A Avaliação Ambiental Estratégica (AAE) é um instrumento que tem como objetivo dar suporte à tomada de decisão, informando as possíveis consequências para o meio ambiente derivadas de ações estratégicas (Políticas, Planos e Programas) e, desta forma, possibilita a inserção de questões ambientais nos níveis estratégicos do planejamento. A efetividade da AAE tem sido foco de estudos recentes, contribuindo para o seu aprimoramento. No Brasil, apesar de iniciativas institucionais para a formalização da AAE, esse instrumento não é regulamentado, o que torna sua prática sujeita a grande variabilidade. A fim de suprir a lacuna de informações quanto aos procedimentos e à influência dessas avaliações na tomada de decisão, este trabalho teve como objetivo analisar a efetividade da prática brasileira do instrumento. Para isso, analisou-se a efetividade processual de 26 AAEs (72% do total de AAEs identificadas neste trabalho, realizadas entre 1997 e 2012) e a efetividade substantiva de três delas, valendo-se de procedimentos qualitativos de pesquisa. Os resultados mostram que, de modo geral, a prática brasileira não é consistente em termos de procedimentos, havendo grande variação entre as etapas desenvolvidas em cada caso, o que parece se relacionar com os motivadores e/ou elaboradores da avaliação. Além disso, a AAE não tem influenciado a tomada de decisão principal, sendo mais voltada para a mitigação do objeto avaliado. No entanto, notam-se alguns efeitos positivos indiretos, em especial com relação à organização e disponibilização de informações e a promoção da comunicação entre instituições e setores. Evidencia-se, então a necessidade de se refletir sobre o uso da AAE no contexto brasileiro, sobretudo discutindo-se objetivos e diretrizes procedimentais para o instrumento, de modo a evitar a variabilidade e inadequações observadas na pesquisa, bem como buscar a sua incorporação em momentos mais adequados ao timing do planejamento, para que a AAE seja, de fato, considerada na decisão. / The purpose of the Strategic Environmental Assessment (SEA) is to support decision-making, advising possible consequences of strategic actions (Politics, Plans and Programmes), thus ensuring that environmental issues are taken into account as soon as possible in strategic planning. Recently, SEA effectiveness is being studied intending to improve its practice. In Brazil, regardless some institutional initiatives to formalize the SEA, it is not legally required and there is no national guidelines, which makes the SEA practice. In order to fill in the gap of information about the proceedings and the influence of these SEA practices in decision making, the purpose of this study was to analyse the effectiveness of Brazilian SEA, reviewing the procedural effectiveness for 26 SEAs (72% of all the identified Brazilian SEA done between 1997 and 2012) and the substantive effectiveness for three cases. The results shown that, generally, Brazilian practice is not procedurally consistent, being highly dependent on the stakeholders involved. Besides, SEA does not influence the main decisionmaking and is focused in mitigation actions. Nevertheless, the SEA achieved some positive effects, e.g. publishing important information about planning process, and improving the communication between institutions and sectors. These findings suggest that it is necessary to discuss the SEA use in Brazilian context, especially considering and defining its goals and proceedings to avoid the variability and inadequacies observed, as well as enhancing its use in strategic levels and at more appropriate timing, intending to really contribute to decision process.

O mecanismo de REDD+ tem sido colocado como central para incentivar medidas de mitigação das alterações climáticas globais envolvendo os ecossistemas florestais, sendo importante a definição das modalidades de financiamento a serem adotadas no âmbito da Convenção Quadro das Nações Unidas para as Mudanças Climáticas (UNFCCC, na sigla em inglês) para a viabilização destes incentivos. Buscando contribuir para este debate, o presente trabalho analisa a relação entre as características dos projetos de REDD+ no Brasil e suas modalidades de financiamento, baseadas em fundos públicos ou no mercado de carbono. A análise é feita aplicando-se estatística descritiva e testes de hipótese a dados coletados em bases de dados de acesso público, no período de janeiro a outubro de 2015, para 89 projetos piloto de REDD+ aprovados no mercado voluntário de carbono e no Fundo Amazônia. Para descrever as características dos projetos são utilizadas 21 variáveis, elaboradas a partir de informações referenciadas como relevantes na literatura sobre REDD+ e sobre instrumentos econômicos de política ambiental. Com base nos resultados foi possível identificar que os projetos sob cada modalidade de financiamento possuem claras diferenças, convergentes com distintas concepções teóricas sobre instrumentos econômicos baseados em incentivo, sendo que os Projetos financiados por fundos públicos estão mais alinhados aos conceitos propostos pela economia ecológica e os projetos financiados por mercados de carbono são mais aderentes às premissas da economia ambiental neoclássica. Por outro lado, foram identificadas também características em que o contraste entre as duas categorias de projetos não se mostrou tão evidente, representando a necessidade destes projetos de adaptar-se às complexidades do contexto florestal e à eficiência necessária para garantir resultados esperados do REDD+. Argumenta-se assim em favor da adoção de modalidades mistas de financiamento, capazes de gerar financiamento simultaneamente a projetos sob fundos públicos e sob mercados de carbono / The REDD+ mechanism is central to foster global forest-based climate change mitigation measures. And for it to work properly, it is of great relevance that financial mechanisms to be used for these incentives are defined within the UNFCCC. Aiming to contribute to this debate, this study analyses the relationship between the characteristics of REDD+ projects in Brazil and the financing mechanisms they use: public funds or carbon markets. The analysis is conducted using statistical descriptive analysis and hypothesis testing to 21 variables that describe core project characteristics. Data was collected from public access databases between January and October 2015 for 89 projects approved under the Voluntary Carbon Market and under the Amazon Fund. Based on the analysis results it is possible to identify that the projects under each category presents clear distinctions related to conceptual differences between the financial mechanisms: projects under public funds are aligned mainly with the ecological economics view and projects under the carbon market are more adherent to the neoclassical environmental economics view. On the other hand, there are some characteristics in which this contrast is not so clear, and that represent the projects efforts to adapt to the complexities of the forest sector and to the efficiency and efficacy requirements necessary achieve the expected REDD+ results. It is argued that that a mixed financial mechanism should be adopted, in order to enable simultaneous financing to both public fund and carbon markets projects

Nous étudions la relation entre la mise en place d’instruments politiques, des innovationsvia la Recherche et Développement (R&D) et la diffusion de la technologie dans une structure Nord-Sud. Nous analysons d’abord l’impact de la mise en place d’instruments politiques d’un pays du Nordsur l’investissement en R&D domestique (de procédé puis de produit) dans un cadre théorique. LeNord fait face à la concurrence venant d’un pays du sud à faibles coûts de production. Les résultatsmontrent que ces instruments stimulent les dépenses en R&D mis à part avec un quota surimportations. Nous nous concentrons ensuite sur la question de la diffusion de la technologie du Nordvers le Sud. Nous utilisons un modèle dynamique théorique dans lequel le Nord publie un brevet pouraugmenter la durée de monopole concernant l’utilisation d’une nouvelle technologie. Les instrumentspolitiques précédents ralentissent la diffusion technologique mis à part le quota, une nouvelle fois.Néanmoins, des représailles mises en place par le Sud peuvent l’accélérer. Enfin, nous réalisons uneétude empirique à l’aide d’estimations économétriques au niveau des déterminants potentiels de ladiffusion de la technologie entre le Nord et le Sud, mesurée par les collaborations de brevet. Nousmontrons que l’intégration à l’Union Européenne des pays d’Europe de l’Est augmentesignificativement l’intensité des collaborations avec les pays d’Europe de l’Ouest alors que l’effet surla probabilité de collaboration n’est pas significatif. / We study the relationship between policy instruments, innovations through Research andDevelopment (R&D) and technology diffusion in a North-South structure. First, we analyze the impactof the implementation of policy instruments by a Northern country on domestic (process and product)R&D expenditures in a theoretical framework. The North faces competition from a low-cost Southerncountry. The results show that policy instruments increase R&D expenditures except for an importquota. Then, we focus on the issue of technology diffusion from the North to the South. We design adynamic theoretical model in which the North files a patent to increase the monopoly period with anew technology. Previous policy instruments slow down technology diffusion except for an importquota again. Nevertheless, retaliations implemented by the South may accelerate it. Finally, we makean empirical study through econometric estimations of potential determinants of the technologydiffusion from the North to the South measured by patent collaborations. We show that the EuropeanUnion integration of Eastern European countries significantly increases the intensity of patentcollaborations with Western European countries while the effect on the probability of collaboration isnot significant.

China has been experiencing great economic development and fast urbanisation since its reforms and opening-up policy in 1978. However, these changes are reliant on consumption of primary energy, especially coal, characterised by high pollution and low efficiency. China’s greenhouse gas (GHG) emissions, with carbon dioxide (CO2) being the most significant contributor, have also been increasing rapidly in the past three decades. Responding to both domestic challenges and international pressure regarding energy, climate change and environment, the Chinese government has made a point of addressing climate change since the early 2000s. This thesis provides a comprehensive analysis of China’s CO2 emissions and policy instruments for mitigating climate change. In the analysis, China’s CO2 emissions in recent decades were reviewed and the Environmental Kuznets Curve (EKC) hypothesis examined. Using the mostly frequently studied macroeconomic factors and time-series data for the period of 1980-2008, the existence of an EKC relationship between CO2 per capita and GDP per capita was verified. However, China’s CO2 emissions will continue to grow over coming decades and the turning point in overall CO2 emissions will appear in 2078 according to a crude projection. More importantly, CO2 emissions will not spontaneously decrease if China continues to develop its economy without mitigating climate change. On the other hand, CO2 emissions could start to decrease if substantial efforts are made. China’s present mitigation target, i.e. to reduce CO2 emissions per unit of GDP by 40-45% by 2020 compared with the 2005 level, was then evaluated. Three business-as-usual (BAU) scenarios were developed and compared with the level of emissions according to the mitigation target. The calculations indicated that decreasing the CO2 intensity of GDP by 40-45% by 2020 is a challenging but hopeful target. To study the policy instruments for climate change mitigation in China, domestic measures and parts of international cooperation adopted by the Chinese government were reviewed and analysed. Domestic measures consist of administration, regulatory and economic instruments, while China’s participation in international agreements on mitigating climate change is mainly by supplying certified emission reductions (CERs) to industrialised countries under the Clean Development Mechanism (CDM). The most well-known instruments, i.e. taxes and emissions trading, are both at a critical stage of discussion before final implementation. Given the necessity for hybrid policies, it is important to optimise the combination of different policy instruments used in a given situation. The Durban Climate Change Conference in 2011 made a breakthrough decision that the second commitment period under the Kyoto Protocol would begin on 1 January 2013 and emissions limitation or reduction objectives for industrialised countries in the second period were quantified. China was also required to make more substantial commitments on limiting its emissions. The Chinese government announced at the Durban Conference that China will focus on the current mitigation target regarding CO2 intensity of GDP by 2020 and will conditionally accept a world-wide legal agreement on climate change thereafter. However, there will be no easy way ahead for China. / QC 20120424

Ontarians are producing more waste per capita than previous generations and consuming more bottled water. Using the product policy quadrangle developed by Oosternhuis (1996), the research examines four components of Ontario bottled water packaging policy— policy objectives, policy instruments, product groups and actors. Interviews with Ontario experts reveal stakeholder communication and Extended Producer Responsibility can promote packaging minimization. There was no agreement about whether Ontario has a waste policy framework to support bottled water waste reduction, reuse and recycling. Stakeholders did agree that a policy framework can help to promote packaging minimization. The discussion will examine the following: various concepts to support zero waste, eco-labelling, policy objectives, enforcement, use of language, focus on financial obligations, deposit-return systems, refillable containers, bottle standardization, waste minimization, how waste is measured, an evaluation of the waste hierarchy, reporting waste reduction and reuse, learning from history and alternative methods of encouraging the consumption of municipal water. The research recommends these changes be implemented with the development of the new Waste Diversion Act. The research recommends that Ontario implement Integrated Product Policy and Extended Producer Responsibility to support packaging minimization.

Ontarians are producing more waste per capita than previous generations and consuming more bottled water. Using the product policy quadrangle developed by Oosternhuis (1996), the research examines four components of Ontario bottled water packaging policy— policy objectives, policy instruments, product groups and actors. Interviews with Ontario experts reveal stakeholder communication and Extended Producer Responsibility can promote packaging minimization. There was no agreement about whether Ontario has a waste policy framework to support bottled water waste reduction, reuse and recycling. Stakeholders did agree that a policy framework can help to promote packaging minimization. The discussion will examine the following: various concepts to support zero waste, eco-labelling, policy objectives, enforcement, use of language, focus on financial obligations, deposit-return systems, refillable containers, bottle standardization, waste minimization, how waste is measured, an evaluation of the waste hierarchy, reporting waste reduction and reuse, learning from history and alternative methods of encouraging the consumption of municipal water. The research recommends these changes be implemented with the development of the new Waste Diversion Act. The research recommends that Ontario implement Integrated Product Policy and Extended Producer Responsibility to support packaging minimization.

The aim of this study is to determine regional income level and disparities in CEECs and Turkey in a comparison of new 26 NUTS-II regions for Turkey with 49 NUTS-II regions of CEECs in the period of 1995 and 2001 by using the indicator of GDP per capita in terms of purchasing power standard. In this study, furthermore, those questions have been discussed: whether the EU is a chance for reducing regional inequalities and growth of the regional wealth in Turkey, and whether Turkey is another thread for the EU regional policy in the future on the enlargement process for the EU. In this study, it is also examined regional income level and disparities in the EU-15, the EU-25, the EU-27, and the EU-28 in case accession of Turkey to the Union. The analyses are carried out for 207 NUTS-II regions of the EU-15, for the EU-25 (248 NUTS-II), for the EU-27 (262 NUTS-II) and for the EU-28 (288 NUTS-II) in terms of the latest available data of GDP per capita in PPS for 2001. The regional income disparities are discussed by using the most well known measures of regional inequality / i.e., Maximum to Minimum Ratio (MMR), Coefficient of Variation (CV), Relative Mean Deviation (Rw) and Theil Index (T). In case accession of Turkey to the EU, her NUTS-II regions would take an advantage of benefit assistance of the EU regional policy instruments along with the CEECs&rsquo / whereas, the seven NUTS-II regions of current three member states would continue to benefit of this assistance, i.e. 3 NUTS-II regions of Greece, 3 for Portugal and only one NUTS-II region for Spain. In the accession-period of Turkey, which will start accession-negotiations with the EU on 3 October 2005, she should adjust her regional policy and regional development projects in light with the EU regional policy and its financial instruments in order to utilize that advantage.

Les politiques de protection de la nature s’appuient, pour l’essentiel, sur la protection d’« aires naturelles » qui apparaissent, en France, dès le début du 20ème siècle. Celles-ci peuvent être regroupées en trois catégories en fonction des types de mesures appliqués : les aires naturelles sous protection réglementaire, sous protection conventionnelle (voie contractuelle) et, enfin, sous protection foncière. Cette dernière mesure s’entend comme un processus formalisé par un transfert, dans un objectif de protection, d’un bien-foncier privé au profit d’un acquéreur public ou privé investi d’une mission reconnue d’utilité publique, c'est-à-dire une Maitrise Foncière à Finalité Écologique (MAFFE). Si ce mode d’action « exorbitant » émerge dans les années 1960 en phase avec l’approche prédominante, « fixiste », de la protection des milieux naturels, son recours persiste aujourd’hui. Est ainsi questionné son adaptabilité à la fois aux conditions actuelles de mise en oeuvre qui s’appuient sur des logiques de contractualisation et de négociation et aux objectifs des politiques de la nature qui s’inscrivent dorénavant dans une perspective de gestion des espaces en tenant compte des dynamiques naturelles. L’analyse, tant des processus de territorialisation de la MAFFE que des perceptions et représentations de l’ensemble des acteurs impliqués par sa mise en oeuvre sur deux terrains d’étude, nous aura permis de souligner la pluralité, d’une part, de ses processus de mise en oeuvre et, d’autre part, des finalités qui lui sont attribuées. Est ainsi mis en évidence la plasticité de la MAFFE à l’interface entre instruments de type réglementaire et instruments de type conventionnel concordant avec les divers effets attendus de sa mise en oeuvre : contrôle des usages, conciliation des intérêts environnementaux, économiques et sociaux des espaces naturels, et, enfin coordination de l’action publique. Aussi, la MAFFE ne constitue pas un instrument univoque mais davantage un instrument multifonctionnel et modulable en fonction des contextes locaux. Face à l’évolution des référentiels des politiques de protection de la nature, nous montrons ainsi que la plasticité tant perçue qu’effective de la MAFFE constitue un gage d’adaptabilité et donc potentiellement d’efficacité pour la préservation de la biodiversité. / Nature conservation policies relies traditionally upon the protection of “natural areas” that appear in France in the early 20th century. These protected areas can be classified into three main categories according to the measures implemented: regulation, incentive measure and property control one. This latter measure is defined as a formal process of purchase of lands, in order to create protected areas, by public authorities and also by private actors who carry out a public service mission. If this "exorbitant" measure emerged in the 1960s in line with the predominant "preservationist" approach of nature protection, it is still in use today. Thus, we question its adaptability first of all to the current policy implementation conditions based upon mediation and negotiation processes and secondly to new objectives of nature conservation which take into account the concept of “natural dynamics” for planning activities. We have conducted an analysis of the processes of implementation in two cases of study, focusing on the perceptions and representations of all actors involved in these implementation processes of this instrument. This analysis has enabled us to emphasize the plurality of, firstly, these processes of implementation and, secondly, its assigned purposes. Thus, we demonstrate the plasticity of this instrument at the interface between regulatory and incentive tools that fits with the various types of expected effects of its implementation: to control users’ behaviours of natural areas, to reach a trade-off between environmental interests and economic and social interests of natural areas, and, finally, to coordinate public intervention. Therefore, this instrument constitutes rather a multifunctional tool, adaptable to local contexts. Facing the continual renewal of nature conservation policies implementation conditions and objectives, we conclude that the plasticity of the tool, as perceived and effective, provides a guarantee of adaptability and potentially efficient protection of biodiversity.

A Avaliação Ambiental Estratégica (AAE) é um instrumento que tem como objetivo dar suporte à tomada de decisão, informando as possíveis consequências para o meio ambiente derivadas de ações estratégicas (Políticas, Planos e Programas) e, desta forma, possibilita a inserção de questões ambientais nos níveis estratégicos do planejamento. A efetividade da AAE tem sido foco de estudos recentes, contribuindo para o seu aprimoramento. No Brasil, apesar de iniciativas institucionais para a formalização da AAE, esse instrumento não é regulamentado, o que torna sua prática sujeita a grande variabilidade. A fim de suprir a lacuna de informações quanto aos procedimentos e à influência dessas avaliações na tomada de decisão, este trabalho teve como objetivo analisar a efetividade da prática brasileira do instrumento. Para isso, analisou-se a efetividade processual de 26 AAEs (72% do total de AAEs identificadas neste trabalho, realizadas entre 1997 e 2012) e a efetividade substantiva de três delas, valendo-se de procedimentos qualitativos de pesquisa. Os resultados mostram que, de modo geral, a prática brasileira não é consistente em termos de procedimentos, havendo grande variação entre as etapas desenvolvidas em cada caso, o que parece se relacionar com os motivadores e/ou elaboradores da avaliação. Além disso, a AAE não tem influenciado a tomada de decisão principal, sendo mais voltada para a mitigação do objeto avaliado. No entanto, notam-se alguns efeitos positivos indiretos, em especial com relação à organização e disponibilização de informações e a promoção da comunicação entre instituições e setores. Evidencia-se, então a necessidade de se refletir sobre o uso da AAE no contexto brasileiro, sobretudo discutindo-se objetivos e diretrizes procedimentais para o instrumento, de modo a evitar a variabilidade e inadequações observadas na pesquisa, bem como buscar a sua incorporação em momentos mais adequados ao timing do planejamento, para que a AAE seja, de fato, considerada na decisão. / The purpose of the Strategic Environmental Assessment (SEA) is to support decision-making, advising possible consequences of strategic actions (Politics, Plans and Programmes), thus ensuring that environmental issues are taken into account as soon as possible in strategic planning. Recently, SEA effectiveness is being studied intending to improve its practice. In Brazil, regardless some institutional initiatives to formalize the SEA, it is not legally required and there is no national guidelines, which makes the SEA practice. In order to fill in the gap of information about the proceedings and the influence of these SEA practices in decision making, the purpose of this study was to analyse the effectiveness of Brazilian SEA, reviewing the procedural effectiveness for 26 SEAs (72% of all the identified Brazilian SEA done between 1997 and 2012) and the substantive effectiveness for three cases. The results shown that, generally, Brazilian practice is not procedurally consistent, being highly dependent on the stakeholders involved. Besides, SEA does not influence the main decisionmaking and is focused in mitigation actions. Nevertheless, the SEA achieved some positive effects, e.g. publishing important information about planning process, and improving the communication between institutions and sectors. These findings suggest that it is necessary to discuss the SEA use in Brazilian context, especially considering and defining its goals and proceedings to avoid the variability and inadequacies observed, as well as enhancing its use in strategic levels and at more appropriate timing, intending to really contribute to decision process.

Processos acelerados de globalização induzem a exploração intensiva de recursos naturais em grande escala e a construção de megaprojetos que muitas vezes transpassam as fronteiras dos países. Neste contexto, a Avaliação de Impacto Ambiental Transfronteiriça (AIA-T) se converte em uma ferramenta essencial da gestão ambiental, pois tem o potencial de apoiar a tomada de decisões que podem afetar mais de um país e assim contribuir para evitar conflitos internacionais. Contudo, a implementação desta ferramenta ainda encontra muitos desafios, por tratar de temas delicados e complexos como as relações internacionais ou a soberania dos estados. No contexto mundial, apenas a União Europeia apresenta um marco normativo claro e bem estabelecido para aplicação da AIA-T de projetos, restando às demais regiões um longo caminho a ser percorrido. A América do Sul passa atualmente por um intenso processo de integração física baseado em um amplo programa de investimentos denominado \"Iniciativa para a Integração da Infraestrutura Regional Sul-Americana\" (IIRSA), que vem promovendo alterações ambientais significativas em toda a região, sobretudo no âmbito dos países amazônicos, sem contar com um arcabouço institucional que assegure a avaliação dos impactos transfronteiriços e a sua incorporação aos procedimentos de aprovação e implantação dos projetos associados. Sendo assim, a presente pesquisa de Mestrado visou investigar a existência de marcos institucionais e metodológicos que pudessem fornecer suporte para a aplicação da AIA-T nos países amazônicos e avaliar sua proximidade com os princípios e boas práticas desta ferramenta em nível mundial. Através de revisão bibliográfica, documental e estudos de caso, os resultados encontrados indicam que a AIA-T deve integrar os procedimentos de tomada de decisão que envolvem os países amazônicos, de modo a assegurar o cumprimento dos compromissos internacionais já assumidos em torno da proteção do ecossistema amazônico e o gerenciamento adequado dos impactos ambientais transfronteiriços. / Intensive natural resources exploitation has been accelerated at large scale by globalization processes in the last years, and its impacts might overstep political boundaries. In this scenario, the transboundary environmental impact assessment (hereafter TEIA) has become an integrated approach and essential tool for international environmental management, supporting decision taking processes with the potential to prevent cross border conflicts. Nonetheless, the implementation is still challenging due to the political and social complexity of international relationships and sovereignty of the countries involved. Hitherto just the European Union has been consolidated a clear normative framework in the implementation of TEIA. Conversely in South America this framework is not clear, due to the lack of institutional structure to set up an appropriate environmental assessment scheme, despite that nowadays several megaprojects have been established under the denominated \"Iniciativa para la Integración de la Infraestructura Regional Sur-Americana\" (IIRSA) – the South-American regional integrative infrastructure initiative- and serious pervasive effects associated in the environment have been recorded, being more notorious in the Amazon region, due to the inherent vulnerability of this biome. In this context, the present master dissertation discussed from a comprehensive literature and policies review and study cases, the institutional and methodological framework as the normative base of the TEIA, as well as to assess good practices for environmental impact assessment of development projects in countries within the Amazon biome. In overall TEIA must integrate the decision taking procedures of countries with influence of the Amazon biome in order to guarantee fulfil previously undertaken international agreements that protect the Amazon ecosystem, and the suitable management of environmental impacts at frontiers, and consequently to prevent future scenarios of international dispute.