DESARROLLO, DESCENTRALIZACIÓN FISCAL E INNOVACIÓN ... · promoviendo un crecimiento sostenido,...

DESARROLLO, DESCENTRALIZACIÓN FISCAL E INNOVACIÓN INSTITUCIONAL:

REFLEXIONES CONCEPTUALES DESDE UNA PERSPECTIVA INTERNACIONAL

Dr. Roberto Villarreal Gonda

Presentación en el foro “GASTO FEDERALIZADO. EXPERIENCIAS INTERNACIONALES"

Palacio Legislativo Federal San Lázaro, Distrito Federal

27 de Marzo de 2014

1. Revisión de conceptos fundamentales acerca del desarrollo sostenible

2. Organización, recursos y rendición de cuentas del Estado para propiciar y promover el desarrollo sostenible

3. Conclusiones y consideraciones finales

CONTENIDO DE ESTA PRESENTACIÓN

2

QUE SE ENTIENDE POR DESARROLLO?

3 * Resolución 41/128 adoptada el 4 de diciembre de 1986. Véase: http://www2.ohchr.org/spanish/law/desarrollo.htm y http://www.un.org/documents/ga/res/41/a41r128.htm

• Una definición particularmente relevante por su origen y efectos jurídicos alrededor del mundo es la adoptada por la Asamblea General de la Organización de las Naciones Unidas (ONU) en 1986, en la resolución sobre el Derecho al Desarrollo, aceptado como un derecho humano inalienable*:

• “el desarrollo es un proceso integral económico, social, cultural y político, que tiende al mejoramiento constante del bienestar de toda la población y de todos los individuos sobre la base de su participación activa, libre y significativa en el desarrollo y en la distribución justa de los beneficios que de él se derivan”

• Dicha resolución asimismo enfatiza que: • “la persona humana es el sujeto central del proceso de desarrollo y toda política de

desarrollo debe por ello considerar al ser humano como participante y beneficiario principal del desarrollo”

• Y con igual importancia establece que: • “los Estados tienen el deber primordial de crear condiciones nacionales e internacionales

favorables para la realización del derecho al desarrollo”

http://www2.ohchr.org/spanish/law/desarrollo.htm

http://www.un.org/documents/ga/res/41/a41r128.htm

• Rio+20 • “Reconocemos que la erradicación de la pobreza, la modificación de las

modalidades insostenibles y la promoción de modalidades de consumo y producción sostenibles, y la protección y ordenación de la base de recursos naturales del desarrollo económico y social son objetivos generales y requisitos indispensables del desarrollo sostenible. Reafirmamos también que es necesario lograr el desarrollo sostenible promoviendo un crecimiento sostenido, inclusivo y equitativo, creando mayores oportunidades para todos, reduciendo las desigualdades, mejorando los niveles de vida básicos, fomentando el desarrollo social equitativo y la inclusión, y promoviendo la ordenación integrada y sostenible de los recursos naturales y los ecosistemas, lo que contribuye, entre otras cosas, al desarrollo económico, social y humano y facilita al mismo tiempo la conservación, la regeneración, el restablecimiento y la resiliencia de los ecosistemas frente a los problemas nuevos y en ciernes”

• “Reconocemos que la democracia, la buena gobernanza y el estado de derecho, en los planos nacional e internacional, así como un entorno propicio, son esenciales para el desarrollo sostenible, incluido el crecimiento económico sostenido e inclusivo, el desarrollo social, la protección del medio ambiente y la erradicación de la pobreza y el hambre. Reafirmamos que para lograr nuestros objetivos de desarrollo sostenible necesitamos instituciones de todos los niveles que sean eficaces, transparentes, responsables y democráticas”.

QUE ASPECTOS SE SUBRAYAN HOY EN DIA RESPECTO AL DESARROLLO SOSTENIBLE?

Véanse los párrafos 4 y 10 del documento El Futuro que Deseamos adoptado por la Asamblea General de la ONU el 27 de julio de 2012: http://www.un.org/ga/search/view_doc.asp?symbol=A/RES/66/288&Lang=S

4

http://www.un.org/ga/search/view_doc.asp?symbol=A/RES/66/288&Lang=S

GOVERNANZA PUBLICA

5

CIUDADANOS GOBIERNO

COMUNIDADES ASOCIACIONES

CIVICAS

ORGANIZACIONES DE LA SOCIEDAD

CIVIL

GRUPOS CIUDADANO

S REDES

SOCIALES

COOPERATIVAS

SINDICATOS DE TRABAJADORES

ASSOCIACIONES PROFESIONALES

PARTIDOS POLITICOS

CAMARAS INDUSTRIALES

ORGANIZACIONES CIVICAS PLURALES

MEDIOS

UNIVERSIDADES Y THINK TANKS

EJECUTIVO, ADMINISTRACION

JUDICATURA

SECRETARIAS

AUDTORIA SUPREMA

CONGRESO

BANCO CENTRAL

PROCURADURIAS ESPECIALIZADAS

(CONSUMIDORES, DERECHOS HUMANOS,

ANTICORRUPCION, ETC)

OTROS ORGANOS

ENTIDADES

PARA-ESTATALES

(1) ACTORES (2) MATERIAS SUSTANTIVAS (3) INSTITUCIONES (4) CONDICIONES PROPICIAS

IMPUESTOS, CONTRIBUCIONES Y OBLIGACIONES CIUDADANAS

BIENES PUBLICOS (ESTADO DE DERECHO, SEGURIDAD PUBLICA,

DEFENSA, MEDIO AMBIENTE, ESTABILIDAD FINANCIERA, ETC)

SERVICIOS PUBLICOS (BASICOS, ,SOCIALES, INFRAESTRUCTURA)

LIDERAZGO, MARCO LEGAL Y REGULATORIO, EMPODERAMIENTO CIUDADANO, ACCESO A LA

INFORMACION PUBLICA, TRANSPARENCIA

INTERACCIONES CIUDADANOS-GOBIERNO PARA IMPULSAR EL DESARROLLO

GOBERNANZA • Sistema(s) de acuerdos

legales, contractuales y de concertación para fomentar

– Comunicación – Colaboración – Coordinación – Congruencia – Consensos

• Entre los principales actores públicos, sociales y privados del desarrollo, en un territorio determinado

• Para combinar de manera efectiva y eficiente

– Información – Inteligencia – Intereses – Inversiones – Innovaciones – Interdependencia

• Para asegurar procesos dinámicos de transformación de la realidad con un sentido humanista y de colectividad

MERCADO(S) • Agregación de

transacciones competitivas y de regulaciones para favorecer

– Intercambio de productos, insumos, factores de producción y ciertos derechos y obligaciones

• Entre individuos, empresas privadas, administraciones públicas y empresas de servicios públicos

• Para propiciar – Asignación eficiente de

recursos e inversiones – Reducción de costos, gracias

a la especialización productiva y al incremento de la productividad, por la competencia

– Innovación y diferenciación de productos

• Para permitir a cada individuo, alcanzar el máximo nivel de bienestar, de acuerdo con sus recursos y dotación de factores productivos, en un momento dado o en forma intertemporal

PLANEACIÓN • Sistema(s) de órdenes

vinculados a prioridades preestablecidas por el Estado con anterioridad, para propiciar

– Decisiones de inversión e iniciativas productivas

– Distribución de esfuerzos y de productos

• Entre entidades públicas, sociales y privadas en un territorio determinado

• Para articular de manera efectiva sus

– Recursos – Capacidades – Restricciones – Fortalezas – Encadenamientos

• Con el propósito de alcanzar objetivos determinados, en un momento dado o intertemporalmente

– Espaciales – Productivos – Distributivos

EUA (1950s)

CANADÁ (1987) MÉXICO (2005)

CHINA (2005)

ALGUNOS MODELOS TIPICOS

• Para cumplir con las responsabilidades que le asignan los ciudadanos, el Estado cuenta con un conjunto de órganos de gobierno, que se interrelacionan de manera compleja

• Los principios y reglas para asegurar el ordenado funcionamiento de la organización gubernamental en su conjunto, así como de sus distintos niveles y sectores y de cada órgano particular, están contenidos en las leyes, reglamentos y disposiciones administrativas respectivas

– Específicamente, las atribuciones y competencias de cada nivel de gobierno (nacional, sub-nacional) conviene sean determinadas por sus respectivas capacidades comparativas

• Los recursos humanos, materiales, financieros y tecnológicos, así como los programas operativos, los proyectos de inversión y de desarrollo de capacidades para que dicho funcionamiento tenga las cualidades deseadas por los ciudadanos se establecen periódicamente en las leyes de ingresos y en los presupuestos públicos

• Las formas de organización gubernamental, los principios y reglas, los recursos, y los programas y proyectos mencionados deben adaptarse a través del tiempo de manera tal que el Estado mantenga en todo momento su capacidad plena para propiciar y promover el desarrollo (sostenible)

• La responsabilidad de que esta adaptación se haga realidad y surta los efectos deseados por los ciudadanos recae en:

– Los órganos específicamente encargados de ello dentro de la organización gubernamental – Los ciudadanos, y – Los representantes de los ciudadanos en los congresos respectivos 7

ORGANIZACIÓN, FUNCIONAMIENTO Y FINANCIAMIENTO DEL ESTADO:

ASUNTOS DINÁMICOS DE GRAN IMPORTANCIA

8

ORGANIZACIÓN Y RENDICIÓN DE CUENTAS DEL APARATO DE GOBIERNO

REND. CTAS. DEMOCRATICA

REND. CTAS. JERARQUICA

AUDITORIA INTERNA

AUDITORIA GUBER.

AUDITORIA SUPREMA REND. CTAS. DIRECTA A LOS CIUDADANOS

SECTOR PUBLICO O GOBIERNO SECTORES PRIVADO Y SOCIAL

JEFE

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LEGISLATIVO

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FEDERAL

ESTATAL MUNICIPAL

• La descentralización de presupuestos de egresos públicos, desde el gobierno nacional (federal) a los gobiernos sub-nacionales (estatales y municipales) requiere entenderse como una función de la promoción del desarrollo (sostenible) por el Estado – La descentralización de los gastos e inversiones públicos no es un fin en

si mismo, sino un medio para propiciar un mejor desarrollo: mas ágil, mas incluyente, mas equitativo, mas en armonía con el medio ambiente natural

• Se trata de cuestiones dinámicas de gran importancia que deben resolverse a través del tiempo para la eficaz gestión del desarrollo (sostenible)

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CONCLUSIONES Y CONSIDERACIONES FINALES

• Desde una perspectiva comparativa internacional pueden distinguirse varios casos típicos, que pueden denominarse como: mercados, gobernanza y planeación

• Los roles de cada nivel de gobierno conviene sean determinados según sus respectivas ventajas comparativas – Gobierno nacional: normas e indicadores para facilitar comparabilidad y acceso a la

información de finanzas publicas; procedimientos redistributivos para la equidad y cohesión nacionales; manejo de la demanda de bienes y servicios para el mantenimiento de la estabilidad macroeconómica y financiera; provisión eficiente de bienes públicos de carácter nacional; evaluación de la eficacia y eficiencia del gasto e inversiones públicos por sus efectos sobre el desarrollo sostenible; etc.

– Gobiernos sub-nacionales: detección oportuna de necesidades y prioridades del desarrollo local; definición de proyectos y programas adecuados para propiciar el desarrollo local (considerando en su caso las oportunidades de mayor eficiencia mediante acción conjunta con gobiernos de territorios vecinos); presupuestación multianual, planeación financiera y recaudación eficiente de recursos financieros; negociación con los ciudadanos y sus organizaciones en comunidades, sociedad civil y sector privado; provisión de servicios públicos (básicos, sociales, de infraestructura) satisfactorios para los ciudadanos y rendición de cuentas

10


• La descentralización de los presupuestos de egresos y recursos públicos requiere impulsarse integrándola a estrategias respecto a los impuestos y contribuciones locales, visualizando la disponibilidad de recursos públicos en su conjunto para la promoción del desarrollo local, y adicionalmente deben tenerse en consideración el mejoramiento simultaneo de las capacidades institucionales, humanas y tecnológicas de los gobiernos locales

• En este contexto, en muchos países se observan innovaciones relacionadas, en los ámbitos de: – Transparencia – Rendición de cuentas – Participación ciudadana – Gobierno electrónico – Cooperación horizontal entre gobiernos de territorios vecinos, y – Esquemas con enfoque “whole of government” para promover el desarrollo

sostenible 11


FIN DE LA PRESENTACION

• En diversos países se observa una tendencia hacia nuevos esquemas e instituciones de gobernanza publica para mejorar la coordinación intergubernamental, tanto vertical (entre órdenes de gobierno) como horizontal (dentro de cada orden), así como para incluir la participación de los ciudadanos y sus organizaciones (de las comunidades, la sociedad civil y el sector privado) – En México, por ejemplo, el inicio en 2005 en el Senado de la Republica

de reformas a la Ley Nacional de Planeación

• El objetivo central es la adecuación de instituciones publicas para la promoción del desarrollo (sostenible)

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• La descentralización sirve al desarrollo por varias razones importantes

– Políticas: • Para propiciar un balance razonable de poderes dentro del sistema político • Para inducir negociaciones para la atención adecuada de las necesidades de

desarrollo regionales y locales • Y, por lo anterior, para reforzar la estabilidad política en el país

– Económicas: • Para mejorar la detección de necesidades y prioridades del desarrollo en las

regiones y localidades, así como la definición adecuada de proyectos y programas para la provisión de servicios públicos (básicos, sociales y e infraestructura). Esto requiere aumentar las capacidades institucionales y de recursos humanos en los gobiernos sub-nacionales.

• Para mejorar la asignación de recursos públicos y la eficacia del gasto y la inversión gubernamentales para la promoción del desarrollo (sostenible)

– Sociales: • Para empoderar a los ciudadanos en todas las regiones y localidades y elevar su

concientización sobre su responsabilidad para influir y vigilar la correcta utilización de los recursos públicos por sus gobiernos

13


FIN DE LA PRESENTACION

En organismos internacionales tiene 7 años de experiencia internacional de altúo nivel en gestión del desarrollo, politicas públicas, finanzas públicas y administracion pública • 2009-2013: Jefe del area de gestión del desarrollo en la División de Administración Pública y Gestión del

Desarrollo, en el Departamento de Asuntos Económicos y Sociales, de la Organización de las Naciones Unidas (ONU), Nueva York

• 2007-2008: Jefe del área de desarrollo territorial, en la División de Gobierno y Desarrollo Territorial, en la Organización para la Cooperación y el Desarrollo Económico (OCDE), Paris

• Desde estas posiciones ha asesorado a gobiernos nacionales y sub-nacionales en países de América Latina y América del Norte, África del Norte y Subsahariana, Asia y Europa Occidental y Oriental

En México tiene 22 años de experiencia en los mismos asuntos, desde puestos de alta responsabilidad en diferentes dependencias del gobierno federal • 2006: Subsecretario de Desarrollo Regional y Urbano, SEDESOL, así como miembro de la Comisión Nacional de

Desarrollo Social, la Comisión Nacional de Vivienda y la Comisión Nacional de Regularización de la Tenencia de la Tierra, y miembro de los Consejos de Administración de numerosas entidades públicas

• 2000-2005: Jefe de la Unidad de Políticas Publicas Regionales y Sociales, en la Presidencia de la República, así como miembro de la Comisión Nacional de Infraestructura, la Comisión para el Desarrollo Rural Sustentable, la Comisión Nacional del Agua, la Comisión Nacional Forestal y enlace con la Conferencia Nacional de Gobernadores (CONAGO), y presidente de cinco fideicomisos públicos para el desarrollo regional a lo largo y ancho del país

• 1994-1997: Jefe de la Unidad de Inversiones Públicas, y Jefe de la Unidad de Privatización, SHCP, así como miembro de la Comisión Intersecretarial de Gasto Financiamiento y Secretario de la Comisión de Privatizaciones, y miembro de los Consejos de Administración de entidades de la banca de desarrollo y las mayores empresas paraestatales en energía, transportes y comunicaciones

• 1988-1994: Coordinador de Asesores del Secretario, Director General de Desarrollo Tecnológico e integrante de la Unidad de Desregulación, asi como miembro de las Comisión de Inversión Extranjera, la Comisión de Aranceles, la Junta de Gobierno del CONACYT y negociador del capitulo XVII del TLCAN

• 1986-1987 y 1979-1981, integrante de las oficinas de asesores de la Presidencia de la República

14

SEMBLANZA CURRICULAR DE ROBERTO VILLARREAL

15

EL DESARROLO SOSTENIBLE: UN PROCESO MULTIDIMENSIONAL Y

ALTAMENTE COMPLEJO

FUENTE: Villarreal, Roberto. “The Enterprise Architecture of Sustainable Development: An Analytical Framework”. En Pallab Saha, ed., A Systemic Perspective on Managing Complexity with Enterprise Architecture. IGI-Global. 2013. DOI: 10.4018/978-1-4666-4518-9.ch008.

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EJEMPLO: NIVELES Y TENDENCIAS DE LA ESCOLARIDAD EN LOS DIFERENTES ESTADOS DE LA REPÚBLICA MEXICANA

Fuente: CDSH con datos de INEGI, XI y XII Censo General de Población y Vivienda 1990 y 2000, y SEP

Escolaridad de la población de 15 años y más por Entidad Federativa

(Número de años) Promedio (2010): 8.8 Rango: 3.1

7.5 7.6 7.9 7.9 8.0 8.0 8.1 8.2 8.2 8.3 8.5 8.6 8.7 8.7 8.8 8.8 8.9 8.9 8.9 8.9 9.0 9.0 9.2 9.2 9.3 9.4 9.5 9.5 9.6 9.8

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Promedio (2000): 7.6 Rango: 4.1

Promedio (1990): 6.5 Rango: 4.6

ANEXO

17

DECENTRALIZATION AND POPULAR PARTICIPATION IN MEXICAN PUBLIC ADMINISTRATION:

SOME STYLIZED FACTS*

ROBERTO VILLARREAL CHIEF, DEVELOPMENT MANAGEMENT BRANCH

AD HOC PRESENTATION FOR THE EXPERT GROUP MEETING

‘STRENGHTENING POPULAR PARTICIPATION AND GOOD GOVERNANCE IN AFRICA’ CO-ORGANIZED BY THE GOVERNANCE AND PUBLIC ADMINISTRATION DIVISION (UNITED NATIONS ECONOMIC AND SOCIAL COMMISSION FOR AFRICA)

AND THE UNITED NATIONS MILLENNIUM CAMPAIGN

ADDIS ABABA, ETHIOPIA, 28-29 SEPTEMBER 2010

* CONTENTS AND VIEWS REFLECTED IN THIS PRESENTATION ARE SOLELY THE AUTHOR’S RESPONSIBILTY BASED ON EXISTING ANALYTICAL LITERATURE AND DO NOT REPRESENT THE OFFICIAL POSITION OF THE UNITED NATIONS.

UNITED NATIONS DEPARTMENT OF ECONOMIC AND SOCIAL AFFAIRS DIVISION FOR PUBLIC ADMINISTRATION AND DEVELOPMENT MANAGEMENT

http://www.un.org/esa/socdev/unpfii/media/images/UN-LOGO%20copy.jpg

CONTENTS 1. INTRODUCTION

2. CHRONOLOGY – HISTORICAL ANTECEDENTS – POST-REVOLUTIONARY PERIOD

3. TRENDS IN DECENTRALIZATION, POPULAR PARTICIPATION AND ACCOUNTABILITY

4. CONCLUSSIONS

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INTRODUCTION

• The purpose of this presentation is to provide a succinct overview of the evolution of decentralization, popular participation and accountability in Mexico in the last 25 years, as these relate to public management of development policies and programs

• The presentation highlights only some stylized facts

• Rather than presenting a comprehensive description of a rather complex system of political, administrative and budgetary arrangements, this presentation offers some insights into some key elements of the system, from which relevant policy considerations and conclusions can be reached

• References on-line are included at the end, for those interested to go into further details

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CHRONOLOGY (1): HISTORICAL ANTECEDENTS 1810-1824

• INDEPENDENCE FROM SPAIN •DEBATE OVER CENTRALIZED / FEDERAL ORGANIZATION OF THE STATE • SINCE FIRST CONSTITUTION (1824): ADOPTION OF A FEDERATIVE REPUBLICAN MODEL (WITH SOVEREIGN STATES AND FEW TERRITORIES DEPENDING FROM CENTRAL GOVERNMENT*)

1824-1876

• ATTEMPTS TO DEVELOP THE NATION – STATE • LACK OF AUTHENTIC DEMOCRACY • POLITICALLY AND FINANCIALLY WEAK FEDERAL GOVERNMENT, OFTEN SUPPORTED BY MILITARY MEANS • SPARSELY POPULATED TERRITORY WITH FEW LARGER CITIES IN THE GEOGRAPHICAL CENTER • LIMITED INFRASTRUCTURE AND POORLY CONNECTED GEOGRAPHY • REGIONAL FACTUAL POWERS IN SOME STRONG STATE GOVERNORSHIPS, SEVERAL COUPS D’ETAT • ARISTOCRATIC SOCIETY INHERITED FROM COLONIAL PERIOD, INTERFERENCE FROM CATHOLIC CHURCH IN POLITICAL AFFAIRS (UNTIL NEW CONSTITUTION IN 1856 SEPARATED STATE AND CHURCH) • COUNTRY WAS INVADED SEVERAL TIMES BY SUPER-POWERS • HALF OF THE COUNTRY’S ORIGINAL TERRITORY WAS TAKEN AWAY IN DIFFERENT WAYS AND BECAME PART OF THE USA

1876-1910

• THREE-DECADES NATIONAL DICTATORSHIP • SUPER-CENTRALIZATION OF GOVERNMENT (POLITICAL, FINANCIAL) • SIMULATED FORMAL DEMOCRACY (PRESIDENT WAS RE-ELECTED 6 TIMES, STATE GOVERNORS APPOINTED BY HIM), SUPPRESION OF FACTUAL REGIONAL POWERS • RESTRICTED CONSTITUTIONAL RIGHTS AND FREEDOMS FOR THE PEOPLE • POLITICAL REPRESSION • STRONG INVESTMENT IN INFRASTRUCTURE (RAILROADS, PORTS, ELECTRICITY) • MARKED CONCENTRATION OF WEALTH (INCLUDING LAND), HIGH INEQUALITY

1910-1917

• REVOLUTION • BEGAN AS DEMANDS FOR DEMOCRACY, FREE ELECTIONS AND PROHIBITION OF RE-ELECTION • AS ARMED CONFLICT SPREAD THROUGHOUT THE TERRITORY, DIVERSE DEMANDS WERE ADDED INTO THE REVOLUTIONARY AGENDA • URBAN MIDDLE CLASSES: CONSTITUTIONAL RIGHTS (PRESS, ASSOCIATION AND STRIKE FREEDOMS) • RURAL POPULATION (PEASANTRY): AGRARIAN REFORM • NEW CONSTITUTION ADOPTED IN 1917 MAINTAINED FEDERAL REPUBLIC, POSITIVELY INCORPORATED THE REVOLUTIONARY AGENDA AND IN A NOVEL MANNER INTRODUCED STATE OWNERSHIP OVER UNDER-GROUND NATURAL RESOURCES 21


* At present there are 32 States. Territories have been converted into States. The capital city is located in a Federal District with special status and legislation.


CHRONOLOGY (2): POST-REVOLUTIONARY PERIOD

1917-1929

• FIRST REVOLUTIONARY GOVERNMENTS •SUCESIVE PRESIDENTS WERE REVOLUTIONARY GENERALS FROM SAME POLITICAL GROUP • FACTUAL REGIONAL POWERES RE-APPEARED, REPEATED REGIONAL REVOLTS, POLITICAL ASSASINATIONS FROM CENTRAL ORDERS • ATTEMPT FOR RE-ELECTION RESULTED IN ASSASINATION OF FORMER PRESIDENT AND THEN PRESIDENTIAL CANDIDATE • MULTI-CONSTITUENCY OFFICIAL POLITICAL PARTY CREATED IN 1929 BY PRESIDENTIAL LEADERSHIP AND OFFICIAL CALL FOR END OF FORCE ACTIONS AND BEGINNING OF INSTITUTIONAL POLITICS • CREATION OF KEY NATIONAL INSTITUTIONS: CENTRAL BANK, AGRARIAN AND WATER COMMISSIONS, MINISTRY OF PUBLIC EDUCATION AND NATIONAL UNIVERSITY

1929-2000

• INSTITUTIONAL CONTINUITY AND STABILITY, WITHOUT DEMOCRACY • HEGEMONIC OFFICIAL PARTY, WITH LIMITED TIME-VARYING AND SOMETIMES REGIONAL OPPOSITION, LACK OF DEMOCRACY, REPEATED FRAUDULENT ELECTIONS AT NATIONAL, STATE AND MUNICIPAL LEVELS; DISCRETIONARY USE OF GOVERNMENT PROGRAMS TO BUY VOTES • RESTRICTIONS ON CONSTITUTIONAL RIGHTS AND FREEDOMS, AND CONTROLS OVER THE MEDIA, DEPENDING ON PRESIDENTIAL ‘STYLES’ • FACTUAL SUBORDINATION OF JUDICIARY AND LEGISLATIVE POWERS TO THE EXECUTIVE • OVERWHELMING FEDERAL EXECUTIVE, GOVERNORS APPOINTED BY PRESIDENT (INFORMAL CONSULTATIONS WITH DIVERSE STAKEHOLDERS) • STRONG CORPORATIVIZATION OF CIVIL SOCIETY UP TO MID-NINETIES, INCORPORATING WORKERS, PEASANTS , URBAN PROFESSIONALS AND THE YOUTH INTO MAJOR SECTORS WITHIN THE OFFICIAL PARTY • SUCCESIVE POLITICAL REFORMS IN LATE SEVENTIES, EIGHTIES AND NINETIES (TO INTRODUCE GRADUALLY PLURALITY IN CONGRESS, ELECTORAL INSTITUTIONS, EQUITABLE AND TRANSPARENT FINANCING OF POLITICAL PARTIES, FORMAL EQUITABLE AND TRANSPARENT REGULATIONS ON USE OF MEDIA FOR POLITICAL CAMPAIGNS) • GRADUAL NEGOTIATED OPENING TO OPPOSITION IN MUNICIPAL AND STATE GOVERNMENTS (BEGINNING EARLY NINETIES) • STATE-LED DEVELOPMENT UP TO THE MID-EIGHTIES; AFTERWARDS, DEEP ECONOMIC REFORMS (INTERNATIONALIZATION, PRIVATIZATION) • RAISING LEVELS OF EDUCATION AND PER CAPITA INCOME, RAPID URBANIZATION (FROM 25% TO MORE THAN 80%) OF TOTAL POPULATION • HIGHLY CENTRALIZED PUBLIC FINANCES AND DEVELOPMENT POLICIES (DECENTRALIZATION BEGINNING IN THE EIGHTIES, SEE NEXT SLIDE) • INCREASING CONTRADICTIONS BETWEEN ECONOMIC REFORMS AND POLITICAL SYSTEM (PARTICULARLY AFTER INTERNATIONAL OPENING OF THE ECONOMY TO TRADE, DIRECT INVESTMENT AND FINANCIAL FLOWS), GENERATED SHADOW COST AGAINST ATTRACTING FOREIGN INVESTMENT DUE TO DISCRETIONARY POLITICAL DECISIONS GROUNDED ON CONCENTRATED POLITICAL POWER AND INSUFFICIENT INTITUTIONAL AND REGULATORY MEANS TO SECURE TRANSPARENCY AND LIMIT CORRUPTION

22



CHRONOLOGY (3): NEW DEMOCRACY

2000-2010

• BEGINING OF DEMOCRACY • FIRST PRESIDENT FROM A DIFFERENT PARTY ELECTED IN 2000, SECOND PRESIDENT FROM THAT PARTY ELECTED IN 2006 (IN A STRONGLY CONTESTED ELECTION) • EXECUTIVE LED REFORMS TO CONSOLIDATE DEMOCRATIC INSTITUTIONS • TO WARRANTY TRANSPARENCY, AUTONOMY OF ELECTORAL INSTITUTIONS, ACCOUNTABILITY OF FEDERAL PROGRAMS, CITIZENS

ENGAGEMENT AND PARTICIPATION IN DEVELOPMENT AFFAIRS •GRADUAL DEEPENING OF DECENTRALIZATION (SEE FOLLOWING SLIDES) • GROWING (ALTHOUGH VARYING) DIVERSITY OF PARTY AFFILIATION OF ELECTED OFFICIALS AT NATIONAL, STATE AND MUNICIPAL GOVERNMENTS, MOSAIC OF PARTY AFFILIATIONS OF ELECTED PUBLIC OFFICIALS IN MOST PARTS OF THE COUNTRY, FEW REGIONAL BASTIONS OF DETERMINED PARTIES • INCREASING FREQUENCY OF DIVIDED GOVERNMENTS (EXECUTIVE AND LEGISLATIVE DOMINATED BY DIFFERENT PARTIES, AT NATIONAL AND STATE LEVELS); GRADUAL DISAPPERARENCE OF ABSOLUTE MAJORITIES IN NATIONAL AND STATE LEGISLATURES

• CERTAIN POPULAR DISILLUSIONMENT WITH DEMOCRACY AND CHALLENGES OF POLITICAL REGRESSION • DIVIDED GOVERNMENTS AND INSUFFICIENT CO-OPERATION AMONG PARTIES HAVE SLOWED ECONOMIC REFORMS • COINCIDENT GLOBAL ECONOMIC AND FINANCIAL CRISES IN THESE PERIOD HAVE NEGATIVELY AFFECTED INCOME LEVELS, UNEMPLOYMENT, LIVING CONDITIONS, REVERTING EARLIER ACHIEVEMENTS IN POVERTY REDUCTION • SOME HIGHLY VISIBLE ACTORS IN THE POLITICAL SYSTEM HAVE PLACED PERSONAL INTERESTS BEFORE KEY DEVELOPMENT ISSUES IN THE OVERALL POLITICAL AGENDA AND ADOPTED POPULIST DISCOURSES • MANAGEMENT TEAMS OF THESE TWO PRESIDENT HAVE OFTEN BEEN PERCEIVED AS LACKING NECESSARY SKILLS AND COORDINATION, NEW FORMS OF NEPOTISM SEEM TO NEGATIVELY AFFECT CAPACITY AND PERFORMANCE OF THE FEDEWRAL GOVERNMENT • PARTY OF THESE TWO PRESIDENTS HAS NOT FULFILLED POPULAR EXPECTATIONS IN TERMS OF REDUCING OR ELLIMINATING CORRUPTION • FEDERAL POLICIES ON PUBLIC SECURITY AND COMBAT OF DRUG CARTELS HAVE NOTORIOUSLY FAILED AND VIOLENCE HAS SPREAD WIDELY AFFECTING ALL REGIONS OF THE COUNTRY AND ALL SEGMENTS OF THE POPULATION

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TRENDS IN DECENTRALIZATION, POPULAR PARTICIPATION AND ACCOUNTABILITY (1)

• Decentralization, popular participation and accountability are all means, not end in themselves. The end is to attain better development, that is, to improve the living conditions and the enjoyment of rights and liberties for all. Thus, these three means are framed in a general context of designing adequate development strategies.

• In the case of Mexico, the entry point for national development strategies is the National Development Plan, which must be designed, followed and evaluated in every Presidential Administration, as established in the Constitution and in the national Planning Law.

• Since 1983, the legal framework applicable in this matter establishes the fundamental guiding principles

– All federal expenditures must follow well determined programs, to secure rationality and orderly continuity of expenditures, and to provide adequate bases for auditing

– The National Development Plan must be elaborated by the Ministry of Finance, based on an ample consultation to the population to establish development priorities and general strategies. Thus, popular participation underlies the basic foundations of planning and programming.

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TRENDS… (2) • As part of the system of public administration in the country,

delegation of federal programs has been applied for decades (roads and highways, support to agriculture and industry, energy, education and health services, environment, etc.)

– A delegate appointed by each ministry to each state managed the corresponding federal programs in the respective state, often in informal consultation or negotiation with state governor

– Said consultations often influenced the inter-state allocation of national program budgets, and the selection within each state of the localities or social-political groups to be benefited most from each program

– Delegates from different federal ministries in each state rarely coordinated decisions regarding the different programs, this function being in practice exerted by the governor and his state cabinet, and implying multiple, complex and time-consuming negotiations

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TRENDS… (3) • Overall, the system of delegation doesn’t show maximum efficiency in

terms of public resources allocation throughout the country – For administrative reasons

• The number of delegation offices in the country exceeded 300 and the bureaucracy involved was considerable, implying:

– High administrative costs – Slow decision making and implementation – Noticeable constraints on overall coordination and, therefore, limited efficiency in the

allocation of public resources throughout the country

– For political reasons • Federal ministers would sometimes personally abuse this system to

strengthen their networks of political supporters in states with different sizes and characteristics of the electorate, aiming to influence their future political careers

• As political party affiliations of federal and state public officials has become more diverse after 2000, political negotiations between ministers, delegates and governors have become more sensitive to political considerations

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TRENDS… (4) • Fiscal decentralization started in the late eighties and followed

several stages and paths

A. Initially, tax reforms eliminated Sales Taxes previously applied and collected by the states, substituting these by a Value Added Tax applied and collected by the federal government

• Thus, a mechanism was created to redistribute federal tax income to the states, based on determined formulae to take explicitly into consideration inter-state disparities (population, per capita income, economic structure, etc.)

– Occasionally, but not often, discussions arise as to whether applicable formulae are optimal or need to be revisited; these discussions tend to be avoided because of the extreme difficulties of reaching alternative equilibrium distributions and consensus among all states and the federal government

• States receive their corresponding participation in the aggregate tax income through an ad hoc fund, subject to auditing and transparency rules

• Each state can contract debt, according to certain laws and regulations, warranting its service with future tax participations, which are predictable to a limited extent as these are determined by fixed formulae, although there remain macroeconomic uncertainties about aggregate tax revenues

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TRENDS… (5) B. Later on, federal expenditures on determined education levels were

decentralized in the early nineties to state governments

• The motives were mostly political, although indirectly connected with efficiency factors: the national teachers union had acquired excessive power, creating difficulties for the federal government to influence the quality and costs of federal public education programs. Thus, decentralizing the corresponding federal education budget to the states, created more favorable conditions for the overall public administration (federal cum states) to enhance management of these programs

• A special mechanism to account for this decentralized public expenditure in education was created, consisting in a determined section of the federal budget which is determined according to specific rules, again based on appropriate formulae

• Auditing of this section of the federal budget is performed in the same way as for the general budget, first by the Federal Executive (through the Office of Public Accounting, in the Ministry of Finance), and successively by the Supreme Auditing Institution reporting directly to the Chamber of Representatives in the Federal Congress.

• Mechanisms for social participation in the management of basic education were initiated after year 2000, involving parents and teachers in every school, although their scope is not predominantly on budgetary matters but in overall performance at the school level 28



TRENDS… (6) B. In parallel, federal expenditures on different types of public infrastructure

were also decentralized during the nineties, to state and municipal governments

• The motives were different than in the case of decentralization of education expenditures. Regarding decentralization of infrastructure expenditures:

– Decentralization to the states was mostly guided to increase efficiency in public investments (for example, state roads and highways better reflect local conditions than federally decided local roads; this is true both about new roads, as about maintenance of existing ones)

– Decentralization to municipal governments was circumscribed to social infrastructure, guided both by similar efficiency reasons, as well as to strengthen local governments with the aim to consolidate an authentic federalism

• These decentralized public expenditures are reflected in separate sections of the federal and local public budgets, and audited in the same manner described before for education expenditures:

– An ah hoc fund was created to secure accountability of public expenditures decentralized to municipal governments for investment in social infrastructure

• Initially, the guiding principles for municipal governments to decide on social infrastructure investments were not well defined, and resulted in inadequate local investment decisions (typically, investments with marginal impact on overall social development, or investments in geographical zones determined more by political considerations than targeted to the poor)

– Corrective adjustments were introduced later on, as explained in the following slide 29



TRENDS… (7) – To reduce the undesired initially poor results in the allocation of

public resources to municipal social infrastructure, it proved more convenient to add later on incentives to enhance said investments, rather than altering the established rules for decentralizing these federal expenditures to municipalities

• A new federal program for poverty alleviation was created in 2003, which is included in the social development section of the federal budget and audited in the manners explained before

• This new program offers additional federal resources to municipal governments, under more elaborated conditionality:

– the types of acceptable social investments are more precisely defined – the specific geographical zones where these investments are to take place must be zones of

high incidence of poverty, as determined by the Federal Ministry for Social Development – to receive these additional federal funds for municipal social infrastructure, municipalities

which voluntarily apply are required to complement these additional federal funds with an equal amount of municipal resources, in a pari passu fashion. Thus, federal resources that were originally granted without adequate conditionality, are attracted back by this rule, enhancing their social impact.

– community participation was introduced after 2005 in the operation of the program, to enhance determination and prioritization of local social investments with the views and proposals of the population in the targeted poor zones

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TRENDS… (7)

C. Furthermore, as a significant proportion of total federal income comes from taxes and special duties applicable to the oil industry*, one more ad hoc fund** was created in the late nineties, as a means to account in the federal budget for the decentralization of government revenues from the oil industry, from the federal governments to the states

• The total amount of resources decentralized to the states through this other channel varies from year to year, as a result of changes in international oil prices

• The amounts decentralized to each and every state are also determined according to special formulae, to eliminate discretionality

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* As mentioned before, the Constitution of 1917 defined all natural resources in the underground as national property. ** Two other different funds are also connected to federal oil revenues, although with purposes different from decentralization. One is devoted to provide certain stability for public finances in the context of uncertain oil prices. The other serves as a reserve fund to finance extraordinary expenditures required in case of natural disasters.


TRENDS… (8) D. As the overall system of decentralizing income and expenditures is

complex to certain extent, and unforeseen special circumstances need to be looked at, complementary institutions have been created within the Federal Government over the last 15 years, to enhance the performance of the system

• Within the Ministry of Finance, a special Unit is in charge of coordinating the

aggregate fiscal relationship between the Federal Government and each and every state, and thus must solve particular problems as they arise

• Within the Ministry of the Interior, a special Institute is entrusted with responsibilities for capacity building in municipal governments

• Within the Ministry of Social Development, a special Institute looks after building capacities in civil society, to improve its participation in public development affairs, specially in matters connected with social development (poverty, vulnerable groups, gender issues, etc.)

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* As mentioned before, the Constitution of 1917 defined all natural resources in the underground as national property.


TRENDS… (9) E. Finally, besides the professional auditing and social auditing

mechanisms mentioned in the preceding slides, a Federal Law for Transparency and Access to Public Information was adopted in 2004, thus permitting any interested person to request information on decisions made by government officials, budgetary and financial matters, performance of public programs, etc.

• This law reinforces the possibilities for individuals and civil society

organizations to oversee the functioning of the Federal Government in the widest possible sense

• Accountability is therefore strongly underlined, beyond the specific avenues highlighted before

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* As mentioned before, the Constitution of 1917 defined all natural resources in the underground as national property.


CONCLUSSIONS (1) • Democracy is not a fundamental necessity for early stages

of development, but eventually it becomes indispensable as the Nation-State evolves – Education, urbanization and internationalization are key

processes in fostering demands for political openness and democratization

– Equally important democratic foundations are found in the effective enforcement of basic constitutional rights and freedoms: expression, media, association, strike, etc.

– Democracy can not be sustained only on popular political demands, but requires adequate institutions (well functioning political parties, trustworthy electoral system, non-political allocation of public budgets, etc.)

– Beyond its intrinsic merits in terms of political philosophy, democracy and popular participation in development management help improve coherence of economic, social and political reforms and policies 34



CONCLUSSIONS (2) • Decentralization serves different important purposes

– Political: • To attain certain reasonable balance of powers in the political

system • To induce negotiations for harmonizing diverse regional demands • And, through these, to enhance political stability in the country

– Economic: • To better identify investment needs and priorities in the diverse

parts of the country (investment in infrastructure and public goods, investment in education and health, investment in the natural environment, etc.)

• To improve the regional distribution and allocation of public funds

– Social: • To empower regional populations and increase their awareness and

responsibility about the efficient utilization of public resources 35



CONCLUSSIONS (3)

• Fiscal decentralization of public resources – Occurs through different channels – Not all of these need to be developed simultaneously – Thus, decentralization can proceed gradually – A grand design seems impractical, as considerations

that need to be made are numerous and complex – Errors can occur along the process and flexibility to

correct them must be assumed in planning

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CONCLUSSIONS (4) • Accountability over public resources

– Is always a fundamental issue, whatever the extent of decentralization

– Must be established by Law to be orderly enforceable, but must also be rooted in general political and social values to be effectively pursued

– No single means suffices to warranty accountability, and several ones need to be used complementing and reinforcing each other :

• Professional auditing • Social or civic auditing • In general, transparency

– May be best accomplished through diverse combinations of means, best suited to each channel by which resources are decentralized

• In the Mexican experience, initial steps have relied in auditing by official professional bodies, and only later on has social auditing been introduced gradually

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• For more information and additional details, see: www.shcp.gob.mx (Ministry of Finance, Federal

Government of Mexico)

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THANKS

END OF PRESENTATION

http://www.shcp.gob.mx/


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