Environmental positive externalities from public provision, such as the benefits yielded from the public measure of nature conservation, are often not internalized. Potential sub-optimal public service provision can be expected from such a condition, leading to inefficiency, if the benefits at a greater territorial scale are not acknowledged. This holds particularly true for intergovernmental fiscal relations in a decentralizing multi-tiered governmental system. Moreover, in developing countries the fiscal capacities to perform measures of ecological public functions are limited with their fiscal needs for these functions often appearing to outweigh their fiscal capacities. Research at the interface of the economic theory of fiscal federalism, the sustainability concept, and policies related to conservation and the environment is relatively new. Furthermore, in the literature on environmental federalism the emphasis tends to be comparatively less on the benefits of positive environmental externalities. The essential contribution of this study is an extension of this research field that is still in its infancy by applying the specific case of Indonesia as the context, on account of this tropical country‟s ecological significance as well as its recent developments during the fiscal decentralization process. The overall aim of this study is to assess the possibilities of ecological fiscal transfers as a set of instruments in the public sector to internalize environmental externalities. To this end, the study traces the development as well as the current state of intergovernmental fiscal transfers in Indonesia in terms of ecological purposes. On the basis of this knowledge, the study offers new policy perspectives by proposing a number of policy options for ecological fiscal transfers in the context of the functioning fiscal transfer system and institutions between the national and the subnational (province and local) governments as well as among jurisdictions at the same governmental level. The incorporation of an explicit ecological indicator into general-purpose transfers is the first option. The second option is derived from a revenue-sharing arrangement. In this arrangement, two sub-options are proposed: first, shared revenues from taxes are distributed on the basis of the ecological indicator and, second, shared revenues from natural resources are earmarked for environmental purposes. Finally, the third option suggests an extension of existing specific-purpose transfers for the environment. The potential and limitations of the respective options are addressed. Additionally, a short treatment is given to the discourse on the possible mobilization of fiscal resources in the context of tropical deforestation and global climate change. The research concentrates mainly on the first option, namely the incorporation of an ecological indicator into the structure of general-purpose transfer allocation. In order to substantiate an explicit ecological dimension in the transfer, it extends the present area-based approach by introducing a protected area indicator while maintaining the remaining socio-economic indicators in the fiscal need calculation. The parameter values of area-related indicators are adjusted and subject to the properties of the existing formula. The simulation at the provincial level yields the following results. First, more provinces lose rather than gain from the introduced ecological fiscal transfer when compared to the fiscal transfer that they received in the reference fiscal year. Second, on average the winning provinces obtain a higher level of transfer from the introduction of an ecological indicator in the fiscal need calculation. The extent of the average decreases for the losing provinces, however, it is lower compared to the extent of the average gain by their winning counterparts. In terms of spatial configurations of the general-purpose transfer with an ecological indicator, provinces in Papua would benefit most from the new fiscal regime whereas provinces in Java and Sulawesi, with a few exceptions, would suffer a transfer reduction. Kalimantan and Sumatera show a mixed pattern of winning and losing provinces. The analysis on the equalization effects of the general-purpose transfers makes the following important contributions. It suggests that, first, the transfers are equalizing and, second, the introduction of the protected area indicator into the structure of these transfers plays a significant role in the equalizing effect, particularly in the presence of provinces with a very high fiscal capacity and when the area variable is also controlled. All of these new insights are imperative in the design of fiscal policy which intends to integrate explicit ecological aspects into the instruments of intergovernmental fiscal transfers. Since a formula-based fiscal transfer distribution is intrinsically zero-sum, the aforementioned configuration of winning and losing jurisdictions is conceivable. Among other future perspectives, it is the task of further research to explore ecological fiscal transfer instruments and associated measures that on the one hand seek to induce the losing provinces to join their winning counterparts and, on the other hand, are still subject to the requirements of the rational fiscal transfer mechanism.

Cette thèse s'inscrit dans une perspective d'économie politique pour aborder les contraintes institutionnelles engendrées par la mise en œuvre des réglementations environnementales à l'échelle locale. La pertinence des dispositifs institutionnels environnementaux (DIE) comme solution coopérative à la fragmentation de la structure politico-administrative française focalise l'analyse. La thèse développe deux types de travaux. Les propositions du fédéralisme environnemental, sur la supériorité de la centralisation des compétences de gestion en présence d'un enjeu environnemental avec effets de débordement, sont évaluées à l'aune des réalités politiques locales. Une analyse économétrique des votes des élus locaux pour le cas du SAGE « Estuaire de la Gironde » permet d'apprécier la coïncidence entre le plan de gestion du bassin versant et les enjeux économiques auxquels les élus sont confrontés, via les groupes d'intérêts. La portée incitative des DIE est ensuite abordée. La théorie des coûts de transactions permet de les considérer comme des contrats relationnels basés sur la spécificité des acteurs et leur positionnement les uns vis-à-vis des autres. La reconstruction du réseau des acteurs qui portent les enjeux environnementaux de l'estuaire de la Gironde montre l'importance des acteurs publics locaux. L'analyse statistique de la formation des liens de collaboration intègre cette particularité en se concentrant sur la relation élu-technicien. La thèse montre que les dimensions politique, administrative et économique des interactions entre les acteurs altèrent l'utilité et la portée des DIE pour la coordination autour de la gestion environnementale à l'échelle locale. / This thesis adopts a political economy perspective to address the institutional and political constraints influencing the implementation of environmental policies at a local level. A central focus of the analysis is on assessing the continued relevance of Environmental Institutional Devices (EIDs) as solutions for addressing French political and administrative fragmentation. The thesis pursues two core lines of inquiry. First, proposals developed within an environmental federalism tradition, which state that centralization of power is preferable in cases when environmental problems generate spillover, are evaluated against the realities of local community interests. Through carrying out an econometric test based on local elected representatives' votes, the thesis compares the contents of a watershed policy project in Gironde estuary with the types of issues representatives face on a daily basis, in particular from economic interest groups. Second, the thesis analyses incentives contained in EIDs. Transaction costs theory provides the tools for interpreting EIDs as relational contracts based on an actor's specificity and his/her respective positioning vis-à-vis others. Through this reconstruction of an environmental governance network on the Gironde estuary, I reveal the prevalence of public actors. A statistical analysis of network formation integrates this feature by focusing on the politician-bureaucrat relationship. The results show how political, administrative and economic dimensions of environmental coordination mitigate against the usefulness and the incentive-compatibility of EIDs as tools for environmental policy implementation at local level.

The UK, traditionally one of the more fiscally centralised of OECD countries, is currently in the midst of an extensive programme of tax decentralisation. This is most evident in Scotland. Ten years ago the Scottish Government was almost wholly reliant on a block grant from the UK Government to fund its spending, and debate was focussed on how the determination of this grant should be reformed. Today the Scottish Government has far greater fiscal autonomy. Income tax was almost fully devolved to the Scottish Parliament in April 2017, and around half of VAT revenues will be assigned to Scotland by 2020. As a result, the devolved Scottish budget will in future be linked much more closely to Scotland’s economy, and Scottish politicians will be able to deviate from UK policy on the setting of income tax and various smaller taxes. The objective of this PhD is to examine the economic and political motivations for and implications of greater fiscal decentralisation, with a particular focus on the Scottish case. Its key over-arching questions include: • Which fiscal powers are more and less suitable for decentralisation, and what might constraints might a devolved government face in exercising devolved tax powers? • To what extent are the objectives of fiscal decentralisation compatible with the goal of inter-regional equity in public good provision? • To what extent is fiscal decentralisation likely to enhance the incentives faced by politicians in a devolved parliament to pursue particular types of policy? And to what extent does the answer to this question depend upon the way in which supporting fiscal institutions, notably including the design of block grant arrangements, influence this? • What factors determine regional economic performance, and to what extent can devolved governments be held accountable for (or face the budgetary consequences of) those trends? • To what extent might fiscal decentralisation assuage or accentuate demands for Scottish independence? This PhD consists of four academic papers covering aspects of regional economics and constitutional change in the UK, with a particular focus on Scotland. Each of the four papers is preceded by an abstract. An introductory chapter provides theoretical and policy context within which the four papers are situated. A concluding section to the PhD is provided in Chapter 6. The four papers cover the following topics: • Paper 1 (Chapter 2) was published in the immediate aftermath of the Scottish independence referendum of 2014, and considers the issues and constraints involved in devolving further fiscal powers to the Scottish Parliament. • Paper 2 (Chapter 3) considers the scope for replacing the Barnett Formula (used to allocate funding to the Scottish Government) with a form of spending-needs assessment, based on a comparative analysis of formulae used within England and Scotland to allocate health funding to territorial health boards. • Paper 3 (Chapter 4) examines how regional labour markets in the UK responded to the 2008/9 recession and its aftermath, and considers which factors may have influenced regional resilience to the recession. • Paper 4 (Chapter 5) examines the factors that determine differential growth in regional income tax revenues, and considers the extent to which it is reasonable to hold devolved governments wholly to account for differential economic performance. • Chapter 6 concludes.

This study on "The road to constitutionalism and democracy in post-colonial Africa: the case of the Democratic Republic of Congo" revolves around a major research problem: What has been the road to constitutionalism and democracy in Africa since independence and how can constitutionalism and democracy be established and consolidated on the African continent? The importance of the problem and its implications for the life of millions of African people and the state of the literature still dominated by persons foreign to Africa make constitutionalism and democracy one of the most fascinating and challenging intellectual projects, particularly among African scholars. This work is a contribution to the development of knowledge and to the building and consolidation of constitutionalism and democracy in Africa. It revisits and critically examines the concepts and the various discourses and voices we have heard form both inside and mostly outside the continent. It highlights the African struggle, explores the major trends, and stresses the challenges and prospects for constitutionalism and democracy in Africa. The Democratic Republic of Congo (DRC) is a case study. The research deals with the unfinished struggle of the people of the Congo and explains why the Congo has gone from DRC to DRC via Zaire, from one crisis of the Congo in the 1960s to another crisis of the Congo since the early 1990s and why the DRC history has been rehearsing in a vicious circle of coups and countercoups, rebellions, unsuccessful national conferences, authoritarian and unconstitutional regimes. Central to the crisis in many African states, including the DRC, is the crisis of constitutionalism and democracy and the failure of the post-colonial state. The study ends with the conclusion that constitutionalism and democracy also belong to Africa and constitute a prerequisite for African survival and renaissance. / Constitutional and Public International Law / LL.D.

Submitted by Gustavo Gomes (gustavolascasas@gmail.com) on 2013-09-25T12:43:11Z No. of bitstreams: 2 Ensaios em finan??as p??blicas municipais.pdf: 875614 bytes, checksum: dc145cd22b82eaa33bc4cda649abe175 (MD5) license_rdf: 23599 bytes, checksum: 9e2b7f6edbd693264102b96ece20428a (MD5) / Approved for entry into archive by Roger Guedes (roger.guedes@fjp.mg.gov.br) on 2013-09-27T00:07:13Z (GMT) No. of bitstreams: 2 Ensaios em finan??as p??blicas municipais.pdf: 875614 bytes, checksum: dc145cd22b82eaa33bc4cda649abe175 (MD5) license_rdf: 23599 bytes, checksum: 9e2b7f6edbd693264102b96ece20428a (MD5) / Made available in DSpace on 2013-09-27T00:07:13Z (GMT). No. of bitstreams: 2 Ensaios em finan??as p??blicas municipais.pdf: 875614 bytes, checksum: dc145cd22b82eaa33bc4cda649abe175 (MD5) license_rdf: 23599 bytes, checksum: 9e2b7f6edbd693264102b96ece20428a (MD5) Previous issue date: 2009 / Funda????o Jo??o Pinheiro / Esta tese busca discutir problemas relacionados ??s finan??as p??blicas municipais no pa??s. Um aprimoramento de nosso federalismo fiscal, com maior descentraliza????o de recursos e implementa????o de regras de transfer??ncias federativas com maiores incentivos pr??-efici??ncia ??? aumentando os incentivos pr??-obten????o de melhores resultados sociais por parte das unidades subfederadas ??? pode se revelar instrumento importante na melhoria de nossas condi????es sociais. Para isto, dividiu-se esta tese em quatro partes distintas. No primeiro cap??tulo, discutem-se os impactos das receitas petrol??feras sobre as finan??as p??blicas municipais. As mudan??as legais ocorridas no pa??s na d??cada de noventa do ??ltimo s??culo - relativas ao setor petrol??fero - levaram a crescente (e concentrada) transfer??ncia de recursos do setor para os estados e munic??pios brasileiros. A forte sensa????o que estes estariam sendo desperdi??ados de alguma forma vem suscitando discuss??es sobre a necessidade de se reformular sua distribui????o. As recentes descobertas de megacampos petrol??feros no pr??-sal do litoral brasileiro somente intensificaram este processo. Buscou-se identificar os efeitos destas transfer??ncias sobre as vari??veis fiscais municipais no pa??s. Detectou-se que n??o ocorreu substitui????o tribut??ria, ou seja, estes recursos n??o diminu??ram o esfor??o arrecadat??rio dos munic??pios. Em compensa????o, tanto os recursos cuja distribui????o ?? bem mais concentrada (referentes aos royalties excedentes) quanto aqueles mais bem-distribu??dos (referentes aos royalties originais) levaram as prefeituras a aumentar seus gastos correntes (piorando sua composi????o do ponto de vista social) e diminuir seus investimentos. O contr??rio parece ocorrer com os recursos cuja distribui????o se d?? de forma intermedi??ria (os royalties referentes ??s participa????es especiais. No segundo cap??tulo, discute-se o impacto das receitas petrol??feras sobre a profici??ncia dos alunos at?? a quarta s??rie prim??ria das escolas p??blicas municipais. As receitas petrol??feras ??? agregadas ou n??o ??? n??o se mostraram estatisticamente significativas na explica????o do desempenho observado pelos alunos da quarta s??rie prim??ria das escolas municipais em portugu??s ou matem??tica. Este resultado, entretanto, deve ser olhado com cautela, uma vez que n??o ?? trivial identificar como (e o tempo necess??rio) estes efeitos seriam gerados. Entretanto, diferentes fontes de receitas municipais impactariam de forma diferenciada as profici??ncias observadas nos testes de portugu??s e matem??tica, explicitando a necessidade de se entender melhor estas diferen??as para se desenhar mecanismo mais eficiente de repasse de recursos constitucionais aos munic??pios. No terceiro cap??tulo, estudam-se os impactos das emancipa????es municipais ocorridas na d??cada de 90 sobre o bem-estar das popula????es locais. Devido ?? Constitui????o Federal de 1988, o n??mero de munic??pios no Brasil multiplicou-se fortemente na d??cada de 90 do ??ltimo s??culo. Mais de mil munic??pios foram criados em todo o pa??s, fazendo seu n??mero ultrapassar a casa dos 5.500. Este processo tem sido interpretado de forma bastante negativa. Baseado em evid??ncias aned??ticas, se pressup??e que os atores pol??ticos locais o utilizaram para se apropriar de maior parcela dos recursos transferidos de outros n??veis governamentais. Entretanto, nenhum esfor??o mais sistem??tico foi realizado buscando calcular, de maneira efetiva, os resultados sociais l??quidos deste processo. ?? isto que se busca fazer aqui, utilizando dados sobre os munic??pios mineiros - cujo n??mero passa de 723 em 1991 para 853 em 2000. Foram detectados impactos positivos relacionados a diversas vari??veis educacionais e de sa??de. Ao mesmo tempo, o contr??rio ocorreu com os indicadores de pobreza e indig??ncia. Este resultado mostra que o movimento observado de emancipa????o municipal talvez tenha sido bastante ben??fico, sinalizando para a exist??ncia de mercados pol??ticos eficientes nestas localidades, o que indicaria a necessidade de se manter uma maior autonomia local relativa a processos de emancipa????o de distritos. Por fim, no quarto cap??tulo, analisam-se os impactos de lei (implementada em Minas Gerais) que buscou aumentar os incentivos pr??-efici??ncia das prefeituras municipais a partir das transfer??ncias federativas. Buscando melhorar as condi????es de vida dos munic??pios mineiros, o governo estadual mineiro instituiu, em 1995, a lei 12.040, conhecida como Lei Robin Hood. Esta permitia que 25% dos recursos de ICMS a serem distribu??dos aos munic??pios mineiros se dessem sobre resultados observ??veis em diversas ??reas tais como sa??de, educa????o, conserva????o ecol??gica, entre outras. Ou seja, esta institu??a, em rela????o a estas transfer??ncias, um contrato de alto poder com os munic??pios relacionados ??s pol??ticas p??blicas implementadas. O estudo destas transfer??ncias (relativas ?? educa????o e sa??de) mostrou resultados d??bios. Resultados positivos relativos ?? educa????o e ?? sa??de parecem ocorrer em todo o estado, mas os incentivos dados poderiam ser bem maiores - faz-se necess??rio um refinamento das regras da partilha destas transfer??ncias. Dada a relativa escassez deste tipo de contrato em transfer??ncias federativas, seja no Brasil, seja no restante do mundo, este resultado aponta a necessidade de utiliza????o de instrumentos de maior poder nas rela????es federativas, buscando incrementar as condi????es de vida locais. / This thesis aims to discuss municipal public finance issues. An improvement of the Brazilian fiscal federalism, with greater resources decentralization and the implementation of high-powered rules for the federative transfers may be an important tool in the improvement of our social conditions. To do so, this thesis was divided into four distinct parts. The first chapter discusses the oil revenues impacts on municipalities??? public finance. The legal changes that occurred in Brazil in the nineties in the oil and gas sector led to increasing royalties transfers to Brazilians states and municipalities. The annedoctical evidence that this transfers are not been used properly - in a way that would increment the local welfare - have originated a important discussion about these distribution rules. This paper tries to identify this revenues impacts over others municipalities??? fiscal variables. It seems that this did not impact the others sources of municipalities revenue. Unhappily, some of the resources (which distribution is either more or less concentrated) led the municipalities to increase their current expenditures and diminishes their investments efforts. At the same time, they are not spending this extra money in a way that would increment the local welfare. On the other hand, the resources which distribution is between these two limits has the opposite effect. The second chapter discusses the impact of oil revenues on the proficiency of fourth grade students of primary public schools. The oil revenues - bundled or not - were not statistically significant in explaining the observed student performance in Portuguese and mathematics. This result, however, must be analyzed with caution, since it is not trivial to identify how (and when) these effects would be generated. However, different sources of municipal revenue would impact differently the students??? proficiency scores, explaining why we need to better understand these differences to design more efficient constitutional transfer mechanisms to the municipalities. In the third chapter, we study the impacts of municipal emancipation occurred in the 90s on the well-being of local populations. More than a thousand of new municipalities were created at the nineties in Brazil, due the new Federal Constitution of 1988. There is anecdotic evidence that this was a pretty harmful process for the Brazilian welfare, but there were no systematic attempt to valuate it properly. This paper tries to do so using data from Minas Gerais municipalities which number has grown from 723 to 853 ones in that decade. The results suggest that this process strongly improved the welfare of the local population. This implies that local political markets are efficient and it should be allowed for any district to emancipate from its former municipalities, if their population wishes to do so. Finally, in the fourth chapter we analyze the impact of law (implemented in Minas Gerais) who sought to increase the incentives pro-efficiency of municipal governments. In order to improve the welfare of its citizens, the state government of Minas Gerais (Brazil) has imposed, at 1995, the state law 12.040, known as Robin Hood law. It stated that 25% of the revenue transferred to the municipalities should be allocated through observable results achieved in education, health, environment among others. In other words, this law established a high power contract between the state government and the municipalities, which is not very usual. This study shows that this law had a significant impact on the municipalities??? education and health. But it???s necessary to redesign these transfers??? rules, in order to improve its power and its results. These results shows that the use of high powered rules in federative transfers could be a strong mechanism in order to improve the population welfare. / Economia e Finan??as

O período histórico iniciado no Brasil com a Abdicação de D. Pedro I foi de reconfiguração do Estado e de constituição de uma determinada idéia de nação que se pretendia propriamente brasileira. Naqueles anos extremamente conflituados, os grupos de elite das várias províncias disputaram a primazia da liderança do processo, divididos entre diferentes concepções de arranjo institucional, além dos vínculos que determinavam uma maior ou menor aproximação com o governo central e a Corte. No Rio Grande do Sul, tal situação culminou na Revolução Farroupilha, evento que, por dez anos, cindiu a província. Um dos elementos fundamentais das disputas era a imprensa periódica, especialmente ativa em tempos conflagrados como aquele, no Brasil e no mundo. Neste contexto, os jornais da época, mais do que meros instrumentos, eram, em conjunto, constituintes de uma arena específica de debates, fundamental na formação de uma incipiente opinião pública. A partir do reconhecimento desta relevância, a tese analisa a imprensa sul-rio-grandense avaliada como legalista, isto é, por contraposição às folhas farroupilhas e/ou simpatizantes, no período compreendido entre 1831 e 1845. Objetiva-se destacar o trabalho de formulação e divulgação da defesa da unidade e integridade, salientando a posição de uma parcela da elite da província que via na aproximação com o centro o meio mais favorável de garantir a sua própria posição. Para tanto, sustentava uma visão particular da construção do Estado, na qual conceitos fundamentais do debate político – tais como república, federalismo, império e nação – eram analisados em função da sua adequação a um projeto mais amplo. Centrando a atenção nos usos de alguns destes conceitos, balizadores dos debates, o trabalho analisa as peculiaridades de um discurso que, ao final, foi hegemônico no decorrer do século XIX. Sem deixar de apontar para um futuro de progresso, quase que uma imposição dos tempos, a retórica centralista necessitaria contemplar também a garantia de segurança social exigida por uma concepção de nação que buscava enquadrar uma sociedade heterogênea e hierárquica. / The historical period which began in Brazil with the Abdication of Dom Pedro I was a time of reconfiguring the state and of the constitution a certain idea of nation that was intended to be specifically Brazilian. In those extremely conflictive years, elite groups of the various provinces disputed the primacy of the leadership of the process, torn between different conceptions of institutional arrangements, beyond the ties that determined a greater or lesser proximity to the central government and the Court. In Rio Grande do Sul, this situation culminated with the Farroupilha Revolution, an event that, for ten years, split the province. A fundamental element of the disputes was the periodical press, especially active in those warring times, in Brazil and in the rest of the world. In this context, the newspapers, more than mere instruments, were, when taken together, creators of a specific arena of debates, fundamental to the formation of an incipient public opinion. Recognizing this importance, the thesis examines the southern press evaluated as legalistic, that is, opposed to the papers of the farroupilhas or sympathizers, in the period between 1831 and 1845. It aims to highlight the work of the formulation and dissemination of a defense of the unity and integrity of the nation, stressing the position of a parcel of the elite, which saw the approximation with the center the more favorable way to ensure its own position. To this end, it sustained a particular view of state-building, in which basic concepts of the political debate - such as a republic, federalism, nation and empire - were analyzed in terms of their suitability to a wider project. Focusing on the uses of some of these concepts, beacons for the discussions, the paper analyzes the peculiarities of a discourse that, in the end, was hegemonic during the nineteenth century. While pointing to a future of progress, almost an imposition of the times, the centralist rhetoric also needed to include the guarantee of a social security required by a conception of nation that sought to frame a heterogeneous and hierarchical society.

Submitted by Cristina Sydow (cris.sydow@gmail.com) on 2012-04-20T21:30:55Z No. of bitstreams: 1 Tese Cristina T Sydow_Final_revisado.docx: 3696270 bytes, checksum: 64ce0f555331df37b8dc095a06bfc984 (MD5) / Rejected by Gisele Isaura Hannickel (gisele.hannickel@fgv.br), reason: Prezada Cristina, Favor postar o arquivo em pdf. Att, Secretaria de Registro on 2012-04-23T13:06:28Z (GMT) / Submitted by Cristina Sydow (cris.sydow@gmail.com) on 2012-06-04T22:16:42Z No. of bitstreams: 1 Tese Cristina T Sydow_Final_revisadox.pdf: 3129536 bytes, checksum: 6898614d7b279856c8f621772646906e (MD5) / Approved for entry into archive by Gisele Isaura Hannickel (gisele.hannickel@fgv.br) on 2012-06-05T13:09:46Z (GMT) No. of bitstreams: 1 Tese Cristina T Sydow_Final_revisadox.pdf: 3129536 bytes, checksum: 6898614d7b279856c8f621772646906e (MD5) / Made available in DSpace on 2012-06-05T13:49:25Z (GMT). No. of bitstreams: 1 Tese Cristina T Sydow_Final_revisadox.pdf: 3129536 bytes, checksum: 6898614d7b279856c8f621772646906e (MD5) Previous issue date: 2012-03-16 / One of the big issues of the Brazilian Federalism is the role of the states in the field of public policies. If, on the one hand, this role in welfare-State systems is still facing a lack of definitions and the literature on aspects such as participation in the design and execution of policies in the fields of health, education, social assistance and housing is quite restricted, the current scene seems to be, on the other, quite different in regard to the policies of economic development, as the states count with a significant advantage vis-à-vis the municipalities and the federal government. This thesis is an attempt to show that the role of the states has expanded and has become more specialized in the functions connected to infrastructure and regional development. Through the works of analysis and planning, and with their capacity of linking through several actors of their development agencies and secretariats of economic development, the states can display a privileged view of their particularities and similarities in the productive and logistical activities, and of their specific needs. States are also taking up a variety of actions in the design, execution and implementation of policies that involve linkages with the other members of the Federation, with the private sector and the civil society, and they are furthering new socio-institutional architectures in the creation, development and maintenance of support instruments. Such institutional environment enables the study of the mechanisms of territorial associationism, and, particularly, the Local Productive Arrangements, which have been increasingly used as instruments of regional development by the states, with the support of the federal government. The Local Productive Arrangements have an associationist and voluntary nature, and they are instruments that can be employed and improved by the states, as the territorial basis on which they find themselves have a pre-existing productive vocation, and as the interventions towards stimulating, building capacities and professional training are among the possibilities of action by the states. From this premise, the present work analyzes the role that has been played by the states in the design, execution and articulation of policies for Local Productive Arrangements. Based on the assumption that the states do count with a better institutional structure than the municipalities and the federal government for specific policies that favor the Local Productive Arrangements, it seeks to understand how the three analyzed states – Pernambuco, Minas Gerais and Rio Grande do Sul – have dealt with the issue. / Uma das grandes questões do federalismo brasileiro é o papel dos estados no campo das políticas públicas. Se por um lado o papel dos estados nas políticas públicas para sistemas de welfare state ainda passa por indefinições e a literatura que discute seu papel na participação da formulação e execução de políticas nas áreas de saúde, educação, assistência social e habitação é bastante restrita, o cenário aparenta ser bastante distinto no que tange às políticas de desenvolvimento econômico, por possuir significativa vantagem frente aos municípios e governo federal. A presente tese busca mostrar que o papel dos estados têm ampliado e se especializado mais em funções relativas à infraestrutura e ao desenvolvimento regional. Por meio do trabalho de análise, planejamento e capacidade de articulação com vários atores das agências de desenvolvimento estaduais e secretarias de desenvolvimento econômico, os estados podem visualizar de forma privilegiada suas particularidades e semelhanças nas atividades produtivas, de logística e de necessidades específicas, e assumem uma gama de ações de formulação, execução e implementação de políticas que envolvem articulação com os demais entes da federação, setor privado e sociedade civil e novas arquiteturas socioinstitucionais para a criação, desenvolvimento e manutenção de instrumentos de apoio. Neste ambiente institucional advém o estudo de mecanismos de associativismo territorial, notadamente os Arranjos Produtivos Locais, crescentemente utilizados como instrumentos de desenvolvimento regional pelos estados, com o apoio do governo federal. De natureza associativista e voluntária, os Arranjos Produtivos Locais são instrumentos que podem ser aproveitados e incrementados pelos estados, uma vez que a territorialidade na qual estão inseridos possuem vocação produtiva pré-existente, e intervenções em direção ao incentivo, capacitação e profissionalização são algumas das possibilidades de ação dos estados. A partir de tal premissa que o presente trabalho busca analisar o papel que os estados têm assumido na formulação, execução e articulação de políticas públicas para Arranjos Produtivos Locais. Ao assumir que os estados são melhor dotados de estrutura institucional do que os municípios e o governo federal para políticas específicas para Arranjos Produtivos Locais, busca-se compreender como três estados selecionados Pernambuco, Minas Gerais e Rio Grande do Sul têm tratado o tema.

This work has as study object the ICMS tax incentives, one of the tools most used by States and the Federal District to intervene in economic relations, in search of local social development. Since long time, it has been observed in the States, especially the least developed one’s, the unilateral exercise of the ICMS competence’s dissolution, without having due regard to the sealing expressed in § 2 of Art. 2 of Complementary Law No. 24/75, which requires the approval of incentives through an agreement signed with the National Council for Financial Policy ─ Confaz, with unanimous consent of all states and the Federal District. Given this persistent disregard for legal requirements, the central problem of this study is to investigate whether the entire text of CL No. 24/75 was approved by the current Constitution; specifically, if there is constitutional seal the States and the Federal District to the unilateral grant of any form of tax incentives; if the Art. 155, § 2, XII, "g", the CF/88 actually requires a unanimous decision for approval and revocation of tax incentives, as peremptorily try to emphasize most of the doctrine and jurisprudence; if the penalty logic of the law can be applied today; and for failures in Brazilian law that prevent the granting of ICMS incentives that promote illegal tax competition and allow the waste of public money and the deterioration of federal relations. The theme is approached from the point of view of the science of law, taking this in its strict sense, as over level language, talking about another, positive law, or prescriptive language / Esta dissertação tem como objeto de estudo os incentivos fiscais do ICMS, um dos instrumentos mais utilizados pelos Estados e pelo Distrito Federal para intervir nas relações econômicas, na busca de desenvolvimento social local. Desde longa data, tem-se observado nos Estados, especialmente nos menos desenvolvidos, o exercício unilateral da competência exonerativa em matéria de ICMS, sem que seja observada a vedação expressa constante no § 2 do art. 2º da Lei Complementar nº 24/75, que exige a aprovação dos incentivos por meio de convênio firmado no Conselho Nacional de Política Fazendária ─ Confaz, com anuência unânime de todos os Estados e do DF. Diante desse persistente desrespeito às prescrições legais, o problema central deste estudo é investigar se todo o texto da LC nº 24/75 foi recepcionado pela Constituição vigente; especificamente, se há vedação constitucional aos Estados e ao DF para a concessão unilateral de toda e qualquer modalidade de incentivo fiscal; se o art. 155, § 2º, XII, “g”, da CF/88 realmente exige deliberação unânime para aprovação e revogação de incentivos fiscais, como peremptoriamente tentam afirmar a maior parte da doutrina e a jurisprudência; se a sistemática sancionatória da referida lei pode ser aplicada na atualidade; e se existem falhas no direito brasileiro que inviabilizam a concessão de incentivos do ICMS, que promovem a competição fiscal ilegal e que permitem o desperdício de dinheiro público e a deterioração das relações federativas. A temática é abordada sob o ponto de vista da ciência do direito, considerada esta em seu sentido estrito, como linguagem de sobrenível, que fala a respeito de outra linguagem, o direito positivo, ou linguagem prescritiva

Made available in DSpace on 2009-11-18T18:50:27Z (GMT). No. of bitstreams: 1 Tnunes.pdf: 4794457 bytes, checksum: 0a22802202e6401d3a7796d574fc6779 (MD5) Previous issue date: 2009 / The National Water Management Policy was defined by Law 9.433/97 (Water Act), establishing the hydrographic basin as the management unity, independently of geographic limits and respective federal organisms. Nevertheless, water management entities and instruments are directly associated to different federal entities located within the same basin, and depend on them for being effective. The absence of law mechanisms that conciliate the various requisitions of federal organisms located in the same basin is a challenge still without brazilian law support. This study describes the integration process of information systems in Paraíba do Sul river basin. It also emphasizes integration restrictions of these systems, the cooperation level and the instruments used by the various actors and federal organisms in order to meet National Water Management Policy objectives. The management instrument Water Management Information System is presented as an important component that helps the stakeholders decision making process involved in water management, respecting federalism and the water domains defined in the brazilian constitution, and according to the policy established in the Water Act. In theoretical aspects, this work presents the basic concepts of National Water Management Policy institutional arrangement, considering the network aspects in public policy, the limits imposed by federalism and the way that the water domains is defined in the brazilian constitution and according to the brazilian Water Act. Besides, it identifies the most significant questions related with information systems implementation in public administration and water management. It also illustrates how cooperative federalism and information systems may create conditions that do guarantee the National Water Management Policy management instruments operationality within a hydrographic basin. The action research method was used to develop the research and the selected entity was the Fundação Superintendência Estadual de Rios e Lagoas (Serla). Serla was the water management entity in Rio de Janeiro state, at the research beginning. Others methods as bibliographic and documentary research were also used, aiming to describe the hydrographic basin, as well as the processes and systems concerned with the implementation of the National Water Management Policy in Paraíba do Sul basin. / A Política Nacional de Recursos Hídricos definida na Lei 9.433/97 determina que a unidade de gestão seja a bacia hidrográfica, que independe da divisão geográfica e dos respectivos entes federativos. Entretanto, entidades e instrumentos de gestão de recursos hídricos estão diretamente subordinados aos entes federativos que se encontram em uma mesma bacia e dependem deles para sua efetivação. A falta de mecanismos definidos em lei que compatibilizem a diversidade de requisições dos entes federativos em uma mesma bacia hidrográfica é um desafio sem um caminho determinado. O estudo descreve como se deu o processo de integração dos sistemas de informação da bacia do rio Paraíba do Sul. Evidenciam-se limitações na integração dos sistemas, o nível de cooperação e os instrumentos utilizados entre os diversos atores e entes federativos para atingir os objetivos da PNRH. O instrumento de gestão Sistema de Informações de Recursos Hídricos apresenta-se como um componente importante para embasar a tomada de decisão pelos atores envolvidos na gestão de recursos hídricos, respeitando o federalismo e a dominialidade das águas da Constituição de 1988, e dentro da política estabelecida pela Lei das Águas. Nos aspectos teóricos são apresentados os conceitos que fundamentam a configuração do arranjo institucional da Política Nacional de Recursos Hídricos, sob os aspectos de redes em política pública, dos limites impostos pelo federalismo e pela maneira como a dominialidade das águas é definida na constituição de 1988 e dentro do contexto da Lei 9.433/97. Além disso, identificam-se as questões principais que envolvem a implementação de sistemas de informação dentro da administração pública e na gestão de recursos hídricos. O trabalho exemplifica como o federalismo cooperativo e os sistemas de informação criam as condições que garantem a operacionalização dos instrumentos de gestão da Política Nacional de Recursos Hídricos dentro de uma bacia hidrográfica. Aplicou-se o método de pesquisa-ação e a organização selecionada foi a Fundação Superintendência Estadual de Rios e Lagoas, o órgão gestor de recursos hídricos do Estado do Rio de Janeiro, no início da pesquisa. Outros métodos empregados incluem pesquisa bibliográfica e documental, de forma a descrever a bacia e os processos e sistemas pertinentes à implementação da Política Nacional de Recursos Hídricos na bacia do rio Paraíba do Sul.

Submitted by Mario Filho (magoamfi@ig.com.br) on 2014-07-12T03:49:21Z No. of bitstreams: 1 Disseração Mestrado.pdf: 1221977 bytes, checksum: 0f96be6dae8a0041fa9b8671f9c114dd (MD5) / Approved for entry into archive by Janete de Oliveira Feitosa (janete.feitosa@fgv.br) on 2014-07-16T16:48:20Z (GMT) No. of bitstreams: 1 Disseração Mestrado.pdf: 1221977 bytes, checksum: 0f96be6dae8a0041fa9b8671f9c114dd (MD5) / Approved for entry into archive by Marcia Bacha (marcia.bacha@fgv.br) on 2014-07-18T12:03:17Z (GMT) No. of bitstreams: 1 Disseração Mestrado.pdf: 1221977 bytes, checksum: 0f96be6dae8a0041fa9b8671f9c114dd (MD5) / Made available in DSpace on 2014-07-18T12:03:27Z (GMT). No. of bitstreams: 1 Disseração Mestrado.pdf: 1221977 bytes, checksum: 0f96be6dae8a0041fa9b8671f9c114dd (MD5) Previous issue date: 2014-05-22 / The objective of this work is to identify the factors that influenced the attempt to transpose the campaign promises of major election for mayor of Nilópolis in the 2012 election for the PPA 2014 / 2017 . For this, the concepts of federalism , public management and planning tools were discussed in the theoretical framework. Interviews with technical and executive manager , the chairmen of the constitution and justice and the finance committee were held , as well as president of the city council of Nilópolis. It was found that the factors identified are responsible for the difficulty in promoting alignment between campaign promises and agreed in the PPA . The dependence of inter -governmental transfers and the scarcity of resources were the main factors that hindered implementation in the municipality of Nilópolis. / O objetivo deste trabalho é de identificar os fatores que influenciaram a tentativa de transpor as promessas de campanha da eleição majoritária à Prefeitura de Nilópolis na eleição de 2012 para o PPA 2014 / 2017. Para isso, os conceitos de federalismo, gestão pública e instrumentos de planejamento foram abordados no referencial teórico. Foram realizadas entrevistas com os técnicos e o gestor do executivo, os presidentes das comissões de constituição e justiça e comissão de finanças, bem como o presidente da câmara dos vereadores de Nilópolis. Verificou-se que os fatores identificados são responsáveis pela dificuldade em promover o alinhamento entre as promessas de campanha e o pactuado no PPA. A dependência das transferências inter governamentais e a escassez de recursos próprios foram os principais fatores que dificultaram essa transposição no município de Nilópolis.