The Politics of Multilevel Health Reform in Spain and Brazil

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The Politics of Multilevel Health Reform in Spain and Brazil Commitment, Capacity, and Community: the Politics of Multilevel Health Reform in Spain and Brazil by Sandra Chapman Osterkatz A dissertation submitted to the faculty of the University of North Carolina at Chapel Hill in partial fulfillment of the requirements for the degree of Doctor of Philosophy in the Department of Political Science. Chapel Hill 2013 Approved by: Evelyne Huber Liesbet Hooghe Gary Marks Alfred P. Montero John D. Stephens c 2013 Sandra Chapman Osterkatz ALL RIGHTS RESERVED ii ABSTRACT SANDRA CHAPMAN OSTERKATZ: Commitment, Capacity, and Community: the Politics of Multilevel Health Reform in Spain and Brazil. (Under the direction of Evelyne Huber) Inequality is a primary concern for many social and political actors, yet often the distributive profile of society seems over-determined by structure and institutions. Federalism, ethnic heterogeneity, and greater numbers of veto actors are near uni- versally associated with higher levels of inequality and less generous public support for the most vulnerable members of society. A key challenge for scholars has been unpacking multilevel governance and empirically assessing the way the territorial dis- tribution of authority interacts with other forces that determine policies, inhibiting clear theorizing about why and how particular territorial arrangements matter for distributive outcomes. In this dissertation I choose two \hard" cases in which we would not expect equity-enhancing social policy reforms and assess a similar attempt at universal health reform in both cases. Spain and Brazil share long histories of authoritarian rule, ethno-linguistic or racial heterogeneity, lack of fiscal capacity, and asymmetry in the territorial distribution of authority. Spain has been more successful than Brazil at establishing a universal health system that is efficient, sustainable, and broadly supported in society. In both cases the role of structural factors has been significant, yet I argue that particular constellations of ideological commitment at multiple levels of government and at key moments in the reform process, combined with fiscal and administrative capacity, explain much of the difference in outcomes. I take a mixed-method approach, using statistical and comparative historical analysis and assessing variation both between and within the countries. iii For my mom iv ACKNOWLEDGMENTS If it takes a village to raise a child, it takes a city for a parent to finish a dissertation. Juggling research, travel, teaching, and parenting has proved the most difficult part of this process, so I want to acknowledge those who made this possible, first and foremost. My partner, Sol Osterkatz, picked up his life to travel around the world over the course of a year and a half, working nights and weekends so that he could take care of our son while I did interviews. My mother, Jean Chapman, has been an unwavering supporter and provided childcare so that I could teach, read, and write. All her life she has walked the walk|using her intellect, as well as her hands (and feet!), in the pursuit of justice. And despite the fact that he had no say in the matter, Nathan Osterkatz (with much more grace than his parents at times) has spent the past few years deftly managing life on the road. I have a tremendous committee that has actively supported me throughout grad- uate school. Evelyne Huber has been a steadfast ally and advisor, helping me meet my goals for degree completion and taking the time to read every one of my pages several times, providing clear insights and constructive feedback at every step. John Stephens is the person whose course got me interested in pursuing a PhD to begin with, and has worked with me on this project for many years. Liesbet Hooghe and Gary Marks have been dedicated, enthusiastic, and tireless in their support. Al Mon- tero inspired me to take on the challenge of a cross-national subnational comparative project with his own research on Spain and Brazil and has been more than generous with his time and advice these past few years. I am deeply grateful to all of you for your mentoring|as a student and a new parent, it has meant a great deal. I would also like to express special thanks to Shannon Eubanks, Carol Nichols, and Chris v Reynolds in my home department for their professional and personal support. This project would not have been possible without a variety of funding sources. Field research was made possible by a Tinker pre-dissertation field research grant (2009), a UNC Graduate School off-campus grant (spring 2011), and a US Depart- ment of Education Foreign Language and Area Studies grant (fall 2011-spring 2012). Summer research funding came from the European Research Council Advanced Grant #249543 \Causes and Consequences of Multilevel Governance" and the Uhlman Fund from the UNC Chapel Hill Political Science Department. In Brazil I would like to thank Marta Arretche for all her input and assistance, as well as the Centro de Estudos da Metr´opole for research support and data. Without the generosity of the academics and policy makers who took the time to meet with me in Bahia, S~aoPaulo, Rio de Janeiro, and Bras´ılia,the project would not have been possible. I am indebted to Wendy Hunter and Kurt Weyland for talking through my project in its early stages, helping with contacts, and providing advice for traveling in Brazil with a baby. Natasha Borges Sugiyama, Kristin Wylie, Paula Leal, Lauren Biddle, and Russel Bither-Terry offered advice, support, and contacts during our time in Brazil. In particular, I would like to thank Cristiani Vera Machado for her frequent consultations on health policy in Brazil, F´abioand Ana Gomes for their friendship and intellectual support during our trips both in 2009 and 2011, and Vanessa Migone for being a fabulous caretaker and friend to Nathan in S~aoPaulo. In Spain I am deeply grateful to have had the love and support of our second family, Susana Palomos and Alain Gonz´alez(y familia). I extend many thanks to Mar´ıa Calle Su´arezand her family, who took me into their home and helped me understand Extremaduran politics, as well as answering many questions and sharing contacts over the past few years. I am grateful for the friendship and academic support of Iv´an Llamazares and the generosity of Manuel Alc´antara at the Universidad de Salamanca. vi In the Basque Country, Gorka Espiau has been a good friend and generous resource over the years. I would like to express my gratitude to the academics and policy makers who took the time to meet with me and answer my questions in Castilla y Le´on,Madrid, and the Basque Country. A dissertation is a long commitment and requires that we subordinate other as- pects of life to research at various times. My greatest fear in combining motherhood with graduate school was facing tradeoffs that I would regret later, either by not finishing or being unavailable as a parent. My amazing family and wonderful support community helped us all come through mostly unscathed. None of this would have been possible without my partner, who talked through my project on our morning dog walks and for the past six months has been a single parent on the weekends and evenings after coming home from his other full time job, so that I could write. Along with my mom I want to thank our sisters, Joyce and Leah, and Sol's parents, Svea and Arnie, for their support over the past six years. We are grateful to the large circle of friends, both near and far, who have provided encouragement and a sympathetic ear. You are too many to list and too dear to risk leaving someone out. Yet I want to express my deepest gratitude, in particular, to the academic mothers and fathers who have been such a source of strength for me personally|professors in my department and at other programs, graduate student colleagues with kids, and friends who have also juggled this life. Finally, I want to thank my dad, Yonni Chapman|UNC PhD, civil rights his- torian, and life long activist|who died while I was pregnant in my third year of graduate school and never got to meet his grandson or see me finish. I edited your dissertation, helped with your research, and saw you hooded just as I was beginning my own graduate school adventure. You always supported me and I know you would be proud. We miss you. vii TABLE OF CONTENTS 1 THE DEMOCRAT'S CONUNDRUM ............................................ 1 1.1 Case Selection ................................................................ 6 1.2 Understanding Health Outcome Indicators ................................ 10 2 THEORY ........................................................................... 13 2.1 Equity-Enhancing Health Reform .......................................... 13 2.2 Determinants of Health Inequality ......................................... 20 2.3 The Territorial Distribution of Authority .................................. 21 2.4 Commitment ................................................................. 32 2.4.1 Commitment vs. Electoral Strategy ................................ 34 2.5 Conflict Over the Reference Community ................................... 38 2.6 Capacity ...................................................................... 42 2.7 Timing and Sequence ........................................................ 46 2.8 Democracy ................................................................... 49 2.9 Income Inequality ............................................................ 51 2.10 Income and Growth.......................................................... 52 3 EVIDENCE
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