Atualmente, há inúmeras instalações offshore operando em regimes instáveis de escoamento. Tal regime é resultado de diâmetros superdimensionados das linhas de produção ou baixa vazão dos poços. Deve-se notar que, muitas vezes, o regime intermitente se instala no final da vida produtiva dos poços, devido ao declínio natural dos reservatórios, o que causa uma redução da produção do campo de petróleo. Tal instabilidade traz dificuldades na produção offshore, pois pode causar danos nos equipamentos da plataforma ou perdas de produção. Neste âmbito, é necessário estudar meios de atenuar ou suprimir este tipo de regime de escoamento. O objetivo deste trabalho é desenvolver métodos de forma a garantir a estabilidade do sistema através da modulação adequada da válvula choke, reduzindo ou mesmo eliminando o comportamento oscilatório da produção, mantendo a válvula choke na maior abertura possível, trazendo desta forma, ganhos econômicos através do aumento da produtividade do poço. Para a análise do sistema, utilizou-se um modelo dinâmico simplificado encontrado na literatura. Este modelo foi escolhido por reproduzir adequadamente o escoamento em golfadas severas, causado pela presença de trecho horizontal descendente na linha de produção. O sistema foi também modelado no OLGA®, sendo este, um software comercial com uso bastante disseminado na indústria de petróleo e com grande aplicação em simulações que exigem uma análise do comportamento transiente do problema. A avaliação da eficácia dos métodos de supressão das golfadas foi realizada através de duas abordagens distintas. Inicialmente, utilizou-se um controlador PI adaptativo com capacidade de operação em diferentes regiões de aberturas da válvula choke. Por fim, utilizou-se um Regulador Linear Quadrático associado a um observador de estados com filtro de Kalman Unscented com o objetivo de verificar como o sistema se comportaria em caso de necessidade de um observador para compensar uma possível falha do sensor submarino de pressão. Em ambos os casos, notou-se redução nas oscilações devido a golfadas do poço. As soluções foram implementadas através da integração entre o modelo do OLGA® e os algoritmos desenvolvidos no MATLAB utilizando servidor OPC. / Nowadays, there are numerous offshore installations operating in unstable flow regimes. Such unstable flow is the result of oversized diameters of production lines or low flow wells. It should be noticed that often the intermittent system occurs at the end of the productive life of wells due to the natural decline of the reservoir, which causes a reduction in oil field production. Such instability brings difficulties in offshore production, it can cause damage to the platform equipment or production losses. In this context, it is necessary to consider means to reduce or remove this type of flow regime. The objective of this work is to develop methods to ensure system stability by adequate modulation of choke valve, reducing or even eliminating the oscillatory behavior of the production, with the biggest choke valve opening possible, bringing economic gains by increasing well production The system analysis was carried out using a simplified dynamic model found in literature. This model was chosen by appropriately reproduction of severe slug flow, caused by the presence of downward horizontal section in the production line. The problem was also modeled on OLGA®, which is a commercial software with widespread use in the oil industry and large application in simulations that require a transient behavior analysis. The evaluation of the slugs suppression methods was carried out through two different approaches. First, an adaptive PI controller with capability to operate in different regions of choke valve openings was used. Finally, a Quadratic Linear Regulator associated to an Unscented Kalman Filter was used to verify how the system would behave in the event of a possible failure of subsea pressure sensor. In both cases, there was a reduction in oscillations due to slugs. The solutions were implemented through communication between the OLGA® model and the control algorithms developed in MATLAB using OPC server.

This thesis makes a new contribution to the field of corporate social responsibility in the area of corporate community engagement (CCE) and public relations in the area of organization-public relationships (OPRs). The thesis focuses on the Nigerian oil and gas industry community relationship in the Niger Delta region. This study provides valuable insights into how CCE works for enhancing stakeholder relationship and other desirable outcomes and thereby contributes to the growing body of knowledge on CSR in public relations. For the practice of CCE, this study reinforces the importance of relationship management as a viable and robust strategy that can bring long-term benefits both to organizations and society in general. A qualitative approach was adopted as it is considered appropriate for the research, which focuses on assessing stakeholders’ views regarding the relationship between oil and gas company and their host community in the Niger Delta region of Nigeria. Also, exploring how the stakeholders juxtapose their understanding of the relationship determinants between the oil and gas company and their host community. Semi-structured interviews served as the primary source of data collection from various stakeholders during fieldwork in Nigeria. Secondary methods served a crucial but minor role and were used primarily for the purpose of the researcher as a tool to double check the interview findings. Thirty-five respondents provided their views and opinions concerning the relationship between the oil and gas companies and communities in the region. The study uncovered the importance of culture, social awareness, social identity, corruption, insecurity, mediation and weak institutional structures as crucial predictors of relationship determinants for the oil and gas companies during engagement with their host communities. Moreover, this study explored the research on relationship success determinants key constructs (i.e. control mutuality, trust, commitment and satisfaction) to a qualitative assessment. Also, the developed framework emphasised the need for using these factors for assessing and building a successful long term relationship. Another key finding was that there is a significant difference between how multinational oil companies (MNOCs) and indigenous oil companies (INOCs) engage with the community. This finding suggests that the INOCs have a better approach in the engagement of host communities.

[pt] Primeiramente, o trabalho examina em que medida os países pobres possuem retornos de capital mais elevados que os países ricos. Em segundo lugar, investiga se as diferenças nos retornos de capital entre países estão correlacionadas com fatores institucionais, variância e/ou assimetria nos retornos. Os resultados indicam uma relação negativa entre os retornos e o PIB per capita mas com pouca significância econômica. Ademais, os resultados indicam correlações significantes entre retornos de capital e alguns fatores institucionais, embora esses também não sejam economicamente significativos. O desvio padrão ou a assimetria nos retornos não parecem estar correlacionados com os retornos. Em suma, os achados indicam que uma pior qualidade institucional é, até certo ponto, uma explicação plausível para altos retornos de capital nos países pobres. Ainda assim, a falta de significância econômica encontrada destaca a natureza idiossincrática dos retornos nesta indústria devido a independência entre retornos e fatores específicos ao país. Os resultados indicam a necessidade de adaptar a teoria economia à differenças setoriais e também é importante na prática para empresas privadas no setor de petróleo e gás, pois os resultados indicam que estas não devem se preocupar particularmente com o PIB per capita ou as instituições dos países em que considera investir. Ao invés disso, os resultados indicam que as empresas devem olhar principalmente para características dos poços mesmo. Diversas explicações plausíveis para os resultados são delineadas. / [en] This thesis makes use of a unique and vast dataset of investment and production in the oil and gas industry from 1950 to 2016, to explore the Lucas Paradox and the drivers of returns to capital in the industry. Firstly, the thesis examines to what extent poor countries possess higher average returns to capital than rich countries. Secondly, it investigates whether the differences in returns between countries are correlated with institutional factors, variance and/or asymmetry in the returns. The results demonstrate that poorer countries have enjoyed significantly higher returns to capital than richer countries. Moreover, the findings show that institutional factors such as property rights protection, level of corruption and level of schooling possess a positive and statistically significant correlation with returns to capital. However, both these findings are not particularly economically significant. Variance and asymmetry of the returns appear to be an irrelevant explanation for the Lucas Paradox. On the other hand, asset-specific factors, that were, ex-ante, expected to be merely insignificant control variables, such as the size of the reservoir, or whether the asset is located onshore or offshore, have large R-squared impact on returns to capital. The findings in this thesis are important because the largely insignificant magnitude of country-specific variables highlight the importance of adapting economic development theory to account for sector-specific differences, as emphasized by Feyrer and Caselli (2008). Moreover, the results indicate that profit maximizing oil and gas companies considering new investments in a country should not be overly concerned with the GDP per capita nor the institutional quality of the country in question. Several potential explanations and paths for future studies are delineated.

Aujourd’hui, l’un des principaux défis dans l’industrie pétrolière, et particulièrement dans le domaine de l’exploration, est l’exploitation des nouvelles ressources dans des zones structuralement complexes.Nous savons que la géométrie et le glissement le long des failles actives modifie la distribution locale des contraintes. La connaissance du champ de contrainte perturbé actuel est importante pour l’étude des tremblements de Terre, pour la planification de forages ainsi que pour la prédiction de la fracturation induite par l’hydro-fracturation et la prédiction de la réactivation des fractures. Les contraintes perturbées passées, quant à elles sont responsables du développement des fractures naturelles (préexistantes). La détection et la modélisation de celles-ci sont essentielles tant dans le domaine pétrolier (migration et piégeage des fluides) pour une exploitation efficace et à moindre coût des réserves naturelles.Comprendre et quantifier le développement spatial et temporel de ces contraintes a un impact économique non négligeable. L'analyse des paléo-contraintes a été introduite dans un premier temps par Anderson (1905 & 1942) de manière intuitive, puis dans le milieu du siècle dernier, Wallace (1951) et Bott ( 1959) proposèrent les simples postulats que le champ de contrainte est homogène et que la direction du rejet est parallèle à la traction projetée sur le plan de faille. Beaucoup de méthodes d’inversion de contraintes reposent aujourd’hui sur ce principe.Afin d’étudier la validité de l’hypothèse Wallace et Bott, une comparaison avec les vecteurs de glissement générés à partir de modèles numériques (BEM) est effectuée. En testant l’influence de multiples paramètres (géométrie, contraintes au limites du modèle, friction, coefficient de poisson, demi-espace, pression de fluide dans la faille), il est montré que les failles à géométries complexes soumises à certaines contraintes aux limites peuvent engendrer des vecteurs glissements présentant des écarts important avec les la plus grande contraintes cisaillantes résolue sur le plan de faille. A l’inverse, la présence d’une forte friction de glissement permet, dans certaines conditions, de valider l’hypothèse de Wallace et Bott. On s’attache ensuite à comparer les résultats des inversions de contraintes basées sur l’hypothèse de Wallace et Bott (appelé méthode d’inversion classique de contraintes) avec une méthode géomécanique. Pour cela, une faille à géométrie complexe est utilisée dans une étude de sensibilité (contraintes aux limites, friction, échantillonnage) permettant d’analyser l’incertitude des résultats des deux méthodes d’inversion. Cette analyse est ensuite confrontée à l’étude d’un cas de terrain, montrant les avantages et inconvénients des méthodes d’inversions classiques de contraintes.Un des principaux défis de l’industrie pétrolière est l’exploitation des ressources des zones structuralement complexes telles que les réservoirs naturellement fracturés. Connaitre l’état de contraintes hétérogène passé permet d’optimiser la modélisation de ces fractures naturelles. Etant donné que les glissements sur les failles sont difficiles à observer dans les réservoirs pétroliers, les données de d’orientation de fractures (joints, failles, stylolites) sont naturellement prises en compte lors de l’inversion des contraintes. On montre, en utilisant divers exemples de terrain et d’industrie, que dans de tels cas, l’utilisation d’inversions basée sur la mécanique est beaucoup plus appropriée. Cependant, il est parfois difficile de déterminer le type cinématique de fracture observée le long des puits, et très souvent, les zones étudiées ont subi une tectonique polyphasée. La dernière partie vise donc à résoudre le problème des données de types cinématiques non identifiables (joints, failles, stylolites…) et étend parallèlement l’inversion mécanique des contraintes à la séparation de phases tectoniques. / Today, one of the main challenges in the oil industry, especially during the exploration phase, is the exploitation of new resources in structurally complex areas such as naturally fractured reservoirs, salt diapirs, mountain ranges, and unconventional reservoirs.We know that the geometry and sliding along active faults modifies the local stress distribution. Knowing the present day perturbed stress field is important for the study of earthquakes, for the planning of the borehole drilling and stability as well as for the prediction of fractures induced by hydro-fracturing and reactivation of natural fractures. In the other side, perturbed paleostress are responsible for the development of (pre-existing) natural fractures. The detection and modeling of the latter, are essential both in the oil industry (migration and trapping of fluids) for a cost efficient recovery of natural reserves.Understanding and quantifying the spatial and temporal development of the stress distribution has a significant economic and environmental impact. The analysis of paleo-constraints was intuitively introduced first by Anderson (1905 & 1942), then in the middle of the last century, Wallace (1951) and Bott (1959) proposed the simple hypothesis that (i) The stress field is homogeneous in space and constant in time, and that (ii) the slip direction is parallel to the traction projected on the fault plane which gives the direction of the shear stress. Many stress inversion methods are based on this hypothesis while recent studies raise doubts as to their compatibility with rock mechanics.In order to investigate the validity of the Wallace and Bott hypothesis, a comparison with vectors of slip generated with numerical models (BEM) is performed. By testing the influence of multiple parameters (geometry, boundary conditions, friction, Poisson’s coefficient , half-space, fault fluid pressure), it is shown that the complex geometry faults subject to specific boundary conditions can yield slip vectors with significant discrepancies with the maximum shear stress resolved on the fault plane. Conversely, the presence of a high sliding friction, allows under certain conditions, to validate the hypothesis of Wallace and Bott.We then focus on the task to compare the results of stress inversions based on the assumption of Wallace and Bott (called classical stress inversion methods) to a geomechanical method. For this, a complex fault geometry is used in a sensitivity analysis (boundary conditions, friction, sampling) to evaluate the uncertainty of the results of the two inversion methods. This analysis is then compared to a case study, Chimney Rock (Utah, USA), showing the advantages and disadvantages of the classical stress inversion methods.One of the main challenges of the oil industry is the exploitation of resource in structurally complex oil fields such as naturally fractured reservoirs. Knowing the heterogeneous paleostress allows to optimize the modeling of these natural fractures. Since slip on faults is hardly observed in petroleum reservoirs, fracture orientation data (joints, faults, stylolites) are naturally taken into account during the inversion of stresses. It is shown, using various field and industry examples, that in such cases the use of mechanical stress inversions is much more appropriate.However, it is sometimes difficult to determine the fracture kinematics observed along wellbores, and very often the studied regions underwent multiple tectonic phases. The final section aims to address the problem of data with unknown kinematic (joints, faults, stylolites ...) and expends the mechanical stress inversion to the separation of tectonic phases.

Submitted by Filipe dos Santos (fsantos@pucsp.br) on 2017-03-22T12:50:55Z No. of bitstreams: 1 Luís Alberto de Fischer Awazu.pdf: 2964845 bytes, checksum: c7c46674e73900a25221527ac79dd7bb (MD5) / Made available in DSpace on 2017-03-22T12:50:55Z (GMT). No. of bitstreams: 1 Luís Alberto de Fischer Awazu.pdf: 2964845 bytes, checksum: c7c46674e73900a25221527ac79dd7bb (MD5) Previous issue date: 2017-03-10 / The main objective of this thesis is to analyze mechanisms to stimulate the study of legal certainty in the face of the practical application of the principle of legal certainty in cases of foreign direct investment in oil and gas in Brazil, under the provisions of Chapter 1 of Title VII of the Federal Constitution of the Republic of Brazil called "General Principles of Economic Activity", mainly in the face of regulatory or institutional risk. For this reason Chapter 1 also contemplates the discipline of foreign capital (art. 172), state intervention in the economic domain (articles 173 and 174) and legal discipline of oil extraction (art. 177). In fact, the present study focuses on the constitutional law applied to concrete cases, in order to allow the various constitutional principles that make up the economic constitution to be verified when applied to foreign investments, mainly as a result of the State's regulatory activity. In addition with the study of the legal dispositions related to the matter, we must relate its application with the principle of legal certainty. This constitutes a metavalue, essential to constitutional law. Therefore, one of the major challenges of this research is the identification of parameters for an effort to apply this principle, that is, its application to concrete legal relationships. In this sense, the specific regulations of the oil and gas sector and foreign investment in Brazil were analyzed. Afterwards, new parameters were proposed related regulation of economic activity, such as the proposal of new principles of state performance and the adoption of mechanisms of public governance. In addition, it is proposed mechanisms for the preservation of contracts in force with the State and the analysis of parameters of the control of administrative discretion, in cases in which the authorizing legal command has low normative density, with a view to meeting the principle of legality in a concrete case. Finally, ponctual regulatory measures are proposed in order to promote legal certainty in the application of the constitutionally adequate ideology regarding foreign direct investment and the oil and gas industry / O objetivo desta tese consiste em analisar mecanismos de fomento do estudo da segurança jurídica em face da aplicação concreta do princípio da segurança jurídica nos casos de investimento estrangeiro direito em petróleo e gás no Brasil, à luz do disposto no capítulo 1 do Título VII da CRFB, “Dos Princípios Gerais da Atividade Econômica”, principalmente em face do risco regulatório ou institucional. Nesta seara, o Capítulo 1 ainda contempla a disciplina do capital estrangeiro (art. 172), da intervenção do Estado no domínio econômico (arts. 173 e 174) e a disciplina jurídica da extração do petróleo (art. 177). De fato, o presente trabalho possui como foco o direito constitucional aplicado aos casos concretos, no sentido de permitir que os diversos princípios constitucionais que compõem a Constituição Econômica possam ser verificados quando de sua aplicação aos investimentos estrangeiros, principalmente como fruto da atividade regulatória do Estado. Em conjunto com o estudo dos dispositivos normativos atinentes à matéria, devemos relacionar sua aplicação com o princípio da segurança jurídica. Este constitui-se num metavalor, essencial ao direito constitucional. Por isso, um dos maiores desafios desta pesquisa é a identificação de parâmetros para um esforço concretizador deste princípio, ou seja, sua aplicação às relações jurídicas concretas. Neste sentido, foram analisadas as regulações específicas do setor de petróleo e gás e do investimento estrangeiro no Brasil. Após, foram analisados novos parâmetros de regulação da atividade econômica, como a propositura de novos princípios de atuação estatal e a adoção de mecanismos de governança pública. Além disso, propõe-se mecanismos de preservação dos contratos firmados com o Estado e a análise de parâmetros do controle da discricionariedade administrativa, nos casos em que o comando legal autorizador possui baixa densidade normativa, com vistas ao atendimento do princípio da legalidade no caso concreto. Por fim, propõe-se medidas concretas de cunho regulatório no sentido de fomentar a segurança jurídica na aplicação da ideologia constitucionalmente adequada no que tange aos investimentos estrangeiros diretos e à indústria do petróleo e gás

Cette thèse en économie de l'énergie et de l'environnement étend le modèle de Hotelling du type exploration-extraction avec contraintes géologiques d’Okullo, Reynes et Hofkes (2015), afin de prendre en compte des trajectoires en forme de cloche pour l’ajout de réserves empiriquement observées par Laherrère (2003). Le modèle LOGIMA proposé (Images à Long terme sur le Pétrole et le Gaz) explique qu’elles sont la conséquence de « sweet spots » géologiques : des zones privilégiées où la concentration d’hydrocarbures est la plus élevée. Le modèle LOGIMA a été calibré sur une base de données issues couvrant les sept principaux bassins de pétrole et de gaz non-conventionnels du pays. Les résultats indiquent que la nécessité d’apprentissage par la pratique pour découvrir l’emplacement des sweet spots conduit à une mise en œuvre d’un effort d’exploration également en forme de cloche, ce qui permet de réduire le risque des activités d’exploration. Par conséquent, la réponse en termes des volumes offerts par les producteurs à des chocs sur les prix dévient fonction de l’ensemble des ressources mondiales antérieurement découvertes. Ensuite, nous appliquons le modèle LOGIMA pour étudier l’impact causé par l’offre de pétrole et de gaz naturel « non-conventionnels » aux États-Unis, sur les efforts mondiaux d’atténuation du changement climatique. Nous y parvenons en associant les scénarios à long-terme générés par LOGIMA avec le modèle d’évaluation intégrée, IMACLIM-R. Cette étude analyse comment des différentes cibles de prix de pétrole affecteraient son offre aux États-Unis. Nous estimons cette interaction au moyen de trois cadres de politiques en matière de climat : le cadre « business as usual » (BAU), les contributions décidées à l’échelle nationale (NDC) et les scénarios de 2°C (2DS). Les résultats de l’exercice indiquent que les approvisionnements non-conventionnels sont fortement susceptibles d’affecter les marchés énergétiques mondiaux, mais leur impact sur les émissions mondiales de gaz à effet de serre serait limité, car les différents effets déclenchés dans des différents secteurs viendraient les équilibrer approximativement. / This thesis in energy and environmental economics extends the geological Hotelling-type extraction-exploration model from Okullo, Reynes and Hofkes (2015) in order to account for the bell-shaped reserve additions that were empirically observed by Laherrère (2003). The proposed model explains them as the result of geological “sweet spots”: premium areas within geological formations where the concentration of hydrocarbons is highest. The proposed theoretical formulation was programmed into the mathematical model LOGIMA – “Long-term Oil and Gas Images” – and calibrated on data covering the seven main unconventional oil and gas plays in the United States. Results indicate the need to learn the location of sweet spots through trial and error drillings leads to schedules of exploratory effort that allow the optimal “de-risking” of exploratory activities. As a result, the optimal response of producers to price shocks becomes contingent on the prevailing level of cumulative discoveries.We apply LOGIMA to investigate the impact, caused by the recent advent of large-scale supplies of unconventional oil and gas, in the United States, on the ongoing efforts to mitigate climate change. We do so by soft coupling long-term scenarios from LOGIMA with the integrated assessment model, IMACLIM-R, a recursive, computable general equilibrium model of integrated global energy, economy and environment systems. We analyze how different price targets, potentially pursued by the Organization of Petroleum Exporting Countries (OPEC), would affect supplies of unconventional oil and gas from the United States. We control this interplay under three climate policy frameworks: business as usual (BAU), nationally determined contributions (NDCs) and 2°C scenario (2DS). The results of the exercise show that, despite having a significant potential to affect global energy markets, unconventional oil and gas supplies would have a limited potential to affect global cumulative greenhouse gas emissions to 2040, as the different effects triggered in different sectors approximately balanced each other out.

Submitted by Joana Azevedo (joanad@id.uff.br) on 2017-09-22T14:33:10Z No. of bitstreams: 1 Dissert Talita Granzinoli Vellozo.pdf: 771210 bytes, checksum: 188a00b2dd976ec2831ba2169064f249 (MD5) / Approved for entry into archive by Biblioteca da Escola de Engenharia (bee@ndc.uff.br) on 2017-09-28T13:11:14Z (GMT) No. of bitstreams: 1 Dissert Talita Granzinoli Vellozo.pdf: 771210 bytes, checksum: 188a00b2dd976ec2831ba2169064f249 (MD5) / Made available in DSpace on 2017-09-28T13:11:14Z (GMT). No. of bitstreams: 1 Dissert Talita Granzinoli Vellozo.pdf: 771210 bytes, checksum: 188a00b2dd976ec2831ba2169064f249 (MD5) Previous issue date: 2016-07-05 / As empresas do setor de Exploração e Produção de petróleo e gás, cada vez mais estão incorporando a variável ambiental em seus processos, através da adoção de indicadores de desempenho ambiental. Esta pesquisa tem como principal objetivo analisar os indicadores de desempenho ambiental mais divulgados pelas principais empresas do setor, signatárias do Global Reporting Iniative (GRI). Para tal, foram avaliados seus relatórios de sustentabilidade ambiental para o período de 2010 a 2014, bem como estabelecidos critérios para a seleção dos indicadores a serem estudados. Com relação aos indicadores de desempenho ambiental mais divulgados, EN3 (Consumo Energético), EN8 (Total de retirada de água por fonte), EN16 (Total de emissões diretas e indiretas de GEE), EN20 (NOx, SOx e outras emissões atmosféricas significativas), EN22 (Peso total de resíduos, por tipo e método de disposição) e EN23 (Número e volume total de derramamentos significativos); as empresas, em sua maioria, apresentaram melhora em seu desempenho ao longo dos anos. O indicador EN22, bem como o indicador EN3, foram os que apresentaram os melhores desempenhos pelas empresas. Apesar da melhoria das práticas observadas pelas empresas, observa-se que o indicador EN20 apresentou os resultados mais desfavoráveis. Com efeito, a análise crítica, quanto à aplicação dos indicadores e das práticas de melhoria adotadas pelas empresas, auxilia na avaliação do seu desempenho e gestão ambiental, sendo possível a proposição de melhorias no que está sendo realizado pelas mesmas no referente a sustentabilidade, em seu aspecto ambiental. / The Companies of the exploration and production sector of oil and gas are increasingly incorporating the environmental variable in their processes, through the adoption of environmental sustainability indicators. This research has as main objective to analyze the environmental sustainability indicators most publicized by the major oil companies’ signatories of the Global Reporting Initiative (GRI). To this end, the environmental sustainability reports were evaluated for the period 2010 to 2014, and criterias were established for the selection of environmental sustainability indicators to be studied. Considering the most publicized environmental performance indicators, EN3 (Energy Consumption), EN8 (Total water withdrawal by source), EN16 (Total direct and indirect GHG emissions), EN20 (NOx, SOx and other significant air emissions), EN22 (Total weight of waste by type and disposal method) and EN23 (Total number and volume of significant spills); the majority of companies showed improvement in their performance over the years. The EN22 indicator, as well as the EN3 showed the best performance by companies. Despite improvements in practices observed by the companies, it’s observed that the EN20 indicator showed the most unfavorable results. Indeed, the review of the application of indicators and improvement practices adopted by companies may assist in the evaluation of its performance and environmental management, making possible to propose improvements being carried out by them in respect of environmental sustainability.

A presente tese de doutorado analisa, de forma crítica, como as receitas de recursos naturais devem ser arrecadadas, distribuídas aos entes federativos e aplicadas no Direito Financeiro Brasileiro. Para tanto, parte-se do exame dos contornos econômicos e políticos da exploração de recursos naturais, apresentando breve histórico sobre a cobrança de royalties no estrangeiro, da evolução da legislação brasileira sobre as compensações financeiras, discutindo então a natureza jurídica destas receitas públicas no direito pátrio. Com base nessas premissas, apresentam-se considerações gerais sobre a concentração geográfica de recursos naturais e o dilema da repartição de receitas provenientes da exploração destes recursos nas federações, procedendo-se então ao estudo do modelo de repartição federativa de receitas de compensações financeiras adotado pelo Brasil. Reconhecendo-se a constante evolução deste modelo e apontando-se suas virtudes e seus defeitos, desenvolve-se uma avaliação de proposições normativas de mudanças dos critérios atualmente adotados, especialmente no que diz respeito à equalização fiscal enquanto elemento de promoção de desenvolvimento subnacional e redução das desigualdades inter-regionais e intrarregionais, bem como de coesão política nacional. Finalmente, são discutidos os aspectos teóricos e práticos da aplicação das receitas oriundas da exploração de recursos naturais, bem como analisada a prática brasileira. Com fundamento nesta análise, as vinculações legais das receitas de recursos naturais e a constituição de fundos públicos financiados por estas receitas são avaliadas no contexto brasileiro. As conclusões preliminares desses pontos informam, então, o estudo sobre o papel relevante do controle de contas, da fiscalização e da transparência fiscal na promoção da eficiência e da justiça do gasto público no contexto das receitas de recursos naturais. / This doctoral thesis presents a critical analysis of the collection, intergovernmental distribution and expenditure of natural resource revenues under Brazilian Public Finance law. In order to provide a comprehensive discussion of such proposition, the thesis first examines the economic and political aspects of the natural resources industry, then presents a brief historical overview of natural resources royalties under both comparative and Brazilian law and continues with an analysis of the legal status of royalties in Brazil. Building on such premises, the thesis proceeds with general remarks on the geographical concentration of natural resources in federal countries and on decentralization arrangements for royalties, as well an on the Brazilian revenue sharing instruments. Acknowledging the continuous evolution of these instruments and evaluating their costs and benefits, a discussion on alternative revenue sharing arrangements is presented, especially regarding the promotion of equalizing goals and political cohesion among subnational units of governments in Brazil. Finally, the thesis discusses the theoretical and practical aspects of public expenditures of royalty revenues, presenting an analysis of the Brazilian praxis. Building on this analysis, an evaluation of revenue earmarking procedures and natural resources funds is presented. The preliminary conclusions therein enable a discussion of accountability, public auditing and fiscal transparency in the context of natural resources revenue expenditures.

Regulation of border and behind-the-border measures in the oil and gas sectors presents the ‘resource access’ challenge with immense economic ramifications for export markets, yet their status under the multilateral trading regime remains obscure. Recent developments that could reshape the trading regime and market dynamics for oil and gas have seen the call for a global energy governance gain momentum in recent years. But the complex relationships between national laws, institutional norms, and the multilateral trading regime regulating energy presents an ideological ‘conflict in applicable law’. They reveal a conflict between regulatory privileges enshrined in energy resource-focused institutions namely: OPEC as a producer-only treaty, the ECT as a sector-specific multilateral energy treaty, national energy laws on the heel of the PSNR principle as a customary international law; versus international obligations under the GATT rules relevant to energy. These regimes have the trappings of nationalism, regionalism, and institutionalism in energy regulation, thereby creating an ambiguous path to global energy governance. This research revisits the institutional and regulatory architecture of oil and gas regimes from the perspective of quota measures and trade-related investment measures (TRIMs) implemented through the instrumentality of national laws, acts of NOCs (in the oil sector) and acts of non-state undertakings (in the gas sector). It therefore charts an uncommon territory and brings a new dimension to the discipline of energy and trade, with a robust examination of how regulation of quota measures and trade-related investment in the oil sector (with export restriction issues) differs from their regulation in the gas sector (with underlying competition issues) and how their varying trade effects shape their future in international economic law. Given the inherent conflicts between the legal, policy, and regulatory design of these regimes governing energy, this research first explores and applies the principle of conflict of norms to energy governance. This paves way for a hands-on approach to examining the applications of these measures under the auspices of these regimes aimed at a ‘co-operative energy governance’ between the resource-focused regimes and the GATT rules relevant to energy on the basis of their trade effects. I argue that an understanding of ‘quota measures’ and ‘TRIMs’ in the oil sector compared to their implementations in the gas sector is compelling in making a case for a systemic energy cooperation that would serve economic interests of all affected states without diminishing the normative value of each regime in each sector.

In Nigeria, almost every business enterprise relies on petroleum products for power or transportation. Shortages of petroleum products cripple business activities and undermine development of the Nigerian economy. The purpose of this multiple case study was to explore supply chain management strategies needed by petroleum business leaders to mitigate shortages and sustain business development in Nigeria. The sample for the study included 10 senior leaders from 2 private-sector Nigerian downstream petroleum supply companies located in the Niger Delta region, who had successfully implemented strategies for petroleum supply. The resource based view theory served as the conceptual framework for the study. Data collection included semistructured face-to-face interviews and review of operational and policy documents from the supply companies. Data were transcribed, analyzed, and validated through member checking and triangulation, resulting in the identification of 6 themes: appropriate allocation of resources to all segments of the supply value chain for efficiency, efficient banking and foreign exchange operations, engaging appropriate human capital for operational efficiency, technology application in both operational and nonoperational segments, maintaining good organization reputation in the industry, and investment in Nigerian crude oil refining and infrastructures. Findings may be used by petroleum business leaders and investors to create effective and efficient supply chain management, leading to product availability, employment opportunities, poverty reduction, and economic development.