Magister Legum - LLM

Despite twenty-five years of membership in the European Union (EU), academic contributionsfor understanding a possible impact of the EU membership on Swedish municipalities hasshined with their absence. Thus, municipalities make up a largely un-explored character in thefield concerned with European integrational aspects. The issue of how the EU affects a memberstate has hitherto been biased to the usage of a top-down lens and has mainly focused oncomprehending larger institutional bodies. This thesis takes its point of departure from thisdelivered criticism, by contributing to the burgeoning literature on how municipalities act andinteract with higher tiers of government in a multi-level governance system. Assessing the caseof four municipalities residing in northern Sweden this thesis offers insights into howmunicipalities interact using intergovernmental relations with the Swedish national governmentand the EU through a creation and implementation of strategies for advocating territorialinterests. By conducting interviews, the thesis confirms that a wide array of intergovernmentalrelations or interactions are used in order for promoting ‘northern positions’ to both a nationaland European level. A pattern shows that advocacy actions from subnational actors are directedvertically, while at the same time coordinated horizontally. Individual actors, mainly electedlocal politicians, plays a rather central part in these actions, by using a party channel foradvocating local views. In conclusion, this thesis reveal amongst all that the EU has in factimpacted municipalities in northern Sweden by creating incentives for them to advocate theirinterests towards the central government.

Magister Administrationis - MAdmin / The research investigation explores the topic from the point of view of intergovernmental institutions and the regional (departmental) decision-making process in Santa Cruz- Bolivia. The purpose was to determine if these institutions influence the decision-making process of actors in the area of road infrastructure. The topic is explored from the viewpoint of Actor-Centered Institutionalism from Scharpf. It states that the solutions to solve social problems can be explained as the outcome of interactions among intentional actors, but that these interactions are structured and outcomes are influenced by the characteristics of the institutional setting in which they occur. For that purpose, the study identifies the actor constellations participating in the process, their modes of interaction and the constraints they face as a result of the institutional setting. The research starts by distinguishing the formal, informal and fiscal lOR institutions and determine their importance; for this purpose, the classification by Agranoff is used. Afterwards, the investigation portrays the decision-making process in the area and analyzes the final decisions of actors as a result of the institutions shaping them. It is argued that mostly fiscal arrangements are shaping the decision-making process in the area. The formal and informal arrangements are determining the actor constellations participating in the process and how they interact, as well as which institutional constraints they face. It is concluded that there are missing channels of intergovernmental cooperation between the national and the departmental level, and it generates misunderstandings and uncertainty. The channels of cooperation between the department and the provinces exist, but training and technical advice is needed to enhance actors' capacities at this level. The mini-thesis concludes with the policy implications derived from the dynamics at the regional level and identifying other factors influencing the decision-making process.

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This dissertation contributes to the disaster resilience policy literature by examining the diffusion of hazard mitigation policy in the U.S. Using the three-paper model, it investigates the adoption of local hazard mitigation plans (LHMPs) from an intergovernmental perspective. The first paper focuses on horizontal diffusion in hazard mitigation planning among local communities. Special attention is paid to the potential factors affecting the adoption of FEMA-approved LHMPs, Hazard Mitigation Grant Program (HMGP) projects and Pre-Disaster Program (PDM) projects at the county level. The Event History Analysis (EHA) Logit Model and Spatial Autocorrelation Models test the hypotheses corresponding to external factors such as the neighboring effects and internal factors, including disaster risks, neighborhood disadvantage and affluence, government capacity, local disaster resilience advocacy groups, and political support. The empirical results confirmed the significant influence of neighboring effects, indicating that counties are more likely to implement the same mitigation strategies if neighboring counties have done so. The results also revealed that disaster experience, government capacity, and strong democratic support significantly impact the likelihood of adopting LHMP and HMGP. Additionally, the results suggested that disadvantaged communities were more likely to adopt mitigation policies, while affluent communities were less likely to adopt such policies. The second paper evaluates the effectiveness of the FEMA's Program Administration by State Pilot (PAS). By integrating the Propensity Score Matching (PSM) technique with the Difference-in-Differences (DID) analysis, the empirical evidence demonstrated a significant reduction in the approval times for both LHMP and HMGP in pilot states compared to non-pilot states, with an average reduction nearing 30%. This suggests that the PAS program has effectively streamlined administrative processes, thereby enhancing efficiency in disaster management within pilot states. The analysis also indicated that the impact of PAS on the actual funding received through HMGP was insignificant, suggesting that while administrative processes were expedited, the allocation of financial resources remained unaffected. The third paper attempts to understand how local governments respond to top-down policy pressures in vertical diffusion by analyzing the text similarities of hazard mitigation strategies between state hazard mitigation plans and county LHMPs in Ohio using the word embedding technologies. The study employs the Word2Vec algorithm to assess the policy similarity between the hazard mitigation goals outlined in LHMPs and SHMPs. Building on this initial analysis, this research further uses the Beta Regression model to examine the textual similarities within LHMPs in Ohio, focusing on how the type of author - government versus private consultants, and the nature of the goals, whether action-based or hazard-based, affect these alignments. The regression analysis shows that LHMPs authored by government entities tend to exhibit higher textual similarity, reflecting the influence of standardized approaches driven by state and federal guidelines. This suggests a compliance-driven alignment in government-written plans. Conversely, LHMPs authored by private consultants display greater variability, suggesting that these plans are customized to the specific needs and risk assessments of local communities. Additionally, the regression results indicate that action-based and mixed-goal LHMPs are associated with higher textual similarity across counties. To carry out the empirical analysis mentioned above, this dissertation builds a panel dataset for all counties from 2000 to 2020, which contains data on LHMPs, HMA projects, disaster risks, socioeconomic characteristics, regional economic and political indicators, etc. / Doctor of Philosophy / Hazard mitigation in the United States is a critical issue, especially as the frequency and cost of disasters continue to rise. This dissertation investigates the dynamics of hazard mitigation planning within a multi-level governmental framework, focusing on the adoption of Federal Emergency Management Agency (FEMA) approved Local Hazard Mitigation Plans (LHMPs), Hazard Mitigation Grant Program (HMGP) projects, and Pre-Disaster Program (PDM) projects. across U.S. counties and the influence of federal and state policies on these local initiatives. The first paper examines the horizontal diffusion of LHMPs among local communities, revealing the significant influence of neighboring counties. This "neighboring effect" shows that counties are more likely to adopt similar mitigation strategies if their neighbors have done so, emphasizing the role of regional collaboration in spreading effective disaster resilience practices. Additionally, the study found that counties with more disaster experience and greater governmental capacity are more likely to implement LHMPs, highlighting the importance of preparedness and resources in driving policy adoption. Furthermore, this research finds counties with higher socioeconomic disadvantages are more proactive in adopting mitigation policies, which could be attributed to the higher perceived risks and available federal funding targeted at these communities. The second paper evaluates the impact of FEMA's Program Administration by State (PAS) pilot program on the administrative efficiency of LHMP and HMGP approvals. The findings indicate a significant reduction in approval times in pilot states, suggesting that the PAS program has successfully streamlined administrative processes. However, this expedited process did not lead to increased funding or broader adoption, pointing to the need for further policy enhancements to ensure that administrative improvements translate into real-world benefits for disaster preparedness. The third paper explores the vertical diffusion of policy from state to local governments, using Ohio as a case study. It employs advanced text analysis to measure the similarity between state and local hazard mitigation plans. The results show that government-authored LHMPs tend to closely follow state guidelines, indicating a top-down influence that ensures compliance with federal and state objectives. In contrast, LHMPs authored by private consultants were more varied and aligned to the specific needs and risks of local communities. This suggests that a balance is needed between standardized policies and local customization to effectively address the unique challenges of different regions. By integrating these findings, this dissertation provides a comprehensive overview of how hazard mitigation policies are adopted and implemented across various governmental levels. The research concludes with policy recommendations that advocate for sustained reforms in hazard mitigation funding, emphasizing the need for equitable resource distribution among disadvantaged communities. It also offers critical insights into improving intergovernmental cooperation and policy effectiveness, ensuring that all communities, regardless of their socio-economic status, can enhance their resilience and better prepare for future disasters. This research ultimately serves as a guide for policymakers to refine strategies that foster robust, community-centered resilience practices, enhancing the nation's overall disaster preparedness and response capabilities.

En aquesta tesi s'estudia el federalisme executiu canadenc. Entenem per aquest concepte el model de relacions intergovernamentals caracteritzat pel fet que les relacions entre els diferentes nivells de poder a l'interior d'una federació estan monopolitzades pels respectius executius, en detriment d'altres institucions polítiques - parlaments, partits polítics. La hipòtesi que sostinc és que, al Canadà, aquest model de relacions intergovernamentals s'ha vist influenciat per la centralitat que històricament ha tingut en la dinàmica política interna, el debat entorn la qüestió nacional. Aquest debat sorgeix arran de la voluntat política d'una part de la societat quebequesa, i en conseqüència dels governs quebequesos, d'autogovernar-se i d'evitar el risc de la minorització. Això no obstant, els successius governs federals tracten el Quebec com "una província més", igual que la resta de províncies. La negativa d'Ottawa a reconèixer el Quebec com a nació ha reforçat els partidaris de l'accessió a la sobirania. / In this thesis it is studied Canadian Executive Federalism. We define this concept as an intergovernmental relation's model characterized by the fact that relations between different levels of power within a federation are monopolized by executives, rather than by other political institutions -such as parliaments or political parties. The hypothesis defended is that, in Canada, this intergovernmental relation's model has been influenced by the centrality that the national question debate has play historically. This debate starts as part of Quebec's society will, and consequently, of Quebec executives will, of self-government as a measure to avoid minorisation risks. However, successive federal governments treat Quebec as a province like the rest. The Ottawa opposition to recognize Quebec as a nation has reinforced those who prone for accession to sovereignty.

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As relações intergovernamentais no Brasil, longe de se caracterizarem como um fenômeno estático ou determinado unicamente pelo arcabouço formal/legal, têm revelado, desde a promulgação da Constituição de 1988, uma dinâmica variável aos contextos políticos do país, sendo pactuadas e repactuadas entre os níveis governamentais. Nesse processo, que pode ser observado em diferentes políticas públicas, e especialmente na assistência social, há aspectos descentralizadores e centralizadores, assim como uma combinação entre ambos, dependendo das agendas e preferências dos governantes que ocupam o centro do sistema político. Dessa forma, assim como as competências dos entes federativos são redesenhadas, aspectos como a autonomia para formular e implementar políticas públicas também são afetadas. Argumenta-se que esse processo é resultante do forte papel que o centro sempre possuiu na determinação das relações federativas no Brasil, que se moldam a partir dos seus interesses. A partir dessa premissa, o trabalho investiga a repactuação das relações intergovernamentais na implementação da política de assistência social sobre a influência de duas agendas políticas vigentes no governo federal: sob os governos de Fernando Henrique Cardoso, em que há a adoção de políticas de reajuste fiscal e de reformas descentralizantes que tornam o município o principal responsável pela formulação e implementação da política de assistência social; e sob os governos do presidente Lula, período orientado pela retomada do papel do Estado na promoção do desenvolvimento econômico e social, em que as políticas de proteção social não contributivas ganham espaço fundamental. Neste período, em que tem origem o Sistema Único da Assistência Social, é possível observar uma nova relação entre os níveis governamentais na implementação da assistência social, havendo uma maior coordenação da política em nível federal e o reforço do papel dos municípios como executores de uma política formulada nacionalmente. A partir da análise, busca-se contribuir com as interpretações que entendem a dinâmica da federação brasileira como algo mais complexo do que a clássica forma dicotômica, centralização versus descentralização, sístole versus diástole, argumentando que tais formatos podem conviver em uma única política pública a depender das agendas e preferências dos governantes. Do ponto de vista metodológico, o trabalho parte da observação dos processos de formulação e implementação da assistência em quatro municípios da Região Metropolitana de Porto Alegre: Alvorada, Canoas, São Leopoldo e Viamão no interregno de 1994 a 2010. / Intergovernmental relations in Brazil, far from being characterized as a static phenomenon or determined solely by formal/legal framework, have been revealed, since the promulgation of the 1988 Constitution, a variable dynamic to the political contexts of the country, being agreed between government levels. In this process can be observed aspects decentralizing and re-centering in different public policy, and especially in social assistance, as well as a combination of both, depending on the trajectories of the policies and agendas of the rulers who occupy the executive center of the political system. Thus, as the responsibilities of governmental entities are redrawn, aspects such as the autonomy to formulate and implement public policies are also affected. It is argued that this process results from the strong role that the center has always possessed in the determination of the federative relations in Brazil, which are molded from its interests. From this premise, the work investigates the renegotiation of intergovernmental relations in the implementation of the social assistance policy on the influence of two political agendas of the federal government: the government of Fernando Henrique Cardoso, in which there is the adoption of policies of fiscal adjustment and decentralizing reforms, making the municipality the primary responsible for the formulation and implementation of social assistance policy; and governments of President Lula, period which originates the Unified System of the Social Assistance, driven by a political agenda that retakes the role of the State in promoting economic and social development. In this period it is possible to observe a new relationship between the government levels in the implementation of social assistance, where there is greater coordination of policy at the federal level, being the municipalities the executors of a policy formulated nationwide. From the analysis it is looking up to contribute with the interpretations that understand the dynamics of the Brazilian Federation as something more complex than commuting movements that alternate periods of centralizing and decentralizing, and furthermore, that these formats do not possess intrinsic qualities. From the methodological point of view, the work starts from the observation of the processes of formulation and implementation of the Assistance in four municipalities of the Metropolitan Region of Porto Alegre: Canoas, São Leopoldo, Alvorada and Viamão in the interregnum from 1994 to 2010.

Submitted by Tatiana Lima (tatianasl@ufba.br) on 2015-11-20T20:11:17Z No. of bitstreams: 1 Ana Carolina Nunes, Carvalho.pdf: 3823224 bytes, checksum: 7e2189a2315e8907169e1b5bff7933eb (MD5) / Approved for entry into archive by Tatiana Lima (tatianasl@ufba.br) on 2015-12-01T21:19:17Z (GMT) No. of bitstreams: 1 Ana Carolina Nunes, Carvalho.pdf: 3823224 bytes, checksum: 7e2189a2315e8907169e1b5bff7933eb (MD5) / Made available in DSpace on 2015-12-01T21:19:17Z (GMT). No. of bitstreams: 1 Ana Carolina Nunes, Carvalho.pdf: 3823224 bytes, checksum: 7e2189a2315e8907169e1b5bff7933eb (MD5) / Esta pesquisa tem por objetivo descrever e analisar as relações entre as diferentes esferas de governo da Federação brasileira no processo de implementação do Programa Minha Casa, Minha Vida (PMCMV) no Município de Teresina-PI. Trata-se de uma pesquisa exploratória de natureza qualitativa e adota como estratégia o estudo de caso. Para tanto, realizaram-se entrevistas com informantes-chave, representantes da esfera federal, a Caixa Econômica Federal (CEF); da esfera estadual, a Agência de Desenvolvimento Habitacional do Estado do Piauí (ADH-PI); e da esfera municipal, a Secretaria Municipal do Trabalho, Cidadania e de Assistência Social (SEMTCAS) e a Secretaria Municipal de Desenvolvimento Urbano e Habitação (SEMDUH). Foram também analisados documentos, relatórios expedidos pelas instâncias e a legislação que regulamenta o PMCMV. A abordagem teórica fundamentou-se nos conceitos de federalismo e de relações intergovernamentais, enquanto que, na análise dos dados coletados, utilizou-se a técnica de análise do discurso, buscando compreender os padrões de relações que emergem dos dados, sem preocupação em comparar a modelos e tipologias de relações intergovenamentais observados na literatura. Os resultados da pesquisa atestam que, nas relações entre as esferas federal, estadual e municipal para implementar o PMCMV, no Município de Teresina-PI, ainda que apresentem evidências de desequilíbrio de poder de decisão entre estas esferas, como já apontado na literatura, existe uma certa complementaridade de ações voltadas para a execução do Programa. Os dados revelam que a instância estadual teve uma participação reduzida no processo de implementação do PMCMV, e o Município de Teresina, representado pela SEMTCAS e pela SEMDUH, teve um papel mais relevante, embora a maior cota de poder decisório esteja concentrada na Caixa Econômica Federal, agente financiador e operador do Programa. Os achados ainda revelam que a complementaridade de ações entre as esferas de governo esteve pautada no cumprimento de funções já previamente estabelecidas nas normativas do Programa, embora os constrangimentos observados na relação entre as instâncias de governo tenham decorrido das carências estruturais do próprio Município. Além disso, a configuração da estrutura decisória do PMCMV foi desenhada numa perspectiva menos compartilhada, assumindo um caráter mais vertical e centralizado, com forte indução da esfera federal. Espera-se que os resultados desta pesquisa contribuam para ampliar o conhecimento sobre as relações intergovernamentais estabelecidas para a implementação de políticas públicas de habitação através do PMCMV, no contexto federativo brasileiro. / This research aims to describe and analyze the relations between the different spheres of government of the Brazilian Federation in the implementation process of the Minha Casa, Minha Vida Program (PMCMV) in Teresina-PI. This is an exploratory qualitative research and it adopts the case study strategy. To this end, interviews were conducted with key informants and representatives from the federal sphere, the Federal Savings Bank (CEF); the state sphere, the Housing Development Agency of the State of Piauí (ADH-PI); and municipal sphere, the City Department of Labour, Citizenship and Social Assistance (SEMTCAS) and the Municipal Urban Development and Housing Secretariat (SEMDUH). Documents, reports issued by instances and the legislation governing the PMCMV were also analyzed. The theoretical approach was based on the concepts of federalism and intergovernmental relations, while for the data analysis, the technique of discourse analysis was used and, from the analytical point of view, the concepts of federalism and intergovernmental relations were used as foundation, seeking to understand the patterns of relationships that emerge from the data, without the concern of comparing models and types of intergovernmental relations observed in the literature. The research results show that in the relationship between federal, state and municipal spheres, to implement PMCMV in Teresina-PI, even with evidence of imbalance of power of decision between these spheres, as pointed out in the literature, there is a certain complementarity of actions for the implementation of the Program in the city. The data reveal that the state instance had a limited involvement in the implementation process of PMCMV, and the city of Teresina, represented by SEMTCAS and SEMDUH, had a more important role, although the largest share of decision-making power is concentrated in the CEF, funder and operator of the Program. The findings also reveal that the complementarity of actions between the spheres of government has been guided in the accomplishment of functions which were already established in the regulations of the Program, although the constraints observed in the relationship between the levels of government were the result of structural deficiencies of the municipality itself. Moreover, the configuration of the decision-making structure of the PMCMV was designed in a less shared perspective, assuming a more vertical and centralized character, with strong induction of the federal sphere. It is expected that the results of this research contribute to broaden the knowledge about intergovernmental relations established for the implementation of housing policies through PMCMV, in the Brazilian federal context.