Decentralizing democracy Spain and Brazil in comparative perspective

Comparative Politics

Volumn 33, Issue 2, 2001, Pages 149-169

  Montero, Alfred P ^a  

^a NONE

Author keywords

[No Author keywords available]

Indexed keywords

EID: 0038557009     PISSN: 00104159     EISSN: None     Source Type: Journal    
DOI: 10.2307/422376     Document Type: Review

References (85)

1. Decentralization of the state is the devolution of resources and policy authority from the central state to subnational governments at the meso (provincial, region, or state) and/or local (municipal, council) levels. See Eliza Willis, Christopher da C. B. Garman, and Stephan Haggard, "The Politics of Decentralization in Latin America," Latin American Research Review, 34 (1999), 8. Democratization is the establishment of institutions that guarantee competitive elections, representation, and citizenship to the members of civil society.
2. John H. Carey, "Institutional Design and Party Systems," in Larry Diamond, Marc F. Plattner, Yunhan Chu, and Hung-mao Tien, eds., Consolidating the Third Wave Democracies: Themes and Perspectives (Baltimore: The Johns Hopkins University Press, 1997), pp. 67-92.
3. As finance minister under his predecessor, Itamar Franco, Cardoso designed the Real Plan and then campaigned for president in 1994 based on its success in reducing inflation.
4. Founding elections are the first electoral contest in the democratized state. See Juan J. Linz and Alfred Stepan, "Political Identities and Electoral Sequences: Spain, the Soviet Union, and Yugoslavia," Daedalus, 121 (Spring, 1992), 123-39; Juan J. Linz and Alfred Stepan, Problems of Democratic Transition and Consolidation: Southern Europe, South America, and Post-Communist Europe (Baltimore: The Johns Hopkins University Press, 1996), pp. 381-82.
5. Founding elections are the first electoral contest in the democratized state. See Juan J. Linz and Alfred Stepan, "Political Identities and Electoral Sequences: Spain, the Soviet Union, and Yugoslavia," Daedalus, 121 (Spring, 1992), 123-39; Juan J. Linz and Alfred Stepan, Problems of Democratic Transition and Consolidation: Southern Europe, South America, and Post-Communist Europe (Baltimore: The Johns Hopkins University Press, 1996), pp. 381-82.
6. Ibid., pp. 99-101.
7. Ibid., ch. 11; Fernando Luiz Abrúcio, Os Barões da Federação: O Poder dos Governadores no Brasil Pós-Autoritário (São Paulo: Editora Hucitec, 1998).
8. Ibid., ch. 11; Fernando Luiz Abrúcio, Os Barões da Federação: O Poder dos Governadores no Brasil Pós-Autoritário (São Paulo: Editora Hucitec, 1998).
9. Nancy Bermeo, "Sacrifice, Sequence, and Strength in Successful Dual Transitions: Lessons from Spain," Journal of Politics, 56 (August 1994), 601-27.
10. Nancy Bermeo and José García-Durán, "Spain: Dual Transition Implemented by Two Parties," in Stephan Haggard and Steven B. Webb, eds., Voting for Reform: Democracy, Political Liberalization, and Economic Adjustment (New York: World Bank/Oxford University Press, 1994), pp. 118-20.
11. Scott Mainwaring, "Brazilian Party Underdevelopment in Comparative Perspective," Political Science Quarterly, 107 (Winter 1993), 677-707; Barry Ames, "Electoral Strategy under Open-List Proportional Representation," American Journal of Political Science, 39 (May 1995), 406-33.
12. Scott Mainwaring, "Brazilian Party Underdevelopment in Comparative Perspective," Political Science Quarterly, 107 (Winter 1993), 677-707; Barry Ames, "Electoral Strategy under Open-List Proportional Representation," American Journal of Political Science, 39 (May 1995), 406-33.
13. Guillermo O'Donnell, "Transitions, Continuities, and Paradoxes," in Scott Mainwaring, Guillermo O'Donnell, and J. Samuel Valenzuela, eds., Issues in Democratic Consolidation: The New South American Democracies in Comparative Perspective (Notre Dame: University of Notre Dame Press, 1992), pp. 29-31.
14. Frances Hagopian, Traditional Politics and Regime Change in Brazil (New York: Cambridge University Press, 1996).
15. Abrúcio; David J. Samuels and Fernando Luiz Abrúcio, "Federalism and Democratic Transitions: The 'New' Politics of the Governors in Brazil" (mimeo); Scott Mainwaring, "Multipartism, Robust Federalism, and Presidentialism in Brazil," in Scott Mainwaring and Matthew Soberg Shugart, eds., Presidentialism and Democracy in Latin America (New York: Cambridge University Press, 1997), pp. 83-84.
16. Abrúcio; David J. Samuels and Fernando Luiz Abrúcio, "Federalism and Democratic Transitions: The 'New' Politics of the Governors in Brazil" (mimeo); Scott Mainwaring, "Multipartism, Robust Federalism, and Presidentialism in Brazil," in Scott Mainwaring and Matthew Soberg Shugart, eds., Presidentialism and Democracy in Latin America (New York: Cambridge University Press, 1997), pp. 83-84.
17. Richard Gunther, "Spain: The Very Model of the Modern Elite Settlement," in John Higley and Richard Gunther, eds., Elites and Democratic Consolidation in Latin America and Southern Europe (New York: Cambridge University Press, 1992), pp. 38-80.
18. Victor Pérez-Díaz, "Gobernabilidad y mesogobiernos: Autonomías regionales y neocorporatismo en España," Papeles de Economía Española, 21 (1984), p. 49.
19. José María Maravall and Julián Santamaría, "Political Change in Spain and the Prospects for Democracy," in Guillermo O'Donnell, Philippe Schmitter, and Laurence Whitehead, eds., Transitions from Authoritarian Rule: Southern Europe (Baltimore: The Johns Hopkins University Press, 1986), p. 87.
20. Joan Subirats Humet, "Evaluación del proceso autonómico: Algunos indicadores," in A. F. Laraudogoitia and E. M. Artaraz, eds., Poder Político y Comunidades Autónomas (Vitoria-Gasteiz: Eusko Legebiltzarra Parlamento Vasco, 1991), p. 107; José María Serrano Sanz, "La intervención económica en el Estado de las Autonomías," in José Luis García Delgado, ed., España: Economía (Madrid: Espasa-Calpe, 1988), p. 503.
21. Joan Subirats Humet, "Evaluación del proceso autonómico: Algunos indicadores," in A. F. Laraudogoitia and E. M. Artaraz, eds., Poder Político y Comunidades Autónomas (Vitoria-Gasteiz: Eusko Legebiltzarra Parlamento Vasco, 1991), p. 107; José María Serrano Sanz, "La intervención económica en el Estado de las Autonomías," in José Luis García Delgado, ed., España: Economía (Madrid: Espasa-Calpe, 1988), p. 503.
22. A. Ballesteros, "La función pública de las comunidades autónomas," in S. Martin-Retorrillo, ed., Pasado, presente y futuro de las comunidades autónomas (Madrid: Institute de Estudios Económicos, 1989), pp. 169-229.
23. Ibid., p. 176.
24. Antoni Castells, "Transición democrática y descentralización del sector público," in José Luis García Delgado, ed., Economía española de la transición y la democracia 1973-1986 (Madrid: Centro de Investigaciones Sociologicas, 1990), p. 446; Alberto Figueroa Laraudogoitia, "Los problemas para la definición del modelo de relaciones estado Comunidades Autónomas," in Laraudogoitia and Artaraz, eds., p. 56.
25. Antoni Castells, "Transición democrática y descentralización del sector público," in José Luis García Delgado, ed., Economía española de la transición y la democracia 1973-1986 (Madrid: Centro de Investigaciones Sociologicas, 1990), p. 446; Alberto Figueroa Laraudogoitia, "Los problemas para la definición del modelo de relaciones estado Comunidades Autónomas," in Laraudogoitia and Artaraz, eds., p. 56.
26. These foral rights convey self-governing exemptions. On their historical development see Juan Pablo Fusi, El País Vasco: Pluralismo y nacionalidad (Madrid: Alianza Editorial, 1990), pp. 161-84.
27. Serrano Sanz, p. 504.
28. El País, July 28, 1981.
29. El País, May 20, 1981.
30. El País, Dec. 9, 1988.
31. See González's comments in El País, Mar. 2, 1989, Feb. 21, 1991.
32. The "autonomous communities" received their financing from five sources stipulated by the constitution and later elaborated in LOFCA: taxes ceded by the central state in part or completely; autonomously administered regional taxes; fiscal transfers from the central state that are specified in the annual budget; all profits and capital produced by firms and agencies owned by the regional governments; and all financial operations administered by the regional governments.
33. Ministerio de Economía y Hacienda, La descentralización del gasto público en España: Período 1984-1994 (Madrid: Ministerio de Economía y Hacienda, Dirección General de Coordinación con las Haciendas Territoriales, 1995).
34. Castells, pp. 457-66.
35. Jordi Rosell and Lourdes Viladomiu, "La política regional en los ochenta: ¿Continuidad o ruptura?," in M. Etxezarreta, ed., La reestructuración del capitalismo en España, 1970-1990 (Barcelona: Economía Crítica, 1991), pp. 286-87.
36. A. Jiménez-Blanco, "La distribución de competencias económicas entre el estado y las Comunidades Autónomas," in Martin-Retorrillo, ed., pp. 399-410.
37. Serrano Sanz, pp. 511-12; Pérez Díaz, pp. 54-55; Subirats Humet, p. 112.
38. Interview with the UCD's final minister of industry (1980-82), Ignácio Bayón, July 7, 1994; Joan Subirats Humet, Un problema de estilo: La formación de políticas públicas en España (Madrid: Centro de Estudios Constitucionales, 1992), p. 102.
39. Alberto Lafuente Félez and Ramón Pérez Simarro, "Balance y perspectivas de las ZUR," Papeles de Economía Española, 35 (1988), 219-34.
40. W. Rand Smith, The Left's Dirty Job: The Politics of Industrial Restructuring in France and Spain (Pittsburgh: University of Pittsburgh Press, 1998), p. 118.
41. Bermeo and García-Durán, pp. 107-20.
42. Smith, pp. 128-29.
43. Bermeo and García-Durán, pp. 118-120.
44. Segundo Brú Parra, "La dimensión espacial de la politica industrial," Economia Industrial (March-April 1988), 42.
45. Interview with José Manuel Suárez González, Metallurgical Federation organizer, UGT, Madrid, March 26, 1996.
46. Interview with Óscar Fanjul, REPSOL chief and former advisor to Solchaga, Madrid, July 18, 1994; interview with Gervásio Cordero Mestanza, subdirector general of regional planning, ministry of economy, Madrid, July 11, 1994; interview with César Molinas Sans, director general of planning, ministry of economy, Madrid, July 11, 1994.
47. Interview with Pedro de Silva Cienfuegos-Jovellanos, president of the Principado de Asturias (1982-1990), Gijón, Asturias, June 26, 1995; interview with Fernando Maravall, Spanish economist, Madrid, June 27, 1994; interviews with Fanjul and Molinas Sans.
48. Rosell and Viladomiu, pp. 294-95.
49. Interview with Álvaro Espina Montero, secretary of state for industry, ministry of industry, Madrid, June 29, 1994, May 30, 1996.
50. Rosell and Viladomiu, p. 290.
51. Interview with Ronald Moys, director of directorate general XVI, regional policy, European Union, Oviedo, Asturias, June 23, 1995.
52. El País, Aug. 19, 1994.
53. Institute de Estadística de Andalucía, p. 81; Sociedad de Estudios Económicos de Andalucía, Informe económico financiero de Andalucía 1993 (Granada: Caja General de Ahorros de Granada, 1994), p. 103.
54. Marisol Esteban and Roberto Velasco, "La política industrial en la España de las autonomías," Papeles de Economía Española, 67 (1996), 291.
55. Juan F. Corona, Luis M. Alonso, and Pedro Puy, Hacia un federalismo competitivo: Propuesta para reformar el sistema de financiación autonómica ( Madrid: Círculo de Empresarios, 1998), p. 52.
56. Carlos Monasterio Escudero, "Los límites al endeudamiento de los gobiernos subcentrales: Teoría y evidencia para el caso español," Papeles de Economía Española, 67 (1996), 279.
57. Corona, Alonso, and Puy, p. 55.
58. Marta Lasuén, "Sobre financiación autonómica," Anuario de Economía, 1995 Negocias (Madrid: Iberdrola, 1995), p. 114.
59. Walter Oppenheimer, "La tercera administración," El País, Oct. 28, 1992, p. 40.
60. El País, Oct. 14, 1992.
61. Eduardo Kugelmas, Brasílio Sallum Jr., and Eduardo Graeff, "Conflito Federativo e Transição Politica," São Paulo em Perspectiva, 3 (July-September 1989), 95-102.
62. Rui de Britto Álvares Affonso, Federalismo Tributário e Crise Econômica: Brasil 1975-1985 (masters' thesis, Campinas, Instituto de Economia, UNICAMP, 1988).
63. Abrúcio; Samuels and Abrúcio.
64. Celina Souza, Constitutional Engineering in Brazil: The Politics of Federalism and Decentralization (New York: St. Martin's Press, 1997), chs. 3-4. The 1988 constitution increased state and municipal transfers organized into the Fundo de Participação dos Estados and the Fundo de Participação dos Municípios.
65. Lourdes Sola, "Estado, Regime Fiscal e Ordem Monetária: Qual Estado?," Revista Brasileira de Ciências Sociais, 10 (February 1995), 40.
66. Rui de Britto Álvares Affonso, "A Federação no Brasil. Impasses e Perspectivas," in Rui de Britto Álvares Affonso and Pedro Luiz Barros Silva, eds., A Federação em Perspectiva: Ensaios Selecionados (São Paulo: FUNDAP, 1995), pp. 63-64.
67. José Roberto Rodrigues Afonso, "Descentralização Fiscal: Revendo Idéias," Ensaios FEE, 15 (1994), 356; Álvares Affonso, p. 66.
68. José Roberto Rodrigues Afonso, "A Questão Tributária e o Financiamento dos Diferentes Níveis de Governo," in Affonso and Silva, eds., p. 318.
69. José Roberto Rodrigues Afonso, Júlio César Maciel Ramundo, and Erika Amorim Araujo, "Breves Notas Sobre o Federalismo Fiscal no Brasil" (mimeo, 1998); Fernando Rezende, "O Financiamento das Políticas Públicas: Problemas Atuais," in Affonso and Silva, eds., pp. 242-43.
70. José Roberto Rodrigues Afonso, Júlio César Maciel Ramundo, and Erika Amorim Araujo, "Breves Notas Sobre o Federalismo Fiscal no Brasil" (mimeo, 1998); Fernando Rezende, "O Financiamento das Políticas Públicas: Problemas Atuais," in Affonso and Silva, eds., pp. 242-43.
71. Twenty-four of the twenty-seven states own commercial and/or development banks.
72. Lourdes Sola, Christopher Garman, and Moises Marques, "Central Banking, Democratic Governance and Political Authority: The Case of Brazil in a Comparative Perspective," Revista de Economia Política, 18 (April-June 1998), 117-21.
73. Pedro Luiz Barros Silva and Vera Lúcia Cabral Costa, "Decentralização e Crise da Federação," in Affonso and Silva, eds., pp. 270-72.
74. William Dillinger and Steven B. Webb, "Fiscal Management in Federal Democracies: Argentina and Brazil" (mimeo, 1998), p. 3.
75. See Carlos Eduardo G. Cavalcanti and Sérgio Prado, Aspectos da Guerra Fiscal no Brasil (Brasilia: IPEA, 1998).
76. Sola, Garman, and Marques, p. 123.
77. The CMN limited new loans to the public sector, the sale of state bonds, and new foreign debt. TM central bank intervened in state banks, enforced capital requirements, restructured administration, improved accounting systems, and slated some for privatization.
78. Interview with Levy Pinto de Castro, Rio state task force on privatization, Rio de Janeiro, June 4, 1995; Ronald Hillbrecht, "Federalismo e a União Monetária Brasileira," Estudos Econômicos, 27 (January-April 1997), 61-62.
79. Marcus André Melo, "O Jogo das Regras: A Política da Reforma Constitucional de 1993/96," Revista Brasileira de Ciências Sociais, 33 (February 1997), 68-69.
80. The fiscal stabilization fund is scheduled to be terminated in December 1999.
81. Of the three states that have not signed agreements, only the federal district has requested rescheduling. The other two, Tocantins and Amapá, have not requested federalization of their debt.
82. Jornal do Brasil, July 15, 1999.
83. Indicadores DIESP (March-April 1999), 30. These numbers do not include accounts from contractors and suppliers in arrears.
84. See Garotinho's comments about the recent deal to use federal funds to place a Ford plant once promised to Rio Grande do Sul in Bahia. "You can say that Fernando Henrique is a lucky man. Before the Ford issue we might all be against his government. Now the Ford case has spoiled the relations among the governors." Jornal do Brasil, July 14, 1999.
85. Scott Mainwaring and David Samuels, "Federalism, Constraints on the Central Government, and Economic Reform in Democratic Brazil," paper presented at the conference on Federalism, Democracy, and Public Policy, Centro de Investigación y Docencia Económicas (CIDE), Mexico City, June 14-15, 1999, p. 38.