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Biofuel Governance in Brazil and the EU Sarah L Biofuel Governance in Brazil and the EU in Brazil Biofuel Governance Biofuel Governance in Brazil and the EU Sarah L. Stattman Sarah L. Stattman Sarah Propositions 1. By legally mandating that biofuels should be sustainable, the EU has created a potential instrument for other commodities. (this thesis) 2. Successful private sustainability certification requires strong states. (this thesis) 3. A focus on agricultural productivity distracts from the pursuit of sustainable agriculture. 4. Successful academics practice the adage ‘less is more’. 5. Energy and agricultural interlinkages are the most crucial sustainability nexus of the future. 6. Introducing school lunches in the Netherlands offers a major opportunity for shifting towards a ‘planetary diet’. Propositions belonging to the thesis, entitled Biofuel Governance in Brazil and the EU Sarah L. Stattman Wageningen, 15 April 2019 Biofuel Governance in Brazil and the EU Sarah L. Stattman Thesis Committee Promotors Prof. Dr A.P.J. Mol Professor of Environmental Policy Wageningen University & Research Dr A. Gupta Associate Professor, Environmental Policy Group Wageningen University & Research Other members Dr F. de Castro, University of Amsterdam Prof. Dr P. Pattberg, VU Amsterdam Prof. Dr H.A.C. Runhaar, Wageningen University & Research Dr G. Schouten, Erasmus University, Rotterdam This research was conducted under the auspices of the Graduate School for Socio-Economic and Natural Sciences of the Environment (SENSE). Biofuel Governance in Brazil and the EU Sarah L. Stattman Thesis submitted in fulfilment of the requirements for the degree of doctor at Wageningen University by the authority of the Rector Magnificus, Prof. Dr. A.P.J. Mol, in the presence of the Thesis Committee appointed by the Academic Board to be defended in public on Monday 15 April 2019 at 1.30 p.m. in the Aula. Sarah L. Stattman Biofuel Governance in Brazil and the EU, 160 pages. PhD thesis, Wageningen University, Wageningen, The Netherlands (2019) With references, with summary in English DOI: https://doi.org/10.18174/472916 ISBN: 978-94-6343-918-3 Acknowledgements This PhD is the end of a long journey. The project started in 2009 and over the course of writing this thesis, many people in different ways have helped and supported me. Not only with the research, interviews and contacts at various times and locations, but also with background support for a process that took longer and was more complicated than I originally anticipated. I would like to take this opportunity to say thanks to many of them. My interest for the topic originated from looking for a subject for my MSc thesis in 2007. During a debate in ‘Hotel de Wereld’ in Wageningen, I met Prem Bindraban who (quite spontaneously) invited me to join his research sabbatical in Brazil. Just two-and-a-half weeks later our adventure in Brazil began. During this trip we visited many people and projects varying from farmers, researchers, government officials and multi-stakeholder initiatives. We discovered the broad variety of the country and its very kind people. Therefore, thank you Prem for this amazing opportunity! It has been the basis of insights and information that has been invaluable in the whole process. Also, muito obrigada, Catarina Pezzo. We met during my first trip when you were appointed to show me around the WUR campus in Piracicaba and were finishing your own thesis. I am glad we have stayed in touch and met each other again in Brazil and the Netherlands where I could return the favour of hospitality. I would like to continue by expressing my gratitude to my promotors Arthur Mol and Aarti Gupta for their continuing support and persistence. Arthur Mol gave me the chance to pursue my research interest as a PhD student at the Environmental Policy group. His supervision and feedback always improved the quality of my work and in spite of a bumpy road, he has remained patient and allowed me to finish this thesis in my own time. I am also incredibly grateful to Aarti Gupta, because she has kept me going (one way or another). Without her guidance and support this project would probably never have been finished. Thank you! Many thanks also to ENP colleagues and fellow PhD candidates. You inspired me during many presentations and countless hallway discussions. Therefore, I would like to thank: Peter Oosterveer, Jan van Tatenhove, Simon Bush, Gert Spaargaren, Dries Hegger, Bettina Bluemling and Judith van Leeuwen. Also my fellow PhD students, most of whom have already graduated some time ago: Michiel de Krom, Hilde Toonen, Dorien Korbee, Alexey Pristupa, Jennifer Lenhart, Carolina Machiel, Elizabeth Sargant, Eira Carballo Cardenas and Marjanneke Vijge. Corry Rothuizen, thank you for your welcome office and support in all practical matters. Outside the chair group, I would like to thank Lena Partzsch and Kassia Wantanabe. Also thanks to Otto Hospes, my supervisor in the beginning of this project. You made it possible to get started on this PhD and to pursue my interest in Brazil. Much gratitude also goes to my friends and colleagues at the City of Amsterdam, who gave me valuable background support during the last four years. Bas van den Heuvel, Niek Knol, Marcella van Heyningen, Annemarie Honig, Hanneke Bresser and Noortje Smit thank you for your support and understanding. v A very special thanks to my close friends Miriam van Groen, Els Hegger and Eva van den Broek. We shared our first fieldwork experience during our (strategically chosen) pub-research in Exeter. Since then we have moved in many different directions, geographically and career wise. Still, I hold our friendship dearly and I am glad that Miriam and Els can be my paranymfs to share this special graduation moment with me. Also my other friends who have supported, cheered and advised me over the years. Thank you so much for the opportunity to either talk to you or to find distraction, especially Nienke Holl, Leonoor Akkermans and Michele van den Berg. Finalising the thesis would not have been possible without the continuing support of my kind and wonderful family and in-laws. My mother Ellen, even though you might not have always known it, your support and additional babysitting made it possible to continue working. Furthermore thank you for brainstorming with me on the cover design. Also, thank you to Milo, Joke and Jaap, Paulien, Liselot and Hans for all your support over the years. For some reason, more than once, I had to cope with deadlines during our holidays, but these holidays were also precious moments where I could shift focus to important things in life, including family time. Last but certainly not least, Bas, I thank you for sticking to my side during this whole process. For your continuing support and for providing me with much needed distraction when needed, and of course for our amazing daughter Nikki, the loveliest distraction at all times. Amsterdam, March 2019 vi Table of contents Acknowledgements v Table of contents vii List of figures x List of tables x List of textboxes xi Abbreviations xiii 1 Introduction 1 1.1 Statement of the problem 1 1.2 Sustainable biofuels: evolving developments and debates 5 1.2.1 Development of ‘sustainable’ biofuel markets: from local to global commodities 5 1.2.2 Governing sustainable biofuels: whose notion of sustainability? 9 1.2.3 Multiple actors negotiating sustainability 10 1.3 Research objectives and questions 11 1.4 Conceptual lens: the state in a changing sustainability governance context 11 1.5 Research methodology and methods 13 1.5.1 Research design and case study approach 13 1.5.2 Case selection 14 1.5.3 Data collection and analysis 14 1.5.4 Research validity 15 1.6 Outline of the thesis 15 2 Governing Biofuels in Brazil: A Comparison of Ethanol and Biodiesel Policies 19 Abstract 19 2.1 Introduction 20 2.2 Policy, politics and polity in governance fields 21 2.3 The emergence and structuration of Brazilian ethanol policy 24 2.3.1 Pre-ProÁlcool (–1975) 24 2.3.2 Energy sovereignty and expansion (1975–1985) 25 2.3.3 Neo-liberalism and stabilisation (1985–2003) 27 vii 2.3.4 Revival, growth, and sustainability (2003–) 28 2.4 The emergence and structuration of Brazilian biodiesel policy 28 2.4.1 Pre-PNPB (1975–2004) 29 2.4.2 National Biodiesel Program (2004–2010) 30 2.4.3 Globalisation and sustainability (2010–) 32 2.5 Comparison and conclusions 33 3 Social sustainability of Brazilian biodiesel: The role of agricultural cooperatives 37 Abstract 37 3.1 Introduction 38 3.2 A role for cooperatives in rural development 40 3.2.1 Agricultural cooperatives as hybrid governance form 40 3.2.2 Cooperatives in Brazilian rural development 41 3.3 The National Program of Production and Use of Biodiesel 42 3.3.1 Design of PNPB social inclusion policy 43 3.3.2 Stagnation and adaptation of social inclusion 44 3.3.3 Cooperatives and the restructuring of the PNPB after 2009 45 3.3.4 Research methodology 48 3.4 Bahian cooperatives participating in the PNPB 50 3.4.1 Cooperatives and the PNPB 50 3.4.2 Cooperatives by agro-ecological zone 53 3.5 Social inclusion 54 3.5.1 Cooperative inclusion in the PNPB 54 3.5.2 PNPB inclusion, rural development, social sustainability 56 3.6 Conclusion 58 4 Negotiating Authority in Global Biofuel Governance: Brazil and the EU in the WTO 61 Abstract 61 4.1 Introduction 62 4.2 Globalization, the State, and Proliferating Spheres of Authority 63 4.3 Governing Biofuels in Brazil: Developmental Imperatives 64 4.4 Governing Biofuels in the EU: Sustainability Imperatives 66 4.5 Negotiating Governance Authority: Evoking the WTO
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