Dissertations / Theses on the topic '360103 Federalism and Intergovernmental Relations'

The following research paper investigates the changing character of federalism in Canada, as expressed through intergovernmental relations. Specifically, the impact that individual prime ministers and their governments may have on these relationships is explored. In particular, Stephen Harper and Justin Trudeau’s management styles are compared in order to determine what lasting or significant effect, if any, these individuals have had on how Canada’s federal and provincial governments interact with each other. Secondary literature describing and summarizing Harper’s style of open federalism, in conjunction with primary research on Justin Trudeau’s reversion to a more collaborative style, concludes that though each prime minister was able to have some tangible effects on federal-provincial relations during their time in office, these effects were, or will be, easily overridden by their successors. The following research asks whether Harper and Trudeau’s actual styles of intergovernmental relations were consistent with their rhetoric on the same subject. Though Harper spoke often about his preferred style of open federalism, it appears to many scholars that not all of his actions reflected the core tenets of this model. Likewise, though Trudeau advertised a collaborative, more multi-level approach to governance during the 2015 election campaign and during his time in office, I conclude that much of his efforts to follow up on these principles are symbolic at best. In both cases, it appears that the federal government consistently pursues its own goals, regardless of the rhetoric used to describe provincial involvement, rights, and in Trudeau’s case, genuine collaboration with both the provinces and additional third-party groups.
Arts, Faculty of
Political Science, Department of
Graduate

In Russia federalism and the design of federal institutions have been greatly debated topics ever since the beginning of the 1990s. When the newly elected Russian president Vladimir Putin introduced a number of federal reforms in May 2000 it represented the culmination of a debate on federalism that had been triggered by the political and economic crisis of 1998. In many ways these reforms entailed a different perspective on federalism, or in the terminology of this thesis a new “federal paradigm”, from the one that had dominated most of the Yeltsin era. At the same time the relations between federal and regional authorities, often referred to as intergovernmental relations, appeared to become less confrontational and fragmented than before. This work examines this latest stage in the Russian state-building process.

In particular two elements are scrutinized. The first is the shift of federal paradigms that the federal reforms reflected. Combining organisation theory and historical institutionalism it is argued that the origins of federal paradigm shifts often can be traced to the federal system itself. In Russia the failure of the federal system manifested through the political and economic crisis of 1998 changed many governmental actors’ views on federalism. However, it was not until Putin became president that the new federal paradigm could consolidate.

The second element concerns the connections between the new federal paradigm and the mode of intergovernmental relations. This work presents the argument that the way in which federalism is interpreted and conceptualised by governmental actors is important for the variation of intergovernmental relations across and within federal systems. Deriving from federal theory and some comparisons with other federal systems it is concluded that the federal paradigm that Putin represented in his first presidential term was on the whole more conducive for coordinate intergovernmental relations, at least in the short term.

The effect of federalism on the development of public policy is a widely debated topic. In terms of environmental policy, this issue assumes greater importance because of the lack of clarity in the constitutional division of powers. It is the purpose of this research to examine environmental impact assessment (EIA) — one of the higher-profile aspects of environmental policy — in order to establish how intergovernmental relations in Canada have affected policy and process development in this area. It is hypothesized that unilateral federal action in this policy area contributes to a corresponding increase in the stringency of provincial EIA processes. To test this, a two-step analysis is adopted: first analyzing developments at both the federal and provincial levels from 1985-1995 — a period which witnessed exceptionally high levels of public concern for the environment and increased federal involvement in EIA — and second discussing key events and agreements which affected intergovernmental relations and determining whether these related to those developments identified. This research finds that greater federal involvement in EIA was a catalyst for some positive reform at the provincial level, although this result varied significantly between the provinces examined. Based on the evidence gathered, it is concluded that some form of intergovernmental collaboration and competition both have a place in the development of EIA policy and that neither should be pursued as an end in itself.

The subject of fiscal federalism has been associated for many years with economics, in particular with the study of public finance. However, its political dimension is often neglected. This is the case in the conventional study of fiscal federalism in Malaysia, which focuses on the economic perspective. The aim of this thesis is to examine the design, implementation and problem of fiscal federalism in Malaysia as a political process in promoting national integration and the unity of the federation. This research is based on an intrinsic case study approach as the subject of fiscal federalism attracts strong public interest, which requires an in-depth study of the case. In doing this research, a combination of narrative report, statistical analysis and interview has been used. One of the significant findings of this research is that the design of fiscal federalism in Malaysia is essentially based not on the federal spirit, but on the strong central government theme imposed by the colonial authority concomitant to the historical and political background to the formation of the federation. As a result, today, fiscal federalism displays a federal bias and mounting centripetal forces, even to the extent of coercion on the states, making the federal government grow bigger and more dominant, financially and politically. Thus, the working of fiscal federalism depends not on what is enshrined in the Constitution and federal spirit but on centre-state political interactions. If states' politics are not affiliated with the ruling political party that control the federal government, federal-state fiscal relations will be strained. The effects are felt in petroleum royalties payments, disbursement of grants, borrowing and other form of fiscal 'sanction' imposed by federal executive supremacy. On the other hand, if the states are ruled by the same political party, they become financially complacent. To all intents and purposes, the exclusive control of revenue sources by the centre has enabled the federal government to prevent most states from falling to the opposition party, thus ensuring a majority in parliament. The outcome is that the states are subordinated and subservient to the centre and hence the futures of the states are subject to the federal government's 'unilateral action'. In the long run, Malaysia is moving towards becoming a unitary state. This is the antithesis of the federal spirit, and thus becomes a threat to the federation. Therefore, fiscal federalism is a crucial acid test of the viability of any federation. Fortunately, thus far, Malaysian federalism had passed the test, though the states find more pain than gain. In the final analysis, this thesis suggests that structural reform of the federal-states' financial arrangements should be undertaken in order to strengthen the states' finances and subsequently reduce the states' dependence on the largesse of the federal government for funds.

This is a comparative study of intergovernmental relations in labour market policy in Canada and the United Kingdom (UK) between 1996 and 2006, the first phase of devolution in each country. The study focuses primarily on relations between the central government and a single sub-state in each country (Alberta in Canada and Scotland in the UK) and addresses three research questions: 1) to what extent were there differences in intergovernmental relations between the countries?2) what accounted for these differences? 3) what impact did these differences have on the character and workability of the intergovernmental relations system in each country? Workability was assessed based upon the degree to which trust ties developed between senior officials. The analysis concludes that the structure of the state, the structure of the policy domain, and the presence of two important accommodation mechanisms in the UK not found in Canada (the party system and the civil service) made intergovernmental relations in labour market policy in the two countries fundamentally different. In Canada, intergovernmental relations were multilateral, interprovincial and bilateral, whereas in the United Kingdom they were only bilateral. Despite devolution, the UK Government retained control of most policy levers, whereas in Canada devolution has limited federal control and influence and any notion of a national labour market system. Trust ties were enhanced by consistency between the key players, routinized engagement, reliability, honesty, respect, capacity and willingness to engage, and transparency. Although shared objectives made engagement easier, they were not a prerequisite for a positive relationship. Bilateral relationships that took place within the geographic boundaries of Alberta and Scotland were considered as positive and highly workable. Difficulties arose when relationships became multilateral or bilateral relations were managed at a distance. Despite devolution, multilateral relations in the historically conflicted labour market policy domain in Canada remained competitive, with a low degree of workability. Relationships with respect to disability and immigration issues were more positive. In the UK relationships in the welfare to work policy area were cooperative and highly workable. Relationships in skills and immigration did not fare as positively.

This paper gives a review on the theoretical foundation for fiscal decentralisation and a status quo analysis of the intergovernmental relations in Mongolia. It consists of two parts. Part I briefly reviews the theories of fiscal decentralisation and its impact on the nations’ welfare considering the major challenges for a transition economy. Part II of the paper describes the general structure and scope of the government and examines the current fiscal autonomy in Mongolia focusing on the four main areas of intergovernmental relations. This paper concludes that local governments in Mongolia are still far away from having the political, administrative and fiscal autonomy. New approaches for the assignments of expenditures and revenues in Mongolia are urgently needed.

Fundação Carlos Chagas Filho de Amparo a Pesquisa do Estado do Rio de Janeiro
O trabalho investiga como as diversas estruturas federais resolvem os problemas de ação coletiva inerentes aos processos de negociação para a produção de políticas públicas intertemporais. Com tal propósito, tomam-se as relações intergovernamentais como objeto de análise. As hipóteses centrais da tese defendem que os níveis de conflitividade latente na Pólis estão relacionados com: 1) os graus de insulamento burocrático no processo de construção da Pólis Nacional; 2) as características de seu federalismo fiscal e; 3) a estrutura de seu sistema partidário. A racionalização do sistema federativo será maior quando o sistema partidário, horizontalmente, for capaz de solucionar os problemas de ação coletiva que surgem ao longo do tempo. As hipóteses são comprovadas através do estudo de caso do Brasil e da Argentina. Especificamente, apoia-se na narrativa histórica dos processos de formação de ambos os federalismos e na análise de dados empíricos dos processos de discussão e implementação da Lei de Responsabilidade Fiscal no ano 2000, no Brasil, e dos Pactos Fiscais nos anos de 1992 e 1993, na Argentina
The work investigates how several federal structures solve collective action problems inherent in negotiation processes for the production of public policies that can deal with historically different periods. With this purpose, intergovernmental relations are taken as the object of analysis. The central hypotheses of the thesis claim that latent levels of conflict in Polis are related to: 1) degrees of bureaucratic isolation in the National Polis building process; 2) the characteristics of its fiscal federalism and; 3) the structure of its party system. The rationalization of the federative system will be higher when the party system, horizontally, is able to solve the collective action problems that have arisen over time. The hypotheses are proven through the case study of Brazil and Argentina. Specifically, it relies on the historical narrative of the processes of formation of both federalisms and on the analysis of empirical data from the processes of discussion and enforcement of the Law of Fiscal Responsibility in 2000, in Brazil, and Fiscal Pacts in 1992 and 1993, in Argentina

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The objective of this Thesis is to comprehend Brazilian states’ role in intergovernmental relations in Brazil. Particularly, its goal consists in analyzing if they can perform a state coordination role, as federal government does in some federations aiming to reduce diversities, mainly, socioeconomic and institutional ones. This relationship is analyzed in education because the Federal Constitution of 1988 determines that states and municipalities must share competences in elementary education and they must cooperate in this level. However, the trajectory of this policy is characterized by a great variety in enrollments and in cooperation between Brazilian states and municipalities, which was never regulated. The research has involved the understating of the trajectory of educational policy, the National Education System, the relations between states and municipalities in this policy, the results of cooperation in municipal education policies in four states – Ceará, Mato Grosso do Sul, Pará e São Paulo – and on students’ performance. As a result, there are different models of cooperation between subnational governments in education, in which only the Ceará case is characterized as a state coordination one.
O objetivo desta Tese é compreender o papel dos estados brasileiros nas relações intergovernamentais no Brasil. Especificamente, busca-se analisar se os mesmos podem desempenhar um papel de coordenação estadual, como o governo federal o faz em algumas Federações com a finalidade de reduzir diversidades, principalmente, desigualdades socioeconômicas e institucionais. Essa relação é analisada na Educação, já que a Constituição Federal de 1988 determinou que estados e municípios compartilhem competências na oferta do ensino fundamental e que deve haver colaboração, especialmente, nessa etapa do ensino. No entanto, a trajetória dessa política é caracterizada por uma grande diversidade na sua oferta e na cooperação entre os estados e os municípios, na medida em que o regime de colaboração nunca foi regulamentado. A pesquisa envolveu o entendimento sobre a trajetória da política educacional, o funcionamento do Sistema Nacional de Educação, as relações entre estados e municípios na Educação, os resultados da cooperação nas políticas municipais de Educação em quatro estados – Ceará, Mato Grosso do Sul, Pará e São Paulo – e nos resultados educacionais. Como resultado, conclui-se que há diferentes modelos de cooperação entre os governos subnacionais na Educação, sendo que, somente o caso cearense se caracteriza como de coordenação estadual.

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.

This habilitation thesis consists of seven published journal articles and one published book chapter. Part I, consisting of chapter 1, introduces the overarching theme of environmental policy instruments and discusses the current use of and prospects for economic instruments in conservation policies. A number of research gaps are identified which are addressed in the subsequent chapters. Part II, consisting of chapters 2–5, encompasses four papers focused on a single type of policy instrument: intergovernmental fiscal transfers. Although well documented in public finance literature, intergovernmental fiscal transfers remain a somewhat neglected instrument in environmental policy. Despite being well suited to address the spillover benefits that often accrue with conservation policies, there is scant research literature on ecological fiscal transfers compared to other economic instruments such as environmental taxes or tradable permits. In fact, very few countries make practical use of them to achieve conservation objectives. Thus intergovernmental fiscal transfers are an innovative instrument in conservation policies in particular, so that advances in both theory and applied research may prove especially beneficial here. Part III, consisting of chapters 6–9, combines a number of articles in integrative biodiversity research and applied biodiversity governance, themes that are often neglected in the economic analysis of environmental policy instruments. However, when implementing policy instruments in societal settings, interdisciplinary research bridging the natural and social sciences is as much a prerequisite as policy-relevant research that responds to the needs of decision makers and other stakeholders. Both policy design and policy evaluation yield the best outcomes when they involve ecologists, economists, legal and other social scientists, as this ensures that consideration is given to ecological effectiveness, economic efficiency, administrative feasibility, social acceptance, and perception by stakeholders. Policy-relevant research also responds to current societal developments and prospective changes in legislation which may provide windows of opportunity to propose new instruments. Meanwhile, sound empirical research and case study design are indispensable in making concrete policy recommendations, taking into account existing formal and informal institutions.

Este estudo analisa o grau de desenvolvimento das políticas de saúde no Espírito Santo no contexto das experiências de regionalização realizadas desde 1990, buscando avaliar a gestão estadual da saúde e as relações intergovernamentais na organização do sistema de saúde de forma regionalizada. Está apoiado em pesquisa baseada em entrevistas com atores-chave do processo e na análise de documentos de gestão e de relatórios das reuniões da Comissão Intergestores Bipartite estadual e Colegiados Intergestores Bipartites Microrregionais. O contexto analisado retrata a situação fiscal e financeira do estado, o marco institucional e a capacidade de atuação própria da Secretaria de Estado da Saúde e, finalmente, a experimentação de diferentes modelos de regionalização no período de análise. O estudo conclui que, para que a regionalização seja fortalecida, os processos de divisão do território devem harmonizar a lógica do setor da saúde e a regionalização de outros setores e instituições. Para tanto, são estabelecidos pontos de partida para uma perspectiva e ação mais integrados
This study examines the degree of development of health policies in the state of Espírito Santo, in the context of regionalization experiences conducted since 1990, seeking to assess the state of health management and intergovernmental relations in the organization of the health system on a regional basis. It is supported by research based on interviews with key actors in the process and analysis of management documents and reports of meetings of the state Comissão Intergestores Bipartite and Colegiados Intergestores Bipartites Microrregionais. The results of the analysis depict the tax situation and financial status of the state, the institutional framework and capacity for action of its own State Department of Health and, finally, the trial of different models of regionalization in the period of analysis. The study concludes that for regionalization to be strengthened, the processes of territorial division should harmonize the logic of the health sector and the regionalization of other sectors and institutions. To this end, there shall be established starting points for a more integrated perspective and action

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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.

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A tese se dedica à discussão sobre os fóruns federativos de negociação presentes no SUS e o associativismo territorial (consórcios públicos intermunicipais) nas relações intergovernamentais na implementação de políticas públicas. A tese tem como fundamento a literatura sobre federalismo, relações intergovernamentais, descentralização e coordenação federativa para construir um referencial teórico que analisa as relações intergovernamentais na implementação da política pública de urgências com a coordenação federativa, em particular na relação entre o Estado subnacional, o Paraná e os municípios, considerando os fóruns federativos como a Comissão Intergestores Bipartide do SUS - CIB e o consorciamento intermunicipal (associativismo territorial). O propósito deste estudo é identificar e analisar o papel dos fóruns federativos de negociação presentes no SUS, bem como a influência da tradição de associativismo territorial presente no Estado do Paraná, na configuração do padrão de relações intergovernamentais existente na implementação do SAMU no Estado do Paraná. Foi realizado o estudo de dois casos de implementação do atendimento pré hospitalar móvel (SAMU 192) no Estado do Paraná, Cascavel e Maringá, em três etapas investigativas: a) bibliográfica; b) documental; e c) pesquisa de campo. Como resultado pode-se afirmar que as instituições de pactuação do Sistema Único de Saúde (SUS) propiciaram amplas negociações entre os entes federativos (federal, estadual e municipal) configurando um padrão de relações intergovernamentais de autoridade coordenada, bem como o consorciamento intermunicipal permite a participação de municípios menores e mais pobres na barganha.
This research is devoted to the discussion about federation forums in the SUS and territorial associations (intermunicipal public consortia) in intergovernmental relations in the implementation of public policies. The thesis is based on the literature on federalism, intergovernmental relations, decentralization and federative coordination to build a theoretical reference that analyzes the intergovernmental relations in the implementation of emergency public policy with federative coordination, in particular in the relationship between the subnational state, Paraná and the municipalities, considering the federative forums such as the Bipartisan Commission of the SUS - CIB and the intermunicipal consortium (territorial associativism). The purpose of this study is to identify and analyze the role of federative forums of negotiation in SUS, as well as the influence of the tradition of territorial associativism present in the State of Paraná, in the configuration of the pattern of intergovernmental relations existing in the implementation of SAMU in the State of Paraná. The study of two cases of implementation of prehospital mobile care (SAMU 192) in the State of Paraná, Cascavel and Maringá, was carried out in three research stages: a) bibliographical; B) documentary; and c) field research. As a result, it can be stated that the Unified Health System (SUS) pacts provided wide negotiations between federal, state and municipal entities, setting up a pattern of intergovernmental relations of coordinated authority, as well as intermunicipal consortium Participation of smaller and poorer municipalities in the negotiation.

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

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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.

This dissertation attempts to explain why cross-national variation exists in government approaches to dealing with illegal drugs. As other scholars have shown, several domestic and international political factors do account for some of this variance. However less is known of the effect that bureaucratic dominance and political institutions may have on drug policy. This research argues that bureaucrats define problems in ways that make their services the best possible solution to policymakers. Mediating the ability of bureaucrats to influence drug policy outcomes are political institutions. Certain institutional structures foster a competitive policymaking environment while others foster a more cooperative policymaking environment. In the former of these, law enforcement approaches to the drug problem are often retained as the status quo because competition between policy actors prevents consideration of alternatives. In the latter environment however, prevention, treatment, and harm reduction approaches to the drug problem are developed because cooperation between policymakers allows other actors. namely public health bureaucrats.to influence drug policy decision making. To test this argument, I constructed an original dataset that includes over 4,000 observations of drug policy in 101 democracies. Institutional data on intergovernmental relations, regime type, political bargaining, electoral design, and cameralism were regressed on 6 different drug policy indices: law enforcement, deterrence-based prevention, abstinence-based treatment, educationbased prevention, substitution-based treatment, and harm reduction. While controlling for government resource capacity, severity of the drug problem, international pressure, and political ideology, I found that institutions explain a portion of the variance in drug policy outcomes. Providing in-depth information about these phenomena is a large amount of field data I collected while interviewing 155 politicians, bureaucrats, interest group leaders, and service providers. Respondents from all four of the case countries examined in this research.including United States, Canada, Austria, and Netherlands.report that bureaucrats play a major role in the formation of drug policy. Which bureaucrats have the most influence on policymakers is largely a function of domestic political conditions, international political factors, and political institutions.

This Master’s Thesis compares the dynamics of intergovernmental relations (IGR) in Canada and Australia. In particular, the study explores how two such similar countries have developed such distinct sets of intergovernmental institutions. In Australia, the Commonwealth has increasingly dominated IGR since the 1930s, a process which culminated with the creation of the Council of Australian Government, a “vertical” (Commonwealth-state) institution. In Canada, federal-provincial-territorial relations have been far less institutionalized. Instead, “horizontal” (provincial-territorial) relations have evolved slowly into the Council of the Federation, the most regularized forum for IGR in Canadian history. By examining the historical development of federalism more generally and IGR specifically, this study uncovers a mutually-reinforcing relationship between centralization and the verticality of IGR in Australia, and a corresponding bond between decentralization and horizontality in Canada. Based on original interviews with key intergovernmental officials in each country, the study attributes these relationships to a number of factors, including the presence of multi-nationalism, the strength of intrastate federalism, the nature of judicial interpretation, the structure of fiscal federalism, and the personal style of political figures. The thesis concludes that verticality in Canada and horizontality in Australia are functions of the same factors which made one decentralized and the other centralized, and that institutions of IGR are both cause and effect of the prevailing dynamic in either federation.

Cities are becoming more important in Canada and around the world as a result of urbanization and the evolution of the global economy. Everywhere, the emergence of pressing urban issues is confronting politicians with difficult policy problems that cut across formal jurisdictional lines. In Canada, the importance of cities is challenging the traditional intergovernmental arrangements of federalism. But the complex web of federal-provincial relationships that have been a feature of Canadian federalism are also being challenged by the 'open federalism' approach of Prime Minister Stephen Harper. This approach seeks to reduce rather than increase the scope of intergovernmental affairs, and suggests that urban issues are not the concern of the federal government since municipalities and their problems are the exclusive jurisdiction of the provinces. Using two case studies of key urban issues, public housing and public transportation, this thesis examines the evolving intergovernmental arrangements and growing problems in these program areas in Canada's three largest cities (Toronto, Montreal and Vancouver). It demonstrates that open federalism as an approach to urban issues is not likely to be effective. Rather, the overlapping jurisdictional challenges posed by urban issues, combined with the limited policy and fiscal resources available to Canadian municipal governments, appear to warrant a greater degree of multi-level governance, a finding consistent with trends elsewhere. In this regard, an updated version of cooperative federalism would seem to allow the federal government the greatest ability to articulate broad national policy objectives while engaging both provincial and municipal governments to ensure adequate and effective program implementation at the local level.

A thesis presented for the degree of Doctor of Philosophy in the School of Economic and Business Sciences, University of the Witwatersrand
This thesis investigates the problem of the economic organisation of the public sector. It begins by establishing context by considering the two related issues central to it: the boundary of the state and the internal organisation of government (Chapter 1). There is a growing literature that explores the boundary of the state in political economy terms. Moreover, the boundary of the state can be viewed in a similar light to the boundary of the firm. The Second Generation Theory of Fiscal Federalism explores the internal organisation of government through the lens of the theory of the firm. Second Generation Theory assumes that governments are subject to the same problems that firms face: for example, just like firms require institutions to align the incentives of managers and shareholders (e.g., better defined contracts), governments require institutions to align the incentives of politicians and citizens (e.g., better defined constitutions). In order to improve our understanding of economic performance over time, the state should be considered as a complex organisation held together by a series of public choice compromises. Chapter 2 considers one aspect of the state as an organisation: when a boundary change of an existing state generates a new state. It tries to economically capture the birth of a new state through boundary change by taking a cue from the theory of internal exit: the secession of a group of people from an existing state who will then go on to form a new state. Internal exit predicts an internal exit-proof tax rate, i.e., a state will set the tax rate so that internal exit will not occur (e.g., Quebec in Canada). However, in precolonial southern Africa (ca. 1600-1910), internal exit occurred. A well-known example of this is that of Mzilikazi who in the 19th century left the Zulu with his followers and formed his own, new state: the Ndebele. Why is it that in Africa internal exit as a threat failed and internal exit still took place? With the aid of a simple, historically informed model, this chapter offers a political economy explanation of why internal exit took place in precolonial southern Africa. The model shows how internal exit results from the payoff calculation of an elite member’s (e.g., Mzilikazi) desire to maximise his share of public revenue surplus. Chapter 3 considers the internal organisation of government through the role of intergovernmental grants in the context of laboratory federalism. The Public Economics literature on intergovernmental grants is extensive. In this extensive literature, grants are usually analysed according to consumer behaviour theory where income and substitution effects determine community spending (and ultimately community welfare). However, these effects shed little light on how local governments can use grants to experiment with policy (laboratory federalism) in order to develop new, successful policies. In fact, even casual empiricism shows that local governments routinely experiment with policy and achieve varying degrees of success. One recent example is Mayor Bloomberg’s range of anti-poverty experiments in New York City. Very little theory has been produced that ties policy experimentation with the role of grants, however. Chapter 3 takes an organisational view of grants, namely it likens them to incomplete contracts to show how certain grants can be policy instruments for the creation and discovery of new knowledge in the public sector. More precisely, the chapter develops an evolutionary learning model that captures the knowledge gains that different types of grants (e.g., lump-sum grants compared to matching grants) can engender. It shows that a lump-sum grant can bring about greater learning at the local government level than a closed matching grant. Chapter 4 concludes by summarizing and suggesting areas for future research.
MT2017

Les interdépendances poussent les États fédéraux à coordonner leurs politiques publiques tout en limitant les conflits potentiels, ce qui consiste souvent en un défi important. Dans plusieurs pays, cette coordination s’effectue principalement au sein d’institutions intergouvernementales, comme les conseils, forums ou agences. Ces mécanismes permettent notamment aux gouvernements de s’entendre sur des priorités communes et d’harmoniser leurs politiques publiques. Au Canada, par contre, les institutions intergouvernementales sont souvent vues comme étant peu efficaces, ce qui force les gouvernements à recourir à des réseaux informels d’acteurs. Cette thèse examine la complémentarité des institutions formelles et des relations informelles entre fonctionnaires et ses effets sur la coordination des politiques publiques au Canada. Pour ce faire, trois études se penchent sur diverses variables politiques et institutionnelles pour démontrer que les fonctionnaires ont une marge de manœuvre importante dans la mise en place des politiques intergouvernementales, et que, par conséquent la politisation joue un rôle minime dans le cadre des relations intergouvernementales canadiennes. La première étude porte sur l’incidence de la partisannerie politique sur la participation aux activités intergouvernementales. Elle explore le cas du Québec, où se sont succédés au pouvoir des partis nationalistes et fédéralistes. Le rôle de la partisannerie entre 1970 et 2015 est analysé à l’aide de méthodes mixtes : une analyse de contenu de communiqués intergouvernementaux, des régressions temporelles et des entretiens semi-dirigés menés auprès des fonctionnaires provinciaux. Les résultats montrent que le parti au pouvoir, qu’il soit nationaliste ou fédéraliste, a peu ou pas d’effet sur la participation de la province aux relations intergouvernementales. Plutôt, il est argumenté que les activités intergouvernementales sont principalement conduites par des fonctionnaires pour qui les relations ne sont pas politisées. Ainsi, le Québec participe systématiquement aux discussions intergouvernementales et signe beaucoup plus d’ententes que ce qui est généralement présumé. La deuxième étude vérifie si l’institutionnalisation des mécanismes intergouvernementaux a une réelle influence sur la coordination politique. Après l’analyse de 39 forums sectoriels et des régressions multiniveaux, la recherche ne trouve aucune preuve de l’effet de l’institutionnalisation. Plutôt, l’effet des institutions formelles est limité par la grande importance des réseaux informels de fonctionnaires dans la mise en œuvre des politiques intergouvernementales. De plus, il ressort que les secteurs techniques produisent généralement plus de coordination que les secteurs davantage politisés. La dernière étude examine la réactivité des gouvernements fédéraux et provinciaux aux rencontres intergouvernementales lorsqu’ils définissent leurs priorités politiques. L’analyse se base sur une comparaison longitudinale des rencontres ministérielles avec les priorités politiques mentionnées dans les discours du Trône fédéraux et provinciaux entre 1969 et 2009. Les résultats montrent que plus les ministres d’un secteur se rencontrent, plus l’attention accordée à ce secteur par les gouvernements est grande, confirmant ainsi l’importance des relations intergouvernementales au Canada. Ces résultats tiennent également compte de l’opinion publique, une variable longtemps reconnue comme influençant l’attention politique aux enjeux.
Policy interdependencies create an important challenge for federal states in that the latter must coordinate policies while mitigating possible conflicts. In many countries, this is done through intergovernmental institutions, such as councils, forums or agencies. These venues provide a means for constituent units to negotiate common priorities and harmonize policies. However, Canadian intergovernmental mechanisms are often seen as weakly institutionalized, meaning governments need to rely on informal networks of actors to achieve compromises. This dissertation examines the role of the interaction between formal institutions and informal relations between bureaucratic agents in shaping policy coordination in Canada. Through three studies that examine the effect of different political and institutional variables on coordination, it is argued that public servants exercise important discretion when implementing intergovernmental policy, thus minimizing the effect of politicization in Canadian intergovernmental relations. The first study focuses on partisanship as a relevant factor in explaining intergovernmental activity in Canada. It explores the case of Quebec, which has been governed by alternating nationalist and federalist parties. The role of partisanship in relation to the province’s intergovernmental activity from 1970 to 2015 is assessed through mixed methods: a content analysis of joint press releases, a Poisson time-series regression analysis and qualitative interviews with intergovernmental officials. The findings show that the party in power has little to no effect on the province’s participation in IGR. Instead, public servants, whose relations are not politicized, are the primary actors partaking in intergovernmental activity. As a result, Quebec systematically participates in IGR discussions and signs a larger amount of agreements than commonly thought. The second study examines whether the institutionalization of intergovernmental arrangements influences policy coordination. Through a study of 39 Canadian sectoral forums and the use of a multi-level regression analysis, it finds no empirical evidence to support this claim. Instead, it argues that informal networks of officials are where most intergovernmental activity occurs, thereby limiting the effect of formal institutions. This finding is reinforced by the fact that technical sectors typically produce more coordination than sectors that are prone to politicization. The last study investigates the responsiveness of federal and provincial governments to intergovernmental meetings when defining their policy priorities. The analysis is based on a longitudinal comparison of ministerial meetings with issue priorities mentioned in federal and provincial Speeches from the Throne over the period of 1969 to 2009. The results show that the more often ministers in a given policy domain meet, the more attention a government gives to that sector, thus confirming the importance of intergovernmental relations in Canada. These results hold even when controlling for the effect of public opinion, a known driver of policy attention to issues.

This habilitation thesis consists of seven published journal articles and one published book chapter. Part I, consisting of chapter 1, introduces the overarching theme of environmental policy instruments and discusses the current use of and prospects for economic instruments in conservation policies. A number of research gaps are identified which are addressed in the subsequent chapters. Part II, consisting of chapters 2–5, encompasses four papers focused on a single type of policy instrument: intergovernmental fiscal transfers. Although well documented in public finance literature, intergovernmental fiscal transfers remain a somewhat neglected instrument in environmental policy. Despite being well suited to address the spillover benefits that often accrue with conservation policies, there is scant research literature on ecological fiscal transfers compared to other economic instruments such as environmental taxes or tradable permits. In fact, very few countries make practical use of them to achieve conservation objectives. Thus intergovernmental fiscal transfers are an innovative instrument in conservation policies in particular, so that advances in both theory and applied research may prove especially beneficial here. Part III, consisting of chapters 6–9, combines a number of articles in integrative biodiversity research and applied biodiversity governance, themes that are often neglected in the economic analysis of environmental policy instruments. However, when implementing policy instruments in societal settings, interdisciplinary research bridging the natural and social sciences is as much a prerequisite as policy-relevant research that responds to the needs of decision makers and other stakeholders. Both policy design and policy evaluation yield the best outcomes when they involve ecologists, economists, legal and other social scientists, as this ensures that consideration is given to ecological effectiveness, economic efficiency, administrative feasibility, social acceptance, and perception by stakeholders. Policy-relevant research also responds to current societal developments and prospective changes in legislation which may provide windows of opportunity to propose new instruments. Meanwhile, sound empirical research and case study design are indispensable in making concrete policy recommendations, taking into account existing formal and informal institutions.

The interim Constitution and the 1996 South African Constitution are products of a compromise between various political parties, mainly those that advocated for a unitary system, for example the African National Congress (ANC) and the Pan Africanist Congress (PAC) were the leading proponents , anti the parties that advocated for a federal constitution, the significant ones being the Inkatha Freedom Party (lFP), the National Party (NP) and the Democratic Party (DP). The interim Constitution and the 1996 South African Constitution contain both unitary and substantial federal characteristics. The study deals with the origins of the federal idea and how the concept federalism is understood and applied internationally, and draws out some key characteristics that are common in federal constitutions so as to measure the interim Constitution and the 1996 South African Constitution against such common characteristics. The conclusion deals with recommendations of how the substantial federal characteristics could be effectively managed through intergovernmental relations
Political Science
M.A. (African Politics)