with plastic pollution, as shown by recent diagnoses, elaborated in the Ocean Decade, including in relation to the Brazilian scenario. During this period, the intention is to leverage actions to achieve a healthy and productive ocean, among other attributes, through integration and collaboration between different actors, including financial institutions, which have resources to finance its execution. This work aims to demonstrate how the Marine Spatial Planning, whose study for the implementation of the Pilot Project in the southern region of the country will be supported by the National Bank for Economic and Social Development (BNDES), may, in addition to providing for the regulation of ocean use, also accelerate the combat against plastic pollution in this ecosystem, inducing the expansion of actions aimed at solid waste management in Brazil. This additional effect can be achieved because this planning will be developed based on ecosystem and observing the integration between existing marine and terrestrial public policies, in addition to considering all issues that affect the ocean. The United Nations Convention on Biological Diversity defined the ecosystem base as a strategy for the integrated management of land, water and living resources that promotes conservation and sustainable use in an equitable way. In this financing, should be produced a sectoral notebook about the environmental and climate change, including analyzing marine pollution and how this environmental and social problem can affect the economic use of the ocean. Thus, combining this initiative with others that are already supported, in line with its socio-environmental mission, the BNDES will induce relevant transformations, by collaborating for the effectiveness of the National Solid Waste Policy, necessary for the development of the Blue Economy and the consequent sustainability of the ocean.

This thesis was most concerned with the mechanical response to irradiation of two in-house produced oxide dispersion strengthened (ODS) steels and two non-ODS coun- terparts. The steels, manufactured by Dr. M. J. Gorley (University of Oxford), were me- chanically alloyed from gas-atomised Fe-14Cr-3W-0.2Ti, with the addition of 0.25Y₂O₃ powder in the case of the ODS variants. The powders were hot isostatic pressed at consolidation temperatures of 950 °C and 1150 °C. The four steels were designated 14WT 950 (non-ODS), 14YWT 950 (ODS), 14WT 1150 (non-ODS) and 14YWT 1150 (ODS), and were used in the as-produced condition. Initially, the macroscale elastic modulus and yield stress were determined using a four-point flexure test, employing digital image correlation (DIC) as a strain gauge. The microcantilever size eects were then characterised, and it was determined that the yield stress signicantly diverged from macroscale values at microcantilever beam depths of < 4.5 μm. Using knowledge of this, the in-house produced alloys were irradiated with 2 MeV protons at the Surrey Ion Beam Centre (University of Surrey, UK) to a displacement damage of ∼ 0.02 dpa and 0.2 dpa (Bragg peak). This was to produce a deep irradiated layer for the fabrication of large microcantilevers with reduced size effects. The cross-sectional surface of the irradiated layer was then exposed and inclined linear arrays of 250 nm deep indents were placed across the damage prole. 14WT 1150 (non-ODS) revealed a clear proton damage prole in plots of hardness against irradiation depth, 14WT 950 (non-ODS) also showed modest hardening in the region of the Bragg peak. No appreciable hardening was observed in either 14YWT specimens, attributed to the fine dispersion of nanoscale oxides providing a high number density of defect sink sites. However, a large bimodal variation in hardness was measured in both ODS variants. This was investigated using EBSD and EDX, and was determined to be caused by a pronounced heterogeneity of the microstructure. While Hall-Petch strengthening and changes in the local chemistry had some effect on the measured hardness, the most likely cause of the large variation in local hardness was heterogeneity in the nanoscale oxide population. Microcantilevers were fabricated out of the irradiated layer cross-section in 14WT 1150 and 14YWT 1150. Larger microcantilevers, with ∼ 5 μm beam depth, were placed with their beam centre at ∼ 0.026 dpa. Smaller microcantilevers, with ∼ 1.5 μm beam depth, were placed with their beam centre at the Bragg peak, 0.2 dpa. Both the large and the small microcantilevers fabricated in 14WT 1150 (non-ODS) displayed significant irradiation hardening. In the ODS variant, 14YWT 1150, irradiation hardening appeared to be reduced. The work in this thesis successfully showed that it was possible to extract a close approximation of the macroscale yield stress from shallow irradiated layers, providing that the irradiation condition is carefully chosen in response to known size dependent behaviour. This thesis also investigated the size dependent behaviour of microcantilevers using a lengthscale dependent crystal plasticity UMAT, developed by Dunne et al. and implemented within ABAQUS 6.14-2 commercially available nite element software. The simulation of the GND density evolution with increasing plastic strain allowed their contribution to the microcantilever size effect, through mobile dislocation pinning, to be determined. This novel approach to modelling size effects in three dimensional finite element microcantilever models demonstrated that while it was possible to simulate a lengthscale-dependent response in finite element microcantilever models, the constitutive equation for the plastic velocity gradient needs to be more physically based in order the match the experimentally derived results; for example, a lengthscale-dependent term relating to the dislocation source density of the material. Although the apparent reduction of irradiation hardening in ODS in-house produced alloys showed great promise, these alloys also displayed a large amount of scatter in measured hardness and yield stress, attributed to the pronounced heterogeneity in the microstructure. Alloys with such signicant microstructural heterogeneity are not suitable for engineering or commercial use.

[pt] A dissertação faz uma análise do Programa Nacional de Produção e Uso do Biodiesel (PNPB), criado em 2005, que introduziu na matriz energética brasileira o biodiesel, um combustível renovável e orgânico, que pode ser produzido a partir de óleos vegetais, gorduras de animais e óleos residuais de frituras. O PNPB estabeleceu a adição do biodiesel ao diesel fóssil de forma gradual e parcial, cujo teor deverá alcançar 15 por cento em 2026. O PNPB é analisado com base nos três pilares da sustentabilidade, considerando os aspectos econômicos, sociais e ambientais. Na economia, apesar dos custos do biodiesel serem maiores que os do diesel fóssil, o PNPB vem contribuindo para reduzir a sua importação, melhorando o saldo da balança comercial. Na questão ambiental, o biodiesel, ao substituir parcialmente o consumo de diesel, contribui para a descarbonização do setor de transporte e para que o Brasil cumpra seu objetivo de redução de emissões, determinado no Acordo de Paris (2015), uma vez que o biodiesel emite cerca de 70 por cento menos GEE, em relação ao diesel fóssil. No aspecto social, embora não tenha cumprido o objetivo original de priorizar a agricultura familiar do Norte e Nordeste, o PNPB instituiu desonerações fiscais através do Selo Biocombustível Social aos produtores de biodiesel que adquirissem matérias-primas da agricultura familiar, fomentando a inclusão social, a geração de trabalho e renda no campo e o desenvolvimento regional. Desse modo, o PNPB contribui para os Objetivos de Desenvolvimento Sustentável (ODS), que englobam metas ambientais, econômicas e sociais, que deverão ser cumpridas até 2030. A dissertação também analisa se há competição relevante pelo uso da terra entre a produção de biodiesel e as terras reservadas à conservação ambiental ou utilizadas na produção de alimentos. Por fim, são analisados diferentes cenários tendenciais de produção e uso do biodiesel e biocombustíveis no Brasil, em um contexto em que os veículos elétricos tendem a ser cada vez mais disseminados, mas com intensidade menor no caso dos veículos pesados (caminhões e ônibus) e nos países em desenvolvimento. / [en] The dissertation analyzes the National Program for the Production and Use of Biodiesel (PNPB), created in 2005, which introduced biodiesel into the Brazilian energy matrix, a renewable and organic fuel that can be produced from vegetable oils, animal fats and used cooking oil. The PNPB established the gradual and partial addition of biodiesel to fossil diesel, whose content should reach 15 percent in 2026. The PNPB was analyzed based on the three pillars of sustainability, considering the economic, social and environmental aspects. In the economy, despite the higher costs of biodiesel than diesel, the PNPB has contributed to reducing diesel imports, improving the trade balance. On the environmental side, biodiesel contributes to the decarbonization of the transport sector by partly replacing diesel consumption. It also helps Brazil to meet its Paris Agreement emission reduction objectives, since biodiesel emits about 70 percent less GHG than fossil diesel. In terms of social contribution, even though it did not fulfill its original objective to prioritize family farming in the North and Northeast, the PNPB instituted tax breaks for biodiesel producers who purchase raw materials from family farmers through the Social Biofuel Certificate, fostering social inclusion, the generation of jobs and income in the countryside and regional development. In this way, the PNPB contributes to the Sustainable Development Goals (SDGs), which include environmental, economic and social goals, which must be met by 2030. The dissertation also analyzes whether there is relevant land use competition between the production of biodiesel with land reserved for environmental conservation or used in food production. Finally, different future scenarios of production and use of biodiesel and biofuels in Brazil are analyzed, in a context in which electric vehicles tend to be increasingly widespread, but with lower intensity in the case of heavy vehicles (trucks and buses) and in developing countries.

Tesis por compendio / [ES] Los Objetivos de Desarrollo Sostenible (ODS) plantean un llamamiento global para conseguir la sostenibilidad en aspectos esenciales de la vida humana. El actual consumo de energía para el tratamiento de aguas residuales es muy elevado, y las previsiones apuntan a un incremento de la demanda en la próxima década. En este contexto, resulta necesario aplicar la perspectiva de sostenibilidad, para conseguir de forma simultánea todos los ODS. Un desempeño energético más sostenible de las Estaciones Depuradoras de Aguas Residuales (EDAR) implica acciones en dos líneas, reducir el consumo, y generar energías renovables in situ. Para implantar medidas a corto plazo, es necesario explorar las posibilidades que pueden ofrecer las tecnologías ya maduras, y evaluar su potencial contribución a la descarbonización del sector. La generación de electricidad mediante maquinaria hidráulica aprovechando la energía potencial de los efluentes podría ser una de ellas. El principal objetivo de esta tesis doctoral consiste en desarrollar una metodología, dirigida a los agentes de gobernanza, para evaluar el potencial de generación de energía hidráulica en EDAR, considerando las tres dimensiones de sostenibilidad. De este modo, poder ilustrar las posibilidades de aplicación de esta tecnología, actualmente poco conocida para el sector, que podría contribuir a una gestión más sostenible de las aguas residuales. Las fases desarrolladas incluyeron: 1) Contextualización: Se revisó el estado del arte sobre las necesidades energéticas y las tecnologías para la generación de energía renovable en EDAR. Paralelamente sobre el estado de la tecnología para la recuperación de energía en redes de agua existentes mediante maquinaria hidráulica. Para completar este marco, la revisión se amplió con una búsqueda exhaustiva de casos de estudio reales de aplicación en EDAR. En esta fase se identificaron 49 casos de estudio y se analizó su desempeño energético. Los resultados de esta fase en general demostraron que existe una experiencia real en la aplicación práctica de esta tecnología que no se está utilizando para el desarrollo de todo su potencial en este sector. 2) Desarrollo de la metodología: Se analizaron las metodologías existentes para evaluación del potencial de esta tecnología, y el resultado se comparó con la información obtenida en la contextualización. Como resultado, durante esta tesis se ha desarrollado una metodología con una nueva perspectiva. En primer lugar, se introduce la necesidad de considerar el nivel al que se produce la toma de decisiones, para adaptar el alcance del estudio (un grupo de EDAR). A continuación, la metodología se desarrolla en dos etapas. En la etapa 1 (evaluación técnica) el potencial de generación de energía hidráulica se estima de forma individual para cada EDAR. En la etapa 2 (evaluación global) se propone un método de decisión multicriterio (MCDA) introduciendo criterios de sostenibilidad. La alineación de la metodología con su contexto de aplicación se considera una cuestión clave, de modo que el método propuesto se basa en las directrices del instrumento de gobernanza para aguas residuales en España (Plan DSEAR). 3) Aplicación práctica: Esta fase completa el estudio con la aplicación a un grupo de 186 EDAR de la Comunidad Valenciana (España), con la misma modalidad de financiación. Se estimó una generación de electricidad de 340,472 kWh/año, aunque como hallazgo se observó la posibilidad de que dicho potencial sea mayor. En la etapa 2 se mostró que, cuando los resultados de la etapa 1 se ponen en el contexto de sostenibilidad, se obtiene una nueva perspectiva. Esta investigación demuestra que, en el marco de los ODS, la recuperación de energía hidráulica del agua residual podría ser una opción más en la descarbonización de este sector. Tomando como base esta propuesta, agentes de gobernanza para la gestión de aguas residuales en otro contexto podrían desarrollar metodologías similares adaptadas a su propio entorno. / [CA] Els Objectius de Desenvolupament Sostenible (ODS) plantegen una crida global per a aconseguir la sostenibilitat en aspectes essencials de la vida humana. L'actual consum d'energia per al tractament d'aigües residuals és molt elevat, i les previsions apunten a un increment de la demanda en la dècada vinent. En este context, resulta necessari aplicar la perspectiva de sostenibilitat, per a aconseguir de manera simultània tots els ODS. Un acompliment energètic més sostenible de les Estacions Depuradores d'Aigües Residuals (EDAR) implica accions en dues línies, reduir el consum, i generar energies renovables in situ. Per a implantar mesures a curt termini, és necessari explorar les possibilitats que poden oferir les tecnologies ja madures, i avaluar la seua potencial contribució a la descarbonització del sector. La generació d'electricitat mitjançant maquinària hidràulica aprofitant l'energia potencial dels efluents podria ser una d'elles. El principal objectiu d'esta tesi doctoral consisteix a desenvolupar una metodologia, dirigida als agents de governança, per a avaluar el potencial de generació d'energia hidràulica en EDAR, considerant les tres dimensions de sostenibilitat. D'aquesta manera, poder il·lustrar les possibilitats d'aplicació d'esta tecnologia, actualment poc coneguda per al sector, que podria contribuir a una gestió més sostenible de les aigües residuals. Les fases desenvolupades van incloure: 1) Contextualització: Es va revisar l'estat de l'art sobre les necessitats energètiques i les tecnologies per a la generació d'energia renovable en EDAR. Paral·lelament sobre l'estat de la tecnologia per a la recuperació d'energia en xarxes d'aigua existents mitjançant maquinària hidràulica. Per a completar este marc, la revisió es va ampliar amb una cerca exhaustiva de casos d'estudi reals d'aplicació en EDAR. En esta fase es van identificar 49 casos d'estudi i es va analitzar el seu acompliment energètic. Els resultats d'esta fase en general van demostrar que existeix una experiència real en l'aplicació pràctica d'esta tecnologia que no s'està utilitzant per al desenvolupament de tot el seu potencial en este sector. 2) Desenvolupament de la metodologia: Es van analitzar les metodologies existents per a avaluació del potencial d'esta tecnologia, i el resultat es va comparar amb la informació obtinguda en la contextualització. Com a resultat, durant esta tesi s'ha desenvolupat una metodologia amb una nova perspectiva. En primer lloc, s'introdueix la necessitat de considerar el nivell al qual es produeix la presa de decisions, per a adaptar l'abast de l'estudi (un grup de EDAR). A continuació, la metodologia es desenvolupa en dues etapes. En l'etapa 1 (avaluació tècnica) el potencial de generació d'energia hidràulica s'estima de manera individual per a cada EDAR. En l'etapa 2 (avaluació global) es proposa un mètode de decisió multicriteri (MCDA) introduint criteris de sostenibilitat. L'alineació de la metodologia amb el seu context d'aplicació es considera una qüestió clau, de manera que el mètode proposat es basa en les directrius de l'instrument de governança per a aigües residuals a Espanya (Pla DSEAR). 3) Aplicació pràctica: Esta fase completa l'estudi amb l'aplicació a un grup de 186 EDAR de la Comunitat Valenciana, amb la mateixa modalitat de finançament. Es va estimar una generació d'electricitat de 340,472 kWh/any, encara que com a troballa es va observar la possibilitat que aquest potencial siga major. En l'etapa 2 es va mostrar que, quan els resultats de l'etapa 1 es posen en el context de sostenibilitat, s'obté una nova perspectiva. Esta investigació demostra que, en el marc dels ODS, la recuperació d'energia hidràulica de l'aigua residual podria ser una opció més en la descarbonització d'este sector. Prenent com a base esta proposta, agents de governança per a la gestió d'aigües residuals en un altre context podrien desenvolupar metodologies similars adaptades al seu propi entorn. / [EN] The Sustainable Development Goals establish a universal agenda to call for action and achieve sustainability in essential aspects of human life. Nowadays the energy demand for wastewater treatment is very high and it is expected to increase in the next decade. Therefore, the performance of this industry will have an effect on SDG 6, but also on SDG 7 and 13. In this context, it is necessary to apply the sustainability approach to wastewater systems to simultaneously achieve all these goals. More sustainable energy performance of wastewater treatment plants (WWTPs) implies two parallel steps: a reduction of energy consumption and the implementation of renewable energy technologies. To take action in the short term, existing mature technologies should be explored to evaluate their potential contribution to the decarbonization roadmaps in the wastewater industry. Hydropower might be one of these technologies. The main objective of this thesis is to develop a methodology, addressed to wastewater governance stakeholders, to assess the potential of hydropower application to WWTPs, regarding all three dimensions of sustainability. According to this, the final aim of this study is to illustrate the practical possibilities, usually unknown, that hydropower could offer to the wastewater sector in the pathway towards more sustainable systems. To achieve that aim, the steps in this research included: 1) Contextualization: The review of the state of the art was conducted in two lines. Firstly, about the energy needs for wastewater treatment and technologies for renewable energy generation. Secondly, about hydropower for energy recovery from existing networks. To complete the framework, this stage was extended with an exhaustive search and analysis of real case studies of hydropower applications to WWTPs. In this stage, 49 case studies were identified, and their energy data were extracted to obtain energy self-sufficiency indicators and analyze their renewable energy profiles. Furthermore, the technical data of their hydropower systems were examined. The overall results of this stage showed that there is an existing experience that is not being used to explore hydropower as an option for energy recovery in the wastewater sector. 2) Methodology development: In a preliminary step, existing methodologies for hydropower potential assessment were analyzed and compared with the framework obtained from the contextualization. As a result, a methodology with a broader approach was developed. First, it introduces the consideration of the decision-making level to select the scope of the study (a group of WWTPs). Then, the proposed methodology consists of two steps. In step 1 (technical assessment of hydropower potential) individual power output is estimated for each site. This step was validated with the data obtained during the contextualization. In step 2 (global assessment), after analyzing existing guidelines, a multi-criteria decision analysis (MCDA) method with sustainability criteria is defined. As the alignment with the context is a key issue introduced in this proposal, this method is based on the guidelines in the wastewater governance instrument in Spain (PDSEAR). 3) Practical application: This stage completes the research with the application of the proposed methodology to a case study, a group of 186 WWTPs in the region of Valencia (Spain), selected according to their management model. The generation was estimated at 340,472 kWh/year, but it was found that the potential could be higher. The results also showed that the perspective may be different, if the outcomes from step 1, are put into context in step 2, with the application of the MCDA method. This research demonstrates that, in a sustainability framework, hydropower might be an interesting option to consider for the decarbonization of wastewater systems. Based on this study, decision-making stakeholders could design their own methodologies, adapted to the specific context. / The authors would like to acknowledge grant PID2020–114781RA-I00 funded by MCIN/AEI/ 10.13039/501100011033. / Llácer Iglesias, RM. (2023). Hydropower Potential for Energy Recovery in Wastewater Systems. Assessment Methodology and Practical Application [Tesis doctoral]. Universitat Politècnica de València. https://doi.org/10.4995/Thesis/10251/201558 / Compendio