v ~ v v i ~

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Favela
vouv bvc~bvs ov ii vi xc ox :nv vbcv i x vio bv j~xvi vo
Janice Perlman
1
:o+o
3
xlord Univcrsity Prcss, !nc., publishcs works that lurthcr
xlord Univcrsitys objcctivc ol cxccllcncc
in rcscarch, scholarship, and cducation.
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Copyright :o+o by Janicc . Pcrlman
Publishcd by xlord Univcrsity Prcss, !nc.
+8 Madison Avcnuc, Ncw York, Ncw York +oo+6
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xlord is a rcgistcrcd tradcmark ol xlord Univcrsity Prcss.
All rights rcscrvcd. No part ol this publication may bc rcproduccd,
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Library ol Congrcss CataloginginPublication ata
Pcrlman, Janicc .
Favcla : lour dccadcs ol living on thc cdgc in Rio dc Janciro / Janicc Pcrlman.
p. cm.
!ncludcs bibliographical rclcrcnccs and indcx.
!S8N 8o+686
+. Slums8razilRio dc Janciro. :. Poor8razilRio dc Janciro. . \iolcnt crimcs
Social aspccts8razilRio dc Janciro. . rugs8razilRio dc Janciro. !. Titlc.
H\o.R P :oo
o.'6o8+dc:: :oooo8o
Portions ol this book appcarcd in a dicrcnt lorm in thc lollowing publications:
Rcdcmocratization in 8razil, A \icw From 8clow: Tc Casc ol Rio dc Janciros Favclas, +6:oo, in
Democratic Bra.il Fe.isited, cditcd by Pctcr Kingstonc and Timothy J. Powcr (Pittsburgh Univcrsity Prcss, :oo8),
lusivc Pathways ut ol Povcrty: !ntra and !ntcrgcncrational Mobility in thc Favclas ol Rio dc Janciro, in
Mo.ing Out of Po.erty: Cross-Disciplinary Perspecti.es, cditcd by . Narayan and P. Pctcsch (Vashington, C:
Vorld 8ank, and 8asingstokc, UK: Palgravc Macmillan, :oo), Tc Myth ol Marginality Rcvisitcd: Tc Casc
ol Favclas in Rio dc Janciro, +6:oo, in Becoming Global and the Ne. Po.erty of Cities, cditcd by Lisa Hanlcy,
8lair Rublc, and Joscph Tulchin (Vashington, C: Voodrow Vilson !ntcrnational Ccntcr lor Scholars, :oo),
Marginality: From Myth to Rcality in thc Favclas in Rio dc Janciro +6:oo:, in Urban Informality in an Era
of Liberali.ation: Transnational Perspecti.e, cditcd by Ananya Roy and Nczar AlSayyad (Lcxington 8ooks, :oo),
Chronic Povcrty in Rio dc Janciro: Vhat Has Changcd in o Ycars, in Managing Urban Futures: Sustainability
and Urban Gro.th in De.eloping Countries, cditcd by Marco Kcincr, Martina KollSchrctzcnmayrm, and Villy
Schmid (8urlington, \T: Ashgatc Publishing, :oo), Globalization and thc Urban Poor, UNUVidcr Rcscarch
Papcr No. :oo/6, Novcmbcr :oo.
+ 8 6 :
Printcd in thc Unitcd Statcs ol Amcrica
on acidlrcc papcr
For the billion people around the .orld .ho li.e in fa.elas and for
my mother and father .ho taught me to care and to persist.
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c ontent s
Fore.ord by
President Fernando Henrique Cardoso ix
Preface xiii
ckno.ledgments xxv
!ntroduction 1
cn~v:vv + ccp Roots in Shallow Soil 24
cn~v:vv : Tc Vorld Gocs to thc City 41
cn~v:vv Catacumba: Tc Favcla Tat Vas 62
cn~v:vv Nova 8raslia: From Favcla to Complcxo 93
cn~v:vv uquc dc Caxias: Favclas and Lotcamcntos 121
cn~v:vv 6 Marginality lrom Myth to Rcality 147
cn~v:vv \iolcncc, Fcar, and Loss 165
cn~v:vv 8 isillusion with cmocracy 200
cn~v:vv Tc Mystcry ol Mobility 220
cn~v:vv +o Globalization and thc Grassroots 246
cn~v:vv ++ Rccctions on Public Policy 264
cn~v:vv +: Tc !mportancc ol 8cing Gcntc 316
~vvvxbix + Rcscarch Mcthods and Challcngcs 341
~vvvxbix : Analytical Framcwork lor Asscssing Succcss 355
Notes 361
Feferences 385
Index 399
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f or e .or d
Paradisc is hcrc, hcll is hcrc, madncss is hcrc, passion is hcrc. So thc lyrics ol
Francis Himcs Sinfona do Fio de Janeiro de So Sabastio, lyrics by Gcraldo
Carnciro and Paulo Ccsar Pinhciro, dcscribc thc city ol Rio dc Janciro. 8ut
Himcs antipodcs only bcgin a dcscription ol Rios squattcr scttlcmcntsour
lavclas.
!n Fa.ela: Four Decades of Li.ing on the Edge in Fio de Janeiro, Janicc Pcrl
man sharcs with us hcr cxpcricnccs, insights, and thc rcsults ol hcr rcscarch into
thc madncss, passion, paradisc, and hcll cxpcricnccd by Rios lavcla dwcllcrs.
Tis is a kccnly insightlul and cmincntly rcadablc book that continucs thc
rcscarch Pcrlman chroniclcd in hcr acclaimcd book, Te Myth of Marginality.
!n Fa.ela, wc havc a study ol lour gcncrations ovcr lorty ycars. Tc narrativc
traccs thc livcs and lortuncs ol hundrcds ol thc lavcla rcsidcnts mct in Te Myth
of Marginality, comparing thcm with thc livcs ol thcir parcnts (mostly rural),
thcir childrcn, and thcir grandchildrcn.
Pcrlmans study is both rich in dctail and rcwarding in its analyscs. Shc
laithlully dcscribcs hcr subjccts daily strugglcs and stratcgics to a rm thcir
individual and collcctivc rights and dignity lrom within an incrcasingly hostilc
and violcnt cnvironmcnt. Shc uscs thc survcy data shc collcctcd in ovcr :ooo
intcrvicws and hcr cthnographic insights to tcst lacilc gcncralizations about thc
wondcrs or horrors ol lavcla lilc and to cxplorc thc improvcmcnts as wcll as thc
sctbacks. Hcr analysis and obscrvations on social mobility and incquality arc
particularly compclling as shc looks at thc issuc lrom thc individual and lamily
lcvcl and thc community and city lcvcl simultancously.
!n doing this, Pcrlman has produccd a portrait ol a multilacctcd socicty in
turmoila socicty in which lilc lorcc and ingcnuity cocxist with dcspcration
and dcstruction.
[ X ] F O R E W O R D
Tirty ycars ago, thc lcar ol thosc living in thc lavclas was a lcar ol displacc
mcntto bc uprootcd and cartcd o lrom thcir homcs to a distant, unwclcom
ing govcrnmcnt housing projcct lar lrom work and community. Today, thcy lcar
lor thcir livcsncvcr knowing whcn thcy may bc caught in thc crossrc ol drug
gang violcncc or shot indiscriminatcly during a policc raid.
Fatal violcncc in thc lavclas has rcachcd an intolcrablc lcvcl as powcrlul
drug gangs battlc cach othcr ovcr tcrritory, militias usc wcapons to cnlorcc
cxtortion, and thc policc cntcr with brutality. Tc youth and tccns arc thc most
vulncrablcboth in tcrms ol dcath ratcs and in tcrms ol bcing drawn into thc
tra c thcmsclvcs.
!n +6, at thc timc ol thc publication ol Pcrlmans scminal work about Rios
poor communitics, 8razil was living undcr thc wcight ol authoritarian rulca
military dictatorship that continucd lrom +6 through +8. !t is now morc
than :o ycars sincc thc rcstoration ol dcmocracy to 8razil, but its promisc has
yct to bc lulllcd. Corruption and impunity undcrminc thc rulc ol law. Tcsc
lailings rcst at thc vcry hcart ol thc distrust ol thc pcoplc toward govcrnmcnt,
politics, and politiciansin lact thc cntirc political milicu.
A dcmocracy is not only a govcrnmcnt ol rulcs and institutions, it is an
honcst assurancc ol thc salcguard ol human rights and cquality ol opportunity.
cmocracics providc thc opportunity lor cvcryonc to participatc in and inu
cncc thc dccisions that acct thc prcscnt and thc luturc ol thcir community.
ithcr a dcmocracy is guidcd toward cnsuring that its citizcns livcs may bc
livcd in dignity, or apathy, cynicism, and disacction toward thc political sys
tcm will prcparc thc way lor a rcsurgcncc ol an authoritarian populism that wc
thought had bccomc a thing ol thc past. An inlormcd and cmpowcrcd citizcn
ship is thc most ccctivc antidotc to this dangcr.
Tis brings mc to onc ol thc rcal strcngths ol Pcrlmans narrativc. Shc vicws
thc poor and thcir communitics as bcarcrs ol skills and capacitics. Tc common
vicw, lcd by thc mcdia portrayal ol thc lavclas and thcir rcsidcnts, is bascd on
a long list ol shortcomings: violcncc, povcrty, uncmploymcnt, drug addiction,
corruption, carly prcgnancy, disruptcd lamilics, and inadcquatc public scrviccs.
Tis vicw sccms compclling and yct it is dccply awcd. Nccds and dccicn
cics arc rcal but arc not thc wholc rcality. Tc pcoplc in thc lavclas havc prob
lcms but thcy arc not thc problcm.
Pcrlmans rcscarch is oricntcd by a dicrcnt vision. Shc looks bcyond appar
cnt shortcomings to grasp thc impalpablc asscts ol individuals and commu
nitics. ach individual posscsscs skills and capacitics. vcry community has
rcsourccs ol trust, solidarity, and rcciprocity.
Tis changc in pcrspcctivc drastically rccasts public policics. Tc locus on
liabilitics lcads to assistancc and cnhanccs dcpcndcncy. !nvcstmcnt in pco
plcs asscts scts into motion a sustainablc proccss ol individual and collcctivc
cmpowcrmcnt.
F O R E W O R D [ X I ]
Tcrc is much morc in Pcrlmans book: insight into thc lormation and dcvcl
opmcnt ol 8razilian civil socicty, and thc dangcr to civil socicty inhcrcnt in
violcncc and criminality. Tcsc arc issucs that go bcyond Rio and 8razil and
givc thc book its rcach and its broad appcal.
A vivid lcsson in history, a collcction ol colorlul human and social cxpcri
cncc, Fa.ela is csscntial rcading lor scholars, civic lcadcrs, policymakcrs, and all
thosc who arc intcrcstcd in grasping thc prcssing challcngcs ol urban dcvclop
mcnt and politics.
Fernando Henrique Cardoso
Formcr Prcsidcnt ol 8razil
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pre f ac e
Tis book is not about placcs. !n a scnsc it is not rcally about lavclas. !t is a book
about thc pcoplc who havc shapcd thc placcs and spaccs that arc callcd lavc
lassquattcr scttlcmcnts, shantytowns, or popular communitics. !t is about
lour gcncrations ol pcoplc who havc livcd in lavclas or whosc lamilics livcd
in lavclasabout pcoplc balancing on thc narrow prccipicc bctwccn surviving
and thriving. !t is about thcir strugglcs, sucrings, and succcsscs in thcir corts
to risc abovc a hostilc cnvironmcnt. Tis is a chroniclc ol poor pcoplcs attcmpts
to claim thcir rights to pcrsonhoodthcir ght to bc pcrccivcd as genteto bc
trcatcd with rcspcct and grantcd human dignity.
Tc storics told hcrc arc thosc ol pcoplc ! havc known ovcr o ycars, and ol
thcir parcnts, childrcn, and grandchildrcn. Somc ol thcm arc likc lamily to mc,
many arc closc lricnds, and somc ! barcly know. Tis book bcars witncss to thc
trials and accomplishmcnts ol thcir livcs. 8ctwccn +68 and :oo8 ! intcrvicwcd
almost :,oo pcoplc lor this book. Tcir storics rccct thc cxpcricncc ol somc
million pcoplc (or morc) living in thc inlormal scctor (squattcr scttlcmcnts or
clandcstinc subdivisions) in Rio dc Janciro and a billion urban poor throughout
Latin Amcrica, Asia, and Alrica.
Tc lilc historics on which this book is bascd covcr thc cntirc twcnticth
ccntury and into thc twcntyrst. Tc oldcst pcoplc ! intcrvicwcd wcrc born
in +o, which madc thcm 6 thc ycar ! startcd thc studythc uppcr limit lor
inclusion. Tc youngcst wcrc +6 whcn thc study bcganthc lowcr limit lor
inclusion. ! did not limit my inquiry or my curiosity to hcads ol houscholds. !
was intcrcstcd in all varictics ol lavcla cxpcricncc.
My rclationship with 8razil camc about scrcndipitously. ! had no prior rcla
tionship (no lamily tics or cultural roots) to 8razil, to Rio dc Janciro, or to
thc lavclas whcrc migrants lrom thc countrysidc built thcir homcs and thcir
communitics.
!n rctrospcct, ! imaginc that thc (mostly untold) story ol my grandparcnts,
ccing Russia, Poland, and Romania as tccnagcrs and building ncw livcs lor
thcmsclvcs in Ncw York City in thc bcginning ol thc twcnticth ccntury, imbucd
mc with cmpathy and admiration lor migrants who havc thc couragc to start
ancw in an unlamiliar placc.
Vhcn ! was + ycars old ! participatcd in a summcr program in axaca,
Mcxico, in which ! was immcrscd in thc languagc, archcology, and cultural
traditions ol thc rcgion.
1
Latcr, many ol us who wcrc touchcd by this cxpcri
cncc wcnt on to study anthropology. ! attcndcd Corncll to work with Alan
Holmbcrg, who was challcnging convcntion with his radical work in \icos,
Pcru.
2
My rst scmcstcr as a lrcshman thcrc coincidcd with studcnt auditions
lor a Latin Amcrican thcatrical toura rcvuc ol thc musical comcdy lrom thc
Te Black Crook (+866, considcrcd thc rst musical) through Oklahoma (+)
and !est Side Story (+) to Fiorello! (+). Tc tour was sponsorcd by thc
Amcrican National Tcatcr Association as part ol thc Kcnncdy administra
tions outrcach to Latin Amcrica during thc Cold Var. Tc idca was to usc
studcnts as cultural ambassadors as a way to build closcr tics with thc rcgion
and countcr thc (pcrccivcd) thrcat ol communism. ! was thc only onc in our
group ol +8 studcnts who was intcrcstcd in lcarning about Latin Amcrica pcr
scthc othcrs wcrc thcatcr arts graduatc studcnts who had applicd in ordcr to
gain prolcssional cxpcricncc. 8razil was considcrcd thc highcst political prior
ity, so wc spcnt six wccks ol our +:wcck tour thcrc, pcrlorming at univcrsitics
all ovcr thc country. ! lcll in lovc with 8razil. vcry night altcr thc show was
ovcr, thc rcst ol thc cast wcnt to gct thcir bcauty rcst, and ! staycd up all night
spcaking with thc studcnts.
Tc summcr ol +6: was a timc ol grcat political lcrmcnt in 8razil. Tc
compclling issuc was how to crcatc a systcm that would ovcrcomc thc lail
urcs ol both capitalism and communism. Tc country was thrust into this
challcngc whcn thc prcsidcnt, Jnio Quadros rcsigncd suddcnly, on August
:, +6+, and sailcd o to uropc in a dramatic gcsturc, hoping to incitc a
popular uprising dcmanding his rcturn with cxpandcd powcrs ovcr Congrcss.
!nstcad, thc bcrcavcd citizcns pourcd out onto thc strccts in dismay that thcir
bclovcd lathcr gurc had abandoncd thcm. A constitutional crisis arosc whcn
thc political clitcs proposcd a national votc to movc lrom a prcsidcntial sys
tcm (in placc sincc +6) to a parliamcntary systcm in ordcr to prcvcnt thc
lcltist vicc prcsidcnt, Joao Goulart lrom bccoming prcsidcnt ol 8razil.
vcrywhcrc our studcnt group travclcd in 8razil, thcrc wcrc hcatcd discus
sions ol reformas de base (structural rclorms) such as land and tax rclorms. A
man namcd Francisco Juliao was succcsslully organizing pcasant lcagucs to
dcmand rights to land lrom landowncrs in thc Northcast. Tc govcrnor ol thc
statc ol Pcrnambuco, Migucl Arracs, had just mandatcd paymcnt ol thc mini
mum wagc to agricultural workcrs in his statc. Tc archbishop ol Rccilc and
[ X I V ] P R E F A C E
P R E F A C E [ X V ]
linda, om Hcldcr Camcra, was prcaching libcration thcology, Paulo Frcircs
Pedogogy of the Oppresseda mcthod to tcach adult litcracy through conscious
ncssraising about thc lundamcntal rights ol human dignitywas bccoming a
movcmcnt ol cachonctcachonc, and Lconcl 8rizola was mobilizing labor
unions in thc industrial South. Studcnts around thc country had mountcd a
coordinatcd strikc to dcmand oncthird rcprcscntation in thc govcrnancc ol
thc lcdcral univcrsitics.
!t was a hcady timc to bc in 8razil. ach individual was bcing callcd on
to contributc his or hcr cncrgics, idcas, and skills to thc projcct ol crcating
an inclusivc and just country on bchall ol o povo (thc pcoplc, particularly in
rclcrcncc to thc rural poor). Tc lccling that cvcryonc could makc a dicrcncc
intrigucd mc and madc mc curious to know morc about thc povowho wcrc
thcy, what wcrc thcir livcs likc, and what changcs did thcy want:
! had a chancc to nd out thc lollowing summcr whilc living in Arcmbcpc,
a small shing villagc in thc intcrior ol thc statc ol 8ahia.
3
Today thc trip lrom
Salvador, thc statc capital, to Arcmbcpc takcs lcss than two hours by car, but at
that timc it cntailcd a daylong journcy. Tc only way to gct thcrc was to takc
thc bus north along thc coast to thc cnd ol thc linc, whcrc you lound a small
boy and an old man waiting with a donkcy, which took you on dirt roads and
thcn lootpaths to a lagoon, whcrc still othcr young boys or old mcn lcrricd you
across. From thcrc it was a short walk to Arcmbcpc.
4
Tc villagc consistcd ol scvcral dozcn wattlcanddaub houscs with
thatchcd rools ol palm lronds, looscly arraycd along a protcctcd covc ol coral
rccls, making it a choicc sitc lor shing. Tcrc was no clcctricity, no running
watcr, no mail scrvicc, and littlc contact with thc outsidc world. Tc pricst
camc oncc a ycar to conduct all ol thc wcddings, baptisms, conrmations and
luncrals, an occasional travcling salcsman camc through who tradcd labric,
kcroscnc lantcrns, matchcs, salt, and othcr csscntials lor sh. A handlul ol
local boys who had scrvcd in thc Marincs camc back with storics ol thcir
advcnturcs.
Unlikc what thc urban univcrsity studcnts ! had mct thc ycar bclorc had
imagincd, thc villagcrs wcrc ncithcr sucring nor lrustratcd. Tcy had not
hcard anything about thc strugglc lor rclorms. Tcy wcrc living prctty much as
thcir lorcbcars had sincc thc cnd ol slavcry in +888 and had no conncction with
thc discoursc ol thc outsidc world in which thcy gurcd so promincntly. !n lact,
thcy did not know who thc prcsidcnt was, or cvcn what ycar it was. Tc only
ycar thcy could idcntily was +oo, thc ycar that Pcdro Alvarcs Cabral discov
crcd 8razil. !t was thc onc thing cvcryonc had mcmorizcd in school.
Arcmbcpc was so isolatcd that thc pcoplc living thcrc had ncvcr hcard ol
othcr languagcs. Tcy said, Janicc, you spcak just likc a parrot or askcd mc il
! wcrc rctardcd (um dbil mcntal) saying such things as My son is only lour
ycars old and spcaks bcttcr than you do! My attcmpts to cxplain that whcrc
[ X V I ] P R E F A C E
! camc lrom cvcryonc spokc a dicrcnt languagc wcrc mct with incrcdulity:
Vhat do you mcan: ogs go 8owwow, cats go Mcow, and humans spcak
just as wc arc spcaking right now.
Tc villagcrs wcrc looscly organizcd in a kind ol primitivc communism,
with no political lcadcr and with cvcryonc sharing cqually whcn thc sa.eiros
and jangadas (shing boats) rcturncd with thc catch ol thc day. Tc only
lunctioning institution was a chaotic oncroom schoolhousc. Childrcn
ol cvcry agc playcd, chattcd, did thcir lcssons at thcir dcsks, or wandcrcd
around. Tc tcachcr in whosc housc ! livcd was barcly litcratc hcrscll. Shc
sat at hcr dcsk attcnding to thcm onc at a timc whilc brcastlccding hcr baby.
! am lairly ccrtain that no onc lcarncd to rcad in that school. Tc pcdagogy
ol thc day was syllablc bascd. Tc studcnts wcrc taught to sound out thc
lcttcrs onc by onc, and thcn sound out cach syllablcbut thcy ncvcr madc
thc lcap to putting thc cntirc word togcthcr and rccognizing it as somcthing
with which thcy wcrc lamiliar.
5
! wcnt to Arcmbcpc to do rcscarch on how young pcoplc lorm thcir
worldvicws, valucs, and aspirations. According to thc dcvclopmcnt litcra
turc ol thc timc, thcsc mcntal maps and motivations playcd a dccisivc rolc
in thc intcrgcncrational transmission ol povcrty. !n kccping with modcrn
ization thcory, thcsc attitudcs wcrc supposcd to hold thc kcy to cxplain
ing why somc countrics and pcoplc staycd poor whilc othcrs thrivcd and
bccamc wcalthy.
Tc ycar ! arrivcd was thc vcry ycar that cvcrything changcd. Just likc
thc miraculous arrival ol icc in thc ctitious villagc ol Macondo dcscribcd
by Gabricl Garca Mrqucz in One Hundred Years of Solitude, thc transis
tor radio had appcarcd. !t was thc rst timc that most ol thc pcoplc hcard
dircctly about lilc bcyond thc paramctcrs ol thcir villagc. Tc tcchnology
that cnablcd music and mcssagcs, word imagcs and inlormation to bc car
ricd on airwavcs into othcrwisc inacccssiblc placcs changcd lilc options
lrom that momcnt on. Tc opcning ol ncw horizonslor bcttcr or worsc
bcckoncd pcoplc to thc bright lights, big city.
Young pcoplc wcrc no longcr contcnt to spcnd thcir livcs shing, hoping
to dic in thc arms ol Ycmanj, thc scductivc goddcss ol thc watcrs or to work
thc land with thc hoc, as thcir lamilics had always donc. Tcy wcrc attractcd to
thc cxcitcmcnt ol thc unknownthcy wantcd to go whcrc thc (movimcnto)
action was. ! could lccl thc magnctic pull that thc city cxcrtcd on thc youngstcrs
and wondcrcd what would happcn to thc ncwly arrivcd hopcluls il thcy got
thcrc, givcn thcir illitcracy and incxpcricncc. !t dawncd on mc that this was thc
bcginning ol an cnormous sca changc, onc that would coincidc with my own
lilctimc. As pcoplc bccamc awarc ol broadcr horizons, thcrc would bc a massivc
migration lrom thc countrysidc to thc citynot only in 8razil but all ovcr Asia,
Alrica, and Latin Amcrica.
Ycars latcr, lor my doctoral rcscarch, ! lollowcd thc migratory ow lrom
8ahia and clscwhcrc in thc 8razilian countrysidc to thc big city ol Rio dc
Janciro.
6
To nd out whcrc pcoplc wcnt whcn thcy arrivcd in thc city, ! mct
thc trucks bringing ncwcomcrs lrom thc Northcast. Tcsc wcrc opcnbackcd
atbcd trucks whosc brightly paintcd and dccoratcd sidcs wcrc covcrcd with
mud and dust. Tcy wcrc callcd parrots pcrchcs bccausc ol thc way pcoplc sat
jammcd togcthcr on woodcn slats laid around thcir pcrimctcrs and across thc
width ol thc truck bcd. Somc ol thc ncwcomcrs wcrc mct by rclativcs or pcoplc
lrom thcir homctown who had arrivcd bclorc. Tc rcst wcrc takcn to a shcltcr
vicuvv v. : Rool tilcs and stucco lacadcs had rcplaccd thc thatchcd palm rools and
packcd mud walls ol thcsc houscs in thc ccntcr ol thc scttlcmcnt.
vicuvv v. + Fishcrmcn arc out on thcir small sa.eiros and jangadas. Arcmbcpc, Fcbruary
+6takcn on a rcturn visit lour ycars altcr ! had livcd thcrc.
P R E F A C E [ X V I I ]
[ X V I I I ] P R E F A C E
until thcy could nd somcplacc to stay. Most had sold all thcy owncd to pay
lor thc tickct to Rio and had no moncy at all lor housing. Tc solution to thcir
problcm ol nding shcltcr was to build shacks and cvcntually scttlcmcnts on
vacant lands, typically on stccp hillsidcs, or morros, or in oodpronc swamps.
Tus thc lavclas grcw lrom tiny scttlcmcnts into largcr communitics with dis
tinctivc pcrsonalitics.
My initial rcscarch topic, thc impact ol urban cxpcricncc on thc ncw
migrants, turncd out to bc a nonissuc. Tc pcoplc adaptcd rapidly and astutcly
to thc city and dcvclopcd crcativc coping mcchanisms to dcal with thc chal
lcngcs thcy laccd. Tc problcm was that thc city did not adapt to thcm. Rio
had bccn thc scat ol thc Portugucsc cmpirc during thc Napolconic wars, and
it bccamc thc national capital whcn 8razil bccamc a rcpublic, in +8. !t was
a citadcl ol thc clitc, thc placc whcrc 8razils largc landowncrs, and latcr largc
industrialists, cnjoycd thcir urban amcnitics. Tc strccts wcrc laid out lollowing
Haussmanns Paris, and thc buildings wcrc clcgant. Tc lavclas, as thcy grcw,
wcrc sccn as blight on thc urban landscapc, a mcnacc to public hcalth, and a
thrcat to urbanc civility. Tc incoming migrants, and cvcn thosc born in lavclas,
wcrc sccn as dangcrous intrudcrs.
From thc bcginning, ! lound thc lavclas visually morc intcrcsting and
humanly morc wclcoming than thc uppcrmiddlcclass ncighborhoods.
Tcy could bc sccn as thc prccursors to thc ncw urbanism with thcir high
dcnsity, lowrisc architccturc, lcaturing lacadcs variously anglcd to catch a
brcczc or a vicw, and shadc trccs and shuttcrs to kccp thcm cool. Tc build
ing matcrials wcrc constructionsitc discards and scraps that would now
bc callcd rccyclcd matcrials. Tcy wcrc owncrdcsigncd, owncrbuilt, and
owncroccupicd. And thcy lollowcd thc organic curvcs ol thc hillsidcs rathcr
thcn a rigid grid pattcrn.
Tc citys rclusal to providc running watcr and clcctricity to thcsc commu
nitics indccd crcatcd a dangcr to public hcalth, but clcctrical conncctions wcrc
hookcd into thc powcr lincs, and pcoplc took grcat pridc in thc clcanlincss ol
thcir homcs and pcrsons. Tcy wcrc immaculatc, dcspitc thc lact that all watcr
lor clcaning, cooking, and washing had to bc carricd lrom a slowdripping
communal standpipc along thc road bclow. Vomcn and childrcn waitcd lor
hours and thcn haulcd thcir watcr up thc hillsidc in squarc vcgallon oil cans,
somctimcs sct on a circular rollcdup cloth on thcir hcads, somctimcs hanging
lrom both sidcs ol a polc across thc shouldcrs.
Tc migrants, rathcr than bcing thc drcgs ol thc barrclthc most impov
crishcd among thc rural pcoplc, wcrc morc oltcn thc crcam ol thc cropthc
most larsightcd, capablc, and couragcous mcmbcrs ol thcir communitics. Tcy
wcrc thc oncs with thc motivation and willingncss to work in thc lcast dcsirablc
jobs lor thc longcst hours at thc lowcst pay in ordcr to providc thcir childrcn
with opportunitics thcy had ncvcr had. Vhilc in thc cycs ol othcrs thcy wcrc
P R E F A C E [ X I X ]
uprootcd masscs rcady to risc up in rcvolt whcn conlrontcd with thc richcs all
around thcm, in thcir own cycs, thcy wcrc proud ol doing so much bcttcr than
thosc who had staycd bchind.
oing rcscarch and living in thc lavclas in +686 was onc ol thc happicst
pcriods ol my lilc. ! havc ncvcr lclt as salc or as wclcomcd in any community
bclorc or sincc. My prcscncc was mct with warm acccptancc. Pcoplc took carc
ol mc as thcy did ol cach othcr. To usc Janc Jacobs phrasc thcrc wcrc always
many cycs on thc strcct,
7
and ! admircd thc rcsidcnts jeito (knack) lor invcnt
ing solutions and using humor as a survival skill.
8
Pcoplc lovcd bcing intcrvicwcd. !t was thc rst timc anyonc had givcn valuc
to thcir lilc storics, had actually writtcn down thcir words. ! borc witncss to
thcir strugglcs and triumphs and validatcd thcir opinions and idcas.
9
Many
who wcrc not sclcctcd in thc random samplc kcpt asking mc, Janicc, whcn arc
you coming to my housc: You wcrc at my ncighbors last wcck lor thc cntirc
altcrnoon, and my soninlaw said you wcrc at thc Juvcntudc AC (lor Atl
tico Clubc, thc Youth Athlctic Club) on Saturdaywhcn is it going to bc my
turn: ! cvcntually had to makc up a short pscudoqucstionnairc just lor that
purposc.
!l my low status as young, lcmalc, and lorcign cngcndcrcd a ccrtain dcgrcc ol
dismissal in o cial policy and rcscarch circlcs, thc vcry lact ol not bcing takcn
vicuvv v. Tc lavcla ol Catacumba in +68, showing thc tcxturc ol lowrisc/high
dcnsity urban scttlcmcnts that is lavorcd today by thc ncw urbanism.
[ X X ] P R E F A C E
scriously allowcd mc to obtain govcrnmcnt documcnts and acrial photographs
! nccdcd lor thc study. Similarly, bcing an outsidcr madc thc intcrvicw proccss
a lot morc natural. Asking qucstions as a lorcign studcnt cagcr to undcrstand
and lcarn was much casicr than it would havc bccn lor a 8razilian studcnt, who
might casily havc soundcd condcsccnding, impolitc, or suspicious.
! collcctcd thcsc intcrvicws during thc most rcprcssivc ycars ol 8razils mili
tary dictatorship. n thc absurd sidc, social scicncc courscs wcrc banncd, books
with rcd covcrs in thc Univcrsity ol 8raslia library wcrc pullcd o thc shclvcs
and burncd. n thc horric sidc, thosc accuscd ol opposition wcrc imprisoncd,
torturcd, and murdcrcd or cxilcd. Vhilc ! was doing cldwork, a law was passcd
lorbidding lorcign rcscarchcrs to takc thcir data out ol thc country.
!n latc +6, ! lcarncd through onc ol our cld intcrvicwcrs who had
contacts within thc military that ! had bccn dcclarcd an intcrnational agcnt
ol subvcrsion. Tc military policc could not imaginc any othcr motivc lor
somconc choosing to livc in a lavcla, noncthclcss a lorcigncr. Fortunatcly,
all thc intcrvicws had bccn complctcd by that timc and thc qucstionaircs
and lilc history matriccs had bccn vcricd, codcd, and indcpcndcntly cross
chcckcd by a sccond pcrson. Vc rushcd thc codcd qucstionaircs to thc !8M
o cc in downtown Rio whcrc thcy wcrc digitizcd and savcd on a small
circular tapc in a mctal containcr that could pass lor a makcup compact.
Tc mcdical doctor at thc U.S. consulatc who had bccomc a lricnd ol minc
agrccd to scnd thc original qucstionnaircs and punch cards back to my M!T
o cc via thc o cial mail pouch (which did not go through 8razilian sccu
rity). ! lclt on thc rst availablc ight out. Shortly thcrcaltcr, thc shack !
had bccn living in was ransackcd, thc oor boards torn up, and thc lurniturc
dcstroycd as thc military policc scarchcd lor cvidcncc ol subvcrsivc matcri
als.
Vhcn ! tricd to rcturn to Rio in +, ! was adviscd to gct a ncw pass
port with a ncw numbcr and to bc surc somconc ol importancc was at thc
airport to mcct mc in casc ! was dctaincd upon cntcring. ! did gct into thc
country, but ! was not allowcd to cntcr thc lavclas without writtcn pcrmis
sion lrom Rubcns \az da Costa, thc dircctor ol thc 8NH8anco Nacional
dc Habitaao (8razilian National Housing 8ank). !t was duc to him that !
had thc chancc to nd out what was going on in Rio and to obscrvc lavcla
policics in thc othcr cight mctropolitan rcgions. 8y this point, onc ol thc
thrcc lavclas in which ! had livcd had bccn lorcibly rcmovcd by a statc
sponsorcd lavcla cradication program and thc rcsidcnts had bccn rclocatcd
into distant public housing blocks callcd conjuntos.
Tc rcsults ol that rcscarch bccamc thc basis lor my +6 book, The Myth
of Marginality: Urban Po.erty and Politics in Fio de Janeiro.
10
!n its timc, thc
book provokcd a paradigm shilt away lrom pcrcciving thc urban poor as
marginal or irrclcvant to thc systcm to sccing thcm as tightly intcgratcd
P R E F A C E [ X X I ]
into thc systcm, albcit in a pcrvcrscly asymmctrical lashion. Tc lavcla rcsi
dcnts contributcd thcir labor, allcgiancc, and cultural wcalth to thc city
thcy built thcir communitics, thcy built most ol thc rcst ol thc city, and thcy
votcd as thcy wcrc pcrmittcd, and in rcturn thcy wcrc cxcludcd, cxploitcd,
and dcnigratcd.
! staycd in touch with many ol thc lamilics, particularly thosc with whom !
had livcd. Vc had dcvclopcd closc tics and wcrc mutually intcrcstcd in what
was happcning in cach othcrs livcs. ! would havc likcd to updatc thc study
cvcry dccadc, but during thc +8os and +os thc dcvclopmcnt community
turncd away lrom issucs ol povcrty and incquality to locus on macrocco
nomic issucs. Tc ncolibcral wisdom that prcvailcd during that timc among
policymakcrs and many lunding sourccs was that only through a scrics ol
rigorous austcrity mcasurcs, collcctivcly known as structural adjustmcnt,
could markct lorccs producc su cicnt cconomic growth to tricklc down to
thc poor. Tc donor community was locuscd on macrocconomic rclorms
and gctting thc priccs right. ncc it bccamc clcar that urban povcrty and
human sucring was growing rathcr than shrinking undcr thcsc rclorms
and that thc high lcvcls ol incquality wcrc limiting cconomic growth as wcll
as thc growth and thc dcvclopmcnt ol intcllcctual capital ol thc country,
lundcrs bccamc intcrcstcd in undcrstanding thc dynamics ol urban povcrty
and thc way it was transmittcdor notacross gcncrations. nly thcn was
! was succcsslul in attaining support lor this longitudinal study.
11
!n +, ! rcccivcd a grant lrom thc Vorld 8ank rcscarch division lor a
prcliminary study to dctcrminc thc lcasibility ol locating thc original study
participants altcr a oycar hiatus.
12
! did this with thc hclp ol two 8razilian
collcagucs at thc !nstituto dc Pcsquisa c Plancjamcnto Urbano c Rcgional
(Rcscarch !nstitutc lor Planning and Urban Rcscarch, known as !PPUR) at
thc Fcdcral Univcrsity ol Rio dc Janciro.
13
Tis cxploratory phasc was surprisingly lruitlul, duc to thc closc tics
that pcoplc in thc lavcla communitics had maintaincd with cach othcr. !t
opcncd thc way lor lurthcr support. Funding was providcd by Tc Tinkcr
Foundation, two consccutivc Fulbright Rcscarch Fcllowships, thc Vorld
8ank, thc 8ritish cpartmcnt lor !ntcrnational cvclopmcnt (F!), thc
utch Trust Fund, and thc Mayors cc ol Rio dc Janciro. uring thc
writing phasc, ! rcccivcd support lrom thc Ford Foundation and won a
Guggcnhcim Fcllowship Award
Vhcn ! livcd in thc lavclas in +686, ! lclt salc and protcctcd, whilc
cvcryonc lrom clitcs to taxi drivcrs to lcltist studcnts loolishly pcrccivcd
thcsc scttlcmcnts as dangcrous. Tc community was poor, but pcoplc mobi
lizcd to dcmand improvcd urban scrviccs, workcd hard, had lun, and had
hopc. Tcy watchcd out lor cach othcr, and daily lilc had a calm convivial
rhythm. Vhcn ! rcturncd in +, thc physical inlrastructurc and housc
[ X X I I ] P R E F A C E
hold amcnitics wcrc grcatly improvcd. 8ut whcrc thcrc had bccn hopc, now
thcrc wcrc lcar and unccrtainty. Pcoplc wcrc alraid ol gctting killcd in thc
cross rc during a drug war bctwccn compcting gangs, alraid that thcir
childrcn would not rcturn alivc altcr school, or that a stray bullct would kill
thcir toddlcrs playing on thcir vcrandas. Tcy lclt morc marginalizcd than
cvcrlurthcr lrom gaining thc rcspcct othcrs assumc (or arc grantcd) as a
birthright.
Just as with my original study in Rios lavclas, ! lound rcality did not
conlorm to thc conccptual lramcwork or thc painstakingly craltcd sct ol
hypothcscs ! had dcvclopcd to guidc my inquiry. My intcnt lor thc rcstudy
was to cxplorc thc conncctions bctwccn thc ups and downs in thc livcs ol
thc urban poor and thc changing contcxt in which thcy livcd. ! hopcd to
nd corollarics bctwccn thc macro political, cconomic, and spatial changcs
ol thc pcriod and thc vicissitudcs ol daily lilc ol thc individuals ! had intcr
vicwcd. To do this, ! would cxaminc thc ycarbyycar changcs in thc rcsi
dcntial, occupational, cducational, and lamily historics ol cvcryonc ! had
intcrvicwcd.
Tc idca was to scarch lor pattcrns ol conncctions that would rcvcal thc
intcrdcpcndcncc ol thc pcrsonal and thc political, possibly dicrcntiatcd by
agc cohort, phasc in thc lilc cyclc, or historic momcnt at cach point in timc.
! commissioncd dctailcd chronologics lrom 8razilian cxpcrts, asking cach
to map bcnchmark changcs in thcir arca ol spccialization ovcr thc twcnti
cth and carly twcntyrst ccnturics with an cyc toward ovcrlaying thc lilc
changcs ol thc intcrvicwccs on thcsc historic proccsscs. Tc hopc was that
this ncw knowlcdgc would in turn inlorm policy and practicc.
Howcvcr, no mattcr how ! lookcd at thc data, ! could not nd convincing
linkagcs bctwccn macrolcvcl changcssuch as thc translormation lrom
dictatorship to dcmocracy, thc progrcssion lrom cconomic boom to ina
tion, stagation, and rclativc stabilization, or thc changcovcr lrom punitivc
to propoor public policicsand thc ups and downs in thc livcs ol thc lavc
lados. Vhat ! lound was a much morc complcx situation, with contradic
tory implications that did not lcad to simplc conclusions or solutions.
Tis book cxplorcs thc shilting landscapcs and mcssy rcalitics ol thc urban
poor and qucstions whcthcr thc constantly produccd and rcproduccd
incqualitics that charactcrizc 8razil will wcakcn or strcngthcn as thc
country assumcs its rolc as a prospcrous, rapidly growing world cconomy.
!l thc tcnacity and optimism ol thc pcoplc ! mct arc any indication, thcrc
is a chancc lor changc, il prcccdcnt is any guidc, thcrc is causc lor conccrn.
!t is my prolound hopc that what is writtcn hcrc, by giving voicc to thc
P R E F A C E [ X X I I I ]
discnlranchiscd, may lcad to a rcthinkingand pcrhaps a translorming
ol policy and practicc, and that othcrs will pick up whcrc ! havc lclt o.
wnv i iovv v~vvi~s
!n rcsponsc to rcncwcd thrcats ol lavcla cvictions, on July , :oo, !8AS, a wcll
rcspcctcd NG, organizcd a symposium titlcd Favcla Cidadc: Nao a Rcmoao
(Tc lavcla is thc city: No to rcmoval). ! was askcd to addrcss thc ncw plans lor
lavcla dcmolition. ! had thought that this issuc was long dcad and buricd, but cvi
dcntly, it is rcsurrcctcd lrom timc to timc as policymakcrs scc thc potcntial usc ol
thc lavcla tcrritory lor land spcculation and capital accumulation (oltcn undcr thc
prctcxt ol cnvironmcntal protcction). Tc spcakcrs and thc audicncc wcrc a mixturc
ol lavcla rcsidcnts and lcadcrs lrom all parts ol Rio, city, statc, and lcdcral govcrn
mcnt rcprcscntativcs involvcd with housing and urban dcvclopmcnt, acadcmics, thc
mcdia, and loundations linkcd with big banks and micronancc.
! had prcparcd a talk about thc dicrcnccs in conditions bctwccn thc latc
+6os and thc currcnt momcnt, and had crcatcd a PowcrPoint prcscntation
showing thc contrast, along with sccncs ol thc dcmolition ol Praia do Pinto
that ! had witncsscd in +6. 8ut as ! bcgan to talk, othcr words camc out.
! spokc ol how ! had lclt in thc lavclas whcn ! livcd thcrc carlicr, and how
lcarlul ! was in cntcring thc samc placcs today. Yct oncc insidc thc homcs ol
thc pcoplc, it all camc back.
Somconc rccordcd what ! said altcr that and askcd mc latcr il thcy could
quotc mc. ! would ncvcr havc bccn ablc to rcmcmbcr my cxact words, but
hcrc thcy arc:
Favcla is lilc, lavcla is lovc.
Favcla is lrccdom, lricndship and lcijoada.
Favcla is pcoplc pcrscvcring.
!t is laughtcr and tcars, lilc and dcathonly a hairsbrcadth apart.
!t is a placc whcrc thc uncxpcctcd is cxpcctcd and spontancity is thc norm.
!t is not all pain, povcrty, and passivity.
!t is pcoplc living thcir livcs amid a civil war.
Pcoplc who would prclcr to work and to study.
Pcoplc trying to bc rccognizcd as pcoplc by othcr pcoplc
For whom thcy arc invisiblc and inconscqucntial.
Still today, dcspitc all, thc lavclas providc a lrcc spacc, tolcrant ol divcr
sity and dcviancc. Tcy wclcomc nonconlormity, small sccds ol oppositional
bchavior bubbling up to thc surlacc and sustaining hopc. Favclas arc not
thc shadow sidc ol thc city, rathcr, thc city is thc shadow sidc ol thc lavclas.
Vith all thc hardship and gricl within thcm, thcrc is still a lilc lorcc thcrc
[ X X I V ] P R E F A C E
that is abscnt in thc most costly condominiums in thc rcst ol Rio. !n many
ways, thc rich havc imprisoncd thcmsclvcs, walling thcmsclvcs o lrom
urban conviviality in thc proccss ol protccting thcmsclvcs lrom thosc whom
thcy would not includc in thcir city. utsidcrs, whcthcr drawn to climinatc
or cmulatc thc lavclas, do not scc that thcy rcprcscnt a way ol lilc, a statc ol
mind. Tcy posscss dccp roots, spiky thorns, and lragrant owcrs.
ac kno.l edgment s
As my work on this book has spanncd lorty ycars and takcn mc lrom thc lavclas
on Rios hillsidcs to thcir countcrpart communitics in thc mcgacitics ol Latin
Amcrica, Asia, and Alrica, it is impossiblc to namc all ol thc pcoplc who havc
gcncrously givcn thcir timc and sharcd thcir knowlcdgc with mc along thc way.
For thosc ! havc lailcd to mcntion, plcasc acccpt my apprcciation. You know
who you arc.
My lorcmost dcbt ol gratitudc is to my lricnds in thc communitics: Z
Cabo, janira, Marga, Jacob, Nilton, Hlio Grandc, Tio Souza, ona Rita, Sr.
Lcvi, to thcir childrcn and grandchildrcn, and to thc thousands ol othcrs who
opcncd up thcir homcs and hcarts to mc. Tcy havc bccn my tcachcrs.
Mccting again thc pcoplc whosc livcs arc portraycd in this book has bccn a
moving cxpcricncc lor thcm and lor mc. !n rcconnccting with thcsc individuals
and lamilicsmorc ol thcm than ! thought ! would cvcr scc againthcrc has
bccn poignancy, a rcmindcr ol how prccious lricndships arc, and how prccari
ous lilc can bc. Tc gains thcy havc strugglcd to achicvc rcmain tcnuous, and
thcir livcs may changc lrom managcablc to miscrablc in a momcnt.
Tcir trust and couragc amid this condition ol vulncrability havc madc this
study possiblc. ! hopc that thc rcsults providc a dccpcr undcrstanding ol how
povcrty and incquality arc pcrpctuatcd and what it takcs to turn that logic on
its hcad.
Ruth Cardoso was an inspiration lrom thc bcginning ol this work. Hcr cama
radcric, humor, and conviction that rcscarch and civic action could makc a
dicrcncc ncvcr changcd as shc wcnt lrom an anthropologist working with
atrisk youth to thc First Lady ol 8razil. Hcr pcrsonal warmth and prolound
insights pcrmcatc this work. ! miss hcr.
[ X X V I ] A C K N O W L E D G M E N T S
Tc godlathcr ol this book is Tim Campbcll, whosc cngagcmcnt and bclicl
in this projcct go back to our rst mccting at thc Univcrsity ol Calilornia,
8crkclcy, in + and whosc major contributions insidc and outsidc ol thc
Vorld 8ank madc it all possiblc.
Tc local tcam ! asscmblcd in Rio did an outstanding job in challcnging, oltcn
dangcrous, circumstanccs. Tc corc tcam cvolvcd ovcr timc to includc Graziclla
Moracs, Lia dc Mattos Rocha, Snia Kalil, dmcirc xaltaao, Christina \ital,
manucllc Araujo, Gisclc dos Santos, 8catriz Taunay, Ana 8catriz da Silva,
and Rosana Ribciro. Prolcssor !gncio Cano providcd valuablc mcthodological
guidancc and managcd thc nal phasc ol thc cldwork and Prolcssor \alria
Pcro addcd hcr own lavcla rcscarch and hcr lovcly spirit to our collaboration.
My buddics Lourival, Adjilson, and Joao and thc sta ol Ipanema To.er
Fesidencia, gavc gcncrously ol thcir timc to cxplain many mystcrics to mc, cvcn
though thcy had so much clsc to do and wcrc oltcn undcr survcillancc.
Collccting survcy and intcrvicw data in thc lavcla communitics and analyz
ing thc ndings is a daunting task, but making scnsc ol thc ndings and putting
thcm in thc contcxt ol a largcr body ol work on thc topic is cqually lormidablc,
particularly lor a nonnativc. !n +68 whcn ! did my rst study thcrc wcrc only
a handlul ol scholars writing about Rios lavclas, among thcm my lricnds Licia
\alladarcs, Luis Antonio Machado, and Carlos Nclson, who dicd too young but
whosc inucncc livcs on.
8y contrast, in Rio today thcrc arc many rcnowncd scholars working on
lavclas, social mobility, inlormality, and marginality. ! sought out many such
cxpcrts who gavc sclcssly ol thcir timc, oltcn wclcoming mc into thcir homcs.
! thank Prolcssors Paulo Knauss, Sonia Rocha, Lcna Lavinas, ulcc Pandol,
Ccli Scalon, Marcclo 8aumann 8urgos, Carlos Lcssa, Alba Zaluar, Manual
Sanchcz, Hcrminia Maricato, and Raqucl Rolnik, many ol whom playcd kcy
rolcs in policy as wcll as acadcmia. Prolcssors Tcrcsa Caldcira, Jamcs Holston,
Mariana Cavalcanti, Ananya Roy, and lliott Sclar also hclpcd mc in various
ways along this journcy.
! admit to bcing a bit surpriscd to nd an cxtraordinary willingncss on thc
part ol policymakcrs to sharc thcir wisdom and cxpcricncc with mc. Many
ol thcsc discussions havc continucd lor ycars. !n thc latc +6os ! would ncvcr
havc imagincd that thc worldrcnowncd sociologist who spcnt hours talking
with mc about dcpcndcncy thcory and thc urban qucstion, would bccomc thc
prcsidcnt ol 8razilFcrnando Hcnriquc Cardosonor that as prcsidcnt hc
would still cngagc with mc in that dialoguc. My dcar lricnd Vanda ngcl
Aduan, likcwisc was always thcrc lor mc cvcn as shc wcnt lrom prolcssor ol
cducation to thc lounding dircctor ol a nonprot to municipal sccrctary to
national ministcr to thc !ntcrAmcrican cvclopmcnt 8ank and currcntly to
dircctor ol thc Unibanco Foundation. Tc samc holds truc lor Andr Urani
as hc movcd lrom Rios rst sccrctary ol labor to lounding and dirccting thc
A C K N O W L E D G M E N T S [ X X V I I ]
!nstitutc lor thc Study ol Vork and Socicty, all thc whilc continuing to tcach
and conduct rcscarch.
!t is casy lor acadcmics to criticizc city govcrnmcnt, and without doubt,
holding public o cials accountablc is vital lor good govcrnancc. Yct ! was
struck by thc knowlcdgc and commitmcnt ol many public gurcs. Rio city gov
crnmcnt has bccn in thc lorclront ol upgrading squattcr scttlcmcnts sincc thc
mid +8os. Mayor Csar Maia providcd o cc spacc in thc Palcio da Cidadc
(whcn wc ran out ol lunds lor our Santa Tcrcsa o cc), mct with mc numcrous
timcs, and invitcd mc to discuss my rcscarch ndings at his monthly mccting
ol dcpartmcnt hcads and top sta.
Lu Pctcrscn has championcd thc rights ol lavclas through all thc changcs
in Rio municipal administrations, and ! am gratclul to hcr lor sharing hcr
dccp rcpository ol knowlcdgc and lor thc hundrcds ol hours shc spcnt with
mc ovcr thc ycars ol this studysomc in hcr o cc, somc visiting lavclas whcrc
innovativc projccts wcrc undcrway, and somc on thc bcach at Arpoador. thcr
lricnds and collcagucs who guidcd mc along thc way includc: Allrcdo Sirkis,
Srgio 8csscrman, Srgio Magalhacs, Ana Pctrik, Marcclino Gcrmano, and
Tania Castro. At thc invitation lrom Arlindo aibcrt, ! had thc opportunity to
ocr an intcnsivc coursc on lavclas at thc ncwly crcatcd School ol Public Poli
cics (Escola de Polticas de Estado) in Scptcmbcr :oo8, which providcd pricclcss
lccdback lrom thc participants, cxpcrts in thcir own right.
Tc rst mayor to support lavcla upgrading was !sracl Klabin, whom ! havc
known too long to mcntion and who, along with Lca, Tania, Michcl, and thcir
childrcn havc trcatcd mc as lamily. Clara and Jacob Stcinbcrg arc my othcr
adoptivc lamily in Rio and havc hclpcd mc in this rcscarch in morc ways than !
can count. And my thanks go to Hlio Jaguaribc, my graduatc school prolcssor
whosc own work and that ol his daughtcrs Anna Maria and 8catriz havc bccn
a constant dclight.
Tc rolc ol civil socicty (nongovcrnmcntal and nonprot) organizations in
Rio has bccn dccisivc in thc ght lor thc rights ol lavclas and lavcla rcsidcnts.
Among thc many dcdicatcd prolcssionals whosc work ! admirc, my spccial
thanks go to !tamar Silva, Mocma Miranda, Jailson Souza, Claudius Ccccon,
Hcloisa Coclho, and thc latc Hcrbcrt dc Souza (8ctinho), my coconspirators.
Vithout thc pcrsonal support ol my Carioca lricnds, Rosana Lanzclottc,
Tcrcza Lobo, Nadia Rcbouas, Gilda and Luis 8lanc, Rcnaud Lccnhardt,
Francoisc Schcin, Cynthia Zanotto, thc muchmisscd Rosc van Lcngcn,
rlando and !lara Cano, and many othcrs, this task would havc bccn considcr
ably morc di cult.
! am gratclul to Mila Frcirc who hostcd mc in thc Urban Projccts ivi
sion during my timc as \isiting Scholar at thc Vorld 8ank in :ooo. Tc
Advisory Committcc includcd Frannic Lauticr, Francoisc 8ourgcnhon, Grcg
!ngram, Francisco Fcrrcira, Michacl Voolcott, Guy Plccrman, and Srgio
Margolis lrom thc Vorld 8ank, Josc 8rakarz lrom thc !ntcrAmcrican cvcl
opmcnt 8ank, Nancy 8irdsall and Carol Graham lrom thc Ccntcr lor Global
cvclopmcnt and 8rookings !nstitutions rcspcctivcly, and Jorgc Fiori lrom
thc cvclopmcnt Planning Unit at Univcrsity Collcgc London. Tis book
bcnctcd grcatly lrom thc hclp ol Sarah Anthony who startcd on thc projcct
as a studcnt intcrn at thc School ol Advanccd !ntcrnational Studics at Johns
Hopkins and thcn bccamc my rcscarch assistant at thc Vorld 8ank, in Rio dc
Janciro and in Ncw York.
Tc guardian angcls whosc willingncss to answcr urgcnt qucstions (ranging
lrom thc ridiculous to thc sublimc) at thc last minutc carricd this work on thcir
wings to its conclusion includc Paulo Knauss, Antonio Carlos \idigal, Mario
Scrgio 8rum, Mauro Amoroso, Jim Shync, Laura Schcibcr, and Alison Cocy. !
am indcbtcd to Fcrnando Cavallicri, \nia Amorim, and Gustavo Pcrcs Lopcs
at thc !nstituto Pcrcira Passos, who wcrc kind cnough to intcrrupt thcir own
schcdulcs to gcncratc updatcd maps and charts lor this volumc at thc last minutc.
Unlcss othcrwisc indicatcd, all translations and photos arc minc.
My wondcrlul agcnt, Rcgina Ryan, and xlord Univcrsity Prcss cditor,
avid Mc8ridc, wcrc thc two who brought this work lrom a manuscript into a
signcd book contract, and Laura Rosss cdits movcd it along. !t was xlord cdi
tor Angcla Chnapko, pcrlcct pitch, sound judgmcnt, and good naturcd cnthu
siasm lor sticking with this projcct abovc and bcyond any call ol duty that
brought this work to lruition.
Tcrc is no gilt quitc as valuablc as thc candid lccdback ol a brilliant rcadcr.
For this ! thank John Fricdmann, 8ryan McCann, Lcandro 8cnmcrgui, Laura
Randall, and abovc all, Janct AbuLughod and Lisa Pcattic, who, as dcar lricnds
and collcagucs, ocrcd to rcad this in prools, at a stagc whcn ! could no longcr
scc thc words on thc pagc.
! want to thank thc McgaCitics Projcct 8oard, cspccially John C. Vhitc
hcad, Jamcs Hyman, Pcggy ulany, Jacqucs dAmboisc, and Gcorgc 8ugli
arcllo lor thcir unqualicd support and cncouragcmcnt as ! took timc o lrom
my dutics as dircctor to work on this book. ! lcarncd much lrom thcm and lrom
our Global Advisory 8oard Mcmbcrs including Manucl Castclls, Sir Pctcr Hall,
Jorgc Vilhcim, Jaimc Lcrncr, !gnacy Sachs, Yvcs Cabanncs, Shabbir Chccma,
avid Ramagc, !ra Michacl Hcymcn, Alan Altshulcr, Larry Susskind, !ngrid
Munro, and Tadashi Yamamoto, and lrom our city coordinators including
nriquc rtiz, Marlcnc Fcrnandcs, Cccilia Martincz, Pablo Gutman, Pcdro
Jacobi, Rcmy Prudhommc, Hcrbcrt Girardct, Susannc MacGrcgor, Mounir
Ncamatulla, m Prakcsh Mathur, incsh Mchta, Pratibha Mchta, Aril Hasan,
arrundono, McAn !gnacio, Akin Mabogunjc, and lwood Hopkins.
Vithout lundcrs who bclicvcd in thc importancc ol this projcct and wcrc
willing to takc a risk that such an unprcccdcntcd cndcavor might bc possiblc,
thcrc would bc no book. My dccpcst gratitudc gocs to thc Tinkcr Foundation,
[ X X V I I I ] A C K N O W L E D G M E N T S
thc Fulbright Fcllowship Program, thc Ford Foundation, thc Vorld 8ank, thc
8ritish cpartmcnt lor !ntcrnational cvclopmcnt (F!), thc utch Trust
Fund, and thc Mayors cc ol Rio dc Janciro. A Guggcnhcim Mcmorial
Foundation Fcllowship camc just in timc lor thc writing phasc and was most
apprcciatcd.
Vorking on a book ovcr such a long timc pcriod has had its sharc ol agonics
as wcll as ccstasics. My lamily and lricnds kcpt mc on track whcn ! was wan
dcring and chccrcd mc on whcn ! was ying. ! am dccply gratclul to my soul
sistcrs Pcggy ulany, Janc Pratt, Mcg Powcr, Norccn Clark, Lconic Sandcr
cock, Naomi Carmon, Nadinc Castro, Judith Rosc, and Rcbccca Goldstcin, and
to my soulmatc Rick Sprcycr who kcpt it all togcthcr through his pcrsistcncc
ol vision.
A C K N O W L E D G M E N T S [ X X I X ]
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v ~ v v i ~
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I ntroduction
Sodium vapor lamps givc an ccric, ycllow glow to thc cvcning strccts along thc
scallopshapcd curvcs ol Copacabana, !pancma, and Lcblon bcachcs. Tis is thc
Gold Coast ol South Amcricas lamous dcstination lor lun and sunRio
dc Janciro. Tc distinctivc blackandwhitc pattcrncd tilcs that lorm thc broad
sidcwalk scparating thc car tra c lrom thc sand ol Copacabana bcach mimic
thc wavcs ol thc Atlantic and mclt into thc lantasy that is thc cidade mara.il-
hosa, thc marvclous city ol Rio.
Tc Copacabana Palacc (scc gurc +.+) prcsidcs in gracclul splcndor ovcr thc
Avcnida Atlantica, across lrom thc sca at Copacabana bcach. !ts whitc cxtcrior
takcs on a warm caramcl huc lrom thc strcct lights. Tc light cmphasizcs thc
activity ol cabs, unilormcd hotcl doormcn and bcllhops, tourists, Cariocas (as
thc rcsidcnts ol Rio arc callcd), moleques (strcct urchins), and \!Psall drawn
to thc rcgal prcscncc ol thc hotcl.
n thc balmy cvcning ol Scptcmbcr o, :oo8, ! was on my way to join Patri
cia, whom ! had ncvcr mct, lor a latc dinncr at thc sidcwalk cal Santa Satisla
ao, around thc corncr lrom thc Copacabana Palacc, on Rua Santa Clara.
Patricia livcs in thc ncighborhood and is a rcgular customcr thcrc. 8y coin
cidcncc, ! too know thc placc wcll as it is just around thc corncr lrom a yoga
[ 2 ] F A V E L A
studio whcrc ! go on Tucsday and Tursday cvcnings whcn ! am in Rio. Shc is
waiting lor mc, and wc rccognizc cach othcr immcdiatcly.
Patricia is thc granddaughtcr ol my lricnd Jos Manocl da Silva (known as
Z Cabo), whom ! havc known sincc ! bcgan this study in +68. ! livcd with
him and his wilc, Adclina, in thc lavcla ol Nova 8raslia, and wc havc kcpt in
closc touch cvcr sincc. Hc was onc ol thc carlicst scttlcrs and among thc most
highly rcspcctcd community lcadcrs in Nova 8raslia. Hc had built his housc
in a primc location, closc to Avcnida !taoca, thc main thoroughlarc. Hc had
invcstcd a lot in thc houscit was thrcc storics high, with an opcn rooltop lor
laundry and lcisurc.
v~:vici ~s s:ovv: vvo: xov~ nv~s ii ~ :o cov~c~n~x~
As Patricia and ! wcrc cnjoying gctting to know cach othcr ovcr dinncr, thc
twinkling lights lrom thc lavclas on thc hillsidcs ol Copacabana bcgan to
appcar. ncc shc lcarncd that ! had not callcd hcr with any bad ncws ol hcr
grandlathcrs hcalth, shc told mc that shc had not bccn to hcr grandlathcrs
housc sincc thc dcath ol hcr grandmothcr + ycars carlicr. Shc told mc, ! ncvcr
vicuvv +. + Tc majcstic Copacabana Palacc Hotcl, dcsigncd by Frcnch architcct
Joscph Girc, was opcncd in +:. !t was built at thc rcqucst ol Prcsidcnt pitcio Pcssoa
lor thc ccntcnnial ol 8razils !ndcpcndcncc. (Photo courtcsy ol Copacabana Palacc)
I N T R O D U C T I O N [ 3 ]
scc him, but hc still rcmcmbcrs my birthday. Hc is thc only onc who scnds mc
a card cvcry ycar. Hc ncvcr lorgcts. Hcs so organizcd about thosc things. . . . !
livc in Copacabana nowits anothcr world cntircly. ! will probably ncvcr go to
Nova 8raslia again. !ts vcry dangcrous.
Patricia, who uscs thc namc Paty, is a wclldrcsscd prolcssional woman
who radiatcs compctcncc and scllcondcncc. Shc was born in +, ninc ycars
altcr ! had livcd with hcr grandparcnts. Shc told mc that shc had bcgun work
ing as an intcrn in a bank whcn shc was + and ncvcr stoppcd. ! likc to work.
! studicd at night and got my dcgrcc in busincss administration and commu
nications tcchnology. ! just startcd a ncw job with Oi, thc largcst ccll phonc
company in 8razil. ! havc a sta ol vc pcoplc and am thc dircctor ol invoicing
inlormation systcms. ! think thcrc will bc morc room lor advanccmcnt than in
my lormcr job at thc bank.
Shc and hcr brothcr, Mario, who is a prolcssor ol computcr scicnccs in thc
ncarby coastal town ol Angra dos Rcis, arc thc most succcsslul ol all ol Z
Cabos grandchildrcn. Tcir lathcr, Vandcrlcy, Zs cldcst son, lclt thcm and
thcir mothcr whcn thcy wcrc childrcn. Vandcrlcy had a stcady job as a motor-
ista (drivcr) lor thc 8razilian National Housing 8ank (8NH). Hc carncd a
good salary and had cxccllcnt civil scrvicc bcncts, but hc ncvcr contributcd
vicuvv i . : Patricia sitting across thc tablc lrom mc at thc Copacabana sidcwalk cal
thc night wc mct, Scptcmbcr o, :oo8.
[ 4 ] F A V E L A
vcry much to thc childrcns support, and hc rarcly visitcd thcm. Tcir mothcr
and grandmothcr raiscd thcm and, with grcat sacricc, managcd to gct both ol
thcm through privatc school, thc gatcway to univcrsity and prolcssional jobs.
Tcir mothcr is a houscwilc who ncvcr nishcd clcmcntary school. Shc
bakcd birthday cakcs to bring in moncy. Tcy livcd in Madurcira, a low incomc
suburb, but not in a lavcla. Vhcn Patys parcnts marricd, hcr mothcr rcluscd
to movc to Nova 8raslia, so Vandcrlcy movcd in with his wilcs lamily. ncc
thcy had childrcn, thcy movcd to a largcr housc in Pacicncia (scc gurc !.6)
whcrc Patys mothcr still livcs.
Patys unclc Vancy, Zs sccond son, was likc a lathcr to hcr and Mario. Hc
dicd in :oo ol hcart problcmsa dcath which could havc bccn avoidcd il hc
had had bcttcr mcdical carc.
Paty livcs with hcr boylricnd, who has a good job in human rcsourccs and
carns a dcccnt salary. Shc said:
Vc arc rcnting now, but wc arc in thc proccss ol buying an apartmcnt just a littlc
way lrom hcrcup thc strcct lrom whcrc wc livc now. Vc arc not going to havc
childrcn. !t took a lot to gct whcrc wc arc today, and wc want to bc ablc to cnjoy
lilc and not work until wc arc dcad.
My grandlathcr sold his housc in thc bcst arca ol Nova 8raslia so that hc
could dividc thc moncy among his childrcn whilc hc was still alivc. Vith what
rcmaincd, hc startcd all ovcr again, building a ncw housc in a lcss acccssiblc and
morc dangcrous arca ol Nova 8raslia, thcn hc was harasscd into lcaving by thc
drug dcalcrs and thc ccasclcss violcncc on his strcct and in lront ol his housc. . . .
All hc cvcr thought about was improving thc community and taking carc ol his
childrcn. !t didnt gct him anywhcrc. Now hc has nothing lor himscll. ! worry
about his hcalth. ! told him to call mc il hc cvcr nccds anything. 8ut ! dont think
hc will. Hc docs not likc to ask lor hclp . . . hc is a vcry indcpcndcnt pcrson.
Paty insistcd on paying lor our dinncr and thcn took a taxi with mc back to my
apartmcnt, paying lor that as wcll. Shc was taking carc that ! not gct into troublc.
As it was almost midnight whcn wc nishcd talking, shc considcrcd it too dangcr
ous lor mc to rcturn homc alonc. Tis conccrn cncapsulatcs at oncc hcr gcncrosity
to mc as a visitorand lricnd ol hcr grandlathcrsand intcrnalization ol thc lcar
ol violcncc, which had widcncd thc gap bctwccn hcr currcnt lilc and hcr grand
lathcrs lilc. Tc lact that shc has not invitcd Z Cabo to visit hcr Copacabana
apartmcnt or mcct hcr ancc may indicatc that somcwhcrc in hcr mind, shc is still
not a salc distancc away lrom living on thc cdgc.
n January , :oo, Patricia scnt mc an cmail tclling mc shc had just bcgun a
ncw job doing intcrnal systcms auditing at thc Univcrsidadc stcio dc S, a privatc
univcrsity run likc a largc corporation. Shc is thrillcd, as this was thc topic ol hcr
scnior thcsis whcn shc was a studcnt. Shc plans to buy hcr apartmcnt by thc cnd ol
:oo, il shc can aord it.
I N T R O D U C T I O N [ 5 ]
Today, Nova 8raslia is only a minutc drivc lrom Copacabana, but it took
thrcc gcncrations lor Patricia to gct thcrc. Not cvcry grandchild ol thc pcoplc
! mct in my original +6 study has movcd across that dividc as Patricia has
donc. !n lact, hcr achicvcmcnts arc thc cxccption rathcr than thc rulc. Morc
than hall thc grandchildrcn arc currcntly without any work at all and just ovcr
a third ol thcm arc still living in lavclas (hall il you count thosc living in thc
conjuntos habitacionais).
s~nvi x~s s:ovv: vvo: c~:~cu:n~ :o coxj ux:o :o ii :no
Sabrina, whosc grandparcnts migratcd to Rio as Z Cabo did, has not bccn as
lucky, dcspitc many advantagcs not sharcd by othcrs whosc parcnts wcrc born
in lavclas. Hcr lathcr Nilton was born in + in thc lavcla ol Catacumba,
which is situatcd on a hillsidc ovcrlooking thc Lagoa Rodrigo Frcitas, in walk
ing distancc lrom Copacabana. !t was obvious lrom an carly agc that hc was
cxtrcmcly intclligcnt, and his parcnts managcd to scnd him to a privatc Jcsuit
school. Vhcn ! mct Ntilton and cxplaincd what ! was doing thcrc, hc immc
diatcly undcrstood thc valuc ol thc rcscarch and ocrcd to hclp. Hc was uncm
ploycd so hc had timc to work with mc, and hc was always onc stcp ahcad ol
mc. Hc was a closc lricnd ol Margaridas, with whom ! was living, and thc two
ol thcm hclpcd mc undcrstand what ! was obscrving and includcd mc in com
munity partics and wcckcnd trips to thc !sland ol Paquct.
Nilton mct his wilc Ncusa just prior to thc dcmolition ol Catacumba in +o.
As with thc othcr Catacumba rcsidcnts, thcy wcrc assigncd to a small apartmcnt
in onc ol thc housing projccts Quitungo and Guapor, which wcrc scparatcd by
a hillsidc. Tc projccts wcrc composcd ol dozcns ol idcntical vcstory walkups
in undcsirablc arcas ol thc city whcrc land valucs wcrc at a minimum. Nilton
and Ncusa wcnt to Guapor. Vhcn thcy arrivcd, thc walls ol thc building wcrc
unnishcd, thc apartmcnts lackcd doorscvcn bathroom doorsthc oors
wcrc barc concrctc and thc samc kcy opcncd all ol thc apartmcnts.
As soon as hc lclt thc lavcla, Nilton got a job in thc Polcia Militar
(military policc), altcr having bccn turncd down scvcral timcs bclorc. Ncusa
workcd in a scwing lactory during thc wcck and at homc as a scamstrcss on
wcckcnds and cvcnings. ight ycars latcr thcy wcrc rcady to start a lamily.
Sabrina was born in +8, and hcr youngcr sistcr, Samcla, was born vc ycars
latcr. Tc oncbcdroom apartmcnt bccamc too small, and Nilton sold it and
uscd thc moncy to build a housc on thc vacant propcrty bctwccn thc apart
mcnt buildings and thc rivcr that ran alongsidc thcm. Hc built a spacious,
twostory housc with a at opcn rool dcck, and, in short ordcr, scvcral ol
his rclativcs built houscs ncxt to him. vcntually, thcy constructcd a sccurc
lamily compound with a thrcccar garagc and lockcd iron gatcs. Nilton and
Ncusa dccidcd to limit thcir lamily to only two childrcn in ordcr to givc
[ 6 ] F A V E L A
thcm cvcry possiblc advantagc. ! rccall visiting thcm in +, whcn Sabrina
turncd +. Tcy had givcn hcr a dcsktop computcr lor hcr birthday. Vc all
wcnt upstairs to hcr bcdroom whcrc it sat on hcr pink drcsscr, covcrcd in
handwovcn lacc, and thcy showcd it to mc with a mixturc ol pridc and
wondcrmcnt. ! rcmcmbcr thinking how thc luturc and thc past clashcd in
that bcdroom as Nilton cxplaincd that hc had lorbiddcn any intcrnct con
ncction bccausc hc did not want Sabrina to cxchangc mcssagcs with boys.
Tcsc wcrc thc vcry rcasons that parcnts in Arcmbcpc and Abrantcs had
givcn lor not wanting thcir childrcn to lcarn to rcad and writc. ! last spokc
with Sabrina in :oo8. Shc was o ycars old, marricd without childrcn and
without work. Shc was activcly looking lor work and going to intcrvicws,
but shc lclt trappcd. Six ycars carlicr shc had bcgun hcr studics at Univcr
sidadc stcio dc S, onc ol thc thrcc largcst privatc univcrsitics ol 8razil.
Coincidcntally this is whcrc Paty is thc intcrnal systcms auditor.
Sabrina wantcd to bccomc a lawycr. Shc was doing wcll in school but,
during hcr sccond ycar, whilc running to catch a bus homc altcr class, shc
trippcd and lracturcd hcr anklc. Shc did not havc mcdical insurancc, so shc
wcnt to thc public hospital. Shc spcnt two months with hcr lcg in a cast and
scvcral morc months on crutchcs but thc lracturc did not hcal corrcctly, and
whcn hcr parcnts scnt hcr to a privatc doctor, hc told thcm that thc opcra
tion had bccn botchcd and thcrc might bc continuing complications. Shc
was unablc to gct up and down into thc bus and had no othcr way to gct to
thc univcrsity, so shc had to trancar a matricula (takc a lcavc ol abscncc).
Tc cost ol trcatmcnt with thc privatc doctor ncarly dcplctcd thc lamilys
savings. To hclp out, Sabrina bcgan working lor a tclcmarkcting company.
Tcy did not hirc hcr as a rcgular cmploycc, so shc was paid lcss than thc
minimum wagc and rcccivcd nonc ol thc bcncts or protcctions guarantccd
by labor law. Shc workcd +o+: hours a day, six days a wcck, and whcn shc
and thc othcrs dcmandcd thcir rights thcy wcrc told that il thcy did not likc
bcing paid undcr thc tablc, thcy could lcavc.
Altcr thrcc ycars, Sabrina bccamc dcal in onc car lrom thc constant usc
ol carphoncs. Shc was lct go, cvcn though shc had won salcs awards lor two
ol thc thrcc ycars shc workcd thcrc.
Sabrinas boylricnd, who shc mct during night classcs at thc univcrsity,
was working at Unibanco, onc ol 8razils major banks. Hc hclpcd hcr gct
tcmporary work at thc Caixa lcctronica (clcctronic banking scction) ol
Unibanco. !n ordcr to avoid paying thc costs ol lulltimc wagcs and bcn
cts, thc bank kcpt hcr lor just undcr a ycar and thcn hircd somconc clsc.
Hcr boylricnd prcssurcd hcr to marry him, and thcy had a wcdding in :oo.
Tcy could not aord to buy an apartmcnt, so thcy rcntcd a small onc in onc
ol thc apartmcnt buildings ncar Guapor. To makc cxtra moncy, Sabrinas hus
band took a sccond job as a walking sandwich board advcrtiscmcnt.
I N T R O D U C T I O N [ 7 ]
! ncvcr scc my husband, Sabrina told mc, bccausc hc has to work both
jobs to kccp us going. ! am alraid to bc alonc in our apartmcnt. !t is not a
salc arca, so ! stay at my parcnts housc whcn hcs not homc. My mothcr is
also alraid to bc at homc alonc, so thats good lor hcr, too. My lathcr had
rctircd and was working as a privatc night guard, but hc nccdcd to makc
morc moncy so hc is now a travcling salcsman and is away a lot.
Sabrinas promising start to a carccr in law has provcn as lragilc as hcr
anklc bonc and as casily lracturcd. Hcr lamily has movcd out ol thc lavcla
and out ol public housing, and shc now livcs in a lcgally rcntcd apartmcnt
in thc lcgitimatc city. 8ut hcr drcam ol bccoming a lawycr was shattcrcd by
nothing morc than a chancc accidcnt.
Tcsc narrativcs introducc many ol thc ccntral thcmcs ! will cxplorc in thc
pagcs that lollow. 8oth start with lamilics who camc lrom thc intcrior ol
8razil to Rio dc Janciro, a trcnd that has tippcd thc balancc lrom a prc
dominantly rural world to a prcdominantly urban world during thc pcriod
ol this study. 8oth show thc clcar improvcmcnts that cach succcssivc gcn
cration has madc in cducational lcvcls and living standards and thc critical
rolc playcd by jobs in attainmcnt ol thcsc things. And both highlight thc
ongoing multigcncrational strugglc to bccomc gentelitcrally to bccomc
a pcrson, to movc lrom invisiblc to visiblc or lrom a noncntity to a rcspcctcd
human bcing. Sabrina, dcspitc hcr univcrsity studics, which put hcr in thc
top 8 pcrccnt among all thc childrcn in this study,
1
is not considcrcd gcntc,
and thosc lcw, likc Patricia, who sccm to havc madc it arc cvcrvigilant
about thcir prccarious tochold on that status.
Tcsc two vigncttcs also highlight a disastrous dcvclopmcnt lor thc pcoplc
and placcs ! studicd ovcr thc past o ycarsthc risc in violcncc and in lcthal
violcncc in particular. Tc cntrancc ol drug and arms tra c into thc lavclas,
bcginning in thc mid+8os, and thc concomitant high lcvcls ol homicidc havc
pcrmcatcd thc lavclas and thc city at largc with an atmosphcrc ol lcar. Com
pcting drug gangs with sophisticatcd wcaponry lar cxcccding that ol thc policc
usc thc lavclas to conduct and protcct thcir busincss. Tis is illustratcd in Zs
story ol bcing drivcn out ol Nova 8raslia by thc violcncc around his homc
and on his strcct, by Patricias insistcncc on accompanying mc in a taxi back
to my hotcl altcr our dinncr, by Niltons building having a lockcd mctal gatc
to protcct his lamily in Guapor, and by Sabrinas lcar ol staying homc alonc
in hcr apartmcnt. Tc thrcat ol violcncc has slippcd down thc lavcla hillsidcs
and pcrmcatcd daily lilc cvcn in thc classy ncighborhoods ol Copacabana and
!pancma. Not only do pcoplc lccl uncasy walking on thc strccts at night, but
drivcrs arc at such high risk ol bcing muggcd whcn stoppcd at tra c lights that
it has bccomc lcgal to go through rcd lights bctwccn +o v.:. and 6 ~.:.
[ 8 ] F A V E L A
Talking with thc childrcn and grandchildrcn ol thc original study partic
ipants crystallizcd scvcral othcr points as wcll: thc political cynicism ol thc
bcstcducatcd young pcoplc, thc way global standards ol consumption havc
conditioncd pcoplcs nccds, dcsircs, and cxpcctations ol cvcryday lilc, and thc
critical importancc ol jobs as a kcy to thcir luturcs.
:i :v, sv~cv, ~xb cn~xcv
Tis book is bascd on o ycars ol study that havc parallclcd thc largcst popula
tion shilt in thc history ol humankindthc shilt to an urban world. nc hun
drcd ycars ago, only +o pcrccnt ol thc worlds population livcd in citics, now it is
ovcr hall, and by :oo it is projcctcd to bc pcrccnt. \irtually all ol this urban
growth will bc in citics ol thc global South (Asia, Alrica, Latin Amcrica), and
thc majority ol it will bc conccntratcd in inlormal scttlcmcnts, shantytowns
and squattcr scttlcmcnts likc Z Cabos Nova 8raslia and Niltons Catacumba.
Tcsc communitics, which arc gcncrally built incrcmcntally by thc rcsidcnts
on unuscd or undcsirablc lands, do not conlorm to thc norms, standards, and
zoning rcgulations ol thc lormal city (any morc than thc mansions ol thc clitc
do), but thcy arc an intcgral part ol thc urban cconomy, socicty, and polity. !n
many cascs and lor many rcasons, including a boggcddown burcaucracy and
antiquatcd pcrmit proccss, thcy arc bccoming thc norm rathcr than thc cxccp
tion in many citics.
cspitc dccadcs ol policy intcrvcntions by local, statc, and national govcrn
mcnts, intcrnational aid agcncics, and nonprot organizations and community
bascd groups, thc growth ol inlormal scttlcmcnts continucs to outpacc that ol
thc citics at largc. Ncw communitics spring up lastcr than cxisting oncs arc
upgradcd or linkcd into urban scrvicc nctworks.
2
Tc cxclusion ol a billion urban poor pcoplc lrom lull citizcnship rights in
thc citics whcrc thcy livc dcprivcs thcsc citics ol thcsc pcoplcs valuablc intcl
lcctual capital and problcmsolving capacitics, as wcll as a lormidablc numbcr
ol produccrs, consumcrs, and citizcns ol thc polis. And marginalizing lour ol
cvcry tcn urbanitcs in thc global South has ncgativc rcpcrcussions lor pcrsonal
sccurity and cnvironmcntal sustainability that rcach wcll bcyond thc conncs
ol any singlc city or mctropolitan rcgion. High lcvcls ol incquality arc associ
atcd with thc cpidcmic ol violcncc that is constraining thc conviviality and trust
nccdcd to kccp thc social contract intact.
Rclcgating thc urban poor to thc lringcs ol habitability, in swamps, in gar
bagc dumps, in ccmctcrics, on rocky hillsidcs, or in abandoncd lactorics and
o cc buildings has cxaccrbatcd thc damagc to thc alrcadystraincd urban cco
systcm. Vhcrc no provision is madc to incorporatc thc burgconing lowincomc
population or prcparc lor thc thousands still to comc, scttlcmcnts crccp into
arcas ol critical cnvironmcntal importanccalong rivcrbcds, into watcrshcds,
I N T R O D U C T I O N [ 9 ]
into lorcst prcscrvcs, and along baysidc tidal pools. Vhcn such largc numbcrs
ol pcoplc lack suitablc arcas in which to build thcir homcs and lack acccss to
urban watcr and sanitation, thc contamination ol rivcrs, watcrshcds, and bays
by human habitation is incvitablc.
!n thc dcspcratc racc to bccomc global citics with all thc lilcstylc and tcch
nological amcnitics rcquircd to compctc lor invcstmcnts, busincss locations,
and inclusion in thc inlormation socicty, povcrty itscll has bccn criminalizcd,
and incquality has bccomc invisiblc. Tc luturc ol thcsc citics dcpcnds, how
cvcr, as much on how thcy dcal with thcir vulncrablc undcrbcllics as on how
broad thcir broadbands arc. Tc lack ol a wcllcducatcd labor pool, salc drink
ing watcr, rcliablc clcctric powcr, or opcn spacc may dctcr invcstmcnt, but thc
lcar ol gctting killcd on thc way to work or having oncs child muggcd on thc
way homc lrom school is a much largcr conccrn.
Tc mirror imagc ol thcsc problcms ol thc citics ol thc South may bc lound
in thc citics ol thc global North. As thc collagc (gurc !.) implics, cvcry
rstworld city has within it a thirdworld city ol high inlant mortality,
malnutrition, uncmploymcnt, homclcssncss, and contagious discascs, and cvcry
thirdworld city has within it a rstworld city ol high nancc, high tcchnol
ogy, high lashion, and high culturc. Tc urban qucstion is how thcsc two worlds
might intcrlacc with cach othcr to crcatc a divcrsc, vibrant, convivial city that
works lor cvcryonc.
!n addrcssing thc qucstion ol thc cxclusion ol Rios poor, it hclps to bcttcr
undcrstand thc dynamics ol urban povcrty, as wcll as thc dynamics ol urban
prospcrity. Much rcscarch has bccn donc toward this cnd, and many cxccllcnt
books havc bccn writtcn, yct thc mystcry ol how an inclusivc city with libcrty
and justicc lor all might comc into bcing rcmains unsolvcd.
Tis book is thc rcsult ol dccadcs ol rcscarch lollowing hundrcds ol pcoplc
who, drawn by thc magnctism ol Rio dc Janciro, madc thcir homcs in thc intcr
stitial spaccs lclt vacant by thc urban clitc. 8y tracing thc lilc historics ol thcsc
mcn and womcn whom ! originally intcrvicwcd in +68 in Rios lavclas ! havc
tricd to go bcyond a onctimc, snapshot vicw and scc thc connccting thrcads
ol changcs across timc and spacc. 8y intcrvicwing childrcn and grandchildrcn
ol thc original rcspondcnts, ! havc sought to addrcss qucstions rcgarding intcr
gcncrational transmission ol povcrty. And by looking ancw at thc currcnt popu
lation composition ol thc thrcc communitics studicd, ! havc cndcavorcd to scc
how thcsc placcs thcmsclvcs havc changcd and whcthcr thc gap bctwccn thcm
and thc rcst ol thc city has narrowcd or widcncd.
:nv ovici x~i s:ubv
Tc thrcc lavclas ! sclcctcd lor my original rcscarch in +686 wcrc locatcd in thc
thrcc arcas ol Rio dc Janciro in which poor pcoplc could thcn livc: (+) Catacumba,
[ 1 0 ] F A V E L A
a lavcla on a stccp hill in thc wcalthy South Zonc, (:) Nova 8raslia, a lavcla on a
scrics ol rolling hillsidcs in thc industrial North Zonc, and () uquc dc Caxias,
a scparatc municipality, mostly at, on thc northcrn bordcr ol thc city ol Rio in a
swampy rcgion known as thc 8aixada Flumincnsc (thc Lowlands ol thc Statc ol
Rio), whcrc ! studicd thrcc lavclas and vc unscrviccd subdivisions callcd lotca
mcntos. (Scc gurc +.6 lor thc locations ol thc thrcc arcas and thc rclativc locations
ol thc zoncs.)
Tc origins ol cach scttlcmcnt lollowcd thc pattcrn ol Rios cxpansion outward
lrom thc ccntcr: Catacumba was scttlcd mostly in thc +os (although somc
houscs had bccn thcrc sincc thc +os), Nova 8raslia in thc +os, and thc lavc
las ol Caxias in thc +6os. Tcir dcnsity was invcrscly proportionatc to thcir agc
and proximity to thc ccntcr. At thc timc ol thc study, Catacumba had a dcnsity
ol ++o,ooo inhabitants pcr squarc kilomctcr (thc cntirc lavcla was only + squarc
kilomctcr), Nova 8raslia had ,ooo inhabitants pcr squarc kilomctcr, and Caxias
had +,oo inhabitants pcr squarc kilomctcr, though its dcnsity droppcd radically
lrom thc ccntcr outward. !n thc cntirc municipality ol Caxias, covcring : squarc
kilomctcrs, thcrc wcrc only 6oo,ooo pcoplc.
To put thcsc gurcs in pcrspcctivc, thc dcnsity in Rio city today is considcrcd
high at . inhabitants pcr squarc kilomctcr, whcrcas thc dcnsity in Rios lavclas is
almost +o timcs highcr, at +. inhabitants pcr squarc kilomctcrjust about what
Nova 8raslia was in +68.
3
vicuvv i . vcry thirdworld city contains a rstworld city, and cvcry rstworld
city contains a thirdworld city. (Collagc crcatcd lor thc McgaCitics Projcct by Stcphan
Hawranick, +o)
GDADE DE
DEUS
CATACUMBA
NOVA BRASLIA
QUINTUNOOE GUHPORE
DU QUE
DECAXIAS
PACIENCIA
PA1=the center PA2=the South zone PA3=the North zone PA4=Barra de Tijuca PA5=the West zone
vicuvv +. 6 Rio dc Janciro zoncs (planning arcas) with study sitcs. (Courtcsy ol !nstituto Pcrrcira Passos, :oo8)
[ 1 2 ] F A V E L A
! spcnt six months living in cach ol thc thrcc arcas. !n Catacumba ! livcd in
onc ol thc woodcn shacks (barracos) with Margarida, a maid who workcd in
Copacabana, hcr brothcr and hcr two childrcn (gurc !.). Vhcn ! rcturncd in
+, thcy had bccn movcd to an apartmcnt in thc govcrnmcnt housing projcct
namcd Quitungo (scc gurc !.).
! hircd and traincd a cld tcam sclcctcd lrom among thc studcnts in thc
rcscarch mcthods courscs ! ocrcd at thc 8razilian !nstitutc ol Municipal
Administration and thc Gctulio \argas Foundation. Togcthcr wc intcr
vicwcd o pcoplc. !n cach arca, ! drcw a random samplc ol :oo pcoplc,
mcn and womcn +66 ycars ol agc, and a lcadcrship samplc ol o pcoplc
sclcctcd according to thcir position as dircctors ol communitybascd orga
nizations or thcir rcputation as an opinion lcadcr to whom othcrs turncd
lor advicc.
4
Troughout this book ! rclcr to thcsc two groups as thc random and
lcadcrship samplcs. My intcnt was to comparc thc lilc trajcctorics ol thc
ordinary rcsidcnts with thosc ol thc lavcla clitc, who tcndcd to bc prc
dominantly malc, oldcr, havc lightcr skin, bc bcttcr cducatcd and havc
highcr incomcs.
5
For both samplcs wc uscd a dctailcd survcy instrumcnt, which includcd a
ycarbyycar lilc history matrix tracing changcs in rcsidcntial, occupational,
cducational and lamily history lrom thc birth ol cach pcrson to thc momcnt
ol thc intcrvicw.
6
! intcgratcd thc rcsults with dozcns ol opcncndcd intcr
vicws, contcxtual intcrvicws rcconstructing thc historics ol thc communi
tics and cxisting ccnsus data, maps, documcnts, and publications.
7
:nv :v:n ov :~vci x~ii :v
Vhat ! discovcrcd lrom that rcscarch bccamc thc corc ol Te Myth of Margin-
ality: Urban Po.erty and Politics in Fio de Janeiro (+6).
8
Tis book was part ol
a critiquc ol thc prcvailing vicw ol thc urban poor and thc irrcgular scttlcmcnts
in which thcy livcd.
9
!n thc dcvclopmcnt litcraturc, migrants lrom thc coun
trysidc wcrc sccn as maladaptcd to modcrn city lilc and thcrclorc rcsponsiblc
lor thcir own povcrty and lailurc to bc absorbcd into lormal job and hous
ing markcts. Squattcr scttlcmcnts wcrc sccn as syphilitic sorcs on thc bcautilul
body ol thc city, dcns ol crimc, and brccding grounds ol violcncc, prostitution,
lamily brcakdown, and social disorganization. !t was thc lcar ol thc Right and
thc hopc ol thc Lclt that thc disparity bctwccn thcir conditions and thc sur
rounding opulcncc would turn thc squattcrs into angry rcvolutionarics.
10
Tc
population at largc vicwcd thc squattcrs as other, rathcr than as part ol thc
urban community, and this vicw was lcgitimizcd by social scicntists and uscd
to justily public policics ol lavcla rcmoval. Marginality thus movcd bcyond thc
simply dcscriptivc to bccomc a matcrial and idcological lorcc.
I N T R O D U C T I O N [ 1 3 ]
vicuvv i . Closcup ol thc lavcla ol Catacumba, +68, showing thc barraco
(shack) whcrc ! livcd with Margarida, hcr two childrcn, and hcr brothcr.
[ 1 4 ] F A V E L A
8cginning in thc mid+6os, scvcral scminal writcrs, including Jos Nun,
Anibal Quijano, Manucl Castclls, Florcstan Fcrnandcs, and Fcrnando Hcn
riquc Cardoso, challcngcd this convcntional wisdom. mpirical studics ol
Latin Amcrican citics including Rio dc Janciro, Salvador, Sao Paulo, Santiago,
8ucnos Aircs, Lima, 8ogot, Mcxico City, and Montcrrcy scrvcd to discrcdit
thc propositions ol marginality and thc crroncous stcrcotypcs surrounding thc
urban poor. Villiam Mangin and Robcrt Morsc cach publishcd rcvicw articlcs
on thc subjcct in thc mid+6os and carly +os. Tcsc picccs, along with my
own work, showcd how thc conccpt ol marginality was bcing uscd in acadcmic
and public policy discoursc to blamc thc victim. Vc dcmonstratcd that thcrc
was a logic and rationality to thc attitudcs and bchaviors ol thc pcoplc living
in thc slums, and that thcrc wcrc strcngths and asscts in thc squattcr scttlc
mcnts ol Latin Amcrica that bclicd thc stcrcotypical dccits, dccicncics, and
pathologics.
My study rcvcalcd that rcsidcnts ol lavclas arc not marginal to socicty but
tightly intcgratcd into it, albcit in an asymmctrical manncr. Tcy givc a lot and
rcccivc vcry littlc. Tcy arc not on thc margins ol urban lilc or irrclcvant to its
lunctioning, but activcly cxcludcd, cxploitcd, and marginalizcd by a closcd
social systcm. !n dcmonstrating that thc ncgativc stcrcotypcs uscd as a justi
vicuvv i . My rcunion with Margarida and hcr husband in + in thc Conjunto dc
Quitungowhcrc thcy wcrc rclocatcd thrcc ycars carlicr whcn Catacumba was cradicatcd.
Shc is holding a Polaroid photo ! havc just takcn ol hcr lamily.
I N T R O D U C T I O N [ 1 5 ]
cation lor thc lavcla cradication policics wcrc lalsc, ! hopcd that thc lavclas
might bc grantcd land tcnurc so thcy could grow into thriving working class
communitics intcgratcd into thc rcst ol thc city.
As it happcncd, pcoplc did not gct land titlcs (though massivc rcmoval did
stop by thc cnd ol thc +os), lavclas and thcir populations continucd to grow
lastcr than thc rcst ol thc city, and thc stigma against thcm (and lcar ol prox
imity to thcm) incrcascd sharply altcr thc risc in drug tra c and violcncc that
bcgan in thc mid+8os.
Mcanwhilc, thc rcsults ol a varicty ol wcllintcntioncd povcrty allcviation
policics and programs wcrc disappointing, lcaving city, statc, and national gov
crnmcnts and multilatcral agcncics wondcring what to do. vcn as slums wcrc
upgradcd, ncw oncs wcrc growing, and thcrc was a scnsc ol lutility at bcing
bchind thc curvc.
!t was cxciting to think about how a rcstudy ol thc samc individuals
11
altcr
o ycars could providc a timclapsc vicw ol what had happcncd to thcm and
why. Povcrty is not a static statc, and vcry littlc is known about thc dynamics
ol urban povcrty across gcncrations. Fcw longitudinal studics cxist on urban
shantytowns, and thosc that do tcnd to study thc samc communitics but not
thc samc individualslailing to addrcss thc changc proccss.
12
Tc 8razilian
ccnsus burcauthc 8razilian !nstitutc ol Gcography and Statisticsconducts
a ccnsus cvcry +o ycars and a ycarly houschold survcy callcd thc National
Rcscarch by Houschold Samplc (Pcsquisa Nacional por Amostra dc omic
lios). Although this is vcry usclul lor many purposcs, it is bascd on a ncwly
drawn random samplc cach ycar, making it impossiblc to lollow thc samc pco
plc ovcr timc, much lcss cxplorc what happcns to thcir dcsccndants.
13
nly a pancl study ol thc samc pcoplc, thcir childrcn, and thcir childrcns
childrcn can bcgin to rcvcal how pattcrns ol contcxt, attitudcs, bchavior, and
luck play out in thc strugglc to ovcrcomc thc cxclusion and dchumanization
ol povcrty.
vv:uvxi xc o vv~vs i~:vv: :nv vvs:ubv
!n +, ! wcnt to Rio to tcst thc lcasability ol nding thc original study par
ticipants altcr o ycars. Finding positivc rcsults, in :ooo, ! mountcd a rcscarch
tcam in Rio and initiatcd a lullcdgcd cort to locatc as many ol thc o
original study participants as possiblc.
Catacumba, whcrc land valucs wcrc thc highcst, had bccn cradicatcd in +o
and its inhabitants rclocatcd into conjuntos (govcrnmcnt housing blocks). Nova
8raslia bccamc part ol thc Complcxo dc Alcmao, an cnormous mcrging ol ++
lavclas, which bccamc inlamous lor its high dcgrcc ol drugrclatcd violcncc and
thc lack ol govcrnmcnt social programs, inlrastructurc invcstmcnt, or protcc
tion ol pcrsonal salcty. Tc lavclas ol Caxias rcmaincd thc poorcst ol all thc
[ 1 6 ] F A V E L A
study sitcs. Tc pcoplc who had bought or rcntcd a lot in thc unscrviccd subdi
visions (lotcamcntos) cndcd up doing bcst ol all thc original intcrvicwccs. Tc
sccond bcst wcrc thosc who wcrc brought up in Catacumba and had thc lilc
long advantagc ol thc contacts and nctworks thcy had dcvclopcd whilc living
thcrc.
Finding thc pcoplc was a daunting proccss. !t would bc hard cnough to locatc
anybody altcr o ycars, but thc lact that lavclas do not havc strcct addrcsscs and
that ! had omittcd pcoplcs last namcs to protcct thcir anonymity at thc timc
ol thc original study) madc it all thc morc so. And wc had scrious conccrns
about thc salcty ol cntcring thc lavclas duc to thc violcncc that had ariscn with
thc risc ol thc drug tra c in thc mid+8os. Tcrc wcrc many days whcn wc
planncd to bc working in thc communitics and wcrc told it was too dangcr
ous to comc as thcrc was a war going on that day bctwccn drug lactions or
bctwccn thc policc and thc dcalcrs.
Vc uscd many dicrcnt approachcs and kcpt lollowing up on lcads lor thc
ncxt two ycars. Altcr sccuring pcrmission to cntcr thc communitics, wc bcgan
by putting up largc colorlul postcrs saying that wc wcrc cagcr to mcct pcoplc
who had participatcd in thc +68 study. Tc postcr lcaturcd a photo ol mc (thc
way pcoplc intcrvicwcd would havc rcmcmbcrcd mc) lrom that timc and thc
covcr ol thc 8razilian papcrback cdition ol my book, which ! had givcn to many
ol thc study participants.
Fortunatcly, duc to a ncwspapcr story about my rcturn to Rio to lollow up on
my lavcla study, ! was invitcd to bc intcrvicwcd on thc popular 8razilian tclcvi
sion show Fantstico. Tat gavc mc thc opportunity to rcach a hugc audicncc
and appcal to vicwcrs to call in il thcy or somconc thcy kncw had bccn part ol
thc original study. Likcwisc, ! spokc on popular radio stations and community
radio, and wc postcd ads in thc most widcly rcad ncwspapcrs in thc communi
tics. Tcn, lor onc Sunday altcrnoon in cach placc our tcam rcntcd a van with a
loudspcakcrthc typc uscd in clcctoral campaignsand drovc around cach ol
thc communitics announcing a barbccuc that altcrnoon and asking lor hclp in
our scarch lor original study participants.
Simultancously with thosc unconvcntional outrcach corts, ! bcgan to con
tact thc lamilics with whom ! had livcd in cach lavcla and thc lricnds with
whom ! had maintaincd contact ovcr thc ycars. Somc ol thcm or thcir lricnds,
ncighbors, or childrcn wcrc intcrcstcd in hclping with thc scarch, so ! traincd
and hircd thcm.
!n thc proccss ol scarching lor an individual, thc rst stcp was to look
lor thc location ol thc homc. Tis was complicatcd by thc lact that many ol
thc dwcllings had no numbcrs or strcct namc at all, and cvcn whcn wc had
a partial addrcss, thc strccts and numbcring had long ago changcd or bccn
rccongurcd, oltcn scvcral timcs ovcr. ncc thc housc was locatcd, wc had
a ltylty chancc ol nding thc samc lamily still thcrc. !l not, wc askcd il
I N T R O D U C T I O N [ 1 7 ]
vicuvv i . Tc postcr, titlcd LTS MT AGA!N! rcads !l you participatcd in
this study or know anyonc who did, hclp us rccupcratc thc history ol your community
by contacting |namc ol spccic pcrson in cach community|.
[ 1 8 ] F A V E L A
anyonc kncw whcrc thc lamily had gonc or how to contact any rclativc or
lricnd. Vc wcnt to thc local hangouts, thc corncr storcs, bars, community
organizations, cvangclical churchcs, terreiros (ccntcrs lor Alro8razilian rcli
gious ccrcmonics such as condombl or macumba), and socccr gamcs.
Vc ran into thc problcm ol nding lalsc positivcs: pcoplc with thc samc
rst namc and gcncral location who had not actually participatcd in thc study
but did not rcmcmbcr whcthcr thcy had participatcd or not. To avoid this, wc
wcnt back to thc original handwrittcn qucstionnaircs lrom +68 and composcd
short prolcs ol cach ol thc o pcoplc intcrvicwcd. ach prolc gavc thc pcr
sons namc, houschold location, and birthplacc and namcs ol all his or hcr lam
ily mcmbcrs at that timc. Tc scouting tcam took thcsc lists with thcm whcn
thcy wcnt to thc communitics.
Vc managcd to nd + pcrccnt ol thc o study participantsan
cxtraordinary lcat, givcn that altcr o ycars, and undcr thc di cult condi
tions wc wcrc working, it would bc considcrcd a succcss il wc lound morc
than pcrccnt ol thcm. About hall ol thosc wc lound wcrc still living in
thc samc homc thcy had bccn living in o ycars bclorcin Nova 8raslia,
Caxias, or, in thc casc ol Catacumba, thc samc apartmcnt in thc conjunto
to which thcy had had bccn assigncd in +o whcn thcir lavcla community
was cradicatcd.
Tc most di cult placc to nd pcoplc was in thc subdivisions ol Caxias,
whcrc pcoplc tcndcd to bc morc individualistic and isolatcdhaving ncvcr
nccdcd to mobilizc to rcmain in placc or to gct urban scrviccs. Although
Catacumba was thc onc lavcla to havc bccn uprootcd, it was thc onc that had
thc strongcst community tics, so thc succcss ratc thcrc was thc highcst.
My scarch lor original study participants took mc across thc cntirc statc
ol Rio and to Joao Pcssoa (Paraba), Natal (Rio Grandc dc Nortc) 8ras
lia, 8clo Horizontc (Minas Gcrais), Porto Alcgrc (Rio Grandc doSul), and
So Paulo. Tcy had lclt lor jobs clscwhcrc or to cscapc thc violcncc, oltcn
rcturning to thcir placc ol origin or that ol thcir spousc. Vith two cxccp
tions, thcsc wcrc thc poorcst lamilics in thc cntirc study.
i x bvvvxsv ov i x:vvcvxvv~:iox~i i xvvs:ic~:iox
Vhcn wc had rcintcrvicwcd all ol thc original study participants and com
parcd thcir attitudcs, bchaviors, knowlcdgc, and lcvcl ol living in +6 and
in :oo+, wc laccd a conundrum. Sincc cvcryonc was : ycars oldcr it was
di cult to asccrtain whcthcr thc changcs wc lound wcrc thc rcsult ol thcir
bcing at a dicrcnt stagc in thc lilc cyclc (many wcrc living on pcnsions
and no longcr in thc job markct), thc rcsult ol changing conditions in thc
social, political or cconomic contcxt, or thc rcsult ol a dicrcnt logic ol
intcgration ol lavcla rcsidcnts into thc largcr urban labric. Vc wcrc ablc to
I N T R O D U C T I O N [ 1 9 ]
bcgin addrcssing thcsc qucstions only by looking at thcir childrcn who wcrc
approximatcly thc samc agc at thc timc ol thc rcstudy (mcan agc ol o) as
thcir parcnts had bccn during thc initial study (mcan agc ol 6).
Tc rcsults ol thc intcrvicws with thc ncxt gcncration wcrc disappointing.
Tc childrcns livcs wcrc bcttcr than thcir parcnts had bccn in somc ways
but worsc in many othcrs, and ccrtainly did not livc up to thc cxpcctations
lor which so many sacriccs had bccn madc. Rcluctant to writc a dcprcssing
saga with a hopclcss cnding, ! considcrcd thc possibility that duc to thc high
dcgrcc ol incquality in Rio and in 8razil and thc multiplc stigmas ol bcing
migrants, bcing poor, living in a lavcla, and pcrhaps having dark skin color,
it might takc two gcncrations lor upward social mobility to appcar. Vith
that in mind ! wcnt ahcad with thc idca to intcrvicw thc grandchildrcn ol
thc original samplc. Tcir mcan agc in :oo+ was :, and ! thought that thcy
might bc thc oncs to lulll thc hopcs ol thcir grandparcnts. !n chaptcr !
prcscnt what wc lound lrom looking at all thrcc gcncrations togcthcr.
All thc intcrvicws with thc thrcc gcncrations wcrc conductcd in :oo+
o:. Howcvcr, ! was still lclt with doubts as to whcthcr thc changcs in thc
livcs ol this group ol lamilics might bc mislcading duc to thc lact that ! had
lound lcss than hall ol thc participants lrom thc original study (+ pcrccnt).
!t was possiblc that my ndings would all bc biascd toward thc most suc
ccsslul or lcast succcsslul. For cxamplc, pcrhaps thc bcst had all movcd up,
out, and away and thosc ! had bccn ablc to nd wcrc thc oncs who had thc
worst livcs and bccn lclt bchind. r, on thc contrary, pcrhaps thc poorcst
had bccn lorccd out and wcrc living on thc strccts, undcr bridgcs, or in shop
doorways (as is lrcqucntly sccn in Rio altcr dark) and thosc ! had bccn ablc
to nd wcrc thc succcss storics.
8y looking at what had changcd in thc cntirc population ol thc thrcc
study communitics, ! hopcd to addrcss this unccrtainty. Tat way, rathcr
than tracing thc ups and downs only in thosc lamilics wc happcncd to nd,
! would bc ablc to comparc thc ovcrall composition ol thc samc placcs in
+6 and in :oo. Vith thc hclp ol a sociology prolcssor lrom thc Statc
Univcrsity ol Rio dc Janciro whosc spccialty is rcscarch mcthods, wc drcw
ncw random samplcs in cach ol thc original study communitics. For Cat
acumba, which was no longcr in cxistcncc, wc uscd thc conjuntos ol Qui
tungo and Guapor, whcrc thc majority ol Catacumbas rcsidcnts had bccn
placcd. Nova 8raslia had cxpandcd upward and outward but was still in thc
samc location. Tc thrcc lavclas and vc subdivisions in Caxias wcrc also
in thc samc locations, although thc lavclas had also grown bcyond thcir
original boundarics. To account lor thc growth in sizc ol all ol thcsc scttlc
mcnts, wc doublcd thc sizc ol thc random samplc in cach sitc lrom :oo
to oo and, duc to thc dccrcascd numbcr ol communitybascd organiza
tions, wc rcduccd thc lcadcrship samplc by halllrom o to :. Vc thcn
[ 2 0 ] F A V E L A
lollowcd thc samc proccdurcs ! had uscd in +686sampling lrom mcn
and womcn +66 ycars old.
Vhcn thc ndings ol this placcbascd rcscarch conrmcd thc multi
gcncrational ndings, ! nally lclt condcnt that thc study rcsults corrc
spondcd as closcly as possiblc to rcality and wcrc not an artilact ol thc
vicwcrs cyc.
14
!n :ooo, as a visiting scholar at thc Vorld 8ank, ! was ablc to analyzc
my data and givc pcriodic talks to various groups ol cxpcrts, bcncting lrom
thcir lccdback. vcn with thc analysis ol thc communitics and thc lamilics,
! rcmaincd puzzlcd about why and how somc pcoplc managcd to bccomc
morc succcsslul than othcrs. Using thc aggrcgatc data and statistical ana
lytical tools providcd somc clucssuch as thc importancc ol thc parcnts
cducational lcvclbut could not providc thc nuanccd insights nccdcd to
undcrstand thc issuc in its lull complcxity.
To gurc out why somc did bcttcr than othcrs, wc dccidcd to conduct
indcpth opcncndcd intcrvicws with thc most succcsslul and lcast succcss
lul individuals lrom thc original intcrvicwccs. ! did this during :oo, with
a young Carioca anthropologist. Vc tapcd and transcribcd thc intcrvicws
and uscd thcm to look lor pattcrns that might not havc bccn cvidcnt lrom
thc survcy qucstionnaircs. Vc lound that location, nctworks, lamily valucs
and individual dicrcnccs, along with just plain luck, had a lot to do with
upward or downward mobility.
Tc nal part ol thc rcscarch was conductcd in :ooo8, altcr ! had
alrcady bcgun writing this book. uring thc analysis ol thc cthnographic
and statistical data and thc writing ol various chaptcrs, ! rcturncd to Rio
scvcral timcs to lollow thc kcy protagonists ol this book and to intcrvicw
policymakcrs and NG lcadcrs about thcir idcas and community intcrvcn
tions. ! was intcrcstcd in sccing what currcnt and luturc dircctions might
hold promisc in hclping to ovcrcomc thc barricrs pcrpctuating povcrty and
cxclusion. ! also conlcrrcd with my 8razilian acadcmic collcagucs doing
rcscarch in this cld to lcarn how thcy intcrprctcd thc changing rcalitics ol
lilc lor thc urban poor.
At thc cnd ol Scptcmbcr :oo8, whcn thc book was ncarly complctcd, ! was
invitcd to givc a coursc at thc ncwly crcatcd School ol Public Policy ol thc Rio
municipality lor cxpcrts in thc arca ol lavclas and lavcla policy. Tc coursc was
lrcc, and thc participants wcrc sclcctcd by thc coursc sponsors to rcprcscnt a
mixturc ol policymakcrs, program administrators, planncrs, activists, and aca
dcmics. uring this wccklong intcnsivc coursc, thc idcas lor this book wcrc
tcstcd and honcd. !t was a wondcrlul twoway lcarning proccss. 8clorc rcturn
ing to Ncw York, ! spcnt anothcr wcck mccting with thc grandchildrcn ol thc
lamilics ! kncw bcst and making surc wc could stay in touch by cmail oncc !
was back homc.
I N T R O D U C T I O N [ 2 1 ]
Tc chaptcrs that lollow arc looscly organizcd into lour parts. Tc rst two
chaptcrs providc thc sctting lor thc book. !n chaptcr +, ! rclatc thc his
tory ol lavclas, thc carly attcmpts to dcmolish thcm, and thc variations ol
urban inlormality, raising thc qucstion ol which citizcns havc a right to thc
city. !n chaptcr :, ! look at thc urbanization ol thc global population. Tc
chaptcr is structurcd likc a lunncl, starting with thc rapid urbanization ol
thc global South, thcn situating Latin Amcrica within thc trcnds in Asia
and Alrica, situating 8razil within Latin Amcrica, and nally situating Rio
dc Janciro within 8razil. Vhilc cach cityand cach squattcr scttlcmcnt
has its own individual historical, cultural, and political/cconomic spccicity,
thc challcngcs conlrontcd arc su cicntly similar lor thc ndings prcscntcd
hcrc to provokc a rcthinking ol inlormal scttlcmcnts cvcrywhcrc.
Tc sccond part ol thc book consists ol thc storics ol thc thrcc com
munitics and introduccs onc ol thc carly loundcrs ol cach, who act as our
guidcs into this unchartcd tcrritory ol untold historics. Chaptcr tclls ol
thc initial scttlcmcnt ol Catacumba, a hillsidc lavcla in onc ol thc most
dcsirablc locations in thc cityand ol how it dcvclopcd, how its rcsidcnts
mobilizcd to dcmand urban scrviccs, and how all +o,ooo ol thcm wcrc lorc
ibly rcmovcd in +o and rcscttlcd in distant conjuntos. Chaptcr is thc
contrasting story ol Nova 8raslia, a lavcla in thc northcrn industrial zonc
ol thc city that has bccomc part ol an cnormous complcx ol contiguous
communitics now inlamous lor its high dcgrcc ol lcthal violcncc. Chaptcr
is about uquc dc Caxias, a municipality in thc 8aixada Flumincnsc, just
north ol thc city ol Rio, whosc cconomy and population havc grown cxpo
ncntially sincc thc rst study. ! lound divcrgcnt historics bctwccn thc thrcc
lavclas and thc vc lowcost lotcamcntos that ! studicd thcrc: thc lavclas
havc bccomc trappcd bctwccn drug gangs, cxtortionist militias, and corrupt
policc, and thc lotcamcntos havc bccomc intcgratcd into thc surrounding
workingclass ncighborhoods. Togcthcr, thcsc thrcc chaptcrs illustratc thc
critical importancc ol placcol dicrcnccs in locality and lcgitimacyin
structuring opportunitics and constraints lor individuals.
Tc third part ol thc book is organizcd around kcy thcmcs that cmcrgcd
as carly as thc prctcst ol this study. Chaptcr 6 is about thc translorma
tion ol marginality lrom myth to rcality. !n it ! tracc thc mctamorphosis
ol marginality as a conccpt and show how thc conation ol its mcan
ing with criminality has comc lull circlc with thc risc ol drug gangs in
thc lavclas. !n chaptcr , ! addrcss thc most dcvastating changc that has
occurrcd ovcr lour dccadcsthc risc ol thc drug and arms tra c in thc
lavclas and thc takcovcr ol community control by organizcd narcotra c
or scllappointcd militias or both. Tc loss ol trust, community unity, and
lrccdom ol movcmcntand thc crosion ol social capitalarc among thc
conscqucnccs ol this ncw (dis)ordcr and ol thc inability or unwillingncss
[ 2 2 ] F A V E L A
ol thc statc to providc pcrsonal salcty and public sccurity in thc spacc ol
thc lavclas. Chaptcr 8 addrcsscs thc thorny qucstions ol gcographical and
sociocconomic mobility. ! cxplorc what aspccts ol lilc havc gottcn bcttcr or
worsc lor thc pcoplc in this study and contrast thcir own pcrccptions with
various mcasurcs ol succcss. !n chaptcr , ! talk about thc disappointmcnt
with dcmocracy among thc urban poor. ! show how lavcla rcsidcnts rcmain
pscudocitizcns who havc yct to rcap thc bcncts ol 8razils +8 rcturn to
dcmocracy. ! idcntily a disconncct bctwccn bclicls and bchavior rcgarding
political participation (cspccially in thc youngcst, bcstcducatcd gcncra
tion), a cynicism brcd ol thc unhiddcn corruption and injusticc witncsscd
on a daily basis.
Tc nal part ol thc book placcs thc discussions ol thc carlicr chaptcrs in
thc contcxt ol globalization and tcascs out thc thcorctical and policy impli
cations ol thosc ndings. !n chaptcr +o, ! cxplorc thc rclationship bctwccn
povcrty, incquality, and globalization, looking particularly at how thc pcoplc
in this study think about thc rclcvancc ol globalizationand its positivc and
ncgativc conscqucnccslor thcir livcs. Chaptcr ++ providcs an ovcrvicw ol
lavcla policics lrom rcmoval to upgrading, tracing thc lcarning curvc and
thc pragmatic as wcll as idcological changcs that lcd to this rcvcrsal. ! arguc
that whilc moving to housing projccts was dcvastating in thc short run, it
turncd out to bc a stcppingstonc to lcgitimacy and upward mobility in thc
long run, and that Favcla8airro, a largcscalc upgrading projcct, would
havc had bcttcr rcsults il thc invcstmcnt had bccn madc in pcoplc rathcr
than cnginccring and architcctural inlrastructurc. ! addrcss thc qucstion
Vhat is to bc donc: challcnging thc assumption that all problcms can bc
addrcsscd through wcllinlormcd public policy. !n chaptcr +:, ! conlront
thc lundamcntal issuc ol how povcrty has bccn construcd to dcny pcrson
hood and how thc urban poor strugglc to bccomc gcntc, to attain thc status
ol a human bcing worthy ol rcspcct and dignity.
No mattcr how many obstaclcs thcy lacc, thc pcoplc ! intcrvicwcd lor
this book arc lull ol hopc lor thc luturc. Tcir optimism in contagious
whilc lcw think that lilc in 8razil or Rio will bccomc bcttcr in thc ncxt vc
ycars, a majority think that thcir communitics will bc bcttcr and almost
cvcryonc thinks that thcir own livcs will bc bcttcr. Figurc +.8 shows thc
community lcadcr in thc lavcla ol \idigal, bcaming with pridc in what hc
and his community havc alrcady achicvcd and looking lorward to grcatcr
achicvcmcnts yct to comc.
I N T R O D U C T I O N [ 2 3 ]
vicuvv i . 8 Vclcomc to thc Cidadc Maravalhosathc Marvcllous City! A lavcla lcadcr
proudly shows mc thc ncw dcvclopmcnts ovcr thc past dccadcs, inadvcrtcntly mirroring
thc outstrctchcd arms ol thc Corcovado on thc mountaintop bchind him (:oo).
one
Deep Roots in Shallow Soil
n a hill callcd Canudos in thc northcast rcgion ol 8razil, a bush with spikcd
lcavcs and oilyiclding nuts survivcs in stony soil. !t is a lavcla bush, and it
providcs lood lor ocks ol small, grccnlcathcrcd !llingcrs macaws. Tis hardy
bush is vcry likcly thc sourcc ol thc 8razilian namc lor thc squattcr scttlcmcnts
that grow along thc hillsidcs and in thc lowlands ol Rio dc Janciro, Sao Paulo,
and othcr 8razilian citics. Likc thcir namcsakc, thc lavcla communitics thrivc
on littlc and providc sustcnancc to many. To tcll thcir story, a bit ol history is
in ordcr.
n May +, +888, thc 8razilian monarchy signcd thc Goldcn Law, abolish
ing slavcry altcr morc than oo ycars. Tis act lclt thousands ol lormcr slavcs
wandcring around thc intcrior backlands ol thc Northcast with ncithcr occu
pations nor rcsourccs. uring thc latc +8os, and again during thc latc +88os,
droughts brought dcath to a hall million pcoplc in thc intcrior. Landowncrs
madc moncy mcting out watcr lor drought rclicl and othcrwisc cxploitcd thosc
lacking moncy or inucncc.
!n +88, a bloodlcss military coup ovcrthrcw thc 8razilian cmpcror on
Pcdro !! and cstablishcd a rcpublic backcd by thc landowning clitcs. !nto this mix
strodc Antonio \inccntc Mcndcs Macicl, latcr known as Antonio Consclhciro
D E E P R O O T S I N S H A L L O W S O I L [ 2 5 ]
(thc Counsclor). Tc son ol a 8ahian cattlc ranchcr, Antonio Consclhciro bccamc
a pcripatctic prcachcr, wandcring thc 8razilian backlands and prcaching thc prc
cmincncc ol God, thc prcdominancc ol sin, and thc promisc ol pcnancc.
Altcr ycars ol this nomadic cxistcncc, thc Counsclor scttlcd in Canu
dos, bclow Montc Favcla, and thcrc hc crcatcd a millcnarian outpost. Tc
soil ol Canudos was lcrtilclcd by undcrground artcsian wclls and by thc
\asa 8arris Rivcr. Tousands lollowcd himlandlcss larmcrs, lrccd slavcs,
disgruntlcd workcrs and indigcnous pcoplcs. Tc Canudos community was
run without moncy, without alcohol, and with a minimum ol sinand it
prospcrcd. Naturally, thcrc wcrc thosc who wcrc cnvious ol thc communitys
succcsscs.
Tc fa.endeiros (largc landowncrs) wcrc jcalous bccausc thcy wcrc cxpcri
cncing labor shortagcs, whilc many ol thcir lormcr workcrs wcrc now living o
thc land in Canudos. Tc rcpublican govcrnmcnt was jcalous bccausc Antonio
Consclhciro prcachcd loyalty to thc monarchy. Tc Catholic Church was jcal
ous bccausc Consclhciro callcd thc pricsts sinlul and dccricd thcir indicr
cncc to thc plight ol thc poor. !t was just a mattcr ol timc bclorc thc situation
cruptcd into violcncc.
!n thc lall ol +8, altcr scvcral unsucccsslul attcmpts to lorcibly brcak up
thc community, thc rcpublican lcdcral govcrnmcnt scnt thousands ol troops to
Canudos, whcrc thcy killcd +,ooo rcsidcnts, mostly malc. Tc troops ran o
thc rcst ol thc mcn, rapcd thc womcn, and scnt many ol thcm to brothcls in
Salvador, thc capital ol thc statc ol 8ahia. Antonio thc Counsclor dicd ol dys
cntcry during thc sicgc. Hc was latcr disintcrrcd, and his dccapitatcd hcad was
scnt to Salvador, whcrc it was displaycd on a polc.
Tc dccommissioncd soldicrs rcturning lrom thc Canudos war discmbarkcd
in Rio and, waiting in vain lor land grants promiscd by thc army, pitchcd
thcir tcnts on a hillsidc alongsidc thc lormcr slavcs and strcct vcndors alrcady
camping thcrc. Tis hillsidc latcr bccamc known as thc Morro da Providcncia,
and thc pcoplc thcrc gradually built shacks to rcplacc thcir tcnts. !n thc samc
ycar, a rotting, ovcrcrowdcd tcncmcnt (Cabcca do Porco, Pigs Hcad), was
razcd, and +,ooo displaccd pcrsons camc to join thc vctcrans on thc Morro da
Providcncia. Tc landlord ol thc Cabcca dc Porco owncd a vacant plot ol land
thcrc and gavc thc displaccd rcsidcnts pcrmission to construct shacks with
wood providcd by thc govcrnmcntbut not to usc any pcrmancnt building
matcrials.
1
Somc say that thc Canudos vctcrans namcd thc hillsidc altcr Montc Favcla,
othcrs bclicvc that thcrc wcrc bushcs thcrc rcminisccnt ol thc lavcla bushcs in
Canudosin cithcr casc thcy callcd thcir scttlcmcnt lavcla.
Figurc +.+ shows thc Lagoa Rodrigo Frcitas, thc lormcr sitc ol Catacumba
lavcla, which long clung to thc hillsidc, withstanding oods, droughts, and
winds, only to bc torn down by dictatc ol govcrnmcnt policy in +o.
[ 2 6 ] F A V E L A
uxw~x:vb vvo: i xcvv:iox
Troughout thcir history, lavclas havc bccn rcjcctcd by thc lormal city and
havc continually bccn thrcatcncd with dcstruction. Tc momcnt pcoplc bcgan
building thcir own homcs and communitics outsidc thc control ol thc statc
or thc markct, thcy wcrc sccn as a mcnacc to thc city ol privilcgc. Vhcn thc
Morro da Providcncia was rst occupicd, an cdict was promulgatcd giving thc
rcsidcnts +o days to cvacuatc. Sincc thc latc +8oos, in thc ongoing cort to rid
thc city ol thcsc lcprous sorcs, laws havc bccn passcd, building codcs cstab
lishcd, cviction noticcs postcd, civil and military policc dcploycd, and rcs sct
in thc dark ol night.
uring thc pcriod +8o+o6, Rio cxpcricnccd a scvcrc shortagc ol low
incomc housing. Tc abolition ol slavcry in +888 lcd to a largcscalc migration
ol lormcr plantation workcrs to Rio, which had bccomc thc national capital
with thc +88 crcation ol thc rcpublic. Pcrcira Passos, thc mayor ol thc lcdcral
district ol Rio in thc carly ycars ol thc twcnticth ccntury, imagincd Rio as a
tropical Paris. Hc was inspircd by Hausmanns grandscalc planning ol thc
Frcnch capital, with majcstic boulcvards, monumcnts, and gardcns. To achicvc
that, hc had to dcstroy thc unsightly lavclas, cortios (tcncmcnts), casas de como-
dos (rooming houscs), and albergues (shcltcrs) whcrc thc citys poor wcrc living.
His carly urban rcncwal projcct dcstroycd untold numbcrs ol lavclas, +,6+
vicuvv +. + \icw ol Lagoa Rogrigo Frcitas (:oo8) 8 ycars altcr thc rcmoval ol thc
lavcla ol Catacumba.
D E E P R O O T S I N S H A L L O W S O I L [ 2 7 ]
cortios, and thousands ol othcr buildings.
2
8ut +oo barracos (shacks) rcmaincd
on thc Morro da Favcla. !n +o, svaldo Cruz, thc lcdcral dircctor ol public
hcalth, launchcd his own campaign to sanitizc thc Morro da Favcla, giving rcsi
dcnts +o days to cvacuatc thc land it occupicd. His ordcrs appcar to havc bccn
in vain. History shows that by thc carly +:os, thc numbcr ol shack dwcllings
had incrcascd morc than cightlold (to about 8), and by +, thc numbcr had
grown to +,oohousing a population closc to +o,ooo.
nly in thc +:os did lavcla bccomc thc gcncric tcrm lor squattcr sct
tlcmcnts, shantytowns, and all typcs ol irrcgular scttlcmcnts, or subnormal
agglomcrations as thcy wcrc rclcrrcd to in ccnsus and planning documcnts. !n
kccping with thc carlicr vicw, lavclas wcrc sccn by thc govcrnmcnt and public
opinion as a gravc thrcat to thc wcllbcing ol thc thcn two million pcoplc ol
thc city. Tc rst lcgal rccognition ol lavclas was in thc latc +os, whcn thc
govcrnmcnt catcgorizcd thcm as an abcrration. Tc + Codigo dc bras
(8uilding Codc) prohibitcd thcm, cxprcssly lorbidding thc building ol ncw
lavclas and banning thc cxpansion ol cxisting oncs, or thc usc ol pcrmancnt
building matcrials in lavcla construction. So lrom carly on, thc squattcrs wcrc
caught in a bind: city planncrs lound thcir scllbuilt barracos abominablc but
prohibitcd any corts to makc thcm into dcccnt homcs, thcy wantcd thcm
dcstroycd but lailcd to providc any altcrnativc.
3
Tc inlamous 8uilding Codc notwithstanding, in thc postVorld Var !!
pcriod, cityward migration to Rio incrcascd dramatically, swclling thc popula
tions ol cxisting lavclas and crcating ncw oncs anywhcrc vacant land could bc
lound. Tc rst lavclas dcvclopcd at thc bottom ol hillsidcs and thc cdgcs ol
thc bay, but as thosc primc locations (as it wcrc) bcgan to ll up, thc ncwcom
crs wcnt lurthcr up into thc hillsidcs, lurthcr out into thc watcr, and lurthcr
away lrom thc citys corc. Altcr thc military coup ol April +, +6, cstablishcd
a dictatorship, Rio and 8razils othcr mctropolitan arcas lost thc right to clcct
thcir own mayors. Tcsc positions, considcrcd critically important lor national
sccurity, wcrc madc appointcd positions accountablc only to thc national gov
crnmcnt in 8raslia.
uring thosc ycars, thc mayors o cc and thc City Council ol Rio wcrc
bcsct by lavcla commissions and committccs rcqucsting/dcmanding watcr,
clcctricity, paving, stcps, strcct lighting, and assuranccs that thcy could stay
whcrc thcy wcrc. To handlc thcsc multiplc rcqucstsoltcn madc by cntirc bus
loads ol mcn, womcn, and childrcnthc city govcrnmcnt rcquircd cach lavcla
to crcatc a Rcsidcnts Association. !n ordcr to havc a singlc cntity rcprcscnting
thc community. Rcsidcnts clcctcd a lcadcr and a slatc ol othcr o ccrs, and
thc Rcsidcnts Associations took on many csscntial lunctions. Togcthcr thcy
organizcd coalitions, rst a Fcdcration ol thc Favcla Associations ol Guanabara
(FAFG), and thcnaltcr thc lusion ol thc city and statc in +thc Fcd
cration ol Rcsidcnts Associations ol thc Statc ol Rio dc Janciro (FAMRJ).
[ 2 8 ] F A V E L A
Tcsc lcdcrations cnjoycd considcrablc autonomy and had a lair dcgrcc ol
bargaining powcr ovcr candidatcs lor positions on City Council (.ereadores)
until thc mid+8os, whcn thc drug lords bcgan to takc thcm ovcr.
cspitc all corts to discouragc thc growth ol ncw lavclas and contain thc
growth ol cxisting oncs, Rios lavclas havc grown considcrably lastcr than thc
rcst ol thc city, in cvcry dccadc lrom +o to :ooo. An addition to thc lorma
tion ol ncw lavclas, thc oldcr oncs havc cxpandcd vcrtically and horizontally
as ncw migrants arrivc, lamilics grow and rcntal units arc addcd on. Tc volca
nic upward thrust ol vcrtical cxpansion as sccn in gurc +.:, rcccts thc high
dcmand lor spacc in thc South Zonc lavclas cspccially, and thc total lrccdom
lrom zoning rcgulations or construction codcs.
Favclas also cxpand horizontally, gradually growing up into thc hillsidcs and
out into lorcstcd arcas. Acrial photographs takcn ycarly by thc City Planning
cpartmcnt track thcir growth on supcrimposcd imagcs. Tc latcst govcrnmcnt
attcmpt to prcvcnt such cxpansion was bcgun in :oo undcr Rios Mayor du
ardo Pacs who bcgan thc construction ol rcinlorccd concrctc containing walls
around thc lavclas, starting with Santa Marta, as shown in gurc +..
Tc walls arc supposcdly to protcct thc natural cnvironmcnt by limiting
lavcla growth, and to pacily thc lavcla tcrritorics by controlling thc drug tral
c, but thc pcoplc ! spokc with say thcy arc bcing built to hidc thc lavclas lrom
vicw in anticipation ol thc :o+ Vorld Cup and thc :o+6 Summcr lympics
lor which Rio is compcting. Tc rcsidcnts lccl imprisoncd and dcmcancd by
thc walls, which arc agrcssivcly ugly and outolplacc in a colorlul community
vicuvv +. : \crtiginous vcrtical growth in Rocinha, Rios largcst, bcst locatcd, and most
lamous lavcla. (Photo courtcsy Rio municipal govcrnmcnt)
D E E P R O O T S I N S H A L L O W S O I L [ 2 9 ]
situatcd in thc midst ol grccncry. Santa Marta is only thc rst ol 8o lavclas cur
rcntly in linc to bc thus lcnccd in.
wn~:s i x ~ x~:v-
Tc word lavcla has takcn on such ncgativc connotations that most pcoplc
now usc morro (hill), communidade popular (popular community), or simply
communidade. Tc word fa.elado, rclcrring to a lavcla rcsidcnt, is considcrcd
pcrjorativc and insulting. Yct thc dcnitions ol lavcla and lavcla rcsidcnt rcmain
problcmatic. !ebsters Dictionary dcncs lavcla as a scttlcmcnt ol jcrrybuilt
shacks lying on thc outskirts ol a 8razilian city. Tis is wrong on two counts.
First, many ol thc lavclas in 8razilian citics havc cvolvcd ovcr thc ycars lrom
jcrrybuilt shacks ol wood or wattlc and daub to brickandmortar dwcll
ings scvcral storics high. Sccond, thcy arc not ncccssarily on thc outskirts ol
thc citymany arc built on hillsidcs, tidal marshcs, garbagc dumps, or othcr
undcsirablc spots right in thc midst ol thc city. Tcsc discrcpancics arc only
thc tip ol thc iccbcrg ol ambiguity that conlounds attcmpts at dcning lavclas
or cncapsulating thc conccpt in thc popular imagination. All ol thc convcn
tional distinctions bctwccn thc lormal and inlormal city, cvcn sccurity ol
tcnurc, havc bcgun to blur, as thc lavclas that havc bccn around lor dccadcs
vicuvv +. Santa Marta lavcla in 8otalogo, on thc lclt, wallcd o lrom thc lorcstcd
arca on thc right and lrom thc lormal city glistcning down bclow. Sugar Loal is visiblc in
thc background. (Photo courtcsy ol !SR, July :oo)
[ 3 0 ] F A V E L A
havc bccomc physically consolidatcd within thc urban labric ol Rio
4
whilc
continuing to bc stigmatizcd as tcrritorics ol cxclusion.
5
Tc classic dcsignators ol irregular or informal scttlcmcnts, as opposcd to
regular or formal scttlcmcnts continuc to crodc. Tis is not to say that thc
city ol thc poor and thc city ol thc rich arc indistinguishablc, but that thc
division ol thc urban spacc into lormal and inlormal (as suggcstcd by books
such as Zucnir \cnturas Cidade PartidaTc ividcd City
6
is no longcr
applicablc, il it cvcr was. Tc oltcn uscd dcscriptor ol a dual city is ncithcr
accuratc nor usclul. !n my vicw thc two sidcs ol thc city havc always bccn
intcrdcpcndcnt and intcrtwincd. Nowadays, drawing thc linc is morc subtlc
and pcrhaps cvcn morc pcrnicious.
Favclas can no longcr bc dcncd by thcir illcgality (as thc original inva
sions ol opcn land on hillsidcs or in marshcs wcrc rcgardcd), as thcir lcgal status
is in limbo, with most now having a lorm ol dc lacto tcnurc.
7
Nor may thcy any
longcr bc dcncd by thcir lack ol (or dccits in) urban scrviccs, sincc almost
all ol thcm havc obtaincd acccss to watcr, scwcragc, and clcctricity. Favclas
may no longcr bc dcncd according to thc prccarious construction matcrials as
cxplaincd abovc. Favclas can not cvcn bc dcncd as lrcc placcs to livc, as thcrc
is now a thriving intcrnal rcal cstatc markct lor rcntal and purchasc, with priccs
in thc wclllocatcd lavclas rivaling thosc ol lcgitimatc ncighborhoods.
8
Tc distinction ol last rcsort is to dcnc lavclas as communitics ol miscry
or chronic povcrty. 8ut cvcn that is mislcading. Not all ol thc pcoplc living in
lavclas arc poor, and not all thc urban poor livc in lavclas.
9
Today, cvcn morc
than in thc +6os and +os, thcrc arc signicant dicrcnccs in wcalth and
wcllbcing within and among Rios lavclas.
10
Pcrhaps thc singlc pcrsistcnt dis
tinction bctwccn lavclas and thc rcst ol thc city is thc dccply rootcd stigma that
adhcrcs to thcm and to thosc who rcsidc in thcm.
vcn altcr thc cxtcnsivc +oycar Favcla8airro upgrading program, which
was carricd out in + lavclas and : lotcamcntos,
11
with thc aim ol intcgrating
thcm into thc surrounding ncighborhoodscvcn altcr plazas wcrc built at lavcla
cntranccs, lookout points clcarcd along thc pathways, main intcrnal strccts pavcd,
muddy hillsidcs rcplaccd by concrctc stairways, pollutcd canals and strcams drcdgcd,
and houschold conncctions to watcr, scwcragc, and clcctricity cstablishcdthcrc is
littlc doubt as to whcrc thc asfalto (pavcmcnt) cnds and thc morro bcgins.
12
Vhcrc
thc words lail to dcnc, sharcd cultural undcrstandings prcvail.
13
Tc visual markcrs
ol cach arc unmistakablc, whcthcr vicwcd lrom abovc or on strcct lcvcl. Tc lormal
city is rectilinear, thc lavcla cur.ilinear. Tc contrast is visiblc in gurc +..
Tc oldcr, consolidatcd, and wclllocatcd lavclas can bc casily spottcd as
cxisting o thc grid. Tc inlrastructurc has bccn rctrottcd to thc cxisting sct
tlcmcnt, built incrcmcntally lrom thc strcct upward or inward, lollowing thc
contours ol thc land. cpcnding on thc sizc ol thc lavcla, thcrc arc hundrcds
or thousands ol individual structurcs in cvcry stagc ol construction, madc (to
D E E P R O O T S I N S H A L L O W S O I L [ 3 1 ]
varying dcgrccs) ol largc hollow rcd bricks sct at dicrcnt anglcs as thc topog
raphy pcrmits, rising two to vc storics, with at ccmcnt lages (rools) that havc
satcllitc dishcs and mystcriouslooking tall mctal polcs sticking out ol thc top,
alrcady bcginning to rust. Tcsc arc thc rcinlorcing rods built in anticipation
ol sccuring thc ncxt story. And thcrc arc usually scvcral young boys ying kitcs
lrom thc rools, cithcr as rccrcation or as a signal lor thc arrival ol drugs into
thc lavcla.
Tc ncwcr lavclas and irrcgular scttlcmcnts in thc Vcst Zonc ol thc city arc
casily idcntiablc. Although thcrc may bc scvcral brick structurcs in thc parts
that wcrc rst scttlcd, many pcoplc still livc in barracos in thcir carly stagcs ol
construction, and many ol thc lavclas and lotcamcntos havc minimal acccss to
urban scrviccs. At high tidc, thc barracos arc oltcn partially inundatcd, and thc
pathways turn into muddy strcams ovcrlaid with woodcn planks lor walking.
vicuvv +. Tc morro and thc asfaltothc inlormal and lormal city, onc curvilin
car, thc othcr rcctilincar. (From thc Rio municipal archivcs)
[ 3 2 ] F A V E L A
!n thc upscalc South Zonc, lavclas crccp up thc lush grccn hillsidcs ol thc
Tijuca lorcst, ocring spcctacular vicws ol thc occan, thc lagoon, thc lamous Pcdra
dc Gavca and ois !rmaos, and thc Corcovado (statuc ol Christ) that riscs with
outstrctchcd arms abovc it all. Tcsc lavclas look down on thc glass, stccl, and
marblc highriscs ol thc lormal city that thc inlormal city rcsidcnts construct in
thcir day jobs. nly thc richcst ol thc rich and thc poorcst ol thc poor havc stand
alonc homcs, thc rcst livc in apartmcnt buildings. !n thc North Zonc, a working
class arca with largc lactorics and apartmcnt buildings, thc irrcgular shapcs ol thc
lavcla buildings and thc banana and lruit trccs stand out clcarly among thc homcs
lurthcr up thc hillsidcs. Tc visual dclincation is rcinlorccd in both cascs by thc
armcd guards and gatckccpcrs who stand at thc cntranccs to thc lavclas. Tcsc g
urcs rcprcscnt thc dominant drug laction ol any givcn momcnt, and thcy cxcrcisc
total control ovcr who cntcrs and lcavcs thc community.
! nd it ironic that two ol thc distinguishing charactcristics ol lavclas arc
sharcd with thc richcst ncighborhoods in Rio. First, only in lavclas and thc
most clitc arcas ol thc city do pcoplc livc in dctachcd houscs rathcr than apart
mcnt buildings. Sccond, only in lavclas and thc condominium dcvclopmcnts
ol thc rich arc thc communitics gatcd and thc cntranccs patrollcd by armcd
guards. Tis camc to mc during a convcrsation with a young boy who dcncd
lavcla lor mc as a placc whcrc you nccd pcrmission to cntcr. !n a city ol
walls, to borrow thc titlc ol Tcrcsa Caldciras book,
14
it is hard to tcll who is
kccping out whom and who arc thc oncs trappcd bchind thc guardcd gatcs. !t
causcd quitc a scandal whcn thc lavcla ol Jacarczinho (Littlc Alligator) darcd
to bccomc a gatcd community, putting up walls with survcillancc camcras
around its pcrimctcrs.
15
8ut not all inlormal scttlcmcnts arc gatcd or guardcd likc lavclas. Lotca
mcntos, onc ol thc lastcstgrowing typcs ol inlormal scttlcmcnts in Rio in thc
currcnt momcnt, arc subdivisions carvcd out ol vacant lands on thc pcriphcrics
ol thc city and dividcd into small plots, gcncrally lacking roads or any urban
scrviccs or amcnitics. Tcy arc most lrcqucntly locatcd in thc Vcst Zonc,
which is not dcnscly scttlcd and is thc location ol hugc fa.endas (landhold
ings) that arc uscd lor agriculturc or grazing. Tcsc lands arc not wcll patrollcd,
making thcm primc targcts lor smallscalc loteamentos irregulares (irrcgular/
unauthorizcd subdivisions) or largcr loteamentos clandestinos (clandcstinc sub
divisions). Tc lattcr arc gcncrally invadcd and laid out by a protccr dcvclopcr,
who sclls thc plots and thcn disappcars, lcaving thc govcrnmcnt to install scr
viccs or abandon thc pcoplc. Tc city cithcr ignorcs thcir claims, or laccs thc
dilcmma ol whcthcr to rcmovc and rclocatc thc lamilics or pay lor thc land
and bring urban scrviccs out to thcma costly proposition. Tc pcoplc arc
caught in thc middlc, oltcn having spcnt all thcir moncy to buy a phony titlc.
Somc lotcamcntos arc pcrlcctly lcgal bccausc thcy wcrc crcatcd by thc gov
crnmcnt or by lcgitimatc landowncrs. Tcsc scll lor low priccs and gcncrally
D E E P R O O T S I N S H A L L O W S O I L [ 3 3 ]
lack scrviccs. Noncthclcss, as in thc casc ol thc lotcamcntos wc studicd in
Caxias, thcy somctimcs scrvc as communitics that arc transitioning to bccom
ing ncighborhoods.
Lotcamcntos arc visually quitc distinct lrom lavclas, in largc part bccausc
thc land is subdividcd and strccts laid out in advancc ol occupation rathcr than
picccmcal. As shown in gurc +., thcrc is a grid pattcrn to thcsc subdivisions.
Tcy arc callcd irrcgular or clandcstinc not bccausc thcy arc hcltcrskcltcr
but bccausc thcy arc oltcn hiddcn bchind largc buildings or in thc midst ol
grazing lands and thcy occupy thc land illcgally. Tcy arc growing rapidly in
sizc and numbcr, mostly in thc Vcst Zonc.
vicuvv +. Acrial vicw ol a lotcamcnto in thc Vcst Zonc, showing thc charactcristic
scttlcmcnt pattcrn and thc cxtcnsion ol lots bcyond thc original boundarics ol thc subdivi
sion. (Courtcsy ol !nstituto Pcrcira PassosRio dc Janciro)
[ 3 4 ] F A V E L A
!n common parlancc and lor statistical purposcs, lotcamcntos arc oltcn conatcd
with lavclas, making it di cult to track thc dicrcnt typcs ol lowincomc scttlc
mcnt across thc urban landscapc. Tc samc is truc ol thc conjuntoshousing
dcvclopmcnts that thc govcrnmcnt has built lor displaccd lavcla rcsidcnts.
Tcchnically, conjuntos do not bclong in thc catcgory ol inlormal housing.
Tcy arc o cial apartmcnt complcxcs constructcd by thc govcrnmcnt on land
owncdor acquircdby thc govcrnmcnt. Tcy cxist in a statc ol scmilcgal
limboncithcr asfalto nor morro. Tc nancing systcm was dcsigncd on thc
basis ol rcsidcnts making monthly paymcnts toward a lull purchasc at thc cnd ol
: ycars. Howcvcr, morc than ycars latcr, thc apartmcnts arc prcdominantly
occupicd by inlormal arrangcmcnt rathcr than lormal owncrship or rcntal.
8ccausc thc conjuntos arc not on thc urban strcct grid, bccausc thcy arc
occupicd by lairly lowincomc rcsidcnts, and bccausc thcy arc without policc
protcction and subjcct to violcnt turl wars among compcting drug gangs, in thc
cyc ol thc public and compilation ol city statistics thcy arc callcd lavclas and
considcrcd part ol thc inlormal housing scctor. Tc now inlamous City ol God
(Cidadc dc cus) was onc ol thc carly conjuntos. Figurcs +.6 and +., takcn in
+6, show its original layout, obviously thc rcsult ol a planncd housing proj
cct, but it is rclcrrcd to as a lavcla in thc movic that bcars its namc and by thc
gcncral public. Tc othcr conjuntos, such as Cidadc Alta whcrc City of God was
lmcd, arc likcwisc rclcrrcd to as lavclas.
vcn thc bcttcr conjuntos, built with somc privatc nancing lor lamilics with
highcr incomcs, startcd out looking dcsolatc, as shown in thc + photo ol Padrc
Migucl (gurc +.8). 8ut unlikc Cidadc dc cus, Cidadc Alta, and most othcr
conjuntos, it has bccn wcll maintaincd and today is not considcrcd a lavcla. Tio
Souza,
16
thc girls socccr coach who wc will mcct in chaptcr , movcd thcrc whcn
Catacumba was torn down in +o, and it is now considcrcd a good placc to livc.
Tcrc arc othcr lorms ol inlormal housing which havc traditionally accom
modatcd Rios urban poor, but today thcy rcach a rclativcly small part ol thc
population. Among thcm arc corticos (old singlclamily houscs that havc bccn
subdividcd to accommodatc multiplc lamilics), cabeas de porco (tcncmcnts), and
.ilas (workcrs housing consisting ol attachcd, oncroom apartmcnts running
back lrom thc strcct along both sidcs ol a narrow passagcway).
As ol :oo8, thc inlormal city in Rio accountcd lor about pcrccnt ol thc
population. Tc lormal city, which accounts lor thc rcst ol thc population, is
composcd ol lcgitimatc ncighborhoods callcd bairroswhich rangc lrom low
cnd to highcnd. Tc dicrcncc bctwccn thc upscalc bairros ol Lagoa, Lcblon,
!pancma, and Jardim 8otnico and thc popular bairros such as Tijuca, !raj, and
Sao Goncalo show up on thc Human cvclopmcnt !ndcx as thc samc dicrcncc
lrom 8clgium and 8urkina Faso. Glass and chromc modcrn highrisc apart
mcnt buildings arc crammcd sidcbysidc along thc bcachlront. Tcy havc gcn
cratcd dcmand lor vast shopping malls and cultural ccntcrs as wcll as a largc pool
D E E P R O O T S I N S H A L L O W S O I L [ 3 5 ]
vicuvv +. 6 ~xb +. Cidade de Deus (City ol God), +. Figurc +.6, an arial vicw
ol thc conjunto, built lor thc rclugccs ol dcmolishcd lavclas, shows thc rangc ol hous
ing typcs. Familics with thc lowcst houschold incomc wcrc assigncd to thc barracklikc
structurcs in thc lorcgroundonc lamily pcr room, thosc in thc middlc rangc wcnt to
thc corc or cmbrio houscs that appcar as littlc boxcs, and thc vcstory walkups in thc
background and in gurc +. wcrc lor lamilics in thc highcst incomc brackct.
[ 3 6 ] F A V E L A
ol chcap labor, in turn giving risc to thc rapid growth ol lavclas and lotcamcntos
irrcgularcs in thc rcgion inland.
! was pcrplcxcd that many ol my collcagucs who work in Latin Amcrica or
spcak Spanish continually had di culty with thc tcrm bairro, simply mcan
ing ncighborhood. Tcn ! gurcd out that thc problcm was that thc spclling
and pronunciation ol bairro is strikingly similar to thc Spanish words barrio
or barriada, tcrms that mcan squattcr scttlcmcnt in dicrcnt placcs in Latin
Amcrica. ! wondcr whcthcr thc usc ol barrio and barriadawords that, likc
bairro, simply mcan ncighborhoodto dcsignatc shantytowns stcms lrom
thc samc qucst lor dignity that has lcd lavclas to bc callcd communitics or
popular communitics. My lricnds in Lima said it madc a signicant dicr
cncc whcn thc city startcd calling invadcd lands pueblas jo.enes (young towns)
instcad ol thc pcjorativc tcrms prcviously uscd lor thcm.
:oxic :vv:i xoiocv: ~ F!EL i s xo: ~ SLUM
!n linc with thc importancc ol languagc in conlcrring or dcnying status, thc
word lavclados has bccomc so dcrogatory that it is rarcly uscd to rclcr to a
rcsidcnt ol a lavcla, and thc tcrm subnormal agglomcrations has bccn rcplaccd
by arcas ol spccial intcrcst in o cial planning tcrminology. !n this light, ! nd
vicuvv +. 8 nc ol thc ncw conjuntos in +, Padrc Migucl on thc lar northcrn
lringc ol thc city, which thosc accustomcd to lavcla vitality in thc hcart ol thc city saw as
o m do mundo (thc cnd ol thc world).
D E E P R O O T S I N S H A L L O W S O I L [ 3 7 ]
it objcctionablc to rclcr to lavclasor any othcr squattcr scttlcmcntsas
slums.
17
Vhilc lavclas and slums arc both tcrritorics ol cxclusion in citics that
incrcasingly criminalizc povcrty, thcy cxist in vcry dicrcnt contcxts and scrvc
dicrcnt lunctions. Tcy arc worlds apart.
18
Tc word slum, which had rightly
lallcn into ignominious disrcputc, was rcvivcd in thc joint UNVorld 8ank
program known as Citics Allianccnotably in its Citics Vithout Slums ini
tiativc
19
and in thc Millcnnium cvclopmcnt Goals (MGs). Goal , targct
++, ol thc MGs rcads: Havc achicvcd by :o:o a signicant improvcmcnt in
thc livcs ol at lcast +oo million slum dwcllcrs.
20
!n this casc, slums arc dcncd
by dccitsincluding inadcquatc acccss to salc watcr, sanitation, and othcr
inlrastructurc, poor housing quality, ovcrcrowding, and insccurc rcsidcntial sta
tus.
21
Although thcrc is no rcalistic cxpcctation ol ridding citics ol povcrty, thc
goal ol improving thc livcs ol +oo million slum dwcllcrs by :o:o is a mockcry,
givcn that thc UN itscll has projcctcd that an additional +. million pcoplc will
bc living in squattcr scttlcmcnts by that datc.
Tc usc ol thc word slum lor inlormal housing is an unlortunatc throw
back to an carlicr pcriod ol classbascd moralizing that gavc risc to that tcrm.
Hoskins, thc 8ritish historian, traccs thc origins ol thc word to thc +8:os
as dcriving lrom thc old provincial word slump, mcaning wct mirc. Tc
word slam in Low Gcrman, anish and Swcdish, also mcans mirc, and
that roughly dcscribcd thc drcadlul statc ol thc strccts and courtyards on thcsc
undraincd sitcs.
22
Tc Oxford English Dictionary dcncs slum rst as a squalid and ovcr
crowdcd urban arca inhabitcd by vcry poor pcoplc, and sccond as a housc or
building unt lor human habitation. Tc cmotional valcncc ol thc word, how
cvcr, is bcttcr capturcd in a rcccnt Ne. York Times articlc about thc cholcra
cpidcmic in Ncw York City in +8:. !t was dcscribcd by a promincnt civic
lcadcr in lcttcrs to his daughtcr as cxclusivcly conncd to thc lowcr classcs ol
intcmpcratc dissolutc & lthy pcoplc huddlcd togcthcr likc swinc in thcir pol
lutcd habitations . . . thc vcry scum ol thc city.
23
Charlcs ickcns, having visitcd
thc arca, dcscribcd it as a slum that had mctastasizcd. . . . All that is loathsomc,
drooping and dccaycd is hcrc.
Tis ninctccnthccntury association ol thc urban poor with animals (swinc),
garbagc (lthy, scum, dccaycd), and immoral bchavior (intcmpcratc dissolutc)
as wcll as thc rclcrcncc to thc slum as a canccrhavc prccisc parallcls in rcl
crcnccs to lavclas in thc sccond hall ol thc twcnticth ccntury. Howcvcr, in thc
twcntyrstccntury city ol thc global North, hugc lowincomc housing com
plcxcs or arcas ol dctcrioratcd and/or abandoncd housing arc morc likcly to bc
considcrcd slums. Tcrc thc similarity cnds. Tcrc arc no vacancics in lavclas.
vcry spacc is uscd, and most houscholds rcnt out a room or usc part ol thc
homc lor day carc, commcrcc, or manulacturing. Favclas in Rio tcnd to sprcad
[ 3 8 ] F A V E L A
within thc urban spacc rathcr than to bc conccntratcd in onc placc, and lavcla
rcsidcnts havc had morc lcvcragc to cscapc than thosc living in thc slumsthat
is, thcy did bclorc thc cntrancc ol thc drug tra c.
!t is ovcrly simplistic to say that thc slums ol uropc and thc Unitcd Statcs
arc placcs ol last rcsort lor thosc lclt bchind (slums ol dcspair),
24
whcrcas lavc
las arc passthrough placcs on thc way up and out. As ! discuss latcr, this proccss
has bccn complicatcd by thc violcncc lound in thcsc arcas, but a third ol all
thc pcoplc ! rst intcrvicwcd in Rios lavclas arc no longcr living in lavclas. !
doubt that thc turnovcr is so high in racially or cthnically dcncd ghcttos in thc
Unitcd Statcs and uropc.
Favclas havc scrvcd somc ol thc samc lunctions that U.S. ghcttos do lor
thc poor or ncwly arrivcda placc to livc that is su cicntly undcsirablc to
bc aordablc and providc a tochold in thc city, with thc cxpcctation that with
hard work and timc, thc lamily will movc out and up. Tc conation ol thc
hugc lowincomc housing projccts and dctcrioratcd (cvcn abandoncd) ncigh
borhoods in citics ol thc industrial countrics (c.g., thc ghcttos ol Ncw York,
thc banlieu ol Paris, or thc housing cstatcs ol London) with thc incrcmcntally
scllconstructcd and constantly improvcd homcs ol cxtcndcd lamilics in lavclas
docs a disscrvicc to both. Tc problcms and possibilitics laccd by cach and thc
contcxt in which thcy cxist arc proloundly dicrcnt, dcspitc thcir sharcd pov
crty and cxclusion. !ronically, onc ol thc major barricrs to mccting MG targct
++ is thc stigma ol living in a spacc that is dcncd as undcsirablc, which thc
labcl slum scrvcs to rcinlorcc.
!n my discussions about this, somc havc dclcndcd thc word slum as a
word ol dcancc. Tc casc oltcn citcd is that ol an cxccllcnt grassroots nct
work startcd in Mumbai in thc carly +8os and has sprcad to many othcr citics
around thc world. !t is callcd S!Slum/Shack wcllcrs !ntcrnational. Somc
collcagucs arguc that thcir cmbracc ol slum in thcir namc signals that it is not
a pcjorativc tcrm, but that is hardly thc casc. As avid Sattcrthwaitc points
out, thcsc particular slum dwcllcrs wcrc ncgotiating and winning particular
rights. . . . |such as| gctting thcir scttlcmcnts lormally rccognizcd by thc govcrn
mcnt as a noticd slum which implicd provision ol somc basic inlrastructurc
and scrviccs, as wcll as ccrtain salcguards such as thc right to bc rchouscd by
thc govcrnmcnt il thcir homc is dcmolishcd).
25
!n 8razil thcrc is no advantagc to bcing labclcd a slum, and thc tcrm itscll
has ncithcr thc spirit ol protcst that thc word ghctto can cvokc nor thc rcvcrsc
pridc ol thc word lavcla as uscd in rap, lunk, and hiphop music.
Jacarczinho, a consolidatcd lavcla in thc North Zonc and largc cnough to
comprisc a ccnsus arca ol its own, has a highcr scorc on thc Human cvclop
mcnt !ndcx than somc ol thc poorcst ncighborhoods. Looking at gurc +.,
onc can almost lccl thc lilc lorcc jump out ol thc pagc. Construction, rccon
struction, cxpansion, improvcmcnt, commcrcc, community projccts, candom
D E E P R O O T S I N S H A L L O W S O I L [ 3 9 ]
bl alongsidc Catholicism, thriving rcal cstatc markcts charactcrizc daily lilc
thcrc. Tc city is invcsting hcavily in its upgrading, and thc 8auhaus School in
Gcrmany has takcn an intcrcst in opcning up a ccntral plaza lor a community
ccntcr. Tc main problcm is not thc lcthargy or passivity ol thc rcsidcnts but
thc complicity ol drug gangs, militias, and policc in constraining thc lrccdom
ol thc rcsidcnts.
v~sci x~:iox wi :n v~vvi~s
Vhcn ! rst camc to livc in Rios lavclas in +68, lcw il any pcoplc outsidc
8razil kncw what thcy wcrc. Today, thc word lavcla is part ol thc lingua lranca
thc world ovcr. As ol April , :oo8, thcrc wcrc morc than :. million cntrics lor
lavcla on thc !ntcrnct, rcccting thc various myths as wcll as thc rcalitics ol
thcsc communitics. Tcrc arc many rclcrcnccs to drugs, dangcr, and dcath but
also to lood, lashion, and lunk. Movics, tclcvision programs, MT\ songs, and
ncwspapcr articlcs lan thc amcs ol thc phcnomcnon known as lavcla chic.
Today, among scholars and social scicntists, lavclas arc thc most studicd ol all
lowincomc communitics. !n Pensando as Fa.elas,
26
a 8razilian author sclcctcd
668 critically important books on lavclas, most ol which wcrc publishcd bctwccn
+8o and :ooo. vcr thc past ycars thc production has continucd to climb.
vicuvv +. Jacarczinho, a consolidatcd lavcla in thc North Zonc is so largc it com
priscs its own administrativc district (:oo).
[ 4 0 ] F A V E L A
Tc Googlc Scholar scarch cnginc lists ovcr +:,ooo scholarly articlcs, and thcrc
arc a vast numbcr ol doctoral disscrtations and mastcrs thcscs on lavclas. Com
mcnting on this prolilcration, onc scholar writcs: Social scicntists thcmsclvcs
havc scrvcd as somc ol thc lorcmost intcrmcdiarics bctwccn lavcla and cidadc,
bctwccn thc cxtralcgal conglomcrations ol thc squattcr scttlcmcnts and thc
institutions ol political powcr and cultural capital in thc lcgal mctropolis.
27
! would gucss that ovcr o pcrccnt ol this scholarly production is dcrivcd
lrom studics ol a tiny numbcr ol Rios lavclasthosc locatcd adjaccnt to thc
most cxpcnsivc arcas ol thc city, in thc South Zonc. Tc living standards thcrc
arc good, thc vicws arc grcat, and thc closc proximity to bcachcs, rcstaurants,
and cultural amcnitics including highspccd !ntcrnct acccss makc this handlul
ol lavclas thc dcstination ol choicc lor studcnts, scholars, and tourists alikc.
Nccdlcss to say, thc morc picturcsquc lavclas cxcrt thc most magnctism. !t
is di cult to imaginc tourists visiting thc socallcd Gazastrip lavclas ol thc
North Zonc, cpiccntcrs ol policc and gang warlarc, thc stcaminghot, mos
quitoriddcn lavclas in thc rcclaimcd swamps ol thc Flumincnsc Lowlands, or
thc distant Vcst Zonc lavclas run by armcd militias. Tcrc arc, howcvcr, a lcw
studics ol North Zonc lavclas, including Jacarczinho, Tuitut, and Acar and at
lcast onc ol Rio das Pcdras in thc Vcst Zonc.
28
!n +8, whcn thc dictatorship cndcd, it bccamc apparcnt that thc drivc to
cradicatc thc lavclas was dcad, as no clcctcd govcrnmcnt could risk alicnating
ovcr oncthird ol thc clcctoratc. Ncvcrthclcss, corts to rcmovc or contain
thcm havc continucd and as ol Scptcmbcr :oo scvcral wcrc bcing wallcd o.
Sincc thcn, thcrc havc bccn proposals to rcmovc thcm duc to cnvironmcntal
risk and conccrns about public salcty. Tc lavclas pcrsist, just as thc lavcla bush
has pcrsistcd through droughts, oods, and rcs.
t .o
The World Goes to the City
Tc growth ol citics will bc thc singlc largcst inucncc on dcvclopmcnt in
thc twcntyrst ccntury. . . . vcr thc ncxt o ycars, thc population ol Alri
can and Asian citics will doublc, adding +. billion pcoplcmorc than thc
currcnt populations ol thc U.S. and China combincd.
ux s:~:v ov :nv wovib vovui~:iox vvvov:
( j uxv :, :oo)
\irtually all ol thc projcctcd population growth on thc planct in thc coming
dccadcs will bc urban growth, will bc in thc citics ol thc global South (Asia,
Alrica and Latin Amcrica), and will bc conccntratcd in inlormal scttlcmcnts
thc shantytowns and squattcr scttlcmcnts that 8razilians call lavclas.
1
Tc anticipatcd shilt lrom a prcdominantly rural world to a prcdomi
nantly urban onc (originally prcdictcd to coincidc with thc turn ol thc mil
lcnnium) is now a rcality, lorcing us to rcthink our most basic paradigms, not
only paradigms ol thc urban condition but ol thc human condition as wcll.
Vhat rcmains unclcar is whcthcr thc policymakcrs and donor agcncics ol
thc world will rcgard thc cconomically disadvantagcd with thc samc dcgrcc
ol conccrn as thcy cross ovcr lrom bcing rural pcasants to bccoming urban
squattcrs.
Tc worlds population has morc than doublcd in thc last hall ccntury (:.
billion to 6.6 billion), and almost all ol this growth has bccn in citics. At thc
bcginning ol thc ninctccnth ccntury, only pcrccnt ol thc population livcd
in urban arcas, at thc bcginning ol thc twcnticth, this pcrccntagc was still a
rclativcly low + pcrccnt, today, it is o pcrccnt, by :oo it is projcctcd to bc
pcrccnt.
2
Tink about it this way: sincc +o, thc worlds citics havc absorbcd thc
[ 4 2 ] F A V E L A
cquivalcnt population ol an additional Ncw York City cvcry othcr month. Tis
amounts to an additional +:o,ooo urban rcsidcnts cvcry day.
!n thc hundrcdycar span lrom +o to :oo, thc population will havc
grown by ovcr thrcc and onchall timcs, whilc thc urban population will havc
multiplicd morc than cight and onchall timcsvirtually all ol it in thc inlor
mal scttlcmcnts ol thc global South.
:nv vv~v ~xb :nv v~i iuvv
Tis socallcd urban cxplosion has bccn vicwcd as a thrcat to political, social,
cconomic, and moral stability, and dirc conscqucnccs havc bccn prcdictcd.
Rcccntly Forbes magazinc publishcd an articlc saying:
Malthus, a 8ritish cconomist, lamously prcdictcd in +8 that population growth
cvcntually would outpacc lood production, rcsulting in mass starvation. vcr
sincc his timc, thc phrasc Malthusian nightmarc has bccn applicd to dystopian
sccnarios |ol | . . . dcmographic doom and gloom. For thc most part, thcsc prcdic
tions . . . havc turncd out to bc ovcrly pcssimistic. . . . Still, wc arc not yct lrcc ol
this antiurban bias. . . . Tc spcctacular growth ol Tird Vorld mcgacitics holds
thc dcprcssing possibility that Malthus may turn out to bc right altcr all.
3
vicuvv :. + Tc worlds mcgacitics, cach with tcn million or morc inhabitants.
MOSCOW
NEW YORK
LOS
ANGELES
CAIRO
ISTANBUL
KARACHI
DELHI
DHAKA
SHANGHAI
TOKYO
OSAKA-KOBE
BEIJING
MEXICO
CITY
LAGOS
MANILA
BOMBAY
CALCUTTA
RIO DE JANEIRO
SAO PAULO
JAKARTA
BUENOS AIRES
W O R L D G O E S T O C I T Y [ 4 3 ]
Almost cvcry country has rcspondcd to urban growth by attcmpting to hold
pcoplc on thc land, rcdircct thcm to planncd towns, or in somc othcr way limit
thc growth ol thc largc citics.
4
!n thc past o ycars, stratcgics to stcm thc ow ol
migrants to thc mcgacitics havc includcd (+) rural dcvclopmcnt aimcd at cqual
izing thc standards ol living in thc countrysidc and thc city, (:) divcrsion ol thc
ow into ncw towns, ncw capitals, or smallcr citics, () prohibition ol ncw rcsi
dcntial or commcrcial construction within city limits, () control ol apartmcnt
allocation (as in Moscow), () thc rcquircmcnt ol passports or idcntity cards lor
nonrcsidcnts cntcring thc city (as in aparthcid South Alrica), (6) lood rationing
(such as ricc in China), and () thc limitation ol lrcc movcmcnt (as in Cuba).
ach ol thcsc corts has lailcd, cithcr totally or partially, and somc havc
provcn countcrproductivc. Rural dcvclopmcnt programs, bascd on thc assump
tion that cqualizing thc quality ol lilc bctwccn countrysidc and city would stop
outmigration, had thc oppositc ccct. Tc grcatcr thc invcstmcnt in rural roads,
clcctrication, industrialization, and cducation, thc highcr thc ratc ol outmi
gration to citics bccamc. Tis can bc cxplaincd by thc lact that thc roads, cduca
tion, work cxpcricncc, and improvcd hcalth madc it casicr to gct out and hardcr
to kccp cm down on thc larm. (Tis is not to imply that rural dcvclopmcnt is
not usclul lor upgrading lilc in thc countrysidc, but it is a lailurc as a stratcgy lor
limiting outmigration.) !n thc dcvcloping countrics, it will takc scvcral dccadcs
bclorc lilc in thc countrysidc comcs closc to ocring thc samc opportunitics
and amcnitics as lilc in thc city. Conscqucntly, it will bc a long timc bclorc thcsc
dcvcloping nations cxpcricncc thc dcmographic shilts a.ay from thc big citics
that arc bcginning to occur in uropc and thc Unitcd Statcs.
Ncw towns or small citics dcsignatcd as growth polcs lor targctcd indus
trial and rcsidcntial invcstmcnts havc bccn built with thc intcntion ol rcdi
rccting migrants away lrom thc largc citics. Tcsc growth polcs havc bccn
succcsslul in somc highly industrial countrics, but thcy havc not takcn hold in
thc global South. Likc thc rcscttlcmcnt schcmcs tricd carlicr in !ndoncsia, thcy
havc provcn costly in inlrastructurc and arc unablc to compctc with cxisting
citics. Tc growth polc citics lack critical mass, cconomics ol scalc, and thc
:~niv :. + !orld Population and Urban Population in Billions
Year Population Urban
population
Change
in urban
population
Percent increase
in urban
population
Percent
urban
+o :. . :
+ .o8 +.: .8 +o
:ooo 6.o :.8 +.: 8
:o: 8.o+ .8 :.o+ +
:oo .+ 6.o +.8: o 6
[ 4 4 ] F A V E L A
dcnsc nctworks ol local supplicrs and consumcrs that lowcr thc cost ol doing
busincss in largc citics.
Ncw capitals such as 8raslia havc attractcd migrants, but not in sul
cicnt numbcrs to dctract lrom or diminish thc numbcrs ol thc migratory
ow to thc largc, cstablishcd citics. And most ol thc closcdcity policics
(such as thosc in !ndia) havc bccomc cmbarrassmcnts. !l urban migrants
could not build during thc day, thcy built at night, il thcy could not livc in
lcgal housing, thcy invadcd land, il thcy could not gct an apartmcnt pcrmit,
thcy doublcd up with rclativcs (lcading to massivc undcrcstimation ol thc
population ol Moscow lor ycars), and il thcy could not obtain a ricc ration,
thcy sharcd with othcr lamilics or bccamc part ol thc vast oating popula
tion ol Chincsc citics.
nly commandandcontrol socictics, in which policy is backcd by lcthal
lorcc, havc cvcn comc closc to kccping pcoplc out ol citics, and that suc
ccss has bccn ol limitcd duration. !n South Alrica, thc cnd ol aparthcid
brokc down this control. !n Cuba, thc rcvitalization ol ld Havanaand
thc attcndant inlusion ol tourist incomchavc dampcncd thc antiurban
idcology that kcpt potcntial rural migrants out ol thc city.
Troughout thc global South, pcoplc havc bccn voting with thcir lcct. As
!gnacy Sachs puts it, thcy havc bccn taking thcir chanccs at thc urban lot
tcry, and it sccms a bcttcr bct than staying in thc countrysidc. !n lact, it is
not thc most dcstitutc and hclplcss pcoplc lrom thc countrysidc who comc
to thc city but thc bcst and brightcst, thosc with thc lorcsight and couragc
to changc thcir livcs. And thcy havc donc much bcttcr, cvcn as squattcrs,
than thcir countcrparts who staycd back homc. No mattcr how di cult lilc
may bc in thc city, thcsc migrants arc bctting that thcir childrcn will havc
grcatcr opportunitics in thc city than thcy would havc in a shing villagc or
as indcnturcd scrvants on somconc clscs land.
Somc ol thcsc migrants arc pushcd o thc land by starvation, subjuga
tion, and sucring, just as othcrs arc pullcd toward thc city by thc lurc
ol opportunity. !n cithcr casc, thc argumcnt that cutting o housing and
social scrviccs lor thc poor will discouragc migrants lrom coming to thc city
has provcn spurious. vcn as uncmploymcnt has riscn, squattcrs havc bccn
lorccd to thc pcriphcrics, and violcncc has bccomc thc norm, pcoplc kccp
comingand what thcy arc lcaving bchind is worsc. Tcy arc not sccking to
bc lrccloadcrs but lrcc agcnts, mastcrs ol thcir own dcstinics.
!t is only in thc past lcw ycars that major intcrnational dcvclopmcnt agcn
cics havc bcgun to acccpt thc rcality that city growth and mcgacitics arc hcrc
to stay. Tcy will not sclldcstruct, and rcturn migration at a signicant scalc
is not in thc cards. As a rcccnt UN documcnt concludcs, !ts pointlcss trying
to control urban growth by stopping migration. !t just docsnt work.
5
W O R L D G O E S T O C I T Y [ 4 5 ]
ci :v cvow:n sni v:s :o :nv sou:n
!l thc rst major translormation marking this cra is thc onc lrom a rural to an
urban world, thc sccond is thc translormation lrom North to South: a total
rcvcrsal in thc locus ol thc worlds major citics lrom thc highly industrializcd
countrics ol thc North to thc dcvcloping countrics ol thc South. !n +o, only
thrcc ol thc tcn biggcst citics in thc world wcrc in thc global SouthShanghai,
8ucnos Aircs, and Calcutta. 8y +o, only thrcc wcrc in thc NorthTokyo,
Ncw York, and Los Angclcs. London, Paris, and Moscow wcrc cclipscd in
population sizc by Mcxico City, Sao Paulo, and Mumbai, which, by :ooo, wcrc
among thc vc largcst citics in thc world. Asian and Alrican citics, lor cxamplc
Jakarta and Lagos, havc bccn addcd to thc ranks ol thc most populous.
6
Today, thrccquartcrs ol thc worlds urban population rcsidcs in dcvcloping
rcgions. Figurc :.: shows thc sizcs ol thc :+ mcgaciticsthat is, thosc with +o
million or morc inhabitants in thc ycar :oooin +o, +o, and :ooo.
Tc dcvcloping rcgions continuc to outpacc thc dcvclopcd oncs in urban
growth, with an avcragc urban growth ratc ol :. pcrccnt (.+ pcrccnt lor thc
lcast dcvclopcd rcgions), comparcd with thc o.6 pcrccnt ratc ol thc dcvclopcd
rcgions. 8y midccntury, thc urban population in thc dcvcloping rcgions ol thc
world will havc doublcd lrom : billion to billion.
vicuvv :. : Tc :+ mcgacitics in ordcr ol sizc as ol :oo8, indicating thc population ol
cach in +o, +, and :oooand population projcctions lor :o:. Source: UNHabitat,
State of the !orlds Cities :oo8:oo and Unitcd Nations !orld Urbani.ation Projects, :oo
Fe.ision.
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[ 4 6 ] F A V E L A
:nv uvn~xi z~:iox ov vovvv:v
Tc third grcat translormation during this historical momcnt has bccn lrom
thc lormal to thc inlormal city.
7
ach day, thc city ol thc clitc continucs to
givc way to thc city ol thc masscs. Yct dcspitc this ovcrwhclming trcnd thc
majority ol all intcrnational assistancc lunding continucs to bc carmarkcd lor
rural arcas. Tc luturc ol thc urban poor in dcvcloping citics, and pcrhaps ol
humanity itscll, dcpcnds on a clcarcr undcrstanding ol thc dynamics ol povcrty
and ncw approachcs to intcgrating thc poor into thc largcr urban and global
populations.
!n thc citics ol thc global South, inlormal scttlcmcnts arc growing much
lastcr than thc citics thcmsclvcs. As ol :oo, morc than o pcrccnt ol thc
worlds urban population+ billion pcoplcrcsidcd in squattcr scttlcmcnts,
and o pcrccnt ol squattcrs livcd in thc dcvcloping world. Tc UN prcdicts that
within o ycars, that gurc will havc doublcd to : billiona third ol thc world
population. !n thc global South, morc than onc out ol cvcry lour urbanitcs livcs
in an inlormal scttlcmcntthat is, morc than onc out ol cvcry scvcn pcoplc
in thc worldand lourlths ol thcm arc in thc most dcstitutc rcgions ol thc
world.
8
Although slums havc cxistcd sincc thc !ndustrial Rcvolution, until rcccntly,
povcrty and human sucring havc bccn most scvcrc in rural scttlcmcnts. Today,
povcrty is last bccoming an urban phcnomcnon, a trcnd that is unlikcly to bc
rcvcrscd.
i~:i x ~:vvic~ i x cox:vx:
Latin Amcrica is thc most highly urbanizcd rcgion in thc global South. Vith
8 pcrccnt ol its population living in citics, its dcgrcc ol urbanization is sccond
in thc world only to that ol North Amcrica, which is 8+ pcrccnt urban. Tc ratc
ol urban growth in Latin Amcrica has cxcccdcd thosc ol North Amcrica and
uropc. !n +o, lcss than + pcrccnt ol Latin Amcricas population was urban.
!t took just thrcc dccadcs to complctc thc urban transition that took six dccadcs
in North Amcrica.
9
Tc ncxt wavc ol urbanization will bc in Asia and Alrica,
which arc currcntly o pcrccnt and 8 pcrccnt urban, rcspcctivcly.
10
8ut Latin
Amcrican citics will continuc to grow lor thc lorcsccablc luturc, and thc rcgion
is projcctcd to rcach 8 pcrccnt urban saturation by :oo. !n othcr words, thc
ratc ol urban growth in Latin Amcrica will drop, but thc citics thcmsclvcs will
continuc to grow.
11
Vithin Latin Amcrica, : pcrccnt ol thc population ol thc citics livcs in
squattcr scttlcmcnts, making it ovcr vc timcs morc likcly lor a Latin Amcrican
to bc living inlormally than a pcrson in a dcvclopcd rcgion. Tc problcms laccd
by thc + million pcoplc living in Latin Amcricas shantytowns arc similar to
W O R L D G O E S T O C I T Y [ 4 7 ]
thosc laccd by thc 8+ million squattcrs in Asia and thc + million in Sub
Saharan Alrica.
12
Tc map (gurc :.) shows thc pcrccnt urban by rcgion in
thc dcvcloping world, along with thc pcrccnt ol thc urban population living in
shantytowns.
Although Latin Amcrica is rclativcly wcllo whcn comparcd with abso
lutc lcvcls ol povcrty in thc global South, its skcwcd distribution ol wcalth has
carncd it thc dubious distinction ol having thc highcst lcvcl ol incquality ol any
rcgion in thc world.
13
!n thc worlds highincomc nations, thc avcragc incomc
ol thc richcst :o pcrccnt (quintilc) is about six timcs highcr than thc poorcst
quintilc. !n Latin Amcrica, thc richcst quintilc carns +: timcs morc than thc
poorcst.
14
nv~zi i i x cox:vx:
8razil, longcallcd thc slccping giant, is now awakc and positioncd to bccomc
onc ol thc worlds supcrpowcrs.
15
!ts :oo population ol +8. million inhabit
ants makc it thc lthlargcst country in thc world, and it is onc ol thc most
highly urbanizcd. vcr 8 pcrccnt ol 8razilians arc living in citics, a gurc
cxpcctcd to risc to o pcrccnt ovcr thc ncxt twcnty ycars (surpassing thc 86.8
pcrccnt projcctcd lor thc Unitcd Statcs at that timc). Vith approximatcly onc
third ol thc city population living in lavclas and othcr typcs ol inlormal scttlc
mcnts, it is clcar that urban povcrty will bccomc onc ol thc most salicnt social,
cconomic, and political issucs thc country will lacc.
Nothern Africa
Eastern Asia
Sub-Saharan
Africa
Southern Asia Oceania
South Eastern
Asia
%Urban
29.6
%Slum
59
% Urban
39.1
36.4
% Urban
39.1
%Slum
36.4
Western Asia
Latin America
%Urban
52
%Slum
28.2
%Urban
65.7
%Slum
25.7
%Urban
34.6
%Slum
71.9
SLUM POPULATIONS IN THE DEVELOPING WORLD
% Urban
75.8
%Slum
31.9
vicuvv :. Map ol thc global south indicating thc pcrccnt ol thc population living
in citics ( urban) and thc pcrccnt ol thc urban population living inlormally ( slum) lor
cach rcgion.
[ 4 8 ] F A V E L A
As thc 8razilian social cntrcprcncur Ricardo Ncvcs has writtcn, No
othcr country ol comparablc sizc managcd, in only two gcncrations, to go
lrom a rural country to an urban onc.
16
!n thc lour dccadcs looscly cor
rcsponding to thc pcriod ol my lavcla rcscarch (+6o and :ooo) 8razilian
citics absorbcd +o8 million ncw rcsidcnts, most ol thcm poor. 8clorc thc
Vorld Var !!, only + pcrccnt ol 8razilians livcd in citics, by +, it was
6: pcrccnt, and by thc turn ol thc ccntury, it was 8+ pcrccnt. 8y thc timc
! had complctcd thc rst lavcla study thrcc out ol vc 8razilians living in
thc countrysidc had pullcd up stakcs and migratcd to a city, most oltcn
a big city. Tcsc arc pcoplc similar to thc oncs ! lollowcd ovcr thc past
lour dccadcs, pcoplc who cndcd up in squattcr scttlcmcnts lor lack ol othcr
options oncc thcy arrivcd in thc citics.
Contrary to popular imagc, povcrty in 8razil is not primarily rural povcrty.
vcr thrcc quartcrs (8 pcrccnt) ol poor pcoplc livc in citics, not in thc coun
trysidc. Tis pcrccntagc ol poor pcoplc in 8razil puts it on par with countrics
likc Ncpal and 8angladcsh, which havc only oncthird ol 8razils pcr capita
incomc. How can that bc:
8razils cconomy is thc tcnth largcst in thc world. !ts GP (gross domcstic
product) in :oo is US8+. trillionand it has bccn growing and withstand
ing thc global rcccssion rclativcly wcll. !n :oo, 8razils cconomy grcw by an
avcragc ol . pcrccnt, in :oo8, by an avcragc ol 6. pcrccnt. Ncw oshorc oil
rcscrvcs lound in :oo in thc watcrs o thc statc ol Rio could makc thc coun
try thc scvcnthlargcst oil produccr in thc world. !n short, thcrc is morc than
cnough wcalth to allcviatc urban and rural povcrty il that wcalth wcrc morc
cqually distributcd.
8ut 8razil has onc ol thc highcst incquality lcvcls in thc world, and is thc
most uncqual among countrics ol its sizc. Scvcral small countrics in Latin
Amcrica, such as Haiti and Paraguay, and in Alrica, such as Sicrra Lconc,
Namibia, and 8otswanahavc grcatcr incquality, but thcy arc not in thc samc
lcaguc cconomically or politically as 8razil.
17
Howcvcr, thcrc arc signs that this
is bcginning to improvc. vcr thc past vc or six ycars, thc incquality indcx lor
8razil has bccn dcclining. Tis is duc in part to thc cccts ol thc widcrcaching
Conditional Cash Translcr (CCT) Program, 8olsa Famlia, which providcs
stipcnds to poor lamilics on thc condition that thcy invcst in thc hcalth and
cducation ol thcir childrcn. ! discuss this lurthcr in chaptcr ++.
Sonia Rocha, a 8razilian cxpcrt on povcrty and incquality shows that thc pcr
capita incomc ol thc poorcst hall ol thc 8razilian population rosc by + pcrccnt
in :oo, an incrcasc ol lour timcs thc national avcragc and has continucd to
improvc. Hcr analysis rcvcals a changc lrom thc +os whcn thc richcst lth
(quintilc) ol thc nations population carncd o timcs morc than thc poorcst
lth, to :oo whcn thc ratio droppcd to :o timcs morcnothing to brag about,
but an undcniablc improvcmcnt. Still, hall ol thc countrys total incomc is in
W O R L D G O E S T O C I T Y [ 4 9 ]
thc hands ol thc top +o pcrccnt and ol that hall, 8 pcrccnt is conccntratcd in
thc top pcrccnt.
18
Tc conscqucnccs ol this high dcgrcc ol incquality and ol thc cocxistcncc ol
so much wcalth and so much povcrty arc sharply illustratcd in thc landscapc ol
8razilian citics. Rio dc Janciro is an idcal laboratory in which to obscrvc how
thcsc dynamics play out at thc local lcvcl.
vio bv j~xvi vo i x cox:vx:
!n January (Janeiro) ol +o:, Portugucsc navigators, mistaking thc cntrancc ol
Guanabara 8ay lor thc mouth ol a rivcr (rio), gavc thc city ol Rio dc Janciro its
namc. Two hundrcd and sixtyonc ycars latcr, in +6, Rio dc Janciro bccamc thc
capital ol colonial 8razil supplanting Salvador da 8ahia. Altcr indcpcndcncc,
Florianopolis
0 400 800 1600 Km.
ATLANTIC OCEAN
ATLANTIC OCEAN
Curitiba
Rio de Janeiro
Rio de
Janeiro
Espirito
Santo
Minas
Gerais
Bahia
Palmas
Teresina
C
e
a
r
a
Sao Luis
Piaui
Para
Porto
Velho
Acre
Rio Branco
Manaus
Amazonas
Roraima
Boa Vista
COLOMBIA
A
VENEZUELA
Political Map
GUYANA
SURINAME
FRENCH
GUIANA
BRAZIL
BRASIILIA
N
Amapa
Macapa
Belem
Maranhao
Tocantins
Salvador
Sergipe
Alagaos
Pernambuco
Paraiba
Rio Grande
Do Norte
Vitoria
Sao
Paulo
Goias
Mato Grosso
Do Sul
Parana
Cuiaba
Campo
Grande
Mato
Grosso
Santa
Cararina
Rio Gra
Do Sul
International Boundary
State Boundary
National Capital
State Capital
Porte Alegre
PARAGUAY
BOLIVIA
Rondonia
PERU
ARGENTINA
Marica
Sao Goncalo
Niteroi
Itaborai
Mage
Belford Roxo
Duque de Caxias
Nova Iguacu
Rio de Janeiro
Sao Joao
de Meriti Mesquita
Mangaratiba
Oceano Atlantico
Marica
Tangua
Sao Goncalo
Niteroi
Itaborai
Guapimirim
Mage
Belford Roxo
Duque de Caxias
Nova Iguacu
Japeri
Seropedica
Rio de Janeiro
Sao Joao
de Meriti Mesquita
Nilopolis
Itaguai
Queimados
Mangaratiba
Paracambi
Oceano Atlantico
B
vicuvv :. A and 8. Maps showing thc location ol Rio dc Janciro statc within 8razil and thc city (municipality) ol Rio dc Janciro within thc
statc.
W O R L D G O E S T O C I T Y [ 5 1 ]
in +8::, and thc dcclaration ol thc rcpublic in +88, Rio continucd to scrvc as
thc national capital. !n +6o, undcr thc administration ol Juscclino Kubitschck,
thc capital was movcd to 8raslia, thc gcographic ccntcr ol thc country, in an
cort to dcvclop thc intcrior and rcdistributc thc nations population ( pcr
ccnt ol whom livcd within vc milcs ol thc coast). Tc tcrritory bclonging to
thc lormcr Fcdcral istrict was convcrtcd into thc statc ol Guanabara, with
Rio as thc statc capital. Nitcroi, on thc othcr sidc ol thc bay, was thc capital ol
thc much largcr, poorcr, and morc rural statc ol Rio dc Janciro. !n March +,
dcspitc strong opposition that continucs to this day, thc two statcsGuanabara
and Riowcrc luscd to lorm thc ncw statc ol Rio dc Janciro with thc city ol
Rio as its capital.
Currcntly, thc population ol thc statc ol Rio dc Janciro is +.6 million. Rios
mctropolitan rcgion accounts lor pcrccnt ol thc statcs population, ol which
6 million livc within thc municipality. Tis carns Rio thc rank ol third largcst
ol thc lour mcgacitics ol Latin Amcrica (smallcr than Mcxico City and Sao
Paulo but largcr than 8ucnos Aircs) and lourtccnth largcst ol thc + mcgacitics
in thc world.
Unlikc most Latin Amcrican countrics, which lollow a primatc city pattcrn
(that is, thc singlc largcst city in thc country has morc than twicc thc popula
tion ol thc ncxt largcst), 8razil has ninc largc mctropolitan rcgions.
Among thc ninc, Rio dc Janciro has consistcntly bccn thc rst to indicatc a
national trcnd. !t lcd thc rapid urban growth in thc postVorld Var !! pcriod,
with growth ratcs ol : pcrccnt in thc +os and : pcrccnt in thc +6os. !t
thcn lcd thc gradual dcclinc in growth ratcs through thc +os to thc prcscnt.
As shown in tablc :.:, Rios population ncarly quadruplcd in thc sccond hall
:~niv :. : Population of Bra.il s Metropolitan Fegions in :,c and :ccc .ith Estimates
for :cc (regions ranked by si.e in :ccc)
Population
in :,c
(thousands)
Population
in :ccc
(thousands)
Fate of
increase
(:,c-:ccc)
Population
estimate
for :cc
(thousands)
Estimated
rate of
increase
(:ccc-
:cc)
Sao Paulo :, +,o . +,::6 +.+:
Rio dc Janciro :,o +o,8o .66 ++,8+ +.o
8clo Horizontc +: ,6 ++.+ ,: +.o6
Porto Alcgrc 88 ,o .+8 ,8 +.++
Rccilc 66+ ,:o .8 ,6 +.+
Salvador o :,68 .6 , +.:+
Fortalcza :6 :,8 +o.8 , +.:o
8raslia 6 :,6 6.:8 ,o8 +.:8
Curitiba +8 :, +.8 ,+: +.:
[ 5 2 ] F A V E L A
on thc twcnticth ccntury, lrom :. million to +o.8 millionbut that was thc
lowcst ovcrall growth ratc ol any mctropolitan rcgion in thc country.
Rio has sucrcd scvcrc job loss duc to dcindustrialization, thc movc ol thc
national capital (and its rclatcd jobs) to 8raslia, and thc movc ol busincss,
commcrcial, cultural, and intcllcctual ccntrality to Sao Paulo. !t also sucrcd a
dcclinc in tourism duc to lcar ol violcncc starting in thc mid +8os.
Uncmploymcnt incrcascd lor thc urban poor in particular. Tc prolilcration
ol takcout lood, washing machincs, dishwashcrs, and laundrics, along with ncw
labor laws guarantccing a minimum wagc to domcstic cmployccs (plus thc lull
packagc ol labor bcncts), sharply rcduccd thc dcmand lor livcin or lulltimc
maids. Tis mcans that womcn who workcd lor onc lamily (and oltcn staycd
during thc wcck, with thcir childrcn, who wcnt to school in that ncighborhood)
arc now arc working onc day or two lor that lamily and nccd to nd thrcc or
lour othcr jobs to makc up thc dicrcncc. Likcwisc, with thc consolidation ol
thc ccntcr and thc North and South zoncs, thc numbcr ol construction jobs
has droppcd.
Yct Rio has managcd to rcmain onc ol 8razils major cconomic ccntcrs, scc
ond only to Sao Paulo in pcr capita GP. Tc dcgrcc ol upward mobility ol
Rios urban poor, howcvcr, is constraincd by its lcgacy ol incquality, its dcclining
cmploymcnt potcntial, and its lagging cconomic growth ratcs. According to
calculations by \alria Pcro, Rio has thc lowcst ratcs ol social mobility among
all thc mctropolitan rcgions ol 8razil.
19
:nv v~vvi~s ov vio
Rio dc Janciro has thc largcst lavcla population ol any 8razilian city, accounting
lor onclourth ol thc lavcla population in thc cntirc country. Tablc :. shows
how Rio comparcs with thc othcr major mctropolitan arcas.
:~niv :. Fa.elas in Bra.il s Cities
City Fa.ela pop. Total pop. Total d.ellings
Rio dc Janciro +,o:,6 ,8,o +8. o8,8+
Sao Paulo o,6:8 +o,,:: 8. ::,+
8clo Horizontc :68,8 :,:8,:6 +:.o 6,+
Salvador :8,: :,,+o .8 6+,::
Curitiba +,:: +,8,+ .: ,:
Porto Alcgrc +, +,6o,o +o. ,66
Rccilc +,o +,::,o . ,6
Fortalcza ,: :,++,o: +6. 8,:o
8clm 8,: +,:8o,6+ .o +oo,o6
Rio has ovcr +ooo lavclas and thc largcst lavcla population ol all 8razilian citics.
Sources: !8G :ooo, !PP :oo8o
W O R L D G O E S T O C I T Y [ 5 3 ]
Sao Paulo, thc only 8razilian city largcr than Rio, has a smallcr lavcla
population and a lowcr pcrccntagc ol its population living in lavclas ( pcrccnt
as comparcd with + pcrccnt).
20
Tc only mctropolitan arca with a highcr pcr
ccnt living in lavclas is 8clm dc Para, at pcrccnt. !n thc calculations lor
Rio, which includc lotcamcntos and conjuntos as lavclas, thc portion riscs to
pcrccnt.
cspitc thrcc dccadcs ol public policy corts in Riorst to cradicatc lavc
las and thcn to upgradc and intcgratc thcm into thcir surrounding ncighbor
hoodsboth thc numbcr ol lavclas and thc numbcr ol pcoplc living in lavclas
has continucd to grow.
Tc lour maps in gurc :. show thc sprcad ol lavclas ovcr thc landscapc
ol Rio in +o, +6o, +o, and :oo8. Tcsc maps drawn lrom acrial photo
graphs, show lavclas growth lrom tiny dots into largc blotchcs. Tcy havc
mcrgcd with onc anothcr across adjaccnt hills into vast, contiguous agglomcra
tions or complexos, cach composcd ol multiplc lavcla communitics. Any onc ol
thcsc complcxos is thc sizc ol a largc 8razilian city. Tc lour largcstRocinha,
Jacarczinho, thc Complcxo do Alcmao, and thc Complcxo da Marhavc a
combincd population ol ovcr hall a million rcsidcnts.
Tc othcr major changc visiblc in thc timc scqucncc ol thc lour maps is thc
sprcad ol lavclas outward lrom thc South Zonc (+os), to thc North Zonc
(+6os) and thc Vcst Zonc (+o)lollowing thc growth ol thc city and thc
location ol jobs.
Tc :oo maps bclow show thc cnormous incrcasc in lavcla growth sincc
+o, and thc simultancous prolilcration ol irrcgular or clandcstinc lotcamcn
tos. 8oth ol thcsc maps arc topographical and illustratc thc tcndcncy lor lavclas
to bc locatcd around hillsidcs and lor lotcamcntos to bc on at tcrrainpartic
ularly conccntratcd in thc Vcst Zonc.
Growth ratcs ol lavclas havc cxcccdcd that ol thc gcncral population ol Rio
dc Janciro lor cvcry dccadc cxccpt thc +os, whcn morc than +oo,ooo lavcla
rcsidcnts wcrc cvictcd and 6: lavclas wcrc dcmolishcd in thc thrcc ycars lrom
+o.
21
As sccn in tablc :. bclow, thc highcst growth ratcs wcrc immcdi
atcly altcr Vorld Var !!, whcn urban inmigration took o, and in thc +6os,
whcn my initial study was conductcd.

uring thc pcriod +8oo, thc citys
ovcrall growth ratc ol Rio droppcd lrom :o pcrccnt to bclow 8 pcrccnt, whilc
thc lavcla populations surgcd lrom ++ pcrccnt to ovcr o pcrccnt. uring thc
last dccadc ol thc twcnticth ccntury, thc citys ovcrall growth ratc lcvclcd o at
just bclow pcrccnt, whilc thc lavcla population grcw by : pcrccnt.
Looking at thc sccond hall ol thc twcnticth ccntury as a wholc, thc city ol
Rio grcw by :. pcrccnt, and thc lavclas ol Rio grcw by 6. pcrccnt. !n othcr
words, thc lavcla growth ratc was almost two and hall timcs that ol thc city as
a wholc. Still, thcsc comparisons arc wcakcncd by thc lact that lavcla growth
is part ol thc growth ol thc city as a wholc. Tc lull dicrcncc can only bc
2008
vicuvv :. Growth in Numbcr and Sizc ol Rios Favclas lrom +o to +6o to +o to :oo8. (!magc lrom thc municipal archivcs, produccd by thc
planning and rcscarch dcpartmcnt, ProUrb)
W O R L D G O E S T O C I T Y [ 5 5 ]
appreciated when the comparison is between favelas and nonfavelas. For the
last decade of the twentieth century, the favela growth rate was 2.4 percent
while the nonfavela growth rate was merely 0.38 percent.
Tis divergence is visually depicted in fgure 2.6, which compares the growth
of the favela and nonfavela population of Rio over 50 years. Taking 1950 as a
baseline, the graph shows the increasing divergence between the two groups,
particularly in the last decade, when the rest of the city barely grew at all, while
favela growth accelerated.
Tis growth rate of favelas did not occur evenly across the space of the
city. Favela growth started where the city started and grew upward and out-
ward as the city grew. As discussed in chapter 1, the frst settlements, such
as the Morro de Providncia, were in the center; the next wave followed the
citys residential expansion into the South Zone (the site of Catacumba),
and not long thereafter, favelas followed the industrialization in the North
Zone (the site of Nova Braslia) and in the Baixada Fluminense (the site
of Vila Operria and the other Caxias favelas). Starting in the 1980s, Rios
newly wealthy expanded along the coast into the Barra de Tijuca (some-
times called little Miami for its style of architecture and land use). Tis
move created a huge demand for labor in construction, maintenance, and
domestic services in the West Zone. As seen in table 2.5, the result was a
historic expansion of the favela population in the West Zone starting in the
1980s, and paralleled by the new clandestine and irregular loteamentos.
So many migrants were arriving from the Northeast that a business
developed in nonstop buses from the state of Paraba directly to the Cidade
de Deus in Jacarepagu, a convenient access point to the entire West Zone.
Te starting-from-scratch atmosphere in the West Zone favelas today is
reminiscent of what it was like in the favelas I lived in at the end of the
1960s.
table 2. 4 Favelas Grow Faster than City of Rio
Year Population of
favelas (a)
Total
population
of Rio (b)
a/b (%) Favela
growth rate
by decade (%)
Rio
growth rate
by decade (%)
1950 169,305 2,337,451 7.24 - -
1950-60 337,412 3,307,163 10.20 99.3 41.5
1960-70 563,970 4,251,918 13.26 67.1 28.6
1970-80 628,170 5,093,232 12.33 11.4 19.8
1980-90 882,483 5,480,778 16.10 40.5 7.6
1990-2000 1,092,958 5,857,879 18.66 23.9 6.9
From 2000-2005 favelas grew six times more than nonfavelas.
Source: IBGE (Brazilian Institute of Geography and Statistics), 2000, IPP (200809)
[ 5 6 ] F A V E L A
100
134
168
198
208
216
100
198
328
424
521
647
0
100
200
300
400
500
600
700
1950 1960 1970 1980 1991 2000
I
n
d
e
x
Nonfavela Favela
vicuvv :. 6 Favcla and Nonlavcla Growth in Rio dc Janciro, +6o:ooo. Population
!ndcx +o - +oo
Source: !nstituto Pcrcira PassosRio dc Janciro (:oo8o)
:~niv :.
Zones :,c :,&c :,c :,c :,,: :ccc
South Ccntcr (old
wcalth)
8 : : : :o
North (working
low/middlc class)
8 6o 8 o
Southwcst (ncw rich/
uppcr middlc)
+ 8 +
Vcst /pcriphcry
(ncw poor)
+ +6
Total +oo +oo +oo +oo +oo +oo
Source: !nstituto Pcrcira PassosRio dc Janciro (:oo8o)
Up to 4 minimum salaries (ms) 59 ms 1014 ms 1519 ms 20 or more ms
KM
0 4 8
vicuvv :. T c Landscapcs ol Povcrty and !ncquality. Rio Ccnsus Arcascodcd by avcragc incomcs ol houschold hcads in minimum salarics (ms).
Source: !nstituto Pcrcira PassosRio dc Janciro
[ 5 8 ] F A V E L A
uring thc samc +:ycar pcriod lrom +8o+:, lor cxamplc, whcn +o
ncw lavclas arosc in thc Vcst Zonc, only a singlc ncw lavcla arosc in thc South
Zonc and only thrcc in thc North Zonc. Tc :+ pcrccnt and + pcrccnt lavcla
population growth ratcs in thc South and North zoncs, rcspcctivcly, wcrc duc
to consolidation (vcrticalization, dcnsication, and commodication ol thc
cxisting lavclas)just thc oppositc ol thc sprawl ol thc ncw scttlcmcnts in
thc Vcst Zonc.
22
Tc dcnsity in Rio city is high, at . inhabitants pcr squarc
kilomctcr, but dcnsity in thc lavclas is scvcral ordcrs ol magnitudc highcr, at
+. pcr squarc kilomctcr, and in thc South Zonc thc lavcla dcnsity is highcr
still, going up to +oo,ooo pcr squarc kilomctcr (thc dcnsity ol Catacumba in
its hcyday).
:nv cvocv~vnv ov vovvv:v
Tc landscapc ol incquality is shown on thc municipal map in gurc :., show
ing thc avcragc incomc ol thc hcads ol houschold in cach ccnsus rcgion. Apprc
ciating thc incquality bctwccn thc monthly carnings ol lavcla and nonlavcla
rcsidcnts is lundamcntal to undcrstanding thc position ol lavclas within thc
largcr city. Tc sizc ol thc carnings gap dcpcnds on thc zonc. Tc dicrcntial
rangcs lrom a high in thc South Zonc, whcrc avcragc monthly carnings outsidc
ol lavclas is .6 timcs that in lavclas, to a low in thc Vcst Zonc, thc poorcst arca
ol thc city, whcrc thc avcragc nonlavcla carnings arc onc and a hall timcs thc
avcragc carnings in ncighboring lavclas (as shown in tablc :.).
Tcsc dicrcnccs rcinlorcc thc choicc ol our thrcc study communitics as
thrcc distinct arcas lor comparison.
bvvi xi :ioxs ~xb b~:~: ~ bi sci~i :vv
cspitc thc o cialsounding sourccs ol thc lacts and gurcs ! havc prcscntcd
abovc and thc truth ol thc trcnds thcy rccct, thc actual gurcs arc somcwhat
suspcct. Population numbcrs in this part ol thc world arc rcportcd variously
:~niv :. Comparison of Monthly Earnings (in reais) for Fa.elas and
Nonfa.elas, by Zone
rea of residence Fa.ela Nonfa.ela Total a.erage Di.()
South Zonc :,6 :,+ 66.6
North Zonc 6+ +,:8 +,+ .
Ncar suburb 8: 88o 6 :o.
istant suburb 6 :8 6 :oo.6
Jacarcpagu + 86 8o6 ::.:
Vcst Zonc 68 6 : +.
Complicd by \alria Pcro lrom thc :ooo Ccnsus.
W O R L D G O E S T O C I T Y [ 5 9 ]
somctimcs widcly so. As an cxamplc ol thc magnitudc ol dicrcncc, in :oo,
various sourccs rcport Rios lavcla population at anywhcrc lrom just ovcr a mil
lion to million. How can thc discrcpancics bc so grcat:
Tc rst answcr is that thc dcnition ol what constitutcs a lavcla is not
consistcnt across agcncics or studics. Tc 8razilian !nstitutc ol Gcography and
Statistics, thc 8razilian ccnsus burcau, lor cxamplc, statcs: A lavcla is a scttlc
mcnt ol o housing units or morc locatcd on public or privatc propcrty and
charactcrizcd by disordcrcd occupation without thc bcnct ol csscntial public
scrviccs.
23
cnitions ol this typc arc problcmatic lor many rcasons. (+) Tcrc arc many
scttlcmcnts ol o or morc shacks that havc gonc unnoticcd by thc authoritics,
cithcr bccausc thcy arc adjaccnt to anothcr lavcla, bctwccn two conjuntos (c.g.,
thc lavcla Piquir bctwccn Guapor and Quitungo, which was alrcady hugc and
thriving bclorc it was dctcctcd), or in a particularly rcmotc arca. (:) Locatcd
on public or privatc propcrty is mcaninglcss, sincc all housing is on public or
privatc propcrty, and this dcnition docsnt spccily whcthcr thc land is bcing
occupicd lcgally or illcgally. () Charactcrizcd by disordcrcd occupation only
applics to somc lavclas, whilc othcrs such as Favcla Ccntral, onc ol our study
sitcs in Caxias, comprisc cxtrcmcly ordcrly vilasclassic workcrs housing on
both sidcs ol a narrow passagcway with utilitics and drainagc running down
thc ccntcr ol it. () As lor without thc bcnct ol public scrviccs, anyonc who
has sccn Rios lavclas knows that most oldcr lavclas arc lully scrviccd, whcthcr
as a rcsult ol thc Favcla8airro urban upgrading program or thc hard work ol
thcir rcsidcnts.
Tc sccond rcason lor thc unrcliability ol population gurcs is that thcrc
arc scvcral catcgorics ol inlormal housing that arc not considcrcd part ol
thc aslalto, but arc also not morros, or lavclas. nc cxamplc is thc lotca
mcntos clandcstinos (illcgal or quasilcgal subdivisions), which havc bccomc
incrcasingly prcvalcnt as thc lands occupying thc hillsidcs havc bccomc lully
occupicd and inroads havc bccn madc into pcriurban grazing and agricul
tural landstypically by thc lraudulcnt dcvclopcrs who scll o worthlcss
parccls without scrviccs to poor lamilics, lcaving thcm strandcd with no
rccoursc. Tcrc arc no rcliablc rccords ol how many such lotcamcntos thcrc
arc at prcscnt, whcrc thcy arc, or how many houscholds or pcoplc arc living
in cach.
Conjuntos (conjuntos habitacionais, callcd popular housing or social
housing) arc anothcr cxamplc. Tcy arc dcnsc, drcary, undicrcntiatcd
vcstory walkups, poorly constructcd duc to thc pockcting ol lunds, and
poorly maintaincd duc to thc govcrnmcnts lack ol intcrcst. Tcy arc lcgal
but lull ol poor pcoplc, in limbo ncithcr aslalto nor morro, lall into a void
bctwccn thc lormal and thc inlormal city. Tc incidcnts ol latal violcncc
thcrc arc as high as in thc lavclas, and govcrnmcnt ccnsus takcrs likc thc
policc, think twicc bclorc cntcring.
[ 6 0 ] F A V E L A
Somc apartmcnts in thc conjuntos arc occupicd by largc lamilics or mul
tiplc lamilics who slccp in rotating shilts. thcrs arc rcntcd out. Somc havc
bccn sold and rcsold many timcs with no o cial rcgistry, and somc havc bccn
abandoncd whcn thc occupants could ncithcr scll nor rcnt and could no longcr
rcmain. Tcrc arc high turnovcr ratcs in somc ol thc blocos (apartmcnt build
ings) and a kind ol oating population that includcs individuals who arc con
stantly appcaring and disappcaringhiding lrom thc law or lrom thc rival
drug gangmaking it cxtrcmcly di cult to obtain rcliablc population gurcs.
8cyond thosc dcnitional di cultics, thcrc arc othcr challcngcs to
obtaining accuratc gurcs on lavcla populations and numbcrs ol housc
holds. Tcsc includc:
Boundarieswhcrc docs any givcn lavcla bcgin and cnd: How many scparatc
lavclas arc in cach complcxo: Vhat constitutcs a ncw lavcla as opposcd to an
cxpansion ol an cxisting onc:
Householdshow docs onc propcrly count cxtcndcd lamily compounds with
a sharcd cntrancc lcading to scparatc units abovc, bchind, or bcsidc thc main
housc, or to cottagcs in thc back, or rcntal units:
Street names and house numbersthcsc gcncrally do not cxist, and attcmpts to
institutc thcm havc bccn consistcntly disruptcd by thc tra ckcrs, who want
to makc it as di cult as possiblc lor thc policc to nd thcm.
Physical di cultyit is tricky to rcach thc highcst, most rcmotc arcas, which
also tcnd to bc thc most dangcrous. Ccnsus takcrs tcnd to avoid thcm.
Tosc problcms havc always cxistcd. Vhat has complicatcd thc proccss in thc
past :o ycars is thc lcar lactor on both sidcs:
Ccnsus takcrs arc sccn as govcrnmcnt agcnts and trcatcd with suspicion and
noncoopcration.
To bc ablc to cntcr thc community, thcy nccd authorization lrom thc control
ling drug laction, and usually thc hcad ol thc rcsidcnts association as wcll.
Coopcration and communication arc impcrlcct, so thc ordcr ol protcction
may not bc honorcd by all or may not rcach all thc drug tra c soldicrs.
!ntcrvicwcrs arc lcarlul ol gctting caught in crossrc or coming by accidcnt
upon a boca (drug salcs point).
Many lavcla rcsidcnts prclcr to rcmain bclow thc radarwhcthcr thcy arc
hiding out, conducting busincss, kccping a mistrcss, or supporting a sccond
lamily.
Vith thcsc myriad challcngcs, it is a clcar that all gurcs must bc takcn
with a ccrtain dcgrcc ol skcpticism. Probably thc most rcliablc data comc lrom
communitics such as thc Complcxo do Mar, whcrc thc bscrvatorio das
Favclas is locatcd and whcrc a complctc houschold ccnsus is scllconductcd by
local rcsidcnts as a planning and program dcvclopmcnt tool.
24
W O R L D G O E S T O C I T Y [ 6 1 ]
Tc statistics most oltcn uscd arc thosc ol UNHabitat, which arc bascd on
:ooo ccnsus data gathcrcd by thc 8razilian !nstitutc ol Gcography and Statis
tics, thcsc show + pcrccnt ol Rios population living in lavclas, +: pcrccnt in
conjuntos, and 6 pcrccnt in lotcamcntosadding up to pcrccnt ol thc citys
total population living inlormally. Vc can takc this as a broad cstimatc but lor
all thc rcasons ! havc discusscd, ! would not count on it.
Vhat ! cndcavor to do in thc chaptcrs that lollow is to go bchind and bcyond
dry statistics and cxplorc/uncovcr thc living complcxity ol pcoplc, placcs, and
proccsscs that gct lost in thc broad gcncralizations.
t hree
Catacumba
: n v v ~ v v i ~ : n ~ : w ~ s
Tis chaptcr and thc two that lollow tcll thc storics ol thc thrcc communi
tics includcd in this study. Vhilc no thrcc lavclas could cvcr rcprcscnt all ol
Rios divcrsc communitics, thc thrcc ! chosc wcrc as dicrcnt as possiblcin
tcrms ol location, scttlcmcnt pattcrn, and historyas could bc lound at thc
timc ol thc original study. Tcsc communitics providc thc contcxt in which
thcir inhabitants took action lor improvcmcnts, wcrc subjcct to abusc lrom
govcrnmcnt policics, and crcativcly rcinvcntcd thcir livcs and livclihoods on
a daily basis.
Among thc thrcc communitics ! studicd, Catacumba was thc hardcst to
rcvisit. Tc dynamic bcchivc ol +o,ooo pcoplc, thc vibrant strcctsidc com
mcrcc, thc dozcns ol associations and organizations that wcrc Catacumba, wcrc
no longcr thcrc (scc gurcs .+ and .:). Tc :,:oo dwcllings had bccn dcmol
ishcd in +o and thcir rcsidcnts rclocatcd variously around thc city. vcn thosc
lamilics who had livcd thcrc bclorc it was a lavcla wcrc not sparcd.
ighty pcrccnt ol Catacumbas rcsidcnts had bccn rclocatcd to thc conjuntos
ol Guapor and Quitungo. ! had kcpt in touch with Margarida, thc woman in
whosc homc ! had livcd, so ! had a placc to start. Shc and hcr lamily wcrc liv
ing in a oncbcdroom apartmcnt in Quitungo. Margarida was wary ol mccting
mc. Tc situation was vcry tcnsc. Tc drug tra ckcrs who controllcd Quitungo
C A T A C U M B A [ 6 3 ]
wcrc constantly on thc lookout lor nonrcsidcnts cntcring thc arca, lcaring thcy
wcrc policc agcnts or spics lrom thc opposing laction. Margarida wantcd to scc
mc but was tcrricd to bc sccn sccing mc, and shc had hcalth problcms that
madc it di cult lor hcr to lcavc hcr apartmcnt and mcct clscwhcrc.
vicuvv . + Catacumba, +68a thriving community rising abovc thc Lagoa Rodrigo
Frcitas.
vicuvv . : Formcr sitc ol Catacumba, :oo8a littlcuscd park and million dollar
condos.
[ 6 4 ] F A V E L A
Fortunatcly ! had a backup. Scvcral ycars bclorc this, ! had uncxpcctcdly
lound my lricnd, Jacobi, a lormcr Catacumba lcadcr. ur paths had crosscd onc
cnchantcd cvcning during a lormal rcccption at thc ornatc Guanabara Palacc,
thc lormcr 8ritish mbassy. Tc occasion was thc +: arth Summit marking
thc twcnticth annivcrsary ol thc lounding ol thc UN nvironmcntal Program.
Hcads ol statc, ministcrs, and mayors minglcd with busincss lcadcrs, cclcbritics,
and activists lrom around thc world, lling thc rcccption rooms and spilling
out onto thc vcrandas. Tc band was playing bossa nova, samba, and classic old
timc lavoritcs, cocktails and ngcr loods wcrc passcd around on cngravcd silvcr
plattcrs by darkskinncd mcn in tuxcdos who did not makc cyc contact with thc
gucsts, and photo ops wcrc bcing capturcd by an unobtrusivc photographcr.
Toward thc cnd ol thc cvcning, having just takcn a picturc ol mc bctwccn
thc arch cncmics Govcrnor Lconcl 8rizola and Mayor Marcclo Alcncar, thc
photographcr camc up to mc and askcd il ! was thc samc Janicc who had livcd
in thc lavcla ol Catacumba. Vhcn ! lookcd morc closcly, ! rccognizcd Jacobi,
whom ! had not sccn in twcnty ycars. Hc had bccn a lrcclancc photojournalist
at thc timc wc mct and was now thc o cial photographcr lor thc city ol Rio.
Vc kcpt in touch altcr that, and hc was thc ncxt pcrson ! lookcd lor whcn
! camc back in + to start thc lollowup rcscarch.
vicuvv . Vashing lincns and clothing on thc banks ol thc Lagoa, in lront
ol Catacumba, +68.
C A T A C U M B A [ 6 5 ]
vicuvv . ~ Jacobi in
thc Rio municipal govcrn
mcnt o cc whcrc hc works,
:oo.
vicuvv .n Jacobi dur
ing an intcrvicw with mc
in thc backyard ol his
housc in Jacarcpugu, :oo.
[ 6 6 ] F A V E L A
:nv ovici xs ov c~:~cu:n~
Tc lavcla ol Catacumba occupicd a scrics ol stccp hillsidcs along thc Avcnida
pitcio Pcssoa, which cncirclcs thc lrcshwatcr lagoon, thc Lagoa Rodrigo
Frcitas. !t is a short walk lrom Copacabana, !pancma, and Lagoa, and it is
casily acccssiblc lrom thc city ccntcr and port arca. !t is on thc main road that
connccts thc South Zonc to thc North Zonc and to thc rcst ol thc city via thc
Tncl Rcbouas, which was opcncd in +6. Tc convcnicnt location, stunning
vicws, and high land valuc put Catacumba high on thc list lor lavcla rcmoval.
History tclls us that in thc latc +8oos, thc 8aroncss ol thc Lagoa Rodrigo
Frcitas lcascd thc land, known as thc Chcara das Catacumbas, lrom a lcdcral
company and, upon hcr dcath, graciously bcqucathcd it to hcr scrvants. Vhcn
thc lcasc cxpircd in +:, thc lcdcral company rcclaimcd thc land, cxpcllcd thc
rcsidcnts, and startcd dividing it into lots lor salc. Propcrty owncrs ol adjoining
parccls immcdiatcly lcd claims and bcgan litigation to prcvcnt this subdivi
sion. Tc continuing tanglc ol compcting titlc claims kcpt thc hillsidc vacant
and providcd an idcal spot lor ncwly arrivcd migrants sccking a placc to scttlc.
Tc issuc ol titlc was not rcsolvcd until thc lcdcral govcrnmcnt gavc thc land
rights to thc statc govcrnmcnt in thc carly +os lor thc crcation ol a park.
!n thc carly +os, as Vorld Var !! was roaring through North Alrica,
uropc, and Asia, migrants lrom thc countrysidc, particularly thc ncighboring
statc ol Minas Gcrais, camc to Rio in scarch ol work, lood, and shcltcr. Tcy
built makcshilt housing on thosc hills abovc thc Lagoa Rodrigo Frcitas and
bcgan crcating thc lavcla that would bccomc known as Catacumba.
Tio Souza, an carly scttlcr in thc arca, told mc that, to prcvcnt land inva
sions, municipal guards patrollcd thc arca cvcry day so thc migrants built thcir
barracos at night.
Tio Souza had arrivcd in Catacumba in + lrom thc \ila dc Sao Josc do
Rio Prcto, an agricultural arca in Pctropolis (in thc statc ol Rio). 8oth ol his
parcnts wcrc illitcratc, and, among thcir six childrcn, only Tio Souza and his
cldcr brothcr lcarncd to rcad and writc. His lathcr dicd whcn hc was +o, and his
mothcr dicd six ycars latcr. rphancd at +6, hc lclt thc lazcnda whcrc hc and
his lathcr had workcd and jumpcd a train bound lor Rio dc Janciro. Failing to
locatc his cldcr siblings, who had bccn killcd working on a construction sitc, hc
lound himscll a placc in Catacumba. As hc rcmcmbcrs it, thc lavcla had bccn
growing rapidly, but thcrc was still plcnty ol lrcc land on which to build ncw
shacks.
Hc vividly rccalls that thc guards lound namoradas (girllricnds) in thc com
munity and morc than onc cndcd up hclping with thc construction ol thc
homcs. ncc a minimal structurc was in placc, thc lamily occupicd it immcdi
atcly. Tc law statcd that rcmoval ol lamilics had to bc accompanicd by an oferta
de moradia no.a para a familia (thc ocr ol a ncw rcsidcncc lor thc lamily). Tis
C A T A C U M B A [ 6 7 ]
hclps cxplain why migrants wcrc lrcqucntly mct by city authoritics at bus and
train stations and givcn rcturn tickcts bclorc thcy could gct a tochold on thc
citys hillsidcs. !t also cxplains why thc scttlcrs wcrc not so casily cvictcd.
!n +:, a sccond migratory wavc camc to scttlc in Catacumba, this timc
mostly pcoplc ccing thc droughts in thc Northcast. Tc construction ol thc
8ahiatoRio road madc it possiblc lor many to makc this journcy who would
othcrwisc bccn unablc to do so. Tcrc was no running watcr and no clcctricity
in Catacumba, but jobs wcrc plcntilul. Catacumbas location providcd opportu
nitics lor domcstic cmploymcnt, construction and a plcthora ol odd jobs.
!n +, thc city public works dcpartmcnt installcd scvcral watcr spigots and
collcctivc wash basins in Catacumba. Tis was part ol thc bico dagua (watcr
spout) approach that has comc to symbolizc thc palliativc and patcrnalistic gcs
turcs ol that pcriod. 8ut lor thc womcn in thc lavclas, it madc lilc much casicr.
! rcmcmbcr thc long lincs ol womcn cach morning and cvcning at thc watcr
standpipcs waiting to ll up thcir vcgallon squarc tin cans and thc lrustrat
ingly slow tricklc ol watcr that camc out ol thc spigot whcn it was not cut o
complctcly. Somctimcs thc young girls would ll two buckcts and carry cach ol
thcm on thc cnds ol a polc across thcir shouldcrs as thcy wound thcir ways up
thc narrow allcys undcr and around thc houscs to rcach thc shacks highcr on
thc hillsidc. Figurc . shows a Catacuma rcsidcnt carning incomc by washing
(and drying) lincns and clothcs lor thc wcalthy lamilics living ncarby, whilc
kccping an cyc on hcr young childrcn.
:nv s:ovv ov j~coni
Jacobi was born in Catacumba on April :, +. Hc was a middlc child, born
bctwccn two oldcr and two youngcr sistcrs. His lathcr, lias, had immigratcd to
8razil lrom amascus in thc latc +:os. lias was a barateiro (mcrchant) who
sold clothing, shocs, and scwing matcrials, and loancd moncy. arly on, whcn
thc South Zonc was still dcscrtcd and rcsidcntial and commcrcial activitics
wcrc conccntratcd in thc old city ccntcr and port arca, lias purchascd land in
Copacabana and !pancma.
!nstcad ol building his housc on thc sand along thc bcach lront, hc wantcd
to build it high up on thc Morro dc Catacumba. Hc lovcd thc vicw ol thc occan
and thc lagoon, thc rclrcshing sca brcczc, and thc cxpansivc spacc. So, hc sold
his land in !pancma (which, today, has onc ol thc highcst costs pcr squarc mctcr
in thc world) and bought a largc parccl in Catacumba.
At that timc, in thc carly +os, Catacumba was not a lavcla. lias was onc ol
lour landowncrs thcrc. Hc grcw vcgctablcs, which hc tradcd lor goats, turkcys,
and chickcns, and took his son with him on loot or horscback as hc travclcd to
thc cmcrging commcrcial arcas ol Copacabana, !pancma, and Humait.
[ 6 8 ] F A V E L A
Rio was thc capital ol thc rcpublic, so thcrc was plcnty ol work to bc had
and scrviccs to bc pcrlormcd. As Jacobi put it, rural arcas had nothing, so
pcoplc startcd coming to thc city. . . . nly thc old pcoplc staycd bchind. Tc
carly scttlcrs ol Catacumba built thcir homcs starting at thc top and moving
downward ovcr thc hillsidc toward thc main road, thc cxact oppositc ol how
scttlcmcnt procccdcd latcr on.
Jacobis mothcr, Raimunda, was lrom \alcncia, a town in Minas Gcrais that
sharcs a bordcr with thc statc ol Rio. Vhcn a tubcrculosis cpidcmic cruptcd
in Catacumba during thc carly +os, thosc inlcctcd wcrc rcquircd to go to
thc clinic in Copacabana cvcry six hours lor shots and had to lic down and
rcst in bctwccn inoculations. Tcrc was no placc lor thcm to rcst in Copa
cabana, so thcy had to rcturn and climb back up thc hill to Catacumba cach
timc. Raimunda saw how thc cxcrtion ol going and coming cxhaustcd hcr sick
ncighbors, so shc lcarncd to administcr thc injcctions hcrscll, which shc did
lrcc ol chargc lor all who nccdcd it.
Jacobis lathcr lost all ol his asscts during Vorld Var !!. !n +, hc was
takcn lrom his homc and put in a jail in thc city ccntcr bccausc thc govcrn
mcnt considcrcd him a Jcw.
1
According to Jacobi, lga thc wilc ol Luis Carlos
Prcstcs (thc lamous communist lcadcr ol 8razil who was known as thc Knight
ol Hopc similarly disappcarcdprobably to a conccntration camp or to hcr
dcath.
2
!n +:, whcn Prcsidcnt Gcttio \argas joincd thc Unitcd Statcs and
thc Allicd powcrs, Jacobis lathcr was sct lrcc. 8y thcn hc had lost cvcrything
hc had amasscd ovcr his twcnty ycars ol hard workincluding his storc in
!pancma. His housc rcmaincd, thanks to thc canny politicians who wcrc alrcady
promising to protcct thc community lrom rcmoval in rcturn lor votcs.
Jacobis mothcr wcnt to work washing clothcs, and shc taught Jacobi how to
givc thc tubcrculosis injcctions. Hc lovcd to rcad and wantcd to stay in school,
but thc lamily nccdcd moncy so hc lclt school at + and startcd working rcpair
ing radios. As Jacobi rclatcs it, hc was always picking up ncwspapcrs and maga
zincs lrom thc trash at work and rcading whatcvcr hc could nd. Hc bccamc
particularly cnthrallcd with photography publications.
ctcrmincd to buy a camcra, hc madc moncy by pcrsuading pcoplc to allow
him to borrow photos thcy had in thcir homcs. Hc would takc thcsc photos to
an artist in Praa Tiradcntcs, who would usc thcm to crcatc tintcd drawings
that madc thc subjcct appcar wcll drcsscd, prospcrous, and happy. Jacobi thcn
rcturncd thc borrowcd photos and sold thc paintcd portraits to thc subjccts,
cvcntually making cnough moncy to buy a camcra. Hc sct up a dark room in
his housc and tricd to scll his own photos. Hc said it was di cult, though, and
thcrc wasnt much prot in it.
About that timc, a man lrom thc magazinc Fdio Nacional admircd
Jacobis work and hircd him to takc photos lor thc publication, somc ol which
cndcd up on thc covcr. Pcoplc likcd his photos bccausc thcy wcrc candid and
C A T A C U M B A [ 6 9 ]
spontancous rathcr than poscd. Hc was charming, talcntcd, and intclligcnt. Tc
music stars hc mct through his work bccamc his lricnds and occasionally camc
to thc lavcla to pcrlorm lor lrcc.
c~:~cu:n~ nvci xs :o :nvivv
8y thc carly +6os Catacumba was dcnscly scttlcd lrom thc roadsidc up to thc
stccp rock outcropping abovc. Ncwcomcrs built all around Jacobis lathcrs land,
but thcy rcspcctcd his boundarics. Vhat lookcd likc an undicrcntiatcd mazc
to thc outsidcr was highly organizcd and dividcd into about cight distinct arcas,
with namcs likc Marinhao and Cal Globo, cach with its own pcrsonality and
idcntity.
At that timc, watcr was only availablc at thc spigots along thc main road, and
clcctricity was lchcd lrom thc clcctric lincs. Tc city rcluscd to collcct garbagc,
as lavclas wcrc not considcrcd part ol thc city.
Tc original scttlcmcnt pattcrn had bccn rcvcrscd lrom thc carlicr pcriod
and thc ncw social stratication was bascd on vcrtical stratication. Tc houscs
at thc bottom, along thc Avcnida pitacio Pcssoa, wcrc thc bcstthcy wcrc
madc ol pcrmancnt building matcrials and had acccss to urban scrviccs which
did not rcach thc top ol thc hill. Tc houscs highcst up thc hillsidc had bccn
using kcroscnc lamps (causing many rcs in thc dry woodcn shacks), and lur
thcr down, pcoplc had bccn illcgally tapping into thc clcctrical wircs on thcir
own, causing morc than a lcw accidcnts.
Somc ol thc lcadcrs lormcd a Comisao dc Luz (Light Commission) which
siphoncd o clcctricity lrom thc main lincs running along thc strcct into a
cabine (cabin), lrom which it was distributcd to individual houscs. Tc rcsidcnts
wcrc chargcd a at monthly lcc lor cach outlct, which mcant that thcy wcrc
paying morc than thcir rich ncighbors, whosc usc was mctcrcd. Ycars latcr, thc
privatc clcctric company, namcd Light, rcalizcd what a promising markct thc
lavclas rcprcscntcd and incrcascd thcir prots by o pcrccnt by adding lavcla
rcsidcnts as clicnts lor thcir scrviccs.
Physical dcprivations wcrc osct by a rich community lilc ol social organiza
tions, community activitics, and lricndship nctworks. Tcrc wcrc socccr lcagucs,
such as thc Aliana Futcbol Clubc, and an activc youth athlctic club, thc Juvcn
tudc AC, which organizcd danccs and othcr social activitics. Two lricnds, Hlio
Grandc and Tio Souza, ran thc Juvcntudc AC andas ol :oo8thcy continuc
to bc activc in thcir rcspcctivc communitics organizing youth socccr lcagucs lor
girls as wcll as boys.
Tcrc was a samba school in Praia do Pinto, thc lavcla dircctly across thc
lagoon, in which many Catacumba rcsidcnts participatcdcrcating songs,
danccs, and costumcs cach ycar lor Carnival. Pcoplc also rccall spccial occasions
such as thc ay ol thc Kings paradc on January 6 and picnic cxpcditions to thc
[ 7 0 ] F A V E L A
island ol Paquct on wcckcnds. Many pcoplc lrom outsidc thc lavcla joincd thc
Alro8razilian rcligious ccrcmonics ol candombl, umbanda, and macumba.
For cvangclicals, thcrc wcrc mccting houscs all ovcr thc community. Tc most
promincnt building in thc community was thc Asscmblia dc cus (Asscmbly
ol God) lrcshly paintcd in powdcr bluc with whitc trim.
c~:~cu:n~ nvco:vs v~:ous
!n +6+, Life scnt thc photojournalist Gordon Parks to shoot a photo cssay
on Catacumba as part ol a scrics callcd Crisis in Latin Amcrica. Tc cditors
idca was lor Parks to shoot similar communitics in scvcral countrics, but Parks
argucd lor a morc indcpth approach, proposing an cssay strictly on onc lavcla
in Rio. At that timc, thcrc wcrc :o lavclas in Rio, housing a population ol at
lcast oo,ooo pcoplc who had nowhcrc clsc thcy could aord to livc.
Parks wrotc to his cditor arguing his casc:
uring a trip to Rio scvcral ycars ago, ! had sccn povcrty at its worst in thc inla
mous lavclas. ! had ncvcr lorgottcn thosc ugly slums lcstcring likc sorcs on thc
othcrwisc lovcly city ol Rio. ! wantcd to invcstigatc this tragcdy taking placc just
south ol our prospcrous land.
vicuvv . Tio Souza on my lclt and Hlio Grandc on my rightat thc :oo:
cclcbration and ra c lor all thc study participants.
C A T A C U M B A [ 7 1 ]
Tc undcrlying motivc lor thc Life scrics was anxicty ovcr thc commu
nist thrcat in Latin Amcrica. uring thc prcvious lour dccadcs, thc popula
tion ol Latin Amcrica had doublcd, and thc citics wcrc sccn as a brccding
ground lor discontcnt and rcvolt. Tis was thc cra during which Prcsidcnt
John F. Kcnncdy launchcd thc Alliancc lor Progrcss, lundcd through thc
U.S. Agcncy lor !ntcrnational cvclopmcnt. !ts rst projcct in Rio was thc
construction ol thrcc lowincomc housing projccts, aptly namcd \ila Kcn
ncdy, \ila Aliana (Alliancc), and \ila spcrana (Hopc) to accommodatc
rclugccs lrom thc rcmovcd lavclasthc supposcd hotbcds ol communism.
Parks wcnt to Catacumba to cxplorc thc story potcntial and was lascinatcd
by a bright, cncrgctic boy namcd Flavio, who sccmcd to know cvcryonc and
cvcrything that was going on. Hc was sucring lrom asthma and closc to star
vation, working long hours to hclp his lamily. Parks latcr wrotc a book cntitlcd
Fla.io in which hc rccounts thc cntirc story. Hc cpitomizcs onc ol his rst
momcnts this way:
Fog hung ovcr thc lavcla. . . . From our vantagc point, |on thc lar| sidc ol thc
lagoon . . . a cloud brokc ovcr thc mountain ol Corcovado . . . with sun bursting
through. Tcn suddcnly thc giant concrctc gurc ol Christ loomcd up into thc
radiant opcning, its grcat arms cxpandcd ovcr thc vallcys bclow, its massivc back
turncd on thc slopcs ol Catacumba. As il hc had rcad my thoughts, |Flavio| said,
Papa says Cristo has turncd his back on us hcrc in thc lavcla.
3
Life ran Flavios story on Junc +6, +6+, and thc piccc had such a strong
impact that rcadcrs startcd scnding moncy to thc magazinc to hclp Flavio, his
lamily, and Catacumba. To dcal with this outpouring ol unsolicitcd contri
butions, Life sct up a lund in Flavios namc.
4
According to Jacobi, thcrc was
cnough moncy to complctcly urbanizc Catacumba but ca, thc prcsidcnt ol
thc Rcsidcnts Association and Galo, his assistant, only build ccmcnt stairs. Tc
rcst ol thc donatcd moncy simply disappcarcd.
Tc 8razilian prcss, ashamcd ol not having takcn thc lcad, praiscd Parks lor
his important work. Manchete (thc 8razilian cquivalcnt ol Life), launchcd a
photo cssay scrics on Catacumba, contracting Jacobi to photograph thc lavcla.
Tis had a particular irony sincc Jacobi had carlicr bccn dismisscd as a lrcclancc
photographcr lrom thc Fe.ista do Fadio whcn it was discovcrcd that hc livcd
in a lavcla.
!n this casc, Jacobi won a prizc lor his work. !t providcd him with lunds
su cicnt to movc clscwhcrc, but hc said, ! couldnt lcavc my mothcr, my roots,
my basc. Tc prcstigious Jornal do Brasil, onc ol Rios largcst papcrs, hircd him
shortly thcrcaltcr.
A glowing lcttcr lrom thc Rio coordinator ol thc Flavio projcct to Life
magazinc gushcd:
[ 7 2 ] F A V E L A
! wish you could comc to Rio and scc, hcar and lccl thc cnthusiasm and happi
ncss in all thosc mcn, womcn and childrcn who work on thc projcct . . . Alrcady thc
lavcla has +: main allcys and scvcral smallcr oncs pavcd with concrete stair.ays
that could last fore.er |italics minc|.Tc lavclados thcmsclvcs havc bccn contrib
uting all thc labor by sacricing thcir Sundays and holidays. Tc moncy scnt by
Lifes rcadcrs bought |all ol thc matcrials| and tools nccdcd. . . . Vc havc built a
community ccntcr and loundcd a scllhclp socicty ol oo pcoplc which holds
mcctings twicc a wcck. . . . Sargcnt Shrivcr, |dircctor| ol thc Pcacc Corps |camc
to| visit Catacumba.
5
! did not know ol this story about Catacumba whcn ! sclcctcd it in +68,
cvcn though thcsc cvcnts had takcn placc only scvcn ycars carlicr. uring
all thc timc ! livcd thcrc and among all ol thc hundrcds ol pcoplc ! spokc
with and intcrvicwcd, no onc cvcr mcntioncd it. ! did not lcarn about it until
Jacobi told mc about it in :oo during onc ol our convcrsations. Parks dicd
thc ncxt ycar at thc agc ol , and thc story camc to light. Tc two mcn had
a lot in common.
wnv c~:~cu:n~-
! was in Catacumba during thc last ycar ol its cxistcncc. ! had sclcctcd it by
chancc among thc many lavclas in thc South Zonc. ! nccdcd an cntrc and a
placc to livc, so ! had to makc a conncction with a rcsidcnt. Tc small lurnishcd
apartmcnt ! had sublct on Rua Gomcs Carnciro (in Arpoador, bctwccn Copa
cabana and !pancma) camc with a livcin maid, Margarida (known as Marga),
and hcr two young childrcn, 8cti and Gilbcrto. Tcy livcd in thc apartmcnt
during thc wcck and wcnt homc on wcckcnds to thc lavcla ol Catacumba,
whcrc Marga livcd with hcr two childrcn and hcr brothcr. Hcr husband had
gonc down to thc local pharmacy lor an aspirin onc cvcning a lcw ycars carlicr
and ncvcr comc back. Vc wcrc thc samc agc, and shc was my tcachcr in many
things. ! was dclightcd whcn shc invitcd mc to hcr homc onc Saturday altcr
noon lor a feijoada (thc traditional 8razilian dish ol black bcans with various
cuts ol pork and carne seca, or sun dricd bccl ).
!n Catacumba, Marga introduccd mc to hcr lamily and lricnds and cxplaincd
that ! was a studcnt lrom thc Unitcd Statcs who had spcnt somc timc in thc
intcrior ol 8ahia and was intcrcstcd in lcarning what happcncd to pcoplc lrom
thc intcrior whcn thcy camc to livc in Rio. vcryonc could rclatc to that, so it
was dccidcd: ! bccamc a part ol thc community ol Catacumba and wcnt to livc
in thc shack whcrc shc livcd (scc gurc .6).
!n +68, whcn ! was drawing thc random samplc lor thc intcrvicws, thcrc
wcrc about :,ooo barracos in Catacumba, housing closc to +o,ooo pcoplc. !t
was di cult to gct an cxact count bccausc so many dwcllings wcrc undcrncath
C A T A C U M B A [ 7 3 ]
or bchind othcrs. An acrial photo was ol no usc, duc to thc stccp inclinc, thc
only way to numbcr thc houscs was by taking a scrics ol photos lrom a boat in
thc middlc ol thc lagoon and piccing thcm togcthcr in ordcr to idcntily cach
housc. Tcn thc two architccts who workcd with us, walkcd up cach allcyway
with thc map takcn lrom thosc photos and addcd any hiddcn houscs so wc had
a complctc list.
6
vicuvv . 6 Catacumba, +68. Tc unpaintcd wood shack with thc singlc window
almost at thc top ol thc hillsidc (to lclt ol ccntcr) is Margaridas homc.
[ 7 4 ] F A V E L A
vv~i ~ bo vi x:o: vv:ov~i vovv:oib
nc morning in +6, whilc ! was living in Catacumba, ! wokc up and smcllcd
smokc. ! lookcd out thc only window ol my room to scc black smokc billow
ing across thc lagoon. ! could not imaginc what could bc burning so intcnscly.
! drcsscd, put my camcra into thc ratty bag ! uscd to conccal it, ran around thc
lagoonand camc to an inlcrno. Tc rst lavcla cvcr scttlcd in thc South Zonc,
Praia do Pinto, was burning to thc ground. No rc cngincs wcrc thcrc, childrcn
wcrc crying lor thcir mothcrs, old pcoplc wcrc lcaning on cach othcr lor sup
port as thcy tricd to cscapc thc amcs, and mcn wcrc running back into thc
smokc to rctricvc thcir lamilics valucd posscssions. (! rcmcmbcr sccing thrcc
mcn trying to haul out a rclrigcrator that a ncighborhood woman had just
complctcd buying altcr +o ycars ol paymcnts.)
Military policc in lull battlc garb, wcaring hclmcts and carrying rcvolvcrs
and night sticks, wcrc hcrding dazcd pcoplc, carrying whatcvcr thcy had sal
vagcd, into garbagc trucks. Pcoplc wcrc scrcaming and crying, and thc ncigh
bors lrom down thc strcct had all comc out ol thcir houscs and wcrc watching
thc spcctaclc. nc woman told mc shc had callcd thc rc dcpartmcnt and was
told thcy had ordcrs not to rcspond. Tc two things lclt standing amid thc
rubblc wcrc an ancicnt, twistcd trcc with its lcavcs singcd o and, just bcncath
it on thc roadsidc, a bright rcd stop sign.
vicuvv . Local commcrcc in Catacumba along Avcnida pitacio Pcssoa, +68.
C A T A C U M B A [ 7 5 ]
Praia do Pinto was in Lcblon, thc hcart ol thc South Zonc, standing on
cxtrcmcly dcsirablc at land on thc Lagoa. !t was surroundcd by lovcly, trcc
lincd strccts ol twostory homcs. Tc city wantcd thc land, rcal cstatc spccula
tors wantcd thc land, and no onc wantcd poor pcoplc living in thcir midst.
8ut thc rcsidcnts had rcsistcdthcy had organizcd. n thc day origi
nally schcdulcd lor rcmovalwhcn thc military policc battalions and trucks
arrivcdthcy lound thousands ol rcsidcnts standing at thc cntrancc to thc
lavcla: childrcn in thc lront, womcn with babics ncxt, all thc othcr womcn and
cldcrly bchind thcm, and thc mcn in back. Tc soldicrs wcrc not prcparcd lor
thisthcy barkcd ordcrs ovcr loudspcakcrs and told cvcryonc thcy had o min
utcs to cvacuatc thcir homcs and gct thcir posscssions into thc trucks. No onc
movcd. Silcncc. Tc rcsidcnts hcld thcir ground. Tc stando lastcd lor scvcral
hours in thc scorching hcat, until nally thc policc lclt.
!t was a Pyrrhic victory. As locals tcll it, thc lollowing night thc policc
rcturncd and sct rc to thc lavcla, burning thc rcsidcnts out likc roachcs.
As onc pcrson rccalls it:
!n +6, whcn thcy burncd Praia do Pinto, thcy dispcrscd us to various placcs
around thc city. Somc ol us wcrc thrown into a Parquc Prolctaria in Nova
Holanda. Vc didnt bclong thcrc. . . . Vc livcd in much worsc conditions thcrc
than wc cvcr had in Praia do Pinto.
vicuvv . 8 Praia do Pinto, +6, thc morning altcr thc rc. Tc military policc, in
bluc hclmcts, arc moving pcoplc into garbagc trucks with whatcvcr posscssions thcy havc
salvagcd.
[ 7 6 ] F A V E L A
Soon, dcnsc blocks ol towcring apartmcnt buildings rosc on thc sitc: subsi
dizcd housing lor thc military that bccamc known as thc Sclva dc Pcdra (Stonc
Junglc). Tc buildings stuck out hidcously in an arca whcrc thc tallcst homcs
wcrc thrcc storics high and cach had a owcr gardcn in lront. !t wasnt until
vicuvv . A young girl carrying hcr brothcr altcr thcir parcnts wcrc killcd in thc rc
in Praia do Pinto, +6.
C A T A C U M B A [ 7 7 ]
ycars latcr, whcn ! was tcaching in thc City and Rcgional Planning cpartmcnt
at thc Univcrsity ol Calilornia, 8crkclcy, that ! hcard ol a tcrm to dcscribc this:
aggrcssivc architccturc.
Tis aggrcssion was thc prccursor to what happcncd to Catacumba a ycar
latcr. Along with cvcry building in Catacumba, thosc concrctc stairways built to
last lorcvcr wcrc bulldozcd to thc ground lcss than a ycar altcr my dcparturc.
vvo: vvsi s:vxcv :o xvco:i ~:iox :o coov:~:iox
Tc rcsidcnts ol Catacumba livcd undcr thc constant thrcat ol rcmoval. !n
+6, Valdcvino, thc prcsidcnt ol thc Catacumba Rcsidcnts Association, callcd
SMAC, launchcd a campaign against rcmoval with a countcrproposal lor
urbanizing thc lavcla. Valdcvinos plan showcd a scrics ol high risc buildings
on thc sitc. Tcy would bc constructcd by thc rcsidcnts who wcrc skillcd build
crs, clcctricians, and plumbcrs. His idca was to housc thc Catacumba rcsidcnts
in somc ol thcsc and to rcnt out thc rcst on thc opcn markct to gcncratc incomc.
Hc wcnt so lar as to gct thc ncwspapcr, O Globo, to publish a drawing ol his
plan, but no onc took it scriously.
Tc lamous architcct Scrgio 8crnardcs ocrcd to crcatc his own dcsign lor
accommodating all ol thc Catacumba lamilics on thc sitc, with scparatc houscs,
lull urban scrviccs, and small patios constructcd with round ccmcnt platlorms
supportcd by largc, hollow pillars. ach lamily was to build its own homc on
vicuvv . +o Total dcspairall was lost.
[ 7 8 ] F A V E L A
top ol thc platlorms and thc pillars would cncasc thc clcctric, watcr, and scwcr
agc conncctions. Avoiding thc nccd to rctrot urban scrvicc lincs to thc cxisting
scttlcmcnt pattcrn would lowcr thc cost ol upgrading. Tc pillars, by holding
thc platlorms abovc thc ground likc mushroom caps on thcir stcms, would pro
vidc protcction lrom ooding. Nccdlcss to say, nothing camc ol it.
!n lact thc community had no powcr against thc rcmoval policy, which was
coordinatcd by a lcdcral agcncy (CH!SAM) crcatcd cxprcssly to climinatc all
lavclas by +6. Tosc locatcd in upscalc arcas, such as Catacumba, wcrc tar
gctcd rst. Tc statc govcrnmcnt crcatcd a Committcc ol \igilancc within
Catacumba to managc a houschold ccnsus and prcvcnt anyonc lrom moving in
(so as to prcvcnt thcm lrom bccoming cligiblc lor onc ol thc conjunto apart
mcnts).
Vhcn it bccamc clcar that rcsistancc was usclcss, pcoplc tricd to ncgotiatc
whcrc thcy would bc scnt, prclcrring arcas closcr to thcir original homcs. Tis
had littlc ccctthcy wcrc assigncd according to thcir rcportcd lamily incomc,
numbcr ol mcmbcrs in thc houschold, and thc political dccision to scparatc thc
community lcadcrs lrom thc othcr rcsidcnts.
As Tio Souza cxplaincd it, community rcsistancc to rcmoval was no longcr
an option. SMAC was too wcak to ght thc statc. Vc had no choicc. Vc
could bc cxpcllcd and disappcarcd bclorc thc rcmoval, or acccpt thc rolc ol
managing thc proccss in thc bcst possiblc manncr lor thc community. ncc
thc battlc had bccn lost, hc joincd Valdcvino and thc othcr lcadcrs in hclping
to lacilitatc thc movc.
!sabclla, a 6ycarold woman rcsidcnt, put it this way at thc timc ol rcmoval:
! am surc ! will go crazy il ! havc to lcavc Catacumba. !l wc try to dclcnd
oursclvcs thcy will say wc arc communists. !m not surc what that mcans, but
! know it is vcry bad |muito ruim|, and thcy will kill mc and my childrcn il wc
dont coopcratc.
7
c~:~cu:n~s bv:i sv
arly in thc morning ol ctobcr +o, +o, in thc midst ol a cold rain, thc military
policc and scvcral largc garbagc trucks (notc symbolism) arrivcd in lront ol Cat
acumba and procccdcd to rcmovc cvcryonc and cvcrythingand thcrc was noth
ing thc pcoplc could do to stop thcm. !n thc cnd, rcsistancc had provcn lutilc.
According to Jacobi, thc military coup was thc coup dc grcc lor Catacumba.
Tc strong arm ol thc dictatorship accomplishcd what ncithcr oods nor rcs
had achicvcdthc total dcstruction ol his community. 8y pulling togcthcr and
not giving up, thc rcsidcnts ol Catacumba had rcbuilt thcir homcs altcr a rc in
+8, altcr a scvcrc ood in +68, and altcr yct anothcr dcvastating rc in carly
+68. Tis timc thcrc was no rcbuilding.
C A T A C U M B A [ 7 9 ]
Many Catacumba rcsidcnts rccall thc day ol rcmoval as thc worst day ol
thcir livcs. Margarida, who was born and raiscd in Catacumba and was raising
hcr childrcn thcrc at thc timc told mc,
Vc wcrc givcn : hours noticc to collcct all ol our bclongings and gct thcm
down to thc curbsidc. . . . No onc was told whcrc wc would bc going. ! was trying
my bcst to kccp 8cti and Gilbcrto dry and protcct our things, but thc rain soakcd
right through our mattrcss. ! had bccn paying lor that mattrcss lor ovcr a ycar in
monthly installmcnts and it was ruincd.
Shc continucd:
!t was dark whcn wc startcd lining up bclorc dawn and thcn cvcryonc waitcd, shiv
cring in thc rain, until thc bcggar collcctors |a sardonic play on thc trucks which
wcrc garbagc collcctors| arrivcd to haul us and our soppingwct bclongings away.
Silvia, a singlc mothcr ol lour, said, ! was humiliatcd in lront ol my chil
drcn. All wc askcd was thc basic right to bc trcatcd as human bcings |ser tratado
como gente|. Somc lamily mcmbcrs wcrc scparatcd lrom onc anothcr by as
much as thrcc to lour hours by bus. Somc wcrc scnt to thc lar North, othcrs to
thc dcsolatc Vcst.
Jacobi was right. Tc lorccd rcmoval ol ovcr +o,ooo pcoplc in Catacumba
and morc than +o:,ooo in 6+ othcr lavclas bctwccn +o would havc bccn
impossiblc without an authoritarian statc willing to back its housing policics
with lcthal lorcc. Sincc thc mayors and govcrnors ol all citics considcrcd ol
national importancc wcrc appointcd by thc ccntral govcrnmcnt, thc mcdia
strictly ccnsorcd and opposition prohibitcd, dccisions could bc madc without
accountability. Tc +6 crcation ol thc 8NH (8anco Nacional dc Habitaao
National Housing 8ank) and thc CHA8S, thc statc public housing agcncics,
providcd an institutional lramcwork lor implcmcnting thc longdcsircd lavcla
cradication, with thc goal ol clcaning thc South Zonc ol human garbagc.
!n its + rcport Fa.elas Femo.idas e Fespecti.os Conjuntos (Rcmovcd Favc
las and Tcir Rcspcctivc Conjuntos), CH!SAM, thc national agcncy invcntcd
to coordinatc thc lavcla rcmoval in Rio, rcportcd thc rcmoval ol :,:o dwcll
ings, ol which +,:o lamilics wcrc scnt to thc adjaccnt conjuntos ol Guapor
and Quitungo, o to Cidadc dc cus, 8 to \ila Kcnncdy, and o, too poor
lor apartmcnts, wcrc scnt o to triagc units in a rcmotc arca callcd Pacicncia
(scc map in thc !ntroduction). Tc dozcns ol lamilics scnt to Nova Holanda,
8ras dc Pina, and clscwhcrc wcrc cvidcntly not countcd in CH!SAMs rcport.
Tc lamilics scnt to conjuntos arrivcd to nd unnishcd apartmcnts. Tc oors
wcrc raw concrctc, thc watcr did not ow, thcrc wcrc no intcrnal doors, and thc
outsidc doors all opcncd with thc samc kcy. Tc lamilics scnt to thc triagc units
lound row upon row ol attachcd oncroom woodcn houscs in thc middlc ol
[ 8 0 ] F A V E L A
nowhcrc. Tcrc was no acccss to jobs, schools, clinics, or work. !t is only tting that
thc namc ol thc placc whcrc thcy wcrc lclt to rot was Pacicncia (Paticncc).
!n latc :oo+, ! asscmblcd a scrics ol mcctings in cach ol thc communitics
to collcctivcly rcconstruct thcir history. ! uscd a proccss callcd a RP (Rapid
Participatory iagnosis), which gavc pcoplc thc chancc to listcn to cach othcr
and rccall dctails thcy might havc lorgottcn. \arious pcoplc spokc at this mcct
ing about what thc rcmoval had bccn likc lor thcm. nc pcrson rccallcd:
Vc wcrc in shock. Vc lost cvcrything wc had. Tc conjuntos wcrc much worsc
than thc lavcla ol Catacumba. Vc wcrc crowdcd into tiny spaccs, lar lrom jobs
and cvcrything wc kncw, our shopkccpcrs wcrc not givcn anyplacc to rccstablish
thcir storcs, and many ol us could not aord thc bus larc to thc city. vcrything
was sad and blcak and ugly.
Sincc Jacobis lamily owncd thcir land and homc, thcirs should havc bccn a
dicrcnt story. As it turncd out, Jacobi was working lor thc Jornal do Brasil at
thc timc and was travcling lor thc thrcc months prior to thc rcmoval, making
propaganda about thc mara.ilhas do Brasil (marvcls ol 8razil). Hc rcturncd just
as his lamily was bcing rcmovcd to Quitungo. His lathcr had all his documcnts
in ordcr and showcd thc authoritics thc owncrship documcnts lor thc propcrty,
but thcy simply ignorcd thcm. Tcy paid no indcmnity, stuck thc lamily in thc
garbagc truck with cvcryonc clsc, and dumpcd thcm in Quitungo. Jacobi says:
!t was tcrriblc. Tc govcrnmcnt should havc takcn thc group as a wholc lrom
Catacumba and movcd us togcthcr. Vhat thcy callcd rcmancjamcnto (rcman
agcmcnt) mcant scparating pcoplc by incomc, rcgardlcss ol whcthcr thcy wcrc
lamily, lricnds, ncighbors or swccthcarts. Tc govcrnmcnt took pcoplc that could
pay thcir bills and put thcm in thc ncw projcctsmostly Guapor or Quitungo,
thosc that couldnt pay wcrc put into oldcr projccts likc Cidadc dc cus and
lavclas in Nova Holanda. Pcoplc had undcrrcportcd thcir incomc hoping to avoid
high monthy paymcnts, sincc rcnt lor thcir unit was bascd on a pcrccntagc ol
thcir incomc, so thcy wcrc squcczcd. Somc lamilics with six or cight childrcn
wcrc thrown into oncbcdroom apartmcnts. Tc lcadcrs wcrc scparatcd lrom thc
othcrs in ordcr to prcvcnt any community mobilization or protcst.
Vhcn ! rcturncd to Rio in +, lor thc rst timc altcr thc study was donc,
! wcnt to Pacicncia by busa trip ol ovcr thrcc and a hall hoursto scc what
it was likc. ! passcd hundrcds ol acrcs ol uncultivatcd lands and saw ncithcr
dwcllings nor signs ol commcrcc. Vhat ! lound whcn wc arrivcd was a varia
tion on a dcbtors prison, a dcad cnd without cxit. ! will ncvcr lorgct spcaking
with a woman in hcr lront door, who turncd to mc and askcd, Vhcrc docs thc
cnd ol thc world cnd: . . . Vhcrc will thcy throw us, nally: (ndc quc o m
do mundo tcrmina: ndc quc nos vao jogar por m:).
!ndccd, it did sccm likc o m do mundo.
C A T A C U M B A [ 8 1 ]
vicuvv . ++ Conjunto dc Quitungo Housing Projcct, +. nly thrcc
ycars altcr its construction, thc housing blocks lcll into ruin and thc supposcd grccn spacc
bccamc a muddy garbagc dump.
[ 8 2 ] F A V E L A
vicuvv . +: Triagc housing in Pacicncia, +. nc room pcr lamily in thc
middlc ol nowhcrc.
vicuvv . + Ncw triagc units, Pacicncia, +. Hundrcds ol ovcnlikc structurcs
wcrc addcd to accommodatc all thc lamilics unablc to makc thcir monthly paymcnts on
thc conjunto apartmcnts.
C A T A C U M B A [ 8 3 ]
Tc ranks ol thosc scnt to thc triagc housing lrom all ol thc rcmovcd lavc
las wcrc lurthcr swcllcd by thosc scnt thcrc lor dclaulting on thcir monthly
paymcnts in thc conjuntos. Hundrcds ol additional triagc units wcrc undcr
construction whcn ! was thcrc in +rcd brick boxcs with corrugatcd mctal
rools all lincd up in thc dry dirt, baking in thc sun.
~v:vv:~:n ov :nv vv:ov~i
!mmcdiatcly altcr thc dcmolition ol Catacumba, cvcry tracc ol human cxis
tcncc thcrc was razcd, and thc arca was closcd o with a high chainlink lcncc,
on which a scrics ol cnormous billboards appcarcd advcrtising Amcrican prod
ucts hawkcd by blondc, bluccycd modcls. 8chind thc adcovcrcd lcncc, wccds,
grasscs, and vincs grcw up ovcr thc hillsidc whcrc thc community had bccn.
Pcoplc askcd mc why thcy had bccn lorccd to lcavc a placc that was still unuscd.
Tcy told mc ol rumors that onc ol thc rcsidcnts had gonc crazy and rcluscd
to lcavc, hiding on thc hillsidc and living in thc woods lor scvcral ycars, until
hc disappcarcd.
Somc say thcrc arc still a lcw lamilics hiding out thcrc.
Ncgrao dc Lima, thc govcrnor rcsponsiblc lor thc rcmoval, was planning to
turn thc arca into a monumcnt to his achicvcmcnts: thc Parquc dc Catacumba,
an outdoor sculpturc gardcn with a trail lcading up to thc stunning vicw lrom
thc top ol thc hillsidc. n thc portion ol thc hillsidc closcr to thc Rcboucas
Tunncl, scvcral luxury highrisc condominiums with multimilliondollar apart
mcnts wcrc built.
!t was during my + visit that ! lormulatcd thc ncgativc picturc ol thc
conjuntos in my +6 book. Rcsidcnts said that moving thcrc dcprivcd thcm
not only ol thc homcs and thc community thcy had built with thcir own hands,
but ol thcir vcry idcntitics. As Margarida put it:
Vc cricd day altcr day. Vc didnt cvcn know whcrc our lamilics and lricnds
wcrc. Many got sick. Somc bccamc alcoholics. Scvcral oldcr pcoplc dicd
thcy say it was strcss or high blood prcssurc, but ! think thcy dicd ol brokcn
hcarts. . . . Vc wcrc not kcpt togcthcr as a community, no, it was a mixturc ol
pcoplc lrom othcr lavclaswc didnt know cach othcrwc didnt trust cach
othcr. . . . Vc lost our idcntity. Vc lost who wc wcrc within our communitics.
Vc wcrc nobodics.
Vhat a dicrcncc thrcc dccadcs makc. My intcrvicws lrom :oo+ through
:oo rcvcal a morc mixcd vicw ol thc rcmoval. Had ! cndcd my study thrcc
ycars altcr thc rcmoval, rathcr than o ycars, ! would havc misscd thc longtcrm
outcomcs, which tcll a dicrcnt story.
!n :oo+, our rcscarch tcam convcncd lormcr Catacumba rcsidcnts to partici
patc in a collcctivc proccss to rcconstruct thc history ol thc community. vcr 8
[ 8 4 ] F A V E L A
pcoplc participatcd throughout thc day. Pcoplc continually challcngcd and cmbcl
lishcd onc anothcrs rccollcctions, and togcthcr thcy rcconstructcd thc scrics ol
cvcnts bclorc and altcr thc rcmoval ol thc lavcla. Vc discusscd many othcr topics
ol intcrcst as wcll: urban scrviccs and inlrastructurc, thc start and dcvclopmcnt ol
thc violcncc and drug tra c, lcisurc activitics, schools and day carc ccntcrs, and
what pcoplc wantcd to scc lor thcir communitics in thc luturc.
Tc similaritics bctwccn what pcoplc said thcy most nccdcd in :oo+ and
what thcy had rcportcd nccding in Catacumba o ycars carlicr was cycopcn
ing. As rcportcd by Gordon Parks in his Life piccc on Flavio:
Vhat thc Catacumba rcsidcnts said thcy most nccdcd in +6+ includcd: a
community ccntcr whcrc thcy could mcct and conduct civic activitics, a crchc
(day carc ccntcr), a school lor thcir childrcn, mcdical and matcrnal clinics, lit
cracy classcs, job training, and a policc station to control thc dopc pcddlcrs and
criminals.
8
Morc than thirty ycars latcr, at thc mccting ol thc surviving Catacumba
rcsidcnts and thcir dcsccndants, thc list was as lollows: a cultural ccntcr, an
autonomous rcsidcnts association, a crchc, a bcttcr school lor childrcn
and adolcsccnts, lull day schooling and social programs, prcparatory courscs
(pre.estibular) lor thc univcrsity cntrancc cxams, a hcalth clinic, a placc lor
sports, lcisurc, and culturc, work coopcrativcs lor thc manulacturc and salc ol
products, courscs on inlormation tcchnology and othcr prolcssional skills, and
hclp lor terceira idade (scnior citizcns).
Tc similaritics tcll an intcrcsting il somcwhat sad story. Tc only dicr
cnccs sccm to bc that in +6+, thc cldcrly wcrc not an issuc, sincc lcw in thc
lavclas livcd long cnough to bccomc scnior citizcns. !n addition, nishing clc
mcntary school was rarc and gctting into univcrsity was unthinkablc. Pcrhaps
thc most striking changc was thc rcvcrsal in attitudcs toward thc policcby
:oo+, thc policc wcrc rcgardcd as a sourcc ol aggrcssion rathcr than a sourcc ol
protcction.
9
:nv bi svi~cvb ov c~:~cu:n~: cvi vv ov cv~:i :ubv-
Nothing is black or whitc in Rio, and not all ol thc changcs sincc thc rcmovals
havc bccn lor thc worsc. Pcrsonal dcscriptions ol thc impact ol rcmovals vary
wildly, lrom rcsidcnts who say thcy havc ncvcr rccovcrcd lrom thc loss to thosc
who considcr it thc bcst thing that cvcr happcncd to thcm and, in rctrospcct,
wish thcyd lclt thc lavcla carlicr.
Grie.ing for a Lost Home
n thc ncgativc sidc, thc rcmoval mcant that pcoplc in thc South Zonc wcrc
suddcnly transportcd milcs away lrom thcir placcs ol work. !n Quitungo and
C A T A C U M B A [ 8 5 ]
Guapor, rcsidcnts had to cram into public transport to gct to placcs thcy uscd
to walk to. Tcir buying habits, lcisurc activitics, and social nctworks wcrc
abruptly altcrcd, and somc pcoplc ncvcr managcd to rcconstruct thcsc.
Tc authoritarian naturc ol thc intcrvcntion, thc lact that it was a movc that
nonc ol thcm had choscn, dccpcncd thc lccling ol loss pcoplc sucrcd. n a
morc practical lcvcl, thcy suddcnly lound thcmsclvcs having to pay local taxcs
and utility chargcs. Tcir mortgagc paymcnts wcrc ncw as wcll, and, though
thcy wcrc low, thc lormcr lavcla rcsidcnts nccdcd to cxpand thcir budgcts to
accommodatc thcm. Tosc who had had thc bcst houscs in Catacumba rightly
lclt thcir circumstanccs had worscncd.
Simonc is thc daughtcr ol Laura Lana, onc ol thc original intcrvicwccs
lrom thc random samplc who was rclocatcd to Guapor. Hcr mothcr dicd
in +8, having livcd in Guapor lor almost o ycars. Simonc cmphasizcd
thc rupturc that thc movc causcd in thc lilc ol hcr mothcr, who thought shc
would livc in Catacumba lor hcr cntirc lilc. Tc rcmoval was an uncontrol
lablc and incomprchcnsiblc act that dcstroycd hcr scnsc ol sccurity and tran
quility. Tc surprisc and trauma ol it wcrc almost likc a dcath (assemelhados
morte) lor Laura Lana. !n hcr mcmory, shc idcalizcd Catacumba as a placc
whcrc povcrty was osct by numcrous and wondcrlul opportunitics lor lamily
and social lilc.
ona Antonia, thc wilc ol an original intcrvicwcc namcd Claudionor, was
similarly traumatizcd by thc movc to Quitungo. Shc and hcr lamily owncd
thcir housc in Catacumba, and it was a nicc onca oncstory brick homc with
a tilc oor, watcr, clcctricity. Vc likcd our ncighbors, shc said. ur housc
was closc to cvcrything: commcrcc, lcisurc, hospitals, public transportation, and
marvclous schools. !n thc Lagoa schools thcrc wcrc thcatcr, scwing, and cook
ing classcs. And wc had womcns coopcrativcs working to makc things and scll
thcm. !n Quitungo thcrc is nonc ol this.
ona Antonia summcd up thc ncgativcs by using a word ! had ncvcr
hcard. Shc said that in thc conjuntos (Quitungo and Guapor), pcoplc livc in
a statc ol desma.elowhich thc dictionary dcncs as ncgligcncc, carclcssncss,
and disarray.
Grateful for a Ne. Start
Jair, onc ol my lricnds lrom Catacumba, is happy to livc in Guapor. Somc
pcoplc didnt want to movc thcrc bccausc thcy didnt want to pay condominio
(monthly maintcnancc lccs) or clcctricity hc said, but hc apprcciatcs thc amc
nitics. Pcoplc complain that thcrc is nothing to do out hcrc in thc suburbios
(suburbs, mcaning thc pcriphcry, spccically low incomc), but thcrc arc amplc
opportunitics lor lcisurc, hc says: livc music, bars and rcstaurants in \ila da
Pcnha, and shopping in Madurcira and Caxias. Tc only advantagc ol thc South
[ 8 6 ] F A V E L A
Zonc is thc bcach, but thcrc arc morc jo.ens (youth) in thc suburbio and morc
.elhos (cldcrly) in thc South Zonc.
Tc suburbio is much morc tranquil, with casy acccss to thc rcst ol thc city, and
it is casicr lor mc to cducatc my childrcn hcrc bccausc thcrc arc morc aordablc
schools. . . . As lor thc violcncc and drug tra cking, thcrcs not much dicrcncc
bctwccn thc South Zonc and thc suburbio.
Jorgc, anothcr Guapor rcsidcnt, points out that somc buildings in thc
conjuntos arc bcttcr or worsc than othcrs, but thc basic atmosphcrc is an
improvcmcnt ovcr thc lavcla. 8cttcr inlrastructurc conlcrs grcatcr dignity on
us rcsidcnts. According to Jorgc, thc main improvcmcnts wcrc clcctricity and
pavcd roads, but hc addcd that thc bakcry, pharmacy, and schools wcrc also
important and that thcy now havc doctors, churchcs, local commcrcc, and cvcn
land linc tclcphoncs.
nc hugc improvcmcnt is having an addrcss. Latcly pcoplc havc bccn giving
strcct namcs and numbcrs to thc roads and blocos (buildings), rathcr than thc
numbcrs and lcttcrs by which thcy havc bccn historically idcnticd. Tc rcsi
dcnts likc thc lccling ol bcing rcsponsiblc. Tcy arc proud to havc documcnts
and rcccipts. Tcy lccl morc likc lullcdgcd citizcns whcn thcy pay thcir hous
ing, watcr, and clcctric billswhich thcy oltcn pull out to show mc during an
intcrvicw or visit. Somc arc simply philosophical, saying thcy could bc happy
anywhcrc and lilc is what wc makc ol it.
Conccicao said that shc didnt losc thc strong tics shc had in Catacumba
bccausc all ol hcr ncighbors wcrc rclocatcd to thc samc conjunto. Hcr kids all
marricd cxCatacumbans, maintaining thcir community and all that it mcant
to thcm.
Tc big advantagc that thc conjuntos havc conlcrrcd is that thcy arc onc
stcp closcr to lcgitimacy than lavclas, and it has provcn casicr to movc lrom a
conjunto into thc aslalto than lrom a lavcla. !n thc conjuntos rcsidcnts havc lull
acccss to standard urban scrviccs (scwagc, clcctricity, watcr, garbagc collcction,
ctc.) but morc than that thcy havc hopc ol cscaping, at lcast to somc dcgrcc, thc
stigma ol living in a lavcla.
vcr timc pcoplc adaptcd to thcir ncw cnvironmcnt. Tcy lound jobs closcr
to thcir ncw homcs, madc ncw lricnds, and bcgan to crcatc social organizations.
Tc lootball club Aliana Futcbol Clubc was rcloundcd in thc conjuntos in
+:. Attcmpts wcrc cvcn madc, with varying dcgrccs ol succcss, to crcatc rcsi
dcnts associations in thc housing projcctsthough thcsc wcrc ncvcr as activc
as thcy had bccn in Catacumba.
Looking at this lrom a distancc, thc lorccd movc has bccomc a qucstion ol
tradcos. !n somc ways, thc loss ol community unity in thc lavcla hclpcd intc
gratc thc rcsidcnts morc lully into thc rcst ol thc citymadc thcm lcss insular
C A T A C U M B A [ 8 7 ]
and ghcttoizcd. 8ut thc rcsidcnts continuc to bc stigmatizcd lor living in thc
projccts. As ! mcntioncd carlicr, conjuntos arc oltcn rclcrrcd to as lavclas, which
lumps all thosc not in thc lormal city into a catcgory ol lcsscr worth.
nc univcrsal sourcc ol pridc among all ol thc lormcr Catacumba rcsidcnts
is worth tclling bccausc it rcvcals so much. uring thc timc whcn thcy all
livcd in Catacumba, thcrc wcrc occasions whcn largc numbcrs ol sh dicd in
thc Lagoa and thc Catacumba rcsidcnts wcrc blamcd lor it by thosc in thc
outcr arcas. !t was considcrcd a conscqucncc ol thcir lthgarbagc and raw
scwagc runo. Tis lcnt lucl to thc cnvironmcntal argumcnts lavoring rcmoval.
Forty ycars altcr thcy wcrc displaccd, thcy havc bccn vindicatcdthc sh in thc
Lagoa continuc to dic pcriodically in thc samc numbcrs.
so:v :ni xcs cn~xcv, so:v s:~v :nv s~:v
Likc thc lavclas, thc conjuntos havc also improvcd with timccvcn in thc
abscncc ol govcrnmcnt attcntion. Scvcral major transportation projccts havc
hclpcd link thc conjuntos to a widcr job markct and shortcncd thc working
day by rcducing commuting timc. Tc opcning ol thc RioNitcroi 8ridgc on
March , +, thc Linha \crmclha (Rcd Linc) in +:, thc Linha Amarcla
(Ycllow Linc) in +, and thc Mctro in + havc improvcd mobility lor
workcrs across thc city.
10
!n +8, thc administration ol Govcrnor 8rizola carricd out a modcst urban
rclorm in thc conjuntos, and in :oo+ thc administration ol Govcrnor Garotinho,
in anticipation ol clcctions, rcpaintcd scvcral ol thc buildings.
!n +:, a lorcstcd hillsidc bcsidc thc conjuntos was invadcd, ncw shacks
wcrc built, and soon thc community ol \ila Piquiri was crcatcd. Paulo Ccr
qucira, a lormcr rcsidcnt ol Catacumba currcntly living in Quitungo, claims
to havc playcd an important rolc in organizing this occupation. So thcrc was a
ncw lavcla. Somc pcoplc sold thcir apartmcnts and squattcd thcrcwith morc
spacc lor thcir cntirc lamilics and morc lrccdom, without having to pay any
thing lor rcnt.
:nv s:ovv ov :~vc~
From thc timc ol Catacumbas rcmoval until :oo:, Marga livcd in thc samc
oncbcdroom apartmcnt. Shc madc a comlortablc homc thcrc with hcr hus
band Gcraldo (nicknamcd Pingo), thcir thrcc daughtcrs liana, lisngcla,
and \iviani, and thcir son Vagncr (scc gurc .+).
!n :oo:, altcr : ycars thcrc, shc was abruptly lorccd to lcavc altcr Vagncr
(who was +8 at thc timc) rcccivcd dcath thrcats lrom onc ol thc local gang
lcadcrs lor supposcdly looking at his girllricnd. Tis put thc cntirc lamily in
[ 8 8 ] F A V E L A
jcopardy. A common tactic lor rcvcngc uscd by thc tra c is attacking lamily
mcmbcrs. Marga and hcr lamily lound a vacant apartmcnt in !raj, a working
class ncighborhood in Pcnha, in thc North Zonc. nc ol Margas daughtcrs
spottcd it in thc rcntal ads scction ol thc ncwspapcr, and thcy movcd within two
days ol thc thrcats, lcaving clandcstincly in thc dark bclorc dawn.
!t is lortunatc that ! bcgan this sccond round ol rcscarch in +, whilc
Marga and hcr lamily wcrc still living in thc samc placc thcy had bccn lor thc o
ycars sincc thc rcmoval ol Catacumba. !l ! had startcd thrcc ycars latcr, ! might
ncvcr havc lound hcr. Shc was vcry isolatcd and unhappy in thc ncw apartmcnt
lor thc rst ycar. Shc only lclt hcr apartmcnt to go to thc cvangclical church
ncarby and misscd hcr lricnds and ncighbors tcrriblycspccially Rcgina lrom
ncxt door, who was a rcgistcrcd nursc and a wondcrlul lricnd.
Marga had high blood prcssurc, was having troublc walking, and had dark
circlcs undcr hcr cycs, but shc still managcd to raisc hcr grandson and cook lor
thc cntirc lamily. Shc had mct and marricd Pingo thc ycar thcy lclt Catacumba.
Hc had what was considcrcd a vcry good job as a supcrvisor at a supcrmarkct,
and hc nccdcd to bc thcrc cvcry day to opcn up at 6 ~.:. and to closc at v.:.
His commutc was an hour cach way by bus. Hc rcccivcd onc day o cvcry two
wccks. ltcn, whcn hc got homc, hc was too tircd to cat, hc just took a showcr
and wcnt to bcd. !l this is a succcss story, it is a brutal onc.
Margas daughtcr 8cti, who was lour whcn wc rst mct, had bccn working
as a carctakcr lor an cldcrly woman in !pancma lor many ycars, but thc woman
had rcccntly dicd, and 8cti was having troublc nding othcr work. Shc had
complctcd high school and is an cxpcricnccd scamstrcss, but was willing to do
any kind ol work at allyct could not nd anything. ! could not hclp hcr. Shc
is now and has a :+ycarold son who droppcd out ol school and is also
uncmploycd. Tcy arc still living in an apartmcnt in Quitungo, not lar lrom
whcrc Marga uscd to livc. Margas son, Gilbcrto, two ycars youngcr than 8cti,
was having troublc nding work sincc thc lurniturc lactory whcrc hc had bccn
working had closcd down. His wilc had walkcd out, lcaving him with thcir son,
and has not bccn hcard lrom sincc. Hc is still trying to gct odd jobs rcpairing
applianccs, but it is not cnough to support him and his son, lbcrt, who livcs
with Marga.
Tc apartmcnt in !raj has two bcdrooms and is vcry cxpcnsivc (comparcd
with thc conjunto apartmcnt, which was alrcady paid o and which no onc has
bought or rcntcd duc to thc violcncc). Tc cxpcnsc is a sourcc ol constant strcss.
All thrcc daughtcrs livc thcrc and hclp out, thc cldcst two bring in incomc,
and thc youngcst hclps in thc housc. 8ut thc sccurity and salcty thc lamily was
sccking in its movc rcmains clusivc. Tc drug tra c is cxpanding into !raj as
rival gangs scck out ncw tcrritory to control. !l ! had donc this study in +8o,
cvcrything would havc lookcd nc lor thcsc lamilics. 8ut povcrty uctuatcs so
much at thc lowcr rungs ol thc laddcr and thc smallcst uctuations up or down
C A T A C U M B A [ 8 9 ]
makc such a largc dicrcncc in daily lilc that it is hard to know whcthcr what
you obscrvc at onc momcnt will bc thc samc thc ncxt.
Margas lamily trcc shown in gurc .+ givcs an idca ol thc achicvcmcnts
and sctbacks ol hcr lamily ovcr lour gcncrations.
c~:~cu:n~ ii vvs ox
!n :oo+, whcn ! rcturncd to Ncgrao dc Limas Parquc dc Catacumba with
Jacobi and scvcral othcr displaccd rcsidcnts, it struck mc that thc namc Cat
acumba (litcrally catacombs) had bccomc a pcrvcrsc jokc. Among thc loliagc
that had grown up ovcr thc hillsidc wcrc thc skclctal rcmains ol pcoplcs homcs,
pcoplc ! had known, homcs ! had bccn wclcomc in and in which ! had bccn lcd
wondcrlul mcals (gurc .+). Jacobi pointcd out thc trcc that had oncc stood
in his lront yard. !t was a mango trcc, and it had lcd thc cntirc community in
scason. All that rcmaincd ol his housc and thc othcrs wcrc a lcw ol thc grcy
cindcr blocks ol thc loundations, partially buricd by wccds.
As wc procccdcd up thc trilho, thc trail that had bccn crcatcd so that visitors
could admirc thc vicw lrom thc top, wc saw it had bccn madc into an ccological
walk. A scrics ol largc plaqucs placcd along thc path show thc gcological his
tory ol thc arca and idcntily thc local animals, birds, trccs, and plants. Tcrc was
nothing at all about thc community ol Catacumba or ol pcoplc who had livcd
Father
Illiterate
Unskilled Manual Labor
Mother
Illiterate
Maid
MARGARIDAS FAMILY
Margarida (59); born in Rio, 2nd
of 4 siblings
4 ys. of Primary School
Maid/Housewife
1st
Marriage
2
nd
Marriage
Geraldo
Supermarket
Manager
Beti (40)
High School
Seamstress
Gilberto
Incomplete
Primary
School
Unemployed/
Appliance
Repairman
Edir (18)
Dropped out
of school
Unemployed
Elbert (15)
Attends
School
Lives with
Margarida
Wagner
(21)
Incomplete
Primary
School
Makes
Wood
Furniture
Elisngela
(28)
Incomplete
High
School
Cleaning
Staff for
TV Globo
Eliana
(31)
High
School
Store
Manager
Viviane
(24)
Incomplete
High School
Store
Cashier
vicuvv . + Margaridas lamily trcc, :oo.
vicuvv . + Parquc dc Catacumba, :oo+. Tc ovcrgrown loundation ol a homc in
thc midst ol thc ncglcctcd sculpturc gardcn is thc only physical rcmains ol thc livcs that
wcrc livcd thcrc.
vicuvv .+6 Tis plaguc
about thc lavcla ol Cat
acumba, on its lormcr sitc,
is composcd ol tcxt and
photo and covcr lrom thc
8razilian cdition ol Myth
of Marginality.
C A T A C U M B A [ 9 1 ]
thcrc lor o ycars. To our astonishmcnt, as wc climbcd to thc top, thc vcry last
plaquc was a hugc blowup ol thc 8razilian covcr ol Te Myth of Marginality,
with my photo ol thc Youth Athlctic Club and scvcral paragraphs ol my tcxt.
Tc works ol art in thc sculpturc gardcn that had bccn crcctcd on that
picturcsquc hillsidc lookcd likc tombstoncs. Vhcrc +o,ooo pcoplc had raiscd
lamilics, carning a living and building a community that had morc solidarity
than any othcr part ol thc city, thcrc wcrc now loncly whitc marblc statucs that
no onc sccmcd to carc about. !n my many trips back thcrc, ! ncvcr oncc saw
anyonc in that gardcn, othcr than thc guard.
Tcrc arc both somc positivcs and many ncgativcs in thc story ol Catacumba.
8ut as Jacobi had lcarncd lrom photography and lrom Catacumba, with somc
cort and vision, ncgativcs may bc translormcd into positivc imagcs lor luturc.
vos:scvi v:
At thc timc ol my last visit to thc conjuntos, in ctobcr :oo8, Quitungo and
Guapor houscd approximatcly 6,ooo pcoplc, and two ncw lavclas had grown
around thcmPiquiri, which ! mcntioncd carlicr, and Mangucirinha, running
along thc rivcr.
!n Quitungo, composcd ol apartmcnt blocks, with o apartmcnts in cach,
at lcast anothcr :o houscholds had bccn crcatcd by subdividing spaccs, build
ing additional storics on thc tops ol thc buildings, andmost common ol all
vicuvv . + Quitungo, +. Margarida with hcr childrcn 8cti and Gilbcrto on thc
couch, 8ctis son is in thc lorcground.
[ 9 2 ] F A V E L A
crcating pushadinhos (cxtcnsions) that cxpandcd outward in all dircctions lrom
thc apartmcnts.
According to thc currcnt prcsidcnt ol thc Rcsidcnts Association ol Qui
tungo, who gocs by his childhood nicknamc Ncncm (8aby), whcn thc apart
mcnts wcrc built and assigncd to thc cxCatacumbans in +o, thcir valuc was
,oo cruzados (thc 8razilian currcncy at thc timc) il paid in lull on occupancy.
No onc lrom Catacumba or any othcr lavcla could cvcn drcam ol such sums
ol moncy. For thcm, thc paymcnts wcrc sct at 6 cruzados pcr month lor :
ycars. Tc original Catacumba rcsidcnts who arc still thcrc arc all owncrs by
now, and many rcnt out thcir apartmcnts at thc going ratc ol about US8+o/
month. To buy an apartmcnt today costs an avcragc ol US8+,oo. Tc Rcsi
dcnts Association is opcrating in an abandoncd brcad lactory. Tc brcad com
pany wcnt brokc in :oo and thc building has bccn systcmatically vandalizcd
sincc thcn. Tc cldcrly owncr lrom Portugal agrccd to givc thc building shcll to
thc Rcsidcnts Association so it could bc convcrtcd into a community spacc.
Altcr lour ycars, Ncncm nally got thc lcgal pcrmit to turn it into a taxcxcmpt
public utility, and thc statc govcrnor, Cabral, has providcd :o computcrs and
6 tcachcrs through a program callcd thc Foundation lor Support ol Tcchnical
ducation. Tc socccr cld has bccn rcnovatcd, thc gangs havc bccn kickcd out
lor thc momcnt, and thc militias havc not comc in, so it has bccomc a rclativcly
dcsirablc location.
f our
Nova Braslia
vvo: v~vvi~ :o co:vivxo
sv~vcni xc vov zv
!n July +, just hours altcr ! landcd in Rio lrom Ncw York, ! was on thc bus
to Nova 8raslia, hoping to rcunitc with Z Cabo. ! had rcturncd to Rio with
thc cxprcss purposc ol tcsting thc lcasibility ol nding thc pcoplc who had
participatcd in my rst study o ycars bclorc. ! startcd by looking lor Z Cabo
bccausc ! kncw him wcll and hc was wcll known in thc lavcla. ! hopcd that hc
was still living thcrc and that ! would nd him in thc housc in which ! had
staycd with his lamily.
! got o thc bus on Avcnida !taoca, just across thc strcct lrom thc main
cntrancc to thc lavcla and walkcd up thc principal intcrnal strcctRua Nova
8rasliato Zs housc. ! admircd thc widcncd, pavcd road and thc modcrn
commcrcial storclronts that had sprung up along thc strcct sincc my last visit.
Avcnida !taoca is a major thoroughlarc connccting various ncighborhoods
in thc North Zonc. !t is lincd on both sidcs with lactoricsmany ol thcm
vacantwarchouscs, car rcpair shops, dctcriorating public housing, old o cc
buildings, and high concrctc walls with lockcd solid mctal gatcs bchind which
arc cntcrpriscs, many ol which arc illicit or illcgal. Somc ol thc abandoncd
[ 9 4 ] F A V E L A
vicuvv . + Rua Nova 8raslia, +.
N O V A B R A S I L I A [ 9 5 ]
lactorics havc bccn strippcd down to barc boncs, lcaving no tracc ol clcctrical
wiring, plumbing, windows or doors, othcrs havc walls but no rools, somc havc
bccn rcduccd to rubblc.
1
!n thc cmpty shclls ol somc ol thcsc lormcr lactorics, lamilics havc takcn
up rcsidcnccdividing thc oor spacc into scparatc living quartcrs using card
board, cloth, or makcshilt woodcn partitions. Tcrc is no clcctricity or running
watcr, so thc squattcrs bring watcr lrom across thc strcct and usc kcroscnc
lamps lor light. Tcy kccp a low prolc. Tcy arc thcrc bccausc thcy nd thcsc
buildings salcr to livc in than thcir houscs in thc lavclas ncarby. !n midday, in
thc midwcck, whcn drug tra c is at a low point, thcy rcturn to thcir homcs
and go takc carc ol things nccding to bc donc.
Nova 8raslia is situatcd on thc bordcr bctwccn thc ncighborhoods ol Ramos
and 8onsuccsso. Tcrc is a bustlc ol commcrcial activity around thc cntrancc to
thc lavcla. You can casily scc this whcn you arc approaching Rua Nova 8raslia.
\cndors and stalls arc sct up in lront ol thc ccmcnt wall, and thc commcrcial
activity spills into thc strcct, covcring cvcry inch ol sidcwalk and lorcing pcdcs
trians to compctc with buscs, trucks, taxis, cars, and motorcyclcs lor spacc on thc
road. Crammcd togcthcr, in thc shadc ol widc swaths ol cloth strung bctwccn
bamboo polcs, arc lrcsh producc, cotton candy, traditional swccts madc lrom
coconut, goiaba (guava), mango, banana, and limc, squarcs ol cakc, dccplricd
cmpanadas llcd with mcat, chickcn, or vcgctablcs, stacks ol coconuts, long
vicuvv . : Rua Nova 8raslia, :oo.
[ 9 6 ] F A V E L A
polcs ol sugar canc bcing madc into swcct juicc, and a smattcring ol toys and
clcctronic gadgcts.
At thc most dcnsc part ol this noisy, busy hub ol activity, thc stalls swccp
shoppcrs lrom both sidcs ol thc strcct into thc lunnclshapcd cntrancc to Rua
Nova 8raslia, whcrc morc cstablishcd shops linc both sidcs ol thc cobblcstonc
strcct all thc way up thc hill to thc at opcn arca callcd thc Praa do Tcrco.
All along thc way mcrchandisc spills out onto thc strcct. Tc storcs havc glass
windows and shiny countcrs, and thc lamilics that own thcm livc abovc thcm.
Tcrc arc scvcral pharmacics, two bakcrics, thc poultry shop, a lurniturc storc,
and various othcr shops sclling shocs, clothing, music, clcctronics, and sundrics.
n thc right ncar thc top is ona Ritas clothing storcwith drcsscs, skirts,
and blouscs, lrom childrcns to adult sizcs. ona Rita is anothcr ol my long
timc Nova 8raslia lricnds and tcachcrs. Shc buys thc clothcs in Sao Paulo and
brings thcm back in hcr truck. Tcn shc adds hcr own dcsign touchcs by hand
or scwing machinc. Tc shops and thcir owncrs arc widcly known, and pcoplc
comc lrom thc cntirc rcgion to shop in Nova 8raslia, at lcast whcn commcrcc
is not shut down duc to a drug war.
! thought ! would rcmcmbcr thc location ol Zs houscit was not lar lrom
thc cntrancc to Nova 8raslia on thc righthand sidc, past thc Rcsidcnts Asso
ciation and bclorc thc powdcr bluc Pcntccostal church with thc ycllow and
whitc trim. !t had a tancolorcd ccramic tilc laadc with a dark brown pat
tcrn, and thc doorway had an ornatcly craltcd wrought iron gatc in lront ol
it. 8ut it was no longcr thcrc. !n its placc was a shop sclling livc chickcns and
cggs. ! askcd thc shopkccpcr about Z. My voicc was barcly audiblc abovc thc
squawking, and thc shop owncr motioncd that ! should go upstairs. Vhat had
bccn thc upstairs bcdrooms ol thc housc had bccn convcrtcd into a rcstaurant,
with six or cight tablcs covcrcd in oral print oilcloth. ! sat down and ordcrcd a
cafe.inho (strong, swcct 8razilian csprcsso) and a mixto quente (grillcd ham and
chccsc)always a salc bct. ! askcd whcrc Z Cabo and his lamily had gonc.
Tc proprictors cithcr did not know or wcrc not tclling. Tc placc had changcd
owncrs morc than oncc sincc hcd sold it.
Fccling a bit dishcartcncd, ! continucd up thc cobblcstonc strcct toward thc
Praa do Tcro. Along thc way, ! askcd shopkccpcrs il anyonc kncw whcrc Z
Cabo was. nc ol thcm noddcd, ran up thc hill, and camc down dragging a
lricnd by thc hand. Hc knows whcrc Z livcs! Vord ol my rcturn travclcd last.
Soon ona Rita camc out ol hcr clothing storc andas il wcd sccn cach othcr
just a lcw days bclorcshc said, Janicc, yourc back! Comc on in, how arc you:
!ts bccn so long. How is your mothcr: Look at thcsc cutc baby clothcs ! am
making now. o you want watcr or cocc: Ycs, Z Cabo is nc, ! saw him go
by hcrc just thc othcr day!
! lound it strangc that no onc ocrcd to takc mc to Zs housc. ! askcd il wc
could go thcrc to scc him. ona Rita and scvcral othcrs who had comc ovcr to
N O V A B R A S I L I A [ 9 7 ]
scc what was going on sccmcd to know whcrc hc livcd but tricd to discouragc
mc lrom going. !t is too lar . . . much too dangcrous to walk thcrc. You wouldnt
want to go thcrc. Vhcn wc camc out on thc strcct in lront ol Ritas shop, onc
ol Zs lormcr ncighbors was just lcaving thc pharmacy ncxt door. \cm c
(comc ovcr hcrc), Rita callcd to him. Hc livcs ncarbyHcll go back and tcll
Z you arc hcrc, and thcn Z will comc to gct you. ! wantcd to go dircctly, but
that sccmcd out ol thc qucstion.
Ycars carlicr, thcrc had bccn inccssant talk ol dangcr in lavclas, but much ol
it could bc chalkcd up to thc stcrcotypcs that cquatcd poor pcoplc with crimi
nals and gangstcrs. Now thc dangcr was vcry rcal. Vhcn, to my grcat rclicl, Z
arrivcd, hc was emocionada (movcd) that ! had comc to scc him but rcluctant to
takc mc back to his housc. Vhy dont wc go somcplacc clsc to talk: hc sug
gcstcd. !n thc cnd, hc gavc in and took mc homc, only bccausc it was still carly
in thc day and carly in thc wcck, whcn thc dcalcrs wcrc still slccping and thc
ncxt drug shipmcnt was not duc until Friday.
!nstcad ol going thc most dircct way, along thc paths and through thc allcy
ways ol thc community, wc wcnt down to Avcnida !taoca and along thc strcct
lor about a hall milc bclorc turning lclt onto a stccp, pavcd road lcading up to
his ncw housc. Two unilormcd mcn lrom thc clcctric company wcrc rcplac
ing thc bulbs in thc strcctlights along thc road to his houscsomcthing that
would havc bccn unhcardol in a lavcla ycars ago. Vhcn ! askcd him about this,
hc lookcd sad and tircd rathcr than proud. Tc light bulbs had bccn shot out
thc prcvious night to darkcn thc strcct lor opcrations, hc told mc. Tis had
bccomc a nightly occurrcncc.
thcrwisc, thc strcct lookcd normal. !t was lull ol pcoplc: guys stopping
in lor a bccr at onc ol thc biroscas (cals), childrcn in thcir school unilorms ol
whitc shortslccvcd shirts and bluc plcatcd skirts or pants, thc .igias (janitor/
watchmcn) swccping thc lront ol thc Asscmbla dc cus (Asscmbly ol God)
church, and womcn carrying groccrics up thc strcct alongsidc mcn carrying
sacks ol ccmcnt. Vomcn wcrc sitting on stoops gctting thcir hair or nails donc,
taking in thc passing sccnc. Asidc lrom Zs movc, which ! did not yct undcr
stand, things sccmcd prctty much thc samc to mc as thcy had bccn whcn ! last
visitcd.
! saw how wrong ! was whcn wc approachcd Zs homc. !nstcad ol thc lovcly
doorway that had charactcrizcd Z and his wilc Adclinas original housc, ! saw
a bullctpockcd mctal garagc door blocking thc main cntrancc. n thc pavc
mcnt, scvcral bclligcrcntlooking young mcn with barc torsos, wcaring baggy
shorts and multiplc tatoos, wcrc lcaning or sitting against his garagc door sni
ing gluc and smoking marijuana. Tcy barcly movcd asidc to lct us cntcr and
wcrc clcarly irritatcd at bcing disturbcd. ncc wc wcrc insidc, Z took mc to a
room bchind thc garagc whcrc hc kcpt a lc cabinct with all thc rccords ol thc
Rcsidcnts Association. Altcr closing thc door, hc showcd mc thc bullct marks
[ 9 8 ] F A V E L A
on thc walls oppositc thc windows and thc patchcs on thc watcr tank visiblc
on thc rool. Hc admonishcd mc not to rcturn to thc community again until
gctting pcrmission lrom thc currcnt prcsidcnt ol thc Rcsidcnts Association,
who had apparcntly bccn placcd in that position by thc dominant drug laction
(although Z ncvcr said a word about that). Hc apologizcd lor not bcing ablc
to hclp mc with this and warncd that obtaining pcrmission lor my work might
bc di cult.
:nv w~v i : w~s
At thc timc ! rst staycd in Nova 8raslia, violcncc was not an issuc. Tc issucs
wcrc cstablishing a placc to livc, avoiding cviction and prcssuring thc local gov
crnmcnt to install basic urban scrviccs. Shacks wcrc rst constructcd using a
latticcwork ol sticks packcd with thc mudandclay mixturc thc locals call
estuque (wattlc and daub). Vhcn conditions improvcd, thc rcsidcnts rcbuilt
thcir dwcllings with wood. Latcr, thcy uscd alvcnara (cindcr blocks or bricks),
which thcy plastcrcd and paintcd. Nova 8raslia was among thc bcst organizcd
communitics in Rio. Tcrc was thriving commcrcc, closc to lull cmploymcnt,
and a strong community spirit. uc to its pcriphcral location and thc rclativcly
low valuc ol its lots, its occupants wcrc undcr no immcdiatc thrcat ol cviction,
so thcy lclt lrcc to invcst in thcir homcsalthough ! discovcrcd ycars latcr
that Nova 8raslia appcarcd on at lcast two govcrnmcnt lists ol lavclas to bc
dcmolishcd. !t was onc ol thc lavclas in which thc anthropologist Anthony
Lccds and his studcnts (or Pcacc Corps voluntccrs) workcd in thc carly +6os,
which is how ! happcncd upon it whilc looking lor a North Zonc lavcla lor thc
original study.
At that timc thc population was +:,ooo+,ooo, and thc scttlcd arca cov
crcd oo,ooo squarc mctcrsovcr lour timcs thc arca ol Catacumba, but with
only :,ooo morc pcoplc. Tc lowcr dcnsity allowcd room lor shadc trccs and
owcring bushcs, mango trccs, banana plants, and all manncr ol lruitbcaring
plants. Many lamilics raiscd chickcns, a goat or two, and somctimcs a pig and
hcr littcr.
Tc usc ol spacc can bc sccn in gurc ., showing thc unpavcd pathway that
wound up thc hill lrom thc Praa do Tcrco, thc divcrsity ol building matcrials,
and thc surrounding industrial arca in +6.
!n ordcr to draw a random samplc ol intcrvicw subjccts lor my original +6
study, my rcscarch group uscd acrial photographs to map out cach passagcway
and dwclling and dividcd thcm into thrcc arcas: lrom thc most dcvclopcd to thc
lcast, as shown in gurc ..
ach housc was numbcrcd, and wc uscd a random numbcrs tablc to sclcct
thcm. Tcn wc uscd a pcriodic samplc to sclcct thc pcrson or pcrsons within
thc houschold who would bc intcrvicwcd.
2
Tc houscs shown in black wcrc thc
N O V A B R A S I L I A [ 9 9 ]
vicuvv . Sampling map ol Nova 8raslia, +68, drawn lrom an acrial photograph
in black arc thc oncs sclcctcd through thc random numbcrs tablc, thosc in gray arc thc
altcrnatcs.
vicuvv . \icw ol Nova 8raslia lrom thc hillsidc abovc thc Praa do Tcrco, +6.
original :oo dwcllings sclcctcd and thosc in grcy wcrc backups in casc a sub
stitution was ncccssary. Tc whitc arca bclongcd to thc Tuy Factory and was
not occupicd. Tc two watcr storagc tanks in thc uppcrright arc not lar lrom
Zs currcnt housc.
[ 1 0 0 ] F A V E L A
Tc Praa do Tcrco was thc only at opcn spacc in Nova 8raslia, so it is thc
natural gathcring placc lor thc community. At thc timc ol my rst study it was
an unpavcd arca scrving as a socccr cld, sitc lor community danccs and partics
such as thc traditional Sao Joao cclcbration, and placc to buy cool drinks and
homcmadc cakcs or swccts on thc way to or lrom work, school, or shopping.
Ncarly cvcryonc passcd through on thcir way to and lrom thc main road.
Sr. Lcvi, onc ol thc loundcrs ol thc original Rcsidcnts Association (along
with Z Cabo) livcd on thc Praa just to thc lclt ol whcrc Rua Nova 8raslia
cndcd. Hc kcpt songbirds undcr thc cavcs ol his vcranda amid owcring plants
and bushcs. Tcir song llcd thc air around thc Praa. Sr. Lcvi had sucrcd
an industrial accidcnt scvcral ycars carlicr and was on disability pcnsion, so
hc dcdicatcd his timc to thc community. His wilc ran a day carc program lor
thc childrcn in thc surrounding arca so thcir mothcrs wcrc ablc to go to work
without worrying about thcir littlc oncs.
8y +, in a misguidcd or punitivc public works mcasurc, thc Praa was
pavcd and thc lclt sidc covcrcd with corrugatcd mctal roong and turncd into
a garbagc collcction ccntcr with lour cnormous dumpstcrs. Figurc . shows
thc Praa do Tcrco as it was in +6. Tc girl on thc cxtrcmc right is Z Cabos
daughtcr, Vandclina, nicknamcd Livc Virc. (Figurc .6 shows hcr with hcr
lathcr in :oo.) n thc lclt, you can scc a small mobilc cart lor sclling swccts
vicuvv . Praa do Tcrco, +6. Zs daughtcr, Vandclina is on thc right.
N O V A B R A S I L I A [ 1 0 1 ]
and cakcs madc at homc. You can also scc that thc Praa was unpavcd and many
ol thc homcs wcrc madc ol prccarious building matcrials, but thcy did havc
clcctricity. Latcr, this arca bccamc thc most dangcrous spot in thc community.
~ ni s:ovv vvcoxs:vuc:vu
!n attcmpting to rcconstruct thc history ol Nova 8raslia upon my rcturn in
+, ! uscd thrcc complcmcntary approachcs. nc was to contract an urban
historian, who did an archival and ncwspapcr scarch on thc arca. A sccond was
to intcrvicw thc pcoplc who wcrc thc living mcmory ol thc localc spcnding
hours talking about thc communitys past. Finally, ! uscd a collcctivc proccss
callcd thc Rapid Participatory iagnosis, which was conductcd at hallday
mcctings in cach community in cccmbcr :oo+.
According to Z, thc land on which Nova 8raslia is locatcd oncc bclongcd
to thc lamily ol a Portugucsc mcrchant namcd Manucl da \ciga. Hc sold it in
+:, with thc largcst portion going to thc !nstituto dc Aposcntadoras c Pcn
socs dos Comcrcirios (Rctircmcnt and Pcnsion Fund lor cmployccs in com
mcrcc) and a smallcr lot to a Portugucsc man namcd Fcrnando Tcixcira. At thc
timc, thc land was vacant cxccpt lor a lcw scattcrcd shacks. uring thc +os,
it was uscd as a burning sitc lor thc wastc products lrom thc lurniturc industry
and bccamc known as 8uraco do Sapo (Toads Holc). Tc !nstituto uscd it as a
grazing pasturc lor cattlc thcy owncd.
Tc rst pcoplc to livc in Nova 8raslia wcrc !nstituto cmployccs, who wcrc
gradually joincd by workcrs lrom ncarby lactorics, including thc lurniturc lac
tory. Z Cabo arrivcd thcrc in +6, a ycar altcr thc cstablishmcnt ol thc scttlc
mcnt, which thc pcoplc callcd !taoca.
Tc rst watcr standpipc was installcd in +6. Tis was a mcmorablc turn
ing point. !t lrccd up timc and lightcncd thc workload ol thc womcn morc than
any othcr scrvicc. Vhcn Jamcs Vollcnsohn was prcsidcnt ol thc Vorld 8ank, !
oncc accompanicd him on a lavcla visit. Vc stoppcd to chat with a middlcagcd
woman who was swccping thc arca in lront ol hcr housc. Vhcn our host lrom
thc municipality introduccd Vollcnsohn as a pcrson rcsponsiblc lor bringing
running watcr to thc homcs ol many pcoplc likc hcr, shc burst out crying in
gratitudc. Shc said it had changcd hcr lilc lrom onc day to thc ncxt, and that
shc would ncvcr lorgct thc thrill ol turning on thc laucct and having watcr run
outright thcrc insidc hcr own homc. Shc thankcd him ovcr and ovcr again.
!n +, largc numbcrs ol pcoplc, mostly lrom thc Northcast, scttlcd in
!taoca, swclling thc population to ovcr :,ooo. Tcrc was still amplc room to cul
tivatc sugar canc and othcr crops, according to what pcoplc rcmcmbcr. Two ycars
latcr, thc community votcd to changc its namc lrom !taoca to Nova 8raslia, in
homagc to thc ncw lcdcral capital bcing constructcd in thc ccntcr ol thc coun
try. !t was around that timc that thc !nstituto, which owncd thc land, startcd a
[ 1 0 2 ] F A V E L A
lcgal action to try to rcposscss thc land lrom thc squattcrs who wcrc living thcrc.
Local lcadcrs, hcadcd by Z Cabo, succccdcd in mobilizing thc community,
gctting lavorablc prcss covcragc and gcncrating cnough rcsistancc to block thc
action. !n +6+, in rcsponsc to a morc scrious attcmpt at rcmoval, local lcadcrs
rcntcd buscs and drovc rcsidcnts lrom thc community to dcmonstratc in lront ol
thc govcrnmcnt palacc, thus lorcing thc !nstituto to ncgotiatc. !t was agrccd that
rcsidcnts would havc vc ycars to rcgularizc thcir situation or bc cxpcllcd.
Fivc ycars passcd, thc agrccmcnt was ignorcd, and no othcr action was takcn
to rcmovc thc community. uring thc dictatorship, in +, and again in +6,
Nova 8raslia was on thc o cial list ol thc lavclas intcndcd lor rcmoval by
CH!SAM (thc nationallcvcl institution crcatcd lor thc solc purposc ol cradi
cating thc lavclas ol Rio dc Janciro), but not high on thc priority list. Tc lact
that Nova 8raslia was locatcd in thc North Zonc, in thc middlc ol an indus
trial arca with low land valucs, hclpcd savc it, dcspitc thc lack ol o cial prop
crty titlc.
3
Tc mobilization to opposc rcmoval stimulatcd thc crcation ol an o cial
Rcsidcnts Association in July +6+. Tc association, hcadcd by Z Cabo, was
activc in dcmanding urban scrviccs lor thc community, and thcy succccdcd in
gctting hclp lrom somc local politicians. Tosc who rcmcmbcr thc timc say
thcy wcrc gratclul lor thc hclp, but did not likc thc condcsccnding way thcy
wcrc trcatcd. nc woman said, !t was as il bcing poor mcant wc wcrc likc dim
wittcd childrcn and thcy wcrc thc kind and wisc adults.
Tc growth ol thc community was so rapid that in +6, a ccnsus carricd out
by thc Rcsidcnts Association countcd a total ol 8,8 inhabitants in thc com
munity. Tc association installcd a systcm ol loudspcakcrs to transmit inlor
mation and music. !n thc latc sixtics, thc community was lurthcr aidcd by a
program callcd 8cmoc, organizcd by thc statc with lunding lrom thc Unitcd
Statcs, aimcd at thc amclioration ol living conditions in poor communitics.
Rcsidcnts wcrc cxpcctcd to providc swcat cquitythat is, to contributc thcir
labor to thc rcdcvclopmcnt work.
Living conditions in thc community also improvcd. !n +6+, thc Light Com
mission, a locally run community organization, managcd to supply clcctricity
to thc oo houscs closcst to thc main road, whcrc thcy tappcd into thc clcctric
powcr lincs. !n +6: thc statc watcr company bcgan to scrvicc thc homcs along
thc Avcnida Nova 8raslia. Two ycars latcr, thc cnormous watcr tanks wcrc built
on top ol thc hillsidc in an arca known as Alvorada (awn). Tc construction
ol watcr tanks and thcir improvcmcnt ovcr timc was onc ol thc kcy issucs dcalt
with by thc Rcsidcnts Association. 8y thc cnd ol thc sixtics, watcr, clcctricity,
and scwagc drains had rcachcd in parts ol thc lavcla, and in thc carly cightics,
undcr Govcrnor Lconcl 8rizola, watcr and scwagc nctworks wcrc installcd.
vcn today, though, covcragc is lar lrom univcrsal, and thc many houscs along
thc small allcyways in thc highcr parts ol thc lavcla still lack scrviccs.
N O V A B R A S I L I A [ 1 0 3 ]
!t was only in +8: that somc scrvicc providcrs bcgan to rccognizc thc lavcla
rcsidcnts as valuablc consumcrs rathcr than dcrclict sco aws. Tis shilt in pcr
ccption was lcd by Light, thc Canadian/8razilian clcctric company lor Rio dc
Janciro. cring clcctrical scrvicc to lavcla homcs on thc samc lcclorscrvicc
basis uscd lor thc rcst ol thc city had thc multiplc advantagcs ol lowcring thc
priccs lor lavcla rcsidcnts, adding ovcr a million paying customcrs to thc com
panys subscribcrs, and cnding thc Commissocs dc Luz that had controllcd thc
intcrnal distribution ol illcgally tappcd clcctricity charging cxorbitant ratcs as
thcy had a monopoly.
4
uring thc scvcntics, thc arcas ol Alvorada and !nlcrno \crdc (Grccn Hcll)
cxpcricnccd intcnsc urbanization. !nlcrno \crdc was a largc dumping sitc,
considcrcd thc poorcst scction ol thc community. Nova 8raslia cxpandcd its
boundarics to incorporatc Alvorada, !nlcrno \crdc, and Fazcndinha (Littlc
Plantation), and thcir rcsidcnts bcgan to upgradc and improvc thcir rcspcc
tivc arcas. As is typically thc casc, pcoplc living in cach arca insistcd that thcir
part was ncvcry sossegado (calm, quict) and tranquilo (pcacclul)in contrast
with ovcr thcrc, which was rcally dangcrous.
As thc city grcw northward, land prcssurc and priccs rosc, driving out thc
lcast compctitivc among local industrics as carly as thc +8os. nvironmcntal
rcgulations dcmandcd substantial invcstmcnts lrom companics to rcmain in
thcir original locations. Nova Amcrica Tccidos, thc largcst tcxtilc lactory in
Latin Amcrica, strugglcd to stay in busincss and nally lclt thc arca in thc latc
cightics. Tcrc is a shopping mall on thc sitc today. nc by onc, thc lactorics
bcgan to shut thcir doors. Tc bccr lactory is now an cmpty shcll. All thc lur
niturc lactorics, all thc papcr lactorics, and thc plastics lactory cvcntually wcnt
out ol busincss or wcrc rclocatcd.
Tc last to go was thc CocaCola bottling company, which was ablc to hang
on until +, bccausc it was part ol a largcr cntcrprisc. Sincc all ol thcsc com
panics had cmploycd local labor, uncmploymcnt has skyrockctcd. Tcrc wcrc
no rcplaccmcnt jobs lor thc pcoplc who workcd in thosc lactorics, drovc trucks
lor thcm, clcancd thc buildings, guardcd thc prcmiscs, or madc lunch lor thc
workcrs. !t was not only thc skillcd malc workcrs and thcir houscholds who
wcrc acctcd by thcsc closings but all thosc who providcd goods and scrviccs
to thc companics and thcir workcrs.
5
Tc bcginning ol drug tra cking in thc arca parallclcd thc bcginning ol
dcindustrialization. 8oth startcd on a small scalc in thc mid+8os and got
worsc. Nova 8raslia did not grow vcry much lrom +:oo. !t is now a
consolidatcd lavcla, with littlc room lor ncwcomcrs. Although thcrc havc bccn
no major upgrading projccts thcrc, at thc timc ol my + rcstudy, basic utili
tics (watcr, scwcragc, and clcctricity) wcrc ncarly univcrsal. Garbagc collcction
is providcd through a community organization and homc postal dclivcry is
availablc in cxchangc lor a small lcc to thc Rcsidcnts Associationstill a lar
[ 1 0 4 ] F A V E L A
cry lrom having a strcct namc and housc numbcr rccognizcd by thc city postal
scrvicc, but noncthclcss much bcttcr than having no mail dclivcry at all. (Prcvi
ously all mail was lclt at thc Rcsidcnts Association).
Commcrcial lilc in thc community is intcnsc. Tcrc arc hundrcds ol bars
and scvcral supcrmarkcts, rcstaurants, drugstorcs, bakcrics, opticians, ncwspa
pcr stands, bcauty parlors, and othcr small shops ol various sorts. Tc ncarby
North Zonc shopping mall docs morc busincss than thc onc in thc upscalc
8arra dc Tijuca.
Lcisurc and rccrcational activitics, on thc othcr hand, arc lcw and lar bctwccn.
Asidc lrom two makcshilt socccr clds and intcrmittcnt bailes funk (lunk balls),
thcrc is littlc clsc. Most pcoplc rcport having no lcisurc or rccrcational activi
tics at allin contrast to carlicr, salcr timcs. For many womcn, going to church
is thcir only community activity. Tcrc arc lour Catholic churchcs, a numbcr
ol Protcstant churchcs, many dozcns and typcs ol Pcntccostal and vangcli
cal churchcs, and a lcw rcmaining tcrrciros. Tc cvangclical churchcs havc thc
grcatcst prcscncc in thc communitylrom thc tiny oncs on ncarly cvcry strcct
to thc largc tcmplcs that risc abovc thc houscs. Tcy hold wcckly or daily praycr
scssions, and singing can bc hcard as you walk by. Tcy havc gottcn a lot ol
prcss, and many storics havc bccn told ol how thcy savcd young mcn lrom
thc drug tra c, but thc truth is that thcir growth in mcmbcrship is about thc
samc as thc growth ol nonbclicvcrspcoplc saying thcy havc no rcligion. Tc
big dcclinc in thc numbcrs ol Catholics is what makcs thc cvangclicals appcar
to bc growing so rapidly. Fcw havc paid attcntion to thc lact that this growth
in cvangclicalism is osct by thosc giving up on rcligion cntirclywhich has
cqual il not grcatcr implications.
ducation, thc grcat hopc lor social mobility, is a disappointmcnt in Nova
8raslia. Tc quality ol schools is worsc thcrc than it was in thc +6os, though
thc numbcr ol schools in and ncar thc lavcla has grown. Tc tcachcrs arc alraid
to comc to class and typically show up only a lcw timcs a wcck. According to a
ncw rcgulation, studcnts cannot bc hcld back, so thcy arc passcd on to thc ncxt
gradc without ncccssarily having lcarncd what thcy nccd to know to handlc
ncw matcrial. !t is no wondcr that thcy gct discouragcd and drop out. Tcrc arc
a handlul ol kindcrgartcns, a statcrun primary and sccondary school that was
built in :ooo, and a placc ocring thc pre.estibular, thc prcp coursc lor univcr
sity cntrancc cxams. A popular saying capturcs thc cynicism ol thc cducational
cntcrprisc lor thc poor: Tc studcnts prctcnd to lcarn, thc tcachcrs prctcnd to
tcach, and thc govcrnmcnt prctcnds to pay thcm.
:nv co:vivxo uv ~iv:~o
Nova 8raslia is onc ol a dozcn lavclas that havc grown lrom thcir basc along
thc main road to covcr thc top ol thc hillsidc, whcrc thcy havc mcrgcd with
N O V A B R A S I L I A [ 1 0 5 ]
othcr lavclas that havc similarly cxpandcd. Now thcy lorm onc continuous
complcx callcd thc Complcxo dc Alcmao.
6
!ts oo,ooo pcoplc livc in a spacc ol
thrcc squarc kilomctcrs that is rclcrrcd to as thc faixa de Ga.a carioca (thc Gaza
strip ol Rio dc Janciro). !n :oo, a third ol this population madc lcss than thc
minimum salary, thc cquivalcnt ol US8:oo/month.
Tc Complcxo dc Alcmao was namcd lor onc ol its +: lavclas: thc Morro dc
Alcmao. Tcrc arc compcting narrativcs as to how that lavcla camc to carn its
namc. nc story is that in thc ycars altcr Vorld Var !, thc arca was purchascd
by Lconard Kaczmarkicwicz, a Polc who thc pcoplc assumcd was Gcrman,
and so thcy callcd it thc Hill ol thc Gcrman. Tc othcr cxplanation is that it
camc to bc callcd thc Morro dc Alcmao altcr Vorld Var !!, whcn Gcrman
bccamc a synonym lor cncmy or traitor. Somc say that thc arca was considcrcd
undcsirablc as carly as thc +:os, so thc namc Morro dc Alcmao stuck in thc
postwar pcriod.
!nitially, thc arca was givcn to agriculturc and pasturc, whcrc bananas and
mangocs grcw and goats and chickcns wandcrcd about. Tc advancc ol thc
twcnticth ccntury brought incrcascd mcchanization, and thc arca bccamc
incrcasingly industrial, bcginning with a lcathcr tanncry. Migrants lrom thc
countrysidc camc to work at thc tanncry and built homcs ncarby. !n thc carly
+os, thc owncr ol thc land dividcd it into lots and sold thcm. uring thc
ycars ol thc dictatorship, ncw lavclas bcgan to grow on othcr parts ol thc hill
sidc, and thcir populations grcw stcadily until thc mid+8os, whcn thcy bcgan
to lcvcl o.
Today thc Complcxo dc Alcmao is so largc that it compriscs its own regiao
administrati.o (administrativc rcgion), as do thrcc othcr immcnsc lavclas:
Rocinha, Jacarczinho, and thc Complcxo do Mar. Nova 8raslia is thc largcst
ol thc lavclas within thc Complcxo da Alcmao and is homc to a quartcr ol its
inhabitants.
Tc Complcxo dc Alcmao is onc ol thc most violcnt arcas ol thc city ol
Rio and onc ol thc most ncglcctcd. Somc attributc this lack ol govcrnmcnt
assistancc to bad lcclings causcd ovcr +o ycars ago, whcn thc mayor was boocd
whilc giving a spccch thcrc, othcrs think it is bccausc thc complcxo is thc hcad
quartcrs ol thc major drug gang Commando \crmclho (Rcd Command). Tc
Commando \crmclho is gcncrally bcttcr organizcd, bcttcr lundcd, and bcttcr
armcd than thc govcrnmcnt. !t uscs its machinc guns, grcnadcs, and antiaircralt
wcapons to both combat and corrupt thc lorccs ol thc statc.
n Junc :, :oo, thc Complcxo do Alcmao was bcsicgcd by an army ol
+,o civil and military policc and thc national sccurity lorccs in onc ol thc big
gcst combat opcrations against drug tra ckcrs in thc statcs history.
7
Just bclorc
thc onslaught, thc military policc gathcrcd in a parking lot, whcrc thcy jokcd
and smokcd and dividcd into tcams. Among thcir vchiclcs was thc ca.eiro,
a black armorcd military vchiclc bcaring an insignia ol a skull picrccd by a
[ 1 0 6 ] F A V E L A
sword. !t is thc sign ol thc 8atalhao dc pcracocs Policias spcciais 8P,
(Policc 8attalion ol Spccial pcrations). Hclicoptcrs wcrc also mobilizcd lor
usc against thc community, should thcy try to aid or abct thc tra c.
Tc 8P and thc Polcia Militar had just complctcd pcracao Ccrco
Amplo (pcration Vidc Nct)a coordinatcd cort to catch thc lcadcrs ol
thc drug gangsand, having bccn unsucccsslul, wcrc taking a morc aggrcssivc
approach to clcan up thc city in advancc ol thc Pan Amcrican Gamcs and
rclatcd cvcnts such as an upcoming Livc Aid conccrt on thc bcach in Copaca
bana.
8y thc cnd ol that day, at lcast :: pcoplc had bccn killcd and ++ woundcd in
thc Complcxo dc Alcmao, in thc 6o days lollowing thc initial policc occupation
ol thc lavclas, 6 pcoplc wcrc killcd and 8 woundcd. Rcsidcnts said that only
ninc ol thc pcoplc killcd had bccn involvcd in crimc and bccamc inccnscd whcn
thc govcrnmcnt issucd a statcmcnt that thcrc wcrc no innoccnts among thc
victims. Vhcn thc civil policc lailcd to nd criminal rccords lor a singlc onc
ol thosc killcd, it conrmcd pcoplcs worst lcars. Many ol thc dcad wcrc young
tccnagc girls and boys whosc lricnds and lamilics said had had nothing to do
with thc tra c.
As collatcral damagc to thc community, thc policc action lorccd thc closurc
ol all commcrcc, placcs ol worship, community ccntcrs, and cight schools in thc
rcgionkccping ,6oo childrcn out ol thcir classrooms. A UN!CF rcport
said that thc childrcn who tricd to go to school wcrc lclt thcrc without any
tcachcrs or translcrrcd to anothcr school, whcrc thcy attcndcd onc ol lour daily
shilts ol two hours cach.
8
Tc pcoplc in thc community do not trust thc policc. A 88C rcportcr said
pcoplc wcrc shooting o rcworks to warn thc tra ckcrs that thc policc wcrc
cominga systcm thc young kids in thc tra c usc to alcrt thc community
whcn a drug dclivcry is madc, or a policc raid is immincnt.
Jurany Custdio, a ycarold woman, has livcd lor o ol hcr ycars in thc
samc barraco in Nova 8raslia. Shc was vcry activc in community lilc in carlicr
timcs and raiscd a largc lamily as wcll. Now shc livcs on thc sobrado (top oor)
ol hcr housc and rcnts out thc rcst. Jurany said that it was thc lault ol Govcrnor
8rizola that thc scparatc lavclas had turncd into violcnt complcxos.
9
According
to hcr:
8rizola told us it would hclp us gct watcr and othcr urban scrviccs morc
ccctivcly il wc mcrgcd into a unicd complcxo. Vhat happcncd: Vc ncvcr
got morc scrviccs. !nstcad wc got morc dcaths. Sincc not all ol thc lavclas
wcrc controllcd by thc samc commando (gang), thc turl wars bccamc vcry vio
lcnt. Sincc thcn, wc in Nova 8raslia havc bccn ignorcd by thc govcrnmcnt
whilc lavclas all around us havc bcnctcd lrom upgrading invcstmcnts and
programs.
N O V A B R A S I L I A [ 1 0 7 ]
x~vco :v~vvic ~xu i :s coxsvguvxcvs
ncc basic scrviccs had bccn attaincd and thc strugglc against cviction was won,
thc rolc and rclcvancc ol thc Rcsidcnts Associations dcclincd in most ol thc
lavclas. 8ut thc coup dc grcc was thc prcssurc lrom thc local drug dcalcrs,
who wcrc dctcrmincd to takc ovcr as thc o cial lcadcrs ol thc community. 8ct
inho, thc last indcpcndcntly clcctcd prcsidcnt ol thc Rcsidcnts Association, took
o cc in thc carly +8os altcr scrving inlormally as a local lcadcr during thc
+os. Vhcn hc ran lor rcclcction, thc drug lords told him that il hc won, hc
would havc to submit to thcir ordcrs, and il hc lost, hc would havc to lcavc thc
community. cspitc his popularity, 8ctinho lost thc clcction (which pcoplc say
was riggcd). 8ut hc and his lamily wantcd to rcmain in thc community. Tcy had
built up thcir homc and lamily thcrc ovcr many dccadcs.
8ctinho was cxccutcd gangland stylc, to sct an cxamplc and lct pcoplc know
who rulcd thc community. According to intcrvicwccs, this sct o a ncw round ol
violcncc. Pcriodic killings involving rival criminal groups had not bccn uncom
mon, but this ncw phasc was charactcrizcd by an incrcascd lcvcl ol disrcspcct
lor local lcadcrs and lor thc community in gcncralto a point whcrc indcpcn
dcnt community organizations wcrc no longcr viablc.
!t was in thc Complcxo dc Alcmaoin thc lavcla callcd Grota
10
that thc
admircd invcstigativc journalist, Tim Lopcs, was torturcd, quartcrcd, and mur
dcrcd. Tis onc dcath got morc mcdia attcntion than thc dcaths ol hundrcds ol
lavcla rcsidcnts caught in thc tiroteio (crossrc).
! barcly cscapcd thc Tim Lopcs trcatmcnt on thc day ol our community
mccting to rcconstruct thc history ol Nova 8raslia using thc RP (Rapid Partic
ipatory iagnosis). !t was a Sunday morning in cccmbcr :oo+ with an unusually
clcar bluc sky and bright sun sctting o thc vivid colors ol thc storclronts, houscs,
and churchcs. Tc strcct lookcd lamiliar and bcnign. Tc mccting had bccn sct
lor +o:o at thc Rcsidcnts Association. Vc had choscn thc day and timc bccausc
most pcoplc would bc at homc, not at work, and bccausc it was considcrcd a salc
timc, whcn thc dcalcrs arc slccping o thcir Saturday night advcnturcs.
!n truc Carioca lashion, no onc had arrivcd by ++ ~.:., so whilc thc lunch
was bcing prcparcd and thc room arrangcd, ! took thc opportunity to go out
into thc strcct. ! wantcd to takc photographs lrom thc samc vantagc points as
thc oncs ! had takcn dccadcs carlicr. ! walkcd up thc Avcnida Nova 8raslia
toward thc Praa do Tcrco, snapping shots ol thc shiny ncw commcrcial cstab
lishmcnts and thc colorlul houscs along thc way. ! took scvcral shots in thc
Praa, trying to gct onc cxactly likc thc onc shown in gurc ..
Somc mcn wcrc having bccrs at an opcn bar looking out ovcr thc Praa, and
! took thcir picturcs as wcll. Tcy smilcd and sccmcd not to mind.
n my way back down thc hill, rushing a bit so as to arrivc bclorc any ol thc
invitcd participants, ! suddcnly lound myscll surroundcd by a group ol mcnac
[ 1 0 8 ] F A V E L A
ing young mcn wcaring no shirts, baggy kncclcngth shorts, and guns, who
blockcd my way, asking mc what ! was doing. ! told thcm ! had livcd on this
strcct many dccadcs ago and was taking picturcs to comparc with thosc ! had
takcn thcn to includc in a book ! was writing. Tat did not convincc thcm that
! was not a journalist about to publish my photos in a ncwspapcr cxposc, and
thcy got incrcasingly aggrcssivc. Fortunatcly lor mc, somc ol thc oldtimcrs
wcrc by thcn dcsccnding thc strcct on thcir way to thc mccting, and othcrs had
comc up lrom thc Rcsidcnts Association to look lor mc, so thcy managcd to
convincc thc group to go with us to scc thc prcsidcnt ol thc Rcsidcnts Associa
tion, who would bc thcrc to opcn thc mccting.
Fortunatcly, ! did not havc a digital camcra and was using lm, so instcad
ol giving my camcra to thcm, thc prcsidcnt got thcm to agrcc that ! could takc
out thc roll ol lm and givc it to thcm instcad. Tcy couldnt bclicvc anyonc was
still using lm camcras and rcmaincd skcptical that ! might havc somc digital
backup insidc thc camcra. 8ut, in thc lavcla, thc word ol thc Rcsidcnts Associa
tion prcsidcnt is law, so thcy took thc lm and lcltand thc mccting bcgan.
! had no idca that ! had takcn picturcs ol somc ol thc main bocas. vidcntly,
thc man ! took a picturc ol drinking at thc birosca on thc praa was thc gerente
(managcr) ol thc local tra c. Littlc did ! rcalizc that this navc act could casily
havc gottcn mc killcdor worsc.
As thc rcscarch tcam and ! wcrc lcaving, altcr an allday mccting and dinncr,
wc spottcd somc ol thc gang mcmbcrs sitting on a stoop oppositc thc Rcsidcnts
Association. vidcntly, thcy had disagrccd with thc othcrs about lctting mc go
lrcc and wcrc waiting lor thc cnd ol thc mccting to makc thcir movc. My lricnd
shovcd mc into thc ncarcst taxi, jumpcd in bchind mc, and told thc drivcr to
takc o as last as hc could.
Figurc . shows thc Praa do Tcrco as it lookcd in +6. Tc onc not shown
ncxt to it is how thc Praa looks todaythat lm has long bccn dcstroycd, and
! ncvcr had thc couragc to try again. vcn with thc association prcsidcnt at my
sidc it was too risky.
Tc ncxt timc ! wcnt to thc arca was with thc prcsidcnt ol thc Rcsidcnts
Association, who showcd mc thc apartmcnt whcrc hc kcpt scvcral young girls
as mistrcsscs, thc placc whcrc Tim Lopcs was torturcd and killcd, and thc loca
tion ol thc statcrun primary/sccondary school. Vhilc wc wcrc driving around
in his car, a woman camc up to him, crying hystcrically. ! did not undcrstand
a singlc word ol thcir whispcrcd convcrsation, but latcr my 8razilian rcscarch
assistant, who was with mc, told mc what had transpircd. vidcntly, thc woman
was thc wilc ol a man who had bccn badly bcatcn by thc hcnchmcn ol thc asso
ciation prcsidcnt. Tcy had, workcd him ovcr, brcaking ncarly all ol thc boncs
in his body. At that vcry momcnt, hc was writhing in agony whcrc thcy had
dumpcd him, in lront ol his housc. !n rcsponsc to thc wilcs plca thc association
prcsidcnt said, !t was only o dollars! didnt tcll thcm to kill him, just to
N O V A B R A S I L I A [ 1 0 9 ]
rough him up a bit and scarc him into paying. Hc told hcr that hc would havc
a car scnt to takc thc bcatcn man to thc hospital.
Tis was cmblcmatic ol thc dilcmma in which thc population nds itscll.
Tc tra c is not a parallcl powcr as oltcn said. !t is not a substatc or a substi
tutc lor thc statc. Tcrc is a vacuum whcrc thc statc should bc, and thc tra c
has stcppcd into that vacuum unopposcd by any govcrnmcntal authority and
accountablc to no onc cxccpt itscll.
!n latc :oo thc pricc ol cocainc bcgan to drop, and thc tra c has had to
scck othcr ways ol making a prot, imposing small lccs on rcsidcnts lor scr
viccs and sccurity, in classic maa stylc. Yct lrom my convcrsations with thc
association prcsidcnt it is clcar that hc sccs himscll as thc savior ol thc com
munity. Hc blamcs thc communitys problcms on thc lailurc ol thc govcrnmcnt
and thc statcs ncglcct ol Nova 8raslia. Hc has claboratc, unrcalistic plans lor
cmploymcnt and incomc gcncration in thc community.
Hc tricd to pcrsuadc mc to hclp him dcvclop lavcla tourism in Nova 8raslia
(in thc modc ol Rocinha and othcr South Zonc lavclas closc to tourist hotcls)
and join thc board ol his proposcd samba school, which nccdcd sponsorship
and largcscalc lunding. ! did not darc to laugh or to disabusc him ol thosc
lantasics! had sccn that hc holds thc powcr to kill with a nod ol his hcad.
8ut it says a lot about his isolation lrom rcality that hc bclicvcd that tourists
would bc willing to travcl ovcr an hour to scc a lavcla in a war zonc, or comc to
dancc at a samba school whcrc thcir chanccs ol gctting killcd in thc crossrc
wcrc not ncgligiblc.
At thc cnd ol my intcrvicw, whcn ! askcd him to writc down his namc
and contact inlormation so that ! could gct back to him about his rcqucsts lor
my hclp, ! saw that, much to his cmbarrassmcnt, hc could barcly writc. Most
rcccntly (in :oo) hc had bccn arrcstcd, but what a sad statc ol aairs lor him
and lor thc community.
zv c~nos j ouvxvv
Z Cabo was onc ol thc most rcspcctcd and cstablishcd lcadcrs in Nova 8raslia
whcn ! rst mct him in +68. Hc was o ycars old thcn and prcsidcnt ol thc
Rcsidcnts Association. Hc had movcd to Rio dc Janciro lrom a small city in thc
intcrior ol Rio Grandc do Nortc whcn hc was +6 ycars old. Ncithcr ol his par
cnts had attcndcd school. Hc was thc lth ol + childrcn. At thc agc ol :, altcr
working as a marinc, hc movcd to Nova 8raslia. Hc nishcd clcmcntary school,
but also got cducatcd mostly by travcling throughout 8razil, by bcing cxposcd to
many idcas and pcoplc. Tis is why hc was much morc politically savvy than most
othcrs in thc community. !t was hc who lcd thc collcctivc strugglcs throughout
thc +6os and +os lor watcr, clcctricity, drainagc, scwcr conncctions, and strcct
paving. !t was hc who lought lor a land titlc and who ncgotiatcd with candidatcs
[ 1 1 0 ] F A V E L A
and govcrnmcnt o cials on bchall ol thc community. Hc also playcd a critical
rolc in acquiring thc land lor constructing thc Rcsidcnts Association on thc
corncr ol Avcnida !taoca and Rua Nova 8raslia.
At thc timc ol thc original study, hc and his wilc, Adclina, had thrcc boys
and a girl. Hc was working lor thc military policc, which is whcrc hc acquircd
thc nicknamc, Z Cabo (Corporal Jos). Hc and Adclina had incrcmcntally
improvcd thcir housc to a thrccstory brick (alvcnaria) homc, which was llcd
with largc dark wood lurniturc scts, cmbroidcrcd doilics on almost cvcry sur
lacc, and plastic owcrsprcstigc itcms ol that timc and placc. !t was cool
and dark insidc cvcn on thc brightcst, hottcst days, and thc curtains wcrc kcpt
discrcctly drawn. Tcrc was always somcthing good cooking on thc stovc, and
it was a placc to which othcrs camc lor hclp and advicc.
! staycd in touch with Z and his lamily ovcr all thcsc ycars. !n thc carly
+os, Adclina dicd ol a hcart attack, and hc incurrcd hugc mcdical bills lor
hcart problcms ol his own. 8ccausc ol his dcbts, thc translormation ol Rua
Nova 8raslia into a commcrcial strcct and a dangcrous thoroughlarc lor drug
tra cand in ordcr to lcavc somcthing lor his childrcnhc sold his homc. As
dcscribcd carlicr hc movcd to a morc rcmotc arca ol thc lavcla, whcrc hc bought
a small rundown shack and rcbuilt it. Vith thc rcst ol thc salc procccds, hc
built a housc lor his grandson Vagncr in a gatcd community on thc outskirts
vicuvv . 6 Z Cabo with Vandclina, Vancy, and Vancys car in lront ol thc housc hc
was rcnovating in !raj. Vancys ncwly constructcd apartmcnt is in thc back (:oo).
N O V A B R A S I L I A [ 1 1 1 ]
ol Nitcroi and bought a housc lor his daughtcr in a dcvclopmcnt in Campo
Grandc, thc cxtrcmc wcst ol thc municipality. Nonc ol his childrcn lrom his
rst marriagc staycd in Nova 8raslia.
Z lovcd it thcrc and staycd as long as hc could, living with his sccond wilc,
Maria, thcir two adult daughtcrs, and two grandchildrcnplus an cvcrchang
ing numbcr ol rclativcs whom hc supportcd.
!n thc tcnycar pcriod during which ! was doing my rcstudy (+:oo)
Z Cabos lilc bccamc incrcasingly di cult. Hc dcvclopcd hcart problcms and
uscd up a good dcal ol his savings to pay mcdical bills. 8ccausc hc had bccn in
thc navy, hc was ablc to gct thc surgcry hc nccdcd. Hc was nally drivcn out
ol his homc in Nova 8raslia in :oo by incrcasingly spccic thrcats lrom thc
tra c. Hc lclt his housc to Maria and thcir two daughtcrs.
!t had long bccn Z Cabos drcam to movc out ol thc lavcla somcdaybut
not to Sao Gonalo in Nitcroi or Campo Grandc and ccrtainly not to thc
northcastcrn statc ol Natal, whcrc his brothcr and sistcrinlaw livc. Hc wantcd
to livc in an apartmcnt in Gloria, closc to thc ccntcr ol downtown Rio. Vhcn
hc was nally lorccd out ol thc lavcla in :oo, hc could only aord to buy a
small propcrty with a ruin ol a housc on a highway scrvicc road alongsidc a
raiscd viaduct in !rajstill stuck in thc North Zonc.
Hc rst built a scparatc housc lor his son Vancy at thc back ol thc propcrty
(shown in whitc in gurc .6), thcn startcd to rcbuild thc old housc lor himscll.
Hc spcnt wcckcnds with his daughtcr in Campo Grandc whcn hc lclt likc gct
ting somc lrcsh air.
As ol :oo8, at agc , Z was still supporting scvcral lamily mcmbcrs. Vhcn
! was thcrc in ctobcr, hc told mc Vancy had dicd thc past ycar lrom hcart
problcms, a dcath which might havc bccn prcvcntcd with bcttcr mcdical carc.
His aunt, who had bccn staying in his room whilc hc slcpt on thc sola in thc
living room, had passcd away around thc samc timc. Maria had comc to stay
with him in !raj, altcr his hcart opcration, but hc was thc onc doing all thc
shopping and cooking, working on thc housc and supporting his grandson, who
had movcd into Vancys littlc apartmcnt altcr his mothcr kickcd him out.
For all this, ! lound Z t and trim looking, with thc samc mcmory lor
dctail, thc samc gcncrosity, wry scnsc ol humor, and lilc lorcc as cvcr. Hc was
undclcatcd. Vhcn hc was walking mc back to thc mctro station, hc wcnt so last
! could hardly kccp up with him. Figurcs .8.++ show Z at various points
in his lilc.
ncc whcn ! had askcd Z what hc was most proud ol, hc told mc, My
grcatcst achicvcmcnt in lilc is that nonc ol my kids arc on drugs, in thc tra c,
in jail, or murdcrcd. From this, ! undcrstood that thcy wcrc barcly making it
in lilcbut that turncd out to bc wrong. Tc lamily trcc shows thc cducational
and occupational prolc ol cach ol his childrcn and grandchildrcn and rcvcals
how lar thcy havc comc lrom whcrc hc startcd in lilc.
[ 1 1 2 ] F A V E L A
Vandcrlcy, thc cldcst ol Zs childrcn, is a rctircd public lunctionary lor
thc Caixa conomica Fcdcral (8razilian National 8ank)onc ol thc largcst
govcrnmcnt owncd nancial institutions in Latin Amcrica. Hc livcs in Japcri,
a municipality outsidc thc mctropolitan arca ol Rio dc Janciro, two hours lrom
downtown. His son and two daughtcrs havc advanccd dcgrccs in inlormation
tcchnology. Tc cldcst daughtcr, Patricia (Paty), is thc onc ! mct in Copacabana
as dcscribcd in thc introduction.
Vancy, Zs sccond son dicd in :oo at thc agc ol . Hc livcd on his pcn
sion lrom ycars ol work in thc Civil Policc. Hc would havc rcccivcd a highcr
rctircmcnt paymcnt il hc had staycd lor his lull tcrm, but hc lclt bclorc lull
rctircmcnt agc bccausc hc had bccn ocrcd a lulltimc job as a dclivcry man
lor a South Zonc company. Tc owncr, a woman, took on two malc associ
atcs and incorporatcd hcr company whcn thc busincss startcd to takc o. As
Vancy cxplaincd it to mc, Shc was assassinatcd by onc ol thcm, and thcy took
all hcr moncy and closcd thc busincss. Vancy was out ol work lrom thcn on.
Hc divorccd, and hc sold his apartmcnt in Guadalupc. Until his dcath, hc was
living with Z Cabo in !raj. Hc was thc unclc so bclovcd by Patricia, Zs
granddaughtcr.
Vancys cldcst child, Vagncr, livcs in thc intcrior ol Nitcroi, in a gatcd com
munity. Hc purchascd thc land with thc moncy lrom Zs housc salc. Vancy
and Vagncr dcsigncd and built a simplc, attractivc woodlramc housc. Vagncr
carns a livclihood as a mcchanic spccializing in xing car air conditioncrs. His
wilc works in a boutiquc in an upscalc shopping mall ncarby. His youngcr sistcr,
Mariana, is known as thc smart onc in thc lamily. Shc attcndcd law school lor
onc ycar at thc stacio dc S, but has not complctcd hcr dcgrcc. Shc instcad
droppcd out to go to Candido Mcndcs Univcrsity in Nitcroi to study lashion
dcsign. Vhcn shc nishcd, shc startcd a clothing linc using hcr own moncy.
Shc took hcr clothing dcsigns around to various storcs and took ordcrs. Shc
bought thc matcrials, cut thc picccs, and contractcd out thc scwing. Shc did so
wcll that shc was ablc to opcn hcr own storc in thc samc shopping mall whcrc
hcr sistcrinlaw (Vagncrs wilc) works. Hcr mothcr and grandmothcr hclp
out in thc storc, and hcr stcplathcr takcs carc ol thc accounts and invcstmcnts.
Tc busincss sccms to bc thriving, and thcrc wcrc scvcral womcn in thc storc
whcn ! wcnt to visit, picking out party drcsscs lor various spccial occasions.
Vancys youngcst daughtcr, Lcticia, is :+ ycars old and is a univcrsity studcnt.
Joss daughtcr, Vandclina, knicknamcd livc wirc whcn shc was youngcr,
was thc troublcmakcr ol thc lamily. Shc droppcd out ol school altcr vc ycars,
dcspitc hcr mothcrs strugglc to gct hcr to nish high school. As a prctccn, it
was hcr drcam to bccomc a hairdrcsscr. Shc is in hcr os now and livcs in Santa
Cruz in a subdivision lor govcrnmcnt cmployccs, which shc says is rathcr bor
ing and isolatcd but vcry salc. !t is almost two hours by car lrom thc ccntcr
ol Rio, and much longcr by bus. Shc rctircd lrom working in thc clcmcntary
Z CABOS FAMILY
Z Cabo (73); 5th of 19 children
Primary school / self-taught
Navy/Military Police/Residents
Association Leader
Father
Illiterate
Worked the land
1st Marriage
Adelina
Primary school
housewife
Passed away
2nd Marriage
Maria
Illiterate
Housewife
Mother
Illiterate
Housewife
Wanderley (52)
Incomplete
High School
Public
Functionary
Patricia, Marcelo,
Priscilla
University
All employed in
Information
Technology Field
Waney (50)
Junior High
Unemployed/
Military Police
Wagner (26)
Incomplete
high school
Car repair
Marianea (21)
High school
Fashion
Design/
Owner of
clothing store
Leticia (15)
student
Sandra (24)
High School
Worked bingo
game /
Unemployed
Wandelina (48)
Incomplete High
School
Library assistant at
Cultural Center
Wandiney (45)
Incomplete
University
Works for
DMV
Rodrigo (15)
High school
student
Aspiring to play
soccer
professionally
Solange (23)
Incomplete
Middle School
Housewife
Carolina (6) &
Catarina (3 months)
Live with mother in
Z Cabos house
vicuvv . Z Cabos lamily trcc, :oo.
[ 1 1 4 ] F A V E L A
school calctcria and workcd until :oo6 in thc small library ol a ncwly rcnovatcd
cultural ccntcr, which uscd to bc thc summcr palacc ol thc 8razilian cmpcror
om Pcdro.
As a singlc mothcr, Vandclina strugglcd to kccp hcr tccnagc son out ol
troublc. Shc told mc that lor a long timc shc had no idca that hc was miss
ing classcs, bccausc thc school ncvcr communicatcd with hcr. Tcn shc startcd
doing homcwork with him cvcry night and making surc hc attcndcd classcs.
Hc was a star socccr playcr at his school, which providcd a strong inccntivc not
to drop out. Hc has a scholarship lrom a socccr school run by a wcllknown
local playcr and has alrcady travclcd to Switzcrland with his tcam to participatc
in an intcrnational compctition. Vandclina proudly displaycd his socccr pho
tos with various lamous pcoplc, including lormcr U.S. prcsidcnt Jimmy Cartcr.
Howcvcr, whcn ! wcnt to scc hcr in :oo8, shc said things had gottcn so lar out
ol hand that shc could no longcr havc him living at homc. Hc had droppcd out
ol school and was not workingjust looking lor troublc. Tcy lought con
stantly. Altcr his unclc Vancy dicd, hc wcnt to livc at his grandlathcrs housc in
!raj. As soon as hc is +8 hc can go into military scrvicc, which will bc a rclicl
lor him and thc cntirc lamily.
Zs youngcst son, Vandincy, attcndcd a univcrsity lor a lcw ycars but ncvcr
nishcd. Hc livcs in Santa Cruz (Vcst Zonc) and works lor thc statc motor
vchiclc burcau. Hc is thc only onc who, likc his lathcr, bccamc involvcd in local
politics. Hc has ncvcr marricd or had childrcn, but hc has bccn with thc samc
girllricnd lor two ycars. Tc lamily is hoping that hc will gct marricd.
8oth ol Z Cabos daughtcrs lrom his union with Maria arc still living in
Nova 8raslia in Zs housc, which hc put in thcir mothcrs namc so thcy could
inhcrit it. Sandra, thc rst daughtcr, nishcd high school and took a computcr
coursc at thc Scrvicc Nacional dc Aprcndizagcm !ndustrial (National Tcchni
cal School) but is still uncmploycd. Shc is a singlc mothcr and is raising two
daughtcrs, Carolinc and Catarina. Solangc, Marias youngcr daughtcr, ncvcr
nishcd junior high school. Shc workcd at thc bingo gamc until it was closcd
and thcn travclcd to othcr bingo gamcs until cach, in turn, closcd as wcll. Shc
has had thrcc childrcn in thc past thrcc ycars, and thc lathcr, a salcsman, stays
with hcr and thc childrcn on a parttimc basis. Z continucs to hclp both ol
thcm with cxpcnscs.
xov~ nv~s ii ~ :ou~v
uring a convcrsation in :oo8, ! askcd Z whcthcr hc kccps up with what is
happcning in Nova 8raslia. Hc docs, ol coursc. Hc told mc that thcrc is now a
pcrmancnt policc station up in thc Alvorado arca, hcadcd by thc commandantc
(commandcr) ol thc Tird 8attalion. 8ut this has not providcd any protcction
lor thc rcsidcnts, sincc thc policc arc alraid to comc out ol thc policc station.
N O V A B R A S I L I A [ 1 1 5 ]
Tc cnormous watcr storagc lacility that Z had hopcd to turn into a ncw
Rcsidcnts Association with a day carc ccntcr, schools (clcmcntary, prolcssional,
and tcchnical), a clinic, and an outdoor youth sports lacility has now bccomc an
cvangclical church surroundcd by a hugc parking lot.
! askcd him what hc thought ol thc ncw prcsidcnt ol thc Rcsidcnts Associa
tion, who had bccn so politc to mc whcn ! rcqucstcd pcrmission to takc photos
ol thc arca. According to Z, thc ncw prcsidcnt is an associatc ol onc ol thc
most powcrlul drug lords in thc countrywho rulcs lrom jail. !l anyonc hc has
placcd in lcadcrship positions lails to carry out ordcrs, thcy arc cxccutcd as an
cxamplc lor othcrs.
Z also told mc that thc Forca Nacional dc Scguranca (National Sccurity
Forcc) occupicd Nova 8raslia lor almost thrcc ycars. Tcy built a sandbag bar
ricadc at thc cntrancc to Nova 8raslia and took up positions bchind it with
rics loadcd and pointcd into and out ol thc lavcla. According to Z, that
did not stop thc drug tra c highcr on thc hillsidc, but quictcd it down at thc
cntrancc arca.
!n carly ctobcr :oo8, thc biggcst conict in thc lavcla was about thc
highly contcstcd mayoral clcction coming up on Sunday, ctobcr . uring
political campaigns, thc drug gangs makc dcals to dclivcr votcs to ccrtain
candidatcs and will go to any lcngths to do so. !t is illcgal to put up postcrs
or placards lor political candidatcs without having a pcrson thcrc at all timcs,
but thc community was covcrcd with such postings. Policc kcpt coming in
to tcar thcm down, and bclorc thcy had nishcd morc would go up in thcir
placc. To maintain pcacc and ordcr in this chargcd political climatc, thc
National Sccurity Forccs wcrc scnt to Rio to occupy thc lavclas considcrcd
most pronc to violcncc.
Tc day ! wcnt to scc ona Rita, as ! was coming up thc Avcnida Nova 8ra
slia toward hcr shopwithout my camcrathcrc stood thc troops cn massc.
rcsscd in tanandgrccn camouagc unilorms with matching bcrcts, high
boots, and rics, thc young mcn appcarcd slightly cmbarrasscd as thcy marchcd
up and down thc cobblcstonc strcct ol Avcnida Nova 8raslia in lormation, vc
or six abrcast. Tc rcsidcnts, going about thcir daily chorcs, ignorcd thcm. Somc
rcsidcnts said thcy apprcciatcd thc littlc spacc ol pcacc crcatcd by thc soldicrs
vcry visiblc prcscnccwhich would continuc until clcction day and through
any runos.
Part ol thc program ol this occupation was to crcatc goodwill in thc com
munity by ocring various lrcc scrviccs to community mcmbcrs. Tc inno
ccnt young mcn with thcir closcshavcn hcads wcrc doing this as bcst thcy
could. Tcy had sct up lolding tablcs and chairs in thc Praa do Tcrco, whcrc
thcy wcrc ocring lrcc blood prcssurc and diabctcs tcsts lor rcsidcnts, hclp
ing thcm ll out lorms to gct lcgal documcnts, and providing various othcr
scrviccs. Tcy wcrc thcrc lrom ~.:. to v.:. cvcry day. Vhilc onc group
[ 1 1 6 ] F A V E L A
vicuvv . 8 Z Cabo as a young man scrving in thc Marinha (thc Navy) in thc +os.
scrvcd rcsidcnts, thc othcrs continucd marching up and down on thc lclt sidc
ol thc main strcct.
ona Rita gavc mc thc namc ol thc currcnt prcsidcnt ol thc Rcsidcnts
Association, and ! stoppcd thcrc to try to scc him on my way out. ! callcd and
knockcd on thc boltcd door, and somconc appcarcd on a sccondoor balcony
asking what ! wantcd. ! was lct in. Vhcn ! spokc with thc prcsidcnt, hc was
N O V A B R A S I L I A [ 1 1 7 ]
quitc intcrcstcd in my projcct, hc askcd lor photos ol thc community lrom
thc carly daysbclorc hc was born. Hc told mc thc public works dcpartmcnt
was in thc proccss ol installing largcr scwcr pipcs along thc Avcnida Nova
8raslia, as part ol thc nationwidc Programa dc Acclcraao do Crcscimcnto
(PAC, Program ol Accclcratcd Growth) that Prcsidcnt Lula launchcd in :oo.
vicuvv . Z Cabo as prcsidcnt ol thc Rcsidcnts Association ol Nova 8raslia in
thc +6os.
[ 1 1 8 ] F A V E L A
vicuvv . +o Z Cabo talking with mc on rool ol his housc in Nova 8raslia, +.
(Photo Michcl Filho/Ag Globo)
Hc ocrcd to accompany mc or a collcaguc whilc taking photos but hc ncvcr
camc through.
! was amazcd and cncouragcd to scc cxamplcs ol positivc govcrnmcnt ini
tiativcsthc rst that ! had sccn in my o ycars thcrc. !t was an cycopcning
glimpsc ol what it could bc likc in Nova 8raslia and clscwhcrc il thc gov
crnmcnt madc a sustaincd commitmcnt to pcacc and human scrviccs in thc
lavclas.
Z Cabo was morc cynical whcn ! askcd him about what ! had sccn and
about thc work ol thc ncw PAC. !n rcsponsc to my qucstion about whcthcr hc
thought that any govcrnmcnt program or politician would do somcthing posi
tivc lor Nova 8raslia, hc rcplicd, ! distrust all ol thcm lrom thc top to thc bot
tom, lrom thc policc to thc cvangclicals to thc national sccurity lorccs. . . . Vhcn
thcy trcat mc wcll, ! bccomc suspiciouscithcr thcy want my votc or want to
rob mc, or both . . .
Now that hc is too old to do all ol thc construction himscll and Vancy
has dicd, hc has to pay to contract labor to work on his housc, so it is in a
statc ol disarray. Hc gavc thc bcst room to thc aunt who camc to stay with
him bclorc shc dicd, and hc has kcpt it as it was whcn shc was still alivc
rathcr than going back to slccping thcrc. Altcr taking carc ol his community
and his lamily lor all ol thcsc ycars, hc is now having a hard timc taking carc
ol himscll.
N O V A B R A S I L I A [ 1 1 9 ]
His childrcn think thcir lathcr was a lool not to lcavc thc lavcla carlicr. Tcy
cant undcrstand why hc invcstcd so much timc and cort in thc lavcla rathcr
than in himscll. !t is hard lor thcm to undcrstand what lilc was likc in thosc
carly, hcady ycars, whcn thc humblc lolk (gente humilde) took on thc systcm
and won! !t is cvcn hardcr lor his succcsslul granddaughtcr Patricia to grasp
what that mcant.
vicuvv . ++ Z Cabo talking with mc at his dining room tablc in !raj, :oo8.
[ 1 2 0 ] F A V E L A
~vv :ni xcs nv::vv ou:si uv ov vio-
A handlul ol lamilics lrom Nova 8raslia lclt cvcrything bchind, ccing
lrom thc violcncc. Many who rcturncd to thcir homctowns havc cndcd up back
in Nova 8raslia, as thcy lound that thcrc was cvcn lcss work in thc countrysidc
than in thc city and that lood was similarly scarcc.
Figurc .+: shows onc lamily who movcd out ol Nova 8raslia a lcw ycars
ago and bought a small housc on thc urban lringc ol Joao Pcssoa, thc capital
ol thc statc ol Paraiba, in thc Northcast. Tcrc is no work lor thcm and lilc is
prctty dismal. 8cing accustomcd to a big city has madc it cvcn morc dcprcssing
to bc isolatcd and joblcss. Maria, thc original study participatc is in poor hcalth
and thcy havc ncithcr acccss to a clinic nor lunds lor mcdication.
Zs brothcr and his wilc movcd to Natal, thc capital ol Rio Grandc do Nortc.
Tcy bought land on thc outskirts ol thc city and built a lovcly twostory housc
with a tropical gardcn and tilcd vcranda. Tcy rcccivcd mc with grcat hospitality.
Tcy arc ablc to livc wcll thcrc on savings lrom thcir work in Rio and thcir rctirc
mcnt pcnsions. Tcy cvcn built a room with a scparatc bathroom lor Z Cabo
and havc askcd him rcpcatcdly to movc thcrc. Hc cnjoys visiting lor a month cach
ycar but cannot imaginc living thcrc. Hc insists hc would dic ol borcdom. Hc says
hc nccds thc movimcnto, thc rhythms and thc cncrgy ol thc big city.
vicuvv . +: A lamily lrom Nova 8raslia that wcnt back to thc countrysidc to cscapc
thc violcncc and arc having troublc surviving thcrc duc to lack ol work.
f i .e
Duque de Caxias
v~vvi~s ~xu io:v~:vx:os
Just as spacc and mcaning arc dcncd and rcdcncd by usc, thc physical aspccts
ol a community rccct how lilc is livcd within it. 8oth thc tcxt and subtcxt ol a
poignant human story arc rcvcalcd in thc lollowing photographsand thc way
onc obscurcs and thcn rcvcals thc othcr is thc kcy to undcrstanding lilc in \ila
pcrria, onc ol thc Caxias in our lavclas study.
Vhat ! noticcd immcdiatcly on my rcturn to \ila pcrria altcr o ycars
wcrc thc solid brick houscs, ccramic tilc rools, clcctric and tclcphonc wircs, and
improvcd plaza and sports lacility. As ! lookcd up thc hillsidc, ! saw how dcnsc
thc community had bccomc, how thc homcs had bccn improvcd, and how thc
majority ol thcm had addcd sccond and third storics with watcr tanks and
satcllitc dishcs on thc topand an occasional boy ying a kitc (gurc .). Tc
ncw church caught my cyc, as did thc way thc ccntral plaza had bccn rcnovatcd,
pavcd, and paintcd (gurc .).
Vhat wasnt noticcablc at rst glancc was thc ncarly total abscncc ol pcoplc,
cvcn in thc middlc ol thc day, on normally highly populatcd strccts. A closc
look at thcsc photographs in this chaptcr rcvcals that thcrc is no onc going
up thc stcps to thc houscs on thc hill bchind thc plaza, not a singlc pcrson is
playing sports or going in or out ol thc community ccntcr. Tc lcw pcoplc on
[ 1 2 2 ] F A V E L A
thc strcct in lront ol thc ccntcr arc not rclating to cach othcr. Vhcrc did thc
conviviality go:
Tirty ycars ago, thc strccts wcrc bustling with activity and thc plaza
crowdcd with pcoplc stopping to chat on thcir way to and lrom work, school,
sports, shopping, or running crrands. Tcrc was an amuscmcnt park thcrc (g
urc .). Now thcrc is only abscncc, a scnsc ol articiality. Vhat would havc
bccn abnormal has bccomc normal. Tis lavcla is in a statc ol sicgc. vcryonc is
bchind closcd doors, lockcd gatcs, and grillcd windows. !l you could look morc
closcly, you would scc bullct holcs picrcing thc sidc ol thc community ccntcr
and bloodstains on thc sidcwalk in lront ol it. Tcsc photos rcvcal what it is likc
to livc with violcncc. !n that way, thc story ol Caxias is not unlikc thc storics ol
Catacumba or Nova 8raslia.
Tc photos ol janira (gurcs .+ and .:), a spiritcd community activist !
mct in +6, arc rcvcaling. !n thc rst photo, shc stands strong and proud in
lront ol thc school shc succcsslully lought lor. !n thc sccond, takcn with mc in
:oo in lront ol hcr housc, shc is hard to rccognizc as thc samc woman. Hcr
lacial cxprcssion and body languagc communicatc dclcat and dcspair. !t is not
just that shc has grown oldcr. !n hcr posturc, thcrc is a scnsc ol grim rcsignation.
Shc has dccidcd that shc can no longcr livc in thc homc shc built and sharcd
with scvcral ol hcr : siblings, in which shc raiscd hcr +o childrcn, which shc
cxpandcd to makc apartmcnts lor two ol hcr daughtcrs and thcir lamilics, and
vicuvv . + janira (lclt) with schooltcachcr, +68, in lront ol thc Municipal School
ol \ila pcrria, +68.
D U Q U E D E C A X I A S [ 1 2 3 ]
whcrc shc has carcd lor hcr inrm aunt and disablcd son. Shc wants to movc
away il shc can. !t is too dangcrous.
Altcr many ycars ol litigation, janira was ablc to provc through NA tcst
ing that Jos 8arbosa, hcr latc companion and lcllow activist, was thc lathcr ol
lour ol hcr childrcn. As his commonlaw widow, shc is cntitlcd to rcccivc his
statc pcnsion lor his thrcc tcrms ol scrvicc on thc City Council. His childrcn
vicuvv . : janira with mc in lront ol hcr housc in \ila pcrria, :oo.
vicuvv . \ila pcrria Amuscmcnt Park was uscd to raisc lunds lor a prolcssional
schooltcachcr. A mcmbcr ol our rcscarch tcam (lclt) and our kombi drivcr (right) arc in thc
lorcground, scattcrcd shacks on thc hillsidc arc in thc background, +68.
vicuvv . \ila pcrria, :oo+. Tc samc houscs arc now multistory brick dwcllings
dcnscly packcd with clcctricity and phonc lincs visiblc.
D U Q U E D E C A X I A S [ 1 2 5 ]
will also bc cligiblc lor a portion ol his asscts. Hc had stock in Pctrobras, 8ank
ol 8rasil, Light, Corrcios, and Tclcmar. Tc Justicc cpartmcnt rcluscd to
bclicvc that somconc with asscts likc thosc could bc thc partncr ol a woman in
\ila pcrria, a woman who has rcsortcd to crochcting covcrs lor tissuc boxcs
and dccorating baskcts to makc cnds mcct. Tcy disputcd thc validity ol thc
land titlc shc showcd thcm. And thcy wcrc incrcdulous that shc and hcr ncigh
bors had bccn paying !PTU (land taxcs) sincc +8o. Tis kind ol bchavior did
not t thcir imagc ol lavcla rcsidcnts.
Vith thc moncy shc gcts lrom thc scttlcmcnt ol 8arbosas cstatc, shc will bc ablc
to movc to a salcr location, which will bc bcttcr lor hcr physical and mcntal hcalth.
vicuvv . Tc community hcalth ccntcr and cncloscd socccr cld, built in :ooo
on thc plaza whcrc thc amuscmcnt park oncc stood, arc lockcd and cmpty duc to thc
drugrclatcd violcncc.
[ 1 2 6 ] F A V E L A
8ut, cvcn altcr thc NA prool, thc proccss was still dragging on as ol ctobcr
:oo8. !n ordcr to cxpcditc mattcrs, janira and 8arbosas childrcn lrom his rst
wilc had agrccd on thc division ol his asscts and had contractcd thc samc lawycr to
rcprcscnt all ol thcm in scttling thc mattcr. Still, no rcsolution is lorthcoming.
vi xui xc uj~xi v~
Vhcn ! rcturncd to Rio in +, ! kncw it would bc di cult to nd janira.
Tc community in which shc had livcd was an intcntional scttlcmcnt, an
organizcd squattcr community that thc pcoplc callcd \ila !dal (!dcal \ila)
or \ila pcrria (Vorkcrs \ila).
1
! did not know whcthcr shc was still alivc,
still thcrc, or cvcn whcthcr thc lavcla had thc samc namc. ! couldnt rcmcmbcr
cxactly how to nd hcr housc, as ! had bccn back only a lcw timcs sincc +.
Unlikc thc othcr sitcs in this study, uquc dc Caxias, rclcrrcd to simply as
Caxias, is not a lavcla but an cntirc municipality, onc ol +6 that now comprisc
thc 8aixada Flumincnsc (thc statc ol Rio Lowlands, callcd thc 8aixada). Caxias
is lurthcr lrom thc ccntcr ol Rio than thc othcr study sitcs and thc most conlus
ing to navigatc. At thc timc ol my original study, it was in a dicrcnt statcthc
statc ol Rio dc Jancirowhcrcas Catacumba and Nova 8raslia wcrc in thc
statc ol Guanabara, which scrvcd as thc lcdcral district whcn thc city ol Rio
was thc national capital.
2
! was intcrcstcd in what dicrcncc homc owncrship madc in thc livcs ol thc
urban poor, and sclccting thc municipality ol Caxias gavc mc an opportunity to
cxplorc that qucstion. Tc municipality was rclativcly ncw and largcly unscttlcd,
and land valucs wcrc vcry low in thc undcvclopcd arcas. Tcsc pcriphcral ncigh
borhoods, which had no running watcr, clcctricity, pavcd roads, or othcr urban
scrviccs, wcrc subdividcd into small plots ol land which wcrc callcd loteamen-
tos no-urbani.ados (unscrviccd lots). ! sct up a quasicxpcrimcntal dcsign by
dividing thc samplc bctwccn such lotcamcntos and lavclas. ! uscd municipal
maps to dctcrminc thc vc poorcst subdivisions and comparcd thcm with thc
thrcc lavclas in thc municipality at thc timc. Figurc .6 shows thcsc sclcctcd
ncighborhoods and lavclas.
Unlikc thc lavclas, thc lotcamcntos providcd an opportunity lor migrants to
invcst what littlc thcy had in owning land or in rcnting lrom anothcr owncr on
a lcgal basis. Tc downsidc was that this lclt thcm with lcss moncy to usc lor
building thcir homcs, buying lood and mcdicinc, or paying school costs. Tc
lavcla option mcant bcttcr lood and shcltcr in thc short run, but morc insccu
rity in thc long run. ! was curious to know which would provc to bc thc bcttcr
stratcgy in thc long run.
janira did not havc a phonc, and thcrc was no onc ! kncw in Rio who
kncw hcr, so my only rccoursc was to scarch lor hcr housc and hopc shc was
still thcrc. ! brought old photos ol hcr standing in lront ol hcr housc with hcr
D U Q U E D E C A X I A S [ 1 2 7 ]
vicuvv . 6 Map ol Caxias (+68) indicating thc namcs and locations ol thc ncighbor
hoods and lavclas.
[ 1 2 8 ] F A V E L A
childrcn and in lront ol thc school ncxt door. ! also brought thc photo ol thc
amuscmcnt park that thc Rcsidcnts Association had sct up to raisc moncy lor
tcachcrs at thcir school.
Sincc !d last visitcd thc arca, Zumba, a local lcadcr wcll known lor his progrcs
sivc positions, had bccn clcctcd to thc City Council. Hc was thc only Labor Party
candidatc to makc itthc only nonwhitc and nonclitc among all :+ vcrcadorcs. !
wcnt dircctly to thc Scdc Municipal (municipal scat) to look lor him. Tc building
had bccn translormcd lrom a grccnish boxy structurc to a shiny silvcr onc with a
slightly modcrnist lacadc and a morc imposing cntrancc (scc gurcs . and .8).
Tc rcccptionist, straightcning out hcr unilorm and sitting up a bit tallcr,
inlormcd mc that without an appointmcnt it would bc impossiblc to scc
Zumba. ! cxplaincd that ! had comc vcry lar and askcd hcr whcthcr just this
oncc, it might bc possiblc lor mc to spcak with somconc lrom his sta so that
! might rcqucst an appointmcnt.
Altcr insisting that this was not usually donc, shc callcd back to Zumbas
o cc, and hc camc right out to scc lor himscll what in thc world an Amcrican
woman might bc doing in this provincial town hall, in thc swcltcring hcat ol
thc 8aixada summcr. ! was prcparcd to cxplain myscll, but as soon as ! mcn
tioncd my namc, hc said,
vicuvv . Caxias City Hall, thc curvcd building on thc right with a gardcn in lront,
+68.
D U Q U E D E C A X I A S [ 1 2 9 ]
Ycs, ! know who you arc . . . You wcrc hcrc a long timc ago and our librarian
still talks about youshc still works hcrc!ll call hcr. ! was vcry young at
that timc, but ! rcmcmbcr your rcscarch! havc your book in my o cc. How
many pcoplc do you think cvcn kncw about Caxias back thcn:! Vc lcarncd
somcthing about our own rcality lrom you. !t took an outsidcr to put us on thc
map. 8clorc that all anyonc cvcr hcard about us hcrc was Tcnorio Cavalcanti
|thc rst clcctcd statc dcputy lrom thc 8aixada| and thc esquadros da morte
|dcath squads|.
!n a mattcr ol minutcs, wc wcrc sharing storics ovcr calzinho in thc dimly
lit, airconditioncd conlcrcncc room, and Zumba was bringing in his young
assistants to mcct mc and pulling out old photographs. nc ol thc studcnts,
Flavia, livcd in \ila pcrria, just up thc strcct lrom janira, and ocrcd to
takc mc to hcr housc. ncc ! had mct cvcryonc and promiscd to rcturn lor a
longcr discussion, ! lollowcd Flavia to \ila pcrria.
!t lclt as though ! wcrc in a timclapsc movic. Tc last timc ! had bccn
in Caxias, it had thc air ol a small provincial town. Tc cntirc municipality
had only onc bairro nobre (classy ncighborhood), thc : de ugusto. Now, on
vicuvv . 8 Caxias City Hall, :oo, with sccurity barricrs and pavcmcnt rcplacing thc
gardcn. Tc lront ol thc building rcads Cmcra Municipal dc uquc dc Caxias and thc
sidc lists a thcatcr, a public rcading room, and a historic archivc.
[ 1 3 0 ] F A V E L A
our way to \ila pcrria, wc passcd through : dc Augusto, and thcrc wc
cncountcrcd signs ol dramatic growth: wc crosscd a major thoroughlarc llcd
with tra c and outttcd with statcolthcart pcdcstrian pathways, signals,
signagc, and lighting, and cntcrcd thc small ncighborhood park, which had
bccn translormcd lrom a hard dirt arca with a lcw bcnchcs and a lcw trccs
into an oddly clcan and shiny public spacc. Tc childrcns playground arca had
bright rcdandycllow structurcs lor climbing and sliding, and on thc right
ol thc diagonal pathway dividing thc spacc wcrc scvcral brightly paintcd hcx
agonal tablcs whcrc adults could congrcgatc undcr thc shadc ol indcstructiblc
mctal umbrcllas. Tc trccs wcrc gonc! supposc thcy wcrcnt part ol thc
dcsign plan.
Altcr walking lor anothcr +o or + minutcs, wc cntcrcd onc ol thc poor
cst arcas ol thc city. Tc pavcmcnt gavc way to a gravclly road surlacc, and thc
smcll ol lcar was palpablc as soon as wc turncd thc corncr into \ila pcrria.
Vomcn camc out ol shops clutching thcir groccrics and thcir purscs, looking
in cvcry dircction at oncc. A lcw young mcn slouchcd mcnacingly in lront ol
thc birosca on thc corncr.
Yct cvcn hcrc, thc physical improvcmcnts sincc my last visit wcrc imprcssivc.
Vhcrc thcrc had bccn an opcn cld was a bright ycllowandbluc community
ccntcr, with an asphalt socccr cld in lront ol it and a clinic sign ovcr onc ol thc
sidc doors. All ol this was cncirclcd by a barbcdwirc lcncc with a lockcd gatc.
! soon lound out that thc ccntcr had rcmaincd lockcd sincc it was rcnovatcd in
:ooo, duc to sccurity conccrns. Tc prccarious shacks on thc hillsidc bchind
thc sports ccntcr had bccn rcplaccd by solid brick homcs with glass windows
covcrcd by iron gratcs. Tc wholc story ol \ila pcrria cxistcd in that vista:
morc amcnitics, lcss sccurity.
To our lclt was thc cntrancc to thc strcct whcrc janira livcd. n my own,
! would havc misscd hcr housc cntircly. Vhcrc thcrc had bccn an opcn gardcn
with lruit trccs, owcring vincs, and songbirds, thcrc was a high, grcy mctal
wall with a lockcd and boltcd gatc. Vc prcsscd thc buzzcr and bangcd on thc
door. !t took quitc awhilc bclorc anyonc appcarcd. vidcntly, onc ol thc young
childrcn ol thc housc had bccn dispatchcd to thc sccondoor tcrracc to scc
who was thcrc bclorc daring to opcn thc gatc. A ncw lcar, not prcscnt whcn
! had livcd thcrc, pcrmcatcd cvcry aspcct and had crcpt into cvcry gcsturc ol
daily lilc.
janira burst out crying and laughing whcn shc rccognizcd mc! !n minutcs,
wc wcrc hugging and chatting and swapping clothing as though it had bccn
only ycstcrday that ! had bccn thcrc. Shc did not look wcll. Hcr lilc had bccn
particularly di cult ovcr thc ycars whcn shc had bccn trying lruitlcssly to claim
thc asscts Jos had lclt lor hcr and thcir childrcn. Shc was worricd about thc
hcalth ol hcr :ycarold daughtcr, Janissc (my namcsakc), who was trying
unsucccsslully to collcct disability lor thc lung condition shc had dcvclopcd
D U Q U E D E C A X I A S [ 1 3 1 ]
altcr ycars ol public cmploymcnt spraying T lrom a canistcr shc carricd on
hcr back.
:nv s:ovv ov c~xi ~s
\ila pcrria, whcrc janira still livcs, is onc ol thc thrcc lavclas and vc sub
divisions includcd in my original study in uquc dc Caxias. nc hundrcd ol
thc :oopcrson random samplc had bccn choscn proportionally lrom thc lavc
las and thc othcr hundrcd lrom thc lotcamcntos. Tcsc cight locations rcprc
scntcd thc poorcst arcas in thc cntirc municipality. As shown in gurc .6, thc
thrcc lavclas (labclcd A, 8, and C) wcrc Favcla Ccntral, Favcla do Manguc (also
callcd 8ciraMar), and \ila pcrria. Tc vc lcast dcvclopcd subdivisions
wcrc lavo 8ilac, Sao Scbastiao, Sarapu, \ila Lcopoldina, and Ccntcnrio. !n
:oo+, wc sclcctcd onc sitc lor thc RP, as it was not lcasiblc to conduct such
an claboratc cvcnt in morc than onc ol thc 8 communitics. 8ccausc ol janiras
archivcs, mcmory lor dctail, widc conncctions in thc community, and willing
ncss to givc hcr timc to this cndcavor, wc pickcd \ila pcrria lor thc historical
rcconstruction and qualitativc aspccts ol thc Caxias rcstudy.
uquc dc Caxias is onc ol thc most rapidly growing municipalitics in
thc statc ol Rio dc Janciro. Until its indcpcndcncc in +, it was part ol thc
adjaccnt municipality, Nova !guau. At thc timc ol thc rst study, thcrc wcrc
only a handlul ol municipalitics in thc 8aixada Flumincnsc. At last count
thcrc arc +6.
Until thc rst hall ol thc twcnticth ccntury, thc 8aixada was an arca ol thinly
populatcd swamps, somc ol thcm locatcd bclow sca lcvcl. uring colonial timcs,
sugar canc plantations wcrc cxpandcd around thc bay, but lowland arcas could
not bc cxploitcd until thc carly ninctccnth ccntury, with thc introduction ol ncw
drainagc tcchniqucs. As thc importancc ol sugar canc plantations dccrcascd,
slavc labor bccamc scarcc, and morc lcrtilc lands clscwhcrc wcrc cxplorcdthc
cntirc 8aixada bccamc impovcrishcd. Vhcn thc rivcrs bccamc obstructcd, thc
wholc arca turncd into a big swamp. Malaria sprcad cvcrywhcrc, and many ol
thc rcsidcnts wcrc lorccd to lcavc. !t was not until thc +os that thc govcrn
mcnt took mcasurcs to improvc sanitation and providc lrcsh watcr through thc
city systcm. Shortly thcrcaltcr, thc cxtcnsion ol thc railway linc ol Lcopoldina
and thc construction ol thc RioPctrpolis road gavc ncw lilc to thc arca, and
its population startcd to incrcasc.
Starting in thc mid+os, thc 8aixada gradually bccamc an cxpansion arca
lor thc city ol Rio. !ntcnsivc usc ol thc land lor rcsidcntial and industrial pur
poscs brought about a dramatic risc in population dcnsity. !mmigrants who
arrivcd in thc city with vcry littlc moncy and no contacts oltcn cndcd up sct
tling in thc 8aixada, whcrc work opportunitics wcrc cxpanding and costs wcrc
minimal. Growth rosc rapidly in thc +6os and +os and has continucd to
[ 1 3 2 ] F A V E L A
risc. Tc population has incrcascd lrom o,ooo in +o to 668,ooo in ++ to
6,ooo in :ooo.
At thc samc timc, Caxias was bccoming a major industrial ccntcr. 8y thc
turn ol thc ccntury it accountcd lor ovcr :o pcrccnt ol industrial production ol
Rio Statc. Tc national oil company, Pctrobrs, inauguratcd an oil rcncry in
Caxias in +6 (still activc today) that was thc largcst onc in thc country at that
timc. Pctrobrs in turn attractcd othcr industrics, including a synthctic rubbcr
plant, a National Motor Company lactory, and produccrs ol pharmaccuticals,
chcmicals, mctallurgy, and clcctric motors. Nincty pcrccnt ol this local industry
was owncd by thc national govcrnmcnt. Tis translormcd Caxias lrom a bcd
room community lor commutcrs who workcd in Rio into an industrial hub ol
its own, and thcn into a commcrcial ccntcr as wcll.
uring thc military dictatorship, as part ol thc Filth !nstitutional Act, Cax
ias was dcclarcd an arca ol national sccurity, duc to thc critical importancc ol
thc oil rcncry and othcr industrics thcrc, and most likcly as a way to prcvcnt
any political or labor organizing against thc rcgimc. Tus, likc thc mctropolitan
capital citics ol thc country, thc mayor was appointcd by thc military.
:nv s:ovv ov vi i~ ovvv~vi ~
\ila pcrria is not a typical lavcla. !n a way, it is not a lavcla at all, dcspitc
bcing classicd and trcatcd as such. !n +6: thc owncr ccdcd thc land to thc
+o lamilics who had occupicd it, and improvcd it, lought lor thc right to
rcmain thcrc. !n +8o, thc municipality o cially grantcd thc rcsidcnts land
titlc. Tcy pay municipal taxcs on thcir propcrtyand takc pridc in showing
thcir titlc papcrs and tax rcccipts. Noncthclcss, thc community bcgan as a land
invasion, thc titlc papcrs arc not always honorcd, and it is considcrcd a lavcla
by thc govcrnmcnt.
Tc largc plot ol land that bccamc \ila pcrria was originally owncd by
Gcnach Chadrycki, a rich mincr lrom Poland who purchascd it but ncvcr livcd
thcrc. !n +, a group ol +o mcn, lcd by Jos 8arbosa, organizcd thc +o lami
lics to occupy a piccc ol it, sclccting an ovcrgrown, inacccssiblc tract that was
not highly dcsirablc. Tcy got bricks donatcd lrom a brick lactory in lara and
wood donatcd lrom Pctrobrs, and distributcd thcsc building matcrials to cach
lamily. janira said 8arbosa insistcd that only brick bc uscd in thc construction
ol thc houscs so that thcy would bc pcrmancnt homcs, distinct lrom barracos
in lavclas and thus lcss likcly to bc dcmolishcd.
janira dcscribcd thc crcation ol \ila pcrria as lollows:
Tc arca whcrc wc arc living now was a lctid swamp. Tcrc wcrc largc numbcrs
ol poor pcoplc living on thc strccts, prcgnant womcn, young childrcn, and so
on. . . . 8arbosa said hc could not bcar to scc such sucring. Hc mobilizcd thc mcn
D U Q U E D E C A X I A S [ 1 3 3 ]
and got machincs to clcar thc land and lay out thc main strccts. Hall ol thc strccts
wcrc crcatcd by machincry and hall by mutiro (collcctivc scllhclp or mutual
aid). Tc mcn and boys did most ol thc hcavy labor, and wc womcn cookcd up
immcnsc quantitics ol lood and brought it to thc sitc along with cold drinksits
so hot hcrc, as you know.
Vc got thc support ol thc most powcrlul political gurc in thc arcaTcnorio
Cavalcanti, you know, thc statc dcputy. 8y +6o, thc strccts wcrc opcn, and about
+o lamilics wcrc living hcrc. Vc callcd it \ila pcrria bccausc cvcryonc living
hcrc was a workcr. Vc did not pcrmit anyonc with a policc rccord or a rcputation
lor drinking or starting ghts to scttlc hcrc.
Tcnrio Cavalcanti (+o6+8) was a gurc ol mythic proportionsadmircd
by somc, dctcstcd by othcrs, and lcarcd by all. Hc arrivcd in Caxias as a tccn
agcr lrom thc serto (droughtstrickcn backlands ol thc Northcast) at thc cnd
ol thc +:os, whcn thc cntirc arca was a mosquitoinlcstcd swamp with a lcw
packcdcarth roads crossing it. Hc rosc to bccomc statc dcputythc rst lrom
thc 8aixadaand bccausc ol his hclp to thc thousands ol migrants who lollowcd,
had su cicnt clcctoral clout to bc clcctcd lcdcral dcputy.
Hc always worc a black capc, was always armcd, and always had his body
guards with him. Hc was an oldstylc populist lcadcr, ablc to buy votcs by giving
out lood or cash, transporting pcoplc to thc polls, and hclping lamilics and indi
viduals in timcs ol cmcrgcncy. His admircrs callcd him Rci da 8aixadathc
King ol thc 8aixada, his dctractors callcd him cputado Pistolcirothc
Pistolshooting cputy. (!t is said that hc thought nothing ol shooting his cnc
mics.) !n +6o, in thc last opcn clcctions bclorc thc coup, hc ran lor govcrnor ol
thc statc ol Rio and lost to Carlos Laccrda.
Hc livcd on an cnormous cstatc surroundcd by a moatcomplctc with a
drawbridgc. Vhcn hc gavc mc thc tour ol his propcrty, thc things hc was most
proud ol wcrc his zoological and botanical gardcns and thc varicty ol cxotic birds
hc kcpt. His lilc inspircd thc lm O Homen da Capa Preta (Tc man in thc black
capc), which camc out in +86, thc ycar bclorc hc dicd.
Fivc ycars altcr thc initial occupation ol \ila pcrria, in +6:, Chadry
cki, thc land owncr, rcturncd. Hc mct with 8arbosa. !n janiras words, Tcy
lormcd a good rclationship, and Chadrycki agrccd to ccdc his land to thc pco
plc living thcrc. Hc obtaincd o cial govcrnmcnt authorization to do so. ach
lamily who had supportcd 8arbosa got lcgal titlc papcrs to thcir land.
!n that way, \ila pcrria was o cially loundcd on April +, +6:, and
its Rcsidcnts Association was inauguratcd thc samc day. !t was agrccd that
clcctions would bc hcld cvcry lour ycars. Stcps would bc takcn to acquirc an
ambulancc, watcr, clcctricity, postal box, and school. !n a conccrtcd cort to
prcvcnt thc community lrom bccoming a lavcla, thc lcadcrs drcw up a sct ol
[ 1 3 4 ] F A V E L A
statutcs lor thc community that cvcry lamily agrccd to sign. Tcy spccicd that
no onc with a policc rccord would bc allowcd to scttlc thcrc and no unlawlul
acts would bc tolcratcd. Propcrty was to bc rcgistcrcd in thc namc ol thc lcmalc
hcad ol houschold, so that in thc cvcnt ol a divorcc, thc man would bc thc onc
who would havc to lcavc. A lamily council was crcatcd to mcdiatc marriagc
conicts and disputcs, and cvcry attcmpt was madc to crcatc an idcal commu
nity lor workingclass lamilics. To this day many pcoplc rclcr to thc community
as \ila !dal.
Just onc ycar latcr, in +6, 8razils National Housing 8ank tricd to cvict thc
scttlcrs lrom thc land. Tcir battlc to stay thcrc lastcd lor scvcn ycars. Tc bank
had a strong intcrcst in rcmoving thcm, bccausc ol \ila pcrrias proximity
to thc alorcmcntioncd wcalthy ncighborhood ol : dc Augusto. My lricnds
tcll ol onc occasion whcn thc National Housing 8ank scnt armcd agcnts to try
to rcmovc thc rcsidcnts, or pcrsuadc thcm to lcavc, and thc mcn, womcn, and
childrcn togcthcr lought back with wood, stoncs, and bricks.
Somc ol thc things janira rccountcd in our intcrvicws wcrc strangcr than
ction:
8arbosa ran lor vcrcador and was clcctcd thrcc timcs. Pcoplc rcally wantcd an insidcr
rcprcscnting thcm politically. !n +o, whcn thc dictatorship was in powcr, hc was
thrown in jail with a pig (litcrally). Tc politicos wantcd him isolatcd. Tcy accuscd
him ol bcing a communist cvcn though hc was a dcvout Catholic. Vhcn thcy took
him to jail, ! wcnt with him. ! was cxpccting and my baby was about duc.
Many community mcmbcrs camc to thc jail to support him. Tc policc trcatcd
us vcry rudcly: wc wcrc not allowcd to drink thc watcr or usc thc bathrooms.
Vhilc wc wcrc waiting to scc what thcy would do with him, my watcr brokc, and
! ncarly gavc birth right thcrc. !t was 8arbosas baby, and his wilc camc to hclp
mc and took mc to thc hospital.
Tc baby was born hcalthy, which was wondcrlul, but that was a bad ycar lor
us. Vc wcrc thrcatcncd with rcmoval by a candidatc lor vcrcador namcd Armando
Mclo dc Frana, and all thc rcsidcnts camc down to ght against his candidacy.
His supportcrs wcrc thcrc, too! will ncvcr lorgct it. nc ycllcd at mc and said !
was uma mulher tomada pelo diabo |a woman posscsscd by thc dcvil|.
Land titlc was a constant issuc. Tc community mcmbcrs showcd mc thc
titlcs to thcir homcs. Tc titling proccss, supposcdly scttlcd lor thc rst +o
lamilics in +6:, was takcn up ancw and contcstcd lor clcvcn ycars+ to
+8. ach lamily o cially owns onc lot. janiras is numbcr . Nowadays,
bccausc ol thc drugs and violcncc, thc land in \ila pcrria isnt worth what
it was carlicr.
Sincc thc invasion ol thcsc bandidos, wc havc no lrccdom, shc says. No
onc can gct a job il thcy livc hcrc, no mattcr what. To makc cnds mcct,
janira was trying to scll mailordcr clothing by tclcphonc, lor which shc
D U Q U E D E C A X I A S [ 1 3 5 ]
would carn +o pcrccnt ol salcs. 8ut altcr paying hcr phonc bill, shc was lclt
with almost nothing. Hcr son, who was disablcd in a bus accidcnt, uscd to
scll hard candics in lront ol hcr housc, but it bccamc too dangcrous lor him
to go out thcrc.
vioivxcv cn~xcvu :nv i~xusc~vv
Tc violcncc associatcd with thc 8aixada has always includcd political violcncc,
that is, violcncc in thc disputc lor powcr. cath squads composcd ol lormcr
policcmcn and organizcd by tradcsmcn and local lcadcrs havc actcd lrccly lor
dccadcs, killing pctty criminals or rival lcadcrs. Tcrc was a popular rcvolt in
+6:, against hoardcrs and spcculators ol basic commoditics, in which salcsmcn
wcrc attackcd. Tis is gcncrally considcrcd thc starting point ol thc militias and
vigilantc groups. Homicidc ratcs in thc arca wcrc among thc highcst in thc
country, in Latin Amcrica, and in thc world. Killings arc so common that, as a
local rcsidcnt and graduatc studcnt told us, !n thc 8aixada you havc to kill six
or scvcn at oncc to gct into thc ncwspapcr.
3
!n cccmbcr :oo+, our rcscarch tcam hcld a daylong RP in \ila pcrria.
Tc rcsidcnts who participatcd told us that starting in thc carly +8os, thc indc
pcndcncc ol thc Rcsidcnts Association was thrcatcncd by thc drug dcalcrs. Tcn
ycars latcr, thcrc was no indcpcndcnt lcadcrship lclt in thc community, and in
:oo+ thc Rcsidcnts Association was closcd down altogcthcr by thc tra c. !t
happcncd whcn thc pcrson dcsignatcd as prcsidcnt by thc Commando \cr
mclho was challcngcd by a mcmbcr ol thc rival gang (Tcrcciro Commando).
Sincc thcn, thcrc has bccn no organization rcprcscnting community intcrcsts or
attcnding to thc nccds ol thc rcsidcnts. Tc hcalth clinic has rcmaincd closcd, as
thc carlicr onc had lunctioncd within thc Rcsidcnts Association building. For a
placc born out ol a solidarity movcmcnt and thc strugglc lor thc right to cxist,
it is a sad timc indccd.
uring thc RP, Nilo and Fcrnando, adult childrcn ol onc ol thc carly
rcsidcnts namcd Alaidc, told us ol thcir humiliation whcn thcy wcrc apply
ing lor work. Tcy had to givc a lalsc addrcss or bc sccn as bandidos (litcrally
bandits, but colloquially uscd to mcan drug tra ckcrs). !sabclla, a mothcr ol six
and grandmothcr ol lourtccn who is still working as a cook, rclatcd that whcn
shc bought a ncw rclrigcrator, thc storc rcluscd to dclivcr it oncc shc gavc hcr
addrcss. Tcy cannot pay anyonc cnough, thcy said, to gct thcm to vcnturc into
thcir community.
Vhcn ! askcd about thc policc station ! had sccn on thc highcr part ol thc
hill, Fcrnando told mc that thc policc arc alraid to conlront thc dcalcrs, who
havc morc sophisticatcd wcapons and morc pcoplc. Tc policc stay insidc thc
station and kccp a low prolc. Vhcn thcy cmcrgc, it is to support an organizcd
blitz, during which battalions ol Spccial Forccs in armorcd cars comc into
[ 1 3 6 ] F A V E L A
thc community on thc prctcxt ol capturing a dcalcr, butncrvous and druggcd
thcy cnd up shooting at random. As onc woman put it, a policc station is a
wastc sincc thc bandidos just nish thcm o. Tcrc was an imposinglooking
ncw church ncar thc policc station, but whcn ! wantcd to go up to scc it, cvcry
onc said it was much too dangcrous to go up that way.
As in all ol thc communitics ! studicd, cach subarca thinks that thc othcr
arcas arc morc dangcrous. Tcy all say aqui c tudo tranquilol c muito pcri
groso (hcrc it is vcry pcacclulovcr thcrc it is vcry dangcrous). Tat sccms
to bc just onc ol many coping mcchanisms lor gctting through cach day. Also
as in thc othcr communitics, lilc is rclativcly normal whilc onc drug laction is
indisputably in control, but whcn thc turl is contcstcd by a rival gang, or il thc
policc arrcst a gang lcadcr, an allout war cnsucs. Tc prisoncrs in thcsc wars
arc thc local inhabitants. Tc schools arc oltcn closcd, thc storcs arc closcd and
boardcd upand cvcryonc stays in thcir homcs, alraid to go out into thc strcct.
Tis statc ol sicgc can last lor days.
uring thc pcriod +8o, dircctly lollowing thc cnd ol thc dictatorship,
\ila pcrria was highly organizcd and activc, as wcrc othcr communitics in
Caxias, somc ol which brought Paulo Frcircs litcracy mcthods and thc tcaching
ol libcration thcology with thcm lrom thc Northcast. At that timc, pcoplc in
thc lavclas and thc NGs that workcd with thcm wcrc mobilizing lor social
justicc and rights. Tcy still had hopc that thcy would bccomc rcal citizcns in a
rcal dcmocracy with rcal accountability.
At thc cnd ol thc :oo+ RP mccting, thc rcsidcnts summcd up thc changcs
as lollows:
Tc cntrancc ol txicos (drugs), narcotra cking, and violcncc was thc cnd ol our
lrccdom, thc cnd ol our happincss.
Tc tra ckcrs took ovcr our Rcsidcnts Association, closcd down our commu
nity radio, and cvcn lorccd thc church to closcthc onc whcrc wc uscd to hold
our mcctings. Tcy thrcatcncd us with dcath il wc did not comply.
Var bctwccn thc Commando \crmclho and thc Tcrcciro Commandothc
Rcd Command and thc Tird Commandrobbcd us ol our salcty. !nnoccnt
pcoplc and childrcn arc always bcing killcd by balas perdidas (stray bullcts) or
caught in thc tiroteo (crossrc). Tc policc arc cvcn worscthcy just comc in and
shoot at any thing in thcir sight
Tc littlc oncs imitatc thc oldcr oncs and start taking drugs and cntcr thc tral
c, cvcn thc girls. Tcy gct prcgnant at +: or +, thcy abandon thcir childrcn to
bccomc thc girllricnd ol thc gang lcadcr.
uc to thc association ol violcncc and drugs with \ila pcrria, a madamc
thc lady ol thc houscdocsnt trust anyonc who livcs hcrc to work in hcr homc.
So many ol us womcn havc lost our jobs at thc samc timc thc mcn lost thcirs duc
to all thc lactory closings.
D U Q U E D E C A X I A S [ 1 3 7 ]
Tc last part ol thc RP, just bclorc wc scrvcd lunch lor thc participants,
was to dcnc prioritics lor thc community. Tc participants casily agrccd that
thc most prcssing nccds wcrc jobs, cducation, hcalth, sccurity, and a candidatc
whom wc could trust to dclcnd our intcrcsts in public o cc.
Vork was thc primary conccrn, and thc stigma ol living in \ila pcrria has
bccn a major obstaclc to gctting hircd. Pcoplc nccd jobs to rcplacc thc oncs lost
with thc lactory closurcs. Tcy arc willing to bc traincd lor thosc jobs but do
not know il or whcrc such hclp would bc availablc to thcm. For thcir childrcn
to havc good jobs in thc luturc, thcy wantcd school hours cxpandcd to a lull
day. 8ut thcy insistcd that cvcn lulltimc in school would bc ol no usc unlcss
thcy could attract bcttcr tcachcrswhich would rcquirc bcttcr pay and grcatcr
salcty.
Hcalth carc was a prcssing nccd. Sincc thc Rcsidcnts Association had bccn
closcd by thc tra c, thcrc was no placc lor thcm to gothcy dcspcratcly nccdcd
a clinic or hcalth post in thc community. Tcy said thcy did not havc an answcr
to thc problcm ol violcncc and that things had only gottcn worsc sincc thc mili
tia had bcgun cxtorting rcsidcnts lor cvcryday activitics such as thc dclivcry ol
thc gas canistcrs uscd lor cooking or using thc minivans that wcnt up into thc
lavcla hills. nc man summcd it up by saying, rcgaining our scnsc ol pcrsonal
salcty would hclp us rcgain our lrccdom to livc.
:nv s:ovv ov uj~xi v~
Tc story ol janira and hcr childrcn is cmblcmatic ol thc di cultics laccd and
not always ovcrcomc by lamilics likc hcrs.
8ccausc janiras incomc lalls bclow thc povcrty linc, shc is cntitlcd to
a monthly cesta bsica (basic lood baskct), but shc docsnt gct it. Tcrc is an
uno cial ccsta bsica handcd out at hcr church, containing itcms donatcd
by church mcmbcrs, but sincc cvcryoncs poor, thcrc arc hardly any donors,
and thcrc arc many in nccd. Tc oncs who go to church most arc thc oncs
who gct it. Vhcn shc cannot aord to pay hcr watcr bill, shc gcts watcr lrom
thc wcll, though shc knows it is contaminatcd. Shc docs somc cmbroidcring
and handicralts to makc a bit ol moncy, but what shc carns barcly covcrs
thc costs ol thc matcrials. Shc is currcntly living with onc ol hcr daughtcrs,
hcr son who was in thc accidcnt, his wilc, and lour grandchildrcn. Tcy arc
struggling.
Tis is a sorry statc ol aairs lor somconc who has comc so lar in hcr lilc.
janira was born in +, onc ol :6 childrcn. Hcr mothcr, a washcrwoman,
dicd whcn janira was scvcn, and hcr lathcr, a travcling salcsman, dicd two
ycars latcr. Likc most pcoplc in thc countrysidc in thcir gcncration, thcy wcrc
both illitcratc. janira madc hcr way to Rio and to \ila pcrria. Shc was
activc in thc crcation ol thc community and thc building ol thc school ncxt
[ 1 3 8 ] F A V E L A
door to hcr housc and carncd hcr living cooking merendas (lunchcs) lor thc
school childrcn and tcachcrs. Shc has +o childrcn and + grandchildrcn.
janira had only thrcc ycars ol schooling, and that always bothcrcd hcr.
So in +:, lour ycars altcr our rst mccting, shc wcnt back to school. Shc
was ycars old and alrcady had scvcn childrcnonc an inlant and anothcr a
ycar oldand thcrc was no adult cducation at that timc, so shc wcnt into thc
classroom with youngstcrs. Shc says shc was not ashamcd but proud to bc back
in school. Altcr complcting hcr sccondary school dcgrcc, shc bccamc a social
workcr and was cmploycd by thc municipal govcrnmcnt.
Lilc in \ila pcrria was improving, and hcr lilc improvcd during thc many
ycars whcn shc and 8arbosa wcrc togcthcr. Although thcy ncvcr o cially mar
ricd thcy sharcd a lilc, and hc was likc a lathcr to all ol hcr childrcn, lour ol
whom wcrc his.
To scc changc ovcr timc as rccctcd in this onc lamily as a microcosm ol
lavcla lilc onc nccd look no lurthcr than thc cducational and occupational lcvcls
ol janiras childrcn and thcir childrcn.
4
Hcr cldcst, Marco Antonio, who ncvcr complctcd high school, works in
thc municipal hcalth o cc. Hc has thrcc childrcn, two ol whom nishcd high
school and thc third won a scholarship lor thc prcvcstibular prcparatory coursc
and is now studying at thc Fcdcral Univcrsity ol Rio dc Janciro, onc ol thc
bcst univcrsitics in thc city. Janc Marcia only studicd lor thrcc ycars and is a
houscwilc who ncvcr had childrcn. Shc and hcr husband livc ncarby, and hc
carns cnough to gct thcm through. Marta Janctc thc ncxt got a dcgrcc in peda-
gogia (cducation) and now, altcr tcaching lor + ycars, is working in thc Caxias
Housing cpartmcnt. Shc has two childrcn, a daughtcr, now attcnding high
school and raising hcr baby, and a son who has nishcd his studics through high
school and cannot nd work.
Jorgc Luis is thc most succcsslul ol janiras childrcn. Hc is a lawycr and has
a succcsslul practicc in Japarcpagua. Hc has a child with his livcin girllricnd,
whom hc supports. Hc visits lrom timc to timc but has not hclpcd with his
mothcrs inhcritancc casc and docs not appcar to contributc to hcr houschold
cxpcnscs. Cclia Rcgina ncvcr complctcd high school and works as a clcrk at thc
local hospitalshc has two boys. Almir was hit by a bus whcn hc was young,
and ncvcr wcnt bcyond third gradc. Hc is marricd and has onc daughtcr, iana,
who is about to nish school and wants to bc a biologist. Raldo lclt school
altcr junior high, is a transportation inspcctor, and has thrcc childrcn, all in
school. Janissc, my namcsakc, is shown in gurc . with hcr mothcr. Shc had
only vc ycars ol schooling, workcd at thc municipal mosquito prcvcntion pro
gram (SUCAN) until it acctcd hcr lungs, ncvcr marricd, and adoptcd a littlc
girl. Shc livcs in a lcgalizcd, almost rural lotcamcnto about minutcs north
ol Caxias, on thc road to Pctropolis. Robcrto did not complctc high school
and also workcd lor SUCAN as a sanitation workcr and in pcst control. Tc
D U Q U E D E C A X I A S [ 1 3 9 ]
youngcst, Raqucl, is a houscwilc who ncvcr wcnt bcyond junior high. Among
janiras vc boys and vc girls, all but two (Raqucl and Almir) havc lormal
jobs with a carteira assinada (a signcd work card guarantccing thc lull rangc ol
workcrs bcncts)an cxccptional accomplishmcnt.
As sccn in thc lamily trcc (gurc .+o), janiras +o childrcn havc produccd
+ grandchildrcn. Six ol hcr childrcn havc no childrcn or just onc, thrcc ol hcr
childrcn havc just two childrcn, and onc, hcr cldcst, has thrcc childrcn.
5
Tis sharp drop in lamily sizc is charactcristic ol urbanizing populations.
!n thc city, whcrc mcdical carc and mcdical knowlcdgc arc morc acccssiblc,
thc ratcs ol inlant and child mortality drop. Vomcn who gct morc cduca
tion arc morc likcly to cntcr thc labor lorcc and tcnd to postponc childbirth
and to limit thc numbcr ol childrcn thcy havc. Largc lamilics arc not a
survival assct as thcy may havc bccn whcn living o thc land. ncc womcn
havc acccss to birth control and havc high aspirations lor thcir childrcn to
go bcyond thcir own limits in lilc, thcy rcducc thc sizc ol thcir lamilics.
Tc dicrcncc in thc numbcr ol siblings and childrcn that Margarida, Z
Cabo, and janira had rcccts this dicrcncc bctwccn thc countrysidc and
city. Margarida, whosc parcnts wcrc alrcady in Rio, was onc ol lour siblings and
had six childrcn. janira and Z, both born na roa (in thc countrysidc), wcrc
onc ol + and : siblings, rcspcctivcly, and thcy had 6 and +o childrcn, rcspcc
tivcly. 8ut nonc ol thcir childrcn has morc than thrcc childrcn, and thc trcnd
among thcir grandchildrcn is to havc only onc or two. Many, likc Patricia, Zs
granddaughtcr, havc dccidcd not to havc any. Tis pattcrn cmcrgcd dramatically
vicuvv . janira and hcr daughtcr, Janissc, :oo.
Djanira (66); 25 siblings
Finished High School at age 33
Made lunches for school cafeteria/ municipal Social
Worker
Lives with 2 children & 4 grandchildren
Father
Illiterate
Traveling Salesman
Died when Djanira was 9
Mother
Illiterate
Washer Women
Died when Djanira was 7
1st Husband
Owned land & stocks
Passed on 3 years ago
Barbosa
2nd Husband
Marco
Antonio
(45)
Incomplete
High School
Municipal
Health Dept
Marcio (22)
High school
student
expecting
baby
Sandro (19)
High School
graduate,
won
scholarship
for
vestibular
course
Bruna (15)
Student
Marta
Janete (40)
Pedagogy
Degree
Govt.
Housing
Depart.
Paulo (18)
Student
Cannot
find job
Kelly (22)
High
school
student
Has baby
Jorge
Luis (39)
Lawyer
Lives
with
Girlfriend
in West
Zone
Joicy (7)
Primary
School
student
Roberto
(27)
Incomplete
High School
Sanitary
worker
(SUCAN)
Janisse
(32)
5 yrs. of
school
Pest
control
(SUCAN)
Jacqueline
(8)
Adopted
Primary
school
student
Jane
Marcia
(41)
3 yrs. of
school
House-
wife
Raldo (33)
Junior High
Transportation
Inspector
Luciano
(16),
Juliete
(12),
Felipe (6)
Students
Raquel (24)
Junior High
Housewife
Stefani (7)
Primary
School
student
Almir
(35)
3 yrs. of
school
Sells and
delivers
cakes
Diana
(11)
Student
Celia
Regina
(38)
Incompl
ete High
School
Hospital
Clerk
Rafael
(15)
Student
Mathew (1)
DJANIRAS FAMILY
vicuvv . +o janiras lamily trcc, :oo.
D U Q U E D E C A X I A S [ 1 4 1 ]
in all ol thc lamily historics, and it matchcs thc dcmographic prolc ol urban
ization worldwidc. ! lound this particularly cncouraging sincc thc data analysis
rcvcalcd small lamily sizc is strongly rclatcd to upward mobility.
Yct it is dishcartcning to scc how littlc schooling janiras childrcn managcd
to gct and how many arc still struggling to makc cnds mcct, dcspitc having a
brilliant, dctcrmincd mothcr who valucd cducation cnough to rcturn to school
at thc agc ol , and (at lcast lour ol thcm) having had a sophisticatcd, wcllto
do lathcr. !ndividual dicrcnccs in motivation and ability account lor somc ol
thc variation, and luck ccrtainly playcd a part, but birth ordcr, which is consid
crcd onc prcdictor ol achicvcmcnt, appcars to havc had no ccct. Tc only two
ol thc +o siblings who got advanccd dcgrccs wcrc Marta Janctc and Jorgc Luis,
numbcrs thrcc and lour.
Tc occupational prolc ol janiras lamily is atypical, in that so many
ol thcm work lor thc Caxias municipal govcrnmcnt. janiras position thcrc
undoubtcdly opcncd thc door lor thcm, and thcy arc all hard workcrs. !n othcr
Caxias lavcla lamilics, thcrc arc morc uncmploycd lactory workcrs who wcnt
lrom onc job to anothcr as dcindustrialization lcd to a chain ol closurcs.
Family solidarity is not univcrsal among thc urban poor. A lamily ! intcr
vicwcd in +6 bccausc thc lathcr was a lcadcr in Nova 8raslia, had movcd
to onc ol thc ncwcr lotcamcntos on thc Caxias pcriphcry and was struggling
to makc cnds mcct. Tcy wcrc cldcrly and had to dccidc cach month bctwccn
lood or diabctcs mcdicinc lor thc wilc. Tcir daughtcr, who livcd in a housc
thcy built lor hcr bchind thcir own, was hclping out with houschold cxpcnscs
by working as a baba (nanny), but altcr shc got prcgnant and had hcr own baby,
shc rcscntcd having to carc lor somconc clscs, so shc quit.
nc ol thc bcdroom doors in thcir homc was always closcd, and a car and
motorcyclc wcrc parkcd on thc gravcl drivcway. ! askcd about that, and thcy
proudly said that thcsc wcrc thcir sons things that hc kcpt at homc whilc hc
was away in thc scrvicc. His room was a palacc ol consumption, with a largc
plasma T\, a spccd bikc, an air conditioncr, and cvcry luxury imaginablc. !t
cvcn had a ncw paint job and lancy curtains. Tcy kcpt it lor him with grcat
rcspcct and ncvcr cntcrcd it. ! could scc no cvidcncc that hc hclpcd thcm out or
that thcy cxpcctcd his hclp or rcscntcd his lack ol hclp.
uvu~:v, :oo8
Tc last timc ! was in Rio, in ctobcr :oo8, ! bccamc worricd about janira,
bccausc no onc was answcring hcr homc phonc. ! tricd cvcry day ol thc wcck
and all hours ol thc day and night, to no avail. ! did not know any othcr way to
contact hcr. Having lcarncd my lcsson in Nova 8raslia, ! was not inclincd to
vcnturc into lavclas on my ownbut altcr a wcck ol no answcrs, ! could think
ol no othcr way but to go out to hcr housc and scc what was going on.
[ 1 4 2 ] F A V E L A
Vhcn ! got to \ila pcrria, ! stood on thc strcct in lront ol thc mctal
gatc that lcads into hcr lront gardcn and callcd out to hcr. Fortunatcly, hcr son
Almir and his wilc and daughtcr hcard mc. Tcy livc in a scparatc apartmcnt
upstairs, built on thc rooltop ol janiras housc. Tcy lookcd down ovcr thc
balcony and whcn thcy rccognizcd mc, camc down to lct mc in.
!t turncd out that janira had pncumonia and had gonc to stay with
hcr daughtcr Janissc. ! had bccn thcrc many timcs with janira. !t is on
thc subdividcd land ol an old fa.enda (cstatc). Tc placc has thc lccl ol thc
carly lavclas in Rio, although cach plot ol land has bccn lcgally purchascd.
!t is a at arca with unpavcd roads, and incomplctc urban scrviccs. Vhcn
Janissc rst movcd thcrc, wclls wcrc thc only sourcc ol watcr and thcrc was
limitcd acccss to clcctricity, but now thcy havc running watcr and mctcrcd
clcctricity. Tc strccts arc laid out on a grid, and thc houscs arc still onc
story woodcn dwcllings, many ol thcm with low, dccorativc lcnccs around
thcm. Janissc has madc hcrscll a lovcly owcr gardcn around hcr housc,
and it has a brcczy vcranda in lront. Tc community has its own Rcsidcnts
Association, locatcd in thc abandoncd manor housc ol thc cstatc owncr. !t is
surroundcd by old shadc trccs, grccn grass, and an opcn cld lcads down to a
small rivcr. n my :oo visit ! was imprcsscd with thc idcas and actions ol
thcir clcctcd prcsidcnt, who is indcpcndcnt ol any drug laction. !t is onc ol
thc lcw cxamplcs ! havc sccn ol an attractivc, aordablc community which
is inacccssiblc cnough that thc drug tra c is not intcrcstcdat lcast lor
now.
Vhcn ! callcd janira at Janisscs housc, shc said shc was lccling bcttcr, thc
air was lcss pollutcd thcrc, and shc was bcing wcll takcn carc ol. Shc told mc
that il ! cvcr nccdcd to rcach hcr, ! should cmail hcr granddaughtcr, iana,
who would givc hcr my mcssagc.
iana, namcd altcr Princcss iana ol ngland, is thc only child ol janiras
son Almir and his wilc Laudicca. ! had watchcd hcr grow up, a shy girl who
obscrvcd cvcrything with grcat intcrcst. Shc had blossomcd into a scllcondcnt
and cnthusiastic young woman, a tall, slcndcr +ycarold who lovcd studying
and had a passion lor natural scicnccs. Shc said shc had known this was hcr
calling sincc shc was vc ycars old. Shc has ncvcr misscd a singlc day ol school
cvcr. Shc is in hcr last ycar ol middlc school at thc Colgio Migucl Corta in
Caxias, and shc has takcn cxtra courscs in nglish, Spanish, and inlormation
tcchnology (thc lattcr at thc Foundation lor cvclopmcnt ol Tcchnology).
Figurc .++ shows iana and hcr lathcr on janiras rooltop tcrracc with
\ila pcrria visiblc in thc background. ianas mothcr Laudicia lrom Sahia is
on thc cxtrcmc right ol thc lramc, laughing and trying to stay out ol thc picturc,
insisting that shc in not photogcnic. Tc air conditioncr in thc window ol thcir
bcdroom is visiblc on thc lclt. Tcir lront door opcns into a small room with
thc stovc and kitchcn sink against onc wall, thc rclrigcrator oppositc it and thc
D U Q U E D E C A X I A S [ 1 4 3 ]
dining tablc against thc back wall. Tc bathroom is to thc lclt and ianas bcd
room is o to thc right, scparatcd lrom hcr parcnts bcdroom by a curtain hung
lrom thc doorway. Tc tcrracc was pilcd high with sand and bags ol ccmcnt as
Almir is about to build an additional room so that iana can havc privacy and
hcr own placc to study.
vicuvv . ++ janiras son, Almir, and his daughtcr, iana, on thc rooltop ol hcr
housc whcrc thcy livc, :oo8.
[ 1 4 4 ] F A V E L A
Currcntly, iana is trying to gct an intcrnship in biology or zoology. Shc
wants to lcarn morc by working with a tcachcr or rcscarchcr in thc cld. Shc
showcd mc thc naturc lms shc had collcctcd, thc papcrs shc was writing, and
thc way shc uscd thc !ntcrnct lor rcscarch. At thc samc timc that shc is con
ncctcd to cybcrspacc on a daily basis, shc is living in onc ol thc most dangcrous
lavclas in Caxias, and shc has ncvcr bccn to thc city ol Rio, only an hour away.
Tc group that is graduating with hcr is shown in gurc .+:. !l givcn hall a
chancc, any ol thcm could bccomc gcntc.
Almir was ncarly killcd whcn hc was only a boy. ! rcmcmbcr him standing
outsidc thc lront gatc ol thcir housc sclling hard candy to pcoplc as thcy passcd
by on thcir way up and down thc strcct. Hc sucrcd a scvcrc concussion and
scvcral brokcn boncs, but hc has rccovcrcd almost complctcly and now works
with his wilc, Laudicia, in a catcring busincss thcy run out ol thcir apartmcnt.
Laudicia, who has thc 8ahian touch, makcs magic in thcir small kitchcn. Shc
cooks all thc lunchcs lor thc school ncxt door and makcs hot lunchcs lor work
crs to bring to thcir jobs and swccts lor gcncral salc. Almir makcs thc dclivcrics
on his motor scootcr and sclls Laudicias swccts and cakcs in thc ccntral plaza
ol Caxias. !t has bccomc too dangcrous to scll thcm on thc strccts ol \ila
pcrria.
vicuvv . +: ianas graduating class lrom high school, showing prcpondcrancc ol
lcmalcs and lack ol visual distinction lrom thcir pccrs in thc South Zonc.
D U Q U E D E C A X I A S [ 1 4 5 ]
Tc cntirc lamily is waiting lor janiras lcgal casc to bc scttlcd. !t has bccn
ncarly +o ycars sincc 8arbosa dicd, lcaving sizablc assctsland, savings, stocks.
8ut his rst wilc claimcd it all, and thc casc has bccn hcld up in thc court sys
tcm indcnitcly, whilc janiras lamily has strugglcd to survivc. Four ycars ago,
a NA tcst, which janira had to pay lor, provcd conclusivcly that 8arbosa
lathcrcd thcsc lour childrcn, but still thcy havc not bccn allowcd to rcccivc
anything lrom his bcqucst to thcm. Tc lamily thinks thc lawycrs arc just play
ing gamcs so as to continuc bcing paid.
Altcr 8arbosas rst wilc passcd away, all ol his childrcn (hcrs and janiras)
agrccd on a scttlcmcnt, and, lcd up with thc ncvcrcnding lcgal proccdurcs,
thcy dccidcd to all usc thc samc lawycr in ordcr to cxpcditc thc proccss. Still
thc mattcr rcmains unrcsolvcd. Tcy nccd somconc to push this through but
janiras lawycr son Jorgc Luis says hc docsnt want to gct involvcd.
Vc wcrc standing on thc vcranda, and ! was about to takc a photo ol thc
multistory houscs, whcn thcy told mc not to cvcn raisc my camcra. Tcrc is a
boca (drug salcs point) abovc on thc hillsidc, whcrc thcy havc a powcrlul tclc
scopc that cnablcs thcm to scc cvcrything cvcn at grcat distanccs. Tc prcvious
month, a lamily lricnd had bccn ovcr and was shooting a vidco ol thc lamily on
thc vcranda whcn a tra cantc lrom thc C\ (Commando \crmclho) knockcd
loudly on thcir door dcmanding to know who was lming what and why. \ila
pcrria is in thc worst situation possiblcinstcad ol bcing controllcd, as
arc most lavclas, by cithcr thc drug tra c or thc militia, thc rcsidcnts ol \ila
pcrria arc subjcct to thc abuscs ol both. Tcir cvcry movc is monitorcd by
thc C\, thcy risk gctting killcd in thc crossrc ol thc turl wars, and thcy pay
protcction lccs to thc militia lor cvcrything lrom thc dclivcry ol thcir mail and
thcir cooking gas canistcrs to thcir cablc T\ and !ntcrnct acccss.
wn~: ~ ui vvvvvxcv ~ vi~cv :~xvs
Placc turncd out to bc a critical lactor in thc opportunity lor moving up and out
ol all ol thc lavclas ! studicd. Vhcn ! comparcd thc rcscarch rcsults by thc statc
ol origin ol thc original migrants to Rio, thcrc wcrc no signicant dicrcnccs.
8ut thc location and typc ol community within Rio had a strong impact on
thc chanccs lor upward mobilitynot only lor thc original intcrvicwccs who
wcrc raiscd thcrc (il not born thcrc) but lor thcir childrcn and grandchildrcn
as wcll.
8cing raiscd in onc ol thc lavclas in Caxias put thc rcsidcnts at a rclativc dis
advantagc, whilc bcing raiscd in onc ol thc lotcamcntos in Caxias conlcrrcd a
distinct advantagc. 8cing raiscd in Catacumba conlcrrcd longtcrm advantagcs,
particularly lor thosc who complctcd clcmcntary school.
6
Tc cducational and
job opportunitics wcrc much bcttcr in thc South Zonc, and thc daily contact
[ 1 4 6 ] F A V E L A
with highcr status social groups opcncd possibilitics that would bc unthinkablc
on thc pcriphcry.
l all thc study arcas, thosc lrom thc lotcamcntos in Caxias cndcd up with
thc highcst lcvcl ol intcgration into thc lormal scctor. Although thcy wcrc
poor at rst, thcy did not sucr thc stigma ol living in a lavcla, and many ol
thcm cndcd up owning thcir land, cvcn il thcy had startcd as rcntcrs. Unlikc
thc lavclas, whcn thc lotcamcntos got urban scrviccs, thcy bccamc rcgular
ncighborhoods, oltcn indistinguishablc lrom othcrs in thc municipality. !l in
+68 thc lotcamcnto rcsidcnts had comparablc incomcs than thosc in lavclas,
having lcgal status cnablcd thcm to incrcasc thcir advantagc ovcr timc. Formal
ity hclpcd thcm climb out ol povcrty.
n all indicators ol wcllbcing, including an indcx ol sociocconomic status
as mcasurcd by cducation, consumption ol houschold applianccs, and crowd
ing (pcoplc pcr room)thc rcsidcnts ol Caxias lotcamcntos scorcd highcst,
lollowcd by thosc lrom Catacumba, with Nova 8raslia in thc middlc and thc
Caxias lavclas scoring thc lowcst. 8cing pcriphcral and inlormal was a doublc
condcmnation.
!t is lashionablc to say that duc to thc 8razilian lcgacy ol slavcry and its dccp
incqualitics, thc poor arc trappcd and condcmncd to rcproducc thcir povcrty in
cach gcncration. Tat makcs scnsc in thcory, but in rcality, thc systcm is morc
pcrmcablc. Tc intcrprctation dcpcnds on thc rclcrcncc group. !l you comparc
janiras illitcratc parcnts with hcr computcrlitcratc granddaughtcr, you scc
thc lamily has comc a long way. 8ut how docs thc progrcss ol iana comparc
with that ol hcr contcmporarics lrom thc South Zonc: !s thc gap closing or
widcning: How can thc promising young pcoplc likc hcr bccomc compctitivc
in thc job markct whilc living in thc midst ol thc drug gangs and thc militia as
thcy do:
s i x
Marginality from
Myth to Reality
vu sou v~vvi~
Sim, mas a lavcla nunca loi rcduto dc marginal, cu lalci
So tcm gcntc humildc, marginalizada
cssa vcrdadc nao sai no jornal
A lavcla um problcma social
mais cu sou lavcla
Minha gcntc trabalhadcira
nunca tcvc assistcncia social
Sim mas s vivc l
Porquc para o pobrc nao tcm outro jcito
Apcnas s tcm o dircito a um saliro dc lomc
uma vida normal
A lavcla uma problcma social.
i ~: v~vvi~
Ycs, but thc lavcla was ncvcr thc rclugc ol thc marginal, ! said
Tcrc arc only humblc pcoplc, marginalizcd
And this truth docs not appcar in thc ncwspapcr
(Rclrain) Tc lavcla is a social problcm
And whats morc, ! am thc lavcla
My pcoplc arc workcrs
And ncvcr had social assistancc
8ut can livc only thcrc
[ 1 4 8 ] F A V E L A
8ccausc lor thc poor thcrc is no othcr way
Vc only havc thc right to a salary ol hungcr
Tats our normal lilc
(Rclrain) Tc lavcla is a social problcm.
xoc~ u~ vov:vi~ ~xu svvcio :osc~, +
Tis popular samba u Sou Favcla says a grcat dcal about thc conccpt ol mar
ginality as it rclatcs to povcrty and pridc in Rios lavclas.
1
Tc lavclas in Rio dc
Janciro housc millions ol inhabitants, pcoplc who would othcrwisc bc homclcss.
Tc songwritcrs cmbracc thc lavclas as thcmsclvcs, dcclaring that thcy do
not acccpt handouts or social assistancc, a rming that thcy arc honcst work
crs who arc marginalizcd by socicty, undcrmincd by thc prcss, and undcrpaid.
Tcir lyrics arc supportcd by this rcscarch. l thc morc than :ooo pcoplc
intcrvicwcd (which includcs all thrcc gcncrations in :oo+ and thc ncw random
samplc in :oo), 8o pcrccnt had a monthly incomc ol +o rcais (approximatcly
US868 at that timc) or lcss, but only +8 pcrccnt thought this was su cicnt
lor a dcccnt lilc. Sixtyscvcn pcrccnt statcd that thcy would nccd almost twicc
as much, oo rcais pcr month (about 8US+:o), to lcad a dcccnt lilc. nly +
pcrccnt ol rcspondants carncd that much or morc.
Tc songwritcrs usc thc sarcastic rclrain ol thc song, Tc lavcla is a social
problcm,
2
to mock thc way lavclas arc sccn by thc rcst ol socicty, turning thc
patronizing phrasc insidc out and claiming it as thcir own. Tis is rcminisccnt
ol thc song lrom !est Side Story, in which gang mcmbcrs ol ast Harlcm say to
ccr Krupkc, that thcy arc down on thcir knccs causc no onc wants a lclla
with a social discasc.
Tc vicw ol thc lavclas as a social problcm is produccd and rcproduccd on
a daily basis as thosc who livc thcrc arc trcatcd as a thrcat to thc social systcm
that crcatcd thc lavclas in thc rst placc. !l othcr housing options wcrc availablc
lor thc poor, pcrhaps lavclas would not cxist.
Takcn togcthcr, thc ncgativc stcrcotypcs about thosc living in lavclas havc
lormcd an idcology ol marginality powcrlul cnough to blot out all cvidcncc
to thc contrary. !nsolar as thc lavcla rcsidcnts arc sccn as social problcms thc
idca ol gctting rid ol thcm will ncvcr bc o thc policy tablc. As a casc in point,
duardo Pacs, thc currcnt mayor ol Rio, was quotcd in April :oo, saying that
with rcgard to lavclas, no options would bc considcrcd o thc tablc.
Te Myth of Marginality provokcd a gradual shilt in thc pcrccption ol thc
urban poor. ! madc thc casc that thc vcry pcoplc who had bccn dismisscd as
marginal, or outsidc thc systcm, wcrc actually playing a vital rolc in thc work
ings ol thc cityand wcrc tightly intcgratcd into that systcm, but in a pcrvcrscly
asymmctrical manncr.
M A R G I N A L I T Y F R O M M Y T H T O R E A L I T Y [ 1 4 9 ]
Continuing my rcscarch o ycars latcr, ! oncc again lound that thc conccpt
ol marginality with its multiplc and shilting connotations providcs a window
into thc thinking ol thc gcncral public and somc policymakcrs, amcd by thc
ncar hystcria in thc mass mcdia. !n picking up thc thrcads ol my carlicr study,
! was cagcr to nd out how thc conccpt ol marginality had cvolvcd in rclation
to lavcla rcsidcnts and to what cxtcnt such changcs wcrc rccctcd in policy and
practicc.
uvnuxxi xc :nv :v:ns ov :~vci x~ii :v
Tc conccpt ol marginality has bccn dcbunkcd, dcconstructcd, dismisscd, and,
in turn, rcdiscovcrcd and rcconstructcd ovcr thc past dccadcs. ! rcscarchcd
and wrotc Te Myth of Marginality during a spccic historical momcnt, in
thc contcxt ol widcsprcad antagonism toward thc masscs ol migrants arriv
ing lrom thc countrysidc and invading thc citadcl ol thc civilizcd city. Tc
lollowing quotation, writtcn in +68 by thc agcncy o cially rcsponsiblc lor
ovcrsight ol thc lavclas in Rio dc Janciro, sums up both o cial and popular
vicws ol thc cra.
Familics arrivc lrom thc intcrior purc and unitcd . . . in stablc unions. Tc dis
intcgration bcgins in thc lavcla as a conscqucncc ol thc promiscuity, thc bad
cxamplcs and thc nancial di cultics thcrc . . . young girls arc scduccd and aban
doncd, thcy gct prcgnant but dont lccl any shamc . . . liquor and drugs scrvc to
dull thc disappointmcnts, humiliations and lood dccicncy. . . . Tc nights bclong
to thc criminals . . . onc can hcar thc scrcams lor hclp. 8ut no onc darcs to intcr
lcrc lcst thcy will bc ncxt. . . . Policcman rarcly pcnctratc thc lavcla and thcn only
in groups.
3
!n my cldwork, ! lound that, dcspitc thcir widcsprcad acccptancc at all
lcvcls ol socicty, thcsc propositions had no basis in rcality. My rcscarch showcd
thc propositions to bc cmpirically lalsc, analytically mislcading, and insidious
in thcir policy implications.
4
!n lact, ! lound thc lavclas to bc socially wcll
organizcd and cohcsivc and thcir rcsidcnts capablc ol making good usc ol thc
urban milicu and its institutions. Culturally, thcy contributcd thcir slang, socccr,
and samba to thc mainstrcam, and aspircd to improvc thcir livcs, particularly
through thc cducation ol thcir childrcn. Tcy willingly took on thc worst jobs
(oltcn morc than onc) lor thc lowcst pay, undcr thc most arduous conditions
and with thc lcast sccurity. Tcy consumcd thcir sharc ol thc products ol othcrs
(oltcn paying morc lor thcm, sincc local shops had a monopoly |and wcrc
willing to cxtcnd crcdit|), and thcy built thcir own houscs as wcll as thc urban
inlrastructurc ol thcir communitics.
[ 1 5 0 ] F A V E L A
Favcla rcsidcnts at thc timc wcrc awarc ol and kccnly involvcd in thosc
aspccts ol politics that acctcd thcir livcs, both within and outsidc thc lavcla.
Tcy coopcratcd with thc clicntclistic local politicians, bargaining astutcly with
candidatcs lor city council, whilc appcaring to rcmain submissivc and apolitical
in obcdicncc to thc rulcs ol thc authoritarian rcgimc. Radical idcology and thc
intclligcntsias hopcdlor propcnsity lor rcvolutionary activism wcrc complctcly
abscnt. Tc lramc ol rclcrcncc lor lavcla rcsidcnts was not thc millionaircs in
thc ncighborhoods that surroundcd thcm but thc impovcrishcd rural lamilics
thcy had lclt bchind. Tc lavclas providcd a costlrcc solution to thc lack ol
aordablc housing and proximity to jobs and scrviccs, and thcy ocrcd tightly
knit communitics within which rcciprocal lavors mitigatcd thc hardships ol
povcrty.
My conclusion was that thc lavcla rcsidcnts arc not marginal at all but
incxtricably bound into socicty, albcit in a manncr dctrimcntal to thcir own
intcrcsts. Tcy contributc thcir hard work, thcir high hopcs, and thcir loyal
tics, but do not bcnct lrom thc goods and scrviccs ol thc systcm. Although
thcy arc ncithcr cconomically nor politically marginal, thcy arc cxploitcd,
manipulatcd, and rcprcsscd, although thcy arc ncithcr socially nor culturally
marginal, thcy arc stigmatizcd and cxcludcd lrom a closcd class systcm.
5

To my disappointmcnt, but not my surprisc, this continucs to bc thc casc
today.
Tc powcr ol thc idcology ol marginality was so grcat in 8razil in thc +os
that it bccamc sclllullling, justilying lavcla rcmoval and pcrvcrscly crcating
prcciscly thc disacction and disconncction that was prolcsscd to bc a dangcr
to thc stablc social ordcr in thc rst placc.
Tc idcology ol marginality, with its moralistic, victimblaming narra
tivc, has pcrsistcd in thc lacc ol blatantly contradictory cvidcncc. Tcrc arc
multiplc ovcrlapping and mutually rcinlorcing rcasons lor this pcrsistcncc.
First, it justics cxtrcmc incquality whilc obluscating thc inability ol thc
systcm to providc cvcn minimal living standards lor a vast subsct ol its
population, sccond, it protccts claims ol lcgitimacy and thc supposcd lair
ncss ol thc rulcs ol thc gamc, third, it providcs a scapcgoat lor a widc
array ol socictal problcms, allowing othcrs to lccl supcrior, whilc prcscrving
dominant norms, lourth, it purics thc scllimagc ol thc rcst ol socicty
(what ! call a spccular rclationship) by considcring thc marginals thc
sourcc ol all social problcms (dcviancc, pcrvcrsity, and criminality, ctc.),
lth, it shapcs thc scllimagc ol thosc labclcd as marginal, so pcrniciously
that lavcla rcsidcnts oltcn blamc thcmsclvcs lor thcir plight, intcrnalizing
thc bclicl that it is thcir own ignorancc, incompctcncc, and inability that
kccps thcm lrom gctting ahcad, and nally, it dividcs poor pcoplc, prcvcnt
ing thosc who might makc common causc lrom coalcscing into a unicd
political lorcc.
6
M A R G I N A L I T Y F R O M M Y T H T O R E A L I T Y [ 1 5 1 ]
:v~xsvov:~:ioxs i x :nv i~xusc~vv ov vovvv:v
Looking at how thc mcaning and rcpcrcussions ol marginality havc changcd
ovcr thc past o ycars is cspccially intcrcsting in light ol thc macro translorma
tions in 8razils political cconomy and in thc city ol Rio dc Janciro. My original
study was conductcd at thc hcight ol thc 8razilian dictatorship brought about
by a military coup on April +, +6. A gradual political abertura (opcning)
starting in + lcd, through a scrics ol stcps, to thc cnd ol thc dictatorship in
+8 and rcdcmocratization in +8. Altcr a pcriod ol rcprcsscd civil libcrtics,
thc right to havc rights movcmcnt nally prcvailcd and, with thc ncw consti
tution ol +88, considcrably cxpandcd.
!n thc wakc ol this rcturn to dcmocracy, community groups, lcdcrations
ol community groups, and nonprots working in lavclas ourishcd. Somc
ol thcsc promotcd thc rights ol citizcnship and attcmptcd to corrcct past
social injusticcs. thcrs wcrc organizcd around cultural activitics such as
thcatcr, dancc, and lmmaking, sports lrom capocira to socccr, vollcyball,
wrcstling, and rowing, or around rcclaiming wcak or cvcn lost racial or cth
nic practiccs, as with thc Alro Rcggac movcmcnt. Still othcr groups wcrc
organizcd around rcligion, lrom prcscrving Alro8razilian practiccs such
as candomble and umbanda, to rcdiscovcring Catholic libcration thcology, to
building thc cvangclical movcmcnt. Somc ol thcsc wcrc homcgrown whilc
othcrs wcrc inspircd by or conncctcd with political partics (including thc
communist party), labor unions, or both. Tc Fcdcration ol thc Rcsidcnts
Associations ol thc Statc ol Rio bccamc so politically conncctcd that its
prcsidcnt, J Rcscndc, bccamc dcputy mayor in thc rst opcn clcction lor
local govcrnmcnt.
!n cconomic tcrms, thc country wcnt lrom thc cconomic miraclc ol thc
+6os to thc hypcrination ol thc +os, thc socallcd lost dccadc ol thc +8os,
and thc attcmptcd stabilization ol thc +os. !n +, nancc ministcr Fcr
nando Hcnriquc Cardoso introduccd thc Rcal Plan, which pcggcd thc valuc ol
thc currcncy to thc U.S. dollar. Tis rcincd in ination and tcmporarily raiscd
thc purchasing powcr ol thc poor,
7
but did not solvc thc problcm ol cconomic
growth, which rcmaincd stagnant during thc +os. Tc ncxt + ycars saw nan
cial instability, growing uncmploymcnt, and pcrsistcnt incquality. Tc political
systcm and thc discoursc on povcrty may havc changcd ovcr this pcriod, but
thc country rcmains onc ol thc most cconomically polarizcd in thc world. Tc
top +o pcrccnt ol 8razilians carn o pcrccnt ol thc national incomc, and thc
poorcst :o pcrccnt carn :. pcrccnt. Tirtylour pcrccnt ol thc population livcs
bclow thc povcrty linc.
8
Tc global cconomic shilt lrom manulacturing to scrviccs, lrom rcsourcc
bascd to knowlcdgcbascd production, and lrom placcbascd to mobilc capital
accumulation has had ncgativc rcpcrcussions, particularly lor Rio dc Janciro
[ 1 5 2 ] F A V E L A
and its largcly unskillcd lavcla population. cindustrialization, spccically thc
dcclinc in thc stccl and shipbuilding industrics in Rio, has lcd to thc loss ol
hundrcds ol thousands ol jobs.
9
Privatization and rcductions in thc sizc ol thc
public scctor, social spcnding, rcal wagcs, subsidics lor basic staplcs, workcr
protcctions, and lormal job contracts havc madc mattcrs worsc,
10
and Rio has
bccomc incrcasingly rcliant on thc inlormal cconomy (both illicit and illcgal)
11

and a rclativcly small (but growing) modcrn scrvicc scctor.
Tc crosion ol thc social contract
12
has undcrmincd longstanding workcr
protcctions and social guarantccs that might havc hclpcd to mcdiatc thc ncga
tivc cccts ol cconomic and institutional rcstructuring.
13
!n lact, in :oo+ whcn
wc askcd our original intcrvicwccs which politician has most hclpcd pcoplc
likc yourscll :, thc most lrcqucnt answcr was Gctlio \argas. uring his pop
ulist rcgimc, known as thc stado Novo (+o), \argas sct up thc rudi
mcntary protcctions ol thc wcllarc statc, including workcrs rights and bcncts
as wcll as thc pcnsion systcm. Tis answcr surpriscd mc at rst sincc ! had
anticipatcd mcntion ol thc mayor who had initiatcd thc Favcla8airro pro
gram, or somc local city councilman who had donc lavors lor thc community.
Upon rccction, howcvcr, it madc scnsc givcn that pcrccnt ol thc original
samplc was living on statc rctircmcnt pcnsions institutcd during thc \argas
cra, and that many ol thcm wcrc supporting thcir childrcn and grandchildrcn
on thcsc pcnsions.
:nv ux:~xi xc ~xu vv:~xi xc ov :~vci x~ii :v
Tc tcrm marginality was not widcly uscd in acadcmic or activist circlcs altcr
thc critiqucs ol thc +os. Tosc scholars who did writc about it altcr thc pub
lication ol Te Myth of Marginality and othcr kcy works ol thc pcriod locuscd
on dccoupling thc thcorics ol marginality lrom thc rcality.
Vith thc dcmocratic opcning in thc mid+8os, voiccs ol opposition
cmcrgcd, and thc discoursc on urban povcrty turncd toward thc lcss toxic
14

conccpts ol social cxclusion, incquality, injusticc, and spatial scgrcgation. ach
dimcnsion ol marginality sccms to havc rcappcarcd in a ncw, morc bcnign guisc
within thc ncw architccturc ol progrcssivc analytical discoursc. Social marginal
ity bccamc a discussion ol social cxclusion, cultural marginality a convcrsation
about othcrncss, cconomic marginality turncd into capabilitics dcprivation,
vulncrabilitics, and a rcthinking ol livclihoods and asscts, and political
marginality bccamc a dialoguc about lack ol voicc, citizcnship claims, and
rights. Tcsc conccpts, dcvclopcd by activists and intcllcctuals sympathctic to
thc urban poor, placcd thc blamc lor intcrgcncrational and pcrsistcnt povcrty
on thc undcrlying structurcs ol thc statc and socicty rathcr than on thc dc
cicncics and dccits ol thc poor. Tcy also cxposcd how bcing poor can annul
thc lundamcntal dignity ol bcing human.
M A R G I N A L I T Y F R O M M Y T H T O R E A L I T Y [ 1 5 3 ]
Tc matcrial, cultural, historical, socialpsychological, and political dimcn
sions ol marginalization arc intcrtwincd and mutually rcinlorcing. ach lacct
ol thc dchumanization (or criminalization) ol thc poor and ol thc way thcy arc
rcndcrcd invisiblc has bccn dcvclopcd into a body ol litcraturc with its own sct
ol conccpts and assumptions. !n thc thrcc chaptcrs that lollow, ! cxplorc thc
aspccts ol marginality rclatcd to violcncc and drugs (chaptcr ), thc limitations
ol dcmocracy and citizcnship (chaptcr 8), and thc barricrs to rcsidcntial and
sociocconomic mobility (chaptcr ). !n this chaptcr ! takc a closcr look at thc
way stigma, social cxclusion, and thc lack ol opportunity to lulll oncs capa
bilitics pcrpctuatc povcrty, thcrcby pcrpctuating thc bclicl in thc inlcriority ol
thc poor.
s:ic:~ ~xu ui scvi :i x~:iox
!n trying to track thc changing tcrms uscd to distinguish bctwccn us (thc wor
thy ingroup) and thcm (thc unworthy outgroup), ! not only listcncd carclully
to innumcrablc anccdotcs ol injusticcs bascd on prcjudicc but attcndcd to thc
way thc mcdia and thc acadcmic community discusscd this issuc. Vhilc much
has bccn writtcn about racc and gcndcr in 8razil, thcrc is no work ! havc sccn
comparing racism or scxism with thc othcr lorms ol cxclusion bascd on placc ol
rcsidcncc, placc ol community (ccntral or pcriphcral) and placc ol origin (Rio
born vcrsus migrant). Tcsc combincd lactors, signallcd by clothing, spccch, body
languagc, and cucs about class arc what crcatc thc ovcrall imprcssionthc pinta
ol thc pcrson. Tcsc clcmcnts in turn bcar dircct conscqucncc lor thc way that
thosc lrom thc lormal city judgc a pcrsons charactcr and makc dccisions about
whcthcr or not a pcrson lrom a lavcla is qualicd lor cmploymcnt. !n my inlormal
discussions with pcoplc in thc communitics, ! hcard so much about thcsc sourccs
ol discrimination that ! madc thcm a locus ol my :oo+ and :oo rcscarch.
! bcgan by asking thc pcoplc ! intcrvicwcd in my lollowup study two
qucstions that ! askcd in +6: o you think thcrc is racial discrimination in
8razil: and Havc you or your childrcn cxpcricnccd racial discrimination:,
asking lor cxamplcs ol both. !n :oo+ and :oo ! addcd a ncw qucstion: !s thcrc
discrimination duc to othcr lactors: asking cach pcrson to mcntion all lactors
that applicd and to givc cxamplcs.
Tc graph in gurc 6.+ shows how thc original intcrvicwccs rcspondcd in
:oo+. Tc most lrcqucntly mcntioncd basis ol discrimination was not racism,
but lavclaism (i.c., bcing lrom a lavcla). 8cing dark skinncd was thc sccond
most lrcqucntly mcntioncd stigma, lollowcd by a pinta da pessoa (local slang
lor a pcrsons appcarancc or thc way thcy comc across), which was lollowcd by
bcing born outsidc Rio (particularly in thc Northcast) and living in thc 8aixada
Flumincnsc. nly altcr thosc did bcing lcmalc cntcr thc picturc, and altcr that
camc living in thc North Zonc and living in a conjunto.
[ 1 5 4 ] F A V E L A
As this was not consistcnt with prcvailing thought among scholars,
! wondcrcd whcthcr thcsc othcr lorms ol cxclusion wcrc impcdimcnts only
lor thc oldcr gcncration. Not so. Vhcn ! comparcd thcir rcsponscs with thosc
ol thcir childrcn and thcir grandchildrcn, ! lound thc youngcr gcncrations
rcsponscs vcry similar in ordcr and magnitudc to thosc ol thcir parcnts. Tc
rcsponscs ol thc childrcn wcrc almost idcntical, but lor thcm, living in a lavcla
and having a ccrtain appcarancc wcrc lound to bc cvcn morc dctrimcntal (scc
gurc 6.:).
Tc grandchildrcn sucrcd lrom thc samc sourccs ol discrimination but not
as much. Tis dicrcncc bctwccn gcncrations was most dramatic lor racclcss
than hall ol thc grandchildrcn cvcn mcntioncd it. 8ut, lor thcm as lor thcir
cldcrs, living in a lavcla rcmains thc worst sourcc ol discrimination (8 pcrccnt
citcd it) and pinta is ncxt (6o pcrccnt)both grcatcr barricrs than racc, gcn
dcr, or placc ol origin. (nly thc top lour citcd lactors arc shown in gurc
6.:.) Living in a lavcla and not looking likc a South Zonc young pcrson wcrc

obviously impcdimcnts to gctting work lor thc youngcst gcncration, who
arc thc bcst cducatcd and havc thc highcst ratc ol uncmploymcntalmost
o pcrccnt.
Still ! wondcrcd why thc grandchildrcn pcrccivc lcss discrimination than
thcir cldcrs. Tinking about Patricia (Z Cabos granddaughtcr), Sabrina
(Niltons granddaughtcr), and iana (janiras granddaughtcr) and othcrs in
thcir cohort suggcstcd to mc that pcrhaps it was thcir highcr cducational lcvcl
and ncar pcrlcct adaptation ol thc South Zonc stylc ol spcaking and drcssing
that allowcd morc ol thcm to pass and thcrclorc cxpcricncc rclativcly lcss
rcjcction.
15
Tc ncxt logical qucstion lor mc rcgarding thc bascs ol cxclusion was whcthcr
thc answcrs lound in thc multigcncrational study would bc conrmcd by thc
45%
52%
53%
56%
60%
74%
80%
84%
Living in Favela
Skin Color
Appearance
Residence in Baixada Fluminense
Gender
Living in North Zone
Living in Public Housing
Birthplace outside Rio
vicuvv 6. + Pcrccivcd Stigma: Sourccs ol iscrimination as Pcrccivcd by riginal
!ntcrvicwccs, :oo+.
M A R G I N A L I T Y F R O M M Y T H T O R E A L I T Y [ 1 5 5 ]
ncw random samplc study donc : ycars latcr. ! wantcd to bc surc that ! was not
picking up thought pattcrns transmittcd within lamilics bclorc ! could spcak
with ccrtainty about sourccs ol prcjudicc.
! lound that thc ncw random samplc (+6 to 6ycarold mcn and womcn)
in thc samc communitics pcrccivcd cvcn grcatcr discrimination than thc origi
nal intcrvicwccs. Tc ordcr ol pcrccivcd bascs ol discrimination was similar,
but morc acutc, with : pcrccnt mcntioning lavcla rcsidcncc and skin color
and 88 pcrccnt mcntioning appcarancc as bascs lor bcing ncgativcly judgcd.
Tcy lclt that prcjudicc against migrants (anyonc not born in Rio) was worsc,
probably bccausc morc ol thcm wcrc migrants. 8ut living in thc 8aixada was
sccn as lcss ol a dctrimcnt, duc to cconomic dcvclopmcnt and improvcd public
transportation.
soci ~i vxciusiox
Attcmpts in thc acadcmic litcraturc to dicrcntiatc thc +6os conccpt ol mar
ginality lrom thc currcnt conccpt ol social cxclusion oltcn appcar arbitrary
and conlusing to mc rathcr than hclplul in clarilying nuanccs ol mcaning.
16

Tc most intcrcsting is thc distinction Marcio Pochmann makcs bctwccn thc
old cxclusion in 8razil (+6o8o), and thc ncw cxclusion (+8o:ooo).
17
!n
his vicw thc old social cxclusion, bascd on illitcracy (or low cducational lcvcls)
and low incomc, locuscd on migrants lrom thc countrysidc and was particu
larly conccrncd with womcn and blacks. Tc ncw social cxclusion, as hc sccs
it, includcs pcoplc born in thc city, such as most ol thc pcoplc in my rcstudy,
who havc highcr lcvcls ol cducation, urban scrviccs, and houschold goods, but
who arc oltcn uncmploycd, undcrcmploycd, or undcrpaid. Tc cxclusion is a
41%
57%
60%
57%
76%
74%
45%
77%
80%
78%
86%
84%
Original
Interviewees
Children
Gchildren
Residence in Favela
Skin Color
Appearance
Birthplace outside Rio
vicuvv 6. : Sourccs ol iscrimination as Pcrccivcd by Trcc Gcncrations, :oo+.
Living in a lavcla rcmaincd thc grcatcst basis ol stigma and thc only onc that did not
drop o by thc grandchildrcns gcncration.
[ 1 5 6 ] F A V E L A
lunction ol thcir prccarious inscrtion into thc job markct. !t makcs scnsc that
! lound that thc pcoplc ! intcrvicwcd scc jobs or work as thcir numbcr onc
priority in lilc and that living in a lavcla is a sourcc ol social cxclusion rcgard
lcss ol skin color or gcndcr. Urbanborn, lightskinncd malcs who arc uncm
ploycd and/or who livc in a lavcla or conjunto arc subjcct to morc suspicion
and discrimination in Rio today than black womcn who arc cmploycd. And so
much thc worsc il thc lightskinncd malc happcns to bc young, as this raiscs
immcdiatc suspicion ol conncction with thc drug tra c. !n sum, thc agcold
dcbatcs on whcthcr thc condition ol marginalization is morc classbascd, racc
bascd, or gcndcrbascd arc not ablc to yicld ncw insights into todays lorms ol
cxclusion.
c~v~ni ii :v uvvvi v~:i ox
Amartya Scn vicws povcrty as not simply a lack ol incomc or ol low incomc,
but as a dcnial ol thc ability to usc a pcrsons capability and capacity in pur
suit ol his or hcr own bcst intcrcsts.
18
Scn dccms capability dcprivations as
intrinsically signicant, as opposcd to low incomc, which may bc a tcm
porary condition or may bc thc rcsult ol a conscious dccision to maximizc
anothcr goal. Many ol thc pcoplc ! intcrvicwcd havc sacriccd incomc lor
cducation, raising a lamily, lcisurc, rcligion, thc unwillingncss to bc humili
atcd, thc lrccdom to work lor thcmsclvcs, or simply lor pcacc ol mind. Tc
dcprivation conccpt takcs into considcration thcsc and othcr circumstanccs,
asidc lrom low incomcs that can rcsult in living in a condition ol povcrty.
A casc in point is that rcsiding in a dcsignatcd nonplacc likc a lavcla
or conjunto conlcrs low status and raiscs suspicion, rcgardlcss ol a pcrsons
asscts, cducation, skills, or intclligcnccin turn, making it di cult to carn
an incomc commcnsuratc with that ol a pcrson living in a lcgitimatc ncigh
borhood. Tc pcrson living in a bairro has a bcttcr chancc ol bcing hircd
and bcing trcatcd with rcspcct than a pcrson with a highcr incomc who has
choscn to livc in a lavcla. Tcrc arc numcrous individuals and lamilics in
lavclas (ovcr +o pcrccnt in my samplc) who havc cnough incomc to lcavc,
but choosc to stay.
Scns wclltakcn point is that povcrty may bc considcrcd indcpcndcnt lrom
incomc. Criscs, illncsscs, or accidcnts can prcvcnt continucd carnings, cvcn
tually cxhausting savings and asscts as wcll. Scn argucs that thc rclationship
bctwccn low incomcs and low capabilitics vary among dicrcnt groups, lami
lics, and individuals, and arc oltcn contingcnt on pcrsonal charactcristics. Tis
is bornc out by thc narrativcs and lilc storics ol thc most succcsslul individuals
lrom among all thc original study participants, and by thc conclusions ! draw
lrom thosc at thc cnd ol thc mobility chaptcr.
M A R G I N A L I T Y F R O M M Y T H T O R E A L I T Y [ 1 5 7 ]
s:vvv: :~ix
Rcturning to thc thcmc ol marginality, it is obvious that by any othcr namc,
it still dcpicts an cqually condcmning rcality. Vhcthcr rclabclcd social cxclu
sion, capabilitics dcprivation, or any othcr tcrm in acadcmic discoursc, thc
bottom linc is that ovcr a third ol Rios inhabitants arc rcndcrcd nonpcrsons.
Vhilc thc tcrm marginality may havc bccn discrcditcd within acadcmic
and nonprot circlcs, it has ncvcr lost its cachct on thc strccts. !t continucs
to havc thc dual connotation ol thc poorcst ol thc poor and outlaws and
criminals. Tc conation ol thcsc mcanings in itscll says a lot about thc crimi
nalization ol povcrty in 8razil. Tc lollowing cxccrpts lrom locus groups con
ductcd by ccpa Narayans tcam in Sao Paulo lavclas in :ooo illustratc both
connotations and rcinlorcc thc scnsc ol supcriority by distinguishing us lrom
thcm.
19
Tc pcoplc in thcsc locus groups all livc in lavclas but scc marginais
(marginals) as othcrs. !n onc scssion, a woman dcscribcd marginais as
pcoplc who livc undcr bridgcs or on thc strcct, cat garbagc, collcct junk and card
board, bcg, dcpcnd on charity lor lood and clothcs, and ncvcr scnd thcir childrcn
to school. Tcy may usc a piccc ol cardboard as a mattrcss and tin cans lor cook
ing, and thcir shcltcr may bc nothing morc than a plastic bag. Tcy do not want
anything morc lrom lilc. Tcy arc thc oncs most abuscd by thc policc.
!n anothcr community, marginais wcrc portraycd as having no scruplcs,
bcing thicvcs, murdcrcrs and drug addicts, trying lor thc casy lilc by harming
othcrs. !n a third group onc man was rccordcd as saying:
A lcw ycars ago, o pcrccnt ol this community was madc up ol marginais, but
nowadays it is zcro |bccausc pcoplc havc cithcr improvcd thcir circumstanccs or
havc bccn squcczcd out|. ur rcality is likc this. Vc must not bc passivc. Vc must
always strivc lor a bcttcr lilc. 8ut at lcast wc havc our littlc shacks to slccp in, our
T\ scts to watch, and our daily mcals. Vc arc ncithcr bcggars nor marginais.
Vith this, thc word marginality, which was alrcady uscd intcrchangcably
with bandidos, has comc to rclcr to organizcd criminal gangs and drug tral
ckcrs. 8clorc it was povcrty that madc thc lavcla rcsidcnts into marginais in
thc cycs ol othcrs, now it is thc drug tra cguilt by proximity.
Sincc much ol thc violcnt drugrclatcd activity takcs placc within or at thc
cntrancc points to thc lavclas, thcrc has bccn an crosion ol thc lragilc acccp
tancc ol lavclas by thcir surrounding ncighborhoods. Tis crosion startcd to
takc hold during thc pcriod ol abcrtura (opcning) as thc dictatorship was wind
ing down. Tc unlortunatc conation ol marginal with poor and dangcrous
casily rcasscrtcd itscll, rcinlorcing lormcr prcjudiccs. As thc prcss writcs scn
sationalistic storics about thc many innoccnt victims ol thc crossrc bctwccn
policc and gangs, thc middlc class oncc again lcars proximity to thc lavclas.
[ 1 5 8 ] F A V E L A
Tis, in turn, is rccctcd in thc job markct, thc rcal cstatc markct, and thc con
sumcr markct.
n rcccnt visits ! havc hcard a ncw twist ol thc tcrm within thc lavclas: ! am
lrcqucntly warncd to lcavc bclorc dark or to avoid ccrtain arcas bccausc thcy
arc controllcd by a marginalidadc (thc marginality). Vith this ncw slang,
marginality has madc thc transguration lrom a sociogcographical condition
(on thc margins, outsidc thc mainstrcam) to a criminal position (mcmbcr ol a
drug gang) to a collcctivc noun lor thc gangstcrs thcmsclvcsthc marginality.
Morc and morc ol my lricnds in lavclas and conjuntos arc considcring mov
ing altcr all thcsc ycars duc to thcir lcar that thcir childrcn might bccomc
involvcd in thc marginality. Vhcn uscd in rap and lunk lyrics, thc tcrm is
oltcn uscd with dcant bravado: Vc arc not marginais, wc arc not thc margin
alitywc arc thc marginalizcd. Tis is a call lor an uprising or rcvolt.
~uv~xcvu :~vci x~ii :v
8cginning in thc latc +os, thc tcrm marginality itscll bcgan to rcappcar in aca
dcmic circlcs, in discussions ol pcrsistcnt povcrty in First Vorld citics. Tcrms such
as thc ncw undcrclass, thc ncw povcrty, thc ncw marginality, or advanccd
marginality wcrc bcing uscd to dcscribc thc conditions ol thc chronic poor in
thc black ghcttos ol thc Unitcd Statcs and thc migrant slums ol uropc. Tc
idca is that ad.anced marginality rcccts thc currcnt stagc ol global capitalism, in
which a largc portion ol thc urban population is simply irrclcvant and cxcludcd
lrom thc rcst ol thc city: warchouscd in scgrcgatcd ghcttos.
Loc Vacquant dcvclopcd this conccpt most lully, starting with a +6
articlc whcrcin hc dcscribcd thc contiguous conguration ol color, class, and
placc in thc Chicago ghctto, thc Frcnch banlieue, and thc 8ritish and utch
inncr citics. Hc posits a distinctivc postindustrial marginality charactcrizcd by
ncw constraints, stigmas, tcrritorial scparation, dcpcndcncy on thc wcllarc statc,
and institutions within tcrritorics ol urban rclcgation.
20
Four kcy structural dynamics, Vacquant suggcsts, arc rcshaping urban
povcrty in advanccd industrial socictics: social incquality, an absolutc surplus
population, thc rctrcnchmcnt ol thc wcllarc statc, and spatial conccntration/
stigmatization. Javicr Auycro had alrcady tricd to apply thcsc to 8ucnos Aircs,
and ! wondcrcd to what cxtcnt thcsc lour conditions would apply to thc condi
tions ! lound in Rio dc Janciro and 8razil.
Social Inequality
Tc rst ol thc structural dynamics ol advanccd marginality as postulatcd by
Vacquant is that social incquality pcrsists and dccpcns within a contcxt ol
ovcrall cconomic prospcrity. Tis divcrgcncc is duc to thc simultancous climina
M A R G I N A L I T Y F R O M M Y T H T O R E A L I T Y [ 1 5 9 ]
tion ol jobs lor unskillcd workcrs and prolilcration ol jobs lor univcrsitytraincd
prolcssionals. 8razil is onc ol thc most cconomically polarizcd countrics in thc
world (dcspitc rcccnt improvcmcnts), and Rio is a sharply straticd city. 8ut
dcspitc thc widcsprcad pcrccption ol dccpcning ol incquality, data show that
lcvcls havc rcmaincd lairly constant ovcr rcccnt dccadcs. And, Rios cconomy is
lar lrom prospcrous. !ts cconomic growth is lowcr than most ol 8razils othcr
mctropolitan arcas, and it has lost thc prospcrity ol its goldcn ycars (prc+6o)
duc to thc movc ol thc capital to 8raslia, thc deindustrialization and dcclinc
ol thc port arca, and thc movc ol thc busincss, cultural, and intcllcctual ccntcr
to Sao Paulo. So, Rio docs not t thc rst proposition ol advanccd marginality.
bsolute Surplus Population
8y absolutc surplus population Vacquant mcans that a signicant portion ol
thc worklorcc is rcdundantnot nccdcdand that many ol thc uncmploycd
will ncvcr work again. !n addition thcrc is widcsprcad povcrty among thosc who
do havc jobs bccausc ol low pay and thc cxploitation ol tcmporary workcrsas
wc saw in thc casc ol Sabrina in hcr tclcmarkcting job. Fcwcr cmploycrs arc
willing to providc workcr protcction and bcncts sincc thcrc arc so many pco
plc who nccd work. 8razils uncmploymcnt lcvcls during :oo+o wcrc among
thc highcst in its history, and Rio was among thc mctropolitan arcas sucr
ing most. Vithout doubt thcrc has bccn a wcakcning ol thc labor unions and
an crosion ol conditions ol lormal cmploymcnt. Tc dicrcncc in Rio may bc
that thc prolilcration ol thc inlormal cconomy masks what might bc consid
crcd a surplus population. ncquartcr ol thc houscholds ol our original lavcla
samplc rcportcd having onc or morc uncmploycd houschold mcmbcr ol work
ing agc, but thc majority ol houscholds includcd onc or morc pcoplc ol working
agc currcntly activc in thc labor lorcc. Tc big surprisc was that thc pcrccntagc
ol thosc working who had lormal cmploymcnt, with a cartcira assinada (a signcd
work card) guarantccing thc lull rangc ol workcrs bcncts, had riscn lrom +6
to :oo+, and rosc with cach gcncration studicd. Tc othcr countcrindication to a
pcrmancnt undcrclass is thc high dcgrcc ol turnovcr. Vithin thc spacc ol a lcw
months, thcrc is a lot ol movcmcnt into and out ol thc labor lorcc, and into and
out ol lormal labor contracts. Tcrc arc somc who rcmain inactivc lor onc rcason
or anothcr, but, in gcncral, dcspitc Rios wcak job markct, ! would not charactcr
izc thc uncmploycd as a surplus population that will ncvcr work again.
Fetrenchment of the !elfare State
Rctrcnchmcnt ol thc wcllarc statc in thc Unitcd Statcs and Vcstcrn uropc
is charactcrizcd by scrvicc cutbacks in social programs andin somc cascs
turning such programs into instrumcnts ol survcillancc and control. !n c xamining
[ 1 6 0 ] F A V E L A
to what cxtcnt this disinvcstmcnt and punitivc locus applics to thc casc ol Rio,
it is critical to rcmcmbcr that 8razil ncvcr had a highly dcvclopcd wcllarc statc.
Tcrc was no salcty nct bcyond what had bccn institutcd in thc \argas ra. As
in othcr Latin Amcrican countrics, 8razil has bccn undcr prcssurc to rclorm and
rationalizc statc social cxpcnditurcs as part ol a scal austcrity packagc dcmandcd
by intcrnational lcnding agcncics undcr thc tcrm structural adjustmcnt.
Noncthclcss, starting during thc Fcrnando Hcnriquc Cardoso prcsidcncy,
thc lcdcral govcrnmcnt initiatcd a scrics ol grants or stipcnds to lowincomc
lamilics on thc condition that thcy invcst in thcir childrcns cducation or hcalth.
Tcsc conditional cash translcrs, oltcn rclcrrcd to as CCTs,
21
wcrc consoli
datcd into 8olsa Famlia (Family Stipcnd) in :oo undcr Prcsidcnt Luiz !ncio
Lula da Silva (known as Lula).
! discuss this lurthcr in my chaptcr on policy (chaptcr ++). Su cc it to say
hcrc that this lorm ol ncgativc incomc tax or citizcns wagc, complcmcntcd by
local city and statc programs, has mcant an cnormous cxpansion ol thc wcllarc
statc rathcr than a rctrcnchmcnt.
Vc also lound a strong prcscncc ol thc old wcllarc statc in thc lorm ol
rctircmcnt paymcnts. Ncarly 6o pcrccnt ol thc original intcrvicwccs said thcir
rctircmcnt paymcnts wcrc thcir principal sourcc ol incomc, and lor houschold
hcads it was 66 pcrccnt. Rctirccs rcccivc about onc minimum salary pcr month,
(cquivalcnt to about US8o.
22
) !n many cascs cxtcndcd lamilics, including uncm
ploycd childrcn and young grandchildrcn, arc living on that rctircmcnt chcck.
Spatial Concentration and Stigmati.ation
Vacquant posits that spatial conccntration and stigmatization arc physically
cxprcsscd in hardcorc arcas ol outcasts, tcrritorial stigma and prcjudicc, and in
a diminishing scnsc ol community lilc.
23
Although lavclas may not bc hard
corc arcas ol outcasts, thcy arc punitivcly stigmatizcd spaccs as dcmonstratcd
carlicr in this chaptcr, and thc community trust and unity that charactcrizcd
thcm whcn ! livcd thcrc ycars ago is bcing crodcd.
!ll takc thc proposition piccc by piccc. First, in Rio, bcing poor docs not
mcan bcing an outlaw any morc than living in a lavcla mcans you arc poor or an
outlaw. Favclas arc hctcrogcncousracially, socially, culturally, and cconomi
cally (somc morc so than othcrs), and thcrc is a high dcgrcc ol variation among
thcm. !n contrast to thc total racial scgrcgation charactcrizing thc ncw margin
ality, Rios lavclas havc always bccn racially mixcd. !n thc +6 study, :+ pcrccnt
ol thc randomly samplcd lavcla rcsidcnts wcrc black, o pcrccnt mulatto, and
pcrccnt whitc, and thcsc pcrccntagcs wcrc almost idcntical in thc random
samplc in thc samc locations in :oo. Tat docs not mcan that thc racial mix in
lavclas is proportional to that in thc city as a wholc (sincc blacks arc dispropor
tionatcly rcprcscntcd), but thcy arc by no mcans racial ghcttos.
M A R G I N A L I T Y F R O M M Y T H T O R E A L I T Y [ 1 6 1 ]
Sccond, lavclas in Rio arc not conccntratcd in any onc arca ol thc city, but arc
intcrmixcd gcographically with morc prospcrous ncighborhoods. !l thc mcaning
hcrc is that thc boundarics ol thc morro and aslalto arc rcadily apparcnt, Rio ts
thc pattcrn wcll, but il spatial conccntration mcans that all lavclas can bc locatcd
in onc part ol thc urban landscapc, Rio is just thc oppositc. As wc saw on thc
map in chaptcr :, Rios lavclas arc scattcrcd across thc urban spacc rathcr than
rclcgatcd to a spccic arca. !ndccd, as Pcdro Abramo has shown, somc arc so
wcll locatcd that rcntal and salc priccs within thcm arc highcr than thosc in ccr
tain parts ol Copacabana or 8otalogo, two uppcr and middlcincomc arcas.
24
Pcrhaps thc most striking cvidcncc against thc prcmisc ol advanccd margin
ality is that lavcla rcsidcnts (cvcn dark skinncd) arc not lorcibly rclcgatcd to
staying in thcir communitics. As ! discuss in morc dctail in chaptcr , only
pcrccnt ol thc original randomly sclcctcd study participants wc lound wcrc still
living in lavclas: pcrccnt wcrc in conjuntos and pcrccnt wcrc in ncigh
borhoods, mostly locatcd in thc pcriphcry ol thc city.
coxciusiox
Vhat ! havc bccn obscrving ovcr thcsc dccadcs is thc translormation lrom
thc myth ol marginality to thc rcality ol marginality. !n +6, thcrc was
widcsprcad hopc that thc sacriccs madc by thc cityward migrants would
providc thcir childrcn (il not thcmsclvcs) with broadcr opportunitics and a
grcatcr rangc ol choicc. Tis is onc rcason thc cxpcctcd radicalism ol thc squat
tcrs ncvcr matcrializcd.
25
Ncw migrants wcrc not inluriatcd by thc disparitics
bctwccn thcmsclvcs and thc uppcr classcs surrounding thcm in Rio bccausc
thcir rclcrcncc group was not thc rich who livcd in Rio but thosc who staycd
bchind in thc countrysidc. Although thcir childrcn and grandchildrcn havc
bcnctcd in many ways lrom bcing born and raiscd in Rio, thcy lacc somc
challcngcs thc oldcr gcncration could not havc lorcsccn, not thc lcast ol which
is living with thc constant lcar ol dcath.
! closc this chaptcr with thc lyrics ol Soldado do Morro (Soldicr ol thc
Favcla), writtcn by thc hiphop icon ol Rio dc Janciro, M\ 8ill.
26
Hc is lrom
Cidadc dc cus, whcrc scvcral Catacumba rcsidcnts wcrc scnt altcr thc dcmoli
tion in +o. Asidc lrom using his music to dcnouncc thc marginalization ol
lavcla rcsidcnts, M\ 8ill is an activist lcadcr who runs a local tccn ccntcr and is
thc loundcr ol Ccntral Unica dc Favclas, bcttcr known as CUFA (Ccntral Asso
ciation ol Favclas), a nctwork ol nonprot organizations dcdicatcd to ocring
youth an altcrnativc to thc drug tra c. Along with hiphop, brcak dancing, and
gra ti, thcsc groups tcach young pcoplc computcr and job skills and crcatc a
social idcntity and scnsc ol bclonging to countcract thc appcal ol drug gangs.
27
Tc song bcautilully rcccts thc major thcmcs ol marginality discusscd in
this chaptcr. First, that marginal status is thc crcation ol socicty, not thc lault
[ 1 6 2 ] F A V E L A
ol thc poor. Sccond, that thc poor arc trappcd bctwccn dcaling drugs (which
dcstroy thcir community and thcmsclvcs) and trying to gct a joba humiliat
ing and lutilc cndcavour. Tird, that cvcn thc lucky lcw who gct a job lor a
minimum salary and work ovcrtimc still do not carn cnough to support thcir
lamilics. Fourth, that policcmcn and politicians who arc supposcd to bc pro
tccting thc poor arc pcrpctrators ol crimc and violcncc thcmsclvcs, and nally
that thc soldado do morro (lavcla soldicr) is cxpcndablc and that il hc dics, his
dcath is just onc morc statistic in thc daily ncwsno morc than a small victory
in thc ght to rid thc city ol bad clcmcnts.
!n thc song, thc soldado do morro chosc a path ol carly and violcnt dcath,
and hc protcsts thc injusticc ol thc systcm that lails to producc altcrnativcs lor
him and othcrs likc him. Tis clcmcnt ol dcancc and what hc calls disgust
is hcard in many rap songs which arc vchiclcs lor cxposing thc way things arc
and calling lor dcancc.
28
Tc livcs ol thc poor havc always bccn chcap, but in thc milicu ol drug and
arms tra c, thcy bccn dcvalucd cvcn morc. cath ratcs in thc lavclas arc much
grcatcr than in thc rcst ol thc cityand lor lavcla youth arc highcr still.
29
Tis
ncw violcncc may bc thc ultimatc manilcstation ol thc marginalization ol thc
poor, thc rcality ol marginality.
soiu~uo uo :ovvo
\rias vczcs mc scnti mcnos homcm
cscmprcgado mcu molcquc com lomc
muito lcil vir aqui mc criticar
A socicdadc mc criou agora manda mc matar
Mc condcnar c morrcr na prisao
\irar notcia dc tclcvisao,
J pcdi csmola j mc humilhci
Fui pisotcado s cu sci quc cu passci
T ligado nao vai justicar
Mcu tcmpo pcqucno nao sci o quanto vai durar
prior do quc pcdir lavor
Arruma um cmprcgo tcnho um lho pcqucno scu doutor
Fila grandc cu c mais trczcntos
cpois dc muito tcmpo scm vaga no momcnto
A mcsma histria todo dia loda
!sso quc gcrou a minha rcvolta
Mc dcixou dcsnortcado mais um maluco armado
T ligado bolado qucm o culpado:
Quc labrica a gucrra c nunca morrc por cla
istribui a droga quc dcstri a lavcla
M A R G I N A L I T Y F R O M M Y T H T O R E A L I T Y [ 1 6 3 ]
Fazcndo dinhciro com a nossa rcalidadc
Mc dcixaram cntrc o crimc c a ncccssidadc
Fcio c cspcrto com uma cara dc mal
A socicdadc mc criou mas um marginal
u tcnho uma novc c uma HK
Com dio na vcia pronto para atirar
\iolcncia da lavcla comcou a dcsccr pro aslalto
Homicdio scqucstro assalto
Qucm dcvcria dar a protcao
!nvadc a lavcla dc luzil na mao
u sci quc o mundo quc cu vivo crrado
Mas quando cu prccisci ningum tava do mcu lado
rrado por crrado qucm nunca crrou:
Aquclc quc pcdc voto tambm j matou
\ida do crimc suicdio lcnto
Na cadcia 8ang + : mcus amigos tcnho l dcntro
u t ligado qual sci qual o nal
Um soldado ncgativo mcnos um marginal
Pra socicdadc uma baixa na lista
cngordar uma tristc cstatstica
Nao sci sc pior virar bandido
u sc matar por um salrio mnimo.
soiui vv ov :nv ni iisi uv
Many is thc timc !vc lclt lcss than a man
Uncmploycd, with my child going hungry
!ts casy to criticizc mc
Socicty crcatcd mc and now dcmands my dcath
Condcmning mc to dic in prison
Translormcd into tclcvision ncws
!vc bccn a bcggar, alrcady humiliatcd myscll
Plcading lor a job, ! havc a small child, good sir
Long waiting list, mc and oo othcrs
Altcr an ctcrnity, no opcnings at thc momcnt
Tc samc story cvcry day, all this gcncratcs rcvolt
! am hookcd, who is to blamc:
Tosc who arc making this war, ncvcr dic in it
! distributcd thc drugs that dcstroy thc lavcla
Making moncy lrom our rcality
! am caught bctwccn crimc and ncccssity
Tosc who should bc providing protcction
[ 1 6 4 ] F A V E L A
!nvadc thc lavcla with wcapons in hand . . .
Tosc who comc sccking our votcs, thcy too havc killcd
Tc lilc ol crimc is slow suicidc
8ang, +, :, , my lricnds insidc thcrc
! am involvcd, ! know thc outcomc
A ncgativc balancc, minus onc marginal
For socicty to count, onc lcwcr on thc list
Adding wcight to a sad statistic. . . .
! dont know which is worsc, turning into a bandit
r killing yourscll lor thc minimum wagc. . . .
s e.en
Violence, Fear, and Loss
Tc most dramatic and dcvastating changc lor Rios poor ovcr thc last thrcc
dccadcs has bccn thc growth ol lcthal violcncc. !n +6, thc poor living in
lavclas lcarcd that thcir homcs and communitics would bc dcmolishcd. Today,
thcy lcar lor thcir livcs. Tcy arc alraid that thcy will bc caught in thc crossrc
ol thc turl wars among rival drug gangs or that thcy will bc in thc wrong placc
during a policc raid. Tcy arc tcrricd that thcir childrcn will not rcturn alivc
at thc cnd ol thc school day or that thcir baby will bc shot whilc playing on thc
lront stcps ol thcir homc.
Favclas arc appcaling locations lor thc drug gangs, with thcir narrow, wind
ing allcys, abundant hiding placcs, and uncmploycd youth. Tcy providc thc
idcal staging arca lor brcaking down largc shipmcnts ol drugs into smallcr
packagcs lor salc to Rios rich playboys (or daddys boys) and lor shipping
thcm to uropc via North Alrica or to thc Unitcd Statcs via thc Caribbcan.
\iolcncc lollows povcrty. Tc tra cantcs or bandidos, as thc drug dcalcrs arc
callcd, bcgan cntcring thc lavclas in thc mid+8os, and thcir prcscncc sprcad
quickly to thc conjuntos and lotcamcntos. Now thc dcalcrs arc bccoming a prob
lcm in thc poor ncighborhoods to which thc lavcla rcsidcnts havc cd. !t was
hcartbrcaking to discovcr that thosc who managcd to movc thcir lamilics out
[ 1 6 6 ] F A V E L A
ol thc lavclas and rcnt or buy in thc morc aordablc bairros on thc urban lringc
had only a short rcpricvc bclorc thc tra c and thc violcncc lollowcd thcm.
!n somc ways, thc tra ckcrs managcd to do what no statc authority had
cvcr bccn ablc to dodrivc pcoplc out ol thc lavclas. Although only a small
lraction ol lavcla rcsidcnts arc involvcd in thc arms or drug tra c, thc drug
tradc and thc policc rcsponsc havc bccn rcsponsiblc lor thc dcaths ol thou
sands ol innoccnt pcoplc in thc lavclas, barrios, and conjuntos. Tc violcncc
has madc Rios most vulncrablc population lcarlul ol going about thcir daily
livcs, rcduccd thcir chanccs ol gctting jobs, lowcrcd thc valuc ol thcir homcs,
wcakcncd thc trust and solidarity that has hcld thcir communitics togcthcr, and
cooptcd homcgrown community organizations.
From thc timc ! rcturncd to 8razil in + to undcrtakc this lollowup study
until :oo, whcn this account was writtcn, incrcasing numbcrs ol communitics
havc bccn takcn ovcr by onc ol thc thrcc facoes (drug gangs): thc Commando
\crmclho (C\), thc Tcrcciro Commando (TC), or thc Amigos dos Amigos
(AMA)(Fricnds ol Fricnds).
:nv voiicv
Tc policc arc thc lacc ol thc statc in thc lavclas. Tcy arc thc most visiblc gov
crnmcnt prcscncc in thcsc communitics, and thcy contributc to thc problcm
vicuvv . + Tc criminalization ol povcrty and thc militarization ol thc policc crcatc
constant lcar and intimidation lor anyonc living in a lavcla. (Photo uscd with pcrmission
lrom O Globo)
V I O L E N C E , F E A R , A N D L O S S [ 1 6 7 ]
by thcir unwarrantcd usc ol lcthal lorcc, tcchnically rclcrrcd to as cxtrajudi
cial violcncc. Community rcsidcnts considcr thc policc worsc than thc tra c
bccausc thc policc cntcr thc lavclas prcparcd to kill anything that movcs and
lcavc oncc thcy arc nishcd. nc woman lrom Nova 8raslia told mc that thc
policc suspcctcd a dcalcr was hiding in hcr housc, so thcy brokc down thc door,
rampagcd through thc living room and bcdroom, and shot hcr husband as hc
was coming out ol thc showcr, prcparing to go to work. Tcy told hcr to stay
insidc and not try to gct him to a hospital until thcy had complctcd thcir morn
ings work thcrc.
Sccurity is a lunction ol statc govcrnmcnt in 8razil. Citics do not havc a
rcgular policc lorcc. !n +o a Municipal Guard was crcatcd undcr thc o cc
ol thc mayor. Tc guards arc unilormcd but unarmcd. Tcir bricl is ncithcr to
maintain ordcr dircctly nor to conduct invcstigations. All thcy arc authorizcd
to do is givc tra c tickcts and intcrvcnc in public disturbanccs, a limitcd scopc
ol action at bcst.
Tc policc who appcar in lavclas arc thc Polcia Civil (Civil Policc) and thc
Polcia Militar (Military Policc). 8oth arc part ol thc Scgurana Publica (Public
Sccurity), which rcports to thc govcrnor and is paid by thc lcdcral govcrnmcnt.
Tc Civil Policc arc rcsponsiblc lor invcstigativc lunctions in criminal justicc.
Tc Military Policc arc part ol 8razils national dclcnsc apparatus. Tcy arc
hcavily armcd and thcy apprchcnd suspccts, whom thcy thcn turn ovcr to thc
Civil Policc lor invcstigation and proccssing. !n somc ways, thc Military Policc
arc similar to thc U.S. National Guard. Tcy work lor thc statc govcrnors but
arc paid by thc lcdcral govcrnmcnt. Tc cntranccs to wcalthy ncighborhoods in
Rio havc Military Policc stations thc sizc ol tclcphonc booths, in which o ccrs
arc stationcd to maintain ordcr. 8oth thc civil and military policc havc clitc
squads: thc 8atalhao dc pcracocs Policias spcciais (8P) in thc Military
Policc and thc Corcnadoria dc Rcscursos (CR) Spccial pcrations Group
in thc Civil Policc.
!n +8o8, whcn thc Portugucsc royal court movcd to 8razil, King Joao \! pat
tcrncd his Royal Palacc Guard altcr thosc whom hc had commandcd in Lisbon.
Vhcn thc monarchy rcturncd to Portugal, thc city ol Rio dc Janciro bccamc
thc lcdcral district, and lrom +88 until +6o thc lcdcral policc patrollcd Rio.
Vith thc moving ol thc national capital to 8raslia in +6o, Rio lost its lcdcral
district status.
Tc rolc ol thc policc has ncvcr bccn clcarly dcncd in Rio. Sincc thc policc
cvolvcd lrom thc palacc guard ol thc monarchy, thcy rctain a scnsc ol absolutc
authority morc appropriatc to a monarchy than to a dcmocracy. uring thc :o
ycars ol dictatorship (+68), thc distinction bctwccn military and policc lunc
tions continucd to bc blurrcd. Tc rigid hicrarchy and strict adhcrcncc to ordcr
that arc ccntral to military training bccamc part ol thc policc culturc. Tis mixturc
has rcsultcd in a uniquc stylc ol policing in Rioindccd in all ol 8razil. Tc low
[ 1 6 8 ] F A V E L A
pay lor thc avcragc policcman, around oo rcais pcr month (US8:oo) is an invita
tion to gralt, corruption, and rctribution. Most ol thc policc violcncc in lavclas is
committcd by thc Military Policc, but both spccial lorccs, 8P and CR, arc
spccially traincd lor violcnt conlrontations and known lor thcir brutality.
Govcrnors ol Rio statc havc traditionally bccn rcluctant to call on thc lcdcral
lorccs lor hclp, as thcsc lorccs arc gcncrally undcr thc control ol an opposing
political party, and, as thc govcrnors oltcn havc prcsidcntial aspirations, thcy do
not wish to appcar wcak. !n cxtrcmc situations, such as thc onc in thc Com
plcxo dc Alcmao in July :oo, thc rcluctant govcrnor ol Rio statc callcd in thc
lcdcral policc, who marchcd cight abrcast, down thc main avcnucs. Tc rcsult
was ncithcr an cnd to thc violcncc nor hclp lor its victims.
Tc currcnt govcrnor ol thc statc ol Rio, Scrgio Cabral, was clcctcd on thc
basis ol his antiviolcncc and anticorruption campaign. At thc cnd ol cccmbcr
:oo, bclorc his January inauguration, thc drug kingpins stagcd massivc city
widc actions protcsting his taking thc post. Tcy paralyzcd thc city lor scvcral
days, but Cabral did assumc his post as govcrnor and has cndcavorcd to gct thc
situation undcr control. As ol cccmbcr :oo8, hc had succccdcd in clcaning up
onc ol thc oldcst and bcst organizcd lavclas ol thc South Zonc, Santa Marta,
which has a valiant history ol indcpcndcnt community organizing going back
scvcral gcncrations. !t would bc a grcat victory lor thc pcoplc and thc statc il
thcy succccd in maintaining Santa Marta lrcc lrom any drug laction and lrom
any militia.
:nv scovv ~xu s:viv ov :nv xvw vioivxcv
!l thc grcatcst changc in Rios lavclas lrom thc +os to :ooo was thc cntrancc
and takcovcr by drug gangs, thc grcatcst changc sincc :oo was thc risc ol armcd
militias. Tcsc scllappointcd, oduty, or rctircd policcmcn takc law and ordcr
into thcir own handssomctimcs in opposition to thc tra c, somctimcs in
complicity with thcm. 8ctwccn :oo and :oo, ! witncsscd an incrcasc in thc
numbcr ol lavclas controllcd by militias, now said to bc wcll ovcr +oo. Tcsc
vigilantc groups purport to cxpcl thc drug gangs and ocr protcction to thc
community. Any sccurity thcy providc thc rcsidcnts comcs at a stccp pricc.
Tc militias imposc sti lccs on thc rcsidcnts lor normal aspccts ol thcir
daily livcs, including cntcring and cxiting thc lavcla, travcling by taxi or motor
bikc lrom thc lavcla cntrancc up to thcir homcs, and dclivcry ol thc propanc
gas canistcrs uscd lor cooking. Tcsc arc taxcs thc poor can ill aord to pay, yct
thcy havc no choicc.
As janira cxplaincd to mc, Tcy |thc militias| control cvcrything, thcy
imposc curlcws, thcy makc you pay lor coming and going in your own com
munity. . . . !l you dont do what thcy say, thcy shoot younot to wound but to
kill. Tats thcir way.
V I O L E N C E , F E A R , A N D L O S S [ 1 6 9 ]
ncc again, thc lavcla rcsidcnts havc tradcd onc lcar lor anothcr. Vhcrc lcar
ol rcmoval was rcplaccd by lcar ol thc drug tra c, now lcar ol thc drug tra c
has bccn rcplaccd by lcar ol thc militias. Vhatcvcr lrccdom Rios poor had is
now brutally curtailcd as thcy nd thcmsclvcs trappcd bctwccn thc policc, thc
dcalcrs, and thc vigilantcs.
n Friday, Junc +, :oo8, thc Ne. York Times ran a lullpagc piccc undcr thc
hcadlinc !n Rio Slum, Armcd Militia Rcplaccs rug Gangs Criminality with
!ts wn.
1
!n thc articlc, it was cstimatcd that closc to +oo militias (opcrating
scparatcly) havc takcn ovcr lavclas lrom thc tra ckcrs.
v~cv ~xu vowvv
!t is not surprising that thc policc in Rio arc violcnt and corrupt. Tcy arc
undcrpaid and alraid. Many ol thcm grcw up in and still livc in lavclas thcm
sclvcs. For many, joining thc policc lorcc was an attcmpt to gain rcspcct. Vhcn
policc arc not rcspcctcd, thcy intimidatc. At a mothcrs group discussion !
attcndcd, thc womcn commcntcd that thc black policcmcn wcrc thc most arro
gant and violcnt: morc likcly to havc a drink and sandwich at a local bar and
walk o without paying, morc likcly to usc thcir guns and abusc thcir powcr.
vicuvv . : Hclicoptcr survcillancc scrvcs to rcinlorcc thc attitudc that lavcla rcsidcnts
arc suspccts. Vomcn hanging out thcir wash to dry arc conlrontcd by a loadcd assault
wcapon pointing right at thcm. (Photo uscd with pcrmission lrom O Globo)
[ 1 7 0 ] F A V E L A
Tc womcn cxplaincd this by saying that blacks got lcss rcspcct lrom socicty
than whitcs and that many grcw up in violcnt homcs.
Tc racc qucstion in 8razil and in Rios lavclas is a subjcct lor anothcr book.
Although thc lavcla population in thc placcs ! studicd wasand continucs to
bcabout oncthird whitc, oncthird mulatto, and oncthird black, a much
highcr pcrccnt ol Rios total black population livc in lavclas than do whitcs.
As dgar Pictcrsc says, thc intcrtwincd position ol bcing social outcasts and
bcing cconomically rcdundant dooms black youth to truncatcd luturcs as long
as thc criminal justicc institutions ol thc statc arc not translormcd to cmbracc
a philosophy ol inclusion.
2
!n 8razil, thc qucstion ol racial catcgorization is tricky in itscll. Altcr gcn
crations ol intcrbrccding, gradations and combinations ol skin color, hair typc,
and lacial lcaturcs arc innitc and, as Conrad Kottak showcd dccadcs ago, thcrc
is no conscnsus rcgarding what racial tcrm to usc lor any combination ol thcsc
attributcs.
3
8razils mythical racial dcmocracy, hiding bchind class dicrcnccs,
has long sincc bccn cxposcd lor what it was, but thc notion ol 8lack Pridc,
importcd lrom thc Unitcd Statcs, has inucnccd thc pcrccption ol color so
grcatly that many ol our original intcrvicwccs who had classicd thcmsclvcs as
whitc in +6 changcd thcir dcsignation to morcno or mulatto in :oo+. Many
who had told us thcy wcrc mulatto or Morcno back thcn now claimcd to bc
black.
Tis is a complctc rcvcrsal ol thc traditional pattcrn ol whitcning a pcrsons
racial dcsignation according to wcalth, cducation, or prolcssion. A black doctor,
lor cxamplc, would bc listcd as mulatto, whilc a mulatto with a Ph.. might bc
callcd moreno claro (light morcno) or whitc. ! rccall lrom my rst visit that whcn
womcn wcrc prcgnantwhcthcr in thc countrysidc or thc citylamily and
lricnds always said, ! hopc thc baby comcs out claralight skinncd. 8razil,
whcrc ncarly cvcryonc has somc black blood, docs not usc thc samc racial dc
nitions wc do in thc Unitcd Statcs. Tcy usc skin color not anccstry in dcning
racc. Tus, a singlc lamily can havc childrcn ol scvcral racial catcgorics.
!n an intcrvicw with a couplclormcr Catacumba rcsidcntsnow living in
a dcnscly packcd housing complcx known as Cruzada Sao Scbastiao, ! askcd
whcthcr racial discrimination cxists in 8razil and whcthcr it had gottcn bcttcr
or worsc in thc past o ycars. Tc couplc had ninc childrcn, somc ol whom wcrc
hanging around, sitting on thc cdgc ol thc couch or watching thc tclcvision. Tc
lathcr answcrcd rst, saying that in 8razil thcrc was no racial discrimination.
! was writing down his answcr whcn his wilc intcrruptcd. How many ol our
childrcn havc jobs: shc askcd him. Hc countcd up, thinking ol cach in turn
and said, vc. Ycs, vc, shc rcpcatcd, and what is thc dicrcncc bctwccn thosc
with and without jobs: Hc hcsitatcd, and shc turncd to mc and said, !n this
racial dcmocracy, all ol our lightskinncd childrcn arc cmploycd, and all ol our
darkcrskinncd childrcn arc uncmploycd. Shc rcstcd hcr casc.
V I O L E N C E , F E A R , A N D L O S S [ 1 7 1 ]
so:v s:~v:ii xc s:~:i s:ics
A UN study ol violcncc in 6o countrics bcstowcd on 8razil thc dubious distinc
tion ol having thc highcst ratc ol homicidc in thc world. Nincty pcrccnt ol thc
homicidcs in 8razil arc causcd by rcarms. Tc rcport strcsscd that most ol thc
lcthal violcncc is conccntratcd in citics, with thc ratcs highcr in thc lavclas and
othcr low incomc arcas than in thc population at largc.
4
Sadly, thc marvclous city ol Rio dc Janciro is onc ol thc most violcnt
citics in thc world. !ts homicidc ratc is among thc highcst ol all 8razil
ian citics. !n :oo6, Rios homicidc ratc was . pcr +oo,ooo (an absolutc
numbcr ol :,: pcoplc), with Sao Paulo sccond, at :. pcr +oo,ooo. Tc
ratcs ol violcncc wcrc so bad in :oo bclorc thc Pan Amcrican Gamcs that
thc govcrnmcnt proposcd building a high, impcnctrablc wall around all thc
lavclaslitcrally crcating a wallcd lortrcss within thc city, to protcct thc
city. Tc dcath toll lor onc day ( Junc :6, :oo) during this pcriod was ::
pcoplc killcd and ++ woundcd in Nova 8raslia and thc ++ othcr lavclas that
comprisc thc Complcxo dc Alcmao. An army ol ovcr +,o mcn backcd by
tanks and hclicoptcrs was mobilizcd in an cort to hunt down gang lcadcrs
and mcmbcrs thcrc.
5
!t was cvcn worsc in :oo:, according to onc sourcc who quotcd a murdcr
ratc lor that ycar ol 6:.8 cascs pcr +oo,ooo rcsidcnts. !n both Rio and Sao
Paulo, thc homicidc ratc droppcd bctwccn :oo: and :oo6but to givc a scnsc
ol thc dcath ratc in Rio, imaginc what it was likc to losc almost o,ooo pcoplc
(morc than thc total population ol many 8razilian municipalitics) to homicidcs
bctwccn +8 and :ooo.
6
Comparablc gurcs cxist lor thc city, thc mctropolitan rcgion, and thc statc
ol Rio. As ol :oo, thc homicidc ratc ol thc mctropolitan arca was closc to 8o
victims pcr wcck, with thc majority dying by assassination, assault, or stray bul
lcts. !n thc samc ycar, Rio statc had murdcrs pcr +oo,ooolour timcs thc
ratc in thc Sao Paulo mctropolitan arca, thc sccond most violcnt arca.
Tc lavclas and othcr poor communitics havc bccomc thc lrontlincs ol
8razils drug wars. !l thc victims had bccn lrom !pancma, Lcblon, Lagoa, or
Gavca in thc South Zonc, thcir dcaths would havc crcatcd a scandal, and thc
rcsponsc would havc bccn immcdiatc and dccisivc. Tc livcs ol thc poor arc
sccn as lcss valuablc. As ! mcntioncd carlicr, my collcaguc lrom Caxias, Jos
Claudio, said to mc, !n thc 8aixada you havc to kill six to scvcn at oncc to gct
into thc ncwspapcr.
Many ycars ago, whcn ! was in Cartagcna, Colombia, lor a conlcrcncc on thc
inlormal scctor, ! was scatcd ncxt to thc citys mayor, who was a mcdical doc
tor, spccializing in cpidcmiology. Vhcn ! askcd him what thc worst cpidcmic
in his city was, hc said, violcncc. !t took mc awhilc to rcgistcr what his answcr
mcant, but ! ncvcr lorgot it. An cpidcmic ol violcncc is prcciscly what ! havc
[ 1 7 2 ] F A V E L A
sccn in Rio. And likc any cpidcmic, this onc docs not strikc all scgmcnts ol thc
population cqually. Youth arc thc most lrcqucnt victims.
vou:n ~s vioivxcv vic:i :s
Among 8: countrics survcycd in a study by Liana Lcitc in :oo8, 8razil
ranks lourth in violcnt dcaths ol youth agcd +: ycars. Tc ratc was .6
dcaths pcr +oo,ooo in :oo. Tc mortality ratcs attributablc to violcncc havc
droppcd slightly sincc :oo, duc to a scrics ol youthlocuscd policics, includ
ing a disarmamcnt campaign that ocrcd amncsty and paymcnt lor wcapons
surrcndcrcd. Howcvcr, thc ratcs ol mortality by violcncc rcmain among thc
highcst in thc world, and thc gurcs arc sobcring. A + to :ycarold in
8razil is +o pcrccnt morc likcly to bc a homicidc victim than thosc youngcr
or oldcr.
7
Rios murdcr ratcs lor youth arc highcr than thc 8razilian ratcs. Rio has thc
highcst absolutc numbcr ol youth killcd by assassination ol all 86 citics in thc
Lcitc study. !n :oo6, 8 young pcoplc wcrc killcd in Rio, which translatcs into
8.6 violcnt dcaths ol youth lor cvcry +oo,ooo inhabitants. Tc rcport attributcs
thc high numbcr ol homicidcs among youth in Rio to high lcvcls ol social
cxclusion. Tc analysts uscd a mcasurc ol incomc incquality in a multivariatc
statistical analysis and lound that social cxclusion lcvcls accountcd lor 6. pcr
ccnt ol thc variation in youth murdcr ratcs among citics. 8ut not all youth who
livc in Rio sharc thc samc probability ol bcing murdcrcd. Studics conductcd by
thc Laboratrio dc Anlisc da \iolcncia (Laboratory lor Analysis ol \iolcncc)
at thc Statc Univcrsity ol Rio dc Janciro show that, holding thc social cxclusion
lcvcls constant, somc youth arc at grcatcr risk than othcrs. Tcy lound markcd
dicrcnccs in thc homicidc ratcs lor youth dcpcnding on agc, racc, gcndcr, and
povcrtyand whcthcr thcy livc in a lavcla or in thc lormal city.
8
Tablc .+, comparing homicidc ratcs by gcndcr and agc, dcmonstratcs thc
point. Tc numbcr ol malc dcaths is signicantly highcr than lcmalc dcaths,
and thc agc rangcs show widc variations, with thc highcst numbcr ol dcaths lor
thosc agcd :o:at o pcr +oo,ooo.
Vhilc lavcla rcsidcnts do not havc thcsc gurcs at hand, thcy arc wcll awarc
ol thc vulncrability ol thcir sons. Z Cabo told mc that thc onc thing that hc
was most proud ol in his lilc is that nonc ol his childrcn had joincd thc tra c.
Adao, anothcr parcnt in Nova 8raslia (! tcll his story in chaptcr ), is unablc to
disciplinc his :oycarold son bccausc thc boy thrcatcns to join thc tra c il hc
cannot do as hc plcascs.
Tc trcnd is lor childrcn to cntcr thc tra c at incrcasingly youngcr agcs.
Tcy arc rccruitcd to bc spics (olheiros) and carricrs (a.ies), or jcts bccausc thc
laws protcct minors lrom going to jail. As Nilton, my lricnd lrom Guapor,
cxplaincd, !n all thc talk ol rights ol childrcn, wc lorgot about thc othcr sidc
V I O L E N C E , F E A R , A N D L O S S [ 1 7 3 ]
thc tra c rccruits kids undcr + bccausc thcy havc impunity and cannot bc
prosccutcd in criminal court. Tcy havc a short lilc cxpcctancy.
i xcvvui vx:s ov :nv vioivxcv s:vw~ MI STUF F I N
Vhcn ! bcgan this rcscarch work in +68, nonc ol thc communitics ! sclcctcd
was particularly violcnt. At that timc, thc lcar outsidcrs had ol cntcring lavclas
was not warrantcd by thc lacts. ! think it had morc to do with thc othcrncss
an alicnation that was rclatcd to thc imagc ol marginal masscs invading thc
citadcl ol thc clitc.
vcn thcn, howcvcr, thcrc was morc violcncc in thc city than in thc country
sidc. ! rccall that in thc list ol things that pcoplc rcportcd thcy most likcd and
dislikcd about living in Rio, +6 pcrccnt said thcy dislikcd thc violcncc. !n thc
rcstudy, that rcsponsc was 86 pcrccnt. ! had no way ol prcdicting that Nova
8raslia and Caxias would bccomc two ol thc most dangcrous placcs in thc city
o ycars latcr.
Among thc coping mcchanisms lor living undcr a statc ol sicgc is a ccr
tain physical displaccmcnt ol dangcr. !t took mc awhilc to rcgistcr this, but !
noticcd that in all my convcrsations and intcrvicws, cvcry pcrson ! spokc with
said (as ! notcd carlicr) that his or hcr particular arca ol thc community was
salcr, morc tranquilo (pcacclul) than that part ovcr thcrc, which was rcally vio
lcnt and dangcrous. For cxamplc, thc rcsidcnts ol thc conjunto ol Quitungo
rarcly darcd to go to thc conjunto ol Guapor, and vicc vcrsacach thinking
thc othcr was too dangcrousand rcsidcnts ol both avoidcd passing through
thc lavcla ol Piqucri, which lay bctwccn thcm, cvcn though it was thc shortcst
:~niv . + Homicide Fates per 100,000 People by Gender
and ge of the City of Fio de Janeiro
ge Fange Gender Total
Male Female
o ycars
+.8
+.o6 +.
+o+ ycars +.:6 6.: .8o
++ ycars ::.8 +. +::.
:o: ycars o. ++.6 +.o8
:: ycars :.6 +:. +:o.6
o ycars +o.: .6 66.:
o ycars 8.6 6.6: .
o ycars 8.o .6 :.+
6o ycars or oldcr :8. 6.o +.:
Total +o8. .8o .+8
Source: Cano et al., !mpacto da \iolcncia, URJ (:oo)
[ 1 7 4 ] F A V E L A
routc. An cxccption was ccrtain arcas ol Nova 8raslia, ncar thc Praa do Tcro
and up by Z Cabos housc, whcrc thc violcncc was so pcrsistcnt that cvcryonc
acknowlcdgcd it was hcll to livc ncarby.
Still, during thc timc ! was doing cld rcscarch, ! was not lully awarc ol thc
dirc naturc ol thc Rio situation in comparison to that in othcr largc citics in
Latin Amcrica or in thc world. ! saw thc dcath tolls lrom drug wars and policc
raids in thc papcrs and on tclcvision, but ! did not rcalizc that Rio had thc high
cst homicidc ratcs ol any city in thc world, or that thc numbcr ol adolcsccnt
boys killcd or thc murdcr ratc by policc wcrc scvcral magnitudcs highcr than in
citics ol similar sizc.
How can ! cxplain this: How did things gct so violcnt, whcn Cariocas (Rio
rcsidcnts) sccm morc inclincd to bc acctionatc, gcncrous, and casygoing than
thc pcoplc in thc othcr :o mcgacitics in which ! havc workcd: !n grappling
with this qucstion, ! camc to thc conclusion that thc answcr lics in a mistura
nathc nc mixturc ol +o ingrcdicnts that havc simmcrcd simultancously
ovcr thc past :o ycars to crcatc this stcw ol violcncc. Likc thc 8razilian lcijoada,
originally madc by thc slavcs who addcd unwantcd discardcd picccs ol mcat
to thcir ricc and black bcans, this ncmix ol violcncc could ncvcr havc bccn
planncd. !t is thc brcw ol lcltovcrs and lcltouts.
! count tcn csscntial ingrcdicnts lor this lcijoada: (+) stigmatizcd tcrritorics
within thc city that arc cxcludcd lrom statc protcction, (:) incquality lcvcls
among thc highcst in thc world, () a highpriccd illcgal commodity with thc
alchcmists allurc ol turning povcrty into wcalth, () wcllorganizcd, wcllcon
ncctcd drug gangs and nctworks, () casy acccss to sophisticatcd wcaponry,
(6) an undcrpaid, undcrstacd, unaccountablc policc lorcc, () a wcak govcrn
mcnt indicrcnt to thc rulc ol law, (8) indcpcndcnt militias and vigilantc
groups who can kill at will () a powcrlcss population ol ovcr million pcoplc
in povcrty, and (+o) a scnsationalist mass mcdia cmpirc lomcnting lcar to scll
advcrtising and justily policc brutality.
i xcvvui vx: +: s:ic:~:i zvu :vvvi :ovi vs vxciuuvu
vvo: s:~:v vvo:vc:iox
Sincc thcir inccption, lavclas havc bccn considcrcd a nomansland. Tcy arc
dccmcd to bc outsidc thc statcs mandatc to protcct lilc and limb or to cnsurc
thc pcrsonal sccurity ol citizcns. !t took almost +oo ycars lor lavclas to appcar
on city mapsduring which timc thc numbcr ol inhabitants grcw to a third ol
thc total city population.
Tc policc harassmcnt and mistrcatmcnt ol lavcla rcsidcnts gocs back a long
way. ! lcarncd about thc vagrancy laws lrom my lricnd Hlio Grandc, who said
thcy wcrc cnactcd to kccp thc pcoplc lrom thc lavclas lrom loitcring. Hc
vividly rcmcmbcrcd bcing arrcstcd whilc walking homc to Catacumba lrom a
V I O L E N C E , F E A R , A N D L O S S [ 1 7 5 ]
ncarby party, onc night in +, whcn hc was +. Tc policcman, assuming that
any darkskinncd youth lrom a lavcla out alonc at ~.:. was up to no good,
grabbcd him, took him into custody, and put him in thc local prccinct jailhousc
ovcrnight. !t was only whcn thc policc chicl arrivcd in thc morning and rccog
nizcd Hlio as thc champion socccr playcr on his sons tcam ncar thc Lagoa that
Hlio was pcrmittcd to lcavc.
Altcr thc coup ol +6 cstablishcd a military dictatorship, policc saw thc
lavclas as cncmy tcrritory harboring communists and criminals. Tcrc wcrc
many unhccdcd complaints ol policc brutality, but both thc mayor and gov
crnor ol Rio wcrc appointcd, not clcctcd, during that timc, and thcrc was no
rccoursc.
Lconcl 8rizola was clcctcd statc govcrnor in +8: whcn thc military gov
crnmcnt was still in powcr but thc political opcning had bcgan. !n +8 hc
lorbadc thc policc to cntcr thc lavclas. !t is unclcar whcthcr hc intcndcd
to protcct thc lavcla rcsidcnts lrom policc brutality that had bccn going on
during thc dictatorship or whcthcr hc cut a dcal with thc criminals to gct
thcir support in rcturn lor not allowing policc to cntcr thcir tcrritory. !n any
casc, his dccision dcprivcd lavclas ol statc protcction. Tc abscncc ol policc
in thc lavclas madc thcm attractivc locations lor thc illicit activitics ol thc
tra ckcrs. Tc abncgation ol policc rcsponsibility lor salcty and sccurity in
thc lavclas, which happcncd around +8, coincidcd with thc risc ol thc drug
tra c. Vithin vc ycars, thc tra c had bccomc su cicntly wcll organizcd
and wcll armcd to takc control ol many lavclas and had bcgun to challcngc
thc hcgcmony ol thc statc in thcsc arcas. Tc lcvcl ol violcncc and thc cxtraor
dinary sums ol moncy involvcd in thc narcotra c ncccssitatcd a rcvcrsal ol
thc carlicr ordcr lor policc not to cntcr lavclas. As ! undcrstand it, by +o,
thc Military Policc wcrc cntcring thc lavclas cn massc, not to protcct thc
rcsidcnts but to kill thc local drug lords and to conscatc drugs and arms.
8ctwccn +8 and +o, thc lavclas gradually bccamc lair gamc lor policc
survcillancc and coordinatcd raids.
Tc topography ol thc lavclas makcs thcm idcal hiding placcs. Tc natural
cnvironmcnt is oltcn hilly and stccp, with vcry narrow passagcs crawling up to
thc topmost parts ol thc scttlcmcnt, and plcnty ol trccs and rocks lor hiding
placcs. Tc built cnvironmcnt takcs advantagc ol thc topography by using cvcry
inch ol spacchouscs arc built on stilts, and in back ol, on top ol, alongsidc,
undcr, and ovcr othcr houscs. !t is casy to gct lost in thc mazc, and that is a
sccond lactor making lavclas idcal placcs to hidc. Tc ultimatc advantagc lrom
a stratcgic point ol vicw is that most lavclas arc on hillsidcs, providing vantagc
points lrom which to look down on anyonc coming up thc cntryways. Tis
makcs thcm casily dclcndablc.
As Z Cabo put it, thc urban tcrritory ol thc gente humilde (humblc lolk)
no mattcr which way you look at itis outsidc thc control ol thc statc.
[ 1 7 6 ] F A V E L A
i xcvvui vx: :: vx:vv:v i xvgu~ii :v, vovvv:v,
~xu i~cx ov j on ovvov:uxi :i vs
!ncquality lcvcls in Rio, likc thosc ol 8razil in gcncral, arc among thc high
cst anywhcrc. Scvcral ycars ago, thc Unitcd Nations cvclopmcnt Programmc
dcvclopcd a qualityollilc indcx callcd thc Human cvclopmcnt !ndcx (H!),
which includcs cducation, lilc cxpcctancy, and hcalth carc as wcll as pcr capita
incomc. Tc indcx, rating cach issuc lrom a low ol o to a high ol +, can bc
uscd to comparc countrics, citics, and ncighborhoods ol any sizc. Tc Com
plcxo dc Alcmao, whcrc Nova 8raslia is locatcd, scorcs lowcr than Gabon and
much lowcr than Capc \crdc, whilc South Zonc ncighborhoods such as Gavca
and Lagoa havc living standards comparablc to Scandinavian countrics.
9
8ut
rathcr than bcing contincnts apart, rcsidcnts ol Nova 8raslia and Gavca cocx
ist within an hours bus ridc in thc samc city and pay thc samc priccs lor lood,
clcctricity, public transit, and othcr basics.
Tis makcs thc scnsc ol rclativc dcprivation much morc acutc lor lavcla
youth. Tcir aspirations arc sct by thc consumption standards thcy constantly
scc on tclcvision and arc rcinlorccd cvcry timc thcy cntcr thc wcalthy South
Zonc.
nc young man ! mct whilc on my way to an intcrvicw in thc lavclas had
scvcral ccll phoncs, pagcrs, and bccpcrs attachcd to his bclt or in his pockcts, as
wcll as a portablc mcdia playcr in his hand. ! askcd him why hc nccdcd all that
stu, hc asscsscd mc, thcn smilcd, and said, h, nothing. Tcy dont work. !
nd thcm in thc trash and ! likc to wcar thcm. Hc was acccssorizcd in status
symbols, and hc gavc mc a hcarty thumbsup and Scc you around whcn hc
saw that ! caught on. Tat was charming in its own way, but cvcryonc knows ol
similar young pcoplc killcd ovcr a pair ol brandnamc sncakcrs.
Gang mcmbcrs oltcn mcntion thc lrccdom ol having cash to spcnd as
onc ol thc payos lor cntcring thc tra c. Tcy dont bccomc rich ovcrnight,
but thcy might carn in a singlc wcck thc cquivalcnt ol what thcy could carn
ovcr scvcral months at a minimum wagc joband thcy do not incur thc cost
ol transportation and bringing or buying lunch. Tcir rolc modcls havc such
prcstigc itcms as motorcyclcs, gold chains and rings, dcsigncr shirts and shocs,
and uncnding supplics ol gilts lor thc most dcsirablc young womcn in thc
community.
Tcrc is no rcady altcrnativc to this lcvcl ol carning outsidc thc drug tradc.
10

8ut thcrc is a high pricc to pay. As onc young man in Guapor told mc, on
condition ol anonymity, Tra c pays wcll but you dont rcach o! Vc lovc thc
importcd sncakcrs and brandnamc clothingsomctimcs wc usc up all our
moncy on prcstigc itcms and clothingsomctimcs wc hclp support our lami
lics. . . . !t is an cscapc lrom povcrty but. . . . id you cvcr wondcr why you ncvcr
scc an aging dcalcr:
!n an intcrvicw about drugs, M\ 8ill, thc rap star and youth activist, said:
V I O L E N C E , F E A R , A N D L O S S [ 1 7 7 ]
!t brcaks my hcart to say this, but crimc nowadays has tragically bccomc a grcat
choicc lor thosc who arc born with no prospccts. ! am not going to bc hypocriti
cal and say thc oppositc bccausc this . . . is thc truth. . . . ! havc di culty saying to
somconc Gct out ol thc drug tra cbccausc ! dont havc anything bcttcr to
ocr. And it is not cnough to ocr charity assistancc bccausc tclcvision shows thc
good things in lilc, and this is what cvcrybody is altcr.
11
!n :oo, whilc ! was visiting thc lavcla ol Rocinha with my husband, hc
mcntioncd to a local community lcadcr who was accompanying us that thc boys
who wc saw ying kitcs lrom thc rools ol thc houscs all around us wcrc ying
thcir drcams. Tis was a poctic thought ol which my husband was quickly dis
abuscd. Not at all, hc was told, that is thc way thcy signal to customcrs that a
drug shipmcnt has arrivcd in thc lavcla.
i xcvvui vx: : ~ nicnvvicvu i iivc~i
co::oui :vcoc~i xv
!n thc mid+8os, coinciding with thc cnd ol thc dictatorship and thc risc in
globalization, Rio dc Janciro bccamc thc main South Amcrican distribution
ccntcr lor cocainc and marijuana to uropc (via North Alrica) and thc Unitcd
Statcs (via Miami and Ncw York).
Tc marijuana tradc had bccn prcscnt in 8razil at lcast sincc ! livcd thcrc
in thc +6os, but it was only with thc divcrsion ol thc cocainc tradc through
Rio, bcginning in thc mid+8os, that thc cxplosivc mixturc ol cash and crimc
bcgan to dcvastatc lilc in thc lavclas.
12
8razil docs not havc thc propcr climatc lor thc cultivation ol coca, thc raw
matcrial uscd to makc cocainc. Coca grows idcally at high altitudcs in cool
climatcs. 8razil bccamc involvcd as a rcpackaging and distribution hub whcn
thc Unitcd Statcs Var on rugs closcd down Colombias bordcrs, crcating
thc nccd lor ncw distribution routcs. !t was a natural option duc to thc impos
sibility ol controlling 8razils vast pcrimctcrs and thc possibility ol cntcring thc
country by land or watcr. Morc rcccntly, thc junglcs ol 8razil at thc bordcrs
with Paraguay, 8olivia, Colombia, and Pcru havc bccomc sitcs lor proccssing
laboratorics that manulacturc cocainc lrom thc raw coca that has bccn brought
across thc bordcr into 8razil.
Tc incrcascd volumc ol cargo tra c duc to tradc libcralization and glo
balization makcs it cvcn casicr to hidc matcrial in air, land, or sca lrcight lor
import and cxport. Rio is an idcal port as wcll as an idcal distribution ccntcr.
Cargo ships sailing lrom Rio arc chcckcd lor drugs and lound clcan. Tcy thcn
pull out ol thc harbor, and small shing vcsscls comc out at night and load thc
prccious lrcight. Tc samc thing happcns whcn boats arrivc in Rio. Tc ships
stop and o oad thc drugs onto islands just bcyond thc bayagain by shing
boatsand thc ships comc in lor o cial inspcction squcaky clcan.
[ 1 7 8 ] F A V E L A
Vhcn thc shipmcnts cntcr thc city, thcy comc in bulk and nccd to bc brokcn
down, rcpackagcd, and distributcd lrom an outolthcway placc. Rios lavclas
arc idcal lor this. Tc rich playboys (thc dcrogatory tcrm thosc in thc lavcla
usc lor thcm) makc up a signicant scgmcnt ol thc markct lor thcsc drugs, and
thcy comc to thc bocas in thc lavclas to buy thcir supplics.
Tis is a classic cxamplc ol thc rolc ol lavclas in a highstakcs global gamc.
(! rcturn to this topic in chaptcr +:.) Tc valuc chain ol production, rcncmcnt,
manulacturing, warchousing, distribution, and consumption ol cocainc locally,
nationally, and intcrnationally hingcs on spaccs ol cxclusion likc lavclas. Vith
thc collusion ol thc sccurity lorccs, thc drug gangs havc almost total control
ol thcir tcrritory, which is why so much is at stakc in thc turl wars. Tc lavclas
ol Rio, lor all thcy sucr as a conscqucncc, arc but a small cog in an cnormous
protgcncrating whccl.
13
i xcvvui vx: : wviiovc~xi zvu uvuc c~xcs
co:vv:i xc vov :vvvi :ovi ~i cox:voi
Tc rst organizcd drug gang in 8razil was born in thc prison on !lha Grandc,
in Rio statc, during thc timc ! was rst living in Rios lavclas in +6. Tc
military rcgimc madc thc mistakc ol placing political prisoncrs togcthcr with
common criminals who wcrc typically poor and oltcn camc lrom lavclas. Tc
studcnts and lcltist intcllcctuals startcd tcaching thc othcrs about cxploitation
and injusticc, whilc thc criminals taught thc lcltists how to lunction outsidc
thc law.
Tc govcrnmcnt, rcalizing its crror, thcn compoundcd it by scparating
thc inmatcs lrom !lha Grandc and scnding thcm to dicrcnt prisons around
thc countrythcrcby cnabling thcm to sprcad thcir ncw knowlcdgc. Vhcn
thc dictatorship cndcd and many got out ol prison, thcy organizcd a collcctivc
callcd thc Rcd Phalanx, latcr callcd thc Commando \crmclho (Rcd Command,
known as thc C\), Rios rst powcrlul drug gang. Tc initial capital lor thc
drug tradc was providcd by thc kingpins ol thc illcgal gambling rackct callcd
thc jogo de bicho (rclcrrcd to in nglish as thc numbcrs gamc).
14
Tis hap
pcncd just about thc samc timc that thc U.S. Var on rugs closcd Colombian
bordcrs, rcdirccting thc lucrativc cocainc tra c through 8razil, particularly
through thc port ol Rio.
Most lavclas alrcady had bocas lor locally grown marijuana. Tcsc bccamc
thc local points lor cocainc dcalcrs who sct up shop insidc thc lavclas, rccruit
ing locals to hclp work with thcm.
15
Vithin a lcw ycars, conicts ovcr thc
spoils within thc Commando \crmclho lcd to thc crcation ol two splintcr
groups that bccamc bittcr rivalsthc Tcrcciro Commando (Tird Command)
and thc Amigos dos Amigos (AMAFricnds ol Fricnds). Tcn thc wars bcgan
in carncst.
V I O L E N C E , F E A R , A N D L O S S [ 1 7 9 ]
Tings changcd vcry quickly altcr that in all ol thc lavclas. Gradually, thc
Rcsidcnts Associations wcrc takcn ovcr by thc tra c. A 88C ncws story ol July
, :oo, rcad: 8razil launchcs slum rclorm drivc: Tc 8razilian govcrnmcnt has
plcdgcd |US|8+. |billion| . . . to improvc conditions in Rio dc Janciros shanty
towns and countcr thc grip ol thc drugs gangs. 8ut no pcrccptiblc dicrcncc
has bccn sccn sincc thcn.
Lukc owdncy, onc ol thc cxpcrts in this cld, cxplains thc organizational
structurc ol thc Rio gangs as lollows:
Tc C\ |Commando \crmclho| and othcr tra cking gangs in Rio do not opcr
atc on thc traditional modcl ol an organizcd crimc unit (likc thc !talian maa),
with a powcrlul don gurc and ovcrarching hicrarchical structurc. !nstcad, thc
individual gangs installcd in various lavclas which makc up thc C\ and othcr
gangs arc linkcd through a nctwork ol a liatcd indcpcndcnt actors. . . . Vithin
an individual gang in a lavcla thcrc is a rigid hicrarchy, |but| across thc indi
vidual gangs a liatcd togcthcr through thc nctwork, thc rclationship is morc
onc ol coopcration in a horizontal nctwork ol mutual protcction than a vcrtical
hicrarchy.
16
Tc hicrarchy lrom bottom to top starts with thc aviocs, gcncrally young
boys who pick up and dclivcr thc product. Tc ncxt lcvcl is thc armcd sol
dados, thcn thc gerente da boca (boca managcr), who organizcs thc salcs and
sccurity, and abovc him, thc dono da boca (boca owncr), who is in chargc and
who arrangcs things with thc supplicrs (atacadistas, wholcsalcrs). Tc supplicrs
covcr scvcral bocas, but arc still limitcd to thc local lcvcl. Tc toplcvcl kingpins
or drug lords, thc grandes chefes (big chicls), control thc cntirc opcration.
17

Fcrnandinho 8ciraMar, onc ol thc most lamous among thcsc, is lrom thc
lavcla 8ciraMar (also known as Manguc, or swamp), which was onc ol thc
thrcc Caxias lavclas in this study. Tc rcsidcnts arc vcry proud ol him as hc con
tinucs to run thc drug tra c lrom thc maximumsccurity lcdcral pcnitcntiary
in Catanduva, Parana. Hc is thcir vcrsion ol homc town boy makcs good!
According to thc collcctivc mcctings ! hcld to rcconstruct thc history ol
cach community (thc RPs) it was not until thc carly +os that violcncc
bccamc a daily problcm and thc bailes funk (lunk balls) bccamc popular in
thc lavclas. Tcsc ritualizcd wcckcnd dancc partics hcld in thc lavclas hold a
powcrlul attraction lor wcalthy whitc youth lrom around thc city. As many as
:oo,ooo rcvclcrs may attcnd thcsc cvcnts in thc lavclas on a wcckcnd. To thc
loud, pounding bass rhythms ol +os U.S. lunk music, young pcoplc pcrlorm
danccs that mimic scxual activity. Tc lyrics arc oltcn scxually cxplicit and con
tain rclcrcnccs to violcnt acts. Tcy oltcn rclcr to womcn in dcrogatory tcrms,
lor cxamplc cachorras (lcmalc dogs) and popo.udas (largc asscs). Tc bands arc
lundcd by thc drug gangs. Tc lyrics gcncrally glorily thc gangs and thcir lcad
crs as hcroic gurcs, thc only oncs with thc guts to stand up and challcngc
[ 1 8 0 ] F A V E L A
thc policc and thc govcrnmcnt. Tcsc songs arc known as probido (cxtrcmcly
prohibitcd), as such lyrics arc against thc law in 8razil. Compact disc rccordings
ol probidao songs arc sold rcgularly undcr thc countcr in Rio. Somc scc thc
bailcs lunk as an intcgration ol youth lrom thc lavclas and lrom thc aslalto
and say thcy lcad to a bcttcr undcrstanding bctwccn classcs. thcrs scc thcm as
orgics ol scx, drugs, alcohol, and violcncc that takc an cxtraordinary toll on thc
livcs ol lavcla rcsidcnts.
i xcvvui vx: : sovni s:ic~:vu wv~voxvv
~xu ~c:ivv ~v:s :v~uv
!l thc drug gangs had only sts, knivcs, and brokcn bccr bottlcs lor ghting
(as was thc casc with thc troublcmakcrs whcn ! rst livcd in thc lavclas) thc
dcath toll would bc a lraction ol its prcscnt sizc. Todays drug gangs havc acccss
to highly sophisticatcd militarybascd automatic and scmiautomatic wcapons,
including AK, M+6, AR +, !M8L M :, FN FAL, and H&K G mili
tary assault rics, as wcll as bazookas, grcnadc launchcrs, and cvcn antiaircralt
missilc launchcrs. As ! havc mcntioncd, as thc drug dcalcrs arc bcttcr nanccd
than thc policc, thcir wcapons arc morc advanccd than thosc ol thc Military
Policc. As shown in thc documcntary Noticias de Um Guerra Particular, cvcry
lavcla child who is old cnough to talk can idcntily thc cxact modcls and typcs ol
a dozcn wcapons. Tcy grow up with thcm as thcy do with socccr and samba.
Tc policc arc a critical clcmcnt in thc prot and powcr cquation. Altcr thcy
conscatc thc wcapons in onc lavcla, thcy kccp somc and scll thc rcst to a gang
in anothcr lavcla. Most ol thcsc wcapons arc manulacturcd in thc Unitcd Statcs,
Russia, and uropc. Somc arc swappcd at thc bordcr ol Paraguay lor drugs, so
that no cash is rcquircd, or sold by rcbcl armics such as thc Rcvolutionary Armcd
Forccs ol Colombia (FARC). Arms arc a big busincss, akin to thc drug tra c.
Jailson dc Sousa c Silva, thc loundcr and dircctor ol thc bscrvatory ol
Favclas in thc Complcxo do Mar, says that it is not thc drugs that arc rcspon
siblc lor so many dcaths among thc lavcla youth, but thc arms. Hc has said that
il thc Unitcd Statcs rcally wantcd to bc a good ncighbor and hclp thc poor in
8razil, it would closc down its wcapons manulacturcrs or at lcast prohibit thcir
cxport into 8razil, Mcxico, and thc othcr Latin Amcrican countrics. Tc coun
trics that manulacturc and scll thc arms arc as much a part ol thc problcm as
thc dcalcrs, and thcy could bccomc part ol thc solution.
As onc ol thc Catacumba rcsidcnts who had bccn rclocatcd to Quitungo
said at thc RP:
\iolcncc was grcatcr in thc conjuntos causc thcy wcrc a mixturc ol pcoplc lrom
dicrcnt placcs and wc didnt know who was who. 8clorc thc rcmoval thcrc was
morc rcspcct among lamilics, youth wcrc not involvcd in violcncc, marijuana was
V I O L E N C E , F E A R , A N D L O S S [ 1 8 1 ]
thc only drug thcnit was morc about bccr and cachaa |sugar canc rum|and
thc bar ghts wcrc with sts, knivcs, or brokcn bottlcs. !ts thc guns that havc
madc thc dicrcncc.
i xcvvui vx: 6: ~x uxuvvv~i u, uxuvvs:~vvvu,
ux~ccoux:~niv voiicv vovcv
Tc policc in Rio havc a long history ol corruption and ol lunctioning without
lormal sanctions, accountability, and transparcncy. Most mcmbcrs ol thc policc
comc lrom lowincomc lamilics, many lrom lavclas. For thcm, gctting a job in
thc Military Policc is a grcat lcap upward and puts thcm undcr prcssurc to pcr
lorm wcll so that thcy can continuc to support thcir lamilics. Yct thcir salarics
arc hardly su cicnt lor a dcccnt lilc. n avcragc, thcy carn about US8ooo
pcr month (US8,:o6,ooo a ycar).
And thcy arc scarcd. !n thc lm Tropa de Elite (Te Elite Squad ), which
takcs placc in a lavcla whcn prcparations arc bcing madc lor a visit lrom thc
popc, thc policc arc shown as jittcry and anxious about carrying out a clcanup
opcration in a lavcla known lor its violcncc. !t is clcar that thcy arc outarmcd
by thc tra c. Tcy know thcy will bc at a disadvantagc cntcring turl lamiliar to
thc locals and lull ol ambush opportunitics against thcmand that thc local
rcsidcnts do not want thcm thcrc.
Tc majority ol policc rccruits arc young mcn who arc cxpcricncing powcr
and dcmanding rcspcct lor thc rst timc. ncc thcy gct thc rush ol powcr
that wiclding a lcthal wcapon givcs thcm, thcy arc sorcly tcmptcd to abusc
that powcr. Tcrc arc no sanctions or dctcrrcnts within thc lorcc. Tcy can kill
indiscriminatcly and usc torturc with impunity. And thcy makc no distinction
bctwccn lavcla rcsidcnts and drug dcalcrsall arc targcts in thcir corts to
rcstorc law and ordcr. Yct with all this lccway, Rios policc solvc only pcrccnt
ol thc murdcrs rcportcd.
18
As a largc numbcr ol murdcrs ol poor pcoplc rcmain
unrcportcd, cvcn this paltry gurc makcs thc policc look bcttcr than thcy rcally
arc. !t docs not hclp that only :o pcrccnt ol thc statc policc arc dcploycd in thc
city ol Rio, whcrc o pcrccnt ol thc murdcrs arc committcd.
Tc policc can carn a lot morc and havc much morc ccctivc wcapons whcn
thcy act in complicity with thc drug tra c. Many policc o ccrs mcct up with
thc bandidos to dividc thc spoils whcn thcir workday is ovcr. vcn my lricnd
Nilton, who was himscll in thc Military Policc, is disgustcd with this bchavior.
Hc said to mc: Tings arc quict around hcrc (Guapor)whcn onc command
is in control. 8ut il thc lcadcr is killcd or imprisoncd, all hcll brcaks loosc
thcrc is a war ovcr who will control thc turl. . . . o you think thc policc hclp
protcct thc innoccnt lrom dying:
Margarida, with whom ! had livcd in Catacumba, invitcd mc to visit hcr in
Quitungo onc altcrnoon. !t was August +:, +, and ! was just starting thc
[ 1 8 2 ] F A V E L A
rcstudy and trying to undcrstand what had changcd. Shc pickcd that timc lor
mc to comc, saying: Now it is bcttcr bccausc thc turl is dividcd. 8clorc this
it was impossiblc to havc anyonc comc ovcr or lcavc thc housc. vcryonc was
bcing killcd, mostly by pcoplc lrom outsidc our community. Vc didnt rccog
nizc thcm. Altcr thc trucc and division, ordcr was rcstorcd, and thcn wc suc
cccdcd in kccping thc policc out.
Margarida is thc lcast politicizcd pcrson ! know, but still shc sccs thc policc
as thc worst cncmy ol thc community rathcr than a sourcc ol protcction. Tis
vicw is widcly sharcd. A survcy publishcd by Human Rights Vatch in +
lound that 6 pcrccnt ol Rios population thought policc wcrc involvcd in dcath
squads, 6 pcrccnt thought thcy uscd torturc to gct conlcssions, and only +:
pcrccnt ol thosc who had bccn robbcd or assaultcd said thcy had bothcrcd
rcporting it to policc. Tcy had no laith in thc willingncss or ability ol thc policc
to cnlorcc thc law.
19
i xcvvui vx: : covvvx:vx: i xui vvvvvxcv
ach ol thc ingrcdicnts ! havc mcntioncd so lar is ncccssary but notin itscll
su cicnt to cxplain thc dcgrcc to which violcncc has gottcn out ol hand and
takcn ovcr daily lilc in Rio. Tc inability ol thc statc to maintain thc rulc ol law
is csscntial to thc mix. Tc indicrcncc ol thc govcrnmcnt to what occurs in
thc lavclas opcns thc spacc lor thc catandmousc gamc that thc tra c and thc
policc arc playing. !t also mcans turning a blind cyc to convcnicnt paymcnts ol
drug moncy to mcmbcrs ol thc judiciary, political candidatcs, and o ccholdcrs
at cvcry lcvcl.
As this book gocs to prcss, twcntyvc ycars havc passcd sincc thc rcturn to
dcmocracy in 8razil. Tat is thrcc ycars longcr than thc duration ol thc military
dictatorship. Pcoplc who turncd voting agc in +8 arc now ovcr o, and many
havc childrcn ol voting agc thcmsclvcs. Yct, to usc Jamcs Holstons dcadon
phrasc, 8razil rcmains an incomplctc dcmocracy,
20
with a wcak govcrnmcnt
and a population dividcd bctwccn lull citizcns and pscudocitizcns.
Rcgina, Margaridas ncighbor in Quitungo, is a rcgistcrcd nursc who was
: whcn shc was rcmovcd lrom Catacumba. Tc govcrnmcnt docs nothing
to hclp us shc said. !n tcrms ol thc community, all ! ask lor is rcspcct lor our
livcsbut its not good. Tc gun battlcs arc out ol controlwc worry about our
lamilics all thc timcthis is no way to livc! Vhcrc is thc govcrnmcnt:
As thc sociologist Loc Vacquant sccs it, govcrnmcnt policy is implcmcntcd
on a shorttcrm basis in thc lavclas, strictly to put a stop to incidcnts ol civil
unrcst and
lor its broadcr thcatrical valuc in thc cycs ol middlc and uppcrclass audicnccs.
To thcm thc statc ocrs thus a vivid public pcrlormancc ol criminal policy as
V I O L E N C E , F E A R , A N D L O S S [ 1 8 3 ]
thc shcdding ol thc blood ol thc loathsomc and dcspoilcd poor, thc rootlcss,
usclcss, and lacclcss individuals who stand as thc living antonyms to thc propcr
8razilian incarnation ol thc rcspcctablc and rccognizcd pcrson |gcntc|much
as thc undcrclass has bccn dcpictcd in thc U.S. . . . as thc collcctivc condcnsation
ol all thc moral dclccts and physical dangcrs with which thc dccaying inncr city
thrcatcns thc intcgrity ol thc Unitcd Statcs as a nation csscntially madc ol dcccnt,
lawabiding, suburban working lamilics.
21
Vaquant gocs on to arguc
that thc promotion ol thc markct as thc optimal mcchanism lor organizing all
human activitics rcquircs not only a minimalist small govcrnmcnt on thc social
and cconomic lront but also, and without contradiction, an cnlargcd and diligcnt
statc armcd to intcrvcnc with lorcc to maintain public ordcr and draw out salicnt
social and cthnic boundarics.
22
i xcvvui vx: 8: :i ii :i ~s ~xu vx:ov:iox
As thc drug lactions lought cach othcr ovcr thc spoils ol thc tradc and bar
gaincd with thc policc ovcr thcir takc, ncwly lormcd militias startcd taking
law and ordcr into thcir own hands. Tc militias arc not part ol a nctwork likc
thc dcalcrs or part ol thc govcrnmcnt likc thc policc. Tcy arc autonomous,
scllappointcd vigilantc groups composcd ol rctircd and oduty policcmcn
and rcmcn who takc control ol thc communitics through thcir brand ol vio
lcncc. Tcy crcatc druglrcc lavclas by shooting uscrs or scllcrs, cxccuting thosc
known to bc involvcd in thc tra c, and dcmanding complctc control ovcr all
aspccts ol lilc in rcturn lor protcction.
Vithout anything to scll, thc militias supplcmcnt thcir salarics through
cxtortion, charging thc rcsidcnts a scrics ol lccs lor cvcryday ncccssitics, as !
mcntioncd carlicr. !n addition to charging lccs lor dclivcry ol propanc and
communications scrviccs, thcy havc a monopoly on all vchiclcs, vans, and
motorbikcs that go up into thc lavcla and chargc a tax lor cvcry trip.
Until :ooo, only onc lavclaRio das Pcdras in thc Vcst Zoncwas
controllcd by a militia. 8ut by :oo8, militias controllcd ovcr +oo communi
ticssomc, likc \ila pcrria in Caxias, in conjunction with thc tra ckcrs.
A 88C ncws story ol March 8, :oo8, \igilantcs Takc vcr Rio Shanty
towns, quotcs onc woman as saying, Tcy control cvcrything, thcy makc
dcmands, thcy kill. !l you dont lollow thcir way, do what thcy say, you go
straight to thc gravc.
23
No govcrnmcnt action has bccn takcn to stop thc activitics ol thc militias or
to hold thcm accountablc lor unwarrantcd dcaths. !n lact, in somc circlcs thcrc
is talk ol supporting thcm, and pcrhaps cvcntually lcgalizing thcm. Tc ratio
nalc is that thc statc cannot occupy 8oo lavclas but thc militias can.
[ 1 8 4 ] F A V E L A
Tc sums ol moncy involvcd in militia activitics arc astronomical. Accord
ing to onc sourcc, thc black markct busincsscs that thc militias run (and drug
dcalcrs arc incrcasingly involvcd in) bring in about US8:oo million pcr ycar,
according to cstimatcs by tradc unions and policc intclligcncc. Tolls on van scr
vicc bring in an cstimatcd US8:. million, illcgal tapping ol cablc T\ (callcd
gatonct), about US8. million, broadband !ntcrnct acccss about US86o
million, and thc markup on thc salc ol cooking gas canistcrs about US88 mil
lion.
24
Tcrc arc also protablc busincsscs in taxing thc motortaxis that bring
pcoplc up and down within thc lavclas and in various lorms ol gambling, lrom
thc traditional jogo dc bicho to bingo to clcctronic oncarmcd bandits.
Tcsc lucrativc busincsscsalong with thc drop in thc strcct pricc lor
cocainchavc induccd somc to lcavc narcotra c and go into thc cxtortion
rackct instcad. Tis puts thcm on a sccond collision coursc with thc militia. As
ol this writing, thc militias appcar to control broadband !ntcrnct acccss, and
thc tra c is running thc undcrground !ntcrnct scrvicc providcrs. Tc policc
cstimatc that at lcast o pcrccnt ol thc lavcla rcsidcnts pay lor piratcd T\ and
monopolizcd !ntcrnct. !n lact, many lavclas usc thcir community loudspcakcrs
to rcmind thc rcsidcnts whcn thcir monthly gatonct bills arc duc.
Vith such vast prots at stakc, thc violcncc continucs to cscalatc, and inno
ccnt pcoplc continuc to bc killcd. !n thcir usc ol cxtrajudicial lcthal violcncc,
both dcalcrs and militias cnjoy impunity lrom prosccution, and govcrnmcnt
gcts its cut onc way or anothcr.
Te Poor Pay More
!n thc pcrvcrsc logic ol powcr, moncy, and lrccdom, pcoplc with su cicnt
mcans to livc in thc lormal city ol Rio havc thc libcrty to shop lor thc bcst pricc
among a varicty ol providcrs ol cablc tclcvision, !ntcrnct acccss, propanc, trans
portation, and a host ol othcr scrviccswhilc thc poor pay morc.
25
Favcla and
conjunto rcsidcnts livc in a controllcd monopolistic tcrritory and arc obligcd to
purchasc lrom a solc sourcc at a prcmium ratc.
! lound prcciscly thc samc lorm ol cxploitation in thc lavclas o ycars ago
and wrotc about it in Te Myth of Marginality. At that timc, thc community
had to tap into thc clcctric and watcr nctworks illcgally. Tosc who livcd along
thc main road wcrc ablc to gct a monopoly and thcn pass thc scrvicc on at a
stccpcr pricc than that paid in thc rcst ol thc city. Just as thcrc is gatonct lor
cablc T\, thcrc was a similar sctup lor clcctricity: lamilics paid by thc outlct
and numbcr ol applianccs, as thcy did not havc mctcrs. Tc clcctric company
would not providc scrvicc in thc lavclas. vcn groccry and clothing itcms wcrc
morc cxpcnsivc insidc thc lavclas, as thc mcrchants who had monopolics thcrc
wcrc oltcn askcd to cxtcnd intcrcstlrcc crcdit to thc lavcla rcsidcnts. Tcsc
mcrchants might also hold a small invcntory, buy in small quantitics, and dividc
V I O L E N C E , F E A R , A N D L O S S [ 1 8 5 ]
up a loal ol brcad or a pack ol cigarcttcs to makc thcir warcs aordablc lor thc
local rcsidcnts.
i xcvvui vx: : ~ vowvvivss voov vovui~:iox
Simply put, thc dcgrcc ol lcthal violcncc in Rio is only possiblc bccausc a third
ol thc population is discnlranchiscd and considcrcd worthlcss. !l thcy wcrc wcll
organizcd, thc poor would havc thc numbcrs to constitutc a potcnt voting bloc
and mount a convincing consumcr boycott. 8ut thc rcarms arc in thc hands
ol thc tra c, thc militia, and thc policc. Tc poor, whcthcr in lavclas, conjun
tos, lotcamcntos, or lowincomc ncighborhoods, arc pawns in a much largcr
gamc, unablc to turn to thc authoritics lor protcction and intimidatcd into
quict compliancc. Tc middlc and uppcr classcs havc comc to acccpt thc lack ol
human rights in thcsc poor ncighborhoods, as thcy scc it as thc pricc lor thcir
own protcction and pcacc and privilcgc. Tis harks back to thc lcgacy ol thc
mastcrs and thc slavcs, thc casa grande and sen.ala,
26
which has cngraincd
idcas ol cntitlcmcnt into cvcn thc most opcnmindcd ol thc clitc. And this
is a situation similar to thc lcar ol communism that thc 8razilian dictator
ship dircctcd toward lavcla rcsidcnts in thc +6os and +os. Now this lcar is
dircctcd toward murdcrous drug addicts.
As anicl 8rinks puts it, thc public, including cvcn rclativcs ol victims ol
policc killings, oltcn makc public statcmcnts in support ol killing criminals.
Tc public pcrccption ol incrcasing criminality (rcal or imagincd) has moti
vatcd much ol thc population to (at lcast tacitly) acccpt thc cxtralcgal mcthods
by which policc act.
27
i xcvvui vx: +o: svxs~:iox~ii s: :~ss :vui ~
!n no small part, thc public acccptancc ol unjusticd (illcgitimatc) policc vio
lcncc within an othcrwisc civilizcd city is lacilitatcd by a mcdiainduccd lrcnzy
ol lcar. Not a day passcs whcn Robcrto Marinhos mcdia cmpirc, Rcdc Globo,
docs not add to thc panic ovcr salcty and sccurity, whipping up public scnti
mcnt against thc bandidos who arc oltcn conatcd with lawabiding, hard
working lavcla rcsidcnts.
!n this way, thc covcragc rcinlorccs thc stigma and criminalization ol pov
crty and strcngthcns prccxisting stcrcotypcs ol lavcla rcsidcnts, which in turn
makcs it cvcn morc di cult lor thcm to gct jobs. No onc wants to lct lavcla
rcsidcnts into thcir homc or shop or o ccits just too dangcrous. Tc cyclc
is scllrcinlorcing, sincc thc lcwcr jobs thcrc arc, thc strongcr thc tcmptation to
cntcr thc tra c.
n thc othcr hand, all thc glory ol appcaring on tclcvision and in ncwspa
pcrs turns thc drug lords into largcrthanlilc antihcrocs ol lavcla youth, mak
[ 1 8 6 ] F A V E L A
ing thcm into rolc modcls. As Jacobi, my lricnd lrom Catacumba, said, Kids
now prclcr to cntcr thc tra c bccausc thcy carn morc moncy than il thcy stay in
school and thcn go out looking lor work. Tcy can show o thcir brandnamc
clothing and shocs. Tats why, today, thosc who oricnt thc youth and bccomc
thcir rolc modcls arc thc tra cantcs.
Vhcn thc prcsidcnt ol Xcrox do 8rasil camc to talk to thc youth in thc
lavcla ol Mangucira, whcrc thc company had invcstcd in cducation and sports
lor scvcral ycars, hc gavc a pcp talk about what wondcrlul opportunitics awaitcd
thcm il thcy continucd to study hard and wcnt to univcrsity. nc boy askcd
how much hc carncd pcr ycar. Vhcn hc answcrcd, thc childrcns laccs lcll in
disbclicl. Tats so littlc, thcy said, comparing his salary with that ol thcir
hcrocs Fcrnandinho 8ciraMar or Marcclinho \P. Tcsc childrcn might go
homc to a lack ol lood and slccp hcadtotoc with othcr lamily mcmbcrs in a
singlc bcd in a room without a window, but thc lilcstylc thcy imaginc lor thcm
sclvcs is bascd on that ol thc inlamous tra cantcs.
!n short, asidc lrom sclling wcll, thc constant imagcs ol violcncc pcrpctuatcd
by thc mcdia lan public hystcria, incrcasing acccptancc ol militaristic solutions
to public salcty. Tcy also turn drug lords into antihcrocs lor thc youth, rcducc
tourismonc ol thc lcw rcmaining sourccs ol rcvcnuc lor thc city ol Rioand
lcgitimizc thc cscalation ol violcncc on all sidcs.
~ vicious cvciv
Tcsc +o ingrcdicnts rcinlorcc cach othcr and crcatc a scllpcrpctuating vicious
cyclc. Tc prots lrom thc drug tra c cnablc thc compcting lactions to acquirc
cvcr morc sophisticatcd wcapons to usc in thcir wars ovcr thc contcstcd spacc
28

ol thc bocas. Tc policc arc known to conscatc thcsc wcapons lor thcir own
usc.
Tc policc justily this violcncc as ncccssary to gct rid ol thc tra ckcrs. !nstcad,
it challcngcs thcm and provokcs thc gangs to makc dramatic dcmonstrations
ol thcir control ovcr thc city and thc govcrnmcnt. For cxamplc, thc gangs havc
shut down commcrcc lor a day in thc South Zonc (undcr pcnalty ol dcath lor
thosc who darcd to opcn thcir cntcrpriscs lor busincss), shot bullcts into thc
municipal govcrnmcnt building (without bcing sccn), blockcd tra c on thc
major acccss road bctwccn thc two clitc arcas ol thc city (thc South Zonc and
thc 8arra dc Tijuca) onc astcr (shooting a woman who got out ol hcr car),
sct rc to buscs, closcd down thc acccss road to thc airport, and havc othcrwisc
sparcd littlc cort to makc thcir point.
29
!l thc statc is abscnt in thc lavclas and impotcnt in thc city at largc, thc
qucstion ol thc right to thc city bccomcs cvcn morc prcssing. Putting drug
lords in prison in no way hindcrs thcir ability to command thcir vast opcrations.
Tcy casily bribc thc (undcrpaid) prison guards lor usc ol ccll phoncs cvcn in
V I O L E N C E , F E A R , A N D L O S S [ 1 8 7 ]
thc maximum sccurity prisons, and thcy havc total control ovcr who livcs and
who dics.
!n this way, thc marginalizcd poor arc trappcd in a vcway vcctor ol vio
lcncc: thcy arc caught bctwccn (+) thc drug gangs, who arc ghting lor tcrrito
rial control, (:) thc policc, who kill thcm with impunity, () thc govcrnmcnt,
which is abscnt or complicitous, () thc militias, who control thcm through
cxtortion and dcath thrcats, and () thc mcdia, which scll thcir mcssagc by tcr
rilying thc audicncc and rcinlorcing thc dividc bctwccn us and thcm.
Tis cyclc is constantly rccrcatcd, complcting thc marginalization and vic
timization ol thc poor, thc criminalization ol povcrty itscll, and thc militariza
tion ol thc policc.
:nv coxsvguvxcvs ov vioivxcv vov :nv uvn~x voov
!t is unconscionablc that whilc millions ol dollars lrom thc Rio drug and arms
tra c arc cnriching criminal nctworks cxtcnding bcyond 8razilian bordcrs and
grcasing thc skids ol all branchcs ol thc 8razilian govcrnmcnt, thousands ol
pcoplc in thc lavclas arc bcing killcd as collatcral damagc, and millions arc
bcing taxcd bccausc thcy livc undcr thc control ol tra ckcrs and militias who
arc morc dictatorial toward thcm than thc dictatorship was.
! havc accompanicd my lavcla lamilics and lricnds through many timcs ol
di culty and loss, but ! havc ncvcr sccn anything as dcvastating as thc cccts
ol this rcign ol violcncc and tcrror. Unlikc thc cthnic and rcligious wars going
on around thc world today, thc killings in thc lavclas amount to a war on thc
poor. Tis implics trcmcndous lossat thc individual and lamily lcvcl, at thc
community lcvcl and lor both in tcrms ol social capital and civil socicty.
ioss vov i xui vi uu~is ~xu v~:i ii vs
At stakc lor thc pcoplc living in thc war zoncs is thc loss ol pcacc, lrccdom,
and pcrsonhood, and all too oltcn loss ol lilc. Among all thosc whom ! intcr
vicwcd in :oo+, in all thrcc gcncrations, onc in vc had lost a lamily mcmbcr to
homicidc. !n thc intcrvicws, wc askcd cach pcrson Havc you or a lamily mcm
bcr cvcr bccn a victim ol violcnt crimc: Tc rcsults arc shown in gurc ..
Tcsc rcsults not only rccct lilc in lavclas, but in conjuntos and lowincomc
ncighborhoods as wcll. Tc typcs and lrcqucncy ol violcncc wcrc virtually
idcntical in thc rcsponscs ol thc original intcrvicwccs, thcir childrcn, and thcir
grandchildrcn.
Pcoplc havc nowhcrc to turn lor hclp. Tc notion that thc tra c constitutcs
a parallcl powcr or a parallcl statc that providcs scrviccs to thc community
in licu ol govcrnmcnt scrviccs is totally misguidcd.
30
!t is truc that it is a ruling
laction that lls a vacuum crcatcd by thc statcs abscncc, but thc tra c takcs
[ 1 8 8 ] F A V E L A
no rcsponsibility lor thc gcncral wcllarc ol thc population. Tc only bcnign
aspcct ol thcir intcrnal codc ol cthics is that thc tra ckcrs do not dcprivc thc
community ol thc potcntial bcncts lrom thc opcration ol any nonprot or
govcrnmcnt program (or rcscarch projcct in my casc) that wishcs to work in
thc lavclas. Altcr all, thcy nccd somc lcvcl ol community acccptancc (il not
support) in ordcr to opcratc thcrc.
arly on, whcn thc tra c callcd itscll thc movcmcnt, thcrc was a ccrtain
Robin Hood mystiquc to thc community having its own lorcc against thc policc.
Tc tcrm parallcl powcr was somctimcs uscd to glorily thc imagc ol thc dcalcrs
as thc protcctors ol thc community, but morc oltcn it was uscd by thc authoritics
to justily thc cxtrajudicial usc ol lcthal lorcc that charactcrizcs thc war on thc
poor. ! cvcn lound it in a Unitcd Statcs Sccurity Rcport which statcs (crronc
ously) that thc drug gangs control and scrvc as parallcl govcrnmcnt in many ol
thc poor arcas ol thc city, known as lavclas.
31
!t is truc that lrom timc to timc, thc ruling gang will drivc a woman in labor
to thc matcrnity hospital, arrangc a privatc school lcllowship lor a studcnt, gct
mcdicinc lor an cldcrly pcrson, or distributc othcr lavorsas whims. Tis is a
lar cry lrom providing thc social scrviccs and bcncts that arc thc rcsponsibility
ol thc statc. n thc othcr hand, thc gangs lccl no compunction about ordcr
ing somconcs arms and lcgs brokcn il hc or shc is latc in rcpaying a dcbt, or in
ordcring somconc killcd or torturcd il thcy lccl thcy havc bccn bctraycd. Tis
hardly qualics thc tra c as a community scrvicc providcr.
!n lact, community rcsidcnts lccl trappcd bctwccn thc dcalcrs and thc policc.
!n thc cycs ol thc rcsidcnts, ncithcr thc dcalcrs nor thc policc hclp thcm vcry
much, and both do morc harm than good. !n thc :oo+ intcrvicws with thc
original study participants and thcir dcsccndants, only + pcrccnt rcportcd
bcing hclpcd by thc tra c, whilc pcrccnt said thcy wcrc harmcd. Most wcrc
1%
1%
7%
15%
15%
17%
20%
24%
46%
56%
sexual abuse
rape
extortion
police extortion
breaking and entering
attempted attack
murder
attack
mugging
robbery
VIOLENCE LEVELS
ARE EQUAL
ACROSS
GENERATION &
LOCATIONS
vicuvv . \iolcncc and victimization: Typcs and pcrccntagcs.
V I O L E N C E , F E A R , A N D L O S S [ 1 8 9 ]
alraid to givc any answcr at all. Tcy judgcd thc policc about thc samcmorc
harmlul than hclplul. Tcrc is no placc lor thcm to turn lor hclp.
Vhcn wc askcd, Vho commits morc acts ol violcncc against thc com
munity in our :oo intcrvicws (with ovcr +,:oo pcoplc randomly sclcctcd
lrom Quitungo and Guapor, Nova 8raslia, \ila !dcal, and thc othcr lavclas
and lotcamcntos in Caxias), thc rcsponsc was cvcn morc cmphatic: 8+ pcrccnt
rcportcd that thc policc, thc tra c, or both commit violcncc harmlul to thc
community, and anothcr pcrccnt said thcy did not know (which probably
mcant that thcy wcrc alraid to answcr thc qucstions). Tablc .: shows that
almost hall answcrcd both, and that among thc rcspondcnts who pickcd
only onc, twicc as many said thc policc wcrc morc violcnt. ! suspcct that thc
+ pcrccnt who rcspondcd nonc or dont know arc rcccting lcar rathcr than
ignorancc or innoccncc.
32
!n March :oo8, a 88C rcportcr in Rio summcd up thc situation: Hcrc thc
idca ol thc statc has bccn rcplaccd by thc organization, hicrarchy, and powcr
ol drugtra cking nctworks.
33
Tc impunity ol thc policc in thc lacc ol this
cxccssivc violcncc and thcir total complicity in thc conscating and rcsclling
ol arms and drugs lrom laction to laction and community to community havc
madc mattcrs much worsc lor thc lavcla rcsidcnts. Tc policc arc willing to usc
torturc and cxtortion to dcal with anyonc thcy suspcct ol loul play or noncoop
cration, and no authority holds thcm accountablc.
Tis gcncratcs thc third conscqucncc: thc loss ol pcacc ol mind, ol tranquil
ity, ol thc privacy ol oncs homc. !n lavclas and conjuntos, pcoplc arc living
undcr constant strcss, unablc to slccp through thc night, listcning to thc sound
ol gunshots. Tis sicgc atmosphcrc takcs its toll on both thc mcntal and physi
cal hcalth ol thc rcsidcnts. Strcssrclatcd discascs such as hypcrtcnsion havc
bccomc cndcmic. Pcoplc agc carly, thcy losc thcir hcalth. (You can scc thc toll
takcn in thc photos ol Margarida and janira.)
:~niv . : !ho commits more acts of .iolence
against the community?
Ne. Fandom Sample (2003)
Percent
Policc 22
Tra ckcrs 11
8oth 48
Nonc 12
ont Know 7
Total 100.0
[ 1 9 0 ] F A V E L A
Tis constant strcss lrom an ongoing statc ol war was what cvcntually drovc
Z Cabo out ol his homc in Nova 8raslia. Vhcn wc spokc on July o, :oo,
hc was still living thcrc. Hc said:
Tc day bclorc ycstcrday lrom midnight to :oo ~.:. thcrc was a lullcdgcd war
bctwccn thc C\ and TC |Commando \crmclho and Tcrcciro Commando|. No
onc could slccp. Pcoplc arc gctting sick lrom thcir ncrvcs always on cdgc. vcry
night thc tra c shoots out thc strcct lights. Vhcn thcy arc rcplaccd, thcy arc
shot out again.
Almost all thc womcn ! spokc with also cxprcsscd anxicty and drcad at thc
loss ol privacycvcn within thcir own homcs. Tcy said that whcn thc policc
bargc into homcs undcr thc prctcxt ol scarching lor bandidos, thcy pull cvcry
thing apart, tcar up thc lurniturc, rip bcdsprcads o thc bcds, and brcak kitch
cnwarc. Vhcn thcy lail to nd anything, thcy lcavc thc wrcckagc bchind and
storm out disgruntlcd. Tc things thcy dcstroy havc takcn a lilctimc ol carc and
savings andlikc thc scnsc ol sccuritycannot casily bc put back togcthcr. Tc
othcr sidc ol thc coin is that il a tra ckcr wants to hidc in your homc in a lavcla
or conjunto, you will bc shot il you do not allow it.
No onc talks publicly about such mattcrs. Pcoplc arc lcarlul ol opcning thcir
mouthsthcy arc intimidatcd. ! was told rcpcatcdly, Vc havc to bc likc thc thrcc
monkcyswc dont scc anything, dont hcar anything, dont say anything. Tcy
tcll mc, !l you talk you dic. . . . Tcrc is pa.or |tcrror| cvcrywhcrc, not only hcrc, but
por todo canto |in cvcry corncr|. !s this not a loss ol thc lrccdom ol cxprcssion:
Vith thc addcd stigma ol conating lavcla rcsidcnts and bandidos has comc
thc loss ol work opportunitics. mploycrs arc rcluctant to hirc anyonc who livcs
in a lavcla, whcthcr as domcstics who will havc a sct ol kcys to thcir homcs or
salcs clcrks with acccss to cash rcgistcrs. !n janiras words, bccausc ol thc
association ol violcncc and drugs with \ila pcrria, a madamc docs not want
to acccpt pcoplc who livc hcrc to work in hcr housc.
uring thc RP with thc Catacumba community, a ycarold man living
in Guapor said, ncc thcy lcarn whcrc wc livc, thcrc arc no jobs lor uswc
havc to support our wivcs and childrcn. Vhat arc wc supposcd to do: Vc nccd
to carn moncy just likc cvcryonc clsc, but wc arc not givcn a chancc. ! cannot
movc my lamilythcrc is nowhcrc clsc that wc can aord.
34
Ncncm, thc prcsidcnt ol thc Quitungo Rcsidcnts Association, owns a warc
housc whcrc hc sclls cooking gas canistcrs, among many othcr houschold ncccs
sitics. Hc wants to scll thc canistcrs lor thc going ratc outsidc thc conjunto, but
hc is obligcd to buy thcm lrom thc local militia, who chargc him a highcr pricc
plus a lcc. !l hc trics to go around thcm, thcy will closc down his storc. Hc can
not takc thc risk cvcn though hc considcrs it grossly unlair that thc pcoplc who
livc hcrc pay morc than thosc who arc not in conjuntos, likc thc pcoplc living in
thc buildings on thc othcr sidc ol thc strcct.
V I O L E N C E , F E A R , A N D L O S S [ 1 9 1 ]
8ut that is a small thing comparcd with thc dcvastating loss in homc val
ucs. Pcoplcs homcs arc thcir singlc grcatcst asscts and thcir grcatcst lilctimc
invcstmcnts. Favclas and conjuntos havc thriving rcal cstatc markcts, dcspitc
bcing inlormal orin thc casc ol conjuntosin limbo bctwccn lormal and
inlormal.
35
8ut as violcncc has incrcascd, homc valucs havc droppcd, oltcn to
thc point whcrc lcaving mcans walking away with nothing. No onc wants to
movc into a placc likc Nova 8raslia or \ila pcrria today.
Z Cabo lound himscll caught in that cxact situation. Hc had ncvcr wantcd
to lcavc his homc or his community unlcss hc could movc to Gloria, his lavoritc
ncighborhood. 8ut hc was lorccd to movc to a lcss ccntral part ol Nova 8raslia
in +o duc to thc tra c. Hc dcscribcd thc housc hc bought in Nova 8raslia
in a convcrsation on July o, :oo:
Tis housc was worth US8+,ooo whcn ! bought it in +o, and ! invcstcd
anothcr 8,ooo adding on and improving itnow its worth zcro. ! movcd hcrc
bccausc ! had to gct out ol thc way ol thc tra c! was right in thc middlc ol
things thcrc. Vhcn ! camc hcrc to this rcmotc corncr, thcrc wcrc only a lcw
houscsit was a long, stccp uphill climb, not convcnicnt to anything. Now it
has grown, and thc tra c has lollowcd. Look at my garagc doorlull ol bullct
holcs. ! had to tcach thc grandchildrcn to duck undcr thc bcd whcn thcy hcar
gunrconc night a bullct camc right through thc window. . . . id you scc thosc
guys who hang out in lront ol my door sni ng gluc, smoking maconha (pot), and
snorting cocainc in broad daylight: ! would lcavc right now il ! could scll or rcnt
it, but no onc wants it.
8y thc timc ! camc back a ycar latcr, Z had givcn his homc owncrship papcrs
to his commonlaw partncr, Maria, to makc surc shc would havc somcthing in
hcr namc il things improvcd, and hc had movcd to his prcscnt ruin ol a housc
on a tiny plot ol land undcr thc viaduct in !raj.
Tc loss ol libcrty and lrccdom to movc about at will is lcss tangiblc, but no
lcss dcvastating. As a rulc, thc tra c has soldicrs with loadcd rics stationcd at
thc cntrancc to cach lavcla, and anyonc not rccognizcd as a rcsidcnt is stoppcd
and askcd what hc or shc wants. !n ordcr to kccp policc vchiclcs out and protcct
thcir turl, thc tra ckcrs construct road blocks that can bc rcmovcd whcn thcy
want to lct somconc pass. Tcy also control who lcavcs altcr dark. !l you arc
working in thc lavcla in an approvcd activity, you gcncrally blink thc hcadlights
to lct thcm know that you arc K to go.
!ronically, drug tra c has turncd lavclas into placcs whcrc you nccd pcrmis
sion to cntcrjust likc thc gatcd ghcttos ol thc rich.
Tc rcsidcnts movcmcnts within thc lavclas arc constraincd as wcll. As
Nilton told mc in +,
Vc livc in a placc whcrc you do not havc thc libcrty to act lrccly, to comc and go,
to lcavc your housc whcncvcr you want to, to livc as any othcr pcrson who is not
[ 1 9 2 ] F A V E L A
in jail. !t is imprisoning to think, Can ! go out now or is it too dangcrous: Vhy
do ! havc to call somconc and say that thcy shouldnt comc hcrc today: !t is awlul,
it is opprcssivc. No onc should havc to livc likc this.
!n :oo+, janira said, Tc cntrancc ol thc narcotra c and thc violcncc
cndcd our lrccdom, cndcd our happincss, and ruincd cvcrything.
36
Tc lamilics who had lclt Rio and gonc back to thcir homctowns wcrc drivcn
out ol thc lavclas by thc violcncc and its conscqucnccs. ! wcnt to intcrvicw Z
Cabos brothcr Manucl Jos on thc outskirts ol Natal, thc capital ol thc statc ol
Rio Grandc do Nortc, in carly cccmbcr :oo+. Hc livcs with his wilc in a two
story housc with a small tropical gardcn, which shc tcnds. Hc said:
! livcd in Nova 8raslia sincc ! was a young man. ! marricd thcrc, raiscd a lam
ily. ! lclt in +o bccausc ol thc violcncc. My housc was just bchind Z Cabos
housc. . . . Tcrc wcrc so many assaults. Tc last straw was whcn my wilc and ! wcrc
rcturning lrom visiting hcr rclativcs in 8otalogo |a ncighborhood on Guanabara
8ay ncar thc ccntcr ol Rio|. Vc wcrc assaultcd coming homc on thc bus. Tc guys
said to hcr Nao nada, nao, tirc as jias |this is no big dcal, nothingtakc o
your jcwclry|. Tcrc wcrc vc ol thcmwc wcrc ncar Jacarczinho |thc biggcst
lavcla in thc North Zonc|. Altcr that wc said lcts lcavc and go back to our terra
|land|wc paid o rcais (US8) lor a small plot ol land hcrc and spcnt thrcc
ycars building this housc.
Tcy wcrc doing nc thcrc but lclt rathcr isolatcd. Z Cabo had visitcd thcm
scvcral timcs. Tcy havc a room lor him and arc constantly urging him to movc
thcrc, but hc is not intcrcstcd. Hc says its a nicc placc to visit but hc would dic
il hc had to livc thcrctoo littlc going on lor him. Hc would miss thc mo.i-
mento (action) ol thc city.
ioss vov :nv co::uxi :v
!n addition to thc conscqucnccs lor individuals and houscholds mcntioncd car
licr, thc violcncc has dirc rcpcrcussions lor thc community as a wholc, lor com
munity lilc, lor conviviality. Tc loss ol public spaccor, to bc morc prccisc, its
cxpropriation and control by thc tra cmcans thcrc is no placc lor sitting and
watching thc paradc ol lilc go by, lor playing socccr, lor rccrcation, lor lcisurc. !n
thc RPs, onc ol thc most striking ndings across all ol thc communitics was
thc abscncc ol lcisurc activitics.
Spcaking ol \ila !dcal in Caxias, janira said:
Vc uscd to havc festas juninas |Sao Joao lcstivals in Junc| futebol |socccr|
brincadeiras de alunos |studcnt gamcs|now wc cant do anything. Sincc :ooo,
whcn thcy rcnovatcd thc praa, its ncvcr bccn uscd. !t is thc only opcn spacc wc
havc hcrc andjust takc a look, it is always cmptythc onc placc our kids could
V I O L E N C E , F E A R , A N D L O S S [ 1 9 3 ]
play baskctball and our cldcrly could sit undcr a shadc trcc, and it is dcscrtcd.
vcryonc is alraid. Tc Rcsidcnts Association cvcn closcd down our community
radio broadcast lrom thc church. Tc bandidos thrcatcncd us that thcy would
dcstroy thc building il wc kcpt it going. Tcy dont want any othcr voicc hcard
but thcir own.
Juracy, a 6+ycarold rcsidcnt ol Nova 8raslia, said, Starting as carly as
+8:, things bccamc dicrcnt hcrcthat is whcn thc lactorics startcd to closc
onc altcr anothcr and whcn thc tra c startcd hcrc. . . . !t was bcttcr bclorc, now
no tem o que fa.er |hcrc thcrc is no lcisurc, thcrc is nothing to do|. Shc contin
ucd, thc Praa do Tcrco, whcrc wc uscd to play socccr and havc partics, is now
o limits. !t is controllcd by thc boca. 8inha, who is , addcd:
Tings arc worsc now than bclorc. Vhcn ! was growing up in 8raslia, wc would
go dancing hcrc until dawn, wc would go out at two or thrcc in thc morning.
! workcd latc. ! would arrivc homc alonc at onc in thc morning. Tcrc was noth
ing to lcar. Now its not likc that. ! walk down thc strcct kccping an cyc out in
casc ! scc somcthing or othcryou know what ! mcan:
Tc loss ol indcpcndcnt Rcsidcnts Associations has mcant thc loss ol voicc,
thc loss ol thc only institution that rcprcscntcd thc intcrcsts ol thc lavclas.
Now most ol thc clcctcd prcsidcnts havc bccn assassinatcd or lorccd out ol thc
communitics. At thc start ol this rcstudy, in +:ooo, about hall ol thc lavc
las in Rio still had indcpcndcnt Rcsidcnts Associations with popularly clcctcd
prcsidcnts. nc by onc, as thc ycars progrcsscd, thc clcctcd prcsidcnts havc
bccn climinatcd, and, by :oo, almost all ol thc Rcsidcnts Associations wcrc
controllcd by thc tra c. Tc onc cxccption was Rio das Pcdras, whcrc thc Rcsi
dcnts Association was controllcd by militias.
As ol :oo, Rio had ovcr +ooo lavclas but only a lcw wcrc still indcpcn
dcnt. As ! discuss in thc ncxt chaptcr, thc small lavors that thc lormcr associa
tions wcrc ablc to wrcst lrom candidatcs lor vcrcador (city council) no longcr
cxist sincc political campaigns and ncgotiations arc all controllcd by thc tra c
according to thcir scllintcrcst.
As Nilton dcscribcd this loss,
Vc had two Rcsidcnts Associationsonc lor Quitungo and a scparatc onc
lor Guapor. Tcn marginals took ovcr thc Rcsidcnts Associations ol both and
lormcd a ncw onc ol thcir own. Tc mayor at thc timc, Luis Paulo Condc, and
thc govcrnor, Garotinho, did nothing to stop thisnor havc thcy donc anything
to prcvcnt it in any ol thc othcr conjuntos or lavclas.
37
Tc lcar ol gctting killcd in thc crossrc or hit by a stray bullct has kcpt
muchnccdcd urban scrviccs and programs out ol thc poor communitics.
Tis loss ol scrvicc providcrs, tcachcrs, nurscs, social workcrs, day carc work
[ 1 9 4 ] F A V E L A
crs, NG programs, and cvcn homc dclivcrics and ordinary taxi scrvicc has
dcprivcd rcsidcntscspccially youthol what thcy most nccd to ovcrcomc
thc challcngcs thcy lacc just by living in lavclas. !t is hard to gct qualicd
pcoplc to work in an arca ol risk, and cvcn whcn thcrc is a policc station
right insidc thc community, no sccurity is providcd, as thc policc litcrally bar
ricadc thcmsclvcs insidc thc station and do not cmcrgc until thcy go homc
lor thc day. To my horror, ! lound that it can takc childrcn ycars to com
plctc primary school bccausc many tcachcrs show up only two or thrcc days
a wcck. A rcccnt dccision was madc to pass all childrcn on to thc ncxt gradc
whcthcr or not thcy passcd thc ycarjust onc morc indication that thc livcs
ol thcsc youngstcrs arc considcrcd cxpcndablc and thcir prospccts havc bccn
writtcn o.
As thc Nova 8raslia Rcsidcnts Association prcsidcnt told mc a lcw ycars
ago, Tcachcrs dont want to comc tcach at our school bccausc thc statc
dcclarcd this an arca ol risk and thcy wcrc alraid. . . . vcn taxi drivcrs arc
alraid to go up thc hill, so wc havc our own Kombis.
38
n July , :oo,
thcrc was a massivc policc assault on Nova 8raslia and thc othcr lavclas in
thc Complcxo dc Alcmao that lcd to thc closing ol cight or tcn schools in
thc communitics. As onc journalist rcportcd it, lor scvcral days, somc ,6oo
childrcn wcrc kcpt out ol thc classrooms. UN!CF issucd an alcrt on thc
situation ol childrcn stoppcd lrom studying bccausc thcy livc in zoncs ol
conict and comparcd thc studcnts in thc Alcmao complcx with thosc in thc
Gaza Strip and !raq.
39
ioss ov soci ~i c~vi :~i ~xu ci vi i soci v:v
nc dirc conscqucncc ol what ! havc callcd o mundo de medo (thc sphcrc ol lcar)
is thc crosion ol social capital, onc ol thc lcw rcsourccs that was availablc, abun
dant, and ccctivc in poor communitics. (!n thc analysis wc mcasurcd social
capital by lcvcl ol mcmbcrships, lricndships, social nctworks, and participation
in community activitics.)
Tc violcncc and its twin oshootslcar and distrustnot only prcvcnt
thc usc ol public spacc but also diminish socializing among lricnds and rcla
tivcs, rcducc mcmbcrship in community organizations, wcakcn trust among
ncighbors, and crodc community unity. Tc ow ol inlormation about jobs,
programs, and all manncr ol opportunitics that was sprcad through inlormal
community nctworks has dricd up, and thc coping mcchanisms bascd on muti-
rao (mutual aid) arc barcly intact.
Robcrt Putnam and othcrs havc shown that a strong civil socicty and high
dcgrcc ol social capital in a rcgion or community arc closcly corrclatcd with
cconomic vitality and political stability. Tcrc arc two typcs ol social capital:
bonding, which crcatcs nctworks among pcoplc within a community, and
V I O L E N C E , F E A R , A N D L O S S [ 1 9 5 ]
bridging, which crcatcs nctworks outsidc ol thc community and linkagcs with
divcrsc pcoplc and institutions.
Bonding Social Capital
For thc purposcs ol this study, ! lookcd at changcs along lour dimcnsions
ol bonding social capital: mcmbcrship, socializing, trust, and unity. Mcm
bcrship and participation in communitybascd organizations is onc ol thc
classic mcasurcs ol social capital and civil socicty. Comparing thc par
ticipation lcvcls ol thc original intcrvicwccs in +6 with that ol thcir
childrcn in :oo+ (at approximatcly thc samc agc) showcd a dramatic drop
across thc board.
Participation in cvcry typc ol community organization and activity had
droppcd olor somc morc dramatically than othcrs. Mcmbcrship in thc
Rcsidcnts Associations droppcd lrom ncarly o pcrccnt to a mcrc pcrccnt.
Participation in labor unions, sports groups, and samba schoolsncvcr high
to bcgin withdroppcd by hall. Tc cxccption to thc drastic dccrcasc was in
thc pcrccntagc ol rcspondcnts who attcnd rcligious mcctings. Tis numbcr
dccrcascd slightly but rcmaincd at a highcr lcvcl than any othcr community
bascd activity. Tc lollowup qucstions showcd that cldcrly womcn wcrc thc
most likcly to bc part ol a rcligious group. For many ol thcm, going to thcir
church mcctings (particularly cvangclical mcctings, which arc always closc to
homc) had bccomc thcir onc chancc to gct out ol thc housc and thcir only lorm
ol lcisurc activity.
40
As lor othcr lorms ol participation, thcrc was a surgc ol communitybascd
mobilization just altcr thc rcturn ol dcmocracy in +88, but by thc carly
+os all popular movcmcnts had gonc downhilllrom Rcsidcnts Associations
to lcdcrations (ol Rcsidcnts Associations) to unions to basc communitics to thc
incipicnt Movimcnto dos Scm Tcto (Homclcss Movcmcnt). Tc cntrancc ol
thc tra c killcd cvcrything.
Socializing, as mcasurcd by how many ol your closcst lricnds and rclativcs
livc ncar you, how oltcn you visit with lricnds and rclativcs in thc community,
and how oltcn your lricnds or rclativcs visit you also diminishcd considcrably.
Tc samc pattcrn applicd to thc dcgrcc ol trust among ncighbors. !n +6, ovcr
hall said that thcy could count on most or all ol thcir ncighbors, by :oo+, only
a third lclt that wayand thcrc was no signicant dicrcncc by gcncration.
As lor community unity, or morc accuratcly thc pcrccption ol community
unity, 8 pcrccnt ol thc original intcrvicwccs said that thcir communitics wcrc
unitcd or vcry unitcd, whilc in :oo+, only hall (+ pcrccnt) ol thc original
intcrvicwccs, pcrccnt ol thcir childrcn, and : pcrccnt ol thcir grandchildrcn
lclt that way. Noncthclcss, thcrc was a dccidcdly grcatcr scnsc ol unity in thc
lavclas than in thc conjuntos, and thc bairros had thc lcast ol all. 8ut cvcn in thc
lavclas, thcrc is a diminishcd scnsc ol unity.
[ 1 9 6 ] F A V E L A
Tis crosion ol social capital and intcrnal solidarity rcprcscnts a markcd
dcclinc in community rcsidcnts quality ol lilc. Vhcn ! rst wcnt to livc in thc
lavclas, thc community spirit and solidarity wcrc among thc grcat plcasurcs ol
lavcla lilc. !n stark contrast to thc wclltodo arcas whcrc no onc kncw thcir
ncighbors, in thc lavclas ol Catacumba, Nova 8raslia, \ila pcrria, 8ciramar,
and \ila Ccntral, most pcoplc kncw cach othcr by namc and took carc ol cach
othcr in timcs ol crisis. Tc mutual support nctworks wcrc part ol thc survival
mcchanisms that thc poor could count on to rcducc thc vulncrability ol li.ing
on the edge.
To borrow a phrasc lrom Mcrccdcs dc la Rocha, thcrc has bccn a changc
lrom thc rcsourccs ol povcrty to thc povcrty ol rcsourccs.
41
Tc lcar ol gct
ting caught in thc crossrc or on thc wrong sidc ol a lricndship in a drug war
has rcsultcd in pcoplc going out lcss and kccping to thcmsclvcs morc. vcry
mcasurc ol community unity, trust, socializing, and participation has dcclincd
dramatically. Tis cannot bc attributcd solcly to thc drug, policc, and militia
violcncc in lavclas, sincc thc crosion ol social capital ovcr thc past dccadcs has
bccn documcntcd in many placcs.
42
Convcrscly, thcrc is no doubt that lavcla lilc
would bc morc convivial and social cohcsion morc robust had thc drug tra c
bccn locatcd clscwhcrc.
Bridging Social Capital
!l violcncc crodcs thc conncctivc tissuc within communitics, docs it strcngthcn
thc conncctions bctwccn thc community and thc rcst ol thc city: o thc num
bcr and strcngth ol tics and contacts cxtcrnal to thc lavcla inucncc chanccs ol
upward mobility:
ur study showcd a vcry strong rclationship bctwccn cxtcrnal conncctions
and sociocconomic status. !t was clcar that lor cach group studicd in all timc
pcriods, thc morc tics a pcrson had to othcrs outsidc thc lavcla, thc highcr his or
hcr sociocconomic status (as mcasurcd by cducational lcvcl, numbcr ol domcs
tic applianccs, and cxtcnt ol crowding) Granovcttcr calls this thc strcngth
ol wcak tics.
43
Vhat was not clcar was whcthcr having morc cducation and
incomc cnablcs pcoplc to makc morc conncctions outsidc thc community or
whcthcr having morc conncctions outsidc thc community mcans morc cxpo
surc to pcoplc who havc staycd in school, havc good jobs and carn wcll and can
scrvc as rolc modcls lor anothcr typc ol lilc. r, could it bc that having cxtcrnal
conncctions opcns doors to bcttcr schools and jobs: Pcrhaps all arc at play
simultancously. ithcr way, thc incrcasc in violcncc has wcakcncd both typcs ol
social capitalbonding and bridging.
Tc onc contradiction wc lound with Putnams thcsis is that lor our samplcs,
thcrc was a ncgativc rclationship bctwccn bonding social capital and lcvcls ol
sociocconomic status. !l Putnam wcrc corrcct, thosc with grcatcr participation
in community activitics and morc social nctworks should bc thc oncs with thc
V I O L E N C E , F E A R , A N D L O S S [ 1 9 7 ]
highcst sociocconomic scorcs, but wc lound just thc oppositc. Vc tcstcd this
quitc carclully, as it gocs against thc grain ol a largc body ol litcraturc.
Vhat wc lound is that lor ncwly arrivcd migrants, thc bonding social capital
did hclp intcgratc thcm into thc community and thc city and gain thcir bcar
ings. Tcrc sccms to bc a thrcshold ol community cngagcmcnt abovc which
intcrnal socializing bccomcs a limiting lactor in moving up thc social laddcr or
out ol thc community, as ! discuss lurthcr in chaptcr . nc possiblc cxplana
tion lor this is that thosc who arc working during thc day and studying at night
arc thc oncs most likcly to gct ahcad, but havc thc lcast timc to go to com
munity mcctings or socializc with lricnds and ncighbors. Many mcnial jobs
dcmand six days a wcck ol scrvicc, somc givc a day o only cvcry othcr wcck.
n thc othcr hand, thosc with thc closcst acctivc tics to thc community and
a strong scnsc ol ra.es (roots)oltcn cxprcsscd as thats whcrc my umbigo
(umbilical cord) is buricdarc thc oncs lcast likcly to movc out, cvcn whcn
thcy havc thc nancial rcsourccs to do so.
coxciusioxs: co:v~vi xc :nvx ~xu xow
!t would bc mislcading to givc thc imprcssion that thcrc wcrc no drugs and no
violcncc in thc lavclas in thc +6os and +os. Tc main drugs thcn wcrc bccr,
cachaa, and marijuana. As ! alrcady mcntioncd, thc instrumcnts ol violcncc
wcrc sts, knivcs, or brokcn bccr bottlcs, and thc cocainc and wcapons that arc
now ubiquitous wcrc not rcadily availablc thcn.
Jair, onc ol my old lricnds lrom Catacumba, said that in Catacumba thcrc
had bccn maosos, but thcy didnt inlringc on thc community. Tcy rcspcctcd
thc rcsidcnts and didnt brcak up thc danccs at thc youth club. Tcrc wcrc also
drug dcalcrs and drug uscrs, but it was mostly marijuana, thcy wcrc not armcd,
and thcy didnt inlringc on thc population.
ncc Catacumba was torn down and rcsidcnts wcrc put in thc conjuntos,
hc said, things got worsc. Tcrc wcrc a largc numbcr ol assaults in Guapor,
whcrc hc and his lamily wcrc put. Now thc tra ckcrs dont rcally want a lot ol
violcncc and killing, hc cxplaincd, thcir busincss is sclling drugs. ( ncgocio
dclcs vcndcr txico.) Tc particular tra ckcrs who dominatc Guapor arc
thc childrcn ol cxCatacumbans, so Jair and his ncighbors arc lclt alonc. !n
his vicw, tra ckcrs dont want to disrupt rcsidcnts livcsthcy just want to do
thcir busincss and kccp thc pcacc . . . unlcss somc othcr gang wants to takc ovcr
thcir arca.
Rcspcct is a rccurring thcmc in thc narrativcs ol thc pcoplc ! intcrvicwcd.
Tc lollowing quotations ocr a small samplc ol thc oltcnrcpcatcd com
parisons thc lavcla rcsidcnts in all ol thc study communitics makc bctwccn
thc past and prcscnt in tcrms ol thc tra ckcrs rclations with thcm and othcr
rcsidcnts.
[ 1 9 8 ] F A V E L A
For a long timc, thc bandidos wcrc rcspcctlul ol thc lcadcrscvcryonc kncw
thcm and kncw thcir parcnts.
Tc gang mcmbcrs and drug dcalcrs wcrc gcncrally boys lrom thc commu
nitythcy grcw up hcrc, thcy kncw who wc arcthcy rcspcctcd thc oldtimcrs,
thc workcrs. Tcy did not thrcatcn thcm, in lact thcy protcctcd thcm.
!t is bcttcr to havc bandidos you know than bandidos lrom outsidc. Com
munity bandidos arc morc trustworthy . . . ! would rathcr ask thc tra cantcs lor
hclp than thc policc.
Tc prccarious cquilibrium bctwccn rcsidcnts and tra cantcs is brcaking
down. . . . Tc tra ckcrs no longcr rcspcct anyonc, thcy havc startcd using drugs
in thc strcct.
!n thc last +o or +: ycars, drug dcaling has bccomc morc and morc likc a big
busincss. Nowadays, wc dont know many ol thc bandidosthcy comc hcrc lrom
othcr placcsthcy dont carc il you arc innoccnt or hardworking, or young or old,
or il you sacriccd to build this community.
Parallcl with thc dcclinc in rcspcct and thc incrcasing anonymity ol thc tral
ckcrs is thc incrcasing lcnicncy ol thc law. As Nilton cxplaincd it: Today it
is casicr |than o ycars ago| lor pcoplc to gct away with criminal bchavior
starting with impunity. Tc marginality has morc lccway nowcan control thc
community rcsidcnts with lcar and tcrrordo as thcy choosc.
Tc othcr major changc is a growing trcnd toward consumption ol drugs
insidc thc lavclas. Vhcn thc drugs rst cntcrcd, rcpackaging and sclling thcm
lor thc asfalto was a way to carn moncy, and pcoplc in thc community wcrc in
no nancial position to consumc cocainc thcmsclvcs. 8ut latcly, many ol thc
youngcr gang mcmbcrs arc bcing paid in drugs instcad ol cash and arc bccom
ing addictcd at an incrcasingly carly agc.
vvovi :s ~xu vuxi sn:vx:
Tc most rcccnt changcs ! obscrvcd in Rio in ctobcr :oo8 and Junc :oo
rclatc to thc drop in thc strcct pricc ol cocainc duc to thc incrcasing dcmand
lor such drugs as ccstasy and crystal mcthamphctaminc, which arc synthcti
cally produccd. rug salcs in Rio arc bccoming a twoway strcctthc play
boys go to thc lavclas to buy cocainc, and thc lavcla boys go to thc South
Zonc to buy ccstasy. Tosc who work lor thc tra c arc also gctting paid lcss.
Somc only gct onc minimum salary, plus drugs and bonuscs. 8ut to put this
in pcrspcctivc, many policc carn only onc minimum salary thcmsclvcs. Tc
rcsults arc incrcascd intcnsity ol violcnt contcstation ovcr turl, lowcr pay lor
drug tra ckcrs, and thc risc ol altcrnatc sourccs ol moncyso that morc
moncy is wrung lrom thc poor through cxtortion by thc militias and thc
tra c.
V I O L E N C E , F E A R , A N D L O S S [ 1 9 9 ]
Tc pcoplc whosc li.es arc lostand thosc whosc quality of life is lostin
Rios lavclas arc small playcrs in a highstakcs global gamc. Tcy arc consid
crcd cxpcndablc and casily rcplaccd. Tosc who cnjoy thc prots arc salc in
thcir luxury pcnthouscs in Rio, uropc, and thc Unitcd Statcs. Poor pcoplc
in poor ncighborhoods lulll spccic lunctions in what Lopcs dc Souza calls
an cxtcnsivc . . . valuc chain ol production, rcncmcnt, manulacturing, warc
housing, distribution and consumption |ol drugs| in local, national and global
markcts.
44
Tc brutal violcncc in thc lavclas crcatcs a convcnicnt divcrsion so
immcdiatc that antidrug policc and policics arc locuscd on thc lowcr cnd ol
thc drug cconomy valuc chain without touching thc uppcr rungs ol control and
protccring.
45
As M\ 8ill said about crimc and punishmcnt: Vhat you havc to undcr
stand about this socicty is that qucstions ol violcncc and crimc |arc| not just
about guns and drugs. !n 8razil, thc only pcoplc who go to prison arc thosc who
stcal a littlc. Tosc who stcal a lot go lrcc.
46
! givc thc last word ol this chaptcr to Nilton, who took so much timc and
paticncc to cxplain his rcality to mc and who so powcrlully gocs to thc corc ol
thc mattcr:
Tosc most rcsponsiblc lor thc cxistcncc ol drug tra c arc not thc small dcalcrs,
no . . . thcy arc thc pcoplc with cnough powcr and inucncc to promotc thc intro
duction ol drugs on a vast scalc and in cnormous quantitics. Taking advantagc
ol political immunity, thcsc individuals grab moncy, inucncc, and powcr . . . its
thcm and thc politicians who arc rcsponsiblc lor our problcms with drugs hcrc.
ei ght
Disillusion with Democracy
cmocratic govcrnancc, inclusivc citizcnship, and rightshuman, civil, and
political rightscannot bc divorccd lrom thc issuc ol povcrty. Frccdom lrom
want is thc most basic ol rights, although it is oltcn not considcrcd in that
light.
uring 8razils military dictatorship, thc ght lor citizcnship and lor thc
right to havc rights was sccn as highly subvcrsivc. !n a scrics ol !nstitutional
Acts dccrccd bctwccn +6 and +, clcctions lor mayor, govcrnor, and prcsi
dcnt wcrc suspcndcd. Rcgimc opponcnts wcrc routincly arrcstcd, torturcd, and
disappcarcd. For thc urban poor, howcvcr, citizcnship was not a salicnt issuc.
Favcla rcsidcnts did not join protcst dcmonstrations. Tcir timc and cncrgy
wcrc consumcd with thc daytoday strugglc lor survival, and thcir prcssing
conccrn was to prcvcnt thcir childrcn lrom going to bcd hungry.
Vhat docs 8razilian dcmocracy in thc rst dccadc ol thc twcntyrst ccntury
look likc lrom thc vicwpoint ol thc urban poor: Havc thc lavcla rcsidcntsin
thcir own vicwbccn includcd as lull citizcns: Havc thcir livcs and communi
tics improvcd sincc thc cnd ol thc dictatorship: How havc thcir political intcr
csts, knowlcdgc, pcrccptions, and participation cvolvcd:
For thc undcrclass, it appcars that thc :o ycars ol political rcprcssion during
thc military govcrnmcnt havc bccn rcplaccd by morc than :o ycars ol growing
D I S I L L U S I O N W I T H D E M O C R A C Y [ 2 0 1 ]
bclicl in dcmocratic principlcs cocxisting with continuing cxclusion lrom lull
citizcnship. cmocracy has madc many things possiblc that would havc bccn
unthinkablc bclorc, but in tcrms ol inclusion and cquality undcr thc law, thc
transition is still incomplctc. Tc urban poor havc yct to cnjoy thc bcncts ol
lull citizcnship.
8razils cxpcricncc with dcmocracy was sporadic. From +88 until thc bcgin
ning ol thc rcpublic in +o whcn thc Gctlio \argus dictatorship bcgan, 8razil
had a tastc ol dcmocracy. !t was rcstorcd in +6, and lastcd lor +8 ycars, until
+6, whcn thc military coup abolishcd all dcmocratic rights. For :o ycarsan
cntirc gcncrationdcmocracy was complctcly sticd. Sincc thcn, 8razil has
bccn trying in ts and starts to pick up whcrc it lclt o. Tc strains ol this intcr
ruptcd dcmocracy arc cvidcnt in my rcscarch ndings.
At thc timc ol my rst study in +686, thcrc was a pcrvasivc lcar that
squattcrs and ncwly arrivcd migrants would bccomc radicalizcd in light ol thc
wcalth that surroundcd thcm. n thc contrary, thc rclcrcncc group ol thcsc
urban poor was not thc rich urbanitcs with whom thcy sharcd thc city but thc
lamily and lricnds thcyd lclt bchind in thc countrysidc. Tc squattcrs ol Rio
wcrc happy with thcir movc and lookcd cxpcctantly toward thc luturc.
! rcmcmbcr a discussion ! had in +68 with Gilbcrto, a young man who had
comc to Rio by himscll lrom thc Northcast in +6+ and scttlcd in Catacumba
bccausc hc kncw somc pcoplc thcrc lrom his homctown. Vhcn ! askcd him
how hc lclt about looking across thc Lagoa Rodrigo Frcitas cvcry day at thc
luxurious houscs ol thc rich and sccing all ol thc public scrviccs availablc to
thosc in upscalc communitics, whilc Catacumba lackcd cvcn running watcr and
clcctricity, hc rcplicd,
!ts not likc that, not at all. Vc littlc pcoplc |gente humilde| havc a lot ol paticncc.
Vc do not comparc oursclvcs to thcm. . . . vcn as a biscateiro |odd jobbcr| ! livc
much bcttcr than anyonc in my lamily back homc. Vc arc not in a rush. Altcr thc
govcrnmcnt hclps thc rich and thc lcss rich, thcn, latcr on, it will bc our turnour
timc will comc.
voii :ic~i :v~xsvov:~:ioxs
Prolound political changcs occurrcd during thc timc span ol my longitudi
nal study, culminating in thc transition to dcmocracy in +8 and thc ncw
constitution in +88. My lollowup rcscarch startcd during thc rst mandatc
ol Prcsidcnt Fcrnando Hcnriquc Cardoso (+:oo) and cndcd during thc
sccond mandatc ol Prcsidcnt Luis !gncio Lula da Silva, also known as Lula
(:oo++). Tc political translormation ol 8razil was thc rcsult ol cnormous
strugglc. Yct lor lavcla rcsidcnts, thcsc vast sca changcs madc littlc dicrcncc
in many aspccts ol daily lilc and appcarcd to makc somc things worsc cvcn as
othcrs improvcd.
[ 2 0 2 ] F A V E L A
Tc scnsc ol discnlranchiscmcnt among thosc who livcd through thc dicta
torship has grown sincc thc rcturn to dcmocracy. As thcir childrcn and grand
childrcn havc bccomc bcttcr cducatcd and morc politically savvy, thcy havc
bccomc both morc cynical and morc hopclul. From thc pcrspcctivc ol thc thou
sands ol pcoplc ! intcrvicwcd lor this study, 8razilian dcmocracy has a long
way to go in tcrms ol cqual trcatmcnt undcr thc law, protcction lrom harm and
rcsponsivcncss to thcir conccrns.
Clcarly, a dcmocratic statc that ignorcs thc nccds ol a third ol its urban
population docs so at its pcril. Tc only rcgular contact thc pcoplc havc with thc
statc apparatus is thc policc, who cntcr thc lavclas with thcir wcapons loadcd
and lollow thc motto Shoot rst, ask qucstions latcr.
vouv :nv:vs v:vvcv
Tc narrativcs, lilc historics, and survcy rcsponscs in my studics rcvcal somc
promising trcnds but also a discnchantmcnt with dcmocracy as it has cvolvcd
sincc thc cnd ol thc dictatorship. Four ol thc rccurrcnt thcmcs ! will touch on
hcrc arc:
+. Disappointment .ith democracy: Tc rcdcmocratization altcr thc cnd ol thc
dictatorship did not cmpowcr thc poor as hopcd, or bring bcncts to thcir
communitics as cxpcctcd.
:. Corruption, clientelism, and cronyism: Traditional misusc ol privilcgc and powcr,
somcwhat curtailcd undcr military rulc, rcsurlaccd with thc rcturn ol thc
multi party systcm, and now appcars to pcrmcatc thc polity at cvcry lcvcl.
. Citi.enship, rights, and duties: Sincc thc cnd ol thc dictatorship and incrcasingly
in cach succcssivc gcncration, morc pcoplc rccognizc thc dicrcncc bctwccn
citizcns rights and dutics, feel entitled to thcir rights, and bclicvc that it is pos
siblc to inucncc govcrnmcnt dccisions through activc participation.
. Belief-beha.ior disconnect: cspitc a strong belief in dcmocracy as an idcal,
political participation rcmains minimalwith thc youngcr, bcttcr cducatcd,
most politically knowlcdgcablc gcncration rcmaining thc most cynical about
govcrnmcnt and thc lcast participatory.
As ! addrcss cach onc ol thcsc points, ! am drawing on thc answcrs to a
sct ol political qucstions wc askcd in our survcy rcscarch in +6, :oo+, and
:oo. ! am rcporting only on answcrs ol thc random samplc6oo original
intcrvicwccs in +6, +:6 ol thcm in :oo+, : ol thcir childrcn, and +8 ol
thcir grandchildrcn. !n :oo, wc addcd intcrvicws with a ncw random samplc
among thosc in thc thrcc communitics wc had studicdoo in cach and :
cxtraslor a total ol +,::. Tis is thc subgroup ol thc :,+8: intcrvicws, which,
in various combinations, providc thc data lor thc scctions that lollow. To makc
scnsc ol thc comparison among thc gcncrations, it hclps to know thcir agcs
D I S I L L U S I O N W I T H D E M O C R A C Y [ 2 0 3 ]
thc avcragc agc ol thc original random samplc in +6 was 6, thcir avcragc
agc in :oo+ was 6, thc avcragc agc ol thcir childrcn in :oo+ was o, and ol thc
grandchildrcn was :.
Disappointment .ith Democracy
Tio Souza who wc mct in Catacumba and now, at thc agc ol , livcs in Padrc
Migucl cxplaincd disappointmcnt with dcmocracy to mc as lollows:
Politics is likc this: at clcction timc thc candidatcs always appcar, altcrwards, thcy
disappcar. Tis has ncvcr changcd and ncvcr will. !t was always likc this. ! votc
bccausc its obligatory. Tcy makc many promiscs and ncvcr do anything. At clcc
tion timc, thcy comc to our community, hang up a hugc banncr across onc ol thc
buildings, oncc thc clcction is ovcr, thcy disappcar and ncvcr rcturn.
1
Vith thc rcturn to dcmocracy, thc hopc was that oncc pcoplc could votc
dircctly lor thcir mayors, and lor thc prcsidcnt, thc urban poor could usc thcir
numbcrs to hold o cials accountablc to thcir campaign promiscs, havc a grcatcr
voicc ovcr dccisions dircctly accting thcir livcs, and thcrcby gain strongcr bar
gaining powcr to ncgotiatc lor community improvcmcnts.
Howcvcr, thc pcoplc wc intcrvicwcd do not lccl thcy havc gaincd a voicc in
thc political arcnaonly a potential voicc. Tcy do not pcrccivc incrcascd rcccp
tivity or lair play among govcrnmcnt o cials. Vhat thcy scc is thc impunity ol
policc and drug dcalcrs, both ol whom continuc to tcrrorizc thcir communitics.
Vhilc thc rcdcmocratization may havc grantcd thc urban poor de jure citizcn
ship, thcy do not lccl that thcy havc de facto citizcnship. Tcy rcmain pscudoc
itizcns. Tc majority ol our samplc pcrccnt ol original intcr vicwccssaid
the end of the dictatorship had no signicant impact on thcir livcs.
2
Tat is ccr
tainly a major dicrcncc bctwccn thc undcrvicw (vicw lrom bclow) and thc
ovcrvicw (vicw lrom abovc).
!n a lollowup qucstion lor thosc who rcspondcd a rmativcly, wc askcd
what kind ol changc: Just undcr a third (: pcrccnt) mcntioncd positivc
changcs such as grcatcr liberdade (libcrty) and incrcascd govcrnmcnt transpar
cncy, whilc just undcr a quartcr (: pcrccnt) mcntioncd such ncgativc changcs
as lcwcr jobs, lcss sccurity/tranquility andsurprisinglydccrcascd bargain
ing powcr. Scvcral wcnt so lar as to a rm that things had bccn bcttcr during
thc dictatorship. Tis camc up in scvcral ol thc indcpth and scmistructurcd
intcrvicws as wcll. !t ts into thc currcnt discoursc about thc nostalgia lor thc
law and ordcr ol thc authoritarian rcgimcs in Latin Amcrica. A rcccnt UN sur
vcy ol +,ooo Latin Amcricans in +8 countrics rcportcd that a majority would
choosc a dictator ovcr an clcctcd lcadcr il that pcrson providcd cconomic bcn
cts. Tc Latin obarmctro survcys show that this scntimcnt is lcss prcvalcnt
in 8razil than in thc othcr Latin Amcrican countrics, but it was mcntioncd by
[ 2 0 4 ] F A V E L A
many, including Nilton, who was outraged that the government had lost control
of the city to the bandidos.
To further explore this, we asked all of the respondents, How would you
compare your life during the military dictatorship with your life since the
dictatorship ended? What got better, stayed the same, or got worse? Te
most frequently mentioned improvements were public transportation (80 per-
cent said it was better now); housing quality (76 percent); water and sanita-
tion (76 percent); and access to (but not quality of ) education (71 percent).
Assessments of the economic situation were mixed: 44 percent said better;
32 percent said worse; and 14 percent said no change. Sixty-eight percent
said that personal and family safety had gotten worse. We did not ask them
to specify whether they thought these changes were linked to the return of
democracy or simply the passage of time, because we found during the pretest
of the questionnaire that almost everyone gave the sensible answerDo not
know.
We did fnd a much greater awareness of citizens rights than we found in
the 1960s, but when it came to exercising those rights, 69 percent reported feel-
ing more excluded than they had been during the dictatorship. Even faith in the
good intentions of government had eroded since the height of the dictatorship.
In 1969, 61 percent of our sample thought government tries to understand and
solve the problems of people like ourselves; while in 2001 and 2003 only 38
percent thought so.
Teoretically, the closer the level of government to the people, the more
responsive and helpful it should be. To see whether this held up, we asked: In
the past few years, have you and people like yourself been helped or harmed
by: the city council, the mayor/city agencies, the governor/state agencies, the
president/federal agencies and international development agencies (such as
the World Bank, the Inter-American Development Bank, etc.)? Te most fre-
quent response from all three generations, as well as from the new random
sample, was that government does not afect our lives at allregardless of the
figure 8. 1 Perception of Various Levels of Government as Helpful or Harmful.
13% 38% 37% 12%
27% 46%
13%
13%
21% 51% 14% 14%
13% 57% 12% 18%
3% 48% 20% 29%
President / Federal Government
Governor / State Government
Mayor / City Government
City Council
Development Agencies
helped
didnt affect
harmed
No response
D I S I L L U S I O N W I T H D E M O C R A C Y [ 2 0 5 ]
lcvcl ol proximity. And, among thosc who gavc an answcr, morc lclt harmcd
than hclpcd. Figurc 8.+ shows thc comparison ol pcrccption ol thc original
intcrvicwccs about cach govcrnmcnt lcvcl.
Gcncrally, pcoplc lclt thc most hclpcd and thc lcast harmcd by city or statc
govcrnmcnt, but thc majority said that govcrnmcnt madc no dicrcncc in thcir
livcs. Tc childrcn ol thc original intcrvicwccs wcrc slightly lcss ncgativc in
thcir asscssmcnts, but cvcn among thcm, morc ratcd thc lcdcral govcrnmcnt
and intcrnational institutions as harmlul rathcr than hclplul. Tcy gavc thc city
govcrnmcnt thc highcst approval rating ( pcrccnt), lollowcd by thc statc (:
pcrccnt)not cxactly a rcsounding cndorscmcnt.
Tc most prcvalcnt answcr in all gcncrations was that govcrnmcnt did not
acct thcm cithcr waya prolound problcm lor thc dcmocratic projcct.
As ! mcntioncd abovc, among thc oldcr gcncration thcrc wcrc lrcqucnt
cxprcssions ol nostalgia lor thc law and ordcr ol thc dictatorship. Tc pco
plc ! intcrvicwcd havc sccn so much corruption, bccn bctraycd by so many
candidatcs and bccn subjcctcd to so much violcncc that thcy somctimcs
ycarncd lor thc past whcn thcir livcs wcrc morc sccurc and it was casicr to
carn a living. vidcntly, this lccling is not uncommon in 8razil or in othcr
Latin Amcrican countrics that wcrc undcr authoritarian rcgimcs and arc
now dcmocracics.
Corruption, Clientelism, and Cronyism
Starting in + thc govcrnmcnt party, Aliana Rcnovadora Nacional (ARNA),
was lorccd to compctc lor clcctoral support against a rcccntly lormcd opposi
tion partythc Movimcnto cmocratico 8razilciro (M8). Tc rcsumption
ol party politics opcncd thc way lor a rcturn to thc prc+6 systcm ol patron
agc politicsoltcn callcd clicntclism or cronyismwhich cntails an cxchangc
ol votcs lor lavors, contracts, or govcrnmcnt appointmcnts. Tis swclling ol thc
public payroll bccamc out ol control undcr Prcsidcnt Jos Sarncy, who bccamc
prcsidcnt duc to thc untimcly dcath ol Tancrcdo Ncvcs. Ncvcs had thc strcngth
ol charactcr, intclligcncc, and dcdication to thc public wcllarc that madc him
a popular choicc although hc was choscn by thc congrcss bccausc thc military
rcgimc was unwilling to risk an opcn clcction. Hc dicd bclorc assuming o cc.
Many say that il hc had livcd, 8razilian dcmocracy would havc cvolvcd dicr
cntly.
As it happcncd, patronagc politics bccamc thc norm and continucd to bc thc
norm through thc +os cvcn as othcr rclorms wcrc succcsslully introduccd.
Tc poor rcmaincd politically powcrlcss. Scott Mainwaring capturcs it prc
ciscly: although thc poor may rcccivc a portion ol politicians patronagc, this
can hardly bc qualicd as a proccss ol intcgrating thc poor into thc systcm, it
is a mcchanism to rcinlorcc dcpcndcncy, not to cmpowcr. ! tcnd to agrcc with
[ 2 0 6 ] F A V E L A
him that thc contcmporary lorm ol clicntclism is worsc than thc traditional
buying ol votcs bccausc it limits thc lcgitimacy ol thc stilllragilc dcmocratic
systcm, lavors thc clitc minority ovcr thc poor majority, cripplcs thc govcrn
mcnts ability to work prolcssionally, and wcakcns social programs through
poor pcrlormancc and by divcrtcd rcsourccs.
3
Still, thc old patronagc systcmcvcn at thc hcight ol thc dictatorship
allowcd somc bcncts to ow into lavclas in cxchangc lor votcs, which wcrc
ncgotiatcd through thc Rcsidcnts Associations. Tis channcl ol lavors to thc
poor has bccn incrcasingly closcd o sincc thc mid+8os, whcn drug lords
bcgan dominating thc Rcsidcnts Associations. As csmond Arias has shown
in his rcccnt work on criminal and community nctworks, thc drug dcalcrs who
havc takcn ovcr thc Rcsidcnts Associations ncgotiatc dircctly with thc can
didatcs and dclivcr thc votcs ol thc community, taking thc spoils lor thcm
sclvcs.
4
Putting policc stations within thc lavclas docs not protcct thc right to
votc lor thc inhabitants. As ! mcntioncd, thc policc arc alraid to comc out
into thc community. Tcy stay bchind thcir barrcd windowsin a scnsc
bccoming thc prisoncrs. Tcrcsa Caldcira discusscs this paradox cloqucntly
in hcr book City of !alls.
5
Sincc thc drug dcalcrs took ovcr thc Rcsidcnts
Associations, thcy havc bccn ablc to prcssurc pcoplc into voting lor thc can
didatc ol thcir choicc (as ! dctail in thc lollowing box) without intcrlcrcncc
lrom thc policc, thc judiciary, or any lcvcl ol govcrnmcnt. Tc magnitudc ol
thc drug moncyand thc

willingncss ol thc gangs to usc dcadly lorccbuy
thc complicity ol o cials all thc way to thc top. Tat is a sctback to thc laith
in dcmocracy lor all.
now :nv uvuc iovus cox:voi :nv vo:v
Vhcn ! was in Rio lor thc two wccks prior to thc mayoral and city council clcc
tions in ctobcr :oo8, ! lcarncd just how littlc choicc thc lavcla clcctoratc may
havc in thc voting booth. Posing onc ol thc worst thrcats to clcctoral dcmocracy
that ! had cvcr sccn arc thc arrangcmcnts bctwccn thc drug gang lcadcrs and thc
candidatcs.
Favcla rcsidcnts cxplaincd to mc that onc ol thc worst thrcats to indcpcn
dcnt voting insidc thc lavclas was that thc drug dcalcrs madc dcals with politi
cians, and thcn, in ordcr to dclivcr thc votcs, thc dcalcrs dcmandcd that cvcry
pcrson takc a photo ol his or hcr ballot bclorc pulling thc lcvcr, to vcrily his
or hcr votc. Pcoplc wcrc taking thcsc photos with thc camcras on thcir ccll
phoncsand lor thosc without ccll phoncs, thc dcalcrs would graciously lcnd
thcirs lor thc purposc. A pcrson could bc bcatcn or cvcn killcd lor lailing to votc
lor thc candidatc spccicd by thc drug laction in command ol thc community.
D I S I L L U S I O N W I T H D E M O C R A C Y [ 2 0 7 ]
uc to historically high illitcracy lcvcls, cach candidatc is givcn a numbcr, and
whcn thc votcr sclccts that numbcr, thc candidatcs lacc is shown along with
thc namc ol thc political party. !t is this imagc that thc pcoplc arc obligcd to
photograph. ncc you pull thc lcvcr, thc imagc disappcars, and thc systcm is
rcady lor thc ncxt votcr.
6
Citi.enship, Fights, and Duties
!n tcrms ol rights and lrccdoms, howcvcr, not all is ncgativc. Tc ncwly won
lrccdom ol spccch was mcntioncd many timcs by thosc wc intcrvicwcd as onc
ol thc grcat libcrtics pcoplc rcgaincd altcr +8.
Tc cnd ol thc dictatorship was a blcssing. !t acctcd all ol us. 8clorc, il you camc
hcrc with a tapc rccordcr to intcrvicw mc, ! wouldnt havc said anything, you
know, right: Today its not that way, a pcrson can talk. !ts lrccdomwc havc thc
libcrty to spcak.Maria Fcrnandcs, 66 ycars old, lrom Catacumba, now living in
thc conjunto ol Quitungo (:oo)
Maria Fcrnandcs got hcr rights. Rcgardlcss ol thc pros and cons ! discuss
bclow, shc now has thc lrccdom to spcak hcr mind (at lcast about mattcrs unrc
latcd to thc tra c).
Vhcn ! was studying grassroots social movcmcnts in U.S. citics, ! com
parcd thc task ol poor pcoplcs movcmcnts to thc strugglc ol thc mythic
Sisyphus, working mightily to roll thc bouldcr up thc mountain, only to nd
it slipping down again.
7
Tc status quo is likc gravity: it docs not nccd to
makc an cort to cxcrt its cvcrprcscnt lorccit is hardwircd into socictys
institutions. Timc altcr timc, ! saw an cntirc Amcrican community ght
to prcscrvc its intcgrity lrom a highway that would cut thc community
in two, or to prcvcnt thc incursion ol a garbagc dump in thc middlc ol
thc ncighborhood. Using thc communityorganizing mcthods dcvclopcd
by Saul Alinsky (who adaptcd labor union stratcgics to community issucs),
community rcsidcnts startcd with small victorics that broadcncd thcir basc
ol support such that thcy could takc on morc challcnging issucs and win
at lcast tcmporarily.
8
Vhat cvcntually happcncd in thcsc U.S. citics whcn thc mobilization was
ovcr and no onc was paying attcntion was that things just rollcd along, as it
wcrc, and in duc timc thc highways and scwagc trcatmcnt plants wcrc built
according to thc original intcnt. Tc thing that could not bc crodcd was thc
lccling ol victory by thc powcrlcss ovcr thc powcrlul. Tis scnsc ol pridc
was intcrnalizcd in cach pcrson who participatcd, and nothing could makc
thcsc pcrsons go back to bclicving that thcir causc had no mcrit. ! rcmcmbcr
[ 2 0 8 ] F A V E L A
onc cldcrly man ! intcrvicwcd in San Francisco bcaming with pridc whcn
dcscribing a conlrontational mccting at City Hall. His cycs lit up whcn hc
said, Tcy callcd mc sir! Tat was thc rst timc in his lilc that anyonc in a
position ol powcr had cvcr addrcsscd him with rcspcct.
9
Vhat ! saw in postdictatorship Rio rcmindcd mc ol that momcnt in San
Francisco. Tcrc was somcthing in thc transition back to dcmocracy that couldnt
bc takcn away, cvcn by thc most blatant corruption or incpt govcrnanccand
that was a scnsc ol cntitlcmcnt to citizcns rights.
Anothcr major stcp lorward lor thc lavcla rcsidcnts altcr thc dissolution ol
thc dictatorship was rccognition ol thc dicrcncc bctwccn rights and dutics.
nc ol thc things ! lound most distrcssing in +6 was thc inability ol most
ol thc pcoplc with whom ! livcd in thc lavclas to distinguish bctwccn dire-
itos (rights) and de.eres (dutics). Tcy gcncrally said that thcir most important
duties as citizcns wcrc to obcy thc law, rcspcct thc authoritics, and work hard,
and that thcir most important rights wcrc to obcy thc law, rcspcct thc authori
tics, and work hard. !n othcr words, in thcir minds thcrc was no distinction
bctwccn thc two.
!n thc :oo+ intcrvicws, virtually cvcryonc wc intcrvicwcd in cach ol thc
thrcc gcncrations was ablc to articulatc what thcy thought wcrc thcir most
important rights and dutics. Tc most lrcqucntly mcntioncd rights wcrc acccss
to hcalth carc, cducation and lrccdom ol movcmcnt. Tc rights to work and to
rcccivc uncmploymcnt insurancc wcrc ncxt on thc list, lollowcd by thc right to
bc trcatcd with rcspcct and dignity. Tcrc wcrc slight varianccs by gcncration,
with thc oldcr pcoplc placing morc cmphasis on uncmploymcnt insurancc and
hcalth carc, thc childrcn locusing on cducation and jobs, and thc grandchildrcn
prioritizing lrccdom to comc and go.
10
!n tcrms ol dutics, all thrcc gcncrations saw obcy thc law as most impor
tant. Tc duty to work and mcct thcir prolcssional obligations was ncxt and,
lor thc grandchildrcn, rcspccting thcir ncighbors was sccn as an important
duty as wcll. Tc childrcn addcd thc duty to lollow through with commitmcnts,
and thc original intcrvicwccs addcd honcsty and intcgrity.
Tc ability to draw a distinction bctwccn rights and dutics is cvidcncc ol
a changc in pcoplcs cognitivc maps. Tc conccpt ol citizcnship rights only
cntcrcd common parlancc as thc dictatorship was winding down, during thc
abcrtura. Tcrc was a popular movcmcnt dcmanding Diretos j (Rights now!).
Cidadania (citizcnship) conccivcd ol as a sct ol cntitlcmcnts and obligations
cntcrcd thc rcalm ol popular discoursc in thc lcrmcnt ol activism just bclorc
and lor scvcral ycars altcr +8.
8ut thcrc was not much cmphasis on thc lrccdom lrom want in thc citi
zcnship discussionnor on thc rights ol thc poor to bc trcatcd as cquals. As
8razilian political scicntist vclina agnino cxplains:
D I S I L L U S I O N W I T H D E M O C R A C Y [ 2 0 9 ]
Vithout thc lundamcntal rights ol a dcccnt incomc, hcalth, cducation and sccurity,
Rios urban poor will continuc as mcrc cogs in local and rcgional political machincs
bcing grcascd by ncw lorms ol clicntclism. Tc notions ol lack ol citizcnship or
ncw citizcnship ncvcr gaincd much currcncy among thc lavclados bccausc thcir liv
ing conditions ncvcr pcrmittcd thcm thc luxury. !nstcad, othcr actors such as NGs,
political partics and acadcmics wcrc thc oncs that had thc lcisurc to coin ncw tcrms
lor dcscribing what in lact continucs to bc structural impcdimcnts to lull participa
tion |ol thc poor| in thc dccisionmaking proccss lor allocating public rcsourccs.
Tc anthropologist Jamcs Holston rclcrs to 8razil as an incomplctc
dcmocracy. !n his vicw, it was thc rapid urbanization in 8razil that causcd thc
cxponcntial incrcasc in dcmands on thc city and claims to its rcsourccs which
cxhaustcd traditional notions ol citizcnship. His rcscarch in thc lavclas ol Sao
Paulo rcvcalcd an insurgcnt citizcnship arising lrom strugglcs ovcr what it
mcans to bc a mcmbcr ol thc modcrn statc. Hc dcscribcs thc changcs in thc
mcaning ol citizcnship as ncw dcmands arc madc that cnlargc thc scopc ol
thc conccpt, and ncw lorms ol cxclusion, including cxposurc to lcthal violcncc,
crodc thosc gains. Hc contcnds that thc sitcs ol insurgcnt citizcnship arc lound
at thc intcrscction ol thcsc proccsscs ol cxpansion and crosion.
12
Tc dcmocratically clcctcd political lcadcrs in 8razil havc not managcd to
assurc all citizcns pcrsonal salcty, dcccnt pay lor dcccnt work, or civil libcrtics.
Tc lcgacy ol division bctwccn mastcrs and slavcs is still cvidcnt in cvcryday
transactions. Standing in linc at any public o cc, burcaucratic agcncy, or bank,
! noticc that whcn a wclldrcsscd, lightskinncd pcrson arrivcs, it is cxpcctcd
that thc othcrs will stcp asidc. Vhilc bccoming lcss blatant, thc cxpcctation
ol such dclcrcncc still prcvails. Many cxamplcs ol this arc rccountcd in thc
autobiography ol 8cncdita da Silva, a black woman born in thc lavcla Praa do
Pinto, who rosc lrom community lcadcr to positions on thc city council, thc
national congrcss, and thc scnatc. Latcr shc bccamc thc viccgovcrnor and thcn
govcrnor ol thc Statc ol Rio and national sccrctary ol social action during thc
rst tcrm ol Prcsidcnt Lula in :oo.
13
Vhcthcr or not lavcla rcsidcnts arc awarc ol thcir rights as citizcns, thcy
rcmain at thc bottom ol thc totcm polc in thc political as wcll as thc social and
cconomic arcnas. Somc discussions in thc litcraturc rclcr to 8razilians high
tolcrancc lor incquality as an cxplanation ol how such dccp socictal divisions
could pcrsist. !n my vicw, thc pcrsistcncc ol incquality rcccts 8razils long his
tory ol cxclusion and clitism. !l thc poor had cvcr cxpcricnccd cquality or cvcn
rcspcct, thcy would bc morc likcly to protcst il it wcrc takcn away. As it is, thcy
kccp thcir hcads down and go about thcir busincss ol daily survival.
Tis is not to say that thc urban poor arc indicrcnt to injusticc. Tc rcason
that thcir moral outragc docs not translatc into physical ragcor into political
[ 2 1 0 ] F A V E L A
manilcstationsis that thc vicw lrom bclow lacks potcncy. Tc usc and abusc
ol powcr is still a prcrogativc ol thc privilcgcd, and thc poor arc in no position
to takc this on. As onc woman in Nova 8raslia said to mc, Janicc, what can
wc do: . . . !ts not only thc policcmcn, but thc judgcs and thc politicians way up
thcrc who look thc othcr way and ll thcir pockcts.
Tis scnsc ol impotcncc mcans that whilc lavcla rcsidcnts havc cmbraccd thc
thcory ol dcmocracy, in practicc, dcmocracy has not cmbraccd thcm.
Te Belief-Beha.ior Disconnect
cspitc thc brokcn promisc ol citizcnship and thc lccling that govcrnmcnt has
harmcd morc than hclpcd, whcn it madc any dicrcncc at all, thc bclicl in thc
idcals ol dcmocracy took root among thc urban poorincrcasingly with cach
gcncration.
nc striking cxamplc is thc dcgrcc to which thc idcal ol participatory
dcmocracy was cmbraccd. !n +6 and again in :oo+ wc askcd should dcci
sions bc lclt in thc hands ol thc politicians or should all 8razilians partici
patc: Tcrc is littlc or nothing in thc 8razilian dcmocracy litcraturc that
shows thc pcnctration ol dcmocratic idcals within stigmatizcd groups. 8ut
! lound dramatic cvidcncc to dcmonstratc that translormation. At thc timc
ol thc dictatorship only pcrccnt ol thc study participants bclicvcd that all
8razilians should participatc. Now, among thc childrcn and grandchildrcn,
it is 88 and o pcrccnt rcspcctivcly. Figurc 8.: bclow shows thc progrcssion
ol this shilt in attitudc.
Tis nding about thc stcady incrcasc ol bclicl in an cngagcd citizcnry was
rcinlorccd by thc rcsponscs ol thc :oo random samplc. Among this group, thc
pcrccntagc saying that all 8razilians should participatc rosc lrom pcrccnt
in +6 to 8+ pcrccnt in :oo, proving to my satislaction that thc valuc placcd
34
66
88 90
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1969
2001
2001
2001
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20
40
60
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100
P
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vicuvv 8. : 8clicl in cmocratic !dcals ( agrccing that cvcry 8razilian should
participatc.) comparing pcrccnts in +6 and among thc thrcc gcncrations in :oo+).
D I S I L L U S I O N W I T H D E M O C R A C Y [ 2 1 1 ]
on participation was not limitcd to thc dcsccndcnts ol thc pcoplc who partici
patcd in my original study.
A similar incrcasc in positivc rcsponscs was lound in rcsponsc to thc lollow
up qucstion: o you think that you can do somcthing to inucncc govcrn
mcnt, or do you think thcrc is no possibility: Tc pcrccntagc ol thosc who said
ycsthat thcy thought thcy could inucncc govcrnmcntrosc systcmatically
ovcr thc gcncrations as shown in gurc 8..
!t would bc cxpcctcd that during thc most rcprcssivc pcriod ol thc dictator
ship, in +6, lcw lavcla rcsidcnts would think thcy could inucncc thc govcrn
mcnt. Tc + pcrccnt ol original study participants who said ycs, that thcy
could inucncc thc govcrnmcnt at that timc, wcrc likcly thinking about thcir
(somctimcs) succcsslul corts in inucncing local govcrnmcnt to put in a watcr
standpipc, lay in a pavcd stairway up thc hill, or providc matcrials lor a drain
agc ditch. !n :oo+, +6 ycars altcr dcmocracy had bccn rcstorcd, o pcrccnt ol
thc original intcrvicwccs thought thcy could cxcrt inucncc. Tis numbcr wcnt
up to about o pcrccnt among thcir childrcn and grandchildrcn. Tc lccling ol
cmpowcrmcnt and political c cacy cxprcsscd by this upward trcnd is balanccd
by an cqually prcvalcnt lccling ol powcrlcssncss and inc cacy by thc othcr
o pcrccnt ol thc childrcn and grandchildrcn. Tc samc pcoplc who strongly
wcrc in lavor ol all 8razilians participating arc split oo on whcthcr such
participation could havc any inucncc on govcrnmcnt dccisions. Tc trcnd is in
thc right dircction, but cxpcricncc contradicts hopc. Tcsc ndings providc an
antidotc to thc rctrospcctivc romanticism about authoritarian rulc, undcr which
both thc thcory and practicc ol participation wcrc minimal. To borrow a phrasc
lrom Martin Luthcr King, thc lavcla rcsidcnts as pscudocitizcns arc not whcrc
thcy want to bc, not whcrc thcy ought to bc, and not whcrc thcy will bc, but
thcy arc not whcrc thcy wcrc.
Tis incrcasing bclicl in political c cacy is all thc morc intcrcsting in
light ol a dccrcasing laith in thc good intcntions ol govcrnmcnt. Vhcn askcd
whcthcr thcy think thc govcrnmcnt trics to undcrstand and solvc thc prob
lcms ol pcoplc likc you, 6+ pcrccnt said ycs in +6 and only 8 pcrccnt
said ycs in :oo. An intcrcsting portrait is cmcrging that has not bccn much
noticcdthc cocxistcncc ol laith that participation can makc a dicrcncc
and lack ol laith in thc dcmocratically clcctcd govcrnmcnt. As ! show latcr
in thc chaptcr (gurc 8.) this contradiction may bc cxplaincd in part by thc
pcrccption that 8razilians somchow lack thc capacity to sclcct good candi
datcs lor o cc, and that it is thcir own lault whcn thcy cnd up with corrupt
govcrnmcnt.
Tc acid tcst ol thcsc political idcas is in political action. So ! wantcd to look
at thc typcs and lcvcls ol political participation thcn and now. ! lound that thcrc
was no clcan lincar incrcasc in participation as thcrc is in belief in participation.
Actual lcvcls ol political participation rcmain low.
[ 2 1 2 ] F A V E L A
Somc ol thosc who havc bccn around lor awhilc, likc Alacrtc lrom Nova
8raslia, arc turncd o cntircly by thc lutility ol voting. Hc said,
!m not going to votc, lor surc. ! dont likc it. 8ut ! havc votcd in thc past. ! havc
bccn disappointcd many timcs. ! think thcy |politicians| arc a band ol scoundrcls,
ol cowards. 8ut it docsnt dcpcnd on mc alonc, so ! can stay out ol it. Just onc
pcrson |not voting| is no problcm.Alacrtc, 6 ycars old, lrom Nova 8raslia,
now living in Campo Grandc, in thc Vcst Zonc, :oo
His commcnts makc scnsc givcn thc long history ol topdown politics and
his cxpcricncc ol past disappointmcnts. 8ut voting is only onc ol many lorms ol
political participation, and hc spcaks lor only his gcncration. To bcttcr undcr
stand what typcs ol political actions arc takcn by what gcncrations and how thc
past and prcscnt comparc, ! crcatcd tablc 8.+.
My rst qucstion was whcthcr dicrcnccs in participation ratcs among thc
groups wcrc agcrclatcd or rccctcd thc historic momcnts ol +6 and :oo+.
! comparcd thc original samplc in +6 with thcir childrcn and grandchildrcn in
:oo+who wcrc +6 and oldcr. Tc voting ratcs wcrc almost idcntical bctwccn
thc parcnts in +6 (o pcrccnt) and thcir childrcn in :oo+ ( pcrccnt)
which is intcrcsting givcn that in +6 thc only o ccs opcn to popular clcction
wcrc .ereador (city council) and statc lcgislator. Participation ratcs in dcmon
strations wcrc also almost idcntical (+ pcrccnt and :+ pcrccnt). !n activitics
rclatcd to party politicssigning pctitions, attcnding political mcctings or ral
lics, and working lor candidatcsthc lcvcls ol participation in :oo+ wcrc thrcc
timcs what thcy wcrc in +6 lor thc samc agc group. Tat was onc clcar rcsult
ol thc rcturn ol dcmocracy.
Most striking, howcvcr, wcrc thc low ratcs ol participation ol cvcry typc in
cvcry groupwith thc singlc cxccption ol voting ratcs lor thc original intcr
:~niv 8. + Political Participation: 1969 and 20013 generations (in percentages)
Did you e.er: 1969 2001
Original
Inter.ie.ees
Original
Inter.ie.ees Children Grandchildren
\otc: o :
Sign a Pctition: +: : + :
Attcnd a Political Mccting
or Rally:
+: +8 +
Vork lor a Candidatc: 6 + :o :o
Participatc in a
cmonstration:
+ + :+ +:
Note: Tc gurcs lor thc :oo random samplc show a similar pattcrn but arc cvcn lowcr.
D I S I L L U S I O N W I T H D E M O C R A C Y [ 2 1 3 ]
vicwccs. Tis lack ol activc cngagcmcnt bclics thc high ratcs ol cnthusiasm lor
all 8razilians participating and making a dicrcncc rcportcd abovc. vcn thc
pcrccntagc who votcdthc most lrcqucnt lorm ol political participationis
much lowcr than would bc cxpcctcd givcn voting is mandatory lor thosc +8 to
o ycars old. (!t is voluntary lor thosc +6+8 and ovcr o).
According to thc lcctoral Codc (passcd just altcr thc ncw Constitution
in +88), 8razilian citizcns must show compro.ante de .otao (prool ol hav
ing votcd) to bc hircd lor any cargo publico (public cmploymcnt) or to rcccivc
a diploma lrom any public institution. Failurc to votc in thrcc consccutivc
clcctions rcsults in thc annulmcnt ol oncs ttulo de eleitor (votcr rcgistration
card) and causcs problcms with thc pcrsonal idcntity card that all 8razilians
must havc and thc cadastro de pessoa fsica, or CPF. Posscssion ol a CPF is
csscntial to maintaining a bank account, gctting a tclcphonc, ordcring goods
or scrviccs, paying bills, and complcting any o cial or scal transaction. !n
short, thosc who do not havc a CPF card arc nonpcrsons in a juridical scnsc,
as ! lound out thc hard way whcn ! was living in 8razil and trying to managc
without onc.
A possiblc cxplanation lor such low voting ratcs might bc that not voting
is rcgardcd as a lorm ol protcst. 8ut that is not convincing givcn thc option ol
casting a blank ballot, rclcrrcd to as .otar em branco (voting in whitc). Tc scnsc
ol discnlranchiscmcnt among thc urban poor must bc cxtrcmc lor thcm to risk
cxclusion lrom govcrnmcnt jobs, schools, and othcr bcncts simply by lailing
to votc.
Knowing that voting ratcs arc notoriously low lor young votcrs, ! comparcd
thc answcrs ol thosc agcs +6: with thosc : and oldcr in rcsponsc to thc
qucstion, id you votc in thc prcvious clcction: nly onc in tcn (++ pcrccnt)
ol thc youngcr group said ycs, comparcd with about in tcn ( pcrccnt) ol
thosc agcd : or oldcrbut a o pcrccnt dclault ratc on thc most basic civic
duty is still a sign ol distrcss. Having listcncd to pcoplc in thc communitics and
talkcd with thcm at lcngth, ! bclicvc that cynicism, rathcr than apathy, is what
kccps thcm away lrom thc polls. Tc youth, thc bcst cducatcd, bcst inlormcd,
and most politically savvy ol all gcncrations, havc thc grcatcst bclicl in thc
valuc ol participation, yct thcy arc thc lcast politically cngagcd. Tis is thc most
striking cxamplc ol thc ovcrall nding hcrc, which ! call thc bcliclbchavior
disconncct.
wno v~v:ici v~:vs i x wn~:-
Tc landscapc ol political participation at thc grassroots lcvcl is varicgatcd
and changcs according to thc timc, placc, and vicwcr. Tc high lcvcl ol com
munity participation ! had obscrvcd in thc lavclas in thc +6os sccmcd to
havc disappcarcd by thc timc ! was doing thc intcrvicws thcrc in :oo+. ur
[ 2 1 4 ] F A V E L A
survcy includcd a scrics ol qucstions about mcmbcrship (and lcadcrship) in
local organizations, so ! was ablc to comparc thc activitics ol thc original
study participants in +6 with thosc ol thcir childrcn in :oo+ (shown in
gurc 8.).
vcry typc ol community association mcmbcrship droppcd to singlc digits
cxccpt lor rcligious a liation, which droppcd by only 6 pcrccnt (lrom pcr
ccnt to pcrccnt). Part ol this was thc tcnor ol thc timcslocally and intcr
nationally. !n thc lavclas, oncc thc strugglc against rcmoval and thc dcmands
lor basic urban scrviccs wcrc no longcr prcssing thcrc was lcss nccd lor orga
nizing, and as thc city bccamc morc acccssiblc lor rccrcation, thc nccd lor local
rccrcation diminishcd. !n parallcl, thc intcrnational lcrvor ol mobilization that
occurrcd in thc +6os was no longcr bringing pcoplc togcthcr to protcst by thc
mid+8os, whcn thc dictatorship in 8razil cndcd. And nally, as ! discusscd in
thc prcvious chaptcr, thc violcncc in thc communitics had a dampcning ccct
on all local activitics, particularly thc Rcsidcnts Associations, which no longcr
rcprcscntcd thc rcsidcnts.
! havc long bccn intcrcstcd in community associations and in whcthcr
participation in thcm is a substitutc lor or a prcparation lor participation in
thc body politicor both. 8y joining a local organization do lavcla rcsidcnts
bccamc morc politically awarc, intcrcstcd, and activc outsidc thc community
or docs it usc up thc timc availablc lor such cngagcmcnt:
!n ordcr to answcr this qucstion and thc largcr qucstion ol what distin
guishcs thc politically activc lrom thc othcrs, ! crcatcd an indcx ol political
participation that combincd signing pctitions, attcnding political mcctings,
working lor a candidatc, and taking part in dcmonstrations. Tc indcx lclt out
voting sincc it is mandatory. ! thcn tricd to dctcrminc thc charactcristics sharcd
by thc pcoplc who had high scorcs on this indcx.
2%
2%
2%
3%
47%
3%
6%
6%
28%
53%
samba school
sports club
labor union
residents' association
religious association
Original
Interviewees (1969)
Children (2001)
vicuvv 8. Communitybascd participation
D I S I L L U S I O N W I T H D E M O C R A C Y [ 2 1 5 ]
! hypothcsizcd that political participationalong with political intcrcst
and political knowlcdgcwould bc highcr lor mcmbcrs ol local civic orga
nizations, pcoplc with dcnsc social nctworks, thosc who bclicvcd that thcir
own actions (agcncy) rathcr than latc, dctcrmincd lilc outcomcs, optimists,
pcoplc living in thc lotcamcntos ol Caxias (not in lavclas) in thc +6 study,
and pcoplc living in conjuntos, lotcamcntos, or bairros (rathcr than in lavclas)
in :oo+. ! also gucsscd that malcs and whitcs would bc morc politically activc.
Hall ol thcsc hunchcs wcrc conrmcd by thc data analysis and thc othcr hall
invalidatcd.
Tc lour that turncd out to bc corrcct wcrc: (+) malcs did participatc morc
than lcmalcs (although thc gap diminishcd with cach gcncration), (:) pcoplc
who livcd in Caxias lotcamcntos in +6 participatcd morc than thosc who
livcd in lavclas, and () pcoplc with a proactivc (nonlatalistic) mindsctchar
actcrizcd by thc bclicl in agcncy rathcr than latc or thc will ol Godwcrc
morc politically participatory, and () thosc who scorcd highcst on thc mca
surcs ol optimism about thc luturc also tcndcd to participatc morc than thcir
pcssimistic countcrparts.
Tc lour that provcd irrclcvant or invcrscly rclatcd to what ! had prcdictcd:
(+) racc madc no dicrcncc in lcvcls ol political participation, (:) living in a
lavcla in :oo+as opposcd to a conjunto, lotcamcnto, or bairro in thc currcnt
timc pcriod (:oo+ and altcr as opposcd to whcrc thcy had livcd in +6)madc
no dicrcncc in lcvcls ol political participation, () mcmbcrship in sccular com
munity organizations madc no dicrcncc (cxccpt that cvangclicals participatcd
cvcn lcss),
14
and () social nctworks had oppositc cccts on participation,
dcpcnding on thc typc ol nctwork. !ndividuals with grcatcr bridging nctworks
(cxtcrnal conncctions with pcoplc in divcrsc walks ol lilc) dcmonstratcd highcr
lcvcls ol political participation whilc thosc with morc bonding nctworks
(intcrnal to thc community) showcd lowcr participation.
15
Vhcrcas racc alonc did not indicatc a signicant dicrcncc in lcvcls ol par
ticipation, gcndcr did to somc cxtcnt, and combining thc two was a powcrlul
il inconsistcntprcdictor ol political cngagcmcnt. !n +6, whitc malcs had
thc highcst participation scorcs, and black lcmalcs thc lowcst. Vhcn thc samc
communitics wcrc survcycd ycars latcr, womcn had highcr participation
scorcs than mcn (on thc samc indcx as in +6), but lightcr skin color rcmaincd
a prcdictivc lactor in political participation.
Trcc unanticipatcd lactors wcrc lound to bc strongly rclatcd to partici
pation lcvcls: proximity ol original community to upscalc rcsidcntial arcas
and thc city ccntcr, rccognition ol stigma in its multitudc ol lorms, and
pcrsonal or lamily cxposurc to .iolence. Unpacking cach ol thcsc rcvcalcd
thc lollowing.
Proximity. Tosc raiscd in South Zonc lavclas, such as Catacumba, in
thc midst ol thc citys clitc, tcndcd toward grcatcr political awarcncss and
[ 2 1 6 ] F A V E L A
participation (and highcr SS) than thosc raiscd in thc workingclass arcas
ol thc North Zonc, including Nova 8raslia, or in thc cvcn morc pcriphcral,
provincial, and parochial Flumincnsc Lowlands.
arly contact with thc middlc and uppcr cchclons ol socicty, and with a
broadcr mixturc ol pcoplc through living (or spcnding timc) in thc homcs ol
thc madamcs (whcrc thcir mothcrs workcd as domcstic scrvants or thcir lathcrs
workcd as janitors or sccurity guards), aordcd pcoplc a broadcr window on
thc world and a tcmplatc lor prcscntation ol scll in cvcryday lilc,
16
making
it casicr lor thcm to pass as part ol thc aslalto and not bc pcggcd as lrom thc
morro. A pcrsons idcntilying pinta (look) involvcs ways ol spcaking, standing,
walking, drcssing, and bchaving that is vcry di cult to cmulatc il you arc lrom
thc North Zonc or 8aixada. Tc majority ol rcsidcnts lrom thcsc zoncs havc
ncvcr bccn to thc city ccntcr or South Zonc.
8cing brought up in thc South Zonc also crcatcd bridging nctworks con
nccting thc lavcla rcsidcnts with thc knowhow ( jeitinho) lor gctting things
doncand with pcoplc thcy might go to whcn thcy wcrc bcing unlairly trcatcd
or nccdcd hclp. ur study rcvcalcd thc subtlc and powcrlul cccts ol proximity,
and its lilclong advantagcs. \ariations among thc lavclas in thcir sizc, lcgal sta
tus, or intcrnal structurc did not crcatc as much disparity in lilc outcomcs as thcir
locationsnor was thc scvcrity ol drug tra cking within thcm a dctcrminant
ol individual mobility. !t was proximity to powcrlul, a ucnt pcoplc that lcd to
highcr ratcs ol political participation and agcncy among thc poor.
Stigma. Tc strongcr thc rccognition ol thc many lorms ol stigma and dis
crimination in socicty, thc highcr was thc lcvcl ol political participation. Tc
pattcrn lor thc grandchildrcn was similar, but thcir scnsc ol discrimination was
lo.er ovcrall. Across thc board, thosc with high scores on the index of percei.ed
stigma wcrc morc likcly to takc political action: to votc, sign pctitions, attcnd
political mcctings and dcmonstrations, or work lor political candidatcs. Tcsc
wcrc also thc pcoplc most likcly to bclicvc that all 8razilians should partici
patc rathcr than that lcaving dccisions in thc hands ol thc politicians was
bcst. Tis might bc duc to thc lact that thc widcr oncs cxpcricncc is, thc hardcr
it is lor onc to ignorc thc nuanccd lorms ol cxclusionand thc morc likcly onc
is to act on oncs own bchall.
17
!iolence. Tc morc dircct cxpcricncc ol violcncc a pcrson had had, thc lcss
likcly that pcrson was to votc or participatc in community organizations, but
thc morc likcly to takc dircct political action, such as signing a pctition, working
lor a candidatc, attcnding political mcctings or dcmonstrations, and a liating
with a political party. !t would sccm that thc cxpcricncc ol violcncc
18
crcatcs
discnchantmcnt with clcctoral dcmocracy and cngcndcrs a willingncss to takc
action lor changc. Tosc who scorcd high on thc cxpcricncc ol violcncc indcx
wcrc also lcss satiscd with thcir livcs and morc likcly to pcrccivc a lack ol unity
in thcir communitics.
19
D I S I L L U S I O N W I T H D E M O C R A C Y [ 2 1 7 ]
vou:n
Tc youth arc thc bcst cducatcd, most knowlcdgcablc, most cynical, and most
vulncrablc ol all ol thc gcncrations ! studicd. 8ctwccn thc agcs ol + (whcn
thcy can lcavc school) and +8, whcn thcy can join thc military, is thc pcriod
ol most risk. Child labor laws prcvcnt thosc undcr +8 lrom working, cxccpt
as intcrns starting at +6, so thcrc is a pcriod during which it is most tcmpting
to go lor thc casy moncy and status ol thc drug tradc. Many still livc with
thcir parcnts at that agc, all surviving on thc pcnsions ol thcir grandlathcrs.
A rcccnt cthnographic study by thc !nstituto dc studos do Trabalho
c Socicdadc showcd that youth who arc no longcr in school and not yct work
ing spcnd most ol thcir timc slccping, pcrsonal grooming, and watching tclc
visionwhcn not cngagcd in activitics thcy would prclcr not to discuss with a
Frcnch anthropologist.
!n cach succcssivc gcncration, thcrc is morc cvidcncc ol scllblamc and
intcrnalizcd sclldcprccation. Tis showcd up clcarly in rcsponsc to our intcr
vicw qucstions about political participation (which rcvcalcd incrcasing alicn
ation and disacction) and in thc pcrccivcd lailurc to clcct candidatcs who
might ght lor thcir intcrcsts.
As with thc intcrnalization ol many lorms ol opprcssion, alicnation lrom thc
clcctoral proccss has lcd to incrcasing scllblamc on thc part ol thc urban poor
lor thcir lailurc to clcct candidatcs who might ght lor thcir intcrcsts.
As shown in gurc 8., whcn askcd whcthcr thc 8razilian pcoplc havc thc
capacity to makc wisc choiccs in thcir sclcction ol candidatcs, an incrcasing
numbcr say thcy do not. uring thc dictatorship, whcn voting was mcrcly a
mcmory, thcrc was morc laith in thc capacity ol thc clcctoratc than thcrc is
44%
48%
55%
61%
0
20
P
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60
80
1969
2001
2001
2001
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h
i
l
d
r
e
n
vicuvv 8. Lack ol condcncc in candidatc sclcction. (!ncrcasc in thc pcrccnt ol
rcspondcnts saying that 8razilians do not havc thc capacity to makc wisc clcctions lor
thcir candidatcs.)
[ 2 1 8 ] F A V E L A
today. Rcccnt cxpcricncc with clcctoral dcmocracy has pcrvcrscly gcncratcd less
faith in the ability of citi.ens to make .ise selections in their candidates for public
o ce.
Tc roots ol thc conditions that havc lcd 8razilians to doubt thcir capacity
to clcct thc right lcadcrs arc dccp and pcrvasivc. n thc onc hand, thcrc is littlc
or no accountability on thc part ol clcctcd o cials to thcir constitucnts, on
thc othcr hand, thcrc arc no pcoplcs movcmcnts su cicntly powcrlul to makc
dcmands on thc statc. Tc poor constitutc oncthird ol thc votcrs ol thc city, so
it stands to rcason that thcir mobilization around a policy platlorm or candidatc
could bc thc dccisivc lorcc lor clcctoral victory.
guicx vi x-
! scc no quick x lor strcngthcning citizcnship or building participatory
dcmocracy without dccpscatcd structural rclorms and a movcmcnt toward
a mcaninglul sharing ol powcr. vcn in citics with succcsslul cxpcricnccs ol
participatory budgcting, such as Porto Alcgrc and 8clo Horizontc, thc poor
arc not lull citizcns as long as so many arc uncmploycd and unprotcctcd lrom
policc and drug violcncc in thcir communitics. !l thc numbcrs ol youth that
dic cach day in thc lavclas ol thosc citics wcrc whitc and rich, thc voiccs
ol thcir parcnts would bc hcard and hccdcd. !nstcad, thcrc is thc sound ol
silcncc.
!n my obscrvations ovcr thc past vc ycars, thc plcthora ol NG and gov
crnmcntsponsorcd initiativcs lor training Rios poor in cidadanea (citizcnship),
cmpowcrmcnt, and capacity building, which havc mct with varying dcgrccs
ol succcss, cannot succccd in thc abscncc ol rcal opportunity to cxcrcisc thcsc
abilitics. Giving thc discnlranchiscd knowlcdgc ol thc lull cxtcnt ol thcir citi
zcn rights and how to dcmand thcm is ncccssary but not su cicnt to givc thcm
powcr or opportunity.
Tc dircctor ol a municipal cmpowcrmcnt training coursc lor womcn in
lavclas conlcsscd to bcing dccply conictcd about thc work shc was doing.
Tc womcn in thc community arc wondcrlul, shc said, but thc program is
a kind ol tcasc. !t raiscs cxpcctations and incrcascs lrustration, givcn thc lack
ol job opportunitics or channcls lor cxcrcising political powcr in rcal lilc. Tc
rcality thcsc womcn lacc altcr thcir diplomas arc signcd and handcd out is a
dcad cnd.
Hcr cxplanation validatcs thc analysis Castancda has madc ol corporatist
crony capitalism, as charactcrizcd by uncmploymcnt and a corrupt political
systcm institutionalizcd to protcct privilcgc by pcrpctuating incquality.
20
Tis
is what thc ncwly traincd community womcn arc up against oncc thcy havc
bccn through thc municipalitys cmpowcrmcnt coursc. !nadcquatc cmploy
mcnt, lack ol political acccss, and an abscncc ol protcction lrom violcncc mcan
D I S I L L U S I O N W I T H D E M O C R A C Y [ 2 1 9 ]
that thc poor and uncducatcd do not cnjoy thc lull bcncts ol citizcnship.
cmocracy cannot dccpcn without addrcssing thc cnormous incquality that
undcrmincs thc naturc ol citizcnship lor thc poor. Tc words ol Louis 8ran
dcis at a critical juncturc in thc history ol dcmocracy in thc Unitcd Statcs arc
pcrlcctly applicablc to 8razil today: Vc can havc dcmocracy in this country,
or wc can havc grcat wcalth conccntratcd in thc hands ol thc lcw, but wc cant
havc both.
ni ne
The Mystery of Mobility
vusox ~xu ~u~o: :nv cv~ssnovvvv ~xu :nv ~x:
!n thc carly altcrnoon ol Junc o, :oo, ! mct up with dson in lront ol
Nova 8raslia, on thc congcstcd Avcnida !taoca, just oppositc thc aban
doncd Skol 8ccr Factory. Hc rccognizcd mc right away and said hc prc
lcrrcd to talk with mc at his brothcrs housc, which was in a salcr, morc
acccssiblc, and mais arrumado (morc ordcrly) arca ol thc lavcla. As a rulc, !
prclcr mccting pcoplc in thcir own homcs, whcrc ! lcarn a lot by just look
ing around, but hc said it was too dangcrous to subir o morro (climb up thc
hill) to his placc. ! bclicvcd him. Tis was altcr my pcrsonal brush with thc
tra c in Nova 8raslia, and ! had no intcntion ol putting myscll at risk
againany morc than was ncccssary to nish thc rcscarch.
dsons oldcr brothcr, Adao, was waiting lor us whcn wc arrivcd. Tc broth
crs camc lrom a small town in thc intcrior ol thc statc ol Minas Gcrais, and
both startcd working at thc agc ol cight. 8ut thcir livcs havc takcn divcrgcnt
paths. Adaos housc was on thc right, about hallway up thc hill, along thc third
cntrancc to Nova 8raslia.
M Y S T E R Y O F M O B I L I T Y [ 2 2 1 ]
dson told mc that hc livcs in a prccariously constructcd tworoom shack
without a plastcr nish or a laje (propcr rool ), along with cight dcpcndcnts. Nonc
ol his childrcn arc in school or working. Hc is a biscateiro (odd jobbcr), picking
up construction work hcrc and thcrc, with no stcady incomc. Hc had bccn a con
struction workcr and was skillcd at laying tilcs, and hc had madc cnough moncy
at onc timc to own a small bar, whcrc hc sold cachaa (8razilian sugar canc rum).
At that timc, hc had a car and a savings account and was a big spcndcr. 8ut hc got
into scrious troublc (which hc did not spccily) and had to cc. Hc has had scvcral
wivcs and has lathcrcd scvcral childrcn with cach ol thcm.
dson is onc ol many pcoplc ! mct who livc on thc cdgc. Hc lrccly admits
that this is bccausc hc ncvcr thought about thc luturc and prclcrs to livc lrom
day to day, thinking mostly about womcn and lun. Hc has always spcnt what
cvcr hc has carncd without saving anything. His currcnt wilc was working but
stoppcd whcn thcy marricd and just scttlcd in (acomodou). Hc has no pcnsion
bccausc hc got angry onc day whcn thc social sccurity administration was on
strikc and hc nccdcd mcdical carc, so hc stoppcd making his monthly paymcnts
and was cut o. Tats whcn hc says hc descaminhou (lost his way) and his lilc
descontrolou (spun out ol control).
Vhcn ! askcd him how hc managcs, hc cxplaincd, Now things arc rcally
rough, cvcryonc is sucring. ! uscd to gct by borrowing hcrc and thcrc lrom
lricnds and ncighbors, but thcy can no longcr hclp cvcn thcmsclvcs. Hc is
ashamcd to go to thc producc markcts to pick up lcltovcr producc at thc cnd ol
thc day, saying:
!ts likc this. You arrivc and thcrc arc othcr pcoplc who got thcrc rst, and ! dont
havc thc couragc to stay thcrc picking through thc garbagc at thc cnd ol thc
lairwould you: How can you whcn you scc littlc childrcn, shamclcss, who arc
thcrc playing with thc orangcs and tossing thcm back and lorth: For mc this is
no gamc.
Hc had bccn making cnds mcct by gctting thc ccsta bsica thc govcrnmcnt
distributcs to thc poor on thc basis ol ncccssity. Tc ccsta bsica in Nova 8ra
slia is givcn out monthly through onc ol thc local Pcntccostal churchcs. Hc
cxplaincd that whcn hc docs not attcnd thc church thcrc, thcy dcny him thc
lood. Hc is also cligiblc lor 8olsa Famlia, a national stipcnd givcn to lamilics
who lall bclow thc povcrty linc il thcy mcct ccrtain conditions. Hc also qualics
lor thc socallcd citizcns chcck, but that comcs to a mcrc +oo rcais pcr month
(about US8 at thc timc ol thc intcrvicw) and barcly lasts a wcck. Hc tricd
moving back to thc countrysidc in his homc statc, Minas Gcrais, but things
wcrc cvcn worsc thcrc, so hc camc back to Nova 8raslia.
dson said his brothcr, Adao, was morc succcsslul in lilc bccausc hc bclicvcd
in work and planncd lor tomorrow. At this, thcy both laughcd and said it had
always bccn likc that, cvcr sincc thcy wcrc young boys. 8ut hard work and good
[ 2 2 2 ] F A V E L A
planning arc no guarantcc. Tcir sistcr, who staycd in thcir homctown in Minas
Gcrais, also organizcd hcr lilc around hard work, saving, and planning ahcad.
8ut shc had a strokc, wcnt blind, and had both ol hcr lcgs amputatcd duc to
scvcrc diabctcs. Tis is whcrc chancc and vulncrability cntcr thc picturc.
Vhcn ! askcd dson what madc work so hard to nd, his brothcr Adao
answcrcd, pobrc nao tcm vcz (Tc poor dont havc a chancc). Hc
cxplaincd:
8clorc, thcrc wasnt so much mcchanization. Now thcrc arc robots to do thc work
wc uscd to do, and thc boss docsnt havc to think about anyonc. !n thc Campo
Grandc garbagc dump, which uscd to cmploy lots ol mcn, thcrc is now only onc
workcr, a robot, and a computcr. Formcrly, thcrc wcrc garbagc mcn who thrcw thc
trash into thc truck. Now thcrc is a machinc that scoops it up and dumps it into
thc truck, so only thc drivcr has a job.
Adaos lilc is a dicrcnt story. Hc livcs in a thrccbcdroom, vcry wcll
appointcd housc with his son and daughtcr, in what has cndcd up as a lcgal
lotcamcnto adjaccnt to Nova 8raslia. Hc was ablc to movc thcrc bccausc hc
had workcd lor thc owncr ol that land lor ninc ycars as carctakcr. 8ccausc ol
his loyalty and consistcnt vigilancc in his workand his good luck at bcing
thcrc lrom thc bcginninghc was ablc to buy a lot whcn thc owncr dccidcd to
subdividc and scll. Hc livcs comlortably on his rctircmcnt pay lrom Kibon, thc
lamous 8razilian icc crcam company, whcrc hc workcd as a janitor. Hc has a
cartcira assinada and all thc documcnts ol o cial citizcnshipbirth ccrticatc,
idcntity card, cadastro dc pcssoa lsica, marriagc ccrticatc, titlc to his lot, and
prool ol military scrvicc.
Adaos wilc passcd away thrcc months prior to our mccting, and hc misscd
hcr tcrribly. Hc showcd mc thcir bcdroom and hcr things, still arrangcd on
hcr drcssing tablc and bcdsidc. Tcy dccidcd to havc only two childrcn so thcy
could conccntratc thcir rcsourccs on providing thc bcst cducation and oppor
tunitics lor cach. aisy, thc cldcst, is studying to bc a nursc (which would bring
hcr closc to bcing gcntc), but hcr youngcr brothcr, Pcdrinho, droppcd out ol
school and is in thc limbo ol ncithcr studying nor working.
Pcdrinho spcnds his days ying his kitc lrom thc rooltop and watching
tclcvision. Hc is dismissivc ol his lathcr and thrcatcns to join thc drug tra c
whcncvcr his lathcr asks him to look lor a job or makcs any attcmpt to disci
plinc him.
Adao was thrown into dcbt by thc high cost ol his wilcs luncral thrcc months
carlicr, but hc has a plan to pay back thc moncy. Lilc is not casy lor him, but hc
is managing to pay lor his daughtcrs nursing school and to hclp out his brothcr
dson by cmploying him to tilc his kitchcn and bathroomoor to cciling.
Vhcn ! askcd thc brothcrs what thcy thought accountcd lor thc dicrcnccs
in thcir livcs, Adao said:
M Y S T E R Y O F M O B I L I T Y [ 2 2 3 ]
Tcrc is always onc in cvcry lamily who likcs to work hardcr and wants to gct
ahcad morc. All my lilc ! havc likcd to savc moncy, and ! ncvcr spcnt all ! carncd.
!l ! got o contos |an oldcr currcncy|, ! would spcnd + and put thc othcr +
away. ! was ncvcr intcrcstcd in womcn or drink, and my wilc and two childrcn
wcrc thc ccntcr ol my lilc.
dsons rcsponsc was to laugh goodnaturcdly, saying, Adao was always thc
hard workcr and thc onc who applicd himscll and planncd ahcad, whilc ! was
morc laidback and contcnt to drink bccr with my buddics, rathcr than locus
on studying or working. Vhcn ! gct a biscate |odd job| ! spcnd thc moncy right
away. ! go out, trcat my lricnds, and havc a good timc.
Tis narrativc illustratcs thc oltcnncglcctcd rolc ol individual dicrcnccs
(thc lact that siblings havc dicrcnt naturcs dcspitc bcing born ol and nur
turcd by thc samc parcnts in thc samc cnvironmcnt) and ol chancc occurrcnccs,
such as thc dcath ol Adaos wilc, in dctcrmining povcrty outcomcs. Scvcral
casc studics ! prcscnt at thc cnd ol this chaptcr highlight individual charactcr
traitstogcthcr with lamily norms and valucssharcd by thc most succcsslul
mcn and womcn in our samplc.
wnv :oni ii :v i s ~ :vs:vvv
Tc rclativc importancc ol lamily culturc and pcrsonal charactcristics is onc ol
scvcral problcmatic issucs raiscd in trying to undcrstand mobility pattcrns. !
usc thc word mystcry in this chaptcr titlc bccausc cvcn altcr ycars ol collcct
ing and analyzing thc data and looking at it lrom dicrcnt anglcs, answcrs to
thc basic qucstions about thc dynamics ol mobility rcmain clusivc. Tc morc
! look into this dynamic and undcrstand it, thc morc nuanccd and pcrplcxing
thc ndings bccomc. Tc lour qucstions ! sct out to addrcss about mobility arc
apparcntly quitc straightlorward:
id things gct bcttcr or worsc lor thc pcoplc in thc original study and lor thcir
childrcn and grandchildrcn:
Vhat cxplains why somc pcoplc in thc lavclas movcd out and up and somc
did not: !n othcr words, what lactors arc associatcd with rcsidcntial and socio
cconomic mobilitymoving lrom lavclas into bairros and moving lrom low
to high rankings on standard mcasurcs ol succcss:
!s povcrty sticky within and bctwccn gcncrations: Tat is, il you wcrc born
poor did you stay poor throughout lilc (intragcncrational pcrsistcncc ol pov
crty) and did childrcn born to poor parcnts inhcrit that povcrty (intcrgcncra
tional transmission ol povcrty):
Vhat can pcrsonal narrativcs add to our insights about moving away lrom, il
not out ol, povcrty, and what rolcs arc playcd by individual charactcr, lamily
culturc, structural changc, and luck in this qucst to bccomc gcntc:
[ 2 2 4 ] F A V E L A
nv::vv, wovsv, ov no:n-
Starting with thc rst, most basic qucstionsdid lilc improvc or dctcrioratc lor
thc study participants and thcir dcsccndcnts: Tc answcr is a dcnitc maybc.
Pcoplcs livcs got both bcttcr and worsc dcpcnding on what you look at and how
you addrcss thc qucstion.
Vhat did cmcrgc clcarly lrom all ol my rcscarch ndings is that upward
and downward uctuations in incomc and othcr indiccs ol wcllbcing occurrcd
in small incrcmcnts, and that changcs wcrc ncithcr lincar nor did thcy occur
consistcntly in thc samc dircction. Tat in itscll hclps unravcl somc apparcnt
contradictions. Living on thc cdgc mcans bcing vulncrablc to lrcqucnt rcvcrsals
and rcvisions ol lortunc. Tc pcoplc and lamilics who ! havc dcscribcd in thc
carlicr chaptcrs cxpcricnccd many ups and downs, not only ovcr thc o ycars
bctwccn my two studics, but cvcn during thc scvcral ycars ! was in thc cld
conducting this study. Random cvcntssuch as illncss or thc dcath ol a lamily
mcmbcr, a lactory closing, ooding, or thc changc ol powcr among rival drug
gangscould thrcatcn a lamilys survival.
Constant uctuation makcs it di cult to givc an honcst answcr to thc qucs
tion ol whcthcr lilc is improving. Anothcr is thc conation ol chronological
agc, phascs in pcoplcs lilc cyclcs and structural changcs going on in thc broadcr
contcxt ol Rio, 8razil, and thc rcst ol thc world. ach ol thcsc is in continual
ux, so, as in advanccd physics, thc lrozcn momcnt ol obscrvation in itscll
distorts thc rcality.
Vith thosc cavcats in mind, my starting point was nding out whcthcr thc
pcoplc ! intcrvicwcd dccadcs ago arc still living in lavclas.
wnvvv ~vv :nvv xow-
!l starting out in a lavcla condcmncd onc to rcmain in a lavcla lor a pcrsons
cntirc lilc, and condcmncd oncs dcsccndants to rcmain trappcd thcrc as wcll,
that would bc akin to thc totally closcd systcms ol slavcry, castc, or aparthcid.
8razil and Rio, though inlamous lor high incquality lcvcls, arc not closcd sys
tcms.
l thc o pcoplc ! intcrvicwcd in +6, 6: livcd in lavclas, thc othcr +:
livcd in similar conditions ol povcrty and dcprivation in lotcamcntos in thc
lcast dcvclopcd subdivisions ol Caxias. Tcsc lotcamcntos, as mcntioncd carlicr,
lackcd pavcd roads, clcctricity, watcr, and sanitation, and thcy wcrc sprcad out
on barrcn land, giving thcm a lorlorn appcarancc. As much ol thc land was
bclow sca lcvcl, it oodcd in thc rainy scason and turncd into a dust bowl in
thc dry scason.
Tc lots, onc altcr anothcr, wcrc tiny, markcd out on thc ground with whitc
limc, and dcvoid ol vcgctation. Tc subdivisions ! studicd at thc timc wcrc at
M Y S T E R Y O F M O B I L I T Y [ 2 2 5 ]
thc larthcst cdgcs ol thc municipality. !n many ways, thcy wcrc lcss appcaling
than thc lavclas, which wcrc built amid somc grccncry on thc hillsidcs or at thc
watcrs cdgc. 8ut as it turncd out, by :oo+, thc lotcamcntos had dcvclopcd into
lcgitimatc workingclass ncighborhoods, and thc probability ol moving onward
and upward was considcrably bcttcr lor thosc who livcd thcrc than lor thosc
lrom a lavcla.
l all thc pcoplc wc managcd to locatc in :oo+, almost hall had rcmaincd in
thc samc community, most oltcn in thc samc dwclling in which thcy had bccn
in +6 or, in thc casc ol Catacumba, in thc conjunto apartmcnt to which thcy
wcrc movcd in +o. Tablc .+ shows what pcrccnt ol cach gcncration (scpa
ratcd by thc random and lcadcrship samplcs), was living in lavclas, conjuntos,
and bairros as ol :oo+. Tc bairros wcrc, lor thc most part, in pcriphcral ncigh
borhoods whcrc land valucs wcrc lowcst.
Tc lact that lcss than o pcrccnt ol thc original study participants wcrc
still in lavclas in :oo+ contradicts thc prcvailing wisdom in thc litcraturcand
among Cariocaswhich vicws lavclas as dcad cnds. !t has bccn assumcd that
il you arc born in a lavcla you will dic in that lavcla. 8ut thc ndings shown in
thc tablc abovc indicatc that, at lcast lor this group ol randomly sclcctcd lavcla
rcsidcnts, comparablc numbcrs ol thc original group had movcd out into bair
ros ( pcrccnt) as had staycd in thc lavclas ( pcrccnt). Tc othcr : pcrccnt
ol thc pcoplc in my original random samplc study group wcrc in conjuntos in
:oo+. Sincc nonc ol thcm had comc to thc conjuntos by choicc, wc can assumc
that il Catacumba had not bccn rcmovcd, thosc in conjuntos would bc about
cqually dividcd (as thc rcst ol thc samplc was) bctwccn lavclas and bairros.
Tis is an uncxpcctcdly high ratc ol upward and outward mobility lor a city
and country pcrccivcd as rigidly cxclusionary. Anothcr striking point is that
:~niv . + !here re Tey No.? (:cc:)
Fa.ela Public
Housing
Project
Legal
Neighborhood
Random
Samplc
riginal
!ntcrvicwccs :
Childrcn 6 +6
Grandchildrcn : + +
Lcadcrship
Samplc
riginal
!ntcrvicwccs ++ :+ 6+
Childrcn : + 6
Grandchildrcn :8 6 8
[ 2 2 6 ] F A V E L A
thc pcrccntagc ol pcoplc living in lavclas droppcd slightly lor cach succccding
gcncration, whilc thc pcrccnt rcsiding in lcgal ncighborhoods incrcascd dra
matically. Tcrc was also a stccp intcrgcncrational dcclinc in thc pcrccntagc ol
thosc living in conjuntos, which can bc cxplaincd by thc lact that, unlikc houscs
in thc lavclas, apartmcnts cannot bc cxpandcd to add thc lamilics ol marricd
childrcn, thcy cannot grow as thc lamily grows.
Tc othcr uncxpcctcd nding that shows up in thc tablc is thc crosion ol thc
dicrcncc bctwccn thc random samplcs and thc lcadcrship samplcs. Tc dicr
cncc among thc rst gcncration in :oo+ is dramatic. Vhcrcas pcrccnt ol thc
random samplc was still in lavclas altcr o ycars, only ++ pcrccnt ol thc lcadcr
ship samplc had rcmaincd. Convcrscly, 6+ pcrccnt ol thc lcadcrs had movcd
into a lcgal ncighborhood, as opposcd to pcrccnt ol thc random samplc. Tat
is an accuratc rccction ol thc advantagcs thc lcadcrship samplc had. Tcy wcrc
disproportionatcly malc, lightskinncd, oldcr, and bcttcr cducatcd than thc
random samplc, had highcr incomcs, and wcrc morc politically conncctcd and
savvy at working thc political systcm. Vhat ! lound surprising is that thcy wcrc
not ablc to pass on thcir rclativcly advantagcous position to thcir ospring.
Vith cach succcssivc gcncration, thcrc was lcss dicrcncc bctwccn thc two
samplcs. Tc childrcn ol thc random samplc movcd upward, and thc childrcn ol
thc lcadcrship samplc movcd downward, so that by thc grandchildrcns gcncra
tion, thcy had convcrgcd toward thc middlc and wcrc almost idcntical. !n tcrms
ol thc pcrccntagc rcmaining in thc lavclas, thc dicrcncc closcd lrom a :6point
gap bctwccn random and lcadcrship samplcs among thc original intcrvicwccs,
to a point gap in thc grandchildrcns gcncration. Likcwisc, thc dicrcncc in
thc pcrccntagc ol thosc who movcd to bairros diminishcd lrom a :point gap
in thc rst gcncration to a point gap in thc grandchildrcns gcncration.
vxviovi xc v~::vvxs ov vvsi uvx:i ~i :ovvs
Vhat was thc pathway out ol thc lavclas: id pcoplc go dircctly to bairros or
wcrc thcy morc likcly to go to conjuntos rst as a stcpping stonc toward thc
aslalto:
Tc ycarbyycar lilc historics wc collcctcd cnablcd us to lollow cach movc
showing not only whcrc thc pcoplc cndcd up but what pathway thcy took in
gctting thcrc. l intcrcst to both policymakcrs and thcorists is how lrcqucntly
thc urban poor movc and what pattcrn thc movcs takc. o thosc who cxit thc
lavclas cnd up back thcrc, or docs cach rcsidcntial movc tcnd to bc a stcp up thc
laddcr: For thc original intcrvicwccs, wc wcrc ablc to tracc cach rcsidcntial movc
ycar by ycar, lrom birth through :oo+ and to dctcrminc lor cach movc whcthcr
it was a lavcla, conjunto, lotcamcnto, or bairro. Tc pattcrns rcvcalcd vcry lcw
movcs and morc upward than downward mobility, as shown in gurc .+.
M Y S T E R Y O F M O B I L I T Y [ 2 2 7 ]
! organizcd thc graph by lrcqucncy ol rcsidcntial pattcrns, with thc most
lrcqucnt (bcing no movc at all) on thc top. Among thosc original intcrvicwccs
who staycd in thc lavclas, thcrc is littlc cvidcncc that any ol thcm madc hori
zontal movcs lrom onc lavcla to anothcr.
Tc ncxt most lrcqucnt pattcrnmoving lrom a lavcla to a conjuntocan
bc attributcd to Catacumbas rcmoval and thc rcscttlcmcnt ol its rcsidcnts to
conjuntos, whcrc thcy staycd. Sincc thc movc was not by choicc, thc pcoplc
who lall into this group might bc considcrcd anothcr variation ol nonmovcrs.
Countcr to my cxpcctation, living in conjuntos did not makc thc movc to bair
ros morc likcly. !t was apparcntly not a training ground lor moving up and out,
cvcn though conjuntos havc a morc lcgitimatc status than lavclas. Morc pcoplc
movcd dircctly lrom lavclas to bairros (+: pcrccnt) than movcd lrom lavclas to
conjuntos to bairros ( pcrccnt), although thc dicrcncc is small. All othcr pat
tcrns wcrc insignicant. ! suspcct that il ! rcpcatcd thc study ol thc samc group
today, in :oo, a highcr pcrccntagc would havc movcd lrom both lavclas and
conjuntos to bairros to cscapc thc violcncc.
i x:v~ ~xu i x:vvcvxvv~:iox~i cn~xcvs
Tc valuc ol longitudinal studics is thc comparison bctwccn thcn and now,
thc valuc ol multigcncrational studics is a comparison ol thc rst gcncration
with thcir childrcn and grandchildrcn. !ntra and intcrgcncrational studics arc
rarcly donc in squattcr scttlcmcnts, and, as lar as ! can asccrtain, thcrc is no
prcccdcnt lor combining both at any scalc bcyond a lcw dozcn lamilics.
1
vicuvv . + Rcsidcntial Mobility Pattcrns: riginal !ntcrvicwccs, +6:oo+.
0
5
10
15
20
25
30
Favela Only
Favela to Conjunto
Favela to Bairro
Loteamento Only
Fav-Conj-Bairro
Multi to C or L
Multi to Bairro
Fav to Conj to Fav
Fav-Bairro-Fav
Multi to Favela
Favela-Loteamento
Lot to Bairro
[ 2 2 8 ] F A V E L A
Changes for the Better
8cing an optimist by naturc, ! bcgin with thc intragcncrational and intcrgcncr
ational improvcmcntswhich arc considcrablc. Contrary to thc popular notion
that thc poor arc gctting poorcr, ! lound a dramatic improvcmcnt in many indi
cators ol wcllbcing, including thc building matcrials ol thc homc, thc rangc
and acccss to urban scrviccs, houschold goods, individual consumption, cduca
tion, and occupation. (Tablc .: shows intra and intcrgcncrational gains.)
8y :oo+, brick homcs (as opposcd to thosc madc ol scrap matcrial, wattlc
and daub, gains or wood) and acccss to urban scrviccscvcn in communi
tics that had not bccn includcd in upgrading programswcrc ncarly univcr
sal. Contrast this with +6, whcn pcoplc uscd kcroscnc lamps lor light or
obtaincd clcctricity by illcgally tapping into powcr lincs, watcr was availablc
only at slowly dripping collcctivc spigots at thc bottom ol thc lavcla hillsidcs,
and scwagc ran down thc slopcs in opcn channcls, ovcrowing onto pathways
and into homcs during hcavy rains.
:~niv . : Li.ing Standards, :,&, and :cc:, Comparing Tree Generations ()
:,&,
Original
Inter.ie.ees
:cc:
Original
Inter.ie.ees
:cc:
Children
:cc:
Grandchildren
8rick homc
!ndoor plumbing 6 8
lcctricity 8 6
Rclrigcrator 6 8 6
Tclcvision : 8 6
Vashing machinc o o 6 6
Air conditioncr o 6 68
Tclcphonc linc 68 88 8
Car o + :
Computcr o +o :: :
!llitcracy : 6 o
Somc/all high school o + :
Mcan = ol ycars ol
cducation
:. :. .6 8.88
Nonmanual job
(as job hcld lor
longcst pcriod
in lilc)
6 :o 6+
Note: !mprcssivc gains wcrc shown in housing inlrastructurc, clcctrodomcstic consumcr itcms,
cducation, and occupation.
M Y S T E R Y O F M O B I L I T Y [ 2 2 9 ]
ur :oo intcrvicws, which wcrc with ncw samplcs ol : pcoplc lrom
cach ol thc original communitics, yicldcd thc samc rcsultsncarly univcrsal
covcragc ol brick houscs, basic urban scrviccs, and inlrastructurc. Tis is not thc
casc lor any ncw lavcla in Rio today, but it is rcprcscntativc ol thc consolidatcd
lavclas that havc bccn in cxistcncc sincc thc +6os or carlicr. Tcsc consolidatcd
lavclas arc prcdominantly locatcd in thc North and South zoncs ol Rio and in
thc 8aixada Flumincnsc.
!mprovcmcnts wcrc not limitcd to matcrial conditions. !ncrcascs in cduca
tional lcvcls wcrc imprcssivc. Vhilc : pcrccnt ol thc parcnts ol thc original
intcrvicwccs and pcrccnt ol thc original intcrvicwccs thcmsclvcs wcrc illitcr
atc in +6, only 6 pcrccnt ol thcir childrcn and nonc ol thc grandchildrcn wcrc
illitcratc in :oo+. Additionally, nonc ol thc original participants or thcir parcnts
had attcndcd high school, whilc pcrccnt ol thcir grandchildrcn hadand ++
pcrccnt had gonc on to univcrsity.
!hat !ent !rong?
Migrants, lavcla rcsidcnts, social scicntists, and policymakcrs alikc scc cduca
tion as thc kcy to moving out ol povcrty. !l that wcrc so, thc imprcssivc cdu
cational gains rcportcd hcrc would havc yicldcd cqually imprcssivc incrcascs
in incomc gcncration and povcrty allcviation. 8ut that was not thc casc. Tosc
who madc thc grcatcst sacriccs lor thcir cducation did not rcap thc samc
incomc rcturns as thosc who had thc luxury ol taking cducation lor grantcd.
Tc 8razilian cconomist \alria Pcro comparcd Rio lavcla rcsidcnts with non
lavcla rcsidcnts in tcrms ol thcir cducational and incomc lcvcls. Hcr dramatic
ndings arc shown in gurc ..
For thosc who complctcd only lour ycars ol school, thc cxpcctcd incomc was
thc samc lor cvcryoncRio rcsidcnts, lavcla rcsidcnts and nonlavcla rcsidcnts.
8ut lor cvcry additional ycar ol schooling altcr thosc rst lour, thc carnings gap
bctwccn lavclas and nonlavclas widcncd. For thosc living in lavclas, thc morc
ycars thcy continucd to study, thc grcatcr thc gap bctwccn what thcy carncd
and what thcir nonlavcla countcrparts carncd.
2
Tis nding holds up cvcn whcn controllcd lor agc, racc, and gcndcr. Tis
gap likcly rcccts dicrcnccs in cducational quality, in thc homc and commu
nity cnvironmcnt and in discrimination in thc job markct. ! havc alrcady givcn
scvcral cxamplcs ol timcs whcn lavcla rcsidcnts who wcnt on job intcrvicws had
thcir intcrvicws summarily cndcd or applications turncd down duc to whcrc
thcy livcd.
!n light ol this, it is no wondcr that thc lavcla rcsidcnts havc bccomc
disillusioncd with cducation. !n my +6 intcrvicws, almost cvcryonc said
that cducation was thc most important lactor lor a succcsslul lilc. 8y :oo+,
thcy citcd dcccnt work with dcccnt pay as thc most important to lactor, with
[ 2 3 0 ] F A V E L A
cducation thc sccond most important lollowcd by hcalth and thcn incomc.
Tcy spccicd that thc work could bc cithcr emprego (cmploymcnt) or tra-
balho (working lor oncscll ). !t is tclling that thcy valucd work ovcr incomc, and
this was rcinlorccd by my opcncndcd intcrvicws. 8cing a workcr conlcrs scll
rcspcct and dignity that gocs bcyond thc monctary compcnsation.
Tis importancc ol work is onc ol thc ccntral thcmcs that cmcrgcd in cvcry
aspcct ol thc study. Figurc . is bascd on answcrs lrom thc childrcns gcncra
tion bccausc thcy wcrc in thc primc ol lilc in :oo+ and thcir samplc sizcs wcrc
0
500
1000
1500
2000
2500
0 2 4 6 8 10 12 14 16 18
Rio de Janeiro Favela Nonfavela
Years of School
I
n
c
o
m
e
(
i
n

r
e
a
i
s
)
vicuvv . !ncomc rcturns to cducation (:oo) arc lowcr lor lavclas than in nonlavc
las. Tc gap widcns with cach cxtra ycar ol schooling. Source: Compilcd by \alria Pcro
lrom thc :ooo Ccnsus.
3%
5%
9%
9%
10%
12%
30%
36%
50%
66%
Security
Faith
Moral qualities
Harmony
Family
Housing
Income/salary
Health
Education
Job/work
vicuvv . Kcy lactors lor succcss in lilc. Childrcns gcncration, :oo+. Source:
Catagorics dcrivcd lrom answcrs to opcncndcd qucstion.
M Y S T E R Y O F M O B I L I T Y [ 2 3 1 ]
thc largcst. Tc samc ordinal ranking applics to thc answcrs givcn by thc origi
nal intcrvicwccs and by thc grandchildrcnwith vcry littlc variation in thc pcr
ccntagcs. Povcrty thcorists and policymakcrs might bc surpriscd to scc that not
only is having a job considcrcd morc important than cducation, but, also morc
important than hcalth, than incomc, than housing, and cvcn morc important
than sccurity. !l pcoplc placc grcatcr valuc on going to work cvcry day than on
thcir housing, urban scrviccs, and pcrsonal salcty, it is cvidcnt that urban policy
has bccn sorcly misdircctcd. cvclopmcnt agcncics, national govcrnmcnt, and
local govcrnmcnt alikc havc bccn locusing thcir corts almost cxclusivcly on
housing, onsitc upgrading, and land tcnurc, or on controlling drug salcs whilc
what pcoplc want is work. ! rcturn to this discussion in chaptcr ++.
Parent-Child Educational and Occupation Comparisons
Tc gap bctwccn incomc rcturns to cducation lor lavclas and thc rcst ol Rio
was conrmcd by my own analysis ol lamily trajcctorics. Having data on thrcc
gcncrations lor cach lamily cnablcd mc to comparc cach pcrson with his or hcr
parcnts. liminating anyonc not currcntly activc in thc worklorcc, ! lound that
about 6o pcrccnt in cach gcncration had bcttcr jobs than thcir own parcnts
this dcspitc thc lact that 8 pcrccnt had morc cducation than thcir parcnts.
Somc ol this discrcpancy can bc cxplaincd by thc lact that cducational rcquirc
mcnts lor cntrylcvcl positions rosc lastcr than thc cducational gains ol thc low
incomc population, imprcssivc as thcy wcrc. Tis rising bar applics across thc
board lrom manual to nonmanual jobs, lrom garbagc collcctors to salcs clcrks,
making it di cult lor anyonc without a high school diploma to gct work and
making a univcrsity dcgrcc ncccssary to moving into bcttcrpaying jobs.
3
Vhcn ! was living in thc lavclas in thc +6os, parcnts commonly warncd
thcir childrcn, !l you drop out ol |clcmcntary| school, you wont bc ablc to gct
a job and youll cnd up collccting garbagc. Scvcral ycars ago whcn ! was in Rio,
:oo vacancics opcncd up lor garbagc collcctors. vcr ,ooo pcoplc applicd and
a high school diploma was mandatory.
Uncmploymcnt has riscn citywidc sincc thc boom timcs ol my rst study.
Tc dcclinc in Rios cconomy has madc thc job markct vcry tight. Among thc
lactors that havc lcd to job loss in Rio arc thc rclocation ol thc national capital
to 8raslia, thc movc ol thc nancial scrviccs and cultural/intcllcctual ccntcr
to Sao Paulo, thc loss ol hcavy industry to othcr parts ol 8razil and othcr
countrics (dcindustrialization), thc dcclinc ol thc port arca and thc shipping
industry, and thc loss ol tourism and invcstmcnt duc to lcar ol violcncc. Tc
consolidation ol thc built cnvironmcnt and tcchnological advanccs in construc
tion havc climinatcd many construction jobs, accting a largc numbcr ol poor
malc workcrs. Mcanwhilc thc squcczc on thc incomcs ol thc middlc class and
thc ncw rcgulations giving domcstics thc right to a minimum wagc and thc
[ 2 3 2 ] F A V E L A
lull packagc ol workcrs rights hasalong with ncw laborsaving houschold
applianccs, lood takcout scrviccs, laundromats, and so onrcduccd dcmand
lor domcstic scrviccs. Tis has mcant job loss lor many lcmalc workcrs lrom
inlormal scttlcmcnts.
8ctwccn +6 and :oo, thc pcrccntagc ol thc random samplcs that had
bccn uncmploycd lor morc than six months rosc lrom : pcrccnt to + pcr
ccnt. !n +6, + pcrccnt ol thc random samplc said thcy had no incomc lrom
any sourcc at all, in :oo, almost a quartcr ol thc random samplc (: pcrccnt)
had no incomc, morc than twicc thc avcragc lor Rio. Favclas had thc highcst
uncmploymcnt ratcs among thc various typcs ol poor communitics (lavclas,
conjuntos, and lotcamcntos clandcstinos). Among thosc cmploycd, lavcla rcsi
dcnts wcrc thc lcast likcly to havc thc morc prcstigious (though not ncccssarily
thc bcstpaying) nonmanual jobs.
4
As ! discusscd in chaptcr , thc lact that
lavclas arc associatcd with violcncc and bandidos makcs it cvcn morc di cult
lor thosc lrom lavclas to gct any job, particularly a wcllpaid job, rcgardlcss ol
cducational qualication.
5
Vc also lound morc absolutc povcrty than wc cxpcctcd in our lollowup
studics. !n thc :oo+ intcrvicws pcrccnt ol thc original participants, +8 pcr
ccnt ol thcir childrcn, and + pcrccnt ol thcir grandchildrcn said thcy had gonc
hungry in thc nottoodistant past. Scbastiao, onc ol thc original lcadcrs lrom
Nova 8raslia, had carncd a dcccnt living as a truck drivcr lor thc local Coca
Cola bottling lactory bclorc it closcd in thc carly +os. Vhcn ! wcnt with Z
Cabo to scc him, hc was living in a shack in thc backyard ol his lormcr homc,
supporting his ailing wilc, his daughtcr, Josilcnc, and hcr baby on his monthly
pcnsion. Josilcnc, an attractivc woman in hcr carly os, had bccn uncmploycd
lor so long that shc had givcn up looking lor work. Hcr lathcrs pcnsion was
thc only thing standing bctwccn hcr and going hungry and thc only sourcc lor
lccding hcr littlc girl.
To summarizc, matcrial conditions ol lilc arc much bcttcr today than thcy
wcrc lour dccadcs ago, and cducational lcvcls arc much highcr. 8ut uncmploy
mcnt is also much highcr and thc cducational gains havc not translatcd into
proportionally bcttcr jobs. Tc jobs pcoplc do gct pay what thc lyrics to a popu
lar samba call a salary ol povcrty, mcaning that cvcn among lamilics with a
working pcrson, going to bcd hungry is not uncommon.
cv::i xc ou: ov :nv v~vvi~s
Vhat distinguishcs thosc pcoplc and lamilics who madc thc transition lrom
morro to aslalto lrom thosc who, by choicc or ncccssity, did not:
Tc storics ol Jacobi, Margarida, Tio Souza, Nilton, Z Cabo, ona Rita,
Scbastiao, and janira providc somc scnsc ol what it mcans lor an individual
or lamily to stay in a lavcla or movc to a conjunto or bairro. Among thcm
M Y S T E R Y O F M O B I L I T Y [ 2 3 3 ]
nonc movcd voluntarily. Marga, Jacobi, Tio Souza, and Nilton wcrc all lorcibly
rcmovcd lrom a lavcla to a conjunto, and, among thcm, two havc sincc movcd
into bairrosMarga into an apartmcnt in !raj (in thc North Zonc) and Jacobi
to a wcstcrn part ol thc city callcd Jacarcpagu. ona Rita movcd out to a
ncarby ncighborhood ol condominiums but still gocs to thc lavcla daily to takc
carc ol hcr storc. Z Cabo movcd to thc samc bairro as Marga but, likc hcr, was
lorccd out by thc tra c. Scbastiao and janira arc still in thc lavcla. Collcc
tivcly, thcir narrativcs arc compclling, but do not providc a basis upon which to
gcncralizc or draw conclusions.
For that wc nccd to look at thc data collcctcd lrom all thc original study
participants and thcir dcsccndants. Tc analysis shows a strong rclationship
bctwccn outward rcsidcntial mobility (moving lrom lavclas to bairros) and
upward social mobility. Tosc who still livc in lavclas havc signicantly lowcr
incomcs, highcr ratcs ol uncmploymcnt, lowcr cducational lcvcls, lcss acccss to
human scrviccs, lcwcr urban amcnitics, and lcss houschold spacc pcr pcrson.
Tcy arc also morc likcly to work in manual labor (il thcy arc working) than
thosc in bairros. Likcwisc, thosc who havc bought land, built houscs, or rcntcd/
purchascd apartmcnts in bairros scorc much highcr on all indicators ol socio
cconomic mobility, whilc thosc living in conjuntos scorc somcwhcrc in bctwccn
thosc living in lavclas and thosc living in bairros.
8ut this nding tclls us nothing about what cnablcd pcoplc to movc up and
out ol lavclas. Vcrc thosc who cxitcd thc lavclas lor bairros bcttcr o before they
left the fa.elas and thcrclorc ablc to cxit: r was it that thcy wcrc lcd up with
thc violcncc, unattachcd to cxtcndcd lamilics, and drivcn to bccomc gcntc
thus willing to lcavc thc lavcla community and takc a risk in a bairro, only
bccoming bcttcr o after their mo.e: scaping thc stigma ol lavcla lilc could
wcll havc lcd torathcr thcn lollowcd lroma highcr living standard bccausc
it was casicr lor pcoplc, oncc out, to gct jobs, nd highquality schools, and
conncct to a divcrsc nctwork ol pcoplc.
To nd out what lactors contributc to thc likclihood ol cxiting a lavcla and
moving into a bairro, wc uscd a statistical probability tcst callcd a probit modcl.
Tc analysis rcvcalcd thrcc lactors that increased thc likclihood and thrcc that
decreased thc likclihood ol a pcrson gctting out ol a lavcla. Tc pcoplc who
got out tcndcd to bc thosc who (+) had lathcrs with rclativcly morc cduca
tion, (:) had morc cducation thcmsclvcs, and () wcrc morc knowlcdgcablc
about 8razilian politics. Tcsc ndings conrm what largcr studics bascd on
ccnsus data havc lound.
6
Vc would cxpcct that cducation (oncs parcnts and
oncs own) would bc a signicant prcdictor ol mobility and that intcrcst in and
awarcncss ol politics would rccct this cducational advantagc.
8ut thcy contributc to our undcrstanding by omission. All thc othcr vari
ablcs that thc litcraturc would prcdict would corrclatc with gctting out ol a
lavclabcing malc, lightskinncd, wcllconncctcd, having smallcr lamilics,
[ 2 3 4 ] F A V E L A
bcing cmploycd, and carning a good salary did not makc any signicant
dicrcncc.
Tc lactors that dccrcascd thc likclihood ol lavcla cxit contributcd morc to
thc mobility mystcry. Tc pcoplc who staycd tcndcd to bc thosc who (+) owncd
thcir homcs in thc lavclas, (:) had a lormal job with a carteira assinada (signcd
cmploymcnt contract) and bcncts, and () wcrc mcmbcrs ol community orga
nizations. All thrcc ol thcsc lactors also mcasurc wcllbcing, which makcs this
rcsult countcrintuitivc. Tc lact that homc owncrs wcrc lcss likcly to cxit lavclas
contradicts thc assumption that thosc with su cicnt rcsourccs to own thcir
own homcsas opposcd to rcnting, borrowing, or squattingwould bc thc
vcry oncs who would bc ablc to movc out. Tc homc owncrs wcrc thc oncs
who had invcstcd thcir lilc savings in thcir houscs, who had cxpandcd thcir
dwcllings to includc spacc lor thcir grown childrcn and thcir lamilics, and who
stood to losc thcir invcstmcnt il thcy lclt, sincc thc violcncc had dcvalucd thcir
propcrty. vcn il thc hcad ol thc houschold was ablc to movc, it was unlikcly
that hc or shc was ablc to aord to buy a spacc outsidc thc lavcla that was both
largc cnough and closc cnough to thc city to bring thc cxtcndcd lamily along.
Tc cost ol such a movc would bc prohibitivc or mcan giving up work.
Tc othcr countcrintuitivc nding was that pcoplc with jobs in thc lormal
scctorthat is, thosc with good salarics, bcncts, job stability, and insurancc
covcragcwcrc less likely to cxit. Considcring incomc alonc, thcsc pcrsons
would bc thc most ablc to aord to gct up and go, but it was thc vcry lact ol
proximity to thcir work that madc thcm stay in thc lavcla. Tc majority ol thosc
with cartcira assinadas workcd long hours and nccdcd to stay closc to thcir
workplaccs. Tis cxplaincd thcir rcluctancc to movc to a bairro larthcr away,
which would ncccssitatc spcnding timc and moncy commuting long distanccs.
Four hours ol travcl timc on top ol a +:hour work day is prohibitivcnot to
mcntion thc risk ol arriving latc to work bccausc ol a bus brcakdown, whcn
thrcc tardy chcckins is causc lor dismissal.
Finally, ! would havc prcdictcd that mcmbcrs ol ncighborhood associations
would bc morc likcly to movc out ol thc lavcla. Tc litcraturc is lull ol thcorics
about high social capital bcing a good prcdictor ol cconomic succcss and likcly
to providc thc ncccssary rcsourccs lor upward mobility. Altcr many hours ol
discussion with my lricnds living in thc lavclas it turncd out to makc scnsc:
obviously (to thcm) pcoplc with closc community tics and ra.es (roots) in thc
community might bc nancially ablc to movc out, but thcy would not want to
abandon thcir communitics and all thcy had lought lor ovcr dccadcs. Tis was
thc cxact situation in which Z Cabo lound himscll. And it was why Nilton
built his lamily compound in Guapor rathcr thcn in a bairro somcwhcrc clsc.
Making scnsc ol this countcrintuitivc nding conrmcd my obscrvation that
many pcoplc stay in thc lavclas by choicc. A lamous casc in point is 8cncdita da
Silva who, cvcn altcr bccoming thc national sccrctary ol social action, staycd in
M Y S T E R Y O F M O B I L I T Y [ 2 3 5 ]
thc lavcla Chapu Mangucira, whcrc shc has ra.es. !t is why Z Cabo rcmaincd
in Nova 8raslia altcr nancing land and housing outsidc thc lavcla lor his lour
grown childrcn. Tis attachmcnt to oncs roots also cxplains thc mcaning ol thc
lyrics ol many typcs ol music, lrom samba to Alro rcggac to hiphop to lunk.
Tcy all proudly praisc thc vcry rcal pains and plcasurcs ol lavclas as homc.
lcvcn pcrccnt ol thosc in thc highcst lth ol carnings in our samplc chosc not
to lcavc thc lavclas, dcspitc thcir cconomic ability to do so.
So which comcs rstlavcla cxit or upward mobility:
As in thc chickcnandcgg conundrum, thcrc may bc no dcnitivc answcr.
Vc lound a scllrcinlorcing rclationship bctwccn lavcla cxit and upward mobil
ity. Tc lavcla rcsidcnts who had grcatcr asscts and incomcs had morc oppor
tunity to movc out, and thosc who succccdcd in moving out, cspccially into
bairros, had morc opportunity to gcncratc incomc. !n Niltons casc, moving to
thc conjunto in Guapor (not ncarly as prcstigious as any bairro) cnablcd him
to gct a job with thc Military Policc, lor which hc had bccn turncd down scvcral
timcs whilc rcsiding in Catacumba.
To untanglc thc dircction ol causality bctwccn lavcla cxit and upward mobility,
wc uscd thc sociocconomic status (SS) indcxcomposcd ol thc samc clcmcnts
uscd in thc 8razilian ccnsus and houschold survcys: cducational lcvcl (numbcr ol
ycars in school), consumption ol houschold goods and applianccs, and crowding
(pcrsons pcr room). Vc gcncratcd a scorc lor cvcry individual and uscd thc scorc
to comparc thc wcllbcing ol childrcn who staycd in a lavcla to thosc who movcd
to a bairro. To bc surc that wc wcrc not picking up thosc childrcn whosc parcnts
had movcd out and takcn thcm along, wc sclcctcd only thosc childrcn born in a
lavcla whosc parcnts still livcd in that lavcla. As gurc .: dcmonstratcs, thc chil
drcn who wcrc still living in lavclas had ncgativc SS scorcs (bclow thc avcragc),
vicuvv . : SS ol adult
childrcn whosc parcnts (!s)
rcmaincd in thc lavc
las according to typc ol
community. Place of Residence
B
a
r
r
i
o
s
/
N
e
i
g
h
b
o
r
h
o
o
d
s
C
o
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j
u
n
t
o
s
/
P
r
o
j
e
c
t
s
L
o
t
e
a
m
e
n
t
o
s
/
S
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b
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v
i
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i
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F
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v
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l
a
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a
n

S
E
S
.6
.4
.2
-.0
-.2
-.4
-.6
[ 2 3 6 ] F A V E L A
whilc thc childrcn who had movcd into bairros had positivc scorcs, with thosc in
lotcamcntos and conjuntos scoring in bctwccn thc two.
Tis dcmonstratcs that, among thosc childrcn who wcrc born and raiscd
in lavclas and whosc parcnts ncvcr movcd out ol thc lavclas, thc oncs who
ncvcr lclt arc at a distinct disad.antage and thc oncs who managcd to movc
out and movc into a bairro havc a distinct ad.antage. 8cing in a lavcla mcans
having tcachcrs who arc not as good as thc oncs who tcach in bairros and
who only show up : timcs a wcck, having lcss social support lor staying in
school, bcing in a crowdcd (usually noisy) homc with thc tclcvision on and
no room to study or lor privacy, not mccting pcoplc on a daily basis who havc
job contacts, and not bcing hircd altcr a job intcrvicw in which an addrcss is
rcquircd.
i s vovvv:v s:icxv- novx voov, s:~v voov-
novx voov, cni iuvvx voov-
anicl, whom ! intcrvicwcd in Catacumba in +6, bccamc rclativcly succcss
lul among thosc in thc original samplc but rcmains poor rclativc to his carly
childhood. Hc was born in !pancma and had maids, a nanny, and all thc com
lorts ol thc uppcr middlc class until his lamily bccamc impovcrishcd by his
lathcrs drinking and gambling. 8y thc timc hc was cight ycars old, his lamily
had lost thcir housc and movcd into thc lavcla ol Catacumba. Ycars altcr thcy
wcrc rcmovcd to thc conjuntos hc managcd to savc cnough to buy a small housc
in thc suburbiosthc tcrm uscd lor lowincomc arcas on thc urban lringc. Hc
has workcd as a dispatchcr lor thc inlormal vans that go lrom thc ccntcr ol thc
city out to thc various suburbios whcrc most ol thc lowcrranking worklorcc
livcs. His story is onc ol downward mobility.
Hlio Grandc, whosc story ! pick up again at thc cnd ol this chaptcr, camc
lrom cxtrcmc povcrty in Catacumba and now livcs in thc lamcd ncighborhood
ol Gloria. His story is onc ol born poor, now privilcgcd. Marga and Nilton
wcrc born poor, and arc now lcss poor, Z Cabo was born poor, got bcttcr and
bccamc poor again, and janira was born poor, and has rcmaincd poor. Still,
many ol thcir grandchildrcncspccially thc girlswcrc born poor (or ncarly
poor), and arc no longcr poor.
!l povcrty wcrc chronic and sticky within and across gcncrations, cach ol
thcsc pcoplc would bc in thc samc rclativc position ovcr his/hcr lilc span and
would havc passcd thcir povcrty on to thcir dcsccndcnts. 8ut that is not thc
rcality ! cncountcrcd. ! lound both upward and downward mobility to bc in
constant ux, with somc pcoplc doing bcttcr than othcrs ovcrall.
Tc prcmisc and promisc ol this rcscarch is that through undcrstanding
morc about thc cndogcnous and cxogcnous lactorsor thc intcrnal and cxtcr
nal conditionsthat lacilitatc upward mobility, it may bc possiblc to strcngthcn
M Y S T E R Y O F M O B I L I T Y [ 2 3 7 ]
thc conditions that makc it possiblc lor somc to bccomc upwardly mobilc. Tc
answcr to thc qucstion lor intragcncrational mobilityis povcrty sticky:
turns out to bc not vcry. 8ut to answcr thc qucstion morc than anccdotally,
wc nccd a way to look at all ol thc rcspondcnts. Vc did this by using thc SS
indcx cxplaincd carlicr. Vc could thcn comparc thc scorcs ol thc original intcr
vicwccs in +6 with thcir scorcs in :oo+. Tcrc was vcry littlc stickincssthc
rclationship was wcak, dcmonstrating that that thc original SS scorcs lor cach
pcrson wcrc not signicantly rclatcd toor prcdictivc olhis or hcr SS scorc
latcr in lilc.
Vhat about intcrgcncrational mobility: !s povcrty inhcritcd: Addrcssing
thcsc qucstions cntailcd looking at how closcly thc SS scorcs ol thc parcnts
prcdictcd thc SS scorcs ol thcir childrcn and thcir grandchildrcn, and again
at how thc childrcns scorcs acctcd thcir own childrcn. Tc answcr, as shown
in tablc A.+, is that thcrc was a positivc but wcak rclationship that mcans that
contrary to popular wisdom, thc status ol parcnts had littlc prcdictivc powcr in
dctcrmining thc status ol thcir childrcn. Tc singlc cxccption was a high cor
rclation bctwccn thc childrcn and thcir own childrcn. 8ut that nding is arti
cially inatcd, sincc :: pcrccnt ol thc grandchildrcn wcrc still living at homc
in :oo+ whcn thc survcy was conductcd. !n othcr words, sincc thcy sharcd thc
samc houscholds, thcir domcstic consumption and numbcr ol pcoplc pcr room
wcrc idcntical lor thc childrcn and grandchildrcn, lcaving only cducation as a
dicrcntiator in SS scorcs bctwccn thosc two gcncrations.
7
vcrall, wc concludcd that thcrc was a lot morc mobility both within and
bctwccn gcncrations than thc litcraturc would havc lcd us to bclicvc. Tc most
intcrcsting ncgativc nding among thc comparisons was that thc SS scorcs ol
thc original samplc in +6 wcrc not strongly rclatcd to thcir childrcns scorcs
in :oo+, whcn thcy wcrc approximatcly thc samc and at thc samc stagc in thcir
lilc cyclc.
Tcrc was somcthing clsc ! wantcd to chcck to bc surc that this nding
about transmission ol povcrty was rcliablc. All thc calculations ! mcntioncd
carlicr wcrc donc by avcraging ovcr thc cntirc samplc, which mcans that ups
and downs may havc canccllcd cach othcr out, causing us to miss thc bcst part
ol thc story. Tc only way to dctcrminc il this was thc casc was to takc cach
individual scparatcly, comparing thc rclativc status ol cach pcrson at dicr
cnt pcriods ol his or hcr lilc and rclativc to his or hcr own childrcn. Vc call
this cascbycasc analysis and wcrc ablc to do it bccausc wc had traccd thcsc
lamilial rclationships in our original qucstionnaircs.
Vc crcatcd transition matriccs displaying thc movcmcnt bctwccn thc point
ol origin and thc point ol dcstination lor cach pcrson in tcrms ol thcir SS
scorcs. Vc did not addrcss absolute mobility in rclation to thc rcst ol Rios popu
lation but relati.e mobility within thc group. Vc dividcd thc group into quin
tilcs, using thc SS scorcs and moving lrom thc top :o pcrccnt to thc bottom.
[ 2 3 8 ] F A V E L A
For cvcry pcrson who movcd up, onc movcd down. !n cxtrcmcly rigid socictics,
such as closcd castc systcms, thc pcrccntagc ol pcoplc who changc lrom onc
quintilc to anothcr or whosc childrcn cnd up in a dicrcnt quintilc lrom thcir
parcnts is vcry low. !n a uid social systcm, howcvcr, most pcoplc movc cithcr
up or down rclativc to thc group.
For Rios lavcla rcsidcnts, thc dcgrcc ol movcmcnt was lairly high. Tc intra
and intcrgcncrational transition matriccs wc crcatcd rcvcalcd that only : pcr
ccnt ol thc original intcrvicwccs rcmaincd in thc samc quintilc ovcr thc coursc
ol thcir livcs, and only :8 pcrccnt ol thcir childrcn rcmaincd in thc samc quin
tilc as thcir parcnts. Comparisons bctwccn mothcrs and thcir daughtcrs showcd
morc transmission ol rclativc povcrty than comparisons bctwccn lathcrs and
sons. Tcrc was also a closcr rclationship bctwccn thc status ol childrcn and
thcir childrcn, lor thc rcasons cxplaincd carlicr. Tis conrms thc wcak intra
and intcrgcncrational transmission ol povcrty, and it rcinlorccs thc nding that
Rios urban poor may bc struggling but arc not trappcd in chronic povcrty.
Howcvcr, it is important to bcar in mind that thc mobility wc arc rclcrring
to in this scction is rclativc, not absolutc, mobility, that upward and downward
movcs arc cqual in this typc ol transition matrix analysis, that most transitions
wcrc small, oncstcp incrcmcnts, and that cvcn thosc in thc highcst SS quin
tilc arc still poor in rclation to thc rcst ol thc city.
Tc grcatcst mobility (in thc SS indcx as wcll as in cducation, consump
tion, crowding, incomc, and occupation scparatcly) is not individual mobility
but structural mobility. Tis rclcrs to thc ovcrall raising ol thc bar on all ol
thosc dimcnsions ol mobility in thc intcrval bctwccn thc latc +6os and thc
rst dccadc ol thc twcntyrst ccntury. Povcrty is not a trap, but much ol thc
improvcmcnt that wc lound was not rclativc to thc rcst ol socicty, but thc rcsult
ol a rising tidc lilting all boats.
!n short, intcrgcncrational transmission ol povcrty is wcak and thcrc is no
lilctimc condcmnation to a particular dcgrcc ol povcrty or to a stigmatizcd
tcrritory ol cxclusion, to usc Vacquants phrasc. ncs latc is not scalcd by thc
position ol oncs parcnts or grandparcnts. Tc dicrcncc bctwccn all thc lavcla
rcsidcnts and all thc nonlavcla rcsidcnts in Rio is signicant, and not casily
diminishcd, but thc dicrcnccs within lavclas and among lavcla rcsidcnts can
bc washcd out in a gcncration or lcss. Among thc most succcsslul and upwardly
mobilc ol thc original intcrvicwccs, thc womcn workcd as maids, cooks, box
lunch prcparcrs, scamstrcsscs, or vcndors, and thc mcn as construction workcrs,
janitors, bill collcctors, and o cc boys. Tcrc was also onc intcrior dccorator
and onc picturc lramcr in this group. Most had only onc or two childrcn, and
most had alrcady lclt thc lavclas, conjuntos, or lotcamcntos lor bairros.
Among thc childrcn ol this group, womcns jobs includcd nursc, hairdrcsscr,
orist, cashicr, high school tcachcr, pcrsonncl o ccr, and Military Policc o
ccr, thc mcns jobs includcd vcndor, storckccpcr, high school tcachcr, Military
M Y S T E R Y O F M O B I L I T Y [ 2 3 9 ]
Policc o ccr, and o cc workcr. !n thc upwardly mobilc subgroup ol thc chil
drcn, oncthird had no childrcn, oncthird had only onc child, and thc rcmain
ing third had two childrcn (with onc casc who had thrcc). As with thc carlicr
gcncration, most ol thc upwardly mobilc/succcsslul childrcn livcd in bairros,
rathcr than lavclas, conjuntos, or lotcamcntos.
Among thc grandchildrcn ol thc most succcsslul intcrvicwccs, lcmalcs
workcd as rcccptionists, administrativc assistants, supcrmarkct chcckout clcrks,
tclcmarkctcrs, data cntry workcrs, salcs clcrks, and scamstrcsscs in tcxtilc lac
torics, thc malcs workcd in thc arts (as lmmakcrs, or in vidco, graphic dcsign,
or pcrlormancc), owncd storcs, workcd in o ccs, pcrlormcd invcntory, or
wcrc drivcrsand onc was a rcal cstatc brokcr. l thc upwardly mobilc group,
pcrccnt had no childrcn at all, and ol thosc who did, 8o pcrccnt had just onc,
and thc othcrs had two.
!t is a bit out ol lashion thcsc days to talk about lamily sizc sincc thc issuc
has bccn usurpcd by thc argumcnts lor and against abortion and a womans
right to choosc. !t is also widcly known that as urbanization lcvcls incrcasc lam
ily sizc dccrcascs (cxccpt pcrhaps in !ndia). Vc havc long undcrstood that thc
lactors bchind this lcrtility drop arc urban bcncts such as grcatcr cducational
and cmploymcnt opportunitics lor womcn. !mprovcd mcdical carc lor moth
crs and babics, lowcr inlant and child mortality ratcs, longcr lilc cxpcctancy,
grcatcr acccss to birth control, and lcss nccd lor a largc lamily to work thc larm
(in addition to lcss prcssurc on mcn to dcmonstratc thcir virility by lathcring
largc lamilics) also contributc. 8ut wc arc sccing not only a onctimc urban
rclatcd drop in lcrtility but a radical intcrgcncrational dcclinc such that among
thc youngcst cohort in this study, manylikc Patyarc dcciding against hav
ing childrcn at all. Tis trcnd has bccn documcntcd lor countrics likc !taly
butto my knowlcdgcnot in squattcr scttlcmcnts in thc citics ol dcvcloping
countrics.
x~:uvv, xuv:uvv, ~xu s:vuc:uvv
Tc rclationships drawn lrom thc survcy and lilc history data can only rcvcal so
muchthcy do not tcll thc contcxt or thc dctails ol thc storics bchind thc out
comcs. To undcrstand thc morc nuanccd qualitics that distinguish thc povcrty
cscapcrs lrom thc povcrty prisoncrs, ! tricd onc last approach. Vc sclcctcd
thc tcn most succcsslul and tcn lcast succcsslul among thc original random
samplc, and scparatcly among thc lcadcrship samplc, bascd on thcir SS scorcs,
occupation, and incomc. Vc thcn conductcd opcncndcd intcrvicws with cach
ol thcm to nd out morc about thcir lilc storics and listcn to thcir pcrsonal nar
rativcs. Tc storics ol dson and Adao at thc bcginning ol this chaptcr cmcrgcd
lrom thcsc indcpth discussions. dson was onc ol thc +o poorcst individuals
among all ol thc original study participants, whilc Adao was among thc +o
[ 2 4 0 ] F A V E L A
most succcsslul. Togcthcr, thcir storics illustratc how upward and downward
mobility can cocxist within thc samc lamilyadding to thc ongoing dcbatcs
about thc rclativc rolc ol naturc and nurturc.
Looking at thc cntirc sct ol thcsc lollowup intcrvicws, ! lound scvcral
thcmcs that cmcrgcd rcpcatcdly in dicrcnt ways. ! havc dividcd thc lactors
that appcar to acct rclativc succcss into indi.idual and contextual lactors and
lurthcr into gi.ens (pcrsonality traits or abilitics cvidcnt at an carly agc) and
choices as shown in tablc .. To thc possiblc dismay ol social scicntists and
policymakcrs, ! lound that random clcmcnts ol luck and timing accountcd lor
somc ol thc variation in outcomcs, making a hugc dicrcncc in many livcs but
occurring outsidc thc purvicw ol public policy, civil socicty, or pcrsonal agcncy.
Shahin Yaqub idcnticd cight mobility ltcrs that distinguish po.erty
escapers lrom po.erty prisoners, thcrcby ltcring thc cscapc proccss.
8
Tcsc arc
parcntal incomc, cducation, gcndcr, racc, castc, community, class, and culturc.
For our intcrvicwccs, all ol thcsc ltcrs, cxccpt castc, playcd a rolc, but lamily
culturc turncd out to bc among thc most important lactors.
Tc vigncttcs that lollow illustratc many ol thcsc traits. Tcy arc thc storics
ol Hlio Grandc, Maria Gisclia, Alacrtc Corrcia, and Niltonlour ol thc most
succcsslul pcoplc among thc original study participants. ach ol thcm lound a
pathway away lromil not out olpovcrty.
soccvv, s:~v:s, ~xu vvi vxus: :nv s:ovv
ov nviio cv~xuv
Hlio is onc ol thc most mcmorablc pcoplc ! mct in my carly days in Cat
acumba. Hc was ycars old at that timc, a tall, charismatic community lcadcr
who was lricndly with cvcryonc. Hc was activc in thc Rcsidcnts Association,
:~niv . Emergent Temes from Life Narrati.es
Indi.idual Contextual
Givcns rivc
Pcrsistcncc
Skills
Talcnt
Proximity to upscalc arcas
Social nctworks
Family support (lor
cducation, skills/job, ctc)
Family culturc and valucs
Choiccs Spousc
Limit numbcr ol childrcn
Stratcgic planning (moncy,
cducation, ctc.)
Lcarn a tradc, start a
busincss, gct a job
Tradco bctwccn
living in a lavcla
closcr to ccntcr, or in a
ncighborhood larthcr
away
M Y S T E R Y O F M O B I L I T Y [ 2 4 1 ]
thc Youth Athlctic Club, thc samba school, and community cvcnts such as
danccs, picnics, day trips, and so on. Hc was a grcat socccr playcr.
l all ol thc pcoplc ! rccncountcrcd, Hlio had cxpcricnccd pcrhaps thc
grcatcst dcgrcc ol upward mobility in his lilcand in thc dccadcs bctwccn
my two studics. Hc camc lrom humblc bcginnings: his lathcr was a construc
tion lorcman with incomplctc primary school cducation, and his mothcr was
a houscwilc, though shc had nishcd high school (which ! bclicvc was a
critical lactor lor Hlios succcss). Although hc only complctcd junior high
school himscll, Hlio was onc ol a vcry lcw who succccdcd in moving into
thc South Zonc and intcgrating himscll into ncighborhood lilc thcrc. Hc
was prcsidcnt ol thc ncighborhood association ol Glria lor + ycarsand
hc bccamc gcntc.
! intcrvicwcd Hlio in his twobcdroom apartmcnt on a trcclincd strcct in
thc middlcclass ncighborhood ol Glria.
His homc in Glria was a lar cry lrom his shack in thc lavcla. Hlios succcss
was thc rcsult ol intclligcncc, contacts, and luck. Hc was born in +::, and at
thc agc ol :+ hc got marricd. Somconc hc kncw rccommcndcd him lor a low
lcvcl job as a sccurity guard in thc Ministry ol Justicc in Rio dc Janciro, so hc
did not nccd to lacc public compctition (concurso publico) lor thc job. !n +6, hc
was translcrrcd to 8raslia, along with his coworkcrs, whcn thc national capital
was rclocatcd. His wilc did not want to go with him, so thcy scparatcd, and hc
wcnt with anothcr woman, whom hc soon marricd, thcy arc togcthcr to this
day. !n +6, at agc , hc rctircd and rcturncd to Rio to livc ncar his parcnts, in
thc suburb ol Guadalupc. Hc had bccn ablc to savc moncy in 8raslia bccausc
hc livcd in an apartmento functional (subsidizcd apartmcnt lor public scrvants).
uring thc duration ol his cmploymcnt, hc continuously scnt moncy to his
lathcr in Rio to bcgin building a housc lor him, in anticipation ol his cvcntual
rcturn. Altcr his rcturn, hc sold that housc to buy thc apartmcnt in Glria
lor cash.
!n cxplaining how hc had attaincd this lcvcl ol succcss, hc said:
! always managcd. ! did whatcvcr it took. Vc ncvcr had moncy my lamily was
rcally poor, thcrc was not cnough to cat, and wc oltcn wcnt hungry but ! was
ncvcr dcstitutc. ! always lound a way to survivc. Vhatcvcr sort ol work camc my
way, ! always grabbcd and did it, and thc hardcst timcs passcd that way. Succcss is
having luck providc an opportunity and thcn acting on it. ! had hcalth, lricndship,
and socccr, and ! madc thc rcst happcn.
Hlio cxplaincd that hc ncvcr lclt any typc ol work was bcncath him, so hc
was ncvcr uncmploycd lor long. Hc sct goals lor himscll and mct thcm, and hc
lclt that pcoplc should go altcr things thcy bclicvcd in rathcr than dcpcnding
on othcrs lor thcir wcllbcing. Hc said hc lclt that consumption was a vicc.
[ 2 4 2 ] F A V E L A
vicuvv . ~xu . 6. Hlio Grandc, lrom Catacumba, in his apartmcnt in 8otalogo,
:oo.
M Y S T E R Y O F M O B I L I T Y [ 2 4 3 ]
His stratcgy, hc said, was to livc in a lavcla whilc invcsting his moncy in prop
crty clscwhcrc whcn land valucs wcrc chcap.
Hlio has a son who is a prolcssional socccr playcr and a grandson who
marricd a Norwcgian woman and livcs in slo. 8ut hc is most proud ol his
daughtcr, who attcndcd privatc school, passcd thc cntrancc cxam to thc Fcdcral
Univcrsity ol Rio dc Janciro, graduatcd with ying colors, and has complctcd
two advanccd dcgrccs.
! was ablc to do lor hcr what ! was ncvcr ablc to do lor myscll, this was my drcam.
! wantcd to bc an accountant. Tcn ! wantcd to bc a lawycr, but ! ncvcr had a
chancc to study scriously. And this girl (my daughtcr) is both: shcs an accountant
and graduatcd in law. Can you imaginc:
s:v~:vcv ~xu s~cvi vicv: :nv :~iv ov :~vi ~ ci svii u~
Maria had thc highcst SS scorc in thc original random samplc. Shc was liv
ing in Ccntcnrio, onc ol thc lotcamcntos in Caxias, at thc timc ol thc origi
nal study and now livcs in a small, spotlcss apartmcnt in Copacabana. ach
ol hcr lour childrcn startcd working at thc agc ol +, and thcy hclpcd buy
hcr this apartmcnt altcr hcr husband dicd. Hcr kids prclcr not to livc in thc
South Zoncthcyvc rcmaincd in or closc to Caxiasand Maria visits thcm
on wcckcnds.
Hcr lamily was lrom thc Northcast and valucd cducation and hard work
as thc kcys to succcss. !n hcr words, thcy lought lor thcir livcs and ran
altcr any opportunity thcy could to survivc and improvc. Maria says that
studying, pcrsonal drivc, and parcntal support wcrc thc critical lactors in hcr
succcss in lilc.
! lulllcd my rcsponsibility to raisc my kids. ! didnt want to lcavc thcm with any
onc clsc, so ! staycd homc with thcm and didnt work. !t was a nancial strugglc
lor |my husband and mc| to support our kids, but wc did it, thank God. ! think
! raiscd thcm wcll. Tcy havcnt disappointcd mc at allthcy makc mc so happy.
Tc sacricc ! madc to scnd thcm all to privatc school was worth it, and thcy havc
all workcd hard.
Maria Gisclias lour childrcn all havc good jobs. Hcr two sons wcnt to
law school whilc working at thcir lathcrs pharmacy. ncc thcy sold thc
pharmacy and nishcd thcir dcgrccs, thcy opcncd a law rm ol thcir own
in !lha do Govcrnador, whcrc thcy livc. Tcy maintain thc strong politi
cal conncctions thcy lormcd during high school. Marias youngcr daugh
tcr complctcd univcrsity and is a public scrvant working as a bank clcrk in
Copacabana, commuting lrom Caxias. Marias oldcr daughtcr, whom shc
[ 2 4 4 ] F A V E L A
considcrs thc loscr ol thc lamily, has hcart problcms and continucs to livc
at thc lamily homc in Caxias.
Maria movcd to Copacabana in +8, altcr hcr sons sold thcir lathcrs phar
macy in Caxias and hcr youngcr daughtcr bought thc apartmcnt lor hcr. Maria
and hcr husband owncd thcir lormcr homc in Caxias, which shc now rcnts out
lor additional incomc.
Today, Maria is rctircd and carcs lor hcr oldcr daughtcr. Shc also travcls
whcn shc can. Shc says that shcs ablc to livc on hcr rctircmcnt pay bccausc
shc was a good nancial planncr and tuckcd away moncy cach month during
hcr working lilc. Shc madc thc most moncy whcn shc startcd trading in gold
jcwclry, buying it chcaply in Sao Paulo and sclling it lor a prot in Rio. Tis was
lucrativc until thc valuc ol thc dollar rosc, along with gold priccs. !n addition to
hcr currcnt rctircmcnt paymcnts and thc rcnt moncy shc rcccivcs on thc Caxias
housc, shc rcccivcs hcr dcccascd husbands pcnsion.
v~:nvv xxows nvs:: ~i~vv:v covvvi ~, :nv n~vnvv
Alacrtc, who had thc sccond highcst SS ol thc original random samplc, makcs
his living as a barbcr. His wilc also contributcs to thc lamily incomc, but thc
rcvcnuc lrom his barbcrshop was always thc major sourcc. Hc attributcs his
succcss to his lathcrs pushing him to lcarn a tradc:
My lathcr was +oo pcrccnt rcsponsiblc lor |my carccr/succcss|. Vhcn ! was +
ycars old, hc said, Son, yourc going to go lar in lilc. nc ol his buddics lrom
back in thc countrysidc had a barbcrshop ncar his housc. My lathcr askcd him
to tcach mc how to bc a barbcr. ! said h, dad, ! dont havc thc slightcst dcsirc
to lcarn this! dont want to lcarn to cut hair, no way. ! dont likc it. Hc said,
No, my son, yourc going to lcarn and lcarn wcll, bccausc a prolcssion is ncvcr a
wastc. ! rcmcmbcr as il it wcrc ycstcrday. Vhcn ! was +, ! lcarncd to cut hair,
and at + ! startcd working in thc barbcrshop. My lathcrs lricnd didnt likc work
ing, hc likcd socccr and drinking, so ! ran thc shop alonc. At +8, ! workcd as a
barbcr in thc military lor a ycar and cvcntually opcncd my own barbcrshop. !l !
hadnt lcarncd this tradc, ! dont know what ! would havc bccn. ! lcarncd bccausc
hc wantcd mc to lcarn it, hc madc mc lcarn it, and ! can now say that my lilc is
bcttcr bccausc ol him. Hc gavc mc a prolcssion.
vcr timc, Alacrtc has managcd to acquirc a signicant amount ol rcal
cstatc, including an apartmcnt in thc conjunto ol Fazcnda 8otalogo, two studio
apartmcnts, a housc in Campo Grandc, a storc in thc city ccntcr, and a piccc
ol land in Fazcnda Modclo (on thc road to Tcrcspolis). For Alacrtc, having a
succcsslul lilc dcpcnds on a solid lamily structurc and a stcady salary. And it was
nding his tradc that madc all thc dicrcncc.
M Y S T E R Y O F M O B I L I T Y [ 2 4 5 ]
Tcsc storics arc rcvcaling in thcir own right, but its important to undcr
stand that thc bclicls and bchavior pattcrns wc idcnticd among thc most
succcsslul lavcla rcsidcnts arc by no mcans guarantccs ol succcss. Somc ol
thc pcoplc wc talkcd to who wcrc similarly wcll cducatcd, hard working,
and motivatcd showcd downward mobilitylcadcrs and random samplc
mcmbcrs alikc.
xi i:ox su:s i : uv
Tc story ol Nilton is onc ol succcss, by our standards, but hc is a lailurc
according to his own gaugc. Vhcn ! mct him in Catacumba in +6, hc
was :6 ycars old and lull ol promiscbright, motivatcd, handsomc, and onc
ol thc lcw whosc parcnts had succccdcd in scnding thcm to privatc Jcsuit
sccondary school. Altcr thc rcmoval to thc conjunto in Guapor, hc got a
job with thc Military Policc (hc had bccn rcpcatcdly turncd down lor simi
lar positions whilc living in thc lavcla). Altcr his rctircmcnt, hc bccamc a
sccurity guard, and hc was most rcccntly a travcling salcsman lor a company
hc had workcd lor somc o ycars carlicr. His wilc had bccn a scamstrcss in a
tcxtilc lactory, and altcr hcr rctircmcnt shc continucd working lrom homc.
8oth ol his daughtcrs wcnt to privatc schools and wcrc thc rst in thcir
community to gct dcsktop computcrs. nc is marricd and not working, and
oltcn stays with hcr parcnts whcn hcr husband is working latc or travcling,
bccausc it is too dangcrous to bc in hcr own apartmcnt alonc. Tc othcr
(Sabrina, whom wc mct in thc introduction) droppcd out ol univcrsity altcr
shc brokc hcr lcg in a lall on campus, shc bccamc a tclcmarkctcr (paid undcr
thc tablc) but had to quit bccausc it was making hcr dcal. As ! mcntioncd,
shc has not rcturncd to school.
Tcrc arc dozcns ol pcoplc whosc storics mcrit tclling and whosc livcs
arc lull ol couragc and crcativity in thc most daunting ol circumstanccs.
Tc tropc ol hopc ovcrcoming dcspaircvcn whcn hopc did not sccm war
rantcdstands in stark juxtaposition to a saying hcard among thc poor in
anothcr part ol thc world (Azcrbaijan): nly thc wcllo can bclicvc in
tomorrow.
9
!s hopc rcally a luxury ol thc rich: Tis bclicl may wcll rcprcscnt thc dcadli
cst cncmy to nding pathways out ol povcrty. !n our many convcrsations with
lavcla rcsidcnts, a consistcnt thcmc cmcrgcd among thosc who had managcd,
against all odds, to bcttcr thcir lots in lilc: a scnsc ol hopc. Tc cando spirit, thc
bclicl that sacricing and planning can nally pay oan unqucnchablc scnsc
ol optimismbccamc sclllullling lor thcsc upwardly mobilc (in aspiration il
not yct in rcality) lavcla rcsidcnts. Among Rios poor, cvcn thc lcss succcsslul
among thcm, thcrc rcmains a bclicl that thcir day will comc.
ten
Globalization and the GrassRoots
vcr thc ncxt : ycars, virtually all ol thc worlds population growth will bc
in thc citics ol dcvcloping countricsand most ol it will bc conccntratcd in
squattcr scttlcmcnts such as thc oncs ! havc dcscribcd hcrc. Tcrc will bc +
citics with :o million or morc inhabitants by thc ycar :o:+. For that rcason, it
is crucial and timcly to considcr thc impact ol globalization on thcsc marginal
izcd inlormal scttlcmcnts.
! bcgin by taking a critical look at currcnt assumptions about globaliza
tion, with an cyc toward scparating causality lrom cotcrminality. !n thc proccss
! cxplorc not only how thc urban poor arc acctcd by globalization but also
how much ol that ccct is duc to thc way advanccd capitalism tcnds to conccn
tratc wcalth (rcgardlcss ol global inucncc) and thc way ncw tcchnology tcnds
to rcplacc unskillcd workcrs (rcgardlcss ol global inucncc).
Globalization is many things to many pcoplc and all things to somc pco
plc. For cxamplc, avid Harvcy construcs it to includc all cconomic, political,
social, cultural, and idcological changcs that havc occurrcd with thc rcstruc
turing ol capitalist production.
1
!n this lormulation, it includcs cvcrything,
including proccsscs antcccdcnt to todays lorm ol globalization, inhcrcnt in it,
and conscqucnt to it.
G L O B A L I Z A T I O N A N D T H E G R A S S R O O T S [ 2 4 7 ]
Vhat makcs this cspccially intcrcsting is that thc mcaning ol thc tcrm is
itscll a topic ol global discoursc.
cspitc its polarizing cccts in dcbatcs on thc subjcct, globalization is
intrinsically ncithcr good nor bad. You may lovc or hatc it, but it is hcrc to stay.
As is thc casc with tcchnological advanccs, it is not going to rcvcrsc, nor would
that bc bcnccial. Tc qucstion is how to pcrmit thc havcnots among and
within countrics and citics to partakc in thc bcncts ol globalization, rathcr
than simply picking up thc tab whilc bccoming incrcasingly irrclcvant.
2
How docs globalization acct thc undcrclass in Rio dc Janciro: To answcr
this qucstion, ! usc rik Torbcckcs dcnition ol thc tcrm: sscntially, glo
balization mcans grcatcr intcgration into thc world cconomy through opcnncss
to intcrnational tradc, intcrnational capital movcmcnts and labor migration,
tcchnology translcr, and thc ow ol idcas and inlormation.
3
ach componcnt ol this dcnition has potcntially positivc as wcll as ncga
tivc conscqucnccs lor thc urban poor in Rio:
Openness to international trade may bc hclplul lor lavcla rcsidcnts insolar as it
rcduccs consumcr priccs but harmlul in tcrms ol job loss, as capital sccks thc
lowcst labor and production costs, making Rio noncompctitivc.
International o. of capital initially hclpcd lowcr ination and promotc 8razils
+ Rcal Plan, which pcggcd 8razilian currcncy to thc U.S. dollar. uring
this pcriod, lavcla rcsidcnts wcrc ablc to buy things lormcrly and subscqucntly
bcyond thcir mcans. Tc rcal has sincc incrcascd in valuc and bccomc morc
attractivc to lorcign invcstors. 8ut a strong currcncy also raiscs priccs, rcduc
ing compctitivcncss with itcms madc in China, lor cxamplc.
Labor migration8razil has outsourccd lowskillcd jobs to othcr countrics,
lcaving lcwcr jobs lor thc lavcla population. Many small busincss owncrs and
middlcclass workcrs havc migratcd to thc Unitcd Statcs to work mcnial jobs
and scnd homc thc moncy thcy makcbut lavcla rcsidcnts tcnd not to bc a
part ol this cyclc, duc to a gcncral lack ol highcr cducation, documcntation,
and opportunity.
Technology transferthcrc is no going back to a prccomputcr agc, and somc
day, thc risc ol tcchnology will ccrtainly bcnct lavcla rcsidcntsthough this
changc is slow in coming. Tc stigma ol thc lavclado could bc climinatcd in
thc virtual world, whcrc a pcrsons placc ol rcsidcncc is unknown and irrcl
cvant. Skill dcvclopmcnt will bc nccdcd, but it is not out ol thc qucstion that
Rio could bccomc a wircd or smart city, gcncrating jobs lor pcoplc all along
thc sociocconomic scalc.
Flo. of informationlavcla rcsidcnts arc morc conncctcd to thc world than
cvcr bclorc, through thc ubiquity ol tclcvision and thc Vorld Vidc Vcb. Tc
downsidc is thc ncw scnsc ol inlcriority this crcatcs, as Rios poorcst population
is bombardcd with imagcs ol wcalth lrom thc Unitcd Statcs and uropc.
[ 2 4 8 ] F A V E L A
:nv nv~v: ov :nv :~::vv: vovvv:v ~xu i xvgu~ii :v
Hardly a day passcs without thc issuc ol globalization, povcrty, and incqual
ity coming up in ncwspapcr and magazinc articlcs, acadcmic publications,
and policy spccchcs, by both dclcndcrs and dctractors ol thc ncw world
ordcr:
Rising incquality is thc dark sidc to globalization. |8ut| no onc wants a rcturn to
outright protcctionism.
v~ui xvuc:~x, NE! YOFK TIMES, :~v +, :oo
An impovcrishcd ghctto ol onc billion pcoplc will bc incrcasingly impossiblc lor
a comlortablc world to tolcratc.
v~ui coiiivv, THE BOTTOM BILLION (:oo)
Tcrc is mounting cvidcncc that cconomic growth is lcss ccctivc in rcducing
povcrty in thc lacc ol rising trcnds in incqualitics.
uxi:vu x~:ioxs vvvss vviv~sv, ~ssoci~:vu vvvss, vvnvu~vv 8, :oo
Making globalization work lor thc masscs is thc ccntral cconomic issuc ol
thc day.
i~wvvxcv n. su::vvs, FINNCIL TIMES, oc:onvv o, :oo6
conomic globalization has outpaccd political globalization. Vc nccd collcctivc
action to tcmpcr capitalism . . . but wc havc yct to crcatc thc political structurcs to
do so.
josvvn s:icii:z, US NE!S ND !OFLD FEPOFT, svv:v:nvv +8, :oo6
Tcsc quotations, and thc articlcs lrom which thcy wcrc cxccrptcd, raisc
lundamcntal qucstions rcgarding thc incvitability ol globalization, its costs,
and whcthcr its conscqucnccs lor thosc cxcludcd may bc mitigatcd or cvcn
rcvcrscd through thc implcmcntation ol intcrnational agrccmcnts or domcstic
policics.
My vc starting prcmiscs would bc synthcsizcd as lollows:
+. Te .orld is not at and ne.er .as. Tc proccss ol globalization ovcr thc past
scvcral dccadcs has cxaccrbatcd prccxisting incqualitics and divcrgcncc.
Advanccd capitalism has produccd advanccd marginalization, whcrcby
thosc limitcd to thc spacc ol placc and cxcludcd lrom thc spacc ol ows
4

havc bccn rcduccd lrom unimportant to irrclcvant.
:. Globali.ation is not an act of nature. !t is thc rcsult ol policics that makc thc
markct suprcmc, allowing conccntration ol capital to trump conccrn lor
cxcludcd countrics, communitics, and citizcns. Tcrclorc, changcs in policics,
rulcs, and inccntivcsintcrnationally or nationallymight thcorctically
G L O B A L I Z A T I O N A N D T H E G R A S S R O O T S [ 2 4 9 ]
mitigatc or rcvcrsc thc trcnd toward grcatcr incquality, givcn su cicnt
political will.
. Globali.ation is not ne., although advanccs in tclccommunications, inlorma
tion tcchnology, and transportation havc incrcascd thc spccd, volumc and
cxtcnt ol ows ol capital, labor, inlormation, and idcas.
5
Tc historical logic
ol ccntcr/pcriphcry in thc world systcm is rcproduccd at cvcry lcvcl, lrom
contincnts to communitics, continually rcinlorcing thc vicious cyclc ol uncvcn
dcvclopmcnt or, as Cclso Furtado so wcll put it, thc dcvclopmcnt ol undcrdc
vclopmcnt.
6
. Globali.ation is not unidimensional. ach ol its aspccts may havc dicrcnt con
scqucnccs lor dicrcnt constitucncics at dicrcnt timcs. !t may bc good, bad,
or ncutral, dcpcnding on an individuals position in thc hicrarchy ol winncrs
and loscrs. Tc rcsults ol globalization vary dcpcnding on contcxt and spc
cic circumstanccs, though thcy arc oltcn subjcct to swccping gcncralizations
about thc wondcrs or cvils ol a globalizcd world ordcr.
. Po.erty is not reduced su ciently by globali.ation to rcdrcss thc incqualitics
cxaccrbatcd by it. Povcrty lcvcls may havc improvcd in absolutc tcrms in thc
agc ol globalization, but thc gap bctwccn thc havcs and havcnots has wid
cncd. !nclusivc growth dcpcnds on policy intcrvcntions dcsigncd to sharc thc
lruits ol growth with thc bottom third ol thc worlds population.
Policymakcrs sccking ways to mitigatc thc human cost ol globalization dis
cuss such mcasurcs as taxing intcrnational transactions, raising stipcnds and
salarics ol displaccd workcrs to prcvious lcvcls, implcmcnting cducation and
job training programs to hclp pcoplc cntcr thc inlormation cconomy, and vari
ous othcr incomc rcdistribution mcasurcs that rangc lrom thc mundanc to thc
utopian.
7
!t is unclcar whcthcr thc political will cxists to put thcsc idcas into
action or whcthcr thc scllpcrpctuating logic ol globalization can bc moldcd by
rcgulatory or contractual arrangcmcnts. Vhat is ccrtain is that globalization is
not rcvcrsiblcthcrc is no turning back.
uvn~x vi~xxi xc ~xu cion~ii z~:iox
Tcrc is a pcrmancnt tcnsion bctwccn lcgal and illcgal rcsidcnts ol thc city, with
obvious implications lor land usc, housing nancc, and cnvironmcntal protcction.
Tc racc to bccomc a global city casts thc urban cndcavour as a busincss, whcrc
stratcgic planning rcplaccs urban planning and protability rcplaccs thc public
good. Tc city has to markct itscll to compctc as a global city, and an undcrcdu
catcd undcrclass undcrmincs thc scll.
8
Vith this in mind, Rios poor cannot bc
studicd cxccpt within thc contcxt ol rampant globalization. How havc thcy bccn
acctcd by todays pcrvasivc globalization ol idcas, icons, and idcntitics:
[ 2 5 0 ] F A V E L A
:nv uvn~x guvs:iox
How has thc currcnt stagc ol globalization acctcd povcrty and incquality in
urban arcas on thc pcriphcry ol thc world hicrarchy ol citics, particularly in thc
slums, squattcr scttlcmcnts, and shantytowns ol this study: Tc prcvailing
wisdom is that globalization tcnds to conccntratc wcalth and dccpcn incquality
within and among citics, countrics, and contincnts.
!n lact thc rclationship is a complcx, oltcn contradictory onc. Tc conncc
tion bctwccn globalization and povcrty dcpcnds on how broadly wc dcnc
globalization, how wc mcasurc povcrty, how carclully wc distinguish causality
lrom cotcrminality, and whosc vicwpoint wc assumc.
My qucstion is how thc livcs ol thc o pcrccnt ol urbanitcs living in thc
shantytowns ol Asia, Alrica, and Latin Amcrica would dicr in thc abscncc
ol our currcnt lorm ol globalization. Vhat would bc thc impact on povcrty,
incquality, violcncc, and voicc:
Vithout a groundcd undcrstanding ol how globalization accts povcrty in
spccic localitics, wc cannot hopc to rcnc thcory or to translorm policy.
:nv c~sv ov vio uv j~xvi vo
!n thc ycars sincc thc cnd ol thc dictatorship, 8razil has attaincd middlcincomc
status by worldwidc standards, though much ol its population has clcarly bccn
cxcludcd. !n lact, 8razil has thc highcst dcgrcc ol disparity bctwccn rich and
poor ol any largc country in thc world. As !vc shown, thc poor ol 8razil havc
bccn systcmatically prcvcntcd lrom achicving thcir lull human potcntial and
havc bccn dcnicd thc dignity ol lull citizcnshipbut ! havc not yct cxplorcd
thc cconomic conscqucnccs ol such a disparity.
Undoubtcdly, this lcvcl ol incquality has sct limits on cconomic growth
by dcpriving thc country ol thc intcllcctual capital, productivc and consumcr
potcntial, and political participation ol a third ol its urban population.
9
!l globalization has a polarizing ccct bctwccn rich and poor, as ! havc pos
itcd hcrc, thcn incomc incquality should havc bccomc morc acutc starting in
thc +os. !ncomc distribution data lor 8razil and Rio bctwccn +: and :oo
indccd shows cxtrcmc incquality, but it has dccrcascd ovcr thc timc pcriod cov
crcd by this study.
10
Tc Gini coc cicnt is a mcasurc ol incquality indicatcd by
a lraction ranging lrom zcro to onc, with zcro bcing pcrlcct cquality (cvcry pcr
son having an cqual sharc ol thc wcalth, incomc, land, ctc.) and onc bcing total
incquality (with onc pcrson having all thc sharcs). !n 8razil, thc Gini coc cicnt
varicd only slightly (lrom o.8 to o.6o) ovcr thosc ++ ycars, whilc globalization
by cvcry mcasurc was rising. For Rio, thc pattcrn is ncarly idcntical in thc samc
timc pcriod, with thc Gini coc cicnt ranging bctwccn o. and o.8 and cnd
ing up at o. in :oo, cxactly thc samc as thc national gurc.
G L O B A L I Z A T I O N A N D T H E G R A S S R O O T S [ 2 5 1 ]
Povcrty gurcs havc also rcmaincd lairly consistcnt or dcclincd. Using Unitcd
Nations cvclopmcnt Programmc dcnitions ol povcrty (carning US8: pcr
day or lcss) and cxtrcmc povcrty (carning 8+ pcr day or lcss), about a third
ol 8razils population and about a lth ol Rios population arc in povcrty
lcss than thc national avcragc, duc in part to thc lact that thc gurcs havc not
bccn adjustcd lor purchasingpowcr parity.
11
Tc pcrccntagc ol poor pcoplc in
Rio dcclincd slightly lrom +::oo, whilc thc pcrccntagc ol indigcnt poor
incrcascd slightly.
12
! hcsitatc to draw conclusions about thc conscqucnccs ol globalization
lrom thcsc statistics alonc, as many additional variablcs arc in play, and
it is always possiblc that strong ncgativc and positivc cccts canccl cach
othcr out. 8ut thcrc is no doubt that thc cconomic dcclinc ol thc city ol
Rio (absolutcly and in rclation to thc othcr mctropolitan arcas) has had a
dclctcrious ccct on its inhabitants, particularly on thc most vulncrablc
among thcm.
uring thc pcriod ol my rcstudy thc city ol Rio had lowcr ratcs ol growth
(in GP/capita) and upward mobility than thc city ol Sao Paulo, thc statc
ol Rio, all ol thc major rcgions ol thc country, and 8razil as a wholc. Although
Rios GP pcr capita is rclativcly high, Rios cost ol living is cvcn highcrand
Rios lcvcl ol incquality is worsc than that ol 8razil in gcncral (cxhibiting a
Gini coc cicnt ol o.6+6 comparcd with o.). According to thc ratings ol thc
Human cvclopmcnt !ndcx, Rios quality ol lilc rangcs lrom lcvcls comparablc
to that ol 8clgium (in Gvca, an upscalc ncighborhood in thc South Zonc,
ninth in world ranking) to that ol \ictnam (in thc Complcxo dc Alcmao, in
thc North Zonc, +o8th ol + countrics in thc world).
13
Tis cxtrcmc incquality
prcscnts an obstaclc to social mobility.
~vv v~vvi~s c~:cni xc uv wi :n ov cv::i xc
vuv:nvv nvni xu :nv vvs: ov vio-
Tcrc is amplc cvidcncc that globalization has incrcascd incquality among
rcgions and countrics in thc world, with Alrican nations in dangcr ol bccoming
irrclcvant or bcing rclcgatcd to a Fourth Vorld. !l thc logic ol globalization
is onc ol incrcascd conccntration ol capital in thc richcst rcgions, nations, and
world citics, would this logic cxtcnd to incrcascd incquality bctwccn rich and
poor within citics:
Tc spccic qucstion hcrc that is rclcvant to my study is whcthcr thc gap in
wcllbcing bctwccn lavclas and thc rcst ol thc city ol Rio widcncd or narrowcd
bctwccn thc prcglobalizcd pcriod at thc cnd ol thc +6os and thc globally
cmbcddcd rst ycars ol thc twcntyrst ccntury. Tat is not to say our ndings
can asscrt any causal rclationship but mcrcly that wc can add somc cmpirical
data and insight to this discussion.
[ 2 5 2 ] F A V E L A
Looking at thc balancc shcct ol what got bcttcr and what got worsc in thc
livcs ol thc urban poor ovcr thc past o ycars docs not addrcss thc issuc ol
incquality. Tc prcvious chaptcr has dcmonstratcd thc undisputcd improvc
mcnts in thc study communitics in tcrms ol collcctivc urban inlrastructurc and
scrviccs as wcll as individual consumption and cducation. Yct this docs not
tcll us whcthcr incquality in rclation to thc rcst ol thc city incrcascd or dimin
ishcd.
!n ordcr to rcducc incquality, thc gains ol thc lavcla population would havc
to exceed thc gains ol thc nonlavcla population. !l thc dcgrcc ol improvcmcnt
within thc lavclas was matchcd by cqual improvcmcnt in thc rcst ol thc city,
incquality lcvcls would rcmain unchangcd, dcspitc thc notablc improvcmcnts
in thc living standards ol thc lavclas. !l thc prcmisc that globalization dccpcns
incquality is corrcct, thc gap bctwccn rich and poor communitics in Rio will
havc bccomc grcatcr ovcr this timc pcriod.
To addrcss this issuc, wc nccdcd to havc a rcprcscntativc random samplc ol thc
study communitics at two points in timcbclorc and altcr globalization bccamc
intcgral to 8razils cconomy. Convcnicntly lor this thought cxpcrimcnt, thc rst
study, in +686, occurcd during 8razils protcctionist pcriod whcn import
substitution was thc guiding principlc ol dcvclopmcnt. 8y thc timc thc lollow
up intcrvicws wcrc donc, with thc samc pcoplc and thcir dcsccndcnts, 8razil was
among thc major playcrs in thc global cconomy. Tc samc was truc ol 8razil in
:oo whcn wc intcrvicwcd a ncw random samplc in thc samc lavcla communi
tics. Vith all ol thcsc data, wc could cxaminc thc bclorc and altcr conditions to
scc how pcoplcs livcs had changcd rclativc to thcir own carlicr condition (prc
globalization), how thcir childrcns and grandchildrcns livcs had changcd (in thc
midst ol globalization), and how thc communitics had changcd rclativc to thc
city ol Rio as a wholc.
14
Using thc survcy data lrom Catacumba, Nova 8raslia, and Caxias in +6
and :oo, ! was ablc to comparc thc prolcs ol thcsc communitics with thc
prolcs ol Rios gcncral population at thc timc ol thc closcst ccnsus. Tat mcant
using thc +o ccnsus lor comparison with our +6 samplc and using thc :ooo
ccnsus lor comparison with our :oo samplc.
Tc ncxt qucstion was ho. to comparc thc prolcs ol thc study communi
tics with thc ccnsus prolcs lor thc city at largc. n what basisusing what
mcasurcswould it makc scnsc to look lor divcrgcncc or convcrgcncc: Vc
constructcd a compositc indcx ol sociocconomic status using thc samc thrcc
indicators uscd by thc ccnsus: (+) education (as mcasurcd by thc numbcr ol ycars
ol schooling), (:) domestic consumption (as mcasurcd by thc numbcr ol housc
hold goods and applianccs), and () cro.ding (as mcasurcd by thc numbcr ol
pcoplc houscd pcr room). Tis yicldcd a scorc lor cach pcrson and an avcragc
scorc lor cach community, which wc thcn comparcd with thc avcragc scorc lor
Rio rcsidcnts according to thc ccnsus.
G L O B A L I Z A T I O N A N D T H E G R A S S R O O T S [ 2 5 3 ]
Tc rcsults wcrc thc oppositc ol what globalization thcorists would havc prc
dictcd. n avcragc, our communitics scorcd lowcr than thosc in thc thc grcatcr
citybut thc gap bctwccn thc two was rcduccd. Tcrc was signicant upward
mobility among lavcla rcsidcnts in our thrcc study communitics rclativc to thc
population ol Rio as a wholc. !n +6, thc avcragc SS scorc ol our samplc
communitics was bctwccn thc lowcst +o pcrccntilcs ol thc population ol Rio.
8y :oo, thc avcragc scorcs ol thc rcsidcnts ol thc samc thrcc communitics had
riscn to bctwccn thc :6th:th pcrccntilcs lrom thc bottom. Tis mcans that
by :oo, ovcr a quartcr ol thc citys population had lowcr SS scorcs than thc
pcoplc in our study communitics.
Tis is a powcrlul nding, but ! had somc doubts about its validity. ! rca
soncd that thc SS scorcs lor thc :oo samplc might bc articially inatcd,
sincc thcrc was no rcliablc way to rcstudy Catacumba as a placc, givcn that it no
longcr cxistcd. Using a random samplc lrom thc Guapor and Quitungo con
juntos was thc closcst approximation, but many pcoplc living thcrc had ncvcr
livcd in Catacumba or in a lavcla, and thc ovcrall SS scorc ol thc conjuntos
was highcr than that in thc lavclas. Likcwisc, sincc thc Caxias lotcamcntos had
bccomc lcgitimatc ncighborhoods duc to thcir lcgal status, thcir inclusion in
thc SS scorcs may havc maskcd an incrcascd gap bctwccn lavclas pcr sc and
thc rcst ol thc city.
To bc ccrtain that thc closing gap was not an artilact ol thc samplc, ! rcpcatcd
thc calculation using only thc lavclas in thc studythat is, ltcring out thc data
lrom thc conjuntos and lotcamcntos and lcaving only Nova 8raslia and thc
thrcc lavclas in Caxias. Tc rcsults still showcd a distinct risc in lcvcls ol living
visavis thc city. Tc avcragc scorcs ol thosc living in thc lavclas movcd up
lrom bctwccn thc th+oth pcrccntilcs lrom thc bottom in +o to bctwccn
thc +th:oth pcrccntilcs lrom thc bottom in :ooo.
Tc lavclas havc a long way to go to rcach thc mcan or mcdian, but thc gap
is closing. Tc original study lavclas arc now in a rclativcly lavorablc position
comparcd with ncwcr scttlcmcnts that havc grown up, mostly in thc Vcst Zonc,
in rcccnt ycars. Although thc lavclas rcmain stigmatizcd and cxcludcd urban
placcs, thcy do not rccct thc incscapablc povcrty dcscribcd by thc Chronic
Povcrty Rcscarch Group in Manchcstcr,
15
nor did thcy lollow thc pattcrns ol
advanccd marginality dcscribcd by Vacquant lor Chicago ghcttos and Frcnch
banlicu.
16
!nstcad, thcrc was a gradual improvcmcnt in living conditions in thc
oldcr lavclas visavis thc city at largc, whilc morc rcccnt migrants llcd in thc
lowcr ranks ol povcrty.
nc ol thc rcasons lor this is that thosc living in thc lavclas that alrcady
cxistcd in thc latc +6os arc morc likcly to bc Rioborn, and thc Rioborn
tcnd to havc highcr SS scorcs than migrants.
17
Tc hopc ol a bcttcr lilc in thc
big city sccms to havc bccn lulllcd, both thcn and now. Tis is conrmcd by
pcrccption: 8 pcrccnt ol migrants in thc original +6 study and 6 pcrccnt
[ 2 5 4 ] F A V E L A
ol thosc in thc :oo samplc said thcy wcrc bcttcr o than thosc who staycd
bchind.
vcn using thc morc stringcnt mcasurc, onc in vc Rio rcsidcnts was living
in dccpcr povcrty and worsc conditions than thc pcoplc ! havc dcscribcd in
thc lavclas wc studicd. Altcr lollowing thc strugglcs ol Margarida, Z Cabo,
and janira, it is disturbing to imaginc +.: million pcoplc living in dccpcr
miscry.
8ut whilc thc compositc indcx ol SS scorcs shows a closing ol thc gap,
its componcnt partscducation, houschold consumption, and crowding
may not. !t is possiblc that thc crcation ol an ovcrall indcx obscurcd arcas in
which thc gap was incrcasing. So wc lookcd at cach ol thc thrcc componcnts
individually.
ducational lcvcl comparisons rcinlorccd our conclusion. Vhilc thc ycars
ol schooling attaincd by our study population rcmain lowcr than Rios gcncral
population, thc gap has diminishcd dramatically sincc thc rst study. !n +6,
thc pcoplc in our samplc had an avcragc ol :.+ ycars ol schoolingonly a third
ol thc Rio avcragc ol 6.+. !n :oo, thosc in our samplc avcragcd . ycars ol
schooling, whilc thosc in Rios gcncral population had 8.8 ycars, narrowing thc
dicrcncc bctwccn thc two groups lrom to +. ycars ol cducation ovcr thc
ycar span.
Tablc +o.+ shows thc structural gains in cducation, as wcll as a tcndcncy
toward narrowing thc gap bctwccn our samplc and Rios population as a wholc.
Tc most notablc changc is that in +6, : pcrccnt ol our random samplc had
no education at all, as comparcd with ++ pcrccnt in thc city ol Rio. 8y :oo only
pcrccnt ol our samplc and + pcrccnt ol Rios population had not attcndcd
school, showing both structural gains and convcrgcncc. Tc pcrccnt ol thosc
complcting clcmcntary school only had droppcd to about hall ol prcvious lcvcls
and thcrc was no siginicant dicrcncc bctwccn our samplc and thc Rio avcr
agc. !n high school thc dicrcncc is only pcrccnt. Collcgc attcndancc is thc
big dividcr, howcvcr. Tc lact that 6 pcrccnt ol our samplc has rcachcd univcr
sity is a promising sign, cvcn though it is only oncthird ol thc +8 pcrccnt in
thc city at largc.
A similar narrowing ol thc gap bctwccn thc population ol thc consoli
datcd lavclas and thc rcst ol thc city shows up in data mcasuring houschold
crowding/dcnsity. !n +6, thc avcragc numbcr ol pcoplc pcr room in our
samplc was +.6, as comparcd with almost +.+o in thc cityalmost doublc.
8y :oo, thc dcnsity in thc study communitics had droppcd to o.8 pcr room,
whilc thc city dcnsity droppcd to o.6not climinating thc gap but clcarly
rcducing it.
Tis convcrgcncc is, as shown in tablc +o.:, most apparcnt in thc consump
tion ol domcstic goods. 8y :oo, many lavcla houscholds owncd applianccs
that did not cxist or wcrc only availablc to thc uppcr classcs at thc timc ol
G L O B A L I Z A T I O N A N D T H E G R A S S R O O T S [ 2 5 5 ]
thc original study. Such things as rclrigcrators, tclcvisions, washing machincs,
air conditioncrs, and vidco playcrs wcnt lrom luxury itcms to basic houschold
goods in lavclas. As tablc +o.: shows, thc only notablc dicrcnccs bctwccn our
:oo random samplc and thc city as a wholc in :ooo wcrc in owncrship ol
microwavc ovcns, cars, and computcrs.
Filtccn pcrccnt ol thosc in our :oo study communitics owncd computcrs,
as comparcd with :6 pcrccnt in thc city in thc samc timc pcrioda dicrcncc
ol only ++ pcrccnt. Tc biggcst gap showcd up in thc numbcr ol pcoplc who
owncd a car or truck: : pcrccnt ol Rios rcsidcnts vcrsus +8 pcrccnt ol thc
study community rcsidcnts owncd a vchiclc. Tc lavcla rcsidcnts also spcnd a
highcr pcrccntagc ol thcir disposablc incomc on lood and a lowcr pcrccntagc
on housing as comparcd with municipal avcragcs. !n stigmatizcd communitics,
thcrc is a strong qucst lor status through posscssions. Rcgardlcss ol houschold
incomc, a lavcla lamily cannot buy acccptancc, lcgitimacy, or titlc to thcir land,
:~niv +o. + Comparison of Education Le.els bet.een Study Samples and Fio
Municipal .erage
Years of Education (in )
:,&, Study
Sample
:,c Fio
Census
:cc Study
Sample
:ccc Fio
Census
Nonc a ..
lcmcntary c c a a
Jr. High 6 a, a.
High school a a c
Univcrsity c 6 6 .
:~niv +o. : Comparison of Household Consumption Le.els bet.een Study Sample
and Fio .erage Municipal
Domestic Goods (in )
:,&, Sample :,c Census :cc Sample :ccc Census
T\ a6 ,c ,
Rclrigcrator . , ,
Radio , ,
Vashing machinc 6c 6
Air conditioncr
\idco vicwcr , ,.
Microwavc a ,
Computcr . a6
Car / Truck . . . a
[ 2 5 6 ] F A V E L A
so thcy invcst in homc improvcmcnts, domcstic applianccs, and pcrsonal status
symbols.
Tis high ratc ol consumption and thc convcrgcncc toward thc norm was
not what wc cxpcctcd in light ol thc litcraturc on thc povcrty trap or glo
balization. vcn looking at thosc consumcr catcgorics whcrc a rclativcly largc
gap cxists, it is imprcssivc that 6o pcrccnt havc washing machincs, pcrccnt
havc air conditioncrs, : pcrccnt havc microwavc ovcns, +8 pcrccnt havc motor
vchiclcs, and + pcrccnt havc computcrs.
nc clcarly positivc aspcct ol globalization is thc !ntcrnct, which has givcn
thc urban poor acccss to thc inlormation socicty and conncctcd thcm through
cmail to pcoplc thcy might ncvcr othcrwisc havc had an opportunity to mcct.
About a lth ol homcs in our study communitics havc broadband !ntcrnct con
ncction, supplicd through thc Rcsidcnts Associations lor a lcc. Tc rcst acccss
thc !ntcrnct through computcrs that havc bccn donatcd to thc associations
thcmsclvcs or cybcrcalcs in thc lavclas or ncarby. Many nonprot organizations
in Rio providc computcrs and computcr skills training in lavclas or makc com
putcrs availablc lor community usc at thcir o ccs around thc city.
nlinc work strikcs mc as grcat opportunity lor lavcla rcsidcntsa way to
avoid thc issuc ol stigmatization, as thc workcr cannot bc traccd to a gcographic
location any morc than a call lrom a ccll phonc can bc traccd to a luxury apart
mcnt or a squattcr shack. ! scc ccll phoncs as an avcnuc lor jobnding, bill
paying, and !ntcrnct usc.
Tis rcduction in incquality lor thc communitics ! studicd rcccts thc cumu
lativc bcncts ol urban lilc lor that scgmcnt ol thc population living in thc
oldcr, morc consolidatcd lavclas. 8ut thc samc gains do not cxist lor thc ncwcr
lavclas, whcrc thc gap is similar to that ol our communitics in thc +6os. 8ut
thc improvcmcnts in thc consolidatcd communitics arc rcal and arc conrmcd
by thc rcsidcnts asscssmcnts ol thcir class status. !n +6, +o pcrccnt ol our
samplc considcrcd thcmsclvcs middlc class or bcttcr, in :oo, this gurc had
doublcd to :o pcrccnt. !n thc multigcncrational intcrvicws donc in :oo+, cvcn
morc ol thc original intcrvicwccs: pcrccntcatcgorizcd thcmsclvcs as
middlc class or highcr, as did +6 pcrccnt ol thcir childrcn and : pcrccnt ol
thcir grandchildrcn.
:nv vvvsvvc:i vv ov :nv voov
Vhat docs globalization look likc lrom thc pcrspcctivc ol thc poor in Rio
dc Janciro: To addrcss this qucstion, wc askcd our study participants, How
has globalization acctcd your lilc: Tc intcrvicwcrs rccordcd thc answcrs
cxactly as spokcn, and thc rcsults rcportcd hcrc arc bascd on thc rst answcrs
cach pcrson gavc. Tc rcsponscs did not dicr signicantly by gcndcr, racc,
birthplacc, currcnt community, or sociocconomic status.
G L O B A L I Z A T I O N A N D T H E G R A S S R O O T S [ 2 5 7 ]
Tc ovcrwhclming majority ol rcspondcnts across all thrcc gcncrations
said that globalization had not madc any dicrcncc. !n thcir words: Tings
arc thc samc, Tcrc wasnt any changc, !t had no dircct ccct.
18
Tc
pcrccntagc giving this rcsponsc dcclincd with cach gcncration (though it
rcmaincd thc majority rcsponsc throughout) lrom 8 pcrccnt ol thc origi
nal intcrvicwccs to pcrccnt ol thc childrcn to : pcrccnt ol thc grand
childrcn cxprcssing thc opinion that globalization had madc no dicrcncc
in thcir livcs. Tcsc pcrccntagcs coincidc with incrcasing cducational lcvcls.
Tis rcsult is surprising, givcn that much ol thc programming and products
shown on tclcvision arc madc in thc USA, and by thc timc ol thc sccond
study, almost cvcryonc, rcgardlcss ol gcncration, rcportcd watching tclcvi
sion cvcry day.
19
Among thc minority who rcportcd that globalization did acct thcir livcs,
thc rcsponscs tcndcd to validatc thc acadcmic litcraturc on thc subjcct. Vc
lound both ncgativcs and positivcs:
Negati.es: !n cvcry gcncration, thc most lrcqucntly mcntioncd cccts ol glo
balization wcrc a tightcr labor markct, incrcascd uncmploymcnt, a dcclinc
in nancial sccurity, lowcr salarics, and lcss purchasing powcr. Tc pcrccnt
agcs ol thosc citing thcsc lactors varicd lrom a low ol 6.8 among thc original
intcrvicwccs to a high ol +. among thcir childrcn.
Among thc original intcrvicwccs, thc sccond most lrcqucnt rcsponsc was that
globalization crcatcs cconomic dcpcndcncy on othcr countrics or makcs
us slavcs to thc global cconomy. Fcwcr than pcrccnt ol thc total samplc
gavc thcsc answcrsmainly, lcadcrs who had cxpcricnccd thc strugglcs ol thc
+6os and +os and tcndcd to bc morc politicizcd than thc random samplc.
Positi.es: Childrcn and grandchildrcn mcntioncd that globalization produccd
improvcd lilc in gcncral, improvcd acccss to inlormation and communica
tion, and improvcd tcchnology, such as ccll phoncs and computcrs. Tcsc
answcrs did not comc lrom thc original study participants, pcrccnt ol thcsc
rcsponscs camc lrom thcir childrcn, and : pcrccnt lrom thcir grandchildrcn.
Tc ncxt most common answcr was that globalization promptcd highcr
rcquircmcnts lor study, knowlcdgc, and ccrtication, which can bc sccn as
positivc or ncgativc.
nly thc childrcn and grandchildrcn mcntioncd this nal lactor: lacilitatcd
purchasc ol importcd products.
!n lollowup, indcpth intcrvicws with thc most and lcast succcsslul individu
als lrom thc original samplc, wc lound that thosc who saw globalization as
bcnccial oltcn mcntioncd rcduccd priccs ol importcd goods, whilc thosc who
saw it as dctrimcntal madc thc conncction bctwccn globalization and chcap
importcd goods lcading to thc loss ol manulacturing jobs, citing layos and
lactory closings. Tcy rcportcd that displaccd workcrs wcrc ncvcr told whcthcr
[ 2 5 8 ] F A V E L A
thcir lactory was going out ol busincss, rclocating to anothcr arca ol 8razil, or
moving to anothcr country whcrc both labor and production wcrc chcapcr.
! askcd Scbastianonc ol thc lormcr lcadcrs in Nova 8raslia, now living a
hardscrabblc lilc with his lamily on thc outskirts ol Caxias and sucring lrom
Parkinsonss discascwhat madc work so hard to nd thcsc days. Hc answcrcd,
Tc poor dont havc a chancc ( pobrc nao tcm vcz), and wcnt on to givc his
account, quotcd carlicr, ol how jobs oncc donc by scvcral mcn had bccn takcn
ovcr by a robot at thc Campo Grandc garbagc dump.
thcrs spcculatcd that intcrnational compctition has raiscd thc standards ol
production and thus thc bar on cducational and skill rcquircmcnts lor job cntry,
which would hclp cxplain why thcir cducational gains havc not bccn su cicnt
to brcak through to thc most prolcssional, prcstigious, and highly paid jobs.
Two othcr considcrations that arosc in rcgard to globalizations impact wcrc
thc ncw visibility ol thc consumcr culturc and thc havoc wrcakcd by thc intcrna
tional arms and drugs tradc. Ubiquitous tclcvision imagcs ol a global consumcr
socicty havc crcatcd ncw nccds, cspccially among young pcoplc. Tc constant
bombardmcnt ol imagcs ol status goods and markcrs ol prcstigc (unattainablc
by cvcryonc in thc poor communitics cxccpt thosc cngagcd in thc drug tradc)
20

has crcatcd a pscudorclcrcncc group lor youngstcrs. Tcy lccl dcprivcd in rcla
tion to what thcy scc.
21
Local nonprot organizations such as Alro Rcggac and Ns do Morro
havc tricd to rcinlorcc thc cultural idcntitics ol Alro 8razilians and ol lavcla
dwcllcrs, but lor thc most part, thc status symbols continuc to bc intcrnational
brandnamcd shirts and sncakcrs, along with cars, motorcyclcs, ccll phoncs, and
pagcrs. As ! mcntioncd carlicr, ! havc sccn young pcoplc wcaring multiplc pag
crs and ccll phoncs (that do not work) as prcstigc signicrs. Vhcn thc mcssagc
ol thc global mcdia is You arc what you own, thc young urban poor bcgin to
look to drug lords as thcir rolc modcls.
thcr ncgativc impacts attributcd to globalization includc homogcnization,
disrcspcct ol local and national culturcs, and lack ol stcwardship ol natural
rcsourccs. !n thc rush lor jobs and prots, many citics havc cntcrcd a racc to thc
bottomin tcrms ol tax inccntivcs and labor costscombincd with a univcr
salizcd Vcstcrn cultural and architcctural vcnccr. As such, thcy havc wclcomcd
polluting lactorics and toxic dumping that do not mcct thc standards applicd
clscwhcrc, whilc lailing to gcncratc thc jobs nccdcd lor thosc cntcring thc labor
lorcc.
Tc lack ol work has causcd grcat unccrtainty among thc youngcr gcncra
tion in 8razil. As rcportcd at a UN pancl on Fcbruary +, :oo8, young pcoplc
in 8razil arc incrcasingly unablc to gct a loothold in thc global labor markct
whilc job sccurity is bcing crodcd lor thc rapidly aging worklorcc.
22
Uncmploy
mcnt in 8razil has incrcascd signicantly sincc +, dcspitc robust cconomic
growth avcraging .8 pcrccnt annually lrom +8 to :oo8 and a +6. pcrccnt
G L O B A L I Z A T I O N A N D T H E G R A S S R O O T S [ 2 5 9 ]
incrcasc (to :. billion) in thc numbcr ol pcoplc with jobs. vcn lor thosc who
arc currcntly working, cmploymcnt is bccoming lcss and lcss sccurc. According
to Mario 8arbosa, ol thc 8razilian Ministry ol Vork and mploymcnt,
Sti compctition undcr incrcascd globalization has lcd to rcduccd job sccurity, a
rcduction in jobrclatcd bcncts, and a diminishcd rolc lor organizcd labor. Prc
carious working conditions arc now thc rulc rathcr than thc cxccption. |Squattcrs
and| migrants . . . lacc discriminatory trcatmcnt in thc worklorcc that lcads thcm
to acccpt shorttcrm contractual cmploymcnt.
23
Tc rising violcncc ! discusscd in chaptcr is anothcr manilcstation ol
globalization. As Jailson, thc loundcr ol thc obscrvatrio ol Favclas cxplaincd
Tc main way that intcrnational tradc is dcstroying thc livcs ol Rios poor
is through thc vast intcrnational markct lor drugs (particularly cocainc) and
thc importcd supply ol sophisticatcd arms (many lrom thc Unitcd Statcs),
which thc drug tra ckcrs usc to intimidatc thc policc and takc control ol
communitics and thc city.
24
His vicw was that il thcrc wcrc an intcrnational
cmbargo on arms salcs to 8razil, thc violcncc and dcath ratcs would drop dra
matically. Arms lrom thc Unitcd Statcs, !sracl, and Russia account lor thc vast
majority ol thosc uscd in homicidcs by both policc and dcalcrs. Tc impact
ol opcn tradc on thc casc with which arms (and drugs) can cntcr thc country
is not ncgligiblc. Tc grcatcr pcrmcability ol bordcrs and thc incrcascd vol
umc ol imports and cxports makc it casicr to movc smugglcd goods in both
dircctions.
:nv voiv ov vovvicx i xvvs::vx:
ur survcy includcd onc othcr qucstion that shcds light on thc changing pcr
ccption ol globalization lrom +6 to :oo. !n ordcr to discovcr how pcoplc
vicwcd thc rolc ol lorcign companics in 8razil, thc survcy askcd pcoplc to com
plctc thc statcmcnt Forcign companics arc in 8razil in ordcr to . . ., wc thcn
codcd thcir rcsponscs according to thc thrcc catcgorics (+) hclp 8razil to prog
rcss, (:) takc carc ol thcir own intcrcsts, and () cxploit thc 8razilian pcoplc.
(Tcsc options wcrc not rcad to thc intcrvicwccsrathcr, thcir answcrs wcrc
rccordcd in lull and thcn codcd.) Tc valid pcrccntagcs, bascd on thc 8 pcrccnt
who answcrcd in +6 and thc . pcrccnt who rcspondcd in :oo, arc shown
in tablc +o..
8ctwccn +6 and :oo, thcrc was a dcclinc in thc pcrccntagc ol lavcla rcsi
dcnts who pcrccivcd global invcstmcnt as positivc. Tis may rccct not only thc
incrcascd prcscncc ol lorcign companics (and incrcasing di cultics lor lavcla
rcsidcnts in gctting jobs at such companics) but also thc ovcrall climatc ol skcp
ticism about who bcncts lrom intcrnational invcstmcnt. !n :oo, lortyvc
pcrccnt gavc thc most ncutral rcsponsc (to takc carc ol thcir own intcrcsts),
[ 2 6 0 ] F A V E L A
whilc ovcr oncthird saw thc lorcign companics as cxploitivc, taking advan
tagc ol 8razils low wagcs, long hours, and lcss rcstrictivc hcalth, salcty, and
cnvironmcntal rcgulations. Tc pcrccntagc who said thcy bclicvcd that lorcign
invcstmcnt crcatcs jobs and attracts capital that will grow 8razils cconomy and
cvcntually bcnct thc poor droppcd by almost hall. Still, onclth ol thc :oo
samplc saw lorcign invcstmcnt as hclping 8razil. Furthcr analysis is nccdcd to
cxplorc thc incomc, cducation, occupation, racc, gcndcr, and agc ol thosc who
gavc cach answcr.
!n short, lrom thc vicwpoint ol thc urban undcrclass, globalization is sccn
as mostly irrclcvant, and among thosc who do pcrccivc an impact, only slightly
morc point out thc ncgativc cccts than thosc who scc thc positivc. !t would
sccm, thcrclorc, that thc vc prcmiscs listcd at thc bcginning ol this chaptcr arc
sound: globalization, il not dccpcning povcrty pcr sc, has ccrtainly dccpcncd
incquality.
Tc issuc ol changcs in living conditions again raiscs thc qucstion ol how
any contcxtual changcswhcthcr at thc intcrnational, national, or city lcvcl
matcrially acct thc livcs ol thc poor, rcgardlcss ol whcthcr thcy pcrccivc thc
cccts or not. Arc thosc who lail to scc thc cccts ol globalization on thcir
livcs rcccting lalsc consciousncss or navctor an accuratc asscssmcnt ol
rcality:
:icvo i :v~c:s ov :~cvo cn~xcvs
nc ol thc major goals ol our longitudinal rcscarch projcct was to scc how thc
changcs in thc livcs ol thc poor wc lollowcd corrclatcd with changcs in 8ra
zils politics, cconomy, and public policy. Vc uscd scvcral approachcs to cxplorc
thcsc conncctions.
Tc study traccd thc chronology ol bcnchmark changcs in thc cconomic,
political, spatial, and policy contcxts ol 8razil as a wholc and Rio spccically.
25

:~niv +o. Percei.ed Feasons for Foreign Companies to Be in Bra.il
Foreign companies are
in Bra.il in order to:
:,&, :cc
Frequency Frequency
Hclp 8razils progrcss . 6. a a..,
Takc carc ol thcir own
intcrcsts
.. ,. aa .
xploit 8razilians .. a., . .
Total .c .cc.c .,.66 .cc.c
G L O B A L I Z A T I O N A N D T H E G R A S S R O O T S [ 2 6 1 ]
To scc il various pcriods coincidcd with uctuations in thc livcs ol lavcla rcsi
dcnts, wc uscd thc ycarbyycar lilc history data wc had collcctcd and attcmptcd
to map pcriods ol individual (and collcctivc) upswings and downswings lor
such variablcs as uncmploymcnt, typcs ol job, cducational attainmcnt, numbcr
ol childrcn, dcgrcc ol crowding, and location/typc ol rcsidcncc.
26
Vc also askcd cach intcrvicwcc to spccily thc bcst and worst pcriods ol his
or hcr lilc in tcrms ol cconomic wcllbcing, cmploymcnt (oncs own and con
tributing mcmbcrs ol oncs houschold), and asscts and ovcrall nancial sccurity.
Vc thcn plottcd thc timing ol thcsc pcriods against thc opcning ol tradc, thc
booms and busts ol thc 8razilian cconomy, and major policy changcsand
against thc povcrty variations indicatcd in thc lilc history data. No clcar pattcrn
cmcrgcd.
Tis lack ol a corrcspondcncc bctwccn macrolcvcl changcs and changcs
in thc livcs ol thosc wc intcrvicwcd might bc attributablc to gaps in thc intcr
vicwccs mcmorics or thcir lailurc to makc conncctions bctwccn largcr trcnds
and lamily latcs. Likcwisc, it could bc duc to simplc mcthodological aws and/
or to thc ovcrwhclming numbcr ol intcrvcning variablcs. Vc did, howcvcr, nd
two clcar pcrsonal rcpcrcussions ol structural or policy changcs.
Tc rst was in pattcrns ol cmploymcnt. ur lilc history data providcd ycar
byycar occupational historics and lor thosc working wc askcd whcthcr thcy wcrc
lormally cmploycd (with a cartcira assinada), scllcmploycd, or doing odd jobs
(biscatcs) on an irrcgular basis. Tc distinction bctwccn manual and nonmanual
labor was thc indicator that rcvcalcd thc most consistcnt picturc ovcr timc.
For cach calcndar ycar, wc lookcd at thc typc ol work pcrlomcd by pcoplc
bctwccn thc agcs ol +6 and +. Combining thc lilc history data changcs lor
cach pcrson in all thrcc gcncrations and in thc ncw random samplc rcvcalcd
a progrcssivc transition lrom manual to nonmanual occupations lrom +
:oo. Figurc +o.+ shows thc rcsults.
27
Tc markcd dcclinc in thc pcrccntagc ol workingagc lavcla rcsidcnts doing
manual labor and thc concomitant risc in nonmanual labor arc a dircct rccc
tion ol structural changcs in Rios job markct, which, in turn, was acctcd by
national and intcrnational labor markct trcnds. Tcsc shilts arc undoubtcdly a
rcsult ol advanccd capitalism and thc globalization ol labor, capital, inlorma
tion, and tcchnology.
A sccond clcar pattcrn also cmcrgcd lrom our intcrvicws. As a rcsult ol
thc Rcal Plan, which ticd 8razils national currcncy to thc U.S. dollar so as
to curb ination and incrcasc global compctitivcncss, thcrc was a consump
tion bonanza among thc urban poor as thcir purchasing powcr rosc and priccs
rcmaincd constant.
Vhilc many rcspondcnts had ncvcr hcard ol thc Rcal Plan by namc, thcy
spokc about this onctimc opportunity to acquirc consumcr durablcs at dcatcd
priccs. Family altcr lamily in cach ol thc lowincomc communitics proudly
[ 2 6 2 ] F A V E L A
showcd o hcavy woodcn lurniturc, largc tclcvision and sound systcms, washcr/
dricrs, and air conditioncrs, saying, !l wc had not bought this whcn wc did, wc
would ncvcr havc bccn ablc to aord it again.
cspitc thcsc two suggcstivc ndings, it was di cult to dctcct systcm
atic rccctions ol macro changcs in thc livcs ol thc lavcla rcsidcnts. Pcrsonal
uphcavals such as illncss, dcath, divorcc, or loss ol a job, natural disastcrs, such
as oods and rcs, and communitywidc criscs lrom lorccd rcscttlcmcnt to thc
closing ol a ncarby lactory, school, or clinic, to thc drug wars tcndcd to oblitcr
atc (or at lcast obscurc) thc cccts ol largcr but morc rcmovcd changcs. Tc
unccrtaintics ol daily lilc lor pcoplc on thc margins arc so hugc that thcy can
hardly copc on a momcnttomomcnt basis, and thcrc is no salcty nct to hclp
thcm bouncc back lrom criscs.
i s cion~ii z~:iox ~ uounivvucvu swovu
ov ~ :wosi uvu coi x-
ur study providcs cvidcncc ol both positivc and ncgativc changcs in thc livcs
ol lavcla rcsidcnts bctwccn thc prcglobalization cra and thc currcnt globally
intcgratcd cra. Conditions havc improvcd in many arcas, but not all. Tc lavcla
0%
10%
20%
30%
40%
50%
60%
70%
80%
90%
100%
5 9
1
8
2
9
3
4
4
9
5
4
6
4
6
9
7
8
9
1
9
6
1
0
4
1
1
5
1
2
7
1
4
3
1
6
1
1
8
2
2
0
2
2
1
1
2
2
1
2
1
6
2
4
1
2
5
6
2
6
1
2
6
2
2
7
1
2
8
7
2
8
9
3
0
4
3
0
1
3
1
4
3
1
3
3
0
0
3
1
7
3
2
1
3
1
8
3
2
2
3
1
4
3
0
3
3
2
2
3
0
8
3
2
7
3
1
6
3
2
2
3
1
6
3
3
5
3
3
1
3
1
2
3
0
3
195459 196064 196569 197074 197579 198084 198589 199094 199599 2000
Non-Manual
Manual
vicuvv +o. + cclinc in manual jobs and risc in nonmanual jobs, +:oo, bascd on
lilc history matriccs collcctcd in :oo+ and :oo. Source: Graph points rcprcscnt thc pcr
ccntagc ol +6+ycarolds who wcrc working in cach ycar, dividcd bctwccn manual and
nonmanual, so thcy add up to +oo. Tc numbcrs ol intcrvicwccs lor cach ycar is shown
along thc bottom axis. Vc includc ++6o, but thc numbcrs ol intcrvicwccs who mct
thc critcria in cach ol thcsc ycars was undcr otoo low to bc signicant.
G L O B A L I Z A T I O N A N D T H E G R A S S R O O T S [ 2 6 3 ]
communitics havc bccomc physically morc intcgratcd into thc urban labric
as thc city has cxpandcd around thcm and transportation improvcmcnts havc
shortcncd commuting timc. !nlrastructurcs, scrviccs, acccss to domcstic goods,
and cducational lcvcls havc improvcd. Although uncmploymcnt ratcs havc
riscn, thosc who arc working arc morc likcly to bc in routinc nonmanual jobs,
considcrcd morc rcspcctablc than bluc collar jobsalthough thc pay is oltcn
lowcr and thc hours longcr.
Tc gap in living conditions bctwccn thc study sitcs and thc rcst ol thc city
has narrowcd, not widcncd, on scvcral qualityollilc indicators. Tis appar
cnt catching up ol thc inlormal city with thc lormal appcars to contradict thc
logic ol globalization, which would prcdict that thc poor bccomc poorcr, wcalth
would conccntratc upward, and incquality would incrcasc. n thc othcr hand,
such gains as thc urban poor havc madc cannot bc attributcd to globalization.
Tcrc arc too many lactors at play to dctcrminc causc and ccct. Tc most
rcccnt migrants, who arc now thc poorcst, do not sharc in thc urban amcnitics
accrucd by thosc who camc carlicr. At prcscnt (:oo), thc ncw Vcst Zonc lavc
las havc conditions similar to thosc in thc study lavclas in thc latc +6os.
Vc know that city lilc ocrs morc opportunity than rural lilc, that cdu
cation, hcalth, and incomcs risc whilc birthratcs drop, and that thc divcrsc
contacts madc through bridging nctworks arc cxtrcmcly usclulsomctimcs
lilcsaving. Following Granovcttcrs ndings on thc strcngth ol wcak tics, it
is no surprisc that thc longcr a pcrson is in thc city, thc grcatcr thc advantagc.
28

Tus, with or without globalization, wc would cxpcct gains in living standards
across timc and gcncrations. Tc argumcnt that globalization hastcncd thc ratc
ol cityward migration would bc spurious in thc casc ol Rio, sincc thc most rapid
growth occurrcd during thc +os and +6os undcr thc isolationist policics ol
import substitution, bclorc globalization.
Tc complcx rclationships bctwccn povcrty, incquality, and globalization lor
thc casc ol Rio lorcc us to look bcyond thc lacilc positions and idcological
platitudcs that oltcn dominatc thc discoursc. Unlcss nationstatcs and citics
can lorgc an altcrnativc social contract with thc poor who scrvicc thcir nccds,
build thcir citics and homcs, and producc and consumc thcir products, thc pat
tcrn ol stuntcd dcvclopmcnt, misscd opportunitics, and wastcd rcsourccs will
continuc to bc scllrcplicating and sclllullling. Vhat is nccdcd may bc a
dircct challcngc to thc comlortablc culturc ol privilcgc that pcrpctuatcs itscll at
thc cxpcnsc ol thc common good.
el e .en
Reflections on Public Policy
Vhcn ! was a girl, my grandmothcr, who immigratcd to Ncw York in +o
lrom a shtctl outsidc Kicv, would tcll mc, only hall in jcst: Rich or poor, its
good to havc moncy.
Tis saying has comc to mind as ! havc bccn thinking about thc policy impli
cations ol my Rio rcscarch. !n addrcssing thc urbanization ol povcrty and thc
marginalization ol thc poor ! kccp coming back to thc qucstion ol livclihoods. As
important as housing and urban scrviccscvcn stipcndsmay bc lor improving
thc quality ol lilc in thc lavclas ol Rio, thc pcoplc who livc thcrc would prclcr to
havc work. !n thcir world, no highcr sign ol rcspcct can bc paid to a pcrson than
to say that hc or shc is a workcr, particularly a hard workcr (muito trabalhador).
Abovc all, thc rcsidcnts ol Rios lavclas want thc opportunity to carn lair
pay lor dcccnt work. Vhcn intcrvicwcd, thcy say thcy do not carc whcthcr
thcir carnings wcrc lrom emprego (cmploymcnt in a lormal job) or trabalho
(scllcmploycd, inlormal work). Tcir vicw is that givcn thc opportunity to carn
thcir living, thcy could solvc most ol thcir othcr problcms on thcir own. ! can
imaginc thcm smiling and nodding in agrccmcnt with my grandmothcrs say
ing. 8ut lor most ol thcm, it is not only good to havc moncy but cvcn bcttcr
to havc a job. 8y bcing a workcr, thcy bccomc somcbody.
R E F L E C T I O N S O N P U B L I C P O L I C Y [ 2 6 5 ]
Vhat has oltcn bccn sccn pcjorativcly as a culturc ol povcrty is not a culturc
at all but a pragmatic rcsponsc to coping with harsh rcality. !l thc urban poor
had thc opportunity to usc thcir cncrgy and skills to carn a dcccnt livingas
happcncd whcn thc !ndians in \icos, Pcru, bccamc landowncrsthcir pur
portcd sclldclcating bclicls and bchaviors would disappcar as wcll as thosc
cxcuscs to justily thcir cxclusion. Tcir valucs mirror thosc ol thc bourgcoisic,
rathcr than sct thcm apart.
nc challcngc ol addrcssing thc policy implications ol a complcx study such as this
onc is nding a mcaninglul lcvcl ol discoursc bctwccn systcmic issucssuch as thc
naturc ol capitalism, thc pcrsistcncc ol povcrty, or thc tradition ol cxclusionand
thc spccic manilcstations ol thosc issucs, such as lack ol aordablc housing, high
uncmploymcnt, and appalling ratcs ol lcthal violcncc. Tc ovcrarching qucstions
ol human rights, citizcn rights, and thc right to thc city go bcyond public policy
to thc nccd lor ncgotiation ol a ncw social contract bctwccn citizcns and thc statc.
Civil socicty, thc collcction ol associations and pcoplcs organizations that occupy
thc spacc bctwccn thc statc and thc markct, is thc arcna in which 8razilians and
Cariocas havc bccn working to carvc out such ncw arrangcmcntsbut thcrc arc
no simplc solutions and participation in itscll is not a panacca.
! havc dividcd this chaptcr into thrcc scctions. !n thc rst onc ! rcvicw thc
cvolution ol public policics toward Rios lavclas lrom thc +6 military coup
until :oo, tracing thc turnaround lrom rcmoval to upgrading. !n thc sccond
! lay out thrcc distinct approachcs to thinking about policy initiativcs. !n thc
nal scction ! locus on spccic rcscarch ndings and thcir policy implications
in vc arcashousing, land tcnurc, incomc gcncration, violcncc, and citizcn
ship. Tc chaptcr concludcs with somc ovcrall rccctions bascd on listcning to
and lcarning lrom thc pcoplc living on thc cdgc.
As ! dcscribcd in chaptcr :, thc issuc ol lavclas and othcr lorms ol inlormal
scttlcmcnts arosc with thc urban cxplosion that rcsultcd lrom thc ood ol
rural migrants to thc big citics ol Latin Amcrica, Asia, and Alrica during thc
postVorld Var !! pcriod. Rclativcs and homctown lricnds lollowcd thc carly
pionccrs into thc citics and scttlcd bcsidc thcm in shantytowns, whcrc thcy
wcrc closc to jobs and urban amcnitics. Tc pcoplc who camc wcrc thc most
highly motivatcd among thcir compatriots in thc countrysidc. Tcsc pionccrs
had both thc vision and thc mcans to scck a bcttcr lilc and widcr horizons.
!n rcsponsc to this urban inux, all manncr ol policics and programs havc
bccn tricd to stcm thc tidc ol cityward migration and limit city sizc. Failing
to limit urban growth, thc gatckccpcrs ol thc citythc planncrs and policy
makcrs whosc imagc ol thc city was onc ol ordcr and bcautywcrc appallcd as
thc inlormal scttlcmcnts cxpandcd outward into thc urban pcriphcry, upward
into lorcstcd hillsidcs, and inward, dcnsilying cxisting communitics with ncw
[ 2 6 6 ] F A V E L A
units built undcr, abovc, bchind, and bcsidc thc initial dwcllings. Tochold
communitics mushroomcd into vcritablc squattcr citics ol thcir own.
!n thcir hystcria ovcr thc swclling shantytowns, policymakcrs lailcd to scc
that thcsc communitics wcrc not problcms but solutions to thc lack ol aord
ablc housing.
1
Tc conccpt ol thc housc as a thing or commodity bcgan to
givc way to thc conccpt ol housing as a vcrb,
2
a proccss. Poor lamilics built
incrcmcntally, buying a lcw bricks at a timc, stacking thcm in thc backyard and
improving thcir homcs as thcir rcsourccs pcrmittcd.
!n addition to shcltcr, thcsc scllbuilt dwcllings wcrc, and continuc to bc, uscd
lor commcrcc, storagc, scrvicc provision, light manulacturing, and mccting placcs
ol sccular or rcligious naturc. Swccts, drinks, cigarcttcs, matchcs, and othcr assortcd
itcms arc sold lrom lront windows, rcstaurants or bars with mctal tablcs and chairs
arc sct up outsidc, ncxt to pool tablcs, bcauty salons, barbcr shops, day carc ccntcrs,
cvangclical mccting rooms, and Alro8razilian tcrrciros cxist alongsidc a myriad ol
small manulacturing vcnturcs withinand in lront olthc houscs. Vhilc many
ol thcsc cntcrpriscs scrvc thc local population (such as car and motorcyclc rcpair,
drcssmaking, and baking), othcrs arc linkcd into national and cvcn intcrnational
companics as locations lor ositc swcatshops. Tis cottagc industry or putting
out systcm tics thc inlormal scttlcmcnt into thc lormal production proccss. For
cxamplc, largc car manulacturing plants havc uscd thc chcap labor ol squattcrs
working in thcir own homcs to upholstcr car scats. Tc manulacturcrs (or thcir
intcrmcdiarics) dclivcr raw matcrialssuch as lcathcr, stu ng, and buttonsto
thc homcs and pick up thc nishcd product, at which point it is scnt lor asscmbly
with othcr parts that may havc bccn madc in othcr countrics.
Tosc who cnactcd public policics to rcmovc squattcr scttlcmcnts and rclo
catc rcsidcnts in social housing complcxcs did not considcr thc importancc ol
thc dwcllings in carning lamily livclihoods. Such policics wcrc cqually indicr
cnt to thc importancc ol rcciprocity and cxchangc nctworks in hclping thc poor
copc with criscs and calamitics.
Tinking about how to intcgratc thc morro and thc aslato to thc bcnct
ol all dcpcnds on thc way povcrty is undcrstood. \icwing thc basis ol povcrty
as dcviant bchavior, moral turpitudc, or just plain lazincss implics onc linc ol
policy. \icwing povcrty as a systcmic problcm implics vcry dicrcnt solutions.
Tc tcndcncy toward blaming thc victim
3
has ncvcr lcd to a singlc usclul
policy. n thc contrary, likc dcbtors prisons or criminalizing thc poor, it has
only madc things worsc.
svc:iox oxv: vvoiu:iox ov v~vvi~ voiicv i x viovvo:
v~zi xc v~vvi~s :o v~i si xc v~vvi~s
For a ccntury, public policy rcsponscs to thc lavclas ol Rio lollowcd thc modcl
ol cutting out thc canccr lrom thc hcalthy urban tcrritory. !n Rio, lrom thc
R E F L E C T I O N S O N P U B L I C P O L I C Y [ 2 6 7 ]
appcarancc ol thc rst lavcla in +8 through thc last ycars ol thc dictatorship
in +8, public policy toward squattcr scttlcmcnts locuscd on thcir rcmoval.
Ridding thc city ol squattcrs was thc policy rcsponsc to thc (unloundcd)
vicw that lavclas poscd a thrcat to thc city. !n addition to thc pcrccivcd crimi
nality and immorality ol thc lavcla rcsidcntscatcgorizcd as thc undcscrving
poorthcrc was also widcsprcad lcar that lavclas wcrc hotbcds ol commu
nism capablc ol lomcnting rcvolution. !t was thc nightmarc ol thc Right and
thc drcam ol thc Lclt that thc urban poor would bc thc vanguard ol a popular
uprising.
cspitc all corts to thc contrary, lavclas continucd to grow, and to grow
morc rapidly than thc rcst ol thc city. Tcir growth, a combination ol pull
lactors attracting pcoplc lrom thc countrysidc to thc city and push lactors
arising lrom landlcssncss, scrvitudc and droughts in thc Northcast, rcccts
thc abscncc ol housing altcrnativcs. vcn as ! writc thcsc words, thcrc is
no aordablc shcltcr lor thc millions ol pcoplc living in lavclas or lor thosc
who arc about to arrivc. Vith thc rcturn to dcmocracy in +8, and a quar
tcr to a third ol Rios (voting) population living inlormally, thc idca ol on
sitc upgrading cntcrcd thc policy discoursc. Tc conccpt ol upgrading or
urbanizing lavclas includcd opcning up acccss roads lor cmcrgcncy vchiclcs,
paving thc main intcrnal roads, rcplacing muddy slopcs with concrctc stair
ways, installing clcctrical, watcr, and sanitation systcms, along with garbagc
collcction and strcct lighting, and, in somc cascs, drcdging scwagcllcd
canals and strcams or building cablc cars to transport pcoplc and goods up
to thc tops ol communitics.
!nsolar as lavclas wcrc not considcrcd part ol thc city, upgrading was not
an option, but thc timcsand idcaswcrc changing. Tc idca ol scrvicing
lavclas in placc, sccdcd by rcscarch and writing in thc +6os about thc potcn
tial lor intcgratcd workcrs communitics and thc dirc conscqucnccs ol squattcr
rcmoval,
4
was rcinlorccd by thc lailurc ol urban rcncwal in thc Unitcd Statcs.
5

Somc pilot projccts wcrc institutcd in Rio, and thc govcrnmcnt gaincd cxpcri
cncc such that by thc mid+os it was possiblc to bcgin a largcscalc upgrad
ing program.
cspitc this oycar lag timc bctwccn rcscarch/knowlcdgc and policy/action
and thc lact that most lavclas havc not bccn urbanizcd, Rio is still in thc lorc
lront among citics worldwidc. As ol :oo, many local govcrnmcnts includ
ing thosc ol Mumbai, clhi, haka, Johanncsburg, Nairobi, 8angkok, Jakarta,
and Cairo continuc squattcr cviction programs.
6
Tc political and nancial
costs ol providing housing lor hundrcds ol thousands ol displaccd pcrsons arc
oltcn thc only dctcrrcnts to thc bulldozcr.
Tc story ol lavcla policy in Rio is not cntircly lincar, but it docs rcvcal an
ovcrall consistcncy ol cort to rid thc city ol lavclas up through a turning point
around +8o.
7
[ 2 6 8 ] F A V E L A
Tc lollowing scction providcs a guidc to thc institutions, issucs, and indi
viduals involvcd in this policy shilt.
Te Players and the Policies
Tc policics to condcmn, contain, discouragc, and dismantlc thc rst lavclas in
Rio lrom thcir inccption at thc cnd ol thc ninctccnth ccntury through thc military
coup in +6 arc dcscribcd in chaptcr +. Tc continuing policy history lrom +6
to :oo bccomcs cvcrmorc complicatcd as ncw agcncics (with ncw acronyms)
arc crcatcd whilc thc old oncs rcmain. Tis practicc is part ol what 8razilians sar
castically call thc govcrnmcnts lull cmploymcnt policy. As a rcsult, any scrious
discussion ol lavcla policics in Rio warrants dcmystilying thc myriad agcncics and
approachcs involvcda scrvicc ! cndcavor to providc in thc lollowing pagcs.
+. Rcmoval and Failurc ol Popular Housing to Rcach thc Poor: +6+os
8NH8anco Nacional dc Habitacao
!n +6, 8razils National Housing 8ank was crcatcd with thc cxprcss purposc ol
nancing thc construction ol lowincomc housing, rclcrrcd to as social housing
or popular housing. Tc sourcc ol capital was thc FGTSFundo dc Garanta dc
Tcmpo do Scrvio8razils social sccurity lund. mployccs paid 8 pcrccnt ol thcir
monthly salarics into thc lund, and thc contributions wcrc matchcd by cmploycrs,
crcating a vast account that bccamc a modcl ol housing nancc in its timc.
Tc housing nanccd by 8NH was, in lact, too cxpcnsivc to bc popular or social.
For many rcasons, including unrcalistically high standards ol construction and
undcrcstimatcd costs ol land, matcrials, inlrastructurc, and labor, priccs pcr unit
vastly cxcccdcd what thc poor could aord. Tc typical projcct consistcd ol corc or
cmbryo houscs built on individual plots ol land, with su cicnt room lor cxpan
sion as lamilics grcw. Public lundsthc rctircmcnt savings ol all thc workcrs in thc
countrywcnt to subsidizing housing lor thc middlcclass, not thc poor.
Tc prioritics ol lavcla rcsidcnts and thosc ol lundcrs and politicians wcrc
diamctrically opposcd. For poor lamilics thc highcst prioritics wcrc aordability
(which mcant incrcmcntally building thcir own homcs onsitc as thcir carnings
pcrmittcd), proximity to work and schools, acccss to urban scrviccs and sccurity
against cviction. Tc rcst thcy could do thcmsclvcs through swcat cquity, that
is, contributing thcir labor individually and collcctivcly. Altcr all, thcy wcrc thc
construction workcrs who built thc city.
For govcrnmcnt and 8NH o cials thc main thing was thc photoopat
a ribboncutting ccrcmony in lront ol rows ol colorlully paintcd littlc houscs.
Tcy wantcd rapid complction ol thc nishcd houscs and rapid cost rccupcra
tion. istancc lrom thc city or availability ol public transportation wcrc ol no
conccrnthcy wantcd thc chcapcst land possiblc. Tus thc mismatch.
8
R E F L E C T I O N S O N P U B L I C P O L I C Y [ 2 6 9 ]
CODESCO-Compana de Desevolvimento Comunitaro Te Company for
Community Development, started in 1968, was a radical counterexample to
BNH, demonstrating the viability of upgrading favelas on-site. It was organized
by a group of architects, economists, and planners who convinced the governor,
Rio state, Negro de Lima, to authorize a pilot project in three favelasone
on a hillside, one in a swamp, and one on fat, dry land. Community residents,
although not given land title, were given assurance that they would not be
removed. Long-term, low-interest loans were made available for building mate-
rials (purchased in bulk), and construction tools and equipment were shared. Te
state government brought in heavy machinery to widen the main access roads
for emergency vehicles and installed basic urban infrastructurewater, sanita-
tion, and electrical wiring; and created open space for schools, clinics, and soccer
felds. Te families whose shacks had to be taken down to make room for these
public works were compensated with new homes in the same community.
9
Little by littleas time and savings permittedthe wooden and scrap bar-
racos were transformed into distinctive family homes and the communities
evolved into thriving working-class neighborhoods, indistinguishable from their
surroundings. Figures 11.1 and 11.2 show how the barracos looked in 1968 and
the way one of the houses looked when I visited 15 years later (see fgure 11.3).
Despite its popular success and promise of a low-cost, long-term solution
to the integration of Rios favelas into the urban context, CODESCO did not
continue after 1969, when the three pilot projects were completed. Te national
figure 11. 1 Barracos in 1968 before CODESCO began upgrading work.
[ 2 7 0 ] F A V E L A
vicuvv ++. : 8arracos in +68 bclorc CSC bcgan upgrading work.
govcrnmcnt rcmaincd rmly committcd to lavcla cradication, and Rios govcr
nor could not go lorward with this approach.
Tc onc goal that CSC could not achicvc was lcgalizing land own
crship in thc lavclas, an issuc that rcmains unrcsolvcd to this day. Compcting
claims ol owncrship, an outmodcd systcm lor rcsolving land disputcs (rcquiring
cach parccl to bc adjudicatcd scparatcly), and thc abscncc ol instrumcnts lor
R E F L E C T I O N S O N P U B L I C P O L I C Y [ 2 7 1 ]
widc application ol usucapio (8razils vcrsion ol squattcrs rights) account lor
an cnormous backlog ol cascs.
CHISMCoordenao da Habitao de Interesse Social da rea Metropoli-
tana As thc nationallcvcl program to rid Rio ol its lavclas, CH!SAM had
thc military might, political clout, and nancial rcsourccs to prcvail. From its
inccption in +68 until its dcmisc in + it rcmovcd ovcr +oo lavclas, dcstroy
ing morc than +oo,ooo dwcllings and lcaving at lcast hall a million poor pcoplc
without thcir homcs. Tc cradications wcrc systcmatic and rclcntlcss, targcting
thc South Zonc lavclas rst, whcrc land valucs wcrc thc highcst, and thcn con
tinuing into thc North Zonc. Tc displaccd lamilics wcrc rclocatcd to distant
conjuntos whcrc thcy wcrc placcddcpcnding on thcir incomc lcvclsin onc
room barracks, corc houscs, or conjuntos.
COHB-GBCompanhia de Habitao Popular do Estado da Guanabara
CHA8G8, thc statc housing company, was thc copartncr ol CH!SAM in
thc rcmovalandrcscttlcmcnt proccss. !n thc carly +os thc city ol Rio was still
dclincatcd by thc lormcr Fcdcral istrict, and it compriscd thc Statc ol Guana
bara, scparatc lrom thc Statc ol Rio dc Janciro. 8y + CHA8G8 had built
: conjuntos with o,: units mcant to housc :+,ooo displaccd pcrsons. !n
+ thc statcs ol Guanabara and Rio wcrc luscd into a singlc statc ol Rio dc
Janciro, and lunctions ol thcir housing companics wcrc takcn ovcr by a ncw
organization namcd CHA8RJ (Companhia stadual dc Habitaao do Rio
dc Janciro). CHA8RJs mandatc was to continuc thc cradication ol lavclas.
10
vicuvv ++. Family improvcd houscs on thc samc lot + ycars altcr CSC.
[ 2 7 2 ] F A V E L A
Tc Vorld 8ank playcd a lcading rolc in promoting onsitc upgrading, starting in
akar in +:, at lcast +o ycars bclorc any national or local govcrnmcnt undcr
took such a progrcssivc initiativc. !t was thc Vorld 8ank that lought to convincc
thc 8razilian National Govcrnmcnt to try onsitc upgrading ol lavclas and sitcs
and scrviccs. nsitc upgrading mcant thc installation ol basic urban scrviccs
watcr, sanitation, clcctricityin thc squattcr communitics to scrvc thc dwcllings
pcoplc had built lor thcmsclvcs, sitcs and scrviccs anticipatcs thc luturc arrival ol
cityward migrants by providing urbanizcd subdivisions with individual plots ol
land lor cach lamily to build its own homc. Such mcasurcs lowcr thc cost pcr unit
dramatically as comparcd with rctrotting thc watcr and scwcragc pipcs around
and undcr cxisting lavcla dwcllings.
! saw lor myscll, as a consultant on a Vorld 8ank mission to Rio in +8, how
di cult it was to convincc thc 8NH to adapt any projcct that would lowcr hous
ing costs su cicntly to mcct thc nccds ol thc poor. To gct thc 8razilians to try thc
altcrnatc approach, thc Vorld 8ank tcam madc thc approval ol a largc traditional
lowincomc housing loan contingcnt on thc inclusion ol at lcast onc upgrading
and onc sitcsandscrviccs projcct.
Promorar and Projeto Fio: Tc crcation ol Promorar in + signalcd thc
bcginning ol thc sca changc ! rclcrrcd to in thc introduction to this chaptcr.
!t was a nationallcvcl program to urbanizc lavclas built in arcas at risk ol ood
ing. Most ol thcsc wcrc palatas (shacks built on woodcn stilts) at thc cdgc
ol thc bay. Tis was thc rst projcct to providc structurally sound housing lor
squattcrs onsitc sincc thc abortcd CSC cxpcrimcnt. !n Rio, it bcgan in
thc Complcxo do Mar and was callcd Projcto Rio. !t was latcr rcplicatcd in
vc othcr lavclas altcr proving succcsslul.
Systcmatic lavcla rcmoval slowcd down altcr + and stoppcd altcr +.
Vhat madc thc cradication policy lall out ol lavor: id somcthing causc
CH!SAM to go brokc: Vas thcrc a changc in thc political tidcs with thc
bcginning ol thc abertura, thc political opcning to dcmocracy: Ccrtainly thc
govcrnmcnt did not changc its attitudc toward lavclas ovcrnight and bccomc
committcd to a divcrsc urban landscapc.
Rcmoval/rcscttlcmcnt policics had cost thc govcrnmcnt dcarly in both
political and monctary capital. Calculations ol cost rccovcry lrom thc inhabit
ants gradual purchasc ol thc conjunto apartmcnts wcrc ovcrly optimistic, and
thc political hostility ol thc rcmovcd squattcrs had not bccn lully anticipatcd.
Ncw conjunots could not bc built last cnough to match thc dcmand crcatcd
by lavcla rcmoval, and thc conjuntos bccamc a managcmcnt and maintcnancc
nightmarc. uc to corruption in thc construction proccss and lack ol budgct
ing lor maintcnancc, thc conjuntos startcd to dctcrioratc within six months
ol complction (with watcr and scwcragc lcaking through thc walls), and thc
R E F L E C T I O N S O N P U B L I C P O L I C Y [ 2 7 3 ]
supposcd grccn arcas bccamc muddy garbagc dumps cmitting an awlul stcnch.
(Scc photo ol Conjunto dc Quitungo in chaptcr .)
Anothcr lactor was CH!SAMs closing in +. Vhilc it had bccn suc
ccsslul in rcmoving lavclas, it had bccn a total lailurc in rcmoving thc causcs
ol lavcla growth. !n thc latc +6os and thc+os, 8razil cntcrcd a highgrowth
pcriod known as thc conomic Miraclc, which brought morc migrants than
cvcr strcaming into Rio. Jobs wcrc abundant but salarics low, so thc only placc
lor thc ncw workcrs to livc was in lavclas. Tc govcrnmcnt rcalizcd it was ght
ing an uphill battlc and sincc most ol thc lamilics in thc conjuntos wcrc unablc
to mcct thcir monthly paymcnts, thc statc was unablc to rccovcr its costs.
!n an attcmpt to crcatc cash ow, thc 8NH bcgan to nancc largc privatc con
struction companics to build housing lor thc middlc and uppcr classcs and to cut
its support lor thc conjuntos. Vith no ncw conjuntos to rcccivc displaccd pcoplc
lrom thc lavclas or lrom othcr conjuntos, it was pointlcss to continuc cvictions.
:. Mobilization and xpcrimcnts with Upgrading: Tc +8os
ncc dcmocracy was rcstorcd in +8, it bccamc politically unrcalistic to promotc
largcscalc lavcla cradication sincc closc to a third ol thc Rio clcctoratc was living
in lavclas or othcr typcs ol inlormal housing. At thc samc timc, thc lcdcration ol
lavcla associations bcgan to join lorccs with labor unions, studcnt movcmcnts, and
opposition political partics to dcmand thcir rights and push lor dircct clcctions
and thc crcation ol a National Asscmbly to writc a ncw constitution.
!n +, thc Catholic Church crcatcd a grassroots outrcach callcd thc Pas
toral da Favclas, which providcd lrcc lcgal assistancc to lavclas in thcir ght lor
land tcnurc. Tis cort (which grcw out ol thc tradition ol Libcration Tcology
and thc mobilization ol 8asc CommuniticsComunidadcs clcsisticas dc
8asc) had a lcgal assistancc scrvicc that lought lor land owncrship. Tcir actions
haltcd + cvictions through lawsuits and organizcd lcgal dclcnsc committccs
that wcrc sct up in lavclas.
11
Tis happcncd at about thc timc that !sracl Klabin bccamc Rios Mayor and
UN!CF hclpcd to lund an ambitious program to urbanizc Rocinha, onc ol
thc largcst lavclas in 8razil and in all ol Latin Amcrica. Tc projcct was donc
with thc unpaid labor (swcat cquity) ol thc lavcla rcsidcnts and bccamc a point
ol rclcrcncc lor thc luturc. !n +8:, Lconcl 8rizola was clcctcd govcrnor ol thc
Statc ol Rio, with strong backing lrom lavcla rcsidcnts. Hc had bccn a progrcs
sivc politician who had to lcavc thc country during thc military dictatorship,
and hc rcturncd to 8razil whcn political amncsty lor thc cxilcs was dcclarcd.
All ol thcsc changcs took placc as thc dictatorship was winding down, dur
ing thc proccss known as thc abcrtura. uring this pcriod, thc municipal and
statc govcrnmcnts undcrtook scvcral initiativcs to upgradc lavclas. Although
thcrc was no immcdiatc succcssor to CSC, thc cxpcricncc had sct a
[ 2 7 4 ] F A V E L A
prcccdcnt, so that altcr thc rcturn to dcmocracy in thc mid+8os, a scrics
ol variations on CSC lollowcd, including local and statc govcrnmcnt
initiativcs, Project Mutiro (Collcctivc ScllHclp) and Cada Famlia Um Lote
(ach Family a Land Parccl).
Projeto Mutiro (+88), was thc rst initiativc to compcnsatc rcsidcnts
lor thcir swcat cquity in thc upgrading ol thcir own communitics. Tc projcct
startcd with construction ol sanitation inlrastructurc and cvcntually includcd
roads and community ccntcrs. Tc municipality paid thc lavcla workcrs thc
minimum wagc. Tis projcct was thc rst ol scvcral municipallcvcl intcrvcn
tions aimcd at urbanization, and thc lcssons lcarncd wcrc csscntial to thc largcr
scalc projccts that lollowcd. Projcto Mutirao installcd inlrastructurc in portions
ol + lavclas, including Rocinha, thc largcst lavcla in thc South Zonc.
Cada Famlia Um Lote: Launchcd in +8 by Govcrnor 8rizola, this was thc
statc govcrnmcnts cquivalcnt ol thc municipalitys Projcto Mutirao. !ts goal
was to providc land o.nership, watcr, and scwcragc to + million poor lamilics
in thc statc. Tis projcct lcll lar short ol that goal, but it did succccd in granting
somc :,ooo titlc dccds and upgrading two lavclas in thc city ol Rio. !t also
contributcd to a changc in mcntality and to thc practical cxpcricncc ol how to
incorporatc lavclas into thc lormal city.
!n +8, thc ycar dcmocracy rcturncd in 8razil, thc citys Fi.e-Year Plan
proposcd that thc lavclas bc lully incorporatcd into thc city and rcccivc all
ncighborhoodlcvcl scrviccs including lormal rccognition ol thcir cxistcncc,
strcct paving, strcct lighting, doortodoor mail dclivcry, and daily garbagc col
lcction. Tc vcycar plan ncvcr wcnt bcyond thc planning stagc duc to a politi
cal crisis that paralyzcd thc city ol Rio.
12
. Urbanization Rcachcs Scalc: +os:oo
!n thc +os, thc Plano ircctor (Mastcr Plan) lor thc city ol Rio pickcd up thc
thrcad ol thc dormant vcycar plan, stipulating thc inclusion ol lavclas in urban
scrviccs. Tc tax collcction systcm had bccn dcccntralizcd, so thc municipality
had a ncw sourcc ol rcvcnuc with which to lund upgrading projccts in lavclas.
uring thc rst mandatc ol Mayor Ccsar Maia (+), scvcral particu
larly hcavy rainstorms again causcd ooding and crosion in thc hillsidc lavclas.
ozcns ol homcs wcrc washcd away in thcsc torrcntial rainstorms, and untold
numbcrs ol community rcsidcnts wcrc killcd. Tc homcs that rcmaincd wcrc
inundatcd with scwagc as thc opcn scwagc canals ovcrowcd with rainwatcr. !n
rcsponsc, thc city govcrnmcnt initiatcd thc Rclorcstation Program.
Feorestamento-Mutiro Femunerado (RclorcstationRcmuncratcd Scll
Hclp): Tis program involvcd planting rapidly growing cdiblc vcgctation such
as lruit trccs and vcgctablcs on thc topmost arcas ol thc lavcla hillsidcs, with thc
triplc lunctions ol xing thc soil against crosion, discouraging ncw scttlcmcnt
lurthcr up thc hillsidcs, and improving nutrition. To prcvcnt human wastc lrom
R E F L E C T I O N S O N P U B L I C P O L I C Y [ 2 7 5 ]
mixing with rainwatcr canals and ovcrowing during thc rainy scason, thc city
installcd closcd scwcragc pipcs, lcaving opcn canals lor rainwatcr only. Addi
tionally, thc program had an cducational componcnt involving hcalth and nutri
tion and intcrnships lor youth, who could also work at ositc grccnhouscs.
Rclorcstation was a clcar dcparturc lrom thc cxploitativc practicc ol cxpcct
ing or rcquiring uncmploycd lavcla rcsidcnts to providc lrcc labor lor gov
crnmcnt projccts in thcir communitics. For thc rst timc at a largc scalc, thc
municipality agrccd to pay community workcrs rathcr than obligc thcm to vol
untccr. Local rcsidcnts with thc rcquisitc skills wcrc givcn priority in hiring
lor thcsc jobs, and thc community had input into (although not control ovcr)
ccrtain managcmcnt and dcsign dccisions.
13
Fa.ela-Bairro, Phase I (19942000): Vith thc cxpcricncc ol thc Rcorcsta
mcnto Program, thc municipality was rcady to undcrtakc a morc ambitious
initiativc. !n + thcy launchcd Favcla8airro, with thc goal ol intcgrating thc
lavclas into thcir surrounding ncighborhoods through inlrastructurc upgrad
ing, public works, and dcsign clcmcnts such as public plazas at thc cntranccs to
thc communitics. Filtccn lavclas, ranging in sizc lrom oo to :,oo dwclling
units, wcrc sclcctcd lor thc rst round. Tcrc was an opcn compctition lor thc
contracts. Tc city govcrnmcnt workcd with thc 8razilian !nstitutc ol Archi
tccts on thc rcqucst lor proposals and thc (anonymous) sclcction ol + winncrs.
ach sclcctcd tcam was assigncd to onc ol thc + lavclas. !n that way, somc ol
thc youngcst and most innovativc rmssuch as Arquitraowcrc ablc to try
vicuvv ++. Rclorcstation Projcct, +8. diblc plants, bushcs, and trccs grow on thc
hillsidc abovc this lavcla.
[ 2 7 6 ] F A V E L A
thcir hands in this unchartcd tcrritory, and a varicty ol approachcs could bc
tcstcd and comparcd.
14
ncc thc projcct startcd, thc city govcrnmcnt sought support lrom thc
Urban ivision ol thc !ntcrAmcrican cvclopmcnt 8ank, and by + had
sccurcd a vcycar grant ol 8+8o million dollars with a commitmcnt ol lurthcr
lunding dcpcndcnt on outcomcs. Tc Caixa conmica Fcdcral also rccog
nizcd thc potcntial in thc program and cntcrcd with lcdcral lunding. A morc
lormalizcd bidding proccss was dcvclopcd, rcquiring spccication ol costs and
timclramcs.
Favcla8airro took Rios cxpcricncc with rcmuncratcd scllhclp a stcp lur
thcr, not only paying workcrs but hiring program managcrs lrom thc commu
nity mcmbcrs who alrcady had cxpcricncc in lavcla upgrading. 8y thc cnd ol
thc rst phasc, : lavclas and 8 lotcamcntos irrcgulars had bccn bcncciarics
ol thc program.
Fa.ela-Bairro Phase II (2000 to 2005): vcr thc ncxt vc ycars thc projcct was
continucd, adding an additional 6: lavclas and : lotcamcntos, which brought
thc total numbcr participating to ++ lavclas and : lotcamcntos. Tc work
plan includcd projcct componcnts in cducation, hcalth, skills training, and com
munity dcvclopmcnt and also projcctcd cxpcrimcnts with microcrcdit, incomc
gcncration, and propcrty rights rccognition. 8ut thcsc componcnts madc no
hcadway at all.
A tcnycar annivcrsary cclcbration ol Favcla8airro was hcld at thc !ntcr
Amcrican 8ank hcadquartcrs in Vashington, C, in :oo to much acclaim.
!t was rccognizcd as thc most ambitious squattcr upgrading program in thc
world.
Upgrading Continues (:cc to :cc8): Projcct complction was dclaycd in somc
ol thc lavclas whcn contractors gavc up and walkcd away lrom thc job, hav
ing miscalculatcd thc cost ol thc work or thc di culty ol thc working condi
tions. Tc city continucd to add lavclas to thc program with thc knowlcdgc that
lunding lor Phasc !!! had bccn approvcd by thc !ntcrAmcrican cvclopmcnt
8ank (!A8). 8y :oo8 Favcla8airro had rcachcd a total ol +68 lavclas and
lotcamcntosaccting ovcr hall a million pcoplc.
!nspircd by this succcss, thc city spun o two upgrading projccts ol its own:
onc callcd 8airrinho, lor small lavclas with lcwcr than oo units and thc othcr,
Grandcs Favclas, lor thosc with ovcr :,oo units. Vork has alrcady bcgun in
scvcral ol thc largcst lavclas such as Rocinha in thc South Zonc, Jacarczinho in
thc North Zonc, and Rio das Pcdras in Jacarcpagu,or thc Vcst Zonc.
15
nc ol thc most intcrcsting cxpcricnccs in this rcgard is thc Cclula Urbana
(Urban Ccll) in Jacarczinho, dcvclopcd by Lu Pctcrscn in collaboration with
thc Gcrman 8auhauscssau Foundation. uropcan architccts and dcsigncrs
who visitcd lavclas lound a visual rclcrcncc to thc wallcd mcdicval city in thc
narrow, winding strccts, thc dcnscly clustcrcd buildings, and thc individually
built dwcllings blcnding into a cohcrcnt visual stylc. A tcam lrom Gcrmany
R E F L E C T I O N S O N P U B L I C P O L I C Y [ 2 7 7 ]
workcd with thc Rio tcam to dcsign a plan that would opcn up thc dcnscst
arcas to light and air, crcatc a ccntral opcnspacc to anchor community gathcr
ings and providc bcttcr acccss to thc rcst ol thc city.
Tc plan includcs a modcrnistic thrccstory community ccntcr dcsigncd
with spacc lor thc Rcsidcnts Association, a conccrt hall, mccting rooms, com
putcr classrooms, art studios, and a vidco lab. Tc idca is that thc ccntcr will act
as a magnct lor community activitics and its towcr will bc visiblc lrom all parts
ol thc community. Houscholds in thc most dcnsc and airlcss locations (somc
without windows or light asidc lrom thc lront door) will bc rclocatcd within
thc community to humanizc living conditions and rcducc hcalth hazards, par
ticularly rcspiratory discasc. A passarela (walkway) ovcr thc main highway will
opcn up acccss to an undcrutilizcd tcrritory lor dcvclopmcnt ol an cducational
ccntcr and small busincss incubator. Tus lar, thc projcct has crcatcd onc squarc
block ol this urban ccll and is now bcing run by thc statc govcrnmcnt, with
lunding lrom thc national Accclcratcd Growth Program.
16
Fa.ela-Bairro, Phase III (initiated :cc8): Funding lor Phasc !!! was hcld up
lor ncarly thrcc ycars by political party rivalrics bctwccn thc city and lcdcral
govcrnmcnts and conccrns about Rios ovcrcxtcndcd dcbt capacity (whosc lim
its arc sct as a pcrccntagc ol nct rcvcnucs). Tc city managcd to obtain a waivcr
bccausc thc lunds wcrc going to an ongoing projcct, not a ncw onc. Tc tcrms
ol Phasc !!! wcrc ncgotiatcd bctwccn thc !A8 and Mayor Ccsar Maia bclorc
his tcrm was ovcr, and thc lunds wcrc rclcascd in :oo8. 8y :oo work had
bcgun in six morc lavclas, and many othcrs had complctcd projcct prcparation
and wcrc rcady to bcgin work.
Tc list ol lavclas to bc includcd and thcir ordcr ol priority had bccn approvcd
at thc bcginning ol Phasc ! by thc city council, so thc oncs ncxt in thc pipclinc
had bccn working with thc municipality to gct rcady.
Scvcral cvaluations, both intcrnal and cxtcrnal, had bccn conductcd on
Favcla8airro, and thc planning lor Phasc !!! took thc constructivc suggcstions
into accountwhilc trying to avoid bccoming a catchall lor cvcryoncs lavoritc
issuc. !ncrcascd cmphasis was placcd on social invcstmcnts such as day carc
ccntcrs, cducation lor youth and adults (ocring high school cquivalcncy ccrti
cation), computcr courscs, altcrschool cultural and sports programs, and vio
lcncc mitigation. Tc violcncc mitigation approach will bc incrcmcntal and will
targct domcstic violcncc, ordcr in thc strccts (such as ncs lor littcring), and
includc sports and skills training to young mcn agcs :+. !t will also cncour
agc thc communitics to idcntily hot spots ol violcncc and providc thcm with
rcsourccs to do thcir own diagnostic ol thc problcm, cstablish basclinc data, and
monitor thc impact ol thc programs.
As my rcscarch also showcd, thc cvaluators ol Favcla8airro did not scc
much intcrcst in or dcmand lor microcrcdit in thc lavclas, so that idca was
droppcd. Tc most worrisomc aspcct in my asscssmcnt is that along with thcsc
proposcd social programs thcrc will bc a monitoring ol lavcla growth, which
[ 2 7 8 ] F A V E L A
may includc containing walls such as thosc shown in thc photograph ol Santa
Marta in chaptcr +.
Did Fa.ela-Bairro Bring the Morro and sfalto Closer?
As imprcssivc as upgrading +68 lavclas may bc, that numbcr rcprcscnts only
+6. pcrccnt ol thc +,o:o lavclas in Rio as ol July :oo.
17
Tcrc is a long way
to go and a lot to bc lcarncd both lrom what workcd and what might havc
workcd bcttcr.
Vhcn ! was conducting thc cld rcscarch during :oo+:oo, Phasc ! ol
Favcla8airro had alrcady bccn complctcd and Phasc !! was wcll undcrway.
! was surpriscd to discovcr how lcw ol thc :,:oo pcoplc wc intcrvicwcd had
hcard about Favcla8airro or kncw anything about it. Truc, nonc ol thc lavclas !
workcd in had bccn part ol thc projcct, but ! would havc thought it would havc
bccn a topic ol discussion within all lavcla communitics. Tcrc was cvidcntly
littlc or no covcragc ol thc program in thc ncws, and thc only publicity ! saw
was a small, unimprcssivc cxhibit at Santos umont, thc Rio domcstic airport.
! still wondcr whcthcr thc lack ol publicity was part ol a largcr stratcgy to limit
cxpcctations, thc rcsult ol a limitcd budgct lor outrcach, or simply an ovcrsight.
! was intcrcstcd in Favcla8airro, and ! visitcd dozcns ol thc projcct commu
nitics bctwccn + and :oo8. !n cach onc ! spcnt timc talking with rcsidcnts,
intcrvicwing currcnt and lormcr community lcadcrs and gcncrally obscrving
what was going on. ! rcasoncd that thc lavclas that had participatcd in carlicr
upgrading cxpcricnccs, starting with CSC, would bc morc prcparcd to
takc advantagc ol thc projcct and bcttcr ablc to mobilizc community participa
tion. ! was wrong. Too much timc had passcd, and thc pcoplc who had bccn
involvcd in and who carricd thc institutional mcmory ol prcvious projccts had
bccn marginalizcd by thc ncw lcadcrship installcd by thc drug tra c. !n many
instanccs ! lound that thc rccords ol past mcctings and community cvcnts had
bccn dcstroycd or disappcarcd or that thc cntirc Rcsidcnts Association build
ing had bccn sct on rc by thc ncw dircctors.
Noncthclcss, thcrc was a buzz ol cxcitcmcnt and activity ccntcrcd around thc
onsitc construction o ccs in thc communitics whcrc thc work was in progrcss.
!n ncwly complctcd lavclas thc physical and visual improvcmcnts wcrc imprcs
sivc: littcrlrcc strccts, clcanowing watcr in thc canals and small rivcrs, opcn
plazas, lookout points at vistas, pavcd roads, and strcct lighting. ! saw wcll
dcsigncd multiunit homcs lull ol light and air lor lamilics whosc houscs had
to bc movcd to makc room lor thc public works. Tcrc wcrc day carc ccntcrs,
womcns scwing coopcrativcs, tclcviscd courscs (which grant crcdit through a
local tcachcr), and pcrmancnt stalls and shops lor strcct vcndors. Tc bclorc
and altcr visuals wcrc imprcssivc. Somc ol thc lavclas, including Parquc Royalc
(shown in gurcs ++. and ++.) bccamc postcr childrcn lor thc program.
R E F L E C T I O N S O N P U B L I C P O L I C Y [ 2 7 9 ]
vicuvvs ++. ~xu ++. 6 Favcla Parquc Royalc on thc !lha do Govcrnador closc to
thc campus ol thc Fcdcral Univcrsity ol Rio dc Janciro, bclorc and altcr Favcla 8airro.
!magcs courtcsy ol thc Sccrctary ol Housing, Rio Municipal Govcrnmcnt, :oo.
[ 2 8 0 ] F A V E L A
!n thc altcrmath ol thc upgrading thc rcsults wcrc dramatic in all participating
communitics.
Somc communitics had lought to prcscrvc a small historic chapcl or a placc
ol symbolic signicancc and had won. Tc drug tra c sccmcd to havc cvapo
ratcd and rcsidcnts wcrc proud and optimistic. Tc only complaint ! hcard dur
ing my rst round ol visits was that lamilics wcrc rcsponsiblc lor connccting thc
utility lincs lrom thc roads to thcir own homcs. !n somc cascs thc houscholds
could not aord to do this or installing utilitics mcant digging up living room
oors, which rcsidcnts had nishcd using costly hardwood ooring.
Vhcn ! rcturncd to thc samc lavclas on latcr visits howcvcr, rcality had
sct in. Tings wcrc dicrcnt in cach placc, and somc ol thc work tcams had
involvcd thc community morc than othcrsbut lor thc most part, ! saw that
thc rcsidcnts did not lccl a scnsc ol o.nership ovcr thc improvcmcnts that had
bccn madc. ncc thc prcscncc ol thc govcrnmcnt dissipatcd with thc closing
ol thc community construction o ccs, pcoplc told mc that things bcgan to
dctcrioratc and rcvcrt to thcir carlicr conditions. Pcoplc who had had jobs with
thc construction wcrc uncmploycd again, othcrs had lost thcir livclihoods whcn
thcir work arcas (lor car rcpair or mctal rccycling) wcrc rcgularizcd, mcaning
movcd or closcd.
Tc ncwly drcdgcd, clcancd, and lincd watcrways with clcar owing watcr
that ! saw a lcw ycars carlicr had rcvcrtcd to thc public garbagc and scwagc
rcccptaclcs thcy had oncc bccn, thc intcrnal plazas wcrc not much uscd, and
thc oncs lacing thc strcct wcrc not wcll maintaincd, garbagc and gra ti wcrc
cvcrywhcrc, and thc drug tra c had rcturncd. !n onc casc, thc ancicnt shadc
trcc in thc small grccn arca whcrc thc cldcrly sat to cool o and rclax had bccn
cut down and thc grccncry pavcd ovcr as a way to climinatc hiding placcs lor
thc tra c. !n its stcad thcrc wcrc bluc, ycllow, and rcd high gloss mctal chairs,
bcnchcs, and minimalist play cquipmcnt that bccamc burning hot in thc sun,
making thc convivial gathcring placc unusablc.
Tcsc obscrvations notwithstanding, thc quality ol lilc in thc lavclas that
wcrc part ol Favcla8airro was signicantly bcttcr than in thosc that had not
bccn rcachcd by thc program. Tc lact that thcy had bccn bcncciarics ol public
invcstmcnt gavc thosc communitics grcatcr assurancc that thcy would not bc
rcmovcd, cvcn though land titlc issucs rcmaincd unrcsolvcd. Tc installation
ol urban inlrastructurc madc cvcry aspcct ol lilc casicr and hcalthicr. And thc
cxpcricncc ol having bccn thc objcct ol govcrnmcnt attcntion lor thc duration
ol thc construction pcriod gavc thc community a scnsc that thcy wcrc no longcr
invisiblc in thc cycs ol thc govcrnmcnt. Fccling that thcy wcrc rccognizcd was
an intangiblc but important changc.
Critics ol Favcla8airro had anticipatcd whitc cxpulsion, thc tcrm uscd lor
thc programs gcntrication (to distinguish it lrom thc lorccd cvictions ol carlicr
timcs). Tcy argucd that oncc urban scrviccs and a dcgrcc ol lcgitimacy rcachcd
R E F L E C T I O N S O N P U B L I C P O L I C Y [ 2 8 1 ]
thc lavclas, thcy would bccomc morc dcsirablc, rcal cstatc priccs would risc, and
rcsidcnts, instcad ol rcmaining in placc and bcncting lrom thcsc improvc
mcnts, would bc tcmptcd to scll to buycrs in highcr incomc brackcts and start
ovcr in worsc lavclas lurthcr away. !n my obscrvations, this did not happcn, or il
it did, it was on a vcry small scalc. First, thcrc was not much dcmand lor buying
in lavclas that wcrc not closc to thc ccntcr and South Zonc (whosc priccs wcrc
alrcady inatcd), sccond, pcoplc wcrc accustomcd to living in thcir communi
tics, had lricnds, rclativcs, and support nctworks thcrc and pcrhaps jobs ncarby
so thcrc was not much intcrcst in moving outcspccially into unknown lavclas
lurthcr away. Tc prots to bc madc sclling would bc insu cicnt to buy in morc
dcsirablc locations, much lcss to movc to thc aslalto.
Foom for Further Impro.ement
!n hindsight, it is casy to nd things that might havc workcd bcttcr. Favcla
8airro was a bold lcap lorward but it was not thc bcst. Tcrc arc no bcst
practiccs, only practiccs that arc bcttcr than othcrs at a particular timc and
placc. ncc an innovativc idca rcachcs implcmcntation and thcn bccomcs rou
tinizcd, its intcrnal contradictions prcscnt ncw challcngcs to bc addrcsscd.
18
!n thc casc ol Favcla8airro, rcgardlcss ol how much was spcnt on urban
inlrastructurc, paving pathways and roads, drcdging and clcaning canals, build
ing opcn plazas and introducing urban dcsign clcmcnts, it did not succccd in
intcgrating thc lavclas into thcir surrounding ncighborhoods. Tcrc is no doubt
in anyoncs mind whcrc thc aslalto cnds and thc morro bcgins.
Tc cconomic manilcstation ol this spatial dividc is clcar lrom thc data
comparing avcragc incomcs ol lavcla and nonlavcla individuals in Rio. Avcr
agc incomcs in South Zonc ncighborhoods arc vc to six timcs grcatcr than
in ncighboring lavclas. vcn in thc mostly low incomc Vcst Zonc, nonlavcla
incomcs arc +. timcs grcatcr than in lavclas. Tc stigma attachcd to living in
a lavcla runs too dccp to bc oblitcratcd by appcaranccs. !n thc cycs ol most
rcsidcnts ol surrounding ncighborhoods, lavclas rcmain subnormal agglom
crations rathcr than arcas ol spccial intcrcst, thcir ncw dcsignation in urban
planning jargon.
Vhilc both phascs ol Favcla8airro includcd a social invcstmcnt compo
ncnt that, on papcr, includcd incomc gcncration, vcry littlc was accomplishcd in
thcsc arcas. vcn day carc ccntcrs built as part ol thc program lound thcmsclvcs
without lunding lor sta and thus rcmaincd cmpty and closcd. Sincc thc proj
cct was locuscd primarily on building, thc subcontractors involvcd wcrc mostly
architccts and cnginccrs, and thc work was donc by construction companics. !t
is not surprising that thc physical componcnts trumpcd thc social oncs.
Tc nancing bodics wcrc likcwisc morc cxpcricnccd in largcscalc inlra
structurc projccts than in social invcstmcnt, so thcy tcndcd to prioritizc thc
[ 2 8 2 ] F A V E L A
lormcr. Socallcd solt dcvclopmcnt, which includcs social, cducational, cultural,
and local cconomic dcvclopmcnt (and lunding lor qualicd tcachcrs, skills mcn
tors, and daycarc workcrs), tcnds to bc morc labor intcnsivc, morc placc spccic,
morc di cult to cvaluatc, and lcss likcly to show visiblc shorttcrm rcsults.
! wondcr whcthcr spcnding thc samc amount ol nancial and administra
tivc rcsourccs ovcr thc past + ycars on upgrading thc carning capacity ol
thc rcsidcnts (and on othcr prioritics thcy havc articulatcd) would havc had
grcatcr impact on thcir intcgration. Tc closcr thcy bccomc to workingclass
communitics, thc casicr such intcgration will bcand thc rcsidcnts bclicvc that
thcir visual appcarancc, urban scrviccs, and salcty will lollow lrom thcir ability
to carn thcir own incomc.
vcn in tcrms ol thc physical upgrading, scvcral pcoplc who livc in thc lcast
acccssiblc parts ol thcir communitics said that thc urban inlrastructurc and
scrviccs did not rcach thc poorcst part ol thc lavcla whcrc thcy livc.
For mc, thc grcatcst causc lor conccrn is that thcrc was littlc scnsc ol com
munity pridc or owncrship oncc thc construction crcws lclt thc sitcs and thc
projcct o ccs wcrc closcd. Tis bcspcaks a lack ol community cngagcmcnt in
prioritysctting and dccisionmaking. Tc bcst intcntioncd and most cxpcri
cnccd prolcssionals, nonprot dircctors, or community lcadcrs cannot spcak lor
thc rcsidcnts, and unlcss thc rcsidcnts havc an inucntial voicc in thc proccss
and outcomcs, thcy will rcmain clicnts rathcr than playcrs.
Te Presence of the State
Tc issuc ol community control rcmains to bc rcsolvcd, but thc scnsc ol aban
donmcnt that occurrcd with thc closing ol thc onsitc o ccs during construc
tion has bcgun to bc addrcsscd by thc city govcrnmcnt. 8y :oo ncw city
govcrnmcnt o ccs had bccn sct up around Rio, cach scrving scvcral Favcla
8airro communitics. Tcsc o ccs arc callcd PUSs, or Posto dc ricntaao
Urbanistica c Social (Urban and Social ricntation Ccntcrs). Tcy arc stacd
by a handlul ol architccts, cnginccrs, and social workcrs who arc thcrc during
working hours and attcnd to pcoplc on a dropin basis.
nc ol thc PUSs lunctions is to providc lavcla rcsidcnts ccrticatcs ol
occupation, callcd Habite-se, which givc holdcrs thc right to own thcir homcs
and a pcrmit to livc in thcm dcspitc thc lact that rcsidcnts do not own thc land
upon which thcir homcs arc built. Tis documcnt docs not havc juridical stand
ing as lar, but it docs accomplish two goals: it givcs thc lamilics an incrcascd
scnsc ol lcgitimacy and conscqucntly thc lrccdom to invcst in thcir dwcllings,
and it providcs a way to prcvcnt housing dctcrioration by making thc issuing
ol thc documcnt contingcnt on an analysis ol thc structural soundncss ol cach
dwclling. Although thc idca was a good onc, thcrc wcrc too lcw PUSs to
makc a dicrcncc and thc program was wcak and undcrlundcd.
R E F L E C T I O N S O N P U B L I C P O L I C Y [ 2 8 3 ]
Tis is about to changc. Tc third phasc ol Favcla8airro anticipatcs a
PUS in cvcry onc ol thc participating communitics, starting with 6 ncw
oncs, o ol which arc lully lundcd. Tc PUSs will maintain a govcrnmcnt
prcscncc in cach lavcla altcr thc construction phasc is complctcd and will scrvc
as thc local point lor social projccts. Tcy will includc social assistcncc rclcrral
ccntcrs (Ccntros dc Rclcrcncia dc Assistcncia SocialCRAS), which will rclcr
pcoplc to thc appropriatc agcncics lor lamily support. A proccss ol monitoring
and cvaluation is bcing crcatcd to providc an ongoing lccdback loop lor lcarn
ing what is working and not.
19
svc:iox :wo: ~xcivs ov ~vvvo~cn :o voiicv:~xi xc
Policy Cannot Sol.e ll Tings for ll People
Tcrc arc limits to what may bc accomplishcd through public policy. Tc way
8razil is inscrtcd into global markcts at thc transnational lcvcl may uctu
atc and thc way pcrsonality traits arc cxprcsscd at thc individual lcvcl may
changc ovcr timc, but in both cascs thcy arc largcly bcyond thc rcach ol policy
intcrvcntions.
At thc global lcvcl, ows ol capital, labor, inlormation, and idcas arc not con
trollcd by any ovcrarching authority or policysctting institution. Tc imagcs
that rcach thc lavclas through thc !ntcrnct or tclcvision givc thcm acccss to
idcas lrom thc world ovcr, crcating ncw nccds lor contcmporary status sym
bols whilc tcchnological advanccs displacc unskillcd labor.
At thc othcr cnd ol thc spcctrum arc individual dicrcnccs, pcrsonality
traits, and lamily charactcristics that arc bcncath thc radar ol social policy. vcn
within thc samc lamily, our study showcd, somc siblings did much bcttcr ovcr
thc coursc ol thcir livcs than othcrs. Ascribcd charactcristics such as skin color
or gcndcr and acquircd charactcristics such as cducational lcvcl or occupation
cxist alongsidc dicrcnccs in intclligcncc, appcarancc, charm, and cnthusiasm.
!ntcrvicws with thc most succcsslul survivors in our samplc showcd that traits
such as pcrsistcncc, optimism, and thc ability to plan ahcad cnablcd somc to
takc advantagc ol opportunitics that camc thcir way and to pursuc opportuni
tics that othcrs might not havc pcrccivcd.
8ctwccn thcsc two cxtrcmcs lics what Manucl Castclls has callcd thc spacc
ol placc.
20
My rcscarch ovcr thc past lour dccadcs has shown that proximatc
cvcnts such as a lactory closing or an outbrcak ol dcnguc lcvcr havc grcatcr
impact on lamily wcllbcing than most local or national public policics. Ccntral
location within thc urban labric and daily contact with a divcrsity ol middlc
and uppcrclass pcoplc, such as thc rcsidcnts ol Catacumba cnjoycd, conlcrs a
lilctimc ol advantagc. Tc nctworks and contacts madc in thc coursc ol simply
living and working in thc South Zonc wcrc ol dircct hclp in gctting work.
[ 2 8 4 ] F A V E L A
Favcla rcsidcnts who madc such contacts could usc thc addrcss ol thcir boss or
patroa to givc thcir childrcn acccss to thc good public schools and bcttcr hcalth
carc in wcalthicr ncighborhoods. Tcy could also look to nancially succcsslul
pcoplc as modcls lor how to drcss, spcak, and comport thcmsclvcs. Locating
poor lamilics amid thc rich and building social nctworks across classcs arc not
casily attaincd through policy instrumcnts.
!n thc spacc ol placc, pcoplc livc thcir livcs and raisc thcir lamilics. Tcy arc
thc oncs bcst cquippcd to nd thc nichcs lor action bctwccn thc markct and
thc statc or in thc intcrsticcs bctwccn thc global and thc individual. xpcricncc
has shown thc vital importancc ol thcir knowlcdgc and knowhow (as wcll as
knowwho) in problcmsolving, yct it is rarcly sought. vcn whcn participa
tion ol local rcsidcnts is mandatcd, thcy arc rarcly hcard or hccdcd. Tis is an
arcna ol practicc, not policy.
21
Kno.ledge and gency
Tcrc is ncvcr a simplc onctoonc corrcspondcncc bctwccn rcscarch ndings
and policy rccommcndations. Undcrstanding thc changing rcality ol marginality
in Rios lavclas is a lormidablc task unto itscll. ccpcr undcrstanding ol thc
issucs covcrcd in thc prcccding chaptcrs docs not dctcrminc how bcst to
addrcss thcm.
vcn so, it would bc cowardly to avoid cxamining thc rcscarch ndings lrom
this study with an cyc toward thcir policy rclcvancc. !l thc cmpirical and cthno
graphic cvidcncc is not uscd to inlorm thc dcbatc about what is to bc donc, wc
will bc stuck with our cxisting undcrstandings, bclicls, and positions.
Tree pproaches to Public Policy
! scc thrcc distinct ways to dcal with thc challcngc ol intcgrating marginal
izcd populations into thc city: (+) placcbascd approachcs, (:) povcrtybascd
approachcs, and () univcrsal approachcs. Placcbascd approachcs targct dcncd
territories of exclusion, such as lavclas, conjuntos, or irrcgular lotcamcntos. Pov
crtybascd approachcs targct individuals or lamilics that lall bclow a dcncd
povcrty linc, rcgardlcss ol whcrc thcy livc. Sincc not cvcryonc living in lavclas is
poor and not cvcry poor pcrson livcs in a lavcla, this approach implics that somc
lavcla lamilics would not bc cligiblc lor this typc ol program and somc nonlavcla
lamilics would bc cligiblc. Univcrsal approachcs arc thosc that apply cqually to
cvcryonc in thc city or country, rcgardlcss ol location, propcrty titlc, incomc, or
asscts. Tc thrcc approachcs arc not mutually cxclusivcthcy arc cach an csscn
tial piccc ol thc puzzlc. ! addrcss thcm bclow as thcy apply to thc casc ol Rio.
Place-based approaches targct stigmatizcd communitics as a wholc without
distinguishing among thc incomc lcvcls ol thc inhabitants. Tcy includc all
R E F L E C T I O N S O N P U B L I C P O L I C Y [ 2 8 5 ]
upgrading and community dcvclopmcnt programs mcntioncd in thc policy
history scction ol this chaptcr. Tcsc programs, whcthcr thcy rcvolvc around
housing improvcmcnts, urban inlrastructurc, social scrviccs, or local cconomic
dcvclopmcnt, arc dcncd and dclincatcd by a tcrritorial boundary.
Favcla8airro is thc culminating cxamplc ol this approach. arlicr in this
chaptcr ! discusscd thc strcngths and wcakncsscs ol Favcla8airro and its
potcntial cvolution in its ncxt phasc. My spccic rcscarch ndings about hous
ing and land usc arc prcscntcd in thc concluding scction ol this chaptcr.
Te po.erty-based approach in 8razil is 8olsa Famlia, a national program
that providcs lowincomc lamilics with a monthly stipcnd, dcpositcd into a
dcbit account. !t grcw out ol scvcral scparatc programs bcgun during thc prcsi
dcncy ol Fcrnando Hcnriquc Cardoso and has bccn consolidatcd and cxtcndcd
during thc two tcrms ol Prcsidcnt Luis !gncio Lulu da Silva. !n many ways
thc conccpt is akin to thc longdcbatcd ncgativc incomc tax, cxccpt that thc
stipcndscallcd Conditional Cash Translcrs, or CCTsarc providcd only
upon lulllmcnt ol ccrtain obligations, such as school attcndancc, prcnatal carc,
inlant inocuations, and/or cldcr carc.
Tis program scrvcs thc dual purposcs ol hclping lowincomc lamilics mcct
thcir basic nccds, whilc cncouraging thcm to invcst in thc hcalth and cducation
ol thc ncxt gcncration. Critics contcnd that it is rcally a largcscalc political
patronagc systcm dcsigncd to sccurc votcs lor thc Labor Party and pcrpctuatc
dcpcndcncc on govcrnmcnt bcncccncc. !t may bc both, but it has alrcady suc
cccdcd in rcducing national incquality lcvcls.
Tc CCT systcm works through thc lcmalc hcads ol houscholds, who arc
considcrcd most likcly to usc thc stipcnds lor thcir lamilics basic nccds. A sti
pcnd is providcd lor cach child who rcmains in school. Tis rcmovcs thc inccn
tivc lor parcnts to takc thcir childrcn out ol school to hclp support thc lamily,
particularly in thc countrysidc. Tcrc arc additional stipcnds lor thc carc ol
cldcrly lamily mcmbcrs, rcgular doctor visits, and so on. Although thc amounts
rcccivcd arc modcst, thc paymcnts havc had a notablc impact, particularly in thc
rural arcas. !n thc poorcst statcs ol thc Northcast, up to o pcrccnt ol lamilics
arc bcing hclpcd through thc program. Nationwidc, as ol January :oo, 8olsa
Famlia was bcncting ovcr ++ million poor lamilicsabout onclth ol thc
national population.
22
Tc absolutc numbcr and pcrccnt ol bcncciarics is much lowcr in thc citics
than in thc countrysidc, sincc cligibility lcvcls arc sct at thc samc lcvcl lor thc
cntirc country, rathcr than adjustcd lor dicrcnccs in cost ol living. As ol :oo,
8olsa Famlia had rcachcd +,ooo ol +,o,ooo lamilics in Rio dc Janciro,
lcwcr than onc in tcn.
23
!l it has not alrcady bccn donc, thc implication ol this nding would bc to
adjust thc cligibility lcvcl lor 8olsa Famlia according to purchasing powcr par
ity, which takcs thc cost ol living into account. Tis is alrcady donc in sctting
[ 2 8 6 ] F A V E L A
thc minimum wagc lor dicrcnt rcgions. Tc adjustmcnt in cligibility lor 8olsa
Famlia, il dctcrmincd not by incomc lcvcls but by thc cost ol a standard cesta
bsica (baskct ol goods), would mcan inclusion ol a much highcr pcrccntagc ol
urbanitcs. !n Rio, cvcn sclling candy, shining shocs, or pcrlorming clown acts
lor cars at tra c lights gcncratcs highcr cash carnings than living on thc land,
but may not mcan a highcr standard ol living.
Tc othcr policy implication is thc nccd to tailor and targct program
componcnts to thc spccic nccds ol cach agc group: childrcn, adolcsccnts,
adults raising lamilics, and thc cldcrly. ! would imaginc this too is alrcady
bcing donc.
Uni.ersal approaches addrcss such individual issucs as thc right to salcty,
dcccnt housing, and cqual protcction undcr thc law. Tc right to thc city
includcs thc lrccdom to usc public spacc, to movc about at will, to partici
patc in thc job markct, to bc trcatcd with rcspcct, and to havc a voicc in
dccisions about thc citys luturc. Vorkcrs rights wcrc institutcd by Gctu
lio \argas, prcsidcnt ol 8razil lrom +o. Tcsc includc thc pcnsion
systcm, thc minimum wagc, and thc right to organizc labor unions. Tc
pcnsion systcm is currcntly thc major sourcc ol support, il not thc only
sourcc, lor many ol thc original study participants, who in turn support
thcir childrcn and thcir grandchildrcn. !n rcsponsc to thc survcy qucstion
Vho is thc politician who has most hclpcd you and pcoplc likc you: thc
most lrcqucnt answcr was not thc Rio mayor rcsponsiblc lor Favcla8airro
but Gctulio \argas, whosc workcr protcctions oltcn makc thc dicrcncc
bctwccn living and starving.
Participatory budgcting is anothcr good cxamplc ol a univcrsal approach.
!t was initiatcd in Porto Alcgrc in thc carly +os whcn thc Labor Party was
clcctcd with thc plcdgc to makc city govcrnmcnt transparcnt and account
ablc. Tc city budgct allocations lor capital improvcmcnts, maintcnancc, and
scrvicc dclivcry arc brokcn down by ncighborhood and madc public so that
cach ncighborhood can scc what it is rccciving rclativc to cvcry othcr ncigh
borhood. !nitial mcctings arc hcld within thc ncighborhoods to sct prioritics
lor thc coming ycars budgct. Tcn mcctings arc hcld among and bctwccn thc
ncighborhoods to ncgotiatc which nccds arc most prcssing in which localitics
Rathcr than thc cxpcctcd compctition, Rcbccca Abcrs, who studicd thc proccss,
discovcrcd thc cmcrgcncc ol what shc calls ncgotiatcd solidarity. Shc docu
mcntcd thc way a spirit ol collaboration cmcrgcd oncc nccds wcrc comparcd
among communitics.
24
Although thcrc havc bccn dicrcnccs in thc dcgrcc ol
dcccntralization and participation in Porto Alcgrc as thc city govcrnmcnt has
changcd ovcr thc past + ycars, thc conccpt has caught on and bccn adaptcd by
many othcr citics in 8razil (starting with thosc controllcd by thc Labor Party)
and by many citics all ovcr thc world, who havc lormcd a nctwork lor mutual
support and cxchangc ol cxpcricnccs.
25
R E F L E C T I O N S O N P U B L I C P O L I C Y [ 2 8 7 ]
Te Tree pproaches Combined
!n somc cascs all thrcc ol thcsc approachcs comc togcthcr. 8razils Growth
Accclcration Program, known as thc PAC (Programa dc Acclcraao do Crcsci
mcnto) is onc such program. !t was launchcd in :oo, during a timc ol high
ratcs ol cconomic growth and a largc national surplus. !t combincs placcspc
cic invcstmcnt in lavcla upgrading, povcrtybascd invcstmcnt in ncw housing
construction lor lamilics with lcwcr than vc minimum salarics, and univcrsal
bascd clcmcnts ol cconomic growth, job crcation, and incomc rcdistribution.
!ts statcd objcctivcs arc to rcducc incomc incquality in 8razil through povcrty
rcduction and thc inclusion ol millions ol citizcns in thc lormal job markct
and to makc longtcrm improvcmcnts in inlrastructurc that will bc condu
civc to busincss invcstmcnt.
26
!n Rio, thc locus is on urbanization ol thc largc
lavclas, building aordablc housing and thcrcby stimulating thc growth ol thc
construction industry.
Tc prcsidcnt himscll travcllcd to thc Morro dc Alcmao to announcc thc pro
gram, gcncrating grcat cxcitcmcnt and high cxpcctations. Vhcn ! was in Nova
8raslia in ctobcr :oo8 work had alrcady bcgun widcning thc main cntrancc
road into Nova 8raslia to install largcdiamctcr scwcragc pipcs. Most pcoplc
! spokc with kncw about thc PAC although no onc was clcar on how long it
would last or whcthcr it would cnd up as yct anothcr unlulllcd promisc.
Tc plan lor thc arca includcs a cablc car to conncct thc morc rcmotc parts ol
Nova 8raslia to bus lincs and a rail station on thc main road and building sub
sidizcd lowincomc apartmcnts on thc sitc ol a ncarby abandoncd lactory.
27
Tc skcpticism ol my lavcla lricnds was not without basis. Tc global rcccs
sion has alrcady lowcrcd 8razils growth projcctions lor :oo, and thc PAC
work schcdulc is alrcady bchind its targcts. n Junc , :oo, Business Ne.s
mericas rcportcd that a rcccnt study lound only pcrccnt ol PAC projccts had
bccn complctcd in two ycars. Tc lollowing day thcy rcportcd thc govcrnmcnt
corrcction that as ol April o, :oo, + pcrccnt ol thc :,6 projccts bcing
monitorcd had bccn complctcdnot an cncouraging sign.
28
Tc policy bcncts ol combining thc thrcc approachcs would bc thc ability
to coordinatc and supplcmcnt rathcr than ovcrload or ovcrlook. 8ut promis
ing all things to all pcoplc is not a road map lor succcss. Many componcnt
programs and policics arc alrcady in placc in cach ol thc thrcc catcgorics, but
thcy arc rarcly considcrcd in conccrt. Tc rcsult is that cvcn thc boldcst policics
arc not rcaching thcir lull potcntial. For cxamplc, il upgrading ol lavclas and
conjuntos was coordinatcd with 8olsa Famlia to hclp individual lamilics mcct
thcir basic nccds, and il job and incomc gcncration initiativcs ol thc PAC wcrc
workcd out by local rcsidcnts, cach program would build on thc othcr rathcr
than rcmaining in its scparatc silo. And as long as wc arc in thc subjunctivc
il this wcrc part ol a citywidc participatory budgcting proccss that includcd
[ 2 8 8 ] F A V E L A
city rcsidcnts in thc sctting ol prioritics, thc invisiblc pcoplc might start to
bccomc visiblc.
!n thinking about thc way to combinc thc thrcc approachcs and rcnc thc
planning proccss, ! would takc into account such issucs as:
Time frame. Vhat mcasurcs can bc takcn in thc short, mcdium, and long
tcrms:
gency. Vhich citizcns, civil socicty organizations, public scctor agcncics, and
privatc busincsscs would bc rcquircd to initiatc, and implcmcnt, cach mcasurc:
Collaboration. Vhat typc ol partncrships would bc nccdcd among thc stakc
holdcrs and how could thcy dcvclop mutual trust:
Scaling up. How could succcsslul initiativcs, oltcn birthcd at thc grassroots
lcvcl, bc brought to scalc without compromising thc intcgrity that madc thcm
work:
Obstacles and opponents. Vhat barricrs might bc laccd, which groups might bc
thrcatcncd or institutions opposcdand how to ovcrcomc thcsc barricrs and
thrcats:
!indo.s of opportunity. Vhat opcnings might occur, in thc political contcxt,
lor moving lorward and how to takc advantagc ol thcm:
29
Sharing approaches that .ork. How can solutions that havc workcd in onc con
tcxt bc usclul in similar circumstanccs clscwhcrc, and how can thc pccrto
pccr cxchangc that makcs this work bc lostcrcd:
30
svc:iox :nvvv: vvsv~vcn vi xui xcs ~xu :nvi v
voiicv vvivv~xcv
Among thc many issucs that arosc in my intcrvicws with community rcsidcnts,
nonprots, local, national, and transnational policymakcrs, and scholars (+)
inlormal housing, (:) land tcnurc, () jobs and incomc gcncration, () drugs
and violcncc, and () citizcnship and thc right to thc city.
Informal Housing: Fa.elas, Conjuntos, Loteamentos
Scvcral uncxpcctcd ndings turncd up in my study. Vhilc somc ol my conclu
sions in Te Myth of Marginality arc as truc today as thcy wcrc whcn thc book
camc out in +6such as thc asymmctric inscrtion ol thc poor into thc city
systcm! havc sincc rcvcrscd my vicw on somc ol thc books rccommcnda
tions, bascd on what ! havc lcarncd lrom taking a longitudinal approach.
Tis shows how mislcading projcct cvaluations can bc, particularly as thcy
arc usually conductcd shortly altcr program complction. !t is also a sobcring
rcmindcr that rcscarch donc at a singlc point in timcwhich includcs ncarly all
rcscarchmay not providc a sound basis lor policy guidancc.
R E F L E C T I O N S O N P U B L I C P O L I C Y [ 2 8 9 ]
Two arcas in which this ncw study ncccssitatcs a rcvision ol my carlicr
ndings arc thc longtcrm bcncts ol living in lavclas and conjuntos and thc
importancc (or not) ol land tcnurc lor lavcla rcsidcnts.
Conjuntos turncd out to bc an advantagc in thc long run, rathcr than thc
disastcr that thc rcsidcnts had cxpcricnccd and ! had obscrvcd in thc short tcrm.
!n Te Myth of Marginality, bascd on hundrcds ol intcrvicws ! conductcd in thc
conjuntos in + just thrcc ycars altcr thc rcmoval ol Catacumba, ! argucd that
putting pcoplc into thc North Zonc conjuntos was an unmitigatcd disastcr. !
rcportcd how it had disruptcd cvcry aspcct ol lilc lor thc lamilics. Tc storics
! hcard, somc ol which ! havc quotcd in carlicr chaptcrs, wcrc horrcndous. My
obscrvations and convcrsations a rmcd that thc movc had bccn dcvastating to
thc hcalth and wcllbcing ol thc rcsidcnts. Tcir lamily incomcs dcclincd to hall
ol lormcr lcvcls at thc samc timc that thcy assumcd paying monthly installmcnts
on thcir apartmcnts and lccs lor urban scrviccs (which had bccn lrcc in thc lavc
las). Transportation to and lrom work, which had also bccn lrcc as it was primarily
donc on loot or bicyclc, cost as much as a quartcr ol prcvious lamily incomc, such
that only onc pcrson pcr lamily could aord thc commutc to work in thc South
Zonc. !n Catacumba, mcn had typically supplcmcntcd thcir primary incomcs
with a sccond job or lrcclancc work on cvcnings and wcckcnds. Vomcn took in
laundry lor thc madamcs in thc ncarby ncighborhoods and scnt thcir childrcn
to dclivcr thc washcd and ironcd clothing. Childrcn did biscates (odd jobs) altcr
school and on wcckcnds, also contributing to thc lamily incomc.
8us larc lrom thc conjuntos to work cost thc cquivalcnt ol a lourth ol a
typical monthly salary, which mcant that only thc main wagc carncr could
aord it. Tc trip addcd almost two hours cach way onto +ohour workdays
and ncccssitatcd rising bclorc dawn to stand in linc lor a placc, cvcn standing
up, on thc bus. Anyonc arriving latc to work could casily bc rcd on thc spot, so
nonc ol thcsc workcrs could risk it.
Vorsc still, thc monthly paymcnts lor thc conjunto apartmcnts had bccn
calculatcd on thc basis ol survcys ol total lamily incomcs before thc movc. Tcy
wcrc much too high to bc sustaincd on thc shrunkcn lamily carnings altcr
rcmoval. Tosc who lcll into arrcars wcrc at risk ol bcing scnt to triagc houscs
(dcscribcd in chaptcr ). Community lcadcrs wcrc not rclocatcd with thc rcst,
so as to avoid any mobilization, and no onc cvcr lound out whcrc thcy wcnt.
Familics, lricnds, and ncighbors wcrc scparatcd according to incomc and num
bcr ol childrcn. Movcd lrom bcing surroundcd by supportivc nctworks, lamilics
lound thcmsclvcs living ncxt to pcoplc thcy had ncvcr mct. Many sucrcd lrom
strcssrclatcd discascs, and dozcns dicd.
Schools, clinics, day carc, commcrcial spacc lor thosc who had supportcd
thcmsclvcs through sclling or scwing lrom homc, rccrcation arcas lor thc
youthnonc ol thcsc urban amcnitics lor which thcsc lamilics had comc to thc
city cxistcd in thc conjuntos.
[ 2 9 0 ] F A V E L A
Tc transition was indccd dcvastating, and many ol thc oldtimcrs arc still
gricving lor a lost homc.
31
!t took quitc a whilc lor thc bcncts ol thc movc
to bccomc apparcnt. !l ! had not rcturncd thrcc dccadcs latcr, ! would ncvcr
havc known that, on balancc, moving lrom lavclas to conjuntos turncd out to
bc advantagcous lor most pcoplc, and lor thcir childrcn. vcr timc, making
monthly paymcnts lor thc apartmcnts, lor watcr and clcctricity, and having a
lcgitimatc strcct addrcss conlcrrcd a scnsc ol pridc and lcgitimacy on pcoplc
that had bccn inacccssiblc to thcm in thc lavclas. Tcy also had an casicr timc
gctting jobs oncc thcy had lcgal addrcsscs to usc. !t is truc that thcrc is littlc
room lor cxpansion to accommodatc ncw lamily mcmbcrs in thc conjuntos
and that thcy do not havc thc status ol thc aslalto, but ovcrall thosc in thc
conjuntos havc donc bcttcr than thosc who staycd in thc lavclas, in tcrms ol
jobs, incomc, cducation, and lcvcl ol consumcr goods (i.c., thc componcnts
ol SS), as wcll as in ovcrcoming stigma. Tis is not to say that il thcy had
bccomc landowncrs in Catacumba that thcy would not bc bcttcr o than thcy
arc today. Tcrc is no rcliablc way to tcst that thcory, although ! did try.
32
Vhat ! can rcport is that altcr thc initial shock and adaptation, many pcoplc
lclt a pcrsonal pridc in having prcvailcd and gonc on with thcir livcs, and lor
thcir childrcn, bcing raiscd in a conjunto rathcr than a lavcla conlcrrcd clcar
advantagcs. Acccss to jobs and urban amcnitics improvcd ovcr timc as thc city
cxpandcd northward and public transportation improvcd. !n thc long run thc
most pcrnicious aspcct ol Catacumbas rcmoval was thc dchumanization ol thc
proccssthc act ol lorcing pcoplc out ol thcir homcs. Frccdom ol choicc and
ol movcmcnt might arguably bc dcnicd to criminals, but not to lawabiding
citizcns whosc only crimc is thcir povcrty.
!n thc conjuntos, thc problcms ol uncmploymcnt, drugrclatcd violcncc,
inlcrior schools, and abscncc ol hcalth scrviccs and rccrcational spaccs wcrc
similar to thc conditions in thc lavclas. Although thc conjuntos wcrc govcrn
mcnt projccts thcy wcrc not maintaincd nor protcctcd by thc statc. And thc
promisc ol apartmcnt owncrship is largcly unlulllcd to this day.
wncrship was a driving lorcc in thc dcvclopmcnt ol thc conjuntos. Tc monthly
apartmcnt paymcnts wcrc calibratcd to rcpay costs such that altcr : ycars, thc
buildings would bc totally owncr occupicd. !t has not workcd out that way. ur
:oo samplc survcy in thc conjuntos ol Guapor and Quitungo, whcrc thc lormcr
Catacumba rcsidcnts had bccn placcd, showcd that lcss than o pcrccnt ol thosc
living in thc conjuntos had o cial titlc to thcir apartmcnts. Tc othcr 6o pcrccnt
wcrc living thcrc inlormallyhall ol thcm with no titlc at all and thc othcr hall
with inlormal titlcnot lcgally rccognizcd. (Scc gurc ++. lor dctails.) Altcr
morc than thirty ycars thc majority wcrc living in a statc ol limbo, onc stcp closcr
to lcgality than thosc in lavclas, but not part ol thc lormal city.
Tis points out thc commingling ol lcgal and social status. Vhilc thc
conjunto buildings arc similar to privatc scctor housing dcvclopmcnts lor
R E F L E C T I O N S O N P U B L I C P O L I C Y [ 2 9 1 ]
thc middlc class, thc lact that poor pcoplc livc in thcm mcans that thc rcsidcnts
rcmain marginalizcd and thcrclorc thc community rcmains stigmatizcd.
Loteamentos !ersus Fa.elas Teory Tested
Also surprising among thc ndings ol my lollowup study was that thc
lotcamcntos distant lrom thc ccntcr ol Caxias turncd out to bc a bcttcr option
in thc long run than ccntrally locatcd lavclas, although thcy sccmcd worsc
in +6. At that timc, thc municipality ol Caxias was in thc carly stagcs ol
dcvclopmcnt. Tc ccntcr and its surrounding ncighborhoods wcrc urbanizcd,
but thc pcriphcral arcas wcrc sparscly populatcd subdivisions that wcrc lcgal
but not urbanizcd. Tc grid ol pavcd roads, clcctricity, watcr, and othcr urban
scrviccs did not cxtcnd to thcsc arcas. Tc small plots ol land could bc purchascd
or rcntcd lor vcry littlcproviding an altcrnativc to squatting. Using a quasi
cxpcrimcntal rcscarch dcsign, ! sclcctcd hall ol my samplc lrom thc thrcc
lavclas whcrc lamilics had dccidcd to invcst thc littlc moncy thcy had in lood,
shcltcr, and cducation and livc rcntlrcc on unuscd lands. Tc othcr hall ol my
samplc was composcd ol pcoplc who had dccidcd to buy or rcnt a lot in onc
ol vc subdivisions and thcrclorc had lcss to spcnd on othcr nccds. Fivc ycars
latcr, whcn my rst book camc out, it appcarcd that thc lavcla option had bccn
wiscst. Pcoplc in \ila pcrria in particular had built a thriving ncighborhood
with a strong Rcsidcnts Association and a ncw school and had raiscd moncy
lor prolcssional tcachcrs. And, as dcscribcd in chaptcr , thcy had bccn grantcd
thc right to rcmain on thc land.
Tc lotcamcntos, on thc othcr hand, had high turnovcr, as many occupants
wcrc rcntcrs, and thc rcsidcnts had wcak or no community organizations or
Rcsidcnts Associations. Tcy typically did not know thcir ncighbors, did not
havc much local commcrcc, did not hold partics or danccs lor thc school chil
drcn, and in gcncral sccmcd to havc thc problcms ol thc poor without thc
solidarity to scc thcm through.
Tc vicw lrom o ycars hcncc is thc oppositc. Tc municipality ol Cax
ias has had onc ol thc highcst growth ratcsin cconomic and population
tcrmsin thc mctropolitan rcgion, and all ol thc lotcamcntos havc bccn
pavcd, providcd with inlrastructurc, and incorporatcd into thc rcst ol thc city
with cqual lcgal standing, dcspitc thcir rcsidcnts lowcr incomcs. Among all
ol thc subgroups ol thc study, thc pcoplc who wcrc originally lrom thc Caxias
lotcamcntos had thc grcatcst social mobility and thc highcst qualityollilc
and SS scorcs.
Tc lcsson hcrc is that legality counts. Lowincomc communitics cxist on a
continuum ol lcgitimacy, and thc closcr a community is to lcgal status and lcgal
documcntation ol that status, thc morc likcly arc its rcsidcnts to bc trcatcd as
pcoplc who can act on thcir own bchall.
[ 2 9 2 ] F A V E L A
n thc othcr hand, place counts as wclland thc two arc not usually cotcr
minous. nc ol my study ndings is that bcing cxposcd to middlc and uppcr
class pcoplc on a daily basis conlcrrcd a lilclong advantagc on thc rcsidcnts ol
Catacumbacvcn though thcy occupicd thc land illcgally. Knowing how to
spcak, act, drcss, and bchavc likc a South Zonc pcrson and having thc nctwork
ol contacts that studying, playing, and working in an upscalc ncighborhood
makcs possiblc was ol grcat valuc in cvcry aspcct ol lilc.
Tc policy considcrations appcar contradictory. !t is idcal to havc lcgal status
and to livc in thc midst ol an upscalc part ol thc city, but only thc rich can aord
that combinationwhich is prcciscly why thcy arc so adamant in thcir opposi
tion to cocxisting with lavclas. Vhat can bc donc:
nc answcr would bc to nd a way to intcgratc ncw lowincomc housing
into multiclass, multiusc ncighborhoods. Spatial scgrcgation (ghcttoization) is
sclldclcating and scllpcrpctuating. Land banking by thc municipal govcrnmcnt
and thc usc ol acquircd land lor subsidizcd housing arc ways to intcgratc social
classcs gcographically, which wc lound is so usclul lor upward mobility. Tc usc ol
cmincnt domain by thc city to acquirc propcrtics not bcing uscd by thcir owncrs
would minimizc spcculators holding land o thc markct lor highcr salc at a latcr
datc, rcducc sprawl, and providc spacc lor social purposcs such as lowcost hous
ing, schools, parks, small busincss incubators, and jobtraining ccntcrs. Tc usc
would bc dctcrmincd by thc nccd to complcmcnt currcnt usc pattcrns.
Sincc thc dcmisc ol thc 8NH in +8 thcrc has bccn no national housing policy,
no housing nancc policy, and no urban policy in 8razil. Tc Caixa conmica,
which rcplaccd many ol thc lunctions ol thc 8NH, has not bccn in thc busincss
ol housing nancc. Tcy havc limitcd programs lor uppcrmiddlcclass housing
and lor civil scrvants. 8ut almost all rcal cstatc transactions in 8razil arc madc a
vistathc lull pricc paid in cash at thc timc ol thc salc. !n somc cascs, buycrs nccd
to bcgin paymcnts on apartmcnts bascd solcly on oor plans, bclorc or during thc
building construction.
Tcrc havc bccn scvcral small aordablc housing projccts nanccd by
municipal govcrnmcnts. uring my rcscarch in :ooo8, ! visitcd somc attrac
tivc ncw municipal housing projccts in Rio and Caxias that wcrc targctcd to
lamilics carning 6 minimum salarics. Tcy wcrc dcsigncd lollowing thc prin
ciplcs ol thc ncw urbanismhigh dcnsity, lowrisc buildings as opposcd to
largc apartmcnt buildings or dctachcd houscs. ! wcnt with janira to visit two
ol thcsc communitics in Caxias, outsidc thc city, which wcrc gatcd communi
tics with guards and dcsignatcd lor civil scrvants.
Tc projcct in downtown Rio, callcd Morar no Ccntro (Living in thc Ccn
tcr), crcatcd inll housing mcant to bc aordablc. ! was charmcd whcn ! vis
itcd it. Tc city acquircd dilapidatcd old buildings among lovcly lamily homcs
on trcclincd strccts and rcnovatcd cach onc, convcrting thcm into scvcral small
apartmcnts (or largcr whcn scvcral adjaccnt propcrtics wcrc availablc lor pur
R E F L E C T I O N S O N P U B L I C P O L I C Y [ 2 9 3 ]
chasc). Familics carning +6 minimum salarics wcrc cligiblc, but prclcrcncc was
givcn to small lamilics at thc highcr cnd ol thc rangc, mcaning that : pcrccnt
ol thc pcoplc ! intcrvicwcd would bc cxcludcd.
n my way to thc Tom Jobim !ntcrnational Airport in Rio in Junc :oo,
! lcarncd lrom thc taxi drivcr, who livcs in a lavcla, that this may bc changing
with a ncw housing nancc program lor lamilics carning + minimum salarics.
Tis was conrmcd by a piccc in thc Financial Times just a lcw days latcr. n
July :, :oo, thc papcr rcportcd on a ncw govcrnmcnt program callcd Minha
Casa, Minha Vida (My Homc, My Lilc) intcndcd to cxpand homc owncrship
and boost growth in thc construction industry. According to thc articlc, thc
Caixa conmica will invcst US8+ billion in subsidics lor homc purchascs,
lor lamilics who can provc thcy havc a stcady incomc. Loans will bc rcpayablc
in monthly installmcnts ovcr :o ycars, and thcy will bc supplcmcntcd by land
donations lrom statc or municipal govcrnmcnts. Construction is cxpcctcd to
start in :o+o, and ! will bc cagcr to scc whcthcr thc program succccds in kccp
ing paymcnts low cnough to scrvc lavcla lamilics with stcady incomcs.
33
Policy implications lrom thcsc rcscarch ndings and obscrvations would
suggcst that thc govcrnmcnt should:
1. Provide choices. Givcn that millions ol Rios citizcns arc currcntly priccd out
ol thc lormal housing markcts and that continucd lavcla sprawl into thc lorcsts
and wctlands is unwisc, a widc rangc ol altcrnatc aordablc housing options
including rcnting, lcasing, houscsharing, and housing nancc lor singlc and
multiplclamily housing and condominiumswould makc scnsc. cpcnding
on tradcos bctwccn nancial conditions, closcr proximity, and spacc nccds,
lamilics may havc dicrcnt nccds at dicrcnt timcs. Tc options might rangc
lrom sitcs and scrviccs, to workcrs vilas (or tcmporary shcltcrs), to thc gatcd
condominiums ! saw in Caxias, to dcnsc highriscs on major transportation
corridors and rcntal units within largc homcs.
2. Invest in people. !l as much had bccn invcstcd in human capital as in physi
cal inlrastructurc in Rios lavclas, wc would scc a dicrcnt situation today.
As thc old Chincsc provcrb says:
!l you arc planning lor a ycar, sow ricc.
!l you arc planning lor a dccadc, plant trccs.
!l you arc planning lor a lilctimc, cducatc pcoplc.
Adaptcd to thc urban sctting this would mcan that community upgrad
ing projccts might partncr with an array ol othcr agcncics (and incorporatc an
array ol cxisting programs) starting with day carc and prcschool and continuing
through (lullday) primary and sccondary schools, high quality costlrcc prc
vcstibular courscs (prcparation lor univcrsity cntrancc cxams), and all thc way
to training lor jobs. All this would bc donc with thc support ol buddy systcms,
mcntoring, and inccntivcs lor succcss.
[ 2 9 4 ] F A V E L A
!n thc communitics wc studicd, wc saw that boys lrom ++8 ycars old had
thc highcst risk ol dcath and thc lcast to do with thcir timc. School attcndancc
is mandatory through agc +, and cmploymcnt or military scrvicc only bcgin at
+8, so thcrc is a lourycar void. !ronically, thc laws passcd to prcvcnt thc cxploi
tation ol child labor havc instcad prcvcntcd tccnagcrs lrom starting an occupa
tion, and hcncc lrom gaining cxpcricncc and staying out ol thc drug tra c.
34
. Give the community control. !n my cxpcricncc, whcn community rcsidcnts havc
a dccisivc voicc in projcct planning, implcmcntation, managcmcnt, monitoring, and
maintcnancc, thc succcss ratcs arc highcr and thc costs arc lowcr. !l rcsponsibility
is put in thcir hands and thcy arc rcspcctcd as cxpcrts on mattcrs ol thcir own livcs
and communitics, thcy will bc thc oncs to strugglc with hard dccisions and agrcc
on tradcos among compcting prioritics. Tcy will thcn havc a stakc in thc projcct
and its outcomc and dctcrmination to maintain and protcct thcir invcstmcnt.
4. Bring the city to the favelas. Tc municipal govcrnmcnt nccds an ongo
ing strcctlcvcl prcscncc in cach community, prclcrably cmploying community
mcmbcrs as managcrs. A sclcction proccss could idcntily intcrcstcd rcsidcnts in
cach community who arc qualicd to scrvc as onsitc city ombudspcrsons. Tosc
hircd would rcccivc training, bc paid a monthly salary, and havc dircct phonc and
!ntcrnct acccss to all city agcncics so thcy could solvc many local problcms on
thc spot. Tc idca is to changc thc lacc ol thc local statc lrom that ol thc antago
nistic policcman to thc problcmsolving public scrvant. !l thc ncw plans to bring
PUSs and rclcrral ccntcrs to cach lavcla go lorward, it would go a long way
toward achicving this goal.
5. Consider the conjuntos. Vhy not initiatc a Conjunto8airro Program in
thc housing projccts to upgradc thcir physical, social, and salcty conditions
and intcgratc thcm into thcir surrounding ncighborhoods: Tc only improvc
mcnt thc govcrnmcnt has madc in thc conjuntos in o ycars has bccn painting
outwardlacing building lacadcs, just prior to clcctions somc ycars ago. Aban
doncd by thc statc and avoidcd by privatc invcstors, thc conjuntos havc bccomc
morc likc lavclas with thc addcd disadvantagc that thcy havc largc parccls ol
nondclcnsiblc spacc bctwccn thc buildings, making thcm morc dangcrous.
35

Pcrhaps thc conjuntos havc bccn casicr lor thc govcrnmcnt to ignorc, sincc thcy
arc not visiblc lrom thc upscalc urban arcas, do not occupy invadcd land, and
havc not organizcd to makc dcmands.
6. Control clandestine subdivisions. Currcntly thc clandcstinc or irrcgular lotca
mcntos havc thc highcst growth ratc and living conditions that arc among thc
worst in Rio. Ncwly arrivcd lamilics arc oltcn conncd into buying small plots ol
land in hiddcn subdivisions by lraudulcnt dcvclopcrs. Tcir modus opcrandi is
to opcn up a narrow dirt road and clcar lightly uscd cattlc grazing or agricultural
lands, usually small arcas within cnormous land holdings that arc not patrollcd.
Lots arc laid out and sold to ncw migrants with thc promisc ol roads, watcr, clcc
tricity, and othcr amcnitics. ncc thc paymcnt is madc and thc lalsc titlc papcrs
R E F L E C T I O N S O N P U B L I C P O L I C Y [ 2 9 5 ]
produccd, thc dcvclopcr disappcars, thc migrant lamilics arc strandcd in thc
middlc ol nowhcrc, and thc govcrnmcnt is laccd with rcmoving thc lamilics and
providing housing lor thcm or bringing urban scrviccs to thcsc rcmotc arcas.
Roguc dcvclopcrs could bc discouragcd lrom lurthcr incursions il landown
crs wcrc hcld accountablc lor patrolling thcir propcrty lincs (and givcn thc
option to scll parccls to thc city), il thc govcrnmcnt dcploycd thc hclicoptcrs
now uscd lor lavcla survcillancc to idcntily ncw scttlcmcnts, and il thc pro
tccrs wcrc brought to justicc.
7. Anticipate continuing migration. Vithout advancc planning lor rccciving
ncwly arriving migrants, all upgrading projccts and altcrnativc housing solu
tions will bc outpaccd by uncontrollcd growth. Tc timc is ripc to rcconsidcr
sitcs and scrviccs. Govcrnmcnt might usc its right ol cmincnt domain to acquirc
pcriurban land, subdividc it into housing plots, dcsignatc arcas lor opcn spacc,
community lacilitics, schools, socccr clds, and commcrcc, and install thc urban
inlrastructurc bclorc anyonc scttlcs thcrcmuch lcss costly than rctrotting
urban scrviccs to an cxisting scttlcmcnt. Familics buy or lcasc thc lots at mini
mal costs, with longtcrm nancing toward purchasc, and build thcir homcs
incrcmcntally as thcir situation pcrmits.
36
8. Direct urban growth and mitigate sprawl. Public invcstmcnt in housing as
wcll as inccntivcs lor privatc dcvclopcrs should bc conccntratcd in thc dircction
ol dcsircd city cxpansion and in proximity to jobs and public transportation.
!n Rio onc promising arca lor such dcvclopmcnt is along thc Avcnida 8rasil,
which has many parccls ol vacant land and abandoncd lactory buildings. !ts
ccntrality makcs it a promising location lor conjuntos, coopcrativcs, condo
miniums, and othcr aordablc housing options.
From what ! undcrstand, thcrc will bc strong dcmand lor lowincomc hous
ing in thc Vcst Zonc ol Rio, around thc stccl industry complcx bcing cxpandcd
by thc Companhia Sidcrurgica do Atlantico. Tcy arc invcsting a billion dollars
in thc projcct and cxpcct to hirc o,ooo ncw workcrs. Tc ovcrall plan, projcctcd
ovcr tcn ycars ago, is to crcatc a ncw urban hub, with thc modcrnizcd port ol
Scpctiba as thc shipping nodc.
Land Tenure and Home Ownership
Vithout doubt thc most contradictory nding ol this longitudinal study is
that land tcnurc is largcly irrclcvant to thc lavcla rcsidcnts in Rio today. Tis
is cxactly thc oppositc ol what ! lound in my carlicr study and passionatcly
dclcndcd in my carlicr book.
Granting land titlc to thc lavcla rcsidcnts was thc strongcst policy rccommcn
dation ! madc in Te Myth of Marginality and was a unilying thrcad throughout
thc book. Tc thrill ol cld rcscarch is thc discovcry that things which sccmcd
immutablc can and do changc. My lrustration was that by thc timc thc policy
[ 2 9 6 ] F A V E L A
community pickcd up on thc importancc ol land owncrship (and in somc cascs
madc it thcir mantra) thc momcnt whcn it could havc madc a dccisivc dicr
cncc (at lcast in Rio) had passcd, and a ncw rcality was in placc.
Tis rcscarch conrmcd thc bcncts ol lcgality and lcgitimacy. 8ut thc lact
that thc lilc ol inclusion is bcttcr than thc lilc ol cxclusion docs not ncccssarily
imply that il lavcla rcsidcnts wcrc givcn land titlc without any othcr changcs in
thcir circumstanccs, thcy would join thc ranks ol thc includcd. Giving individ
ual titlc documcnts to rcsidcnts ol a community whosc ovcrall right to occupy
thc land rcmains contcstcd is an cmpty gcsturc.
A casc in point is thc community ol Caju ncar ccntral Rio. 8ccausc it was
locatcd on lcdcral lands that havc bccn givcn to thc city, thc rcsidcnts havc
rcccivcd titlc papcrs. !n lact, with much pomp and circumstancc, titlcs havc
bccn handcd out by at lcast two city administrationswith littlc to show lor
it. agcrly ! sct up a visit to Caju, notcbook and camcra in hand, to intcrvicw
community rcsidcnts and lcadcrs. Tc community has thc visual charm ol othcr
small hillsidc lavclas whcrc rcsidcnts takc pridc in painting and maintaining
thcir homcs. Tcrc was no indication that lilc in Caju was at all dicrcnt lrom
lilc in a comparablc community without titlc. Tc rcsidcnts thought it was
humorous that cach mayor wantcd to bc shown in thc ncwspapcrs giving thcm
propcrty papcrs, and that thc politicians cxpcctcd cxprcssions ol gratitudc. Tcy
told mc thcy would bc a lot morc gratclul to havc jobs.
Tcorctically, gctting titlc to thc propcrty undcr oncs homc would bc a plus.
Practically, it is no longcr ol conccrn to lavcla rcsidcnts. Tc right to usucapiao
owncrship altcr continuous occupation lor a xcd pcriod ol timc (advcrsc
posscssion)has provisions lor both individual and collcctivc cascs, but is only
applicablc on privatcly owncd land. Most lavclas wcrc ablc to rcmain in placc
altcr initial scttlcmcnt prcciscly bccausc thcrc was no privatc owncr to kick
thcm out. Today, thcrc arc innitc lcgal complications lor cach parccl ol land,
oltcn involving multiplc claimants, compcting documcnts and contradictory
prcccdcnts.
37
So no simplc solution cxists lor rcgularizing owncrship lor thc
+,o:o lavclas in Rio at this timc. For thc pcoplc ! intcrvicwcd, it is a moot point.
c lacto tcnurc has cxistcd sincc thc rcturn to dcmocracy almost : ycars ago.
Tc lcar ol rcmoval cndcd +o ycars bclorc that whcn thc cradication policics
cndcd. ncc party politics rcturncd, with thc dircct votc lor mayor and govcr
nor, any public act against thc million (or morc) inlormal rcsidcnts bccamc a
political liability. Tc invcstmcnts in Favcla8airro starting in + madc
rcsidcnts lccl cvcn morc sccurc.
As a lormcr prcsidcnt ol thc Rcsidcnts Association ol Cantagalo (onc ol thc
rcmaining South Zonc lavclas) said: Vc alrcady havc posscssion ol our land.
Arcnt wc living hcrc: !ts obvious that a titlc documcnt in our hands would bc
grcat, but only il it camc togcthcr with urbanization, with concrctc improvc
mcnts in our living conditions. Tc ncwslcttcr ol thc Fcdcration ol Rcsidcnts
R E F L E C T I O N S O N P U B L I C P O L I C Y [ 2 9 7 ]
Associations, Favelo, rccommcndcd that thc rcsidcnts dcmand urban inlra
structurc and basic urban scrviccs bclorc land titlc, or you will cnd up paying lor
nothing morc than you now havc lor lrcc.
38
Tat is not to say that lavcla rcsidcnts would rclusc land titlc il ocrcd.
ighty pcrccnt ol thosc ! intcrvicwcd said thcy would likc to havc lcgal owncr
ship ol thcir propcrty but only il it did not mcan incurring land taxcs and scr
vicc lccscspccially sincc thcy will still bc cxcludcd lrom thc rcspcct and urban
amcnitics cnjoycd by othcr propcrty owncrs in thc city ol Rio.
A policy idca hcrc is to allow a gracc pcriod during which propcrty taxcs
arc waivcd and thcn gradually phascd in il titlc is conlcrrcd. Tc sccond point
is that il and whcn land and scrvicc taxcs arc imposcd on lavcla communitics,
thcy should bc cntitlcd to thc samc packagc ol scrviccs and thc samc quality ol
scrviccs as any othcr arca ol thc city. Tat mcans not just bcttcr schools, hcalth
ccntcrs, and garbagc collcction but protcction lrom violcncc and cxtortion
as wcll.
nc might imaginc that without land owncrship, it would bc impossiblc to
own, buy, scll, rcnt, or inhcrit homcs. n thc contrary, all ol thcsc transactions
arc thriving in Rios lavclas. Tcrc is a ourishing rcal cstatc markct whcrc rcal
cstatc and land transactions procccd as il both thc dwcllings and land wcrc
lcgally owncd.
Vithin thc communitics owncrship is uid. Most ol thc rstgcncration
migrants (rcprcscnting 8o pcrccnt ol thc original study participants) built
thcir own homcs and considcr thcmsclvcs owncrs, although thcy havc no titlc
papcrs. Mcmbcrs ol thcir cxtcndcd lamilics who livc with thcm likcwisc havc
no documcntsnor do thcir childrcn whcn thcy inhcrit thc housc. !n all thcsc
situations pcoplc pcrccivc thcmsclvcs as owncrs. !n cascs whcrc thc adult chil
drcn startcd lamilics ol thcir own and bought or rcntcd a homc in thc com
munity, thcy may or may not havc prool ol that transaction. Vhcn ! ask pcoplc
about this, thcy say that somctimcs thc two partics writc out an agrccmcnt by
hand and shakc on it, somctimcs thcy go to thc rcsidcnts association, ll out
a lorm with all thc dctails ol thc salc, sign it in lront ol witncsscs, and havc it
signcd and stampcd by thc prcsidcnt ol thc association, and somctimcs thcy
takc thc signcd papcrs lrom thc rcsidcnts association to a cartorio (rcgistry) to
havc thc transaction rcgistcrcd. 8ut cvcn this is not a lcgally rccognizcd docu
mcnt. !t has no juridical standing.
!n our qucstions about homc owncrship, wc rclicd on pcoplcs pcrccptions.
Tcy rcsponscd in onc ol thrcc ways: no titlc, inlormal titlc, or o cial titlc. Vc
did not run an indcpcndcnt chcck to scc what kind ol o cial or inlormal
titlc thcy may havc had. 8ccausc not all pcoplc lrom thc original samplc and
thcir dcsccndants rcmaincd in lavclas, wc had thc cxtraordinary opportunity to
comparc thc pcrccivcd owncrship status in thrcc typcs ol communitics rang
ing lrom cxtralcgal (lavclas) to quasilcgal (conjuntos) to lully lcgal (bairros).
[ 2 9 8 ] F A V E L A
Tcrc wcrc too lcw pcoplc in lotcamcntos to bust thc ndings sincc wc dividcd
thcm by thc thrcc owncrship catcgorics. My gucss, bascd on all thc analysis ol
othcr variablcs, is that thc prolc could bc similar to that in thc conjuntos. Tc
rcsults arc shown in gurc ++..
As cxpcctcd, thc lavclas havc thc lowcst pcrccntagc ol rcsidcnts with o
cial titlc to thcir homcs and thc highcst pcrccnt with no titlc at all. Tc bair
ros havc thc highcst pcrccntagc with o cial titlc and thc lowcst with no
titlc, butcontrary to cxpcctationonly o pcrccnt ol thcsc barrio rcsidcnts
havc o cial titlc. !t was cqually surprising to scc that :: pcrccnt ol pcoplc
in thc bairros havc no titlc at all. ! did not cxpcct to scc this in thc aslalto.
Conjuntos, as cxpcctcd, occupy an intcrmcdiatc position bctwccn lavclas and
bairros, with much lowcr owncrship and highcr inlormality than ! would havc
thought. !t occurrcd to mc that a largc numbcr ol thosc who said thcy had no
titlc at all might bc rcnting, but rcntcrs (o cial and inlormal) accountcd lor
only +o+ pcrccnt ol all nonowncrs. Vhat rcmains to bc sccn is whcthcr
thc :o pcrccnt ol lavcla rcsidcnts who claim to bc homcowncrs havc any lcgal
standing as such and, il so, undcr what circumstanccs thcy rcccivcd titlc and
il it madc any dicrcncc. For thc govcrnmcnt who anticipatcd owncroccu
pancy in all conjunto apartmcnts, thc lact that undcr o pcrccnt ol rcsidcnts
havc titlc papcrs might causc thcm to rcthink how conjuntos arc managcd
and who is bcncting. l thosc lamilics who managcd to gct lrom thc morro
to thc aslalto, pcrhaps thc hall that still do not own would bc cligiblc lor thc
ncw Minha Casa, Minha \ida Program.
0.00
10.00
20.00
30.00
40.00
50.00
60.00
70.00
F
a
v
e
l
a
s
C
o
n
g
u
n
t
o
s
/
P
r
o
j
e
c
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s
B
a
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r
o
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N
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g
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b
o
r
h
o
o
d
s
Formal title
P
e
r
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Informal title
No title
vicuvv ++. Scllrcportcd homc owncrship in lavclas, conguntos, and barrios, :oo+.
R E F L E C T I O N S O N P U B L I C P O L I C Y [ 2 9 9 ]
:~niv ++. + Intergenerational Dierences in Home
Ownership in Favelas, Conjuntos, and Barrios
Original
Interviewees
Children Grandchildren
Favcla o
Conjunto + +
8airro
! bcgan to wondcr whcthcr somc ol thc owncrship ndings might bc illu
minatcd by looking lor gcncrational dicrcnccs. ! imagincd that grandchildrcn
who had morc cducation, bcttcr jobs, and grcatcr !ntcrnct acccss would bc morc
likcly to havc lcgal titlc to thcir homcs. Tc analysis provcd mc wrong. n thc
contrary, as shown in tablc ++.+, thc original intcrvicwccs wcrc thc most likcly
to bc owncrs, thc childrcn ncxt most likcly, and thc grandchildrcn lcast.
Homc owncrship dccrcascd lrom gcncration to gcncration in all thrcc typcs
ol communitics. !ntcrcstingly, thc stccpcst dcclincs occurrcd among thosc
living in conjuntos and bairrosdropping lrom pcrccnt, to pcrccnt to
pcrccnt. Tc tiny lraction ol homc owncrs in thc lavclas has rcmaincd at thc
samc insignicant lcvcl.
Tinking about thc lamilics ! know bcst gavc mc somc insight into this intcr
gcncrational dcclinc in owncrship. Many ol thc childrcn and grandchildrcn
havc bccn unablc to acquirc su cicnt savings to rcnt or buy a homc, particularly
bccausc purchasc rcquircs lull paymcnt in cash and thcrc has bccn no mort
gagc systcm availablc to thcm. For cxamplc, Margaridas lour daughtcrs and
grandson, all ol Jacobis childrcn and grandchildrcn, onc ol Niltons daughcrs,
Z Cabos son and granddaughtcr and janiras son and granddaughtcr all livc
with thcir rcspcctivc parcnt/grandparcnt. Somc arc still studcnts, likc iana,
othcrs, likc Sabrina, arc just starting to work, and cvcn thc most succcsslul, likc
Patricia, who arc carning wcll, arc rcnting. Among thosc in Patricias gcncration
who havc movcd into bairros in thc lormal scctor, :o pcrccnt arc rcnting.
Pcrhaps thc most tclling nding ol thc ownship analysis is thc dramatic ccct
it has on sociocconomic status within cach typc ol community. !n thc lavclas,
as shown in gurc ++., all rcntcrs worsc o than all owncr, but thc dcgrcc ol
dicrcncc bctwccn uno cial renters (thosc with documcnts) and o cial owners
(thosc who rcportcdly havc titlc papcrs) is cxtrcmc. And this divcrgcncc is cvcn
morc cxtrcmc whcn conjuntos and bairros arc addcd.
Tc comparisons abovc makc thc point that thc pcoplc who arc o cial
owncrs in a lcgitimatc ncighborhood arc highly likcly to havc high scorcs on
thc SS indcx, mcaning rclativcly high cducation, purchasing powcr, and living
spacc. 8ut thcsc comparisons say nothing about thc dircction ol causality. Vc
[ 3 0 0 ] F A V E L A
havc lcarncd lrom intcrvicwing thosc at thc two cxtrcmcs that in most cascs,
thc capacity to purchasc a homc in a bairro, as Z Cabo, Jacobi, and Hlio
Grandc havc donc is thc rst stcp up thc sociocconomic laddcr and that living
thcrc providcs additional advantagcs. !n short, thcrc is littlc disputc that rich
or poor its good to havc moncy.
Vhat is in disputc is thc importancc ol land and homc owncrship in moving
out ol povcrty. nc ol thc main rcasons acadcmics and intcrnational dcvclop
mcnt agcncics givc lor locusing on owncrship is that it cnablcs pcoplc to usc
thcir homcs as collatcral lor loans. !n thc casc ol Rios lavclas, that is a spurious
argumcnt. Tc pcoplc havc no intcrcst in using thcir homcs as collatcral. Tis
is not uniquc to Rio. ! lound thc samc disinclination in thc yards ol Kingston,
Jamaica, thc villas dc miscria in 8ucnos Aircs, thc gccccondu in !stanbul, thc
kampungs in Jakarta, thc barongbarong in Manila and in shantytowns lrom
Nairobi to Mumbai. Tc prcmisc ol Hcrnando dc Soto that homc owncrship
will rclcasc capital and lrcc thc cntrcprcncurial spirit
39
is not widcly sharcd
among thc urban poor. !n my cxpcricncc pcoplc living on thc cdgc arc cxtrcmcly
rcluctant to risk thcir most important assct on loans. As most cannot count on
any stcady sourcc ol incomc, thcy do not want to incur dcbt.
!n Rios lowincomc communitics thcrc was littlc or no intcrcst in microcrc
dit lor thc samc rcason. Tc pcoplc in our study borrowcd moncy lrom a varicty
ol inlormal and lormal sourccs. Tcy rcport that intcrcst ratcs in thc lormal
scctor arc prohibitivcly high and that thcy arc not always trcatcd wcll in thcir
dcalings with lormal scctor nancial institutions. Tcy ccrtainly do not want to
risk losing thcir homc in ordcr to borrow moncy. Tc major rcason thcy gavc
my study group lor borrowing moncy was to rcpay othcr dcbts, lollowcd by
pay lor basic ncccssitics. Lcss than + pcrccnt mcntioncd borrowing to start a
ncw busincss or to improvc thcir homcs.
-0.3
-0.2
-0.1
0
0.1
0.2
0.3
0.4
Unofficial
renter
Official
renter
Unofficial
owner
Official
owner
SES
vicuvv ++. 8 Sociocconomic status dicrcnccs among lormal and inlormal owncrs
and rcntcrs in lavclas, bascd on thc ncw random samplc ol +,:oo in thc study communi
tics, :oo.
R E F L E C T I O N S O N P U B L I C P O L I C Y [ 3 0 1 ]
Tis intcrtwining ol thc inlormal and lormal city, thc lcgal and illcgal, thc
lcgitimatc and illcgitimatc is a lact ol lilc lor Rios poor. !l owncrship is consid
crcd important by cxpcrts and cxtcrnal agcncics, pathways toward it nccd to bc
solt and casily ncgotiablc lor thosc who havc lcarncd to bc suspicious about
thc intcntions ol statc o cials and institutions. As thc data abovc indicatc, thc
ratcs ol lcgal homc owncrship arc low in conjuntos and bairros as wcll as in
lavclas. !ssucs ol land and housing owncrship cannot bc scparatcd lrom thc
broadcr conccpt ol thc right to thc city. Vho is thc city lor: And whosc intcr
csts is it mcant to scrvc:
Jobs, Work, Income Generation
Vhilc multilatcral aid agcncics including thc Vorld 8ank, thc !ntcrAmcrican
cvclopmcnt 8ank, UNHabitat and thc Citics Alliancc, bilatcral agcncics and
local, statc, and national govcrnmcnts havc bccn locuscd on squattcr upgrading
and land rcgularization, thc pcoplc who livc in thc lavclas havc bccn locuscd
on jobsmorc broadly, on incomc gcncration or livclihoods. Tc rcsidcnts
arc clcar that thcir intcgration into thc rcst ol thc city dcpcnds morc on thcir
carning ability than on thc dcsign cnginccring ol thcir communitics. Tcy sul
lcr morc lrom thc stigma associatcd with bcing a lavcla rcsidcnt than lrom thc
lack ol land titlc or urban scrviccs. Privatc cntcrprisc has alrcady lound in thcm
an cxccllcnt markct lor thc consumption ol collcctivc and individual urban scr
viccs. Tcrc is no good rcason why lavclas cannot bccomc workingclass com
munitics and communitics ol workcrs.
Tcrc is no cumulativc cxpcricncc in job crcation comparablc with that ol
onsitc lavcla urbanization. Knowing that rcmuncratcd work is thc grcatcst
nccd docs not imply knowing what to do about it. Vith thc global rcccssion
adding millions to thc ranks ol thc uncmploycd and undcrcmploycd, this is not
a problcm uniquc to Rios lavclas or to Rio in particular.
Somc proposcd rcsponscs dcal with ways to crcatc jobs in thc arcas ol cach
citys comparativc advantagc, othcrs dcal with ways to prcparc job scckcrs lor
thc growth scctors ol thc cconomy. !n this rcgard, thc public scctor nccds to makc
common causc with thc privatc scctor, as wcll as with thc cxcludcd citizcnry.
Stratcgically, docs it makc scnsc to try to hold onto manulacturing jobs whcn
thc costs ol production outsidc Rio arc much lowcr: Vould rctarding thc usc ol
laborsaving tcchnologics in production, construction, or busincss scrviccs bc
morc than a stopgap mcasurc: !s thcrc untappcd cntrcprcncurial talcnt wait
ing lor startup capital to launch ncw busincsscs: Vould raising thc minimum
wagc (as 8razil has just donc) or lowcring thc lcgal working agc hclp or hurt
thc marginalizcd population:
Tactically, how can thosc who havc thc rcquisitc skills bc matchcd with cli
cnts looking lor workcrs to do jobssmall or largc: How can tcchnical schools
[ 3 0 2 ] F A V E L A
and job training programs bc ticd dircctly to thc nccds ol cmploycrs and busi
ncsscs: And cvcn il thc skillsnccd matchcs arc madc, what can bc donc to nul
lily thc stigma ol a lavcla addrcss or pcrsonal appcarancc that signals such:
Scvcral mcasurcs considcrcd propoor havc had unintcndcd conscqucnccs.
For cxamplc, raising thc minimum wagc in 8razil, which is a stcp in thc dircc
tion ol basic dignity, cnds up causing many pcoplc to losc thcir jobs and othcrs
to bc dcmotcd lrom lormal to inlormal status (to savc moncy), dcpriving thcm
ol workcrs rights and protcctions.
!n Rio, altcr a protractcd strugglc to distancc houscclcancrs and nannics
lrom thc patronizing attitudc ol thcir cmploycrs and thc lcgacy ol slavcry,
domcstic work was prolcssionalizcd in +8. omcstic workcrs won thc right
to thc minimum wagc, a months paid vacation, and thc socallcd dccimo tcr
cciro (thirtccnth)an cxtra months pay at thc cnd ol thc ycar. As a rcsult,
many houscholds that had lormcrly supportcd a lulltimc livcin housckccpcr
(oltcn with hcr young childrcn) switchcd to hiring that samc pcrson onc day a
wcck at thc ncw ratcs. For many ol thc womcn in thc lavclas, this mcant com
pcting with othcrs to nd lour othcr days ol work and losing thc lrcc room and
board thcy and thcir childrcn had cnjoycd during thc wcckand losing thc
chancc to usc thc patroas (bosss) addrcss and to rcgistcr thcir childrcn at thc
good ncighborhood schools.
Laws raising thc lcgal working agc to +8 havc had similar unintcndcd consc
qucnccs, such as making drug tra c morc appcaling lor youth who want to start
carning thcir own moncy. A rcccnt opcd piccc in thc New York Times pointcd
out that thc global movcmcnt against swcatshops contrastcd sharply with thc
aspiration ol thc garbagc pickcrs in Cambodia.
o
For thc garbagc pickcrs, to bc
ablc to work in a swcatshop, out ol thc blazing sun and with thc sccurity ol a
guarantccd wagc, was a drcam to work toward. How can thc univcrsal issucs ol
dcccnt pay, protcction ol childrcn, or improvcd work conditions bc rcconcilcd
with thc lact that in rcality thcsc mcasurcs somctimcs rcsult in morc hardship
lor thosc most in nccd:
Tc PAC, as lar as ! know, docs not stipulatc giving priority to local rcsidcnts
who arc uncmploycd, nor docs it spccily procurcmcnt ol supplics lrom local
vcndors, cvcn though such mcasurcs would makc good scnsc. !t was initiatcd
in :oo, whcn 8razil had accumulatcd a largc surplus lor invcstmcnts, and it
was ambitious in scopc, promising a million ncw homcs by :o++. Tc :oo8o
cconomic crisis has put a dampcr on thc prolilcration ol thcsc plans, but it is
too carly to tcll whcthcr it will go lorward or whcthcr thc jobs crcatcd in citics
will go to thc urban poor.
n thc workcrprcparcdncss sidc, 8razil tricd a national programPrimciro
mprcgo (First Job)that was launchcd in :oo. For atrisk youth, gctting
oncs rst job is a critical stcp on thc path to luturc cmploymcntparticularly
sincc it providcs thc chancc to gct a signcd cartcira dc trabalho which is a prc
R E F L E C T I O N S O N P U B L I C P O L I C Y [ 3 0 3 ]
rcquisitc lor luturc jobs, particularly in thc lormal scctor. Tc program was sup
poscd to coincidc with thc pcriod whcn youth nish or lcavc school and arc not
yct working so that joining a drug gang would not bccomc thc dclault option
in thc abscncc ol altcrnativcs.
Primciro mprcgo pays a stipcnd to program participants, along with
transportation and lunch costs. Program managcmcnt is dcccntralizcd to
nonprot organizations in cach city. !n Rio, cach ol a hall dozcn sclcctcd
NGs was assigncd to onc arca ol thc city and cncouragcd to dcvclop its
own curricula and tcaching plans so that altcrnativc approachcs could thcn
bc cvaluatcd. Tc major problcm was that thc courscs traincd thc youth lor
scrvicc or manulacturing jobs that did not cxist. Vith no job ocrs lorthcom
ing, thc graduating studcnts cndcd up working at last lood chains or at othcr
lowpaying jobs or cntcring thc tra c. !l cmploycrs had bccn consultcd on
what skills thcy nccdcd in luturc hircs or what vacancics thcy had, thc pro
gram might havc traincd studcnts to ll thosc nccds.
Morc problcmatic, scvcral tcachcrs who workcd in thc program rcportcd
that most ol thc studcnts who signcd up had no intcrcst in lcarning thc skill
sct bcing ocrcdbc it photography, hair and nail carc, accounting, or start
ing a busincss. !nstcad, studcnts camc to class in ordcr to rcccivc thc stipcnd.
nc ol thc tcachcrs in thc program told mc that ol thc : studcnts in his class,
only or paid any attcntion. To ovcrcomc this, a program would havc to put
hundrcds ol young pcoplc lrom lavclas and conjuntos into jobs with a luturc
and publicizc thc succcsscs on tclcvision and in thc communitics. Almost cvcry
young pcrson ! intcrvicwcd, including thosc who wcrc involvcd in thc tra c,
said thcir prclcrcncc was to nd dcccnt work. Tcy can rccognizc usclul skills
training lor rcal jobs, and thcy also know thc carly dcath ratcs lor youth in thc
tra c.
School supplcmcnt programs lor lavcla youth arc prolilcrating.
41
nc proj
cct that ! visitcd in :oo was callcd Projeto Aplauso (Projcct Applausc) altcr
thc cntcrtainmcnt magazinc that initiatcd it. Tc projcct also bcncts lrom thc
support ol scvcral privatc companics. Tis joint vcnturc took ovcr an abandoncd
galpo (warchousc) ncar thc Rodaviaria (thc ccntral city bus tcrminal), to which
young pcoplc lrom + lavclas havc casy acccss. !t providcd high quality training
in arts and cralts, music, dancc, drumming, carpcntry, scwing, and cmbroidcry.
qually important was that thc projcct gavc hundrcds, pcrhaps thousands, ol
youngstcrs an altcrnativc to joining thc tra c.
Tcy had a placc to go, somcthing usclul to do, linkagcs to wcllknown artists
and cntrcprcncurs and a scnsc ol bclonging. Tcrc wcrc pcriodic opcn houscs
and pcrlormanccs to which potcntial cmploycrs, talcnt scouts, govcrnmcnt
and corporatc sponsors, and thc gcncral public wcrc invitcd. As lar as ! know,
Galpao Aplauso is still in cxistcncc, bcing supportcd largcly by contributions
lrom privatc companics.
[ 3 0 4 ] F A V E L A
Locally initiatcd programs within thc lavclas havc also capturcd thc rapt
attcntion ol thc youth. Tc vidco and wcbmastcr training studios in thc lavcla
ol Jacarczinho, thc computcr programs, arts, capocira, and baking programs
run by Roda \iva in thc lavcla ol 8orcl, thc thcatcr group Ns do Morro
in \idigal, thc ccnsus rcscarch group, prcvcstibular prcparation courscs, lan
guagc training, arts/cultural groups run by CASM (Ccntro dc studos c
Aocs Solidrias da Mar, or Mar Solidarity Action and Study Ccntcr) in thc
Complcxo do Mar, and similar onsitc programs arc llcd with cnthusiastic
participants.
! was imprcsscd with thc local cconomic dcvclopmcnt stratcgics bcing
lormcd by a group ol rcsidcnts lrom thc lavcla ol Cidadc dc cus who havc
bccn working lor scvcral ycars in collaboration with committcd prolcssionals,
busincss lcadcrs, and NGs. Tcy arc cngagcd in a scrics ol monthly brcaklast
mcctings thcy call Livrc Pcnsar Social (lrcc social thinking) hcld in thc ccntcr
ol Rio at thc o ccs ol thc Caixa conmica Fcdcral. Tc group sclccts top
ics ol grcatcst importancc to thcm and invitcs spcakcrs to givc prcscntations
at cach mccting lollowcd by qucstions and discussion. Tc lcvcl ol dcbatc at
thc mcctings ! attcndcd is highly inlormcd, livcly, and sophisticatcd. No onc
turns thcm down. Tis is onc vcnuc whcrc anyonc invitcd will bc takcn scri
ously and whcrc idcas arc likcly to bc translatcd into social action. vcry two
wccks community mcctings arc hcld in thc Cidadc dc cus. Tc last timc !
was thcrc, in :oo, thcy had startcd scvcral small incomcgcncration projccts
including drcssmaking, scwing, and conlcctions coopcrativcs, a cralts lair and
a local ca markct. Tcy wcrc planning to purchasc an abandoncd storagc
lacility to convcrt into a small busincss incubator and wcrc sctting up wom
cns support groups. Tcy arc lcarning by doing as thc Chincsc provcrb says:
Tcll mc and ! will lorgct.
Show mc and ! may rcmcmbcr.
!nvolvc mc and ! will undcrstand.
Looking clscwhcrc lor incomc gcncration modcls, a nongovcrnmcntal
approach that has had somc succcss in 8angalorc took thc approach ol con
nccting workcrs in squattcr scttlcmcnts with job nccds in houscholds or busi
ncsscs. LabourNct matchcs cmploycrs and workcrs, through a call ccntcr and
a wcbbascd intcrlacc. Vorkcrs pay a small mcmbcrship lcc lor job placcmcnt,
acccss to training, acccss to hcalth insurancc, and an idcntication card. Tc
idcntity card allows thcm to opcn a bank account and to prcscnt crcdcntials
ol rcliability. Job opcnings arc broadcast to LabourNct mcmbcrs through tcxt
mcssagcs so that intcrcstcd and availablc partics can rcspond instantancously.
8y bcing associatcd with a rccognizcd institution, thcsc workcrs can command
highcr wagcs than thcy would othcrwisc. LabourNct has alrcady rcgistcrcd
closc to ,+oo workcrs and run training workshops lor ovcr oo ol thcm.
42
R E F L E C T I O N S O N P U B L I C P O L I C Y [ 3 0 5 ]
Rio might also adapt thc conccpt ol cntcrprisc zoncs and cmpowcrmcnt
zoncs lrom ngland and thc Unitcd Statcs. Tc idca is to cncouragc busincsscs
to invcst in lowincomc communitics, dcsignatcd cntcrprisc zoncs, that ocr
nancial inccntivcs such as rcduccd taxcs and rclaxcd rcgulations. !n cmpowcr
mcnt zoncs, busincsscs rcccivc cmploymcnt crcdits (or wagc crcdits) lor cach
pcrson thcy hirc lrom dcsignatcd lowincomc communitics. Tcsc programs
havc stimulatcd cconomic growth and cmploymcnt in a targctcd way in dcclin
ing arcas within citics, with a lair dcgrcc ol succcss.
43
!n tcrms ol cmploymcnt onc idca that has workcd wcll clscwhcrc is mas
sivc invcstmcnt in worklorcc cducation, computcr litcracy, and communications
inlrastructurc, including provision ol lrcc wirclcss !ntcrnct acccss in targctcd
arcas ol thc city. Andrc Urani initiatcd a program ol this typccallcd Rio n
Lincwhcn hc was sccrctary ol labor in thc rst administration ol Mayor
Ccsar Maia, but it was not carricd lorward by thc lollowing mayor.
44
!n Junc
:oo, ! attcndcd a mccting ol Rio Como \amos: (Rio, Howrc wc doin:), a
collaboration startcd in :oo among nonprots, busincsscs bascd in Rio, and
intcrcstcd individuals to gcncratc rcliablc data on kcy issucs lacing thc city,
opcn up a discussion about thcsc, and sct goals and bcnchmarks to stimulatc
actionslrom thc ncighborhood to thc city to thc mctropolitan lcvcl. !t sccms
likc a vcry promising initiativc, but timc will tcll.
Rcscarch conductcd by thc McgaCitics Projcct (a transnational non
prot) working in :+ ol thc worlds largcst citics documcntcd many innova
tivc approachcs alrcady undcrway that addrcss cnvironmcntal rcgcncration and
incomc gcncration simultancously. nc ol thcsc was startcd in thc Zabalccn
community (thc traditional trash collcctors) in Cairo. Two major problcmstoo
much garbagc and too lcw jobswcrc turncd into a solution whcn thcy bcgan
scparating out raw matcrials lrom thc garbagc and crcating salcablc products
lrom cach. Tc mctal was madc into cngravcd trays, thc labric into quilts, placc
mats, and acccssorics, thc plastic into sandals and shocs, and thc rubbcr into
hoscs. !nstcad ol rccciving a lcw ccnts pcr ton lrom an intcrmcdiary lor scpa
ratcd garbagc, thc community mcmbcrs rcccivcd thc valuc ol thc cralts work
thcy had donc. Tis cnablcd thcm to movc out ol thc garbagc dump into apart
mcnts, to movc thcir childrcn out ol thc donkcy carts into schools, and to bcgin
to crodc ccnturicsold castc ostracism.
!n thc South 8ronx, in thc days whcn propcrtics wcrc abandoncd and land
was chcap and plcntilul, a community group grcw mushrooms and hcrbs in
a grccnhousc on an abandoncd lot and sold thcir producc to highcnd rcs
taurants. !n Harlcm, thc nvironmcntal 8cncts Program traincd and paid
community rcsidcnts to scrvc as cnvironmcntal monitors ol both privatc and
public lacilitics in thc ncighborhood, using ncs lcvicd lor inlractions to pay
thcir salarics. Somc citics passcd stringcnt air quality rulcs cnlorccd by high
ncs, which crcatcd an inccntivc lor thc crcation ol ncw grccn busincsscs
[ 3 0 6 ] F A V E L A
and thc usc ol lcss polluting vchiclcs, othcr citics passcd ncw homc construc
tion ordinanccs, opcning up markcts lor ncw busincsscs in cvcrything lrom
building matcrials, roong, windows and doors, paints, carpcting, insulation,
and gray watcr rcusc to solar hcating. Tc city ol Curitiba, 8razil, is wcll
known lor its many ccological mcasurcs and public works projccts, including
using rccyclcd spaccs lor ncw busincsscs or cducational and cultural ccntcrs,
giving lrcc bus tickcts to squattcr rcsidcnts lor cach bag ol garbagc thcy
bring down to thc garbagc truck, and crcating a bus systcm, callcd thc sur
lacc mctro, which has gottcn :8 pcrccnt ol thc population out ol thcir cars,
rcduccd air pollution, and providcd hundrcdsil not thousandsol jobs in
thc proccss.
45
Tc grccning ol thc city crcatcs jobs in altcrnativc cncrgy, rclorcstation,
cnvironmcntal clcanup, and grccn industrics. Passing strict cnvironmcntal laws
providcs a markct lor thc manulacturc and salc ol grccn cncrgy, grccn build
ings, and grccn transportation, crcating ncw jobs in thc proccss. A rcccnt articlc,
Grccning thc Ghctto, dcscribcs a nonprot organization bascd in akland,
Calilornia, that is bringing grccn jobs into thc hood and cxpanding thc rcach
ol thc cnvironmcntal movcmcnt.
46
\an Joncs, author ol Te Green Collar Econ-
omy, spcaks ol solar pancls, wind turbincs, and homc wcathcrization programs
bcing both dcploycd and madc in thc ghctto and bringing jobs and prots to
thc ghctto, whilc lowcring thc cost ol living.
47
To my mind, grccn jobs, grccn products, and grccn inlrastructurc arc highly
promising arcas lor public policy and local community action in thc lavclas
ol Rioand inlormal scttlcmcnts clscwhcrc in thc global South. ur cntirc
urban inlrastructurc was invcntcd in a bricl +:ycar pcriod at thc cnd ol thc
ninctccnth ccntury, bclorc wc wcrc awarc ol thc limitations on natural rcsourccs.
No basic changcs havc bccn madc sincc. Tc systcms arc lincar, so lood, watcr,
and cncrgy ow through our citics and into thc wastc strcam. A circular sys
tcm would turn thc output ol cach proccss into thc input lor thc ncxt onc. Tc
conccpt ol rcsourccconscrving citics, which ! rst camc across in thc carly
+os,
48
has bccomc much morc tcchnologically and politically lcasiblc in thc
intcrvcning dccadcs. Tc grcatcst opportunity to crcatc sustainablc systcms will
bc in thosc citics ol thc global South, whosc inlrastructurc is not yct lully in
placc and whosc scrviccs now cxcludc largc portions ol thcir populations. ! can
imaginc lavclas bcing uscd to lcaplrog lrom ninctccnthccntury to twcnty
rst ccntury tcchnologics and to cxpcrimcnt with dicrcnt altcrnativcs. Tc
workcrs who crcatc and install thc ncw systcms would bccomc highly dcsirablc
in thc job markct, as upscalc homc owncrs and apartmcnt buildings dccidcd to
install grccn tcchnologics.
Tc main mcssagc ol job crcation or job prcparation is that only with
thc involvcmcnt ol thc rcsidcnts ol thc inlormal communitics can solutions
cmcrgc. Tcir cxpcricncc, knowlcdgc, and commitmcnt arc csscntial to nding
R E F L E C T I O N S O N P U B L I C P O L I C Y [ 3 0 7 ]
solutions, implcmcnting thcm, and lcarning lrom mistakcs along thc way. Any
public policy without local commitmcnt is highly unlikcly to achicvc succcss.
Drugs, Arms, and Violence
Tc usc ol rccrcational drugs is not intrinsically dicrcnt lrom thc usc ol alco
hol, cigarcttcs, or prcscription mcdications. All socictics throughout history havc
lound somc mcans ol altcring statcs ol consciousncss, cntcring into rcligious
statcs, or cscaping lrom rcality. As ! havc alrcady discusscd, thc problcm lor thc
pcoplc ! work with in Rio is thc violcncc surrounding thc acquisition and salc
ol thcsc drugs. ach ol thc ingrcdicnts in thc toxic stcw ol violcncc in Rio con
tributcs to thc dcath toll and thc lcar that has turncd livcs ol povcrty into livcs ol
tragcdy. Tc victims ol this tragcdy arc disproportionatcly young mcn and boys.
Many ol thcm cntcr thc tra c knowing thcy will not livc to bc :, il that.
Tc lcvcl ol violcncc appcars to risc with thc lcvcl ol youth uncmploymcnt.
!l a conccrtcd cort wcrc madc to opcn up job opportunitics lor thc + to
:ycarolds who arc at high risk, many livcs would bc savcd, and thc conccpt
ol a luturc would havc mcaning lor thcm. Mandatory schooling cnds around
agc + and lcgal work or military scrvicc bcgins only at agc +8, so youth cxpcri
cncc lour ycars ol bcing in bctwccn. At that agc, thc parcnts do not havc a grcat
dcal ol control and thc adolcsccnts do not havc a grcat dcal ol scllcontrol, so
thc situation is volatilc at bcst.
nc ol thc ndings ol this study is that thc young mcn arc willing to work
but not il thc work is dcmcaning, thc conditions dcgrading, and thc pay indc
ccnt. Vhcrcas thcir grandparcnts, original migrants to Rio, wcrc happy to do
any typc ol work lor any lcvcl ol pay, thcir childrcn and thcir childrcns childrcn
cxpcct morc. Tcy arc not gcntc humildc lrom thc roa (countrysidc) but astutc
obscrvcrs ol thc urban sccnc into which thcy wcrc born. Many would rathcr
gamblc with glory and dcath than bc humiliatcd by a boss or paid a wagc ol
hungcr. arning so littlc that thcy havc nothing to show lor it at thc cnd ol
cach month is simply anothcr lorm ol disrcspcct. Tcy gct cnough ol that out
sidc thc workplacc, just by bcing darkskinncd young malcs who livc in lavclas
or conjuntos.
Morcovcr, thc nccd lulllcd by thc drug gangs is not only lor moncy to pur
chasc status symbols and attract thc most dcsirablc young womcn but also lor
thc scnsc ol idcntity and bclonging. For young mcn who arc trcatcd as worth
lcss, il not criminal, to bc valucd as part ol a group is worth a lot. Tat is why
Alro Rcggac has bccn so succcsslul.
Alro Rcggac is a nonprot organization, a social movcmcnt, and an idcology.
!ts mission is to kccp kids out ol thc drug tra c by giving thcm a way to
cxprcss thcmsclvcs through music and dancc. !t providcs a conncction to Alro
8razilian history and culturc, using thcatcr, cclcbrating hcrocs ol rcsistancc,
[ 3 0 8 ] F A V E L A
and tcaching capocira, drumming, songwriting, dancc, and othcr pcrlorming
arts. Mcmbcrs havc acccss to mcdical carc and social workcrs. Alro Rcggac
startcd in thc lavcla ol \igario Gcral, in thc wakc ol a scrics ol dcaths and thc
cstablishmcnt thcrc ol thc Casa dc Paz (Housc ol Pcacc). From thc bcginning,
Alro Rcggac has bccn indcpcndcnt ol and unwilling to bc intimidatcd by thc
compcting drug gangs. Tc lm Favela Rising givcs a compclling portrait ol thc
organizations work and thc drama ol its survival.
49
nc ol thc rcasons Alro Rcggac has not bccn wipcd out is that gang mcmbcrs
thcmsclvcs scc thc bcauty ol it: thcy want an altcrnativc, il not lor thcmsclvcs
thcn lor thcir childrcn. Tcy hcar truth in thc words ol thc Alro Rcggac songs.
Tcy hcar protcst. Tcy hcar thc dctails ol thc injusticcs, and thcy hcar thc
tclling ol thcir own lrustrations and hopcs. Junior, thc loundcr ol thc group,
says Alro Rcggac is about culturc, social rcsponsibility and crcativity. Tcsc
days il you rcally want to changc a situation, you rst havc to changc pcoplcs
scllimagc in that situation.
50
Tc groups intcrnal organization borrows lrom
thc hicrarchy and stringcnt disciplinary codcs that charactcrizc thc drug gangs.
Mcmbcrs bccomc passionatcly committcd, not just to thcir collcagucs and to a
critiquc ol rcality but to acting to changc that rcality.
Modclcd as an altcrnativc to sclling arms and drugs or using cxtortion, Alro
Rcggac sustains itscll through its busincss as a production company. As Junior
cxplains, thcy havc cxccllcnt conncctions and carn moncy by staging shows at
thc biggcst vcnucs with thc biggcst stars. Tcy crcatc jobs in thc lavclas through a
coopcrativc that handlcs thcir product linc, mcrchandizing, rccruiting, markcting,
and publicity.
Tc movcmcnt is so compclling that thcy wcrc hircd by thc city ol 8clo
Horizontc, thc capital ol thc statc ol Minas Gcrais, to bring policcmcn and
lavcla rcsidcnts togcthcr ovcr drumming and singing, so as to opcn a dialoguc
bctwccn thc two groups.
Tc anthropologist and criminologist Luiz duardo Soarcs capturcd thc
csscncc ol thc issuc whcn hc said:
Vc havc to ocr youth at a minimum what thc drug tradc ocrs: matcrial
rcsourccs, ol coursc, but also rccognition, a scnsc ol bclonging and ol valuc. . . . No
onc changcs il hc or shc thinks that thcy arc worth nothing. o wc want to
cxtcrminatc poor youth or intcgratc thcm: . . . Pardon and givc a sccond chancc
also mcans lorgiving oursclvcs and giving oursclvcs a sccond chancc, as a socicty.
Vouldnt it bc grcat lor us to havc a chancc to cscapc lrom thc horriblc guilt ol
having abandoncd thousands ol childrcn to thc latc ol picking up a gun:
51
Tc discussion ol altcrnativcs lor youth is only onc clcmcnt ol violcncc
rcduction. ach ol thc +o ingrcdicnts in thc toxic violcncc stcw would idcally
bc addrcsscd in an intcgratcd manncr. For cxamplc:
R E F L E C T I O N S O N P U B L I C P O L I C Y [ 3 0 9 ]
+. Favclas and conjuntos would bccomc includcd in thc scopc ol statc protcc
tion against violcncc rathcr than rcmaining thc targcts ol statcsanctioncd
violcncc.
:. !ncquality lcvcls would bcgin to shrink with thc jobs and cash translcr
policics.
. !l cocainc wcrc lcgalizcd, rcgulatcd, and taxcd, thc salcs points would no lon
gcr nccd to bc hiddcn within lavclas.
. rug gangs and nctworks would bc wcakcncd by lowcrcd priccs lor cocainc,
by thc climination ol policc, judiciary, and political complicity, and by rctaking
control ol thc prison systcm.
. Tc purchasc ol wcapons would bccomc morc di cult with thc imposition ol
rcgistration rcquircmcnts and high taris on importcd wcapons, disarmamcnt
campaigns, and protocols to track wcapons conscatcd by policc.
6. Policc rclorm would includc policc dcploymcnt to hot zoncs ol violcncc
using gcographic inlormation systcms, improvcd pay and promotion lor
cxcmplary action avcrting violcncc, improvcd communications and cquip
mcnt lor rccord kccping, accountability, and monitoring, conict mcdia
tion training, and zcro tolcrancc lor policc brutality, with a hotlinc lor
anonymous rcporting.
. !mplcmcntation ol thc rulc ol law would takc placc dccisivcly, transparcntly,
and cqually lor all.
8. Mcmbcrs ol militias, who arc all cmploycd public scrvants, would bc subjcct
to loss ol job or pcnsion il lound participating in cxtortion or cxtrajudicial usc
ol lcthal violcncc.
. Tc cntirc city would mobilizc in solidarity with thc lavclas to dcmand jobs
and justicc, in thc samc way thc Rights Now! movcmcnt did at thc cnd ol
thc dictatorship.
+o. A mass mcdia campaign would bc launchcd, distinguishing bctwccn bandi
dos and lavcla rcsidcnts and rcporting on studics dcmonstrating that hard
linc policc brutality and crackdowns rcducc rathcr than incrcasc public
salcty. ! can imaginc a Carioca ol thc Vcck ncwspapcr column and tclcvi
sion spot highlighting pcoplc lrom thc communitics, city govcrnmcnt, statc
policc, busincsscs, or NGs whosc idcas or actions havc hclpcd makc Rio a
morc pcacclul city.
bviously, thcsc idcas arc casicr writtcn about than accomplishcd. Tc list sim
ply undcrscorcs thc dcpth and brcadth ol thc violcncc problcm and thc lact that
thc primary drug consumcrs arc not lavcla rcsidcnts.
52
nc issuc lrcqucntly raiscd by lavcla rcsidcnts is thc culpability ol drug uscrs.
Tcrc is no war on povcrty in Rio, it is a war on thc poor. Tc lact is that thc
poor arc killcd with impunity whilc thc rich playboys sucr no conscqucnccs
lrom buying and using thc cocainc that is sold by a lraction ol thc community
[ 3 1 0 ] F A V E L A
rcsidcnts. !l Rios wcalthy rcsidcnts wcrc rcally conccrncd about thcir city and
thcir salcty thcy could stop buying and using cocainc rathcr than continuing to
blamc thc victims. Rio has thc highcst cocainc consumption ol any city in thc
world. !l thc local markcts dricd up, thc city would bccomc a lot salcr.
Citizenship and the Right to the City
Pcrsonal lcgitimacy, not land or housing lcgitimacy, is what is at stakc in thc city.
As long as lavcla rcsidcnts arc pcrccivcd as marginals, no urbanistic upgrading,
skills training, or policc rclorm will succccd in intcgrating thc morro and thc
aslalto, thc lavcla and thc bairro. Tcrc arc no tcstcd policics lor how to cxtcnd
pcrsonhood to includc thc poor. Tc passport to urban citizcnship should bc a
right, not a privilcgc ol thc rich, but that is not yct thc casc.
nc ol thc ndings ol my study is thc importancc ol documcnts and docu
mcntation in moving lrom invisibility to visibility. Many morc o cial docu
mcnts arc nccdcd to bc a participating mcmbcr ol socicty in 8razil than in thc
Unitcd Statcs. nc must havc a birth ccrticatc, a cadastro dc pcssoa lsica,
cartcira dc idcntidadc (idcntication card), a marriagc liccnsc, a cartcira dc
trabalho, prclcrably assinada (signcd by your cmploycr in a lormalscctor job),
a votcr rcgistration card, a military scrvicc card, and paid bills documcnting
posscssion ol a xcd rcsidcncc.
ur rcscarch projcct crcatcd an indcx counting cach documcnt as onc point
and lound a strong rclationship bctwccn how wcll cach pcrson was docu
mcntcd and thcir sociocconomic status (and incomc). Tis nding suggcsts
that it would bc usclul to cxpand thc 8alcao dc ircitos program that \iva
Rio startcd in Rocinha, which hclps pcoplc obtain rcquircd documcnts within
thcir own community. !t took mc wccks to gct a cadastro dc pcssoa lsicacvcn
with lots ol prolcssional hclp and a bank account in 8razil, most wcalthy pcoplc
havc thcsc and hirc a dispachante (a prolcssional who is paid to takc carc ol thc
burcaucratic rcd tapc involvcd in any o cial transaction) to wait in thc lincs lor
thcm il thcy nccd to makc somc adjustmcnt.
Tcrc arc yct othcr dctcrrcnts to poor pcoplc obtaining documcntation. nc
woman ! mct said shc had not takcn hcr son to bc rcgistcrcd bccausc shc was
ashamcd ol thcir clothcsthcy did not havc thc kind ol clothcs nccdcd to
sair na rua (go out into thc strcct ol thc lormal city). thcrs say thcy lack thc
bus larc.
Tc issuc ol documcntation would bc a powcrlul and managcablc placc to
start. Making it casicr lor lavcla rcsidcnts, thc urban poor in gcncral, and avcr
agc 8razilian citizcns to obtain thc documcnts ncccssary to bc trcatcd as lull
citizcns ol thc polity would go a long way toward allcviating ccrtain lorms ol
cxclusion. Pcoplc nccd an addrcss and doortodoor mail dclivcry, and strccts
in lavclas nccd to bc namcd and thc buildings numbcrcd. Such rcsidcntial
R E F L E C T I O N S O N P U B L I C P O L I C Y [ 3 1 1 ]
idcntication mcasurcs havc bccn attcmptcd, but thc tra c has opposcd thcm
as thcy think it makcs it casicr lor policc to locatc thcm. Tcrc is an cpisodc ol
City of Men that shows this issuc brilliantly.
My rcscarch rcvcalcd that thc rcturn to dcmocracy in 8razil brought ncithcr
inclusion ol thc poor nor bargaining powcr to poor communitics. Tc incursion
ol thc drug tra c into thc lavclas only madc mattcrs worsc, but thc lundamcn
tal problcm was that thc dcmocratic transition was, to usc Holstons phrasc,
incomplctc. Comlortablc, worn pattcrns ol corruption, cronyism, and clicn
tclism rcsurlaccd oncc thc rigid controls ol thc dictatorship wcrc rclaxcd and
party politics rcturncd. Tc only pathway to rccapturing thc city ol Rio lrom
thc violcncc and chaos causcd by thc drug tra c is to complctc thc dcmocratic
transition with transparcncy, cquality undcr thc law, and accountability lor law
lcssncss. As long as corruption dominatcs dccisions, thcrc can bc no laith in thc
lairncss ol govcrnmcnt, and that spacc will bc llcd by somc altcrnatc powcr
systcm lor rcsolving disputcs and maintaining ordcr.
Tc right to thc city as a collcctivc right dcrivcs lrom thc conccpt ol thc
Frcnch sociologist Hcnri Lclcbvrc. Tc idca incorporatcs all ol thc individual
rights in thc Univcrsal cclaration ol Human Rights passcd 6o ycars ago and
adds a spatial dimcnsion.
!n 8razil, thc movcmcnt lor thc right to thc city bcgan as a scrics ol local
discussions lcading up to thc dralting ol thc statuto da Cidadc (City Statutc)
lor inclusion in thc ncw +88 Constitution.
53
For two ycars lcading up to thc
Constitutional Convcntion, thcrc wcrc daily dcmonstrations in 8raslia draw
ing togcthcr whichcvcr group ol citizcns and organizations had a stakc in thc
chaptcr ol thc proposcd statuto da Cidadc bcing dcbatcd on that day. A Rio
bascd NG, along with many othcr NGs around thc country, playcd a coor
dinating rolc in dralting and circulating thc articlcs ol thc proposcd statuto
da Cidadc.
Among thc proposcd provisions ol thc statuto da Cidadc wcrc thc law ol
advcrsc posscssion in urban arcas (lei de usucapiao urbano), guarantccing col
lcctivc rights to thc rcgularization ol inlormal scttlcmcnts, thc stipulation that
cach city ol ovcr :o,ooo must prcparc a plano diretor (mastcr plan) with city
rcsidcnts lull participation, and thc crcation ol a dcmocratic administration lor
cach city ol that sizc, through community policy councils, stccring committccs,
public dcbatcs and consultations, conlcrcnccs about subjccts ol urban intcrcst,
popular initiativcs lor proposcd laws, plans, and urban dcvclopmcnt projccts.
Tc statuto da Cidadcs proposcd provisions also includc protcctions ol
human rights, propcrty rights, thc right to pcrsonal salcty, housing rights,
hcalth rights, cducational rights, thc right to carn an honcst living in dcccnt
working conditions lor a dcccnt wagc, thc right to a sccrct ballot, thc right to a
voicc in dccisions accting oncs lilc, and thc rights to lrccdom ol movcmcnt,
spccch, and asscmbly.
[ 3 1 2 ] F A V E L A
A ncwly crcatcd Ministry ol Citics, lormcd undcr Lulas Labor Party prcsi
dcncy, organizcd and lundcd asscmblics in largc citics around thc country to
discuss thc statuto da Cidadc. Altcr scvcral major asscmblics, culminating in
thc last quartcr ol :oo8, thc principlcs, implications, and action plans wcrc madc
clcar and a broad conscnsus rcachcd. Tc idca lor cstablishing programs similar
to statuto da Cidadc has now caught onand bccn lurthcr claboratcdin
citics in South Alrica and clscwhcrc.
54
Howcvcr, according to onc ol thc original organizcrs ol this proccss, thc out
comc ol all thc participatory ccrvcsccncc has bccn disappointing. Shc said
that in thc past ycar or so, many ol thosc most closcly involvcd concludcd that
thc proccss had lcd to an institutionalization ol social movcmcnts, turning
thcm into an auxiliary ol progrcssivc govcrnmcnt and that not many concrctc
changcs had rcsultcd lrom thc mastcr plans that cmcrgcd lrom all ol thc public
mcctings.
55
Tis was a disappointmcnt to mc but not a surprisc. ! had alrcady sccn such
proccsscs comc to thc samc cnds in Madrid, Copcnhagcn, London, Ncw York,
and many othcr placcs.
56
Many ol thc original supportcrs ol this opcn proccss concludcd that its rcla
tivc lack ol succcss was duc to thc way capitalism is structurcd around urban
rcal cstatc, combincd with thc 8razilian hcritagc ol clicntclism and patrimonial
privilcgc. Tcsc lorccs cndcd up coopting thc lcadcrship ol thc social movc
mcnts and rca rming thc uncqual city. Proponcnts ol statuto da Cidadc scc
thc issucs ol land usc and propcrty owncrship as thc corc ol thc rcsistancc to
changc. nc pcrson ! spokc with said that thc statuto da Cidadc scrvcd to
markct thc 8razilian casc in tcrms ol thc rhctorical discoursc, but altcr cight
ycars it was ncvcr rcally put into practicc or conncctcd with onthcground
rcality. Tis was truc in all thc citics ol 8razil without cxccption. n its o cial
wcbsitc, thc statuto da Cidadc still sounds wondcrlul, but thcrc is no mcntion
ol outcomcs bcyond thc initial scrics ol mcctings that wcrc hcld. ! wondcr what
lcsson thosc who participatcd in thosc mcctings, pcrhaps acting as citizcns lor
thc rst timc, will takc away lrom this. nc hopcs it will bc a dctcrmination to
crcatc a strongcr indcpcndcnt powcr basc, but ! lcar it may lcad to rcluctancc to
cngagc in lurthcr participatory cxcrciscs.
nc thing that would hclp grcatly to strcngthcn civil socicty in 8razil
would bc changing thc tax laws to makc individual and corporatc donations
to social organizations taxcxcmpt, as thcy arc now lor artistic organizations.
Tc lack ol such a provision is a lcgacy lrom thc dictatorship that hangs on in
thc lcgal structurc ol thc nation. !mmcdiatcly altcr thc cnd ol thc dictatorship,
thcrc was a blossoming ol community organizations, labor unions, Catholic
basc communitics, and Communist Party cclls within thc lavclas, with links to
NGs, unions, and political partics in thc grcatcr city. Tis momcnt ol awarc
ncss and activity in civil socicty only lastcd lor a lcw ycars bclorc it bcgan to
R E F L E C T I O N S O N P U B L I C P O L I C Y [ 3 1 3 ]
dissolvc and lragmcnt undcr thc prcssurcs ol partisan compctition, cooptation,
and thc takcovcr ol community associations and Rcsidcnts Associations by thc
tra c. !l a mcchanism lor lunding nonprot agcncics similar to that in thc
Unitcd Statcs could bc cstablishcd, thcrc would bc a bcttcr chancc ol building
powcr, building community, and building pcoplc.
57
vvvivc:ioxs
Counterproductive Incentives
My rcscarch has shown that thc lailurc to implcmcnt promising idcas is duc
not lack ol lunding, lack ol tcchnical capacity, or lack ol knowhow but to
counterproductive incentive structures that sabotagc lorward movcmcnt. Tcrc
arc no inccntivcs lor collaboration across scctors, classcs, and lcvcls ol gov
crnmcnt or cvcn lor powcr holdcrs mcrcly to listcn to thc voiccs ol thc poor.
lcctcd o cials bcnct lrom shorttcrm, visiblc rcsults that hclp thcm gct
rcclcctcd, cvcn though most problcms nccd longtcrm solutions. Vhilc con
tinuity is csscntial lor succcsslul policy outcomcs, thc tcndcncy is to dismiss
anything not invcntcd hcrc and start ovcr. 8usincss rcwards risk and invcsts
in rcscarch and dcvclopmcnt in thc scarch lor innovation, but in govcrnmcnt
it is salcr to continuc with an inccctivc policy than to try an innovation that
might lail.
58
Likcwisc, thc intcrnational dcvclopmcnt agcncics, oltcn thc trcndscttcrs as
wcll as lundcrs ol povcrtyallcviation policics, promotc sta mcmbcrs lor push
ing as much moncy out thc door as quickly as possiblc, rathcr than cxpcrimcnt
ing with innovativc, sitcspccic, and culturally appropriatc solutions that arc
morc likcly to mcct thc nccds ol a local population. Participation may slow
down thc proccss in thc carly stagcs, but it is thc only way to clicit thc intcl
ligcncc ol thosc who arc cxpcricncing thc problcm so as to cnablc its succcss in
thc long run.
v~ucnx v~:iiv cvx:vv ix ios ~xcvivs
nc cxamplc at thc grassroots lcvcl rcvcals how changing thc inccntivcs changcd
thc rcality. Tc San Fcrnando \allcy in Los Angclcs is a lowincomc arca whosc
population is composcd largcly ol immigrants lrom Ccntral Amcrica. Tc local
school rankcd among thc worst in Calilornia. vcry day, thc childrcn camc homc
to thcir parcnts with pink slips ol papcr lrom thcir tcachcrs, listing inlractions or
lailurcs. Many ol thc parcnts did not spcak nglish, and nonc kncw what to do
with thcir childrcn cxccpt to punish thcm, which sccmcd only to makc mattcrs
worsc. Yoland Trcvino, onc ol thc mothcrs, camc up with thc idca ol giving thc
childrcn ycllow slips cvcry timc thcy did somcthing right. Tc school principal
and tcachcrs agrccd to try it. ach timc a child got to school on timc, or arrivcd
[ 3 1 4 ] F A V E L A
in a clcan school unilorm, or passcd a quiz, anothcr ycllow slip was signcd and
scnt homc.
Tc ncxt stcp was to opcn a small cantccn in thc school whcrc studcnts could
bring in thcir ycllow slips and convcrt thcm into points. cpcnding on thc num
bcr ol points thcy carncd, thcy could gct anything lrom a pcncil or notcbook to a
backpack or transistor radio. Tc parcnts and tcachcrs contributcd thc moncy, and
thcy crcatcd thc \aughn Family Ccntcr. ach day, a dicrcnt group ol mothcrs
voluntccrcd to bring lunch to school, so thc tcachcrs and parcnts had a chancc
to talk togcthcr. Tcrc wcrc many pcoplc with skills who wcrc uncmploycd and
many who could not aord to takc thcir childrcn to a dcntist or doctor, so thcy
dccidcd to sct up a scrvicc and skills cxchangc.
ach community mcmbcr wrotc down all thc things thcy could tcach or pro
vidcscwing, cooking, Spanish languagc lcssons, babysitting, yard work, plumb
ing, construction, and so on. Tcy also listcd what thcy nccdcd. A bartcr cconomy
was cstablishcd in thc cntirc community. A local currcncy that could bc carncd
and spcnt was crcatcd. Tc cntirc rcgion was includcd and bcgan to mobilizc
around thc schoolwhich bccamc a chartcr school. Tc achicvcmcnt rccords vc
ycars latcr wcrc among thc highcst in thc Statc ol Calilornia.
59
Nonreformist Reforms
Short ol improbablc sccnarios, thcrc arc any intcrmcdiatc corts that might bc
undcrtakcn to improvc thc conditions ol lilc in thc morro andlor that mat
tcrin thc aslalto: !n short, thc goal is to improvc what might bc callcd thc
rcal city, thc onc that docs not rcspcct thcorctical boundarics and is produccd
by thc cvcrshilting commingling ol lormality and inlormality. Vould it bc
possiblc to idcntily systcmchallcnging innovationsinitiativcs that rcdcnc
problcms and solutions, contcst thc rulcs ol thc gamc, and includc dicrcnt
playcrs at thc tablc:
60
Tc past hall ccntury ol lailcd attcmpts to rcducc urban
povcrty and rcsolvc thc issuc ol squattcr scttlcmcnts is tcstimony to thc nccd
lor ncw ways ol thinking. !n considcring this, ! think ol Andrc Gorzs conccpt
ol nonrclormist or translormational rclorms, thosc that altcr thc logic ol thc
systcm and changc thc balancc ol powcr.
Tc knowlcdgc and wisdom ol thc marginalizcd population arc csscntial to
succcsslul problcm solving and policymaking. !nclusion ol thc inlormal scc
tor will rclcasc valuablc rcsourccs lor production, consumption, and citizcnship
that thc city nccds to thrivc. vcn thc bcst policics and programs will rcquirc
popular as wcll as political mobilization and will ultimatcly dcpcnd on thc
dcgrcc ol willingncss to considcr thc undcrlying issucs ol rcsourcc allocation
and rcdistribution.
cspitc thc many policy and programmatic corts discusscd in this chaptcr,
thc urban qucstion rcmains unrcsolvcd.
61
Tc lailurc to crcatc a sharcd
R E F L E C T I O N S O N P U B L I C P O L I C Y [ 3 1 5 ]
commitmcnt to thc city as a placc cxisting lor allto acccpt socially and politi
cally thc cxisting cconomic intcgration ol thc city ol thc rich and thc city ol thc
poorcontinucs to disrupt thc pcacc, dcspoil thc cnvironmcnt, limit cconomic
growth, and dcstroy thc potcntial lor convivial urban lilc.
Sharing Approaches Tat Work
Tc city ol Rio, likc all thc mcgacitics in which ! havc workcd, is lull ol innova
tivc solutions to problcms ol incomc gcncration, housing, and thc cnvironmcnt,
but no onc knows about thcsc bccausc thcy mostly occur on a small scalc and
arc not publicizcd. Tc idca would bc to idcntily thcsc and build on thcm by
cithcr scaling up into public policy or rcaching out lrom community to com
munity. !l thc poor madc common causc with thc middlc class and rich against
thc violcncc and drug tra c, thcy would havc thc powcr to acct public policy.
Vc havc lound it vcry powcrlul in thc McgaCitics Projcct to sharc innovativc
solutions that havc provcn succcsslul in othcr communitics, citics, and coun
trics and to usc thc prcstigc ol intcrnational cxchangc to bring in ncw idcas
without political opposition. A survcy ol thc lorcmost urban lcadcrs in Rio,
Mcxico City, Ncw clhi, Lagos, London, and Ncw York conductcd by thc
McgaCitics Projcct with Ropcr Starch !ntcrnational showcd that 6 pcrccnt
ol lcadcrs (in govcrnmcnt, busincss, labor unions, nonprots, communitybascd
organizations, acadcmia, and thc mcdia) saw thc urban problcms thcy laccd as
similar to thosc ol othcr mcgacitics, pcrccnt said it would bc bcnccial to
sharc inlormation about problcm solving with thcsc citics, ++ pcrccnt consid
crcd thcmsclvcs knowlcdgcablc about solutions clscwhcrc.
62
Tcy oltcn cndcd
up contracting with costly consultants or cxpcrts who ocrcd prclormulatcd
solutions rathcr than lcarning about much morc practical initiativcs that had
provcn succcsslul in similar placcs.
Tc bottom linc is a rcdcncd social contract bascd on thc commitmcnt to
a just city, a divcrsc city in which rights apply to all. Tc population ol Rio dc
Janciros lormal city will havc to join lorccs with with thc population ol thc
lavclas in ordcr to crcatc thc lcvcragc lor translorming thc policics and prac
ticcs that arc part ol thc problcm. Tc mindsct and valucs ol thc lormal city
may havc to catch up with thc ncw rcality ol thc rcal city. Us and thcm may
havc to cvolvc into a largcr wc. Vithout a doubt, widcsprcad popular support,
social mobilization, and political will arc nccdcd to lorgc a unicd city out ol
a dividcd city.
t wel ve
The I mportance of Being Gente
Janicc, whcn ! rst mct you ! thought that il ! marricd wcll, il my wilc
and ! both workcd hard all ol our livcs, il wc had only two childrcn, and
il wc scnt thcm to privatc schools and kcpt working altcr rctircmcnt, that
! would bccomc gcntc. 8ut now, o ycars latcr, altcr doing all ol that, ! am
lightycars away.
xi i:ox ( cu~vovv, +)
Tc marginalization ol Rios poor is so cxtrcmc as to cxcludc thcm lrom thc
catcgory ol pcrsonhood. Vhat camc up ovcr and ovcr again in my convcrsa
tions and intcrvicws was thc dcsirc to bc or to bccomc gcntc (litcrally, to bc or
to bccomc a pcrson).
1
Tc tcrm gente mcans somcbodya person, a human,
and to bc gcntc is to bc accordcd thc dignity and rcspcct that is automatically
conlcrrcd on thc wc ol thc human community and dcnicd to thc thcy.
2
Tc
tcrm points to thc circumstanccs in which thc poor simply do not cxist in thc
mcntal map ol thc wcalthy. Much likc Ralph llisons invisiblc man, lavcla
rcsidcnts go through lilc in scarch ol rcspcct, thc phrasc Philippc 8ourgois
uscd so aptly uscd as thc titlc ol his book on sclling crack in a Ncw York City
ghctto.
3
Human rights may not apply hcrc.
Tc unlikcly mctamorphosis lrom a nobody into a somcbody is thc
human drama that crcatcs thc compclling appcal ol thc popular !ndian movic
Slumdog Millionaire. Tc lm, which won scvcral scars in :oo, tclls thc story
ol a homclcss chai wallah (tca scrvcr) who is lorccd as a child to cc a Mum
bai shantytown whcn his mothcr is killcd by rcligious zcalots. !n thc coursc ol
various advcnturcs in his strugglc lor survival, hc lcarns somc odd lacts that
cnablc him to win succcssivc rounds and nally thc top prizc ol thc !ndian
I M P O R T A N C E O F B E I N G G E N T E [ 3 1 7 ]
vicuvv +:. + Tc opcn plaza at thc cntrancc to Favcla \idigal, on Avcndia Nicmcycr,
showing thc bright turquoisc ccramic tilcs inscribcd with passagcs lrom thc cclaration
ol Human Rights. (Crcatcd by thc childrcn in thc community as a public art projcct with
Franois Shcin)
[ 3 1 8 ] F A V E L A
vcrsion ol thc tclcvision quiz show Who Wants to be a Millionaire? Tc shows
host bcgins by mocking and humiliating him, progrcsscs to unlairly tricking
him, and nally has him arrcstcd and torturcd, in thc bclicl that hc must bc
chcating, sincc such a lowlilc could not possibly havc as much knowlcdgc as
this chai wallah appcars to havc. cspitc thc 8ollywood cnding, with thc boy
bccoming a millionairc hcro and gctting thc bcautilul girl, thcrc wcrc protcsts
in !ndia ovcr slum voycurism and ovcr thc tcrm slumdog. Clcarly, thc lms
glamorization ol its hcros intclligcncc, tcnacity, crcativity, and dclity to his
truc lovc docs not compcnsatc lor thc usc ol such a dcrogatory tcrma tcrm
that dcnics pcrsonhood.
4
! rst hcard thc word gente uscd to mcan a pcrson in +6 whilc living
in Arcmbcpc, thc shing villagc in 8ahia that ! mcntion in thc prclacc. Tc
custom lor announcing oncscll whcn visiting anothcrs homc was to clap your
hands loudly at thc lront door and ycll out Tcm gcntc: (Anyonc homc:).
Vhat caught my attcntion was that whcn thc woman ol thc housc camc to
thc door, thc qucstion was rcpcatcd!s anyonc homc: Shc said hcr husband
was out on thc saveiro (shing boat). Shc was homc, but shc did not count as
anyonc.
Tc country lolk who migratcd to thc city wcrc not much conccrncd about
thcir status. Tcy wcrc proud ol having survivcd thc journcy, nding a placc
to livc, and bcing ablc to support thcmsclvcs and thcir lamilics. 8ut living in
a lavcla was su cicnt to put thcm in that no onc catcgory. ! hcard thc tcrm
uscd again whcn ! witncsscd thousands ol pcoplc unwillingly takcn lrom thcir
homcs and thrust into garbagc trucks lor transport to thc conjuntos. Rcmoval
was an assault on thcir pcrsonhood. All wc wantcd was to bc trcatcd likc gcntc,
thcy said.
8cing trcatcd as lcss than human in cvcryday transactions at banks, govcrnmcnt
agcncics, and public o ccs dccpcns and rcinlorccs thc wc/thcy dividc inhcrcnt in
thc myths ol marginality. Tc nonpcrson status was scalcd during thc military
dictatorship and in its altcrmath by thc statcs lailurc to protcct lavcla rcsidcnts
lrom lcthal violcncc committcd by thc tra c and policc. Tis bccamc a vicious
cyclc, rcproducing thc bchavior ol dclcrcncc and sclldcprccation, which in turn
rcinlorccd thc mark ol nonpcrsonhood. As thc anthropologist criminologist
Soarcs has put it, to movc lorward, |wc| nccd to rccognizc that lavcla rcsidcnts
arc humans whosc cntirc livcs havc bccn livcd in tcrror. Tcy havc ncvcr cxpc
ricnccd what it lccls likc to bc a lullcdgcd citizcn and havc ncvcr had thcir
pcrsonhood a rmcd.
5
Tc mcaning ol gcntc is uid. Vithin thc lavcla, pcoplc oltcn usc thc word
to mcan wc or us, as in thc statcmcnt A gcntc tcm mcdo dc sair (Vc arc
alraid to go out). r thcy might usc thc phrasc gcntc boa to indicatc a good,
honcst pcrsonto vouch lor somconc. !l thcy say Janicc gcntc boa, thcy
mcan Shc is okay, shc is a good pcrson, onc ol us.
I M P O R T A N C E O F B E I N G G E N T E [ 3 1 9 ]
Vithin thc lavcla, cvcryonc has pcrsonhood. Tc dividc is bctwccn hon
cst, hardworking lamily lolks and malandros or bandidos. Tc Collins English-
Portuguese, Portugus-Ingls Dictionary dcncs malandro as a doublcdcaling,
cunning, strcctwisc crook or simply a layabout. Bandido mcans bandit. !t
is thc way pcoplc in thc communitics rclcr to thc drug dcalcrsbandidos, or
marginals. Howcvcr bad thc malandros and bandidos may bc, thc pcoplc in thc
lavclas still acccpt thcm as pcoplc.
8cing gcntc is not a static statc. !t is a rclational condition that may vary lor
a singlc pcrson ovcr timc or according to thc cyc ol thc bcholdcr. For somconc
born to wcalth, it is ncvcr a qucstion. !t is part ol thc urban condition ol thc
undcrclass, a way thc a ucnt distancc thcmsclvcs lrom thosc lcss lortunatc and
rcinlorcc thcir scnsc ol bcing abovc thc rulcs.
Tis is cncapsulatcd in thc oltcnuscd phrasc ol intimidation, \occ sabc com
qucn cst lalando: (o you know with whom you arc spcaking:)
6
Tc implicd
thrcat is that any pcrson ol mcans has thc political clout to risc abovc thc law,
and will makc troublc lor thc lowly burcaucrat bcing addrcsscd il hc or shc is
unwilling to bcnd thc rulcs or look thc othcr way in dclcrcncc to thc supcrior
status ol thc spcakcr.
Tc cascs that lollow illustratc a rangc ol circumstanccs along thc contin
uum ol bcing gcntc. Z Cabos story illustratcs thc impcrmancncc ol bccoming
gcntc and how casy it is to losc it. ona Ritas story shows that moncy is not
cnough il you do not havc thc rcquisitc appcarancc. Claudia has thc appcarancc
but is only a snap dccision away lrom losing all. Scbastiao had a good run at it,
but now it is too latcas hc says, thc timc has passcd.
zv c~no: :nv i :vvv:~xvxcv ov nvi xc cvx:v
Z Cabo actcd likc and was trcatcd likc gcntc in thc military and as thc rcspcctcd
clcctcd lcadcr ol Nova 8raslia in its carly days. Hc tclls with pridc ol walking
into city govcrnmcnt o ccs and bcing rccognizcd. Hc was not madc to sit in
thc waiting room ol thc humblc pctitioncrs, who would bc rcccivcd in ordcr
ol appcarancc until thc cnd ol thc day and thcn scnt on thcir way. \crcadorcs
callcd him Sir. Tcy kncw hc could casily bring :o busloads ol rcsidcnts to
town hall and causc a scandal il thcrc wcrc any wrongdoing or mistrcatmcnt.
Zs dignity ol bcaring and dctailcd knowlcdgc ol cvcry aspcct ol community
nccds and rcsourccs madc him his communitys dcnitivc sourcc ol intclligcncc
and authority.
Yct today, having bccn drivcn out ol Nova 8raslia by thc drug gangs, hc is
living in an isolatcd, hallnishcd housc in a placc whcrc no onc knows him.
No onc knows what hc achicvcd. Hc is ncarly brokc altcr paying his sons and
his own mcdical bills and having purchascd or built homcs lor two grandsons,
onc son, and onc daughtcr lrom his rst marriagc and two daughtcrs (plus thcir
[ 3 2 0 ] F A V E L A
young childrcn) lrom his sccond marriagc. His granddaughtcr Patricia, thc onc
lamily mcmbcr who is complctcly gcntc, is conccrncd about his hcalth but will
ncithcr visit him in thc North Zonc nor invitc him to visit hcr in Copacabana.
Tc gull is widc. ! imaginc that shc would prclcr not to cxposc hcr lavcla roots.
!n hcr cycs, hcr grandlathcr is gcntlc and gcncrous but not gcntc.
uox~ vi :~:oxvv i s xo: vxoucn
!t also takcs morc than moncy to bc sccn as gcntc. Rita owns two storcs along
thc main road in Nova 8raslia, scvcral trucks, a nicc housc in a middlcclass
ncighborhood, a bcach housc, and at lcast onc car. Yct thc clcrks in a ccntral Rio
cycglasscs storc would not scrvc hcr bccausc ol hcr appcarancc. Hcr clothing,
shocs, hairstylc, and dcmcanor signalcd that shc was lrom thc North Zonc and
thcrclorc unlikcly to bc ablc to aord any ol thc lramcs. Shc had to dcmand to
scc thc glasscs and opcn hcr pursc and show about US8+,ooo in cash in ordcr
to gct thc salcsgirl to unlock thc showcasc. Shc has a lot morc moncy than
most univcrsity prolcssors but is not gcntc, nor is hcr son. Pcrhaps hcr grand
daughtcr, who is studying nursing whilc hclping hcr lathcr in thc shoc storc,
will bccomc gcntcit is not yct clcar.
Cariocas can instantancously dctcrminc who is gcntc and who is not. Tis
idcntication ol othcrncss is bascd on tacitly agrccdon asscssmcnts ol wcalth,
occupation, cducation, typc ol community, and ovcrall appcarancc. All ol thcsc
visual cucs combinc into what 8razilians call a pinta da pessoa: thc way thc pcr
son comcs across, or as Goman put it, thcir prcscntation ol scll in cvcryday
lilc.
7
As ! discusscd in chaptcr 6, spccch, body languagc, bcaring, manncr ol
drcss, skin color, and scllassurancc arc all social signals scparating thc outcast
lrom thc cntitlcd. 8ut somctimcs thcy arc mislcading.
ci~uui ~: iooxi xc ii xv cvx:v i s xo: vxoucn
Claudia is a wclldrcsscd, blondc, osomcthing salcspcrson in thc Fashion
Mall, thc clcgant shopping mall in Sao Conrado, whcrc somc ol Rios richcst
lamilics livc. To scc hcr, onc would think shc is gcntc. n thc basis ol hcr man
ncr ol spccch, drcss, and ovcrall appcarancchcr subtly highlightcd hair, pol
ishcd nails and lashionablc clothing and acccssoricsshc has thc look ol gcntc.
Yct what is not visiblc is thc nc linc that scparatcs hcr lrom nonpcrsonhood.
Shc docs not havc a lormal work contract, with thc bcncts and workcr protcc
tion that a contract implics. Hcr wagcs arc low (and go primarily to kccping up
appcaranccs), hcr hours arc long, and hcr job is contingcnt on thc whim ol thc
storc owncr. !l shc gcts sick and misscs work, shc lorlcits pay, whilc racking up
mcdical costs, or il hcr bus brcaks down (or is attackcda common occurrcncc
on thc North Zonc lincs) shc may bc rcd lor missing work or lor arriving latc
I M P O R T A N C E O F B E I N G G E N T E [ 3 2 1 ]
morc than thrcc timcs. Shc livcs in an apartmcnt building right in lront ol a
lavcla, and although it is lcgal, it is considcrcd part ol thc lavcla. !l shc loscs
hcr job, shc wont bc ablc to pay hcr rcnt, will losc hcr apartmcnt, and will havc
nowhcrc to go. Tis happcncd to a lricnd ol minc who was robbcd just as shc
had withdrawn hcr rcnt moncy lrom thc bank. Shc was ncvcr ablc to makc it
up. Tcrc is no lccway.
!l having local status, asscts, livclihood, and thc rcquisitc appcarancc is not
cnough to cnsurc bcing a pcrson, ncithcr is cxiting thc lavcla and moving into
a conjunto or lcgal ncighborhood. Tania Maria, a social workcr lor thc Rio city
govcrnmcnt is a wcllcducatcd prolcssional who convcys thc dcmcanor ol and is
considcrcd gcntc rcgardlcss ol hcr govcrnmcnt salary (which is low), ol what shc
is wcaring, or ol hcr brown skin color. 8ut Z Cabos daughtcr, Vandclina, who
was a school librarian and livcs in Santa Cruz, in a condominium ol dctachcd
houscs lor govcrnmcnt cmployccs, spcaks and acts not unlikc thc way shc did
whcn shc was growing up in Nova 8raslia and is oltcn not trcatcd as gcntc.
svn~s:i ~o: :oo i~:v :o nvco:v cvx:v
Scbastiao anicl, lrom Nova 8raslia, was a community lcadcr in thc +6os and
+os. Hc had a good job as a truck drivcr lor a construction company and rosc
to bccomc thc dispatchcr lor all building matcrials. Hc movcd to Nova 8raslia
in + and within a dccadc was dcscribcd as king ol thc community.
Hc lought with local govcrnmcnts on bchall ol poor pcoplc, holding clcctcd
o cials to thcir campaign promiscs.
Currcntly, hc is living in abjcct povcrty ncxt door to his lormcr homc in
Nova 8raslia. Hc is supporting a sick wilc and scvcn othcr lamily mcmbcrs
on his pcnsion and a monthly baskct ol staplcs hc gcts lrom thc church. Vhcn
askcd thc biggcst problcm hc is lacing at prcscnt, hc answcrcd, Gctting milk
lor my grandson. Vhcn ! askcd him what should bc donc to hclp thc poor, hc
rcspondcd that whcncvcr hc cncountcrs anyonc in nccd hc givcs him whatcvcr
moncy hc can.
Tc worst aspcct ol his lilc, hc said, is that hc can no longcr work and has to
ask lor things. Hc is ncarly blind and vcry hard ol hcaring, but said il somc
onc would givc him a truck, hcd drivc it and carn moncy. Hc addcd, ! thought
! would bccomc gcntc somcday, but my timc has passcd.
voov ~xu vicn i x vvovivs nv~us
!n tcrms ol pcrccption, what it mcans to bc rich and poor in 8razil corrcsponds
closcly with what it mcans to bc gcntc or not. !n ctobcr :oo:, Unilcvcr, a
multi national consumcr product conglomcratc, contractcd thc Fundaao Gctu
lio \argas to conduct markct rcscarch among lowincomc 8razilians in an cort
[ 3 2 2 ] F A V E L A
to bcttcr undcrstand thcir potcntial customcrs. Tc rcsults ol thc opinion survcy
wcrc rcportcd in Valor Econmico, a 8razilian ncwspapcr, on March +8, :oo.
Tc lollowing lists show pcoplcs rcsponscs to thc qucstion about what it mcans
to bc poor and to bc rich in 8razil.
8
WHAT I T MEANS TO BE POOR
Takc thc bus
8c disrcspcctcd by thc policc
Havc to work to survivc
Havc a boss
nly buy whats on salc at thc supcrmarkct
Havc to wait on a linc at thc bank
8clicvc that oncs dcstiny dcpcnds on God
Hit your childrcn
Nccd to movc to improvc lilc
WHAT I T MEANS TO BE RI CH
Usc jcwclry
Havc rclativcs or lricnds in thc govcrnmcnt
Vash your dishcs in a dishwashcr
Study in a univcrsity
8c corrupt/rob public lunds
8uy things in thc supcrmarkct without looking at thc priccs
Havc cmploymcnt but not havc to work
at out in rcstaurants
Always buy your lavoritc brand products
Attcnd a gym or sports acadcmy
!n hcr autobiography, 8cncdita da Silva, who was born and raiscd in a Rio
lavcla and bccamc national ministcr ol social action, dcncd bcing poor as hav
ing only onc sct ol clothing and washing it cach night, not having cnough
lood lor thc childrcn, satislying thcir hungcr with a lricd mixturc ol watcr and
manioc to swcll thc stomach, scnding thcm to slccp with cloth ticd tightly
around thcir bcllics to rcducc thc hungcr pangs, scnding thcm lrom door to
door at thc cnd ol thc month to ask lor lood or moncy, and using motor oil lor
cooking bccausc it costs lcss than cooking oil.
As Rcgina lrom Catacumba told mc, Vc arc nobodics. ur houscs arc
noplacc. Vc cannot usc our own addrcss to cnroll our childrcn in school. Vc
havc to givc thc addrcss ol thc madamc in ordcr to gct our childrcn into dcccnt
schools, gct mcdical carc, or gct a job. Hcr daughtcr addcd: Tc rich dont
want thc poor living ncar thcm or going to school with thcmonly scrving
thcm. Tcy prclcr us to rcmain invisiblc.
I M P O R T A N C E O F B E I N G G E N T E [ 3 2 3 ]
!dcntity lor lavcla rcsidcnts, asidc lrom charactcristics ol agc, gcndcr, and
color, is constantly bcing dcncd and rcdcncd in thc strugglcs ovcr inclusion/
cxclusion and marginalization/intcgration. !t says a lot about lilc in Rio that
bcing a human bcing (gcntc) cannot bc takcn as a givcn lor a third ol thc citys
rcsidcnts, and that thc cducational and job opportunitics that would changc
that arc not rcadily availablc.
Tc lack ol opportunity lor thc poor isin itsclla lorm ol dchumaniza
tion and opprcssion that makcs it impossiblc lor a pcrson to lulll his or hcr lull
potcntial. M\ 8ill said in an intcrvicw: Putting pcoplc in subhuman condi
tions in thc lavclasthats a lorm ol violcncc. Kids lrom thc lavclas attcnd statc
schools |and| havc to work to hclp thcir lamilics as wcll. Tcrclorc, lavcla kids
ncvcr havc good cnough cducation to gct into public univcrsitics. Tcy ncvcr
havc a chancc. Tosc placcs go to middlc and uppcrclass kids lrom privatc
schools.
9
Tc intcrnalizcd lack ol scllcstccm, incvitablc lor youth who arc ncvcr
trcatcd as rcspcctablc pcoplc, is conducivc to tccnagcrs dropping out ol school,
having unprotcctcd scx that lcads to carly prcgnancics, and joining drug gangs.
At lcast in thc gang, thc adolcsccnt boys lccl important and powcrlul. Tcy arc
armcd, thcy havc cash, thcy wcar cxpcnsivc shocs, shirts, and jcwclry, thcy may
havc a motorcyclc, and thcy attract thc attcntion ol thc most dcsirablc young
womcn. !t is not hard to imaginc a tccnagcr bcing willing to risk carly dcath lor
thc chancc to cxpcricncc thc rcspcct and dclcrcncc that ordinary pcoplc takc as
thcir birthright.
As Luiz duardo Soarcs has said, in thc cnd, thcrc is a hungcr morc pro
lound than physical hungcr: thc hungcr lor acction, rccognition, scllcstccm.
10

For thosc not born to it, highcr cducation, prolcssional occupation, and primc
location within thc urban gcography arc thc bcst markcrs ol bcing gcntc. Tc
pcoplc lrom thc lavclas who bccamc lamous athlctcs, singcrs, modcls, movic
stars, or politicians bcgan to bc trcatcd as gcntc and to act likc gcntc, and thcn
thcy wcrc gcntc. xamplcs run lrom Pclc, thc socccr star, to Gilbcrto Gil, thc
lamous composcrsingcr who bccamc an cnvironmcntal activist, local politi
cian, and thcn national ministcr ol culturc, and 8cncdita da Silva, who bccamc
thc rst black woman govcrnor and thcn Ministcr ol Social Action. 8ut thcsc
arc all cxccptions to thc rulc.
Tc rclationship bctwccn povcrty and pcrsonhood in Latin Amcrica, and
particularly in 8razil, was lorgcd in thc history ol colonialism and slavcry and
nctuncd undcr various authoritarian rcgimcs, most rcccntly thc :oycar mili
tary dictatorship. Full cnjoymcnt ol univcrsal rights lor thosc without prop
crty and wcalth has bccn a somctimc thing, to borrow lrom Porgy and Bess.
Tis lcgacy has madc it possiblc lor cducatcd and othcrwisc civilizcd pcoplc to
slip into rcgarding lavcla rcsidcnts as othcr, whilc still maintaining a positivc
imagc ol thcir own humanity. Tcy lccl good about trcating thcir houschold
[ 3 2 4 ] F A V E L A
hclp as part ol thc lamily (that is, patcrnalistically) as long as both sidcs arc
clcar on thc powcr hicrarchy and bchavc by thc rulcs ol thc gamc.
!n thc words ol vclina agnino, a rcnowncd 8razilian political scicntist,
bcing poor mcans not only cconomic, matcrial dcprivation but also bcing sub
jcctcd to bchavioral norms that imply a complctc lack ol rccognition ol poor
pcoplc as bcarcrs ol rights.
11
Shc gocs on to say that this absolutc abscncc ol
rights mcans supprcssing human dignity. Vhcn pcoplc intcrnalizc that scll
imagc ol unworthincss, thcy signal it in thcir dcmcanor, bchavior, spccch, and
body languagc, whichin turnsignal pcrmission to thc alpha to cxcludc,
cxploit, cvcn abusc. dward Tcllcs, rclcrs to this supprcssion ol human dignity
as incivility, adding that within this cultural complicity, bcing poor bccomcs
a sign ol inlcriority, a way ol bcing in which individuals bccomc unablc to
cxcrcisc thcir rights.
12
Tc socicty convinccs itscll that thc poor arc poor bccausc thcy arc lazy,
unrcliablc, and inlcriornot through any socictal injusticc or incquality ol
opportunity. Tc lault lics with thc victim. !n Te Myth of Marginality ! rclcr
to this as a spccular rclationship, in which thc mirror on thc wall docs not
rccct back thc truth but thc morc comlortablc imagc that thc richthc laircst
ol thcm allhavc carncd thcir privilcgcs through thcir innatc supcriority. Tcy
havc workcd hard lor it, and thcy dcscrvc it. Tcrc is no guilt in this sccnario.
Tc normalization ol thc social division bctwccn gcntc and nongcntc is cvi
dcnt in all social intcractions, cvcn on thc bcach. Asidc lrom thc usual class
and racc distinctions at various postos (scctions) ol thc South Zonc bcachcs
Copacabana, !pancma, and Lcblonthcrc arc thc ambulatory bcach vcndors.
Tcy comc by bus lrom lavclas in thc distant suburbios, carrying all manncr ol
lood, bcach acccssorics, handicralts, and souvcnirs. A New York Times articlc,
rawing Lincs across thc Sand, rcportcd an intcrvicw with onc vcndor who
said: Somctimcs you gct thcsc groups ol rcally hot uppcrclass babcs putting
down thcir boylricnds or talking about thcir scx livcs right in lront ol you. !ts
likc yourc not cvcn thcrc, likc you arc invisiblc or not a pcrson.
13
Similar storics ol lack ol pcrsonhood arc lound clscwhcrc. !n a shantytown
on thc outskirts ol urban, South Alrica, a woman namcd Shamita Naidoo
says shc oltcn wondcrs whcthcr anyonc rcally cvcr sccs hcr. Shc also wondcrs
thc samc thing about thc hundrcds ol pcoplc living around hcr, in tiny tin
shacks pcrchcd undcrncath gum trccs on a ncarby hill. Somctimcs . . . it sccms
likc wc arc all invisiblc.
14
n thc othcr hand, ambulatory vcndors on Rios South Zonc bcachcs, thc
mcn in thc sidcwalk kiosks that scll cold drinks and snacks, and cvcn taxi driv
crs, givc thcir goods and scrviccs to anyonc who looks likc gcntc, trusting thcm
to rcpay thcm at a latcr datc. ! havc sccn a woman sclling bikinis and bcach
cloths callcd cangas lct a tourist takc scvcral away to try on at thc hotcl, without
asking lor a ccnt. Tc lood stall owncr will providc lunch and drinks to tourists
I M P O R T A N C E O F B E I N G G E N T E [ 3 2 5 ]
in lront ol thc Ccsar Park Hotcl (who havc not brought cash to thc bcach) and
trust thcm to rcturn and pay up thc lollowing day.
iamctrically opposcd to this is thc lact that thc lavcla rcsidcnts hircd by thc
lancy hotcls to providc bcach chairs, towcls, lilcguard scrvicc, and sccurity to thc
hotcl gucsts arc lollowcd all day by high rcsolution survcillancc camcras and may
not bc paid anything but bus larc and a lunch sandwich. Tcy arc cxpcctcd to carn
what thcy can lrom tips alonc. Tcsc arc thc pcoplc most likcly to sharc thcir sand
wich with you il thcy happcn to bc taking thcir lunch brcak and you arc ncarby.
:ui:i viv xxowivucvs ~xu svxsv ov sviv
!l thosc lincs in thc sand arc crascd and thc lavcla youth arc ablc to dcvclop
a scnsc ol scllworth and scllrcspcct, it will bc that much morc di cult lor
thosc who wish to kccp thcm in a subscrvicnt position. Many programs run
by nonprot organizations in thc lavclas incorporatc aspccts ol a rming this
inalicnablc right ol pcrsonhood. Somc, such as thc Committcc lor thc cmoc
ratization ol !nlormation Tcchnology (C!), loundcd in + by Rodrigo
8aggio, do this by bringing inlormation tcchnology and computcr acccss/train
ing into thc lavclas. thcrs, such as \iva Rio, havc programs such as Favcla
Tcm Mcmria, an oral history projcct that lavcla youth work on with cldcrs,
or lavcla corrcspondcnts, who writc wcckly columns on what is happcning in
thcir communitics. thcr programs, lor cxamplc thosc ol thc Ccntro dc stu
dos c Aocs Solidrias da Mar in thc lavcla ol thc Complcxo do Mar, run
prcvcstibular courscs, train and hirc youth to conduct doortodoor ccnsuscs
ol thcir communitics, tcach nglish and Frcnch, and ocr thcatcr, vidco, lm,
dancc, crcativc arts, music, and capocira programs lor youth.
nc NG program, Roda \iva, crcatcs support groups lor mothcrs whilc
providing day carc lor thcir childrcn. Anothcr ol thcir activitics dcals dircctly
with youth, prctccns, and adolcsccnts bclorc thcy havc givcn up on thcmsclvcs,
intcrnalizcd thcir nongcntc status and cntcrcd thc drug tradc or prostitution.
! was cspccially struck by a group lcadcr who was using Paulo Frcircs approach
to consciousncss raising (conscientizao). Tis was combincd with computcr
courscs that actually taught litcracy and writing skills undcr thc guisc ol tcach
ing computcr skills.
A discussion group ! obscrvcd in thc Morro dos Macacos providcs an cxccl
lcnt cxamplc ol rcinlorcing pcrsonhood. !t startcd with thc usual noisc, com
motion, joking, and jostling as thc young pcoplc arrivcd, coming up thc stcps on
thc sidc ol thc Rcsidcnts Association and into thc mccting room. Along thrcc
ol thc walls wcrc makcshilt woodcn dcsks, with a computcr on cach onc. Altcr
! was introduccd, thc lacilitator askcd lor a minutc ol silcncc lor cach pcrson to
think about what thcy kncw and what knowlcdgc thcy had to sharc. Tcy bcgan
to quict down. Tcn hc told this story:
[ 3 2 6 ] F A V E L A
Trcc pcoplc travcling togcthcr camc to a rivcr and askcd thc boatman to takc
thcm across. Hc rcadily agrccd, and whcn thcy wcrc on thcir way, thc rst
passcngcr, a lawycr, askcd him il hc was lamiliar with 8razilian law. Vhcn thc
boatman humbly admittcd that hc was not, thc lawycr rcplicd, Tcn you arc
perdido |doomcd, lost|without that knowlcdgc, you can bc nothing. Tc
sccond askcd thc samc about mathcmatics, and on hcaring thc boatman kncw
nothing ol this, rcpcatcd, Tcn you arc pcrdidowithout knowlcdgc ol math,
you arc nothing. Tc third, a schooltcachcr, said, Surcly you know how to
rcad and writc. No, said thc boatman. Tc schooltcachcr rcplicd, Tcn you
arc pcrdido.
Suddcnly a hugc tidal wavc camc up thc rivcr and tippcd ovcr thc canoc.
Tc boatman turncd to his passcngcrs in conccrn, and sccing thcm bcing swcpt
along downstrcam ycllcd out, o you know how to swim: No, thcy said, Vc
ncvcr lcarncd. Tcn you arc pcrdido, hc rcplicd.
8clorc this anccdotc, thc kids wcrc looking uncomlortablc and borcd.
Vhcn hc camc to thc cnd, thcy wcrc paying rapt attcntion and looking
plcascd and astonishcdthcy had ncvcr considcrcd that thcy, too, might havc
valuablc knowlcdgc bascd on thcir lilc cxpcricncc. Tis was onc small stcp
away lrom drug dcaling, and onc small stcp toward thinking ol thcmsclvcs
as gcntc.
v~vvi~ :ouvi s:, ov voovi s:
Not all roads lcad to gcntc, and not all rclationships bctwccn thc morro and thc
aslalto will hclp pcoplc bridgc that gap. Somc lorms ol contact scrvc only to
rcinlorcc thc nonpcrsonhood ol thc lavcla rcsidcnts.
Tc rcccnt lavcla crazc that has cxprcsscd itscll in many ways has donc noth
ing to rcinlorcc thc rcsidcnts scnsc ol idcntity and worth. n thc contrary, it
has brought lavclas into thc spotlight ol a widcr audicncc not as rcpositorics ol
knowlcdgc or ol pcoplc with thc capacity to rcvitalizc Rios agging cconomy
or lragilc ccology but as an cxotic curiosity ol povcrtyas a voycuristic plcasurc
with thc subtcxt 8cttcr thcm than us. !s this thc modcrnday cquivalcnt ol
thc uropcan lascination with thc noblc savagc:
Tc laddish buzz about lavclas could not cvcn bc imagincd in +68 and
had not yct blossomcd whcn ! rcturncd to pick up thc rcscarch in +.
Howcvcr, it has grown rapidly in thc ycars sincc thcn, with its hcady mixturc
ol lorbiddcn othcrncss, romancc, dangcr, drugs, music, and thc ncw industry
ol lunk balls.
Vhilc lavcla rcsidcnts lcar lcaving thcir houscs to go to work, lavcla tour
ism is burgconing, giving ncw and ominous mcaning to thc old saw !ts a nicc
placc to visit but ! wouldnt want to livc thcrc. Tc appropriation ol thc culturc
I M P O R T A N C E O F B E I N G G E N T E [ 3 2 7 ]
ol thc poor by thc privilcgcd, known variously as rcvcrsc snobbcry or slum
ming, is not ncw. Vhat is ncw is thc scopc and scalc ol it that todays globally
nctworkcd socicty allows. Notablc visitors to thc now lamous (or inlamous)
lavcla ol Rocinha includc thc quccns ol Swcdcn and cnmark, Princcss iana
ol ngland, 8ill Clinton, Mikhail Gorbachcv, thc Popc, and Prcsidcnt !gncio
Lula da Silva.
Now, in addition to taking thc cablc car up to Sugar Loal and thc tram
to Corcovado, tourists can stop by onc ol thc citys clitc hotcls or go onlinc
to sign up lor an authcntic lavcla tour. A broad mcnu ol options includcs
going salaristylc in an opcn Jccp, travcling by airconditioncd minivan, or
cmbarking on a walking tour. ctails arc casily lound at !pancma.com, in thc
Rio dc Janciro Favclas Guidc, or in thc Gringo Guidcs. Favcla Tours, onc
ol thc carlicst companics in thc busincss, now takcs morc than ,ooo pcoplc
into thc lavclas cach ycar. Tcrc is no tingc ol shamc in this commodication
ol lavcla lilc.
As an indication ol how romanticizcd lavclas havc bccomc, a rcccnt 88C
Ncws articlc lcaturcd photographs ol a happy young Amcrican couplc spcnd
ing thcir honcymoon at a bcdandbrcaklast in Rocinha, convcnicntly situatcd
on thc hills abovc thc South Zonc.
15
!ts no accidcnt that ol all thc lavclas,
Rocinha has bccomc thc most popular among tourists. !ts vicws arc spcctacu
lar, surpassing thosc lrom thc ncarby Shcraton and !ntcrContincntal hotcls.
vcry NG wants to work in Rocinha, and cvcry govcrnmcnt program wants
a pilot projcct thcrcwhilc most ol thc othcr 8oo lavclas in Rio rcccivc almost
no attcntion lrom cithcr. Tc book Sorria, Voc Esta na Rocinha (Smilc, you arc
in Rocinha) dcscribcs it this way:
!t sccms likc a drcam, a dclirium, a vision, somcthing crazy: sccn lrom alar with
its millions ol ickcring lights, thc Favcla ol Rocinha looks likc a gigantic ying
sauccr rcccntly landcd on a Rio hillsidc. !ts as il an unidcnticd ying objcct
improbably parkcd thcrc to attract thc curiosity ol anyonc trying to grasp thc
mcaning thcsc lumincsccnt signals arc scnding to thc city.
16
8cing objccticd likc cxotic wildlilc on a salari or cxtratcrrcstrials on a visit
to Planct arth docs not go unnoticcd by thc lavcla rcsidcnts. Tough thc tours
arc markctcd as bringing moncy into thc communitics through salcs ol drinks,
snacks, and art, and supporting cducational and rccrcational programs, this
is not thc way it works. Tc local lunchconcttc whcrc thc vans stop lor cold
drinks and thc artsandcralts stand whcrc tourists arc givcn timc to purchasc
souvcnirs arc obligcd to pay a stccp kickback to thc tour cntcrprisc and to thc
narcotra c. Favcla tourism ultimatcly prots thc dominant drug gang ol thc
momcnt and rcinlorccs thcir control ovcr thc pcoplc in thc community.
Vanting to cxpcricncc thcsc lavcla tours lor myscll, ! took onc in :oo. Tc
guidc, assuming no onc spokc Portugucsc, simultancously romanticizcd and
[ 3 2 8 ] F A V E L A
dcnigratcd thc rcsidcnts. Vhcn it camc timc lor a homc visit to scc a dwclling
lrom thc insidc, ! could scc thc cntirc lamily ling out thc back door just as thc
group bcgan gctting o thc bus. vcry prccaution was takcn to cnsurc that no
onc could talk dircctly with an actual rcsidcnt.
Tc small sums ol moncy that makc it through to thc rcsidcnts arc always
wclcomcd, so thcrc is disagrccmcnt ovcr whcthcr to commcnd or criticizc
this tourism. Unlortunatcly, thc poorcst lavclas, thc oncs that havc not bcn
ctcd lrom NG or govcrnmcnt programs and that havc thc grcatcst nccd lor
incomc, arc not on thc tour circuit at all. Tcy arc too distant, too dangcrous,
and dcvoid ol picturcsquc vicws.
According to my last count, only 8 ol thc +,o: lavclas in Rio (as ol :oo)
attract tourism: Rocinha (6,oo rcsidcnts), \idigal (,oo), and \ila Canocs
(+,6oo) arc thc most popular. !pancma and Copacabana havc lour lavclas lclt
(PavaoPavaozinho, Cantcgalo, Morro dc Cabritos, and Ladcira dc Tabajarcs),
and Lcmc has two (8abclonia and Chapu Mangucira). Tc 8otalogo hillsidc
lavcla ol Santa Marta (somctimcs crroncously callcd ona Marta) has a long
history ol spiritcd lcadcrship and community mobilization as wcll as stunning
vicws ol thc city, which may attract lorcign visitors. Tc worldwidc imagc ol
lavclas is bascd on a tiny numbcr ol particularly wclllocatcd communitics with
vicws that in any othcr city would bc thc prcrogativc ol thc supcrrich.
Tc local Rio population docs not sharc this lavcla lascination. !n lact, most
do cvcrything possiblc to avoid cntcring thc vcry ncighborhoods whcrc thcir
own maids and handymcn livc (with thc cxccption ol thosc who go to buy
drugs or to attcnd lunk balls or samba schools). !n City of Walls, Caldcira
writcs about thc lcngths to which thc rcst ol thc local socicty will go to lccl
protcctcd lrom what thcy lcar lrom thc lavclasgatcd communitics, sccurity
systcms, roundthcclock armcd guards.
17
Vhcn ! rcccntly attcmptcd to visit
a musician lricnd in an upscalc community, ! had to walk ovcr a moat whilc
bcing lmcd, show idcntity papcrs to an armcd guard, and havc writtcn autho
rization to cntcr thc building il shc was not thcrc to lct mc in. Vhcn ! walkcd
down rcsidcntial strccts in thc oldcr parts ol thc city, ! saw that thc gardcns in
lront ol thc apartmcnt buildings wcrc lcnccd in by iron gratcs. ld pcoplc sat
in lolding chairs rcading thcir ncwspapcrs, taking in a bit ol sun, and watching
thc strcct activity lrom bchind bars. Tcsc upscalc ncw lortrcsscs, built to kccp
undcsirablcs out, makc thosc insidc lccl likc prisoncrs. !ts not cxactly condu
civc to thc conviviality ol urban lilc. Mcanwhilc, lavclas arc turning thcmsclvcs
into gatcd communitics as wcll, with thc addition ol gratcs ovcr many win
dows and doors.
Just how undcsirablc is it to livc ncar a lavcla: Apartmcnts on strccts with
cntranccways into lavclas arc availablc lor rcnt or salc at about hall thc ratc ol
comparablc placcs clscwhcrc. Clcarly, lavcla chic docs not cxtcnd to living
ncar onc.
I M P O R T A N C E O F B E I N G G E N T E [ 3 2 9 ]
v~vvi~ cnic
!l lavcla tourism bcgan in +:, whcn Marcclo Armstrong startcd thc rst
lavcla tour, thcn worldwidc lavcla chic startcd in +, with thc opcning ol
thc Parisian bar Ubcrcool. Frommcrs rcvicw gushcs: No othcr nightclub
in Paris succccds at satirizing and rcspccting 8razilianncss as ccctivcly
as this onc . . . attracting goodlooking, trcndy mcn and womcn who comc
to dancc, irt, and chat in any ol a dozcn languagcs. Londons trcndy ast
nd was ncxt. Tc Time Out guidc commcntcd in :oo8: Tcrcs a dcnitc
carnival lccl to thc placc, with bricabrac strcwn around thc tatty, livcdin
intcrior intcndcd to bring to mind a rcal 8razilian lavcla and lunky 8razil
ian bcats on thc sound systcm. Tcn camc a Tokyo rcstaurant callcd Favcla,
scrving nouvcau 8razilian cuisinc along with 8rahma, thc common 8razil
ian bccr, at +o timcs thc usual 8razilian pricc. Finally, Ncw York City got
in on thc act with Miss Favcla, a rcstaurant that opcncd in 8rooklyn in thc
spring ol :oo8 and Favcla Cubana in Grccnwich \illagc in :oo.
Tc tcrm lavcla chic is cnsconccd in thc lcxicon ol intcrnational lashion,
lood, nightlilc, art, and music. Tc lavclas imagc ol othcrncss, its authcn
tic acsthctic, and its libidinal cncrgy havc capturcd thc imagination ol thc
global clitc. 8ut how docs this homagc to thc lavcla comparc with thc rcal
thing: For startcrs, bricabrac and tatty arc not words ! would usc to
dcscribc homcs in a lavcla. Most arc immaculatc and in a constant proccss
ol improvcmcnt and/or cxpansion, bcing thc main or only asscts ol thcir
owncrs. !n thc consolidatcd lavclas (thc oldcr oncs that havc continually
cxpandcd out and up), most houscs havc glazcd tilcs on thc oor and on thc
walls ol thcir kitchcns and bathrooms, comlortablc couchcs and polishcd
cocc tablcs in thc livingroom, and lormal bcdroom scts ol dark wood
as wcll as most ol thc clcctrical applianccs lound in an uppcrmiddlcclass
homc. Most lavcla rcsidcnts arc so lastidious that bclorc thcrc was running
watcr or pavcd stcps, thcy would go down to thc strcct barcloot, wash thcir
lcct in thc collcctivc spigot, and thcn put on thcir shocs.
Favcla lascination docs not stop with nightlilc or cxquisitcly dcsigncd rcplicas
ol supposcdly tawdry shacks. Artistic rcprcscntations arc popping up in thc most
uncxpcctcd placcs. !n :oo, thc Luxcmbourg mctro station in Paris was trans
lormcd by an cnormous installation ol lavcla photos, claboratcd on with quotations
lrom lavcla rcsidcnts and acionados (including onc by mc). Tc architccturc/
dcsign installation Favclit, by Franoisc Schcin, Laura Tavcs, Pcdro Rivcra,
and Pcdro vora, was on cxhibit lor scvcral months, and was intcndcd to show
somcthing ol valuc and bcauty in thc lavclas as wcll as to raisc thc consciousncss
ol Parisians rcgarding thcir own privilcgc visavis thc dcprivation ol othcrs.
Tcrc is no qucstion that lor artists and architccts cspccially, thcrc is a ccr
tain bcauty in Rios lavclas. Vith thcir varicgatcd colors, intcrcsting anglcs,
[ 3 3 0 ] F A V E L A
and crcativc usc ol matcrials, lavcla structurcs can bc sccn as cxcmplilying thc
mantra ol thc ncw urbanism: Low risc, high dcnsitymadc visually intcrcsting
by an abscncc ol standardization.
Consumcr itcms rclatcd to thc lavcla crazc gct cvcn crazicr. Havaianas, thc
colorcd rubbcr ipops that arc popular in lavclas and cost about US8.o,
arc sclling in lashionablc London boutiqucs lor US8+o. !l that wcrcnt absurd
cnough, a lavcla chair crcatcd by !talian dcsigncrs Fcrnando and Humbcrto
Campana in :oo sccms to cross ovcr thc linc lrom homagc to insult. !t is said
to scll lor US8,o:, but may bc purchascd onlinc at thc salc pricc ol only
US8:,8. Tc advcrtiscmcnt lor it statcs: Tc Favcla chair is constructcd
picccbypiccc lrom Pinus, thc samc wood uscd to build thc lavclas, and cvcry
piccc is handglucd and nailcd.
18
Tis ccrtainly puts a ncw twist on scar Lcwiss idca ol a culturc ol pov
crty, which hc mappcd out as a sct ol bchaviors and bclicls passcd down lrom
onc gcncration to thc ncxt, pcrpctuating thc povcrty cyclc. !n countcrpoint
to that, today a highbrow cultural phcnomcnon ol simultancously imitating,
mocking, and cxalting thc poor has takcn hold.
Tc pcjorativc pcrccption ol lavclas has takcn dicrcnt lorms, but has
only worscncd with thc cntrancc ol drug and arms tra cking within thcir
tcrritorics. Rcvcnucs lrom thc prots ol lavcla chic bars, rcstaurants, dancc,
music, lashion, and dcsign havc not rcachcd thc lavcla communitics, whilc
thcy ll thc pockcts ol thc rich in uropcand to a lcsscr cxtcnt in thc
Unitcd Statcs.
vicuvv +:. : Favcla !nstallation at thc Luxcmbourg Mctro Station in Paris.
I M P O R T A N C E O F B E I N G G E N T E [ 3 3 1 ]
vicuvvs +:. ~xu +:. A lavcla (photo by author) and thc Favcla Chair, dcsigncd
by Fcrnando and Humbcrto Campana in ++. (!magc takcn by Andras Hcinigcr)
[ 3 3 2 ] F A V E L A
:nv vvsvoxsv vvo: i xsi uv
Vithin thc lavclas, thc rcsponsc to lavcla chic is mixcd. Songs about lavcla
pridc turn thc dcrision and commodication upsidc down. Tc lyrics ol local
rap, hiphop, lunk, Alro Rcggac, and samba songs spin thc mcaning ol lavcla
into a point ol pridc and insurgcnt idcntity, as in thc popular songs u sou
lavcla (! am lavcla) and Minha lavcla (My lavcla). Tis has a lot to do with
thc crosslcrtilization ol Alro 8razilians and thc 8lack Pridc movcmcnt in
thc Unitcd Statcs. 8ut makc no mistakc: il thc word favela has bccn rcap
propriatcd by lavcla rcsidcnts, it rcmains a tcrm ol dcrision in thc rcst ol
socicty.
:i xn~ v~vvi~ ( :v v~vvi~)
Favcla that witncsscd my birth
Favcla that holds my roots
! opcn my hcart and sing my lovc lor you.
You smilc during thc day and cry at dawn
mbracc and lovc all who arc born,
Vhcn thcy arc killcd, you cry and mourn
nly thosc who know lrom thc insidc
Can cvcr undcrstand
Your bcauty and your bcast
Hcrc ! can bc happy at thc vcry lcast.
How is it our pcoplc who work so hard and arc so good,
Arc sccn as marginals, bcst killcd il thcy could:
! think that socicty must havc vcry bad vision.
19
!n this song and othcrs, lavcla rcsidcnts havc turncd thc cncrgy ol thc placc
around, jujitsu stylc, cmbracing thc dcrision ol thc outsidcrs and adapting it
lor thcmsclvcs. Tcy cnjoy sccing on tclcvision thc highlashion combination
ol glamour and trash couturc thcyvc inspircd, modclcd by thc most lamous
lashion modcls ol 8razil.
Tc lavcla rcsidcnts havc riddcn thc wavc ol lavcla chic in music, sarcas
tically commcnting in thcir lyrics but also rcady to rcspond to thc markct
dcmand. Tcrc is a C cntitlcd Favela Chic, whosc local produccrs arc cashing
in on thc trcnd whilc simultancously attacking thc navct ol thc conccpt. Tc
rst cut, Manda Som J!Favcla Chic (Scnd ovcr thc sound, J) starts
with thc scductivcly taunting voicc ol a man, clcarly a lavcla rcsidcnt, saying
You must bc crazyYou think lavclas arc chic . . . comc on, stay awhilc . . . scc lor
yourscll . . . hcrc lavclas arc not chic, not in thc lcast.
I M P O R T A N C E O F B E I N G G E N T E [ 3 3 3 ]
!n a similar rcsponsc, thc lavcla thcatcr group Ns do Morro (Vc ol thc
Favcla), which madc its namc rcvcaling thc traumas ol lavcla lilc lrom within,
startcd writing and pcrlorming plays about thc scamy sidc ol thc spoilcd rich
kids who comc to thc lavclas sccking thrills and drugs. Tc play ! saw, which
took placc on a lavcla rooltop (lage), told thc story ol scvcral ol thcsc conluscd
young pcoplc, in scarch ol cmotional conncction and mcaning, who had rcntcd
thc lagc lor a wild drug party.
Tc only sympathctic charactcr in thc play was a lavcla rcsidcnt hircd by
thcsc tccnagcrs as thcir sccurity guard lor thc night. Tc play madc audicnccs
uncomlortablcand not just lrom sitting on thc mctal lolding chairs arrangcd
around thc stagc arca. Tcy had gottcn thcir tickcts lrom hotcl concicrgcs or on
thc !ntcrnct, had bccn pickcd up at thc Shcraton Hotcl by minivans, and had
bccn drivcn up into thc hcights ol thc lavcla ol \idigal. At thc cntrancc to thc
lavcla was an amphithcatcr covcrcd in turquoisc tilcs spclling out thc cclara
tion ol Human Rightsa projcct that had bccn complctcd by lavcla childrcn
undcr thc supcrvision ol 8clgian artist Francoisc Schcin. Tc cclaration is a
clcar statcmcnt ol rights, but thc rcsidcnts ol \idigal clcarly do not sharc in
thcsc rights.
How arc thc pcoplc living in Rios lavclas to rcact to thc cxistcncc ol lavcla
chic lashion shows in Paris, whilc thcir sons or brothcrs arc bcing murdcrcd
ovcr Nikc shocs: How arc thcy to lccl about thc lavcla chic chair, thc pricc
ol which could nancc a busincss startup, whcn thcir daily strugglc involvcs
choosing bctwccn buying mcdicinc lor a diabctic spousc or milk lor a baby
grandson:
v~vvi~s ~vv xo: v~v~ui sv
To say that thc word lavcla and its connotations arc problcmatic would bc a
gross undcrstatcmcnt. vcry issuc rclating to lavclas is lraught with projcctions,
contradictions, and misundcrstanding. Howcvcr thcy arc sccn by outsidcrs, thc
lavclas ol Rio rcmain stigmatizcd placcs ol lcar within a city struggling to rc
dcnc its cconomy and idcntity, within a highly uncqual country not yct ablc to
providc cqual protcction undcr thc rulc ol law.
!l my carlicr work showcd thc positivc sidc ol lavclas and argucd lor thcir
right to rcmain, this ncw study shows how marginality has cvolvcd lrom a
myth to rcality. Tc marginalization ol thc urban poor bccamc a sclllullling
prophccy, as docs thc dcnial ol thc right to pcrsonhood. Vhcn you takc away
scllcstccm, how can you dcvclop human potcntial:
At thc othcr cnd ol thc spcctrum, thc glorication ol lavcla rcsidcnts as
modcls ol utopian sustainability (by thc likcs ol Stcwart 8rand) docs as much
disscrvicc to thcm and thc challcngcs thcy lacc as docs thcir vilication by thc
mcdia and thcir objcctication by protccrs. !t is appalling to rcad that lavclas
[ 3 3 4 ] F A V E L A
arc now bcing toutcd as thc solutions to cnvironmcntal problcms, ovcrpopula
tion, and housing shortagcs.
20
Tc notion that thcy arc protcctcd and providcd
lor by a parallcl powcr ol bcnign drug lords is as ocnsivcly lalsc as thc carlicr
stcrcotypcs ol thcir inability to adapt to urban lilc.
Globalization has translormcd thc local job markct, worldclass imagcs havc
dcncd local nccds, and intcrnational drug and arms tra c havc rcmadc local
scttlcmcnts into violcnt traps lor thc discnlranchiscd. Tis is not a modcl lor
cmulation or lor achicving a sustainablc planct.
Tc dircction lor going lorward would bc to makc common causc bctwccn
thc morro and thc aslalto on thc issuc ol cconomic growth and jobs, without
dcspoiling thc cnvironmcnt that is Rios sourcc ol local pridc and intcrnational
tourism. Tcrc is mutual bcnct to bc had in this ncw lormulation. !nsolar
as Rios nancial and natural rcsourccs arc bcing strctchcd to thcir limits, thc
answcr must bc lound by cultivating thc onc rcsourcc that is abundant and
undcrutilizcd in thc cityits pcoplc.
8ookcr T. Vashington, who was born into slavcry in +86 in thc thcn Con
lcdcratc Statc ol \irginia, rosc to bccomc prcsidcnt ol thc Tuskcgcc !nstitutc
in Alabama. !t was thcn a collcgc lor Ncgrocs, and 8ookcr T. Vashington
was thc ardcnt promotcr ol its cxistcncc and ol cconomic opportunitics lor its
graduatcs and all who wcrc bcing hcld back by racial discrimination.
!n +8, in a spccch hc gavc at thc Cotton Statcs and !ntcrnational xposi
tion in Atlanta, Vashington mixcd black pridc and southcrn pridc by cncour
aging blacks to stay and work in thc South (rathcr than migratc to thc North)
and whitcs to valuc this contribution to a thriving local cconomy. His spccch
to a mixcd audicncc was upbcat but not without an ominous warning. !n it, hc
said, Vc shall contributc oncthird to thc busincss and industrial prospcrity ol
thc South, or wc shall provc a vcritablc body ol dcath, stagnating, dcprcssing,
rctarding cvcry cort to advancc thc body politic.
21
~cvxcv ~xu ov:i :i s:
cspitc all, thc pcoplc in thc lavclas havc by no mcans givcn up hopc. Nor
havc thcy rcsigncd thcmsclvcs to thc oblitcration ol thcir right to bc part ol thc
human community. Cariocas, as Rio nativcs arc callcd, arc pcrpctual optimists.
Tis camc out strongly in thcir asscssmcnts ol thc progrcss thcy had madc in
thcir own livcs and in thcir cxpcctations lor thc luturc. Tcy wcrc lcss optimistic
about thc luturc ol thcir communitics, thcir city, and thcir country. Tc major
ity saw thcmsclvcs as having cxcccdcd thcir own aspirations, and surpasscd
thc cxpcctations that thcir parcnts had lor thcm. nly onclth rcportcd thcir
livcs turncd out worsc than thcy had cxpcctcd.
22
Tcrc is a positivc rclationship
bctwccn optimism and succcsslul lilc outcomcs and bctwccn pcrccivcd satislac
tion and actual wcllbcing on thc individual lcvcl.
I M P O R T A N C E O F B E I N G G E N T E [ 3 3 5 ]
Givcn thc constraints laccd by lavcla rcsidcnts, ! was cagcr to scc how thosc
! intcrvicwcd in +6 and again in :oo+ pcrccivcd thcir opportunitics lor suc
ccss in lilc, and how that dicrcd lrom thc pcrccptions ol thcir childrcn and
grandchildrcn. !n thcir vicw, do thcy havc thc samc chancc ol succccding in lilc
as any othcr pcrson, or did thcy scc thcir chanccs blockcd by a closcd systcm
that dcnics thcir cxistcncc as gcntc:
!n our qucstionnairc wc askcd onc ol thc classic qucstions about class con
sciousncss: o you think that your child and thc child ol an homem de negcios
(busincssman), havc thc samc chancc to succcccd in lilc (vencer na vida): Altcr
all thc talk ol cxclusion and stigma, ! would havc prcdictcd that most parcnts
would say NO! 8ut ! would havc bccn wrong. Around six in tcn pcoplc in both
timc pcriods and in all thrcc gcncrations said YES: 6 pcrccnt ol thc original
samplc in +6, pcrccnt ol thcm in :oo+, 6: pcrccnt ol thcir childrcn and
pcrccnt ol thcir grandchildrcn. Altcr vcrilying that thc qucstion was corrcctly
undcrstood and that thc answcrs wcrc valid, ! bcgan to scarch lor thc mcaning
ol this consistcnt answcr. My intcrprctation is that thc rcspondcnts had so thor
oughly intcrnalizcd thc ction ol cqual opportunity that to say thcir childrcn
had lcss than a lair chancc would bc to admit thcir lailurc as parcnts rathcr than
thc rcsult ol a closcd and unjust systcm. Tat hclps cxplain thc abscncc ol angcr
or rcbcllion among most community rcsidcnts. Tcir scllcstccm is so low that
thcy blamc thcmsclvcs lor any lailurc in upward mobility.
! also askcd scvcral dircct qucstions about class. Pcoplc rcportcd having
movcd up and down thc class laddcr at dicrcnt stagcs in thcir livcs. Somc said
thcy wcrc now in thc classe pobre (poor class), but a gcncration ago, whcn thcy
wcrc public lunctionarics or truck drivcrs, thcy considcrcd thcmsclvcs part ol
thc classe media (middlc class). Study participants lrom thc oldcr gcncration
oltcn commcntcd that thcy no longcr saw a middlc class. Agora so tcm duas
classcsrico c pobrc (Now hcrc arc only two classcsrich and poor), thcy
said, with a hugc chasm bctwccn thcm.
cspitc thc striking improvcmcnts in thc matcrial conditions ol lilc, thc
poor lccl cvcr lurthcr lrom bcing gcntc. !t appcars as an cvcrrcccding miragc
on thc horizon. Pcrhaps as thc grandchildrcn nish thcir schooling, thcir high
uncmploymcnt ratc will drop, and morc will cntcr lormal scctor jobs with bcn
cts. Sccurc jobs with good pay would bc onc way to closc thc gcntc gap.
ona Rita is skcptical, although shc docs hold out hopc lor hcr granddaugh
tcrs, who arc studying tcaching and nursing. Hcr son has alrcady raiscd thcm
whcrc shc livcsoutsidc thc lavcla. Tat givcs thcm a bcttcr chancc, shc says.
Altcr pointing out ccrtain improvcmcnts in Nova 8raslia ovcr thc past scvcral
ycars, shc gavc a sigh and addcd: Favcla lavcla c ainda tcm prcconccito (A
lavcla is still a lavcla and thcrc is still prcjudicc against us). Shc addcd, !t raiscs
doubts in pcoplcs minds il you givc an addrcss hcrcyou havc to givc a lalsc
addrcss to bc trcatcd lairly.
[ 3 3 6 ] F A V E L A
vvvcvv:ioxs ~xu vvosvvc:s
!nsolar as pcrccptions acct scnsc ol idcntity and bchavior pattcrns, thc way
individuals look at thcir own situation is an csscntial aspcct ol brcaking out
ol thc povcrty trap. Mobility is a rclational conccpt, and it is always dcncd
through comparison to othcrs. As thc litcraturc shows, pcoplcs outcomcs in
absolutc tcrms arc oltcn not as important to thcir scnsc ol wcllbcing and
dcgrcc ol hopc, or a scnsc ol how thcy arc doing rclativc to thcir own past, thcir
own aspirations, as thc cxpcctations thcir parcnts havc had lor thcm. Tcy also
asscss thcir progrcss in tcrms ol othcrs in thcir lamily, thcir community, thc
placc lrom which thcy camc, thcir collcagucs at work, and so on. vcn tclcvi
sion charactcrs bccomc a kind ol rclcrcncc group against which pcoplc asscss
thcir own scnsc ol dcprivation.
23
!n thc qucstionnairc, wc cxplorcd this by asking thc rcspondcnts what thcy
thought it mcant to havc a succcsslul lilc (uma vida bem sucedida). Using thcir
own dcnitions, rcspondcnts wcrc thcn askcd to placc thcir currcnt livcs on thc
rungs ol a tcnstcp laddcr.
24
Six qucstions lollowcd with cach answcr markcd
on a rung ol thc laddcr rclativc to whcrc thcy had positioncd thcir own livcs in
thc currcnt momcnt.
Tc positivc rcsponscs to six ol thcsc qucstions arc shown in tablc +:.+.
cspitc all ol thc disappointmcnts and sctbacks discusscd throughout
this book, thc tablc shows that most pcoplc across all gcncrations (closc to
6o pcrccnt) rankcd thcir currcnt livcs as bcttcr (on a highcr rung ol thc lad
dcr) than thcy had bccn in thc past dccadc(s). 8ut most lclt that thcir chil
drcns livcs wcrc worsc than thcir ownprobably duc to thc lcar and violcncc
thcy livc with (sincc wc havc sccn that cducation and matcrial conditions
:~niv +:. + Perceptions of Progress toward a Good Life
vvsvoxuixc nv::vv ov :ucn nv::vv :o v~cn co:v~visox
Q1:
My life
now vs.
30 (10)
years
ago
a
Q2:
My life
vs. my
parents
lives
Q3:
My kids
lives vs.
my life
Q4:
My life
vs. my
expectation
Q5:
My life
vs. my
parents
expectation
Q6:
My family
vs. other
families in
community
riginal
!ntcrvicwccs
8 8 +
Childrcn 6o : :
Grandchildrcn 6 : : o +
a
Vc askcd about o ycars ago lor original intcrvicwccs, and +o ycars ago lor childrcn and grand
childrcn.
I M P O R T A N C E O F B E I N G G E N T E [ 3 3 7 ]
havc improvcd with cach gcncration). Tc childrcns asscssmcnt ol thcir
livcs rclativc to thcir parcnts livcs is incrcasingly ncgativc lor cach succcs
sivc gcncration. vcr hall ol thc original samplc rankcd thcir livcs as bcttcr
than thcir parcnts, but only pcrccnt ol thc childrcn and : pcrccnt ol
thc grandchildrcn said thc samc. To put it thc oppositc way, pcrccnt ol
thc grandchildrcn rankcd thcir livcs as worsc than thcir parcnts. Tcy arc
torn bctwccn thc outolschool/outolwork dcad cnd on thc onc hand and
thc shortlilccxpcctancylorthoscinthctra c dcad cnd on thc othcr. No
wondcr thcir parcnts livcs sccm cnviablc in comparison.
!n thc samc vcin, thc grandchildrcn show thc grcatcst scnsc ol rclativc dcpri
vation in rcsponsc to thc qucstion comparing thcir lamily with othcr lamilics
in thc community (thc rightmost column ol thc tablc). ightyonc pcrccnt ol
thc grandchildrcn lclt thcir lamilics wcrc worsc o than othcrs around thcm, as
comparcd with pcrccnt ol childrcn and pcrccnt ol original intcr vicwccs.
A matcrial cxplanation lor this might bc that hall ol thc grandchildrcn livc in
lcgitimatc bairros whcrc indccd thcy may bc among thc lowcstincomc lami
lics, whilc two thirds ol thc original samplc still livc in lavclas or conjuntos
whcrc thcy may bc among thc morc cstablishcd. Tc trcnd lor thc youngcr gcn
cration to havc achicvcd thc most and lccl thc lcast satiscd may rccct what
Graham and Pcttinato call thc lrustratcd achicvcrs syndromc in ncw markct
cconomics, whcrcby thosc who arc doing thc bcst by objcctivc mcasurcs arc
thc lcast satiscd.
25
Howcvcr, thcrc was littlc variancc in thc way thc dicrcnt
gcncrations vicwcd thc ways that thcir own livcs had cvolvcd rclativc to thcir
own cxpcctations and rclativc to thcir parcnts cxpcctationsthcy wcrc lairly
cvcnly split bctwccn thosc who lclt thcy had surpasscd cxpcctations and thosc
who lclt disappointcd. Tc notablc cxccption was that thc livcs ol thc original
intcrvicwccs morc oltcn cxcccdcd thc prcsumably modcst hopcs ol thcir par
cnts and lcss oltcn cxcccdcd thcir own grcatcr cxpcctations.
Vhat this sccms to point to is that cvcn as progrcss is bcing madc at thc
matcrial and cducational lcvcls, thc goal ol brcaking out ol povcrtyol bccom
ing gcntcis a moving targct, always clusivc and out ol rcach. Tc closcr you
gct, thc morc cxcludcd you lccl, and thc grandchildrcn who by objcctivc stan
dards arc thc closcst to bcing working or middlc class arc thc oncs who lccl thc
larthcst away. conomic achicvcmcnts arc not ovcrcoming thc marginalization,
disrcspcct, and cxclusion that thc poor cxpcricncc, dcspitc indicators that thcy
arc now lcss poor.
26
How, thcn, do thcy scc thcir progrcss ovcr thc past scvcral ycars, and how
do thcy scc thcir prospccts lor thc luturc: ! askcd thcsc two qucstions in thc
+6 intcrvicws and in thc :oo+ intcrvicws with thc original study partici
pants, thcir childrcn, and thcir grandchildrcn. From gcncration to gcncration,
thc pcrccntagc saying bcttcr or much bcttcr rosc stcadily ovcr timc, lrom
a low ol : pcrccnt among thc original intcrvicwccs in +6 to 6 pcrccnt
[ 3 3 8 ] F A V E L A
among thc samc pcoplc in :oo+, to 6 pcrccnt among thcir childrcn, to a high
ol pcrccnt among thcir grandchildrcn.
cspitc thc cconomic miraclc ol thc +6os and thc major achicvcmcnt ol
moving to Rio, thc pcoplc ! intcrvicwcd in +6 had a rough timc. Just ovcr
hall said thcir livcs wcrc bcttcr vc ycars carlicr. Tat pcrccntagc wcnt up by thc
timc wc rcintcrvicwcd thcm in :oo+ and rosc stcadily among thcir childrcn and
grandchildrcn. !n lact, violcncc, drugs, and lack ol jobs notwithstanding, thc
pcrccnt ol childrcn who said thcir livcs wcrc improving was ovcr two and a hall
timcs that ol thcir parcnts. Somcthing good must bc happcning. Pcrhaps it has
to do with thc cxit lrom lavcla lilc Tc movc madc by thc original intcrvicwccs
lrom countrysidc to city and thcir intcgration into urban lilc as squattcrs must
havc bccn morc arduous than thc movc lrom lavclas (or conjuntos) to bairros.
Vc also askcd Vill your lilc bc bcttcr in thc ncxt vc ycars: !n +6,
only +: pcrccnt answcrcd bcttcr or much bcttcr, whilc 66 pcrccnt answcrcd
worsc or much worsc. 8y :oo+, 6 pcrccnt ol thc original intcrvicwccs,
88 pcrccnt ol thcir childrcn, and pcrccnt ol thcir grandchildrcn thought
thcir livcs would improvc in thc ncxt vc ycars.
So dcspitc all, hopc is alivc and thriving as dcpictcd in gurc +:..
Vhatcvcr gcncralization you makc about lavclas can bc contradictcd by a
countcrcxamplc. !l you show thcir vibrant sidc, you risk romanticizing povcrty.
!l you dwcll on thc violcnt sidc, you obscurc thcir vitality and you risk propa
gating wrongmindcd stcrcotypcs and stigma that rcsidcnts battlc cvcry day.
vicuvv +:. Favcla childrcn rcady and cagcr to build thc city ol tomorrow.
I M P O R T A N C E O F B E I N G G E N T E [ 3 3 9 ]
vcrything in a lavcla contains its oppositc. !l you think lavcla tourism is an
cxploitation and commodication, you arc not rcspccting a potcntial sourcc ol
cash coming into thc community. !l you takc a moralistic stancc visavis thc
drug tra c, you ignorc thc lact that thosc involvcd may bc supporting thcir
lamilics on thc moncy thcy carn. 8ut . . . what usc is a ncw bcdroom air condi
tioncr whcn most young mcn dont livc past : or o: !t is a complicatcd situ
ation that rcsists simplc conclusions. nly through prolongcd involvcmcnt can
thc dccpcr truths rcvcalcd by my o ycars ol obscrvation, analysis, and rccction
bc tcascd lrom thc myriad ol conicting mcanings and mcssagcs.
Povcrty and cxclusion arc plastic, changing with changing timcs ovcr cach
gcncrationand thcy arc by no mcans a simplc lunction ol attaining bcttcr
goods and scrviccs (although thcsc rcprcscnt a major stcp lorward). ach gcn
cration has laccd dicrcnt challcngcs. For thc original migrants, thc movc to
thc city, thc cxchangc ol rural povcrty lor urban povcrty, and dcvcloping thc
ability to survivc in thc ncw milicu was thc challcngc. !t was in itscll a major
lcap lorward to cstablish a bridgchcad or tochold in thc big city.
27
Tcir col
lcctivc strugglcs crcatcd a scnsc ol community solidarity not sharcd by thc
lollowing gcncrations.
For thc childrcn, born in thc city, thc qucst was lor highcr cducation, lor
gctting out ol thc lavclas, and lor a scnsc ol rccognition and rcspcct. !n thc
grandchildrcns gcncration, cducational attainmcnt is high, ovcr hall arc living
in lcgal, lcgitimatc ncighborhoods, and thc lcvcl ol consumption ol houschold
goods is closc to thc municipal avcragc. Tcir particular challcngcs arc nding
work (ovcr hall arc uncmploycd), avoiding bcing killcd, and nding rcspcct. An
cconomist looking at ccnsus data might not cvcn pcrccivc that this gcncration
has riscn out ol povcrty: sadly, within thc currcnt contcxt ol Rio dc Janciro,
thcsc young pcoplc arc still discnlranchiscd, dismisscd, and considcrcd cxpcnd
ablc. Rcgardlcss ol all thc lavcla rcsidcnts achicvcmcnts ovcr thrcc gcncrations,
most ol thc youngcst gcncration would not bc considcrcd gcntc today. Tcy do
not lccl includcd in thc lilc ol Rio. !n my intcrvicws ! lound that cvcn thc oncs
with jobs in thc lormal scctor who owncd cars and computcrs lclt obligcd to act
subservient and deferential toward o senhor or a madame. Tis is how a histori
cally uncqual socicty maintains thc supcriority ol thc rich without risking thc
rcvolt ol thc poor.
n thc morro in Canudos, whcrc Antonio Consclhciro, thc Counsclor,
lcd his ock ncarly a ccntury and a hall ago, thc lavcla bushcs rcmain. Tc
lavclas abovc and around Rio and othcr citics rcmain, too. Vill thcy bc
trcatcd as thc Counsclhciros ock was trcatcd: Vill thcy bc slaughtcrcd:
Tcy arc now so many morc in numbcr than thcy wcrc thcn. Unlcss wc can
ovcrcomc thc lcar ol othcrncss and mutually cngagc in thc strugglc against
nccd, rcprcssion, disrcspcct, and violcncc, thcrc will bc no urban luturc lor
thc rich or thc poor.
This page intentionally left blank
appendi x 1
Research Methods and Challenges
As you can imaginc, thc proccss ol nding thc original study participants altcr thirty
ycars was lraught with challcngcs. !t was likc bcing a dctcctivc, scarching out clucs,
going to thc placcs whcrc ! had last sccn cach pcrson, lollowing up lcads, running into
dcad cnds, and trying altcrnativc tacks. !t was also an cnlightcning proccss in itscll
and a joyous onc whcn ! lound cach pcrson. !n rcconnccting with thcsc individuals
and lamilicsmorc ol thcm than ! cvcr drcamcd ! would nd! discovcrcd just how
strong and long lasting thc community tics within lavclas can bc, cvcn in thc abscncc
ol physical proximity. For ycars, without tclcphoncs or cmail, and without bus larcs
lor visits, pcoplc managcd to stay in touch by word ol mouth. Tcy kncw whcrc thcir
lricnds and lormcr ncighbors had gonc, how thcir hcalth was, and which ol thcir lam
ily mcmbcrs still livcd in thc arca.
onj vc:i vvs ov :nv ioxci :uui x~i vvsv~vcn
!n + whcn ! cmbarkcd on thc rcstudy lor this book, my objcctivcs wcrc statcd as
lollows:
To bcttcr undcrstand thc intra and intcrgcncrational dynamics ol urban povcrty
To cxplorc thc changing mythology and rcality ol marginality
To tracc lilc history pattcrns against macro political and cconomic translor
mations
To tcst thc mcdiating cccts ol civil socicty and social nctworks
To scc thc impacts, il any, ol local, national, and intcrnational public policics
implcmcntcd sincc thc original study
! matchcd cach objcctivc with a broadcr goal and with thc tasks ncccssary to accomplish
thc rcscarch, and laid out thc products and outcomcs lor cach part ol thc work. Tc way
thcsc conncct to cach othcr is shown in (tablc A+.+).
:~niv ~+. + T e Dynamics of the Urban Poor and Implications for Public Policy
Goals Objectives Tasks Products Outcomes
To undcrstand thc
dynamics ol urban
povcrty and mobility
Tracc thc lilc trajcctorics
ol lavclados ovcr 30
ycars
1. Commission
Longitudinal Trcnd and
Policy Studics
Longitudinal data on thc
lilc trajcctorics ol Rios
lavclados lor usc in
othcr studics
Largcr knowlcdgc basc on
thc lactors that shapc and
pcrpctuatc urban povcrty
To cxplorc thc c ccts
ol public policy
on lowincomc
individuals, lamilics, and
communitics
!dcntily coping
mcchanisms and
survival stratcgics lor
ovcrcoming povcrty
2. Rcvicw Litcraturc and
Sccondary ata
Capacity building:
traincd rcsidcnts in
documcnting thcir own
rcality
Clcarcr undcrstanding ol
thc rolc local, national,
and intcrnational
policics play in livcs ol
thc urban poor
To tracc lilc history
pattcrns against major
political and cconomic
translormations and
urban cvolution
Train and cmploy
lavclados along with
univcrsity studcnts lor
rcscarch tcam
3. Rclocatc riginal
!ntcrvicwccs or
T cir Familics and
csccndants
!nput into o cial
documcnts, c.g., Vorld
cvclopmcnt Rcport
!ncrcascd capacity and
scllcstccm ol lavcla
rcsidcnts, community
organizations, local
nonpro ts
!nlormal policymakcrs
at local, national, and
intcrnational lcvcl
To tcst thc mcdiating
c ccts ol civil socicty
and social nctworks
valuatc thc impact ol
public policy on thc
urban poor in Rio,
contrasting targctcd and
untargctcd policics
4. raw Ncw Random and
Lcadcrship Samplcs in
riginal Communitics
Photo documcntation
showing thcn and now
!mprovcd allocation lor
urban rcscarch, policy,
and practicc
To bcttcr inlorm dccision
makcrs conccrncd with
thc urban poor
!dcntily milcstoncs in thc
political, cconomic, and
urban changcs in 8razil
5. Sclcct PolicySpcci c
Upgradcd Favclas lor
comparison
Policy implications
dcrivcd lrom rcscarch
ndings
Crcation ol mcthodology
lor usc in othcr
longitudinal and pancl
studics ol urban povcrty
and mobility
xplorc thc rolc ol NGs
and communitybascd
associations
6. Prcparc and prctcst
survcy instrumcnts
Publication in journals,
cditcd volumcs, and
ncwslcttcrs
Vhcrc political will cxists,
highcr probability ol
policy succcss
Convcnc stakcholdcrs and
policy mcctings to tcst
rcsults and disscminatc
ndings
7. Conduct cld
intcrvicws
Multigcncrational
SitcSpcci c
8ook Lcarning community to
sharc knowlcdgc and
advocatc lor changc
locuscd on upgrading
and urban povcrty
8. Contcxtual and
historical rcscarch
9. Coding ol lilc history
data, qucstionnaircs,
and intcrvicw rcsults
10. ata vcri cation and
analysis
11. ralt rcport lor
lccdback
12. Prcscnt ndings at Rio,
8razil, and intcrnational
mcctings
13. Rcvisc nal rcport
14. isscmination to
targctcd audicnccs
[
3
4
4
]

A
P
P
E
N
D
I
X

1
Conceptual Framework
Brazilian Political and Economic Transformations
Rio de Janeiro Political and Economic Transformations
Rio de Janeiro Spatial and Functional Transformations
Public policies
(targeted and untargeted)
Civil Society
Agency
2003 Outcomes
Sample from 1968-69
C
o
n
t
e
x
t
u
a
l
V
a
r
i
a
b
l
e
s
Original interviewees
Random Sample Leadership Sample
Original interviewees
Random Sample Leadership Sample
Communities
Catacumba : favela
Nova Braslia : favela
Duque de Caxias : loteamentos, favela
children
original interviewees
parents
M
o
b
i
l
i
t
y

?
1920
1930
1940 1950 1960 1970 1980 1990 2000
Local
State
National
International
Family and neighborhood networks
Community-based organizations
External nonprofits
1910 2002
grandchildren
vicuvv ~i . + Conccptual lramcwork lor longitudinal multigcncrational study in thc lavclas ol Rio dc Janciro.
A P P E N D I X 1 [ 3 4 5 ]
coxcvv:u~i vv~:vwovx
Tc conccptual lramcwork ! uscd in addrcssing thc study goals and objcctivcs and in
guiding thc analysis is diagrammatically dcpictcd in gurc A+.+, which ! also discusscd
bricy in chaptcr .
Tc lundamcntal qucstion is what happcncd to thc rcsidcnts ol thc thrcc original
communitics in +686 ovcr lour dccadcs as comparcd with thcir (largcly rural and
illitcratc) parcnts and as comparcd with thcir urbanborn, bcttcrcducatcd childrcn
and grandchildrcn. !t looks at how public policy and civil socicty may or may not
havc inucnccd thc changcs ovcr this timc pcriod and within thc largcr contcxt ol
translormations in 8razil and in thc city ol Rio dc Janciro.
:i xvu :v:nouoioci vs
Tc study was optimistically ambitious in scopc. ! am not surc ! would havc had thc cour
agc to start it il ! had rcalizcd how many ycars it would takc. 8ut ! wantcd to tracc thc
lilc trajcctorics across thc lour gcncrations and kncw that this had ncvcr bclorc bccn donc
in any systcmatic way lor thc urban poor. Vith thc hclp ol collcagucs and thc invaluablc
assistancc ol local rcsidcnts, ! combincd qualitativc and quantitativc mcthods, including
dircct obscrvation, indcpth (opcncndcd) intcrvicws, a participatory proccss to collcc
tivcly rccrcatc thc history ol cach community (RP), and survcy qucstionnaircs plus ycar
byycar lilc historics gathcrcd lrom intcrvicws with a total ol :,+8: pcoplc. All ol thcsc
wcrc uscd to comparc with thc original qucstionnaircs, lilc historics, and opcncndcd
intcrvicws conductcd in thc carlicr study, and to comparc with ccnsus and houschold sur
vcy data lrom thc samc points in timc. Vith this mixturc ol mcthods ! was ablc to shcd
light on thc issucs ol transgcncrational transmission ol povcrty, incquality, and cxclusion,
and to cxplorc social mobility in a highly uncqual socicty.
vvoniv:s coxvvox:vu
Among thc problcms wc laccd wcrc (+) nding thc original intcrvicwccs and vcrilying thcir
idcntitics (having uscd rst namcs only in our original study lcd to many lalsc lcads in thc
bcginning), (:) cstablishing contact with and coopcration lrom lamily mcmbcrs ol origi
nal participants who had sincc dicd, () gaining acccss to thc communitics (pcrmission to
conduct thc study) in thc lacc ol incrcasing control by drug gangs, () lormulating a rcviscd
qucstionnairc that would bc comparablc to thc original onc but comprchcnsiblc and rclcvant
in thc currcnt momcnt, () rccrcating thc contcxtual historics ol thc thrcc

communitics, (6)
dcaling with sclcctivc mcmory and mcmory loss, and () tcsting lor potcntial bias rcsulting
lrom any systcmatic dicrcnccs bctwccn thc pcoplc wc lound and thosc wc did not nd.
:nvvv vn~svs ov :nv s:uuv
Tc study was dividcd into thrcc phascs, an cxploratory phasc (to tcst thc lcasibility ol
nding thc original intcrvicwccs), a multigcncrational intcrvicw phasc that lookcd at thc
[ 3 4 6 ] A P P E N D I X 1
samc pcoplc and thcir dcsccndcnts ovcr timc, and a community study phasc, looking at a
ncw random samplc in thc original study sitcs.
Phase I: Exploratory Research
!n asscssing thc lcasibility ol nding original participants and working with thcm in
thc rcstudy, wc conductcd a scrics ol opcncndcd and scmistructurcd intcrvicws with
somc ol thc survivors lrom thc original samplc, collccting thcir pcrsonal narrativcs and
cxploring how thcy tcndcd to dcscribc thcir cxpcricnccs, how much thcy rccallcd, what
thcy idcnticd as bcnchmarks in thcir own livcs, and thc livcs ol thcir communitics, and
what mcaning thcy assigncd to ccrtain words, conccpts, and imagcs.
Phase II: Implementation
Ncxt, wc rcintcrvicwcd :6: out ol thc original o study participants and a random
samplc ol thcir childrcn +6 ycars or oldcr ( out ol +,oo). Vc thcn movcd on to a
random samplc ol thcir grandchildrcn, +6 ycars or oldcr. Vc dccidcd to includc grand
childrcn, dcspitc thc lact that thcrc wcrc lcwcr ol thcm, bccausc wc suspcctcd that somc
ol thc mobility that thc original gcncration sccmcd to cxpcct lor thcir childrcn whcn
thcy dccidcd to migratc to thc city was only bcginning to show up in thc grandchildrcns
gcncration.
Tis phasc also includcd contcxtual intcrvicws and participatory collcctivc rccon
struction ol community historics (using RP), as wcll as lcadcrship intcrvicws with old
and ncw lcadcrs in which wc touchcd on strugglcs ol thc past, challcngcs ol thc prcscnt,
and what has changcd ovcr timc. Vc wcrc lortunatc cnough to capturc somc ol thc kcy
momcnts in thcsc intcrvicws on vidcotapc, including a sccnc in which thrcc lormcr lcad
crs ol Catacumba rcturncd to thc sitc ol whcrc thcir homcs had bccn (now an abandoncd
park) and rccallcd growing up thcrc and thc politics that had lcd to thcir cviction.
Phase III: Te New Random Sample
Tc ncxt stcp was to sclcct ncw random samplcs lrom thc original communitics and
apply thc samc survcy tcchniqucs to thcm, so that wc might comparc thc communitics
at two points in timc, as wcll as asscss and mitigatc any bias that might rcsult lrom thc
particular subsamplc wc wcrc lollowing. Vc intcrvicwcd oo pcoplc randomly sclcctcd
in cach ol thc communitics and : local lcadcrs lrom cach community.
Vc also idcnticd thc tcn most and lcast succcsslul individuals lrom thc random
samplc and lrom thc clitc samplc and conductcd opcncndcd intcrvicws with thcsc o
individuals, scarching lor clucs as to what lactors may havc contributcd to thcir dispa
ratc positions in lilc.
And nally wc crcatcd multigcncrational portraits ol sclcctcd lamilics, visiting cach
mcmbcr ol cach gcncration. Vc wcrc conccrncd about how thc sclcction ol random
childrcn within a lamily could acct our pcrccptions ol thc ncxt gcncration. To addrcss
this conccrn, ! sclcctcd scvcral ol thc lcadcrs and random samplc individuals whom !
kncw wcll in cach ol thc thrcc communitics, and ! visitcd thc homcs and/or workplaccs
ol as many ol thcir siblings, childrcn, and grandchildrcn as possiblc. !t was whilc doing
A P P E N D I X 1 [ 3 4 7 ]
this that ! crcatcd thc lamily trccs showing thc sizc ol cach lamily along with thc cduca
tion and occupation ol cach lamily mcmbcr. . Gctting to know thc childrcn and grand
childrcn bcttcr was csscntial to thc storics ! havc told in this book.
coxcvv:s ov vovvv:v, i xvgu~ii :v,
:~vci x~ii :v, vxciusiox, ~xu :oni ii :v
Vc havc bascd our undcrstanding ol thcsc tcrms and thcir rclationship with cach othcr
not only on thc cxccllcnt cxisting litcraturc citcd throughout this book, but on thc way
thcy arc uscd and undcrstood by community rcsidcnts thcmsclvcs.
!n short, throughout both thc original study and thc lollowup wc havc uscd a multi
dimcnsional pcrspcctivc, incorporating social, cultural, political, and cconomic compo
ncnts into our undcrstanding ol what it mcans to bc poor, discnlranchiscd, cxcludcd,
and stigmatizcd. Tc idcas ol choicc, lrccdom, citizcnship, voicc, dignity, rights, and
rcsponsibilitics havc all cmcrgcd in thc proccss.
i xuic~:ovs
Although our work is bascd on multigcncrational lilc trajcctorics, wc havc limitcd data
on thc parcnts ol thc original intcrvicwccs (placc ol birth, lcvcl ol cducation, and prin
ciplc occupation). ur robust data bcgins with thc original participants and continucs
through a randomly sclcctcd samplc ol thcir childrcn and grandchildrcn. ur qucstion
naircs includcd scctions addrcssing thc lollowing arcas:
Basic Data: Vc startcd with basic inlormation on thc cducation, occupation,
contribution, and participation ol thc cntirc lamily group and ol cach housc
hold mcmbcr.
Year-by-year life histories matrix: Vc trackcd changcs in rcsidcncc, occupation,
cducation, lamily status, and (lrom +6 on) hcalth, in ordcr to undcrstand
lilc uctuations and dctcct pcriods ol upward and downward mobility in both
absolutc and rclativc tcrms.
1
Domestic economy: Qucstions wcrc includcd about thc houscholds asscts and
incomc sourccs, thc naturc ol thc rcsidcncc, thc collcctivc urban scrviccs thc
houschold uscd, and thc monthly cxpcnditurcs ol thc houschold unit.
Social capital: Qucstions wcrc includcd about lricndship and kinship nctworks
(naturc, cxtcnt, and lrcqucncy), mcmbcrship in associations, and participation
in community activitics.
Violence, police, drug tra c, and personal security: Qucstions about thcsc con
ccrns wcrc addcd to thc scction on thc usc ol public spacc in thc original
qucstionnairc.
Perceptions about public policy: Vc askcd qucstions about pcrsons political pcr
ccptions and participation, pcrccptions about public policy and citizcnship,
and contacts with various lcvcls ol govcrnmcnt.
[ 3 4 8 ] A P P E N D I X 1
Social mobility: Vc askcd somc ol thc qucstions uscd by Graham and 8irdsall
and includcd thc laddcr lrom thc Latino 8aromctro.
2
Vc askcd about pcrsons
aspirations and cxpcctations (thcir own and thosc thcir parcnts had lor thcm)
and how cach pcrson comparcd his or hcr own status to that ol various rcl
crcncc groupssiblings, othcr community mcmbcrs, and pcoplc outsidc thc
community. Vc also askcd pcrccption qucstions about cxclusion, stigma, and
discrimination, and how somc ol thosc havc changcd ovcr timc.
:nv ivssoxs wv iv~vxvu
Along thc way, wc cncountcrcd problcms ol many typcs, including conccptual, mcth
odological, tcchnical, and logistical oncs. !ts usclul to go into a bit morc dcpth about a
lcw ol thcm, along with thc ways wc attcmptcd to ovcrcomc thcm, lor thc sakc ol othcrs
cmbarking on pancl studics undcr similar circumstanccs. (A sct ol longitudinal pancl
studics in thc squattcr scttlcmcnts ol dicrcnt citics and countrics would indccd bc a
powcrlul rcsourcc lor addrcssing thc unanswcrcd qucstions that my studics havc raiscd.)
Tc most important problcms wc cncountcrcd, how wc approachcd thcm, and what wc
lcarncd lrom thcm arc as lollows.
Relocating Original Interviewees
Vc laccd scvcral scrious di cultics in rclocation, including thc lact that o ycars had
passcd, that onc ol thc communitics had bccn rcmovcd and thc rcsidcnts scattcrcd into
scvcral public housing projccts, and that in thc intcrcsts ol condcntiality during thc
hcight ol thc dictatorship, wc had askcd only lor rst namcs (cxccpt among thosc in thc
lcadcrship samplc).
Our approach. ! startcd by rccontacting and visiting my closcst lricnds in thc commu
nitics and thc lamilics with whom ! had staycd during my timc thcrc. ! had maintaincd
contact with thcm ovcr thc ycars and was ablc to nd thcm casily and ask lor thcir hclp.
!t was rcadily obvious lrom thc start ol Phasc ! that univcrsity studcnts would havc an
impossiblc timc trying to rclocatc thc lamilics, so wc composcd tcams ol community
rcsidcnts, many ol thcm childrcn or ncighbors ol original study participants. Vc dcvcl
opcd a training program lor thcm and a lorm ol rcmuncration bascd on hours workcd
and on succcsslul location ol original participants.
Tcy startcd at thc original addrcss, and il thc pcrson was no longcr thcrc, askcd
lor any lcads or inlormation. (!t is intcrcsting that o pcrccnt ol thosc wc lound wcrc
cithcr in thc samc housc or in thc samc ncighborhood, so that madc our task casicr.) !l
no inlormation was known, thcy wcnt to thc ncighbors on both sidcs and thc oppositc
houscs. !l no onc rcmcmbcrcd thc pcrson or lamily, thcy wcnt to thc various community
organizations, churchcs, local hangouts, and so on. Vc cvcn crcatcd postcrs with thc
namc ol thc study, saying Vc want to nd you again, showing a photo ol mc in +6
and a drawing that had bccn uscd on thc covcr ol thc Portugucsc cdition ol my book
(knowing that somc ol thcm had sccn it), and giving our o cc addrcss and phonc numbcr.
A P P E N D I X 1 [ 3 4 9 ]
Vc madc it as casy as wc could lor thc original participants to contact us, with thc
hclp ol announccmcnts on local community radio stations and in local ncwslcttcrs
although thc rcsults ol thcsc corts wcrc limitcd.
What we learned. Vc wcrc surpriscd by our succcss: Tc pcrccntagc ol pcoplc that had
rclocatcd was highcst lor thc community whcrc wc cxpcctcd it to bc lowcst (Catacumba,
which had bccn rcmovcd in +o) and lowcst lor thc placc wc cxpcctcd it to bc high
cst (Caxias, whcrc hall thc intcrvicwccs wcrc land owncrs). Tc rcason, wc discovcrcd,
was thc strcngth ol thc local social nctworks. Tc Catacumba rcsidcnts had lought so
many collcctivc battlcs lor watcr, clcctricity, sanitation, strcct paving, and nally against
rcmoval that thcy had morc powcrlul bonds with onc anothcr, dcspitc thcir gcographic
scparation. Tosc in thc lotcamcntos had not participatcd in collcctivc strugglcs lor
urban scrviccs, had not lormcd as many community organizations, and thcrclorc did
not know thcir ncighbors as wcll. Vhcn a lamily movcd out, thc salc was simply a
markct transaction, and lcw kcpt in touch with thcm. Vhats morc, many ol thc namcs
and strcct numbcrs in thcsc ncighborhoods had bccn changcdand cvcn somc ol thc
namcs ol thc ncighborhoods thcmsclvcs. Favclas rctain a living mcmory that privatc
propcrty docs not.
Tis phcnomcnon cxplains thc rcsults chartcd hcrc. Clcarly, wc had a much grcatcr
succcss ratc with thc lcadcrs, not only bccausc wc had thcir last namcs, but also bccausc
thcy tcndcd to bc widcly known.
Dealing with Original Interviewees Who Had Died
Vc wcrc ablc to locatc thc lamilics ol many ol thc original participants who had passcd
away. Vhat wc did in this casc was to ll in thc lilc history matrix by intcrvicwing thc
pcrsons spousc and oldcst childrcn to rcconstruct his or hcr rcsidcntial, occupational,
cducational, lamily, and hcalth historics. l coursc, wc could not apply thc qucstion
nairc in thcsc cascs, but wc did includc all ol thc childrcn in our running list ol thc ncxt
gcncration, and samplcd thcm proportionatcly.
Verifying the Identity of the Relocated Individuals
!n thc middlc ol our intcrvicwing proccss, wc discovcrcd a daunting problcm. As thc
data lrom thc lilc historics and qucstionnaircs wcrc bcing chcckcd lor consistcncy
bclorc coding and digitizing thc rcsults, wc noticcd that somc ol thc inlormation did
not match thc prolc ol thc original pcrson intcrvicwcd. Somc wcrc thc wrong agc to
havc bccn includcd in thc original samplc, othcrs showcd a birthplacc ol thcir mothcr
or lathcr that did not match data wc had, and so on.
Our approach. ncc wc rcalizcd that thcrc had bccn somc misidcntication ol
rcspondcnts, wc haltcd thc coding and systcmatically rcvicwcd cach pcrson idcnticd,
using kcy variablcs lor dctcrmination. Vc lound lalscly idcnticd individuals, all
with thc samc rst namc as thc original rcspondcnt. Two modications wcrc madc in
our proccdurcs, as lollows. (+) Vc uscd thc data lrom thc lilc history matriccs lrom
+6 to crosschcck thc validity ol cach ol thc pcoplc idcnticd thus lar. (:) Vc addcd
[ 3 5 0 ] A P P E N D I X 1
scvcral additional picccs ol inlormation about cach original rcspondcnt to thc packct ol
inlormation wc gavc to thc cld tcam, so that thcy might havc a highcr ratc ol accuracy
in thcir idcntications.
What we learned. Tis rcvision cost us prccious timc and moncy, so wc rccommcnd
that luturc rcscarchcrs utilizc a rigorous vcrication proccss lrom thc bcginning. Ulti
matcly, wc crosschcckcd thc kcy inlormation (thc agc and gcndcr ol cach child as wcll as
thc datc ol marriagc) on cach qucstionnairc, calling on thc intcrvicwccs lor clarication
whcncvcr wc cncountcrcd inconsistcncics.
Access to the Communities and the Problem of Violence
Vithout a doubt, thc biggcst changc wc lound whcn wc rcturncd to thc urban ncigh
borhoods was thc prcscncc and powcr ol drug gangs that vicd with onc anothcr lor
control ol thc lavclas and cngagcd in armcd battlcs with thc policc. Tc challcngc ol
this violcncc was thc grcatcst onc wc laccd, and most di cult to ovcrcomc. !ts most
important ncgativc cccts wcrc as lollows. (+) Many ol my rcscarchcrs (cvcn thosc lrom
within thc community) wcrc unwilling to participatc in thc study, and many othcrs
droppcd out. For cxamplc, thc tra ckcrs noticcd that onc ol our tcam mcmbcrs, a rcsi
dcnt ol thc Quitungo housing projcct, was visiting scvcral apartmcnts cvcry day and
bcgan to suspcct shc was spying lor thc authoritics. Shc was thrcatcncd and lorccd to
rcsign lrom thc projcct. (:) Scvcral lamilics ol original intcrvicwccs had movcd out ol
thcir communitics altogcthcr, lcaring thcyd bc caught in thc crossrc. Somc had bccn in
Nova 8raslia all ol thcir livcs but had cd to thcir lamilics or spouscs homctowns, oth
crs had livcd in thc conjuntos lor o ycars, sincc thc rclocation, but had lclt to rcnt apart
mcnts in outlying ncighborhoods, lcaring that thcir childrcn would bccomc involvcd in
vicuvv ~i . : Rclocation ol original intcrvicwccs. Succcss ratc ol nding thc original
intcrvicwccs bctwccn + and :oo+, in total and lor cach community, indicating thosc
lound living and thosc who wcrc dcccascd.
70%
Relocated Dead
Relocated Alive
60%
50%
40%
30%
20%
10%
0%
19%
15%
35%
22%
Total
41%
307/750
Random
36%
216/600
Leaders
61%
91/600
21%
25%
A P P E N D I X 1 [ 3 5 1 ]
drugs il thcy staycd. () No onc was ablc to cntcr thc communitics on days whcn thc
gangs wcrc carrying on armcd battlcs or thc policc had dccidcd to conduct a raid, caus
ing many dclays in our cldwork. () Tcrc was a high ratc ol rclusal to answcr qucs
tions about violcncc. Tc ratcs ol o not know/o not want to answcr in qucstions
rclatcd to dcalcrs, policc, or violcncc was up to o pcrccnt on somc qucstions, comparcd
with almost zcro on most othcrs. About +o lamilics would not cvcn providc us with thc
namcs or locations ol thcir childrcn, lcaring thcy might bc involvcd with thc tra c.
Our approach. Vc undcrstood that our study involvcd dangcrous work, and wc took
thc dangcr quitc scriously. \cry carclully, wc attcmptcd to ncgotiatc acccss to thc com
munitics through thc lcadcrs ol thc Rcsidcnts Associations (most ol whom wcrc placcd
in lcadcrship rolcs by thc drug lords) and to visibly idcntily all tcam mcmbcrs as such, lor
thcir protcction. ach rcscarchcr was givcn a kit including a bright turquoisc Tshirt
with thc McgaCitics logo, a namc tag that was worn around thc ncck, with a photo
!, thc namc ol thc study, thc namc ol thc rcscarchcr, thc o cc tclcphonc numbcr, and
so on, and a lcttcr signcd by mc cxplaining thc study and idcntilying thc intcrvicwcr
by namc as part ol thc rcscarch tcam. Vc callcd potcntial intcrvicwccs cach morning,
to ask il it was salc to comc and scc thcm, and whcn thcrc was a doubt, wc rcschcdulcd
thc intcrvicw.
What we learned. Although wc wcrc carclul, wc undcrstood that uncxpcctcd things
happcn. For luturc studics, wc rccommcnd scnding intcrvicwcrs in pairs and kccping
thcm in closc touch with cld supcrvisors at all timcs. (Tc ubiquity ol ccll phoncs
should makc that much casicr today.)
3
Perfecting the Questionnaire
An ccctivc qucstionnairc had bccn thc corncrstonc ol our original study, and was just
as important whcn wc wcnt back. ur dilcmma was how much to updatc it. As wc
dcvclopcd thc qucstionnairc, scrutinizing its contcnt, languagc, and undcrlying thcorcti
cal constructs, wc bccamc conccrncd that somc topics that had ariscn in opcncndcd
intcrvicws wc had rcccntly conductcd wcrc abscnt lrom thc original qucstionnairc, most
notably violcncc. !n addition, somc topics that havc gurcd promincntly in rcccnt litcra
turc, lor cxamplc houschold composition and authority, had not bccn covcrcd in grcat
dctail in our carlicr study. Somc ol our phrascs and words now soundcd archaic and
inappropriatc. ur challcngc was to rcvisc thc instrumcnt so that it would providc an
ccctivc basis lor comparison bctwccn thcn and now, as wcll as bctwccn our study and
othcr currcnt oncs in thc cld. (Tcsc includcd Moscrs longitudinal study ol houschold
rcsponscs to povcrty and 8irdsall and Grahams work on social mobility.)
4
Our approach. Altcr considcration, wc climinatcd thc original qucstionnaircs scction
on attitudinal modcrnity and updatcd ccrtain words and phrascs so as to kccp thc qucs
tions clcar and comprchcnsiblc. Vc addcd scvcral scctions, including onc on violcncc,
and a matrix ol houschold composition and contribution, along with morc inlormation
about thc cxpcnditurc pattcrns ol thc lamily. Vc also uscd thc laddcr ol social mobility
rccommcndcd by 8irdsall and Graham. Tc rcsult was a vcry long qucstionnairc that
includcd +: qucstions in addition to thc lilc history matrix. !t took ovcr two hours to
applyand not surprisingly, wc lound that although thc original participants sccmcd
[ 3 5 2 ] A P P E N D I X 1
contcnt to go through it, thcir adult childrcn oltcn bccamc impaticnt. Vc considcrcd
shortcning thc qucstionnairc lor thc ncxt gcncration but dccidcd against this, lor lcar it
would impair comparability.
What we learned. Vc would not usc such a long qucstionnairc again, though wc
gaincd valuablc insights lrom cach scction. !n my original study, ! did a sccond prctcst
ol thc qucstionnairc altcr thc rcsults lrom thc rst onc wcrc incorporatcdand pcrhaps
wc should havc donc this again. uring thc coursc ol our intcrvicws, wc rcalizcd that
wc had sacriccd cxact comparability whcn wc had rcwordcd thc qucstions, so lor thc
random samplcs in Phasc !!!, wc wcnt back to thc original qucstionnairc, staying as
laithlul as possiblc to all ol thc itcms wc rctaincd.
Creating a Contextual Questionnaire
Vc prcparcd a contcxtual qucstionnairc bascd on thc onc ! had dcvclopcd lor thc origi
nal study, and applicd it to community cldcrs and thc original lcadcrs. !t provcd vcry
problcmatic lor thc sccond study, as cach ol thc rcspondcnts had a dicrcnt pcrspcctivc
on thc history ol thc community and rcmcmbcrcd dicrcnt cvcnts as important. Cohcr
cncc and rcliability bccamc challcngcs wc could not ovcrcomc, cvcn with thc hclp ol
ncwspapcr accounts lrom thc timc. (!t turncd out that thc lavclas wcrc rarcly mcntioncd
in thc papcrs, cxccpt whcn onc was rcmovcd.) 8ooks and disscrtations provcd cqually
unhclplul.
Our approach. Vc nccdcd a collcctivc mcmory in ordcr to rcconstitutc thc history ol
cach community and crosschcck datcs and cvcnts. Vc didnt want to imposc what wc
considcrcd thc bcnchmark cvcnts in cach placcs history onto pcoplcs pcrsonal storics,
but to scc thcm lrom thc rcsidcnts point ol vicw. Vc dccidcd to cmploy a RP, an
cvcnt in which wc brought scvcral mcmbcrs ol thc community togcthcr to collcctivcly
intcrprct thcir own rcality and conccrns. Vc crcatcd an cnormous timc linc that covcrcd
an cntirc wall, marking only kcy calcndar datcs starting with +:o, showing whcrc +68
would bc, and going up to thc prcscnt ycar. Vc lct thc participants ll in all thc othcr
ycars and thc cvcnts thcy lclt wcrc rclcvant.
Participants wcrc givcn pads ol sticky notcs and invitcd to writc on thcm what thcy
considcrcd thc most important cvcnts in thc lilc ol thcir community and placc thcm
on thc timc linc. Tcy cndcd up crcating scvcral crosscutting catcgorics: urban scrviccs,
housing, drugs and violcncc, natural disastcrs, major political cvcnts, and so on. Tcrc
was much discussion and argumcnt about cxact datcs and namcsand suddcnly pcoplc
bcgan to ovcrcomc thcir shyncss and start having lun with thc task. Vc took notcs,
madc vidcotapcs, and ultimatcly uscd thc brown papcr scrolls and sticky notcs to writc
up thc community historics.
What we learned. Tc pcoplc know bcst, and togcthcr thcy know morc!
Memory
nc ol thc major di cultics in studics donc ovcr such a long pcriod ol timc, is thc lal
libility ol mcmory and its sclcctivc naturc, a problcm that was worscncd by thc advanccd
agc ol most ol thc mcmbcrs ol our original samplc. Mcmory is constantly bcing rccon
A P P E N D I X 1 [ 3 5 3 ]
structcdand wc wcrc asking pcoplc to rcmcmbcr in somc dctail thc many rcsidcntial,
occupational, and cducational changcs thcyd cxpcricnccd ovcr o ycars. ur goal was
nothing lcss than trying to capturc thc mcssy ups and downs ol rcal lilc and thc way
challcngcd pcoplc havc copcd with criscs, not lor a handlul ol pcoplc but hundrcds
ol thcm, across scvcral gcncrations. Tcsc data arc di cult to collcct, to codc, and to
analyzc.
Our approach. Vc discovcrcd that thc lilc history matrix workcd quitc wcll as an
cntry point into thc intcrvicws, cncouraging thc intcrvicwcr and intcr vicwcc to sit sidc
by sidc and ll in thc changcs togcthcr, going back and lorth in timc and across catcgo
rics. nc itcm, such as thc birth ol a child, might hclp jog mcmory ol othcr itcms, such
as placc ol rcsidcncc, likcwisc, a movc to a ncw placc was oltcn associatcd with a changc
ol job or lack ol work. !t bccamc an cnjoyablc collaborativc cxcrcisc, using triangulation
to hclp ll in mcmory lapscs. ur rcal challcngc was in dctcrmining how to intcrprct
thc data, cspccially how to control lor normal changcs in thc lilc cyclc. Tus, thc ycar ol a
lilc cvcnt (including thc allimportant datc ol cntry into thc worklorcc) and thc pcrsons
agc wcrc both considcrcd in cach intcrprctation ol upward or downward mobility.
!n addition, wc wcrc grappling with thc lact that many changcs makc lilc ncithcr bcttcr
nor worscthcy arc simply tradcos maximizing dicrcnt things at dicrcnt timcs. For
cxamplc, lcaving thc lavcla lor a pcriphcral ncighborhood cannot always bc considcrcd a
stcp up. (Considcr thc casc whcrc somconc has lclt not by choicc but out ol lcar ol vio
lcncc, and has lound himscll tcrribly loncly and isolatcd in his ncw sctting.) Similarly, a
movc lrom a salaricd job to working lor oncscll cannot ncccssarily bc considcrcd a stcp
down. (Supposc shc is carning thc samc amount or morc in thc inlormal scctor and has
morc lrccdom and cxibility.) Tcsc arc somc ol thc issucs wc considcrcd in intcrprcting
our data.
What we learned. Vc lound that thc richcr thc data and closcr thcy wcrc to rcality, thc
hardcr it was to draw simplc conclusions or nd cohcrcnt pattcrns. !n light ol that lact,
our qualitativc data and pcrsonal narrativcs loomcd largcr in importancc as wc workcd
to intcrprct our rcsults.
ni~s
Vhilc it sccmcd an achicvcmcnt to locatc ovcr oncthird ol our original samplc altcr
thrcc dccadcs, thcrc was still thc risk that thc twothirds not locatcd would prcscnt an
cntircly dicrcnt picturc, cithcr much bcttcr or much worsc, and that wc would thcrc
lorc bc unablc to gcncralizc lrom our ndings. To this considcrablc risk ol bias wc addcd
thc possiblc distortion inhcrcnt in thc lact that thc pcoplc wc lound tcndcd to bc thc
youngcst ol thc original group.
Our approach. !n an attcmpt to quantily our bias, wc comparcd thrcc groups using thc
original +6 data: (+)living original participants who had complctcd qucstionnaircs in
both timc pcriods, (:) dcad original intcrvicwccs lor whom wc had rcconstructcd lilc
historics, and () all thosc lrom thc original study wc could not nd. cspitc agc and
community biascs, wc lound thc thrcc groups to bc lairly homogcncous, and that gavc
us condcncc that wc had managcd to nd a rclativcly rcprcscntativc samplc. Tcrc was
a slight tcndcncy among thc group wc lound toward highcr lamily incomc, morc acccss
[ 3 5 4 ] A P P E N D I X 1
to scrviccs, morc childrcn, and morc intcgration into thcir communiticsbut thcsc dil
lcrcnccs wcrc not signicant. Vc wcrc lclt wondcring whcthcr thosc who rcmaincd in
thc samc communitics and so wcrc casicst to nd wcrc simply thc lailurcs who couldnt
makc it out or thc succcsscs who did not cnd up on thc strccts.
Vc madc an cort to answcr this qucstion with indcpth intcrvicws ol all thc origi
nal participants wc had locatcd. ! madc trips to Joao Pcssoa, Natal, 8raslia, 8clo Hori
zontc, Sao Paulo, and Porto Alcgrc lor thc purposc, cvcn il thcrc wcrc only onc or two
individuals in thosc placcs.
What we learned. ! lcarncd that without this stcp wc would havc had no idca just
how di cult lilc was in thc countrysidc and how dccp thc povcrty thcrc could bc. Many
who lclt thc lavclas camc back altcr nding no work and no way to survivc, othcrs got
borcd and camc back to bc part ol thc lilc ol thc big city again. Tosc who staycd and
prospcrcd wcrc ablc to join with othcr lamily mcmbcrs to opcn shops and scrviccs or
wcrc ablc to livc incxpcnsivcly on rctircmcnt and pcnsions.
What we planned to do but could not. Vc had planncd to add two morc clcmcnts to
thc study dcsign: (+) a quasicxpcrimcntal dcsign tcsting thc cccts ol lavcla upgrading
policics and rcmoval, and (:) a study ol thc ncw lavclas and clandcstinc subdivisions in
thc Vcst Zonc.
Tc rst idca was to sclcct lavclas that could scrvc as a loosc control groupinsolar
as thcy had thc cxact oppositc historics ol policy intcrvcntions lrom thosc wc studicd.
Vc would thcn bc ablc to comparc thc livcs ol thc rcsidcnts in thosc communitics with
thc livcs ol thc rcsidcnts in our original communitics. For cxamplc, wc wantcd to sclcct
a South Zonc lavcla as similar as possiblc to Catacumba (in +68), but that had not
bccn rcmovcd and to nd a North Zonc lavcla similar to Nova 8raslia (in +68) that
had not bccn ignorcd by govcrnmcnt upgrading programs, but on thc contrary had bccn
thc bcncciary ol scvcral such projccts lrom CSC to Cada Familia um Lotc, to
Mutirao to Favcla8airro.
Tc last stcp was to look at thc ncwcr lavclas and lotcamcntos in thc Vcst Zonc
to scc how thcy comparcd with thc North and South zonc lavclas whcn ! rst studicd
thcm. Timc and moncy ran out bclorc thcsc two nal stcps wcrc takcnbut ! am still
intcrcstcd in sccing what thcy would rcvcal and collaborating with studcnts or col
lcagucs who wish to cxplorc this.
appendi x 2
Analytical Framework for
Assessing Success
ui :vxsioxs ~xu covvvi~:vs ov uvw~vu :oni ii :v
Vhcrcas most ol thc original study participants and thcir sccond and thirdgcncration
dcsccndants madc considcrablc progrcss toward improving thcir livcs, only a handlul
madc it into thc upscalc South Zonc ol thc city or landcd prolcssional jobs. ut ol
88 pcoplc across all thrcc gcncrations, only 6 ol thc original intcrvicwccs, + ol thcir
childrcn, and ol thcir grandchildrcn had achicvcd living standards that would charac
tcrizc thcm as gcntcpeople, rathcr than invisiblc, disposablc bcings.
How did thcsc lcw managc to gct ahcad: Vas it shccr luck and happcnstancc or
arc thcrc pattcrns in attributcs, attitudcs, and/or bchaviors that incrcascd thcir prob
abilitics ol succcss: How would wc mcasurc thc conccpt ol gctting ahcad or achicving
succcsslul outcomcs rclativc to thc group as a wholc:
!n thinking about thosc who havc bccn succcsslul, wc can look to thc Catacumba
rcsidcnt who bccamc part ol 8razils lympic rowing tcam and his son, who is now in
mcdical schoolor 8cncdita da Silva lrom 8abylonia, or Pcl, or any numbcr ol sports
and music stars.
As succcsslul outcomcs go lar bcyond thc standard pcr capita lamily incomc,
! cxpandcd thc way that ! mcasurcd succcss to includc (+) cconomic mobility, as
mcasurcd by sociocconomic status and individual incomc, (:) gcographic mobility,
as mcasurcd by cxit lrom lavclas into lcgal ncighborhoods, () political mobility, as
mcasurcd by citizcnship/participation, and () psychological mobility, as mcasurcd by
aspirations, satislaction, and pcrccivcd mobility rclativc to various rclcrcncc groups (scc
gurc A:.+).
Tc ndings bascd on this analytical lramcwork rcvcal thc intcractions among thcsc
lactors and thc way thcy can crcatc an upward spiral linking SS and incomcs with
agcncy, civic and political participation, and optimism.
Tc qucstions bchind this analytic approach arc: Vhat compriscs succcss in moving
away lrom povcrty and cxclusion, and what lactorscndogcnous and cxogcnousacct
a pcrsons chanccs ol succcss: Tc analytical lramcwork (shown in gurc A:.+) prcscnts
[ 3 5 6 ] A P P E N D I X 2
a systcmatic way to cxplorc thc rclationship bctwccn thc givcns, lor cxamplc, indcpcn
dcnt variablcs such as agc, gcndcr, racc, origin, and houschold composition, mindsct,
lor cxamplc, attitudcs such as latalism, optimism, agcncy, social capital, lor cxamplc,
bonding and bridging, and vc varictics ol succcsslul outcomcs.
Tc rst thing to noticc in thc diagram abovc is that ! havc dcncd succcsslul
outcomcs along multiplc dimcnsionsso that thc dcpcndcnt variablc is a compositc
mcasurc. ! uscd thc sociocconomic status indcx (SS) and incomc as two aspccts ol
cconomic succcss, lavcla cxit as a sign ol spatial intcgration, citizcnship as a mcasurc ol
political intcgration, and satislaction as a mcasurc ol pcrccivcd wcllbcing. Vhcn ! tcstcd
cach ol thcsc dimcnsions ol succcss against cach othcr, ! lound strong signicant corrc
lations among thcm that hcld up across all ol thc gcncrations and both timc pcriods. Tc
singlc cxccption is that political participation was signicantly corrclatcd only with SS
and not with any ol thc othcr mcasurcs, which may bc duc to thc low lcvcl ol political
participation and lack ol variancc.
!n looking lor pattcrns bascd on cach pcrsons ascribcd charactcristics, wc lound
that agc and thc stagc a pcrson was at in his or hcr lilc cyclc inucnccd attitudcs and
outcomcs in thc cxpcctcd dircction, lavoring thc young or thosc in midcarccr, and that
bcing malc (or in a malchcadcd houschold) conlcrrcd distinct advantagcs. Youth and
malcncss also corrclatcd positivcly with intcrvcning variablcs such as agcncy and opti
mism, which lcd to grcatcr succcssthcrcby compounding thc gcndcr advantagc and
crcating a virtuous cyclc. Tosc who had advantagcs to start with wcrc ablc to takc
advantagc ol thcm to kccp improving rclativc to thc rcst ol thc group, whcrcas thosc lcss
lortunatc wcrc gcncrally unablc to catch up.
Analytical Framework
INDEP. VARIABLES INTERVENING VARIABLES DEPENDENT VARIABLES
SES
Income
Favela Exit
Citizenship
Satisfaction
ATTITUDES
Belief System
Fatalism
Optimism
INDIVIDUAL
Age
Gender
Race
Migrant / Non
Orig. Favela
HOUSEHOLD
# Siblings
Gender HHH
SOCIAL
INTEGRATION
Social Capital
CONTEXTUAL FACTORS: Job market, violence, stigma, corruption
vicuvv ~:. + Framcwork lor data analysis on vc outcomc mcasurcs.
A P P E N D I X 2 [ 3 5 7 ]
Racc, on thc othcr hand, madc surprisingly littlc dicrcncc within this lowincomc
population.
1
Undcrclass status sccms to havc trumpcd skin color, conrming what
thc intcrvicwccs had rcportcd: thc stigma ol povcrty (signicd by lavcla rcsidcncc)
wcighcd morc hcavily than thc stigma ol racc. Tc othcr strong ndings wcrc that
thosc born in Rio (vcrsus thosc who wcrc migrants) had highcr SS scorcs in all
thrcc timc pcriods (+6, :oo+, and :oo) and that thosc with smallcr lamilics scorcd
highcr in SS, incomc, and satislaction.
Vhcrcas white males wcrc thc most succcsslul by outcomc mcasurcs, mulatto females
(lollowcd by mulatto malcs and black lcmalcs) wcrc most upwardly mobile. !n tcrms ol
original location, thc most succcsslul wcrc lrom thc subdivisions in Caxias (who startcd
out slightly bcttcr o than thosc in lavclas), but thosc lrom thc favela of Catacumba (in
thc midst ol thc upscalc South Zonc) had thc highcst mobility. Vhilc cducation was
a dctcrmining lactor in succcsslul outcomcs lor thc original samplc, thosc who wcnt
lrom thc lowcst to thc highcst quintilcs ovcr thcir lilctimcs wcrc not thc most cducatcd
among thcir pccrssomc wcrc illitcratc, and many had low or no schooling. (!t was in
thc mobility ol thcir childrcn and grandchildrcn whcrc cducationcspccially univcrsity
cducationmadc a notablc dicrcncc.)
As lor intcrvcning variablcs, latalism was ncgativcly corrclatcd with succcsslul
outcomcs across all gcncrations. !n othcr words, pcoplc who bclicvcd that what hap
pcncd to thcm was a rcsult ol dcstiny or latc (vcrsus hard work) or that 8razils luturc
dcpcndcd on God or luck rathcr than on thc work ol thc pcoplc or good govcrnmcnt
wcrc lcss likcly to bc proactivc in sccking out opportunitics, lcss likcly to havc a stratcgy
VIRTUOUS CYCLE
2-way positive correlations
SES,
INCOME
CIVIC & POLITICAL
PARTICIPATION
PROGRESSIVE,
PROACTIVE MINDSET
OPTIMISM
ABOUT FUTURE
BEING MALE, WHITE AND YOUNGER GIVES OVERALL ADVANTAGE, BUT
ABOVE RELATIONSHIPS HOLD CONTROLLING FOR RACE, GENDER AND AGE
vicuvv ~:. : \irtuous Cyclc: Positivc rclationship bctwccn progrcssivc and practivc
mindsct, civic and political participation, sociocconomic status and incomc, and optimism
about thc luturc.
[ 3 5 8 ] A P P E N D I X 2
lor gctting ahcad, and thus lcss likcly to succccd. (Tis, in turn, rcinlorccd thcir passivity
and latalismcrcating a vicious cyclc.)
2
Convcrscly, optimism about thc luturc
3
was positivcly corrclatcd with sociocconomic
status and political participation, most notably among thc childrcn ol thc original intcr
vicwccs. Using a scrics ol qucstions to mcasurc pcrccivcd satislaction with oncs lilc, wc
discovcrcd that, across all gcncrations, thosc who lclt most satiscd also scorcd highcst
on thc optimism mcasurcs. Tcy also cxhibitcd a proactivc rathcr than a passivc mindsct,
and took action in dcaling with community or lamily problcms rathcr than waiting to
scc il things would improvc.
Tc rclationship bctwccn social capital and succcsslul outcomcs was dctcrmincd by
thc type ol nctworks, thc mcmbcrships, and thc socializing bchavior ol thc individuals.
Tosc with grcatcr bridging nctworks (cxtcrnal) had signicantly bcttcr outcomcs in
SS, incomc, and political participation than thc avcragc, and thosc with grcatcr bond
ing nctworks (intcrnal) had worsc outcomcs.
4
n thc issuc ol satislaction, thcrc wcrc clcar dicrcnccs among thc gcncrations. For thc
pcoplc intcrvicwcd in thc rst study, community unity was highly important, but it madc
littlc dicrcncc lor thcir dcsccndants. nly lor thc childrcns gcncration was sociocconomic
status a strong lactor in satislaction, and lor thc grandchildrcn, thc most important lactors
wcrc indcbtcdncss (thc morc dcbt, thc morc satiscdwhich may sccm surprising, but ! will
cxplain) and titlc to oncs housc (as opposcd to land titlc, which was a scparatc variablc).
From living with thc lamilics and knowing thc grandchildrcn as wcll as ! do, ! can cxplain
thc apparcnt paradox ol morc dcbt lcading to grcatcr satislaction. Tc dcbt is consumcr
crcdit, and consumption is thc badgc ol prcstigc lor thc young. Tcy buy cvcrything, lrom
ccll phoncs to sound systcms to shocs and shirts, on timc, paying in multiplc installmcnts
that includc staggcring amounts ol intcrcstsomctimcs totaling scvcral timcs thc pricc ol
thc itcm. Tc morc thcy owc, thc morc thcy havc to show o, thc bcttcr to imprcss thcir
lricnds and approximatc thc imagcs thcy scc on tclcvision. Tis lcads us to thc broadcr qucs
tion ol how pcoplc asscss thcir own progrcss and luturc prospccts. !n short, this crcatcs a
virtuous cyclcan upward spiral. Figurc A:.: dcpicts this spiral ol upward mobility that !
lound lor thosc who wcrc moving away lrom povcrty.
Tc ndings rcprcscntcd hcrc show that agcncy (a proactivc mindsct and cngagc
mcnt in civic and political lilc) was closcly rclatcd to optimism about thc luturc and, in
turn, to highcr incomc and sociocconomic status. Tis hcld truc rcgardlcss ol agc, racc,
or gcndcr. Howcvcr, bcing a young, lightskinncd malc conlcrrcd a distinct advantagc
but not cnough to dctcrminc positivc outcomcs on thc vc laccts ol succcss.
i x:vvcvxvv~:iox~i :v~xs:i ssiox ov succvss
Tc qucstion ol how much ol lilc succcss is dctcrmincd by thc dcgrcc ol succcss ol oncs
parcnts (raiscd in chaptcr ) is rclcvant hcrc. Vhat il birthplacc, numbcr ol siblings,
typc ol community, bclicls, bchaviors, and social nctworks wcrc all irrclcvant in cxplain
ing dicrcntial lilc outcomcs bccausc thcy wcrc prcdctcrmincd by thc dcgrcc ol succcss
ol thc parcnts: Tis would indccd bc thc casc in a castc systcm. To tcst this with our
data, wc uscd thc individual sociocconomic status scorcs ol parcnts and thcir childrcn.
!t cnablcd us to scc thc cxtcnt to which any individuals SS scorc is dctcrmincd by (or
A P P E N D I X 2 [ 3 5 9 ]
could bc prcdictcd) by his or hcr mothcrs or lathcrs scorc. As dcscribcd in chaptcr , wc
lound vcry littlc rclationship bctwccn thc scorcs ol parcnts and childrcn. !n short, thcrc
was no cvidcncc ol intcrgcncrational povcrty or rclativc succcss. Tc coc cicnts lor cach
typc ol parcntchild match arc shown in tablc A:.+ bclow.
:~niv ~:. + Intra- and Intergenerational Transmission of Poverty as Measured by
SES Scores (based on comparing each individual with his or her own children)
Intragenerational
riginal intcrvicwcc +6 and :oo+ o.:
Intergenerational
riginal intcrvicwccs in +6 and thcir childrcn in :oo+ o.8
riginal intcrvicwccs in :oo+ and thcir childrcn in :oo+ o.+
Childrcn in acc. and grandchildrcn in acc. c.
riginal intcrvicwccs in +6 and thc grandchildrcn in :oo+ o.:
riginal intcrvicwccs in :oo+ and thc grandchildrcn in :oo+ o.o (not sig)
Note : Tis shows positivc but wcak rclationships lor cach pair. Tc only strong corrclation is bc
twccn thc status ol thc childrcn and thc grandchildrcn.
This page intentionally left blank
notes
vvvv~cv
+. Tis was a summcr program lor + to +ycarold girls organizcd by Lcon and Fran
nic Sciaky, who had movcd to axaca altcr thcir progrcssivc school was shut down
and thcy wcrc cxilcd lrom thc country during thc McCarthy cra.
:. Alan Holmbcrg dcbunkcd thc thcory ol a sclldclcating culturc ol povcrty by show
ing that thc only thing nccdcd to changc thc backward valucs and passivc bchavior
ol thc !ndians who workcd on a hacicnda in thc Pcruvian highlands was to buy thc
land and givc thcm thc owncrship. !nstcad ol taking scvcral gcncrations to scorc
highcr on thc Modcrnity ol Man !ndcx (Alcx !nkclcs), it took only thc timc nccdcd
lor thc workcrs to bclicvc that thc land was actually thcirs.
. !n 8razil thc word intcrior connotcs not distancc lrom thc coast but distancc lrom
civilization. Tis unusual opportunity lor undcrgraduatc rcscarch was part ol thc
CorncllHarvardColumbia!llinois Summcr Ficld Studics Program in Anthropol
ogy, lundcd by thc Carncgic Foundation.
. Arcmbcpc latcr bccamc an intcrnational hippic dcstination hangout, it was cvcntu
ally dcstroycd by a chcmical plant just up thc coast. Tc two othcr study sitcs (both
within hall a days walk) wcrc Jaua, an cvcn smallcr shing villagc, and Abrantcs, an
agricultural villagc arraycd around an opcn squarc whcrc a singlc rccord was continu
ally blastcd ovcr loudspcakcrs, cclcbrating thc rcccnt arrival ol clcctrical powcr.
. Tis is onc ol thc rcasons thc Paulo Frcirc mcthod as dcscribcd in his book Te
Pedagogy of the Oppressed (+) was so appcaling and so powcrlul. !t startcd with
thc mcaning ol thc kcy words pcoplc uscd most oltcn (thcir corc vocabulary) and
instcad ol sounding out thc syllablcs, it hclpcd associatc thc word in its cntircty with
a picturc ol thc dcsignatcd objcct that thcy could rccognizc and namc. Tc symbol
a sct ol lcttcrsand thc objcct wcrc shown togcthcr on slidcs Frcirc madc up and
projcctcd with a gcncrator lor powcr.
6. Tc doctoral disscrtation rcscarch was lundcd by grants lrom a Voodrow Vilson
Tcaching Fcllowship.
[ 3 6 2 ] N O T E S T O P A G E S X I X 1 2
. Scc Janc Jacobs (+6+).
8. Scc Nancy SchcpcrHughcs (+:), Richard 8cnjamin Pcnglasc (:oo:).
. Vhcn somcthing pcrsonal was condcd, such as thc indclity ol a husband, ! would
stop taking notcs, but thc womcn would say Vritc, writc that downits vcry
important.
+o. Janicc . Pcrlman (+6), Janicc . Pcrlman (+).
++. A bricl window ol opportunity opcncd in +8+, whcn a small group at thc Vorld
8ankRichard Vcbb, oug Kcarc and Ana Maria SantAnnabccamc intcrcstcd
in doing comparativc rcstudics ol carlicr survcys in Lima and Rio squattcr scttlcmcnts,
looking at thc cxtcnt to which thc livcs ol thcir inhabitants wcrc inucnccd by mac
rocconomic and political changcs or public policics in thcir rcspcctivc countrics. Tc
bank lundcd a :wcck study trip to Rio to tcst thc mcthodology ol nding thc original
intcrvicwccs, but thc projcct camc to an abrupt halt whcn Richard Vcbb was callcd
back to Pcru to bccomc govcrnor ol Pcrus Ccntral 8ank.
+:. Tim Campbcll at thc Vorld 8ank !nstitutc took thc initiativc lor this study and
lollowcd it through to its conclusion. Grcg !ngram, who hcadcd thc Rcscarch Com
mittcc ol thc Vorld 8ank at thc timc, took thc risk ol supporting thc study, dcspitc
thc sccpticism ol many ol his pccrs.
+. Prolcssors Carlos Vcincr and Pcdro Abramo wcrc my local partncrs on this, along
with thrcc ol thcir graduatc studcnts.
i x:vouuc:iox
+. Four pcrccnt havc complctcd somc univcrsity schooling and anothcr pcrccnt ol
thc childrcn havc carncd a univcrsity dcgrcc.
:. ncyclopacdia 8ritannica nlinc, s.v. 8razil, www.britannica.com/8chcckcd/
topic/8+o+/8razil (acccsscd Junc :, :oo8).
. Ministrio do Plancjamcnto, ramcnto c Gcstao, and !nstituto 8rasilciro dc
Gcograa c statstica (:ooo).
. Tis was donc in two stagcs: (+) sclccting houscholds using a random numbcrs
tablc, altcr mapping and numbcring cach houschold, and thcn (:) sclccting indi
viduals systcmatically (+ in cvcry :.) lrom a running list ol cvcry houschold mcm
bcr bctwccn +6 and 6 ycars old. Tat way, rathcr than cnding up with a samplc
ol houscholds, ! was ablc to gct a random samplc ol rcsidcnts in thc communitics.
Somc houscholds had morc than onc pcrson includcd in thc samplc and othcrs had
nonc.
. Tc idca ol including an clitc samplc camc lrom my work with Prolcssor Frank
8onilla at M!T, who was conducting a largcscalc study in \cnczucla and crcating a
simulation that could play out luturc sccnarios.
6. Tc lilc history matrix was inspircd by thc work ol Jorgc 8aln, Harlcy 8rowning,
lizabcth Jclin, and Lcc Litzlcr (+6) in Montcrrcy, Mcxico.
. For a complctc dcscription ol thc mcthod scc J. Pcrlman (+).
8. Janicc . Pcrlman (+6b), thc book won thc C. Vright Mills Award in that ycar,
was publishcd in Portugucsc by ditora Paz c Tcrra, Sao Paulo, 8razil, in +, and
was rclcascd in papcrback in thc Unitcd Statcs in +.
N O T E S T O P A G E S 1 2 2 7 [ 3 6 3 ]
. As Javicr Auycro (+), o8+:, puts it, Almost thrcc dccadcs ago, in what would
latcr bccomc onc ol Latin Amcricas most original and controvcrsial contributions
to thc social scicnccs, a group ol sociologists tacklcd . . . thc cscalation ol urban mar
ginality. Vorking within a structuralhistoric ncoMarxist pcrspcctivc, thcy rccov
crcd thc notion ol marginality lrom thc rcalm ol modcrnization thcorics . . . which
locuscd on thc lack ol intcgration ol ccrtain social groups into socicty duc to thcir
(dcviant) valucs, pcrccptions and bchavioral pattcrns. Marginal groups, according to
this approach, lack thc psychological and psychosocial attributcs that wcrc dccmcd
ncccssary to participatc in modcrn socicty. . . . Marginality was thought to bc thc
product ol thc cocxistcncc ol bclicls, valucs, attitudcs and bchaviors ol a prcvious,
morc traditional stagc ol dcvclopmcnt.
+o. vcn Frantz Fanon (+6), +o, in Te Wretched of the Earth, spcaks ol thc uprootcd
pcasants circling aimlcssly around thc city as a natural sourcc ol rcvolutionary
activity.
++. ! could not nd thc pcrlcct phrasc or shorthand to rclcr to thc original intcrvicwccs.
!n somc ol thc charts, ! havc uscd !s as an abbrcviation lor riginal !ntcrvicwccs,
whilc in othcr placcs ! variously usc original study participants, original samplc,
or rcspondcnts. ! nd all ol thcm uncomlortablc, cumbcrsomc, and disrcspcctlul to
thc individuals who gavc ol thcir timc and trustcd mc with thcir storics and answcrs
to my qucstions. Howcvcr, ! havc not yct lound a tcrm ! likc, so ! usc thcsc tcrms
with this disclaimcr.
+:. Tcrc arc many pancl studics, but vcry lcw in urban shantytowns, in part bccausc
conditions lor such a study arc ncarly prohibitivc. No strcct addrcsscs, rcgistrics,
or o cial rccords ol slum populations cxist, and pcoplc tcnd to usc nicknamcs
bccausc so many havc thc samc namcs. !t was a risk to conduct rcscarch in what
thc rcst ol thc city has always considcrcd a nomansland, but today that risk has
incrcascd cxponcntially with thc risc ol drug tra cking and thc violcncc among
gangs and policc. !t is not surprising that this study took so many ycars to complctc
undcr thcsc conditions.
+. Somc studics havc uscd proxy pancls to addrcss issucs ol social mobility. Tcy
attcmpt to crcatc matchcd cohorts using ccnsus data rathcr than lollowing actual
pcoplc ovcr timc. Scc thc cxccllcnt work ol Franois 8ourguignon, Francisco H. G.
Fcrrcira, and Marta Mcncndcz (:oo) at thc Vorld 8ank and that ol Sonia Rocha
(+) and Ricardo Pacs dc 8arros, Ricardo Hcnriqucs, and Rosanc Mcndona
(:oo+) in Rio dc Janciro.
+. For morc dctail on thc ways wc tcstcd lor bias, scc appcndix +.
cn~v:vv +
+. Although thc Morro dc Provcncia is considcrcd to bc thc rst lavclc, thc lavcla ol
Santo Antonio cmcrgcd around thc samc timc and in thc samc manncr. Trcc othcr
scttlcmcnts datc back cvcn lurthcr (to +88+): Quinta do Caju, Mangucira (dicrcnt
lrom thc onc ol samba school lamc), and Scrra Morcna. Tcsc arcas wcrc rst scttlcd
by Portugucsc, Spanish, and !talian workcrs. Scc Mariana Cavalcanti (:oo).
:. Mariana Cavalcanti (:oo), +, Carlos Lcssa (:ooo), :o+.
[ 3 6 4 ] N O T E S T O P A G E S 2 7 3 2
. Marcclo 8aumann 8urgos (+8).
. Mariana Cavalcanti (:oo).
. Loc J. . Vacquant (+6).
6. Zucnir \cntura (+).
. Conlcrring lcgal land tcnurc to squattcrs rcmains problcmatic, and will likcly bc
cmbroilcd in lcgal procccdings lor thc lorcsccablc luturc, dcspitc thc rclcvant scc
tions ol +88 Constitution, thc City Statutc, policy/planning provisions lor squat
tcrs rights (uso capiao) and cmincnt domainand corts by intcrnational agcncics.
cial documcnts callcd HabitcSc wcrc distributcd to rcsidcnts ol thc lavclas
that wcrc upgratcd through Favcla8airro projcct by thc Municipal Sccrctary ol
Urbanism, giving thcm a titlc to thcir own housc cvcn though thcy do not own thc
land bcncath it. (!ntcrvicw with Allrcdo Sirkis, Municipal Sccrctary ol Urbanism
and nvironmcnt, March +, :oo.) According to Lu Pctcrson, thc Municipal Spc
cial Aairs ircctor, somc ol thc Favcla8airro participants do not want land tcnurc
to bc lcgalizcd as thcy do not want to pay propcrty taxcs and thcy lccl sccurc in thcir
land usc as is. Vhcn askcd why thcy arc not intcrcstcd in using land titlc as collatcral
lor loans, thcy rcpcatcdly say that thcy do not want to assumc any loans without a
surc way to rcpay thcm, which mcans stcady work, which most do not havc.
8. Pcdro Abramo (:oo+, :ooa, :oob), Pcdro Abramo and Suzana Pastcrnak Tasch
ncr (:oo) and Janicc Pcrlman (:o+o).
. Asidc lrom thosc lcw living on thc strccts, poor pcoplc livc in loteamentos clandes-
tinos (irrcgular subdivisions), conjuntos (public housing projccts), villasor avenidas
(small allcyways lincd on both sidcs with rows ol oncroom rcntals with sharcd
lacilitics) and thc traditional corticos (old houscs dividcd up with onc lamily pcr
room) or cabecas de porco (workcrs housing built as barracks).
+o. ata givcn to mc by Andrc Urani during a convcrsation at thc !nstituto dc studos
do Trabalho c Socicdadc (!nstitutc lor thc Study ol Vork and Socicty) in :oo8.
++. According to a spccch by Rios mayor, Ccsar Maia, on thc tcnth annivcrsary ol
Favcla8airro in Scptcmbcr :oo. Scc thc wcbsitc ol thc !nstituto Pcrcira Passos
lor updatcs. A third phasc, long dclaycd by political and cconomic lrictions bctwccn
thc national govcrnmcnt and thc city ol Rio, is about to bcgin as this book gocs to
prcss.
+:. Favcla8airro is thc most ambitious and cxtcnsivc squattcr upgrading program
that has bccn implcmcntcd in Latin Amcrica (and pcrhaps thc world). !t is lundcd
by thc !ntcrAmcrican cvclopmcnt 8ank, with contributions lrom thc National
Caixa conomica and local municipal govcrnmcnt. According to Josc 8rakarz, thc
brilliant crcator, promotcr, dircctor, loundcr ol thc program within !8, thc third
rcplcnishmcnt includcs provisions to includc thc largcr lavclas, to attcnd to social
dcvclopmcnt and job crcation and to cncouragc grcatcr citizcn participation (pcr
sonal discussion, January :oo). ! discuss this lurthcr in chaptcr +.
+. !n lact, thc dcvalucd propcrtics proximatc to lavcla cntranccs havc gradually comc to
bc considcrcd as part ol thc morro although thcy arc tcchnically and lcgally on thc
aslalto.
+. Tcrcsa P. R. Caldcira (:ooo).
+. Scc articlc on this by Joao H. Costa \argas (:oo6).
N O T E S T O P A G E S 3 4 4 0 [ 3 6 5 ]
+6. Tio (Unclc) and Tia (Aunt) arc tcrms ol rcspcct and cndcarmcnt uscd to addrcss
oldcr pcoplc.
+. Labcls likc slum nccd to bc contcxtualizcd to makc scnsc. Studcnts ! took on a
study abroad scminar spcnt scvcral days with pavcmcnt dwcllcrs in 8ombay bclorc
coming to Sowcto Township in Johanncsburg. Tcy wcrc amazcd at thc good
conditions ol thc aparthcidpcriod workcrs housingdisappointing our hosts,
who cxpcctcd thcy would bc appallcd. Scvcral mcn sharcd a room, and thcrc was
only onc bathroom and onc kitchcn pcr oor, as comparcd to living on a sidcwalk
against a stonc wall. !n a parallcl situation, whcn 8razilian youth lrom thc lavcla
wcrc invitcd to stay in thc South 8ronx with thc Ghctto Film School studcnts, thcy
thought thcy wcrc living in luxuryuntil thcy wcrc told thcy wcrc in onc ol thc
worst slums in Ncw York.
+8. Scc discussion by Nancy Youman (++).
+. Launchcd in + by thc Citics Alliancc undcr thc joint sponsorship ol thc Vorld
8ank and thc UN Ccntcr lor Human Scttlcmcnt (UNHabitat). Scc Alan Gilbcrt
(:oo).
:o. Tc MGs wcrc sct in :ooo in discussions among +8 nations and wcrc signcd by
+ countrics, who committcd thcmsclvcs to collcctivcly rcaching cight ovcrarching
goals (with +8 spccicd targcts) by thc ycar :o+. Goal is nsurc cnvironmcntal
sustainability. Scc www.un.org/millcnniumgoals.
:+. Unitcd Nations Human Scttlcmcnts Programmc and Global Urban bscrvatory
(:oo).
::. Scc Hoskins (+o), on thc origin ol thc word slum.
:. Te New York Times dcscribcd thc cholcra cpidcmic as hitting hardcst in thc poorcst
ncighborhoods, particularly thc slum known as Fivc Points, whcrc AlricanAmcr
icans and immigrant !rish Catholics wcrc crowdcd in squalor and stcnch, and, as
Kcnncth Jackson pointcd out in thc samc articlc, cxposing morc than cvcr thc citys
divisions ol class, racc and rcligion. Jackson continucd, summarizing thc prcvailing
attitudc ol thc day as thc classic blaming thc victimil you got cholcra it was your
own lault. As thc articlc pointcd out, in thc samc vcin, thc Martin Scorscsc lm Te
Gangs of New York rclcrs to thc low lilc in thc sinkholc ol Ncw York City. Scc
John Noblc Villord (:oo8).
:. To usc thc tcrms Charlcs J. Stokcs (+6:) uscd to distinguish passing through on
thc way up lrom bcing lclt bchind apparcntly in a no cxit situation. Tcsc tcrms
havc oltcn bccn uscd to contrast communitics ol immigrant groups to Ncw York
City (or thc U.S. in gcncral), with communitics ol Alrican Amcricans who appcar
trappcd in ghcttos lrom onc gcncration to thc ncxt. mpirical rcscarch is nccdcd to
addrcss this issuc lcst it lall into an uncxamincd stcrcotypc.
:. avid Sattcrthwaitc in corrcspondcncc with thc author, May 8, :oo. Scc also Spccial
!ssuc ol Enviroment and Urbanization (+o) which covcrs housing submarkcts in
dicrcnt citics, and Squatter Citizen (+8).
:6. Licia do Prado \alladarcs, Lidia Mcdciros, and Filippina Chinclli (:oo).
:. Scc McCann (:oo6).
:8. Scc, in ordcr ol mcntion, Joao Costa \argas (:oo6), Richard 8cnjamin Pcnglasc
(:oo:), Marcos Alvito (:oo+), and Marcclo 8aumann 8urgos (:oo:).
[ 3 6 6 ] N O T E S T O P A G E S 4 1 5 8
cn~v:vv :
+. Tc tcrms global South, shantytown, squatter settlement, slum, and informal sector arc
cach ladcn with thc baggagc ol connotations and implications that makc thcm
problcmatic.
:. Unitcd Nations cpartmcnt ol conomic and Social Aairs (:oo8).
. Mark Lcwis (:oo).
. Janicc . Pcrlman and 8rucc Schcarcr (+86).
. Scc anicl Howdcn (:oo).
6. Janicc . Pcrlman (+, +o), Janicc . Pcrlman and Molly Mcara Shcchan
(:oo).
. Actually, it shilts to thc rcal city, in which thc lormal and inlormal arc intcrdcpcn
dcnt.
8. UNHabitat (:oo8).
. Allrcdo Lattcs, Jorgc Rodrgucz, and Migucl \illa (:oo:).
+o. Unitcd Nations cpartmcnt ol conomic and Social Aairs (:oo8).
++. Slowing urbanization ratcs mcan a cumulativc dcclinc in (+) thc ratc ol domcstic
ruraltourban migration, (:) thc ratc ol immigration ol lorcigncrs dircctly to citics,
and () thc natural ratc ol population growth in citics. Alrica, which has rcmaincd
thc lcast urbanizcd rcgion, will havc thc highcst urbanization ratcs in thc coming
dccadcs. Scc Unitcd Nations (:ooo), Allrcdo Lattcs, Jorgc Rodrgucz, and Migucl
\illa (:oo:), :, Marccla Ccrrutti and Rodollo 8crtonccllo (:oo).
+:. Unitcd Nations Human Scttlcmcnts Programmc (:oo), duardo Lopcz Morcno
and Rasna Varah (:oo6).
+. avid dc Fcrranti ct al. (:oo).
+. \alria Pcro (:oo).
+. Tc sourccs uscd lor thc lacts and gurcs in this scction unlcss othcrwisc indicatcd:
Unitcd Nations cpartmcnt ol conomic and Social Aairs (:oo8), F. . Vagncr
and John . Vard (+8o), dsio Fcrnandcs (:oo), :o, \alria Pcro (:oo), and
Vorld 8ank (:oo).
+6. Ricardo Ncvcs (:oo), 66.
+. According to Sonia Rocha (:ooo) and (:oo). Shc clarics, Vhilc thc pcrccntagc
ol thosc in povcrty in rural rcgions has rcmaincd consistcntly highcr than thc pcr
ccntagc in urban rcgions, urban areas continue to contain the majority of the countrys
poor (Rocha, :oo, p. + cmphasis minc).
+8. According to thc Vorld 8anks statistics (claboratcd by !PA), thc pcrccntagc ol
poor pcrsons in 8razil is typical ol countrics with only oncthird ol 8razils pcr
capita incomc.
+. \alria Pcro (:oo).
:o. Sao Paulo lavclas arc quitc dicrcnt lrom thosc in Rio, in tcrms ol thcir location,
organization, and political cngagcmcnt, as Jamcs Holston (:oo8) dcscribcs in his
book Insurgent Citizenship.
:+. stado da Guanabara (+).
::. Scrgio 8csscrman and Fcrnando Cavallicrc, !nstituto Pcrcira Passos (:oo). Scc also Aysc
Pamuk and Paulo Fcrnando A. Cavallicri (+8), Paulo Fcrnando A. Cavallicri (:oo).
N O T E S T O P A G E S 5 9 9 5 [ 3 6 7 ]
:. !8G: !nstituto 8rasilciro dc Gcograa c statstica (:ooo).
:. Scc www.obscrvatoriodclavclas.org.br. Also 8ryan McCann (:oo6).
cn~v:vv
+. !ronically, Jacobi was thrown into thc samc jail ycars latcrnot lor rcligious rcasons,
but lor his work as a journalist during thc dictatorship.
:. Scc Fcrnando Moraiss cxccllcnt biography, lga.
. Gordon Parks (+8), :.
. Gordon Parks (+8), +:o.
. Gordon Parks (+8), +:::.
6. Tc photographs wcrc takcn by Luis 8lanc and thc two architccts wcrc Gilda 8lanc
and Hcloisa Coclho. Tcy also madc a count ol thc numbcr ol pcoplc pcr houschold.
Tc housc numbcrs wcrc pickcd by a random numbcr tablc and markcd in thc map
in rcd ink circlcs. Tis map hangs on thc wall in my o cc so whcn ! look up lrom
my writing, thcrc arc thc houscs, now long gonc.
. Ficld notcs, August +:, +6.
8. Gordon Parks (+6+).
. !t is not clcar whcthcr in +6, whcn Catacumba succccdcd in gctting thc policc
station thcy wantcd, thc rcsidcnts still lclt as positivcly about it as thcy had about thc
idca six ycars bclorc.
+o. Tc Ycllow Linc was built by thc city govcrnmcnt during thc rst mandatc ol Mayor
Csar Maia, but inauguratcd whcn his succcssor, Luiz Paulo Condc had bccomc
mayor. !t links thc growing and wcalthy 8arra dc Tijuca to Avcnida 8razil going
through thc North Zonc. !t gavc thc North Zonc acccss to thc South Zonc bcachcs
(much to thc dismay ol many South Zonc rcsidcncts) and improvcd acccss lrom
thc lowincomc arca ol Jacarcpagu (whcrc Jacobi livcs, and whcrc thc Cidadc dc
cus is locatcd) to thc Ccntro. Tc Rcd Linc, connccting Rio to thc 8aixada, was
built by thc statc govcrnmcnt with lcdcral support, and opcncd just in timc lor thc
+: arth Summit, making thc trip lrom thc intcrnational airport to thc city much
morc convcnicnt. Tc ncw govcrnmcnt also bcnctcd thc Complcxo do Mar with
thc crcation ol a parklatcr thc sitc ol thc \ila lmpica. Tcsc changcs arc among
thc lcw that thc lavcla population sccs as onc ol thc improvcmcnts sincc thc dicta
torship cndcd.
cn~v:vv
+. Tc :oo national dcvclopmcnt program, PAC (Programa dc Acclcraao do
Crcscimcnto), includcs plans to turn somc ol thcsc abandoncd lactory sitcs into
lowincomc housing and to usc othcrs lor social programs, job training, small busi
ncss incubators, and othcr typcs ol cconomic dcvclopmcnt programs. Community
rcsidcnts arc skcptical about govcrnmcnt promiscs, but still hopclul that this timc
will bc dicrcnt. PAC has plans lor onc million units ol aordablc housing nation
widc.
[ 3 6 8 ] N O T E S T O P A G E S 9 8 1 4 5
:. For grcatcr dctail on thc sampling proccss scc Pcrlman, Myth of Marginality (+6) and
Methodological Notes on Complex Survey Research Involving Life History Data (+).
. According to Z, thc only pcoplc who wcrc cvcr rcmovcd in Nova 8raslia wcrc +:
lamilics who occupicd land bclonging to a tcxtilc lactory, Tuy. Tcy wcrc trans
lcrrcd in +6 to anothcr arca insidc thc community.
. Undcr thc PAC, thcrc arc plans to usc thc sitc ol thc closcd CocaCola lactory lor
a housing projcct lor lowincomc lamilics who makc at lcast onc minimum wagc. !l
this happcns, it will bc thc rst govcrnmcnt housing program to rcach that scgmcnt
ol thc population.
. Tcrc is disagrccmcnt as to how many lavclas and which oncs arc part ol thc Com
plcxo dc Alcmao. According to a UN!CFlundcd rcscarch projcct conductcd by
Ccntro dc Promoao da Sadc (CAPS), a nonprot rcscarch ccntcr, thcrc arc
+: lavclas, according to thc !nstituto Pcrcira Passos, using thc !8G :ooo ccnsus
data, thcrc arc +o. Tc CAPS study lists lavclas (Grota, Parquc Alvorada, and
Armando Sodrc) that do not appcar in thc !nstituto Pcrcira Passos study, and thc
!nstituto Pcrcira Passos study lists onc ( Joaquim Quciros) that CAPS docs not.
6. \. Hugo (:oo).
. Tc Rcport lor UN!CF was donc by thc Ccntro dc Promoao da Sadc (CAPS),
(:oo).
8. Tcrc arc scvcral complcxos in Rio at this timc, including thc Complcxo do Mar
( lavclas, population ++,ooo), Complcxo do Jacarczinho (6 lavclas, population
6,oo), and Rocinha, which is a singlc lavcla occupying its own rcgional district
in thc South Zonc (+ lavcla, population 6,oo). Tcsc gurcs wcrc givcn to mc by
thc lormcr dircctor ol thc !nstituto Pcrcira Passos, Scrgio 8csscrman, bascd on thc
:ooo ccnsus which is thc most rcccnt onc. Tcy arc conductcd cvcry tcn ycars by thc
8razilian !nstitutc ol Gcography and Statistics, !8G.
. Grota, an oldcr lavcla startcd in +:8 as a cattlc larm.
cn~v:vv
+. Vila rclcrs to a scttlcmcnt, oltcn a group ol houscs around a courtyard or along both
sidcs ol an allcyway.
:. Tc two statcs wcrc luscd in + and togcthcr bccamc thc ncw Statc ol Rio dc
Janciro, a movc that rcmains controvcrsial to this day.
. Jos Claudio, intcrvicw with author, +.
. Tc lamily history was compilcd in :oo and rcccts pcoplcs agcs at that timc.
. Many ol thc womcn ! intcrvicwcd distinguish bctwccn thc numbcr ol babics thcy
gavc birth to and thc numbcr who survivc, but shc did not voluntccr thc inlorma
tion, so it is possiblc that shc had morc.
6. To mcntion just a lcw cxamplcs: thc son ol thc church janitor in Copacabana now has
his own construction busincss and owns scvcral apartmcnts thcrc, anothcr young man
now has a thriving picturclraming busincss in !pancma, ncar thc Praa Gcncral so
rio, and onc ol thc community lcadcrs bccamc a bank assistant in 8raslia and now
livcs in 8otalogo with his wilc and his daughtcr, who is an accountant and lawycr.
N O T E S T O P A G E S 1 4 8 1 5 2 [ 3 6 9 ]
cn~v:vv 6
+. u Sou Favcla was composcd in + by Noca da Portcla and Scrgio Mosca.
Lyrics quotcd in Janc Souto dc livcira and Maria Hortcnsc Marcicr, A Palavra c
(nccds acccnt) Favcla, in Zaluar and Alvito (+8), +o: (translation minc).
:. For contcmporary rclcrcnccs to pcoplc as dirty or as social discascs, scc 8cnigno
Trigo (:ooo).
. Favclas ol Guanabara (mimco), Rio dc Janciro, Fundaao Lcao X!!! (+68).
. Scc Janicc . Pcrlman (+6b), chaps. and 8, lor a lullcr discussion ol this topic.
. Janicc . Pcrlman (+6b), +.
6. Janicc . Pcrlman (+6b), :o.
. Many ol thosc ! intcrvicwcd said thcy had purchascd thcir cxpcnsivc houschold
itcms, such as hardwood bcdroom scts or living room lurniturc or, in somc cascs,
cvcn cars, during thc pcriod just altcr thc Rcal Plan, whcn thcir was worth morc and
addcd that il thcy had not bought thosc itcms at that timc, thcy would ncvcr havc
bccn ablc to aord thcm.
8. Unitcd Nations cvclopmcnt Programmc (:oo), !PA!nstituto dc Pcsquisa
conmica Aplicada (+).
. An cxccllcnt sourcc lor morc dctail on this is L. C. Quciroz Ribciro and . Tcllcs
(:ooo), 8o.
+o. Hclcn !ckcn Sala (:oo), 6, idcntics this as a trcnd lor Latin Amcrica: structural
adjustmcnt scvcrcly limitcd govcrnmcntal spcndingrcsulting in thc dcclinc ol thc
public scctor and privatization ol public scrviccs on which many ol thc urban poor
dcpcndcd. !t also lrozc wagcs and cmploymcnt, contributing to thc cxpansion ol
unrcgulatcd jobs in thc inlormal scctor lor thc scllcmploycd and subcontractors to
thc lormal scctor. lizabcth Lccds (+6) shows how this is rclatcd to thc incrcas
ing uncmploymcnt in Rio and to thc appcal ol drug tra cking.
++. ! dividc thc inlormal cconomy into two parts, distinguishing bctwccn illicit activi
tics and illcgal oncs. !llicit practiccs arc not o cially rcgistcrcd, do not pay taxcs,
pay thcir workcrs in cash without bcncts and/or occupy spaccon thc strcct or in
buildingsnot dcsignatcd lor such usc. Tc illcgal part ol thc inlormal cconomy
includcs thc morc lucrativc busincsscs such as drug and arms dcaling, bluc or whitc
collar crimc, organ salcs, and indcnturcd scrvitudc.
+:. According to Pctcr M. Vard (:oo), :, sincc +o Latin Amcrican countrics havc
tcndcd to shilt lrom largcly patrimonial and undcmocratic statcs toward morc dcm
ocratic, but downsizcd govcrnmcnts, oloading wcllarc systcms to local govcrn
mcnts and NGs.
+. Sucli Ramos Schicr (:oo:), ::6, statcs that in practicc, this mcans losing somc
basic guarantccs |such as| hcalth assistancc . . . cxtra months pay (thc decimo terceiro
or +
th
month), paid holidays, rctircmcnt bcncts and scvcrcncc pay that havc bccn
in ccct sincc thc +os lor lormal scctor jobs as a lorm ol compcnsation |lor| poor
wagcs.
+. ! am using thc word toxic in thc scnsc that Vollgang Sachs uscs it in his +: book,
Te Development Dictionary. Tc original titlc ol that volumc was to bc, A iction
ary ol Toxic Vords.
[ 3 7 0 ] N O T E S T O P A G E S 1 5 4 1 7 0
+. Naila Kabccr (+) dcscribcs social cxclusion as thc phcnomcnon ol bcing lockcd
out ol participation in social lilc as a rcsult ol thc activc dynamics ol social intcrac
tion rathcr than as a condition ol dcpcndcncc stcmming lrom somc anonymous
proccsscs ol impovcrishmcnt. Shc uscs it as a multidimcnsional conccpt in which
lactors ol powcr rclations, agcncy, culturc, and social idcntitics comc into play, an
cnvironmcnt in which individuals do not havc acccss to public rcsourccs, |and| as
a rcsult thcy arc ablc to contributc but not ablc to rcccivc. Tis is what ! dcscribcd
carlicr as asymmctrical intcgration. For an carlicr discussion ol social cxclusion in
8razil scc Paulo Singcr (+).
+6. For cxamplc, Sophic 8cssis and Roskildc Symposium (+) proposc that thc dil
lcrcncc is that povcrty is studicd by cconomists whilc cxclusion is studicd by sociolo
gists, S. Paugam (+) asscrts that social cxclusion is thc paradigm allowing our
socicty to bccomc awarc ol its own dyslunction, Pctcr Townscnd (+8) claims that
social cxclusion has strcngthcncd approachcs to povcrty by involving thc lack ol
lundamcntal rcsourccs and thc inability to lully participatc in oncs own socicty, and
Cccilc Jackson (+) distinguishcs bctwccn structural and individual cxclusion.
+. Marcio Pochmann ct.al. (:oo).
+8. Scc Amartya Kumar Scn (+), and othcr works, including thosc by Raj M. csai
and Vollcnsohn Ccntcr lor cvclopmcnt (:oo), Mcrccdcs Gonzalcz dc la Rocha
(:oo+), ccpa NarayanParkcr and Patti L. Pctcsch (:oo:).
+. Marcus Mclo (:oo:), .
:o. Loc J. . Vacquant (+6).
:+. For morc on CCTs, scc \alria Pcro and mitri Szcrman (:oo), Franois 8ourgui
gnon, Francisco H. G. Fcrrcira, and Phillippc G. Lcitc (:oo:).
::. Ncithcr thc minimum wagc nor thc currcncy cxchangc ratcs havc rcmaincd static
during thc pcriod ol this study. As ol Fcbruary :oo thc minimum wagc was about
oo rcais pcr month and thc dollar was worth around +. rcais. Tis puts thc mini
mum wagc in Rio at about :oo dollars pcr month (www.blogloco.com/r6novo
salariominimo:oo/).
:. Loc J. . Vacquant (+6).
:. Pcdro Abramo (:oo+).
:. Scc Joan M. Nclson (+6).
:6. Rccordcd on thc album Tracando Informao (+).
:. M\ 8ill, whosc rcal namc is Alcxandrc 8arctto, is in his midthirtics. Hc has coau
thorcd two bcstsclling books in 8razil: Falco: Meninos do Traco (:oo6) and Cabea
de Porco (:oo).
:8. Scc Janc Souto dc livcira and Maria Hortcnsc Marcicr (+8).
:. Scc Lukc owdncy (:oo).
cn~v:vv
+. Alcxci 8arrionucvo (:oo8), A6. Scc also Montc Rccl (:oo), A+.
:. dgar Pictcrsc (:oo), +.
. Conrad Kottak, now a prccmincnt prolcssor and author, was in Arcmbcpc and
Abrantcs in thc carly +6os. Vc wcrc both on thc undcrgraduatc Columbia
CorncllHarvard!llinois Summcr Ficld Studics Program in Anthropology. His
N O T E S T O P A G E S 1 7 1 1 8 5 [ 3 7 1 ]
rcscarch consistcd ol showing photographs ol laccs to 8razilians and asking pcoplc
to idcntily thc racial tcrm lor cach. Hc lound about lorty dicrcnt tcrms uscd and
vcry littlc agrccmcnt about how thcy wcrc uscd.
. Rcportcd by Larry Rohtcr (:oo), A.
. \. Hugo (:oo).
6. Rio dc Janciro, s.v. Nationmastcr.com, acccsscd Novcmbcr o, :oo8.
. Liana Lcitc (:oo8), cmtrio Vcbcr (:oo8). Comparisons bctwccn violcncc ratcs in
Latin Amcrica and uropc show that a youth in Latin Amcrica has o timcs grcatcr
probability ol bcing murdcrcd than a youth in uropc. Tc mortality ratc among youth
in Latin Amcrica is . pcr +oo,ooo vcrsus . pcr +oo,ooo in uropc.
8. !gnacio Cano (:oo).
. Tc H! lor Complcxo dc Alcmao is o.8, Gabon is o.6, Capc \crdc o.::.
!n somc uropcan countrics, thc indcx is almost doublc that ol Rios lavclas, c.g.
Norway (o.:), 8clgium (o.:), and Swcdcn (o.:). Tc H! ol 8razil as a
wholco.:placcs it sixtyninth among thc worlds + nations. Scc \. Hugo
(:oo) and Rio dc Janciro, s.v. Nationmastcr.com.
+o. For morc on this, scc Alba Zaluar, Clara Lucia !ncm, and Gilbcrta Acsclrad (+).
8, lizabcth Lccds (+6), anicl Katz (:oo8).
++. M\ 8ill, intcrvicw, Lcros, Junc :oo, www.lcros.co.uk.
+:. For morc dctail on this scc lizabcth Lccds (+6), :6, Lukc owdncy (:oo),
:, and Moiscs Naim (:oo).
+. Scc Marcclo Lopcs dc Souza (:oo).
+. Scc lizabcth Lccds (+6), :, anicl Katz (:oo8).
+. lizabcth Lccds (+6), 6, anicl Katz (:oo8), Lukc owdncy (:oo), :.
+6. Lukc owdncy (:oo), +, .
+. A morc dctailcd brcakdown ol thc rolcs in thc drug tra c is providcd by Louis
Kontos and avid 8rothcrton (:oo8), +:o.
+8. !ntcrvicw with !gnacio Cano, :oo+.
+. Rio dc Janciro, Nationmastcr.com.
:o. Scc Jamcs Holston (:oo8).
:+. L. Vacquant (:oo8), +:. Vacquant citcs Nilo 8atista (+8), , as thc sourcc ol
thc conccpt ol criminal policy as thc shcdding ol thc blood, scc also avid J.
Hcss, Robcrto A. aMatta, and Sidncy M. Grccncld (+6), 8, :::, and Kcn
Aulctta (+8:) on thc assumption that thc undcrclass opcratcs outsidc thc boundar
ics ol socicty.
::. L. Vacquant (:oo8), +.
:. Gary uy (:oo8).
:. Scc Colin 8rayton, Rio c Janciro: GatoNct, Alt.Public.Transport Vorth R8:8o
Million a Ycar, in thc Ncw Vorld Lusophonc Sousaphonc (wcblog), August :,
:oo8, http://tupiwirc.wordprcss.com/:oo8/o8/:/riodcjancirogatonctaltpub
lictransportworthr:8omillionaycar/. Tc numbcrs arc only cstimatcs. Convcr
sion ratcs uctuatc daily. ! havc uscd a ::+ ratio, rcais to dollars to arrivc at thc dollar
cstimatcs.
:. Tc titlc ol this scction is lrom thc titlc ol a book by avid Caplovitz (+6),
Te Poor Pay More: Consumer Practices of Low-income Families.
:6. Tcsc cxprcssions comc lrom thc classic work ol Gilbcrto Frcyrc (+6).
[ 3 7 2 ] N O T E S T O P A G E S 1 8 5 1 9 6
:. anicl M. 8rinks (:oo6), :+.
:8. ! rclcrcncc this phrasc lrom Janct L. AbuLughod (+).
:. !n thc last wccks ol :oo6, lor cxamplc, thc New York Times, thc 88C, Rcutcrs, and
othcr ncws sourccs carricd storics about thc wavc ol gang violcncc that swcpt ovcr
Rio to protcst thc inauguration ol thc ncw statc govcrnor clcctcd on a platlorm ol
cracking down on crimc and violcncc. Tcsc actions wcrc coordinatcd by a drug
kingpin lrom within his prison ccll and wcrc carricd out citywidc as a way to dcm
onstratc that thc tra c, not thc govcrnmcnt, was in control. Vhcn thc lcdcral policc
wcrc callcd in to hclp, thc opcration was inccctivc, and thc symbolism backrcd,
rcminding pcoplc ol thc military policc during thc dictatorship rathcr than giving
thcm a scnsc ol sccurity.
o. For morc on this, scc anicl Katz (:oo8), Lukc owdncy (:oo), o:, nriquc
csmond Arias (:oo6), Robcrt Gay (:oo).
+. 8razil :oo8 Crimc & Salcty Rcport: Rio dc Janciro ( July 8, :oo8), vcrscas Sccurity
Advisory Council (SAC).
:. Nonc ol our study communitics was controllcd by a militia during thc pcriod lrom
+:oo, but by :oo8 thcy had takcn ovcr somc lunctions in \ila pcrria in
Caxias and wcrc in a tcnsc stando with thc tra c.
. Gary uy (:oo8).
. Notcs lrom thc RP (Rapid Participatory iagnosis) mccting on cccmbcr :oo+,
which our rcscarch tcam organizcd lor thc collcctivc rcconstruction ol thc commu
nity history ol Catacumba and thc QuitungoGuapor conjuntos.
. Scc Janicc Pcrlman !t All cpcnds: 8uying and Sclling Houscs in Rios Favclas,
January :o+o, Rcport lor !HC, Vashington .C. (availablc at www.mcga.citics
.nct) Scc also Pcdro Abramo (:ooa, :oob), Pcdro Abramo and Suzana Pastcrnak
Taschncr (:oo).
6. Notcs, RP mccting, cccmbcr :oo+. !n cccmbcr :oo8, ! hcard that thc statc
govcrnmcnt had gottcn rid ol thc tra c in thc lavcla Santa Marta, which has a long
history ol strugglc and indcpcndcncc. Vhcn ! visitcd thcrc in Junc :oo, thcrc was
thc UPP: a policc station on top ol thc hill, whcrc spccially traincd policies pacica-
dores (pcacckccping policc) maintaincd a constant prcscncc in thc community and
kcpt dcalcrs out. Tc community rcsidcnts wcrc ovcrjoycd at thcir rcgaincd salcly
and lrccdom but wcrc upsct about thc hugc wall that was bcing built around thcir
community as part ol thc samc plan.
. !ntcrvicw with Nilton, Guapor, +.
8. !ntcrvicw Nova 8raslia, July :, :oo:.
. \. Hugo (:oo).
o. Tc changcs in rcligious a liation ovcr thc o ycars did not show thc massivc
convcrsion to cvangclicalism that thc popular prcss would lcad us to bclicvc. Tc
biggcst changc was a dcclinc in thc numbcr ol pcoplc who considcrcd thcmsclvcs
Catholicand among thosc who no longcr did, hall had bccomc cvangclical in onc
lorm or anothcr, and thc othcr hall said thcy had no rcligion. Among thc grand
childrcns gcncration, thc majority rcportcd having no rcligion.
+. Scc Mcrccdcs Gonzalcz dc la Rocha (:oo+).
:. Scc Robcrt . Putnam (:ooo), Robcrt . Putnam, Robcrt Lconardi, and Raaclla
Nanctti (+).
N O T E S T O P A G E S 1 9 6 2 1 5 [ 3 7 3 ]
. Scc Mark Granovcttcr (+8).
. Marcclo Lopcs dc Souza (:oo).
. Patrick Ncatc and amian Platt (:oo6).
6. M.\. 8ill (:oo6).
cn~v:vv 8
+. !ntcrvicw with Tio Souza at his apartmcnt in Padrc Migucl, July :oo.
:. Tc qucstion was id thc cnd ol thc dictatorship and thc rcturn to dcmocracy havc
any major impact on your lilc: !n a morc dctailcd brcakdown, ol thc cntirc group
ol original intcrvicwccs, + pcrccnt said thcy did not know, and 66 pcrccnt said
no impact, lcaving only +8 pcrccnt who said it madc any dicrcncc at all in thcir
livcs. Tis is an astonishing nding contradicting thc acadcmic litcraturc and thc
pcrccptions ol policymakcrs, NGs, and activists who bclicvcd that thc rcturn ol
dcmocracy would bc a grcat boon to thc undcrclass.
. Scott Mainwaring (+, +) and Juan Forcro (:oo).
. nriquc csmond Arias (:oo6a).
. Tcrcsa P. R. Caldcira (:ooo).
6. Tis systcm was cxplaincd to mc by ona Rita and hcr daughtcr Simony in Nova
8raslia, ctobcr , :oo8.
. Scc Janicc . Pcrlman (+8a).
8. Scc Saul avid Alinsky (+6, ++).
. Scc Janicc . Pcrlman (+8b).
+o. Among all thrcc gcncrations, hcalth carc that is acccssiblc, aordablc, and prolcs
sional cmcrgcd as a high priority, conrming my obscrvations ol how drcadlul thc
Rio public hospital systcm had bccomc. ! oltcn hcard thc phrasc, thc hospital
is whcrc pcoplc go to dic. Tcrc is no parallcl powcr providing hcalth scrvicc
through thc drug gangs.
++. vclina agnino (:oo), .
+:. Scc Jamcs Holston (:oo8).
+. Scc 8cncdita da Silva, Mcdca 8cnjamin, and Maisa Mcndona (+).
+. Tc lack ol rclationship bctwccn civic and political participation may bc duc to thc
cxcccdingly low lcvcls ol mcmbcrship in local associations in :oo+ as opposcd to
+6. vcry typc ol community association mcmbcrship droppcd to singlc digits
cxccpt lor rcligious a liation, which noncthclcss droppcd by pcrccnt lrom pcr
ccnt in +6 to pcrccnt in :oo+.
+. Tis disputcs Robcrt Putnams lamous thcsis that thc bonding nctworks arc rclatcd
to grcatcr political and cconomic intcgration, scc Robcrt . Putnam, Robcrt Lcon
ardi, and Raaclla Nanctti (+). Vc lound clcar dicrcnccs among thc commu
nitics: Pcoplc in Caxiaswhcrc thc lavclas, thc lotcamcntos, and thc rcst ol thc
municipality arc virtually continuousand Catacumbain thc middlc ol thc South
Zonchad thc highcst lcvcls ol cxtcrnal nctworks, whilc Nova 8raslia had thc
lowcst (and thc highcst intcrnal nctworks). Tc lorccd rclocation ol thc lavcla ol
Catacumba to thc Quitungo and Guapor conjuntos, which was dcvastating in
+o, has provcn bcnccial as thc rcsidcnts ol thc conjuntos havc many morc tics to
pcoplc and institutions outsidc thc community. Tc community unity in lavclas that
[ 3 7 4 ] N O T E S T O P A G E S 2 1 6 2 3 2
playcd a critical rolc in absorbing ncw migrants in thc bcginning, cvcntually hcld
somc pcoplc back lrom moving out and up.
+6. rving Goman (+).
+. Tis is a good sign, il it mcans that thosc who arc most awarc ol thc myriad lorms
ol cxclusion arc thc most willing to takc action. Tc qucstion was o you think
discrimination cxists rcgarding |a list ol itcms drawn lrom thc prctcst|: Tc ordcr
ol thc original intcrvicwccs answcrs was as lollows: living in a lavcla (8 pcrccnt),
skin color (8o pcrccnt), appcarancc ( pcrccnt), bcing a migrant (6o pcrccnt), and
gcndcr ( pcrccnt). Tc answcrs ol thc childrcn and grandchildrcn wcrc almost
idcntical. Tc indcx gavc onc point lor cach typc ol stigma rccognizcd, as cach prcs
cnts a barricr to participatory dcmocracy.
+8. Vc crcatcd a violcncc indcx lrom thc qucstion Havc you or anyonc in your lamily
bccn a victim ol robbcry, mugging, physical attack, homicidc, brcaking and cntcring,
policc cxtortion, othcr lorms ol cxtortion, and/or rapc/scxual abusc: ach a rma
tivc answcr addcd onc point to thc indcx lor that pcrson and wc corrclatcd that indcx
with scvcral variablcs mcasuring dicrcnt typcs ol participation.
+. !ntcrcstingly, wc lound no corrclation bctwccn thc violcncc indcx scorc and gcndcr,
racc, agc, community ol origin, intcrcst in politics, bclicl in participation, thinking
8razilians havc thc capacity to sclcct good candidatcs, or sccing thc class systcm as
closcd.
:o. Jorgc G. Castancda (:oo6).
cn~v:vv
+. !n thc Unitcd Statcs most pancl studics arc conductcd with populations that arc
casy to track, such as !vy Lcaguc undcrgraduatcs, nurscs or nuns. Tc closcst parallcl
to this study is thc work ol dward . Tcllcs and \ilma rtiz (:oo8), in Genera-
tons of Exclusion: Mexican Americans, Assimilation and Race, which lollowcd a largc
samplc ol Mcxican Amcricans in Los Angclcs and San Antonio across gcncrations.
Tc data lrom thc original study ol migrants lrom Mcxico, conductcd in thc latc
+6os, was lound in an abandoncd corncr ol a library at UCLA and Tcllcs was ablc
to locatc thc samc pcoplc and intcrvicw thcm and thcir dcsccndcnts. Givcn that
Tcllcs did not conduct thc original study himscll, this wondcrlul book docs not
dcscribc how pcoplc and thcir communitics changcd bcyond thc statistical rcsults ol
his survcy. Carolinc Moscr also did an intcrcsting rcstudy ol a squattcr scttlcmcnt in
Guatcmala, but it was limitcd to a small numbcr ol lamilics in a singlc small scttlc
mcnt shc had studicd dccadcs carlicr. My rcstudy was thc inspiration lor scvcral latcr
rcstudics lundcd by thc Vorld 8ank and thc 8ritish Aid Agcncy.
:. Scc \alria Pcro (:oo:b and :ooa).
. For morc dctail on this scc stanislao GacitaMari and Michacl J. \. Voolcock
(:oo8) stanislao GacituaMari Michacl J. \. Voolcock and !nstituto dc Pcsquisa
conmica Aplicada and (:oo).
. Tosc rcporting no incomc or not working arc not ncccssarily uncmploycd or
looking lor work. Tcy includc houscwivcs, studcnts, rctirccs, and anyonc bcing
supportcd by somconc clsc, such as parcnts, childrcn, spouscs, ctc. Favclas had thc
N O T E S T O P A G E S 2 3 2 2 5 0 [ 3 7 5 ]
highcst proportion ol pcoplc not working ( pcrccnt), thcn bairros (o pcrccnt)
and conjuntos (: pcrccnt). ividing thosc who wcrc working into manual and
nonmanual occupations showcd thc bairros had thc highcst pcrccnt ol nonmanual
(o pcrccnt), thc conjuntos ncxt ( pcrccnt), and in thc lavclas lcast (only :+ pcr
ccnt). Tcrc is a clcar hicrarchy among thcsc typcs ol communitics.
. According to Karcn Moorc (:oo), social cxclusion and advcrsc incorporation
intcract so that pcoplc cxpcricncing discrimination and stigma arc lorccd to cngagc
in cconomic activitics and social rclations that kccp thcm poor. Shahin Yaqub (+)
discusscs this lorm ol cxploitation as thc plight ol thc working poor.
6. GacitaMari and Voolcock, (:oo8 and :oo).
. Tc coc cicnts lor thcsc corrclations arc as lollows: bctwccn thc original intcrvicw
ccs in +6 and :oo+: o.:, bctwccn thc original intcrvicwccs in +6 and thcir
childrcn in :oo+: o.8, bctwccn thc original intcrvicwccs and thcir childrcn in
:oo+: o.+, bctwccn thc childrcn and grandchildrcn in :oo+: o.8, bctwccn thc
original intcrvicwccs in +6 and thc grandchildrcn in :oo+: o.:, and, bctwccn
thc original intcrvicwccs and thc grandchildrcn in :oo+: o.o.
8. Shahin Yaqub (+), +.
. Quotcd in ccpa NarayanParkcr (:oo), .
cn~v:vv +o
+. Scc avid Harvcy (:oo).
:. iscussion with Vanda ngcl Aduan, ctobcr :oo.
. Scc dcnitions and discussions in Machiko Nissankc and . Torbcckc (:oo,
:ooa, :oob).
. For morc on thc conccpt ol advanccd marginality scc Loc J. . Vacquant (+6,
+). Tc idca and tcrminology lor spacc ol ows as opposcd to spacc ol placcs
comcs lrom thc scminal work ol Manucl Castclls (:ooo).
. Somc scholars arguc that globalization is not linkcd with advanccd capitalism, and is
not a conscqucncc ol policy prcssurc to lollow thc Vashington conscnsus, but is thc
manilcstation ol an agcold drivc natural to thc human spirit . . . thc urgc to prot by
trading, thc drivc to sprcad rcligious bclicls, thc dcsirc to cxploit ncw lands and thc
ambition to dominatc othcrs by armcd mightall had bccn asscmblcd by 6ooo nc to
start thc proccss wc now call globalization (scc Nayan Chandra, :oo).
6. Cclso Furtado (+6, +8:).
. n this scc Kcnncth F. Schcvc and Matthcw J. Slaughtcr (:oo).
8. Scc tilia Arantcs, Carlos 8. \aincr, and rmnia Maricato (:ooo).
. Scc Mcrikc 8locld (:oo) lor comparisons with Latin Amcrica in gcncral.
+o. !n 8razil, lcss than + pcrccnt ol thc national incomc wcnt to thc bottom +o pcrccnt ol
thc population, whilc closc to o pcrccnt wcnt to thc top +o pcrccnt ol thc population.
Tc pcrccnt going to thc lowcst dccilc rangcd in a narrow band lrom a low ol o.6 pcr
ccnt (in +, +6, and +) to a high ol o.8 pcrccnt (in :oo:), with all othcr ycars
staying constant at o.. Tc top +o pcrccnt ol thc population likcwisc had a narrow
rangc and high dcgrcc ol consistcncy ovcr thc dccadc, with a high ol 8.6 pcrccnt (in
+) to a low ol .8 pcrccnt (in +:) and 6 pcrccnt in all othcr ycars.
[ 3 7 6 ] N O T E S T O P A G E S 2 5 1 2 5 8
++. Tc highcst pcrccnt ol 8razilians undcr thc povcrty linc ovcr this pcriod was +.
pcrccnt (+), and thc lowcst was :. pcrccnt (+8), with pcrccnt in all
othcr ycars, showing no strong globalization ccct at thc macro lcvcl. For Rio, thc
ratcs dcclincd slightly bctwccn +: and :oo (:6.6 and :. pcrccnt, rcspcctivcly)
accompanying an incrcasc in thc pcrccnt in cxtrcmc povcrty.
+:. Scc avid dc Fcrranti, Guillcrmo Pcrry, Francisco Fcrrcira, and Michacl Valton
(:oo) and stanislao Gacita Mari, Michacl Voolcock, and !nstituto dc Pcsquisa
conmica Aplicada (:oo).
+. Tc avcragc pcr capita incomc ol thc upscalc ncighborhood, Gvca, is :,+o rcais
pcr month, morc than +: timcs thc avcragc ol thc Complcxo dc Alcmao whcrc
Nova 8raslia is locatcd, whcrc thc avcragc is + rcais pcr month. !n :ooo, whcn
this was calculatcd, thc cxchangc ratc was :. rcais to thc U.S. dollar.
+. Vc idcnticd thc gcographical boundarics ol thc original communitics as lollows. For
Catacumba, wc samplcd lrom all thc building blocks within thc o cial pcrimctcr ol
Quitungo and Guapor, thc two housing projccts whcrc most pcoplc had bccn rclocatcd
altcr thc lavclas rcmoval. For Nova 8raslia, wc uscd thc map ol thc community madc
in thc original study to dclimit thc pcrimctcr ol thc arca ol intcrcst (a dctailcd analysis
ol cach strcct, pathway, and allcy was donc during scvcral cld visits in ordcr to complctc
this task). Vc thcn mappcd thc strccts and allcys within thc community so as to updatc
our +6 map (which had bccn bascd on thc acrial photograph and vcricd by a tcam ol
two architcctplanncrs, Gilda 8lank and loisa Coclho). !n thc casc ol Caxias, wc uscd
city maps and comparcd thcm with thc +6 rcscarch map to cstablish thc pcrimctcrs
ol cach lavcla and lotcamcnto. Using thcsc maps, cldworkcrs walkcd cach strcct and
crcatcd morc dctailcd maps showing intcrnal allcys and thc location ol cach cntrancc to
a dwcllingor multiplc dwcllings (somc bchind thc visiblc houscs).
+. Maia Grccn and avid Hulmc (:oo), Karcn Moorc (:oo), +6.
+6. Loc J. . Vacquant (+6).
+. !n +6, . pcrccnt ol our samplc was born in Rio statc, and in :oo, +. pcrccnt.
!n both cascs, thosc born in Rio had signicantly highcr SS scorcs than migrants.
+8. A rising pcrccnt lrom cach gcncration (lrom pcrccnt to :: pcrccnt) said thcy did
not know or rcluscd to answcr. All pcrccnts rcportcd arc valid pcrccnts altcr thc
rcmoval ol this group.
+. As scll rcportcd, o pcrccnt ol thc original intcrvicwccs, 8 pcrccnt ol thcir chil
drcn, and pcrccnt ol thcir grandchildrcn watchcd tclcvision on a daily basis, as
comparcd with pcrccnt in +6. Tis is consistcnt with thc ndings in :oo ol
pcrccnt ol thc ncw random samplc in thc thrcc study sitcs having watchcd tclcvi
sion daily or almost daily.
:o. Young mcn and womcn cxplaincd to mc that thcy turncd down job ocrs on thc
basis ol calculating how long thcy would havc to work in ordcr to buy brandnamc
clothing or shocsaltcr dcducting thcir transportation and lunch costs.
:+. Studics havc shown that pcrccivcd satislaction is morc a lunction ol oncs position
rclativc to oncs rclcrcncc group than ol oncs own absolutc incomc, sociocconomic
status, or upward or downward mobility. Tc rclcrcncc group could bc crcatcd by
intcrnational imagcs ol tccnagcrs on tclcvision.
::. Pancl discussion on Youth and mploymcnt at thc UN Commission on Social cvcl
opmcnt, cpartmcnt ol conomic and Social Aairs, Ncw York, Fcbruary +, :oo8.
N O T E S T O P A G E S 2 5 9 2 6 7 [ 3 7 7 ]
:. Rcmarks by Mario 8arbosa, !ntcrnational Aairs Advisor lrom thc 8razilian Min
istry ol Vork and mploymcnt, at Pancl on Youth and mploymcnt at thc UN
Commission on Social cvclopmcnt, cpartmcnt ol conomic and Social Aairs,
Ncw York, Fcbruary +, :oo8.
: !ntcrvicw with Jailson, Junc :oo.
:. Vc lookcd at starting pcriods and lag pcriods ol placctargctcd programs (such
as onsitc upgrading locuscd on thc tcrritory ol lavclas, clandcstinc lots, or public
housing), povcrtytargctcd programs (such as thc carly conditional cash translcrs,
bascd on povcrty mcasurcs rcgardlcss ol placc ol rcsidcncc), and univcrsal programs
(such as changcs in thc minimum wagc or acccss to crcdit that applicd to all citizcns
but would acct thc pcoplc in our samplc dircctly).
:6. !ncomc was not includcd as a variablc in thc lilc history matrix, as prior studics havc
shown lack ol rccall, rcliability, and validity.
:. !n cach ycar, thc samplc is composcd ol dicrcnt pcoplc. As thc ycars progrcss lrom
+6o to :oo, ncw individuals cntcr thc samplc (whcn thcy rcach agc +6) and othcrs
lcavc thc samplc (oncc thcy turn :). (Vhcn thc numbcr ol subjccts lor any ycar
bccamc lcss than o, wc discontinucd thc scqucncc.) Vc uscd thc lilc history matri
ccs starting with thc currcnt ycar and tracing cach changc in occupational status
lrom :oo back to thc rst job at or altcr +6 ycars ol agc.
:8. Mark Granovcttcr (+8).
cn~v:vv ++
+. Janicc Pcrlman (+6), Marcclo 8aumann 8urgos (+8), \ictor \inccnt \alla
(+8).
:. John F. C. Turncr (+:).
. Villiam Ryan (++).
. Charlcs Abrams (+6, +6), John F. C. Turncr (+68, +6, +:), John F. C.
Turncr and Robcrt Fichtcr (+:), Anthony Lccds and lizabcth Lccds (+o),
Luciano Parissc (+6), Lisa Rcdcld Pcattic (+68), Janicc . Pcrlman (+).
. Tc razing ol slum housing in thc inncr citics ol thc Unitcd Statcs and rclocation
ol thcir lormcr rcsidcnts into largc public housing projccts crcatcd so many prob
lcms that such prizcwinning projccts as Pruit !goc in St. Louis and Cabrini Grccn
in Chicago cvcntually had to bc dcmolishcd.
6. For lurthcr discussion scc Ncal Picrcc (:oo8). For rcccnt squattcr cvictions, scc
http://www.googlc.com/scarch:sourccid-navclicnt&aq-h&oq-&ic-UTF
8&rlz-+TSUNA_cnUS:US:&q-squattcrcviction (downloadcd July :,
:oo).
. Trcc lactors madc thc shilt possiblc. First was thc appointmcnt ol Mayor !sracl
Klabin by Govcrnor Chagas Frcitas, who was indcpcndcntmindcd and opposcd
lavcla rcmoval. Klabin crcatcd thc Municipal Sccrctariat ol Social cvclopmcnt,
thc rst city agcncy whosc mandatc was hclping Rios poor. Sccond was thc crcation
ol Promorar (a national program undcr thc last dictator, Joao Figucircdo), which
providcd lcdcral lunding lor Projcto Rio to upgradc thc stilt houscs built out into
Guanabara 8ay in thc lavclas ol Mar. Tird, and pcrhaps lcast rccognizcd, was thc
clcctrication ol Rios lavclas by Light (Scrvicos dc lctricidadc), thc Canadian
[ 3 7 8 ] N O T E S T O P A G E S 2 6 8 2 7 7
8razilian joint vcnturc clcctric company that opcratcs in thc Rio municipalitics. For
thc lavcla lcadcrship, this was a bcnchmark, insolar as thcy wcrc taskcd with map
ping thc lavclas and organizing thc rcsidcnts who would bccomc thc ncw paying
customcrs ol thc company. Tis prcparcd a cadrc ol lcadcrs in cach lavcla who kncw
thc cxtcnt ol thcir communitics bcttcr than anyonc and who latcr bccamc lcadcrs ol
social mobilizations. (!ntcrvicws with Mario 8rum, Jan. 8, :oo8. For morc dctail
on thc history ol lavcla policy scc 8rum :oo6.)
8. Tc diagram illustrating this mismatch can bc lound in my +8 articlc, Miscon
ccptions ol thc Urban Poor and thc ynamics ol Housing Policy volution.
. Tc thrcc CSC lavclas wcrc Mata Machado, Morro Uniao, and 8ras dc Pina.
Among thosc who workcd on this wcrc Silvio Fcrraz, Carlos Nclson, Silvia Vandcr
lcy, Gilda 8lank and lga 8ronstcin. For morc on CSC, scc Carlos Nclson
Fcrrcira dos Santos (++, +8o, +8+, +8), Carlos Nclson Fcrrcira dos Santos and
lga 8ronstcin (+8). Scc also Gilda 8lank (+8o), Janicc . Pcrlman (+6b).
+o. cial gurcs show that as ol cccmbcr :, :oo, thc Rio statc public housing
agcncy was administcring :oo conjuntos, ++,6+ social housing units, and ::,o6
lots. An cstimatcd oo,ooo pcoplc or morc wcrc living in thcsc projccts. Scc thc
Projccts Rcgistry (Cadastro dc mprccndimcntos) ol CHA8RJ, ircctory ol
Housing Projccts. Scc also thc wcbsitc lor Favcla tcm Mcmria, http://www.lavc
latcmmcmoria.com.br/.
++. Scc Ralph dclla Cava (+88) and 8ryan McCann (:oo8).
+:. Tc crisis occurrcd whcn thc rst clcctcd mayor, Saturnino 8raga (clcctcd in +8)
lound himscll caught bctwccn a hostilc govcrnor, Morcira Franco, and a hostilc City
Council loyal to thc Govcrnor, Lconcl 8rizola. Tc govcrnmcnt rcluscd to rclcasc
lunds to thc city, and thc City Council in turn rcluscd to approvc any spcnding, so
urban projccts ground to a halt. Tis coincidcd with thc hugc oods in +88 which
dcstroycd dozcns, cvcn hundrcds ol lavcla homcs and killcd many pcoplc. As a consc
qucncc all city lunds wcnt to clcanup, rcconstruction, and tcmporary housing.
+. A casc study ol thc Rclorcstation Program, Rclorcstation in Rios Favclas, Rio dc
Janciro, 8razil, by Marlcnc Fcrnandcs, is availablc at thc McgaCitics Projcct wcb
sitc at http://www.mcgaciticsprojcct.org/publications_cnvironmcnt.asp.
+. At thc timc Favcla8airro was initiatcd, Ccsar Maia was mayor, Luiz Paulo Condc
was Sccrctary ol Planning, Scrgio Magalhacs was Sccrctary ol Housing, Vanda
ngcl Aduan was Sccrctary lor Social Action, and Lu Pctcrscn was projcct dircctor.
Lu had bccn part ol cvcry lavcla upgrading program sincc CSC.
+. Tc scctions on Favcla8airro and thc programs it inspircd, as wcll as thc plans lor
Phasc !!!, havc intcgratcd my own obscrvations, rcadings, and intcrvicws, and bccn
inlormcd by pcrsonal intcrvicws with Josc 8rakarz, most rcccntly on July ::, :oo.
Josc 8rakarz, Scnior Urban cvclopmcnt Spccialist at thc !ntcrAmcrican cvcl
opmcnt 8ank, has bccn thc driving lorcc bchind Favcla8airro sincc its inccption.
For morc dctails scc 8rakarz (:oo:) and Andrca \ianna, (:oo).
+6. For morc on thc Cclula Urbana scc Lu Pctcrscn (:oo). Tc agrccmcnts with thc 8au
haus group wcrc signcd in ++ and :oo+. As ol :oo thc program is bcing run by thc
statc govcrnmcnt, which has also takcn ovcr thc upgrading ol thc othcr largc lavclas.
Tc lunding comcs lrom thc lcdcral govcrnmcnt and is channclcd through Govcrnor
Scrgio Cabral rathcr than Mayor duardo Pacs bccausc ol party a liation.
N O T E S T O P A G E S 2 7 8 2 9 0 [ 3 7 9 ]
+. ata lrom O Globo, July +, :oo. For cntirc articlc, scc http://oglobo.globo.com/
rio/mat/:oo/o/+8/cidadcdoriojatcmmaisdcmillavclas68:8.asp.
+8. lscwhcrc ! havc writtcn in morc dctail about thc pcrils and pitlalls ol thc notion
ol bcst practiccs (scc Pcrlman and Shcchan |:oo8|) and on thc lilc cyclc ol urban
innovations. n thc lilc cyclc ol innovations, scc Robcrt Yin (+8+) and lor its
application to mcgacitics scc lwood Hopkins (+).
+. !ntcrvicw with Allrcdo Sirkis, Municipal Sccrctary ol Urbanism and thc nvironmcnt,
Junc :oo, and sitc visits to scvcral PUSs with Tania Castro, projcct dircctor.
:o. Scc distinction drawn by Manucl Castclls (+) bctwccn thc spacc ol ows and thc
spacc ol placc.
:+. For a dccpcr discussion ol knowlcdgc and inucncc scc Roz Laskcr and John Guidry
(:oo).
::. For morc on 8olsa Famlia, scc Lavinas ct al. (:oo8). Also www.ric.org/iniciativa/
pdl/wp.pdl.
:. Tc Rio city (municipal) population in :oo was 6,:oo,ooo or about +,o,ooo
lamilics, ol whom closc to oncthird arc living in povcrty. !ntcrvicw with Fcrnando
Cavalicrc at thc !nstituto Pcrrcira Passos, May :oo.
:. Scc Rcbccca Abcrs (+8) and thc many othcr publications shc has writtcn on this
topic sincc.
:. Scc Yvcs Cabbancs (:oo) on thc cxpansion ol participatory budgcting through a
nctwork covcring scvcral countrics. Hc has playcd an activc rolc in convcning this
nctwork and bringing thc mayors togcthcr at thc Vorld Urban Forum in \ancouvcr
in :oo.
:6. For morc dctails on thc PAC, scc www.brasil.gov.br/pac/ and www.vivalavcla.org.br.
:. n Avcnida !taoca, ncar thc cntrancc to Nova 8raslia, dozcns, pcrhaps hundrcds
ol lamilics, arc alrcady living in thc shclls ol abandoncd lactorics, without running
watcr or clcctricityjust to cscapc thc violcncc ol thc drug tra c in thc Morro dc
Alcmao. Tis is cspccially truc lor thc poorcst lamilics, who livc on thc highcst parts
ol thc hillsidc and lacc thc grcatcst dangcr whilc going up and down to school or
work. Tcsc sitcs would bc idcal locations lor high dcnsity conjuntos that would
blcnd scamlcssly into thc surrounding urban labric.
:8. Scc Business News Americas, Vcdncsday, Junc , :oo, and Tursday, Junc , :oo.
www.bnamcricas.com/ . . . /Study: and www.bnamcricas.com/ . . . /Govt.
:. John Kingdons casc studics on agcndasctting in public policy havc shown thc
importancc ol anticipating such windows ol opportunity and bcing ablc to rcspond
to thc momcnt with: (+) a rcady and intcrcstcd gcncral public, (:) tricd and tcstcd
solutions to thc problcm at issuc alrcady documcntcd and on thc shcll, and () a
brokcr who knows thc appropriatc dccisionmakcr and knows whcrc thc tricdand
tcstcd solutions can bc lound and can bring thc solutions to thc kcy pcrson during
that narrow window ol opportunity in thc ow ol thc political proccss (+8).
o. Scc www.mcgacitics.nct lor casc studics ol o such innovation translcrs and thc mcth
ods uscd to brokcr such cxchangcs, lcd by thc community wishing to adapt thc solution
to its own rcality (thc import modcl) rathcr thcn by an institution that has lundcd thc
translcr ol that solution to othcr placcs that may not bc intcrcstcd (thc cxport modcl).
+. Scc Marc Fricd (+6), on gricving lor a lost homc in thc casc ol urban rcncwal in
a 8oston ncighborhood.
[ 3 8 0 ] N O T E S T O P A G E S 2 9 0 3 0 5
:. ! did try to tcst thc countcrlactual conjccturc (whatil hypothcsis) by sclccting a
lavcla in thc South Zonc that was as similar as possiblc to Catacumba in +owith
thc singlc dicrcncc that it had not bccn rcmovcd. ! thcn planncd to comparc thc lilc
historics and currcnt lilc conditions ol thc lormcr Catacumba rcsidcnts (now living
in conjuntos) with thosc ol thc South Zonc lavcla rcsidcnts. ! intcndcd to do this
through matchcd pairs, controlling lor agc, gcndcr, racc, and cducational lcvcl, as wcll
as lor thc prolc ol thc communitics as a wholc. ncc ! startcd working on this, how
cvcr, ! rcalizcd that thcrc was no way to sct up such a quasicxpcrimcntal dcsign that
would yicld rcliablc rcsults. Tcrc arc simply no communitics that could bc considcrcd
comparablc. Tc spccics ol thc community historics, locations, political rclationships,
and othcr lactors could casily lcad to strong but spurious conclusions that wcrc unrc
latcd to thc rcmoval and rclocation issuc.
. Scc articlc on Minha Casa, Minha \ida by Jonathan Vhcatlcy (:oo).
. !ntcrvicws with Vanda ngcl Aduan, Scptcmbcr :oo8 and ctobcr :oo. For lur
thcr dctails on hcr idcas, scc Vanda ngcl Aduan (:oo6).
. For morc on dclcnsiblc spacc scc scar Ncwmans book ol that titlc (+:).
6. Somc sitcs and scrviccs cxpcrimcnts includcd corc houscs (casas embrio) on cach
plot, which provcd too cxpcnsivc lor ncwly arriving migrants and too rcmotc and
small to attract lavcla rcsidcnts. To bring priccs down thc projcct may consist ol a
raiscd ccmcnt oor at thc ccntcr ol cach lot scrviccd by a hydraulic wall that con
tains thc watcr and clcctricity conncctions.
. !ntcrvicw with Arlindo aibcrt, irctor do Ccntro dc studos, Procuradoria Gcral
do Municpio do Rio dc Janciro (ircctor ol Policy Studics, cc ol thc Attorncy
Gcncral, Rio dc Janciro), Scptcmbcr :oo8.
8. Ncwslcttcr Favelo quotcd by Mario 8rum in discussion with author, January :6, :oo.
. Hcrnando dc Soto (:ooo).
o. Nicholas . Kristol (:oo). Tc documcntary lm, Garbage Dreams, makcs this
point about Cairos Zatalccn.
+. 8razilian schools opcratc two scssions pcr day, thc childrcn attcnd cithcr in thc
morning or thc altcrnoon. Tcrc is littlc lor thcm to do lor thc othcr hallday, which
lcads to misscd cducational opportunitics and amplc opportunity lor gctting into
troublc. Vhcn 8rizola was Govcrnor ol Rio Statc, hc tricd to changc that by crcat
ing C!PS schools that would scrvc thc studcnts lulltimc, including providing
mcals, sports lacilitics, lunchcs (oltcn thc only hot mcal thc childrcn had all day),
lockcr rooms with showcrs, and basic hcalth carc. Tc ncw school buildings with
thcir signaturc modcrn dcsign wcrc mcant to lulll thc unmct nccds ol lowincomc
studcnts that thc rcst ol thc city childrcn rcccivcd as a mattcr ol coursc.
:. 8rian nglish, pcrsonal communication, January ::, :oo. LabourNct is onc com
pany ol thc ScalcUp Program at CHF !ntcrnational.
. Sir Pctcr Hall dcvclopcd thc conccpt in + during thc Tatchcr govcrnmcnt,
inspircd by lrcctradc zoncs in Singaporc and Hong Kong, and thc idca was pickcd
up thc samc ycar by Rcprcscntativc Jack Kcmp (RNY).
. Somc aspccts ol thc work havc continucd undcr thc auspiccs ol !TS, thc nonprot
!nstituto dc studos do Trabalho c Socicdadc (!nstitutc lor thc Study ol Vork and
Socicty), which Urani crcatcd altcr hc lclt o cc.
N O T E S T O P A G E S 3 0 6 3 1 6 [ 3 8 1 ]
. For casc studics ol o such innovation translcrs and thc lcssons lcarncd and lor morc
dctail on thc povcrtycnvironmcnt ncxus, scc nvironmcntal Justicc: Casc Studics
McgaCitics at www.mcgacitics.nct.
6. lizabcth Kolbcrt (:oo).
. \an Joncs (:oo8).
8. ! rst hcard ol rcsourcc conscrving citics lrom Prol. Richard Mcicr my collcaguc in
thc cpartmcnt ol City and Rcgional Planning at Univcrsity ol Calilornia, 8crkc
lcy. Scc Richard Mcicr (+).
. Film ircctcd by Jc Zimbalist and Matt Mochary, :oo.
o. Quotcd in Patrick Ncatc (:oo), +:oo. Scc also Ncatc and Platt (:oo6, :o+o).
+. Luiz duardo Soarcs, an anthropologist and univcrsity prolcssor was thc Coor
dinator ol Public Salcty in Rio dc Janciro (+:ooo), National Sccrctary ol
Public Sccurity (:oo), dircctcd a public sccurity think tank in thc municipality
ol Nova !guau and is currcntly Sccrctary lor \iolcncc Prcvcntion thcrc. His
lms Notcias de uma guerra particular and Tropa de elite (bascd on his book Elite
da Tropa) arc rclcrcncc points lor discussion in this cld. Hc also coauthorcd
Cabea de Porco with M\ 8ill and Cclso Athaydc (:oo). Quotation lrom an
intcrvicw with Luiz Soarcs, July 6, :oo, availablc at thc wcbsitc ol rcams Can
8c Foundation, www.drcamscanbc.org/controlPancl/matcria/vicw/, acccsscd
cccmbcr :o, :oo8.
:. For morc on thcsc issucs, scc Tcrcsa P. R. Caldcira and Jamcs Holston (+),
lizabcth Lccds (:oo), !gnacio Cano and Nilton Santos (:oo+), Lconardo Marino
(:oo8).
. Scc !nstituto Plis (:oo:), dsio Fcrnandcs (:oo).
. Scc dgar Pictcrsc (:oo) and Carolinc Kihato ct al. (:oo6).
. Pcrsonal corrcspondcncc, March :oo.
6. Pcrlman in Susskind (+8).
. For morc on building powcr, community, and pcoplc scc Pcrlman (+6a, +8,
+, +8a, +8b).
8. Alan Altshulcr and Marc Zcgans (+o).
. For morc dctails on thc \aughn Family Ccntcr and othcr succcsslul bottomup
initiativcs in lowincomc ncighborhoods in Ncw York and Lost Angclcs, scc Janicc
. Pcrlman and lwood M. Hopkins (+).
6o. Janicc Pcrlman (+o).
6+. Scc Manucl Castcllss scminal book ol that namc (+).
6:. For morc dctails on thc survcy, scc Global Lcadcrs Survcy, www.mcgacitics.nct.
cn~v:vv +:
+. Nilton was onc ol thc most intclligcnt and wcll cducatcd ol thc Catacumba rcsi
dcnts at thc timc ! was living thcrc. Hc was thc pcrson who most lully undcrstood
my rcscarch and was most hclplul to mc. Today, hc livcs in a housc hc built just
bcsidc thc apartmcnt blocks ol thc Guapor conjunto.
:. Although dcrivcd lrom thc samc AngloNorman Frcnch root genterie, thc 8razilian
tcrm gente is not thc cquivalcnt ol thc nglish gentry. Gcntry, according to thc
[ 3 8 2 ] N O T E S T O P A G E S 3 1 6 3 3 6
Oxford English Dictionary, rclcrs to pcoplc ol good social position . . . to a scnsc ol
supcriority ol position, birth or rank, such as thc landcd gcntry. !n 8razilian Por
tugucsc, thc word mcans pcrson, somconc who counts rcgardlcss ol wcalth. For
lurthcr translations and dcnitions, scc Collins English-Portuguese, Portugus-Ingls
Dictionary (Ncw York: HarpcrCollins, :oo+), +6.
. Philippc !. 8ourgois (+).
. Scc Farccd Zakaria (:oo), :.
. From intcrvicw with Luiz duardo Soarcs, July 6, :oo, availablc at thc wcbsitc
ol rcams Can 8c Foundation, www.drcamscanbc.org/controlPancl/matcria/
vicw/, acccsscd cccmbcr :o, :oo8. Soarcs cxposcs in thc documcntary Noticias
de uma Guerra Particular thc complicity bctwccn thc policc and drug dcalcrs, as wcll
as thc vulncrability ol thc policc o ccrsand thc lact that most ol thcm comc lrom
thc samc lowcrclass background as thc dcalcrs thcy arc so cagcr to kill.
6. 8razilian anthropologist, Robcrto da Matta wrotc his now lamous piccc, Voc sabe
com quem est falando? in +.
. Scc rving Goman (+).
8. Tis list takcn lrom a chart cntitlcd Pobrc c Rico na cabca das pcssoas (Poor and
Rich in pcoplcs minds), part ol thc Pcsquisa FG\piniao para Unilcvcr (:oo),
quotcd in Ricardo Ncvcs (:oo), .
. Quotcd in Patrick Ncatc (:oo), ++:.
+o. Luiz duardo Soarcs intcrvicw (:oo).
++. vclina agnino (+8).
+:. dward . Tcllcs (+).
+. Larry Rohtcr (:oo). Ralph llison titlcd his +: novcl, Te Invisible Man.
+. Quotcd by Lara Farrar, in Slums ocr surprising hopc lor tomorrows urban world,
Junc ++, :oo8, CNN, London (CNN.com).
+. Stcvc Kingstonc (:oo).
+6. Julio Ludcmir (:oo).
+. Tcrcsa P. R. Caldcira (:ooo).
+8. Favcla chair, www.mossonlinc.com/productcxcc/product_id/+68+ (acccsscd April
+6, :oo8). !magc shown with pcrmission ol dcsigncrs.
+. Tc original lyrics in Portugucsc can bc lound undcr Favclas do 8razil, www.you
tubc.com. Translation by author.
:o. Scc Farr lor CNN intcrvicws with Stcwart 8rand and Robcrt Ncuwith. Stcwart
8rand, who startcd thc Whole Earth Catalogue and publishcd it lrom +68:, is
prcsidcnt ol thc Long Now Foundation, conccrncd with solving longtcrm prob
lcms. Robcrt Ncuwith is a journalist/author (:oo).
:+. Quotcd in Kclcla Sannch (:oo), :8.
::. Tis corrcsponds with all thc rcscarch ! havc donc in squattcr scttlcmcnts thc world
ovcr. Tc bottom :o pcrccnt arc cithcr too poor, too cldcrly, or too sick to participatc
in any scllhclp program. Tcy arc thc oncs nccding social assistancc and stipcnds
rathcr than loans lor housing or small busincss startups. !t appcars that in thc Rio
study, thcy arc thc lth who said thcir livcs wcrc worsc than thcy cxpcctcd.
:. Scc chaptcr +o, notc :, and John Cassidy (:oo6).
N O T E S T O P A G E S 3 3 6 3 5 8 [ 3 8 3 ]
:. Tcnstcp laddcr approach lrom Nancy 8irdsall and Carol Graham in pcriodic
survcys lor LatinoBarometro. Scc Nancy 8irdsall and Carol Graham (:ooo),
:8.
:. Scc Carol Graham and Stclano Pcttinato (:oo+).
:6. Scc discussion ol incquality and mobility in stanislauGacita Mari and Michacl
J. \. Voolcock (:oo8).
:. John Turncr uscd thc tcrm bridgchcad (+:) in dcscribing scttlcmcnt pattcrns ol
migrants to Lima and Santiago.
~vvvxui x +
+. n thc collcction, analysis, and usc ol lilc historics, scc 8alan, Jorgc, 8rowning L.,
Jclin, lizabcth, Lcc, A computcrizcd approach to thc proccssing and analysis ol lilc
storics obtaincd in samplc survcys. Behavioral Science, +, n. :, +6, pp. +o+:o.
:. 8irdSall, Nancy, and Carol Graham. New Markets, New Opprotunities? Economic and
Social Mobility in a Changing World. Vashington C: Tc 8rookings !nstitution,
:ooo.
. ! was almost killcd myscll, onc sunny day whilc waiting lor thc pcoplc to arrivc lor
thc participatory community history rcconstruction in Nova 8raslia. Tc mccting
was sct lor a Sunday at thc Rcsidcnts Association and had bccn approvcd, but whilc
waiting ! dccidcd to takc picturcs ol somc ol thc samc placcs ! had photographcd o
ycars ago. Soon ! was surroundcd by angry young mcn, wcll armcd, and wanting my
camcra. vidcntly ! had takcn picturcs ol somc prohibitcd arcas without knowing
it. 8ccausc two ol thc community rcsidcnts on thcir way to thc mccting intcrvcncd,
and wc wcnt to thc Rcsidcnts Association whcrc thc Prcsidcnt was ablc to spcak lor
mc, thcy only took my lm, not thc camcra. 8ut a group ol thcm wcrc waiting lor
mc 6 hours latcr at thc cnd ol thc days mccting, and ! had to bc put into a taxi in a
big hurry.
. Moscr, Carolinc, Confronting Crisis: A Comparative Study of Household Responses to
Poverty and Vulnerability in Four poor Urban Communities. (Vashington, C: Tc
Vorld 8ank, +6).
~vvvxui x :
+. nly in thc grandchildrcns gcncration, was thcrc a corrclation bctwccn lightcr color
and highcr SS, but no signicant rclationship bctwccn skin color and any ol thc
othcr outcomc variablcs. Tc corrclation would show up strongly il thc cntirc Rio
municipality wcrc includcd.
:. thcr latalism qucstions includc: Can a man bc good without having rcligion: and
Should couplcs try to limit thcir numbcr ol childrcn or acccpt what comcs:
. Tc qucstions wcrc: !n thc ncxt vc ycars, do you think lilc in (8razil Rio dc Janciro,
your community, your own lilc) will bc much bcttcr, somcwhat bcttcr, somcwhat
worsc, or much worsc: Tc optimism indcx was calculatcd by giving onc point lor
cach positivc answcr (cithcr somcwhat or much bcttcr).
[ 3 8 4 ] N O T E T O P A G E 3 5 8
. Nctworks wcrc mcasurcd by thc gcographical proximity ol thc lour closcst lamily
mcmbcrs or lricnds ol thc intcrvicwcc. !ntcrnal nctworks wcrc considcrcd high il
lricnds or lamily mcmbcrs livcd insidc thc intcrvicwccs community, low nct
works consistcd ol +: lricnds or lamily mcmbcrs, and no intcrnal nctwork mcant
that oncs closcst lamily and lricnds livcd outsidc thc community. Tc samc logic was
applicd to cxtcrnal nctworks. High mcant lricnds/lamily mcmbcrs livcd outsidc
thc community, low was +:. Tc corrclations bctwccn intcrnal and cxtcrnal wcrc
signicant and ncgativc. Scc Granovcttcr (+).
re f erenc es
Abcrs, Rcbccca. +8. Lcarning cmocratic Practicc: istributing Govcrnmcnt
Rcsourccs through Popular Participation in Porto Alcgrc, 8razil. !n Cities for Citi-
zens: Planning and the Rise of Civil Society in a Global Age, cd. Mikc ouglass and
John Fricdmann, 6. Chichcstcr, UK: Vilcy.
Abramo, Pcdro. :ooa. u J Tcnho ndc Morar: A Cidadc da !nlormalidadc. !n
A Cidade da Informalidade: O Desao das Cidades Latino-Americanas, cd. Pcdro
Abramo and Suzana Pastcrnak Taschncr, +++. Rio dc Janciro: Livraria Scttc Lctras:
FAPRJ.
. :oob. Mobilidade Residencial no Rio de Janeiro: Consideraes Sobre o Setor Formal
e Informal do Mercado Imobilirio. Rio dc Janciro: Fcdcral Univcrsity ol Rio dc Janciro.
. :ooc. Uma Tcoria conomica a Favcla: lcmcntos Sobrc o Mcrcado !mo
biliario !nlormal m Favclas a Mobilidadc Rcsidcncial os Pobrcs. !n A Cidade
da Informalidade: O Desao das Cidades Latino-Americanas, cd. Pcdro Abramo
and Suzana Pastcrnak Taschncr, +8::. Rio dc Janciro: Livraria Scttc Lctras:
FAPRJ.
. :oo+. Mercado e Ordem Urbana: Do Caos Teoria Da Localizao Residencial.
Rio dc Janciro: 8crtrand 8rasil.
Abramo, Pcdro, and Suzana Pastcrnak Taschncr, cds. :oo. A Cidade da Informalidade:
O Desao das Cidades Latino-Americanas. Rio dc Janciro: Livraria Scttc Lctras:
FAPRJ.
Abrams, Charlcs. +6. Mans Struggle for Shelter in an Urbanizing World. Cambridgc,
MA: M!T Prcss.
. +6. Te City Is the Frontier. Ncw York: Harpcr and Row.
AbuLughod, Janct L. +. Tc 8attlc lor Tompkins Squarc Park. !n From Urban
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Aduan, Vanda ngcl. :oo6. Tc lusivc Qucst lor quality: !ntcrvicw with Vanda ngcl
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. :oo. Te Situation of Children and Adolescents in the Complexo de Alemo. UN!CF.
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[ 3 8 8 ] R E F E R E N C E S
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riors Shaped Globalization. Ncw Havcn: Yalc Univcrsity Prcss.
agnino, vclina. :oo. Citizcnship in Latin Amcrica: An !ntroduction. Latin Ameri-
can Perspectives o (:) (March): +.
. +8. Culturc, Citizcnship and cmocracy: Changing iscourscs and Practiccs
in thc Latin Amcrican Lclt. !n Cultures of Politics, Politics of Cultures: Re-visioning
Latin American Social Movements, cd. Sonia . Alvarcz, vclina agnino, and Arturo
scobar, . 8ouldcr, C: Vcstvicw Prcss.
da Matta, Robcrto. +. \occ sabc com qucm cst lalando:, in Carnavais, Malandros e
heris. Rio dc Janciro, Zahar ditorcs.
dc Fcrranti, avid, Guillcrmo Pcrry, Francisco Fcrrcira, and Michacl Valton. :oo.
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C: Vorld 8ank.
dc la Rocha, Mcrccdcs Gonzalcz. :oo+. From thc Rcsourccs ol Povcrty to thc Povcrty ol
Rcsourccs: Tc rosion ol a Survival Modcl. In Mexico in the +os: Economic Crisis,
Social Polarization, and Class Struggle. Spccial issucs, pt. :. Latin American Perspec-
tives :8 (, July): :+oo.
clla Cava, Ralph. +88. Tc Church and thc Abertura in 8razil, ++8, Vorking
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Janciro. !ntcrnational cvclopmcnt Planning Rcvicw : (+): ++.
csai, Raj M., and Vollcnsohn Ccntcr lor cvclopmcnt. :oo. Te Political Economy
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dc la Rocha, Mcrccdcs Gonzalcz. :oo+. From thc Rcsourccs ol Povcrty to thc Povcrty
ol Rcsourccs: Tc rosion ol a Survival Modcl. !n Mcxico in thc +os: conomic
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[ 3 9 0 ] R E F E R E N C E S
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+.
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c Cidadania. !n Drogas: Uma Visao Contemporanea.
Zimbalist, Jc, and Matt Mochary. :oo. Favela Rising, produccd by Sidctrack Films,
\Y Picturcs and Gcnius ntcrtainmcnt, Santa Monica, Calilornia.
i ndex
Abcrs, Rcbccca, a6
abcrtura, .., .,, ac, a,
Abramo, Pcdro, .6.
absolutc surplus population, .
advanccd marginality
absolutc surplus population, .
prcmisc against, .6.
rctrcnchmcnt ol wcllarc statc, .6c
social incquality, .
spatial conccntration and
stigmatization, .6c6.
Alro Rcggac, a, c,
aggrcssivc architccturc, ,,
Alcncar, Marcclo, 6
Aliana Futcbol Clubc, 6, 6
Aliana Rcnovadora Nacional (ARNA),
ac
Alinsky, Saul, ac,
Alliancc lor Progrcss, ,.
Alvorada, .ca
Amigos dos Amigos (AMAFricnds ol
Fricnds), .,
Antonio \inccntc Mcndcs Macicl. See
Antonio Consclhciro
Arias, csmond, ac6
armcd militias, .66
black markct busincsscs ol, .
govcrnmcnt support lor, .
Armstrong, Marcclo, a
Arquitrao, a,
aslalto, c, .f, .6., ., a66, a., a, .c,
Asscmblia dc cus (Asscmbly ol God), ,c
atacadistas (wholcsalcrs), .,
Auycro, Javicr, .
Avcnida 8rasil, a
Avcnida pitcio Pcssoa, 66, 6, ,f
Avcnida !taoca, , aac
Avcnida Nova 8raslia, .ca, .c,, ..
8aggio, Rodrigo, a
bailcs lunk (lunk balls), .,c
bairros (ncighborhood), , 6, aa
comparison with lavcla lilc, .6
rcluctancc to movc to, a
8aixada Flumincnsc, .., .,., .,
8alcao dc ircitos program, .c
bandidos, ., .6, .., ., .6 (see also
marginality)
mcaning ol, .
rcspcct and, .
8angladcsh,
8arbosa, Jos, .a, ., ., .
8arbosa, Mario, a
barracos (shacks), a,, ., a,cf (see also shack
dwcllings)
8arra dc Tijuca,
8atalhao dc pcracocs Policias spcciais
(8P), .6,
8auhauscssau Foundation, a,6
8ciraMar, Fcrnandinho, .,
8clm dc Para,
[ 4 0 0 ] I N D E X
bcliclbchavior disconncct, aca, a.c.
8cmoc program, .ca
8crnardcs, Scrgio, ,,
8ctinho, .c,
bico dagua (watcrspout) approach, 6,
8lack Pridc, .,c
blank ballot (voting in whitc), a.
blocos (apartmcnt buildings), 6c
boca (drug salcs point), .,, .6
8olsa Famlia, .6c, aa.
incquality indcx and,
as povcrtybascd approach to public
policy, a6
bonding social capital, .,
community participation, .
dimcnsions, .
crosion ol, .6
8otswana,
8randcis, Louis, a.
8razil, ,
candidatc sclcction, lack ol condcncc
in, a.,f
dcmocratically clcctcd political lcadcrs
in, ac
domcstic workcrs in, ca
cconomic growth ol,
conomic Miraclc ol, a,
lcctoral Codc, a.
lavclas in citics, at
incquality in,
labor migration in, a,
pcrccption ol rich and poor in, a.a
pcrsistcncc ol incquality in, ac
population ol mctropolitan rcgions
ol, .t
povcrty in,
Primciro mprcgo (First Job) in, ca
uncmploymcnt in, a
urbanization in,
8razilian !nstitutc ol Architccts, a,
8razilian !nstitutc ol Gcography and
Statistics, ., , 6.
8razilian National Housing 8ank (8NH),
,, ., a6,
bridging social capital, ., .6,
8rinks, anicl, .
8rizola, Lconcl, 6, ,, .ca, .c6, .,,
a,, a,
Business News Americas, a,
Cabcca dc Porco, a
cabeas de porco (tcncmcnts),
Cabral, Scrgio, a, .6
Cada Famlia Um Lotc, a,
Caixa conmica, aa, a
Caixa conomica Fcdcral (8razilian
National 8ank), ..a, a,6, c
Caju community, a6
Caldcira, Tcrcsa
City of Walls, ac6, a
Campana, Fcrnando, c
Campana, Humbcrto, c
Canudos community, a
capability dcprivation, .6
Cardoso, Fcrnando Hcnriquc, ., .., .6c,
ac., a
cargo tra c, .,,
Cariocas,
cartcira assinada (signcd work card), .,
., a
Cartcr, Jimmy, ..
Castclls, Manucl, ., a
Catacumba, , .c, ..6, ., 6a, 6 f, , f, a
altcrmath ol dcmolition ol,
bccoming lamous, ,c,a
changcs altcr rcmoval, ,
Committcc ol \igilancc within, ,
dcmisc ol, ,
lavcla ol, 66, ,., ,a
gratclul lor changc, altcr rcmoval lrom,
,
gricving lor lost homc in,
Jacobis story, 6,6
local commcrcc in, along Avcnida
pitcio Pcssoa, ,f
Margarida, altcr rcmoval lrom, ,
migration to, 666,
Praia do Pinto, burning ol, ,,,
rcasons lor choosing, ,a,
Rcsidcnts Association (SMAC), ,,
rcsistancc, ncgotiation, and cooptation,
,,,
thriving ol, 6,c
Cavalcanti, Tcnorio, .a, .
Caxias, .c, a.
as arca ol national sccurity, .a
City Hall, .af, .af
janira, nding ol, .a6.
janiras lamily, as on acc, ..
I N D E X [ 4 0 1 ]
janiras story, .,.
lavclas ol, ..6
map ol, .a,f
municipality ol, a.
subdivisions and complcxitics, ., .
\ila pcrria (Vorkcrs \ila), ..
violcncc in 8aixada, .,
CHA8RJ (Companhia stadual dc
Habitacao do Rio dc Janciro), a,.,a
Cclula Urbana (Urban Ccll), a,6
Ccntral Unica dc Favclas. See CUFA
(Ccntral Association ol Favclas)
Ccntro dc studos c Aocs Solidrias da
Mar, a
Ccrqucira, Paulo, ,
ccsta bsica (basic lood baskct), .,, aa.
Chcara das Catacumbas, 66
Chadrycki, Gcnach, .a, .
China,
CH!SAM, ,, .ca, a,.
closing ol, a,
Favelas Removidas e Respectivos
Conjuntos (Rcmovcd Favclas and
Tcir Rcspcctivc Conjuntos), ,
Chronic Povcrty Rcscarch Group,
Manchcstcr, a
Cidadc Alta,
Cidadc dc cus (City ol God), f
local cconomic dcvclopmcnt stratcgics
in, c
Citics Alliancc, ,
citizcns wagc, .6c
citizcnship, de jure, ac
citizcnship and right to city, .c.
documcntation issuc, .c
statuto da Cidadc and, .., .a
Ministry ol Citics, .a
citizcnship rights, ac
Civil Policc(Polcia Civil). See Policc
class consciousncss,
Claudia, ac
clicntclism. See patronagc politics
closcdcity policics and urban migration,
cocainc, .,,,, .
CSC (Company lor Community
cvclopmcnt), a6
Codigo dc bras (8uilding Codc) (.,), a,
CHA8, ,
CHA8G8, a,.
Colgio Migucl Corta, .a
collatcral damagc, .,
commandandcontrol socictics,
Commando \crmclho (Rcd Command),
.c, ., .6, ., .,, .,
Committcc lor thc cmocratization ol
!nlormation Tcchnology (C!), a
community participation, accting lactors,
a. f
proximity, a..6
stigma, a.6
violcncc, a.6
community unity, .
Companhia Sidcrurgica do Atlantico, a
Complcxo dc Alcmao, .6, .,6
Complcxo do Mar, 6c, a,a, a
complcxos,
Conditional Cash Translcr (CCT)
Program, .6c
dual purposc ol, a
incquality indcx and,
Conjunto dc Quitungo Housing Projcct,
.f
conjuntos, , f, 6f, 6c, aa, aa,, a,a
advantagc ol, ovcr lavcla, 6
apartmcnts, 6c, ,c
desmazelo in,
improvcmcnt ovcr timc, ,
ncgativc picturc ol,
owncrship in, ac
paying lor apartmcnts in, a, ac
transport to work lrom, a
Consclhciro, Antonio, aa,
Copacabana, 6, a
bcach, .
Palacc, ., af
Corcnadoria dc Rcscursos (CR)
Spccial pcrations Group, .6,
Corrcia, Alacrtc, a
corticos,
CPF (cadastro de pessoa fsica), a.
cronyism. See patronagc politics
Cruz, svaldo, a,
crystal mcthamphctaminc, .
Cuba,
CUFA (Ccntral Association ol Favclas), .6.
cultural complicity, a
cultural marginality, .a
culturc ol povcrty, c
[ 4 0 2 ] I N D E X
agnino, vclina, ac, a
dangcr, physical displaccmcnt ol, .,
anicl, Scbastiao, on bcing gcntc, a.
da Silva, 8cncdita, ac, a, aa
cclaration ol Human Rights,
dc lacto propcrty tcnurc, a6
dc Frana, Armando Mclo, .
dchumanization, ., ., ac, a
dcindustrialization, .c, .a
dcmocracy, .6, .., .a, acc, a,, ..
bcliclbchavior disconncct, a.c.
8razil as incomplctc, .a
communitybascd mobilization and,
.
community groups undcr, ..
community participation, a..6
dc lacto tcnurc undcr, a6
disappointmcnt with, ac
drug lords and votc control, ac6,
lavclas undcr, a6,, a,, a,
patronagc systcm and, ac6
political translormations, ac.a
racial, .,c
rights and lrccdoms, ac,.c
upgrading and, a6,
youth, a.,.
dc Souza, Lopcs, .
dcvcloping countrics
dcmographic shilts and,
and urban population growth,
dignity, aa, ac, ac, ca
bcing gcntc and, .6
bcing poor and, .a
dcnying, ac
inlrastructurc and, 6
qucst lor, 6
supprcssion ol, a
discrimination
as pcrccivcd by thrcc gcncrations, .f
and stigma, .
discnlranchiscmcnt, aca
janira, .aaa6, .a, .a
on armcd militias, .6
childrcn ol, ., ..
dcscribing thc crcation ol \ila pcrria,
.a
lamily background, .,, ., .cf
lamily, as on acc, ..
nding ol, .a6.
schooling, .,
on \ila !dcal, .a
dono da boca (boca owncr), .,
owdncy, Lukc, .,
drug gangs, lor tcrritorial control, .,c,
.6,
drug lords and votc control, ac6,
dual city, c
uquc dc Caxias. See Caxias
cconomic marginality, .a
ccstasy, .
cntcrprisc zoncs and cmpowcrmcnt zoncs,
c
nvironmcntal 8cncts Program, c
c Silva, Jailson dc Sousa
on arms in 8razil, .c
vicws on globalization, a
stado Novo, .a
statuto da Cidadc, .., .a
cvangclicalism, .c
vora, Pcdro, a
cxclusion, ., ac, a.6, a,
bascs ol, .
ol pcoplc,
ol poor,
social, .a, .6, .,a
tcrritorics ol, c, ,, a
undcrclass and, ac.
cxtrajudicial violcncc, .6,, .
lalsc positivcs, .
lamily improvcd houscd, a,.f
lamily solidarity, ..
Favcla8airro program, c, .a, a,c
critics ol, ac.
Phasc !, a,,6
Phasc !!, a,6
Phasc !!!, a,,
as placcbascd approach to public policy,
a
room lor lurthcr improvcmcnt, a.a
lavcla chair, c, .f
Favela Chic, a
lavclaism, .
Favela Rising, c
lavclas, .6, (see also individual entries)
I N D E X [ 4 0 3 ]
absolutc povcrty in, aa
accuratc gurcs on populations and
houscholds, challcngcs in, 6c
as appcaling locations lor drug gangs,
.6
8NH and, a6
brutal violcncc in, .
ol Catacumba, 66, ,., ,a
chic and rcsponscs, aa
common charactcristic lcaturcs with
richcst ncighborhoods, a
conjuntos and, , 6
crcation ol ncw, ,
dcnition complcxitics, ac,
cducation lcvcls in samplcs ol, a, at
cradication ol, ,,
cxit ol, and upward mobility, aa6
lascination with, c
lutility ol voting in, a.a
grccning ol thc city in, c6
growth ol, a, , f, t
history ol, a6a,
houschold consumption lcvcls in
samplcs ol, a6, at
incomc gcncration in, c.
indcpcndcnt voting and thrcat ol drug
lords in, ac6,
!ntcrnct acccss in samplcs ol, a6
living standards in, aaf
lotcamcntos and, a, a.
monthly carnings, comparison with
nonlavclas, f
moral outragc and impotcncc in,
ac.c
in North Zonc, a, c, , a
patronagc systcm in, ac6
pcnsion systcm and, a6
policc and, .666
racc in, .,c
racial mix in, .6c
rcsidcnts ol, .c
ol Rio dc Janciro, a
rolc in highstakcs global gamc, .,
school supplcmcnt programs lor youth
in, c
scrvicing, a6,
as social problcm, .
songwritcrs and, .
in South Zonc, a, c, , 6, a.6, a., a
systcmatic rcmoval ol, a,.
topography ol, .,
tourism, a6a
as toxic tcrminology, 6
uncmploymcnt ratcs in, aa
urbanizing, a6,
in Vcst Zonc, ., c, , a6, a.
womcn in, ca
Favcla Tcm Mcmria, a
fazendeiros (largc landowncrs), a
lcar, ,, a, 6c, .6, c,, a
ol bcing intimidatcd, .c
ol communism, a6,
ol crossrc, ., .6
toward drug addicts, .
ol lavclas rcsidcnts, a6
ol lilc, .6
ol marginality, .
ol outsidcrs, .,
pcrvasivc, ac.
ol policc, .c6
ol proximity to lavclas, .,
rccction ol, .
ol rcmoval, ,,, a6
and social lilc, .
stigmatizcd placcs ol,
ol violcncc, , a, .66, a.
Fcdcration ol Rcsidcnts Associations
ol thc Statc ol Rio dc Janciro
(FAMRJ), a,, ..
Fcdcration ol thc Favcla Associations ol
Guanabara (FAFG), a,
lcijoada, ,a, .,
Fcrnandcs, Florcstan, .
FGTS (Fundo dc Garantia dc Tcmpo do
Scrvico), a6
Financial Times, a
First Vorld citics, , .cf, .
Flavio, ,.
oating population, 6c
Forbes, a
Forca Nacional dc Scguranca (National
Sccurity Forcc), ..
lorcign dircct invcstmcnt and
globalization, a6c
Foundation lor Support ol Tcchnical
ducation, a
Frcirc, Paulo, .6, a
lrustratcd achicvcrs syndromc, ,
[ 4 0 4 ] I N D E X
Fundaao Gctulio \argas, a.
Furtado, Cclso, a
Galpao Aplauso, c
Garotinho, ,
gcntc, bcing, .6
agcncy and optimism,
lavcla chic, a.
lavclas tourism, a6a
multiplc knowlcdgcs and scll, aa6
pcrccption ol rich and poor in 8razil,
a.a
pcrccptions and prospccts, ol good lilc,
6
gerente da boca (boca managcr), .,
Gini coc cicnt, ac
Gisclida, Maria, a
globalization, a6
dcnition ol, a,
lavclas growth, comparcd with Rio,
a.6
lorcign dircct invcstmcnt and, a6c
micro impacts ol macro changcs, a6c6a
naturc ol, a6a6
pcrspcctivc ol poor ol, a6
povcrty and, ac
prcmiscs ol, a
Rio dc Janciro as casc study ol, ac.
urban planning and, a
Goldcn Law, a
Gorz, Andrc, .
Govcrnmcnt, pcrccption ol lcvcls ol, acf
Grandc, Hlio, 6, .,, ac
grandes chefes (big chicls), .,
Granovcttcr, .6
grccning ol thc city, c6
Growth Accclcration Program (PAC),
a,, ca
growth polc citics,
Guapor, , ., .,
Habite-se ccrticatcs, aa
Haiti,
Harvcy, avid, a6
hcalth carc, nccd lor, .,
Hclicoptcr survcillancc, .6f
Holston, Jamcs, .a, ac
homc owncrship, a
dclacto tcnurc, a6
intcrgcncrational dicrcnccs in, at
owncrship nccd and signicancc,
a6,
scllrcportcd, af
sociocconomic status dicrcnccs, ccf
homicidcs, .,a
ratcs, in 8razil, .,.
ratcs by gcndcr and agc, .,t
Hoskins, ,
Human cvclopmcnt !ndcx (H!), .,6,
a.
Human Rights Vatch, .a
incivility, a
!ndia,
!ndoncsia,
incquality, , a.
globalization and, a.
high lcvcls ol, , ., , .,6, a.
in incomc, ac
invisiblc,
justication ol, .c
landscapc ol, ,f,
pcrpctuating, a.
pcrsistcncc ol, ac
and povcrty, a
rcduction ol, aa, a6, a
social, .
!nlcrno \crdc, .c
inlormal scttlcmcnts, , ac, a
lrom lormal city, 6
insccurity,
institutional acts, acc
!nstituto dc Aposcntadoras c Pcnsocs
dos Comcrcirios (Rctircmcnt and
Pcnsion Fund lor cmployccs in
commcrcc), .c.
!nstituto dc studos do Trabalho c
Socicdadc, a.,
insurgcnt citizcnship, ac
intcntional scttlcmcnt, .a6
!ntcrAmcrican cvclopmcnt 8ank
(!A8), a,6, a,,
intcrgcncrational invcstigation, .aa
intcrgcncrational transmission, ol succcss,

I N D E X [ 4 0 5 ]
intcrnalization
ol pridc, ac,
ol scllblamc and sclldcprccation,
a.,
ol scllimagc ol unworthincss, a
!ntcrnct, a6
intraand intcrgcncrational pattcrns, aa,
changcs lor bcttcr, aaa
cducation and incomc rcturns, aac,
acf
job, ac.
parcntchild cducational and
occupational comparisons, a.a
!pancma, 6,, a,
Jacarczinho, , a,6
Jacobi, 6,, 6, ,., ,, ,, c, , .6
jogo de bicho (numbcrs gamc), .,
Joncs, \an
Te Green Collar Economy, c6
Jornal do Brasil, ,., c
Jos, Manucl, .a
Junior, c
Juvcntudc AC, 6
Kaczmarkicwicz, Lconard, .c
Kcnncdy, John F., ,.
Klabin, !sracl, a,
Kottak, Conrad, .,c
Kubitschck, Juscclino, .
Laboratrio dc Anlisc da \iolcncia
(Laboratory lor Analysis ol
\iolcncc), .,a
LabourNct, c
Laccrda, Carlos, .
Lagoa Rodrigo Frcitas, a, af, 66
land banking and subsidizcd housing,
aa
Latin Amcrica, ,. (see also individual
entries)
squattcrs and shantytowns in, 6,
Lccds, Anthony,
Lclcbvrc, Hcnri, ..
lcgitimacy, ,, .a, aa, 6, .c, aa,, ac, ac,
a6
ol dcmocratic systcm, and patronagc
politics, ac6
lor lamilics, aa
lowincomc communitics and, a.
ol ncighborhoods, c, , .6, aa, a,
a, ,,
pcrsonal, .c
Lcitc, Liana, .,a
Lcvi, Sr., .cc
Lcwis, scar, c
Life, ,c, ,.,
lilc narrativcs, thcmcs lrom, acf
Light, 6, .c
Light Commission (Commissocs dc Luz),
6, .ca
Lima, Ncgrao dc,
Linha Amarcla (Ycllow Linc), ,
Linha \crmclha (Rcd Linc), ,
Livrc Pcnsar Social (lrcc social thinking),
c
Lopcs, Tim, .c,
lotcamcntos, a, f, .a6, .6
vcrsus lavclas, a.
transition ol, aa
lotcamcntos clandcstinos (illcgal and
quasilcgal subdivisions),
Luis !gncio Lula da Silva, ..,, ac., a
Maia, Ccsar, a,, a,,, c
Mainwaring, Scott, ac
Manchete, A, ,.
Mangin, Villiam, .
Margarida, ,, ., ..a
marginality, ., (see also bandidos)
advanccd, .6.
capability dcprivation, .6
dcbunking thc myths ol, .c
idcology, .c
marginais and, .,
marginalidadc and, .
social cxclusion, .6
stigma and discrimination, .
translormations and povcrty, ..a
unmaking and rcmaking ol, .a
marginality, myth ol, .a.
Maria, Tania, a.
marijuana tradc, .,,, .,
Marinho, Robcrto, .
[ 4 0 6 ] I N D E X
mass mcdia, scnsationalist, .6
mcgacitics, ., f
8razil, ,
city growth to South, 6
dcnitions and data, 6.
lcar and lailurc, a
Latin Amcrica, 6,
povcrty, gcography ol,
Rio dc Janciro,
stratcgics to stcm migrant ow to,
McgaCitics Projcct, c, .
Mctro, ,
military coup, ,
military dictatorship, a,, c, .,, ., ac6, a..
Caxias during, .a
lavcla growth during, .c
lilc altcr, ac, ac,, ac, ac, a,, .a
lilc during, ac
military and policc lunctions during,
.6,6
policc brutality during, .,
lor rcmoval ol lavclas, .ca
right lor citizcnship during, acc
Military Policc (Polcia Militar), .6,, .,, ..
Millcnnium cvclopmcnt Goals
(MGs), ,
Minha Casa, Minha Vida (My Homc, My
Lilc), a
Ministry ol Citics, .a
mistura na
cocainc, .,,,
cxtrcmc incquality, .,6
govcrnmcnt indicrcncc, .a
militias and cxtortion, .
organizcd drug gangs, lor tcrritorial
control, .,c
povcrty, .,6
powcrlcss poor population, .
scnsationalist mass mcdia, .6
sophisticatcd wcaponry and activc arms
tradc, .c.
stigmatizcd tcrritorics, cxcludcd lrom
statc protcction, .,,
tra cking, .,6,,
undcrpaid, undcrstacd, and
unaccountablc policc lorcc, ..a
misusc, ol privilcgc and powcr, aca
mobility, aac (see also social mobility)
Corrcias narrativc, a
lavclas, gctting out ol, aa6
lavclas and, aaa6
ltcrs, ac
Gisclidas narrativc, a
Grandcs narrativc, ac
improvcmcnt ol lilc and, aa
intra and intcrgcncrational pattcrns,
aa,a
naturc and nurturc, ac
povcrty, a6
rcsidcntial movcs, cxploring pattcrns ol,
aa6a,, aa,f
Morar no Ccntro (Living in thc Ccntcr), aa
morro, c, .f, .6., a66, a., a, .c,
Morro da Favcla, a,
Morro dc Alcmao, .c, a,
Morro dc Catacumba, 6,
Morro dc Providcncia, a,
Morro dos Macacos, a
Morsc, Robcrt, .
mortality ratcs and violcncc, .,a
Movimcnto cmocratico 8razilciro
(M8), ac
Municipal Guard, .6,
M\ 8ill, .6., a
on crimc and punishmcnt, .
vicws on drugs, .,6,,
Myth of Marginality, Te, .a, ., ., .,
.a, ., a, a, a, a
Namibia,
National Rcscarch by Houschold Samplc, .
ncgativc incomc tax, .6c
ncgotiatcd solidarity, a6
Ncncm, .c
Ncpal,
Ncvcs, Ricardo,
Ncvcs, Tancrcdo, ac
New York Times, .6, ca, a
Nilton, 6, .,a, .., .., ., ., ., ac,
a, a, .6, ..
Ns do Morro, a,
nostalgia, ac, ac
Noticias de Um Guerra Particular, .c
Nova Amcrica Tccidos, .c
Nova 8raslia, , .c, ., ., , a,
biggcst conict in, ..
churchcs in, .c
I N D E X [ 4 0 7 ]
commcrcial lilc in, .c
Complcxo dc Alcmao, .c6
as consolidatcd lavcla, .c
narco tra c and conscqucnccs, .c,
policc in, .6,, .
rcconstructing thc history ol, .c.
Rcsidcnts Association in, .ca, .c,
sampling map ol, f
ol this day, ...
vicw lrom hillsidc, f
Z Cabo and his lamily, .c.
Nun, Jos, .
obarmctro survcys, ac
bscrvatorio das Favclas, 6c
O Globo, ,,
pcracao Ccrco Amplo (pcration Vidc
Nct), .c6
othcrncss, .,
Padrc Migucl, 6f, ac
Pacs, duardo, a, .
palatas, a,a
Paraguay,
Parks, Gordon, ,c, ,., ,a,
Parquc dc Catacumba, , , cf
participation, in community organization,
. (see also community participation,
accting lactors)
participatory budgcting, a6
participatory dcmocracy, a.c
Passos, Pcrcira, 6
Pastoral da Favclas, a,
patronagc politics, aca, ac6
Pcdro !!, on, a
Pensando as Favelas,
Pcro, \alria, a, aa
pcrsonal lcgitimacy, .c
pcrsonhood. See gcntc, bcing
Pctcrscn, Lu, a,6
Pctrobrs, .a
Pictcrsc, dgar, .,c
pinta ol pcrson, .
placcbascd approach, to public policy, a
playboys, .6, .,, ., c
Pochmann, Marcio, .
policc, .c6, .666
barging into publics privacy, .c
brutality, .,
harassmcnt and mistrcatmcnt ol lavcla
rcsidcnts, .,,
justication ol violcncc, .6
militarization ol, .66f
misusc ol powcr, .6,c
undcrpaid, undcrstacd, and
unaccountablc, ..a
wcapons sclling and, .c
policc station, .6, ac6
political marginality, .a
political participation, aca, a...a, a.af, a.
political violcncc, .
popular housing, a6
CH!SAM, a,.
CSC, a6,.
CHA8G8, a,a
Promorar and Projcto Rio, a,a,
postindustrial marginality, .
PUSs (Urban and Social ricntation
Ccntcrs), aa
povcrty, , .6, a66
absolutc, aa
in 8razil, ,, , a.
criminalization ol, .66f
culturc ol, c
gcography ol,
globalization and, ac
intra and intcrgcncrational transmission
ol, t
and mobility, a6
Scns vicw on, .6
translormations and, ..a
as urban phcnomcnon, 6, acc
and violcncc, .,6
povcrtybascd approach, to public policy,
a, a6
Praa do Tcro, 6, .cc.c., .c, .., .
Praia do Pinto, 6, ,,,
Prcstcs, Luis Carlos, 6
pridc, 6, aa, .a, ac, aa, a6
black, .,c,
lavcla, a
intcrnalization ol, ac,
local,
pcrsonal, ac
univcrsal sourcc ol, among lormcr
Catacumba rcsidcnts, ,
[ 4 0 8 ] I N D E X
Primciro mprcgo (First Job) program,
ca
probit modcl, a
Programa dc Acclcraao do Crcscimcnto
(PAC, Program ol Accclcratcd
Growth), ..,
Projeto Aplauso (Projcct Applausc), c
Projcto Mutirao, a,
Promorar and Projcct Rio, a,a,
public policy, a6, att
approachcs to, a
citizcnship and right to city, .c.
countcrproductivc inccntivcs, ..
drugs and violcncc, c,.c
incomc gcncration and, c.,
inlormal housing, a.
knowlcdgc and agcncy, a
land tcnurc and homc owncrship,
ac.
lotcamcntos vcrsus lavclas, a.
mobilization and cxpcrimcnts with
upgrading, a,,
nonrclormist rclorms, ..
nonunivcrsality ol problcmsolving,
across populations, a
playcrs and policics, a6,
rcscarch implications, a
urbanization (see urbanization)
Public Sccurity (Scgurana Publica), .6,
public utility, a
Putnam, Robcrt, ., .6
puttingout systcm, a66
Quijano, Anibal, .
Quitungo, , .a
racial dcmocracy, .,c
Rdio Nacional, 6
Rapid Participatory iagnosis (RP), c,
.c., ., .,, .c, .a,
Rcal Plan, .., a,, a6.
rccrcational drugs, c,
Rcdc Globo, .
rcdcmocratization, aca, ac
Rcd Phalanx. See Commando \crmclho
(Rcd Command)
RcorcstamcntoMutirao Rcmuncrado
(RclorcstationRcmuncratcd Scll
Hclp), a,,
rcscarch mcthods and challcngcs
bias,
community acccss and violcncc, c.
conccptual lramcwork, f,
contcxtual qucstionnairc, crcating, a
cxploratory rcscarch, 6
implcmcntation, 6
indicators, ,
longitudinal rcscarch objcctivcs, .,
aff
mcmory, importancc ol, a
mixcd mcthodologics,
original intcrvicwccs, dicd,
original intcrvicwccs, rclocating,

problcms in,
qucstionnairc, pcrlccting, .a
random samplc, ncw, 6,
rclocatcd individuals, vcrilying thc
idcntity ol, c
Rcscndc, J, ..
Rcsidcnts Association, ,,, ., a.
closing ol, ., .,
control ol drug lords ovcr, .,, ac6
as community spacc, a
crcation ol, a,, .ca
dcclinc ol rclcvancc ol, .c,
loss ol indcpcndcnt, .
prcsidcnt ol, .c, .c, .., ..6, ., a6
rcsourccconscrving citics, c6
rcvcrsc snobbcry, a,
Revista do Radio, ,.
Rcvolutionary Armcd Forccs ol Colombia
(FARC), .c
right to thc city, ..
Rio Como \amos: (Rio, Howrc wc
doin:), c
Rio das Pcdras, ., ., a,6
Rio dc Janciro, , . (see also lavclas)
8olsa Familia in, a
conccptual lramcwork lor longitudinal
study in lavclas ol, f
conscqucnccs lor urban poor in, a,
cducation lcvcls in, a, at
lavcla and nonlavcla growth in, 6f
I N D E X [ 4 0 9 ]
lavclas ol, a
vcycar plan ol, a,
govcrnmcnt indicrcncc, .a
Govcrnors and policc lorccs, .6
grccning ol thc city in, c6
homicidcs in, .,.
houschold consumption lcvcls in,
a6, at
incquality lcvcls in, .,6
intra and intcrgcncrational transition
matriccs in, a
landscapcs ol povcrty and incquality
in, ,f
local cconomic dcvclopmcnt stratcgics
in, c
lowincomc communitics in, cc
Plano ircctor (Mastcr Plan) lor, a,
policc ol, ..a
poor population in, .
population ol, .
povcrty in, a., a
squattcrs ol, ac.
uncmploymcnt in, a, a.a
Urban ivision ol thc !ntcrAmcrican
cvclopmcnt 8ank, hclp lrom, a,6
urbanization in, .
youth as violcncc victims in, .,a
RioNitcroi 8ridgc, ,
Rio nLinc, c
Rita, ona, 6, .., ..6, ac,
Rivcra, Pcdro, a
Rocha, Mcrccdcs dc la, .6
Rocha, Sonia,
Rocinha, a,, a,, a,6, a,
Roda \iva, a
Ropcr Starch !ntcrnational, .
Royal Palacc Guard, .6,
Rua Nova 8raslia, f, 6, f, ..c
rural dcvclopmcnt programs and
migration,
Sachs, !gnacy,
Santa Marta, .6
Sao Paulo
lavcla population in,
homicidcs in, .,.
Sarncy, Jos, ac
Sattcrthwaitc, avid,
Schcin, Franoisc, a,
schools, .., ., aa, a., a
clcmcntary, a., a
in lavclas, .c
Lagoa,
primary, .
privatc, ,
samba, 6, .c
supplcmcnt programs, c
school supplcmcnt programs, lor lavcla
youth, c
scllblamc, intcrnalization ol, a.,
scllbuilt dwcllings, a66
scllcstccm
lack ol, a,
low,
Sclva dc Pcdra (Stonc Junglc), ,6
Scn, Amartya, .6
Scrvicc Nacional dc Aprcndizagcm
!ndustrial (National Tcchnical
School), ..
shacks (see also barracos)
incrcasc in, a,
ncw, ,
in Nova 8raslia,
shantytowns, 6, .,, a
in Latin Amcrica, 6,
swclling, a66
urban, ., ac, a6
Sicrra Lconc,
slum, ,
dcnition ol, ,
in dcvcloping countrics, ,f
as word ol dcancc,
Slum/Shack wcllcrs !ntcrnational,
Slumdog Millionaire, .6, .
slumming. See rcvcrsc snobbcry
Soarcs, Luiz duardo, c, ., a
social assistancc rclcrral ccntcrs (Ccntros
dc Rclcrcncia dc Assistcncia Social
CRAS), a
social capital, a, ,
bonding, .6
bridging, .6,
and civil socicty, loss ol, .
crosion ol, .6
social contract, crosion ol, .a
[ 4 1 0 ] I N D E X
social cxclusion, .a, .,a
lavclas and, .6
old cxclusion and ncw cxclusion,
distinction bctwccn, .
social housing. See popular housing
social incquality, .
socializing, .
social marginality, .a
social mobility, a, .c, a., .,
downward, a6, ac, a
incquality and, a.
outward, aa, a
upward (see upward mobility)
sociocconomic status (SS) indcx, a, a,,
a, 6
solt dcvclopmcnt, aa
Soldado do Morro (Soldicr ol thc Favcla),
.6., .6a6
solidarity, ., a.
community,
community,
crosion ol, .6
lamily, ..
ncgotiatcd, a6
violcncc inucncing, .66
Sorria, Voc Esta na Rocinha (Smilc, you arc
in Rocinha), a,
South Alrica,
Souza, Tio, 66, ,, ac
spacc ol placc, a
spatial conccntration and stigmatization,
.6c6.
spatial scgrcgation, aa
squattcrs, a,,
in Latin Amcrica, 6,
in Nova 8raslia,
public policy and, a6,
stigma, ., c, , 6, ,, .,
community participation and, a.6
dccply rootcd, c
and discrimination, .
ol living in lavclas, a.
multiplc, .
pcrccivcd, . f
suburbios, 6
SUCAN (municipal mosquito prcvcntion
program), .
succcss, analytical lramcwork ol
intcrgcncrational transmission,
upward mobility, dimcnsions and
corrclatcs ol,
surlacc mctro, c6
swcat cquity, .ca, a,
compcnsation lor, a,
prioritics ol lavcla rcsidcnts and, a6
Tavcs, Laura, a
Tcllcs, dward, a
Tcrcciro Commando (Tird Command),
., .6, .,
Tird Vorld citics, , .cf
Torbcckc, rik, a,
Time Out, a
tra c, .c, .c, .c, ..., .6, .,a, .,6
cargo, .,,
controlling pcoplcs mobility in lavclas, ..
narco, .c,
as parallcl powcr, .,,
tra cantcs. See bandidos
transition matrix analysis and mobility,
a,
trauma,
triagc housing, , af
Tropa de Elite (Te Elite Squad), ..
trust, , .,, .6c, ., a
lack ol, a., , .c6
violcncc and, .66, .
Tncl Rcbouas, 66
undcrclass, ., ., accac., ,
and cxclusion, ac.
globalization accting, a,, a
urban, a6c, .
uncmploymcnt
in 8razil, a
in Rio dc Janciro, a.a
UNHabitat statistics, 6.
Unibanco, 6
UN!CF, .
Unilcvcr, a.
Unitcd Statcs Sccurity Rcport, .
univcrsal approach, to public policy, a, a6
unscrviccd lots (loteamentos no-urbanizados),
.a6
upgrading, a6,
mobilization and cxpcrimcnts with, a,,
I N D E X [ 4 1 1 ]
physical, aa
upward mobility, aa, ., aa6, a, a6,
a, a, ac, a., a, a, aa
constraints lor, a
dimcnsions and corrclatcs ol,
lamily sizc and, ..
lavcla cxit and, a
possibility ol, .
social capital and, a
Urani, Andrc, c
urbanization
in 8razil, , ac
in dcvcloping rcgions,
intcnsc, .c
lamily sizc and, .
in Latin Amcrica, 6
Reorestamento-Mutiro Remunerado
(RclorcstationRcmuncratcd Scll
Hclp), a,,
Favcla8airro and phascs, a,a
prcscncc ol statc in, aa
urban planning and globalization, a
urban povcrty and structural dynamics, .
U.S. Agcncy lor !ntcrnational
cvclopmcnt, ,.
usucapiao (advcrsc posscssion), a6
Valor Econmico, aa
\argas, Gctlio, 6, .a, ac., a6
\aughn Family Ccntcr, .
\igario Gcral, c
\ila !dal (!dcal \ila), .a6, ., .a
\ila pcrria (Vorkcrs \ila), .a., .a f,
.c, .., .
Amuscmcnt Park, .af
contribution to community
dcvclopmcnt, a.
\ila Piquiri community, ,
vilas,
violcncc, .c,, .c, .6, .66
and acccss to communitics, c.
armcd militias and, .66
in 8aixada, .,
bonding social capital, .6
bridging social capital, .6,
cocainc and, .,,,
community participation and, a.6
conscqucnccs lor urban poor, .,
and drugs, c,.c
cxtrcmc incquality and, .,6
govcrnmcnt indicrcncc and, .a
and loss lor individuals and lamilics,
.,a
militias and cxtortion, .
organizcd drug gangs, lor tcrritorial
control, .,c
policc, .6
povcrty and, .,6
powcrlcss poor population and, .
propcrty valuc and, a
racc and powcr and, .6,c
rcpcrcussions lor community, .a
scnsationalist mass mcdia, .6
social capital and civil socicty, loss ol,
.
sophisticatcd wcaponry and activc arms
tradc, .c.
startling statistics on, .,.,a
stigmatizcd tcrritorics, cxcludcd lrom
statc protcction, .,,
tra cking and, .,6,,
undcrpaid, undcrstacd, and
unaccountablc policc lorcc, ..a
and victimization, .f
youth as victims ol, .,a,
virtuous cyclc, ,f
\iva Rio, a
votc control and drug lords, ac6,
Vacquant, Loc, ., ., .6c, .a, .
Valdcvino, ,,, ,
Var on rugs, ol Unitcd Statcs, .,,, .,
Vashington, 8ookcr T.,
wcllarc statc, rctrcnchmcnt ol, .6c
West Side Story, .
whitc cxpulsion, ac
Vollcnsohn, Jamcs, .c.
Vorld 8ank, a,a
Xcrox do 8rasil, .6
youth
dcmocracy and, a.,.
as violcncc victims, .,a,
[ 4 1 2 ] I N D E X
Z Cabo, , .ca, ..., ..f, ..f, ., .,a,
.c, a
dcscribing his housc in Nova 8raslia, ..
and lamily, .c., ..f
on impcrmancncc ol bcing gcntc, .ac
as prcsidcnt ol Rcsidcnts Association ol
Nova 8raslia, ..,
on urban tcrritory, .,
as young man in navy, ..6f
Zumba, .a, .a