Intergovernmental Politics of Fiscal Balance in a Federal Democracy: The Experience of Brazil, 1996–2005

Irresponsible fiscal behavior by subnational units is a concern for federal or decentralized systems, especially in the developing world. States' expenditures in Brazil have been no different. Still, spending varies considerably among the Brazilian states, even after controlling for their financial resources. This article provides a political explanation for the variation in current spending, focusing on intergovernmental political relationships. It argues that credit claiming for pork distributed in a state plays a crucial role and that governors elevate state spending in order to make up for their loss in political credit from the pork distributed by the president. Analyzing data from the period 1996–2005, it finds that expenditures decrease as the relative number of federal deputies from the state governor's party increases compared to the number of deputies from the president's governing coalition when the national agenda encourages federal pork distribution in the states.     

Unconditional Transfers Are Not Oil: The Economic Foundations of Subnational Undemocratic Regime Reproduction

Extant research on rentierism claims that oil royalties and unconditional transfers are among the main factors sustaining subnational undemocratic regimes (SURs). This article claims that these revenues are insufficient to economically reproduce SUR, as subnational rentier states generally overspend beyond their means. Drawing on evidence from Argentina, we identify two pathways to SUR reproduction. First, rulers in resource-rich provinces rely on ‘hidden rents’ from local extractive industries to sustain long-term spending. Second, rulers in resource-poor provinces heavily subsidised by fiscal institutions resort to discretionary grants from presidents to reproduce their political regimes.     

Cross-state learning and service delivery in India’s federal system

ABSTRACT

This paper attempts to place the issue of cross-state learning and borrowing experiences in service delivery in India in the specific context of political incentives in India’s federal democracy as well relating it to the findings of the comparative literature on subnational policy diffusion in federal systems. It presents four types of borrowing experiences from a selection of six case studies of the past few years, and point towards ways in which learning/borrowing across states can be usefully incorporated into policy.     

(Un?)Healthy Politics: The Political Determinants of Subnational Health Systems in Brazil

How does political competition shape institutions that govern the expansion of social policy subnationally? Brazilian states have shown a surprising variation in the design of their public health institutions, which regulate the distribution of health resources and citizen access to public health care. While many states have experienced fragmentation, some have remained highly centralized and discretionary, and only a select few have established a coordinated system based on power sharing and rules‐based distribution. Accounts that link public health care expansion to federal government imposition, the presence of the public health care movement, and leftist parties cannot fully explain this variation. Instead, in the three Brazilian states examined here, the nature of subnational political competition triggered different institution‐building strategies. The findings indicate that plural political competition yielded incentives for limiting state‐level discretion and for sharing power with municipal governments, while political concentration reinforced the attraction to centralized and discretionary policymaking.     

Committed to Coordination? Intergovernmental Councils as a Federal Safeguard

In this research note, I suggest that the design of intergovernmental councils (IGC) accounts for the extent to which they are able to prevent the federal government from encroaching on subnational jurisdictions. IGC operate in areas of interdependence where the federal government faces incentives to restore to hierarchical coordination. The effect of the intergovernmental safeguard is measured by the absence or presence of federal encroachment. Two concepts are useful to explain it: the extent to which governments are committed to coordination and the dominance of the federal government of vertical IGC. I argue that different combinations of the two variables help to understand the safeguarding effect of intergovernmental councils. In particular, I contend that in any configuration in which federal dominance is present the federal government can encroach on subnational jurisdictions. The research note shows how the concept of federal safeguards can be applied empirically.     

A Reversal of Political Fortune: The Transitional Dynamics of Conservative Rule in the Brazilian Northeast

This study explains the erosion of conservative rule and the rise of leftist opposition at the subnational level in the Northeast of Brazil in recent electoral cycles. Compared with explanations based on economic modernization, social spending, and fiscal reform, the data best support the hypothesis that the organizational and spatial dimensions of leftist mobilization in these states have shifted to the detriment of conservative machines. Specifically, urban mobilization of leftist supporters has determined the electoral success of these oppositions. The study also explains where conservatives maintain a floor of support based on the continuation of clientele networks.     

Multi-level Implementation of International Law: The Role of Vertical Epistemic Communities

Subnational entities in federal states typically retain a degree of sovereignty and enjoy leeway in implementation, raising questions such as whether—and how—international law is actually implemented at the subnational level. This article sheds light on these questions, using two contrasted case studies in Switzerland: The Istanbul Convention on domestic violence and the European Union (EU) Directive 2016/680 on data protection. Based on a document analysis of the law-making process and 44 semi-structured interviews with national and subnational political actors, we observe how international obligations are legally implemented, that is, transposed into legislation at the subnational level. Our results show that: (1) Subnational civil servants play a decisive role, while members of parliament are marginal. (2) Civil servants may constitute Vertical Epistemic Communities (VECs), which are able to “technicize” the issue to ensure swift implementation through administrative venues. (3) VECs are particularly influential as they use intercantonal conferences as institutional platforms to shape implementation processes. Otherwise, implementation becomes politicized, and its success strongly depends on subnational politics.     

El camino hacia el poder Analizando la carrera política de los gobernadores argentinos (1983–2011)

The specific traits of Argentina's federal system are crucial to understand the institutional reality of this country and how politics work. Under this logic we find a component of great relevance: governors. As regards the analysis of political careers, most researches have focused on legislative functions, be it at a national or subnational level. Governors have been mostly studied as determinant factors of legislator's career development. However, there is not much research on the political career of provincial executive authorities. This work deepens the research on governors and their political career, with the purpose of understanding their origins and development. It is based on the study of elected governors between 1983 and 2011 in the 23 Argentinian provinces and the capital city (Ciudad Autónoma de Buenos Aires). The conclusions drawn from the present study intend to deliver a first approach to the analysis of Argentinian governors’ political careers since the return to democracy in 1983, and establish a basis for future compared studies between federal countries in the region, as Brazil and Mexico.     

Distributive Politics in Developing Federal Democracies: Compensating Governors for Their Territorial Support

Using original data from the period 1999–2011 on federal infrastructure investment for all subnational units in two federations, Argentina and Brazil, and a unitary nation, Colombia, this study shows that in developing federal countries with strong governors, presidents use nonearmarked transfers as a tool to compensate governors for sizable and secure territorial political support. The study argues that in these cases, resources do not make electoral power but chase it. In the unitary case, conversely, governors do not influence distributive politics. Variation also was found in the relevance of Congress, legislative overrepresentation, and programmatic criteria across cases. The article discusses possible reasons for these results and their implications for the comparative debate on distributive politics.     

The Explosive Combination of Inefficient Local Bureaucracies and Mining Production: Evidence from Localized Societal Protests in Peru

Although numerous scholars have analyzed the effects of natural resource extraction at the national level, few have explored it systematically at the local level. Focusing on Peru, where both mining production and local social protests have greatly increased in recent years and where a new tax has required mining companies to transfer revenue to subnational governments, this study explores the resource curse at the local level. In particular, why do protests arise mostly in the areas of natural resource extraction? Employing subnational data for Peru for the period 2004–9 and LAPOP survey data from 2010, the research confirms previous findings that social conflict is provoked by both the negative externalities of mining and the revenues from the new tax. The article further demonstrates that local bureaucratic capacity is a significant independent variable. Greater subnational bureaucratic capacity can ameliorate the pernicious societal effects of a local resource curse.     

美国反托拉斯法协议裁决的司法审查制度研究

在1974年《滕尼法》颁布之前,美国联邦地区法院对司法部反托拉斯协议裁决的司法审查十分简单,发挥的是一种"橡皮图章"的作用。《滕尼法》及2004年该法修正案力图加强法院对司法部协议裁决的审查。在此后的司法审查实践中,法院完成了由"橡皮图章"向"论坛"的角色转变,但仍然给予司法部在协议裁决中的自由裁量权。《滕尼法》的立法史与判例史在某种程度上反映了在反托拉斯法实施中美国司法权与行政权的博弈关系,也表明了在反托拉斯执法中,美国司法权基于自身的局限性,对行政机关的自由裁量权以尊重与妥协。     

Subnational competitive authoritarianism and power-sharing in Bosnia and Herzegovina

ABSTRACT

Incremental democratic decline is evident in Bosnia and Herzegovina (BiH), but measures of democracy conceal an uneven subnational distribution of autocratization. So far there has been limited research on the drivers and constraints to subnational autocratization. This paper aims to contribute to the literature on power-sharing by exploring instances of illiberal politics enacted by parties in government at the subnational level in BiH. Evidence is gathered through semi-structured interviews and analysis of three specific cases of illiberal politics. We find that the political contest in BiH is purposefully contained within ethnic and subnational boundaries and constrained through several layers of institutionalized multilevel and ethnic checks and balances. The main drivers of subnational autocratization are opportunities that arise from the institutional framework established during early democratization and postwar structures that blend executive dominance with economic power and informal party networks, and occasionally from an individual actor’s perceptions of threat. Democratization in BiH will need to address subnational politics and deep-rooted power structures if it is to be successful.     

Taking Cantonal Variations of Integration Policy Seriously — or How to Validate International Concepts at the Subnational Comparative Level

Abstract: Subnational varieties of immigrant integration policy, which are particularly salient in federal states, remain largely neglected by migration studies. Following Lijphart, who long demanded to verify international research at the subnational level, this study aims at capturing subnational policy variations using the example of Swiss cantons. In line with international approaches, cantonal integration policies are conceptualized and measured in terms of immigrants’ ease or difficulty of access to civic, political, socio‐structural, as well as cultural and religious rights and obligations. The transfer of an international concept to the subnational level facilitates a validation of the former, which constitutes a second neglected research field. Finally, a look at the empirical evidence allows testing the construct validity of our measurement: in line with theoretical assumptions, our data reveal a clear linguistic divide, an institutionalised “Röschtigraben”, with German speaking cantons exhibiting overall more restrictive policies than Latin cantons.     

A Matter of Timing? A Study of Regional Election Campaigns in Germany

Unlike national elections, subnational levels of politics have rarely been the subject of research. The small number of investigations stem from the field of psephology. While these have supported the assumption that the national level exerts a time-dependent impact on regional voting behaviour, election campaigning's time-dependency has yet to be investigated. Against this backdrop, this article offers a unique longitudinal and quantitative investigation of election campaigns in Germany's federal states. Using campaign managers' perceptions as a basis, it discusses time-relevant effects on electoral campaigning with regard to the degree of regionalisation, emotionalisation, and personalisation.     

All by Myself: Personal Qualifications versus Party Affiliation in Colombian Mayoral Elections

Political decentralization has been promoted as a way to devolve responsibility, bring government closer to citizens, and improve accountability. The shift prompted new local elections, but were the elected officials responsive to citizens or to national party elites? This study examines unique survey data from 125 Colombian mayors to identify the factors they believe were critical in their victories and thereby to identify the people to whom they believe they owe loyalty: citizens or party leaders. Examining the relative value mayors assign to their own actions versus those of the party, combined with information on how they financed campaigns, sheds important light on subnational electoral dynamics in Colombia.     

The Impact of Fiscal Decentralisation on Education and Other Types of Spending

Scholars have argued about the impact of fiscal decentralisation on public spending for a long time without coming to any firm theoretical and empirical conclusions. In contrast to earlier studies, this paper looks at the impact of fiscal decentralisation across different types of spending. The conventional wisdom of a “race to the bottom” in taxes and spending as a consequence of fiscal decentralization is juxtaposed to the recent literature on expenditure competition, which posits that expansive local competition results in higher spending in fiscally decentralized countries. We argue that the effects of fiscal decentralization should be seen most clearly for those types of policies which are provisioned mainly on the local/regional level. Empirically, we find a robust and positive association between fiscal decentralization and aggregate levels of education spending. However, when looking at public policies provided at the national level (e.g. pension policies), fiscal decentralisation is associated with lower levels of aggregate spending. The argument is tested empirically by means of cross‐sectional regressions as well as a pooled time series analysis of education, pension, social and total public spending in OECD countries from 1980 to 2001.     

The foreign policy of Uzbekistan: sources,objectives and outcomes: 1991–2009

Since 1991 the super-presidential regime of Islam Karimov in Uzbekistan has successfully defended the country's new independence and his authoritarian rule by cleverly enlisting the aid of outside powers such as Russia, China and the USA. With the means afforded by global export of its staple commodities, the regime has preserved stability by managing occasional conflicts with its neighbours, repressing dissenters when necessary, promulgating an ideology of multi-nationalism, and ample spending on health and educational services, as well as on government employees. The current economic crisis has meant the return of many Uzbeks from elsewhere in Asia, but the regime is trying to offset discontent with more spending.     

The Appointment and Removal Process for judges in Argentina: The Role of Judicial Councils and Impeachment Juries in Promoting Judicial Independence

This article explores the conditions that allow judicial councils and impeachment juries to promote judicial autonomy. In theory, these bodies intervene in the appointment and removal of judges in order to reduce executive control over court composition, thereby promoting judicial independence. Using the case of Argentina at the federal and the subnational levels, this study demonstrates that competitive politics enhances the capacity of judicial councils and impeachment juries to bolster judicial autonomy. Interparty competition provides incentives for the executive to develop a meaningful system of checks and balances, which includes an independent judiciary that can check executive power. In contrast, monolithic party control—defined as a prolonged period of unified government under a highly disciplined party—permits the executive to maintain a monopoly on power and thereby control judicial appointments and removals.     

Democratization Through Contention? Regional and Local Governance Conflict in Peru

Social conflict in Peru has increased dramatically since 2004. The economic origins of these disputes, which result mostly from the growth of mining operations, have received considerable scholarly attention. The emergence of collective action directed at the performance of regional and local government, however, has received little notice. This essay examines Peru's regional and local governance conflicts on the basis of hundreds of reported cases. It investigates the nature of these episodes and the strategies adopted by community organizations to get their complaints addressed. It finds that the political opportunity of the posttransition period, dissatisfaction with government performance, and new participatory rights have helped to give rise to such collective action. Community protagonists choose between institutional and noninstitutional strategies but often combine them to help ensure success. Maintaining legitimacy proves essential to both sides. This article argues that these events represent both constraints and favorable developments for subnational democracy in Peru.     

Making borders and identities in South Sudan

In newly independent South Sudan, the state's not yet fully demarcated territory plays an intriguing and in certain aspects contradictory role in shaping and defining personal and group identities. While neighbouring states’ armies and their proxies interfere with South Sudan's international sovereignty, Juba is itself active beyond its borders by supporting Sudanese rebels. Nonetheless, the ruling elite hold onto the model of the unified and centralised territorial nation-state with clearly demarcated borders. Alas, the state's failure to territorialise its authority creates hybridity with regard to territorial control, which impacts negatively on the state's domestic legitimacy but also weakens attempts to propagate a national identity that transcends ethnic ties. Instead, the current civil war and calls for a decentralised federal structure are evidence of the continued salience of subnational loyalties while those non-state actors, like localised militias, that fill the areas void of government presence are generally themselves sources of insecurity.