Made available in DSpace on 2011-05-04T12:36:16Z (GMT). No. of bitstreams: 0 Previous issue date: 2009 / Este estudo analisou o papel da esfera estadual na condução do processo de regionalização do Sistema Único de Saúde (SUS) em Minas Gerais no período de 2003 a 2007, tendo em vista os dilemas relativos ao federalismo brasileiro e à especificidade da configuração do sistema de saúde no estado. Foram identificados fatores relativos ao federalismo brasileiro (nas suas dimensões política, organizacional e fiscal) e à regulação nacional da descentralização do SUS que interferem na condução estadual do processo de regionalização na saúde. Percebeu-se que a regionalização na saúde é um processo antigo em Minas Gerais, em função da extensão territorial do estado e capacidade institucional da secretaria. No entanto, aimplantação de serviços de saúde se deu, historicamente, de maneira descoordenada e fragmentada, em decorrência das diferenças interregionais, grande número de municípios, ausência de parâmetros racionais de distribuição dos serviços e falhas no papel do estado em controlar tal processo. Visando superar esses problemas, a Secretaria de Estado de Saúde de Minas Gerais (SES-MG) utiliza várias estratégias e instrumentos na condução do processo de regionalização. No planejamento, elaboração, implantação e avaliação do Plano Diretor de Regionalização (PDR); estímulo e apoio técnico à gestão microrregional; e constituição das redes de atenção. No financiamento, alocação regional de recursos próprios segundo critério redistributivo; e direcionamento dos investimentos em função das metas acordadas com ogoverno do estado. Na regulação, implantação do Sistema Estadual de Regulação Assistencial (SUS Fácil); e promoção de ações educacionais. Na prestação de serviços, a SES-MG optoupela administração indireta via Fundação Hospitalar do Estado de Minas Gerais (FHEMIG). Ao fim, discutiu-se as potencialidades e desafios da condução estadual do processo de regionalização. Os achados deste estudo sugerem que a regionalização na saúde sob condução estadual é possível, à medida que o gestor assuma esse papel e desenvolva mecanismos para superar a municipalização autárquica e fragmentação interna da secretaria, recuperando a prática do planejamento estratégico, promovendo uma efetiva articulação intergestores e assumindo funções específicas para o avanço da regionalização. / This study examined the role of the state level in driving the process of regionalization of the Unified Health System in Minas Gerais between 2003 and 2007, in view of the dilemmas on Brazilian federalism and the particular configuration of the health system in the state. We identified factors related to federalism in Brazil (in its political, organizational and tax dimensions) and national regulation of decentralization of the Unified Health System that interfere with the driving state of the process of regionalization in health. It was noticed that regionalization in health is an old process in Minas Gerais, according to the territorial extension of the state and institutional capacity of the state level. However, implementation of health services was, historically, so uncoordinated and fragmented, due to inter regional differences, large number of municipalities, lack of rational parameters of distribution of services and gaps in the state's role in controlling such process. Aiming to overcome these problems, the Secretary of State for Health of the Minas Gerais uses multiple strategies and tools in conducting the process of regionalization. In planning, preparation, implementation and evaluation of the Master Plan of Regionalization; stimulation and support to micro regional management; and establishment of regional health system. In funding, regional allocation own resources the second criterion redistributable; and direction of investments depending on the targets agreed with the government of the state. In regulation, implementing the State System of Regulatory Assistance; and promotion of educational activities. In the provision of services, Secretary of State for Health opted for indirect administration by Hospital Foundation of Minas Gerais State. In the end, it discussed the potential and challenges of conducting state of the process of regionalization. The findings of this study suggest that regionalization in the health under state driving is possible, as the manager takes this role and develop mechanisms to overcome municipalization and internal fragmentation of the secretariat, restoring the practice of strategic planning, promoting effective coordination intermanaging and assuming specific functions to the advancement of regionalization.

Made available in DSpace on 2011-05-04T12:36:26Z (GMT). No. of bitstreams: 0 Previous issue date: 2010 / Este estudo analisou o papel dos estados na política de saúde mental no Brasil no período de 1990 a 2009, tendo em vista a existência de dilemas decorrentes da especificidade de nossa estrutura federativa, da estratégia de descentralização da saúde ede indefinições do papel dos estados na área de saúde mental. Os estados utilizam várias estratégias e instrumentos na condução da política de saúde mental. No planejamento, a elaboração de planos de saúde mental, em sua maioria, articulados ao processo de regionalização da saúde. Na coordenação federativa, construindo seus marcos legais e participando ativamente dos fóruns de deliberação da política. Na coordenação da atenção, promovendo articulações com outras áreas, dentro e fora da secretaria estadual de saúde, visando o desenvolvimento de projetos e ações de saúde mental. No monitoramento, emitindo relatórios técnicos e supervisionando os serviços de saúde mental. Na prestação de serviços, executando serviços de saúde mental e desenvolvendo iniciativas e experiências exitosas na área. No entanto, percebeu-se que os estados ainda não desenvolvem de forma sistemática as funções que compreendem, sobretudo, o planejamento, a coordenação federativa e de atenção. O financiamento em saúde mental representa um dos grandes desafios. Ao fim, discutiu-se as potencialidades e desafios dos estados na condução da política de saúde mental. Os achados deste estudo sugerem que a superação dos desafios relacionados à condução estadual da política de saúde mental depende da articulação entre governo federal, estados e municípios na elaboração de políticas que atendam à especificidade de cada região, macro ou micro-região, e da promoção de um planejamento ascendente e participativo. Também é necessário o desenvolvimento deuma política de investimentos para o setor que possibilite a assunção de um papel mais ativo dos estados no financiamento em saúde mental. / This study examined the role of states in mental health policy in Brazil in the period 1990-2009, bearing in mind the existence of dilemmas arising from the specificity of our federal structure, the strategy of decentralization of health and vagueness of the role of states in mental health field. The states use several strategies and tools in conducting mental health policy. In the planning, preparation of plans for mental health, mostly articulated the process of regionalization of health. In coordinating federal, building their legal frameworks and actively participating in the forums of policy deliberation. In the coordination of care, promoting links with other areas both within and outside the state board of health, aiming to develop projects and actions of mental health. Monitoring, issuing technical reports and overseeing mental health services. In providing services, performing mental health services and developing initiatives and successful experiences in the area. However, it was noticed that the states have not developed a systematic way the functions that include, above all, planning, coordination and federal attention. The mental health funding represents a major challenge. In the end, it was discussed the potential and challenges of the states in conducting mental health policy. The findings of this study suggest that overcoming the challenges related to the conduct of state mental health policy depends on the relationship between the federal government, states and municipalities in developing policies to address the specific needs of each region, macro or micro-region, and promoting an up and participatory planning. It is also necessary to develop an investment policy for the sector that makes possible the assumption of a more active role of states in funding for mental health.

Submitted by Iuri Pitta (iuripitta@gmail.com) on 2018-07-07T16:48:37Z No. of bitstreams: 1 Dissertação Iuri Pitta - PDF Final 2.pdf: 1480195 bytes, checksum: e120301e40e33e8fa3ae8d04f2f8c55d (MD5) / Approved for entry into archive by Pamela Beltran Tonsa (pamela.tonsa@fgv.br) on 2018-07-10T13:37:01Z (GMT) No. of bitstreams: 1 Dissertação Iuri Pitta - PDF Final 2.pdf: 1480195 bytes, checksum: e120301e40e33e8fa3ae8d04f2f8c55d (MD5) / Approved for entry into archive by Suzane Guimarães (suzane.guimaraes@fgv.br) on 2018-07-10T14:39:07Z (GMT) No. of bitstreams: 1 Dissertação Iuri Pitta - PDF Final 2.pdf: 1480195 bytes, checksum: e120301e40e33e8fa3ae8d04f2f8c55d (MD5) / Made available in DSpace on 2018-07-10T14:39:07Z (GMT). No. of bitstreams: 1 Dissertação Iuri Pitta - PDF Final 2.pdf: 1480195 bytes, checksum: e120301e40e33e8fa3ae8d04f2f8c55d (MD5) Previous issue date: 2018-06-22 / O Programa Bolsa Família (PBF) tornou-se uma das políticas públicas mais estudadas e debatidas no Brasil tanto por seus resultados como carro-chefe da rede de proteção social quanto pelos efeitos políticos a ele atribuídos. Criado por Medida Provisória em outubro de 2003, o Programa tem um desenho institucional singular que envolve uma dinâmica de relações intergovernamentais mais complexa do que a dicotomia centralização versus descentralização, fruto da própria trajetória dos programas de transferência de renda condicionada no país. Ainda que as principais decisões e regulações se concentrem no nível federal, o Bolsa Família prevê aos governos locais papel determinante na gestão dessa política pública. Ademais, a instituição do Índice de Gestão Descentralizada fez surgir um importante instrumento de indução para o bom funcionamento do Programa, reduzindo eventuais práticas clientelísticas ou discricionárias na execução dessa política pública. Nesse contexto federativo e institucional, nosso intuito com esta pesquisa é mostrar como a qualidade da gestão local do Bolsa Família afeta os efeitos do Programa nas eleições municipais, e dessa forma suprir uma lacuna existente na literatura, cuja produção deu maior atenção às disputas presidenciais. Com base em dados relativos aos mandatos entre 2009 e 2012 e à votação ocorrida neste ano e tendo como lentes teóricas o neoinstitucionalismo e a escolha racional na arena político-eleitoral, desenhamos uma pesquisa de métodos mistos, estratégia metodológica que vem ganhando espaço nos campos da ciência política e da administração pública, para investigar as associações entre o desempenho da gestão local do PBF e o sucesso eleitoral dos incumbentes municipais. Diferentemente do observado nas disputas presidenciais, em que candidatos incumbentes tendem a uma melhor performance eleitoral conforme aumenta o número de beneficiados pelo programa de transferência de renda, no nível local esse incremento apresentou efeito negativo. Em contrapartida, a melhoria na qualidade da gestão foi um fator de elevação das chances de sucesso eleitoral dos prefeitos que buscaram um segundo mandato nas eleições municipais de 2012, indicativo de que o Programa Bolsa Família tem sido bem-sucedido também em seu desenho institucional. / Bolsa Família Program has become one of the most studied and debated public policies in Brazil both for its results as the flagship of the social protection network and for the political effects attributed to it. Created by Provisional Measure in October 2003, the Program has a unique institutional design that involves a dynamic of intergovernmental relations more complex than the dichotomy centralization versus decentralization, a consequence of the trajectory of the conditioned income transfer programs in the country. Although the main decisions and regulations are focused at the federal level, Bolsa Familia provides local governments with a decisive role in the management of this public policy. In addition, the institution of the Decentralized Management Index (Índice de Gestão Descentralizada) has created an important induction tool for the proper functioning of the Program, reducing possible clientelist or discretionary practices in the execution of this public policy. In this federative and institutional context, our intention with this research is to show how the quality of the local management of Bolsa Família affects the effects of the Program in municipal elections, and fill a gap in the literature, whose production has given greater attention to presidential elections. Based on data related to the period between 2009 and 2012 and by the theoretical lenses of new institutionalism and rational choice in the politicalelectoral arena, we designed a mixed methods research to investigate the associations between the performance of local management of the Program and the electoral success of municipal incumbents. This is a methodological strategy that has been gaining ground in the fields of political science and public administration. Unlike the presidential elections, in which incumbent candidates tend to perform better as the number of beneficiaries of the income transfer program increases, at the local level such increase had a negative effect. On the other hand, the improvement in the quality of the management was a factor of improvement of the chances of electoral success of mayors who sought a second term in the municipal elections of 2012, an indicative that Bolsa Família Program has also been successful in its institutional design.

Pretendendo evidenciar uma leitura jurídico-política sobre o começo da integração europeia - iniciada por meio da fundação jurídica da CECA, esta Tese visa a responder à pergunta: quando, como e por meio de quais instituições, países europeus tradicionalmente opostos em termos militares estabeleceram entre si, após o término da Segunda Guerra Mundial, de maneira inédita e inaudita em sua História, um novo modo de relações responsável por tornar impossível e impensável a deflagração de nova Guerra regional? Para responder a essa pergunta, o presente trabalho assume a perspectiva de uma Pesquisa interdisciplinar em Direito, recorrendo não apenas ao Direito Positivo, mas também a outras áreas do conhecimento, tais como a Filosofia Política Antiga e Contemporânea e a História Contemporânea da Europa. O objetivo consiste em formular um aparato discursivo racional conceitual a partir de matriz de leitura fornecida pela Filosofia Política Antiga e Contemporânea para, em seguida, aplicá-lo sobre elementos da experiência histórica e jurídico-normativa positiva da CECA. A chave de leitura conceitual formada a partir de contribuições da Filosofia Política tem sua origem principalmente na aproximação das reflexões de POLÍBIO e de Claude LEFORT. O trabalho evidencia a importância de normas jurídicas institucionalmente previstas para lidar com oposições escalares na construção e na manutenção de um sistema de relações jurídico-Politicamente organizado, de maneira a que tensões entre distintas dimensões existenciais - institucionalmente absorvidas e encaminhadas - não possam significar a ruptura violenta desse sistema. Este aparato racional conceitual pode ser aplicado sobre os elementos da experiência histórica e normativa originária (Tratado de Paris de 1951) da CECA, o que permite diferenciar histórica e institucionalmente esta iniciativa em particular dos demais Projetos de Europa Unida do imediato pós-Segunda Guerra Mundial. Para os fundadores da CECA (Konrad ADENAUER, Jean MONNET e Robert SCHUMAN), um regime juridicamente regulado de simples cooperação política (Unionismo Europeu) não era considerado como suficiente para instaurar um novo modo de relações na Europa. Ao mesmo tempo, eles não visavam à construção jurídica de uma Unificação Política da Europa em torno de um Estado Federal Europeu (Federalismo Europeu). Nesse sentido, a CECA pode ser entendida como exemplo histórico singular de organização jurídico-Política de países europeus. Foram criados pelo Tratado da CECA órgãos comunitários supranacionais e intergovernamentais voltados a compartilhar com os Estados-Membros e com os respectivos povos europeus a formação do sentido normativo que deveria ser impresso sobre questões concretas sensíveis tornadas comuns. A nenhum deles foi atribuída uma posição central na nomogênese comunitária. A leitura jurídico-política da integração europeia iniciada com a CECA se mostra possível assim a partir da constatação de que a arquitetura das instituições do Tratado desta Organização Internacional mesmo das instituições que se referiam a normas jurídico-econômicas - foi responsável pela afirmação e pela conservação de um novo modo de relações entre os países europeus. Buscava-se, não um Estado Europeu, nem uma singela cooperação intergovernamental institucionalizada, mas um meio termo de organização jurídico-Política: um sistema de relações estruturado por um engenhoso mecanismo institucional orientado para promover, por meio de freios e contrapesos, de forma ininterrupta, oposições entre os participantes da vida comunitária. / Aiming to unveil a legal-political reading of the beginning of European integration - initiated by the legal foundation of the ECSC, this Thesis intends to answer the question: when, how and through which institutions, European countries traditionally opposed militarily established between themselves, after the end of the Second World War - unprecedentedly and unparalleled in their history, a new kind of relationship, which was responsible for making impossible and unthinkable the outbreak of new regional war? In order to answer this question, this study follows the path of an interdisciplinary Research in Law, resorting not only to Positive Law, but also to other fields of knowledge, such as Ancient and Contemporary Political Philosophy and Contemporary History of Europe. The objective is to read experience elements given by ECSCs History and positive legal rules through lens framed according to a rational conceptual apparatus grounded on Ancient and Contemporary Political Philosophy. The hermeneutical key framed according to Political Philosophy has its main origins in the conjoint discussion of POLYBIUS thought and Claude LEFORTs contributions. This work highlights the importance of legal institutions dealing with dimensional oppositions within the construction and maintenance of a legal-Politically organized relationships system, by which tensions institutionally absorbed and addressed - between different existential dimensions do not disrupte violently this system. This conceptual apparatus can be applied to understand ECSCs historical and and normative (Treaty of Paris, 1951) experience and helps differentiating from both a historical and institutional perspective this peculiar initiative from alternative European Union Projects immeadiately proposed after the Second World War. For ECSC founding fathers (Konrad ADENAUER, Jean MONNET and Robert SCHUMAN), a mere legal regime of political cooperation (European Unionism) was not regarded as sufficiently capable of creating a new kind of relationship in Europe. At the same time, they did not pursue a legal Political Unification of Europe within a European Federal State (European Federalism). In this sense, the ECSC can be seen as an unique historic example of a legal-Political organization of European countries. Supranational and intergovernmental community bodies were created by ECSCs Treaty in order to share with its own member-States and their respective peoples the construction of the normative sense which would conduct issues concerning sensitive common problems. To none of them was assigned a central position in Communitys normative process. A legal-political reading of European integration - started with the ECSC - seems possible because the institutional framework whithin its Treaty - even when referred to legal and economic rules - was responsible for the affirmation and preservation of a new kind of relationship between European countries. It was envisaged, neither a European State, nor an institutionalized intergovernmental cooperation, but a middle-way legal-Political organization: a relationship system erecte by an ingenious institutional mechanism conceived to promote - through checks and balances - nonstop oppositions between participants of Communitys life.

En 1960, Fernand Cadieux et Pierre Juneau créent le premier Festival international du film de Montréal. Chaque année le Festival a lieu au mois d’août jusqu’à l’Expo 67, événement qui marque à la fois le point culminant et final de cette aventure culturelle. L’histoire de cette institution touche à la culture, au personnalisme, au nationalisme, à la cinéphilie ainsi qu’à l’institutionnalisation et à l’industrialisation du cinéma au Canada et au Québec pendant les années cinquante et soixante. Conçu sous le régime politique de Duplessis par d’anciens membres de la Jeunesse étudiante catholique qui deviendraient presque tous fédéralistes, le Festival constitue un objet idéal d’histoire culturelle propice à étendre la compréhension des origines catholiques de la Révolution tranquille. Au plan culturel, il permet aussi de comprendre plus finement la resynchronisation du Québec dans la trajectoire de la modernité, ainsi que les répercussions du choc entre nationalistes et gauchistes québécois contre libéraux fédéralistes. Ce mémoire permet aussi de découvrir le FIFM comme institution cinématographique québécoise, le réseau d’acteurs et d’établissements qui le soutiennent et l’objet de leur passion : les films. La présente analyse explore la manifestation dans ses dimensions à la fois cinématographique et politique, artistique et historique. / In 1960, Fernand Cadieux and Pierre Juneau founded the first Montreal International Film Festival. This great cultural adventure was held each August, up until what became its culminating and final year: that of Expo ’67. The history of the festival is intrinsically linked to culture, personalism, nationalism, and cinephillia, as well as the institutionalization and industrialization of cinema in Canada and Quebec during the 1950s and 60s. Created under the political regime of Duplessis by former members of the Jeunesse étudiante catholique (Young Christian Students), who would almost all become federalists, it became apparent to me that the festival constituted a cultural-historic event conductive to expanding our understanding of the Catholic origins of the Quiet Revolution. It also allowed for a finer understanding of the resynchronization of Quebec with modernity and the shock waves that emanated from this change, in particular, between leftists Quebec nationalists against federal Liberals. Moreover, this paper allows us to discover the FIFM in its role as a Quebec cinemagraphic institution, as well as the community of actors and establishments that supported it and the object of their passion: film. The wager is therefore, to analyze in one hundred or so pages, the multiple facets of these issues: the cinemagraphic, political, artistic and historic.

La Communauté Economique des Etats d’Afrique de l’Ouest est une organisation internationale qui s’est très tôt impliquée dans le maintien de la paix et de la sécurité. Elle a entrepris des interventions militaires dans certains Etats ouest-africains, comme le Libéria, la Sierra Léone, la Guinée Bissau, dans les années 1990. A partir de 1999, la CEDEAO a procédé à une réorientation stratégique en matière de sécurité. Celle-ci s’est manifestée par l’adoption d’un nouveau mécanisme de sécurité visant à placer l’individu au cœur des préoccupations sécuritaires. Le nouvel objectif de la CEDEAO est de réaliser la sécurité humaine au profit des citoyens ouest-africains. Il se trouve que la réalisation de la sécurité humaine nécessite des moyens économiques et financiers, or les Etats ouest-africains sont parmi les plus pauvres du monde. Aussi, depuis l’adoption du nouveau mécanisme de sécurité, la CEDEAO rencontre de plus en plus de difficultés à concrétiser les nobles recommandations et principes contenus dans son ordonnancement juridique, dans un contexte marqué par l’accroissement des menaces militaires contemporaines et des menaces non militaires.Après plus de 30 ans d’expériences dans le processus d’intégration, n’est t-il pas désormais évident que la réussite de l’organisation dans le maintien de la paix et de la sécurité est intimement liée au progrès accompli dans l’intégration économique ? La faiblesse des perspectives économiques des Etats de la CEDEAO n’appelle-t-elle pas à modifier la stratégie d’intégration de la CEDEAO ? L’adoption du fédéralisme à l’échelle ouest-africaine ne peut-elle pas constituer une voie salvatrice pour la CEDEAO ? / The Economic Community of West Africa is an international organization that was involved very early in the peacekeeping and security. It undertook military intervention in some West African states, like Liberia, Sierra Leone, and Guinea Bissau. In 1999, ECOWAS has made a strategic shift in security. This was manifested by the adoption of a new security mechanism to place the human at the heart of security concerns. The new objective of ECOWAS is to achieve human security for the citizens of West Africa. It turns out that the realization of human security requires economic and financial means, or the West African states are among the poorest in the world. Also, since the adoption of the new security mechanism, ECOWAS meeting more and more difficult to achieve the noble principles and recommendations contained in its legal system, in a context of increased of contemporary military and non military threats. After over 30 years of experience in the integration process, is there not now clear that the success of the organization in peacekeeping and security is closely linked to progress in the economic integration? The weak economic outlook states of ECOWAS calls does not change the strategy of integration of ECOWAS? The adoptions of federalism across West Africa cannot it be a way of salvation for ECOWAS?

Since the creation of modern-day Iraq by the British Empire in 1920, the country’s state territorial structuring has been an ever-evolving source of political instability and conflict. Iraq’s ethnic and sectarian groups have been locked in a near constant struggle over questions of self-rule, shared rule, and secession. Consequently, the territorial model of federalism has never been far from political discussions, negotiations, and territorial disputes. Federalism was finally officially adopted in 2005, giving a new definition to Iraq’s territorial model. But while federalism seemed a natural means of managing Iraq’s long-standing ethno-sectarian divisions and was democratically ratified in a process that included most ethnic and sectarian groups, the model has failed to materialize, and territorial structure remains a major point of contention between the groups. The overarching aim of this dissertation is to shed light on two key questions. First, how have the dynamics between the major ethnic and sectarian groups of Iraq shaped the evolution of the country’s territorial structure from 1920 up to and beyond the federal constitution in 2005? Second, what can the trajectory of this evolution teach us about why federalism was adopted but has failed to materialize? I shall argue that Iraq’s territorial structuring over the past century has been systematically influenced by at least one of four “I”s: the groups’ ideas concerning territorial structuring, their conceptualizations of group identities, their definitions of group interests, and the influence of foreign actors. Focussing on the Shiite Arabs, the Sunni Arabs, and the Kurds, I will examine how these four factors have interacted to shape the territorial organization of Iraq over four key time periods: (i) the foundation of Iraq in 1920 to Saddam Hussein’s rise to the presidency in 1979, (ii) Saddam’s rule from 1979 to 2003, (iii) Saddam’s deposition in 2003 to the adoption of the federal constitution in 2005, and (iv) the post-constitutional period from 2005 to the present. I thus hope to explain how evolving inter-group dynamics over the past century have impacted the development of Iraq’s territorial structure, arguing that this sheds light on both the reference to federalism in the 2005 constitution and its subsequent failure to materialize. This dissertation thus demonstrates the powerful ways in which Iraq’s territorial structuring has been shaped by past trends in ethno-sectarian dynamics, putting us in a better position to understand the complexities of the country’s current territorial politics.

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.

[pt] Este trabalho buscou analisar a cooperação intergovernamental entre o governo federal e o governo estadual do Rio de Janeiro no período de 2007 a 2016. Tal cooperação foi resultado de um contexto histórico – e de condições políticas específicas - no qual foi possível uma aliança política nacional entre o PMDB e o PT. Desde a mudança da capital para Brasília, em 1960, culminando com a fusão da Guanabara-Estado do Rio de Janeiro, em 1975, foi imperioso para o novo estado se reposicionar no jogo federativo nacional, que ganhou nova dinâmica com a redemocratização e com o ambiente inaugurado pela Constituição de 1988. A ascensão do PMDB ao governo do estado do Rio de Janeiro, nos anos 2000, com o Governo Sérgio Cabral, mobilizou expectativas positivas, diante da possiblidade de tratamento diferenciado por parte do governo federal, com repercussão favorável nos investimentos em infraestrutura, nas áreas sociais e na segurança pública. Entretanto, a cooperação entre os dois níveis federativos mostrou suas limitações ao longo do tempo. No plano político, a parceria deu sinais de esgotamento a partir da eleição de 2014, com a ruptura da aliança estadual entre o PMDB e o PT, e mais efetivamente com o final do Governo Dilma Rousseff, indicando seu caráter conjuntural. Além disso, problemas de improbidade administrativa no âmbito do governo estadual, reveladas nos anos recentes, mostraram a permanência de práticas políticas antigas e condenáveis, e ausência de mecanismos de controle mais efetivos na realização de obras públicas. No plano econômico, a pesquisa mostrou evidências de que a cooperação intergovenamental não construiu, no período de 2007 a 2016, as condições necessárias para que o estado fluminense pudesse tornar sustentável o bom momento de desenvolvimento que vivenciou no início da parceria, e também pouco mudou a reduzida autonomia fiscal do estado do Rio de Janeiro, próxima dos estados mais dependentes do governo federal, o que explica em boa medida o colapso das contas públicas ocorrido em junho de 2016. / [en] This work aims to analyze the intergovernmental cooperation between the federal government and the state government of Rio de Janeiro in the period from 2007 to 2016. Such cooperation was the result of a historical context - and specific political conditions - in which a national political alliance was possible between PMDB and PT. Since the move of the capital to Brasília, in 1960, culminating in the merger of Guanabara-State of Rio de Janeiro, in 1975, it was imperative for the new state to reposition itself in the national federative game, which gained new dynamics with the redemocratization and with the environment inaugurated by the 1988 Constitution. The rise of the PMDB to the government of the state of Rio de Janeiro, in the 2000s, with the Sérgio Cabral Government, mobilized positive expectations, given the possibility of different treatment by the federal government, with favorable repercussions in the investments in infrastructure, social areas and public security. However, cooperation between the two federal levels has shown its limitations over time. On the political level, the partnership showed signs of exhaustion as of the 2014 election, with the rupture of the state alliance between the PMDB and the PT, and more effectively with the end of the Dilma Rousseff government, indicating its cyclical nature. In addition, problems of administrative impropriety within the scope of the state government, revealed in recent years, have shown the permanence of old and reprehensible political practices, and the absence of more effective control mechanisms in carrying out public works. At the economic level, the research showed evidence that intergovernmental cooperation did not build, in the period from 2007 to 2016, the necessary conditions for the state of Rio de Janeiro to make sustainable the good moment of development that it experienced at the beginning of the partnership, and also little has changed the reduced fiscal autonomy of the state of Rio de Janeiro, close to the states most dependent on the federal government, which largely explains the collapse of public accounts in June 2016.

Fondé à Munich en octobre 1946 suite à la réorganisation d’un proto-parti mariant rejet de l’unitarisme autoritaire et provincialisme anti-prussien, le Bayernpartei (BP) se fit après la guerre le courtier des revendications autonomistes bavaroises et le médiateur de l’hostilité populaire à l’égard des réfugiés allemands originaires d’Europe centrale et orientale. Couronné de succès lors des élections fédérales post-dictatoriales de 1949 – à l’occasion desquelles il recueillit 20,9% des voix en Bavière –, il présente la particularité d’avoir subi pendant vingt ans un déclin électoral régulier, et d’avoir totalement cessé d’être « relevant » au sens de Sartori au moment même où l’on assistait à l’échelle européenne, et même occidentale, à un nouvel essor des partis et formations régionalistes procédant du clivage centre/périphérie.Quels sont les déterminants causaux du progressif déclin du Bayernpartei ? Quels facteurs explicatifs apparaissent susceptibles de rendre compte de sa graduelle transformation en ce que Manfred Rowold estime être une simple association folklorique sans importance ? Tel est le questionnement sous-tendant le présent travail de thèse, et auquel l’auteur propose de répondre en se dégageant du rétrospectivisme monocausal, linéariste et exogénéisant dont firent preuve les (rares) politistes ayant tenté de rendre compte de l’étiolement politique passé du parti régionaliste bavarois. / Founded in Munich in October 1946 after the reorganisation of a proto-party combining rejection of authoritarian unitarism and anti-Prussian provincialism, the Bavaria Party (Bayernpartei) appeared after the Second World War as the spreader of the Bavarian claims for autonomy, and as the echo box of popular hostility against German refugees from Central and Eastern Europe. After having been crowned with success at the German federal election of 1949 – on which it collected 20,9% of the votes in Bavaria –, he was affected during two decades by a steady electoral decline, so much so that it completely ceased to be “relevant” in the sense of Sartori at the very time when political scientists were witnessing at European (and even Western) level a new upsurge of regionalist parties and organisations.What are the causal determinants of the progressive decline of the Bavaria Party? What explanatory factors can be advanced to account for its gradual transformation into what Manfred Rowold considers to be a simple and irrelevant folk association? This is the question underlying the present work and to which the author proposes to respond by working on the assumption that it is necessary to break with the monocausal, linearist and exogenousing retrospectivism characterizing the analyses of the (rare) political scientists who have already attempted to explain the withering away of the Bavarian regionalist party.