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Master's Dissertation
DOI
https://doi.org/10.11606/D.2.2018.tde-08102020-221511
Document
Author
Full name
Daniel Tobias Athias
Institute/School/College
Knowledge Area
Date of Defense
Published
São Paulo, 2018
Supervisor
Committee
Scaff, Fernando Facury (President)
Araujo, Luiz Alberto David
Bercovici, Gilberto
Yoshida, Consuelo Yatsuda Moromizato
Title in Portuguese
Regulação e royalties de minério e petróleo: estudo comparado entre Brasil e Estados Unidos
Keywords in Portuguese
Brasil
Estados Unidos
Federalismo
Federalismo fiscal
Regimes de propriedade
Royalties
Abstract in Portuguese
O objetivo desta dissertação é analisar certos aspectos da relação de dois Estados distintos, Brasil e Estados Unidos, com seus recursos minerais e petrolíferos, com ênfase em questões regulatórias da exploração e financeiras, a partir da instituição de royalties. Antes de efetuar qualquer comparação, contextualizam-se os critérios a serem analisados, principalmente a partir da sua formação histórica, inclusive com foco na terminologia adotada por cada um, evitando-se a comparação de institutos jurídicos que não necessariamente são equivalentes, ou, ao menos, destacando quais as distinções relevantes. Apresenta-se inicialmente uma visão da política econômica dos recursos minerais de cada Estado e a formação histórica dos seus regimes de propriedade e acesso para fins de exploração. Em seguida, descreve-se o surgimento dos royalties em cada país e a justificativa deles, além do arcabouço jurídico vigente que regula essa receita. Definida a receita de royalties, discute-se a forma como essa receita é partilhada entre os entes federativos internos de cada Estado, delineando como a formação do federalismo nos países e o federalismo fiscal afetaram o rateio de receitas da exploração minerária e petrolífera. Por fim, tecem-se breves comentários sobre o regime jurídico de uso (gasto) dos royalties, as restrições vigentes e os objetivos a serem perseguidos. Visa-se a demonstrar que há semelhanças entre os países, apesar de terem atribuído papéis distintos para a exploração e a receita de recursos minerais e petrolíferos em suas economias.
Title in English
Regulation and royalties from minerals and oil: a comparative study of Brazil and the United States
Keywords in English
Brazil
Federalism
Fiscal Federalism
Proprietary regimes
Royalties
United States of America
Abstract in English
The objective of this dissertation is to analyze certain aspects of the relationship between two different nations, Brazil and the United States, and their mineral and oil resources, with emphasis on regulatory issues of exploration and financial issues concerning the collection of royalties. Before carrying out any type of comparison, the criteria to be analyzed will be put into context, mainly from their historical formation, including the terminology utilized by each country in order to avoid comparing legal institutions that are not necessarily equal, or, at the very least, relevant distinctions will be highlighted. Initially, the political economy's vision concerning mineral resources for each country will be presented, as well as the historical formation of proprietary regimes of said resources and access for exploration. Then, the emergence of royalties will be addressed, alongside its justification and the legal framework in force that regulates this revenue. Having set forth royalties, the criteria for revenue sharing between internal federal entities will be explained, and how federalism and fiscal federalism in each country affected said criteria for revenue from exploring minerals and oil. Finally, brief comments on the legal framework for use of royalty revenue, restrictions and goals in spending will be provided. The purpose is to demonstrate how there are similarities between both countries, albeit the fact that each chose to attributed different roles to the exploration and revenue from minerals and oils in their economy.
 
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Release Date
2022-10-08
Publishing Date
2021-04-16
 
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