2004年-世界发展银行全球_Fiscal_Decentralization_in____________Developing_and_Transition_Economies__Progress_Problems_and____________the_Promise_50页_376kb

Summary of "Fiscal Decentralization in Developing and Transition Economies"

Core Content

This paper explores the evolving dynamics of fiscal decentralization in developing and transition economies (DTEs), emphasizing the need for a balanced approach to governance that enhances responsiveness, accountability, and efficiency in public service delivery. It outlines the historical context of centralization in DTEs, the current push for decentralization, and the challenges and opportunities that arise from this shift.

Main Viewpoints

• Historical Context: Over the past half-century, DTEs largely followed centralized models of governance, which are now being re-evaluated due to new economic, political, and social realities.
• Drivers of Change: The push for decentralization is driven by several factors, including the collapse of collective ownership models, the need to address ethnic conflicts, central government failures, globalization, and the influence of international institutions and successful examples from Latin America.
• Conceptual Shifts: The paper highlights a transition from unitary governance structures to federal or confederal forms, with a focus on decentralizing decision-making to the local level to improve public accountability and responsiveness.
• Fiscal Federalism: The concept of fiscal federalism is introduced as a framework for understanding how responsibilities for taxation and spending should be assigned across different levels of government to ensure efficiency, equity, and accountability.
• Challenges of Localization: While decentralization can enhance citizen voice, choice, and exit options, it also presents risks such as local elite capture, macroeconomic instability, and the difficulty of achieving the right balance between different levels of governance.

Key Information

Fiscal Decentralization and Governance Evolution

• 20th vs. 21st Century Governance:
  • 20th Century: Unitary, centralized, bureaucratic, command and control, top-down accountability, internally dependent, closed and slow, intolerance of risk.
  • 21st Century: Federal/confederal, globalized and localized, participatory, responsive and accountable to citizens, bottom-up accountability, competitive, open and quick, freedom to fail/succeed.

Role of Governments in Public Service Delivery

• Central Government Responsibilities:
  • Preserving national efficiency (e.g., internal common market, public goods and services with cross-border benefits).
  • Safeguarding national equity (e.g., vertical and horizontal fiscal equity, legal equality).
  • Managing stabilization programs.
• Sub-national Government Responsibilities:
  • Local services such as education, health, infrastructure, and environmental management.
  • Sub-national governments are increasingly being tasked with delivering services that align with local needs and preferences.

Fiscal Federalism Principles

• Principle of Subsidiarity: Functions should be performed at the lowest level of government capable of effectively managing them.
• Correspondence Principle: The jurisdiction responsible for a public good should include the individuals who consume it.
• Fiscal Equivalency: Jurisdictional responsibilities should align with the benefits and costs of public services to avoid free-riding and ensure efficient delivery.

Impact of Globalization

• Globalization has led to a shift in the balance between citizen interests and consumer interests, prompting a greater focus on localization and regionalization.
• Sub-national governments are more effective in attracting foreign investment and managing local needs.
• Education and training, traditionally sub-national responsibilities, are increasingly seen as areas where national governments should play a more active role to enhance international competitiveness.

Trends in Expenditure Assignment

• Transition Economies:
  • Sub-national expenditures as a percentage of GDP declined from 17.2% in 1980 to 10.8% in 1999.
  • As a proportion of total public sector expenditures, sub-national spending fell from 44.9% to 22.3%.
• Developing Economies:
  • Sub-national expenditures as a percentage of GDP increased from 3% in 1980 to 6.1% in 1997.
  • As a proportion of total public sector expenditures, sub-national spending rose from 12.7% to 19.6%.
• Education and Health Expenditures:
  • In transition economies, sub-national education spending decreased from 71% in 1981 to 55% in 2000.
  • Sub-national health spending dropped from 92% in 1977 to 39.2% in 2000.
  • In developing countries, sub-national education and health spending increased significantly, reaching 40% and 57% of total public sector expenditures in 2000 respectively.

Institutional and Practical Considerations

• The paper emphasizes the importance of institutional mechanisms that ensure alignment between the public sector's mission, the authorizing environment, and operational capacity.
• Citizen voice, choice, and exit options are critical to the success of decentralized governance.
• The "voting with feet" concept suggests that citizens can influence policy by choosing where to live, thereby promoting better governance at the local level.

Challenges and Opportunities

• Conceptual Challenges: Determining the right balance between central and sub-national roles is complex and requires careful consideration of economic, social, and political factors.
• Practical Challenges: Bureaucratic culture, lack of fiscal discipline, and institutional barriers may hinder the effective implementation of decentralization.
• Emerging Trends: Globalization and localization are reinforcing each other, reducing the role of central governments in some areas and increasing their involvement in others.

Conclusion

The paper concludes that fiscal decentralization is a critical component of modern governance reform in DTEs. It requires a clear vision, strategic planning, and institutional support to ensure that public services are delivered efficiently, equitably, and responsively. The shift toward a more localized and participatory model of governance is inevitable but must be managed carefully to avoid new challenges and ensure long-term success.