Jun 0 R 1987 Lbraries

THE EVOLUTION OF NATIONAL URBAN DEVELOPMENT POLICIES AND STRATEGIES IN BRAZIL: AN INSTITUTIONAL PERSPECTIVE OF THE POST-REVOLUTION YEARS by CALVIN JAMES CHAMPLIN B.S. Urban Planning, University of Utah (1985) Submitted to the Department of Urban Studies and Planning in Partial Fulfillment of the Requirements for the Degree of Master in City Planning at the Massachusetts Institute of Technology May 1987 @ Calvin J. Champlin 1987 The author hereby grants to MIT permission to reproduce and to distribute copies of this thesis document in whole or in part. Signature of Author V Department of Urban Studies and Planning May 11, 1987 Certified by - Dr. Alan M. Strout Senior Lecturer Thesis Supervisor Accepted by t bProfessor Phill p L. Clay Chairman of the MCPCommittee Department of Ur Studies and Planning MASSACHUSETTOF TECHNOLOGY STII JUN 0 R 1987 LBRARIES ROO THE EVOLUTION OF NATIONAL URBAN DEVELOPMENT POLICIES AND STRATEGIES IN BRAZIL: AN INSTITUTIONAL PERSPECTIVE OF THE POST-REVOLUTION YEARS by CALVIN JAMES CHAMPLIN Submitted to the Department of Urban Studies and Planning on May 11, 1987 in partial fulfillment of the requirements for the Degree of Master in City Planning ABSTRACT This thesis traced the evolution of National Urban Development Policies and Strategies in Brazil as guided by the military National Security State from 1964 to 1984. The thesis then focused on recent trends in such policies and strategies in Brazil, covering the period from 1985, year of the inception of the civilian New Republic, to 1987. Although the National Security State actively pursued a variety of National Urban Development Policies and Strategies between 1964 and 1984 and although the New Republic has reconfirmed their importance since 1985, this thesis demonstrated that, as a whole, such policies and strategies were not successful. In fact, their impacts on urban development were minimal The primary objective of the thesis was to understand the roles played by specific institutions in the formulation and implementation of urban development policies and strategies during this twenty-four year period. The thesis concluded that there were four main reasons which explained why these institutions' policies and strategies were ineffective. First, the geopolitical ideology of the National Security State (NSS) led the institutions to overemphasize the goal of spatial deconcentration in their policies and strategies. Second, the instructions provided by the NSS to implementing institutions were vague. This led to the rise of inde- pendent, sectoral-oriented urban institutions which gave no priority to National Urban Development Policies. Third, the implicit spatial effects of economic policies undermined the impacts that these institutions' policies and strategies might have had on urban development in Brazil. Fourth, the institutions created to formulate and implement National Urban Develop- ment Policies and Strategies during this period lacked status and indepen- dent sources of funding, and they were unable to orient the Federal govern- ment's sectoral investments to urban development objectives. Thesis Supervisor: Dr. Alan M. Strout Title: Senior Lecturer ACKIOWLEDGEMENTS I wish to express my gratitude to Dr. Alan M. Strout, my supervisor at MIT, for the advice and encouragement he provided me during the preparation of this thesis and especially for his patience and good humor in reading the many drafts I submitted to him. I am also grateful for the help my reader, Mr. Alfred Van Huyck, President of PADCO in Washington D.C., gave me in obtaining materials and setting up interviews for this thesis and especially for permitting me to use space in his office while I was in Washington D.C. I am indebted to Mr. Andrew Hamer, Economist at the World Bank, and to Dr. John Redwood III, Urban Development Specialist at the Interamerican Development Bank, both of whom secured vital information for this thesis and gave me insight into urban development problems in Brazil. To obtain information on the more recent issues discussed in this thesis, I conducted interviews and did research in Brazil during January and February of 1987. I am grateful for the aid that several people there gave me in my research efforts and appreciate the time they spent with me. In Brasilia, I am especially indebted to Dr. Mauricio Nogueira Batista, Coordinator of the Secretariat of Policy and Legislation of the Ministry of Urban Development and Environment (MDU), for his time and for the up-to-date material he provided me. I also wish to thank Mr. Edgar Bastos de Souza, Urban Development Coordinator of the Instituto de Pesquisa Econ~mica Aplicada, for his insightful comments on Brazilian urban development problems and for the monographs he gave me. Special thanks is also due to Maria Elizabeth F. Gameiro, Coordinator of the Documentation Center (CEDOC) of the MDU, and to Maria Celia Ibarra, Secretary of the CEDOC, for their patience and immense help in securing valuable materials for this thesis. In Rio de Janeiro, I wish to thank especially Dr. Bertha K. Becker, Professor at the Federal University of Rio de Janeiro, for helping me to understand the importance of geopolitical ideology in Brazil and for scheduling interviews for me there. In S~o Paulo, Drs. Joaquim Eloi D. de Toledo, Juarez A.B. Rizzieri and Luiz A. de Queiroz Ablas, Professors of the Department of Economics and Administration of the University of S~o Paulo, provided me essential information on the spatial impacts of Brazilian economic policies. I appreciate their efforts and thank them for their time. Finally, and most importantly, I wish to express my gratitude to my wife, Maria, for her understanding, patience and especially for the encouragement she gave me during the seemingly endless period of preparation of this thesis. This thesis would not exist today if I had not been able to depend upon her for courage and strength. I would also like to thank my children, Sarah and Matthew, for understanding that "daddy can't play with us now because he needs to do his work" and for encouraging me along the way with little phrases such as: "daddy, I sure hope that you can finish your work soon". I am also indebted to my father, Russell N. Champlin, for his financial help and for his enthusiastic support of my endeavors as a student. Calvin J. Champlin iii T A B L E O F CO N T E N T S Page No. Abstract Acknowledgements; 11 Introduction Chapter I - Geopolitics: Basis for a Theory of the State 1.1 - History of Brazilian Geopolitics 1.2 - The New Geopolitics and the Establish- ment of the ESG 1.3 - The New Geopolitics: Key Actors within the ESG 1.4 - The Military in Power: Emergence of the National Security State 1.5 - Impacts of the ESG Ideology on the National Security State Methodology, Background Information and Definition of Terms 2.1 - Methodology 2.2 - Background Information 2.2.1 - Demographic Characteristics 2.3 - Definition of Terms Chapter III - The odernization Period 3.1 - The Stabilization and Reorganization Period - 1964 to 1967 3.1.1 - Of Policies to Stabilize the Economy Chapter III - (cont.) 3.1.2 - Paving the Way for Economic Growth: The Role of Urban Development as a Population Distributor Through Housing 29 3.1.3 - Stabilization Requires Reorganization 30 3.1.4 - The Ministries and Urban Development 30 3.1.5 - Integrated Local Planning: A Strategy for Urban Development 31 3.1.6 - Banco Nacional da HabitagAo: The First "De Facto" Urban Development Institution 32 3.2 - The Period of Continuity and Change: 1968 to 1971 33 3.2.1 - Security Demands Political Control: The "Coup" within the "Coup" 34 3.2.2 - Local Autonomy is Lost: The Power of the Ministries is Reinforced 34 3.2.3 - Emphasis on Economic Policy and Industrialization 35 3.2.4 - Impacts of Industrialization on Urban Development 36 3.3 - The Period of "De Facto" National Urban Strategies: 1972 to 1974 37 3.3.1 - Setting the Political/Economic Agenda 37 3.3.2 - About Face: New Directions in Urban Policy 38 3.3.3 - The Emergence of a "De Facto" Urban Strategy: The Urban Development Funds of the Ministry of Interior 38 3.3.4 - Another Urban Strategy: The Creation of the Metropolitan Regions 39 3.4 - Conclusions 40 Page No. Chapter IV The Period of Official Recognition of a National Urban Development Policy and Its Implementation in a Period of Economic Constraints 43 4.1 - The Period of the First National Urban Development Policy: 1975 to 1979 44 4.1.1 - How to Formulate a National Urban Development Policy 45 4.1.2 - The Proposal for a National Urban Development Policy 46 4.1.3 - A National Urban Development Policy is Enacted: II PND (1975/79) 46 4.1.4 - First Attempts to Implement the NUPS: the Role of the CNPU 48 4.1.5 - The Creation of an Urban Develop- ment Fund 49 4.1.6 - Statements of Intent: "De Facto" Urban Strategies Revisited? 50 4.1.7 - What Did the National Urban Develop- ment Policy Achieve? 51 4.2 - The NUPS in a Period of Political, Economic and Institutional Change: 1980 to 1985 51 4.2.1 - The National Council for Urban Development 53 4.2.2 - The National Urban Development Policy of the CNDU 54 4.2.3 - The Medium-Sized Cities Program: a Strategy for Urban Development 56 4.3 - Comparisons, Conclusions and Preliminary Considerations for Current National Urban Development Policies 58 Chapter V - Recent Trends in Urban Development Policies and Strategies in Brazil 5.1 - Events Leading to the Rise of the New Republic in 1985 5.2 - The Economic Scenario 5.3 - Creation of the Ministry of Urban Development and Environment 5.3.1 - The "New" National Council for Urban Development 5.4 - The National Housing Bank is Extinct: MDU Suffers a Fatal Blow 5.5 - The National Council for Urban Development and the NUPS 5.6 - Conclusions Chapter VI - Conclusions Appendices Appendix I - The Great Strategy: The National Security and Development Doctrine 82 Appendix II - Background Information 89 Appendix III - The Fundo de Garantia por Tempo de Servigo (FGTS) and Investments of the Banco Nacional da HabitagAo, 92 Appendix IV - Urban Impacts of Institutional Act No.

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