Orientador: Prof. Dr. Igor Fuser / Dissertação (mestrado) - Universidade Federal do ABC. Programa de Pós-Graduação em Energia, 2017. / A premente necessidade de energia é cada vez mais atual na sociedade contemporânea. O seu uso está correlacionado aos costumes, estágio de desenvolvimento e ao grau de industrialização do país. A busca por novos recursos energéticos é questão primordial para o bem-estar das pessoas e para a expansão econômica dos países. A descoberta de importantes recursos energéticos, denominados hidrocarbonetos não convencionais tais como: óleo pesado e ultrapesado, areias betuminosas, óleo encontrado em águas profundas e ultraprofundas como o pré-sal e o shale gas & oil que está disseminado de forma homogênea pelo mundo todo, vem chamando a atenção de vários países. Os EUA, um dos maiores importadores de petróleo e gás do mundo, são portadores de vastas reservas de shale gas & oil e possuem conhecimento geológico e tecnologia adequada. Isso tornou o país o precursor da exploração desse energético no mundo. A produção dos Estados Unidos vem crescendo significativamente, reduzindo sua dependência de petróleo e gás importado, provocando abundância no mercado global, o que resulta em queda de preço do petróleo e gás, alterando a geopolítica da energia mundial. O Brasil, no contexto mundial, possui reservas expressivas de não convencionais, sendo a 10ª maior reserva do mundo. É crescente a necessidade de energia pela sociedade brasileira e o país vem demonstrando interesse em explorar esses energéticos. Esta dissertação tem como objetivo analisar as perspectivas mundiais de exploração desses hidrocarbonetos não convencionais à luz da experiência dos EUA, analisando o panorama brasileiro para futuras explorações. Este estudo mostrou como resultado que o Brasil terá dificuldades de replicar a exploração do shale gas & oil, como ocorreu nos EUA. / The pressing need for energy is increasingly present in contemporary society. Energy consumption is correlated with their customs, the stage of development and the degree of industrialization of the country. The search for new energy resources is a key issue for people's well-being and for the economic expansion of countries. The discovery of important energy resources, called unconventional hydrocarbons shale gas & oil, spread democratically around the world, has drawn the attention of several countries. The US, one of the largest importers of oil and gas in the world, carry vast reserves of shale gas & oil and has geological knowledge and appropriate technology. This made the country the precursor of the exploitation of this energy in the world. US production has been growing significantly, reducing its dependence on imported oil and gas, sparking global market abundance, resulting in falling oil and gas prices, shifting global energy geopolitics. Brazil in the world context has significant reserves, being the 10th largest reserve in the world. There is a growing need for energy by Brazilian society. The country has been showing interest in exploiting these energy sources. The objective of this dissertation is to analyze the global prospects for exploration of these unconventional hydrocarbons in the light of the US experience, to evaluate possible interferences in the geopolitics of energy at global level, ascertaining socioeconomic and environmental issues, knowledge to support future development studies on Brazilian soil.

Submitted by Stephanie Blattler (stblattler@gmail.com) on 2018-03-12T18:45:47Z No. of bitstreams: 1 Mestrado FGV - Dissertação - Stephanie Blattler - Versão Final - 12.03.2018.pdf: 772793 bytes, checksum: 107759c95799b83798ef3e00303c13aa (MD5) / Approved for entry into archive by Diego Andrade (diego.andrade@fgv.br) on 2018-03-13T16:57:34Z (GMT) No. of bitstreams: 1 Mestrado FGV - Dissertação - Stephanie Blattler - Versão Final - 12.03.2018.pdf: 772793 bytes, checksum: 107759c95799b83798ef3e00303c13aa (MD5) / Made available in DSpace on 2018-03-16T16:55:58Z (GMT). No. of bitstreams: 1 Mestrado FGV - Dissertação - Stephanie Blattler - Versão Final - 12.03.2018.pdf: 772793 bytes, checksum: 107759c95799b83798ef3e00303c13aa (MD5) Previous issue date: 2018-02-06 / In Brazil, the debate regarding the exploration and production of shale gas became relevant with the 12th Bid Round promoted by the National Oil, Natural Gas and Biofuels Agency (ANP), which offered areas with great potential of such unconventional hydrocarbon. The country is listed as the tenth with greater shale gas potential in the world. However, due to the international controversy involving this energy source, mainly by virtue of its potential environmental impacts and damages, the matter was brought to the courts and is subject to legislative initiatives, so that the production of such hydrocarbon in Brazil has not started yet. Therefore, the present essay aims to clarify how the exploration and production of shale gas takes place and what would be its potential harmful effects to the environment, demonstrating that there are diverging scientific opinions over the most relevant of such effects. The description of the existing regulatory instruments in Brazil, such as ANP Resolution No. 21/2014, is also provided herein, as well as the description of the current legal proceedings and bills over the matter. Following, this essay also describes how the shale gas matter was solved in four states/countries, as to verify if there are any valuable lessons for Brazil. Based on the scientific uncertainty over the potential environmental damages and impacts, the precautionary rule is herein analyzed, aiming to understand how precaution may be applied to shale gas and to other cases under similar scientific uncertainty. Initially, the doctrine of absolute precaution is presented, followed by the main critics to precaution. Finally, the main conclusion is that the path of interpretation for the shale gas case and for other cases with similar scientific uncertainty is the use of the precautionary rule modulated by proportionality, so that its application does not reflect an immediate prohibition, but the management of uncertainties through regulation. / No Brasil, a discussão a respeito da exploração e produção de gás de folhelho, conhecido de forma equivocada como “gás de xisto”, ganhou expressividade com a 12ª Rodada de Licitações promovida pela Agência Nacional do Petróleo, Gás Natural e Biocombustíveis (ANP), que licitou áreas com grande potencial exploratório para esse hidrocarboneto não convencional. O país apresenta o décimo maior potencial de gás de folhelho do mundo, porém, em razão da polêmica internacional que envolve essa fonte energética, principalmente em função de seus potenciais impactos e danos ambientais, a questão permanece judicializada e objeto de iniciativas legislativas, de forma que a produção desse hidrocarboneto no Brasil ainda não foi iniciada. Nesse âmbito, o presente trabalho visa esclarecer como se dá a exploração e produção do gás de folhelho e quais seriam seus potenciais efeitos nocivos ao meio ambiente, demonstrando a divergência existente na comunidade científica sobre os mais relevantes desses potenciais efeitos. O trabalho também traz a descrição dos instrumentos regulatórios já existentes sobre o gás de folhelho no Brasil, como a Resolução ANP nº 21/2014, bem como dos processos judiciais e projetos de leis existentes sobre a questão. Em seguida, o presente trabalho também descreve como a questão do shale gas foi decidida em quatro estados/países, para verificar se podem ser extraídas lições para o Brasil. Com base na incerteza científica constatada sobre os potenciais danos e impactos ambientais, o postulado da precaução é aqui analisado, visando compreender como ele pode ser aplicado ao caso do gás de folhelho e a outros casos de incerteza científica análoga. Inicialmente, é apresentada a doutrina da precaução absoluta, para posteriormente introduzir as principais críticas ao postulado. Por fim, conclui-se que o caminho para a interpretação do caso do gás de folhelho e de outros casos em que recai incerteza científica análoga é a utilização do postulado da precaução modulado pela proporcionalidade, de modo que sua aplicação não reflita uma proibição imediata, mas sim o gerenciamento das incertezas envolvidas por meio da regulação.

L’analyse de la controverse sur le gaz de schiste en France et au Québec à un niveauintermédiaire (méso) permet de souligner les processus de construction et contestation sociale etpolitique des différents cadrages soutenus par les réseaux d’acteurs en concurrence. Lesdynamiques d’intéressement à l’intérieur et à l’extérieur de l’action publique illustrent lesmultiples scènes et forums dans lesquels se déploie la controverse. L’analyse de la construction dece problème public et ses diverses redéfinitions démontre le rôle central du cadrage politique descontroverses. Les solutions retenues définissent tout autant qu’elles tentent de réduire le risquerelatif à cette nouvelle industrie gazière (face à un risque cadré comme technologique en France,on observe un cadrage sur l’acceptabilité sociale au Québec). Il s’agit alors d’insisterparticulièrement sur la dimension procédurale de problématisation des enjeux au regard du recoursà la participation publique et à l’expertise scientifique. Les multiples acteurs de cette controversesont interrogés : les participants à la mobilisation sociale mais aussi les acteurs de l’industrie et desstructures politiques et administratives, afin de dresser la cartographie de leur position mais ausside leurs discours depuis les prémices de cette nouvelle activité industrielle d’exploration du gaz deschiste (2008) jusqu’aux derniers rebondissements politiques (2015). Cette recherche s’appuie surun corpus d’entretiens qualitatifs (40) mais aussi d’articles de presse écrite (2 400) ainsi que surl’analyse qualitative et quantitative des divers rapports et commissions de travail sur le gaz deschiste. / The analysis of the shale gas controversy in France and Quebec at an intermediate (meso)level stresses the social and political construction and dispute processes of the various framingssupported by contesting actors’ networks. “Interestment” dynamics both inside and outside publicpolicies show the multiple scenes and forums in which the controversy unfold. The analysis ofhow this public problem is built and its various redefinitions shows the core role of politicalframing of controversies. The solutions define as well as they reduce the risk related to this newindustry (a technological risk in France and a frame on social acceptability in Quebec). It is thenimportant to stress the procedural dimension of problematizing the stakes regarding publicparticipation and scientific expertise. This study questions the various actors of the controversy,those of social mobilization, the industry and the political and administrative structures, to mapboth their position and their discourses since the beginnings of the new industrial activity ofexploring for shale gas (2008) to the latest political developments (2015). This study is based on acorpus of qualitative interviews (40), press articles (2 400) and a qualitative and quantitativeanalysis of the various reports and committees on shale gas.

L’espace souterrain, qui s’étend depuis la surface des terres émergées et des fonds marins jusqu’au centre de la Terre, est délaissé par le droit international. Aucune règle de droit international positif ne vient réglementer l’utilisation que les Etats font de leur espace souterrain territorial, cette utilisation et le régime de la propriété souterraine faisant partie de leur domaine réservé. Si les normes internationales régissent l’utilisation de l’espace souterrain extra-territorial, celui des grands fonds marins et celui de l’Antarctique, elles n’appréhendent l’espace souterrain qu’en termes d’utilisation et de mise en valeur des ressources minérales. De ce régime juridique d’exploration et d’exploitation des ressources minérales dépend d’ailleurs le statut juridique de l’espace souterrain qui va de la pleine souveraineté de l’Etat côtier à l’exclusion de toute appropriation nationale ou individuelle. Devant la multiplication des utilisations souterraines et face aux dommages environnementaux et aux violations des droits de l’homme liés à certaines de ces utilisations, le droit international doit réinvestir l’espace souterrain et notamment le contenu et l’étendue des droits qui le concernent tant dans l’ordre interne qu’international afin d’en réglementer la mise en valeur et d’en assurer la protection. / Until today, there has been little interest of international Law concerning the earth’s subsurface, as the space that extends from the surface of the soil or of the seabed to the center of the earth. On the one hand, there is no rule of international law that regulates the use Sovereign States have of their territorial subsurface. It is currently understood that subsburface activities and property law that regulates them, are within domestic jurisdiction only and do not come under international law scrutinity as they waive the exercice of an absolute independance of States. On the other hand, the existing rules of international law that regulates extraterritorial subsurface, notably the seabed and ocean floor and subsoil thereof beyond national jurisdiction and the Antarctic, consider the earth’s subsurface mostly in terms of use and exploitation of mineral resources. Faced with the evergrowing uses of the subsurface that are solely used for extraction or for injection and storing, and regarding the impacts of some underground activities on the environment and on human rights, International Law must play a role by regulating the content and extent of rights that are exercised over the earth’s subsurface inside and outside territorial jurisdiction for development and protection purposes.