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ESCOLA DE DIREITO DO RIO DE JANEIRO
DA FUNDAÇÃO GETULIO VARGAS
RICARDO CARRION BARBOSA ALVES
BRAZILIAN METROPOLITAN REGIONS 101: THE
LAW AND THE REALITY
Rio de Janeiro, novembro/2016.
2
ESCOLA DE DIREITO DO RIO DE JANEIRO
DA FUNDAÇÃO GETULIO VARGAS
RICARDO CARRION BARBOSA ALVES
BRAZILIAN METROPOLITAN REGIONS 101: THE LAW
AND THE REALITY
Trabalho de Conclusão de Curso, sob
orientação do professor Felipe de Melo Fonte
apresentado à FGV DIREITO RIO, como
requisito parcial para obtenção do grau de
bacharel em Direito.
Rio de Janeiro, novembro/2016.
3
FUNDAÇÃO GETULIO VARGAS
ESCOLA DE DIREITO FGV DIREITO RIO
GRADUAÇÃO EM DIREITO
Brazilian Metropolitan Regions 101: The Law and The Reality
Elaborado por: RICARDO CARRION BARBOSA ALVES
Trabalho de Conclusão de Curso, sob
orientação do professor Felipe de Melo Fonte
apresentado à FGV DIREITO RIO, como
requisito parcial para obtenção do grau de
bacharel em Direito.
Comissão Examinadora:
Nome do orientador: Felipe de Melo Fonte
Nome do Examinador 1: Sergio Guerra
Nome do Examinador 2: Daniel Vargas
Assinaturas:
__________________________________________________
Felipe de Melo Fonte (Orientador)
__________________________________________________
Sergio Guerra (Examinador 1)
__________________________________________________
Daniel Vargas (Examinador 2)
Nota Final: ____________________________
Rio de Janeiro, 21 de novembro de 2016.
4
Dedicado a Ricardo Alves por sempre ter fomentado a busca
pelo conhecimento, à Alessandra Alves por ter me mostrado a
importância de se ter um bom coração, e à Ana Beatriz Alves
por me mostrar a importância da educação às futuras gerações.
Agradeço a Thiago Bottino, Pedro Delfino e Herminia Maia por
nos últimos cinco anos terem me proporcionado ver qualidades
onde via defeitos.
5
ABSTRACT: The Brazilian Metropolitan Regions compose a comples phenomenon, being
influenced by a multiplicity of factors. At one time in Brazilian history the Metropolitan
Regions have emerged as a solution to the institutional inability to manage public services in
complex spaces. At another, they were instituted in an unsuitable manner, generating a scenario
of institutional spraying with no concrete content. In any case, the Brazilian metropolitan
management model understood by the joint administration of public services of different
municipalities plays an important role in the national reality. This work seeks to expose this
model, showing its rise, its qualities and inconsistencies.
KEY-WORDS: Metropolitan Regions; Brazil; Public Administration; Public Policy
Management.
6
RESUMO: As Regiões Metropolitanas brasileiras compõem fenômeno complexo,
influenciado por uma multiplicidade de fatores. Em determinado momento na história
brasileira, as Regiões Metropolitanas surgiram como soluções para a incapacidade institucional
de gerenciar serviços públicos em espaços complexos. Em outro, foram criadas de maneira
imprópria, gerando um cenário de pulverização institucional sem conteúdo concreto. O modelo
brasileiro de administração metropolitana, compreendido pela administração conjunta de
serviços públicos em diferentes municipalidades possui papel importante na realidade nacional.
O presente trabalho busca expor este modelo, mostrando seu surgimento, suas qualidades e suas
inconsistências.
PALAVRAS-CHAVE: Regiões Metropolitanas; Brasil; Administração Pública; Gestão de
Políticas Públicas.
- 7 -
SUMMARY
INTRODUCTION 8
1. METHODOLOGICAL CONSIDERATIONS 9
2. THE LEGAL BACKGROUND OF THE METROPOLITAN REGIONS IN
BRAZIL
10
2.1. THE FIRST STRIKE OF METROPOLITAN REGIONS IN BRAZIL 10
2.2. THE SECOND STRIKE OF METROPOLITAN REGIONS IN BRAZIL 15
2.2.1. FEDERALISM, DECENTRALIZATION AND METROPOLITAN REGIONS 15
2.2.2. THE CONSTITUTION OF 1988 AND THE METROPOLITAN REGIONS 18
3. THE PATHWAY OF METROPOLITAN MANAGEMENT IN BRAZIL 22
3.1. INDICATORS OF THE ‘MUNICIPALISM’ 22
3.2. FEDERAL DEPENDENCE AND METROPOLITAN MANAGEMENT 24
3.3. PHOTOGRAPHY OF THE METROPOLITAN REGIONS IN BRAZIL 27
4. GAINS AND LOSSES WITH THE PROCESS OF METROPOLIZATION 30
4.1. BENEFITS FROM THE METROPOLIZATION IN BRAZIL 30
4.2. INCONSISTENCIES OF THE METROPOLITAN REGION MODEL OF
ADMINISTRATION
33
4.2.1. GEOGRAPHICAL INCOMPATIBILITY 34
4.2.2. ENHANCEMENT OF THE STATES’ DECISION-MAKING POWER 38
CONCLUSION 41
BIBLIOGRAPHY 45
- 8 -
Introduction
In times of abrupt technological advances, the redesign of urban spaces is a special topic.
While the Rio de Janeiro 2016 Olympic Games produced one of the greatest urban interventions
of all time, Brazil calls for sustainable urban solutions for its other 5,569 Municipalities. The
Brazilian reality is not of crisis only in how the urban space is distributed, but especially in how
it has been managed.
At one time in Brazilian history the Metropolitan Regions have emerged as a solution
to the institutional inability to manage public services in complex spaces. At another, they were
instituted in an unsuitable manner, generating a scenario of institutional spraying with no
concrete content. In any case, the Brazilian metropolitan management model understood by the
joint administration of public services of different municipalities plays an important role in the
national reality. This work seeks to expose this model, showing its rise, its qualities and
inconsistencies.
In first place, an analysis was made regarding the constitutional and legal evolution of
the Metropolitan Regions in Brazil. The first appearance of the metropolitan management in
Brazil was during the military regime in the early 1970s. After the emergence of the
Constitution of 1988 it suffered changes, especially caused by new Federalism and the
phenomenon of Decentralization.
Secondly, the evolution of the management model by metropolitan regions in Brazil
was traced, explaining how the nation has dealt with the issue of urban integration. The
"Municipalism", peculiarity of the Brazilian constitutionalism of the 1980s, sought to foster the
importance of municipal management in the country but set aside its economic sustainability.
It involved the inability to provide public services and dependencies between the Federation
entities, causing the return of the metropolitan management to the agenda of States and
Municipalities in the last decades.
- 9 -
Finally, this study has analyzed what kind of benefits or losses were generated to the
Brazilian Municipalities that decide for the metropolitan management. The creation of
consortiums, the increase of attractiveness to federal resources and the overlapping of
competencies for the provision of public services were found as incentives for the
metropolization. On the other hand, the spraying of the metropolitan management model led it
to places with geographical conditions incompatible with its purpose. In addition, the legal
framework of the Metropolitan Regions in Brazil increased the political power of states over
local administrations.
1. Methodological Considerations
This study is the consequence of an inquietude over the Metropolitan Regions in Brazil.
Such phenomenon is not exclusive to the Brazilian reality, but it is believed that the countries’
institutional panorama might be valuable to readers of other localities. In this sense, the english
language was chosen in order to increase the number of potential readers. Sometimes the
analysis will also seem pedagogical, but this is an expected effect in order to permit a better
comprehension of the problematic to non-Brazilian readers.
The three chapters that compose the content could be each read solely, but if understood
sequentially can provide an holistic view over the origin, the history and the particularities of
the metropolitan reality in the country. The law has been used as the starting point to
comprehend the phenomenon of the Metropolitan Regions, been made a deep research of the
legal background, and how Brazil’s social and economic reality have influenced the theme. The
reality, on the other hand, has been analyzed basically by empiric elements, such as tables and
graphics from studies, and also data constructed from internet databases.
- 10 -
One last comment shall be made over the terminology used herein. Metropolitan
Regions, metropolitan areas and metropolitan integrations are synonyms that describe the urban
tangles or the institution created the organized public services. Central City describes the most
complex urban formation of the region, as Satellite Cities is the term used to describe other
urban formations that compose the integrations.
2. The Legal Background of the Metropolitan Regions in Brazil
The “Metropolitan Region” is a practically new concept in the almost bicentenary
Brazilian constitutional history. Its first formal appearance occurred in the Constitution of 1967,
after waves of urbanization incurred by the rural exodus have struck Brazil’s biggest cities. It
appeared with the goal to enable the joint administration of public services in the major
Brazilian metropolis. After the emerge of a new federalist spirit in the Constitution of 1988, the
positive definition of Metropolitan Regions changed, as the original constituent power1 has
defined new standards of the competence to institute such arrangements.
2.1. The First Strike of Metropolitan Regions in Brazil
Between 1950 and 1980, Brazil has passed through overwhelming changes in terms of
society and economy. Until 1950s, the Brazilian society was predominantly rural, with high
rates of population living in the countryside and a commodity based economy2. During those
1 In contrast to the concept of “derived constitutional power”, the “original constituent power” in Brazil was
defined by the Supreme Court Judge Gilmar Mendes as it follows. “The highest authority of the Constitution
recognized by constitutionalism, comes from a political force capable of establishing and maintaining the
normative force of the Text. This magnitude that grounds the validity of the Constitution, since the French
Revolution, is known by the name of original constituent power. Contrary to what occurs with the infra-
constitutional norms, the Constitution does not withdraw its ground of validity of a legal act superior to it, but by
the will of the driving forces of society, which precedes it. The Original Constituent Power is, therefore, the
conscious political force him to solve discipline foundations of coexistence so in the political community”.
(Mendes & Branco, 2014) 2 “Another suggestive data of this change [from commodities to industrial goods] finds itself in the Brazilian
exportation structure. Over the years, the primary products – such as coffee and iron ore -, except soy, tended to
lose importance in comparison to industrialized goods. In 1978 those goods outstripped in importance if compared
to industrialized goods”. (Fausto, 1995, p. 535)
- 11 -
decades, a significant process of industrialization took place in the country, whose production
of non-durable goods faced a descent while the industrial goods arose3.
The outlook was similar in the context of urbanization. As the economies dependence
on agriculture decreased, and the importance of the industries increased, Brazil’s biggest cities
also grew on population. The southeast region received substantial migratory waves mainly
from the northeastern region, creating complex urban tangles never before seen in the Brazilian
history4.
In the 1960s and 1970s, cities like Rio de Janeiro and São Paulo turned into massive
urban blankets whose territorial bounds could not encompass the population breakthrough any
longer. Such urban centers composed by many municipalities became in practice the same
agglomerate. The State on its original arrangement was not able to provide public services, and
some kind of integration among the governmental entities was demanded – Capitals, adjacent
Cities and State. A method to harmonize the provision of public services in such areas then
emerged in that scenario as a solution to the problem of the complex urban nets formation5, the
Metropolitan Region, as furtherly analized.
3 “In general lines, along the period of 1950-1980, the tendency to the decline of the traditional economical branch
has increased. It shall be stressed that the fall in the consumption of non-durable goods, such as food and beverages,
in the value of industrial production. In the other side, other ones have increased especially durable goods and
capital goods. The leading sector of the consumable goods was the automobile industry, which accounted for 10%
of the GDP”. (Fausto, 1995, p. 541) 4 “In 1920, only 10% of the Brazilian population lived in cities. Fifty years later, in 1950, this percentage was
already 55.9%. According to the 2000 Census, 81.22% of the Brazilian population is urban. […] It is estimated
that between 1950 and 2000, 50 million people migrated of the field to cities, a phenomenon known as rural
exodus. It is important to remember that in most cases, most of these migrants have moved to cities in very
precarious conditions […]. This process occurred associated with the industrialization that remained concentrated
in the main metropolitan regions, which, therefore, became more attractive”. (Moreira & Sene, 2007, p. 451) 5 The Constitution of 1937, the forth in the Brazilian history, foresaw the possibility of common administration of
public policies by municipalities of the same region. According to its article 29, sole paragraph, the federal States
should regulate the conditions in which that those compounds would be regulated. Nevertheless, that faculty was
not exactly the concept of Metropolitan Region, and also never exerted. Brazilian Constitution of 1937, article 29:
“The municipalities of the same region can be grouped for the installation, operation and management of public
utilities. The group thus constituted, shall have legal personality limited to their purpose”. Sole Paragraph: “It is
up to the States the regulation of the conditions under which such groups can be created, as well as the form of its
administration”.
- 12 -
During 1964 and 1985, Brazil faced one of its most troubled periods, marked by lack of
democracy and high centralization of the country’s political and economic decisions within the
president of the Republic. The Constitution of 1967, the sixth in the Brazilian history, was
created to design the standards of the new military regime. According to commentator Ingo
Sarlet, a few characteristics have marked the Constitution of 1967, such as “the recrudescence
of the centralized power in the Union and in the figure of the President of the Republic; the
indirect election to the post of President of the Republic; the reduction of individual autonomy,
allowing the suspension of constitutional rights and guaranties” (Sarlet et al., 2015, p. 241).
The Metropolitan Region was not present in the original text of the Constitution of 1967,
being added by its 848th amendment as the article 157’s 10th paragraph, in the “Title III – Of
the Economic and Social Order”. According to commentator Horta, this theme had not been
present in the Original Constituent’s discussions, since its efforts aimed the deliberation over
the underdeveloped regions, whose urban complexities had not reached sufficient demand for
such arrangements6.
In 1969, the rise of a new Constitution7 did not change the positive constitutional
concept of the Metropolitan Regions, written as it follows:
Article 164: The Union, by means of a complementary law8, to conduct
common services, might establish Metropolitan Regions, consisting of
6 “It is interesting to note, in this study of the sources of the metropolitan region in the Brazilian constitutional law,
the amendment No. 848 did not arouse attention. It actually dipped between the 1504 amendments that the National
Congress offered the Constitution Projectoriginally from President Castello Branco initiative. The Joint
Committee responsible for assessing the project and express an opinion on the amendments, the Draftsman Title
III - Economic Order - not highlighted even once the novelty that it intended to introduce in the future Constitution.
As the Northeast representative, the Draftsman stopped at the seams claiming budget linkages to favor the
underdeveloped regions of the country, different problem, as we have seen, what is contained in the metropolitan
region, product development of large urban areas, and locations peripheral receiving the reglexos demographic
concentration” (Horta, 1975, p. 37). 7 “In 1969, the Board [Military] composed of the Ministers who headed each of the three military forces, and took
office after declared disability, for health reasons, of the President promoted a broad reform of the Constitution of
1967 by means of action that earned the name of Constitutional Amendment. 1/69. The Congress had been placed
in recess. The new text became more accentuated the centralization of power of colors and postponement of
liberties concerns in function with safety, which gave the 1967 text of the characteristic feature not few authors
see in the First Amendment. 1/69 a new constitution, granted by the Military Board” (Mendes & Branco, 2014, p.
99). 8 According to the Brazilian Constitutionalism, there are two main differences between the Complementary Laws
and the Ordinary Laws. “The first [difference] is substantive, since shall only be subject of Complementary Laws
- 13 -
municipalities, regardless of their administrative bond, that are part of the same
socio-economic community9.
The core idea of this concept was to enable the joint administration of public services,
integrating the central city and the satellite cities. According to the justification of the
amendment that introduced this concept, the Metropolitan Regions meant a sole administration
of some inter-municipal services that should be planned and administered by an autonomous
entity.
One important characteristic of this constitutional definition is the competence to
establish the Metropolitan Regions. As a recommendation of Professor Hely Lopes Meirelles,
only Union’s complementary laws could determine the creation of such institutional integration
(Meirelles, 1998). This represented the idea of centralization that has marked the Brazilian
constitutionalism during the military regime. The Complementary Laws nº 14/1973 and
20/1974 regulated the creation of the first nine Metropolitan Regions in Brazil, according to
Annex A.
The laws enforced a bicameral system, divided between a Deliberative Board (Conselho
Deliberativo) and an Advisory Board (Conselho Consultivo). The first would consist of five
members appointed by the Governor of the State, and its activity would be organization of the
integrated development plan, and coordinate the implementation of programs and projects of
interest of the metropolitan region. The second, in contrast, has a diffuse role and composition.
One member from each city member should compose it, and the Boards activities are not
binding.
issues strictly foreseen in the Federal Constitution, as all other issues shall be subject to Ordinary Laws. […] The
second is formal and is related to the legislative process, in the voting stage. While the quorum to approval of
Ordinary Laws is the simple majority, que quorum of approval of Complementary Laws is the absolute majority”.
(Moraes, 2011, p. 694) 9 On its original language: “Art. 164. A União, mediante lei complementar, poderá para a realização de serviços
comuns, estabelecer regiões metropolitanas, constituídas por municípios que, independentemente de sua
vinculação administrativa, façam parte da mesma comunidade sócio-econômica”.
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In a general way, the State legislature was set aside, except in two situations. First, the
federal lawmaker cautioned the need for state law to the institution of Executive and Advisory
councils. It is, however, pure legislative transplantation activity, since those ideas were already
described in Art. 2 of Complementary Law 14 of 197310.
The second attribution the State legislature had is the creation of a third entity in the
Metropolitan Region body, responsible for the unification of the execution of the common
services, according to Art. 3, sole paragraph of the Law11. This external authority12, whether in
the form of public company, private and public joint stock company or autarky, established by
the state legislature can be considered as a third piece of the first Metropolitan Regions
arrangement in Brazil (Horta, 1975, p. 42).
Chart 1 – The Organization of the First Metropolitan Regions in Brazil
Commentator Horta has written in 1975 the article “Direito Constitucional Brasileiro e
as Regiões Metropolitanas”, in which he has synthesized the spirit and the main ideas that were
10 Art. 2 - There will be in each metropolitan region a Deliberative Board chaired by the State Governor, and an
Advisory Board, created by state law. § 1 - The Governing Council will in its composition, in addition to the
President, with five (5) members of recognized technical or administrative capacity, one of which will be the
Secretary General of the Council are appointed by the Governor, one of them from the names appearing in a triple
list organized by the Mayor of the Capital and the other by indicating the other member municipalities of the
Metropolitan Region. § 2 - The Advisory Board shall be composed of one member each municipality
representative of the metropolitan region under the direction of Chairman of the Board. 11 Art. 3 - § 1 - The unification of the implementation of common services will be effected either by granting the
service to state entity, that the constitution of metropolitan level company or by other processes, by agreement,
may be established. 12 One example of such authority is the PLAMBEL (‘Planejamento da Região Metropolitana de Belo Horizonte’),
an autarky established by the State Law 6.303 of the State of Minas Gerais.
Metropolitan Region
Deliberative Board
5 membersDevelopment and Implementation
Advisory Board
1 member each City
Advisory
External Authority
Regional Services
- 15 -
passing through the Brazilian jurists at that time. According to the professor, the Metropolitan
Regions did not intend to conduct to a Metropolitan Government. He conceived, however, the
Metropolitan Regions as convergence instruments of intergovernmental relations, appearing as
a new part of the Brazilian cooperative federalism (Horta, 1975, p. 42).
2.2. The Second Strike of Metropolitan Regions in Brazil
The Constitution of 1988 emerged in a completely new state of things. After decades of
democratic suppression, the new Constitution is considered a social milestone that intended to
put an end to the last formal traces of authoritarianism in Brazil (Fausto, 1995, p. 526). The
economical failure during the previous years of the Constitution motivated the constituent
power to rethink the methods of State organization and the relation between the Federal
Entities13, implying in a new federalism. This process has influenced a shift in the constitutional
definition of Metropolitan Regions in 1988.
2.2.1. Federalism, Decentralization and Metropolitan Regions
Brazil has always been a heterogeneous country. Its continental size and pluralistic
society formation are indicatives of that. The Federalism is a mechanism of organizing the State
in such conditions, being introduced in the Brazilian State organization by the Constitution of
1889. Although there are many ways in which the Federalism can be organized, some basic
standards are observed in the countries that chose this path, such as the coordination of at least
13 “The 1980s was the "lost decade." It was a period of high economic instability, with the formation of a hyper
frame. The failure of successive stabilization plans and the stagnation of tax revenues made explicit the weakness
of the economic bases of the national-developmentalist state. As the centralization of resources was one of the
main strategies for the concentration of power in the hands of the federal executive, to reverse this situation - the
expansion of autonomy and resources of state and local governments - was identified as a flag of democracy. In
fact, since the early 80s there was a strong increase in federal tax transfers in favor of state and local governments.
Thus started the Constituent National Assembly, the decision-making power and resources available were not so
concentrated in the hands of the Union. The tax reform has monopolized the attention of the debates around the
federative issue” (Afonso & Junqueira, 2008).
- 16 -
two autonomous levels of government and a clear constitutional definition of competencies14.
The cooperation of those entities aiming the execution of public policies is another standard.
The strength of the federalism in Brazil has swung over the last century. While periods
of democratic advance have enhanced the Federalism by introducing new mechanisms of
cooperation among the entities15, periods of centralization of the political power have mitigated
its effects over the Federal entities’ relations16, permitting a greater decision-making power to
the union.
The Constitution of 1988 emerged and a trend of decentralization17 took place, with the
recognition of the municipalities as Federal Entities, and other structural changes. Aiming the
redistribution of the national budget with emphasis on sub-national entities (Abrucio, 2010, p.
46), two main structural changes might be pointed out. Firstly, the new constitutionalism
14 “There is no single formula to guide the federations. The federal countries have inhomogeneities and different
historical trajectories, so that solutions need to adapt to these specificities. However, four elements are essential
to the success of this form of state. The first is the compatibility between autonomy and interdependence of entities,
which implies the existence of at least two levels of autonomous government and the need for intergovernmental
cooperation and actions aimed at national integration. Second, we need to ensure the federative rights, through the
Constitution and its interpretation - usually made by constitutional courts - as well as having the objective of
ensuring the socio-cultural diversity and / or reducing socioeconomic disparities between the levels of government.
They should also establish institutional arenas to ensure the pactuantes (federal government and subnational
governments) three things: their political representation, mutual control between them and public spaces for
deliberation, negotiation and, on many occasions, decide on matters with intergovernmental impact. Finally, as
several of the collective action problems can not be solved by only one level of government, public policies must
be mounted in order to ensure coordination between all regional actors” (Abrucio, 2010, p. 42). 15 Commentator Abrucio defines well such swinging tendency of the Federalism in Brazil. The first republic of
1981 and the democratic period of 1946 to 1964 are examples of its development. “The First Republic [1891] has
built a federalism based on a autonomism oligarchic state, at the expense of weakening the municipalities, the
republican practices and the federal government”. […] “The democratic period from 1946 to 1964 made major
changes in favor of greater democratization and federalization of the country, with occurrence of reasonably
competitive and fair elections, as also with greater power granted to states and - in an unprecedented way –
counties” (Abrucio, 2010, p. 44). 16 On the other hand, the Vargas Era (1930 to 1945) and the Military Regime (1964 to 1985) have implied in a
decrease of the autonomism of the federal entities. “Federalism has undergone major changes within the Vargas
Era. First, with greater centralization of power, strengthening the Federal Executive. Second, there was an
expansion of actions and national policies in various areas, including education”. […] “The military dictatorship
not only sent to the wind democracy, as also he broke with the federalism that was strengthened in the country. In
your place, built a centralized and technocratic model of State, which greatly reduced the autonomy of state and
local governments” (Abrucio, 2010, p. 44). 17 Decentralization is not a clear term, but its core concept is related to the following idea. “Decentralization is
often viewed as a shift of authority towards local governments and away from central governments, with total
government authority over society and economy imagined as fixes. Attempts to define and measure
decentralization have focused primarily on fiscal and to a lesser extent policy and political authority.” (Rodden,
2004, p. 482)
- 17 -
developed a strategy of incentives to the search for consensus and the incorporation of the
demands of minorities. Secondly, a fierce financial decentralization took place, building new
standards for democracy in Brazil (Souza, 2001).
Political and social reforms were gradually implemented in the country over the 1980s,
recovering federative bases of the Brazilian State (ARRETCHE, 2002). Two apparently
contradictory patterns were established in the competencies division system The first pattern is
a non-cooperative process of decision-making, marked by a defensive strategy of the entities to
dodge from its responsibilities18. The other pattern is in fact the development of new
mechanisms of cooperation and coordination among the levels of the government (Abrucio,
2010, p. 49).
The cooperative federalism was not a new tendency in the Brazilian political and
constitutional panorama, but its logic was used in the Constitution of 1988 as a narrative to
overcome social inequalities, justifying an integration between federal entities towards the
implementation of efficient public policies (Costa, et al., 2009) (Bercovici, 2003).
Although the Union has remained the protagonist post within the major State's
responsibilities19, the system of competences became substantively less centralized. More
appropriate and rational actions then emerged through new mechanisms of sharing legislative
and administrative efforts (Alves, 2011, p. 1). The shared responsibility assignments in various
public policy areas (Franzese, 2010), such as in education20 is an example of this.
18 “The first of these behaviors is well exemplified by the action of the Union as soon as the Constitution when
she made the "push play" trying to pass the burden on subnational governments, particularly to municipalities. The
defensive attitude of the federal government was not unique among federal agencies. State and local governments
also established uncooperative behavior or even predatory competition, as exemplified interstate fiscal war and
intermunicipal or, the "ambulance policy" practiced by local governments who buy vehicles just to get their
patients to funded hospitals by other governments” (Abrucio, 2010, p. 48). 19 “The Constitution includes a discrimination of competences of federal entities. It is obvious that nationwide
interests are, for the most part, reserved to the Union. As a rule, each Federal State's orbit is invested by the
ownership of interest relevant to its geographical dimension (geopolitical). The discrimination of competence also
includes criteria for conflict resolution, even if not all criteria are provided for expressly”. (Filho, 2014) 20 According to the Article 211 of the Brazilian Constitution of 1988, the educational system should be built in a
regime of collaboration among the Federal Entities. Commentator Abrucio affirms that this is a major example of
the Cooperative Federalism in Brazil. “The logic of Article 211 is completed with the notion of collaboration
- 18 -
In this sense, new constitutional parameters were outlined regarding the Metropolitan
Regions in the Constitution of 1998, brought by nearly refreshed cooperative federalism spirit
in Brazil. The cooperation and the intergovernmental coordination received an own institutional
dimension, that should have implied in a new “form of planning, programming, implementation
and control of state functions and public services of urban-regional character, in our federal
system” (Alves, 2011, p. 2).
2.2.2. The Constitution of 1988 and the Metropolitan Regions
The original constituent power, considering the refreshed Brazilian Federalism, and the
principles of Municipal Autonomy and the Metropolitan Integration developed new
constitutional parameters for the metropolitan areas in the Article 25, paragraph 3rd of the
Brazilian Constitution of 1988. The article also brought other two mechanisms of metropolitan
integration: the Urban Agglomerations and the Microregions21, which by methodological
reasons, this study will not make large digressions.
Article 25. The states are organized and governed by the Constitutions and
laws they may adopt, in accordance with the principles of this Constitution:
Paragraph 3. The states may, by means of a supplementary law, establish
Metropolitan Regions, Urban Agglomerations and Microregions, formed by
the grouping of adjacent municipalities, in order to integrate the organization,
the planning and the operation of public functions of common interest22
(Chamber of Deputies, 2010).
framework, which would be the articulation of federal entities in various educational activities that fit them. Given
the existence of dual networks, particularly in primary education, common skills and subsidiary actions of the
Union, cooperation between levels of government would be required to prevent shock or uncoordinated actions
that can cause a deterioration in the quality of policy. Draw up here cooperative federalism proposed for education,
reinforced later by a national parameter, the LDB (Law of Directives and Bases of National Education), approved
in 1996” (Abrucio, 2010, p. 60). 21 “Microregions are formed by groups of neighboring municipalities with certain homogeneity and common
administrative problems, whose headquarters are not joined by continuity. Urban Agglomerations lack of
conceptualization, but it is easily noticeable that it is composed by urban areas without a pole of urban attraction,
whether such areas are host cities of the municipalities, as the ‘Baixada Santista’ (São Paulo), or not”. (Silva,
2001) 22 Original text of the Brazilian Constitution of 1988: “Art. 25. Os Estados organizam-se e regem-se pelas
Constituições e leis que adotarem, observados os princípios desta Constituição. § 3º Os Estados poderão,
mediante lei complementar, instituir regiões metropolitanas, aglomerações urbanas e microrregiões, constituídas
- 19 -
Commentator Hely Lopes Meirelles summarizes the concept of Metropolitan Region as
the area of influence of a metropolis and the allocation of services to a sole administration. This
agent is responsible for the coordination of activities of common interest of the region,
establishing the appropriate priorities to fully attendance of the necessities of the people
concerned (Meirelles, 1998).
An accurate methodological analysis can identify four main characteristics arising out
of this constitutional definition.
Federative Locus. Firstly, it is important to highlight the position of the Metropolitan
Regions inside the institutional arrangement of the Brazilian Federation. There are only three
kinds of federal entities: the Union, the States, and the Municipalities23. Therefore, the
Metropolitan Region has not been recognized as an autonomous entity (Filho, 2014), nor have
the States and Municipalities’ political powers been put into perspective (Meirelles, 1998).
Instead, it is a public services common marketplace of the Central City, Satellite Municipalities,
and the State.
Mandatory. According to the Constitution, the formal act that creates the Metropolitan
Regions is the Complementary Law, drafted by the States. This means that once the new
institutional arrangement is settled, the Municipalities that take part into the Metropolitan
Regions may not depart from it. They may also not deny the provisions agreed during the
process of formation of the Metropolitan Region, or the new Entity's decisions on the joint
por agrupamentos de municípios limítrofes, para integrar a organização, o planejamento e a execução de funções
públicas de interesse comum”. 23 The only exception in this tripartite system is the Federal District, in which stays the national capital of Brasilia.
“The new Federal Constitution guarantees the Federal District the autonomous federative nature, by virtue of its
triple capacity for self-organization, self-government and self-administration, denying it the possibility of
subdividing into municipalities. Thus, it is not a Member State, either city, with, however, as a rule, all legislative
and fiscal powers reserved to the states and municipalities, except only the rule in Article 22, item XVII of the
Constitution (The Union has the exclusive power to legislate on XVII - the judicial organization of the Public
Prosecution and of the Public Legal Defense of the Federal District and of the territories, as well as their
administrative organization)”. (Moraes, 2011, p. 306)
- 20 -
management of public services24. The Brazilian Supreme Court of Justice has consolidated this
interpretation25.
Contiguity. Although this characteristic is rather geographical (or logical) than
constitutional, the text of the Constitutional has brought the term “grouping of adjacent
municipalities” (agrupamento de municípios limítrofes), what implies that there shall not be
special gaps in the Metropolitan Region. The existence of continuous urban blankets,
demanding the provision of a new methodology of public services is an assumption to the
Metropolitan Regions formation26. Therefore, the legal act that creates the new arrangement
shall take into consideration the contiguity of such municipalities with the Central City (Silva,
2001).
Joint Management. As aforementioned, the Metropolitan Regions have no political
power, and cannot be considered as entities of the Federation. Its purpose, instead, is the
management of public services that the regular governmental institutions are no longer able to
administer due to urban development and social complexity. Briefly, the activity of
Metropolitan Regions represents the allocation of certain decisions of the local level to a
regional context27. Public transport, sanitation and public safety are examples of state activities
24 “These regional figures, therefore, can not be created arbitrarily, not based on joint action requirements to meet
effectively common to several local political and administrative ones needs. If this occurs, it shall be construed as
absolutely impertinent interference against municipal autonomy, which is obviously unconstitutional. However, if
there is real and effectively the situation of regional commonality requirements, the State may declare it by
complementary law, creating the institutional conditions for its provision without the municipalities involved can
plead the impertinence of regional bond. In such a legally recognized situation, municipalities, if you will, because
of their autonomy, may decline to participate in the management of regional functions or services but will have to
bear the necessary interventions to its provision, in favor of regional interest. On the other hand, the metropolitan
area once created, is sealed to the State, as we have noted, to prevent the participation of metropolitan
municipalities in the regulatory and administrative conduct concerning the organization, planning and execution
of public functions of common interest, as these include also the local competence of municipalities, by
constitutional law”. (Alves, 2011, p. 10) 25 Direct Unconstitutionality Action 1.842/RJ. Min. Gilmar Mendes, p. 26. 26 Direct Unconstitutionality Action 1.842/RJ. Min. Gilmar Mendes, p. 22. 27 “The metropolization phenomenon imposes the institution of a government body to manage the sustainable
development of the Metropolitan Region. In this sense, it shall be created a custom institutional form that allows
the articulation and coordination of plans, programs and urban projects and environmental, of the various public
agencies operating in the region, linked to the political and administrative entities involved, aiming to gather,
supplement, adjust, negotiate, take integrated initiatives and harmonize the multiple government decisions
according to regional planning references, sub-regional and local levels. This center of territorial coordination,
- 21 -
whose administration by traditional legal institutions is not suited to perform efficiently in such
urban complexity.
A substantial change occurred in the competence to create the Metropolitan Regions,
whose founding law firstly was allocated to the Union, and now this faculty is with the States
of the Federation. In the Constitutions of 1967 and 1969, such assignment was allocated to the
National Congress, following the culture of centralization impregnated in the legislative power
during the military regime.
However, the Constitution of 1988 assigns this faculty to the States. The competence
shift has significant value on the creating process of Metropolitan Regions. On one hand, it
implies in a change in the formal act of its foundation, which shifts from a Federal Law to a
State Law. On the other, it implies in a shift of the agents involved at the development of the
regional arrangement.
The acts of designing and negotiating the birth of such regional arrangements are
inserted into the political game, and its realization at the State level ensures greater freedom to
the entities that will be directly linked to the Metropolitan Region (Central City, Satellite Cities,
and State).
Another adjustment made from the Constitution of the Military Regime to the
Constitution of 1988 was a topographical shift. In the first scenario, the Metropolitan Regions
were allocated in the title “Of the Economic and Social Order”, but in the second scenario, it
was placed in the title “The Organization of the State”. This allocation synthesizes the goal of
the original constituent power in dealing with the issue as structural-organizational interests of
the Brazilian State itself, and as a matter of economic efficiency (Alves, 2011, p. 3).
through its sectoral agencies, should also equip for essential raising additional financial resources, with the power
to control and inspection activities on private users of natural resources in the region (soil, water and air).” (Alves,
2011, p. 17)
- 22 -
3. The Pathway of Metropolitan Management in Brazil
The premise of a Metropolitan Region is the idea that changes in the spatial urban
organizations imply in the use of new arrangements towards the fulfillment of the social
demands. The outline of such arrangement is, nevertheless, pliable to variables such as the
political game and the economical panorama. The economic crisis in the early 80s resulted in a
cohesive narrative of fostering the ‘municipalism’ in the 1988 Constitution, while also inhibited
the development of further discussion of Metropolitan Regions. Although the new Constitution
has given more power to the Municipalities in terms of duties and services, Cities’ tax collection
capacity has never been enough, especially in the small ones. Metropolitan regions than
returned to the agenda of several municipalities as a safeguard instrument to the bottlenecks
generated by the additional costs. This scenario has developed an environment conducive to the
formation of several Metropolitan Regions in recent years.
3.1. Indicators of the ‘Municipalism’
The narrative to foster the Municipalities’ political power was strong in the construction
of the Constitution of 1988, and several indicators signalize that. Firstly, the Municipal
Autonomy (Autonomia Municipal) was the motto by which the new Brazilian constitutionalism
recognized the fortification of the Cities’ decision-making power. An exponential increase in
the transfer of funds is also an indicator of the municipal movement.
The milestone for the Municipal Autonomy was its recognition of the Municipalities
within the Federal framework, innovation of the Brazilian federation model. Provided by the
Article 1 of the Constitution28, this premise represent the recognition of the political power of
28 Brazilian Constitution of 1988. Art. 1 - The Federative Republic of Brazil, formed by the indissoluble union of
the states and municipalities and of the Federal District, is a legal democratic state and is founded on: I –
sovereignty; II – citizenship; III – the dignity of the human person; IV – the social values of labour and of the free
enterprise; V – political pluralism. [our emphasis]
- 23 -
municipalities. According to Professor Meirelles, as seen in Chart 2, four constitutional
guidelines constitute what is called the essential core of the municipal autonomy, which are the
self-government (auto governo), the self-organization (auto organização), the self-legislation
(auto legislação) and the self-administration (auto administração) (Meirelles, 1998, p. 93).
Chart 2 – Constitutional Guidelines of the Municipal Autonomy
These guidelines serve as instruments of the implementation of the public services
allocated by the Constitution to the local level. Some these duties are the execution of local
interest (such as public transport), the maintenance of early childhood education and primary
education programs; the provision of basic health care services; the promotion of the rational
occupation of urban land; and the promotion of the protection of local cultural heritage (Santos,
2011, p. 213).
Secondly, there has been significant changes regarding the fund system distribution in
Brazil. According to Graph 1, in 1987 the Union’s share in the Brazilian revenue represented
nearly 64%, jumping to 56% in 1990 and then to 53% in 1992. Whilst that, the Municipalities
received 13% of the countries’ revenue in 1987, 15% in 1990 and 53% in 1992.
• Development of the Organic LawSelf-Government
• Mayor's Direct ElectionSelf-Organization
• Development of the Local LawsSelf-Legislation
• Provision of Services of Local Interest Self-Administration
- 24 -
Graph 1 – Federal Revenue Share post Constitution of 1988
Source: Palos, A. G. C. e., 2011. A CONSTITUIÇÃO DE 1988 E O PACTO FEDERATIVO FISCAL.
Consultoria Legislativa, Março.
The Municipalities now could administer its own money, either received by the federal
transfer system – Municipalities’ Participation Fund (Fundo de Participação dos Municípios)
and the States’ Participation Fund (Fundo de Participação dos Estados) – or by the consumers’
tax distribution (Imposto Sobre Circulação de Mercadorias). The Constitution of 1988 has also
instituted the Land Property Transfer Tax (Imposto Sobre Transmissão de Bens Imóveis) as
faculty of the Municipalities (Fernandes, 2004).
3.2. Federal Dependence and Metropolitan Management
The 1980s were considered in Brazil as the lost decade. The collapse of the military
regime revolved around an economic crisis caused by low GDP growth, the acceleration of
inflation and the very poor social indicators presented the country. (Marangoni, 2012). The state
apparatus was obsolete, unable to provide basic services to the population, incurring a crisis in
government planning.
64%
23%
13%
Nat. Revenue Share in 1987
Union
States
Municipalities
56%29%
15%
Nat. Revenue Share in 1990
Union
States
Municipalities
53%29%
18%
Nat. Revenue Share in 1992
Union
States
Municipalities
- 25 -
As aforementioned, several indicators provide strong evidence that the Constituent
Power saw the enhancement of the Municipalities’ capabilities as a solution to such panorama.
However, was it enough?
The institution of new faculties to the Municipalities in Brazil followed the institution
of new duties. The rise in resources from the Federal transfer accompanied a disproportional
raise in the Municipalities duties (Fernandes, 2004, p. 44). As seen in the table below, in the
major Cities of the São Paulo State, the Growth Rate (107,3%) on revenue did not accompanied
the Growth Rate on social expenses (162,21%), representing such mismatch.
Relative Social Expenses in the main Municipalities29 of the State of São Paulo
1984 1994 Growth Rate
Social Expenses R$532.307.291 R$1.395.774.132 162.21%
Revenue R$866.472.425 R$1.796.817.731 107.31%
Source: Bovo, J. M., 2001. Gastos sociais dos municípios e desequilíbrio. Revista de Administração Pública,
31(1), pp. 98
In practice, the decision to enhance the municipal budged has made the Municipalities
dependent on the action of other Federal entities. As seen in Graph 2, in the year 2000, the
municipal revenue composition indicated a clear sovereignty of the Federal Transfer. What
seems to be a gain in political powers turns into an enhancement in the political dependence,
making the decentralization efforts weak.
29 According to the study conducted by Bovo, were analyzed the following cities: Adamantina, Andradina,
Araçatuba, Araraquara, Assis, Avaré, Barretos, Bauru, Botucatu, Bragança Paulista, Campinas, Caraguatatuba,
Catanduva, Cruzeiro, Dracena, Fernandópolis, Franca, Guaratinguetá, Itapetininga, Itapeva, Jales, Jaú, Jundiaí,
Limeira, Lins, Marília, Ourinhos, Piracicaba, Presidente Prudente, Registro, Ribeirão Preto, Rio Claro, Santos,
São Carlos, São João da Boa Vista, São Joaquim da Barra, São José do Rio Preto, São José dos Campos, Sorocaba,
Taubaté, Tupã e Votuporanga.
- 26 -
Graph 2 – Municipal Revenue Composition in the year 2000
Source: Tristão, J. A. M., 2003. A Administração Tributária Dos Municípios Brasileiros, São Paulo: Biblioteca
Digital FGV.
Fernandes and Wilson analyzed the ‘Municipalism’ as an institutional choice, covering
its implications to the metropolitan management. According to the authors, if on one hand the
Municipalities have its political power and financial autonomy enhanced, such institutional
choice has inhibited the development of more sophisticated institutional arrangements to the
Metropolitan Regions during the elaboration of the Constitution of 1988 (Fernandes & Wilson,
2013).
Source: own tabulation, based on data from the IBGE and the 2015 report from the OBSERVATÓRIO DAS
METRÓPOLES.
18,70%
65%
16,30%
Municipal Revenue Composition
Tax Revenue Federal Transfer Other Revenue
9
1
2
1 1
5
1 1
3
1 1
4
7
6
12
8
5
6
1
0
2
4
6
8
10
12
14
73 74 95 96 97 98 99 0 3 5 7 9 10 11 12 13 14 15 16
Number of Metropolitan Regions
Table 1 – the Metropolitan Regions in Brazil over the years
- 27 -
However, the Metropolitan Regions formation became a trend over the last decades, as
Brazil jumped from only nine arrangements in 1988 to 74 in 2016! After the competence to
institute Metropolitan Regions shifted from the Unions to the States, the arrangement has
gained space in the administration of urban tangles, especially in the last five years as seen in
Table 2.
By the end of the day, the theme of Metropolitan Regions did not call much attention of
the original Constituent power, but the constitutional mark of 1988 was followed by a booming
of metropolitan integrations in Brazil. This constitutes a “Municipalist Paradox”: a renegade
subject before the Constitution has turned into a safeguard to the Municipalities, avid by the
assets originated by the metropolitan integration in order to guarantee the provision of public
services.
3.3. Photography of the Metropolitan Regions in Brazil
Almost thirty years after the 1988 Constitution, the scene is completely different from
what happened during the military regime. There are currently30 in Brazil 74 metropolitan areas,
distributed in 23 of the 27 units31. Apart from these, there are other 3 regions of integrated
development32 (Regiões Integradas de Desenvolvimento, or RIDE) and four Urban
Agglomerations33 (Aglomerações Urbanas) around the country, but that will not be here
analyzed.
30 Until October 2016. 31 Only the States of Mato Grosso do Sul, Acre, Piauí and the Federal District. The last two still have RIDEs on
its territory. 32 According to the Ministry of National Integration, the RIDEs “aims to coordinate and harmonize the
administrative actions of the Union, the states and municipalities to promote projects aimed at economic
stimulation of low development territories and thus get priority in receiving public funds for the promotion of
initiatives and investments that reduce social inequalities and are in accordance with the local interest agreed
between the entities participants”. Source: Ministry of the National Integration,
<http://www.mi.gov.br/regioes_integradas_rides>. Last access on 12.10.2016. 33 According to the article 2, I of the Law 13.089/15 (The Metropolitan Estatute), Urban Agglomerations are “urban
territorial unit constituted by 2 cluster (two) or more neighboring municipalities, characterized by functional
complementarity and integration of geographical dynamics, environmental, political and socio-economic”.
- 28 -
Based on data from the Brazilian Institute of Geography and Statistics (IBGE) and from
the 2015 report from the OBSERVATÓRIO DAS METRÓPOLES, a table was elaborated in
Annex B of this study where have been condensed information as the name, the estimated
population and the number of municipalities of the Brazilian Metropolitan Regions. The Table
1 has explained the growth spurts of the Metropolitan Regions over the years in Brazil.
After the first strike at the early 70s, the arrangement has returned to the agenda of the
States in the late 90s, and back on the end of the last decade. As seen in Graph 2, at the early
years of the 2010s, the theme has entered a new level; half of the Metropolitan Regions existing
in the Country were instituted in the last five years. The map in the Annex C can explain the
spatial distribution of the Metropolitan Regions’ strikes.
Regarding the population, according to the estimates of the IBGE, Brazil has currently34
206.5 million inhabitants, which approximately 107.4 million live in Metropolitan Regions,
representing 52% of the countries residents. Diversity is a trademark, since there are both
extremely crowded examples, such as in São Paulo, with 21.2 million people, and localities
sparsely populated, such as in Sul de Roraima, with nearly 23 thousand people.
34 Based on data from 13.10.2016.
Graph 3 – Half of the MRs in Brazil were developed in the last five years
- 29 -
The same absence of pattern can be observed in States with similar social and economic
indicators. As seen in Table 2, while 44% of the population of Rio Grande do Norte live in
Metropolitan Regions, 84% do so on its neighbor Paraíba.
As to social indicators, the paper "Hierarquização e Identificação de Espaços
Urbanos", of diverse authorship and organization by Ribeiro, developed a classification based
on the Municipal Human Development Index, containing information such as sanitation
infrastructure and poverty. One important conclusion was that the further the Municipality is
from the main City, the worse are its social indicators. Also, only five out of the 37 urban spaces
analyzed were considered “really good”, having more than 70% of its members the same HDI
label, while seven were considered “really bad” (Moura, et al., 2009).
In 2013, Ribeiro and Wilson have analyzed the institutional arrangement of the
Metropolitan Regions in Brazil35. It started from the analysis of five basic elements –
Metropolitan Council, Metropolitan Agency, Metropolitan Fund, Metropolitan Legislative36
and Metropolitan Consortium. The study has proven the existence of a plurality of
arrangements. For instance, in Fortaleza and in Rio de Janeiro there is only the Metropolitan
Council (Deliberative and Advisory Council), while in Recife it was chosen to institute all of
the elements, but the Legislative.
35 Regarding this study, their conclusions were made based on the article fo 2010 “As cresndes cidades e a questão
social brasileira: reflexões sobre o Estado de exceção nas metrópoles brasileiras”, from Ribeiro and Santos, whose
access was not achieved. As aforementioned, more than a half of the urban integrations were settled after the study,
but it still encompasses the biggest ones, validating its relevance in the present work. 36 Ribeiro and Wilson do not define nor explain its work, but affirm its existence in the Metropolitan Regions of
Natal and Maringá.
Table 2 - Differences among the MRs
- 30 -
It is necessary to make one last comment about the so-called Statute of the Metropolises
(Estatuto das Metrópoles), or the Law 13.089 of 2015. The bills’ main objective was to better
characterize the concepts in Article 25, third paragraph of the Federal Constitution minimizing
national disparities concerning the matter (DELCOL, 2015). This study will make no further
digressions on the subject, because it believes in Rodrigues's argument that the regulation was
insufficient to create institutional and political conditions to solve the challenges that
metropolitan management previously indicated (Rodrigues, et al., 2015).
4. Gains and Losses with the Process of Metropolization
The complex process of Metropolization in Brazil has implied in different consequences
over the Countries’ regions. Nevertheless, its effervescence in the last years indicates that new
Cities and States might still join the metropolitan model of public administration. This last part
tries to analyze what kind of benefits of losses were generated to Metropolitan Regions in Brazil
in the last decades. Were identified as incentives to the metropolization the creation of
consortiums, the increase of attractiveness to federal resources and the overlapping of
competencies for the provision of public services. However, there are also inconsistencies of
the model, such as its utilization in places that does not contempt the geographical conditions
idealized by the spirit of the law, and also the increase of the State’s political influence over the
local administrations.
4.1. Benefits from the Metropolization in Brazil
One must remember that there are three main types of agents involved in the creation of
metropolitan areas: the Core Cities, Satellite Cities and the States of the Federation. This study
has identified as key incentives for its formation the (i) effective coordinated actions of
- 31 -
Municipalities, and (ii) overlapping of competence from low efficiency services by the
Metropolitan Region.
The first incentive is a double assertive. On the one hand, the formation of public
consortia37 by Cities can reduce transactional costs in the provision of certain services. A
paradigmatic case was the one of Belo Horizonte, which along with the Cities of Betim,
Contagem and Sabará formed a Consortium to public policies on gender equality and fighting
violence against women (Ministry of the Cities; University of British Columbia, 2010). Such
phenomena is possible especially because of the law 11.107/2005, which authorizes the
governments to form interjurisdictional consortia.
On the other hand, the formation of blocs of municipalities can increase chances of
investment of other Federal Entities since they signalize coordinated actions towards them. As
seen in Graph 2, the municipalities are financially dependent on Federal Transfers, what implies
in a political dependence especially regarding small cities. The metropolitan integration may
represent an exit to such problem since, at least in theory, it creates a forum of discussion to the
regional problems that can imply in the coordination of demands. The coordinated action of the
municipalities strengthen their demands from other state entities, reduce the costs of
negotiation, and indicate institutional maturity to the States and the Union.
According to Abrucio et al, this is the most important factor that has implied in the spurt
of Metropolitan Regions over the last decades. For example, the increase of federal actions in
urban policy in the second Lula government (2006-2010), from the so-called Growth
Acceleration Program (Programa de Aceleração do Crescimento), generated investment in the
sectors of housing, transport and sanitation (Abrucio, et al., 2010). Metropolitan Regions were
37 According to the Law 11.107/05, public consortium might be celebrated by entities of the Federation in order
to pursue common objectives, constituting public association or private law entity.
- 32 -
the focus of action of the Federal Government, since the existence of institutions enables the
joint provision of such services.
The overlapping of competencies for the provision of public services, the second type
of incentives analyzed herein for the proliferation of Metropolitan Regions, has a special
relationship with the satellite Municipalities, i.e. those that are not core and have less expression
in terms of number of inhabitants and economic capacity. The inability to properly deliver
public services pointed out by the Constitution, brand of the Brazilian 'Municipalism', is even
more critical in this type of Municipality, in view of its social and economic characteristics.
As seen in Table 3, there is a significant disparity between the investment made by the
nuclear cities and the investment made by satellite cities in almost all kinds of areas. In public
health, for instance, there is a difference of almost eight billion Reais in investments: 20.30
billion for nuclear and 12.6 municipalities to satellite cities. As to relative terms, 57.7% of all
investment in public services in Metropolitan Regions is made by nuclear cities, while 38.9 is
made by the satellite cities.
Expenses per
Area of
Investment
Metropolitan
Municipalitie
s
% Satellite
Municipalitie
s
% Core
Municipalitie
s
%
Public Safety 1.62 1.67 0.64 1.65 0.90 1.69
Health 32.2 33.9
8
12.6 32.3
2
20.30 35.1
0
Work 0.50 0.51 0.22 0.57 0.30 0.48
Education 32.1 33.2 14.8 38.0
4
17.40 29.9
4
Urbanism 16.9 17.4
4
6.64 17.0
5
10.20 17.7
1
Housing 2.6 2.65 0.72 1.84 1.80 3.19
Sanitation 4.8 4.92 1.93 4.96 2.80 4.89
- 33 -
Environmenta
l Management
1.41 1.46 0.57 1.45 0.84 1.46
Transport 4.73 4.17 0.82 2.11 3.20 5.55
Total 98.86 100 38.9 100 57.7 100
Table 3 - Difference of expenses in Metropolitan Regions
Source: Fernandes, A. S. A. & Wilson, R. H., 2013. Mudança Institucional e Gestão Metropolitana no Brasil: o
municipalismo autárquico e as finanças municipais metropolitanas. Rev. Adm. Pública, 47(3), pp. 791.
Nevertheless, one should remember that the number of satellite Cities is
overwhelmingly greater than the number of core Cities. According to Annex B, for example,
there are currently in Brazil 74 core Cities, representing an average investment of almost 780
million Reais in public services per year. As to satellite Cities, there are in Brazil 1,160 with an
average investment of 33.5 million Reais. In other words, at an average matter the core Cities
invest in public services 23 times higher than the satellite Cities!
The intrinsic logic to Metropolitan Regions is the coordination of entities for the joint
provision of public services. Hence, there is necessarily a planned spread of investments among
member entities. Greater investments in health, housing, transportation and else are substantial
attractions for cities in low economic potential reality, serving as bypasses to the ‘municipalist
paradox’.
4.2. Inconsistencies of the Metropolitan Region model of administration
Although there are potential benefits in the formation of the Metropolitan Regions in
Brazil, there are factors that demonstrate inconsistencies between the purpose of the legal
frameworks, and the geographical realities of the affected municipalities. In addition to that,
there are indications that metropolitan institutions foster greater control by the executive power
of States over Municipalities, due basically to the framework of the Brazilian legislation
regarding this subject.
- 34 -
4.2.1. Geographical incompatibility
It is hard to measure the quality of the Metropolitan Regions in such a complex
environment like Brazil, since there are pluralities of economic, institutional and geographical
characteristics. Nevertheless, it is possible to identify evidence of such phenomena.
It is timely to make another consideration about the study “Hierarquização e
Identificação dos Espaços Urbanos”. In 2008, when the report was released, there were in
Brazil 36 Metropolitan Regions, which were analyzed on three branches (integration38,
concentration39 and social condition40). The communion of high indicators in three areas could
lead to a classification as 'metropolitan' or ‘non-metropolitan’, as seen in Annex C. According
to the study, only 15 were labeled as ‘metropolitan’. In other words, not even half of the
Metropolitan Regions in 2008 had sufficient indicators to justify its integration.
Despite the high quality of the study, it is possible say that it has become partially
obsolete, given that since 2008 more than half of the Metropolitan Regions were established in
Brazil, as seen in Graph 3. For methodological matters, it will not be possible to perform such
a dense analysis as the cited study to the new integration, but some evidence points in the
direction that the recent Metropolitan Regions either observe sufficient degree of integration
and concentration to justify their institution.
Although the formation of a Metropolitan Region in a low concentration urban site can
be useful in the future, since the urbanization is a progressive process in the contemporary
38 “Urban spaces in the analysis were classified according to the level of integration municipalities to the dynamics
of agglomeration. These levels were raised by demographic change indicators, commuting flow, density, and
occupational characteristics, delimited by which the effective scope of the agglomeration in each searched unit”.
(Moura, et al., 2009, p. 20) 39 “Another sizing performed about cutting out of the agglomeration is the degree of concentration of activities on
the pole, considering indicators selected from those used for the hierarchy of the composition of urban spaces”.
(Moura, et al., 2009, p. 21) 40 “It was also scaled the social condition of urban spaces in question, given that the social situation of its
population living appears to be quite distinct, whether in inter-agglomerates scale, as in the intra-scale clusters. To
scale these social inequalities were considered the Need Index Housing and the city's poverty rate, whose results
were compared with the Municipal Human Development Index.” (Moura, et al., 2009, p. 22)
- 35 -
society, the creation of metropolitan institutions in such conditions might turn the Metropolitan
Region innocuous. The conurbation comprises fundamental urban phenomenon to justify the
metropolitan integration, since the formation of urban tangles is the cornerstone of coordinated
management of public services.
In this regard, the State of Santa Catarina can be considered paradigmatic since there is
a huge mismatch between its institutional framework and its reality. According to the Annex B,
there are 11 Metropolitan Regions in the State, encompassing ALL of its 295 municipalities41.
In other words, the whole State’s territory is administered by some kind of metropolitan
integration.
Analysis of the Metropolitan Region of Chapecó (2010)
Total
Population
Urban
Population
(Absolute)
Urban
Population
(Relative)
Total Area
(km²)
Population
Density
(inh/km²)
Chapecó 168,113 165,255 91.6% 624,3 293.98
Metropolitan
Region of
Chapecó
344,591 284,127 58.2% 4.938,15 69.7
Table 4 - Low Populational Density
Source: own tabulation from the IBGE Database. Instituto Brasileiro de Geografia e Estatística, 2010. População
residente, total, total urbana, e urbana na sede municipal e, em números absolutos e relativos, com indicação da
área total e densidade demográfica, segundo os municípios - Santa Catarina, Brasília: IBGE.
The Metropolitan Region of Chapecó42, for instance, points out for a low integration
among its 32 City members. As seen in Table 4, although its core City has high urban population
(91,6%), its population density is low43 (293,98 inh/km²). Data from the whole Metropolitan
41 Santa Catarina’s Metropolitan Regions have two kinds of members, the so-called ‘metropolitan core’ and the
‘area of expansion’. Since both foresee some kind of integration, such difference will not be considered in the
present study. 42 Chapecó is a nearly 209 thousand inhabitants City, located 552 kilometers away from its State Capital
Florianópolis. Its GDP is R$ 6,621,742,000 (IBGE 2013). 43 Data from the IBGE, the most important core Cities in Brazil had higher population density than the example
herein analyzed. Some examples are the city of São Paulo (7387.89 inh/km²), Sorocaba (1306.55 inh/km²) and
Campinas (1358.63 inh/km²).
- 36 -
Region of Chapecó shows even worse indicators in the sense of integration: urban population
of only 58.2%, and a population density almost five times smaller (69.7 inh/km²).
The photographs of same scale bellow shows the demographic difference of the
Metropolitan Region of Chapecó and the Metropolitan Region of São Paulo. On the first picture
can be observed the predomination of the color green and the long distances between the urban
formations, as in the second, urban formations overrun municipal borders turning into a huge
grey tangle.
Figure 1 - Metropolitan Region of Chapecó
Source: Google Maps.
- 37 -
Figure 2 - Metropolitan Region of São Paulo
Source: Google Maps.
The same incompatibility between geographical conditions and metropolitan
framework exist in other States, in some level. For instance, the State of Paraíba has less than
2% of the national population, and 12 Metropolitan Regions which encompass 146 of its 223
municipalities. Other example is the State of Roraima, a region marked by indigenous reserves
and the Amazon Forest but with three Metropolitan Regions that covers more then 70% of the
State’s area, each with population density below 10 inhabitants per square meters.
This study will not make commentary over the consequences of the development of the
metropolitan integrations in such environments. Nevertheless, based on such data it is possible
to affirm that low rates of integration and the absence of conurbation, as demonstrated in some
Brazilian States do not encompass the geographical conditions to the development of
Metropolitan Regions as expected by the Constitution and the Legislation.
- 38 -
4.2.2. Enhancement of the States’ Executive decision-making power
A second inconsistency of the regional administration model by Metropolitan Regions
concerns the high decision-making capacity of the Federal States within the institutional regime
generated by the legal framework. As described in item Indicators of the ‘Municipalism’, there
was an expectation of growth of the ‘Municipalism’ with the Constitution of 1988, followed by
its dependence over Federal Transfers.
The Metropolitan Regions turned into a mechanism to enhance the State’s (especially
its Executive’s) political influence over the municipalities. For instance, it was analyzed the
case of the Sorocaba Metropolitan Region, one of the youngest in the country, focusing in
particular on: (i) the role of the State’s Executive Power within the legislative process, as well
as (ii) the metropolitan institution’s economic dependence within the States.
Firstly, it should be remembered that despite the rise of the 1988 Constitution, the
regime of the main Brazilian Metropolitan Regions is still defined by complementary laws
14/1973 and 20/1974, as can be seen in Annex A, having institutionally influenced other
metropolitan integrations in the country.
According to the laws, as seen in Chart 1, its organization is divided between the
Deliberative Board and the Advisory Board. In the first case, the State Governors are
responsible for the presidency and for the appointment of the other five members of the
deliberation bodies (Article 2, paragraph 144). In the second case, although it is composed of
one representative from each municipality, it has no decision-making capacity within the
metropolitan institution; moreover, it has as president the State Governor (Article 2, paragraph
44 Complementary Law 14/1973. Art. 2 - There will be in each Metropolitan Region a Deliberative Board, chaired
by the State Governor, and an Advisory Board, created by state law. Paragraph 1 - The Deliberative Board shall
comprise, in addition to the President, five (5) members of recognized technical or administrative capacity, one of
whom shall be the Secretary General of the Council, all appointed by the State Governor, one of them The names
that appear in a triple list organized by the Mayor of the Capital and another by indication of the other
municipalities that are part of the Metropolitan Region.
- 39 -
245). It is also up to the State to finance all the costs of organizing these Boards (Article 2,
paragraph 346).
A detailed analysis of the Sorocaba47 case also clearly exemplifies this particularity. The
legislative process that gave rise to the Sorocaba Metropolitan Region was analyzed, seeking
to identify the role of the State within the legal process. Former State Representative Hamilton
Pereira (Workers' Party) in an interview available on the website of the Legislative Assembly
of the State of São Paulo commented on the importance of the rapid creation of the Metropolitan
Region. At the same time, he made clear that the legislative process had great dependence on
actions of the State Governor, as shown below:
It is important to say to our listeners, that I have presented here the
Complementary Law no. 33/2005, which already pointed to the creation of the
metropolitan region of Sorocaba. However, there was a resistance of the
Executive Power, in the sense that they do not accept, the governor does
not accept, that a project of this nature, project that create metropolitan
regions is proposed by the legislature. Since there was resistance, I began to
negotiate these years with an executive, not feeling that the executive would
send a project. Because in reality the region of Sorocaba is already a
metropolitan region, so to speak. Already a conurbation between 26
municipalities and is a region of extremely important from the economic point
of view for the state, a fairly high GDP48.
Can the Executive Power impose conditions on the legislative process of a particular
law? In order to guarantee the equivalence of the political powers in Brazil, the chief of the
Executive Power, like the Governor of São Paulo, can also propose bills to be processed and
45 Art. 2 - There will be in each Metropolitan Region a Deliberative Council, chaired by the State Governor, and
an Advisory Council, created by state law. Paragraph 2 - The Advisory Board shall be composed of a representative
of each Municipality that is part of the metropolitan region under the direction of the President of the Deliberative
Board. 46 Art. 2 - There will be in each Metropolitan Region a Deliberative Council, chaired by the State Governor, and
an Advisory Council, created by state law. Paragraph 3 - It is incumbent upon the State to provide, at its own
expense, the expenses of maintaining the Deliberative Board and the Advisory Board. 47 Sorocaba is a nearly 600 thousand inhabitants City, located 80 kilometers from the São Paulo. Its GDP is R$
26,908,887,000 (IBGE 2013), representing almost 0.5% of the national GDP. 48 Own translation. Whole lecture available in the Annex E.
- 40 -
analyzed by the Legislative Power. In this sense, the simple act to propose the creation of a
Metropolitan Region is not a problem.
However, the Governor has demanded the exclusivity in such proposal. Such strategy
within the political game represents a kind of suppression to the liberty of the Legislative Power
and indicates a slight imbalance within the State’s political powers. The movement towards the
protagonism in the development of the Metropolitan Regions by the Governor of the State
demonstrates the importance on the conduction of the process of metropolization in this
particular case. Since the bill was approved, this slight enforcement is an evidence that the
States’ Executive decision-making power was decisive in the creation of the Metropolitan
Region of Sorocaba.
The economic dependence of the metropolitan institution on the State is another
phenomenon that demonstrates the increase of its decision making power. An interview was
conducted with Professor Vidal Mota Junior, an academic who became deeply involved in the
basic studies that have been the foundation of the Metropolitan Region of Sorocaba, as shown
in Annex F. A stretch was cut out to demonstrate this point.
Interviewer: From 2015 until today, what institutions were or are being created
in the region? We have the Agency49 being created. What else?
Mr. Vidal Mota: Only Agency. It is the fundamental step. It is the challenge
that has of short term, to implant Agency.
Interviewer: And what has already been done and what still needs to be done?
Mr. Vidal Mota: Money.
Interviewer: Only money?
49 The Sorocaba Metropolitan Agency (AGEM Sorocaba) is the base administration body of the Metropolitan
Region, created to coordinate public services and develop studies for the creation of public policies. Despite being
made official by the State Government, AGEM Sorocaba was not officially established.
- 41 -
Mr. Vidal Mota: The argument of the State Government is that at present there
are no resources. Everything is approved, but now it is time to name people,
make public contests, all these formalities for it to walk.
Not only the legislative process becomes dependent, but also the creation of institutions
responsible for managing metropolitan public services. The Metropolitan Region of Sorocaba
was legally established in July 2015, and since then only legal landmarks have been elaborated,
as well as some integration regarding transportation services in areas of greater conurbation
with other Cities. Nevertheless, as seen in the interview, such advances are dependent to the
actions of the State, especially concerning the financing of the institutions.
If the legislative process has as main agent the States’ Executive Power, and if the
advance of the constructions is also dependent on it’s the actions, it becomes clear the growth
of their political capacity within the institutional framework of the Metropolitan Regions. It is
thus the second inconsistency of the administrative regime of the metropolization in Brazil, in
which the municipal decision-making power is relegated to the States power. What was to be
an instance of coordination of the Municipalities becomes an instance of political reassertion
of the State's Executive power.
5. Conclusions
The name of this study synthesizes two ideas the reader should have had so far.
“Metropolitan Regions 101” represents the first idea herein, to present an overview in the matter
of metropolization in Brazil, as if the first university class of any subject should be. “The law
and the reality” represents the second idea, which is the idea that there are significant
differences regarding the spirit that has inspired the constitutional framework and the
inconsequent spurt of Metropolitan Regions in the country.
- 42 -
From now on, two other ideas will be briefly pointed out. This time, with less academic
forcefulness and more wishful thinking, trying to imagine the consequences of the phenomenon
of metropolization in Brazil over the next years. The arguments cover two axis, the universe in
which nothing is made, and the universe where some intervention is made upon the legal
framework of the Metropolitan Regions in the country. The Metropolitan Regions so far
analyzed can be divided in three groups.
The first one represents the group of integrations generally created in the first strike of
metropolization, with high rates of conurbation and a severe need of a sole coordination of the
public services. Some examples are the Metropolitan Regions of São Paulo, Salvador and
Campinas.
The second group covers the Metropolitan Regions in which some urban integration
have been made, and there are strong indications of increasing integration among the
neighboring municipalities in the forthcoming years. An example of this group is the
Metropolitan Region of Sorocaba.
As the third represents a group of integrations with low demographic density,
predominance of rural formations and no evidence that there will be any conurbation in the next
decades. Examples of that group cited in this work are the Metropolitan Region of Chapecó and
the Metropolitan Regions of the State of Roraima and Paraíba.
If the metropolitan legal framework is left as it is today, there would be no consequence
to the first group. In the case of the second group, the gradual construction of metropolitan
institutions can generate benefits if it accompanies the urban development of Cities, but it also
can still promote greater interference by the States’ Executive Power over the municipalities.
The most critical situation would be in the third group of cities, since metropolitan integration
is a remedy to symptoms that do not exist in these localities. Most likely, these will never
- 43 -
develop any kind of complex urban formation, making the creation of Metropolitan Regions
phenomenon incompatible with local reality.
On the other hand, if some intervention is made upon the legal framework, the first step
should be to rethink the role of the Federal Entities in the metropolitan integration, since the
organization of the competencies does not reaffirm the localities’ capacity to accomplish its
constitutional duties. The Constitution of 1988 and the Complementary Laws 14/1973 and
20/1974 are the legal standards that reaffirm such pattern.
For instance, one suggestion is the competence shift in the creation of the Metropolitan
Regions, allocating it to the municipalities and turning the State’s Legislative and Executive
powers co-developers (and not protagonists) of the metropolitan integration. More specifically,
it is suggested to move the Art. 25 paragraph 3 of the Brazilian Constitution to the Art. 30,
creating its sole paragraph on the following words:
Art. 30. It is the responsibility of the
Municipalities:
Art. 30. Compete aos Municípios:
Sole Paragraph: Municipalities may, by means
of a complementary law, organize themselves
by metropolitan regions constituted by groups
of neighboring municipalities, in order to
promote the integrated development and
execution of public functions of common
interest.
Parágrafo Único: Os Municípios poderão,
mediante lei complementar, organizar-se por
regiões metropolitanas constituídas por
agrupamentos de municípios limítrofes, para
fomentar o desenvolvimento integrado e a
execução de funções públicas de interesse
comum.
A further analysis of the theme should observe two aspects of the Metropolitan Regions
in Brazil. The first aspect is to deeply identify the impact of the States’ Executive decision
power in the local administration of public services, analyzing the main differences of the three
- 44 -
groups of Metropolitan Regions cited above. The second aspect is to identify models of
metropolitan integration in the world in order to research new solutions to national problems.
45
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47
ANNEX A – The First Metropolitan Regions in Brazil
State Capital Adjacent Cities Total
Number
São Paulo São Paulo Arujá, Barueri, Biritiba-Mirim, Caieiras, Cajamar,
Carapicuíba, Cotia, Diadema, Embu, Embu-Guaçu, Ferraz de
Vasconcelos, Francisco Morato, Franco da Rocha,
Guararema, Guarulhos, Itapecerica da Serra, Itapevi,
Itaquaquecetuba, Jandira, Juquitiba, Mairiporã, Mauá,
Mogi das Cruzes, Osasco, Pirapora do Bom Jesus, Poá,
Ribeirão Pires, Rio Grande da Serra, Salesópolis, Santa
Isabel, Santana de Parnaíba, Santo André, São Bernardo do
Campo, São Caetano do Sul, Suzano and Taboão da Serra.
37
Minas Gerais Belo
Horizonte
Betim, Caeté, Contagem, Ibirité, Lagoa Santa, Nova Lima,
Pedro Leopoldo, Raposos, Ribeirão das Neves, Rio Acima,
Sabará, Santa Luzia and Vespasiano.
14
Rio Grande do
Sul
Porto Alegre Alvorada, Cachoeirinha, Campo Bom, Canoas, Estância
Velha, Esteio, Gravataí, Guaíba, Novo Hamburgo, São
Leopoldo, Sapiranga, Sapucaia do Sul and Viamão.
14
Pernambuco Recife Cabo, Igarassu, Itamaracá, Jaboatão, Moreno, Olinda,
Paulista and São Lourenço da Mata.
9
Bahia Salvador Camaçari, Candeias, Itaparica, Lauro de Freitas, São
Francisco do Conde, Simões Filho and Vera Cruz.
8
Paraná Curitiba Almirante Tamandaré, Araucária, Bocaiúva do Sul, Campo
Largo, Colombo, Contenda, Piraquara, São José dos Pinhais,
Rio Branco do Sul, Campina Grande do Sul, Quatro Barras,
Mandirituba and Balsa Nova.
14
Pará Belém Ananindeua 2
Ceará Fortaleza Caucaia, Maranguape, Maracanaú, Pacatuba and Aquiraz. 5
Rio de Janeiro Rio de Janeiro Niterói, Duque de Caxias, Itaboraí, Itaguaí, Magé, Maricá,
Nilópolis, Nova Iguaçu, Paracambi, Petrópolis, São Gonçalo,
São João do Meriti and Mangaratiba
14
Source: Complementary Laws 14/73 and 20/74
48
ANNEX B - Overview to the Metropolitan Regions in Brazil (November
2016)
Metropolitan Region State Population Year of Creation Number of Municipalities
in 2016
Maceió Alagoas 1,314,254 1998 11
Agreste Alagoas 508,073 2009 15
Vale do Paraíba Alagoas 210,751 2011 13
Zona da Mata Alagoas 303,236 2011 16
Caetés Alagoas 222,511 2012 5
Palmeira dos Índios Alagoas 158,812 2012 7
São Francisco Alagoas 131,126 2012 5
Sertão Alagoas 160,800 2012 7
Médio Sertão Alagoas 150,638 2013 9
Macapá Amapá 585,893 2003 2
Manaus Amazonas 2,568,817 1973 8
Salvador Bahia 3984,583 1973 13
Feira de Santana* Bahia 921,618 2011 16
Fortaleza Ceará 4019,213 1973 19
Cariri Ceará 590,209 2009 9
Vitória Espírito Santo 1,935,483 1995 7
Goiânia Goiás 2,458,504 1999 20
São Luís Maranhão 1605,305 2003 5
Sudoeste Maranhense Maranhão 419,536 2005 8
Vale do Rio Cuiabá* Mato Grosso 982,258 2009 13
Belo Horizonte* Minas Gerais 5,873,841 1973 34
Vale do Aço Minas Gerais 756,353 1998 28
Belém Pará 2,422,481 1973 7
Santarém Pará 325,002 2012 3
Marabá Pará 332,120 2013 5
João Pessoa Paraíba 1,268,360 2003 12
Campina Grande Paraíba 227,865 2009 18
Guarabira Paraíba 1,880,60 2011 17
Patos Paraíba 236,747 2011 23
Cajazeiras Paraíba 174,671 2012 15
Esperança Paraíba 140,396 2012 9
Vale do Piancó Paraíba 148,758 2012 17
Araruna Paraíba 66,925 2013 6
49
Itabaiana Paraíba 135,860 2013 11
Sousa Paraíba 116,616 2013 9
Vale do Mamanguape Paraíba 120,042 2013 9
Barra de Santa Rosa Paraíba 80,397 2014 8
Curitiba Paraná 3,537,894 1973 29
Londrina Paraná 1,085,479 1998 25
Maringá Paraná 773,835 1998 26
Umuarama Paraná 312,537 2012 24
Apucarana Paraná 300,826 2015 23
Campo Mourão Paraná 340,863 2015 24
Cascavel Paraná 512,651 2015 23
Toledo Paraná 389,128 2015 18
Recife Pernambuco 3,940,456 1973 14
Rio de Janeiro Rio de Janeiro 12,330,186 1974 21
Natal
Rio Grande
do Norte 1,537,211 1997 11
Porto Alegre
Rio Grande
do Sul 4,276,475
1973 34
Serra Gaúcha
Rio Grande
do Sul 790,295 2013 13
Porto Velho Rondônia 535,938 2015 2
Boa Vista (Central) Roraima 30,581 2014 2
Sul de Roraima Roraima 23,707 2014 3
Capital Roraima 330,674 2014 2
Florianópolis*
Santa
Catarina 1,152,115
1998 22
Chapecó*
Santa
Catarina 461,966 2007 32
Carbonífera*
Santa
Catarina 586,443 2010 26
Foz do Rio Itajaí*
Santa
Catarina 608,177 2010 9
Lages*
Santa
Catarina 399,548 2010 23
Norte/Nordeste
Catarinense*
Santa
Catarina 1,363,854 2010 26
Tubarão
Santa
Catarina 376,300 2010 19
Vale do Itajaí
Santa
Catarina 756,707 2010 16
50
Alto Vale do Rio Itajaí*
Santa
Catarina 285,075 2010 28
Contestado*
Santa
Catarina 524,938 2012 45
Extremo Oeste*
Santa
Catarina 338,124
2012 49
São Paulo São Paulo 21,242,939 1973 39
Baixada Santista São Paulo 1,781,620 1996 9
Campinas São Paulo 3,055,996 2000 20
Vale do Paraíba e Litoral
Norte São Paulo 2,475,879
2012 39
Sorocaba São Paulo 1,908,425 2015 27
Ribeirão Preto São Paulo 1,662,645 2016 34
Aracaju Sergipe 912,647 1995 4
Palmas Tocantins 455,261 2013 15
Gurupi Tocantins 194,751 2014 19
Methodological considerations: This Table is made of Data from the 2015 report of the OBSERVATÓRIO DAS
METRÓPOLES, and updated with data from 2016 population estimates of the IBGE (Instituto Brasileiro de
Geografia e Estatística). Some Metropolitan Regions have been dissolved and then recreated, such as the
Metropolitan Region of the Foz do Rio Itajaí (Santa Catarina State), which had been firstly created in 2002,
dissolved in 2007 and recreated in 2010. In those situations, the last institution date has been considered. In the
cases marked with “*”, the Metropolitan Region is has a diverse formation with core municipalities and satellite
municipalities (forming a Metropolitan Belt, Metropolitan Area of Expansion and Metropolitan Sorroundings).
51
ANNEX C – Spatial Distribution of the Metropolitan Regions’ Strikes in
2015
Source: Rodrigues, J. M., Ribeiro, L. C. d. Q. & Júnior, O. A. d. S., 2015. Estatuto da Metrópole: avanços, limites
e desafios. [Online]. Available at: http://www.observatoriodasmetropoles.net/index.php?option-
=com_k2&view=item&id=1148:estatuto-da-metr%C3%B3pole-avan%C3%A7os-limites-e-
desafios&Itemid=180&lang=en. [Access in 13 10 2016].
52
ANNEX D – Degrees of Integration, Concentration and Social Conditions in
Brazil in 2008
Urban Space Integration Concentration Social Condition Label
São Paulo Very High Less Concentrated Very Good Metropolitan
Rio de Janeiro Very High Concentrated Good Metropolitan
Belo Horizonte Average Less Concentrated High Average Metropolitan
Porto Alegre Average Less Concentrated Good Metropolitan
Brasília Very High Very Concentrated Low Average Metropolitan
Curitiba Average Concentrated Good Metropolitan
Salvador Low Concentrated High Average Metropolitan
Recife Average Less Concentrated Bad Metropolitan
Fortaleza Average Concentrated Bad Metropolitan
Campinas Average Less Concentrated Very Good Metropolitan
Manaus - - Low Average Metropolitan
Vitória High Less Concentrated High Average Metropolitan
Goiânia Average Very Concentrated High Average Metropolitan
Belém High Very Concentrated Low Average Metropolitan
Florianópolis High Concentrated Very Good Metropolitan
Baixada Santista Average Less Concentrated High Average Non-Metropolitan
Natal High Very Concentrated Low Average Non-Metropolitan
Londrina High Very Concentrated High Average Non-Metropolitan
São Luis High Very Concentrated Bad Non-Metropolitan
Maceió High Very Concentrated Bad Non-Metropolitan
53
Cuiabá High Very Concentrated High Average Non-Metropolitan
Campo Grande - - Low Average Non-Metropolitan
João Pessoa High Very Concentrated Bad Non-Metropolitan
Vale do Itajaí Very Low Less Concentrated Very Good Non-Metropolitan
Aracajú High Concentrated Low Average Non-Metropolitan
Teresina Very Low Very Concentrated Bad Non-Metropolitan
Maringá High Very Concentrated Good Non-Metropolitan
Porto Velho - - Low Average Non-Metropolitan
Foz do Itajaí High Less Concentrated Good Non-Metropolitan
Vale do Aço Very Low Less Concentrated Low Average Non-Metropolitan
Carbonífera Very Low Very Concentrated Good Non-Metropolitan
Tubarão Low Very Concentrated Low Average Non-Metropolitan
Macapá - - Bad Non-Metropolitan
Rio Branco - - Low Average Non-Metropolitan
Palmas - - High Average Non-Metropolitan
Boa Vista - - High Average Non-Metropolitan
Source: Moura, R., Dias, M. L., Deschamps, M. & Delgado, P., 2009. Hierarquização e Identificação dos Espaços
Urbanos. Conjuntura Urbana, 1(2).
54
ANNEX E – Lecture Of The Former State Deputy Hamilton Pereira
(Worker’s Party)
É importante dizer aos nossos ouvintes, que eu apresentei aqui o projeto de Lei
Complementar nº. 33/2005, que já apontava para criação da região metropolitana de Sorocaba.
Entretanto, houve uma resistência do pode executivo, no sentido que eles não aceitam, o
governador não aceita, que um projeto dessa natureza, projeto que criem regiões metropolitanas
seja proposto pelo legislativo.
Como havia resistência, eu passei a negociar esses anos todos com executivo, no
sentindo que o executivo, então, enviasse um projeto. Porque na realidade a região de Sorocaba
já é uma região metropolizada, digamos assim. Já uma conurbação entre 26 municípios e é uma
região de extremamente importante do ponto de vista econômico para o Estado, um PIB
bastante elevado. E que reúne ali nos 26 municípios que comporão a região metropolitana de
Sorocaba 1.760.000 pessoas. Então é uma região que já metropolizou. Então, o governador
felizmente enviou para Assembleia Legislativa o projeto nº 1 de 2014, propondo a criação da
região metropolitana.
Entretanto, como a legislação exige que para criação da região metropolitana, você
também cria alguns instrumentos para o seu funcionamento, como o Conselho de
Desenvolvimento Metropolitano a ser composto por todos os prefeitos e prefeitas dos
municípios que compõem uma região metropolitana. O Fundo de Desenvolvimento
Metropolitano e também uma empresa autárquica de planejamento para o desenvolvimento
metropolitano. O projeto que o governador enviou a Assembleia Legislativa veio sem a
definição do Fundo de Desenvolvimento Metropolitano e da empresa autárquica. Dizendo que
a Assembleia ao aprovar a criação da região metropolitana, concede também uma autorização
ao executivo para que ele, futuramente, envie novos projetos criando tanto Fundo de
Desenvolvimento Metropolitano, quanto a empresa de caráter autárquico para o planejamento,
para o desenvolvimento metropolitano.
Então, exatamente porque faltam essas figuras, eu gostaria de lembrar aqui também que
a região metropolitana do Vale do Paraíba, que nós votamos há dois anos e ela não pode ser
implantada até agora para valer porque faltavam esses instrumentos. E somente na semana
passada é que o executivo, governo do Estado enviou para Assembleia Legislativa o projeto
que cria finalmente, tanto Fundo de Desenvolvimento Metropolitano quanto a Agência, essa
empresa autárquica para o planejamento, desenvolvimento metropolitano da região
metropolitana do Vale do Paraíba.
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Ora, nós, de Sorocaba, não queremos esperar por mais dois anos até que o governador
envie novos projetos, criando esses instrumentos de planejamento e de financiamento do
desenvolvimento regional. Então, eu apresentei uma emenda que propõem exatamente criar
isso concomitantemente à apresentação e aprovação da região metropolitana desde já.
Source: São Paulo’s State Legislative Assembly, <http://www3.al.sp.gov.br/repositorio/noticia/R-02-
2014/doc158565.mp3>.
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Annex F – Interview With Mr. Vidal Mota
The author conducted this interview in Portuguese, at the Technological Park of
Sorocaba, in October 7th 2016.
Interviewer: Qual o seu papel dentro da região metropolitana de Sorocaba, o seu trabalho
especificamente?
Mr. Vidal Mota: O meu trabalho hoje, da região metropolitana, sou coordenador, representando
a prefeitura de Sorocaba, especificamente a Secretaria de Planejamento na elaboração do Plano
Desenvolvimento Urbano Integrado – PDUI. Então, eu tenho tido nesse momento, este papel.
Eu já fiz parte no passado, com professor Flaviano, da equipe que elaborou o projeto, técnico,
que foi depois submetido à Assembleia Legislativa. Lá nos idos de 2005/2006. Então, hoje eu
tendo atuando nessa mediação, Isso também é um papel do Parque Tecnológico. A diretoria
que eu atuo, existe essa atribuição de dar suporte para o desenvolvimento da região
metropolitana.
Interviewer: Como foi o início da ideia de criar a região metropolitana? Quem chegou com a
ideia para vocês? Foi a sociedade civil, foram empresários, o próprio governo? Quem teve a
ideia de realizar esse arranjo?
Mr. Vidal Mota: Olha, em primeiro lugar, o lugar onde eu falo, é o lugar da universidade. Então,
eu conheço mais esse movimento pela universidade, especialmente pela Universidade de
Sorocaba. Pessoal da Ciências Sociais Aplicadas que por estarem muito tempo estudando
região, conhecerem os indicadores econômicos, sociais e até mesmo ambientais da região,
tiveram sempre essa percepção desse processo de integração dos municípios vizinhos ao
município de Sorocaba. Essa consolidação de Sorocaba como uma cidade polo, isso passou a
ser cada vez mais consolidado. O processo de consolidação desses últimos 20 anos, de Sorocaba
como cidade polo regional e os indicadores sociais econômicos apontando para esse processo
de metropolização.
Interviewer: Que tipo de indicadores?
Mr. Vidal Mota: Primeiro de urbanização.
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Interviewer: Conurbação?
Mr. Vidal Mota: Conurbação. Exatamente. Depois também infraestrutura de serviços. Desde
mobilidade, saúde, educação. Você vai ter emprego. Você vai ter uma grande interdependência
desse conjunto de cidade que hoje formam a região metropolitana.
Interviewer: Entendi. Então o processo de negociação começou a partir de uma ideia
majoritariamente vindo das universidades da região.
Mr. Vidal Mota: Principalmente das universidades, que nesse momento que estava mais forte
era a UNISO.
Interviewer: A UNISO mesmo?
Mr. Vidal Mota: Isso. E aí, claro, alguns setores políticos, na Assembleia Legislativa, vão estar
trabalhando. E a ideia vai ganhar uma força suprapartidária no âmbito da região.
Interviewer: Entendi. Então, começou na universidade. Os primeiros estudos, você lembra
quais eram, em que áreas eram? Estudos pontuais, especificamente sobre como se dava relação
entre as cidades satélites de Sorocaba ou eram estudos mais estruturais?
Mr. Vidal Mota: O que eu partici... só falo estudos que eu participei lá nos idos de 2005/2006.
Era estudo maior, mais amplo sobre a região. Caracterização, uma justificativa técnica de que
ela deveria ser, mais do que uma aglomeração urbana, mas sim, o caráter de região
metropolitana.
Interviewer: E que profissionais estavam envolvidos nesse processo? Era a galera mais de
administração?
Mr. Vidal Mota: Ciências sociais aplicada, administradores, economistas e sociólogos.
Fundamentalmente esses tipos de profissionais, alguns juristas também. Também participaram
desse processo.
Interviewer: Como se deu a relação entre o Estado e a cidade de Sorocaba?
Mr. Vidal Mota: Os municípios em geral, tirando Sorocaba, há uma disparidade muito grande.
Nós temos uma diferente inter-regional muito grande. Muito forte. Você conhece bem. Você é
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daqui. Quando se fala em região metropolitana, você tem algo atrativo para os municípios, que
diz assim, “Olha, me parece que isso faz com que a região tem maior atenção do Governo do
Estado”. Em termos de implantação e desenvolvimento de políticas públicas. Então isso parece
uma coisa boa, então é algo que não traz no histórico até onde eu conheço, não houve
resistência. Então sendo por parte, sendo uma proposição do legislativo ou uma proposição do
executivo o projeto, até onde eu saiba, tenho acompanhado, não houve resistência, mas sempre
bem-vindo. Mesmo sem saber muito do que isso vai dar, do que isso implica em termos de
reestruturação da gestão local. Porque ela passa, a partir do momento que ela é metropolitana,
a ter sempre essa dimensão de que eu tenho pensado no município vizinho. Na elaboração,
implantação de políticas. Isso a região ainda tem pouca experiência, mas em termos de projetos,
em termos de adesão, se é isso que [advém] da sua pergunta, nós tivemos uma grande aceitação,
sim.
Interviewer: E como se deu a eleição de quais seriam os municípios que comporiam a região
metropolitana?
Mr. Vidal Mota: Pois é essa é uma discursão muito interessante, se dá por fatores políticos, não
dá para negar, mas segundo por uma questão de território mesmo. Então você tem uma
característica de composição de um território mais comum, onde um conjunto de elementos são
mais compartilhados. Como, serviços, emprego, habitação, a questões relacionadas à bacia
hidrográfica, também é um indicador importante desse processo. Telefonia, comunicação,
internet, essas infraestruturas de comunicação. Esses elementos que comarcam o território, de
alguma forma são articulados em termos do polo Sorocaba. Então, esse conjunto de 27
municípios passou por uma grande educação, por exemplo. Sorocaba até ainda hoje continua
sendo principal polo de atração de estudantes de toda a região. Simplesmente conhecendo um
técnico e superior, enfim. Então, há um processo, digamos assim, que vai se formando pela
própria dinâmica do desenvolvimento da região, que é protagonizada pela cidade Sorocaba,
pelo município de Sorocaba. Então essa influência direta. Agora, se formos olhar essa
influência direta de Sorocaba, vai além do que a gente tem do que se chama de região
metropolitana, até extrapola se a gente pensa em saúde, por exemplo. Se a gente pensa em
segurança pública, atuação do sistema da Polícia Militar, da Secretaria Segurança Pública do
Estado, sistema prisional. Você tem uma série de outras políticas que Sorocaba exerce uma
influência muito maior. Mas a região metropolitana aqueles que têm uma influência digamos
assim, direta.
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Interviewer: Quais serviços estão sendo mais ou menos afetados pela criação da região
metropolitana?
Mr. Vidal Mota: O mais impactado, ou seja, impactado não é negativo, mas o sistema de
transporte coletivo interurbano. Então neste momento, é o serviço que a gente tem mais
avanços, em termos de acertos, desde questões tarifárias, padronização de pontos de ônibus, de
veículos exigidos nesse transporte interurbano. A questão da saúde extrapola a região
metropolitana, a questão de educação também tem uma outra dinâmica, não tão dependente.
Mas transporte sim.
Interviewer: Saneamento básico, como funciona?
Mr. Vidal Mota: Aí também você tem uma atuação de uma outra arena que é o comitê de bacia.
Então, ele também extrapola a região metropolitana. Se a gente pegar Sorocaba-Tietê, nós
estamos falando da região ali de Ibiúna até Botucatu. Estamos falando de uma região muito
maior que de uma metropolitana. A questão de resíduos ainda, sólidos, é uma oportunidade
trabalhar em consórcio metropolitano, mas que ainda não é feito, cada município vem atuando
com seu tipo de contato, com seu tipo de execução dos serviços.
Interviewer: Pensando no ponto de vista dos municípios menores, quais são os maiores atrativos
que a região metropolitana pode trazer, seria a realização desses consórcios, seria a
possibilidade de maior aporte financeiro, de maior atratividade de investimento no Estado? Que
tipos de atrativos podem servir para esses municípios menores?
Mr. Vidal Mota: Podem ser muitos, podem ser poucos. Estamos falando de possibilidades
mesmo. Primeiro ao trazer a questão da região metropolitana, de um plano urbano,
desenvolvimento urbano integrado que a gente está trabalhando, é de reforças as
potencialidades de cada cidade. Uma cidade pequena, ela tem mesmo de vocação manter esse
perfil. Tem ali uma cidade que, muitas vezes é de segunda residência ou um público aposentado,
ela está mais focada na questão da terra, na produção agrícola, agropecuária, ou algumas
cidades que têm mesmo o potencial para crescimento, porque já está favorecida por alguns
equipamentos, por uma estrutura que pode ser potencializada e desconcentrar alguns aspectos
de atividades que já estão over, estão saturadas em outra cidade. Então, é possível uma cidade
manter esse perfil, mas ela também pode dentro do desenvolvimento da região, algumas terão
possibilidade de receber novos investimentos para a gente combater essa questão de saturação.
Se olharmos Sorocaba em alguns aspectos, algumas atividades que já estão saturadas. Então
pode pensar que a região está recebendo terminado tipo de atividade econômica.
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Interviewer: Perfeito. E se a gente pensar dentro do arranjo que foi criado, que desde 2015 até
hoje, que instituições foram ou estão sendo criadas para fundamentar a região? Temos Agência
que está sendo criada. Que tipo de outras agências?
Mr. Vidal Mota: Só Agência. É o passo fundamental. É o desafio que tem de curto prazo,
implantar Agência.
Interviewer: E o que já foi feito e que ainda precisa ser feito?
Mr. Vidal Mota: Dinheiro.
Interviewer: Só dinheiro?
Mr. Vidal Mota: O argumento do governo do estado que neste momento não há recursos.
Interviewer: A regulamentação, criação de leis...
Mr. Vidal Mota: Tudo, tudo. Já está tudo. Está aprovada [MS].
Interviewer: Ah, está aprovada?
Mr. Vidal Mota: Sim, sim. Agora falta nomear as pessoas. Fazer concursos. Todos esses
tramites para que ela caminhe.
Interviewer: Como que você vê a perspectiva para os próximos anos, do ponto de vista dos
serviços que serão criados? Você acha que a região metropolitana já gerou benefícios para a
população ou os benefícios ainda serão criados especificamente na criação da Agência?
Mr. Vidal Mota: Ah, já tem um benefício, a questão do transporte. Já tem na verdade para
estudante, da interurbano. Isso já é um benefício da região. Agora tem outro benefício, a questão
do DDD 15, não existe mais. Tudo ligação local. Então são duas conquistas importantes nesses
dois anos que já foi criada e um ano que existe além da Agência. Então, são avanços que
significam maior eficiência, melhores resultados para o cidadão. Isso já é um fato.
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Interviewer: Como que você veria, por exemplo, a existência de uma competição entre dois
municípios para determinada atuação da Agência Metropolitana da região de Sorocaba. Por
exemplo, conflitos de interesse entre dois municípios constantes dentro da mesma região. Como
seriam resolvidos? Seriam resolvidos a partir de uma mediação da Agência, do município de
Sorocaba, seria uma atuação do próprio Estado? Como que você veria a coordenação desses
agentes.
Mr. Vidal Mota: Fundamentalmente, estamos falando de dois municípios, estamos falando de
dois prefeitos. Então estamos falando de conselhos desenvolvimento da região metropolitana.
Essa é a forma. Então essa é a instância. A Agência tem papel? Tem. De coordenação,
articulação, de implantação de desenvolvimento de políticas. Agora se nós temos aí questões
de litígio entre um município e outro, é importantíssimo o papel do conselho. O conselho que
delibera sobre determinadas questões que afetam o território da região.
Interviewer: Como que funciona esse conselho? Ele é quinzenal?
Mr. Vidal Mota: Não, não. Ele tem reuniões no decorrer do ano. Tem reuniões ordinárias e
extraordinárias, mas ultimamente ele tem tido aí duas, três reuniões por ano.
Interviewer: Duas ou três por ano?
Mr. Vidal Mota: Exatamente. Não tem sido mensal. Mas creio que com a Agência, com o
surgimento de demanda, aprovação de orçamento, projeto, vai ter que reunir maior constante.
Porque ele é o arcabouço institucional fundamental. Que todos os prefeitos tenham pé de
igualdade.
Interviewer: E qual foi principal inspiração da Região Metropolitana de Sorocaba? Teve alguma
região específica na qual a gente se inspirou?
Mr. Vidal Mota: Nós temos um caso muito próximo que é Campinas e a Baixada Santista mas
entendendo o processo de macro metropolização, aí nós estamos dentro da macro metrópole
paulista. Estamos dentro dessa dinâmica, de que nós temos que pensar no momento urbano
integrado. Não dá mais para cada cidade ficar fazendo as suas políticas, olhando só para o seu
território.
