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Evolution of Dam Policies pp 13–53Cite as

Sustainable Dam Development in Brazil: The Roles of Environmentalism, Participation and Planning

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Abstract

The chapter explores the reforms of Brazil’s environmental and resettlement policies and the influence of domestic and external actors on its dam-related legislation and practices. It analyses two hydropower plant projects: Itaparica, built during the military regime; and Santo Antonio, a public–private project still under construction. The analysis begins with an overview of the relevance of hydropower to Brazil’s development plans since the military regime and of the central administration’s strategy of developing the country’s hydropower potential by maintaining a clean mix of energy sources for the supply of electricity. Domestic opposition to the authoritarian regime had culminated in the promulgation of a highly participation-oriented Constitution in 1988. The chapter then analyses decision-making processes in Brazil’s dam-related bureaucracy and the role allotted to civil society since then. By singling out two problem areas—Environmental Impact Assessment and resettlement—the chapter addresses changes in the normative framework and in practice. Case studies then consider these processes, taking Itaparica as a case where planning and participation did not lead to satisfactory implementation in resettlement terms; and Santo Antonio as a possible example for future projects as regards the involvement of affected people at earlier stages of the project cycle.

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Notes

  1. 1.

    As mentioned in several interviews (I05122008; I26122008; I30012009; I06022008; I12032009b; I13032009; I25032009; I22042009; phone call T11032009).

  2. 2.

    Diffuse interests or rights are those interests or rights shared by a group, class or an indeterminate category of individuals in the same situation.

  3. 3.

    A whole chapter of CF/88 (Title VIII, Chapter VIII, Articles 231 and 232) is dedicated to this subject.

  4. 4.

    Article 5 (LXXIII); Article 23 (VI); Article 24 (VI); Article 24 (VIII); Article 129 (III); Article 170, VI; Article 174, § 3º; Article 186 (II); Article 200 (VIII); Article 220 (II) and the whole of Chapter IV of Title VII (Article 225).

  5. 5.

    Also addressed by I30012009 and World Bank (2008, p. 37), which mentions the case of the UHE Itumirim, the Preliminary Licence for which was issued by the environmental agency of the state of Goiás, in view of the vagueness of the term “local/regional environmental impact”. Following a question by the Ministério Público the judicial authority decided in favour of this Ministry, and the process had to be restarted, this time conducted by IBAMA.

  6. 6.

    Kelman and Veras (2008) point to the most important constitutional provisions with respect to hydroelectricity and the construction of dams: Article 20 (VII); Article 21 (XXII (b)); Articles 21 and 175; Article 22 (IV); Article 49 (XVI); Article 176.

  7. 7.

    I25032009; I04032009; Costa (1997).

  8. 8.

    I05122008; I06022009.

  9. 9.

    I05122008.

  10. 10.

    See http://www.frenteambientalista.com. Accessed 04 July 2010.

  11. 11.

    I06022009; I12032009b; I29042009; I13032009; I12032009c. On the other hand, because personnel shortages in the State grew during the 1990s, the fact that the State looked for experts in specific fields where this know-how already existed is not a peculiarity of the environmental field.

  12. 12.

    I13022009a.

  13. 13.

    Banco do Brasil and Previ (Banco do Brasil’s pension fund) are also Neoenergia shareholders.

  14. 14.

    BNDES Joint-ventures.

  15. 15.

    The most important institutional innovations under the RESEB Project were the creation of the National Council for Energy Policy, with responsibility for proposing national energy policies, of the Brazilian Electricity Regulatory Agency as an independent regulatory entity, of the National Power System Operator, with responsibility for controlling power generation and transmission activities in the interconnected electricity system through a tight pool dispatch system, and of the Wholesale Electric Energy Market, responsible for undertaking all electricity purchase and sale transactions and for promoting the accounting of agents’ transactions in the multilateral short-term market under market rules.

  16. 16.

    For more details on the electricity supply crisis in Brazil, see Melo et al. (2009).

  17. 17.

    For more details on this new phase of the reform at the Brazilian ESI (and of the reform as a whole), see Correia et al. (2005, 2006), Melo et al. (2007), Melo et al. (2009), Araújo et al. (2008).

  18. 18.

    With the publication of Law 10848 and Decrees 5081, 5163, 5177 and 5184.

  19. 19.

    Agents who do not meet these requirements are liable to severe penalties.

  20. 20.

    The financing of hydropower plants was discussed with a total of 12 interviewees.

  21. 21.

    For more information, see da Costa (2002), Mallaby (2004).

  22. 22.

    In a “project finance” procedure, the loan guarantee accepted by the banks is the project cash flow, whereas in the case of “corporate financing” banks ask project developers for corporate guarantees, such as stocks. In view of the size of this type of project, the more project developers become involved in different projects, the fewer corporate guarantees each has to provide.

  23. 23.

    I13022009b; T23072009 (see Law 9605/1998 and Law 6938/1981).

  24. 24.

    According to I06022009, this list consisted of 45 projects.

  25. 25.

    In accordance with Article 5 of Law 9074/1995.

  26. 26.

    In respect of expected costs, budget and prices.

  27. 27.

    I06022009. In this case, the cost of all alternative studies is reimbursed to the agents who financed them.

  28. 28.

    For more details, see MME (2007, 2008a, b) and EPE (2006).

  29. 29.

    I04032009.

  30. 30.

    I13022009b; I13032009.

  31. 31.

    I26122008; I04032009; I06022009; I30012009.

  32. 32.

    I16012009; I12022009.

  33. 33.

    I05122008.

  34. 34.

    Previously undertaken by Eletrobras and now by MME/EPE.

  35. 35.

    For more details, see EPE (2006).

  36. 36.

    Given the differences between AAI and Strategic Environmental Evaluation, an AAI would be what the World Bank considers to be a sectoral Strategic Environmental Evaluation (I12022009).

  37. 37.

    For more details, see EPE (2007).

  38. 38.

    I12022009.

  39. 39.

    A sign of international norm diffusion, in this case mainly through environmentalists who worked in the administration.

  40. 40.

    More information about National System for the Management of Water Resources may be found in Braga et al. (2008).

  41. 41.

    Known as the “Water Law”, which also instituted the National Policy for Water Resources (PNRH).

  42. 42.

    Law 6938/1981.

  43. 43.

    Law 7735/1989.

  44. 44.

    Law 7804/1989.

  45. 45.

    Resolutions CONAMA 01/86 and 11/86.

  46. 46.

    Resolution CONAMA 237/97.

  47. 47.

    The payment of this compensation is obligatory for projects deemed to be responsible for significant environmental impacts. It is allocated to the financing of conservation areas/units from the integral protection group which may also be created as a result of the licensing process.

  48. 48.

    According to I06022009, although the Ministério Público (MPF 2004) argues that these institutions and others (e.g. Cultural Foundation Palmares) should be more involved at this stage.

  49. 49.

    Article 2 of Resolution CONAMA 09/87.

  50. 50.

    Norway, Colombia, Indonesia, Germany, China and Canada.

  51. 51.

    I30012009.

  52. 52.

    I25032009; I06022009.

  53. 53.

    I30012009.

  54. 54.

    I16012009; I30012009.

  55. 55.

    I30012009; I13022009b.

  56. 56.

    I30012009.

  57. 57.

    More details about the rubber-tapper movement may be found in Hochstetler and Keck (2007).

  58. 58.

    I29042009.

  59. 59.

    Law 9785/1999; Provisional Measure 2183-56/2001; Law 11977/2009 updating Decree-Law 3365/1941; Law 2786/1956; Law 4686/1956; Decree-Law 856/1969; Law 6071/1974; Laws 6306 and 6602/1978.

  60. 60.

    I06022009; I12032009a.

  61. 61.

    This problem of over-representation was also addressed by I22042009.

  62. 62.

    This reflection can be attributed to the discussions with I29042009.

  63. 63.

    Installed in April 2004 (Casa Civil da Presidência da República 2004).

  64. 64.

    Decree 7342, of October, 27th 2010.

  65. 65.

    I12032009b.

  66. 66.

    I30012009; I25032009.

  67. 67.

    I05122008; I30012009; I16012009; I13022009b; I25032009.

  68. 68.

    I16012009; I30012009.

  69. 69.

    I05122008; I30012009.

  70. 70.

    I16012009.

  71. 71.

    I06022009; I04032009.

  72. 72.

    I30012009; I13022009b.

  73. 73.

    I30012009; I06022009; I12032009a.

  74. 74.

    I12022009.

  75. 75.

    I05122008; I16012009; I26122008.

  76. 76.

    I16012009.

  77. 77.

    I06022009; I12022009.

  78. 78.

    I12032009b.

  79. 79.

    I05122008.

  80. 80.

    I16012009; I13022009b.

  81. 81.

    I30012009; I06022009.

  82. 82.

    I12022009; I13022009b.

  83. 83.

    I05122008; I26122008; I12022009; I13022009b; I12032009b.

  84. 84.

    I30012009.

  85. 85.

    I06022009.

  86. 86.

    I30012009.

  87. 87.

    I16012009.

  88. 88.

    Like illegal mining or sand removal.

  89. 89.

    I05122008; I12022009; I16012009; I30012009; I06022009.

  90. 90.

    I12022009.

  91. 91.

    I05122008.

  92. 92.

    I13022009b; I12032009b.

  93. 93.

    I05122008; I16012009; I26122008.

  94. 94.

    I16012009; I12032009b.

  95. 95.

    I30012009.

  96. 96.

    I16012009; I30012009.

  97. 97.

    I16012009; I12022009; I13022009b.

  98. 98.

    I16012009; I06022009; I12022009.

  99. 99.

    I05122008; I26122008.

  100. 100.

    I12022009; I13022009b.

  101. 101.

    Conta 10 is a component of the budget structure used by the EPE and Eletrobras to estimate the cost of future hydropower plants.

  102. 102.

    Its name changed to UHE Luiz Gonzaga, as a tribute to a regional and renowned musician.

  103. 103.

    See http://www.chesf.gov.br/portal/page/portal/chesf_portal/paginas/sistema_chesf/sistema_chesf_geracao/conteiner_geracao?p_name=_Luiz_Gonzaga. Accessed 18 August 2010.

  104. 104.

    This categorisation became possible with paragraph VI in the Article 2 of Law 9478/1997 under Law 10848/2004.

  105. 105.

    The EIA is a very detailed document, rich in information, having more then 1,500 pages plus annexes, maps, figures, etc. and an additional 321 pages describing environmental (including social) programmes.

  106. 106.

    The RIMA is designed as a shorter, summary version of the EIA. The one carried out for this project is 82 pages long.

  107. 107.

    T18092009.

  108. 108.

    T180909. This experience inspired the production of a documentary film called “Vozes do Madeira” (The Madeira’s Voices) available at http://www.cemig.com.br/cemig2008/content/campanhaspublicitarias/empreendimento_santo_antonio.asp. Accessed 19 September 2009.

  109. 109.

    I14092009; T18092009.

  110. 110.

    T18092009.

  111. 111.

    The last of these events, which are listed in Table A.II.1 on pages II-13–15 Tomo A, Volume 1 of EIA (Leme 2005b), was held in September 2004.

  112. 112.

    Mitigation measures for this issue also form part of the 36 additional requirements attached to the Preliminary License (IBAMA 2007).

  113. 113.

    The consideration of these principles is also mentioned in the documentary film, “The Madeira’s Voices” available at http://www.cemig.com.br/cemig2008/content/campanhaspublicitarias/empreendimento_santo_antonio.asp. Accessed 19 September 2009.

  114. 114.

    T180909.

  115. 115.

    For more information, see http://www.santoantonioenergia.com.br. Accessed 19 September 2009.

  116. 116.

    Some interviewees also claimed that the WCD recommendations had had a wider effect in that it had reached a normative and even a material level. Something of a normative effect was detected in the planning of the energy sector, where the WCD recommendations had been used as a reference in the adoption of premises, criteria and procedures, although there is no agreement on all the recommendations (I12022009). Some best practices have been adopted by the electricity sector, but this had already been a trend before the WCD published its recommendations and was not necessarily due to its work (I12022009; I13032009). A material effect was mentioned by one interviewee, who believed that it was due to the WCD report that investment in new hydropower plants had risen, as the growing number of hydropower projects under construction worldwide showed (see World Bank 2009).

  117. 117.

    I16012009; I30012009; I06022009; I13032009; I25032009.

  118. 118.

    I13022009a; I12032009b.

  119. 119.

    I06022009.

  120. 120.

    Through special purpose companies.

  121. 121.

    Through the obtention of preliminary license (the most critical license) prior to the energy auctions.

  122. 122.

    As presented by Bernardo (2001).

  123. 123.

    As addressed by Lopes (2000).

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Acknowledgments

There is a large number of people whom I had the pleasure to interview and therefore contributed incommensurably to the end result of this chapter and to the conclusions I came to. I would like to first express my deep appreciation to them—thank you for your time, availability and willingness to share with me your experiences and opinions. I would also like to thank Marisete Pereira, Marcio Zimmermann, Dr. Elbia Melo and Dr. Maritta Koch-Weser for their constant encouragement and intellectual contributions in developing this text. Finally, a big thanks goes to Dr. Albert Cordeiro Geber de Melo who has supported my first presentation on this issue.

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  1. Brazilian Ministry of Mines and Energy, Brasília, Brazil

    Agnes da Costa

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  1. Environmental Policy and Natural Resources Management, Deutsches Institut für Entwicklungspolitik, Bonn, Germany

    Waltina Scheumann

  2. School of Social Sciences, Northumbria University, Southampton, United Kingdom

    Oliver Hensengerth

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da Costa, A. (2014). Sustainable Dam Development in Brazil: The Roles of Environmentalism, Participation and Planning. In: Scheumann, W., Hensengerth, O. (eds) Evolution of Dam Policies. Springer, Berlin, Heidelberg. https://doi.org/10.1007/978-3-642-23403-3_2

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