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Universidade Aberta UNIVERSIDADE ABERTA ASSESSMENT OF SUSTAINABILITY IMPLEMENTATION IN PUBLIC POLICIES AND STRATEGIES IN PORTUGUESE PUBLIC UNIVERSITIES Carla Sofia da Silva e Sá Farinha Doutoramento em Sustentabilidade Social e Desenvolvimento 2020 UNIVERSIDADE ABERTA ASSESSMENT OF SUSTAINABILITY IMPLEMENTATION IN PUBLIC POLICIES AND STRATEGIES IN PORTUGUESE PUBLIC UNIVERSITIES Carla Sofia da Silva e Sá Farinha Doutoramento em Sustentabilidade Social e Desenvolvimento Tese de doutoramento orientada por: Professora Doutora Sandra Sofia Ferreira da Silva Caeiro Professor Doutor Ulisses Manuel de Miranda Azeiteiro 2020 Abstract Worldwide higher education institutions have the responsibility to implement Education for Sustainable Development (ESD) in its multiple ways. The aim of this research is to assess how ESD was integrated into universities in Portugal through their policies and strategies within the framework of the goals of the Decade of Education for Sustainable Development 2005-2014 (UN DESD 2005-2014). Despite some recent studies, this is an underexplored research field in Portugal. This research was mainly based on a qualitative approach and a detailed content analysis method regarding policies, plans and programmes either from the Government or the Ministry of Science, Technology, and Higher Education (MCTES) as well as universities´ plans and reports through the decade 2005-2014. Semi structured interviews were conducted to the government bodies and major key actors in the Portuguese universities, i.e., from Portuguese University Council of Rectors (CRUP), as well as, with each sustainability relevant role actor at each university. Results showed that ESD implementation at universities in Portugal is still in its early stages of development and that there is an insufficiency of national integrated strategies or policies. Public Portuguese universities have their own strategies or policies on ESD, leading them to progress with several timely initiatives and practices that resulted from their proactiveness and rhythm rather than from governmental commission. Except for some actions concerning outreach and collaboration, research or education, these initiatives seem to have been taken in isolation from each other and were not holistically integrated, despite some pro-active sustainability implementation actions and best practices. Nevertheless, universities face barriers and challenges in implementing SD that need to be expanded, namely in the promotion of student and staff sustainability awareness, as well as in the development of transdisciplinary courses for students. This study intends to define a country profile of ESD implementation in universities and to show how to move forward through the proposal of the platform Sustainability4U1 where a think tank of initiatives is put forward. Future investigation will be undertaken as the platform Sustainability4U may be used as a support to widen transfer of knowledge and sharing of (best) practices not only between Portuguese universities, but also at European and international levels based on Portugal´s 1 The registration of the “Sustainability4U” service mark has been filed in the INPI – Instituto Nacional de Propriedade Industrial for usage in Portugal since 12th of March. iii case study. Similar regions or profiles may learn from this experience, gaining from the way the barriers were overcome. Keywords: Decade of Education for Sustainable Development (DESD) 2005-2014, Higher Education Institutions (HEIs), Portugal, sustainability, universities. iv Resumo alargado No cumprimento da sua missão a UNESCO teve, desde a sua criação em 1945, como uma das suas preocupações colocar a qualidade da educação na base do desenvolvimento, abordando-a através de uma visão holística como meio para a promoção da paz, da erradicação da pobreza e como impulsionadora do desenvolvimento e do diálogo intercultural. A educação é um pré-requisito para promover alterações comportamentais e fornecer as competências para o Desenvolvimento Sustentável (DS) na medida em que permite a igualdade de oportunidades entre classes, géneros, e crenças ainda que o conceito de Educação para o Desenvolvimento Sustentável (EDS), que nasceu após a Conferência de Joanesburgo em 2002, deva ser enquadrado a nível local e temporal. A recomendação da adoção da Década das Nações Unidas da Educação para o Desenvolvimento Sustentável (UN DEDS) 2005-2014, tem por objetivo integrar, num quadro temporal definido os princípios, os valores e as práticas do DS a todos os aspetos da educação e da aprendizagem. Uma boa parte destas responsabilidades recai sobre as Instituições de Ensino Superior (IES), que têm assim uma acrescida responsabilidade moral na consciencialização, no alargamento do conhecimento, e no desenvolvimento das competências e dos valores de um futuro sustentável e justo. O papel que as IES podem desempenhar na educação integrada para a EDS é um dos grandes desafios na transição para um futuro mais sustentável. Para tal, espera-se das IES que, na sequência do caminho que têm vindo a trilhar, continuem a assumir o seu papel central na mudança de paradigma de forma a permitir às gerações atuais e futuras viverem de modo mais saudável e em harmonia e respeito com a Terra, que tem recursos finitos e limites biofísicos que têm sido demonstrados de forma evidente e incontornável. Dados assentarem nos três pilares do “triângulo do conhecimento”: Ensino, Investigação e Inovação, as IES são, neste quadro, absolutamente fundamentais. v Muitas Declarações e Compromissos foram assinados. A assinatura e comprometimento dos líderes das IES, tornando-as verdadeiros catalisadores do DS, são consideradas um sinal promotor da sustentabilidade, como se constata através de diversas Declarações pré-DEDS 2005-2014: Talloires (1990), Halifax (1992), Quioto (1993), Swansea (1993), Copernicus (CO-operation Programme in Europe for Research on Nature and Industry through Coordinated University Studies) (1994), Global Higher Education for Sustainability Partnership (GHESP) (2000), Luneburgo (2001) e Barcelona (2004). A Declaração de Talloires, de 1990, foi o primeiro ato oficial de compromisso do ensino superior com o DS para que este se assuma como agente de mudança na incorporação e disseminação da sustentabilidade. Em 1994, a Declaração Copernicus, assinada por 196 universidades, foi entendida como o compromisso da gestão de topo das IES com o DS com vista a preservar o ambiente e à promoção do DS. É importante conhecer-se o perfil e nível de compromisso das universidades em todo o mundo, em particular na Europa, continente onde se encontram as mais antigas instituições, e tendo em conta o seu papel como líder nas estratégias e políticas de implementação da sustentabilidade no ensino superior. Não existe atualmente em Portugal um estudo sistemático que permita conhecer o perfil das IES, em particular das universidades públicas, e identificar pistas e boas práticas para a sua melhor implementação. Este facto leva a questionar de que forma e em que termos foi integrada a sustentabilidade nas estratégias institucionais no ensino superior universitário em Portugal, nomeadamente nos planos, programas e políticas do Governo e do Ministério da Ciência, Tecnologia e Ensino Superior (MCTES) e nas estratégias e práticas das Instituições de Ensino Superior Universitário Público (IESUP) como balanço da DESD 2005- 2014. O objetivo geral deste trabalho foi avaliar de que forma a sustentabilidade foi integrada nas Instituições de Ensino Superior Universitário (IESU) público em Portugal, através das suas estratégias institucionais, no âmbito dos objetivos da UN DEDS 2005-2014. Os objetivos específicos, que estão organizados por ordem cronológica e de forma a responder ao objetivo geral, foram: vi (i) Avaliar a integração da sustentabilidade nos planos, programas e políticas do Governo português e do MCTES; (ii) Avaliar a integração da sustentabilidade nas estratégias e políticas das catorze IESUP na perspetiva de alguns dos atores chave com impacto no processo de decisão; (iii) Analisar as ações e as (boas) práticas nas IESUP onde tenha sido identificada a aplicação de estratégias, políticas para a sustentabilidade com vista a avaliar e definir um perfil do país; e (iv) Propor um modelo de inclusão de melhorias de sustentabilidade (think tank de iniciativas) nas estratégias e políticas das IESUP, com vista a aumentar, transferir o conhecimento e partilhar as (melhores) práticas integradas entre as Instituições de ensino superior portuguesas. Esta investigação segue um desenho de investigação baseado no estudo sobre as catorze universidades públicas em Portugal, de acordo com uma abordagem maioritariamente dedutiva (onde se recorreu em parte à Grounded-Theory), com métodos mistos, embora maioritariamente qualitativos, utilizando análise de documentação (dados secundários) e entrevistas semiestruturadas (dados primários). Como primeiro passo, foi realizada uma revisão da literatura e reflexão crítica sobre diversos documentos de origem governamental e do Ministério (MCTES) recolhidos e organizados cronologicamente. Para a análise de conteúdo foi utilizada o software NVivo, cujo objetivo foi avaliar se nos programas e políticas do Governo em geral e, especificamente, do MCTES, a sustentabilidade foi integrada nas universidades públicas, e em caso afirmativo, de que forma, em particular durante a DEDS 2005-2014. Seguidamente, realizou-se um estudo exploratório de acordo com uma abordagem qualitativa através de entrevistas semiestruturadas com atores chave com
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