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

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
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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
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RePEc
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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
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Scopus | Elsevier
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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
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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
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PESQUISA E CONHECIMENTO | V. 56, N. 4, JULHO-AGOSTO 2016

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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.
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
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

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.
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
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

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.
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
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

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.

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RAE | Revista de Administração de Empresas | FGV/EAESP 373
EDITORIAL
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.

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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
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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

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FORUM | Transnational governance regimes in the Global South: Multinationals, states and NGOs as political actors
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

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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
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FORUM | Transnational governance regimes in the Global South: Multinationals, states and NGOs as political actors
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/
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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-
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Greenpeace. (2015). Protesters demand justice for Brazilian mining
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Vieira, A. C. A., & Quack, S. (2016). Trajectories of transnational
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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

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AUTHORS | Ana Carolina Alfinito Vieira | Sigrid Quack
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

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FORUM | Trajectories of transnational mobilization for indigenous rights in Brazil
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

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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

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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.

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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

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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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