Decentralisation, meaning the delegation of responsibilities from central to lower government levels is generally assumed to improve the delivery of local public services. The theoretical assumption is that local authorities are encouraged by decentralisation to behave in a more accountable and entrepreneurial fashion. At the same time, accountability and (public) entrepreneurship are distinct concepts and may even be considered to involve conflicting behaviours. Therefore, decentralisation outcomes may vary depending on which behavioural pattern predominates. Previous research has focused on using large data sets to examine the impact of decentralisation on outcomes such as economic growth, disparities, poverty reduction and government performance. But there is also a need to better understand how decentralisation, and specifically fiscal decentralisation, may promote accountability and public entrepreneurship in specific settings. To contribute to closing this gap, this dissertation examines both fiscal decentralisation policies and contemporaneous changes in political arrangements. It identifies the incentives these changes create for Mexican local authorities to behave in more accountable and entrepreneurial ways and which may lead to differences in government performance. The study focuses on rural municipalities where achieving the predicted decentralisation outcomes is highly challenging. A mixed methods research design was used with two phases. In the first stage, the relationship between fiscal decentralization and changes in government accountability and entrepreneurship was investigated through statistical analysis based on fixed effects estimation using a sample of 505 rural municipalities. For that purpose a longitudinal dataset was developed, comprising municipal level information between the years 1990 and 2009, including indices for accountability and public entrepreneurship. Phase two involves multiple case studies of individual municipalities that were selected based on performance. The empirical evidence suggests that decentralisation policy has tended to work against accountability but has increased entrepreneurial behaviour in rural municipalities, highlighting the potential tension between the two. The extent to which these effects occur seems to depend on the particular fiscal arrangement. In addition, political competition seems to reinforce accountability and has an impact in entrepreneurship in a different way to the effects expected theoretically, though the effects are not as strong as with fiscal decentralisation. This study advances the public entrepreneurship literature and expands the understanding of fiscal decentralisation. Additionally, it provides suggestions for which policy arrangements are likely to promote accountability and entrepreneurial actions by public authorities.

Como uma nova perspectiva da teoria federalista, o federalismo cooperativo opõe-se à clássica abordagem dualista, balanceando a tensão entre a autonomia dos entes federados e o mútuo auxílio. Nesse quadro, os consórcios públicos podem ser considerados o estágio final do processo de cooperação, fornecendo os instrumentos para possibilitar a gestão e a prestação conjunta de serviços públicos. O trabalho busca analisar o desenvolvimento de tais ajustes no direito brasileiro, especialmente após as recentes mudanças operadas no texto constitucional e levadas adiante pela Lei n.º 11.107/05 (Lei de Consórcios Públicos), que resultaram no advento de um novo modelo contratual, concretizado numa pessoa jurídica intergovernamental. Os métodos de estudo envolvem as tarefas de indentificação das raízes históricas das formas de cooperação, investigação das atuais possibilidades dos consórcios e seus limites e, finalmente, detalhamento do funcionamento da gestão associada, incluindo a estrutura da pessoa interfederativa, seus poderes e regime jurídico. As conclusões apontam para a importância da utilização planejada dos consórcios públicos de modo a que se alcancem consideráveis ganhos econômicos e sociais, permitindo aos governos locais enfrentar problemas comuns que de outra maneira não seriam resolvidos, em matérias como saúde pública, educação e outros serviços públicos e apenas serviços públicos, já que a legislação restringe as possíveis metas consorciais a esse específico conceito. / As a new perspective of the federalist theory, cooperative federalism opposes to the classic dualistic approach, balancing the conflict between states autonomy and mutual aid. Under this arrangement, intergovernmental agreements may be considered the final level of the cooperation process, providing the means to allow the joint management and deliver of public services. The paper aims to analyze these agreements development on brazilian law, especially after the recent changes enacted in the constitutional text and carried on by Law 11.107/05, which resulted in a new contractual model, materialized in an intergovernmental corporation. The study methods involve the tasks of identifying historical sources of cooperation forms, inquiring the agreements current possibilities and its limits and, finally, detailing the joint management functioning, including the corporation structure, powers and legal regime. The conclusions points to the importance of planned use of the cooperative agreements in order to reaching considerable economical and social gains, by allowing local governments to face common issues that otherwise would never be solved, in matters such as public health, education and other public services and only public services, since the legislation restricts the agreements possible goals to this specific concept.

A tese examina o municipalismo brasileiro após a Constituição de 1988, verificando como os municípios se saem no provimento dos serviços locais de saúde face à descentralização desta política com a criação do SUS. Argumenta-se que o processo de descentralização da saúde desenvolveu-se, ao longo dos anos 90, em duas fases distintas: a fase da descentralização autonomista, entre 1990 e 1998, quando os municípios tinham total liberdade nas escolhas da política local de saúde, e a fase da descentralização dirigida, após a introdução do Piso de Assistência Básica - PAB, quando os municípios começaram a receber recursos \"carimbados\", destinados exclusivamente a determinados programas de saúde, determinados pelo Ministério da Saúde. Todavia, conforme demonstramos, ambas as fases não foram capazes de minorar as desigualdades regionais existentes, em termos de oferta, acesso e financiamento aos serviços municipais de saúde. Enfim, demonstramos que as desigualdades em saúde produzidas pelo nosso federalismo não foram equacionadas pelo desenho adotado pela política de municipalização da saúde. Somado a isso, demonstramos que os argumentos normalmente utilizados pela literatura sobre federalismo e municipalismo no Brasil, críticos à \"onda municipalista\" e à existência de milhares municípios pequenos e altamente dependentes dos repasses do Fundo de Participação dos Municípios, não são suficientes para explicar a produção local de políticas sociais, dado que não são estes os municípios que apresentam os piores resultados na política de saúde no que tange à oferta, acesso e financiamento da saúde pelos gestores municipais. Por fim, demonstramos que o consorciamento pode ser um mecanismo eficiente na superação de um dos principais problemas enfrentados pelos pequenos e carentes municípios na provisão de serviços de saúde: o acesso a serviços de maior complexidade, inexistente em diversas pequenas municipalidades, sem que isso acarrete um \"efeito carona negativo\", ou seja, ao encaminhamento de pacientes para outras municipalidades sem a correspondente contrapartida financeira. / This thesis examines the Brazilian municipalism after the Constitution of 1988. It verifies the municipalities performance in the provision of local health services vis-à-vis the decentralization of this policy due to the creation of the SUS (Unified Health System). It argues that the process of health services decentralization developed during the 90\'s presented two different steps: the step of autonomist decentralization, between 1990 and 1998, when the municipalities were totally free to choose their own local health policies; and the step of the driven decentralization, after the creation of the Basic Assistance Floor - PAB, when the municipalities started receiving targeted incomes, which could be used exclusively for specific health programs, determined by the Health Department. However, as we demonstrate, the both steps were incapable to decrease the extant regional inequalities in what regards the supply, the access and the financing of municipal health services. To summarize, we demonstrate that the inequalities in health produced by our federalism were not balanced through the outline of policies that municipalized the health services. In addition we demonstrate that the arguments usually raised by the literature on federalism and municipalism in Brazil, which are critical to the \"municipalist wave\" and to the existence of thousands of small municipalities - which are very dependent to the transfers from the Municipalities Participation Fund (FPM) - are not sufficient to explain the production of local social policies, since such municipalities are not the ones which present the worst outcomes in the supply, access and financing of health services by the municipal managers. Finally, we demonstrate that the consortiums can be an efficient mechanism to overcome one of the main problems which are faced by the small and poor municipalities to provide health services: the access to services of higher complexity - which do not exist in many small municipalities - without causing the \"negative free-riding\", i.e., the transferring of clients to other municipalities without the correspondent financial retribution.

Orientador: Carlos Américo Pacheco / Tese (doutorado) - Universidade Estadual de Campinas, Instituto de Economia / Made available in DSpace on 2018-08-17T04:44:46Z (GMT). No. of bitstreams: 1 Zimmermann_Gustavo_D.pdf: 1939316 bytes, checksum: 950886ef302cb42ad6c2a8915bdd7eae (MD5) Previous issue date: 2009 / Resumo: Esse trabalho é dedicado às finanças públicas municipais e tem como fio condutor a evolução do sistema tributário brasileiro, de seus primeiros arranjos coloniais aos dias atuais. Objetiva, por um lado, reunir elementos históricos das finanças dessa esfera de governo e, por outro, identificar e analisar os precedentes do desenho tributário vigente e destacar algumas de suas características e problemas atuais. Nesse percurso se procurou juntar diversas experiências do autor, buscando contribuir com o registro da trajetória e dos fenômenos da política fiscal dos municípios no Brasil nas últimas décadas do século passado. Da longa caminhada se constatou que as mudanças tributárias, contemplaram novas correlações de força ou necessidades econômicas, mas sempre conservaram elementos dos arranjos anteriores. Assim, apesar da esfera municipal ter sido a verdadeira origem do direito tributário brasileiro e ter sido muito variada suas possibilidades de arrecadação, a história da tributação municipal no Brasil é a história da crescente prevalência das fontes tributárias urbanas sobre as rurais e do esvaziamento de seu potencial de arrecadação em favor das esferas superiores de poder. Com a intensificação da urbanização, a cada nova reformulação, mais era ampliava o sistema de transferência intergovernamental de recursos. Paradoxalmente, ao mesmo tempo em que as finanças municipais foram progressivamente se circunstancial vendo aos fatos urbanos, cresceram as dificuldades jurídicas infraconstitucionais contra a cobrança de taxas ao fornecimento de serviços públicos prestados (iluminação pública, coleta de lixo, combate à sinistros, varrição de ruas etc.). A análise feita evidenciou inúmeras dificuldades para a tributação municipal e particularmente os impactos devastadores da inflação sobre a arrecadação dessa esfera de governo. Evidenciou também as principais dificuldades do sistema de transferências intergovernamentais de recursos em cumprir com seus objetivos de mitigar as desigualdades entre as unidades federativas. A análise dessa realidade prevalecente nas últimas décadas evidenciou nas finanças municipais as marcas de ciclos políticos administrativos que afetam de diversas maneiras sua fiscalidade. / Abstract: This paper is dedicated to municipal finance and is guiding to the evolution of the Brazilian fiscal system from early colonial arrangement to today. The first aim is to gather historical elements of this sphere of government finances and, secondly, to identify and analyze the previous structure of existing tax and highlight some of its characteristics and problems. Sought to throughout the research join several experiences of the author, seeking to help with recording the history and with phenomena of the fiscal policy of the municipals in Brazil in the last decades of the last century. After the search was found that the tax changes, was contemplated to a new force correlations or economics necessities, but always retained elements of earlier arrangements. Thus, despite the municipal level have been the true origin of the Brazilian tax law and have been very varied collection of its possibilities, the history of municipal taxation in Brazil is the story of the increasing prevalence of tax sources on the urban and rural and emptying collection?s potential in favor of the higher spheres of power. With the intensification of urbanization, with an each new revision, more was amplified the intergovernmental transfer system resources. Paradoxically, at the same time that municipal finances were circumstantial gradually the urban facts, also were increasing the difficult of legal infra constitutional against the charging fees to the provision of public services (street lighting, garbage collection, combat casualties, street sweeping etc). The analysis revealed numerous difficulties for the municipal taxation and in particularly showed the devastated impact of inflation on the collection of this sphere of government. Also showed mains challenges to intergovernmental system resources to fulfill the objectives of mitigating the inequalities between the federal units. The analysis of this reality is prevailing in recent decades and showed that in municipal finances the marks of administrative political cycles is affecting their control of the fiscal system in several ways. / Doutorado / Teoria Economica / Doutor em Ciências Econômicas

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No. of bitstreams: 1 Dissertação.pdf: 1364852 bytes, checksum: 8a8d0cb3da03120099b94df341f00c39 (MD5) Previous issue date: 2013-04-10 / With decentralization w h ich has chara cterized the brazilian federation in the last fe w decades, the municipalities received more assignments and responsibilities, implementing public policies and providing basic services for population. However, since the own municipal revenues are capable of fund ing only partially these activities, it bec omes necessary a high volume of grants that flow s from central levels to sub national levels of government. Furthermore , Brazil is a country with a vast and heterogeneous territory, where municipalities with different self financing capability, as well as d ifferent demands from population, coexist in the same federalist system. In light of this, it becomes fundamental studying the grants distribution, verifying if the municipalities that need more financial support have been the effectively benefited. This p rocess of reducing the horizontal disparities that emerge from different tax bases and local demands is called fiscal equalization. The fiscal equalization allows residents in different municipalities receiving the same public service level given the tax c harge assumed by them (net fiscal benefit), it means, the equalization promotes the equity in the public services provision, as well as avoids the allocational inefficiency derived from migrations encouraged by fiscal benefits. To create the fiscal equaliz ation , grants must benefit those municipalities with less er self financing capability and greater fiscal needs associated with costs and demands for public services. In this sense, this study aims to assess the effect of intergovernmental transfers in the municipalities’ fiscal equalization, considering the main proxies of fisca l capacity – potential of creating own revenue – and fiscal need – volume of resources demanded in the municipality due region’s and population’s characteristics. The analysis is rea lized to each transfer’s group, ranging from those with an essentially redistributive finality, to those predominantly devolutive , as the 'cota - parte de ICMS'. The results show that some transfers, as FPM, contribute little to fiscal equalization, in spite of the redistributive nature implicit in this grant, as well as some conditional transfers, as FUNDEB, although they don’t aim correct the horizontal disparities in the capability of local government realizing their function s , can imply a positive effect to fiscal equalization in the federation’s local level. Another important result emerge d from analysis is the Bolsa - família transfer’s effect in the equali zation, because this transfer minimize the distortions realized by all other grants distributed to mu nicipalities. The Bolsa - família, although it’s not a intergovernmental transfer, was included in the analysis since it’s represents an expressive amount of resources, competes for resources with others grants and has a potential effect similar to the other intergovernmental transfers in the scope of fiscal equalization, given that releases resources in the local budget that, otherwise, could be committed with the local social policy. Another relevant result is the observation that voluntary transfers affect less the equalization, it means, they don’t contribute to this aim nor prejudice the horizontal disparities reduction, being relatively neutral or less intervenient in relation demands and fiscal capacity of local governments, probably because they don’t follow criteria , neither economics, as the ICMS, nor redistributive, as FPM. Instead, these transfers follow political criteria, as indicated by recent political science literature. / Com a descentralização que caracterizou a federação brasileira nas últimas décadas, os municípios receberam maiores atribuições e responsabilidades, implementando políticas públicas e provendo serviços básicos à população. Contudo, uma vez que as receitas próprias municipais são capazes de custear apenas parcialmente estas atividades, torna-se necessário um volume elevado de transferências que fluem dos níveis centrais aos municípios. Além do mais, o Brasil é um país de território vasto e heterogêneo, em que municípios com distintas capacidades de autofinanciamento, bem como diferentes demandas por serviços públicos, convivem no mesmo regime federativo. Diante deste quadro, torna-se fundamental estudar a distribuição dos recursos das transferências, verificando se os municípios que mais necessitam de suporte financeiro têm sido os efetivamente beneficiados. À este processo de reduzir as disparidades horizontais provenientes de diferenças nas bases tributárias e demandas locais dá-se o nome de equalização fiscal. A equalização fiscal permite que municípes de diferentes jurisdições recebam o mesmo nível de serviços públicos para dada carga tributária assumida por eles (net fiscal benefit), ou seja, a equalização promove a equidade na provisão dos serviços públicos, além de evitar a criação de ineficiência alocativa derivada de migrações motivadas por benefícios fiscais. Para criar a equalização fiscal as transferências devem beneficiar aqueles municípios com menor capacidade de autofinanciamento e maiores necessidades fiscais atreladas à custos e demandas pelos serviços públicos. Neste sentido, este trabalho busca avaliar o efeito das transferências intergovernamentais na equalização fiscal dos municípios, considerando as principais proxies de capacidade fiscal – potencial de geração de receita própria – e necessidade fiscal – volume de recursos demandados em virtude das características da região e da população do município. A análise é realizada para cada grupo de transferências, desde aquelas com finalidade essencialmente redistributiva como o FPM até aquelas predominantemente devolutivas, como a cota-parte de ICMS. Os resultados mostram que algumas transferências como o FPM contribuem pouco para a equalização fiscal, apesar do objetivo de natureza redistributiva implícito neste repasse, assim como algumas transferências condicionais, como o FUNDEB, apesar de não almejarem especificamente corrigir as disparidades horizontais na capacidade dos municípios realizarem suas funções, podem significar um efeito positivo para a equalização fiscal no nível municipal da federação. Outro resultado importante que desponta na análise é o efeito da transferência do Bolsa-família na equalização, pois esta transferência consegue atenuar as distorções realizadas pelas demais transferências distribuídas aos municípios. O Bolsa-família, apesar de não ser uma transferência intergovernamental, foi incorporada na análise por representar um expressivo volume de recursos, por concorrer com recursos de outras transferências e ainda ter efeito potencial semelhante ao das demais transferências intergovernamentais no âmbito da equalização fiscal, uma vez que libera recursos no orçamento do governo local que, do contrário, poderiam estar comprometidos com a política local de assistência social. Outro resultado é a observação de que as transferências voluntárias afetam menos a equalização, ou seja, não contribuem para a consecução deste objetivo nem prejudicam a redução das disparidades horizontais, sendo relativamente neutras ou menos intervenientes em relação às demandas e capacidade de arrecadação dos municípios, provavelmente por não seguirem critérios, nem econômicos, como o ICMS, nem redistributivos, como o FPM, e sim critérios políticos, como apontado pela literatura de ciência política.

In a context of neoliberal globalization, have the processes of elaboration and implementation of foreign investors’ responsibilities by intergovernmental organizations reached the realm of legality? By relying on an analytical framework and a methodology that combine international law with international relations, the present interdisciplinary dissertation provides a twofold answer to this question. At a macro-level, it demonstrates that the normative integration of foreign investors’ responsibilities in international investment law is fragmented and consistent with the interests of the most powerful actors. At a micro-level, it relies on the interactional theory of international law to assess the normative character of several international instruments elaborated and implemented by intergovernmental organizations. By shedding light on the sense of obligation that each instrument generates, the analysis shows that such a codification process is marked by relations of power between international actors and has resulted in several social norms, with relatively few legal norms. / Graduate

Doctorat en sciences sociales, politiques et économiques / info:eu-repo/semantics/nonPublished

The purpose of this research is to examine the factors that have influenced political decentralization in Paraguay and Colombia and how the new intergovernmental relations that result in political, fiscal and policy decentralization impact local governments and their capacity to deliver public services. The research, building on institutional theory, places particular emphasis on trying to explain and understand how intergovernmental relations shape the decentralization—and effectiveness—of public service delivery to local and regional governments, particularly in the areas of health and education. The research method is principally a path-dependent within-cases analysis. The analysis traces how the processes of decentralization evolved from 1990 to 2010. Special attention is given to critical junctures, or special political or social circumstances, that have significantly changed the process of decentralization. Data was collected mainly through reviews of documents, journals and newspapers, and most significantly through elite interviews “tailored to the purposes of the study” (Aberbach & Rockman, 2002). Leaders of political parties, unions, non-governmental-organizations and civic movements were interviewed in both countries. The research shows that political parties play a very important role, not only in the design and implementation of decentralization of public service delivery, but also in sustaining and furthering the process. The analysis is based on the assumption that increased decentralization of health and education to local and regional levels should positively impact basic health and education indicators. If decentralization, as argued, helps governments to be more responsive to local needs, and if more health and education programs are decentralized to the local and regional level in response to the demands of many communities, it is predicted that health and education indicators would improve, as people would have easier access to these services. Analysis of health and education indicators in the form of infant mortality rates (deaths of children under one year old, live births) and school enrollment show mixed results for both Colombia and Paraguay.

Recently, intergovernmental organizations (IGOs) have adopted policies that engage the private sector in the implementation of their development mandates. Despite the implications of these changes, the subject is among the least conceptualized. By applying a theory-guided process-tracing (TGPT) methodology, this paper examines the process of change at the United Nations Development Programme (UNDP). It advances a constructivist argument and evaluates whether this change could be viewed as a norm-driven change, where norms of corporate social responsibility (CSR), in the process of interaction and learning, have obtained an intersubjective quality and redefined the role of the private sector in the context of organization’s objectives. The paper evaluates this argument in light of the alternative assumptions of the principal-agent model, the bureaucratic culture literature, and rational choice institutionalism. It highlights the implications of this research in empirical, analytical, and theoretical terms for further studies and concludes that, without a due assessment of the intervening effect of norms on policies, the causal claims of other theories are seriously challenged.

Parallèlement à son développement économique, la Chine connaît à l'heure actuelle une évolution de son organisation territoriale, la réforme des « districts provinciaux ». Mais de quel type de réorganisations territoriales s'agit-il ? Et quels en sont les enjeux ? Cette thèse s'attache à analyser le mouvement de décentralisation en Chine à partir de l'étude de ce processus dans deux provinces, à savoir celle du Zhejiang et du Sichuan. L'hypothèse développée est que la déconcentration de l'État et le mouvement de décentralisation locale constituent un nouveau mode gouvernance locale en Chine. Cette thèse repose sur la combinaison de plusieurs perspectives d'analyse : une perspective nationale et historique d'abord, centrée sur les évolutions du système centralisé et la genèse de cette réforme ; ensuite, une autre perspective visant à rendre compte du changement de la relation intergouvernementale au sein de la province et de la formation d'une confrontation entre les partisans de la croissance effrénée du pays faisant face à de plus en plus de résistance de la part du mouvement « anti-croissance ». Ces deux types d'analyse permettent de montrer que le mode de gouvernance dépend non seulement du système national, mais plus particulièrement du mode d'action publique associée à un territoire. Les niveaux administratifs : districts/régions, zones urbaines/rurales, les acteurs sociaux comme les entreprises et les associations de protection de l'environnement ainsi que les dynamiques individuelles jouent un rôle de plus en plus important dans ce mouvement de déconcentration / With its economic development that enhanced the power of local governments, China is experiencing an evolution of its territorial organization called the « provincial Districts » reform. But what kind of territorial reorganization is it ? And what are the stakes? This thesis aims to analyze decentralization reforms in China through the cases of two provinces, Zhejiang and Sichuan. The hypothesis is developed that the devolution of state and local decentralization movement present a new model of local governance in China.This thesis is based on the combination of several analytical perspectives: first, historical and a national perspectives, focusing on the evolution of centralized system and the genesis of this reform; then another perspective accounts for the change in the intergovernmental relations under the level of province and the formation of« growth » coalition and the « anti-growth » coalition. These two types of analysis show that the governance depends not only on the national system but especially on what is the local public action associated with a territory, such as the action of Districts / urban areas/ province, social actors, such as entrepreneurs and green associations and individual dynamics which become more and more important