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Este blog trata basicamente de ideias, se possível inteligentes, para pessoas inteligentes. Ele também se ocupa de ideias aplicadas à política, em especial à política econômica. Ele constitui uma tentativa de manter um pensamento crítico e independente sobre livros, sobre questões culturais em geral, focando numa discussão bem informada sobre temas de relações internacionais e de política externa do Brasil. Para meus livros e ensaios ver o website: www.pralmeida.org. Para a maior parte de meus textos, ver minha página na plataforma Academia.edu, link: https://itamaraty.academia.edu/PauloRobertodeAlmeida.

sexta-feira, 14 de julho de 2017

Rising Powers Quarterly: Brazil's rollback - Andres Malamud

Parece que todo mundo aponta o dedo para o Brasil e diz:
"Querida, encolheram o Brasil!"
Tem um ex-chanceler, que inventou a tal de ativa e altiva -- e que também participou de alguns episódios ainda nebulosos dessa fase -- que vive dizendo que o Brasil se retirou para o seu cantinho.
Existe sim um retraimento, compatível, provavelmente, com a crise econômica desastrosa criada pelos companheiros, que simplesmente destruiram a economia, e mais do que isso, retiraram toda credibilidade externa ao Brasil pelo VASTO, ENORME espetáculo de CORRUPÇÃO que eles protagonizaram. Bando de salafrários.
Paulo Roberto de Almeida
Brazil: Geopolitical Challenges in a Multipolar World - Rising Powers in Global Governance:
 RISING POWERS QUARTERLY
Volume 2, Issue 2, May. 2017


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Brazil: Geopolitical Challenges in a Multipolar World

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Foreign Policy Retreat: Domestic and Systemic Causes of Brazil’s International Rollback

Abstract

Brazil’s rise was a globally acclaimed phenomenon that took place under two consecutive administrations: Fernando Henrique Cardoso (1995-2002) and Lula (2003-2010). Under Dilma Rousseff (2011-2016), though, Brazil’s foreign activism declined dramatically and its international visibility lost luster. This was due to a combination of domestic and systemic factors. This paper identifies these factors and gauges their influence in order to answer a main question: is there anyone to blame or was Brazil’s international rollback bound to happen?

Keywords

Introduction

On September 26, 2016, a historic summit took place in the Caribbean resort city of Cartagena. More than a dozen heads of state, twenty-seven foreign ministers and ten top representatives of international organizations met to witness the signature of a peace agreement between the Colombian government and Colombian Revolutionary Armed Forces (FARC), the oldest insurgent organization in Latin America. The presidents of Argentina, Cuba and Mexico among others, the emeritus king of Spain, Norway’s foreign minister and the secretary general of the UN applauded as president Santos and guerrilla leader Timochenko shook hands. Through live TV broadcasting, the world watched one of the most momentous political events that the region had undergone in decades. It is possible that Brazil’s president, Michel Temer, had been among the viewers since, to be sure, he was not present at the ceremony. Brazil, South America’s putative leader, was absent as its neighbors celebrated the end of the region’s most protracted conflict. Something was wrong.
Between 1995 and 2015, Brazil seemed to emerge as a regional leader and global power (Bethell 2010; Burges 2007; Reid 2014). Brazil’s rise in the region was incarnated in the concept of South America – as opposed to Latin America –, which was masterminded in the 1990s as a response to the North American Free Trade Agreement (NAFTA) led by the United States, and institutionalized in the 2000s through the Union of South American Nations (UNASUR). Brazil’s rise on the global stage was embodied in such acronyms as BRICS (a grouping of large developing economies comprised of Brazil, Russia, India, China, South Africa), IBSA (the three largest democracies of the South: India, Brazil, South Africa), and the environmentally-oriented BASIC (Brazil, South Africa, India, China). Brazil’s emergence was a combined outcome of domestic stabilization, a pro-active foreign policy, a lucky streak of outstanding national leaders, and a permissive international environment. Yet, just when these conditions seemed deep-rooted and Brazil’s rise was taken for fact (Gardini and Tavares de Almeida 2016), everything changed. Two covers of The Economist, the first run in 2009 (“Brazil takes off”) and the second in 2013 (“Has Brazil blown it?”), illustrated the country’s reversal of fortune. A third one (“The betrayal of Brazil”), published in 2016, meant to be the last nail in the coffin.
What had happened? This paper addresses this question in three steps. First, I describe the permissive environmental conditions that allowed for Brazil’s breakthrough onto the global center stage. Second, I examine the domestic resources Brazil was able to mobilize in order to raise its international profile. Finally, I analyze how both environmental conditions and power resources exhausted themselves, which converged with poor leadership to bring about foreign policy retreat.

Systemic Opportunities for Brazil’s Rise1

For a rising power, the permissiveness or restrictiveness of the international system is determined by two factors: polarity and rivalry. Polarity refers to the number of powers that determine the structure of interaction, whether unipolar, bipolar or multipolar. Ceteris paribus, the more the powers the more permissive the system. Rivalry refers to the degree to which the established powers are hostile or friendly to the rising power. This means that opportunities for peaceful rise, especially of middle or regional powers, are expected to improve with multipolarity and when other powers see the newcomer as a potential partner rather than a threat.
In 1991, two events prepared the launching pad for Brazil to take off. At the regional level, the signature of the Asunción Treaty gave birth to Mercosur, a trade deal that upgraded previous agreements with former rival Argentina, bring Paraguay and Uruguay into the group and secured Brazil’s back. At the global level, the collapse of the USSR meant the epitaph of bipolarity and opened the way, after the unipolar moment, for regional and middle powers to step into the forefront.

Regional Rise

Brazil’s peaceful relations with its neighbors are a consequence of having demarcated all its borders at the beginning of the twentieth century. A satisfied country facing no territorial claims, it could afford to build a security tradition based on the absence of strategic enemies. However, the regional scenario used to be far from idyllic.
Until 1979, Argentina was seen as a major security threat, and the possibility of a military confrontation shaped the mission of the Brazilian armed forces. This perception began to change when both countries, under symmetric military rule, signed an agreement on the shared Paraná river basin (Resende-Santos 2002). The following democratic regimes deepened this cooperation path by signing several agreements covering nuclear to trade issues. In 1991, the Common Market of the South (MERCOSUR) was established, and the historic rivalry between Argentina and Brazil was turned into full-fledged regional cooperation. As Argentina ceased to represent a threat, the Amazonian region began to be identified as the main security concern. Following several publications issued by military agencies, a new approach became official in 1996 with the publication of the National Defense Policy (Battaglino 2013). The mission assigned to the Brazilian military was based on a scenario of asymmetric resistance against an extra-regional power intervention in the Amazon, as expressed in the 2005 update of the National Defense Policy and in the National Defense Strategy, issued in 2008. Extra-regional powers are never named but off-the-record statements point to the United States as the greatest source of concern. The national strategy focuses on the Amazon as well as on the so-called Blue Amazon, Brazil’s immense sea shelf and its oil reserves whose recent discovery has influenced the country’s strategic orientation. This involves not only the army but also the navy and air force, who should have conventional capabilities to deny hostile forces the use of the sea and to secure local air superiority (Brasil 2008). Two goals are constant throughout all official documents: keeping the equilibrium between the three forces and fostering the modernization of the military arsenal, often with an eye on the development of indigenous technology.
The absence of enemies in the neighborhood, together with the nonexistence of nuclear powers, have crystallized into a relatively secure environment in which transnational crime is sometimes more pressing than strategic threats. Indeed, trans-border issues such as drug-trafficking and arms-smuggling are increasingly sensitive. Other non-military troubles have sporadically emerged in the neighborhood, such as the negative externalities of domestic instability in contiguous states or the unfriendly nationalization of Brazilian state utilities. The White Book on National Defense, issued for the first time in 2012, reflects the country’s overlapping defense, security and development concerns (Brasil 2012). A significant factor behind this amalgamation is the developmentalist ideology of the ruling coalition, which benefitted from low levels of threat perception to promote the inclusion of the defense area into a national development strategy.
The amalgamation of sectoral interests and policy areas has blurred the priorities of the defense agenda. Hence, the White Book lists four key areas: the (Green) Amazon, the Blue Amazon, the South Atlantic Ocean, and the western shore of Africa. Besides the precedence of responsibility over differentiated geographic areas, each military force has been assigned functional responsibilities: the Air Force is in charge of air control over the Green Amazon and space projects; the Army is responsible for border control and localized intervention in the hinterlands, as well as cyberspace; and the Navy remains in command of the Blue Amazon and its pre-salt oil resources, but also of the country’s nuclear development including its crown jewel, the projected nuclear-powered submarine. As it turns out, organizational politics and developmentalist goals have influenced defense planning no less than strategic priorities.
Besides development, another constant in Brazil’s foreign policy has been the quest for autonomy, whose contours have adapted to changing times. While the country’s stance during the Cold War was labeled “autonomy through distance” vis-à-vis foreign powers and regional rivals, in the first decade after the fall of the Berlin Wall the country’s diplomacy promoted “autonomy through participation” in international institutions and regional organizations (Fonseca Jr. 2004). When Lula came to power in 2003, Brazil’s foreign policy acquired a moderately revisionist tone that was dubbed “autonomy through diversification” of partners and arenas (Vigevani and Cepaluni 2009). “Autonomy through distance” was the diplomatic expression of Brazil’s developmentalism, under which the country accepted the demand for alignment with the United States while trying to use it as bargaining chip for economic advantages. Likewise, “autonomy through participation” implied the adherence to international regimes in order to leverage, not impair, the country’s foreign policy leeway. “Autonomy through diversification” sought the adherence to international norms by means of South-South and regional alliances in order to reduce asymmetries with the developed countries, thus always wedding the quest for autonomy with the goal of development. Unlike most other world regions, security issues were downplayed or combined with other priorities. This calls for attention to context and history, as “where wars have been rare, power has perhaps a softer meaning than elsewhere, and policy options may thus be framed differently” (Malamud 2011: 4). As Hurrell (1998) argues, South America “provides important grounds for doubting that regional ‘anarchies’ are everywhere alike.”
In the current Brazilian view, South America is not just a geographical region (different from Latin America as a whole) but also an autonomous political-economic area, given that U.S. influence recedes as distance from Washington increases. Brazil’s elites consider this subregion to be within the country’s natural sphere of influence (CEBRI-CINDES 2007; Souza 2009), although this perception has slightly changed its value load in recent years as the region was increasingly regarded as a burden rather than an asset (Malamud 2011).
Following Merke (2011), Latin America can be characterized by features that are accentuated in South America. First, in almost two centuries no state has disappeared and only one has been born. Second, the principle of Uti Possidetis (as you possess, you may possess) was agreed on even before the independence from Portugal and Spain and allowed state borders to be delimited much more peacefully than in Europe. Third, Latin America is the world region that contains the most bilateral and multilateral agreements related to the peaceful settlement of conflicts (Holsti 1996; Kacowicz 2005), as well as the “world record of adjudication and arbitration” (Kacowicz 2004: 199). International comparison is stunning: while “there have been some twenty-two instances of legally binding third-party arbitrations or adjudications with respect to sovereignty over territory in Latin America…, similar rulings apply to only one small case in continental Europe…; two among independent states in Africa; two in the Middle East; and three in Asia, the Far East, and the Pacific” (Simmons 1999: 6-7). Fourth, as mentioned, Latin America is a nuclear-weapon-free zone. In summary, state survival has been virtually guaranteed, wars have been rare, and legalization of disputes has been the norm. This does not mean that political violence has been eradicated, but either “there has been a limited conception of force within a strong diplomatic culture” (Hurrell 1998: 532; also Mares 2001) or it has been confined within – as opposed to across – borders (Martin 2006). Therefore, security has acquired a more domestic than international connotation. Brazil is a product of this historical and geographical environment, and as such it carries more resemblances to its neighbors than to either the traditional European states or the new emerging powers.

Global Rise

Brazil’s strategic ambitions were marked by two events. First, the country reverted its longstanding policy of non-interference by contributing troops to, and even assuming the leadership of, the UN Stabilization Mission in Haiti (MINUSTAH), which was established in 2004. Second, it took global center stage in 2010 when, together with Turkey, it sealed a nuclear fuel swap deal with Iran. Indeed, the turning down of the deal by the UN Security Council marked the beginning of the end of Brazil’s international apogee.
In the economic realm, the factor that most boosted Brazil’s foreign reputation was its promotion as a BRIC country (Armijo 2007). A report by the investment firm Goldman Sachs predicted that the combined economies of the BRIC countries would eclipse those of the current richest countries of the world by 2050 because of their rapid growth rates. The report did not advocate the creation of an economic bloc, but eventually the four countries sought to form a “political club” and convert their economic power into geopolitical stature.
Brazil has also shown skills in the realm of commercial negotiations. Although the current World Trade Organization (WTO) round has stagnated, a new collective actor has emerged from it: the Group of 20 (Trade G-20). This bloc of 20-odd developing nations brings together 60 percent of the world’s population, 70 percent of its farmers, and 25 percent of world’s agricultural exports. Its origins date back to June 2003.
The expansion of the Group of Eight (G-8) to the Outreach Five or Plus Five (Brazil, China, India, Mexico, and South Africa), known as the Heiligendamm process and started in 2008, was a further moment for Brazil to celebrate its global rise. Eventually, the country also became a member of the Finance G-20 (more formally, the Group of Twenty Finance Ministers and Central Bank Governors), a group of 19 of the world’s largest national economies plus the European Union.
As to the soft aspects of Brazil’s international activism (Flemes 2007), IBSA became a cornerstone. A limited and “principle-oriented” grouping, the acronym refers to the trilateral developmental initiative between India, Brazil, and South Africa to promote South-South cooperation and exchange that was launched in 2003. This group was publicized as bringing together the largest democracies on every continent of the Southern Hemisphere (Saraiva 2007). It therefore conveyed more powerfully than the BRIC the Brazilian foreign policy banners, such as democracy, respect for human rights, and the peaceful resolution of conflicts.
An even more ambitious dynamic was reiterated at the Copenhagen Summit on Climate Change in December 2009, when the leaders of China, India, Brazil, and South Africa negotiated the final declaration with U.S. president Barack Obama to the exclusion of the European Union, Russia, Japan, and other global powers.
A last conspicuous sign of international recognition of Brazil as an emerging power and regional representative was the European Union’s 2007 invitation for a “strategic partnership.” This is notable because the EU had been reluctant to engage other Latin American countries – especially those of MERCOSUR – individually. The times seemed ripe for Brazil to be considered as a global actor.

Brazil’s Domestic Resources2

Social power, or the capacity to make others do something they would not otherwise, rests on three types of resource: coercive or political, material or economic, and persuasive or symbolic (Poggi 1990; Baldwin 2013). In international relations, the first two are often paired, giving rise to a twofold classification: “hard power” is based on the utilization of structural (that is military or economic) means to influence the behavior or interests of others, while “soft power” refers to the ability to achieve one’s goals through co-optation and attraction rather than coercion or payment (Nye 1990). Ideas, institutions, and exemplary behavior or performance are the main instruments of the latter kind of power. As impressive as Brazil may look to the untrained eye, its hard power is often overestimated and most of its international achievements are based on the soft power deployed by its resourceful diplomacy (Burges 2008).
Despite its vast territory, relatively large armed forces and considerable defense budget, the highest in Latin America, Brazil is not – and has no intention of becoming – a military power. Instead, it describes itself as a peace-loving, law-abiding, and benign power (Lafer 2001; Brasil 2008); in the global scale it is a military lightweight. Brazil does not have, nor according to its Constitution is it allowed to have nuclear weapons, which sets it apart from both the established and emerging powers. Despite being the fifth country in the world by area and population and the seventh by the size of its economy, it is not ranked among the top-10 states when it comes to military personnel, military expenditure, arms exports or imports, or participation in peace operations (SIPRI 2012). Moreover, when measured as a proportion of GDP, its military spending is considerably lower than other South American states such as Chile and Colombia (Figure 1).

Figure 1: Military expenditure as % of GDP, selected South American countries, 1994-2016



Source: Elaboration by Júlio Cossio Rodriguez from data of SIPRI (2016).

Brazil also lacks the economic leverage to buy its way into regional or global leadership. Economic growth has been somewhat low and inconsistent even during Lula’s much-praised decade (Figure 2), and it ranks at the bottom amongst the emerging markets. Physical infrastructure is scant and aging (The Economist 2013), threatening to become a bottleneck for development and a drain on national resources. Furthermore, the country’s position in education, innovation and competitiveness rankings is gloomy. This has raised recurring fears of “the curse of the hen’s flight,” which describes “the centuries-old succession of brief periods of strong economic growth followed by phases of stagnation and depression” (Valladão 2013: 89).

Figure 2: Brazil GDP Growth Rate, 2004-2016


Source: World Bank Data (GDP growth, constant 2010 USD).
Unlike Germany’s position in Europe, Brazil is the largest Latin American economy but not the richest. Argentina, Chile, and Uruguay rank consistently higher in terms of GDP per capita and human development, and Mexico and Venezuela do so intermittently depending on oil prices. As a consequence, Brazilian politicians have found it extremely hard to sell domestically the importance of money transfers to neighboring countries, as this would entail sacrificing poor Brazilians to benefit wealthier foreigners.
Given the shortage of hard power resources, Brazil is one of the few emerging countries to have staked its future on soft power (Burges 2008; Sotero and Armijo 2007). This is based primarily on diplomacy, on the wise use of its cultural charm, and on its growing role as a facilitator and cooperation supplier. Successive administrations have put diplomacy to profitable use, managing to translate scale into influence. They have sat Brazil at every negotiation table to address issues as diverse as climate change, world trade, nonproliferation or cooperation for development. In the region, Brazilian envoys have often mediated in third party conflicts through the least intrusive means available. As is proudly said in Itamaraty, the foreign ministry palace, Brazil has a “diplomatic GDP” that exceeds its economic one: in other words, it can punch above its weight because of the high quality of its professional diplomacy. Yet, it was presidential diplomacy that turned out to be decisive in fostering the country’s international reputation (Malamud 2005; Cason and Power 2009). No other country can boast a lucky streak of two exceptional presidents over sixteen consecutive years, plus the initial hopes raised by the election of the first ever woman as president. World class scholar Fernando H. Cardoso and iconic metal worker Luiz Inácio Lula da Silva became symbols, in themselves, of a vibrant and progressive society. Moreover, both of them manifested an impressive dexterity at foreign policy management. Three able foreign ministers, two of which were professional diplomats, contributed to endowing Brazil with towering global prestige. Alas, lucky streaks do not last forever.
Inaugurated in January 2011, Dilma Rousseff was Lula’s choice as the candidate of the incumbent Workers´ Party. Most observers believed that she would follow in his steps, whether on domestic or foreign policy issues. In keeping Lula’s top foreign policy advisor, Marco Aurélio Garcia, Dilma hinted at continuity. However, her visible lack of charisma and her disinclination towards foreign affairs had led analysts to suggest that her foreign policy would be “less of the same” (Malamud 2011). Both handicaps could have been compensated by an able foreign minister empowered by presidential delegation (Amorim Neto and Malamud, forthcoming); yet, Dilma chose a different path. If Lula had only one foreign minister in eight years, Dilma had three in five years – and never fully trusted any of them. Foreign policy retreat was built into the president’s personality; yet, the rollback of Brazil on the global stage was not only due to poor leadership. Dilma’s mismanagement of foreign policy (Cervo and Lessa 2014) combined with structural conditions, both systemic and domestic, that were already becoming unfavorable to Brazil.

The Underlying Causes of Brazil’s International Rollback

The end of Brazil’s golden age does not hinge on a single cause but on a combination of six. As shown above, they can be classified according to two criteria: the opportunities or restrictions provided by the international system, and the type of domestic resources involved. Table 1 displays the resulting matrix of conditions.

Table 1: Matrix of Conditions for Brazil’s Rise



Outcomes Depend On


Opportunities
(Structure)
Resources
(Agency)
Dimensions of social powerPolitical
(Coercive)
Existence of an alternative world power to the hegemonMilitary and technological superiority
Economic
(Material)
Global markets’ demand for Brazilian manufacturesDiversified and competitive productive structure
Ideological / Normative
(Symbolic / Persuasive)
Global space for innovative, green, soft, gentle powersAppealing cultural production and inspirational leadership
The political opportunities for Brazil to rise have been studied in depth by Rodriguez (2012, 2013). He shows that every time that the country increased its international prominence throughout the twentieth century, the underlying reason was the margin of autonomy allowed for by the emergence of a contending power to the global hegemon. Nazi Germany during the interwar period, the USSR at the apogee of the Cold War, and China at the beginning of the 2000s created the conditions, by either holding or distracting the US, for an otherwise weak regional power to intrude into global affairs. If this analysis is correct, China’s current retraction and its unwillingness to geopolitically challenge the US (Urdinez et al 2016) set a limit to how far Brazil can or will dare to go. The only chance to recreate an enabling environment would be for India to come forward as a global power that challenges the status quo, a highly unlikely event in the foreseeable future.

Figure 3: Composite Index of National Capability (CINC), selected countries, 1960-2012


Source: elaboration by Júlio C. Cossio Rodriguez from data of Singer et al (1972, v5.0).
Economic opportunities determine how Brazil connects its productive structure with global markets. By the mid-twentieth century, it did so as a dessert producer: sugar, cocoa and coffee made up to 85% of its exports. After the so-called economic miracle of the early 1970s and the currency stabilization of the early 1990s, Brazil became an exporter of manufactured goods, with the latter accounting for 60% of total exports. After that, the emergence of China led to a reprimarization of exports (Figure 4a) – and, in relative terms, of production. China displaced the developed economies of the West, mainly the US, as the center of a new dependent relationship where Brazil occupied the same peripheral position as ever. Henceforth, Brazil’s emergence as an agricultural powerhouse had deleterious effects upon its productive structure. When China’s growth halved, in the 2010s, Brazil’s economy plummeted (Figure 4b). An international opportunity had inadvertently turned into a restriction.

Figure 4a: Brazil-China Asymmetric Interdependence

Figure 4b: Brazil-China Growth Correlation


Source: elaboration by Joaquim Cadete from data of the World Bank and Brazil’s Central Bank.
Ideological/normative opportunities are more slippery than political and economic ones. After Trump’s retreat from the Trans-Pacific Partnership (TPP) and his threat to withdraw from the Paris climate agreement, it is less clear than ever whether there exists a global demand for softer, greener, gentle powers – even less whether there is still appeal in boasting to be a “rainbow nation.” In the new perplexing scenario, it is hard to see how Brazil could insert itself successfully into a new, attractive narrative.
Domestic resources do not foster optimism either. The geopolitical resources Brazil counts on are reduced. A military dwarf in global terms, it devotes less than 1.5% of its GDP to defense. Brazil’s troops numbered around 320,000 in 2012, a figure closer to those of its smaller neighbors than to those of the world´s great powers (Figure 5). Furthermore, as more than 80% of the military budget is spent on salaries and pensions (FIESP 2011), logistical means are both inadequate and antiquated. Plans to build a nuclear-powered submarine have been allegedly underway since 2008, when a contract was signed with France. However, there are no prospects that the project will be completed before 2027 – if ever. Given Brazil’s military weakness, its only advantage is that it faces no strategic threats. Yet, its low military investment means that the country is unable to project force or influence strategic decisions far away from its own borders.

Figure 5: Military personnel in selected countries, 1930-2012


Source: elaboration by Júlio C. Cossio Rodriguez from data of Singer et al (1972, v5.0).
Economic resources are also scarce. Participation in global trade is much smaller than the country’s world share of GDP or population: it stands slightly over 1% vis-à-vis 3%, a figure lower than fifty years ago that puts the country at 22nd in world rankings (WTO 2012). The re-commodification of the economy and exports (Figure 6a), together with the asymmetric association with China, has become a burden for development. Underdeveloped infrastructure, technological backwardness, and limited innovation compound a gloomy picture (Figure 6b). Without either a productivity revolution or the advent of a new giant market for its commodities, Brazil’s economy is not expected to reach consistent growth in the coming years.

Figure 6a: Brazilian Exports by Economic Sector, 1964-2012


Source and elaboration: MDIC/SECEX

Figure 6b:


Source: http://www.economist.com/news/special-report/21586680-getting-brazil-moving-again-will-need-lots-private-investment-and-know-how-road, accessed 5 July 2017.
Finally, soft resources of power have been depleted. If humanitarian interventionism or international cooperation for development were once thought of as a means for regional leadership and “global protagonism” (Harig and Kenkel 2017; Pinheiro and Gaio 2016; Stuenkel 2011), those times seem to be over. Dilma drastically reduced the budget for humanitarian assistance and cooperation aid already in 2013 (Figure 7), and her successor continued this trend. The unhappy end of Rousseff’s mandate, which combined her lackluster performance with the darker reputation of her accusers, not only stained Brazil’s standing abroad but also produced an inward looking reflex that manifested itself in a wider retraction from global affairs. Even though Brazilian citizens chair important organizations such as the WTO and the Food and Agriculture Organization (FAO), Itamaraty’s influence has receded to unexpected magnitudes.

Figure 7: Brazil’s Humanitarian Donations to African Countries, 2010-2014


Source: http://www1.folha.uol.com.br/mundo/2015/03/1606466-brasil-recua-e-reduz-projetos-de-cooperacao-e-doacoes-para-a-africa.shtml, accessed 2 July 2017.
The rise of Vice President Michel Temer to the presidential office, which followed the ousting of Rousseff through congressional impeachment, was the last nail in the coffin of a twenty-year period of international prestige. Not only was Brazil nowhere to be seen when most of the Latin American presidents and several world leaders convened in Colombia to witness the signature of the peace agreement between the government and the FARC, but a few months later Temer declared that he would not attend the 2017 summit of the G20 in Germany due to domestic issues. On the international stage, Brazil no longer bites, nor does it kiss.

Conclusion

Insufficient resource endowment and cumulative policy mistakes mounted over increasingly unfavorable international conditions to produce foreign policy retreat and, ultimately, Brazil’s international rollback.
A permissive systemic structure took root between 1991 and 2011: the end of the Cold War, the emergence of China, and a global appetite for softer forms of power fostered Brazil’s rise. The rainbow giant seized the opportunity by capitalizing on its material – mainly natural – and symbolic – mainly cultural – charm, potentiated by shrewd presidential and professional diplomacy, to get a seat at every negotiating forum that opened up. However, its domestic resources were exhausted almost at the same time as the international conditions reverted to unfavorable, mostly due to the global financial crisis and China’s change of development model. The combination of unfavorable conditions at home and abroad determined Brazil’s drastic rollback from the international stage.
True, Brazil still is – and is expected to continue to be – a large country, a regional power, and an actor with a global voice. If demography is destiny, Brazil will eventually rebuild an international position of prestige for itself. In the foreseeable future though, its chances to become a regional leader or a global power are rather dim.

Notes

1 This section draws partially on Malamud (2011), Malamud and Alcañiz (2017) and Malamud and Rodriguez (2014).
2 This section draws on Malamud and Alcañiz (2017)

Acknowledgements

A previous version of this paper was delivered at the 58th ISA Annual Convention, Baltimore, Maryland, February 22-25, 2017. I am grateful to Isabella Alcañiz, Octavio Amorim Neto, Anna Margheritis, Iver Neumann, Anthony Pereira and two anonymous reviewers for comments and encouragement, and to Júlio Cossio Rodriguez for his invaluable research partnership. I acknowledge the support of FCT project UID/SOC/50013/2013 and ITN-Marie Curie Actions PITN-GA-2013-607133

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About the Author:

Andrés Malamud

Andrés Malamud (PhD European University Institute, 2003) is a senior research fellow at the Institute of Social Sciences of the University of Lisbon. His research interests include comparative regional integration, foreign policy, EU Studies, and Latin American politics. His work has been published in Latin American Research Review, Cambridge Review of International Affairs, Journal of European Integration, Latin American Politics and Society, and European Political Science among other journals.

A Carta 08, pedindo a democratização da China, assinada por Liu Xiaobo


China’s Charter 08

translated from the Chinese by Perry Link JANUARY 15, 2009 ISSUE

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The prominent dissident writer Liu Xiaobo, one of the first signers of Charter 08, who was taken away by police on December 8, 2008, and is believed to be in police custody

The document below, signed by more than two thousand Chinese citizens, was conceived and written in conscious admiration of the founding of Charter 77 in Czechoslovakia, where, in January 1977, more than two hundred Czech and Slovak intellectuals formed a


loose, informal, and open association of people…united by the will to strive individually and collectively for respect for human and civil rights in our country and throughout the world.


The Chinese document calls not for ameliorative reform of the current political system but for an end to some of its essential features, including one-party rule, and their replacement with a system based on human rights and democracy.


The prominent citizens who have signed the document are from both outside and inside the government, and include not only well-known dissidents and intellectuals, but also middle-level officials and rural leaders. They chose December 10, the anniversary of the Universal Declaration of Human Rights, as the day on which to express their political ideas and to outline their vision of a constitutional, democratic China. They want Charter 08 to serve as a blueprint for fundamental political change in China in the years to come. The signers of the document will form an informal group, open-ended in size but united by a determination to promote democratization and protection of human rights in China and beyond.


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Following the text is a postscript describing some of the regime’s recent reactions to it.


—Perry Link


I. Foreword


A hundred years have passed since the writing of China’s first constitution. 2008 also marks the sixtieth anniversary of the promulgation of the Universal Declaration of Human Rights, the thirtieth anniversary of the appearance of the Democracy Wall in Beijing, and the tenth of China’s signing of the International Covenant on Civil and Political Rights. We are approaching the twentieth anniversary of the 1989 Tiananmen massacre of pro-democracy student protesters. The Chinese people, who have endured human rights disasters and uncountable struggles across these same years, now include many who see clearly that freedom, equality, and human rights are universal values of humankind and that democracy and constitutional government are the fundamental framework for protecting these values.


By departing from these values, the Chinese government’s approach to “modernization” has proven disastrous. It has stripped people of their rights, destroyed their dignity, and corrupted normal human intercourse. So we ask: Where is China headed in the twenty-first century? Will it continue with “modernization” under authoritarian rule, or will it embrace universal human values, join the mainstream of civilized nations, and build a democratic system? There can be no avoiding these questions.


The shock of the Western impact upon China in the nineteenth century laid bare a decadent authoritarian system and marked the beginning of what is often called “the greatest changes in thousands of years” for China. A “self-strengthening movement” followed, but this aimed simply at appropriating the technology to build gunboats and other Western material objects. China’s humiliating naval defeat at the hands of Japan in 1895 only confirmed the obsolescence of China’s system of government. The first attempts at modern political change came with the ill-fated summer of reforms in 1898, but these were cruelly crushed by ultraconservatives at China’s imperial court. With the revolution of 1911, which inaugurated Asia’s first republic, the authoritarian imperial system that had lasted for centuries was finally supposed to have been laid to rest. But social conflict inside our country and external pressures were to prevent it; China fell into a patchwork of warlord fiefdoms and the new republic became a fleeting dream.


The failure of both “self- strengthening” and political renovation caused many of our forebears to reflect deeply on whether a “cultural illness” was afflicting our country. This mood gave rise, during the May Fourth Movement of the late 1910s, to the championing of “science and democracy.” Yet that effort, too, foundered as warlord chaos persisted and the Japanese invasion [beginning in Manchuria in 1931] brought national crisis.


Victory over Japan in 1945 offered one more chance for China to move toward modern government, but the Communist defeat of the Nationalists in the civil war thrust the nation into the abyss of totalitarianism. The “new China” that emerged in 1949 proclaimed that “the people are sovereign” but in fact set up a system in which “the Party is all-powerful.” The Communist Party of China seized control of all organs of the state and all political, economic, and social resources, and, using these, has produced a long trail of human rights disasters, including, among many others, the Anti-Rightist Campaign (1957), the Great Leap Forward (1958–1960), the Cultural Revolution (1966–1969), the June Fourth [Tiananmen Square] Massacre (1989), and the current repression of all unauthorized religions and the suppression of the weiquan rights movement [a movement that aims to defend citizens’ rights promulgated in the Chinese Constitution and to fight for human rights recognized by international conventions that the Chinese government has signed]. During all this, the Chinese people have paid a gargantuan price. Tens of millions have lost their lives, and several generations have seen their freedom, their happiness, and their human dignity cruelly trampled.



During the last two decades of the twentieth century the government policy of “Reform and Opening” gave the Chinese people relief from the pervasive poverty and totalitarianism of the Mao Zedong era, and brought substantial increases in the wealth and living standards of many Chinese as well as a partial restoration of economic freedom and economic rights. Civil society began to grow, and popular calls for more rights and more political freedom have grown apace. As the ruling elite itself moved toward private ownership and the market economy, it began to shift from an outright rejection of “rights” to a partial acknowledgment of them.


In 1998 the Chinese government signed two important international human rights conventions; in 2004 it amended its constitution to include the phrase “respect and protect human rights”; and this year, 2008, it has promised to promote a “national human rights action plan.” Unfortunately most of this political progress has extended no further than the paper on which it is written. The political reality, which is plain for anyone to see, is that China has many laws but no rule of law; it has a constitution but no constitutional government. The ruling elite continues to cling to its authoritarian power and fights off any move toward political change.


The stultifying results are endemic official corruption, an undermining of the rule of law, weak human rights, decay in public ethics, crony capitalism, growing inequality between the wealthy and the poor, pillage of the natural environment as well as of the human and historical environments, and the exacerbation of a long list of social conflicts, especially, in recent times, a sharpening animosity between officials and ordinary people.


As these conflicts and crises grow ever more intense, and as the ruling elite continues with impunity to crush and to strip away the rights of citizens to freedom, to property, and to the pursuit of happiness, we see the powerless in our society—the vulnerable groups, the people who have been suppressed and monitored, who have suffered cruelty and even torture, and who have had no adequate avenues for their protests, no courts to hear their pleas—becoming more militant and raising the possibility of a violent conflict of disastrous proportions. The decline of the current system has reached the point where change is no longer optional.


II. Our Fundamental Principles


This is a historic moment for China, and our future hangs in the balance. In reviewing the political modernization process of the past hundred years or more, we reiterate and endorse basic universal values as follows:


Freedom. Freedom is at the core of universal human values. Freedom of speech, freedom of the press, freedom of assembly, freedom of association, freedom in where to live, and the freedoms to strike, to demonstrate, and to protest, among others, are the forms that freedom takes. Without freedom, China will always remain far from civilized ideals.


Human rights. Human rights are not bestowed by a state. Every person is born with inherent rights to dignity and freedom. The government exists for the protection of the human rights of its citizens. The exercise of state power must be authorized by the people. The succession of political disasters in China’s recent history is a direct consequence of the ruling regime’s disregard for human rights.


Equality. The integrity, dignity, and freedom of every person—regardless of social station, occupation, sex, economic condition, ethnicity, skin color, religion, or political belief—are the same as those of any other. Principles of equality before the law and equality of social, economic, cultural, civil, and political rights must be upheld.


Republicanism. Republicanism, which holds that power should be balanced among different branches of government and competing interests should be served, resembles the traditional Chinese political ideal of “fairness in all under heaven.” It allows different interest groups and social assemblies, and people with a variety of cultures and beliefs, to exercise democratic self-government and to deliberate in order to reach peaceful resolution of public questions on a basis of equal access to government and free and fair competition.


Democracy. The most fundamental principles of democracy are that the people are sovereign and the people select their government. Democracy has these characteristics: (1) Political power begins with the people and the legitimacy of a regime derives from the people. (2) Political power is exercised through choices that the people make. (3) The holders of major official posts in government at all levels are determined through periodic competitive elections. (4) While honoring the will of the majority, the fundamental dignity, freedom, and human rights of minorities are protected. In short, democracy is a modern means for achieving government truly “of the people, by the people, and for the people.”


Constitutional rule. Constitutional rule is rule through a legal system and legal regulations to implement principles that are spelled out in a constitution. It means protecting the freedom and the rights of citizens, limiting and defining the scope of legitimate government power, and providing the administrative apparatus necessary to serve these ends.


III. What We Advocate


Authoritarianism is in general decline throughout the world; in China, too, the era of emperors and overlords is on the way out. The time is arriving everywhere for citizens to be masters of states. For China the path that leads out of our current predicament is to divest ourselves of the authoritarian notion of reliance on an “enlightened overlord” or an “honest official” and to turn instead toward a system of liberties, democracy, and the rule of law, and toward fostering the consciousness of modern citizens who see rights as fundamental and participation as a duty. Accordingly, and in a spirit of this duty as responsible and constructive citizens, we offer the following recommendations on national governance, citizens’ rights, and social development:


A New Constitution. We should recast our present constitution, rescinding its provisions that contradict the principle that sovereignty resides with the people and turning it into a document that genuinely guarantees human rights, authorizes the exercise of public power, and serves as the legal underpinning of China’s democratization. The constitution must be the highest law in the land, beyond violation by any individual, group, or political party.

Separation of Powers. We should construct a modern government in which the separation of legislative, judicial, and executive power is guaranteed. We need an Administrative Law that defines the scope of government responsibility and prevents abuse of administrative power. Government should be responsible to taxpayers. Division of power between provincial governments and the central government should adhere to the principle that central powers are only those specifically granted by the constitution and all other powers belong to the local governments.

Legislative Democracy. Members of legislative bodies at all levels should be chosen by direct election, and legislative democracy should observe just and impartial principles.

An Independent Judiciary. The rule of law must be above the interests of any particular political party and judges must be independent. We need to establish a constitutional supreme court and institute procedures for constitutional review. As soon as possible, we should abolish all of the Committees on Political and Legal Affairs that now allow Communist Party officials at every level to decide politically sensitive cases in advance and out of court. We should strictly forbid the use of public offices for private purposes.

Public Control of Public Servants. The military should be made answerable to the national government, not to a political party, and should be made more professional. Military personnel should swear allegiance to the constitution and remain nonpartisan. Political party organizations must be prohibited in the military. All public officials including police should serve as nonpartisans, and the current practice of favoring one political party in the hiring of public servants must end.

Guarantee of Human Rights. There must be strict guarantees of human rights and respect for human dignity. There should be a Human Rights Committee, responsible to the highest legislative body, that will prevent the government from abusing public power in violation of human rights. A democratic and constitutional China especially must guarantee the personal freedom of citizens. No one should suffer illegal arrest, detention, arraignment, interrogation, or punishment. The system of “Reeducation through Labor” must be abolished.

Election of Public Officials. There should be a comprehensive system of democratic elections based on “one person, one vote.” The direct election of administrative heads at the levels of county, city, province, and nation should be systematically implemented. The rights to hold periodic free elections and to participate in them as a citizen are inalienable.

Rural–Urban Equality. The two-tier household registry system must be abolished. This system favors urban residents and harms rural residents. We should establish instead a system that gives every citizen the same constitutional rights and the same freedom to choose where to live.

Freedom to Form Groups. The right of citizens to form groups must be guaranteed. The current system for registering nongovernment groups, which requires a group to be “approved,” should be replaced by a system in which a group simply registers itself. The formation of political parties should be governed by the constitution and the laws, which means that we must abolish the special privilege of one party to monopolize power and must guarantee principles of free and fair competition among political parties.

Freedom to Assemble. The constitution provides that peaceful assembly, demonstration, protest, and freedom of expression are fundamental rights of a citizen. The ruling party and the government must not be permitted to subject these to illegal interference or unconstitutional obstruction.

Freedom of Expression. We should make freedom of speech, freedom of the press, and academic freedom universal, thereby guaranteeing that citizens can be informed and can exercise their right of political supervision. These freedoms should be upheld by a Press Law that abolishes political restrictions on the press. The provision in the current Criminal Law that refers to “the crime of incitement to subvert state power” must be abolished. We should end the practice of viewing words as crimes.

Freedom of Religion. We must guarantee freedom of religion and belief, and institute a separation of religion and state. There must be no governmental interference in peaceful religious activities. We should abolish any laws, regulations, or local rules that limit or suppress the religious freedom of citizens. We should abolish the current system that requires religious groups (and their places of worship) to get official approval in advance and substitute for it a system in which registry is optional and, for those who choose to register, automatic.

Civic Education. In our schools we should abolish political curriculums and examinations that are designed to indoctrinate students in state ideology and to instill support for the rule of one party. We should replace them with civic education that advances universal values and citizens’ rights, fosters civic consciousness, and promotes civic virtues that serve society.

Protection of Private Property. We should establish and protect the right to private property and promote an economic system of free and fair markets. We should do away with government monopolies in commerce and industry and guarantee the freedom to start new enterprises. We should establish a Committee on State-Owned Property, reporting to the national legislature, that will monitor the transfer of state-owned enterprises to private ownership in a fair, competitive, and orderly manner. We should institute a land reform that promotes private ownership of land, guarantees the right to buy and sell land, and allows the true value of private property to be adequately reflected in the market.

Financial and Tax Reform. We should establish a democratically regulated and accountable system of public finance that ensures the protection of taxpayer rights and that operates through legal procedures. We need a system by which public revenues that belong to a certain level of government—central, provincial, county or local—are controlled at that level. We need major tax reform that will abolish any unfair taxes, simplify the tax system, and spread the tax burden fairly. Government officials should not be able to raise taxes, or institute new ones, without public deliberation and the approval of a democratic assembly. We should reform the ownership system in order to encourage competition among a wider variety of market participants.

Social Security. We should establish a fair and adequate social security system that covers all citizens and ensures basic access to education, health care, retirement security, and employment.

Protection of the Environment. We need to protect the natural environment and to promote development in a way that is sustainable and responsible to our descendants and to the rest of humanity. This means insisting that the state and its officials at all levels not only do what they must do to achieve these goals, but also accept the supervision and participation of nongovernmental organizations.

A Federated Republic. A democratic China should seek to act as a responsible major power contributing toward peace and development in the Asian Pacific region by approaching others in a spirit of equality and fairness. In Hong Kong and Macao, we should support the freedoms that already exist. With respect to Taiwan, we should declare our commitment to the principles of freedom and democracy and then, negotiating as equals and ready to compromise, seek a formula for peaceful unification. We should approach disputes in the national-minority areas of China with an open mind, seeking ways to find a workable framework within which all ethnic and religious groups can flourish. We should aim ultimately at a federation of democratic communities of China.

Truth in Reconciliation. We should restore the reputations of all people, including their family members, who suffered political stigma in the political campaigns of the past or who have been labeled as criminals because of their thought, speech, or faith. The state should pay reparations to these people. All political prisoners and prisoners of conscience must be released. There should be a Truth Investigation Commission charged with finding the facts about past injustices and atrocities, determining responsibility for them, upholding justice, and, on these bases, seeking social reconciliation.

China, as a major nation of the world, as one of five permanent members of the United Nations Security Council, and as a member of the UN Council on Human Rights, should be contributing to peace for humankind and progress toward human rights. Unfortunately, we stand today as the only country among the major nations that remains mired in authoritarian politics. Our political system continues to produce human rights disasters and social crises, thereby not only constricting China’s own development but also limiting the progress of all of human civilization. This must change, truly it must. The democratization of Chinese politics can be put off no longer.


Accordingly, we dare to put civic spirit into practice by announcing Charter 08. We hope that our fellow citizens who feel a similar sense of crisis, responsibility, and mission, whether they are inside the government or not, and regardless of their social status, will set aside small differences to embrace the broad goals of this citizens’ movement. Together we can work for major changes in Chinese society and for the rapid establishment of a free, democratic, and constitutional country. We can bring to reality the goals and ideals that our people have incessantly been seeking for more than a hundred years, and can bring a brilliant new chapter to Chinese civilization.


—Translated from the Chinese by Perry Link


Postscript


The planning and drafting of Charter 08 began in the late spring of 2008, but Chinese authorities were apparently unaware of it or unconcerned by it until several days before it was announced on December 10. On December 6, Wen Kejian, a writer who signed the charter, was detained in the city of Hangzhou in eastern China and questioned for about an hour. Police told Wen that Charter 08 was “different” from earlier dissident statements, and “a fairly grave matter.” They said there would be a coordinated investigation in all cities and provinces to “root out the organizers,” and they advised Wen to remove his name from the charter. Wen declined, telling the authorities that he saw the charter as a fundamental turning point in history.


Meanwhile, on December 8, in Shenzhen in the far south of China, police called on Zhao Dagong, a writer and signer of the charter, for a “chat.” They told Zhao that the central authorities were concerned about the charter and asked if he was the organizer in the Shenzhen area.


Later on December 8, at 11 PM in Beijing, about twenty police entered the home of Zhang Zuhua, one of the charter’s main drafters. A few of the police took Zhang with them to the local police station while the rest stayed and, as Zhang’s wife watched, searched the home and confiscated books, notebooks, Zhang’s passport, all four of the family’s computers, and all of their cash and credit cards. (Later Zhang learned that his family’s bank accounts, including those of both his and his wife’s parents, had been emptied.) Meanwhile, at the police station, Zhang was detained for twelve hours, where he was questioned in detail about Charter 08 and the group Chinese Human Rights Defenders in which he is active.


It was also late on December 8 that another of the charter’s signers, the literary critic and prominent dissident Liu Xiaobo, was taken away by police. His telephone in Beijing went unanswered, as did e-mail and Skype messages sent to him. As of the present writing, he’s believed to be in police custody, although the details of his detention are not known.


On the morning of December 9, Beijing lawyer Pu Zhiqiang was called in for a police “chat,” and in the evening the physicist and philosopher Jiang Qisheng was called in as well. Both had signed the charter and were friends of the drafters. On December 10—the day the charter was formally announced—the Hangzhou police returned to the home of Wen Kejian, the writer they had questioned four days earlier. This time they were more threatening. They told Wen he would face severe punishment if he wrote about the charter or about Liu Xiaobo’s detention. “Do you want three years in prison?” they asked. “Or four?”


On December 11 the journalist Gao Yu and the writer Liu Di, both well-known in Beijing, were interrogated about their signing of the Charter. The rights lawyer, Teng Biao, was approached by the police but declined, on principle, to meet with them. On December 12 and 13 there were reports of interrogations in many provinces—Shaanxi, Hunan, Zhejiang, Fujian, Guangdong, and others—of people who had seen the charter on the Internet, found that they agreed with it, and signed. With these people the police focused on two questions: “How did you get involved?” and “What do you know about the drafters and organizers?”


The Chinese authorities seem unaware of the irony of their actions. Their efforts to quash Charter 08 only serve to underscore China’s failure to uphold the very principles that the charter advances. The charter calls for “free expression” but the regime says, by its actions, that it has once again denied such expression. The charter calls for freedom to form groups, but the nationwide police actions that have accompanied the charter’s release have specifically aimed at blocking the formation of a group. The charter says “we should end the practice of viewing words as crimes,” and the regime says (literally, to Wen Kejian) “we can send you to prison for these words.” The charter calls for the rule of law and the regime sends police in the middle of the night to act outside the law; the charter says “police should serve as nonpartisans,” and here the police are plainly partisan.


Charter 08 is signed only by citizens of the People’s Republic of China who are living inside China. But Chinese living outside China are signing a letter of strong support for the charter. The eminent historian Yu Ying-shih, the astrophysicist Fang Lizhi, writers Ha Jin and Zheng Yi, and more than 160 others have so far signed.


On December 12, the Dalai Lama issued his own letter in support of the charter, writing that “a harmonious society can only come into being when there is trust among the people, freedom from fear, freedom of expression, rule of law, justice, and equality.” He called on the Chinese government to release prisoners “who have been detained for exercising their freedom of expression.”


—Perry Link, December 18, 2008


Letters

China's Repression of Liu Xiaobo August 13, 2009

The Poet in an Unknown Prison May 28, 2009

Václav Havel Honors a Chinese Prisoner April 30, 2009

quinta-feira, 13 de julho de 2017

Anatomia de um desastre (3): resenha de livro, por Carlos Yury Araujo de Morais

Continuidade, e final, da resenha iniciada na postagem de número (1) http://diplomatizzando.blogspot.com.br/2017/07/anatomia-de-um-desastre-1-resenha-de.html, e continuada na (2): http://diplomatizzando.blogspot.com.br/2017/07/anatomia-de-um-desastre-2-resenha-de.html



Resenha de Carlos Yury Araújo de Morais

SAFATLE, Claudia; BORGES, João; OLIVEIRA, Ribamar.  
Anatomia de um desastre: os bastidores da crise econômica que mergulhou o país na pior recessão de sua história
São Paulo: Portfolio-Penguin, 2016.


O capítulo 15 narra como o TCU descobriu as pedaladas fiscais e as manobras financeiras que a União vinha adotando para fechar suas contas. Os auditores do TCU constataram, analisando as contas de 2013, que o patrimônio líquido da União podia estar superavaliado em mais de 2 trilhões de reais, em razão da ausência de depreciação dos bens imóveis e de passivos ocultos relacionados a déficits atuariais e demandas judiciais contra a União. Em 2013 também foram identificadas as pedaladas fiscais citadas nos capítulos anteriores, bem como a contabilidade criativa. O capítulo também narra a disputa eleitoral de 2014, ano em que o governo não chegou sequer a 10% da meta do superávit primário, intensificando o uso das pedaladas fiscais para fechar as contas daquele ano. A análise das contas de 2014 realizada pelo TCU, entretanto, identificou, ainda, que houve omissões intencionais na edição de decretos de contingenciamento em desacordo com o comportamento das receitas e despesas; ou seja, não efetuou o contingenciamento das despesas discricionárias em montante suficiente par ao cumprimento da meta fiscal em vigor, bem como determinou abertura de créditos suplementares sem autorização legislativa.
O capítulo 16 rememora o boom das commodities e como elas foram importantes para alcançar um alto patamar econômico. Relembra-se que de 2005 a 2010 o Brasil surfou na alta dos preços das commodities, acumulando reservas e aumentando a força do Real. Esse processo acabou gerando um déficit comercial na indústria de manufaturados. O ciclo das commodities começou a fechar em 2012, e o Real começou a se desvalorizar. Em setembro de 2015 o dólar disparou acima dos 4 reais, levando a uma diminuição do déficit em transações correntes, vindo este a baixar para 1,67% do PIB em 2016 contra 3,3% do PIB em 2015.
O capítulo 17 narra o caminho percorrido por Arno Augustin até se tornar secretário do tesouro. O livro narra um breve perfil de Arno Augustin, descrevendo-o como membro da Democracia Socialista, uma linha de tendência trotskista caudatária das ideias do economista e político marxista Ernst Mandel. Em razão da divisão de cargos entre as diversas correntes internas do PT, e considerando o fato de Arno Augustin ter sido secretario de fazenda do governo de Olívio Dutra ao mesmo tempo em que Dilma Rousseff foi secretaria de Minas, Energia e Comunicação, havia um laço mais estreito entre ambos, o que propiciou a ascensão de Arno. O livro afirma que Arno nunca acreditou em equilíbrio fiscal como condição para o crescimento econômico, tampouco na transparência das informações, chegando a afirmar que era bom o mercado não saber como o governo faria para alcançar a meta. Exemplo disso é que desde 2010 o governo não pagava a despesa do BNDES com a equalização dos juros dos empréstimos do PSI, não pagava a despesa do Banco do Brasil com a equalização dos juros do créditos rural (Plano Safra). Tal fato vinha sendo criticado por técnicos do Tesouro desde 2013, quando vários diagnósticos sobre a situação fiscal do Brasil vinham sendo produzidos pelos técnicos do Tesouro. A situação ficou mais grave quando a Caixa pediu que a Câmara de Conciliação e Arbitragem da Administração Federal interviesse para determinar que fossem feitos os repasses necessários para o pagamento da verba do Bolsa Família, os quais vinham sendo sistematicamente atrasados. Auditores do TCU constataram, em 2014, que o atraso no pagamento de subsídios e programas sociais tinha sido proposital, com o objetivo de abrir espaço para a realização de outras despesas, tudo realizado conforme orientações de Arno Augustin e um seleto grupo de técnicos do Tesouro.
O capítulo 18 narra como o aumento dos valores gastos com benefícios sociais colaboraram para a derrocada das contas públicas. Em 2016, o Tesouro Nacional quantificou que entre 2003 e 2015 houve uma forte elevação do gasto social. A despesa com benefícios previdenciários subiu para 0,97 ponto percentual do PIB no período mencionado. Outros dois destacados foram o gasto com assistência social (0,78 % do PIB) e a despesa com educação e cultura (0,74% do PIB). Ainda conforme o estudo, o gasto social passou a representar 67,3% do PIB em 2015, enquanto que em 2002 tinha sido de 59,9%. Esse aumento foi possível em face da política de aumento real do salário mínimo, dado que os benefícios eram sempre calculados de acordo com o valor do salário mínimo. O problema é que enquanto a arrecadação começou a diminuir, o gasto social do governo continuou em expansão, com a criação de mais programas, tais como o Minha Casa, Minha Vida, Pronatec, Ciência sem Fronteiras e vários outros. Para continuar a gastar, o governo sacrificou a meta do resultado primário, o que terminou por levar a um déficit gigantesco.
O capítulo 19 fala do “estilo Dilma”, caracterizado pelo controle dos detalhes dos processos decisórios, impaciência e mudanças súbitas de opinião. O livro narra vários episódios do “estilo Dilma”, tal como arredondamento de valores sem qualquer tipo de estudo prévio ou mesmo ter ideia do impacto fiscal das suas decisões. Exemplo disso é a avaliação de quanto o programa “Minha Casa Melhor” poderia emprestar ao cidadão. Inicialmente confrontada com o fato de que a faixa de empréstimo proposta, de R$ 3.000,00, não daria para comprar muita coisa, a então Presidente afirmou “Então põe cinco mil”, sem qualquer tipo de controle ou avaliação do impacto da medida. O livro narra, também, a relação entre João Santana e Dilma, narrando como aquele passou a ter ascendência sobre essa, sobre como ele construiu a imagem de durona porém terna, e como isso influenciou a construção de sua imagem. Tudo era feito em nome da imagem, sem considerar as contas públicas e os impactos das decisões tomadas em prol do marketing.
O capítulo 20 narra o início do último ano do governo Dilma, a partir de sua eleição em 2014, porém com foco nas difíceis tarefas a serem executadas pelo novo Ministro da Fazenda, Joaquim Levy. O plano para a economia traçado por Levy consistia em corrigir os preços de energia e petróleo, fazer um superávit fiscal para manter o grau de investimento e permitir queda dos juros, reestruturar ICMS e PIS/COFINS para estimular investimentos, rever as despesas públicas e passar um pente-fino em vários programas sociais. Muito embora tenha obtido sucesso em parte do seu projeto (como por exemplo o acerto nas tarifas públicas, pagamento das pedaladas, melhora das condições dos leilões de rodovias e aeroportos, redução de incentivos tributários), o fato é que Levy não teve força política governamental necessária para conduzir a elaboração de um orçamento sustentável para 2016. Além da rápida queda de arrecadação em 2015, a agenda de Levy foi esvaziada pela própria base governista, que permitiu fechar 2015 com um déficit primário de 1,88% do PIB, uma conta de juros de 8,5% do PIB e dívida bruta do setor público alocada em 66,2% do PIB. Com as contas em frangalhos, a perda de apoio da base política, o governo Dilma teve um último e derradeiro fato contra si, que foi a prisão do senador Delcídio do Amaral, quem acusou a presidente Dilma e o ex-presidente Lula de crimes de responsabilidade e também de querer atrapalhar as investigações da Lava-Jato.
O capítulo 21 fecha com uma breve recapitulação dos movimentos políticos que levaram à escolha de Dilma por Lula, bem como o processo de renovação do mandato. A certa altura considerou-se a sucessão de Dilma por Lula, em face da deterioração econômica. A pesquisa Focus, do Banco Central, espelhava a trilha da piora das condições econômicas. A pesquisa realizada no final de 2013 tinha projetado para 2014 um crescimento do PIB de 2%. A de 2014 reduziu a expectativa para 1,63%. No dia do lançamento oficial da campanha de reeleição  a previsão caiu para 0,7% e, cinco dias após a eleição de Dilma, a previsão de crescimento era de 0,24%. O capítulo finalizada com o resgate dos bastidores sobre a troca de Mantega por Levy, bem como os problemas das tarifas públicas, a excessiva gastança para garantir a eleição de Dilma e a constatação de que não haveria mais espaço para erros na política fiscal.

Anatomia de um desastre (2): resenha de livro, por Carlos Yury Araujo de Morais

Continuação da resenha iniciada na postagem anterior. Ver aqui:
http://diplomatizzando.blogspot.com.br/2017/07/anatomia-de-um-desastre-1-resenha-de.html


Resenha de Carlos Yury Araújo de Morais

SAFATLE, Claudia; BORGES, João; OLIVEIRA, Ribamar.  
Anatomia de um desastre: os bastidores da crise econômica que mergulhou o país na pior recessão de sua história
São Paulo: Portfolio-Penguin, 2016.


O capítulo 8 trata da “operação quadrangular”, uma das primeiras medidas de economia criativa tomada pelo governo para fechar as já afetadas contas públicas. O BNDES recebeu empréstimo do Tesouro; em seguida, o BNDES comprou ações da PETROBRAS que estavam com o Fundo Soberano do Brasil; o dinheiro da venda das ações foi para o Tesouro; O BNDES usou parte das ações para comprar créditos junto a ITAIPU; por esses créditos, o Tesouro recebeu do BNDES as ações da PETROBRAS, utilizadas, em seguida, para capitalizar a CAIXA; ao mesmo tempo a CAIXA foi agraciada com empréstimo do tesouro, o que permitiu aos bancos pagar mais dividendos ao Tesouro. Essa foi a forma como a meta fiscal de 2012 foi atingida. Com a operação quandrangular, a equipe econômica perdeu credibilidade, pois ficou evidente que o superávit primário estava sendo fabricado por meio de truques e arranjos.
O capítulo 9 narra mais uma burla ao cumprimento da meta fiscal. As ordens bancárias feitas pelo governo para o pagamento de servidores e fornecedores passaram a ser feitas após as 17h10. O objetivo era simples: postergar o recebimento dos recursos, para que os mesmos fossem contabilizados apenas no dia seguinte. A importância desse estratagema era a redução do pagamento com as despesas correntes, inflando artificialmente o superávit, o que ficou conhecido como “pedalada fiscal”. Esse atraso no pagamento das despesas foi aplicado de tal forma que houve o aumento expressivo dos restos a pagar de 2013 para 2014. Isso melhorou o resultado das contas públicas, pois a “pedalada” não aparece nas contabilidade do mês e, para fins de orçamento, ela é considerada paga dentro do mês, muito embora o efetivo desembolso se dê apenas no mês seguinte. Ao atrasar o repasse de recursos aos bancos públicos, estes foram forçados a pagar, com recursos próprios, os programas sociais e subsídios que são atribuições do Tesouro. Eis aqui os fundamentos do impeachment.
O capítulo 10 trata dos problemas relacionados ao uso do BNDES como principal agente da política expansionista do governo. A política de subsídios dos juros, o aumento desmedido da capacidade de empréstimo através da emissão de títulos levou ao aumento do endividamento público, o que não preocupava o então ministro Guido Mantega, pois para cada real de dívida havia um real de crédito com o Tesouro. O problema é que a expansão do investimento, como motor da economia, não vingou, muito em face das constantes quebras das regras e contratos. Os bancos públicos comerciais passaram a superar o BNDES na concessão de empréstimos com aumento de carteira de 174,8%, enquanto o BNDES permaneceu com carteira 74% menor que a dos bancos públicos comerciais. Todavia, o excesso de crédito foi tamanho que, mesmo continuando a oferecer empréstimos para famílias e empresas, estes estavam superendividados e não houve expansão do número total de empréstimos. O modelo de crescimento baseado na expansão do crédito chegou ao fim em 2016.

O capítulo 11 narra o processo de redução dos valores das contas de luz, anunciados em 18% para os consumidores residenciais e 28% para os consumidores industriais. O capítulo narra o procedimento como se chegou ao procedimento de renovação antecipada dos contratos, saída encontrada para se chegar aos percentuais de redução mencionados. O problema, narra o livro, é que além da redução das tarifas, as empresas concessionárias de distribuição ainda teriam que arcar com o peso dos investimentos para as linhas de transmissão. Como a conta não fechava, a equipe econômica considerou que o Tesouro Nacional cobriria a diferença entre a diminuição da tarifa e os investimentos, repassando a conta para o contribuinte brasileiro. A conta inicial foi de 9,9 bilhões de reais, sendo que outros 19,7 bilhões vieram de um fundo chamado Conta de Desenvolvimento Energético. Além disso, em 2013, quando a medida foi anunciada, houve risco de racionamento, ligação das usinas termoelétricas (o que aumentou o custo de produção de energia do sistema) e encarecia a conta do governo. As empresas distribuidoras ficaram a descoberto e tiveram de comprar energia no mercado libre, cujo preço não estava assegurado em contrato. Para que o sistema não entrasse em colapso, o Tesouro passou a fazer aportes, aumentando as perdas. Especialistas calcularam que a manobra de Dilma custou aos cofres públicos o total de 105 bilhões de reais.
O capítulo 12 narra a derrocada da Petrobrás. Ele narra, inicialmente, como a Petrobrás era utilizada dentro das campanhas eleitorais, como forma de criar a ilusão de prosperidade. Como exemplo, narra a utilização da autossuficiência em petróleo anunciada da plataforma P-50 nas vésperas da campanha eleitoral de 2006. Todavia, a autossuficiência não se consolidou, vindo, o Brasil, a depender de importação de petróleo em 2012, em razão da frustração das metas de produção.  Outra questão abordada foi o pré-sal. O capítulo foca em como o governo, visando criar toda uma indústria nacional para exploração do pré-sal, estabeleceu o modelo de partilha, segundo o qual a União receberia sua parte em petróleo. Para chegar a tal ponto, deveria haver o mínimo de participação de 30% da Petrobrás em cada campo de petróleo. Além disso, o modelo determinava a compra de equipamentos de exploração no Brasil (o chamado “conteúdo nacional”). Finalmente, o livro relembra os casos das refinarias Premium I, Premium II, Abreu e Lima e a compra da refinaria de Pasadena, obras grandiosas, porém custosas aos cofres públicos. O capítulo faz um apanhado histórico dos prejuízos que essas obras causaram à Petrobrás, concluindo que o uso de premissas irrealistas de custo operacional, produção, prazo e investimento foi o responsável pelo prejuízo nas operações da empresa. Em 2008, ela era a segunda maior empresa do mundo; em 2016, ela havia despencado para a 249ª posição no ranking das empresas mais valiosas do mundo.
O capítulo 13 narra como o governo federal virou uma fábrica de dividendos para si próprio. Inicialmente, apenas a partir de 2000, com a estabilidade econômica, as empresas federais passaram a pagar dividendos para a União. Em 2012 foi atingido o pico histórico de dividendos pagos à União, no total de 28,02 bilhões de reais. Todavia, esse número recorde em 2012 não foi fruto de atividade econômica. Na realidade, tratava-se de manobra financeira para maquiar as contas públicas, através da alocação de recursos no BNDES. O Tesouro colocava papeis diretamente no BNDES, repassando os títulos para a carteira da instituição, que os foi oferecendo no mercado na medida da necessidade de suas operações. Enquanto não colocava os papéis no mercado, o banco computava os rendimentos dos títulos como lucro e repassava o lucro ao Tesouro na forma de dividendos. Tratava-se, portanto, de empréstimo disfarçado, operação que não tinha impacto no caixa do Tesouro nem era captada pelas estatísticas do resultado primário. Esse estratagema ajudava a União a fechar as suas contas. Esse foi o início da contabilidade criativa, o que gerou falta de credibilidade da contabilidade fiscal brasileira.
O capítulo 14 narra os efeitos deletérios que as sucessivas desonerações tributárias causaram no caixa da União. Após breve histórico sobre as diversas tentativas de alteração do sistema, o capítulo foca na MP 540/2011, a qual autorizou a desoneração da folha de pagamentos, no contexto do Plano Brasil Maior – uma série de medidas destinadas a estimular as exportações e o investimento da indústria. Muito embora o objetivo fosse o de copiar o modelo europeu de “desoneração fiscal” para tornar os produtos mais competitivos, o governo foi aumentando cada vez mais o escopo da desoneração. Nesse sentido, editou as medidas provisórias 563, 582 e 601 aumentando cada vez mais os setores abrangidos pela desoneração. O custo da desoneração somou, entre 2012 e 2015, mais de 54,3 bilhões de reais na arrecadação da previdência social, o que levou à piora do déficit da previdência. O resultado foi a queda real de 5,6% nas receitas da União; porém, o governo continuou mantendo os gastos em crescimento acelerado, o que levou a uma queda continuada do superávit primário da União, a qual caiu 2,14% do PIB apenas em 2011. Em 2015, foi registrado um déficit primário de 2,01% do PIB, demonstrando que a perda da arrecadação, combinada com aumento de despesas, culminou em um grave problema fiscal.

(continua na terceira e última postagem).

Anatomia de um desastre (1): resenha de livro, por Carlos Yury Araujo de Morais

Dou início aqui a uma série de três postagens sucessivas, transcrevendo a resenha que um dos meus alunos de doutorado, Carlos Yury Araújo de Morais, fez, a meu pedido, do livro abaixo resumido.
Trata-se de obra fundamental para entender como foi montado aquilo que eu chamo de A Grande Destruição econômica lulopetista, um conjunto de medidas equivocadas que começam lá atrás, em 2005, assim que Madame Pasadena toma posse da Casa Civil no lugar do Richelieu do Planalto, o Stalin Sem Gulag, o homem que se enrolou todo no Mensalão (a serviço do grande mafioso seu chefe), e acabou cassado pela Câmara dos Deputados. A sucessora eminentemente estúpida começou podando todas as medidas sensatas que os corruptos da Fazenda e do Planejamento estavam tentando implementar para resolver o problema dos desequilíbrios fiscais do Brasil, e que Madame Pasadena vetou, sob o pretexto de que "gasto público é vida", e de que o programa de superavit efetivo nas contas públicas era "muito elementar".


Resenha de Carlos Yury Araújo de Morais

SAFATLE, Claudia; BORGES, João; OLIVEIRA, Ribamar.  
Anatomia de um desastre: os bastidores da crise econômica que mergulhou o país na pior recessão de sua história. 
São Paulo: Portfolio-Penguin, 2016.

O livro está dividido em 21 capítulos, cada um abordando aspectos específicos das decisões tomadas a respeito de política fiscal e econômica, as quais levaram à atual crise.
O capítulo 1 narra o início do afrouxamento da política econômica herdada do governo Fernando Henrique Cardoso. O livro narra que, em 2005, por conta da manutenção do tripé macroeconômico, as contas públicas encontravam-se em situação confortável, o superávit primário havia superado a meta de 4,25% do PIB, o déficit nominal era de 2,96% do PIB e os juros reais tenderiam a cair, a partir do compromisso que estava sendo estabelecido de déficit zero. O compromisso com uma política econômica austera levaria às condições de crescimento estruturado.
Todavia, após a descoberta do mensalão, houve substancial mudança no rumo da política econômica, apostando-se no aumento do gasto corrente como forma de estimular a economia. A ideia do aumento de gastos partiu da então ministra da Casa Civil Dilma Rousseff.
O livro narra, nesse capítulo, a derrocada de Palocci, principal fiador da austeridade e política do déficit zero. A sua saída da equipe econômica abriu espaço para a visão desenvolvimentista, uma postura mais pragmática que girava em torno da defesa de medidas de estímulo fiscal, aumento nas transferências de renda e aumento no investimento público.
O capítulo 2 inicia recapitulando a fase “Lula ortodoxo”, em que o novo Presidente da República manteve intactos os compromissos com o tripé macroeconômico (meta de inflação, cambio flutuante e superávit primário). Destaca-se que houve esforço concentrado para o controle da inflação, com elevação da SELIC por mais de uma vez e aumento do compulsório sobre os depósitos à vista para os bancos. Tais medidas foram necessárias para manter o equilíbrio das contas públicas, o que permitiu (mais adiante) o corte da taxa SELIC em 10 pontos percentuais ainda no ano 2003 como também o crescimento da economia em 0,5%. Destaca-se que a manutenção da política ortodoxa fez a desconfiança com o PT diminuir e a inflação, que chegou a 12% em 2003, baixar em 2004.
O capítulo 3 dá um pulo histórico até 2007 para tratar da estipulação da meta de inflação para o ano 2009. A decisão que se punha na mesa era a de reduzir a meta de inflação, de 4,5%, historicamente mantida, ou reduzi-la para 4% (ou menos), dado que em 2006 a inflação medida foi de 3,14%. Manter a meta da taxa de inflação significava que o BACEN poderia ajustar a SELIC para aumentar preços e não simplesmente estabilizá-los. A meta de inflação foi mantida em 4,5%; porém, o então presidente do BACEN, Henrique Meireles, afirmou que não havia orientação para fazer a inflação convergir para a meta de 4,5%. Tais palavras ressaltaram a adoção do modelo “desenvolvimentista”, manifestada pelo então Ministro da Fazenda Guido Mantega, quem defendia um crescimento exuberante do país através da utilização de uma política heterodoxa. Em razão da política mais frouxa com o controle da inflação, no ano 2007 o IPCA terminou em 4,46%, acima da meta de 3,6%.
O capítulo 4 narra os efeitos da crise do subprime no Brasil. A princípio tida como uma “marolinha”, a crise reduziu os preços das commodities e gerou rápida retração do volume de comércio internacional, além de causar uma grande depreciação do valor de Real (42%). Em razão da depreciação do Real, várias empresas com contratos de hedge foram afetadas. Maior exemplo foram Sadia e Aracruz, as quais perderam muito com operações cambiais. Além disso, houve ataque especulativo a vários bancos, culminando na fusão entre Itaú e Unibanco, bem como a compra de vários bancos privados por bancos públicos. Como forma de combater a crise, o governo realizou várias desonerações tributárias, tais como redução do IPI sobre automóveis, desoneração para bens de consumo duráveis, bens de capital e materiais de construção. Além disso, foi modificada a meta de superávit primário. A crise fez com que, em 2008, a economia crescesse apenas 1%.
O capítulo 5 narra a recuperação da economia. Se em 2008 houve crescimento de apenas 1%, em 2009, com a recuperação do preço das commodities e o uso dos bancos públicos para concessão de crédito barato, considerando a SELIC apenas a 8,75%,, o crescimento foi de 7,5%. Houve aumento do crédito bancário, o desemprego caiu e Lula passou a usar a expressão “momento mágico” para fazer marcar, na memória dos brasileiros, o expressivo crescimento econômico, com vistas à eleição de 2010. Todavia, a virada para a irresponsabilidade fiscal ocorreu no último ano do governo Lula, quando houve forte expansão do gasto e do crédito público, quando a economia não precisava mais de estímulos, pois já havia superado a crise mundial. O último ano de mandato ficou marcado por inflação alta, economia superaquecida, juros em baixa e piora nos resultados fiscais.
O capítulo 6 rememora o início da “era Tombini” no comando do Banco Central. A princípio, a dúvida seria se, sob o comando de Tombini, o COPOM teria um perfil mais hawkish ou dovish, no sentido de ser rígido no combate às pressões inflacionarias. O COPOM adotou uma política dovish, especialmente considerando que para a então presidente Dilma “despesa é vida”. Os juros entraram em rota de declínio acentuado, saindo de 12% em meados de 2011 para 7,5% em 2012. Em 2012 sucederam-se pacotes de medidas e ações governamentais para aquecer uma economia já combalida. Tombini foi frequentemente criticado por não ter autonomia no controle da SELIC, auxiliando a manutenção de uma política fiscal expansionista.
O capítulo 7 narra a criação da “nova matriz econômica”. Rememora que em 2012 Dilma passou a ter encontros com trinta empresários, para ouvir sugestões sobre como impulsionar o PIB. A primeira reunião resultou na adoção de medidas para redução do spread e juros bancários, depreciação do câmbio, além do custo da energia. Dilma agiu em cada um desses pontos, realizando desonerações de impostos e determinando redução de juros e revisão dos contratos das distribuidoras de energia. Cada medida foi tomada como agressão pelo setor atingido. No caso das elétricas, a forma como foi concebida a renovação das concessões foi interpretada como “quebra de contrato”,  e as ações das companhias despencaram. Ao invés de baratear a conta, em 2015 houve reajuste de tarifas em mais de 50%. O capítulo narra uma série de desencontros, demonstrando que cada nova medida gerava desequilíbrios na economia e nas contas do governo, que teve que abrir mão de 63,2 bilhões de reais em arrecadação de impostos através de desonerações e mesmo assim não aqueceu a economia.

(continua na próxima postagem; com meus agradecimentos ao Carlos Yuri Araujo de Morais)