ISSN0034-7590
9770034759007
00564
FÓRUM | FORUM
Transnational governance regimes in the Global South: Multinationals, stat...
ISSN 0034-7590
www.fgv.br/rae
REDAÇÃO
Analista de Produção Editorial: Denise Francisco Cândido
Assistente Administrativa: ...
Publicação bimestral da Fundação Getulio Vargas
Escola de Administração de Empresas de São Paulo
Apoio:
PESQUISA E CONHECI...
RAE – Revista de Administração de Empresas / Fundação Getulio Vargas.
Vol. 1, n. 1 (maio/ago. 1961) - . - Rio de Janeiro: ...
ISSN 0034-7590
Julho/Agosto 2016
EDITORIAL
372	 ACADEMIA E PRÁTICA
	 Maria José Tonelli
FÓRUM
374	 REGIMES DE GOVERNANÇA T...
ISSN 0034-7590
July/August 2016
CONTENTS
EDITORIAL
372	 ACADEMIA AND PRACTICE
	 Maria José Tonelli
FORUM
374	 TRANSNATIONA...
ISSN 0034-7590 © RAE | São Paulo | V. 56 | n. 4 | jul-ago 2016
SUMARIO
EDITORIAL
372	 ACADEMIA Y PRÁCTICA
	 Maria José Ton...
372
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RAE | Revista de Administração de Empresas | FGV/EAESP
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GLENN MORGAN
glenn.morgan@bristol.ac.uk
Profes...
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ana.avieira@gmail...
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RAE-Revista de Administração de Empresas, foi lançada em maio de 1961, com perfil acadêmico-científico, dedicada a professores, pesquisadores e estudantes. É o mais tradicional periódico acadêmico-científico de administração no Brasil, com publicação ininterrupta desde seu lançamento. Acesse: www.fgv.br/rae

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FGV - RAE Revista de Administração de Empresas, 2016. Volume 56, Número 4

  1. 1. ISSN0034-7590 9770034759007 00564 FÓRUM | FORUM Transnational governance regimes in the Global South: Multinationals, states and NGOs as political actors Glenn Morgan, Marcus Vinícius Peinado Gomes and Paola Perez-Aleman Trajectories of transnational mobilization for indigenous rights in Brazil Ana Carolina Alfinito Vieira and Sigrid Quack Community protocols as tools for resisting exclusion in global environmental governance Natalia Aguilar Delgado Diffusion of global sustainability standards: The institutional fit of the ASC-Shrimp standard in Indonesia Greetje Schouten, Sietze Vellema and Jeroen van Wijk A transnational agri-food system for whom? The struggle for hegemony at Rio+20 Yuna Fontoura, Zareen Pervez Bharucha and Steffen Böhm Transnational governance and the Trilhos Urbanos: Civil society’s resistance to mega-events in Rio de Janeiro Nidhi Srinivas PENSATA| ESSAY Transnational regulatory integration and development: A new framework for institutional change Laszlo Bruszt and Gerald A. McDermott RESENHA | BOOK REVIEW Haiti: A tale of two disasters Fernando do Amaral Nogueira INDICAÇÕES BIBLIOGRÁFICAS | BOOK RECOMMENDATIONS Government, civil society, and private regulation in transnational governance Paola Perez-Aleman Transnational governance: The role of communities, networks and private actors Glenn Morgan R$50,00 PESQUISA E CONHECIMENTO V. 56, N. 4, Julho–Agosto 2016 www.fgv.br/rae
  2. 2. ISSN 0034-7590 www.fgv.br/rae REDAÇÃO Analista de Produção Editorial: Denise Francisco Cândido Assistente Administrativa: Eduarda Pereira Anastacio Copidesque e revisão (Português): Paula Thompson Tradução e revisão (Espanhol e Inglês): AraberaTraduções | Fernando Effori ADMINISTRAÇÃO Responsável: Ilda Fontes Assistente Administrativa: Eldi Francisca Soares Assistente de Marketing: Andréa Cerqueira Souza Jovem Aprendiz: Nicolas Brendo Ribeiro Silva DISTRIBUIÇÃO Comunidade acadêmico-científica: 500 exemplares Número de visitas ao site no período maio/junho 2016: 45.571 visitantes EXEMPLAR AVULSO: R$ 50,00 PONTOS DE VENDA: Livrarias da FGV e Livraria Cultura ARTE/EDITORAÇÃO ELETRÔNICA Typecomm | Comunicação + Design Ilustração Pensata: Alex Lutkus PRODUÇÃO INDUSTRIAL Impressão e Acabamento: Prol Editora Gráfica Data de Impressão: 15.07.2016 Tiragem: 500 exemplares PERIODICIDADE: Bimestral INDEXADORES DOAJ - Directory of Open Access Journals www.doaj.org Ebsco Publishing: Business Source Complete, Economia y Negocios, Fonte Acadêmica www.ebscohost.com Gale Cengage Learning www.gale.cengage.com Google Scholar scholar.google.com.br OASISBR http://oasisbr.ibict.br Portal de Periódicos CAPES www.periodicos.capes.gov.br ProQuest Information and Learning www.proquest.com.br REDIB - Red Iberoamericana de Innovación y Conocimiento Científico www.redib.org/ RePEc www.repec.org Sistema de Información Científica Redalyc - Red de Revistas Científicas de América Latina y el Caribe, España y Portugal redalyc.uaemex.mx SciELO - Scientific Electronic Library Online www.scielo.org Scopus | Elsevier www.info.sciverse.com/scopus SHERPA/RoMEO www.sherpa.ac.uk/romeo SPELL – Scientific Periodicals Electronic Library www.spell.org.br Sumários Brasileiros de Revistas Científicas www.sumarios.funpeerp.com.br Thomson Reuters SSCI, JCR www.thomsonreuters.com DIRETÓRIOS AcademicKeys www.academickeys.com Cabell’s www.cabells.com CLASE – Citas Latinoamericans en Sciencias Sociales y Humanidades www.dgbiblio.unam.mx/index.php/catalogos Diadorim diadorim.ibict.br IBSS - International Bibliography of the Social Science www.lse.ac.uk HAPI-Hispanic American Periodicals Índex hapi.ucla.edu Latindex - Sistema Regional de Información en Línea para Revistas Científicas de América Latina, el Caribe, España y Portugal www.latindex.org ROAD - The Directory of Open Access Scholarly Resources http://road.issn.org/ Ulrichs Periodical Directory www.ulrichsweb.com WorldWideScience.Org http://worldwidescience.org/index.html ATENDIMENTO AO ASSINANTE São Paulo e Grande São Paulo: + 55 (11) 3799-7999 Fax: + 55 (11) 3799-7871 Av. 9 de Julho, 2029 - 01313 902 São Paulo - SP - Brasil e-mail: rae@fgv.br | site: www.fgv.br/rae RAE é membro e subscreve os princípios do Committee on Publication Ethics (COPE). http://publicationethics.org/ CORPO EDITORIAL CIENTÍFICO Alexandre de Pádua Carrieri (UFMG - Belo Horizonte - MG, Brasil), Allan Claudius Queiroz Barbosa (UFMG - Belo Horizonte - MG, Brasil), Ana Paula Paes de Paula (UFMG - Belo Horizonte - MG, Brasil), Anatalia Saraiva Martins Ramos (UFRN - Natal - RN, Brasil), André Lucirton Costa (USP/FEA-RP - Ribeirão Preto - SP, Brasil), Andre Luis de Castro Moura Duarte (INSPER - São Paulo - SP, Brasil), Andre Ofenhejm Mascarenhas (Zetesis - Sao Paulo - SP, Brasil), Andrea Lago da Silva (UFSCAR – São Carlos – SP, Brasil), Anielson Barbosa da Silva (UFPB - João Pessoa - PB, Brasil), Antonio Díaz Andrade (AUT University - Auckland, Nova Zelândia), Antonio Domingos Padula (UFRGS - Porto Alegre - RS, Brasil), Antonio Lopo Martinez (FUCAPE - Vitoria - ES, Brasil), Antonio Moreira de Carvalho (PUC Minas - Belo Horizonte - MG, Brasil), Antonio Navarro-García (Universidad de Sevilla - Sevilha, Espanha), Bento Alves da Costa Filho (Ibmec-DF - Brasília - DF, Brasil), Bill Cooke (University of York- Heslington, Reino Unido), Carlos Jesús Fernández Rodríguez (Universidad Autónoma de Madrid - Madrid, Espanha), Carlos L. Rodriguez (UNCW - Wilimigton - NC, Estados Unidos), Cesar Alexandre de Souza (USP- FEA - São Paulo SP, Brasil), Claudio R. Lucinda (USP/FEA-RP - Ribeirão Preto - SP, Brasil), Dario de Oliveira Lima Filho (UFMS - Campo Grande - MS, Brasil), Delane Botelho (FGV-EAESP - São Paulo - SP, Brasil), Denise Del Prá Netto Machado (FURB - Blumenau - SC, Brasil), Diego Rene Gonzales Miranda (Universidad EAFIT - Medellín, Colômbia), Diogo Henrique Helal (UFPB - Joao Pessoa - PB, Brasil), Domingo Garcia-Perez-de-Lema (UPCT - Cartagena, Espanha), Edgard Barki (FGV-EAESP - São Paulo - SP, Brasil), Edmilson de Oliveira Lima (UNINOVE - São Paulo - SP, Brasil), Eduardo Andre Teixeira Ayrosa (FGV-EBAPE - Rio de Janeiro - RJ, Brasil), Ely Laureano de Paiva (FGV-EAESP - São Paulo - SP, Brasil), Eric David Cohen (Ibmec-Rio - Rio de Janeiro - RJ, Brasil), Eric van Heck (Erasmus University - Rotterdam, Holanda), Fábio Frezatti (USP-FEA - São Paulo - SP, Brasil), Fernanda Finotti Perobelli (UFJF - Juiz de Fora - MG, Brasil), Francisco Javier Rondán Cataluña (Universidad de Sevilla - Sevilla, Espanha), Gláucia Maria Vasconcellos Vale (PUC-Minas - Belo Horizonte - MG, Brasil), Glicia Vieira (UFES - Vitoria - ES, Brasil), Graziela Comini (USP-FEA - São Paulo - SP, Brasil), Graziela Dias Alperstedt (UDESC - Florianópolis - SC, Brasil), Heitor Almeida (College of Business at Illinois - Champaign, Estados Unidos), Henrique Luiz Côrrea (CRUMMER - Flórida - FL, Estados Unidos), Janete Lara de Oliveira (UFMG - Belo Horizonte - MG, Brasil), João Luiz Becker (UFRGS - Porto Alegre - RS, Brasil), Jorge Verschoore (São Leopoldo – RS, Brasil), José Antônio Gomes Pinho (UFBA - Salvador - BA, Brasil), José Henrique de Faria (UFPR - Curitiba - PR, Brasil), José Mauro C. Hernandez (USP-EACH - São Paulo - SP, Brasil), Luciano Barin Cruz (HEC-Montréal - Québec, Canada), Luiz Artur Ledur Brito (FGV-EAESP - São Paulo - SP, Brasil), Maria Alexandra Cunha (FGV- EAESP - São Paulo - SP, Brasil), Maria Ceci Araújo Misoczky (UFRGS - Porto Alegre - RS, Brasil), Mário Aquino Alves (FGV-EAESP - São Paulo - SP, Brasil), Mario Sacomano Neto (UNIMEP - São Paulo - SP, Brasil), Marlei Pozzebon (HEC-Montréal - Québec, Canada e FGV-EAESP - São Paulo - SP, Brasil), Mateus Canniatti Ponchio (ESPM - São Paulo - SP, Brasil), Mauricio Reinert (UEM - Maringá - PR, Brasil), Patricia Mendonça (USP-EACH - São Paulo - SP, Brasil), Paulo Bastos Tigre (UFRJ - Rio de Janeiro - RJ, Brasil), Paulo Roberto Barbosa Lustosa (UnB - Brasília - DF, Brasil), Rafael Alcadipani (FGV-EAESP - São Paulo - SP, Brasil), Rafael Goldszmidt (FGV- EBAPE - Rio de Janeiro - RJ, Brasil), Ramón Valle Cabrera (Universidad Pablo de Olavide - Sevilha, Espanha), Rebecca Arkader (UFRJ - Rio de Janeiro - RJ, Brasil), Ricardo Ratner Rochman (FGV/EESP - São Paulo - SP, Brasil), Roberto Patrus Mundim Pena (PUC-Minas - Belo Horizonte - MG, Brasil), Rodrigo Bandeira-de-Mello (FGV- EAESP - São Paulo - SP, Brasil), Rodrigo Ladeira (UNIFACS - Salvador - BA, Brasil), Salomão Alencar de Farias (UFPE - Recife - PE, Brasil), Sérgio Bulgacov (FGV-EAESP - São Paulo - SP, Brasil), Sérgio Giovanetti Lazzarini (INSPER - São Paulo - SP, Brasil), Silvana Anita Walter (FURB - Blumenau - SC, Brasil), Sônia Maria Fleury (FGV- EBAPE - Rio de Janeiro - RJ, Brasil), Tales Andreassi (FGV-EAESP - São Paulo - SP, Brasil), Teresia D. L. van Ad. de Macedo-Soares (PUC-Rio - Rio de Janeiro - RJ, Brasil), Thomas Brashear Alejandro (University of Massachusetts Amherst - Amherst - MA, Estados Unidos), Vinicius Brei (UFRGS - Porto Alegre - RS, Brasil), Wilson Toshiro Nakamura (MACKENZIE – São Paulo – SP, Brasil). COMITÊ DE POLÍTICA EDITORIAL Carlos Osmar Bertero, Eduardo Diniz, Flávio Carvalho de Vasconcelos, Francisco Aranha, Luiz Artur Ledur Brito, Maria José Tonelli, Maria Tereza Leme Fleury, Tales Andreassi, Thomaz Wood Jr. EDITORA-CHEFE Maria José Tonelli EDITOR ADJUNTO Felipe Zambaldi EDITORA DE LIVROS Roseli Morena Porto A RAE - Revista de Administração de Empresas foi impressa com papel proveniente de madeira certificada FSC e de outras fontes controladas. A certificação FSC e uma garantia ao meio ambiente e aos trabalhadores florestais.
  3. 3. Publicação bimestral da Fundação Getulio Vargas Escola de Administração de Empresas de São Paulo Apoio: PESQUISA E CONHECIMENTO | V. 56, N. 4, JULHO-AGOSTO 2016
  4. 4. RAE – Revista de Administração de Empresas / Fundação Getulio Vargas. Vol. 1, n. 1 (maio/ago. 1961) - . - Rio de Janeiro: Fundação Getulio Vargas, 1961 - v.; 27,5cm. Quadrimestral: 1961–1962. Trimestral: 1963–1973. Bimestral: 1974–1977. Trimestral: 1978–1992. Bimestral: 1992–1995. Trimestral: 1996–2010. Bimestral: 2011–. Publicada: São Paulo: FGV-EAESP, 1988– ISSN 0034-7590 1. Administração de empresas – Periódicos. I. Fundação Getulio Vargas. II. Escola de Administração de Empresas de São Paulo. A RAE – Revista de Administração de Empresas adota a Licença de Atribuição (CC- BY) do Creative Commons (https://creativecommons.org/licenses/by/4.0/br) em todos os trabalhos publicados, exceto, quando houver indicação específica de detentores de direitos autorais. CDD 658 CDU 658
  5. 5. ISSN 0034-7590 Julho/Agosto 2016 EDITORIAL 372 ACADEMIA E PRÁTICA Maria José Tonelli FÓRUM 374 REGIMES DE GOVERNANÇA TRANSNACIONAL NO SUL GLOBAL: MULTINACIONAIS, ESTADOS E ONGs COMO ATORES POLÍTICOS Apresentação do fórum sobre a interação entre estados, empresas, movimentos sociais e governança transnacional e suas implicações. Glenn Morgan, Marcus Vinícius Peinado Gomes e Paola Perez-Aleman 380 TRAJETÓRIAS DA MOBILIZAÇÃO TRANSNACIONAL PELOS DIREITOS INDÍGENAS NO BRASIL Análise da mobilização transnacional em torno de direitos políticos e econômicos de grupos indígenas no Brasil. Ana Carolina Alfinito Vieira e Sigrid Quack 395 PROTOCOLOS COMUNITÁRIOS COMO FERRAMENTAS DE RESISTÊNCIA À EXCLUSÃO NO ÂMBITO DA GOVERNANÇA AMBIENTAL GLOBAL Estudo sobre a abordagem de protocolos comunitários na arena de governança transnacional para compreensão de como iniciativas locais traduzem a regulação ambiental global. Natalia Aguilar Delgado 411 DIFUSÃO DE PADRÕES GLOBAIS DE SUSTENTABILIDADE: ADEQUAÇÃO INSTITUCIONAL DO PADRÃO ASC-SHRIMP NA INDONÉSIA Argumentação de que a capacidade transformativa de parcerias globais em trazer mudanças sustentáveisdependedoquãobemospadrõesdascaracterísticasinstitucionaisdesustentabilidade global se adequam aos campos organizacionais. Greetje Schouten, Sietze Vellema e Jeroen van Wijk 424 SISTEMA AGROALIMENTAR TRANSNACIONAL PARA QUEM? LUTAS PELA HEGEMONIA NA RIO+20 Pesquisa sobre as diferentes posições em relação ao sistema agroalimentar tomadas pelos setores público, privado e sociedade civil e mapeamento das diferenças e similaridades chave nos discursos desses grupos na Rio+20 em 2012. Yuna Fontoura, Zareen Pervez Bharucha e Steffen Böhm 438 GOVERNANÇA TRANSNACIONAL E OS TRILHOS URBANOS: RESISTÊNCIA DA SOCIEDADE CIVIL A MEGAEVENTOS NO RIO DE JANEIRO Discussão sobre megaeventos no Rio em termos de um modelo de influência da governança transnacional que envolve alianças baseadas no mercado entre líderes urbanos, desenvolvimento imobiliário, corporações globais e grupos da sociedade civil relacionados ao esporte. Nidhi Srinivas PENSATA 447 INTEGRAÇÃO REGULATÓRIA TRANSNACIONAL E DESENVOLVIMENTO: UMA NOVA ESTRUTURA PARA MUDANÇAS INSTITUCIONAIS Exame de como a extensão da integração regulatória aos países em desenvolvimento afeta a natureza dessas contestações e seus resultados. Laszlo Bruszt e Gerald A. McDermott RESENHA 456 HAITI: UM CONTO DE DOIS DESASTRES Fernando do Amaral Nogueira INDICAÇÕES BIBLIOGRÁFICAS 458 GOVERNO, SOCIEDADE CIVIL E REGULAÇÃO PRIVADA NA GOVERNANÇA TRANSNACIONAL Paola Perez-Aleman 459 GOVERNANÇA TRANSNACIONAL: O PAPEL DAS COMUNIDADES, REDES E ATORES PRIVADOS Glenn Morgan SUMÁRIO © RAE | São Paulo | V. 56 | n. 4 | jul-ago 2016
  6. 6. ISSN 0034-7590 July/August 2016 CONTENTS EDITORIAL 372 ACADEMIA AND PRACTICE Maria José Tonelli FORUM 374 TRANSNATIONAL GOVERNANCE REGIMES IN THE GLOBAL SOUTH: MULTINATIONALS, STATES AND NGOs AS POLITICAL ACTORS A presentation of the forum about the interaction between states, companies, social movements and transnational governance and its implications. Glenn Morgan, Marcus Vinícius Peinado Gomes and Paola Perez-Aleman 380 TRAJECTORIES OF TRANSNATIONAL MOBILIZATION FOR INDIGENOUS RIGHTS IN BRAZIL An analysis of the transnational mobilization around the political and economic rights of indigenous peoples in Brazil. Ana Carolina Alfinito Vieira and Sigrid Quack 395 COMMUNITY PROTOCOLS AS TOOLS FOR RESISTING EXCLUSION IN GLOBAL ENVIRONMENTAL GOVERNANCE A study about the approach of community protocols in the arena of transnational governance for understanding how local initiatives translate global environmental regulation. Natalia Aguilar Delgado 411 DIFFUSION OF GLOBAL SUSTAINABILITY STANDARDS: THE INSTITUTIONAL FIT OF THE ASC-SHRIMP STANDARD IN INDONESIA The authors argue that global partnerships’ transformative capacity to bring sustainable change depends on how well the standards of institutional characteristics of global sustainability can fit organizational fields. Greetje Schouten, Sietze Vellema and Jeroen van Wijk 424 A TRANSNATIONAL AGRI-FOOD SYSTEM FOR WHOM? THE STRUGGLE FOR HEGEMONY AT RIO+20 A study about the different positions taken by the public and private sectors and the civil society concerning the agri-food system, and a map of the key differences and similarities in the discourses of these groups at Rio+20 in 2012. Yuna Fontoura, Zareen Pervez Bharucha and Steffen Böhm 438 TRANSNATIONAL GOVERNANCE AND THE TRILHOS URBANOS: CIVIL SOCIETY’S RESISTANCE TO MEGA-EVENTS IN RIO DE JANEIRO A discussion about mega-events in Rio in terms of a model of influence of transnational governance involving market-based alliances between urban leaders, real-estate developments, global corporations and civil society groups related to sports. Nidhi Srinivas ESSAY 447 TRANSNATIONAL REGULATORY INTEGRATION AND DEVELOPMENT: A NEW FRAMEWORK FOR INSTITUTIONAL CHANGE A study of how extending regulatory integration into developing nations affects the nature of these contestations and their outcomes. Laszlo Bruszt and Gerald A. McDermott BOOK REVIEW 456 HAITI: A TALE OF TWO DISASTERS Fernando do Amaral Nogueira BOOK RECOMMENDATIONS 458 GOVERNMENT, CIVIL SOCIETY, AND PRIVATE REGULATION IN TRANSNATIONAL GOVERNANCE Paola Perez-Aleman 459 TRANSNATIONAL GOVERNANCE: THE ROLE OF COMMUNITIES, NETWORKS AND PRIVATE ACTORS Glenn Morgan © RAE | São Paulo | V. 56 | n. 4 | jul-ago 2016
  7. 7. ISSN 0034-7590 © RAE | São Paulo | V. 56 | n. 4 | jul-ago 2016 SUMARIO EDITORIAL 372 ACADEMIA Y PRÁCTICA Maria José Tonelli FORO 374 REGÍMENES DE GOBERNANZA TRANSNACIONAL EN EL HEMISFERIO SUR: MULTINACIONALES, ESTADOS Y ONGs COMO ACTORES POLÍTICOS Presentacióndelforosobrelainteracciónentreestados,empresas,movimientossocialesygobernanza transnacional y sus implicaciones. Glenn Morgan, Marcus Vinícius Peinado Gomes y Paola Perez-Aleman 380 TRAYECTORIAS DE MOVILIZACIÓN TRANSNACIONAL PARA LOS DERECHOS INDÍGENAS EN BRASIL Análisis de la movilización transnacional en torno de los derechos políticos y económicos de los grupos indígenas en Brasil. Ana Carolina Alfinito Vieira y Sigrid Quack 395 PROTOCOLOS COMUNITARIOS COMO HERRAMIENTAS PARA RESISTIR A LA EXCLUSIÓN EN GOBERNANZA AMBIENTAL GLOBAL Estudio sobre el abordaje de protocolos comunitarios en el ámbito de la gobernanza transnacional para la comprensión de cómo las iniciativas locales traducen la regulación ambiental global. Natalia Aguilar Delgado 411 DIFUSIÓN DE ESTÁNDARES GLOBALES DE SOSTENIBILIDAD: ADECUACIÓN INSTITUCIONAL DEL ESTÁNDAR ASC-SHRIMP EN INDONESIA Argumentación acerca de que la capacidad transformativa de alianzasglobalespara propiciar cambios sostenibles depende de cuán bien se adecuan los estándares de las características institucionales de sostenibilidad global a los campos organizacionales. Greetje Schouten, Sietze Vellema y Jeroen van Wijk 424 ¿UNSISTEMAAGROALIMENTARIOTRANSNACIONALPARAQUIÉN?LALUCHAPORHEGEMONÍAENRIO+20 Estudio sobre las diferentes posiciones tomadas por los sectores público, privado y sociedad civil en relación al sistema agroalimentario, y mapeo de las diferencias y similitudes clave en los discursos de esos grupos en la Rio+20 en 2012. Yuna Fontoura, Zareen Pervez Bharucha y Steffen Böhm 438 GOBERNANZA TRANSNACIONAL Y LOS TRILHOS URBANOS: RESISTENCIA DE LA SOCIEDAD CIVIL A LOS MEGAEVENTOS EN RIO DE JANEIRO Debate sobre megaeventos en Rio, en términos de un modelo de influencia de gobernanza transnacional que involucra alianzas basadas en el mercado entre líderes urbanos, desarrollo inmobiliario, corporaciones globales y grupos de la sociedad civil relacionados al deporte. Nidhi Srinivas ENSAYO 447 INTEGRACIÓN NORMATIVA TRANSNACIONAL Y DESARROLLO: UN NUEVO MARCO DE REFERENCIA PARA EL CAMBIO INSTITUCIONAL Examendecómolaextensióndelaintegraciónnormativaalospaísesendesarrolloafectalanaturaleza de esas contestaciones y sus resultados. Laszlo Bruszt y Gerald A. McDermott RESEÑA 456 HAITÍ: EL RELATO DE DOS DESASTRES Fernando do Amaral Nogueira RECOMENDACIONES BIBLIOGRÁFICAS 458 GOBIERNO, SOCIEDAD CIVIL Y REGULACIÓN PRIVADA EN LA GOBERNANZA TRANSNACIONAL Paola Perez-Aleman 459 GOBERNANZA TRANSNACIONAL: EL PAPEL DE LAS COMUNIDADES, REDES SOCIALES Y ACTORES PRIVADOS Glenn Morgan Julio/Agosto 2016
  8. 8. 372 © RAE | São Paulo | V. 56 | n. 4 | jul-ago 2016 ISSN 0034-7590 RAE | Revista de Administração de Empresas | FGV/EAESP EDITORIAL DOI: http://dx.doi.org/10.1590/S0034-759020160401 ACADEMIA E PRÁTICA N os corredores das escolas de business e de administra- ção, é sempre possível ouvir muitas conversas sobre a distância entre as pesquisas e artigos acadêmicos e a sua aplicabilidade nas empresas. Essa não é propriamente uma questão nova, mas que vale ser retomada. O tom das conver- sas traz junto uma crítica e, se não uma desconsideração, algu- ma desconfiança em relação a essas publicações, bem como a ideia de que não há qualquer utilidade nesses trabalhos. Nem tudo que se faz em academias − não só em administração como também em outros campos de conhecimento − vale a pena. Mas que as organizações não possam se beneficiar das pes- quisas acadêmicas é outra história. Além disso, nem tudo que se faz nas empresas deveria ser louvado (Ansoff, 1967). Apenas para dar um exemplo do momento, as pesquisas apontam que mulheres em boards trazem benefícios para as empresas, inclu- sive na questão corrupção, mas, ainda assim, sua presença é bastante reduzida no mundo todo. As empresas também produ- zem práticas que devem ser criticadas, e nem estou me referindo aqui à crítica no sentido posto pela divisão Critical Management Studies (CMS) da Academy of Management, nem ao debate so- bre as novas metas do capitalismo consciente. Apenas do ponto de vista da produtividade das empresas, pragmaticamente, mui- tas ações são questionáveis, especialmente no Brasil, onde esse afastamento da academia é ainda mais forte. Além disso, em geral, essas conversas são estabelecidas entreprofessoresqueparecemhabitardoisplanetasdiferentes:o dateoriaeodaprática.Oconhecimentoemadministraçãoinclui, ainda, um terceiro elemento: as publicações pop-management, aparentemente práticas, mas desprovidas de substância, ainda que muito difundidas e apoiadas em conhecimento “científico” que deixa larga margem para dúvidas. Afinal, de qual ciência nós estamos mesmo falando? Como a própria palavra diz, teorias são abstrações sobre a realidade; elas não são, evidentemente, a realidade prática, mas são as teorias que nos permitem generalizações sobre fenômenos e, eventualmente, nos levam às práticas. Até pouco tempo atrás, o apêndice do corpo humano era considerado um órgão desprovido de função e sua retirada, inócua. Entretanto, uma revisão da “teoria” sobre a função do apêndice mostra que não é bem assim. Além disso, as teorias são sempre relativas, já que a base de qualquer ciência é sempre a dúvida, ainda que certezas sejam preferidas pela maioria. A despeito das críticas que possam ser feitas ao conhecimento científico, parece que os humanos melhoraram suas condições de vida no planeta a partir de seus desdobramentos. De fato, me parece, essa é uma falsa dicotomia: teorias e práticas estão sempre absolutamente interligadas. Pode ser de modo mais ou menos explícito, mas qualquer ação prática exercida nas organizações depende de um “pressuposto” conceitual. Isso também não é novo; McGregor (1960) já discutiu o conceito há mais de meio século. E o próprio conceito de prática tem sido alvo de muitaspesquisas, portanto pode e deve ser questionado. Há muitas teorias sobre o que é prática, como mostram Chia e MacKay (2007) no campo da administração. Mas sempre há lugar para conhecimento de qualidade, teórico ou prático. Bem, tudo isso foi uma introdução para apresentar o quar- to número da RAE, que traz o resultado do Fórum Transnational governance regimes in Global South: Multinationals, states and NGOs as political actors, organizado por Glenn Morgan, Marcus Vinícius Peinado Gomes e Paola Perez-Aleman. Como pede um fórum que foi global e localmente organizado, temos aqui uma edição especial, com diversos artigos que tratam de questões práticas, cotidianas e extremamente relevantes para as organi- zações e para além delas, quando se trata de governança global. Esses artigos evidenciam como a pesquisa tem impacto na práti- ca, ainda que, por vezes, esse impacto possa dar-se de maneira um pouco mais demorada do que as respostas imediatas em um ou dois cliques que encontramos nos “oráculos” do nosso tem- po. As seções Pensata, Resenha e Indicações Bibliográficas con- tribuem na mesma direção. É um prazer apresentar este número. Parabéns e obrigada aos editores convidados do Fórum. Boa leitura! MARIA JOSÉ TONELLI | Editora-chefe Professora da Fundação Getulio Vargas, Escola de Administração de Empresas de São Paulo – São Paulo – SP, Brasil REFERÊNCIAS Ansoff,I.(1967).Handbookofbusinessadministration,researchanddevelopment planning. New York, EUA: McGraw-Hill. Chia, R., & MacKay, B. (2007). Post-processual challenges for the emerging strategy-as-practice perspective: Discovering strategy in the logic of practice. Human Relations, 60(1), 217-242. doi:10.1177/0018726707075291 McGregor, D. (1960). The human side of enterprise. New York, EUA: McGraw-Hill.
  9. 9. ISSN 0034-7590 RAE | Revista de Administração de Empresas | FGV/EAESP 373 © RAE | São Paulo | V. 56 | n. 4 | jul-ago 2016 EDITORIAL DOI: http://dx.doi.org/10.1590/S0034-759020160401 ACADEMIA AND PRACTICE I n many business schools, it is always possible to hear many conversations about the distance between academic articles and their applicability to business. This is not a new issue, but one that should be re-examined. The tone of these conversations reflects a critique and, if not disdain, then a skepticism toward these publications, which even includes the idea that they do not serve any useful purpose. Not everything that is done in academia – not just in administration but in other fields of knowledge as well – is worthwhile. But to say that organizations cannot benefit from academic research is another story. Besides, not everything that is done in business is worthy of praise (Ansoff, 1967). Just to provide one topical example, some researches indicate that female membership of corporate boards brings companies various benefits, including a reduction in corruption, but even so, women are clearly underrepresented in boards all over the world. Companies also have practices that should be criticized, and I am not referring to critiques such as those posted by the Critical Management Studies (CMS), Division of the Academy of Management, or the debate about the new targets of conscientious capitalism. Just from a practical point of view, in terms of company productivity many company actions are questionable, especially in Brazil, where academia is even more detached from business. In addition, these conversations take place between pro- fessors that seem to be from different planets: theory and prac- tice. Administrative learning also includes a third element: po- p-management publications, apparently practical, but lacking in substance, even though they may be widely known and su- pported with “scientific” knowledge which leaves large room for doubt. After all, what kind of science are we talking about? As the word itself says, theories are abstractions of reality; they are not, obviously, practical reality, but theories enable us to make generalizations about phenomena and eventually put them into practice. Until recently, the human appendix was considered an unnecessary organ, and its removal was considered innocuous. Now, however, a revision of the “theory” of the appendix’s func- tioning has shown that this really is not so. Theories are always relative, given that the basis of all science is doubt, even if most prefer certainties. In terms of the critiques that can be made of scientific knowledge, it seems that humans have employed this knowledge to improve their quality of life on this planet. In fact, it seems to me that this is a false dichotomy: theory and prac- tice are absolutely interlinked. It may be more or less explicit, but any action taken by organizations depends on a conceptual “assumption.” This also is not new; McGregor (1960) discussed this concept more than half a century ago. And the concept of practice itself has been the subject of many studies, and there- fore it can and should be questioned. There are many theories about what is practice, as Chia and MacKay (2007) show in the field of administration. But there is always a place for knowled- ge of high quality. All of this has been my way of introducing the fourth issue of RAE, which contains the results of the Forum entitled “Trans- national governance regimes in the global south: Multinatio- nals, states and NGOs as political actors,” organized by Glenn Morgan, Marcus Vinícius Peinado Gomes and Paola Perez-Ale- man. This forum, organized both globally and locally, brings a special issue with various articles about what is global and local in terms of practical, and extremely relevant issues for organi- zations and beyond them discussing global governance,. These articles show the impact of theory on practice, even though so- metimes this impact may take longer to appear than the imme- diate answers available by clicking once or twice on our present day “oracles.” The Essay, Book Review and Book Recommenda- tions sections cover the same overall theme. It is a pleasure to present this issue. Congratulations and thanks to the guest edi- tors of the Forum. Good reading! MARIA JOSÉ TONELLI | Editor in Chief Professor at Fundação Getulio Vargas, Escola de Administração de Empresas de São Paulo – São Paulo – SP, Brazil REFERENCES Ansoff,I.(1967).Handbookofbusinessadministration,researchanddevelopment planning. New York, USA: McGraw-Hill. Chia, R., & MacKay, B. (2007). Post-processual challenges for the emerging strategy-as-practice perspective: Discovering strategy in the logic of practice. Human Relations, 60(1), 217-242. doi:10.1177/0018726707075291 McGregor, D. (1960). The human side of enterprise. New York, USA: McGraw-Hill.
  10. 10. 374 ISSN 0034-7590© RAE | São Paulo | V. 56 | n. 4 | jul-ago 2016 | 374-379 GLENN MORGAN glenn.morgan@bristol.ac.uk Professor at University of Bristol, School of Economics, Finance and Management – Bristol, United Kingdom MARCUS VINÍCIUS PEINADO GOMES marcus.gomes@fgv.br Professor at Fundação Getulio Vargas, Escola de Administração de Empresas de São Paulo – São Paulo – SP, Brazil PAOLA PEREZ-ALEMAN paola.perez-aleman@mcgill.ca Professor at McGill University, Desautels Faculty of Management – Montreal – Quebec, Canada FORUM Invited article TRANSNATIONAL GOVERNANCE REGIMES IN THE GLOBAL SOUTH: MULTINATIONALS, STATES AND NGOs AS POLITICAL ACTORS While laissez-faire economy was the product of deliberate state action, subsequent restrictions on laissez-faire started in a spontaneous way. Laissez- faire was planned; planning was not. (Polanyi, 2001, p. 147) INTRODUCTION Brazil recently experienced one of the world’s worst environmental disasters when the Samarco mining company’s Fundão tailings dam burst. This tragic disaster, which occurred on 5 November, 2015, killed 17 people, swept away a district of the town of Mariana, polluted the Rio Doce river valley and degraded the water supply of 35 towns, negatively affecting the lives of millions of Brazilians (Aragão & Paes, 2016), and even impacting the waters of the South Atlantic. This was the world’s worst environmental disaster involving a tailings dam to date (Bowker, 2015). As of June 2016, polluted sediment was still washing through the river and Samarco had still not paid the fines imposed on it. The mining company, jointly controlled by Australian-based multinational BHP Billiton and Brazil’s Vale, was previously recognized as a leader in environmental standards, receiving numerous international awards and certifications (as did its joint owners). Although it is still too early to confirm with any certainty, since the investigations are still underway, there is evidence that this disaster was the result of a lack of adequate regulation, both by the market and by the state (Phillips, 2015). The Samarco case emphasises the dangers of allowing multinationals to operate without adequately monitoring their activities. There is an increased awareness that multinationals can cause serious problems for the environment, the workforce, the state, and communities at large. As many of these problems are transnational as well as national, they cannot be resolved by nations alone. However, creating international organizations through agreements between nation-states and then implementing international rules and legal sanctioning-mechanisms has proved problematic. Transnational social movements have used reputational mechanisms to embarrass firms in front of their employees, their customers and their shareholders when they have transgressed broadly-accepted standards. The goal of creating a structure that encourages good behaviour has led to the formation of systems of certified rules and labelling. In these multi- stakeholder contexts, social movements, firms and states have developed rules and monitoring systems that provide consumers, shareholders and states with certain guarantees. These ensure that particular products meet particular pre-agreed standards and they are labelled accordingly with recognisable badges, such as, for example, those of the Forestry Stewardship Council (FSC). There are, however, multiple problems associated with this particular model, some of which are explored in our Forum. One of these involves competing labelling and regulatory brands, some established by firms to offer a more lenient regulatory regime than would otherwise be RAE-Revista de Administração de Empresas | FGV/EAESP DOI: http://dx.doi.org/10.1590/S0034-759020160402
  11. 11. 375 ISSN 0034-7590 AUTHORS | Glenn Morgan | Marcus Vinícius Peinado Gomes | Paola Perez-Aleman © RAE | São Paulo | V. 56 | n. 4 | jul-ago 2016 | 374-379 unacceptable if a transnational social movement were involved (Bartley, Koos, Samel, Setrini, & Summer, 2015). Another problem concerns monitoring and the considerable variations found in local contexts and practices that challenge the rather generic standards usually negotiated in global partnerships, such as in the case of aquaculture in Indonesia (Schounten, Vellema, & Wijk, 2016). The interaction between transnational social movements and national states is also problematic. States often legitimately claim authority over their territories and obstruct or object when transnational social movements become involved. This is especially an issue between states in the Global South, whose concern is with rapid development in order to reduce poverty, and social movements in the North, who often advocate caps on growth. Unlike governments, transnational social movements are not elected. On the other hand, governments can be subject to corruption that prevents hard laws, regulations and sanctions from being implemented properly, even when these governments have the capacity to do the job and a sufficiently extensive cadre of experts bound by bureaucratic rules and careers at their disposal. With these issues in mind, the focus of this Forum is on the development of transnational governance mechanisms, and how multinationals, social movements and states, particularly in the Global South, deal with the challenges they represent. Drawing on Polanyi, we look at the transnational governance literature that is the subject of this Forum and consider three questions: (1) what is the role of the state within Polanyi’s ‘double movement’ and the limitations of the state as a governance mechanism under globalisation; (2) how can transnational NGOs and social movements explore gaps in governance within capitalism as an alternative way of restraining the market powers exercised by MNCs, and finally; (3) under globalised capitalism, how can the Global South position itself within the global economy and the development of governance mechanisms. THE STATE, POLANYI, AND THE ‘DOUBLE MOVEMENT’ Although 21st Century capitalism has its own unique features, its development can still be seen through the lens of Polanyi’s ‘double movement’ (Block, 2008). Using this concept, Polanyi describes how social actors construct institutions that confine and regulate markets. Tension between two opposing forces tends to be a characteristic of capitalism. On the one side one has the pressure for a free market, a neo-liberal argument in favour of more self-regulating mechanisms. Free markets, however, tend to generate inequality and economic conflicts that threaten the social order. This in turn creates pressure to tame these same markets by building institutions based on different principles, especially on the idea of citizenship and the rights of citizens to education, housing, healthcare and welfare provision and, more recently, a sustainable environment. The state has traditionally been the primary vehicle for providing such institutions, by using its monopoly over hard law and its tax raising powers to fund them. Thus, markets become socially embedded and free markets are no more than myths (Polanyi, 2001). Nevertheless, the ‘double movement’ suggests that forces supporting the reduction of the state and the expansion of the market will continue their struggle to push the pendulum back the other way and away from the state. Block (2008) argues that the movement to disembed the market from society creates a great burden on ordinary people because they are obliged to endure the higher costs it implies. Consequently, the state’s efforts are often necessary to ensure that these groups are able to tolerate such costs without engaging in disruptive activism. Thus, the ‘double movement’ creates a paradox, where the force of the state is necessary in order to impose the market logic and to control the associated risk of social disruption caused by increasing social tensions (Polanyi, 2001). The Mariana disaster emphasises this paradox, paving the way for our first question about transnational governance: what is the role of the state in regulation as depicted in Polanyi’s ‘double movement’? Whilst one dimension emphasises the state as providing society with a safeguarding cushion to deal with the market’s negative externalities, a second dimension emerges in the form of the need for state intervention as a counterweight to market influence. The Samarco case illustrates this issue, as concluded by the Office of the United Nations High Commissioner for Human Rights (OHCHR), which visited Mariana a few months after the disaster: (…) Federal and State authorities need to play a more active role in the disaster response. (…) While Samarco is responsible for repairing the damage caused, the State remains the primary duty bearer to uphold human rights of affected communities. (…) There needs to be a better balance in the power structure relating to investments to ensure that a regulatory or State framework (...) resolve the power imbalance that may allow irresponsible business practice to go un-checked. (OHCHR, 2015) Such an analysis takes a traditional state-centred view of regulation; that is, failings on the part of the state were ultimately behind the Samarco disaster. However, the UNHCR view also points to the role of transnational forces in monitoring and
  12. 12. 376 ISSN 0034-7590 FORUM | Transnational governance regimes in the Global South: Multinationals, states and NGOs as political actors © RAE | São Paulo | V. 56 | n. 4 | jul-ago 2016 | 374-379 controlling markets. This is illustrated, in the Samarco case, by the role of the transnational social movement, Greenpeace, which has demanded justice for the victims, but has done so by using different methods, thereby reflecting the importance of going beyond Polanyi’s initial formulation. Greenpeace Australia Pacific has organised protests at BHP Billiton’s headquarters in Australia using information about the disaster received from Greenpeace Brazil to better inform its campaign (Greenpeace, 2015). This context emphasises that 21st century capitalism is global, not only due to the flow of capital and labour, but also to the rise of significant transnational actors and spaces interconnected via finance and networks of production (Morgan & Kristensen, 2012), which in turn creates new spaces for governance that are simultaneously embedded in local and global spheres. We would suggest, therefore that one should add new levels to Polanyi’s double movement. As firms become multinationals, and as social movements and problems become transnational and are no longer containable within national spaces, one must conceive new modes of governance that include and go beyond the nation state level and its capacity (or not) to regulate, monitor and control markets. In a complex globalised world, there are multiple potential levels of governance. In many cases, a transnational governance that is based on multiple stakeholders, all cooperating on building private/public hybrid forms of governance based on soft law and voluntary participation (where failure to participate generates significant competitive disadvantage and reputational damage) offers an essential complement to states. In contemporary capitalism, therefore, civil society at both national and transnational levels can play an important role in developing governance mechanisms. NGOs and social movements can assume the role of questioning and confronting such market powers by engaging with multilateral organisations or organising activities (e.g. campaigns and partnerships), in order to influence MNCs and their supply chains in favour of better practices (Perez-Aleman & Sandilands, 2008). In this Forum, Vieira and Quack (2016) examine this question of how transnational social movements connect with national governance spaces, focusing on how local movements leverage transnational networks in order to influence domestic institutional regulation. They analyse the transnational mobilization of indigenous groups to influence the development of new institutions during the re-democratization period in Brazil. Identifying three trajectories of transnational mobilization between the 1960s and 1970s, Vieira and Quack show that transnational links created by these groups helped fashion a dense social movement able to influence national institution building. They analyse the links that bridge the local and global levels of this movement, and rather than just positioning actors within these levels, they show the simultaneous embeddedness of state and social actors within both local and global spheres. Such links are key when analysing the capacity of transnational activism to change a local institutional context because actors use them to gain knowledge, organize, and leverage multiple levels. Similarly, several papers in this Forum show the simultaneous interconnections that exist between the nation- state and the new spaces of governance. In the context of transnational markets and regulatory integration, countries in the South often lack the capacity to shape, implement, and benefit from global rules (Bruszt & McDermott, 2016). States in the South face certain challenges to improving their skills and resources in order to increase their capacities to produce national public goods. To achieve higher local capacity, the state must coordinate with civil society and global NGOs to complement resources and knowledge for addressing complex social and environmental problems (Schounten et al., 2016). Governments also create and leverage transnational alliances with other states, multinational companies, and global civil society organizations to develop their local economies. Srinivas (2016) shows how transnational forces influence the way in which local governments regenerate decaying urban infrastructure and manage development plans, whilst at the same time facing local civil society mobilization aimed at an equitable distribution of the benefits of national resources. Finally, as governments negotiate new global agreements and rules for regulating markets, transnational and local civil society demands to be included in global and local spheres so as to push for equitable and sustainable development (Delgado, 2016). TRANSNATIONAL NGOs AND SOCIAL MOVEMENTS AS GOVERNANCE ACTORS How can transnational NGOs and social movements explore the spaces for governance that are emerging within 21st Century capitalism as an alternative way to restrain market power exercised by the MNCs? The phenomenon of transnational governance has emerged within contemporary capitalism as a result of the establishment of cross-border labour, capital and information flows and global supply chains. States have to compete for capital and foreign direct investment, and any ‘excessive regulation’ represents a potential threat to any competitive advantage they might offer. This feature of the neo-liberal order of recent decades, where states have shifted their focus to providing a favourable environment for foreign capital, has led to the offer of incentives to such firms in terms of reduced costs of doing business, lax taxation systems and a competitive edge on the back of reduced
  13. 13. 377 ISSN 0034-7590 AUTHORS | Glenn Morgan | Marcus Vinícius Peinado Gomes | Paola Perez-Aleman © RAE | São Paulo | V. 56 | n. 4 | jul-ago 2016 | 374-379 regulation (Djelic & Sahlin-Andersson, 2006; Morgan & Kristensen, 2012). Such measures to reconfigure the state and adapt it to the current conditions of globalization have, however, frequently raised the level of discontent in relation to the broader order, either as a result of disasters, such as that involving Samarco, or the impact of crises like the Global Financial Crash of 2008, the Eurozone crisis, or the current slowdown in economic growth in China and its impact on leading commodity exporters, such as Brazil. This emerging discontent across national boundaries and the weak and ineffective government response to it has led to a search for other forms of resistance. Transnational governance can assume two forms: soft law, such as certification, self-regulation, or co-regulated standards (public and private partners develop such standards together); and hard law, involving traditional command and control legislation (Djelic & Sahlin-Andersson, 2006). As hard law is difficult to achieve at the transnational level, soft law mechanisms tend to predominate although the two can be combined. For example, the US Lacey Act makes it illegal to import timber sourced from non-sustainable forests; having the seal of approval from the FSC is prima facie evidence of compliance with this rule. Therefore, in this case, soft law and hard law combine against the US importation of timber from unsustainable sources. Transnational governance has three main characteristics. Firstly, it involves multiple public and private sector actors (e.g. companies, NGOs and states). Secondly, transnational governance is multilevel, encompassing local, national and transnational levels. Disentangling these different levels poses a challenge. Finally, it represents a steering form of governance, since its mechanisms are the outcome of different networks of influence and negotiation (Djelic & Sahlin-Andersson, 2006; Rasche & Gilbert, 2012). Transnational governance has, however certain weaknesses. Are these systems accountable, for example? Certainly not to electorates. There is no real ‘democratic’ element to them, except perhaps obliquely through the role that democratically elected states may play, which is often weak compared to that of corporations. Transnational NGOs also offer limited accountability; their most important donors are often kept secret and policy is decided by officials that are often appointed rather than elected. Fontoura, Bharucha, and Bohm (2016) highlight the fact that civil society is not homogeneous and NGOs have their own distinct positions, as exemplified in the transnational agricultural and food system. While some NGOs advocate public-private partnerships, others resist or oppose partnerships with the state or firms. The arena of transnational governance is also a competitive space. This can allow big business to become the dominant player in a particular set of regulations as this leads to markets for regulation, where there are multiple players operating in approximately the same space but with variations in the rules and mechanisms that apply. How are citizens supposed to understand these differences? How can these soft law systems ensure sufficient levels of monitoring and regulation that are protected from the influence of corruption? These are undeniably important research questions for the future. The interaction between global standards emerging from multi-stakeholder partnerships in the North and local practices in the South is the focus of a paper by Schounten et al. (2016). In analysing the Aquaculture Stewardship Council experience in Indonesia, they show how global standards can transform and guide sustainable change in supply chains. This largely depends, however, on their flexibility and responsiveness to bridging the extensive gap between global norms and the great variety of local cultural, technical and political practices. The Global South and transnational governance Why is transnational governance particularly important to the GlobalSouth? States in advanced economies have developed their regulatory systems over many decades. These have weakened somewhat under the impact of neo-liberalism and the discourse of deregulation, but they still maintain a role in many areas of social life. In structure, they are often Weberian bureaucracies that value expertise and neutrality in return for assured salaries and careers. Such systems also tend to have relatively well functioning hard law with a long tradition of jurisprudence and judicial neutrality. These systems can be corrupted, but in institutional terms, they tend to offer a degree of stability and path dependency that makes state regulation work, to a greater or lesser extent. These then constitute part of the state’s capacity in advanced economies. By comparison, nations in the Global South have widely varying capacities on this front, largely the result of their colonial past, civil wars and conflicts and traditions of authoritarianism, militarism and corruption. Efforts to develop state capacities along the lines of a Weberian bureaucracy struggle against rent seeking and notions that the state should ‘belong’ to a particular class, group or nationality. Reformers in the Global South struggle to create state capacities that are legitimate to the constituents and function as neutral instruments for the benefit of society as a whole. Creating a state regulatory system is a difficult process. Recently, some authors have suggested the idea that transnational governance systems could work as substitutes for weak states in terms of building institutions in particular localities. However, this view further undermines the scope for populations to create their own spaces of governance. It could also lead to
  14. 14. 378 ISSN 0034-7590 FORUM | Transnational governance regimes in the Global South: Multinationals, states and NGOs as political actors © RAE | São Paulo | V. 56 | n. 4 | jul-ago 2016 | 374-379 conflicts between Global South states and NGOs, and Global North transnational social movements and states seeking to impose their agendas on the South. Whilst problems are global or transnational and impact broader populations, they are often specifically located in particular states. As Fontoura et al. (2016) illustrate, civil society does not speak with one voice, and in the context of food and agriculture, there are substantial differences in the positions and alternatives proposed by NGOs from the South and those from the North. Furthermore, the Global South now constitutes a driving force within the global economy. The MNCs from developed countries have eagerly expanded into the Global South in their search for new markets and production centres to take advantage of cheap labour, existing natural resources, and weak regulatory systems. There is, therefore an urgent need for institutions and processes that can improve or resist market forces in the Polanyian way in these countries. Whilst creating cross-governmental international alliances as the BRICs did at the Copenhagen climate talks might be helpful, more effective would probably be to develop strong transnational governance mechanisms that link local populations and state agencies into effective alliances with powerful NGOs. This might then help shape agendas and create institutions that socially embed market processes. How the Global South benefits from transnational governance is an issue addressed by several papers in this Forum. For example, Delgado (2016) examines the Nagoya Protocol Access and Benefit-sharing mechanisms developed to protect local communities from bio-piracy. Though traditional knowledge is an important source for new drug development, few indigenous communities receive any benefits from their knowledge. More commonly, groups face exclusion as knowledge and bio resources become privatised. Delgado examines how global regulation travels to South Africa, India and Peru, where it only materializes when translated into local practices. She concludes that transnational governance is established through translation processes and assumes new forms and uses depending on the interests and experiences of the local actors. Each translation can be understood as a form of resistance to exclusion in global environmental governance. Srinivas (2016) analyses mega-events, such as the Olympics and the FIFA World Cup, as a form of transnational governance through which ideas and capital flows. Mega- events influence urban redevelopment, reconfiguring declining urban areas and building new infrastructure, while weakening the historical rights of urban residents. Additionally, Srinivas argues that mega-events also link local urban management and development to new transnational management alliances between market and state actors. As mega-events shift to the South, he argues that local elites might begin to foster social and political reforms, drawing on international capital and ideas, while lacking national popular support. Moreover, Bruszt and McDermott (2016) conceptualize dramatic variations in the capacities of public sector and non- state actors to define, implement and benefit from transnational regulationarisingfromregionalandglobalintegrationstrategies.The inclusion and empowermentofdiverse domesticprivate and public sector actorsin the design, monitoring and jointproblem solving of transnationalgovernancesystemswillaffectthedevelopmentaland distributiveoutcomesintheGlobalSouth.Thedifferentiatedcapacity of states, NGOs, and firms influences the distribution of economic benefits and the possibilities for local development. Finally, Nogueira (2016) reviews Mark Schuller’s book on humanitarian aid to Haiti. Nogueira emphasises how social and economic factors prevent Haiti’s civil society and state from influencing the international aid system, largely because they are in too weak a position to compensate for the failures of international aid. Completing our Forum, Paola Perez-Aleman and Glenn Morgan recommend ten books that they consider classics of literature on this subject and also new and interesting books they consider as cutting edge in the field of transnational governance. In thisForum we bring together a range ofpapersaddressing this interaction between states, firms, social movements and transnational governance mechanisms in an effort to heighten awareness of the importance of this area of social research and its implications for public policy. We hope to encourage readers to examine the development of transnational governance in more depth and to consider its promise, limits, and challenges in terms of promoting a better world for all. REFERENCES Aragão, L., & Paes, C. (2016). Desastre ambiental de Mariana em números. Retrieved from http://especiais.g1.globo.com/minas- gerais/2015/desastre-ambiental-em-mariana/1-mes-em-numeros/ Bartley, T., Koos, S., Samel, H., Setrini, G., & Summer, N. (2015). Looking behind the label: Global industries and the conscientious consumer. Bloomington USA: Indiana University Press. Block, F. (2008). Polanyi’s double movement and the reconstruction of critical theory. Revue Interventions Économiques, 38. Retrieved from http://interventionseconomiques.revues.org/ Bowker, L. N. (2015). Samarco dam failure: Largest by farin recorded history. Retrieved from https://lindsaynewlandbowker.wordpress.com/2015/12/12/ samarco-dam-failure-largest-by-far-in-recorded-history/ Bruzst, L., & McDermott, G. (2016). Transnational regulatory integration and development: A new framework for institutional change. RAE- Revista de Administração de Empresas, 56(4), 447-455. doi: 10.1590/ S0034-759020160408
  15. 15. 379 ISSN 0034-7590 AUTHORS | Glenn Morgan | Marcus Vinícius Peinado Gomes | Paola Perez-Aleman © RAE | São Paulo | V. 56 | n. 4 | jul-ago 2016 | 374-379 Delgado, N. A. (2016). Community protocols as tools for resisting exclusion in global environmental governance. RAE-Revista de Administração de Empresas, 56(4), 395-410. doi: 10.1590/S0034- 759020160404 Djelic, M.-L., & Sahlin-Andersson, K. (Eds.). (2006). Transnational governance: Institutional dynamics of regulation. Cambridge, UK: Cambridge University Press. Fontoura, Y., Bharucha, Z., & Bohm, S. (2016). A transnational agri-food system for whom? The struggle for hegemony at Rio+20. RAE-Revista de Administração de Empresas, 56(4), 411-423. doi: 10.1590/S0034- 759020160405 Greenpeace. (2015). Protesters demand justice for Brazilian mining disaster victims at BHP AGM. Retrieved from http://www.greenpeace. org/australia/en/mediacentre/media-releases/climate/Protesters- demand-justice-for-Brazilian-mining-disaster-victims-at-BHP-AGM/ Morgan, G., & Kristensen, P. H. (2012). Theoretical contexts and conceptual frames for the study of twenty-first century capitalisms. In G. Morgan & R. Whitley (Eds.), Capitalisms and capitalism in the twenty-first century (pp. 11-46). Oxford, UK: Oxford University Press. Nogueira, F. do A. (2016). Haiti: A tale of two disasters. RAE-Revista de Administração de Empresas, 56(4), 456-457. doi: 10.1590/S0034- 759020160409 Office of the United Nations High Commissioner for Human Rights. (2015). Statement at the end of visit to Brazil by the United Nations Working Group on Business and Human Rights. Retrieved from http://www.ohchr.org/EN/NewsEvents/Pages/DisplayNews. aspx?NewsID=16891&LangID=E#sthash.DNubAShj.dpuf Perez-Aleman, P., & Sandilands, M. (2008). Building value at the top and the bottom of the global supply chain: MNC-NGO partnerships. California Management Review. Retrieved from http://cmr.berkeley. edu/ Phillips, D. (2015). Brazil’s mining tragedy: Was it a preventable disaster? Retrieved from http://www.theguardian.com/sustainable- business/2015/nov/25/brazils-mining-tragedy-dam-preventable- disaster-samarco-vale-bhp-billiton Polanyi, K. (2001). The great transformation: The political and economic origins ot our time (2nd ed.). Boston, USA: Beacon. Rasche, A., & Gilbert, D. U. (2012). Institutionalizing global governance: The role of the United Nations Global Compact. Business Ethics: A European Review, 21(1), 100-114. doi:10.1111/j.1467- 8608.2011.01642.x Schounten, G., Vellema, S., & Wijk, J. van. (2016). Diffusion of global sustainability standards: The institutional fit of the ASC-Shrimp standard in Indonesia. RAE-Revista de Administração de Empresas, 56(4), 411-423. doi: 10.1590/S0034-759020160405 Srinivas, N. (2016). Transnational governance and the Trilhos Urbanos: Civil society’s resistance to the Rio mega-events. RAE-Revista de Administração de Empresas, 56(4), 438-446. doi: 10.1590/S0034- 759020160407 Vieira, A. C. A., & Quack, S. (2016). Trajectories of transnational mobilization for indigenous rights in Brazil. RAE-Revista de Administração de Empresas, 56(4), 380-394. doi: 10.1590/S0034- 759020160403
  16. 16. 380 ISSN 0034-7590© RAE | São Paulo | V. 56 | n. 4 | jul-ago 2016 | 380-394 ANA CAROLINA ALFINITO VIEIRA ana.avieira@gmail.com DoctoralStudentinSociology atMax-Planck-Institutfür Gesellschaftsforschung–Köln,Germany SIGRID QUACK sigrid.quack@uni-due.de ProfessoratUniversitätDuisburg-Essen, InstitutfürSoziologie–Essen,Germany FORUM Submitted 09.01.2015. Approved 02.16.2016 Evaluatedbydoubleblindreviewprocess.ScientificEditors:GlennMorgan,MarcusViníciusPeinadoGomesandPaolaPerez-Aleman TRAJECTORIES OF TRANSNATIONAL MOBILIZATION FOR INDIGENOUS RIGHTS IN BRAZIL Trajetórias da mobilização transnacional pelos direitos indígenas no Brasil Trayectorias de movilización transnacional para los derechos indígenas en Brasil ABSTRACT While research on episodes of transnational activism has advanced substantially in recent years, our knowledge about how long-term trajectories of cross-border activism affect the formation of national social movements and their capacity to influence domestic institutional change is still limited. This paper addresses this gap by analyzing transnational mobilization around the political and economic rights of indigenous groups in Brazil. We show that early pathways of transnational mobilization generated a set of ideational, organizational and institutional outcomes that enabled previously marginalized actors to shape the directions of institutional change within the country at the time of the Brazilian democratic transition. We identify three initially uncoordinated trajectories of transnational mobilization taking place in the late 1960s and 1970s and show how they converged over time through two social mechanisms – institutional cross-referencing and social networking – to form an increasingly tightly knit inter-sectoral social movement that was capable of influencing institution-building during the period of the National Constitutional Assembly (1987-1988). We conclude with a discussion of the linkages between transnatio- nal activism and national social movement formation. KEYWORDS | Transnational mobilization, mobilization trajectories, movement formation, indigenous rights, social movements. RESUMO Embora as pesquisas sobre episódios de ativismo transnacional tenham avançado substancialmente nos últimos anos, nosso conhecimento acerca de como as trajetórias de longo prazo do ativismo transfronteiriço afetam a formação de movimentos sociais nacionais, bem como de sua capacidade de influenciar mudan- ças institucionais domésticas, ainda é limitado. Este artigo aborda esta lacuna ao analisar a mobilização transnacional em torno dos direitos políticos e econômicos de grupos indígenas no Brasil. Mostramos que os caminhos iniciais da mobilização transnacional geraram um conjunto de resultados ideacionais, orga- nizacionais e institucionais, os quais permitiram que atores anteriormente marginalizados moldassem as direções das mudanças institucionais dentro do país no período da transição democrática brasileira. Identi- ficamos três trajetórias inicialmente não coordenadas de mobilização transnacional ocorrendo no final dos anos 1960 e 1970, e mostramos como elas convergiram, com o tempo, através de dois mecanismos sociais – o cruzamento de referências institucionais e a formação de redes sociais – para formar um movimento social intersetorial cada vez mais fortemente entrelaçado, o qual foi capaz de influenciar a formação de instituições durante o período da Assembleia Nacional Constituinte (1987-1988). Encerramos o artigo com uma discussão sobre as ligações entre o ativismo transnacional e a formação de movimentos sociais nacionais. PALAVRAS-CHAVE | Mobilização transnacional, trajetórias de mobilização, formação de movimentos, direi- tos indígenas, movimentos sociais. RESUMEN Mientras la investigación de episodios de activismo transnacional ha avanzado significativamente en los últimos años, nuestro conocimiento acerca de cómo las trayectorias a largo plazo de activismo transfron- terizo afectan la formación de movimientos sociales nacionales y su capacidad de influir en el cambio institucional aún es limitado. El presente artículo trata esta laguna al analizar la movilización transnacional en torno a los derechos políticos y económicos de grupos indígenas en Brasil. Mostramos que salidas tem- pranas de movilización transnacional generaron un conjunto de resultados de ideas, organizacionales e institucionales que permitieron que actores marginalizados previamente le dieran forma a los rumbos del cambio institucional dentro del país en la época de la transición democrática brasileña. Identificamos tres trayectorias inicialmente descoordinadas de movilización transnacional transcurriendo a fines de la década de 1960 y 1970 y mostramos cómo convergieron con el paso del tiempo a través de dos mecanismos sociales (referencia cruzada institucional y redes sociales) para formar un movimiento social intersectorial cada vez más compacto capaz de influir en la formación de la institución durante el período de la Asamblea Consti- tucional Nacional (1987-1988). Concluimos con un debate de los vínculos entre activismo transnacional y la formación de movimientos sociales nacionales. PALABRAS CLAVE | Movilización transnacional, trayectorias de movilización, formación de movimientos, derechos indígenas, movimientos sociales. RAE-Revista de Administração de Empresas | FGV/EAESP DOI: http://dx.doi.org/10.1590/S0034-759020160403
  17. 17. 381 ISSN 0034-7590 AUTHORS | Ana Carolina Alfinito Vieira | Sigrid Quack © RAE | São Paulo | V. 56 | n. 4 | jul-ago 2016 | 380-394 INTRODUCTION Until the late 1960s, indigenous peoples in Brazil were largely invisible in international debates and national decision-making arenas. Despite the human rights violations that affected these groups and their relegation to the ranks of second-class citizens, little was known in the world about their plight. This is not surprising, given that in Brazil indigenous peoples were both economically marginalized and politically disenfranchised. Under the tutorship regime, indigenous societies progressively saw their land taken from them and transformed into pastures and crops. Isolated by means of an institutional framework that sought to silence their claims and eradicate their indigenous identities, their voices could not travel far. Fast-forward to the early 1980s and we find that the situation is remarkably different. By this time, a visible, vocal and effective social movement had emerged defending the rights and interests of indigenous peoples in Brazil. In the early 1980s, as Brazil transitioned out of military dictatorship and into democracy, this tightly knit inter-sectoral movement was capable of participating in the construction of a new legal regime governing indigenous rights in the country. Within the National Constitutional Assembly (1987-1988), this movement formulated and defended its institutional proposals, mobilized with other social movements and leveraged support of politicians. Their efforts were not in vain: the Constitution of 1988 recognized, for the first time in Brazilian history, the right of indigenous peoples to their culture and identity as well as their capacity to represent their own interests without the mediation of the state. The stark contrast between the state of pro-indigenous mobilization in the late 1960s and in the early 1980s raises important theoretical and empirical questions about the sources of these transformations. These contrasts are especially remarkable given that the emergence of a pro-indigenous movement occurred within an authoritarian political context, where opportunities for activism were severely limited. Add to this that indigenous mobilization was especially thwarted by the institutions that governed indigenous interactions with the state and the question of how a social movement consolidated itself in this context becomes even more puzzling. While researchers have investigated the formation of pro-indigenous mobilization in Brazil, they have left important aspects of this process underexplored. On the one hand, some authors have focused their attention on the national dimensions of movement formation, investigating the domestic actors, arenas and opportunities for pro-indigenous mobilization in the country (Bittencourt, 2007; Warren, 2001). While this literature links the emergence of these collective actors to transformations occurring within the national political arena in the 1970s, it fails to account for the role played by transnational linkages in the formation of those very arenas and actors. On the other hand, researchers who do recognize the importance of transnational linkages within the pro-indigenous movement focus on a later stage of mobilization, in which a domestic social movement is already in place and is capable of reaching out into global arenas in order to leverage support for its cause (Brysk, 2000). While recognizing the importance of mobilization across borders for the pro-indigenous movement in Brazil, this approach takes for granted the existence of national collective actors and does not account for the processes through which they came into being. Furthermore, it reduces a multiplicity of transnational processes into a single dynamic – that of indigenous activists projecting themselves into the global arena – and falls short of examining the multiple trajectories through which transnational activism affected mobilization at the local and national levels. Together, these literatures have failed to look at the transnational origins of social movement formation and have not linked transnational activism to the development of sustained pro- indigenous mobilization. In this paper, we address these gaps by analyzing the mechanisms through which cross-border activism contributed to the formation of a pro-indigenous movement in Brazil between 1968 and 1988. To do this, we draw on recent literature that explores the transnational origins of national social movements (David, 2007) and argue that transnational linkages were not only important for the amplification of existing identities, grievances and claims of indigenous groups and pro-indigenous organizations situated in Brazil; they were crucial in the development of those identities, grievances and claims. Furthermore, we contend that it is problematic to reduce transnational mobilization to a single process. In order to understand the influence of cross-border activism upon domestic movement formation, it is necessary to examine multiple and interacting processes of transnational mobilization – processes we refer to as trajectories of mobilization - and analyze how they contribute to the development of collective actors within the domestic arena. Our analysis pays close attention to actors and organizations which have been largely ignored in studies of transnational activism. These rooted transnationalists (Djelic & Quack, 2010; Tarrow, 2005) include members of the Catholic Church, secular missionaries and public anthropologists in exile who were central figures in the development of pro-indigenous mobilization in Brazil. Initially situated within different trajectories of mobilization, these actors bridged across trajectories as they sought to transform the field of indigenous rights. It was at the interface and convergence of
  18. 18. 382 ISSN 0034-7590 FORUM | Trajectories of transnational mobilization for indigenous rights in Brazil © RAE | São Paulo | V. 56 | n. 4 | jul-ago 2016 | 380-394 these trajectories that a national social movement emerged, and by analyzing the mechanisms through which convergence occurred, we render a more comprehensive account of how transnational collective action influences the formation of social movements at the local and national levels. FROM MOBILIZATION ACROSS BORDERS TO NATIONAL SOCIAL MOVEMENTS While there has been a fair amount of research done on the transnationalization of social mobilization and, more generally, on shifts in the scale of activism from the local to the global levels and vice-versa (Tarrow & McAdam, 2005), we know less about how transnational activism can create conditions for sustained mobilization on local and national levels, and ultimately converge into the formation of sustained social movements embedded and active within domestic arenas (David, 2007). Research has shown that transnational activism has provided crucial channels for amplifying the grievances and claims of collective actors situated within unresponsive political contexts (Brysk, 1993; Keck & Sikkink, 1998). But how does mobilization across borders affect the very formation of those collective actors and influence opportunities for sustained mobilization within unfavorable political contexts? In order to answer these questions, we draw on theoretical frameworks that allow us to explore the development of mobilization within cross-border networks and multi-layered contexts of action. In this section, we present three theoretical building blocks of our analysis, namely: (1) a longitudinal framework which places mobilization and its outcomes in the flow of time; (2) the concept of transnational linkages, which allows us to closely investigate the relational characteristics of cross- border ties; and (3) a multi-layered conception of opportunities for mobilization which takes into account that transnational activists are usually embedded in multi-level institutions and arenas. Social movements and outcomes of contention in time: Studying trajectories of mobilization In recent times, there have been many calls for the adoption of a more longitudinal perspective in the field of transnational activism (Bülow, 2010; Zajak, 2014). The argument put forward by these researchers is that the focus of the literature on events such as protests or campaigns leads to a partial understanding of transnational collective action. In addition to lacking a broader sense of the field within which contention occurs, these studies “may lead to an overly optimistic analysis about the sustainability and the impacts of transnationalism” (Bülow, 2010, p. 23). A long- term perspective allows us to analyze the dynamic interaction between social movements and the impacts of mobilization and to grasp how, in the unfolding of contention, the latter become the building-blocks with which mobilized actors can construct projects, strategies as well as collective identities. In order to analyze the shifting trajectory of actors and organizations involved in transnational contention, Bülow (2010) developed the concept of pathways to transnationality, defined as “routes taken by civil society organizations to link debates and action across scales” (Bülow, 2010, p. 6). Zajak (2014) shares the focus on long-term transnational trajectories in her study of transnational pathways of influence, defined as the routes taken by activists in order to affect institutional change. By situating mobilization within the flow of time, these longitudinal approaches push us to revisit our understanding of how mobilization impacts and changes its contexts of action (Giugni, 1998). Instead of conceptualizing outcomes of mobilization as static effects of instances of mobilization – for instance, analyzing an instance of legal change as a finished outcome of collective action –, longitudinal frameworks enable researchers to set interaction between outcomes and mobilization in motion. They recast movement outcomes as partial consequences of collective action, which gain significance as further mobilization unfolds. Outcomes of mobilization can therefore become many things: they may be forgotten or may remain inaccessible to other actors (Schneiberg, 2007); they may become the trigger for demobilization or coutermobilization; or they may serve as input for the emergence of new action repertoires. Furthermore, outcomes of mobilization can be used as an instrument for the construction of movement coallitions and identities. Actors situated within distinct trajectories of mobilization can come to see themselves as involved in a common cause as they interpret, activate and deploy the outcomes ensuing from other trajectories, thereby using movement outcomes into an instrument of coallition formation and collective identity-building. Transnational activism: From global and local positions to transnational linkages One of the key questions addressed by studies on transnational collective action concerns the type of tie that connects actors and organizations situated across borders. While some authors tend to view the interaction between global and local arenas as vertical and asymmetric (Boli & Thomas, 1999; Keck & Sikkink, 1998), others have called for a more horizontal approach to the study of cross-border mobilization (Ferguson, 2006; Matsuzawa, 2011). What these approaches have in common is that they maintain an
  19. 19. 383 ISSN 0034-7590 AUTHORS | Ana Carolina Alfinito Vieira | Sigrid Quack © RAE | São Paulo | V. 56 | n. 4 | jul-ago 2016 | 380-394 analytical divide between global and local levels of mobilization. However, actors operating transnationally are not exclusively bound to any single arena and typically have multiple affiliations, including local and global ones. It is precisely this combination of affiliations that matters, since the multiplicity of embeddedness allows for the flow of ideas, resources and strategies across national divides, generating creativity and novelty. In order to bridge across the local-global conceptual divides, we move beyond both vertical and horizontal conceptions of transnational mobilization and adopt a rooted transnationalism approach, under which we subsume scholarly work that has questioned the binary allocation of social movement actors, their goals, strategies, and identities to either the local or the global (Alonso, 2009; Djeclic & Quack, 2010; Tarrow, 2005). This literature has shown that actors and organizations can have multiple affiliations, being embedded in organizations, networks and experiences that span across borders. Based on these insights, it becomes important to investigate the types of linkages that connect across levels and institutional spheres of mobilization. What types of action are involved in these linkages, and what relationships bind actors across levels of mobilization? Stark, Vedres, and Bruszt (2006) address these questions by investigating the relationships between forms of transnational ties and domestic rootedness of civic organizations, finding that the patterns of connectedness across levels of mobilization result in different types of transnational publics. Transnational linkages can serve as circuits for the circulation of material and non-material resources, they can be characterized by ties of participation or accountability, of cooperation or competition, and all of this matters when analyzing the possible effects of transnational mobilization on the formation of national movements. Furthermore, the characteristic patterns of transnational linkages can change over time, leading to shifts in the publics formed by interacting actors and organizations. These shifts are, in turn, important for analyzing changes in patterns of mobilization over time. In order to analyze them, it is important to adopt an analytical framework that moves beyond an investigation of episodes of transnational contention to a framework that places contention more fully in the flow of time. Shifting linkages and contexts of action: Opening up opportunities for mobilization through transnational activism The concept of political opportunity structures coined by political process theorists has recently come under a twofold attack. Firstly, it has been criticized for being overly structuralist and not paying sufficient attention to how political contexts themselves can be affected by mobilization (Goodwin & Jasper 1999). Secondly, authors studying processes of mobilization beyond the nation state have asserted that “the concept of political opportunity structures has been developed with domestic social movements, nation-states and national policies in mind” (Gavarito, 2007, p. 153) and lacks conceptual tools to integrate global and transnational opportunity structures into the analysis. More recently, the issue of state-centrism in the analysis of opportunities for mobilization has been tackled by researchers working from within social movement theories and international relations. These authors argue that a model of multi-level and nested political opportunity structures can lead to a better understanding of how activists mobilize by “using political opportunities at one level in order to create political openings at another level” (Risse & Sikkikk, 1999; see also Meyer, 2003). Conceptualizing opportunities for mobilization as multi-layered contexts significantly adds to our understanding of the emergence and effects of social movements (Schneiberg & Lounsbury, 2008). But in order to understand how multi-level opportunity structures affect the capacity of actors to mobilize across settings and levels, the concept of transnational linkages is crucial. It is through these linkages that ideational, organizational and institutional resources can flow across borders and thereby shift the contexts in which mobilization takes place. As organizational resources are channeled across networks, new organizations emerge and forge links within their contexts of action. And if these linkages bridge across institutional sectors and into the state, new alliances and openings are consolidated for challenger movements and thus the opportunities for mobilization emerge. In a setting where domestic political opportunities are closed, transnational linkages which support the flow of resources and information into domestic settings may become an important driver of movement formation. In the remainder of this article, we apply this concept of cross-border mobilization within multi-layered opportunity spaces. We identify three trajectories of transnational mobilization that lie at the origins of the indigenous movement in Brazil and explore the mechanisms through which these pathways converged into a sustained process of pro-indigenous mobilization throughout the 1970s. We use the terms trajectories and pathways synonymously, to describe a directional process in which sequences matter but that is non-deterministic and open ended. MATERIALS AND METHODS Our investigation of transnational mobilization for indigenous rights in Brazil is based on a set of materials that include
  20. 20. 384 ISSN 0034-7590 FORUM | Trajectories of transnational mobilization for indigenous rights in Brazil © RAE | São Paulo | V. 56 | n. 4 | jul-ago 2016 | 380-394 primary documents, semi-structured interviews and literature. We used different sets of materials to trace the development and consequences of each trajectory of mobilization described below and to trace the linkages and connections that were forged amongst them. The reconstruction of the first trajectory of mobilization relied on interviews with anthropologists engaged in criticizing Brazilian indigenism and anthropological practice throughout the 1970s and 1980s, as well as on the public declarations issued by these anthropologists and on the anthropological studies demanding indigenous land rights they produced in the early years of the Brazilian indigenous movement. To reconstruct the second trajectory, we relied on minutes of the National Assemblies of Indigenous Chiefs and declarations issued at meetings of bishops and missionaries in Latin America between 1968 and 1988. We also conducted interviews with missionaries that were directly involved in the reform of indigenous missionary practice at the time in order to understand the motives and strategies of these actors in engaging in the field of indigenism. The case study also draws on a comprehensive literature review of official and grey publications in Portuguese and English. Finally, our account of the third trajectory of transnational activism is based on official documents of the Brazilian government, on international media reports and on statements of international organizations issued in the late 1960s denouncing abuses in Brazilian indigenous policy. We applied process-tracing techniques to these materials in order to trace and analyze the development of the three trajectories of mobilization and to reveal the mechanisms through which each of them impacted change in the institutional contexts of action. In this process tracing, we paid special attention to the intersection and linkages between the three trajectories, and to the processes through which they converged in impacting change in the institutions that govern indigenous economic and political rights in Brazil from 1968 until 1988. MULTIPLE TRAJECTORIES TOWARDS THE CONSOLIDATION OF A NATIONAL MOVEMENT FOR INDIGENOUS RIGHTS IN BRAZIL Until the late 1960s, the emergence of an organized indigenous movement in Brazil was inhibited by the institutional regime governing indigenous groups in the country, called indigenous tutorship. Enacted through a set of laws in the early 20th century, indigenous tutorship was a nation-building institution oriented towards the state-directed assimilation of indigenous peoples (Diacon, 2004; Lima, 1995). Tutorship was rooted in the assumption that indigenous groups would progressively be civilized and integrated into society. Until then, the state would be responsible for administrating the lives, lands, and resources of these groups. From 1928 until 1967, tutorship was exercised by a federal indigenist bureaucracy called the Serviço de Proteção ao Índio (Indian Protection Service [SPI]), superseded in 1967 by the Fundação Nacional do Índio (National Indian Foundation [FUNAI]). The indigenist bureaucracy was supposed to provide fraternal protection to the Indians by protecting them from the brutality of the development frontier. At the same time, it was to ensure the expansion of that very frontier. Caught between these contradictory goals, the bureaucracy intervened by removing the Indians from their territories and transferring them into small plots of land called indigenous reservations (Cordeiro, 2013; Oliveira, 1988). Once the Indians had been concentrated within the reservations the indigenist bureaucracy had the authority to govern their resources and dictate the rhythm of their lives. The only actors allowed to participate in the governance of indigenous groups were religious missionaries, who collaborated with the state in civilizing indigenous groups (Benites, 2014; Prezia, 2003). The alliance between missionaries and state made it difficult for any sustained critique of indigenist policies to emerge at the domestic level, especially in the closed and authoritarian political context of the Brazilian military dictatorship (1964-1985). In order to explain the formation of an organized national indigenous movement, we must shift our attention away from isolated local instances of resistance towards a more comprehensive analysis of trans-local networks of activism. From the 1960s onwards, a number uncoordinated processes of contestation against tutorship emerged within different transnational networks and organizations. In the course of the 1970s, the critiques formulated within these arenas contributed to the formation of a pro-indigenous movement in Brazil that became a driving force for the establishment of new rights for indigenous peoples in the country. In the following sections, we analyze these three trajectories of transnational activism for indigenous rights and show how they became increasingly interconnected, helping to form a national pro-indigenous movement in Brazil. Each trajectory is characterized by a distinct set of actors mobilizing transnationally through different means and with different outcomes. Each trajectory contributed in incremental ways to pro-indigenous mobilization in Brazil in the 1970s and 1980s. We refer to them as 1) the trajectory of transnational public anthropologists; 2) the trajectory of liberation theology missionaries; and 3) the trajectory of international journalists and information politics.
  21. 21. 385 ISSN 0034-7590 AUTHORS | Ana Carolina Alfinito Vieira | Sigrid Quack © RAE | São Paulo | V. 56 | n. 4 | jul-ago 2016 | 380-394 We begin by presenting and describing the development of these three trajectories from the late 1960s to the early 1980s. Following this description, we discuss two social mechanisms – institutional cross-referencing and social networking – which increasingly connected and combined different trajectories into a nation-wide mobilization for indigenous rights in the National Assembly, where the new Federal Constitution of Brazil was discussed from 1987 to 1988. The main events described in each trajectory as well as the two social mechanisms through which the latter converged into a broad-based pro-indigenous movement in Brazil in the late 1970s are illustrated in Figures 1 and 2. First trajectory: Transnational activism of anthropologists and the emergence of local indigenous support organizations In the 1950s and 1960s, anthropologists working with indigenous communities in Brazil became increasingly skeptical of the efficacy and morality of tutorship. The indigenist policies of the SPI came increasingly under scrutiny of anthropologists – many of them working from within the agency – who idealized profound transformations in the indigenist bureaucracy. These anthropologists had entered the cadres of the SPI in the 1940s-1950s imbued with knowledge of contemporary anthropology and avid for change. Darcy Ribeiro, an anthropologist who worked for the SPI between 1949 and 1956, elaborated important critiques towards tutorship and its aftermath, especially concerning the disastrous consequences that the institution had upon Indigenous groups (Ribeiro, 1970). Many of these idealist anthropologists left the organization in the late 1950s as its corruption and abusive practices towards indigenous populations became increasingly obvious. In the late 1960s, Georg Grünberg, an Austrian anthropologist who conducted fieldwork amongst the Kayabi Indians in Brazil, witnessed firsthand the violence of frontier expansion and the inability of the indigenist bureaucracy to protect the Indians. Grünberg saw a war between the patrons of rubber tapping and the Kayabi Indians, forced to flee to the recently instituted Xingu National Park (Grünberg, 2015). Like Ribeiro, Grünberg became dedicated to denouncing the shortcomings of South American indigenist policies and idealizing alternative models of indigenism for the continent. Ribeiro and Grünberg’s work is representative of a broader set of anthropological critiques against the foundations and practices of indigenous tutorship that developed at the time. However, following the military coup in 1964 and the establishment of military dictatorship, it became very difficult and dangerous to articulate such critiques in Brazil. In the years that followed the coup, political parties were banned, political organizing was restricted, and public debate was subjected to censorship. Many critical Brazilian anthropologists had to leave their country and go into exile. This is precisely what happened to Ribeiro, who first sought refuge in Uruguay, then in Venezuela. At this time, an informal transnational network of roughly two dozen politically engaged anthropologists scattered throughout Latin America (and to some extent also Europe) emerged. Many of them, like Ribeiro, had been sent into exile by their authoritarian governments, and they shared a deep critique of South American indigenism as well as a will to transform it. Austrian anthropologist Grünberg was one of them. Upon returning from fieldwork in Brazil to Europe, he pursued the idea of setting up a forum where anthropologists with critical perspectives on Latin American indigenism would be able to engage in joint action against indigenous policies in the continent. These ideas took form in 1970, when Grünberg had a fortuitous encounter with the coordinator of the World Council of Churches (WCC) Program to Combat Racism. The program had been instituted to intervene in the context of South African apartheid, but Grünberg convinced the coordinator that the WCC should get involved in South America. They decided to organize a gathering where anthropologists with experience in South America would be able to exchange information and develop a project for intervention. This was the birth of the Barbados Symposium on Interethnic Conflict in Non- Andean South America. In 1970, Grünberg traveled to South America and across the continent with the support of the WCC issuing invitations, discussing the project, and consolidating the guiding principles of the gathering. According to Grünberg, In those times the anthropologist that had long and rich experiences in the field formed almost automatically a network, in the sense that they were constantly meeting each other in international conferences and that they also needed to find refuge in face of military persecution. So there was a culture of mutual assistance and support, because we had always been considered communists by the military, subversives, and we were seen as people who wanted to turn Indians into subversive elements against the state. So there was a quite practical sense of fraternity, because we many times had to disappear from our countries and seek exile elsewhere. In Paraguay you found exiled Argentinians, in Argentina you found Uruguayans… so there was a personal network that formed
  22. 22. 386 ISSN 0034-7590 FORUM | Trajectories of transnational mobilization for indigenous rights in Brazil © RAE | São Paulo | V. 56 | n. 4 | jul-ago 2016 | 380-394 among these two dozen field anthropologists who were set on speaking out and who were insisting that we could not go on with internal colonialism and that it had to end. And it was not hard for us to find each other – if you knew three of us then you knew us all, at least by name. (Grünberg, 2015) The First Barbados Symposium took place in 1971 at the University of the West Indies in Bridgetown. It was attended by 19 anthropologists from 12 countries, all of whom had conducted field research in South America. At the end of the Symposium, these anthropologists signed a declaration outlining the responsibility of the State, religious missions and anthropology in the genocide of indigenous groups throughout South America (Bartolome et al., 1971). The Barbados Declaration was a landmarkdocument. It articulated severe critiques against Latin American indigenism, and proposed the liberation of indigenous peoples through processes that they themselves would conduct (Bartolome et al., 1971). Following the Symposium, some anthropologists returned to South America in order to implement this new indigenism. In 1974, Grünberg traveled to Paraguay where he founded an organization called the Pai Tavyterã Project (PPT), which would allow indigenous groups to determine the goals, priorities and means of organization and activism; the PPT’s staff would support the endeavors of the local communities (Grünberg, 2015). This model of support organization soon spread into Brazil, where one of PPT’s interns, Rubem Thomaz de Almeida, founded the Kaiowá Ñandevá Project (PKN) in 1976 (Almeida, 2001). These organizations were pioneers in experimenting with a new form of indigenism, in which the anthropologists would intervene only as requested to by the indigenous communities, serving as mediators between the village, surrounding society and the state. The PKN was pioneer in introducing foreign funding into the field of pro-indigenous activism in Brazil. The relationship between public anthropologists and the ecumenical axis of Christian Churches enabled them to get funding from international organizations such as the World Council of Churches, Bread for the World and Misereor (Almeida, 2001; Grunberg, 2015). These new ways of organizing and financing activism flourished in the late 1970s. At the time, pro-indigenous activists took advantage of shifts in the domestic political landscape – which was slowly showing signs of opening – in order to promote a broad-based wave of mobilization against the indigenist policies of the military government. The latter was planning to issue a decree liberating indigenous groups from the constraints and entitlements of tutorship. This was called the “emancipation decree”. As seen above, the tutorship regime held that indigenous groups would one day become assimilated into the national society, and emancipation was the legal act that would formalize the conclusion of this transition. Emancipated peoples would no longer be classified as indigenous and would therefore not have the special rights and restriction supported by the latter. The Interior Minister defended emancipation as a means of ensuring the full integration of indigenous peoples in the country. Yet, pro-indigenous activists interpreted it as a measure promoted by government in order to evade its obligation to demarcate indigenous lands. Mobilization in the mid-1970s against indigenous emancipation propelled the proliferation of support organizations throughout Brazil. Between 1977 and 1980, numerous indigenous support organizations sprung up in various regions. By the mid-1980s, there were over 20 indigenous support organizations active in the country. While some activists followed the model of the PKN in setting up community-based support organizations where the activists would share the livelihoods of indigenous groups, others tookthe model of indigenous support organizations into the urban centers of Brazil. Even if there were variations among the specific forms and engagements of these organizations, they were all rooted in the idea of the transformation of indigenism formulated by the Barbados Declaration. While their engagements were decidedly local, these organizations maintained their linkages to transnational organizations, to which they reported and from which they received ongoing flows of resources. The indigenous support organizations were central in an emerging pro-indigenous political field. The grassroots support organizations were important in backing local political organization of indigenous groups and thoroughly documenting local claims of indigenous groups – especially claims for land demarcation. Meanwhile, their later urban versions gave visibility to the indigenous cause in the large Brazilian cities and bridged across indigenous claims and the broader movement for democratization that was taking place in Brazil in the late 1970s. Furthermore, it was the anthropologists who brought the existing regulation of indigenous land rights to life – particularly the Indigenous Statute of 1973 – by providing their academic expertise for the demarcation of indigenous territories and supporting the claims of indigenous groups towards the state administration. In sum, the network of transnational anthropologists contributed to the transformation of indigenist institutions in three ways. First, their embeddedness in personal networks that spanned across borders provided them the supra-national platform and resources necessary to develop, formalize and divulge a landmark critique of South American indigenism despite the authoritarian political landscape that plagued the region at the time. Second, the Barbados experience inaugurated linkages between public

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