Você está na página 1de 107

ISSN 2183-8992

Volume 1, Number 1, 2016

Special Issue: Public Policies 2020

Paulo Neto and Maria Manuel Serrano


Editors
Public Policy
Portuguese Journal
Aims and Scope
Public Policy Portuguese Journal aims to publish high-quality theoretical, empirical, applied or policy-
oriented research papers on public policy. We will enforce a rigorous, fair and prompt refereeing
process. The geographical reference in the name of the journal only means that the journal is an
initiative of Portuguese scholars.

Editors
Paulo Neto, Universidade de vora, Portugal.
Maria Manuel Serrano, Universidade de vora, Portugal.

Editorial Board
Adriano Pimpo - Universidade do Algarve, Faculdade de Economia e Assembleia Intermunicipal do
Algarve | Ana Lcia Sargento - Instituto Politcnico de Leiria, Escola Superior de Tecnologia e Gesto
e Centro de Investigao em Gesto para a Sustentabilidade | Annette Bongardt - London School of
Economics and Political Science, European Institute, e Academic Steering Committee of the European
Studies Centre of St Antonys College, Oxford University | Antnio Ferreira Gomes - Autoridade da
Concorrncia | Antnio Manuel Figueiredo - Universidade do Porto, Faculdade de Economia e
Quarternaire Portugal | Antnio Oliveira das Neves - Instituto de Estudos Sociais e Econmicos (IESE)
| Artur Rosa Pires - Universidade de Aveiro, Departamento de Cincias Sociais, Polticas e do
Territrio, e Unidade de Investigao em Governana, Competitividade e Polticas Pblicas
(GOVCOPP) | Emlia Malcata Rebelo - Universidade do Porto, Faculdade de Engenharia, Centro de
Investigao do Territrio, Transportes e Ambiente | Eric Vaz - Ryerson University, Centre for
Geocomputation | Eduardo Medeiros - Universidade de Lisboa, Centro de Estudos Geogrficos (CEG)
e Instituto de Geografia e Ordenamento do Territrio (IGOT) | Francisco Torres - London School of
Economics and Political Science, European Institute, e Academic Steering Committee of the European
Studies Centre of St Antonys College, Oxford University. | Helena Saraiva - Instituto Politcnico da
Guarda, Unidade Tcnico-Cientfica de Gesto e Economia | Hugo Pinto - Universidade do Algarve,
Faculdade de Economia e Faculdade de Economia da Universidade de Coimbra, Centro de Estudos
Sociais (CES) | Joo Ferro - Universidade de Lisboa, Instituto de Cincias Sociais (ICS) | Joaquim
Mourato - Instituto Politcnico de Portalegre, Escola Superior de Tecnologia e Gesto | John Huw
Edwards - European Commission, Joint Research Centre, Smart Specialisation Platform, Institute for
Prospective Technological Studies | Jorge Miguel Bravo - Universidade Nova de Lisboa, Instituto
Superior de Estatstica e Gesto de Informao, Centro de Estudos e Formao Avanada em Gesto
e Economia da Universidade de vora (CEFAGE) e Observatrio dos Riscos Biomtricos da Associao
Portuguesa de Seguradores | Jos Pires Manso - Universidade da Beira Interior, Faculdade de
Cincias Sociais e Humanas | Jos Reis - Universidade de Coimbra, Faculdade de Economia e Centro
de Estudos Sociais (CES) | Lvia Madureira - Universidade de Trs-os-Montes e Alto-Douro,
Departamento de Economia e Sociologia, Centro de Estudos Transdisciplinares para o
Desenvolvimento (CETRAD) | Margarida Queirs - Universidade de Lisboa, Instituto de Geografia e
Ordenamento do Territrio (IGOT) e Centro de Estudos Geogrficos (CEG) | Maria do Cu Machado -
Universidade de Lisboa, Faculdade de Medicina e Departamento de Pediatria do Hospital Santa
Maria (CHLN) | Maria Manuela Natrio - Instituto Politcnico da Guarda, Escola Superior de
Tecnologia e Gesto da Guarda e Unidade de Investigao para o Desenvolvimento do Interior |
Maria Manuel Serrano - Universidade de vora, Departamento de Sociologia, Centro de Investigao
em Sociologia Econmica e das Organizaes do Instituto Superior de Economia e Gesto da
Universidade de Lisboa (SOCIUS/CSG-ISEG/UL) e Unidade de Monitorizao de Polticas Pblicas
(UMPP) | Michele Cincera - Universit Libre de Bruxelles, International Centre for Innovation,

1
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 1
Technology and Education Studies (iCite) e European Center for Advanced Research in Economics
and Statistics (ECARES) | Miguel de Castro Neto - Universidade Nova de Lisboa, Instituto Superior de
Estatstica e Gesto de Informao | Miguel Poiares Maduro - European University Institute, Robert
Schuman Centre | Paulo Neto - Universidade de vora, Departamento de Economia, Centro de
Estudos e Formao Avanada em Gesto e Economia (CEFAGE) e Unidade de Monitorizao de
Polticas Pblicas (UMPP) | Pedro Nogueira Ramos - Universidade de Coimbra, Faculdade de
Economia e Grupo de Estudos Monetrios e Financeiros (GEMF) | Raul Lopes - ISCTE-Instituto
Universitrio de Lisboa, Escola de Sociologia e Polticas Pblicas, Dinamia e Instituto de Polticas
Pblicas e Sociais (IPPS-IUL) | Regina Salvador - Universidade Nova de Lisboa, Faculdade de Cincias
Sociais e Humanas | Rui Amaro Alves - Direo-Geral do Territrio | Rui Leo Martinho - Bastonrio
da Ordem dos Economistas | Rui Nuno Baleiras - Conselho das Finanas Pblicas | Rui Santana -
Universidade Nova de Lisboa, Escola Nacional de Sade Pblica | Srgio Caramelo - ISCTE-Instituto
Universitrio de Lisboa, Escola de Sociologia e Polticas Pblicas, Dinamia e Instituto de Polticas
Pblicas e Sociais (IPPS-IUL) | Teresa Noronha - Universidade do Algarve, Faculdade de Economia e
Centro de Investigao sobre o Espao e as Organizaes da Universidade do Algarve (CIEO-UALG) |
Vtor Gabriel - Instituto Politcnico da Guarda, Unidade Tcnico-Cientfica de Gesto e Economia.

Cover Design
Cristina Brzio, Universidade de vora

Typesetting
UMPP, Universidade de vora

Publication Information
Public Policy Portuguese Journal is published online by Universidade de vora and UMPP - Unidade
de Monitorizao de Polticas Pblicas / Planning and Evaluation Unit for Public Policies, Largo dos
Colegiais, 2, 7000-803 vora, Portugal.

Manuscripts are invited for publication


You can submit your papers via e-mail to umpp@uevora.pt. Submisson guidelines are available at
http://www.umpp.uevora.pt/publicacoes/Public-Policy-Portuguese-Journal

ISSN 2183-8992

Universidade de vora, UMPP, Portugal, 2016. All rights reserved.

2
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 2
Public Policy
Portuguese Journal
Volume 1, Number 1, 2016

CONTENTS

Editorial 4

Productivity and employment in firms access to public funding to support


innovation 6
Anabela Santos, Michele Cincera, Paulo Neto and Maria Manuel Serrano

Bloqueios institucionais e possveis solues para a operacionalizao de polticas


transversais: O caso do desenvolvimento econmico em Portugal 28
Rui Nuno Baleiras

Economic reform under Europe 2020 57


Annette Bongardt and Francisco Torres

Territorial impact assessment and public policies: The case of Portugal and the EU 68
Eduardo Medeiros

Reforma da poltica de ordenamento do territrio 77


Miguel de Castro Neto, Tiago de Melo Cartaxo, Micaela Giestas Salvador,
Teresa Mouro Ferreira, Joo Sousa Rego e Sofia Correia Pais

Science, technology and innovation and public policy in Portugal: Trajectories


towards 2020 94
Hugo Pinto

3
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 3
Editorial
The Unidade de Monitorizao de Polticas Pblicas (UMPP) at the University of vora is a technical
and scientific structure devoted to producing knowledge and information about the conception,
monitoring and assessment of public policies.
To fulfil the objective of disseminating the scientific knowledge produced, in relation to several
scientific domains, about public policies, the UMPP created and publishes the Public Policy
Portuguese Journal, an online scientific journal dealing with the subject of public policies.
The Public Policy Portuguese Journal is now launching its first edition, a Special Issue devoted to
Public Policies 2020, which is formed of six articles. Preparing these articles involved fifteen authors
from five Portuguese universities, a Belgian university and an English university, as well as the
Research Centres to which the authors are connected.
The six articles forming this first edition of the Public Policy Portuguese Journal give it coherence in
terms of the subject, in the sphere of public policies, and diversity in the approaches taken. Although
all the articles concern public policies, as a whole they are seen to form a range of diversified sub-
topics, leading to its enhancement. The articles focus on analysis of public policies in various
dimensions, such as firms access to public financing, the operationalization of transversal public
policies, economic reform, assessment of the territorial impact of public policies, the reform of
policies on land-use planning and public policies on science, technology and innovation.
In order to provide an overall and summarized view of the contents of this first edition of the Public
Policy Portuguese Journal, the abstracts written by the authors are used, followed by a brief
presentation of the articles.
The opening article is entitled Productivity and employment in firms access to public funding to
support innovation and is the work of Anabela Santos, Michele Cincera, Paulo Neto and Maria
Manuel Serrano. This article aims to assess how the expected impact on firm productivity and
employment is taken into account, when firms apply for public funding for innovation. The analysis is
based on the case study of the Portuguese Innovation Incentive System in the Alentejo region. In
order to understand which factors influence the public decision to financially support private
investment, a logit model was estimated based on firms and applications characteristics, controlling
for the macroeconomic environment. The results indicate that government preferences for
promoting exports, exploiting firms R&D results and stimulating the level of qualified employment
are more relevant than the impact on firm productivity. Furthermore, the cost to the government of
new jobs created, measured at least by exemption of interest and financial charges on the loan, is
almost twice as much for non-SMEs as for SMEs.
The article by Rui Nuno Baleiras, Bloqueios institucionais e possveis solues para a
operacionalizao de polticas transversais: o caso do desenvolvimento econmico em Portugal,
analyses the effect of the institutional process upon the effectiveness of horizontal public policies.
Economic development is the focus of the article. Public action effectiveness hinges critically on how
policies get together to mobilize drivers of regional development. Transporting lessons from scientific
knowledge and international empirical evidence to Portugal allows us to identify a number of flaws in
the Portuguese institutional architecture and to recommend solution avenues to make the economic
development of Portuguese territories more inclusive and sustainable. These recommendations
concentrate on place-based sectorally-integrated approaches which lead to a significant
improvement in horizontal and vertical governance mechanisms, and the adoption of policy tools
with a view to the internalization of association economies between the three territorial layers of
government and societys actors in regional development.
In the third article, Economic reform under Europe 2020, Annette Bongardt and Francisco Torres
ask what is the state of, and what are the prospects for, economic reform under the Europe 2020
strategy and the European semester, within the context of economic policy coordination in the
European Union (EU) and in the Eurozone. After briefly setting out the framework for economic
policy coordination established since Maastricht, it sheds light on the Lisbon strategys problem-
laden legacy for the Europe 2020 strategy (2011-2020): the issues of non-binding member-state
commitment to an EU-wide reform agenda, and of member-state failure to create sufficient
ownership of reform. The article then examines the workings of the Europe 2020 strategy the EUs
economic and institutional modernisation strategy for the current decade with regard to structural

4
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 4
reform especially in the Eurozone. It addresses the question of the effectiveness of the European
semester process in light of the sovereign debt crisis. The article concludes that the Europe 2020
strategy continues to be valid in the EU context, but that for the strategy to deliver, member-states
must get their act together and create ownership of reform for national adjustment capacity.
In the article Territorial impact assessment and public policies: the case of Portugal and EU,
Eduardo Medeiros seeks to summarize the developments occurring in the implementation of
Territorial Impact Assessment procedures, both in the European Union and in Portugal. Briefly, the
critical analysis is focused on the growing importance of the use of a more holistic and territorial
perspective in evaluating the impacts of public policies. Yet, despite all the positive steps taken in the
implementation of Territorial Impact Assessment procedures, particularly by some European
Institutions, there is still a long way to go before solid ground in its full exploitation is established. At
the same time, the Policy Impact Assessment procedures in Portugal merely follow the EU
orientations and legislation, with the exception of the Environmental Impacts Assessment
procedures. Similarly, the Territorial Impact Assessment procedures are not yet implemented in the
existing legislation, and are mostly disregarded by the existing National and Regional National Spatial
Policy Programmes, with some honourable exceptions.
The article Reforma da poltica de ordenamento do territrio is approached by Miguel de Castro
Neto, Tiago de Melo Cartaxo, Micaela Giestas Salvador, Teresa Mouro Ferreira, Joo Sousa Rego and
Sofia Correia Pais. Land-use is a subject involving many interests and various protagonists, from
Public Administration to investors, and including the residents of the cities, towns and villages in
Portugal. In recent decades, there has been varied criticism of the path followed by national policies
in this area. Nevertheless, few alterations have been implemented and few measures have since
been developed to change the state-of-the-art. Only with the reform approved in 2014 was the
paradigm of the Portuguese system changed. This article aims to identify the starting points and
analyse the route taken throughout the implementation of this land-use reform, stimulated by the
approval and publication of new general bases of public policy for soil, land-use and town-planning.
Finally, an attempt is made to leave some perspectives about future challenges for both the public
and private sectors, without forgetting the concerns and well-being of citizens, who are the main
protagonists in the land that is to be organized.
The article by Hugo Pinto, Science, technology and innovation and public policy in Portugal:
trajectories towards 2020, closes this first edition of the Public Policy Portuguese Journal. Setting
out from the assumption that science, technology and innovation are of crucial relevance for socio-
economic development, this article presents a perspective of the institutional change in Portugal in
this domain, between 2000 and 2014, with the identification of policies, key actors and incentives for
stimulating the emergence of innovation. It presents a chronology of policies on science, technology
and innovation that changed the landscape of innovation in Portugal. The article presents the
context and policy-orientations for policy-making towards 2020, in particular the impacts of
economic crisis on the Portuguese STI system and the Europe 2020 guidelines for smart
specialisation. The article concludes with considerations about the evolution of the innovation
landscape in Portugal and the relevance of these changes for public policy implementation in the
period up to 2020.

Paulo Neto
Maria Manuel Serrano

5
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 5
Public Policy Portuguese Journal
2016, Volume 1, Number 1, pp. 6-27
Universidade de vora, UMPP - Unidade
de Monitorizao de Polticas Pblicas
www.umpp.uevora.pt

Productivity and employment in firms access to


public funding to support innovation1, 2

Anabela Santos
Universit Libre de Bruxelles, iCite
asantos@ulb.ac.be (corresponding author)

Michele Cincera
Universit Libre de Bruxelles, iCite and ECARES
mcincera@ulb.ac.be

Paulo Neto
Universidade de vora, UMPP, CEFAGE-U and CIEO-UALG
neto@uevora.pt

Maria Manuel Serrano


Universidade de vora, UMPP and SOCIUS-CSG/ISEG-UL
mariaserrano@uevora.pt

ABSTRACT
Innovation is at the heart of the Europe 2020 Strategy, in order to promote higher levels of employment and
productivity. Special attention is given to increasing the effectiveness of innovation policy instruments, mainly
as some authors found evidence that productivity could be negatively affected by subsidies.
The aim of the study is to assess how the expected impact on firm productivity and employment is taken into
account, when firms apply for public funding for innovation. The analysis is based on the case study of the
Portuguese Innovation Incentive System in the Alentejo region. In order to understand which factors influence
the public decision to financially support private investment, we estimated a logit model based on firms and
applications characteristics, controlling for the macroeconomic environment. The results indicate that
government preferences for promoting exports, exploiting firms R&D results and stimulating the level of
qualified employment are shown to be more relevant than the impact on firm productivity. Furthermore, the
cost to the government of new jobs created, measured at least by exemption of interest and financial charges
on the loan, is almost twice as much for non-SMEs as for SMEs.

Keywords: Public funding, Innovation, Productivity, Employment


JEL classification: L53, O31, O38, D24.

1 This work was supported by the Portuguese national funding agency for science, research and technology (FCT), under the
Project UID/SOC/04521/2013.
2 The present article is an extended and significantly improved version of the papers presented to the 24th APDR Workshop

Entrepreneurship and Performance in a Regional Context held in Lisbon, on March 17 2016 (Santos, Cincera, Neto and
Serrano, 2016a) and the RSA Workshop Learning from Implementation and Evaluation of the EU Cohesion Policy held in
Brussels, on June 13 2016 (Santos, Cincera, Neto and Serrano, 2016b).

6
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 6
INTRODUCTION macroeconomic factors (such as, interest rate in
the Portuguese capital market, regional GDP
Increasing employment, productivity and social
variation and regional concentration of skilled
cohesion are the main targets of the Europe
workers).
2020 Strategy, and innovation plays an
important role in this. Two ways to increase firm The paper is structured as follows. After this
competitiveness or productivity is through a introduction, Section 1 explains how the EU
more qualified workforce or through innovative 2020 Strategy is implemented in the Portuguese
investment (e.g. introducing new technologies or Alentejo Region and discusses the background
developing new working processes). theory about the determinants of receiving
public support, considering productivity,
Under the Community Support Frameworks
innovation and employment. Section 2 presents
2007 2013, Portugal received around 21.5
data collection and the methodological approach
billion from the European Commission in order
implemented. Section 3 presents the results and
to promote jobs, innovation, competitiveness
their discussion, and Section 4 presents the main
and productivity (Observatrio do QCA III, 2007).
conclusions and some policy recommendations.
Nevertheless, the countrys performance is still
far below the EU average. For the period 2014 -
2020, Portugal will receive around 25 billion, to 1. BACKGROUND THEORY
stimulate growth and create jobs. 1.1. From the Europe 2020 strategy to Regional and
One justification of public support for Research Innovation Policy in Portuguese Alentejo Region
& Development & Innovation (RDI) is due to the The main priorities of the Europe 2020 strategy
presence of market failings. Public intervention are smart, sustainable and inclusive growth for
aims to fill the financial gap, in order to improve the European Union. With these three targets,
knowledge production and come as close as the European Commission intends to develop an
possible to the socially optimal level. To achieve economy based on knowledge and innovation
this goal, governments give special attention to smart promoting a more resource-efficient,
increasing the effectiveness and efficiency of greener and more competitive economy
innovation policy instruments. sustainable and fostering a high-employment
The paper focuses on understanding how the economy delivering social and territorial
expected impact on firm productivity and cohesion inclusive (European Commission,
employment is taken into account, when firms 2010:4).
apply for public funding for innovation. More To achieve these targets, in March 2010 the
precisely, the study intends to answer the European Commission created for the period
following research questions: i) Is improved 2014-2020, seven flagship Initiatives: i) Digital
productivity and the creation of new jobs Agenda for Europe; ii) Innovation Union; iii)
contemplated in all the applications submitted Youth on the move; iv) Resource-efficient
and selected? ii) How have these objectives been Europe; v) An industrial policy for the
taken into account in the selection process? iii) globalization era; vi) An Agenda for new skills
How much has each new job created cost? and jobs; vii) European platform against poverty.
The analysis is based on the case study of In March 2012, the EU Commission presented
Portuguese Innovation Incentive System (SI the Common Strategic Framework (CSF) in order
Innovation) and on the applications submitted to help Member States and their regions in
between 2007 and 2013 by firms intending to programming and setting clear investment
implement an investment project in Alentejo. priorities for the next financial planning period
The dataset was built with cross-information from 2014 until 2020. The main purpose of
from Information System of the National the CSF is to provide clearer strategic direction
Strategic Reference Framework (NSRF) Incentive to the programming process at the level of
Scheme and statistical data from official entities Member States and regions, and is therefore
(e.g. Statistics Portugal and Bank of Portugal). expected to contribute proportionally to the
The methodological approach combines several European objectives established by the Europe
techniques such as descriptive statistics, mean 2020 Initiative. A central issue of this framework
differences, binary logit model and cost- is also to "increase coherence between policy
effectiveness indicators. Explanatory variables commitments made in the context of Europe
are connected to firms characteristics (namely, 2020 and investment on the ground (European
size, activity sector, financial performance and Commission, 2012).
risk level), applications characteristics and Under the Common Strategic Framework,
expected impact on applicant firms, and considered as a mandatory ex ante

7
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 7
conditionality, for member states and their adopted by the Alentejo are the following: i)
respective regions was the construction of Smart Food and forestry; ii) Economy of mineral,
Specialization Strategies. According to the natural and environmental resources; iii)
Cohesion Policy 2014-2020, Smart Specialization Heritage, cultural and creative industries and
Strategies (S3) are a prerequisite, but beyond a tourism services; iv) Critical technologies, energy
prerequisite, S3 will be the logical rational and smart mobility; v) Technologies and
framework, both strategic and tactical, forming specialized services of the social economy
the basis for the definition of regional/national CCDRA (2014).
guidelines on social, economic, technological, In the Portuguese Alentejo region, Regional
scientific, cultural and regional planning. In the Policy instruments, and consequently Smart
context of Europe 2020, smart specialization Specialization Strategy, are managed by the
emerges therefore as a key element for place Commission for Coordination and Regional
based innovation policies (European Development of the Alentejo (CCDRA) and
Commission, 2012: 8). financial resources are allocated through the
Success in achieving Europe 2020 goals will be Alentejo Regional Operational Program (PO
determined by decisions made at local and Alentejo). The present paper focuses on three of
regional levels, and Regional policy1is vital in the nine priorities of this program, these being i)
mobilizing the full innovation potential of EU Competitiveness and SME internationalization;
regions (European Commission, 2011:2). Regions ii) Research, technological development and
across Europe have different endowments, innovation and iii) Employment and economic
capabilities and performance. Therefore, there enhancement of endogenous resources.
are potentially major advantages in using An important instrument under the PO Alentejo
strategies that exploit an original and globally is the Portuguese Innovation Incentive System
competitive specialization niche (European (SI Innovation). At the national level, the SI
Commission, 2011:2). Smart Specialization Innovation is included in the National Strategic
Strategies can help regions to concentrate Reference Framework (NSRD) 2007 2013 and,
resources on a few key Research and Innovation within this, in the Operational Program for
(R&I) priorities and ensure more effective use of Competitiveness Factors (COMPETE). The budget
public funds (European Commission, 2011:2). allocated to SI Innovation, between 2007 and
Through its "Strategy for Research and 2013, was close to 2 billion euros, which
Innovation for a Smart Specialization 2014- represents about 10% of the total NSRD budget
2020, Portugal focuses its national smart and 50% of the total COMPETE budget
specialization strategy on the following (Comisso de Acompanhamento do POFC,
economic activities: i) Production technologies 2015:30).
and production industries; ii) Automotive, By assigning subsidized loans2, the SI Innovation
aeronautics and space; iii) Multi-functional has the main goal of promoting firm innovation,
forestry; iv) Sustainable fishing; v) Valorization of to boost their internationalization and to
marine ecosystems and links with renewable stimulate qualified entrepreneurship. Public
energy; vi) Deep sea mining; v) Coastal tourism, support for innovation is given in the last phase
culture, sport and leisure; vi) Sustainable of the innovation process, when R&D becomes
exploitation of natural resources, especially patentable (outcomes) and/or gives rise to a
water; vii) Health & health tourism; viii) Tourism new marketable service or good. This explains
with a focus on ICTs to create national value why the cost of patent application is an eligible
chains; ix) Clustering of cultural & creative expense and R&D expenditure is not subsidized
industries to achieve impact; x) Eco-construction under SI Innovation3.
linked to habitat IAPMEI, FCT, ANI and
The beneficiaries of SI Innovation are companies
COMPETE (2014). The S3 Strategic Priorities
from the manufacturing industry, commerce,
services, tourism, energy, transport and logistics
1 The EU regional Policy is a strategic investment policy sectors. Public support is distributed by means of
targeting all EU regions and cities in order to boost their calls, whereby firms submit an application and
economic growth and improve peoples quality of life (EC, the selection process is based on four main
2014: 1-3). Financial resources are used to support small
and medium-sized enterprises (SME) to become more
2 A subsidized loan is a repayable subsidy, as a loan, but
innovative and competitive, to create new and permanent
job opportunities, to finance strategic transport and without any interest and finance charges.
communication infrastructures, to modernize the education 3 Direct public support for R&D is given under the

system and to promote a more environmentally-friendly Incentive System for Technology Research and
economy (EC, 2014: 3). Development in companies.

8
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 8
criteria: i) Quality of the project; ii) Impact of the activities and firms face financing constraints as
project on the company's competitiveness; iii) a result of asymmetric information. Asymmetric
Contribution of the project to national information in the financial markets is due, on
competitiveness and; iv) Contribution of the one hand, to the risks and uncertainties inherent
project to regional competitiveness and to R&D activities (Cincera and Ravet, 2010), and
territorial economic cohesion. Within these on the other hand, to the entrepreneurs
fields, we can highlight the followings difficulty in providing a clear and credible
dimensions in the regulation of SI Innovation: i) commitment to the investor (Hlzl and Peneder,
increased productivity; ii) representativeness in 2013: 734). When the quality of a project is not
the international market; iii) exploitation of R&D easily recognized, investors refuse credit or raise
results; and iv) creation of highly-skilled jobs, the interest rate due to the higher project risk
wealth and employment in the region. (Hlzl and Peneder, 2013: 734).
Public policies to support entrepreneurship and
1.2. Productivity, Innovation and Subsidy innovation play a vital role when firms have
Productivity measures the quantity of output per difficulties in accessing finance. Erden &
input unit. Capital (K) and Labor (L) are included Holcombe (2005) demonstrated that public
in inputs and output represents the volume of investment can have a leverage effect on private
production obtained from inputs. When investment, especially when access to bank
productivity involves a measure of value, credit is limited. Some firms, particularly small
authors commonly use the labor productivity and innovative ones, have more constraints and
concept, which corresponds to the added difficulties in accessing finance, since they tend
value1per employee (Sakamoto, 2010:49). to have riskier projects and business models
(Lee, Sameen and Cowling, 2015). In the
According to Sakamoto (2010:52-53), a main
presence of market failings, public support aims
reason for improving productivity could be a
to fill the financial gap in order to promote
higher standard of living. This author explains
innovation and competitiveness, through
that standard of living can be improved by
increased productivity. However, public
working fewer hours, higher wages, and more
subsidies can not only have a positive effect on
and better jobs, and which is possible with an
firms productivity but also a negative one
increase in labor productivity. From a
(Figure 1).
government perspective, there is a clear
incentive to increase productivity, due to its
implications for economic development and
growth. Nevertheless, firms motivation for
increasing productivity is essentially associated
with competitiveness, because an increase in
their productivity could lead to the reduction of
output production cost. Therefore, a main
question of interest is how firms can improve
their productivity?
In order to maximize the impact of inputs on
output, firms can use technological advances
and/or increase the skills of their workforce. In
both cases, they expect a reduction in the time
to produce each unit of output. Innovation
appears as a means to develop new technologies
or processes and is linked to investment (e.g.
R&D activities or new equipment).
Financing innovation is often an issue (see e.g.
Cincera, 2003; Cincera and Ravet, 2010).
According to Hlzl and Peneder (2013: 734),
imperfections in capital markets are the second
cause of underinvestment in innovation

1 Added value represents the production factor


remuneration (wages, interest and profit) or the revenue
less intermediate consumption.

9
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 9
FIGURE 1. IMPACT OF CAPITAL SUBSIDIES ON PRODUCTIVITY
Capital subsidies

(grants and tax incentives)



Positive effect Negative effect

Subsidy = higher profits


Replacement Lower relative capital
More net investment + firms over-reliant on
investment costs
subsidies

Lack of effort from
Additional productive Modernization of manager and worker +
Overinvest in capital
capacity capital stock fail to reorganize
activities

New product
Allocation inefficiencies Technical inefficiencies
More exports
Higher efficiency (less than optimal (non-maximization of
allocation of resources output for a given
Better use of economies to maximize benefits) input)
of scale
Source: Authors own elaboration based on Bergstrm (2000) and Harris and Taylor (2005).

On one hand, if subsidies allow firms to invest in authors (Dew-Becker and Gordon, 2012) found a
technological development, firms can increase negative correlation between the growth of
their productive capacity, which combined with labor productivity and employment per capita
a better use of economies of scale lead to across EU-15. So an increase in employment,
productivity increases (Bergstrm, 2000:184). On through new job creation stimulated by
the other hand, subsidies can also have a subsidies, can induce a decrease in labor
function of investment replacement, allowing productivity if the employment level grows
firms to make more efficient use of input faster than productive capacity. How can
resources, but without an increase in productive governments manage this trade-off? How is
capacity (Harris and Taylor, 2005). However, productivity and employment taken into account
subsidies can also make firms less productive for when governments award a grant? Which
at least two reasons: i) first, because a subsidy factors are determinant in the allocation of firm
gives the recipient firms an incentive to change subsidies?
the mix of capital and labor (Bergstrm, 2000:
184), through providing capital at a lower
1.3. Who gets public support? Productivity and
relative cost or as compensation for new job
employment in the selection process
creation. In this case, subsidies can lead to
allocation inefficiencies if subsidized firms over- The scientific literature on regional, industrial
invest in capital (Bergstrm, 2000: 184) or and innovation policies identifies the following
overshoot the optimal amount of employment in main characteristics for firms receiving subsidies:
order to gain a subsidy (Bernini and Pellegrini, age, employment level (firm size), productivity,
2011:264); ii) second, subsidization can also previous experience of receiving subsidies, the
induce technical inefficiencies, if the subsidy is qualification of human capital, patent stock, past
perceived by firms as an additional source of R&D activities and export intensity. On average,
profits and if this potential of new income leads government tends to have two main behaviors
to a lack of effort by managers and workers in the selection process: i) selecting firms that
(Bergstrm, 2000: 184). In this case, when firms are already best performers (e.g. with higher
are over-reliant on subsidies, they may also tend levels of exports, patent stock, skilled jobs and
to fail in reorganizing their activities (Harris and R&D activities or productivity), based on the
Taylor, 2005). picking the winner principle and ii) financially
supporting firms characterized by greater
One challenge of EU regional and innovation
financial constraints, for instance, smaller firms
policy is to find a trade-off between employment
or firms located in the poorest regions.
growth and improved productivity. Indeed, some

10
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 10
As regards the main target of the paper - Employment level, used to measure firm size,
productivity and employment in the selection could have a positive or negative impact on the
process - some authors (see e.g. Bergstrm, likelihood of receiving some public support
2000; Bernini and Pellegrini, 2011) found that (Table 1). Large firms benefit from greater
firms selected for grants tend to be less labour innovation and management capacity, which
productive in the pre-intervention period, which means greater potential to reach positive
could be in line with the principle that economic outcomes (Hud and Hussinger, 2015),
governments choose to help firms with more but typically, policy instruments are more
needs, i.e. with a previous lower performance. focused on providing support to small and
Nevertheless, for other authors, selected firms medium-sized firms (Czarnitzki and Lopes Bento,
have higher productivity (e.g. Harris and Taylor, 2011). Indeed, small firms may be more credit-
2005; Sissoko, 2011) or higher productivity constrained (Cincera, 2003; Lee et al., 2015), and
growth in the year before the subsidy is awarded the public agency may be willing to favor small
(Karhunen and Huovari, 2015). For those cases, firms for this reason (Busom, 2000).
one possible explanation could be that more
productive firms submit better projects.

TABLE 1. PRODUCTIVITY AND EMPLOYMENT LEVEL IN A FIRM'S PROBABILITY OF GETTING A SUBSIDY


Authors Country, policy orientation and model Impact of explanatory variables
(+) Value added (Y)
(+) Capital Stock (K = Total assets)
Sweden
Bergstrm (+) Number of employees (L)
Industrial Policy
(2000) (+) Age (= Year firm was founded)
Logit model
(-) Productivity (Y/L)
(+) Capital intensity (K/L)
Ireland (-) N. of employees
Harris and
Industrial Policy (+) Productivity (K/L)
Taylor (2005)
Probit model (+) Age
(-) Productivity (= output per employee)
Italy
Bernini and (+) and (-) Employment (squared)
Regional Policy
Pellegrini (2011) (+) and (-) own Capital (cubed)
Logit model
(+) Large firm
(+) Age
France (+) N. of employees
Sissoko (2011) Innovation Policy (+) Productivity (= TFP)
Logit model (+) Export intensity
(+) Growth rate of capital investment
(+) Turnover
(+) N. of employees
Finland (+) Labor productivity growth (= value added per employee)
Karhunen and
Innovation Policy (+) Export experience
Huovari (2015)
Probit model (-) Foreign capital ownership
(+) Share of skilled workers
(+) Subsidy history
Source: Authors own elaboration based on Bergstrm (2000), Harris and Taylor (2005), Bernini and Pellegrini (2011),
Sissoko (2011) and Karhunen and Huovari (2015).

Turning to the other characteristics of firms experience related variables are significant
getting subsidies, young firms also have more suggests that subsidies might not be the best
limited access to the capital market and policy to induce firms that did not have previous
insufficient financial resources to invest in R&D activities to get them started.
innovative projects (Aschhoff, 2009). In order to Previous experience in innovation projects,
fill the market gap, innovation policy usually measured by past R&D activities or in other
gives special attention to start-up companies funding programs, could have a positive impact
(Czarnitzki and Lopes Bento, 2011). However, on the probability of receiving (new) public
more experienced firms are more aware of the support, because public authorities tend to
value of innovation and may present better follow the pick the winner principle, with the
proposals, becoming thus more likely to be aim of minimizing the risk of failure (Czarnitzki
selected by the agency (Busom, 2000:126). and Fier 2002; Aerts and Thorwarth, 2008;
According to Busom (2000: 126), the fact that Aschhoff, 2009; Czarnitzki and Lopes Bento,

11
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 11
2011). Firms patent stock is another indicator of for external factors which affect SMEs access to
successful R&D activities with an expected finance and growth.
positive impact on the probability of getting a A novelty introduced in the present paper is to
subsidy (Aerts and Thorwarth, 2008). include in the analysis the investment project
An additional indicator of the quality of the characteristics, namely the expected impact on
firms innovative capacity is the presence of firm productivity and employment. Indeed, in
highly qualified personnel. Indeed, the ability to the studies cited above, authors only assess the
develop and implement an R&D project is probability of getting a subsidy taking into
strongly related to the skills of the firms human account firms characteristics in the year before
capital (Blanes and Busom, 2004). receiving the grant, with few authors providing a
Firms that are part of an enterprise group are precise analysis of the process of selecting
more likely to benefit from potential spillover applicants for public support.
effects as a result of network linkages (Czarnitzki
and Lopes Bento, 2011), which could also 2. DATA AND METHODOLOGY
influence government evaluators to select this
The analysis is based on the case study of
kind of firm (Hud and Hussinger, 2015).
Portuguese Innovation Incentive System (SI
However, firms with foreign capital ownership
Innovation) and on applications submitted
are found to be less likely to obtain an
between 2007 and 2013 by firms intending to
innovation subsidy (Karhunen and Huovari,
implement an investment project in the Alentejo
2015). According to Busom (2000:126), one
region. The sample includes both applications
possible explanation could be that core R&D
evaluated and managed at the regional (450
activities may be located in another country, and
observations)2 and national level (177
those carried out in the country giving the
observations).
subsidy may be mostly focused on development,
with little innovative content. The dataset was built with cross-information
extracted from the Information System of the
Firms more active in foreign markets, measured
NSRF Incentive Scheme, Statistics Portugal (INE)
by export intensity, may also be more innovative
and the Bank of Portugal. The first data source
than others (Aerts and Thorwarth, 2008;
provided information about firm and application
Czarnitzki and Lopes Bento, 2011; Sissoko
characteristics, the second source provided
(2011); Karhunen and Huovari (2015), Hud and
information on regional macroeconomic
Hussinger, 2015) and are consequently more
conditions and the third source provided
likely to achieve higher performance and more
information concerning the cost of external
successful projects.
financing in Portugal.
In the analysis and model developed in sections
The methodological approach adopted combines
3 and 4, we include firms characteristics in the
several techniques such as descriptive statistics,
year before submitting the application, such as
mean differences in a binary choice model and
their size, innovative capacity and foreign trade
cost-effectiveness indicators. Each of these
experience. Other indicators used by banks
techniques plays a specific role in answering the
when assessing credit risk, namely the return on
research questions initially set.
equity and the solvency ratio of applicant firms
(see e.g. Louizis et al., 2012; Chaibi and Ftiti, Sample description and the t tests on the
2015), are also included in order to control for equality of means - between approved and non-
the effectiveness of SI Innovation in approved applications - are used to answer the
counteracting debt and equity financing first research question: Is improved productivity
constraints. Indeed, firms with historically lower and the creation of new jobs contemplated in all
levels of these indicators are less attractive for the applications submitted and selected?
new investors or banks, because they show A binary logit model is used to understand which
lower performance and more financial factors influence the probability of having an
vulnerability. Macroeconomic factors in the year application approved, therefore allowing a
of submitting the application, measured by the response to the second research question: How
interest rate in the Portuguese debt capital have improved productivity and the creation of
market, regional1GDP variation and the
concentration of skilled employees are also
taken into account with the aim of controlling 2 Previous studies (Santos, Cincera, Neto and Serrano,
2016a; Santos, Cincera, Neto and Serrano, 2016b) only
focus on applications evaluated and managed in Alentejo at
the regional level.
1 In Alentejo sub-region NUTS level 3.

12
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 12
new jobs been taken into account in the selection investment project and iv) macroeconomic
process? conditions (for more details see Table 2).
This analysis is based on binary choice models
because has only two possible values, coded = 1| = ( , ) (1)
as 1 if the application is approved and 0 if not.
The model (1) describes the probability of
receiving public support taking into account the The cost-effectiveness indicator, which
individual characteristics of each application ( ). represent the ratio between outcomes (e.g. new
Explanatory variables belong to four groups: i) expected jobs created) and inputs (e.g.
firm characteristics; ii) application subsidized loan), lets us estimate the cost
characteristics; iii) foreseen impact of the associated with the creation of new jobs the
third research question initially set.

TABLE 2. VARIABLE NAME AND DESCRIPTION


Variable name Variable description
job_pre Number of employees in the firms in the year before submitting the application.
Micro, small and medium firms and non-SMEs. Dummy variable. Micro-firms are the
firm size
omitted reference category.
nr_partner Number of firm partners.
Firms characteristics

solvability_pre Solvability ratio (equity/debt) in the year before submitting the application
roe_pre Return on Equity ratio (net income/equity) in the year before submitting the application.
Has the company a history of R&D activities in the year before submitting the application?
rd_pre_yes
Dummy variable, where Yes = 1 and No = 0.
Has the company already a patent stock in the year before submitting the application?
patent_ pre_yes
Dummy variable, where Yes = 1 and No = 0.
Has the company a history of R&D activities in the year before submitting the application?
export_pre_yes
Dummy variable, where Yes = 1 and No = 0.
Has the company submitted an application to the Innovation Incentive System before this
submit_before
one? Dummy variable, where Yes = 1 and No = 0.
Activity sector of the application: manufacturing industry, tourism activities, service sector
activity sector
characteristics

and other. Dummy variable. Other_sectors is the omitted reference category.


Project

Total amount of investment foreseen by the company on the application form. Variable
ln_investment
expressed as a logarithm.
Is the project included in the networking project? Dummy variable, where Yes = 1 and No =
Network
0.
Variation of labor productivity (difference between gross added value per employee after
Productivity and before project implementation) foreseen as result of the investment project. Values
expressed in millions of euros.
Project impact (foreseen)

Variation of skilled jobs (number) foreseen by the applicant as the result of investment
skill_job project. Under the program regulation, a highly qualified worker is a person with at least a
post-secondary pre-tertiary level of education.
Variation in non-skilled jobs (number) foreseen by the applicant as the result of investment
no_skill_job
project.
Variation in export intensity (ratio between international turnover and total turnover)
Export
foreseen by the applicant as the result of investment project.
Variation in R&D intensity (ratio between R&D expenditure and turnover) foreseen by the
Rd
applicant as the result of investment project.
Variation in patent stock per employee foreseen by the applicant as the result of
Patent
investment project.
interest_r Average interest rate in Portugal in the year of submitting the application.
Macroeconomic

Variation in regional GDP at NUTS 3 level in Alentejo in the year of submitting the
gdp_var
conditions

application.
Share of skilled jobs (proportion of employed population with higher education) at NUTS 3
reg_skill_job
level in Alentejo in the year of submitting the application.
Year of submitting the application. Dummy variable. The year 2008 is the omitted reference
Time fixed effect
category.
Source: Authors own elaboration.
Note: All monetary variables are at constant price (base 2006).

13
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 13
3. RESULTS AND DISCUSSION and competitiveness capacity (regarding export
intensity and labor productivity growth). Firms
3.1. Data description
expect to increase their patent stock by 462.5%,
The sample has 627 observations 450 R&D activities by 272.6%, export intensity by
applications evaluated and managed at the 318.2% and labor productivity by 561.5%.
regional level plus 177 applications evaluated
and managed at the national level - which
correspond to the number of applications 3.2. Productivity and employment in application
submitted to the Portuguese Innovation submission
Incentive System, between 2007 and 2013, for Almost all the applications submitted (94%)
investment projects located in the Portuguese predicted an increase in labor productivity and
Alentejo region NUTS 2 (Appendix 1). The the creation of new jobs (Appendix 1).
approval rate of applications submitted was Investment projects forecasting an increase in
52%. skilled jobs are slightly fewer (89%). Excluding
Concerning firms characteristics, it appears that micro-firms, the number and share of approved
539 applications were submitted by SMEs, applications with an increase in labor
representing 86% of all applications submitted productivity (53% versus 47%) and jobs are
(50% are micro, 26% are small and 10% are higher (52% versus 48%)(Appendix 1).
medium-sized firms) and 88 applications were On average, applicants expect an increase of
submitted by non-SMEs, representing 14% of 87.6 thousand in their labor productivity (Table
applications submitted in the period of 3). There is no statistical difference between
observation. It seems that applicants are private approved and non-approved applications, except
firms, with an average number of three partners for medium-sized firms, where the increase in
and nine years of activity. New firms, with no labor productivity is expected to be 43.1
activity in the pre-intervention period, submitted thousand higher.
more than 53% of applications in the Alentejo
region. About 20% of applications were made by
firms that had submitted another application to
the same program previously, which means that
some firms1 (103 firms in 504 applicants) have
submitted more than one application.
Concerning the activity sector, applications
submitted by firms were distributed as follows:
manufacturing industry (43%), service sector
(18%) and tourism activities (31%). Those three
sectors account for around 92% of the 627
applications submitted. Only 10% of the
applications presented by firms are incorporated
in a networking project.
The investment considered in the application is
on average 4.1 million and the subsidized loan
near to 50% of investment in approved
applications. Aspirants to public support
contemplate an increase of 17.6 jobs per
application and 45% of these new jobs will be
occupied by skilled workers.
Regarding innovation indicators, only 3% of
applicants have a patent portfolio and 10% a
past of R&D. Only 28% of financial requests are
submitted by firms with internationalization
experience.
The 627 projects in the sample foresaw on
average an increase in innovation (measured by
the rise of R&D expenditure and patent stock)

1The total number of applications submitted is 627 and the


number of firms applying is 504.

14
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 14
TABLE 3. VARIATION IN LABOR PRODUCTIVITY, EMPLOYMENT LEVEL AND SKILLED JOBS FORESEEN IN
SUBMITTED APPLICATIONS, BY FIRM SIZE AND STATUS IN SELECTION PROCESS
All submitted Approved Non-approved
Mean
applications Applications Applications p-value
diff
Obs. Mean Obs. Mean Obs. Mean
Productivity (x1.000)
Micro 311 90.3 139 104.9 172 78.5 26.4 0.182
Small 163 111.0 92 88.6 71 139.9 -51.3 0.293
Medium 63 59.3 33 79.9 30 36.7 43.1 0.095 *
Non-SMEs 90 55.9 26 60.3 26 44.9 15.4 0.611
Total firms 627 87.6 328 89.1 299 86.0 3.1 0.850
Jobs (n.)
Micro 311 10.1 139 12.5 172 8.2 4.3 0.004 ***
Small 163 15.1 92 16.6 71 13.1 3.5 0.249
Medium 63 21.2 33 29.5 30 12.1 17.4 0.046 **
Non-SMEs 90 45.6 26 65.8 26 37.4 28.4 0.110
Total firms 627 17.6 328 20.2 299 14.8 5.5 0.0551 *
Skilled jobs (n.)
Micro 311 4.9 139 6.3 172 3.8 2.5 0.000 ***
Small 163 6.5 92 6.7 71 6.2 0.5 0.754
Medium 63 6.1 33 8.2 30 3.7 4.5 0.026 **
Non-SMEs 90 22.3 26 20.7 26 26.0 -5.3 0.749
Total firms 627 7.9 328 9.4 299 6.3 3.1 0.169
Source: Authors own elaboration based on data extracted from Information System of the NSRF Incentive Scheme.
Note: ***, **, * indicate if the means are significantly different between approved and non-approved applications at
the level of 1%, 5% and 10% respectively, based on t-Test.

The increase in labor productivity is higher for applications (97.4 versus 57.3 thousand) and
micro and small firms compared to medium- for approved ones (98.4 versus 66.9 thousand)
sized firms and non-SMEs and this result is (Table 4).
statistically significant for all submitted

TABLE 4. DIFFERENCES IN PRODUCTIVITY VARIATION BETWEEN FIRM SIZES


All submitted applications Approved applications
Micro | micro & Comparison Micro | micro & Comparison
small | SMEs group Diff Mean small | SMEs group Diff Mean
Obs. Mean Obs. Mean Obs. Mean Obs. Mean
Productivity (x1.000)
Micro vs small and medium 311 90.3 226 96.6 -6.3 139 104.9 125 86.3 18.6
Micro vs non-micro 311 90.3 316 85.0 5.3 139 104.9 189 77.5 27.4
Micro and small vs
474 97.4 153 57.3 40.1 ** 231 98.4 97 66.9 31.5 *
Medium and non-SME
SME vs non-SME 537 92.9 90 55.9 37.1 264 96.1 64 60.3 35.8 *
Source: Authors own elaboration based on data extracted from Information System of the NSRF Incentive Scheme.
Note: ***, **, * indicate if the means are significantly different between approved and non-approved applications at
the level of 1%, 5% and 10% respectively, based on t-Test.

Concerning increased employment (Tables 3 and representing the mean difference of 4.3 and 2.5
5), this is on average proportional to firm size, for micro firms and 17.4 and 4.5 for medium-
bigger firms foreseeing a greater increase in jobs sized firms.
and vice-versa (e.g. an average increase of 12.9 On average, around 45% of new jobs created will
new jobs for SMEs compared to 45.6 new jobs be filled by skilled workers. Micro-firms,
for non-SMEs). Applications approved for micro compared to small and medium-sized firms,
and medium-sized firms envisage a statistically foresee hiring a higher proportion of skilled
significant greater increase of jobs (total and workers (48.6% versus 37.8%, respectively) and
skilled workers) than those non-approved, this difference is statistically significant.

15
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 15
However, when analysing approved applications process) the increase in the proportion of skilled
this trend is not statistically significant, which workers is greater in bigger firms (Table 5).
means that in the end (after the selection

TABLE 5. DIFFERENCES IN EMPLOYMENT VARIATION BETWEEN FIRM SIZES


All submitted applications Approved applications
Micro | micro Diff Mean Diff Mean
Comparison Micro | micro & Comparison
& small |
group small | SMEs group
SMEs
Obs. Mean Obs. Mean Obs. Mean Obs. Mean
Jobs (n.)
Micro vs small
311 10.1 226 16.8 -6.7 *** 139 12.5 125 20.0 7.5 ***
and medium
Micro vs non-
311 10.1 316 25.0 -14.9 *** 139 12.5 189 25.9 -13.4 ***
micro
Micro and small
vs medium and 474 11.8 153 35.6 -23.8 *** 231 14.1 97 34.7 -20.6 ***
non-SME
SME vs non-
537 12.9 90 45.6 -32.7 *** 264 16.0 64 37.4 -21.4 ***
SME
Skilled jobs
(n.)
Micro vs small
311 4.9 226 6.3 -1.4 ** 139 6.3 125 7.1 0.4
and medium
Micro vs non-
311 4.9 316 10.9 -6.0 *** 139 3.3 189 11.7 -8.4 *
micro
Micro and small
vs medium and 474 5.4 153 15.6 -10.1 *** 231 6.4 97 16.5 -10.0 ***
non-SME
SME vs non-
537 5.5 90 22.3 -16.7 *** 264 6.7 64 20.7 -14.1 ***
SME
Share skilled
jobs (%) =
skilled jobs /
jobs
Micro vs small
311 48.6% 226 37.8% 10.8% ** 139 50.3% 125 35.4% 14.9%
and medium
Micro vs non-
311 48.6% 316 43.5% 5.1% *** 139 26.3% 189 45.2% -18.8% *
micro
Micro and small
vs medium and 474 46.1% 153 43.8% 2.3% *** 231 45.6% 97 47.4% -1.8% ***
non-SME
SME vs non-
537 42.7% 90 48.8% -6.0% *** 264 41.5% 64 55.3% -13.8% ***
SME
Source: Authors own elaboration based on data extracted from Information System of the NSRF Incentive Scheme.
Note: ***, **, * indicate if the means are significantly different between approved and non-approved
applications at the level of 1%, 5% and 10% respectively, based on t-Test.

3.3. Determinants of selection process of skilled jobs and the foreseen increase in this
workforce (corr = 0.9). Patent stock per
Regarding the correlation matrix (Appendix 2),
employee is negatively correlated with the
we can identify a moderate to high correlation
foreseen increase in patent stock (corr = - 0.5).
between some variables. Firm age is positively
R&D intensity is very highly correlated with the
correlated with firm size, measured by the
foreseen increase in R&D intensity (corr = -0.9).
number of employees (corr = 0.4) and with
To sum up, this means that older firms are
previous experience in foreign trade (corr = 0.6).
bigger and are also more likely to sell in foreign
Firm size is also highly correlated with the
markets. Bigger firms have a higher number of
number of skilled workers (corr = 0.9) and with
skilled employees and foresee a greater increase
the expected impact on total new job creation
in the total number of new workers. Firms with a
(corr = 0.6) and new skilled jobs (corr = 0.8). A
higher number of skilled jobs forecast a greater
high correlation also exists between the number
rise in this category of workforce. Entities with a

16
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 16
higher patent stock per employee predict a variable, which assumes a value of 1 if firms
lower increase and similarly firms with lower have a patent stock or R&D intensity and 0
R&D intensity predict a higher increase. otherwise.
In order to avoid potential problems of The final model (2) used to assess which factors
multicollinearity, the number of employees in influence the decision to approve an application,
the year before submitting an application was under the SI Innovation in Alentejo region, takes
not included in the model and firm size was into account the two main dimensions in
transformed in a categorical variable, according analysis increased productivity and
to the EC recommendation of 6 May 2003 employment level and also other selection
concerning the definition of micro, small and criteria mentioned in the program regulation,
medium-sized enterprises. Firms age and the such as representation in the international
number of skilled employees in the pre- market and exploitation of R&D results. As
intervention period were also not included in the mentioned previously in section 3, firm and
model, due to their moderate-high correlation investment project characteristics, as well as
with other variables. The characterization of firm macroeconomic factors, were also included in
patent stock and R&D intensity before a the model.
subsidized loan were transformed in a binary

Pr(Approved application = 1| ) (2)


= G( + + + + + +
+ + + & + +
+ ln + + +
+ + + +
+ + )

Table 6 shows the coefficients and marginal investment project, shows an inverted U-shaped
effects of Logit estimations. Model 1 includes relationship with the probability of receiving the
time and sector fixed effects. Model 2 contains public incentive. This means that increasing the
independent variables linked with number of skilled jobs has a positive effect on
macroeconomic conditions and sector fixed the decision to fund an investment project, but
effects. Due to the moderate-high correlation at a higher level the effect tends to inverse and
between macroeconomic variables and time the probability of having an application selected
fixed effects, these were not included in Model decreases. In contrast, the variation in non-
2. skilled jobs shows a small but significant
The result of the Ramsey test, for omitted negative impact on the outcome variable, but
variables, and of the Hosmer-Lemeshow test only when time fixed effects are used in the
illustrate that the models are correctly specified model. This difference between both variables
and the functional forms are correct (Table 7). (skilled and non-skilled worker variation) could
No problem of heteroscedasticity and reveal a government preference for increasing
multicollinearity was detected, based on the only qualified employment. However, the
White Test and on the results of variance preference for funding projects which foresee a
inflation factors (VIF) for the independent greater increase of this workforce has its limits,
variables. So the coefficients and marginal effect perhaps because hiring a higher number of new
can be interpreted correctly. skilled workers could be riskier due to requiring
a larger additional income to justify this and to
Assessment of the results starts with the impact
make new jobs profitable.
of productivity and employment variation on the
probability of having an application approved.
The variation in skilled jobs, as a result of the

17
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 17
TABLE 6. LOGIT ESTIMATION RESULTS
Model 1 Model 2
Variables
Coef. St. Error dy/dx Coef. St. Error dy/dx
Small 0.057 0.257 0.011 0.116 0.259 0.021
Medium -0.869 ** 0.390 -0.159 -0.734 * 0.387 -0.134
no_sme 0.414 0.379 0.076 0.441 0.378 0.081
nr_partner 0.144 *** 0.050 0.026 0.142 *** 0.050 0.026
roe_pre -0.047 0.129 -0.009 -0.040 0.128 -0.007
solv_pre -0.002 0.003 0.000 -0.002 0.003 0.000
exp_si 0.546 ** 0.253 0.100 0.574 ** 0.251 0.105
export_pre_yes 0.966 *** 0.296 0.177 0.836 *** 0.292 0.153
rd_pre_yes 0.612 0.390 0.112 0.685 * 0.387 0.125
pat_pre_yes -0.265 0.742 -0.049 -0.222 0.750 -0.041
Networking 1.715 *** 0.389 0.315 1.787 *** 0.374 0.327
ln_invest 0.363 *** 0.091 0.067 0.336 *** 0.090 0.061
var_skill_job 0.035 *** 0.016 0.006 0.035 ** 0.016 0.006
var_skill_job2 -8.39E-05 ** 3.44E-05 0.000 -8.32E-05 ** 3.45E-05 0.000
var_no_skill_job -0.008 * 0.004 -0.001 -0.007 0.004 -0.001
diff_export 1.714 *** 0.406 0.314 1.542 *** 0.398 0.282
diff_gav_job -0.752 0.477 -0.138 -0.627 0.466 -0.115
diff_rd_intensity 0.086 0.067 0.016 0.069 0.055 0.013
diff_patent_stock 2.020 ** 0.959 0.371 2.213 ** 0.979 0.405
interest_r - - - -0.479 *** 0.156 -0.088
reg_job_skill - - - -0.289 *** 0.075 -0.053
gdp_var - - - 6.231 ** 2.699 1.140
Constant -4.326 *** 0.719 2.380 1.513
Observations 622 622
Time fixed effects YES NO
Sector fixed effects YES YES
Pseudo R2 0.2140 0.2157
Log likelihood -338.12 -337.41
Source: Authors own elaboration based on STATA output.
Note: ***, **, * significance level at 1%, 5% and 10% respectively.

TABLE 7. RESULTS OF SPECIFICATION TEST


Model 1 Model 2
% Correctly classified 74.1% 73.2%
Mean VIF 1.47 1.37
Ramsey Test 0.41 0.11
HosmerLemeshow test 0.72 0.58
White Test 0.07 0.15
Source: Authors own elaboration based on STATA output.

The impact of investment projects on firm support1. One possible explanation could be that
productivity in Model 1 and Model 2 is not a in the selection process, new job creation has
determinant factor in the selection process (not greater priority than increased labor
significant variable). However, as we saw in productivity.
section 4.2, it is possible to have different
behavior according to firm size. When
1
interaction terms are introduced (see In the presence of interaction terms, the coefficient
estimations in Appendix 3), the results show that no_sme is conditional to var_gav_job equaling zero and, in
the same way, the coefficient var_gav_job is conditional to
in applications submitted by SME, the foreseen no_sme being equal to zero. In turn, the interaction term
variation in firms productivity has a negative coefficient estimates the difference between the effect of
impact on the likelihood of receiving public var_gav_job when firms are no_sme and the effect of
var_gav_job when firms are not no_sme. In Model 10 the
interaction term and no_sme categories are both non-
significant variables so interpretation only concerns the
coefficient of var_gav_job, which represents the effect
when no_sme = 0 (or sme = 1).

18
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 18
Different behavior according to firms size, The amount of investment has a positive impact
concerning the impact of skilled jobs on on the probability of being funded. If we take
outcome, can also to be seen in the logit into account that, firstly, the amount of
estimation in Appendix 3. The effect of this investment represents the sum of public
explanatory variable is negative for small firms incentive (percentage of the eligible investment)
and positive for medium firms, compared to the and private expenditure (equal to the
reference category (other firms). A minor non- remainder), and secondly, the aim of the
linear relationship, similar to Model 1 and Model program is to stimulate innovative investment, it
2, was found for SMEs compared to non-SMEs in is expected that government will tend to
Model 9. These results could suggest two things. approve applications with a higher amount of
First, the increase in skilled jobs is only a expenditure because this implies a greater
relevant criterion for SMEs, because in the pre- private effort. This conclusion is also in line with
intervention period they are less performing in Aerts and Thorwarth (2008:13), who found that
terms of a qualified workforce1. Second, within receiving a subsidy has a positive impact on R&D
the SME category, the impact of skilled jobs on efforts because funded companies show higher
the likelihood of being funded is higher for R&D expenditure than non-funded ones.
medium-sized than for micro and small-firms, Similarly, Santos, Serrano and Neto (2015) also
perhaps because despite micro and small-firms find that the amount of funded investment has a
being most in need they do not have the positive impact on the probability of firm
structural capacity to increase skilled jobs at the survival, because higher investments tend to be
same level as medium-sized ones. better planned. Because they are more risky,
Regarding the other firm and application they need a higher additional cash-flow to be
characteristics in the selection process, firm size, economically viable. So when governments
measured by categorical variables, is not always choose to fund projects with a higher amount of
significant. Only medium-sized firms are less investment, this tends to maximize the outcome:
likely to get a subsidy than micro-firms. The greater private effort and a low failure rate.
number of firm partners, which in our sample is Firms innovative capacity is assessed by R&D
linked with smaller firms, also has a positive intensity in the pre-intervention period and by
impact. So on average, the neediest firms are the foreseen increase in patent stock per
more likely to obtain public support, which employee. In turn, having a patent portfolio
reveals, as Busom (2000) highlighted, that public before submitting an application and foreseeing
agencies favor small firms, because they are an increase in R&D activities are not taken into
more financially constrained (effective selection account in the selection process (not significant
process). variables). These results are line with the
Previous experience in the SI Innovation objective of the program to support innovation
procedure increases the probability of having an in the last phase of the process, when R&D
application approved by 10%. The positive becomes patentable and/or gives rise to a new
relationship between experience of subsidies marketable service or good.
and being a funded firm was demonstrated by Previous experience in foreign trade increases
other authors, such as Aerts and Thorwarth the probability of having an application
(2008), Aschhoff (2009) and Hud and Hussinger approved, as also found by Aerts and Thorwarth
(2015), based on the pick the winner principle. (2008) and Czarnitzki and Lopes Bento (2011).
Nevertheless, in our model this conclusion is not Parallel to this, the foreseen difference in export
necessarily good news. On one hand, this could intensity also shows, as expected, a positive
reveal that the public incentive goes more to the impact on that likelihood. Indeed, one goal of
same companies, and that firms could receive the program is to boost firms presence in
more than one subvention under the SI international markets, and in order to ensure
Innovation. Or it could reveal that firms familiar this, selection is based on a pick the winner
with the application process could have easier principle, those already best performing are the
access to public support because they know ones most likely to achieve this goal.
which factors to emphasize on the application Factors that influence the credit risk and the
form. decision to give a bank loan, such as solvability
ratio and return on equity, seem not to influence
the government evaluator in funding projects.
1
Finally, introducing regional macroeconomic
Bigger firms, measured by the number of employees, are characteristics in the analysis, the results of
those with a higher number of skilled workers (corr = 0.9).
Model 2 show that when the Portuguese

19
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 19
financial market has a lower interest rate and 3.4. Distribution of subsidized loans and cost of new
when the regional economy shows a growth in jobs
GDP, the probability of having an application Concerning the distribution of subsidized loans
approved increases. This could suggest a by firm size, Table 8 shows that within SME
complementary effect of the public instrument categories the amount of public support per
in order to accelerate growth in periods when employee decreases when firm size increases
capital is available at a lower price. On the other and this is also the case for the average amount
hand, investment projects located in regions of investment per employee. The share of
with a lower share of skilled workers are less subsidized loans is also greater for smaller firms,
likely to be financially supported by the program, which means it decreases when firm size
which reveals an effective selection process increases.
because the neediest regions are helped most.

TABLE 8. INVESTMENT, SUBSIDIZED LOAN AND COST OF NEW JOBS, BY FIRM SIZE AND ACTIVITY SECTOR, IN APPROVED APPLICATIONS
Investment Subsidized loan Share of
loan/new jobs [2]
Categories by job [1] by jobs [1] subsidized loan
Obs Mean Obs Mean Obs Mean Max Obs Mean
Average (all firms) 324 157,525 324 71,601 328 50% 75% 307 135,670
Firm size
Micro 139 174,694 139 93,197 139 56% 75% 136 109,509
Small 91 131,555 91 62,983 92 51% 75% 86 126,946
Medium 33 73,539 33 35,863 33 48% 65% 30 123,609
Non SMEs 61 202,580 61 54,581 64 37% 60% 55 220,579
Source: Authors own elaboration based on data extracted from Information System of the NSRF Incentive Scheme.
Note: [1] Ratio between investment (or subsidized loan) by employment level in post-intervention period.[2] Only
estimated for firms predicting an increase in employment.

Subsidized firms take financial advantage of the jobs created (outcome) gives a proxy variable for
public support twice. Firstly, subsidized loans the cost of new jobs. Tables 8 and 9 show that
have no cost (loan without any interest and the amount of subsidized loan granted per new
finance charges). Secondly, if firms meet the job created is surprisingly higher for bigger firms
financial targets planned in the application, up to and especially for non-SMEs than for SMEs. On
75% of the subsidized loan could be transformed average, non-SMEs received a lower amount of
in a grant. The cost-effectiveness ratio between subsidy by employment level (Table 8), but they
the amount of subsidized loan (input) and new are awarded more per new job created (Table 9).

TABLE 9. DIFFERENCE IN SUBSIDIZED LOAN PER NEW JOB BETWEEN FIRM SIZES
Micro | micro & small
Comparison group
| SMEs Diff mean
Obs Mean Obs Mean
Micro vs small 136 109,509 86 126,946 -17,437
Micro vs small & medium 136 109,509 116 126,083 -16,574
Micro vs non-micro 136 109,509 171 156,477 -46,968 **
Micro & small vs medium & non-SME 222 116,264 85 186,355 -70,091 ***
SME vs non-SME 252 117,138 55 220,579 -103,441 **
Source: Authors own elaboration based on data extracted from Information System of the NSRF Incentive Scheme.
Note: Only estimated for those foreseeing increased employment.***, **, * indicate if the means are significantly different
between groups at the level of 1%, 5% and 10% respectively, based on t-Test.

4. CONCLUSION applications (94%) foresaw an increase in labour


productivity and the creation of new jobs. The
The Portuguese Innovation Incentive System was
328 applications approved foresaw an
an important instrument of the Portuguese
investment of 1.837 million, at constant price
National Strategic Reference Framework 2007-
(base = 2006), and the creation of more than
2013, developed with the aim of stimulating
6.600 new jobs in the region.
innovation and promoting competitiveness.
The selection process seems to focus more on
Between 2007 and 2013, 627 applications to SI
increasing the international competitiveness of
Innovation were submitted for investment
Alentejo firms, measured by improved export
projects in Alentejo region. Almost all the

20
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 20
intensity, and by the foreseen innovative and employment is taken into account, when
capacity of applicants in transforming R&D firms apply for public funding for innovation,
results into patentable products. Surprisingly, controlling for other factors. Regarding the main
the expected project impact on productivity has dimension analysed, we can conclude that a
a negative effect on SMEs probability of being trade-off between higher levels of employment
funded by the program. This means that firms and productivity is necessary, in order to achieve
which forecast a lower increase in productivity growth and competitiveness in the region.
are those most likely to have an application Future research should attempt to expand the
approved. On the other hand, the projects present analysis to all applications submitted to
estimated effect on employment has a different SI Innovation between 2007 and 2013 in
impact on the probability of having an Portugal, in order to assess if some differences
application selected depending on qualifications exist between Portuguese regions.
and on firm size. On average, hiring new skilled
employees has a positive effect on the likelihood
of having an application approved, whereas ACKNOWLEDGEMENTS
increasing the number of non-skilled jobs has a The authors are grateful to the Management
negative one. The qualifications of the new Authority of the Alentejo Regional Operational
workforce is only a relevant criterion for SMEs. Program 2007-2013 for the information and data
Government evaluators adopt a picking the provided about the Portuguese Innovation
winner principle regarding foreign trade Incentive System. Special thanks go to Peter
experience and the amount of investment in the Berkowitz (DG-Regio), Wolfgang Petzold
project, which means they are cautious and (Committee of the Regions), Nicola Francesco
select projects with a potentially low risk of Dotti (Universit Catholique de Louvain and Vrije
failure in order to maximize the expected Universiteit Brussel), Frank Crowley (University
outcome. Nonetheless, entities in charge of College Cork) and Oto Potluka (University of
evaluating applications prefer to finance the Basel) for valuable comments and suggestions
neediest firms and projects implemented in the on the earlier version.
neediest regions. Smaller firms (micro versus
medium firms) and projects implemented in REFERENCES
more disadvantaged regions for a qualified Aerts, K. and Thorwarth, S. (2008). Additionality
workforce are more likely to have an application effects of public R&D funding: "R" versus "D",
approved. Firm characteristics influencing credit FBE Research Report MSI_0811, K. U. Leuven -
risk, such as profitability and solvency ratio, are Faculty of Business and Economics, pp. 1-19.
not relevant factors in being selected for Aschhoff, B. (2009). Who Gets the Money? The
innovation subsidies, which means that firms Dynamics of R&D Project Subsidies in Germany,
financial performance in the pre-intervention ZEW Discussion Papers, No. 08-018 [rev.], p. 37.
period is not relevant. Bergstrm, F. (2000). Capital Subsidies and the
Public support for innovation in the Portuguese Performance of Firms, Small Business Economics,
Alentejo region seems to be complementary to Vol. 14(3), pp. 183-193. doi:
macroeconomic trends, when the cost of capital 10.1023/A:1008133217594.
in the market is lower and the regional economy Bernini, C.; Pellegrini, G. (2011). How are growth and
is growing, the probability of having an productivity in private firms affected by public
application approved increases. subsidy? Evidence from a regional policy,
The cost of new jobs created, measured by the Regional Science and Urban Economics, Vol. 41(3),
amount of subsidized loan per new job, is pp. 253-265,
surprisingly higher for bigger firms. For example, doi:10.1016/j.regsciurbeco.2011.01.005.
comparing non-SMEs (220.579) with SMEs Blanes, J. V. and Busom, I. (2004). Who participates
(117.138), we can see that the former has a in R&D subsidy programs?: The case of Spanish
significantly higher cost (almost double) for the manufacturing firms, Research Policy, 33(10), pp.
government, measured at least by exemption 1459-1476, doi:10.1016/j.respol.2004.07.006.
from interest and financial charges on the loan. Busom, I. (2000). An Empirical Evaluation of the
This result suggests that the share of subsidized Effects of R&D Subsidies, Economics of
loans awarded to non-SMEs is not the most Innovation and New Technology, Vol. 9, pp. 111-
effective, because they are less financially 148, doi:10.1080/10438590000000006.
constrained than smaller firms. CCDRA (2014). Uma Estratgia Inteligente para a
Regio Alentejo, Comisso de Coordenao e
To sum up, the paper makes an assessment of
Desenvolvimento Regional do Alentejo, vora.
how the expected impact on firm productivity

21
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 21
http://s3platform.jrc.ec.europa.eu/regions/PT18/ developing economies, Public Finance Review,
tags/PT18?s3pv=1 ). Vol. 33 n 5, September 2005, p.p. 575-602.
CCDRA (2015). Os Fundos Comunitrios na Regio do European Commission (2010). Europe 2020 - A
Alentejo no perodo 2007/2014 Alguns European strategy for smart, sustainable and
resultados e impactos, Comisso de Coordenao inclusive growth, Communication from the
e Desenvolvimento Regional do Alentejo, vora. Commission, Communication from the
http://webb.ccdra.gov.pt/docs/ccdra/gestao/Fun Commission, Brussels 3th March 2010.
ds_Comun_Alentej_2007_2014.pdf (Accessed on European Commission (2011). Regional Policy for
24th February 2016). Smart growth in Europe 2020, European
Cerqua, A.; Pellegrini, G. (2014). Do subsidies to Commission, Directorate-General for Regional
private capital boost firms' growth? A multiple Policy, Brussels, pp. 32.
regression discontinuity design approach, Journal European Commission (2012). Guide to Research
of Public Economics, 109, pp. 114-126, and Innovation Strategies for Smart
doi:10.1016/j.jpubeco.2013.11.005. Specialisation, Regional Policy, May. Brussels:
Cincera, M. (2003).Financing constraints, fixed European Commission.
capital and R&D investment decisions of Belgian European Commission (2014). The European Union
firms. In P. Butzen, and C. Fuss, Firms Investment Explain: Regional Policy, European Commission,
and Finance Decisions: Theory and Empirical Luxembourg.
Methodology, Cheltenham, Edwar Elgar, UK, European Commission, COM (2012) 496 final.
pp.129-147. Amended proposal for a REGULATION OF THE
Cincera, M.; Ravet, J. (2010). "Financing constraints EUROPEAN PARLIAMENT AND OF THE COUNCIL
and R&D investments of large corporations in laying down common provisions on the European
Europe and the US", Science and Public Policy, Vol. Regional Development Fund, the European Social
37(6), pp. 455-466, doi: Fund, the Cohesion Fund, the European
10.3152/030234210X508642. Agricultural Fund for Rural Development and the
Chaibi, H.; Ftiti, Z. (2015). Credit risk determinants: European Maritime and Fisheries Fund covered by
Evidence from a cross-country study, Research in the Common Strategic Framework and laying
International Business and Finance, Vol. 33, pp. 1- down general provisions on the European
16, doi:10.1016/j.ribaf.2014.06.001. Regional Development Fund, the European Social
Comisso de Acompanhamento do POFC (2015). Fund and the Cohesion Fund and repealing
Relatrio de Execuo 2014 do COMPETE, POFC - Council Regulation (EC) No 1083/2006.
Programa Operacional Fatores de Gonzlez, X. and Paz, C. (2008). Do public subsidies
Competitividade, 304 p. stimulate private R&D spending?, Research
COMPETE Website: Policy, Vol. 37, pp. 371-389,
http://www.pofc.qren.pt/areas/incentives-to- dx.doi.org/10.1016/j.respol.2007.10.009.
companies/innovation (accessed on 15th February Hlzl, W. and Peneder, M. (2013). Financing
2016). innovation, Encyclopedia of Creativity, Invention,
Criscuolo, C.; Martin, R.; Overman, H. G.; Van Reenen, Innovation and Entrepreneurship, Springer New
J. (2016). The Causal Effects of an Industrial York, pp. 734-738, doi: 10.1007/978-1-4614-3858-
Policy, CEP Discussion Paper N. 1113, Centre for 8_487.
Economic Performance - London School of Hud, M. and Hussinger, K. (2015). The impact of R&D
Economics and Political Science, pp. 63. subsidies during the crisis, Research Policy,
Czarnitzki, D. and Fier, A. (2002). Do Innovation 44(10), pp. 1844-1855,
Subsidies Crowd Out Private Investment? doi:10.1016/j.respol.2015.06.003.
Evidence from the German Service Sector, IAPMEI, FCT, ANI and COMPETE (2014). Estratgia de
Applied Economics Quarterly, Vol. 48 (1), pp. 1-25. Investigao e Inovao para uma Especializao
Czarnitzki, D. and Lopes Bento, C. (2011). Innovation Inteligente 2014-2020, Instituto Apoio s
subsidies: Does the funding source matter for Pequenas e Mdias Empresas Industriais,
innovation intensity and performance? Empirical Fundao para a Cincia e Tecnologia, Agncia
evidence from Germany, LISER Working Paper Nacional de Inovao e Programa Operacional
Series, 2011-42, 43 p. Fatores de Competitividade. Lisboa,
Dew-Becker, I.; Gordon, R. J. (2012). "The Role of e http://s3platform.jrc.ec.europa.eu/regions/PT?s
Labor-Market Changes in the Slowdown of 3pv=1).
European Productivity", Review of Economics and INE (2009). Statistical Yearbook of Alentejo Region
Institutions, vol. 3(2), Article 1, p. 1-45, doi: 2008. Lisboa: Instituto Nacional de Estatstica.
10.5202/rei.v3i2.74. INE (2015). Statistical Yearbook of Alentejo Region
Erden, L.; Holcombe, R. G. (2005). The effects of 2014. Lisboa: Instituto Nacional de Estatstica.
Public Investment on private investment in

22
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 22
INE (Statistics Portugal) website: http://www.ine.pt Sakamoto, A. (2010). Definition of
(accessed on 29th January 2016). Productivity/Requirements for Improving It,
Jorge, J.; Surez, C. (2011). Influence of R&D Beyond world-class Productivity - Industrial
subsidies on efficiency: the case of Spanish engineering practice and theory, Springer London,
manufacturing firms, Cuadernos de Economa y pp 49-64, doi: 10.1007/978-1-84996-269-8_4.
Direccin de la Empresa, Vol. 14, pp. 185-193, Santos, A.; Serrano, M. M. and Neto, P. (2015). A
doi:10.1016/j.cede.2010.11.001. long-term mortality analysis of subsidized firms in
Karhunen, H. and Huovari, J. (2015). R&D Subsidies rural areas: an empirical study in the Portuguese
and productivity in SMEs, Small Business Alentejo region, Eurasian Economic Review, 6 (1),
Economics, Vol. 45 (4), p. 805-823, pp. 125 -151, doi: 10.1007/s40822-015-0035-4.
doi:10.1007/s11187-015-9658-9. Santos, A.; Cincera, M.; Neto, P. & Serrano, M. M.
Lee, N; Sameen, H. and Cowling, M. (2015). Access (2016a). The Selection Process of Applications to
to finance for innovative SMEs since the financial the Portuguese Innovation Incentive System: Who
crisis, Research Policy, 44(2), pp. 370-380, Gets Financial Support?. In Proceedings of 24th
doi:10.1016/j.respol.2014.09.008. Workshop APDR Entrepreneurship and
Louzis, D.; Vouldis, A.; Metaxas, V. (2012). Performance in Regional Context. Lisboa,
Macroeconomic and bank-specic determinants Universidade Lusfona, 17 March, pp. 212-225.
of non-performing loans in Greece: a Comparative [http://www.apdr.pt/publicacoes/atas-
study of mortgage, business and consumer loan proceedings/].
portfolios, Journal of Banking & Finance, Vol. Santos, A.; Cincera, M.; Neto, P. & Serrano, M. M.
36(4), pp. 1012-1027, (2016b). Who Gets Public Support to Innovation?
doi:10.1016/j.jbankfin.2011.10.012. Evidence from the Portuguese Alentejo Region.
Paunov, C. (2012). The global crisis and firm In Nicola Francesco Dotti (Editor). Learning from
investments in innovation, Research Policy, vol implementation and evaluation of the EU
41 (1), pp. 24-35. Cohesion Policy: Lessons from a research-policy
PORDATA website (Database of Contemporary dialogue (pp. 60-76). Brussels: RSA Research
Portugal): http://www.pordata.pt(accessed on 29th Network on Cohesion Policy
January 2016). (www.regionalstudies.org) [ISBN 978-2-9601879-
Powers, D. A.; Xie, Y. (2008). Statistical Methods for 0-8].
Categorical Data Analysis, 2nd Edition, Emerald
Group Publishing Ltd, 200 p.

23
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 23
APPENDIX
Appendix 1. Descriptive statistics

TABLE I. DESCRIPTIVE STATISTICS


Variable Obs Mean Std. Dev. Min Max
Micro 627 0.50 0.50 0 1
Small 627 0.26 0.44 0 1
Medium 627 0.10 0.30 0 1
no_sme 627 0.14 0.35 0 1
nr_partner 627 2.93 2.13 1 13
Age 627 9.09 14.14 0 101.6
nat_cap 627 0.90 0.27 0 1
job_pre 627 44.11 227.09 0 3475
var_job 627 17.62 35.62 -31 399
var_no_skill_job 627 9.70 27.61 -118 400
skill_job_pre 627 6.21 39.56 0 670
var_skill_job 627 7.92 28.31 -2 480
gav_job_pre 627 15.59 59.21 -476.0 1089.5
diff_gav_job_pre 627 0.09 0.21 -1.1 3.6
roe_pre 627 0.02 0.68 -12.5 4.2
solv_pre 627 3.90 45.86 -0.8 1102.9
rd_int_pre 625 0.14 2.09 0 47.1
diff_rd_int 625 -0.13 2.08 -47.1 0.1
rd_pre_yes 627 0.10 0.31 0 1
export_int_pre 627 0.11 0.25 0 1.0
diff_export 627 0.35 0.31 -0.4 1.0
export_pre_yes 627 0.28 0.45 0 1
patent_stock_pre 625 0.01 0.09 0 2
diff_patent_stock 624 0.02 0.14 -1.9 1.5
pat_pre_yes 627 0.03 0.16 0 1
Invest 627 4167.44 12306.40 9.03 199815
industry_g 627 0.43 0.50 0 1
service_g 627 0.18 0.39 0 1
trade_g 627 0.04 0.18 0 1
tourism_g 627 0.31 0.46 0 1
all_other_sector_g 627 0.04 0.19 0 1
interest_rate 627 6.67 0.70 5.4 7.6
reg_job_skill 627 11.52 1.41 8.6 13.1
gdp_var 627 -0.02 0.04 -0.16 0.14
y_2007 627 0.00 0.06 0 1
y_2008 627 0.17 0.38 0 1
y_2009 627 0.10 0.31 0 1
y_2010 627 0.11 0.31 0 1
y_2011 627 0.19 0.39 0 1
y_2012 627 0.20 0.40 0 1
y_2013 627 0.23 0.42 0 1
Source: Authors own elaboration based on data extracted from Information System of the NSRF Incentive Scheme.

24
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 24
TABLE II. APPLICATIONS (N. AND %) WITH A FORESEEN INCREASE IN LABOR PRODUCTIVITY, EMPLOYMENT LEVEL AND SKILLED JOBS,
BY FIRM SIZE AND STATUS IN SELECTION PROCESS
All submitted applications Approved applications Non-approved applications
N. applications % Total [1] N. applications % Total [2] N. applications % Total [2]
Productivity> 0
Micro 297 95% 133 45% 164 55%
Small 156 96% 91 58% 65 42%
Medium 62 98% 33 53% 29 47%
Non-SME 76 84% 57 75% 19 25%
Total firms 591 94% 314 53% 277 47%
New jobs
Micro 304 98% 136 45% 168 55%
Small 152 93% 86 57% 66 43%
Medium 56 89% 30 54% 26 46%
Non-SME 79 88% 55 70% 24 30%
Total firms 591 94% 307 52% 284 48%
New skilled jobs
Micro 284 91% 128 45% 156 55%
Small 144 88% 85 59% 59 41%
Medium 54 86% 28 52% 26 48%
Non-SME 78 87% 56 72% 22 28%
Total firms 560 89% 297 53% 263 47%
Source: Authors own elaboration based on data extracted from Information System of the NSRF Incentive Scheme.
Note: [1] Share compared to all submitted applications by firm size. [2] Share compared to all submitted applications with a
foreseen increase in productivity or new jobs or new skilled jobs by firm size.

25
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 25
Appendix 2. Correlation matrix

TABLE III. CORRELATION MATRIX


1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36
1 = Micro 1.00
2 = Small -0.59 1.00
3 = medium -0.33 -0.20 1.00
4 = no_sme -0.41 -0.24 -0.14 1.00
5 = Age -0.39 0.02 0.19 0.37 1.00
6 = nr_partner -0.16 0.27 0.11 -0.22 0.03 1.00
7 = exp_si -0.03 -0.06 0.06 0.07 0.11 0.07 1.00
8 = networking 0.09 -0.04 -0.04 -0.04 -0.02 0.04 0.08 1.00
9 = Invest -0.16 -0.07 -0.04 0.35 0.01 -0.04 -0.02 -0.03 1.00
10 = roe_pre -0.01 0.01 -0.08 0.07 0.04 -0.04 0.04 0.01 0.03 1.00
11 = solv_pre -0.01 0.05 -0.02 -0.03 -0.03 0.04 -0.02 0.01 0.00 -0.01 1.00
12 = job_pre -0.19 -0.09 0.03 0.35 0.39 -0.09 0.14 -0.02 0.06 0.03 -0.01 1.00
13 = var_job -0.21 -0.04 0.03 0.32 0.11 -0.02 0.08 0.01 0.21 0.02 0.00 0.56 1.00
14 = skill_job_pre -0.14 -0.06 0.01 0.27 0.34 -0.07 0.12 -0.03 0.02 0.02 -0.01 0.94 0.52 1.00
15 = var_skill_job -0.11 -0.03 -0.02 0.21 0.19 -0.04 0.10 -0.02 0.10 0.01 -0.01 0.81 0.65 0.90 1.00
16 = gav_job_pre -0.14 -0.01 0.06 0.16 0.22 0.04 0.04 -0.04 0.01 0.02 -0.02 0.15 0.22 0.07 0.05 1.00
17 = diff_gav_job_pre 0.01 0.07 -0.04 -0.06 -0.18 0.04 -0.05 -0.05 0.15 -0.01 0.01 -0.07 -0.01 -0.04 0.05 -0.31 1.00
18 = rd_pre -0.13 -0.06 0.01 0.25 0.18 -0.08 0.11 -0.02 0.03 0.01 -0.01 0.28 0.17 0.22 0.11 0.14 -0.06 1.00
19 = diff_rd -0.08 -0.01 0.01 0.11 0.03 -0.02 -0.01 -0.03 0.14 0.02 0.00 0.15 0.43 0.02 0.03 0.25 -0.03 0.11 1.00
20 = rd_pre_yes -0.21 -0.07 0.13 0.28 0.31 -0.03 0.09 0.01 0.01 -0.07 -0.02 0.30 0.17 0.26 0.16 0.15 -0.07 0.43 0.13 1.00
21 = patent_stock_pre 0.03 0.00 -0.01 -0.03 -0.03 -0.01 -0.01 -0.02 -0.02 0.01 0.00 -0.01 -0.01 -0.01 -0.01 0.00 0.00 0.00 -0.01 0.06 1.00
22 = diff_patent_stock 0.07 -0.02 -0.03 -0.05 -0.07 -0.07 0.07 -0.02 -0.03 0.01 -0.01 -0.02 -0.04 -0.01 -0.01 -0.03 0.01 0.00 -0.01 -0.01 -0.49 1.00
23 = pat_pre_yes -0.09 -0.04 0.09 0.09 0.06 -0.04 0.03 -0.01 -0.02 0.02 -0.01 0.07 0.01 0.05 -0.01 0.04 -0.04 0.49 -0.02 0.23 0.47 -0.09 1.00
24 = export_int_pre -0.28 -0.02 0.24 0.22 0.32 -0.02 0.13 0.00 0.03 0.02 -0.03 0.21 0.12 0.17 0.06 0.15 -0.08 0.30 0.09 0.35 0.01 0.03 0.17 1.00
25 = diff_export 0.15 0.05 -0.07 -0.22 -0.36 0.09 -0.06 0.03 0.02 -0.04 -0.01 -0.21 0.02 -0.19 -0.03 -0.15 0.28 -0.14 -0.01 -0.17 -0.01 0.00 -0.09 -0.42 1.00
26 = export_pre_yes -0.42 0.06 0.31 0.25 0.57 0.04 0.11 0.02 -0.03 -0.01 -0.04 0.26 0.05 0.20 0.06 0.20 -0.15 0.23 0.04 0.39 -0.02 -0.02 0.15 0.69 -0.44 1.00
27 = y_2007 -0.06 0.10 -0.02 -0.02 0.02 -0.01 -0.03 -0.02 -0.01 0.01 0.00 -0.01 -0.01 -0.01 -0.01 -0.01 -0.01 -0.01 -0.01 -0.02 0.00 -0.01 -0.01 -0.02 0.04 0.03 1.00
28 = y_2008 -0.09 0.00 0.03 0.10 0.09 -0.03 -0.14 -0.15 0.12 0.01 0.09 0.05 -0.01 0.01 -0.02 0.04 -0.08 0.03 0.11 0.08 -0.03 0.03 0.05 0.02 -0.21 0.04 -0.03 1.00
29 = y_2009 0.05 -0.07 0.06 -0.03 0.03 -0.06 0.01 -0.04 0.00 0.02 0.00 -0.03 -0.01 -0.02 -0.03 -0.06 -0.05 -0.03 0.00 0.02 -0.02 0.01 -0.02 -0.06 -0.11 -0.05 -0.02 -0.15 1.00
30 = y_2010 -0.03 -0.08 0.04 0.11 0.07 -0.08 -0.01 0.01 0.00 0.04 -0.02 0.17 0.08 0.18 0.15 0.02 -0.04 0.14 -0.03 0.04 0.11 -0.01 0.09 0.02 -0.11 0.06 -0.02 -0.16 -0.12 1.00
31 = y_2011 0.05 -0.02 -0.03 -0.02 -0.09 -0.09 -0.05 0.09 -0.05 -0.03 -0.03 -0.05 0.04 -0.04 -0.02 -0.04 0.01 -0.04 -0.02 -0.02 -0.03 0.00 -0.02 0.00 0.07 -0.03 -0.03 -0.22 -0.16 -0.17 1.00
32 = y_2012 0.03 0.03 -0.01 -0.08 0.01 0.10 0.09 0.28 -0.08 -0.05 -0.03 -0.07 -0.07 -0.06 -0.05 0.06 0.07 -0.06 -0.04 -0.04 0.03 0.01 -0.02 0.03 0.03 0.02 -0.03 -0.23 -0.17 -0.17 -0.24 1.00
33 = y_2013 0.00 0.09 -0.07 -0.05 -0.09 0.12 0.10 -0.18 0.01 0.02 -0.01 -0.03 -0.01 -0.03 -0.01 -0.03 0.06 -0.02 -0.02 -0.06 -0.04 -0.05 -0.06 -0.02 0.24 -0.04 -0.03 -0.25 -0.18 -0.19 -0.26 -0.27 1.00
34 = interest_rate -0.04 0.07 -0.03 -0.01 0.00 0.05 -0.07 0.04 0.04 -0.05 0.04 -0.07 -0.06 -0.09 -0.09 0.05 0.01 -0.06 0.06 0.01 -0.06 0.03 -0.02 0.04 -0.03 0.01 0.03 0.64 -0.47 -0.61 0.16 0.29 -0.22 1.00
35 = gdp_var 0.01 -0.06 -0.01 0.06 0.01 0.01 -0.06 -0.15 0.08 0.04 0.01 0.02 -0.01 0.03 0.02 -0.05 -0.03 0.05 -0.09 -0.04 -0.01 -0.04 0.00 -0.01 0.05 0.00 0.05 0.02 0.03 0.40 -0.36 -0.33 0.31 -0.40 1.00
36 = reg_job_skill 0.05 0.05 -0.05 -0.10 -0.10 0.13 0.12 0.10 -0.08 0.00 -0.06 -0.06 -0.02 -0.04 0.00 0.00 0.13 -0.04 -0.07 -0.09 0.01 -0.04 -0.06 0.00 0.27 -0.04 -0.12 -0.69 -0.33 -0.08 0.01 0.44 0.51 -0.16 -0.02 1.00
Source: Authors own elaboration based on data extracted from Information System of the NSRF Incentive Scheme.
Note: Observation = 624.

26
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 26
Appendix 3. Robustness test with interaction terms

TABLE IV. LOGIT RESULTS WITH INTERACTION TERMS BY FIRM SIZE


Model 5 Model 7 Model 9 Model 6 Model 8 MODEL 10
Variables Small Medium Non SMEs Small Medium NON SMES
Coef St. Error Coef St. Error Coef St. Error Coef St. Error Coef St. Error Coef St. Error
Small 0.374 (0.293) 0.0653 (0.257) 0.0572 (0.257) 0.190 (0.284) 0.0524 (0.257) 0.0601 (0.258)
Mdium -0.853** (0.393) -1.466*** (0.493) -0.865** (0.389) -0.826** (0.392) -1.091** (0.468) -0.894** (0.391)
no_sme 0.398 (0.382) 0.499 (0.381) 0.298 (0.441) 0.445 (0.380) 0.408 (0.379) 0.249 (0.409)
nr_partner 0.142*** (0.0503) 0.151*** (0.0507) 0.145*** (0.0502) 0.142*** (0.0504) 0.145*** (0.0503) 0.142*** (0.0503)
roe_pre -0.0589 (0.130) -0.0672 (0.129) -0.0444 (0.129) -0.0467 (0.129) -0.0354 (0.131) -0.0519 (0.130)
solv_pre -0.00224 (0.00270) -0.00232 (0.00274) -0.00227 (0.00270) -0.00222 (0.00269) -0.00226 (0.00269) -0.00223 (0.00269)
exp_si 0.541** (0.254) 0.531** (0.254) 0.547** (0.253) 0.535** (0.253) 0.550** (0.253) 0.551** (0.253)
export_pre_yes 0.958*** (0.297) 0.970*** (0.298) 0.965*** (0.296) 0.948*** (0.296) 0.976*** (0.296) 0.995*** (0.298)
rd_pre_yes 0.630 (0.393) 0.634 (0.398) 0.620 (0.391) 0.631 (0.391) 0.611 (0.391) 0.637 (0.391)
pat_pre_yes -0.272 (0.741) -0.237 (0.751) -0.267 (0.741) -0.243 (0.743) -0.210 (0.748) -0.247 (0.742)
Eec 1.717*** (0.391) 1.769*** (0.393) 1.718*** (0.389) 1.706*** (0.389) 1.720*** (0.389) 1.711*** (0.390)
ln_invest 0.342*** (0.0922) 0.374*** (0.0918) 0.363*** (0.0911) 0.353*** (0.0922) 0.363*** (0.0912) 0.354*** (0.0914)
small_var_skill_job -0.0540** (0.0237) - - - - - - - - - -
medium_var_skill_job - - 0.110* (0.0576) - - - - - - - -
no_sme_var_skill_job - - - - 0.0153 (0.0300) - - - - - -
var_skill_job 0.0612*** (0.0210) 0.0257 (0.0158) 0.0314* (0.0174) 0.0369** (0.0162) 0.0337** (0.0161) 0.0359** (0.0161)
var_skill_job2 -0.000137*** (4.46e-05) -6.56e-05* (3.39e-05) -0.000107* (5.90e-05) -8.70e-05** (3.47e-05) -8.08e-05** (3.46e-05) -8.43e-05** (3.44e-05)
var_no_skill_job -0.00867* (0.00448) -0.0101** (0.00469) -0.00766* (0.00413) -0.00731* (0.00410) -0.00791* (0.00410) -0.00634 (0.00430)
diff_export 1.721*** (0.407) 1.720*** (0.407) 1.716*** (0.406) 1.689*** (0.407) 1.672*** (0.409) 1.743*** (0.408)
small_diff_gav_job_post - - - - - - -0.00122 (0.00119) - - - -
medium_diff_gav_job_post - - - - - - - - 0.00422 (0.00528) - -
no_sme_diff_gav_job_post - - - - - - - - - 0.00282 (0.00266)
diff_gav_job_1000 -0.583 (0.495) -0.753 (0.489) -0.719 (0.480) -0.107 (0.777) -0.779 (0.486) -0.828* (0.495)
diff_rd_intensity 0.0870 (0.0678) 0.0866 (0.0688) 0.0858 (0.0669) 0.0871 (0.0668) 0.0848 (0.0673) 0.0868 (0.0671)
diff_patent_stock 2.049** (0.959) 2.025** (0.957) 2.020** (0.960) 2.022** (0.962) 2.008** (0.963) 2.061** (0.974)
industry_g 0.492* (0.270) 0.492* (0.270) 0.515* (0.269) 0.478* (0.271) 0.507* (0.269) 0.498* (0.269)
service_g 0.851*** (0.301) 0.856*** (0.299) 0.886*** (0.300) 0.837*** (0.301) 0.872*** (0.299) 0.874*** (0.299)
trade_g 0.250 (0.566) 0.265 (0.570) 0.284 (0.567) 0.245 (0.567) 0.284 (0.567) 0.256 (0.568)
all_other_sector_g -2.085*** (0.711) -1.997*** (0.703) -2.046*** (0.707) -2.079*** (0.707) -2.022*** (0.703) -2.193*** (0.738)
y_2009 1.174*** (0.403) 1.167*** (0.400) 1.137*** (0.400) 1.157*** (0.400) 1.134*** (0.399) 1.139*** (0.400)
y_2010 0.651* (0.383) 0.677* (0.383) 0.661* (0.381) 0.672* (0.381) 0.655* (0.381) 0.673* (0.381)
y_2011 -0.397 (0.325) -0.404 (0.325) -0.398 (0.322) -0.394 (0.323) -0.400 (0.323) -0.404 (0.323)
y_2012 -0.828** (0.346) -0.821** (0.346) -0.803** (0.344) -0.780** (0.344) -0.796** (0.344) -0.808** (0.344)
y_2013 -0.378 (0.320) -0.388 (0.320) -0.386 (0.319) -0.389 (0.319) -0.372 (0.318) -0.380 (0.318)
Constant -4.302*** (0.724) -4.355*** (0.723) -4.318*** (0.720) -4.294*** (0.723) -4.306*** (0.719) -4.275*** (0.722)
Observations 622 622 622 622 622 622
Pseudo R2 0.2198 0.2196 0.2144 0.2156 0.2151 0.2154
Log likelihood -335.65489 -335.75314 -337.99009 -337.45229 -337.67704 -337.56096
% Correctly classified 73.31% 73.15% 74.12% 74.12% 74.44% 74.28%
Ramsey test 0.963 0.6869 0.5633 0.5184 0.3911 0.4478
White test 0.4356 0.2992 0.5635 0.1081 0.1051 0.1227
Source: Authors own elaboration based on STATA output.
Note: ***, **, * significance level at 1%, 5% and 10% respectively.

27
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 27
Public Policy Portuguese Journal
2016, Volume 1, Number 1, pp. 28-56
Universidade de vora, UMPP - Unidade
de Monitorizao de Polticas Pblicas
www.umpp.uevora.pt

Bloqueios institucionais e possveis solues para a


operacionalizao de polticas transversais: O caso do
desenvolvimento econmico em Portugal1

Rui Nuno Baleiras


Conselho das Finanas Pblicas (CFP), Escola de Economia e Gesto na Universidade do Minho,
Ncleo de Investigao em Polticas Publicas (NIPE)
rnbaleiras@gmail.com

ABSTRACT
This paper analyses the effect of the institutional process upon the effectiveness of horizontal public policies.
Economic development is the focus of the article. Public action effectiveness hinges critically on how policies
get together to mobilise regional development drivers. Translating lessons from scientific knowledge and
international empirical evidence to Portugal allows us to identify a number of flaws in the Portuguese
institutional architecture and to recommend solution avenues to make the economic development of
Portuguese territories more inclusive and sustainable. These recommendations bet on place-based sectorally
integrated approaches which go through a significant improvement in horizontal and vertical governance
mechanisms, and the adoption of policy tools headed towards the internalisation of association economies
between the three territorial layers of government and the regional development actors in civil society.

Keywords: Institutional process, Horizontal public policies, Economic development


JEL classification: H11, O12, O21, O43, R11 e R58

RESUMO
Este documento incide sobre o efeito do processo institucional na eficcia das polticas pblicas com dimenso
transversal. O desenvolvimento econmico em Portugal o foco do artigo. A eficcia da ao pblica depende,
neste caso, crucialmente do modo como as polticas se articulam para mobilizar as foras motrizes do
desenvolvimento regional. Transpondo ilaes do conhecimento cientfico e da evidncia emprica
internacional para Portugal, so identificadas vrias fragilidades na arquitetura institucional portuguesa e
recomendadas vias de soluo capazes de tornar o desenvolvimento econmico dos territrios portugueses
mais inclusivo e sustentvel. So solues que apostam em abordagens sectorialmente integradas e sensveis
aos contextos territoriais a que se destinam e que passam pela melhoria significativa nos mecanismos de
governana horizontal e vertical e pela adoo de instrumentos de poltica ancorados na dinamizao de

1 Verso revista e atualizada do artigo Baleiras (2014b), realizado no mbito da iniciativa Sextas da Reforma. O livro dela
resultante rene as contribuies de muitos autores que refletiram e propuseram medidas para melhorar o sector pblico
em Portugal, fechando um conjunto de eventos coorganizado entre janeiro de 2013 e dezembro de 2014 para e com a
sociedade civil pelo Banco de Portugal, pelo Conselho das Finanas Pblicas (CFP) e pela Fundao Calouste Gulbenkian. O
presente artigo remete nos locais assinalados para a anlise mais detalhada presente em Baleiras (2014a), disponvel no
portal Internet do CFP (www.cfp.pt).
O contedo deste captulo apenas compromete o autor, no devendo ser lido como a opinio de alguma das instituies
em que est afiliado. Naturalmente, assume a responsabilidade exclusiva por qualquer erro que possa subsistir no texto.

28
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 28
economias de associao entre os trs nveis territoriais da administrao pblica e os atores do
desenvolvimento regional na sociedade civil.

Palavras-Chave: Processo institucional, Polticas pblicas transversais, Desenvolvimento econmico


Classificao JEL: H11, O12, O21, O43, R11 e R58

1. INTRODUO Ora a coordenao, a articulao, a


A capacidade de uma poltica pblica produzir os complementaridade e a territorializao das
resultados planeados depende, entre outros intervenes pblicas so tudo menos um dado
fatores, do processo institucional em que a adquirido no processo institucional portugus.
poltica concebida, executada e avaliada. Por H muito que muitos autores vm alertando
processo institucional designamos o para estas pechas verdadeiramente estruturais
enquadramento em que se formam e da poltica de desenvolvimento econmico. Em
materializam as escolhas coletivas sobre a Portugal, podemos, por exemplo, citar A. Simes
afectao de recursos da sociedade s Lopes, por muitos justamente considerado o pai
finalidades da poltica. Adaptando a noo de da Economia Regional, quando no seu conhecido
processo institucional originalmente definida por manual afirmava: nunca houve uma poltica
Cangiano et al. (2013, p. 6) no contexto das regional em Portugal, embora de h muito se
finanas pblicas ao caso de uma qualquer fale dos desequilbrios regionais e da
poltica pblica, diremos que o respetivo necessidade de os corrigir Lopes (1984, p.
processo integra as leis, os procedimentos, as 331). Figueiredo et al. (2010) rev o interesse e,
regras e as convenes, incluindo as ao mesmo tempo, as fragilidades em muitas
organizaes definidas por aqueles elementos, experincias de territorializao de polticas
que influenciam a orientao e a gesto da ocorridas entre 1986 e 2006, anlise retomada
poltica oramental. em Figueiredo e Babo (2015) no contexto das
reas da inovao e da cultura. A dependncia
O processo institucional particularmente
excessiva das polticas sectoriais em relao aos
crtico para o sucesso das polticas no caso das
Fundos Europeus Estruturais e de Investimento e
que tm mbito transversal, i.e., daquelas que
os abusos da lgica financeira, em detrimento da
apenas existem na medida em que consigam
econmica, na gesto destes recursos so
mobilizar a determinao, os recursos e os
apontados em Baleiras (2011a, pp. 5761) como
destinatrios de vrias polticas de cariz
prejudiciais para a transversalizao dos
sectorial. O meio ambiente, o ordenamento do
objetivos de desenvolvimento econmico. Mas
territrio, a modernizao administrativa e o
aquelas pechas na concretizao de polticas
desenvolvimento econmico exemplificam reas
transversais no so um atributo exclusivamente
de governao pblica cuja eficcia depende de
portugus, com frequncia at so identificadas
instrumentos prprios mas tambm da
e discutidas numa perspetiva multi-pases, como
qualidade da coordenao de instrumentos das
recentemente em Organizao das Naes
polticas sectoriais com maior capacidade de
Unidas (2015) e Berger e Steurer (2009). Esta
interveno ou influncia sobre o objeto da
problemtica h muito acompanhada pela
poltica transversal em causa. Concretizando
OCDE, designadamente atravs de iniciativas no
para o caso do desenvolvimento econmico que,
mbito da Direo de Governana Pblica e
neste texto, servir de exposio para as
Desenvolvimento Territorial.
propostas de reforma apresentadas, diramos
que o nvel de desenvolvimento em A experincia profissional entretanto
determinado territrio certamente impactvel acumulada1 deu-nos o atrevimento de escrever
por instrumentos de poltica nas mos do em 2014 um conjunto de textos de reflexo
ministro com a tutela desta rea; porm, a sobre o que entendemos serem os principais
obteno de resultados duradouros em matria bloqueios no processo institucional da poltica
de desenvolvimento econmico requer a transversal de desenvolvimento econmico -
contribuio articulada, complementar e Baleiras (2014a,b). O presente artigo atualiza e
territorialmente adaptada de impulsos por parte
das polticas com maior efeito no nvel de bem- 1 Primeiramente como investigador e docente no domnio
estar da populao desse territrio, tais como a das polticas pblicas, com destaque para as reas das
educao, a formao profissional, a mobilidade finanas pblicas e da economia e poltica do
e a atrao de investimento direto privado. desenvolvimento regional, depois como consultor e decisor
poltico nessas reas e, mais recentemente, como analista
da poltica oramental.

29
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 29
condensa as nossas ideias sobre este assunto. cujo negcio seja altamente especializado e
Identifica uma srie de falhas institucionais no dependente de contactos face-a-face, como a
pas que bloqueiam a eficcia das polticas banca de investimento, tende a localizar-se em
pblicas na promoo do desenvolvimento e cidades grandes, pois a que se concentram os
deixa pistas concretas para reduzir departamentos financeiros dos clientes
substancialmente a ao atrofiadora do potenciais. Tambm as pessoas singulares,
processo institucional. Estamos convencidos que quando escolhem onde consumir e trabalhar,
boa parte das dificuldades e das possibilidades so sensveis localizao das oportunidades de
de melhoria que identificaremos ao longo do consumo e distribuio espacial das
artigo comum a outras polticas pblicas de remuneraes adequadas s suas competncias.
mbito transversal, pelo que algumas concluses Ora os territrios diferem uns dos outros na
extradas no final sero eventualmente dotao de caractersticas como as acima
transportveis para outras reas da governao referidas. Essa diversidade no neutra para a
pblica. atividade econmica nem para a localizao de
Para alm de pretender deixar pistas de reflexo empregos e consumidores. De igual modo, o
sobre como melhorar o contexto institucional da resultado da atividade econmica tambm no
poltica de desenvolvimento econmico, com neutro para os territrios, para a capacidade de
inspirao para outras polticas transversais, o cada um ser competitivo e atraente para os
artigo tem uma segunda finalidade. Pretende fatores de produo e consumo.
tambm ser um contributo para esclarecer junto A segunda ideia importante neste artigo a de
de um pblico no especialista em economia que todas as regies contribuem para o
espacial ou questes de desenvolvimento que o crescimento econmico. H, com certeza,
desenvolvimento econmico tem muito a ver territrios que, em determinado momento, so
com o estado da economia e a orientao da mais competitivos do que outros, territrios que
estratgia econmica nacional. Esta ligao contribuem mais para o PIB do que os demais.
passa pela considerao do territrio. Com Porm, essencial ter presente que todos os
efeito, trs ideias fortes perpassam territrios, mesmo os menos favorecidos em
transversalmente por este trabalho: i) no h termos de atrao econmica, podem e devem
economia sem territrio; ii) todos os territrios contribuir para o PIB nacional. H dois trabalhos
contribuem para o crescimento; iii) territrio o recentes da Organizao para a Cooperao e o
local onde as pessoas e as polticas se Desenvolvimento Econmicos (OCDE) bastante
encontram. elucidativos a este propsito. Ambos recorrem a
Pode parecer um lugar-comum afirmar que no dados em painel referentes ao perodo 1995 a
h atividade econmica sem territrio. Porm, 2007, sendo distinto o grau de desagregao
vale a pena comear por realar esta noo territorial de cada um. OCDE (2012) observa que
fundamental pois ela condiciona sobremaneira a as regies de nvel territorial 21 com PIB por
capacidade de diferentes territrios habitante inferior mdia nacional em 1995
contriburem para a produo de bens e explicaram 43% do crescimento agregado do PIB
servios, o emprego, o investimento ou qualquer da OCDE. No caso de Portugal, cerca de 54% do
outra forma de atividade econmica. Quando crescimento do PIB nacional veio dessas
uma empresa escolhe onde localizar, expandir regies2. Com uma desagregao mais fina, o
ou contrair a sua atividade, tem em conta a nvel 3 da OCDE, Garcilazo e Martins (2013)
localizao dos fornecedores e dos
consumidores. Ilustraes: na localizao de um
parque elico contam a intensidade e a durao 1 Correspondem a grandes unidades subnacionais em
dos fluxos de ar; a produo de um bem termos de superfcie; no caso dos pases da Unio Europeia
intensivo em conhecimentos ou saberes (UE), equivalem s unidades NUTS II. H 362 regies deste
especficos dever ponderar a abundncia nvel na OCDE e sete em Portugal. O nvel territorial 3 conta
1794 unidades na OCDE e 30 em Portugal. A classificao
relativa de localizaes alternativas em mo-de-
NUTS (Nomenclatura das Unidades Territoriais para Fins
obra qualificada na medida em que essa Estatsticos) usada para organizar na EU de modo
disponibilidade afeta a produtividade e o custo harmonizado a recolha e divulgao de informao
de formao; para produtos cujo transporte estatstica regional. instrumental na determinao da
tenha um peso significativo na estrutura de elegibilidade territorial das regies poltica europeia de
custos, importa escolher o local de produo em coeso e, nalguns Estados-Membros, est na base do
funo da distncia e da massa de planeamento espacializado de polticas pblicas ou da
consumidores, variveis decisivas para definir a organizao poltico-administrativa do territrio nacional.
rea de mercado da empresa. Uma empresa 2 Essas regies foram Norte, Centro, Alentejo, Algarve,

Aores e Madeira.

30
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 30
concluram que as grandes metrpoles, que uma regio de nvel 2 com qualquer outra em
constituem 2,4% dos territrios desse nvel, termos de nove indicadores de bem-estar. A
explicaram apenas 27% do crescimento do PIB Figura 1 mostra a posio das regies
da OCDE. Dito de outro modo, os restantes portuguesas na distribuio regional da OCDE.
97,6% contriburam com 73% para esse Tm melhor desempenho do que a mdia da
crescimento. A maior concentrao de taxas de OCDE exceto nos indicadores taxa de
crescimento regional acima da mdia da OCDE desemprego, taxa de participao na ltima
encontra-se em regies de dimenso intermdia. eleio legislativa, rendimento disponvel das
Estes nmeros mostram que h um papel para famlias e proporo da fora de trabalho com,
os territrios menos desenvolvidos na gerao pelo menos, o ensino secundrio completo.
de crescimento nacional e que esse papel no Neste ltimo caso, as posies portuguesas so
despiciendo. particularmente desfavorveis: enquanto a
Duas ilaes para a poltica econmica em geral mdia da OCDE 75%, em Portugal 41%, com
importa extrair destes nmeros. Primeira, os os territrios portugueses a situarem-se entre
decisores fazem bem em se preocupar com o 31% (Aores) e 52% (Lisboa).
desempenho dos grandes hubs regionais: Fazer de um territrio um local melhor para
neles que se encontram os motores mais viver ou trabalhar certamente o caminho para
potentes do desempenho nacional e, se eles ele crescer e contribuir para o bem-estar do
falharem, o efeito no PIB nacional ser todo nacional. Por isso, as polticas que tomem
significativo. Segunda, se negligenciarem as as diferenas regionais em conta, e no apenas
regies no-hub, perdem uma oportunidade as mdias nacionais, podem ter um maior
crucial de melhorar o desempenho nacional. impacto no crescimento e na melhoria do bem-
Portanto, a ao poltica para as regies no- estar nacional.
hub no tem que ser assistencialista; pode e Surge assim a terceira ideia forte deste artigo.
deve ser um elemento indutor de crescimento Territrio o local onde as pessoas e as polticas
num pacote de polticas estruturais. H se encontram. As pessoas so as destinatrias
racionalidade econmica em procurar mais das polticas pblicas, para elas que os
rendimento gerado fora dos territrios lder; governos trabalham. Ora as polticas chegam s
bom para esses territrios e bom para o pas pessoas via territrio e so frudas em funo de
como um todo. condies especficas no local em que so
O crescimento do PIB importante mas a prestadas. Neste sentido, as polticas pblicas,
competitividade e a atrao da economia embora possam ser decididas a nvel regional ou
portuguesa tambm se jogam noutras nacional, so bens pblicos locais. Por exemplo,
dimenses do bem-estar. H cada vez mais os benefcios da poltica de sade so
informao disponvel publicamente sobre apreendidos atravs da forma concreta como os
amenidades das vrias regies, a que cidados recebem os cuidados de sade. Os
investidores e trabalhadores mais mveis tempos de acesso e a qualidade do atendimento
(tipicamente, mais qualificados) so sensveis so inevitavelmente diferentes ao longo do
nas suas decises de localizao. A OCDE volta territrio nacional e isso explica que os utentes
ser um bom exemplo. Atravs do portal com formem as suas percees acerca dos benefcios
informao georreferenciada OECD Regional dessa poltica em funo do local onde residem
Well-Being, qualquer internauta pode comparar ou trabalham.

FIGURA 1. AS REGIES NUTS II PORTUGUESAS FACE S CONGNERES DA OCDE, POR DIMENSES DO BEM-ESTAR

Fonte: OCDE (2014b, p. 160).

31
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 31
O texto est organizado da seguinte forma. portugus e ingls pelo Conselho das Finanas
Comeamos com a evidncia internacional e Pblicas Baleiras (2014a). Quando apropriado,
nacional sobre indicadores de desenvolvimento; o texto remete para esta publicao. O material
os nmeros motivam uma maior preocupao adicional constante da mesma o seguinte. A
territorial, nos dias de hoje, com a seguir Introduo, h uma seco que faz uma
competitividade relativamente equidade ou, distino terminolgica entre crescimento
dito de outro modo, sobre o que deve ser feito econmico, desenvolvimento econmico e
para que a competitividade permita sustentar desenvolvimento regional. As causas do
maiores ganhos de equidade. A Seco 3 expe crescimento e do desenvolvimento so
brevemente as foras que, numa economia de explicadas com maior profundidade do que aqui,
mercado, influenciam a evoluo do crescimento atravs de uma breve visita guiada s teorias
e do desenvolvimento econmicos. O resto do econmicas surgidas entre os anos 40 do sculo
artigo centra-se na atuao que o sector pblico passado e a atualidade (pensamento
tem exercido com a inteno de superar as neoclssico, modelos de raiz keynesiana,
limitaes do mercado quanto a crescimento e explicaes baseadas em interaes no-
desenvolvimento em todos os territrios. Assim, pecunirias entre agentes, escola dos polos de
a Seco 4 d conta de um novo paradigma das crescimento, papel do conhecimento, nova
polticas de desenvolvimento regional a emergir economia geogrfica e fatores intangveis do
entre as economias desenvolvidas. A Seco 5 desenvolvimento). H uma seco com evidncia
identifica uma srie de equvocos e desafios que emprica sobre os fatores de crescimento no
permanecem na sociedade portuguesa como espao da OCDE e um maior desenvolvimento
entraves institucionais, pelo que a Seco 0 (do que na Seco 0 abaixo) sobre a mudana
oferece discusso pblica um conjunto de em curso na natureza das polticas de
pistas para remover esses obstculos desenvolvimento regional.
institucionais e tornar as polticas pblicas mais
amigas do crescimento e do desenvolvimento
econmicos de todos os territrios portugueses.
2. ALGUNS NMEROS
Finalmente, a Seco 6 conclui. Em jeito de motivao, atente-se nas
representaes cartogrficas desta seco.
Este artigo foi escrito no contexto de uma
Pretendem dar uma ideia da diversidade
investigao mais extensa. Por limitaes de
territorial em matria de PIB e desenvolvimento
espao, o contedo do artigo est concentrado
regional. A Figura 2 exibe o estado do PIB per
no diagnstico e na terapia para as falhas
capita nas regies de nvel 3 da OCDE, em dois
institucionais portuguesas na promoo do
momentos diferentes.
desenvolvimento econmico. Os resultados da
investigao completa foram publicados em

FIGURA 2. PIB POR HABITANTE NAS REGIES DA EUROPA, NVEL TERRITORIAL 3

Notas: preos constantes de 2005, dlares norte-americanos em paridade de poderes de


compra. Arquiplagos ibricos em escala ampliada.
Fonte: ferramenta interativa Regional eXplorer e dados em OCDE (2016); configurao do autor.

32
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 32
De 1995 para 2010 a disperso aumentou. Isso assemelha-se imagem negativa da da
visvel a olho nu e confirmado pelo coeficiente competitividade. O respetivo coeficiente de
de variao, que passa de 2,2 para 2,5 (clculos correlao negativo (-0,6) e os territrios com
do autor). As regies portuguesas parecem ter- melhor ambiente esto primordialmente
se afastado das mais prsperas na Europa em localizados na faixa oriental: Serra da Estrela,
termos deste indicador. Trata-se de uma Alto Alentejo, Beira Interior Norte, Pinhal
evoluo que no surpreende a quem Interior Sul e Cova da Beira lideram a lista.
acompanha as estatsticas do PIB a nvel Apenas dez regies tm desempenho ambiental
agregado, a nvel das naes. Aquela ferramenta abaixo da mdia nacional.
interativa permite ao utilizador correr a linha do Uma terceira mensagem importante, embora
tempo sobre o perodo de dados disponvel no possa ser extrada do retrato esttico que a
(1995 a 2010 no momento em que este Figura 3 . Trata-se da evoluo que o pas tem
manuscrito foi fechado) para, de modo registado nas dimenses do desenvolvimento
visualmente impressivo, se aperceber do regional. Com base na evidncia adicional
aumento na desigualdade territorial deste referida no Anexo A de Baleiras (2014a), conclui-
indicador escala do continente. se que: 1) quase todas as regies progrediram
E que informao existe sobre o estado de em termos absolutos nas dimenses coeso e
desenvolvimento regional em Portugal? O ndice qualidade ambiental; 2) as diferenas inter-
Sinttico de Desenvolvimento Regional (ISDR) regionais nestas dimenses tm vindo a
fornece uma imagem rpida e sugestiva. Ele a diminuir; 3) na dimenso competitividade que
mdia de trs ndices compsitos. Cada um deles o progresso absoluto tem sido menos vincado e
tenta representar o desempenho da regio cada vez mais assimtrico.
numa dimenso de desenvolvimento econmico
relativamente ao desempenho mdio nacional.
As dimenses consideradas so: coeso,
3. CAUSAS DO DESENVOLVIMENTO REGIONAL
competitividade e qualidade ambiental. A mdia O funcionamento espontneo da economia
dos trs ndices exprime a posio global da impacta no estado de desenvolvimento regional.
regio relativamente ao pas. O Anexo A de Se as foras do mercado forem suficientemente
Baleiras (2014a) d uma explicao sumria amigas do desenvolvimento razovel de todos os
sobre a natureza e as variveis por detrs desta territrios e se, em particular, no provocarem
medida. A Figura 3 cartografa a edio do ISDR, movimentos assimtricos prolongados, o
publicada em abril de 2014. o retrato do pas desenvolvimento econmico no um problema
no ano de 2011.1 poltico significativo. Contudo, se o mercado
falhar na proviso daquelas condies, h razes
Dos dados, resultam as seguintes mensagens.
para a sociedade se questionar sobre a
Primeira, Portugal mais desigual em
capacidade de o Estado fazer melhor. A eventual
indicadores de competitividade do que de
margem para atuao pblica sobre as causas do
coeso. O desvio-padro da distribuio
desenvolvimento econmico depender sempre
constituda pela mdia dos primeiros excede o
dos mecanismos de mercado. Por estas razes,
da segunda em 22%. Apenas cinco regies, num
no podemos avaliar a qualidade das polticas
total de 30, surgem mais competitivas do que a
pblicas em Portugal para o desenvolvimento
mdia nacional, todas junto ao litoral: por ordem
sem antes termos uma boa ideia sobre o que
decrescente, Grande Lisboa, Grande Porto, Baixo
explica o estado de desenvolvimento dos
Vouga, Ave e Entre Douro e Vouga. J quanto
territrios numa economia de mercado. Em
coeso, 16 regies superam o desempenho
Baleiras (2014a) faz-se uma recenso do
nacional. O espao mais coeso est na faixa
pensamento econmico relevante, remetendo-
central do Continente. A Madeira, o Tmega e os
se para esta fonte o leitor interessado na
Aores fecham a tabela, embora com
fundamentao terica do diagnstico e das
desempenhos que distam menos de 20 pontos
sugestes de poltica adiante expostas. Naquele
percentuais da mdia nacional. Segunda, a
trabalho so resumidas as explicaes para o
fotografia territorial da qualidade ambiental
estado de desenvolvimento econmico e a sua
evoluo propostas pelas seguintes teorias:
1 data de fecho do manuscrito, o ano de 2011 o mais pensamento neoclssico, modelos de raiz
recente para o qual o portal do INE permite ao utilizador keynesiana, explicaes baseadas em interaes
construir mapas personalizados para o ISDR. A edio mais no-pecunirias entre agentes, escola dos polos
recente do ISDR, cujo destaque foi publicado em
de crescimento, papel do conhecimento, nova
15/06/2015 (INE, 2015), tem os nmeros referentes a 2013
e classificao NUTS III de 2013, adotada no Regulamento
economia geogrfica, e fatores intangveis do
(UE) n. 868/2014 da Comisso, de 8 de agosto. desenvolvimento.

33
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 33
FIGURA 3. NDICE SINTTICO DE DESENVOLVIMENTO REGIONAL, NUTS III (PORTUGAL = 100), 2011

Notas: classificao NUTS III de 2002 (Decreto-Lei n. 244/2002, de 5 de


novembro). Valores expressos em relao mdia nacional (100).
Fonte: mapas temticos e dados em INE (2014a); configurao do autor.

As teorias do desenvolvimento econmico O funcionamento espontneo dos mercados


relevantes para economia maduras permitem- gera resultados contraditrios. No assegura
nos afirmar que: necessariamente o progresso duradouro de
o bem-estar de quem vive em determinado nenhum territrio nem, ao contrrio do que os
lugar o resultado de uma interao complexa neoclssicos acreditavam, uma tendncia de
entre fatores intrnsecos ao local e fatores a longo prazo para a convergncia real. Dito de
ele exgenos, fatores que vo muito alm dos outro modo, o mercado pode falhar na
tradicionais stocks de trabalho e capital nas proviso de desenvolvimento sustentvel.
anlises macroeconmicas do lado da oferta. Destas concluses no se pode inferir que o
Onde esto (dotao) e para onde vo Estado far necessariamente melhor ou que,
(mobilidade no espao, acumulao no tempo) intervindo sobre os fatores de desenvolvimento,
os recursos so questes muito importantes. no haja falhas nessa interveno.

34
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 34
A lista de fatores com impacto no crescimento e a convergncia real imperava ento nos crculos
no desenvolvimento muito diversificada. A internacionais da poltica econmica. nos anos
responsabilidade pelos nveis de cada fator est 60 que vrias economias avanadas comeam a
pulverizada por uma enorme pliade de atores, implementar polticas orientadas para os
dentro e fora do territrio em apreo. Na territrios, muito influenciadas pelas implicaes
ausncia de coordenao entre eles, a nova polticas dos modelos de raiz keynesiana e da
economia geogrfica e a teoria dos fatores escola dos polos de crescimento. Foram dcadas
intangveis alertam-nos para o risco de efeitos de crescimento nacional assinalvel, o que
contraditrios. Daqui decorre uma possvel ajudou a financiar polticas de desenvolvimento
implicao de poltica. Uma atuao coletiva assentes em mecanismos de redistribuio e
inteligente em prol do desenvolvimento investimento exgeno nos territrios menos
territorial h-de decorrer da mobilizao prsperos.
deliberada e concertada de vontades. Isso no se Na dcada passada, o pensamento sobre o papel
faz de cima para baixo nem sem colaborao e dos fatores endgenos no crescimento e no
liderana. A querer-se considerar uma desenvolvimento comea a influenciar o
interveno coletiva com estas caractersticas, discurso poltico e o desenho de instrumentos de
ela dever assentar num modelo organizativo poltica assentes na sua dinamizao. A
matricial. Para que os vrios tipos de recursos relevncia do conhecimento, das economias de
sejam eficazmente mobilizados, so essenciais aglomerao, do papel ambivalente da reduo
boas solues de cooperao tanto a nvel de custos de transporte sobre o consumo e o
horizontal como a nvel vertical. No primeiro emprego, bem como dos elementos imateriais,
caso, falamos de cooperao dentro de cada comea a fazer caminho nas polticas de
categoria de agentes: ministrios, municpios, desenvolvimento regional. No espao europeu,
empresas, associaes empresariais, centros de so marcos importantes algumas experincias
I&DT, agncias de desenvolvimento regional, nacionais2 e, em termos da dcada em curso, o
associaes de desenvolvimento local. No relatrio Barca (2009) sobre a poltica de coeso
segundo, falamos de cooperao entre agentes bem como a estratgia de desenvolvimento da
de diferentes categorias. Retomaremos esta Unio Europeia at 2020 Europa 2020. Em
ilao quando apresentarmos as nossas Baleiras (2011a, pp. 5156) h uma exposio
recomendaes na Seco 0 para mitigar os desenvolvida sobre as ilaes da teoria
bloqueios institucionais das polticas pblicas econmica para o papel do Estado na promoo
induo de desenvolvimento regional. do desenvolvimento regional.
As experincias com fatores endgenos que se vm
4. PARADIGMAS NA POLTICA DE DESENVOLVIMENTO acentuando desde o ano 2000 so de tal modo
REGIONAL significativas face ao passado que muitos
Em larga medida, as intervenes pblicas em especialistas nesta rea se reveem na afirmao
prol do desenvolvimento regional que a OCDE vem fazendo h vrios anos OCDE
acompanharam os desenvolvimentos no (2009, 2010, 2011) de que est em curso uma
conhecimento cientfico. No se estranha, por mudana de paradigma nas polticas de
isso, que a poltica regional da Unio Europeia desenvolvimento regional.
no tenha nascido com a fundao das
Comunidades nos anos 50,1 o otimismo
neoclssico descrito em Baleiras (2014a) acerca
da capacidade dos mercados para promoverem

1 A DG Regio (Direco-Geral da Poltica Regional) criada


somente em 1968 mas podemos dizer que uma poltica
estrutural comum orientada para os territrios comea
apenas quando o Fundo Europeu de Desenvolvimento 2 No domnio das economias de aglomerao, a iniciativa
Regional criado, em 1975. A esta evoluo no estranha Centre of Expertise Programme na Finlndia, orientada
a evoluo da prpria integrao europeia, na medida em para a endogeneizao de processos de inovao em
que os aprofundamentos sucessivos (unio aduaneira, pequenas e mdias empresas, e as Estratgias de
alargamentos, mercado comum, sistema monetrio Eficincia Coletiva, iniciativa em Portugal para fazer face a
europeu, liberalizao financeira, e finalmente a unio quatro tipos de desafios de competitividade. No domnio da
cambial e monetria), se bem que globalmente positivos, coordenao de polticas sectoriais visando uma
criaram desequilbrios territoriais dentro e entre Estados- abordagem integrada para o desenvolvimento de territrios
Membros, tornando esses desequilbrios numa rurais, considere-se a iniciativa canadiana Rural
preocupao comum. Partnership.

35
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 35
O Quadro 1 ajuda a perceber as diferenas e, abordagens sectorialmente separadas e
sobretudo, a discernir as tendncias atuais.Em independentes umas das outras para se
resumo, a mudana de paradigma em curso passar a privilegiar solues integradas e
caracteriza-se, no fundo, pelo abandono de: multissectoriais (o que requer boas solues
subsdios independentes dos resultados, de governana horizontais e verticais, como
baseados em assimetrias inter-regionais, exploraremos na Seco 0);
para se passar a privilegiar transferncias definio e execuo de polticas de cima-
norteadas para o desempenho, para-baixo e tendencialmente uniformizadas
transferncias que induzam em direo a solues de governana
comportamentos orientados para a vertical partilhadas e sensveis ao contexto
melhoria da competitividade territorial; dos lugares.

QUADRO 1. PARADIGMAS NA POLTICA DE DESENVOLVIMENTO REGIONAL

Fonte: adaptao prpria de OCDE (2010).

5. BLOQUEIOS INSTITUCIONAIS EM PORTUGAL desenvolvimento regional.1 De ento para c,


surgiram instituies pblicas vocacionadas para
A seco anterior permitiu-nos perceber quais
pensar, planear e at executar medidas de
so as tendncias nas melhores prticas
desenvolvimento baseado nos territrios
internacionais em matria de polticas de
(comisses de coordenao regional, Direco-
desenvolvimento regional. E como que
Geral do Desenvolvimento Regional) e
Portugal se situa neste contexto?
apareceu dinheiro dos contribuintes, os fundos
Diremos que o pas se encontra em transio estruturais e de coeso da ento poltica
entre o antigo e o novo paradigmas. At regional europeia.
adeso s Comunidades Europeias em 1986, no
Entre 1989 e 2009, foram aplicados na economia
se pode falar propriamente em poltica de
portuguesa cerca de 48 mil milhes de euros

1Nunca houve poltica regional em Portugal embora de h


muito se fale dos desequilbrios regionais e da necessidade
de os corrigir Lopes (1984, p. 331).

36
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 36
(mM) de fundos europeus, a que se tero completo ou superior, nmero de patentes
somado 26,9 mM dos contribuintes industriais, e evoluo da quota nos mercados
portugueses e 17,8 mM das empresas externo e interno das empresas residentes. A
residentes conforme Baleiras (2011a, p. 60). A competitividade territorial progrediu menos que
utilizao destas verbas exigiu uma verdadeira a coeso territorial, um resultado em linha com
mudana cultural na gesto de instrumentos de indicadores macroeconmicos que comparam a
poltica que acabou por extravasar para outros competitividade do pas com outras economias
domnios da ao do Estado: programao nacionais. Ao contrrio do que sucedeu com os
oramental plurianual, fundamentao indicadores de coeso, as assimetrias
estratgica, predomnio de regras sobre competitivas entre territrios de nvel NUTS III
discricionariedade e avaliao (prvia, no cessaram de aumentar desde os anos 70
contempornea e posterior execuo) foram conforme indicadores quantitativos em Baleiras
valores novos na gesto pblica portuguesa (2014a, Anexo A).
importados largamente pela poltica regional. A partir do 3. Quadro Comunitrio de Apoio
Amplamente inspirados pelas implicaes de (QCA) e, com mais profundidade, a partir do
poltica dos modelos de raiz keynesiana e da Quadro de Referncia Estratgico Nacional
escola dos polos de crescimento, predominaram (QREN), surgem vrias inovaes no esteio do
os incentivos ao crescimento por causas novo paradigma. No s a competitividade
exgenas (proviso de infraestruturas a cargo do assumida no QREN, a par da coeso, como os
Estado, subsidiao a projetos privados de objetivos polticos a prosseguir com o concurso
investimento isolados do meio econmico financeiros dos fundos europeus, como se
envolvente, ao fim ao cabo, o territrio, e adotaram solues de governana visando uma
instrumentos de poltica com fraca participao melhor integrao territorial das poltica
dos atores na sua construo) e a viso da sectoriais pormenores em Baleiras (2011a, pp.
poltica de desenvolvimento regional como uma 6169). O quadro de programao seguinte,
poltica assistencialista Robin dos Bosques, Portugal 2020, aprofunda este rumo.
como se s houvesse problemas de
Para os propsitos deste artigo, mais do que
desenvolvimento nos espaos pobres ou se a
explicar os passos dados em direo ao novo
redistribuio no fosse uma questo
paradigma, importa refletir sobre uma srie de
interpessoal (em vez de ser erradamente, em
equvocos e desafios que permanecem na
nossa opinio, tratada como inter-regional).
sociedade portuguesa como entraves
O pas deu entretanto passos de gigante em institucionais sua plena adoo. A exposio
inmeros domnios, da reduo extraordinria seguinte prepara o terreno para a apresentao
da mortalidade infantil (para nveis inferiores aos de propostas de soluo na prxima seco.
da maioria das naes desenvolvidas)
compresso das distncias no territrio.1 Estudos
vrios2 comprovam a melhoria significativa em 5.1. Dificuldades na compreenso pblica de
todo o territrio nacional do acesso dos cidados questes transversais
a bens e servios coletivos, como mobilidade, Uma das razes por que difcil os polticos se
tratamento de guas residuais, sade e interessarem por polticas ou questes
educao. Designando por coeso territorial as transversais o facto de os cidados no
taxas de cobertura da populao servida por sentirem que elas existem. O que eles veem so
redes de equipamentos e infraestruturas que falhas da poltica sectorial. Dois exemplos. Se
asseguram o fornecimento deste tipo de bens, uma maternidade fechada, o que as famlias
os referidos estudos convergem ainda na veem uma unidade de sade que desapareceu
concluso de que o pas se tornou menos e queixam-se do hospital local ou da poltica de
assimtrico na coeso territorial. J o mesmo sade. Se um troo de via-frrea encerrado, o
no afirmam em relao competitividade que os utentes veem que os comboios
territorial, medida atravs de indicadores a nvel deixaram de lhes passar porta e queixam-se
subnacional como peso de sectores ento da CP ou da poltica de transporte
transaccionveis no VAB, percentagem da ferrovirio. O que eles veem so as causas
populao ativa com ensino secundrio prximas do descontentamento mas as
verdadeiras causas so outras so questes
1 OCDE (2008, p. 102) d conta de uma diminuio em cerca de desenvolvimento (tm a ver com a perda de
de 50% nos tempos de percurso entre as capitais de distrito mulheres em idade frtil e o desaparecimento
e Lisboa ocorrida entre 1986 e 2006 em virtude da melhoria de empregos e oportunidades sub-regionais de
da rede rodoviria nacional. trfego e, portanto, de massa crtica de
2 Mateus (2005), DPP (2006) e Mateus (2015). parturientes e passageiros).

37
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 37
As questes de desenvolvimento esto intenes de investimento para o planeamento
demasiado distantes do seu quotidiano e as das redes de equipamentos coletivos. Conhecer
pessoas no conseguem identificar claramente que equipamentos sero construdos ou
um governante a quem pedir responsabilidade remodelados, com que valncias, quando e
por elas. Portanto, as pessoas sentem o efeito de aonde certamente ajuda a integrar
falhas de transversalizao como consequncia externalidades entre redes sectoriais e a
de polticas sectoriais e no tanto como ausncia promover a racionalizao das redes em linha
de qualquer poltica transversal ou de com a estratgia de desenvolvimento de cada
coordenao de polticas sectoriais. Nem fazem PROT. O problema que os PROT no vinculam
ideia do que isso seja ou que dever existir ningum com a sua concretizao. As intenes
transversalidade e coordenao na ao poltica. de investimento so isso mesmo; por isso, nem
Ora esta uma primeira dificuldade para sequer h o cuidado de verificar se existe a
interessar os governos centrais por polticas indispensvel cobertura oramental para as
transversais orientadas para o desenvolvimento financiar.
territorial. Qualquer reviso de uma rede sectorial
normalmente um exerccio de equilbrio
5.2. Problemas transversais e governana vertical parcial. Decorre margem da estratgia
consensualizada em cada PROT e no so
Uma segunda dificuldade reside no facto de a
ponderados os efeitos de refluxo sobre a
administrao pblica e a prpria composio do
atividade econmica e a utilidade social das
Governo estarem organizadas verticalmente, i.e.,
outras redes. Um bom exemplo deste modo de
em sectores: sade, transportes, ambiente,
atuao foram as iniciativas de compresso das
educao, comrcio, indstria Uma estrutura
redes de equipamentos concretizadas nas
assim no ajuda a conceber respostas para
legislaturas de 20052009 e 20112015. No se
problemas transversais. Antes favorece a
discute a evidente racionalidade econmica de
gestao de silos ou quintas que no comunicam
cada sector para reduzir a sua presena fsica em
uns com os outros e veem com desconfiana
territrios de menor capilaridade. O problema
qualquer tentativa de aproximao por parte de
de desenvolvimento est em que a soluo ideal
outras reas.
na perspetiva individual da Sade, da Educao,
Isto no significa que se defenda o fim das da Justia, da Administrao Interna, etc.
pastas e dos departamentos sectoriais. H com fechar estabelecimentos e dispensar ou retirar
certeza razes de especializao e eficcia a recursos humanos dos mesmos stios. H um
recomendar a sua manuteno. O que faz falta impacto negativo inegvel nestas pequenas
no pas a compatibilizao da estrutura vertical economias locais com o desaparecimento de
com mecanismos geis e eficazes de consumidores e postos de trabalho diretos,
coordenao horizontal para lidar com desafios indiretos e induzidos. H tambm um impacto
multidisciplinares que exijam respostas negativo na coeso territorial, na medida em
sectorialmente compatveis umas com as outras. que diminuem as capacidades de acesso a
So claramente os casos do desenvolvimento servios pblicos em territrios j de si
econmico e at do crescimento econmico, dominados por uma populao envelhecida e
bem como das reas de ambiente, ordenamento com limitaes de mobilidade. Sem coordenao
do territrio e modernizao administrativa. e na ausncia de uma iniciativa poltica
abrangente em prol do desenvolvimento nos
5.3. Desarticulao territorial das polticas pblicas territrios de baixa densidade, um conjunto de
boas solues parciais no necessariamente
As polticas sectoriais com maior impacto no
uma boa soluo geral. Como afirmava
desenvolvimento raramente tm objetivos e
recentemente o Prof. Joo Ferro, () para
estratgias territorializadas e, quando possuem
cada um dos sectores pode ter sentido, com os
alguma preocupao de declinao territorial,
seus critrios estritamente sectoriais, a forma
no esto alinhadas umas com as outras nem
como racionalizam as suas redes, mas, se
com uma estratgia e objetivos assumidos pelo
ningum tem uma viso de conjunto, o resultado
Governo como um todo.
transformar Portugal num queijo Gruyre,
Os instrumentos de planeamento territorial at cheio de buracos que resultam de decises
contam com a participao dos ministrios tomadas separadamente. Ferro (2014).
responsveis por aquelas polticas na sua fase de
conceo. Falamos dos Planos Regionais de
Ordenamento do Territrio (PROT). Os
ministrios contribuem com as suas ideias e

38
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 38
5.4. Estratgia todas as utilizaes desses fundos em projetos
J foi referida a importncia da estratgia na sectoriais fazem a poltica de desenvolvimento
formulao das modernas polticas de regional.
desenvolvimento regional. Impactar variveis Uma poltica de desenvolvimento regional, como
estruturais do desenvolvimento requer a que se defende neste artigo e est em linha
estratgia pois ela que d o conhecimento com o novo paradigma das prticas
sobre a situao de partida, habilita a internacionais, no se pode confundir com a
formulao da viso de mdio e longo prazo, execuo financeira de fundos estruturais. Em
inspira os programas de ao (com suas metas e primeiro lugar, por que esta no pode ser um
recursos), mobiliza os parceiros, convoca a objetivo em si mesma, sob pena de
participao destes nos modelos de governana, hipotecarmos a capacidade transformadora da
legitima a liderana, enforma a coerncia na economia e da sociedade portuguesas que os
aplicao dos instrumentos e projetos, alimenta fundos comportam. Eles so um instrumento
a resilincia necessria para persuadir os outros financeiro para cuja mobilizao os contribuintes
a vencer as dificuldades de percurso e no portugueses concorrem marginalmente atravs
dispensa a avaliao crtica antes, durante e da dotao europeia mas com significado
aps a execuo como condio de validade e atravs da chamada contrapartida pblica
ajustamento evoluo do enquadramento. nacional. Os beneficirios privados tambm tm
Ora em Portugal fazem-se belssimos exerccios que contribuir com a contrapartida privada.
de planeamento estratgico. A capacidade de Mesmo que se tratasse de man divino, haveria
pensar ex ante e planear no um problema no sempre que considerar o custo de oportunidade
pas. As verdadeiras dificuldades surgem quando das afetaes escolhidas. Gastar por gastar no
se comea a executar. No raras vezes, a um bom critrio. Sendo um meio e no um
estratgia vai para a gaveta nesse momento e o fim, espanta e bloqueia o desenvolvimento que
que era planeado d lugar implementao o debate poltico sobre a utilizao de fundos
improvisada e circunstancial. A roda estruturais em Portugal resvale, quase sempre,
descoberta inmeras vezes quase sem sair do para a taxa de dispndio dos mesmos e quase
mesmo stio. A avaliao no levada nunca para os impactos, os resultados que estes
suficientemente a srio na conduo das recursos devem ajudar a criar na
polticas pblicas e as frequentes mudanas de competitividade e na coeso territoriais. Em
rumo, quando no mesmo a sua ausncia, segundo lugar, uma boa poltica de
acabam por fatigar os destinatrios e executores desenvolvimento regional envolve muito mais
descentralizados das polticas, os agentes do que dinheiro. Alis, essa uma marca que
econmicos cuja mobilizao e participao distingue bem os dois paradigmas acima
deveria ser o primeiro ativo a construir e expostos. Mais do que ser financiador, espera-se
sedimentar. As fragilidades que ainda do Estado o papel de motivador, facilitador e
apresentamos na execuo de estratgias so agilizador de vontades dos atores. H muita
uma barreira eficcia das polticas estruturais imaterialidade extremamente valiosa nesse
que urge ultrapassar. papel. Pode no ser meditica, certamente
trabalhosa mas indispensvel para transformar
Portugal.
5.5. Poltica de desenvolvimento regional e O segundo equvoco decorre, em larga medida,
utilizao de fundos estruturais do peso muito expressivo que a dotao de
Encontram-se aqui dois equvocos graves que o fundos estruturais tem tido na despesa pblica
pas vem cometendo h muitos anos. Os fundos nacional. Estima-se Baleiras (2011a) que
estruturais disponibilizados pela poltica de sensivelmente a meio do 3. QCA o investimento
coeso da Unio Europeia, com os seus
objetivos, regras de elegibilidade e envelopes
financeiros, esto, sem dvida, vocacionados juridicamente rigorosa) de todos os instrumentos
financeiros do oramento da UE com finalidade estrutural
para alavancar as polticas nacionais de
integrados nas polticas de coeso, de desenvolvimento
desenvolvimento regional. Um equvoco a rural e na componente estrutural das de pescas e do mar.
confuso entre poltica de desenvolvimento No perodo de programao 2014/2020 so globalmente
regional e execuo financeira de fundos conhecidos como Fundos Europeus Estruturais e de
estruturais.1 O segundo engano julgar que Investimento (FEEI) e integram os seguintes instrumentos:
Fundo Europeu de Desenvolvimento Regional, Fundo Social
Europeu, Fundo de Coeso, Fundo Europeu Agrcola de
1 Para os efeitos desta subseco, devemos entender os Desenvolvimento Rural e Fundo Europeu dos Assuntos
fundos estruturais na aceo lata (que no Martimos e da Pesca.

39
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 39
das administraes pblicas alavancado por 5.6. Hbitos de rent-seeking
fundos estruturais representaria cerca de No sendo, de modo algum, apangio exclusivo
metade do investimento total destas entidades. de Portugal, encontramos na sua sociedade
Sendo certo que as reas de soberania nacional prticas relativamente arreigadas de tentativa
no so elegveis, a taxa de alavancagem efetiva de obteno de tratamentos de favor, privilgio
era bem superior a 50%. Nas empresas pblicas, ou exceo no acesso a recursos comuns, aquilo
a taxa no seria menor. Os governos central, a que em cincia poltica e na teoria das escolhas
regionais e locais tornaram-se super- pblicas se designa como comportamentos de
dependentes dos fundos europeus, a tal ponto rent-seeking. As razes podero ser profundas
que quase todos os ministrios se habituaram a e antigas, remontando forma de povoamento
ter um segundo oramento: ao lado das fontes do territrio na Baixa Idade Mdia, aos forais
nacionais do ento PIDDAC, tinham um reais e ao corporativismo. Estes
programa operacional do QCA sob tutela direta comportamentos so um obstculo a ter em
do membro do governo do sector. Ao fim de 20 conta em qualquer reforma das polticas
anos de sectorializao dos fundos europeus, econmicas e favor do desenvolvimento.
estes serviam para praticamente tudo o que era
Estes hbitos tm tipicamente uma viso de
poltica vertical, dos transportes ao ambiente, da
curto prazo, esto centrados nos interesses de
educao formao profissional, da energia
grupos especficos e tm maior capacidade de
agricultura, mesmo que pouco tivesse a ver com
atrair recursos comuns se as polticas para o
preocupaes de longo prazo. Tornou-se
desenvolvimento permanecerem fragmentadas
extremamente difcil o exerccio de abordagens
e no apostarem resolutamente numa
transversais e integradas, orientadas para o lado
orientao para a competitividade e o
da oferta. No difcil perceber que este o
crescimento. por isso que tendem a opor-se
quadro poltico ideal para proliferarem os
tanto introduo de mecanismos de
investimentos infraestruturais, avulsos e
seletividade e concorrncia na atribuio de
exgenos relativamente ao territrio.
subsdios como adoo de estratgias de base
Com um peso to grande na despesa pblica e territorial assentes em parcerias com atores que
tamanha captura sectorial dos fundos, instalou- representem outros interesses. A montagem e a
se entre polticos e criadores de opinio a ideia realizao de projetos assentes no princpio da
que fazer poltica de desenvolvimento regional cooperao e de busca deliberada de economias
consistia to-somente na gesto financeira dos de associao encontram resistncia em
fundos estruturais, cabendo aos sectores decidir comportamentos orientados para a busca de
o que investir, quanto, aonde, com quem e com rendas econmicas.
que finalidades. Nesta perspetiva, impossvel
haver uma dimenso de desenvolvimento ou at
mesmo de competitividade na aplicao dos 5.7. Proporcionalidade e representao das minorias
fundos estruturais.1 A resenha da literatura O Quadro 2 revela que os crculos eleitorais para
econmica e da evidncia sobre boas prticas a Assembleia da Repblica nos territrios
internacionais em Baleiras (2014a) e aqui perifricos da economia portuguesa exigem mais
sintetizada demonstra quo ignorante ser eleitores recenseados para terem direito a cada
persistir, com o conhecimento atual, nesta viso. representante no Parlamento nacional do que os
A poltica de desenvolvimento regional pode, e crculos dos territrios mais desenvolvidos.
provavelmente, deve ser ela a coordenar, com Assim, se a mdia nacional est nos 43.941
poder poltico forte, a estratgia dos fundos em eleitores nas eleies de 2011, os distritos em
Portugal; contudo, poltica de desenvolvimento que so necessrios mais eleitores so aqueles
regional muito mais que isso, como o novo onde tipicamente residem menos pessoas e os
paradigma indica. ndices de competitividade so inferiores.
Comparando os extremos da lista, so
necessrios 53.222 eleitores inscritos para
1 A programao do QREN pretendeu romper com esta Portalegre ter direito a um deputado enquanto
perspetiva atravs de vrias medidas, como a substituio que em Lisboa bastam 39.972 para o mesmo
dos programas operacionais sectoriais por programas efeito. O mesmo padro assimtrico verificou-se
operacionais transversais e a introduo do princpio da
no sufrgio seguinte, em 4 de outubro de 2015,
concorrncia no acesso pblico ao financiamento
comunitrio. Para uma apresentao dos traos gerais do
embora o afastamento entre os extremos se
QREN e da poltica de desenvolvimento regional no perodo tenha reduzido.
2005/2009, ver Baleiras (2011a, pp. 6169. A programao
do Portugal 2020 parece consolidar esta inflexo
estratgica.

40
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 40
QUADRO 2. DISTRIBUIO POR CRCULOS ELEITORAIS DO NMERO DE DEPUTADOS ELEGVEIS: ELEIES DE 05/06/2011 E
04/10/2015 PARA A ASSEMBLEIA DA REPBLICA
Crculo Eleitores Deputados Eleitores por deputado
05/jun/11 04/out/15 05/jun/11 04/out/15 05/jun/11 04/out/15
Portalegre 106.443 101.246 2 2 53.222 50.623
Bragana 153.902 147.485 3 3 51.301 49.162
vora 145.894 141.443 3 3 48.631 47.148
Castelo Branco 190.981 181.459 4 4 47.745 45.365
Vila Real 235.536 228.399 5 5 47.107 45.680
Beja 135.724 128.971 3 3 45.241 42.990
Aores 222.095 227.486 5 5 44.419 45.497
Coimbra 395.075 391.029 9 9 43.897 43.448
Guarda 172.391 163.508 4 4 43.098 40.877
Viana do Castelo 257.039 253.271 6 6 42.840 42.212
Madeira 255.867 255.748 6 6 42.645 42.625
Leiria 424.758 423.865 10 10 42.476 42.387
Viseu 381.601 371.991 9 9 42.400 41.332
Setbal 711.089 725.783 17 18 41.829 40.321
Braga 774.995 787.706 19 19 40.789 41.458
Aveiro 651.230 653.541 16 16 40.702 40.846
Porto 1.570.154 1.591.762 39 39 40.260 40.814
Santarm 402.350 393.387 10 9 40.235 43.710
Faro 360.068 370.882 9 9 40.008 41.209
Lisboa 1.878.702 1.901.335 47 47 39.972 40.454
Mdia 43.941 43.408
Notas: i) crculos listados por ordem decrescente do rcio eleitores por deputado nas eleies de 2011. ii) s so considerados
os crculos do territrio portugus. Acrescem dois deputados pelo crculo da Europa e dois pelo do Resto do Mundo.
Fonte: CNE (2011, 2015); ordenao prpria.

Isto quer dizer que a lei eleitoral e a demografia fenmeno. Por exemplo, de acordo com estudos
se conjugam para fazer vingar o interesse citados por Algan e Cahuc (2007), os
prprio imediato dos crculos mais populosos e Portugueses so o 25. em 26 povos cujos
prsperos. So um exemplo de aplicao da cidados menos confiam uns nos outros: menos
tirania da maioria, um conceito h muito de 15% dos Portugueses ter respondido que
trabalhado pelos cientistas polticos e possvel confiar nos outros (Figura 4). Naquele
economistas que se interessam pela teoria do livro h ainda figuras e dados interessantes
voto ver referncias a Alexis de Tocqueville, sobre a confiana dos povos nas suas
Gordon Tullock e Richard Musgrave em Cullis e instituies. Portugal surge quase sempre abaixo
Jones (2009, pp. 117118). A geografia das da mdia.
eleies nacionais sobre-representa os distritos Ora a desconfiana nos outros mina o trabalho
mais desenvolvidos que, ainda por cima, so em rede e sinaliza indisponibilidade, se no
aqueles que j tm mais voz junto do poder mesmo incapacidade, para entrar em estratgias
poltico atravs de outros canais. No nos parece cooperativas. No um comportamento amigo
que este facto ajude a promover o reequilbrio da economia nem um recurso endgeno
territorial das polticas no sentido preconizado simptico para as polticas de desenvolvimento
pelo novo paradigma. regional da nova gerao.
Aos decisores polticos e administrao exige-
5.8. Falta de confiana entre agentes se maior coerncia e continuidade nas polticas
Os Portugueses so um povo algo desconfiado. com finalidade estrutural, aquelas que pela sua
Desconfiam uns dos outros e das instituies. H natureza mais dependem da adeso entusistica
aforismos populares que o indiciam, como e comprometida dos agentes econmicos. O
desconfiar de todos e no falar verdade a excesso de reformas e as frequentes reinvenes
ningum", na desconfiana que est a da roda tm que ser evitados pois cansam os
segurana ou com um olho no burro e outro agentes e levam-nos a descrer das instituies
no cigano. Mas h tambm sondagens que pblicas e, por um argumento de continuidade,
carreiam alguma evidncia emprica sobre o a apostar em estratgias individualistas.

41
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 41
FIGURA 4. NVEIS DE CONFIANA INTERPESSOAL EM 26 PASES

Nota: cada barra representa a frao da amostra nacional que


respondeu possvel confiar nos outros pergunta Por regra, acha
que possvel confiar nos outros ou sempre desconfiado?
Fonte: inquritos em 1990 e 2000 da rede World Values Survey, grfico
extrado de Algan e Cahuc (2007).

5.9. Aspiraes regionais e estatuto das CCDR Estas caractersticas tornam as CCDR muito
As Comisses de Coordenao e presentes nos processos de desenvolvimento
Desenvolvimento Regional (CCDR) so servios regional. O prestgio social de vrios dirigentes
perifricos da administrao direta do Estado que as serviram no passado contribuiu tambm
com competncias especficas nas reas do para essa notoriedade. De tal modo assim que
desenvolvimento regional, do ambiente, do junto das elites regionais, mormente no Norte,
ordenamento do territrio e das cidades, existe tipicamente uma elevada expectativa
competindo-lhes ainda apoiar tecnicamente as relativamente capacidade das CCDR para
autarquias locais e as suas associaes. Para intervirem no processo poltico de deciso. Em
alm destas atribuies, as sucessivas leis vrias ocasies as CCDR foram invocadas como
orgnicas atriburam ainda s CCDR duas tarefas embries de futuros governos regionais no
singulares no conjunto da administrao central: territrio continental; noutras, j foi
1) assegurar a coordenao e a articulao das equacionada a possibilidade de atribuir um
diversas polticas sectoriais de mbito regional; estatuto poltico aos seus dirigentes mximos,
2) assegurar as responsabilidades de gesto dos embora no por sufrgio direto e universal. Ora
programas operacionais regionais da poltica de isso gera um equvoco com caractersticas de
coeso da Unio Europeia. Lendo essas leis com dissonncia cognitiva porquanto, face da lei, as
ateno, percebe-se quo transversal o CCDR so uma instituio tcnica. Os membros
mandato que lhes tem sido cometido ao longo das respetivas presidncias so nomeados pelos
dos anos, assim como se percebe o papel ministros da tutela e pelo Primeiro-Ministro e
importante que tm na articulao daquelas reportam queles em razo das matrias em
polticas nacionais com os atores regionais, apreo.
pblicos e privados.

42
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 42
Referimos este aspeto porque o novo paradigma acordo com INE (2014b), a populao residente
das polticas de desenvolvimento regional faz () tender a diminuir at 2060, em qualquer
apelo a solues de governana vertical dentro dos cenrios de projeo. No cenrio central a
do sector pblico e a solues de governana populao diminui de 10,5 milhes de pessoas,
horizontal a nvel das regies. Atentas a em 2012, para 8,6 milhes de pessoas, em 2060
experincia e a capacidade nelas instalada, as (). O ndice de envelhecimento aumenta de
CCDR so candidatas naturais a um lugar 131 para 307 idosos por cada 100 jovens, no
privilegiado nessas solues. O seu estatuto no cenrio central. Nesses mesmos perodo e
deixar de ter que ser abordado e o equvoco cenrio, o ndice de sustentabilidade potencial
aqui referido desfeito. passa de 340 para 149 pessoas em idade ativa
por cada 100 idosos. A Figura 5 d conta da
inverso em marcha na estrutura etria do pas.
5.10. Demografia, desertificao e desenvolvimento
Se nenhuma alterao substancial acontecer nos
Portugal enfrenta j uma dura realidade fatores de crescimento e rejuvenescimento da
demogrfica, caracterizada por natalidade populao, o despovoamento e o
reduzida, envelhecimento progressivo e saldos envelhecimento acentuado espalhar-se-o para
migratrios negativos. uma realidade oeste e cobriro todo o territrio nacional, com
particularmente dolorosa nos territrios a leste progresso mais acentuada nas regies que
e em algumas NUTS III do interior central. detm atualmente maiores ndices de
Porm, o futuro arrisca-se a ser muito pior, De sustentabilidade potencial. INE (2014b, p. 6).

FIGURA 5. PIRMIDE ETRIA EM PORTUGAL: ESTIMATIVAS EM 2012 E PROJEES PARA 2035

Fonte: Nota: as linhas representam os contornos da pirmide em 2035 associados aos


cenrios estudados pela fonte
Fonte: INE (2014b).

Os efeitos econmicos decorrentes das dinmica destruidora. A implementao das


perspetivas demogrficas so muito graves e caractersticas do novo paradigma das polticas
relativamente evidentes, pelo que nos de desenvolvimento regional certamente que
dispensamos de elaborar sobre o assunto. ajudar a contrariar o enorme desafio que a
preciso uma resposta integrada e duradoura ao demografia e a desertificao esto a colocar
desafio da desertificao econmica, social e aos Portugueses.
ambiental e julgamos que ela deve procurar
respaldo numa nova atitude do pas perante o
desenvolvimento regional. Apostar nos fatores
6. PISTAS DE SOLUO
de crescimento de todos os territrios, e no Que fazer? Eis a questo que naturalmente
apenas dos hubs, como se tem vindo a alertar emerge da exposio anterior. Vimos que o
neste documento, a orientao que se impe mercado tem falhas na proviso de crescimento
para conter a progresso dos ventos de e desenvolvimento em todos os territrios.
desertificao e inverter onde for possvel esta Apercebemo-nos que h um espao para a

43
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 43
interveno pblica melhorante. Contudo, desenvolvimento regional, em vez de obrigar o
tambm as polticas pblicas podem falhar. pas a desenhar duas estratgias separadas para
Nesta seco, tomamos em conta o diagnstico temas afins. Vale a pena informar que foi esta a
feito e deixamos reflexo do pas um conjunto soluo que a Irlanda adotou em 2000.1 Poder
de tipologias de soluo exequveis capazes de i) mostrar s instituies europeias que as
tornar as polticas pblicas mais amigas do posies portuguesas quanto aos quadros
desenvolvimento regional e ii) promover uma financeiros plurianuais da UE (que so
poltica de desenvolvimento regional altura construdos para perodos de sete anos)
dos desafios da competitividade e da coeso emanam de uma viso territorial concertada
com que o pas est confrontado. Falamos de internamente e que liga as opes polticas
tipologias e no de solues fechadas porque a sectoriais nacionais constituiria uma vantagem
exposio deliberadamente aberta para importante na negociao poltica com essas
suscitar o debate em torno de variantes instituies.
possveis para cada tipo de resposta a seguir A viso territorial deveria conter os seguintes
preconizada. elementos:
Por razes de clareza argumentativa, podemos a) enunciao dos objetivos nacionais de
dividir as propostas em trs categorias: desenvolvimento regional;
mecanismos de governana horizontal,
instrumentos de poltica orientados para b) indicao das politicas que devero
economias de aglomerao e rede e mecanismos contribuir para a sua concretizao, em
de governana vertical. linhas gerais;
c) identificao dos recursos afetos,
designadamente oramentais, para
6.1. Mecanismos de governana horizontal compatibilizar a viso territorial com a
Sob esta epgrafe queremos abordar maneiras estratgia oramental de mdio prazo de
de melhorar a coordenao nacional de polticas que o pas tanto necessita;
sectoriais.
d) metas qualitativas e quantitativas e
indicadores de acompanhamento;
6.1.1. Viso territorial nacional e) obrigao dos ministrios sectoriais
Tudo deve comear com a assuno de uma responsveis pelas polticas com maior
viso territorial do pas consensualizada entre impacto no desenvolvimento regional
um conjunto alargado de partidos polticos e (educao, emprego, cincia, transportes,
parceiros sociais. A ideia haver uma estratgia ambiente, agricultura, economia)
territorializada de desenvolvimento que construrem estratgias prprias com
enforme as polticas pblicas e as opes dos declinao regional que contribuam para
agentes econmicos num prazo a ponderar,
entre o mnimo de uma legislatura e o mximo implementar as metas nacionais de
de duas legislaturas. H vantagens em a viso ser desenvolvimento regional. Esta condio
elaborada para um horizonte superior ao de uma justificada com a necessidade de
legislatura. A primeira decorre da necessidade compatibilizar os incentivos dos ministros
de haver estabilidade e persistncia nos
instrumentos de aplicao para que a estratgia
frutifique. A segunda vantagem o facto de a 1 A Comisso Europeia (2014) atesta que o Plano Nacional
adoo de uma viso superior a quatro anos de Desenvolvimento 2000/2006 apresentado em 1999 pelo
convocar a compromissos com a oposio, os Governo irlands se distinguia dos dois anteriores por ser
parceiros sociais e os representantes dos mais abrangente que a estratgia de utilizao dos fundos
governos subnacionais. Tais compromissos so da poltica de coeso. Naquela fonte pode ler-se: Unlike
desejveis para que se possa falar de uma viso the two previous Plans, which were drafted exclusively for
the purpose of securing EU Structural Funds, the NDP 2000-
do pas e no da viso de uma maioria poltica
2006 is broader in its scope and size and is designed to
circunstancial. Um prazo de sete anos ofereceria address a wider range of infrastructural, economic and
aqueles benefcios e ainda o de facilitar o social needs, with Structural Funds accounting for only 10%
alinhamento da viso territorial com o modelo of planned investment and the bulk of the funding coming
de desenvolvimento da UE e o ciclo de sete anos from domestic sources. The National Development Plan and
das polticas e do oramento comunitrios. Este the Community Support Framework are, therefore, being
caso permitiria integrar a estratgia de aplicao implemented as an integrated investment plan and strategy
dos fundos estruturais na estratgia nacional de for economic and social development for the period 2000-
2006.

44
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 44
com a vontade do Governo como um todo. instrumentos de poltica prprios, como os que
Ao assumirem estratgias territorializadas se propem no Ponto 6.1.3. H dois sentidos
por cuja concretizao sero avaliados, para a poltica de desenvolvimento regional.
aqueles ministros sectoriais passam a Num sentido estrito, esta dispe de
instrumentos de poltica prprios que pode
partilhar o interesse na viso territorial
conceber e executar com nveis mnimos de
nacional, em vez de a considerarem uma articulao com outros ministrios. E h um
responsabilidade de outros. uma maneira, sentido lato que inclui aquele e a coordenao
entre outras que se seguem, de materializar intersectorial de que temos falado.
a chamada abordagem whole of Ora precisamente para dar eficcia a esta
Government preconizada para lidar com dimenso horizontal da poltica de
polticas transversais.1 desenvolvimento regional que indispensvel
reconhecer-se ao seu responsvel poltico um
O que aqui se prope no radicalmente estatuto prprio. Para poder coordenar a
diferente do que existe nalguns pases, como o contribuio dos ministros sectoriais tem que
Japo, a Noruega e a Finlndia. Este ltimo caso estar explcita e claramente mandatado pelo
particularmente interessante para pensar a Primeiro-Ministro para mandar mais que os
operacionalizao da viso territorial nacional outros nessa tarefa. Haver uma disposio
em Portugal. Uma deciso do Parlamento aprova habilitante na lei, como acontece no caso
o Regional Development Act: uma lei que finlands acima citado, ajudar cada governo a
estabelece o sistema de desenvolvimento escolher a quem atribuir essa tarefa. H solues
regional do pas e um conjunto de princpios de institucionais diferentes e interessantes noutros
organizao institucional, nos quais se incluem pases, com vantagens e inconvenientes na
os elementos a) e d) acima referidos. A verso adaptao a Portugal que merecem ser
anterior durou oito anos. Mandata o Governo ponderadas. No Japo, j normal haver
para especificar os elementos a) a c) e adotar as ministros que, para alm da sua pasta sectorial,
solues operacionais que entender mais tm ascendente sobre os colegas no exerccio da
eficazes para cumprir aqueles princpios. Mais coordenao de uma poltica transversal. Esse
informaes na pgina-e intitulada ascendente advm do estatuto de ministro de
Desenvolvimento Regional Nacional (uma Estado que lhes conferido exclusivamente para
designao em si esclarecedora acerca da este fim. As designaes dos seus cargos so
elevada prioridade transversal conferida ao autoesclarecedoras, como se pode ler na pgina-
tema). e que apresenta a composio do Governo em
Cremos que esta viso territorial, com uma funes. Na Finlndia o j mencionado Regional
durao de, pelo menos, quatro anos, poderia e Development Act (do Parlamento) confere esse
deveria gerar sinergias para a adoo de ascendente ao Ministro do Emprego e da
estratgias de mdio prazo noutras reas da Economia, o que desonera a lei orgnica do
governao pblica nacional. Para alm das governo de ter que fazer a escolha entre os
polticas sectoriais com maior impacto territorial pares. Na ustria, o prprio Chanceler federal,
a que o elemento d) se refere, estamos a pensar que alis tutela diretamente um servio especial
nas reas de finanas pblicas, captao de com responsabilidades parecidas com as que
investimento direto, licenciamento de atividades propomos no Ponto 0. Em Frana, o Primeiro-
econmicas e ordenamento do territrio. Ministro que assegura a coordenao destes
assuntos, sendo assistido por um servio muito
reconhecido tecnicamente no pas e no
6.1.2. Responsvel poltico de valor reforado
estrangeiro em polticas de ordenamento do
Tem que haver um membro do Governo ao leme territrio e desenvolvimento regional (a DATAR
da viso territorial, algum que assegure a Dlgation interministrielle
concretizao da estratgia, a contribuio dos lamnagement du territoire et lattractivit
ministrios sectoriais e a execuo de rgionale)2.

1 Simpatizamos com a seguinte definio de abordagem do


Governo como um todo para estas questes: Public service
agencies working across portfolio boundaries to achieve a
shared goal and an integrated response to particular
issues. citao encontrada no portal de um servio 2 Manteve este acrnimo de 1963 a 2014, ano em que o
australiano que corresponde mais ou menos Direco- Servio foi fundido com dois outros para dar lugar ao
Geral da Administrao e do Emprego Pblico em Portugal. Commissariat gnral lgalit des territoires (CGET).

45
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 45
6.1.3. Agncia especializada densidade populacional ou menor PIB por
A coordenao intersectorial de polticas habitante.
baseadas no territrio, bem como a dinamizao
de instrumentos de desenvolvimento regional
6.1.5. Dispositivos de conformidade estratgica
alicerados em economias de aglomerao,
requerem um Servio dedicado na Sob esta epgrafe, temos em vista solues
Administrao Central. Devemos capitalizar na institucionais para monitorizar o impacto
experincia acumulada e aproveitar o que existe. territorial das polticas nacionais com finalidade
No necessrio criar um novo departamento. A estrutural e, mais importante, prevenir a
Agncia para o Desenvolvimento e Coeso (ADC, ocorrncia de efeitos prejudiciais no
que resultou da fuso em 2013 de trs Servios) desenvolvimento dos territrios mais
pode desempenhar bem este papel. Atualmente, vulnerveis. A ideia influenciar a conceo de
est centrada no universo dos fundos instrumentos de poltica sectoriais desde a sua
estruturais, cabendo-lhe responsabilidades de fase inicial por forma a minimizar aqueles
planeamento, coordenao da gesto e efeitos. Mais genericamente, estes dispositivos
avaliao. Tem capital humano habilitado para podem ser vistos como testes regulares de
pensar e dinamizar instrumentos de poltica de conformidade das polticas pblicas com a
desenvolvimento territorial. O que aqui se estratgia nacional de desenvolvimento
prope concretamente alargar a abrangncia regional. Visam garantir que os planos vo para
da sua misso para fora daquele universo e o terreno e de acordo com a viso territorial
atribuir-lhe um papel federador no dilogo com aprovada. Existem dispositivos com estes fins
os servios de outros ministrios responsveis pelo menos no Reino Unido, na Finlndia, no
pelas polticas com maior impacto no Canad e na Coreia do Sul.
desenvolvimento regional. Sob tutela do Os sectores identificados na viso territorial
ministro com valor poltico reforado, esta elaboram estratgias regionalizadas para as suas
agncia dever zelar tecnicamente pela polticas que demonstrem o contributo das
governana horizontal exercendo as seguintes mesmas para as metas da estratgia nacional de
competncias: i) planeamento e avaliao de desenvolvimento regional. A agncia acima
polticas e instrumentos de base territorial; ii) proposta avalia regularmente os impactos
consultoria junto da administrao pblica (para territoriais das intervenes sectoriais. Esta
promover coerncia entre sectores nas suas avaliao vai alm do que a ADC realiza para os
intervenes territoriais, conforme explicado programas do Portugal 2020.
abaixo); iii) execuo de instrumentos prprios
da poltica de desenvolvimento regional em
sentido estrito, como sejam os que se propem 6.2. Instrumentos de poltica orientados para
na Subseco 0, em articulao com as CCDR. economias de aglomerao e rede
Da exposio anterior sobre causas do
crescimento e do desenvolvimento e da
6.1.4. Reforo do peso dos crculos eleitorais sub- mudana de paradigma nas polticas de
representados no Parlamento desenvolvimento regional avulta a
Na Subseco 0 deu-se nota da sub- recomendao de os pases apostarem em
representao que os distritos com menor parcerias com agentes econmicos e sociais,
densidade populacional tm na Assembleia da incluindo governos subnacionais, capazes de
Repblica. J sabemos que h uma associao canalizarem energia criativa para programas
estreita entre aquela caracterstica demogrfica territorializados de induo de competitividade.
e o PIB per capita. Julgamos que mais voz destes Estas parcerias so tanto mais promissoras
territrios na casa da democracia um fator que quanto certo que elas podem ajudar
ajudar o conjunto do Governo a adotar uma decisivamente numa tarefa tipicamente difcil na
postura territorialmente mais equilibrada na aplicao de abordagens integradas das polticas
rea do desenvolvimento regional. Haver mais pblicas: coordenao e coerncia entre nveis
presso para que os ministrios sectoriais sejam de governo e os vrios atores e interesses a
sensveis contribuio que tm de dar para operar num determinado territrio. A ideia
esta poltica transversal. Neste sentido, concertar estratgias e planos de ao coletiva e
preconizamos uma ligeira alterao na individual para a valorizao econmica de
distribuio das quotas de deputados por recursos endgenos. Tal passa pela dinamizao
crculos eleitorais que reforce a representao de externalidades positivas na interao entre
relativa dos crculos eleitorais com menor agentes, na linha do que as economias de
aglomerao e rede podem oferecer. As

46
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 46
Estratgias de Eficincia Coletiva, lanadas em avenidas: i) partilha de procuras e cogesto de
Portugal em 2008, so um bom ponto de equipamentos de oferta de servios coletivos
partida. Para a fundamentao terica e (em reas como sade, educao, cultura,
operacional de instrumentos de poltica deste desporto, resduos slidos urbanos, ciclo
gnero, considerem-se Schmitz (1999) e Baleiras
urbano da gua, ordenamento do territrio); ii)
(2012).
programas de ao coletiva para valorizao
O Estado tem essencialmente um papel de
econmica de recursos territoriais (no gnero
dinamizador e facilitador nestes instrumentos.
Pode-lhe caber i) a definio dos princpios a que da iniciativa PROVERE)1; iii) remoo de custos
as parcerias devem obedecer, ii) participar pblicos de contexto transfronteirio que
nalgumas com os servios da administrao que, prejudicam a atividade das empresas e a
em razo da matria, faa sentido tornarem-se qualidade de vida dos cidados.
parceiros e iii) discriminar positivamente o
envolvimento dos parceiros em projetos A concesso eventual de incentivos pblicos a
coletivos face prossecuo alternativa de aes estes consrcios deve emanar de um processo
individuais desgarradas e avulsas, seja atravs de exigente e seletivo, baseado em estratgias e
majorao em incentivos financeiros ou da programas de ao propostos pelos consrcios.
agilizao de procedimentos administrativos e A conduo poltica destes instrumentos deve
de licenciamento. Porm, os outros parceiros estar claramente atribuda.
tm que ter um papel determinante, tanto na Estes instrumentos de poltica so
elaborao da estratgia para o seu territrio extremamente interessantes para promover o
como na governao da parceria e na desenvolvimento econmico nos termos
mobilizao de recursos prprios para a preconizados neste artigo. Devem ser
concretizao do programa de ao. O eventual concebidos e acompanhados por forma a se
envolvimento do Estado enquanto investidor alcanarem alguns dos seguintes resultados
deve ter uma lgica de complementaridade OCDE (2013):
perante o investimento privado. facilitar o desenvolvimento de perspetivas
Estes instrumentos buscam respostas transversais e abordagens integradas para
estruturadas e territorialmente diferenciadas problemas coletivos e multidisciplinares, como
para tipologias de desafios como:
so seguramente o crescimento e o
Clusterizao sectorial os objetivos so desenvolvimento econmicos;
facilitar a exportao, promover o mercado de aproximar os programas pblicos de
conhecimento aplicado (fazendo a ponte entre prioridades identificadas localmente, que
quem produz conhecimento e quem o aplica ajudaro, por um lado, a identificar e
em bens e servios mercantis) e otimizar os aproveitar oportunidades que combinem e
benefcios da especializao ao longo da melhorem o impacto de programas pblicos e
cadeia de valor; de iniciativas locais, e, por outro, a identificar
Complementaridades urbano-rurais a ideia conflitos e sinergias potenciais entre polticas
reforar o modelo urbano policntrico e pblicas e a informar os decisores polticos em
conter a expanso territorial das perdas causa;
demogrficas e econmicas sentidas nos
territrios de menor densidade; 1 PROVERE: acrnimo de Programas de Valorizao
Regenerao urbana trata-se de Econmica de Recursos Endgenos. Instrumento da poltica
intervenes coordenadas no tempo e no de desenvolvimento regional lanado em 2008 e ainda em
espao entre as autoridades locais e os curso dirigido competitividade em territrios de baixa
densidade baseado em redes de cooperao entre agentes
proprietrios e utilizadores de patrimnio econmicos visando a criao de valor e emprego a partir
privado orientadas para a atratividade de recursos territoriais distintivos. Ancorado no papel
econmica dos meios urbanos; explicativo dos fatores endgenos de crescimento, um
Cooperao transfronteiria de segunda dos quatro tipos de Estratgias de Eficincia Coletiva
criados na mesma altura. Em Baleiras (2011b) encontra-se a
gerao aps um ciclo longo dominado pela racionalidade econmica e poltica, assim como
criao de infraestruturas, tempo de uma informaes teis sobre o desenho operacional de
nova orientao para a cooperao territorial instrumentos deste gnero. A Rota do Romnico e as
nas reas de fronteira com Espanha. Em Aldeias do Xisto so duas aplicaes da iniciativa PROVERE
Baleiras (2009) preconizam-se trs novas que j tm projeo nacional e alguma exposio
internacional.

47
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 47
integrar as preocupaes e perspetivas da pois, muito importante que as respetivas
sociedade civil e do sector privado no molduras institucionais assegurem voz aos
planeamento estratgico; atores (empresas, cidados, organizaes no-
entregar a governao das parcerias aos governamentais) locais na formulao das suas
decises polticas.
prprios consortes, assim contribuindo para a
autorresponsabilizao local e o
desenvolvimento de capacidades de 6.3.1. Intermunicipalidade e reorganizaes
governana pblico-privada nos territrios; administrativas
fortalecer capacidade de liderana local, No mbito do atual quadro poltico-
construir confiana e consensualizar administrativo do territrio continental, cremos
prioridades; haver virtualidades por explorar na cooperao
melhorar os sistemas de informao local e intermunicipal. Pensar e agir no territrio a uma
escala superior dos concelhos muito
regional atravs da melhor utilizao de dados
importante para, pelo menos, duas finalidades
e indicadores locais, bem como trabalhar com estruturantes: planeamento estratgico do
base em competncias e conhecimentos locais desenvolvimento e proviso de bens e servios
reconhecidos; coletivos.
desenvolver a capacidade estratgica de olhar No primeiro caso, julgamos que o planeamento
para alm da execuo de projetos e territorial escala NUTS III no pode deixar de
programas, estimulando a capacidade das ser feito com e pelas Comunidades
organizaes participantes se adaptarem a Intermunicipais (CIM) e as reas Metropolitanas
novos desafios; (AM) mas sempre com incorporao de
desenvolver a capacidade de anteviso, preferncias dos demais agentes do
tomando em conta desafios e oportunidades desenvolvimento local. E tem que ser coerente
com a viso territorial nacional assumida pela
para atrair novos parceiros e criar os alicerces Assembleia da Repblica e pelo Governo, nos
estratgicos do desenvolvimento a longo termos propostos no Ponto 0.
prazo.
No que diz respeito ao fornecimento de bens e
servios com benefcios geograficamente
delimitados, julgamos que h ganhos de
6.3. Mecanismos de governana vertical eficincia que se tornaro possveis atravs de
Vimos na digresso terico-emprica sobre os ajustamentos verticais no sector pblico. A
fatores de crescimento e desenvolvimento que escala intermunicipal pode ajudar Portugal a
as polticas de desenvolvimento regional tm de melhorar a qualidade e a assegurar a
se basear nos territrios e tomar em conta a sustentabilidade financeira na oferta de
diversidade dos atributos presentes em cada determinados bens e servios, designadamente
um. Esta concluso sugere que os nveis de os que so prestados atravs de redes de
governo mais prximos dos atributos, os equipamentos. Economias de escala,
governos regionais e locais, devero ser internalizao de externalidades territoriais
chamados a intervir e assumir responsabilidades (spillovers), melhor relao custo-qualidade
nesta matria. Esta sugesto carece, no entanto, (value for money), so vantagens que a
de uma qualificao para se tornar numa cooperao intermunicipal pode oferecer no
recomendao. Proximidade condio exerccio das competncias municipais. Neste
necessria mas no suficiente para sentido, dever ser ponderada a passagem para
descentralizar. tambm necessrio que os as CIM ou as AM de algumas competncias
governos subnacionais disponham de uma municipais. Em concelhos de baixa densidade
vantagem informativa sobre o governo central populacional e com superfcies grandes, o papel
relativamente diversidade territorial e que dos custos fixos na oferta sugerem alguns
funcionem de acordo com essa vantagem.1 , servios candidatos supramunicipalizao ou,
pelo menos, intermunicipalizao: recolha,
1Ilao que se retira da chamada teoria da descentralizao
oramental segundo a qual a autonomia de deciso informao sobre procuras e ofertas locais; aquelas agirem
oramental a nvel local (na funo afetao das finanas em conformidade com essa informao na maximizao do
pblicas) s eficiente (no sentido de Pareto) se: i) houver bem-estar local. S por si, o argumento da proximidade do
heterogeneidade territorial na procura ou na oferta dos decisor aos problemas ou aos cidados no justifica a
bens de interesse coletivo; ii) for mais barato s descentralizao oramental demonstrao em Baleiras
autoridades locais que ao governo central coligir (2002).

48
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 48
tratamento e valorizao de resduos e vertente municpios passou de 271 para 98. Tendo sido
em baixa do ciclo urbano da gua. A utilidade decidido confiar aos governos regionais a
destas solues merece ser estudada. H proviso de servios de sade, os 16 condados
algumas experincias neste sentido cuja foram substitudos por cinco regies. Na
avaliao poder ser til para estender a outros Finlndia, outro caso interessante. A lei-quadro
territrios. Com interesse tambm para outras para a reestruturao dos governos locais de
geografias, pode ser interessante pensar na 2006 veio estimular a cooperao numa base
partilha de recursos tcnicos e humanos para voluntria. De acordo com a lei, para que um
liquidao e cobrana de taxas e emolumentos. municpio pudesse vir a oferecer cuidados
A gesto de equipamentos municipais por parte bsicos de sade ou formao profissional,
de estruturas intermunicipais outra frente deveria ter, pelo menos, 20.000 residentes
potencialmente melhorante na afetao de (50.000 no caso da formao profissional). Os
recursos. Com o tempo e o sucesso que estas municpios de dimenso inferior poderiam, no
experincias possam revelar, poder tornar-se entanto, vir a prestar estes servios se
politicamente mais fcil equacionar a fuso de atingissem aqueles patamares atravs de uma
municpios. No caso dos territrios prximos da de trs possibilidades: i) fuso voluntria com
fronteira com Espanha, valer a pena pensar na um ou mais municpios vizinhos; ii) criao de
partilha de servios com a respetiva uma estrutura partilhada com municpios
administrao local. vizinhos para oferecer aqueles servios
Mas tambm poder haver ganhos de eficincia respeitando os limiares mnimos indicados; ou
na passagem de competncias da administrao iii) aquisio dos servios em causa a municpios
central para as CIM e AM. A gesto e a regulao vizinhos de dimenso superior mnima.
dos transportes pblicos so mais ou menos Finalmente, um exemplo noruegus. O pas
evidentes como reas de interesse para este alargou em 2006 o leque de atribuies
rearranjo vertical na governana pblica. delegveis pelos municpios em estruturas
Porventura, sero equacionveis intermunicipais ou mesmo noutro municpio (o
descentralizaes tambm na rede de cuidados municpio hospedeiro). importante sublinhar
primrios de sade e nas escolas de 2. e 3. que nos dois ltimos casos nrdicos o governo
ciclos do ensino bsico, mais adiante at na rede central ofereceu incentivos financeiros para
do ensino secundrio. induzir nos municpios a opo pela fuso. Nos
trs exemplos, a fuso nunca foi imposta, antes
A terminar, algumas recomendaes sobre o
foi proposta (eventualmente de modo
mtodo. No nos parecem aconselhveis
privilegiado) a par de outras modalidades
solues de descentralizao ou centralizao de
institucionais para ganhar massa crtica na
competncias a rgua e esquadro. Elas devem
proviso pblica; a palavra final foi dos
acontecer no quadro de uma negociao entre
municpios.
quem cede e quem recebe a competncia e os
recursos para prover os bens. Julgamos que este
processo deve ser concretizado num quadro 6.3.2. Regionalizao
contratual do tipo mandante-mandatrio, com
A cooperao com e entre municpios no
incentivos claramente identificados para induzir
resolve todos os problemas de escala nem as
no mandatrio o comportamento esperado pelo
externalidades negativas urbano-rurais. Em
mandante. Neste sentido, devero ser evitadas
Portugal, mesmas as duas reas Metropolitanas
transferncias financeiras baseadas em inputs,
so demasiado pequenas para pensar o
antes se devendo privilegiar na remunerao do
desenvolvimento. Em OCDE (2014a, pp. 7989)
mandatrio a obteno de resultados e o
d-se conta das dificuldades poltico-
cumprimento das metas contratuais.
institucionais que associaes de municpios
H alguns ensinamentos teis em pases com criadas para atuar em bacias metropolitanas
que s vezes nos gostamos de comparar. Na francamente maiores que as portuguesas tm
Dinamarca houve a conscincia de que a em afirmar a sua eficcia enquanto instituies
administrao local e a administrao regional indutoras de maiores nveis de desenvolvimento.
estavam demasiado fragmentadas para receber A legitimao poltica indireta e o alheamento de
novas competncias. Numa reforma em 2007, os atores no-governamentais na sua governana
municpios foram colocados perante a escolha so apontados pelos tcnicos da OCDE como
entre cooperarem uns com os outros ou se fragilidades a ponderar.
fundirem de modo a que as competncias locais
Sabemos que a criao de regies poltico-
fossem exercidas para um determinado limiar
administrativas no continente uma questo
mnimo de beneficirios. O nmero de
controversa na sociedade. No entanto, numa

49
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 49
exposio sobre solues institucionais de por um lado, e o peso da despesa pblica
governana vertical no seria intelectualmente agregada no PIB, por outro.
honesto ignorar esta possibilidade. Vrios pases O Grfico 1 mostra que a despesa mdia do
recorreram nos ltimos 20 anos instalao ou conjunto das administraes pblicas em 33
ao reforo de autoridades regionais com pases membros da OCDE representa cerca de
legitimidade poltica prpria no contexto de 43% do PIB e que aproximadamente 40% dessa
viragem da poltica de desenvolvimento regional despesa realizada por governos subnacionais.
em direo ao novo paradigma. Tambm o A mancha de observaes no grfico no
interesse que a descentralizao adquiriu na evidencia uma relao significativa entre grau de
teoria da administrao pblica no mesmo descentralizao oramental (assim medido) e
perodo ajudou a este movimento. Como dimenso da administrao pblica.
evidente, cada pas um caso e o que uma boa
Os pargrafos seguintes so uma abordagem
soluo num determinado contexto histrico,
necessariamente esquemtica, pela restrio de
institucional, econmico e poltico pode ser uma
espao e do objeto central do artigo, sobre a
m deciso noutro. No Anexo C de Baleiras
natureza e o papel que autoridades
(2014a) h dois quadros que resumem algumas
politicamente legitimadas escala regional
caractersticas deste processo, nomeadamente
podero desempenhar no continente portugus.
sobre o modo de escolha dos lderes, as funes
Ainda assim, julgamos que vale a pena colocar
e a autonomia oramental no espao da OCDE.
em discusso pblica esta opo no contexto de
Curiosamente, h pases cujos governos
uma reforma do Estado sobre o
regionais s tm competncias na rea do
desenvolvimento econmico. O arqutipo cuja
desenvolvimento econmico. Antes de entrar no
discusso aqui se prope um modelo suave de
caso portugus, afigura-se til notar que no
governos com legitimidade poltica prpria
parece existir uma associao estatstica clara
escala regional.
entre a existncia de governos regionais e locais,

GRFICO 1. GRAU DE DESCENTRALIZAO ORAMENTAL E DIMENSO DA ADMINISTRAO PBLICA, ESTADOS-MEMBROS DA OCDE, 2012

Fonte: Nota: dados das finanas pblicas de 33 Estados-Membros, referentes ao ano de 2010 no caso de um pas, a 2011 no
caso de nove e a 2012 no caso dos demais 23.
Fonte: OCDE (2014a, p. 32).

Sugerimos que a discusso seja feita com base cumprir aquele objetivo. Em quarto lugar, definir
no algoritmo delineado na Figura 6. a arquitetura institucional e o modelo de
Em primeiro lugar, refletir sobre o que se governana mais adequados, numa lgica de
pretende com a regionalizao no continente. custo-benefcio, para desempenhar essas
De imediato, assumir uma condio de competncias. Finalmente, e no menos
sustentabilidade oramental. Depois, identificar importante, ponderar a natureza e a composio
as atribuies minimamente necessrias para

50
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 50
dos recursos financeiros das autoridades regionais.

FIGURA 6. ALGORITMO PARA PENSAR A CRIAO DE GOVERNOS REGIONAIS NO TERRITRIO CONTINENTAL

Quanto aos objetivos, propomos um nico: desenvolvimento sob responsabilidade de


promoo do desenvolvimento econmico governos regionais:
escala da regio. Ter que ser uma finalidade
ancorada em viso estratgica de mdio a longo promoo do alinhamento entre as
prazo e articulada com o modelo de competncias da fora de trabalho e as
desenvolvimento em vigor para os espaos necessidades do tecido produtivo (montar
poltico-administrativos mais vastos com que a modelos e instrumentos de poltica que
regio mais interage: o pas (a viso territorial promovam a aproximao entre a oferta e a
preconizada no Ponto 0) e a Unio Europeia procura de trabalho em linha com a estratgia
(atualmente, a estratgia Europa 2020). de desenvolvimento regional);
O cumprimento da misso no pode nunca pr promoo da competitividade do tecido
em causa a sustentabilidade oramental das empresarial tomando adequadamente em
administraes pblicas. A utilidade de um conta a mobilidade do capital. Sistemas de
escalo regional na promoo do
incentivos ao investimento empresarial seriam
desenvolvimento econmico exigir,
inexoravelmente, a transferncia de regionalizados mas em estreita articulao
responsabilidades dos escales nacional e local. com o governo central; porventura, os
De acordo com o que se defendeu na introduo incentivos sujeitos a negociao com os
Subseco 0, a descentralizao poltico- beneficirios (o atual regime contratual)
administrativa tem que proceder de uma apenas seriam possveis para projetos de
vantagem de eficincia e materializar-se num investimento acima de determinados limiares
ganho para os contribuintes nacionais. Dadas as tipo PIN1 e seriam geridos em exclusivo pelo
necessidades de correo das finanas pblicas governo central, embora sujeitos a parecer do
que se mantero por muitos anos, pensamos
mesmo que a garantia desta condio de governo regional antes do compromisso final;
sustentabilidade oramental um requisito promoo de equipamentos para utilizao
mnimo de viabilidade poltica da regionalizao coletiva (domnios da mobilidade, do
suave em Portugal. ambiente, da sade, da educao, do
Neste enquadramento, devem ser pensados os desporto, etc.). Em tese, a posse deveria
instrumentos de poltica mais adequados para continuar a ser de quem atualmente
cumprir o objetivo. O pensamento estratgico (governo central ou governos locais) e os
tem que presidir antes e durante a execuo dos governos regionais passariam a ter meios sob
instrumentos. Adiante salientaremos a sua direo poltica (por exemplo, fundos
indispensabilidade de se assegurar um papel estruturais) para cofinanciar a expanso, a
decisivo voz dos atores polticos, econmicos e
modernizao ou a reconverso de
sociais na definio e no acompanhamento da
execuo da estratgia e dos seus principais
instrumentos de aplicao. Para motivar a 1 PIN: Potencial Interesse Nacional. Os projetos de
discusso, sugerimos algumas reas de investimento privado enquadrveis nesta categoria so
interveno para os instrumentos de poltica de objeto de mecanismos especficos de acompanhamento
pela administrao central. Informaes no stio do IAPMEI.

51
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 51
equipamentos, em linha, uma vez mais, com a regies. A gesto de programas operacionais
sua estratgia de desenvolvimento econmico regionais, incluindo a responsabilidade pela
regional. No fundo, os governos regionais afetao dos competentes envelopes de fundos
definiriam instrumentos de cofinanciamento estruturais, deve caber aos governos regionais.
Neste quadro, em que os governos regionais tm
para aqueles fins aos quais os proprietrios
competncias essencialmente imateriais, no
dos equipamentos poderiam aceder em nos parece que venham a existir desequilbrios
concorrncia ou sob negociao; oramentais verticais ou externalidades
Elaborao de planos de ordenamento do interjurisdicionais na captao de recursos, que
territrio s escalas NUTS II e eventualmente so as razes principais apontadas na literatura
sub-regional em articulao com o governo econmica para a existncia de transferncias
central, comunidades intermunicipais ou reas do governo central.
metropolitanas e comunidades autnomas A terminar, algumas palavras adicionais sobre
espanholas. geografia e governana dos governos e das
administraes regionais. Acerca de geografia,
Para desempenhar estas atribuies, julgamos queremos deixar claro que a jurisdio territorial
que uma estrutura institucional leve e destas instituies deve corresponder aos
tendencialmente horizontal suficiente. A espaos NUTS II. Quando a regionalizao foi
capacidade instalada nas CCDR e em servios discutida em dcadas anteriores, todos os
regionais de outros ministrios dever ser a base processos caram, em boa medida, porque as
administrativa sobre a qual repousar a propostas polticas em competio se dividiram
governao poltica. Chama-se a ateno para se quanto s fronteiras geogrficas. certo que
evitar o mais possvel a tentao de replicar nas ento a administrao central possua mltiplos
regies a estrutura vertical, sectorial, que mapas de presena desconcentrada, levando ao
caracteriza o Governo nacional e a desencontro dos ministrios no territrio.
administrao central. Como amplamente se Tambm a cooperao intermunicipal era muito
justificou neste artigo, a promoo dos fatores menos madura e territorialmente mais
de crescimento e desenvolvimento, diversificada do que hoje em dia. Porm, nos
nomeadamente os endgenos, dispensa ltimos dez anos este panorama mudou
abertamente os silos que aquela arquitetura substancialmente. Os ministrios convergiram
institucional potencia. para o mapa das NUTS II e, nos casos em que as
A natureza dos recursos financeiros que a competncias requerem uma presena mais
administrao regional poder mobilizar tem capilar nos territrios, os espaos NUTS III
que ser bem pensada. A legitimidade poltica passaram a dominar essa organizao. As
prpria convida, e bem, atribuio de nus associaes de municpios de fins gerais esto
poltico aos governos regionais na captao de hoje consagradas sobre a malha NUTS III. Deste
recursos. A melhor forma de autoconter a modo, no nos parece fazer sentido ponderar a
expanso da restrio oramental regionalizao suave numa geografia que no
precisamente responsabilizando os governos seja a dos territrios NUTS II. Note-se que tanto
regionais pela mobilizao das suas receitas. a natureza das competncias como a natureza
Neste sentido, para alm de se assegurar na das receitas dependem crucialmente da
instituio em concreto de regies poltico- dimenso das regies e da mobilidade das bases
administrativas a condio de sustentabilidade fiscais. O consenso sobre a geografia das
oramental acima referida, recomendamos a jurisdies facilita o debate das questes
centralidade do princpio do beneficirio- essenciais e essas, so, em nossa opinio, as que
pagador (nus fiscal) e a ponderao de uma constam da Figura 6.
proibio de endividamento. Com efeito, se os Dito isto, muito importante percebermos que
governos regionais no forem proprietrios de uma coisa so as fronteiras poltico-
equipamentos e outras infraestruturas de administrativas e outra coisa so as fronteiras
utilizao coletiva, desaparece o argumento de funcionais. As primeiras devem ser estveis
eficincia (alinhamento intertemporal entre porque so a base em que o poder poltico e as
custos e benefcios da proviso pblica) a favor atribuies administrativas so exercidos. As
da emisso de dvida para financiar despesas de segundas so fluidas e naturalmente mutveis
capital. Em funo das competncias da pois so determinadas pela vida prpria dos
administrao central e das autarquias locais processos econmicos. A conscincia desta
que forem passadas para as administraes distino fundamental para operacionalizar
regionais, podem fazer sentido transferncias polticas de desenvolvimento regional com
oramentais intergovernamentais a favor das

52
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 52
eficcia. A atividades das empresas e dos tomou em conta as explicaes na literatura
cidados certamente que no para nem deve ser econmica para o crescimento, em particular, e
obstruda pelas fronteiras poltico- o desenvolvimento, em geral, para se centrar na
administrativas. Da que os instrumentos de identificao de bloqueios que a arquitetura
poltica regional devam ser articulados nos institucional das polticas pblicas em Portugal
espaos transfronteirios entre as jurisdies coloca satisfao daquelas aspiraes.
vizinhas, sejam elas portuguesas ou espanholas. Julgamos ter deixado claro que todos os
No passado, as regras de elegibilidade territorial territrios tm uma contribuio a dar para o
dos fundos estruturais foram um problema nesta crescimento, a competitividade e o
matria. desenvolvimento em sentido lato. Territrios
Quanto a governana, o que pretendemos mais desenvolvidos ficam mais atraentes para
sublinhar a convenincia de as regies neles se residir, trabalhar e investir. O
manterem sempre uma cooperao vertical desenvolvimento regional no , portanto, um
saudvel e um dilogo horizontal construtivo. No conceito assistencialista, embora integre uma
primeiro caso, esto as relaes com os nveis dimenso de coeso territorial. Fazer de um
central e local. O objetivo aqui proposto para territrio um local melhor para viver, trabalhar
futuros governos regionais no se cumpre ou investir certamente que o prepara melhor
eficazmente apenas com a ao dos prprios. para crescer e contribuir para o bem-estar do
Haver com certeza necessidade de negociar e todo nacional.
contratar o exerccio partilhado de algumas Os mercados combinam trabalho e capital para
responsabilidades. No segundo caso, importa ter produzir bens e servios que geram
presente o valor insubstituvel que os parceiros desenvolvimento. Porm, h outros fatores que
polticos (autarquias e suas associaes), intervm no processo de desenvolvimento e que
econmicos e sociais presentes na regio devem se designam como endgenos, seja por que se
aportar governana dos instrumentos de incorporam no trabalho ou no capital, seja por
poltica dos governos regionais. Eles devem ser que so imateriais e intrnsecos a cada territrio:
associados definio das estratgias e das conhecimento, meios de transporte de pessoas e
metas de mdio prazo a alcanar e participar no bens, externalidades positivas decorrentes da
acompanhamento e na avaliao dos interao entre agentes econmicos por fora da
instrumentos de poltica. Os processos de sua concentrao geogrfica (economias de
desenvolvimento tendem a ser tanto mais aglomerao) ou de atitudes deliberadas de
sustentveis quanto mais os atores puderem cooperao (externalidades de rede), espessura
sentir-se envolvidos na governana dos mesmos. institucional, governana e capacidade de
No caso de o pas avanar para um projeto de inovao das organizaes, bem como
regionalizao como o aqui esboado, isso ter caractersticas individuais das pessoas
que ter consequncias nas competncias do empreendedorismo, sociabilidade, liderana,
governo central sobre desenvolvimento regional. criatividade e confiabilidade.
As regies devero ter um papel importante na H falhas de mercado no aproveitamento das
definio da viso nacional do desenvolvimento capacidades endgenas dos territrios para
e a prpria articulao horizontal de polticas crescer e se desenvolver, mormente dos que
pblicas dever ser repensada luz das possuem menores ndices de urbanizao.
atribuies que as regies vierem a ter. Porm, verificmos, com referncia ao caso
portugus, que o Estado, em sentido lato,
7. CONCLUSES tambm falha naquele desiderato. Assim sendo,
o que fazer?
O crescimento do PIB e do emprego uma
aspirao coletiva de primeira grandeza pelo Com base no conhecimento cientfico e nas
impacto positivo significativo que tem no bem- prticas internacionais, o artigo lana para o
estar dos cidados. H outras dimenses do debate pblico algumas recomendaes sobre
desenvolvimento econmico que contribuem como tornar em Portugal a arquitetura
para esse bem-estar e so igualmente aspiraes institucional do sector pblico mais amiga do
partilhadas por muitos, como so o acesso crescimento e do desenvolvimento de todas as
educao, a cuidados de sade e mobilidade regies. Sugeriram-se mecanismos de
ou ainda o nvel de coeso social e a qualidade governana horizontal na administrao central,
do meio ambiente. no territrio que todas escorados numa viso nacional do
estas variveis interagem e se conjugam para desenvolvimento regional, e orientados para a
evoluir num sentido favorvel ou desfavorvel construo e a execuo de abordagens
qualidade de vida das pessoas. Este trabalho setorialmente integradas. Sugeriram-se

53
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 53
instrumentos de poltica vocacionados para julho-dezembro, pp. 1746. Consult. 20 nov 2014,
convocar e tirar partido de economias de http://www.eixoatlantico.com/sites/default/files/
associao entre agentes econmicos, privados Eixo_16_web.pdf.
e pblicos. Sugeriram-se ainda mecanismos de Baleiras, Rui Nuno (2011a), Introduo: Economia e
governana vertical, com destaque para o Poltica do Desenvolvimento Regional, in Rui
reforo da intermunicipalidade e uma eventual Nuno Baleiras (coord.), Casos de Desenvolvimento
regionalizao suave no continente, que cruzem Regional, Cascais: Princpia, pp. 1381.
adequadamente diferentes nveis jurisdicionais Baleiras, Rui Nuno (2011b), How to Boost
da administrao pblica e mobilizem os atores Competitiveness in Low Density Territories? The
do desenvolvimento presentes nos territrios. PROVERE Initiative Case, in Rui Nuno Baleiras
Os trs tipos de soluo aqui propostos no so (coord.), Casos de Desenvolvimento Regional,
independentes uns dos outros, devendo ser Cascais: Princpia, pp. 325365.
devidamente articulados em funo da deciso Baleiras, Rui Nuno (2012), Collective Efficiency
poltica que vier a ser tomada sobre a aceitao Strategies: a Regional Development Policy
de cada um. Contribution for Competitiveness Enhancement,
Espera-se que este texto possa contribuir para in Roberta Capello e Tomaz Ponce Dentinho
um debate nacional sobre o que Portugal quer (coords,), Networks, Space and Competitiveness:
ser no mdio e no longo prazos e como se deve Evolving Challenges for Sustainable Growth,
organizar para l chegar. Preocuparmo-nos Cheltenham (RU): Edward Elgar, pp. 207247.
enquanto comunidade em melhorar as Baleiras, Rui Nuno (2014a), Territrio e
perspetivas de desenvolvimento em todos os desenvolvimento econmico: falhas institucionais,
territrios racional do ponto de vista Conselho das Finanas Pblicas, Publicao
econmico, dada a capacidade subaproveitada Ocasional n. 3/2014 (dezembro), disponvel nas
que neles se encontra para contriburem para o lnguas portuguesa e inglesa. Consult. 9 mai 2016
progresso do todo nacional. Porm, enquanto em http://www.cfp.pt/publications/territorio-e-
cidado, o autor destas linhas no quer esquecer desenvolvimento-economico-falhas-
uma outra racionalidade, to ou mais institucionais/#.VzBxeoQrKUk.
importante que aquela. Trata-se da Baleiras, Rui Nuno (2014b), Territrio e
racionalidade social. Estimular as regies menos Desenvolvimento Econmico: Falhas
desenvolvidas a aproximarem-se dos patamares Institucionais, in Banco de Portugal, Conselho das
das mais prsperas no s beneficia a economia Finanas Pblicas e Fundao Calouste Gulbenkian
nacional como contribui para um modelo mais (coords., 2014), Para uma Reforma Abrangente da
inclusivo e sustentvel do crescimento. Ajuda a Organizao e Gesto do Sector Pblico:
construir uma sociedade mais justa, em que Comunicaes e Comentrios, Lisboa: Banco de
nenhum territrio nem as pessoas que nele Portugal, pp. 413448. Consult. 9 mai 2016 em
vivem so deixados para trs.1 http://www.cfp.pt/?post_type=publications&publ
icationcategories=proceedings&lang=pt-
pt#.VzBxGoQrKUk.
BIBLIOGRAFIA UTILIZADA Barca, Fabrizio (2009), An Agenda for a Reformed
Cohesion Policy: a Place-Based Approach to
Algan, Yann e Cahuc, Pierre (2007), La Socit de Meeting European Union Challenges and
Dfiance: Comment le Modle Social Franais Expectations, Relatrio independente solicitado
sAutodtruit, Collection du Centre Pour la por Danuta Hbner, Comissria Europeia da
Recherche Economique et ses Applications Poltica Regional, abril. Consult. 16 nov 2014 em
(Cepremap), n. 9, Paris : ditions Rue http://www.europarl.europa.eu/meetdocs/2009_
dUlm/Presses de lcole Normale Suprieure. 2014/documents/regi/dv/barca_report_/barca_re
Consult. 19 nov 2014 em port_en.pdf.
http://www.cepremap.fr/depot/opus/OPUS09.pd Berger, Gerald e Steurer, Reinhard (2009), Horizontal
f. Policy Integration and Sustainable Development:
Baleiras, Rui Nuno (2002), The Economics of Conceptual Remarks and Governance Examples,
Multilevel Governance, mimeo, aceite para European Sustainable Development Network
publicao por Edward Elgar, Lisboa: Universidade (ESDN) Quarterly Report, junho. Consult. 11 mai
Nova de Lisboa, Faculdade de Economia. 2016 em http://www.sd-
Baleiras, Rui Nuno (2009), Caminhos para a Poltica network.eu/quarterly%20reports/report%20files/
de Coeso 2014/2020, Eixo Atlntico Revista pdf/2009-June-
da Eurorrexin Galicia-Norte de Portugal, n. 16, Horizontal_Policy_Integration_and_Sustainable_D
evelopment.pdf.
1 OCDE (2012, p. 16).

54
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 54
Cangiano, Marco, Curristine, Teresa & Lazare, Michel OECD Publishing, Paris: Organizao para a
(2013), The Emerging Architecture of Public Cooperao e o Desenvolvimento Econmicos.
Financial Management, in Marco Cangiano, Consult. 16 set 2014 em
Teresa Curristine e Michel Lazare (coords.), Public DOI:10.1787/5k3tt0zzp932-en.
financial management and its emerging INE (2014a), portal Internet do Instituto Nacional de
architecture, Washington (D.C.): Fundo Monetrio Estatstica, Base de dados indicadores de
Internacional, pp. 117. condies de vida, Lisboa: Instituto Nacional de
CNE (2011), Mapa Oficial n. 4/2011, in Dirio da Estatstica. Consult. 21 out 2014 em
Repblica, 1. srie, n. 71, 11 de abril, Lisboa: http://www.ine.pt/xportal/xmain?xpid=INE&xpgi
Comisso Nacional de Eleies. Consult. 18 nov d=ine_base_dados.
2014 em INE (2014b), Projees de Populao Residente:
http://www.cne.pt/sites/default/files/dl/md_ar20 20122060, Destaque: informao comunicao
11_dr.pdf. social, 28 de maro. Consult. 19 nov 2014 em
CNE (2015), Mapa Oficial n. 2-A/2015, in Dirio da http://www.ine.pt/xportal/xmain?xpid=INE&xpgi
Repblica, 1. srie, n. 154, 10 de agosto, Lisboa: d=ine_destaques&DESTAQUESdest_boui=208819
Comisso Nacional de Eleies. Consult. 18 mai 970&DESTAQUESmodo=2.
2016 em INE (2015), ndice Sinttico de Desenvolvimento
http://www.cne.pt/sites/default/files/dl/ar- Regional: 2013, Destaque: informao
2015_mapa_deputados_dr.pdf. comunicao social, 15 de junho. Consult. 13 mai
Comisso Europeia (2014), National Development 2016 em
Plan 20002006, Policy Documents, Erawatch https://www.ine.pt/xportal/xmain?xpid=INE&xpgi
Platform on Research and Innovation policies and d=ine_destaques&DESTAQUESdest_boui=224529
systems, pgina-e. Consult. 19 nov 2014 em 339&DESTAQUESmodo=2.
http://erawatch.jrc.ec.europa.eu/erawatch/openc Lopes, Antnio Simes (1984), Desenvolvimento
ms/information/country_pages/ie/policydocumen Regional: Problemtica, Teoria, Modelos, segunda
t/policydoc_mig_0003. edio, Lisboa: Fundao Calouste Gulbenkian.
Cullis, John e Jones, Philip (2009), Public Finance & Mateus, Augusto (coord., 2005), Competitividade
Public Choice: Analytical Perspectives, terceira Territorial e a Coeso Econmica e Social, vol. I: as
edio, Nova Iorque: Oxford University Press. Grandes Questes Conceptuais e Metodolgicas,
DPP (2006), Evoluo das Assimetrias Regionais, estudo realizado para o Observatrio do Terceiro
Prospectiva & Planeamento, vol. 13, Ministrio do Quadro Comunitrio de Apoio, Julho, Lisboa:
Ambiente, do Ordenamento do Territrio e do consrcio liderado por Augusto Mateus &
Desenvolvimento Regional, Lisboa: Departamento Associados e que integra CIRIUS, GeoIdeia e
de Prospectiva e Planeamento. CEPREDE. Consult. 10 nov 2014 em
Ferro, Joo (2014), Entrevista ao jornal Pblico, http://www.qren.pt/np4/documentos?tema=66
edio de 22 de setembro, p. 6. Consult. 7 set Mateus, Augusto (coord., 2015), Trs Dcadas de
2014,http://www.pt.cision.com/cp2013/ClippingD Portugal Europeu: Balano e Perspetivas, estudo
etails.aspx?id=a2f22c28-8fc0-4e4c-b193- realizado para a Fundao Francisco Manuel dos
e94b87ba1aa1&analises=1 Santos, Julho, Lisboa: Sociedade de Consultores
Figueiredo, Antnio Manuel; Leal, Isabel and Augusto Mateus & Associados (AM&A). Consult.
Meireles, Rodrigo (2010), The Territorialisation of 18 mai 2016 em https://www.ffms.pt/area-
Public Policies in Portugal, a revised and updated cientifica/detalhe/1113/tres-decadas-de-portugal-
version of the Background Report of the 2008 europeu#page-documents-1113.
OECD Territorial Review on Portugal, Lisbon: OCDE (2008), Estudos Territoriais da OCDE
Instituto Financeiro para o Desenvolvimento Portugal, traduo portuguesa promovida pelo
Regional. Instituto Financeiro para o Desenvolvimento
Figueiredo, Antnio Manuel e Babo, Elisa Prez Regional a partir do original em lngua inglesa,
(2015), Territorializao das Polticas Pblicas: OECD Territorial Reviews: Portugal 2008, 29 de
Inovao e Cultura, in Viriato Soromenho setembro, Paris: Organizao para a Cooperao e
Marques e Paulo Trigo Pereira (coords.), Afirmar o o Desenvolvimento Econmicos. Consult. 5 Mai
Futuro: Polticas Pblicas para Portugal, Vol. II: 2011 em DOI: 10.1787/9789264008977-en.
Desenvolvimento Sustentvel, Economia, OCDE (2009), Background Report to the TDPC
Territrio e Ambiente, Lisboa: Fundao Calouste Meeting at the Ministerial Level (31 March 2009),
Gulbenkian, pp. 234263. Reference GOV/TDPC/MIN(2009)2/REV1, 13 de
Garcilazo, Enrique e Martins, Joaquim Oliveira (2013), maro, Comit da Poltica de Desenvolvimento
The Contribution of Regions to Aggregate Growth Territorial, Paris: Organizao para a Cooperao
in the OECD, OECD Regional Development e o Desenvolvimento Econmicos. Consult. 16 nov
Working Papers, n. 2013/28, 24 de dezembro, 2014 em

55
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 55
http://www.oecd.org/officialdocuments/publicdis OCDE (2014a), OECD Regional Outlook 2014: Regions
playdocumentpdf/?cote=GOV/TDPC/MIN(2009)2/ and Cities: Where Policies and People Meet, 6 de
REV1&docLanguage=En. outubro, OECD Publishing, Paris: Organizao para
OCDE (2010), Regional Development Policies in OECD a Cooperao e o Desenvolvimento Econmicos.
Countries, 25 de outubro, OECD Publishing, Paris: Consult. 20 nov 2014 em
Organizao para a Cooperao e o DOI:10.1787/9789264201415-en.
Desenvolvimento Econmicos. Consult. 16 nov OCDE (2014b), How's Life in Your Region? Measuring
2014 em http://www.keepeek.com/Digital-Asset- Regional and Local Well-being for Policy Making, 6
Management/oecd/urban-rural-and-regional- de outubro, OECD Publishing, Paris: Organizao
development/regional-development-policies-in- para a Cooperao e o Desenvolvimento
oecd-countries_9789264087255-en#page1. DOI = Econmicos. Consult. 20 nov 2014 em DOI:
10.1787/9789264087255-en. 10.1787/9789264217416-39-en.
OCDE (2011), OECD Regional Outlook 2011: Building OCDE (2016), Regional eXplorer, ferramenta
Resilient Regions for Stronger Economies, 6 de interativa para criao de objetos grficos com
outubro, OECD Publishing, Paris: Organizao para dados territoriais, Paris: Organizao para a
a Cooperao e o Desenvolvimento Econmicos. Cooperao e o Desenvolvimento Econmicos.
Consult. 16 nov 2014 em Consult. 13 Mai 2016 em
http://www.keepeek.com/Digital-Asset- http://stats.oecd.org/OECDregionalstatistics/#stor
Management/oecd/urban-rural-and-regional- y=0.
development/oecd-regional-outlook- Organizao das Naes Unidas (2015), Policy
2011_9789264120983-en#page3. DOI = Integration in Government in Pursuit of the
10.1787/9789264120983-en. Sustainable Development Goals, Relatrio da
OCDE (2012), Promoting Growth in all Regions, 6 de reunio do Grupo de Peritos havida em 28 e 29 de
dezembro, OECD Publishing, Paris: Organizao janeiro de 2015 na sede da ONU, Nova Iorque:
para a Cooperao e o Desenvolvimento Department of Economic and Social Affairs.
Econmicos. Consult. 16 set 2014 em Consult. 11 mai 2015 em
DOI:10.1787/9789264174634-en. http://www.un.org/esa/socdev/csocd/2016/egmr
OCDE (2013), Rural-Urban Partnerships: an Integrated eport-policyintegrationjan2015.pdf.
Approach to Economic Development, 24 de Schmitz, Hubert (1999), Collective Efficiency and
outubro, OECD Publishing, Paris: Organizao para Increasing Returns, Cambridge Journal of
a Cooperao e o Desenvolvimento Econmicos. Economics, vol. 23, n.. 4, pp. 465-483.
Consult. 20 nov 2014 em
DOI:10.1787/9789264204812-en.

56
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 56
Public Policy Portuguese Journal
2016, Volume 1, Number 1, pp. 57-67
Universidade de vora, UMPP - Unidade
de Monitorizao de Polticas Pblicas
www.umpp.uevora.pt

Economic reform under Europe 2020

Annette Bongardt
European Institute, London School of Economics and Political Science, INA and CICP
a.bongardt@lse.ac.uk

Francisco Torres
European Institute, London School of Economics and Political Science, INA and CICP
f.torres@lse.ac.uk

ABSTRACT
The article asks what is the state of and prospects for economic reform under the Europe 2020 strategy and the
European semester, within the context of economic policy coordination in the European Union (EU) and in the
Eurozone. After briefly setting out the framework for economic policy coordination established since
Maastricht, it sheds light on the Lisbon strategys problem-laden legacy for the Europe 2020 strategy (2011-
2020): the issues of non-binding member state commitment to an EU-wide reform agenda, and of member
state failure to create sufficient ownership of reform. The article then examines the workings of the Europe
2020 strategy the EUs economic and institutional modernisation strategy for the current decade with
regard to structural reform especially in the Eurozone. It addresses the question of the effectiveness of the
European semester process in light of the sovereign debt crisis. The article concludes that the Europe 2020
strategys approach continues to be valid in the EU context, but that for the strategy to deliver member states
must get their act together and create ownership of reform for national adjustment capacity.

Keywords: Europe 2020 strategy, EMU, structural reforms, institutional modernisation, sustainable growth
JEL classification: E42, E61, E65, F60, O40

1. INTRODUCTION 2 sets the stage by setting out the framework for


economic policy coordination established since
The Europe 2020 strategy (2011-2020) is the
Maastricht. Section 3 sheds light on the Lisbon
EUs economic and institutional modernisation
strategys problem-laden legacy for the Europe
strategy for the decade. Its good functioning has
2020 strategy (2011-2020): the issues of non-
become ever more important since the
binding member state commitment to an EU-
sovereign debt crisis a Eurozone crisis
wide reform agenda, and of member state
erupted in 2010, lending urgency to structural
failure to create sufficient ownership of reform.
reform as to ensure the good functioning and
Section 4 examines the workings of the Europe
indeed survival of the EUs monetary union. Yet,
2020 strategy the EUs economic and
already more than half through its term, the
institutional modernisation strategy for the
strategy has chronically failed to even gain
current decade with regard to structural
visibility in national economic policy discourses.
reform in particular in the Eurozone. Section 5
This article asks what is the state of and addresses the question of the effectiveness of
prospects for economic reform under the Europe the European semester process in light of the
2020 strategy and the European semester, sovereign debt crisis. Section 6 concludes.
within the context of economic policy
coordination in the European Union (EU) and in
the Eurozone. It is organised as follows. Section

57
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 57
2. ECONOMIC POLICY COORDINATION: RISING governance is characterized by a combination of
COORDINATION NEEDS WITH ECONOMIC AND centralization of competences in policy areas like
MONETARY UNION (EMU) monetary policy and subsequently also banking
Under the Maastricht treaty of 1992, the supervision (the responsibility of the European
European Union (EU) elevated its level of Central Bank, the ECB) as well as of competition
ambition with respect to its economic policy, state aid and external trade (the
integration objective, from a customs union and responsibility of the European Commission),
a common market (since the 1957 Rome Treaty) with a form of constrained decentralization in
to Economic and Monetary Union (EMU). While other areas, such as fiscal and structural policies.
this higher stage of European economic The sovereign debt crisis has come to illustrate
integration is associated with significant higher economic coordination needs between
economic benefits (which were set out in the members of the Eurozone in the face of
report by the Delors Committee, 1989), it brings increased interdependencies, and the need to
about substantially increased coordination deal with them for the sake of the good
needs between the member states that are part functioning and indeed sustainability of the
of the monetary union. currency union. Economic reform, which is the
EMU is of course composed of two the object of this article, is a case in point. However,
economic and monetary union spheres, which not all EU member states are members of the
are also interdependent. The governance and currency union (Eurozone). All EU member
hence coordination mode of those two parts states present and future are to join the
differs, as a result of the existence (or single currency at some time, after complying
inexistence) of a necessary consensus across with the established prerequisites, the only two
member states at Maastricht: In the monetary exceptions being the United Kingdom (UK) and
union domain there was a consensus that Denmark, which obtained derogations at
allowed for sovereignty sharing but the same did Maastricht.1 Currently nineteen out of the
not hold true for the economic union part. The present twenty-eight member states are
difficulty to start with was that, in contrast to a members of the Eurozone. Perceptions on the
monetary union, neither the concept of an desirability or urgency of advances in economic
economic union nor its significance with respect coordination may thus vary across EU member
to the EU was well defined (Pelkmans 2006). states. The issue of economic reform bears
Essentially, an economic union could mean a witness to the difficulties of internalising
stand-alone construct, or one designed to meet spillovers in the EU and in the Eurozone.
(at least essential) requirements for the
functioning of the monetary union. The resulting 3. THE LISBON STRATEGYS LEGACY FOR THE EUROPE
EU concept of economic union that was set out 2020 STRATEGY
in the Maastricht treaty did imply some
It is important to understand the Lisbon legacy
coordination of economic policies but was left
for the Europe 2020 strategy, considering that
incomplete with respect to the requirements of
the Europe 2020 built on the objectives and
monetary union. As a consequence, coordination
toolbox of the revised Lisbon strategy of 2005,
in the economic union assumed the character of
which had in turn focused the EUs economic
an open compromise (Torres 2008), with
reform strategy on deliverables (growth and
posterior governance advances being left
employment).
conditional upon sufficient preference
convergence to occur. At the Lisbon European Council in 2000 all EU
member states had agreed on reinforcing EU
The economic union sphere was developed later,
economic policy coordination by committing to a
notably on the fiscal side through the 1997
common economic reform agenda. The so-called
Stability and Growth Pact (SGP) and with regard
Lisbon strategy (2000-2010), which was
to economic reform through the 2000 Lisbon
developed at subsequent meetings of the
strategy. Both of those became only weakly
European Council and which became also known
coordinated, relying on non-binding member
state commitments; there were no sanctions for
non-compliance in the case of the Lisbon 1 After the negative referendum outcome on EU
strategy and ineffective sanctions in case of the membership on 23 June 2016, the United Kingdom (UK) is
SGP. Different governance and coordination expected to invoke article 50 TEU in the near future as to
modes in the economic and monetary union voluntarily exit the EU. This would leave Denmark as the
spheres of EMU have persisted up to the only EU country with a derogation from monetary union.
present. As Bini-Smaghi (2016) put it, Eurozone Denmark, however, shadows the Eurozone. See Bongardt
and Torres (2016b).

58
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 58
as the agenda for growth and jobs after its mid- to hold back productivity and growth4; the
term refocus on deliverables (growth and Lisbon strategy supplemented single market
employment) in 2005, was above all motivated supply-side liberalisation by economic and
by the need to address the challenges associated institutional reform to make the European single
with world-wide competition (globalisation). The market deliver on economic (competitiveness,
strategy did not feature any specific Eurozone growth, employment) and also societal (social,
dimension to economic reforms. environmental) objectives.5 The prospect was to
Rather, the Lisbon strategy defined an transform common challenges to member states
institutional modernisation and structural of globalisation and the information society,
reform agenda for the ensuing decade that was but also of demographic ageing, climate change
EU-wide, meant to counter the EUs productivity and successive enlargements of the Union into
slowdown and thereby promote growth. It was economic opportunities and growth through
an encompassing and ambitious reform strategy, economic reform and institutional
which was based on three economic, social modernisation at the national level. The
and environmental pillars.1 The strategy came consensus embodied in the Lisbon strategy
to outline more than a mere common economic reflected member states recognition that it was
and social and subsequently also environmental also in their individual interest to improve
modernisation strategy, giving rise to an national economic performance and growth
emerging European model of society.2 potential in this light, while the economic case
for having EU-wide coordination was based on
The very fact that the Lisbon strategy came into
the additional gains associated with positive
existence testifies to a consensus across
spillovers from trade. The political economy
European varieties of capitalism on the need for
argument was that peer pressure would help
structural reform and institutional
implementation across member states.
modernisation. It was the competitiveness
rationale, that is, the felt external pressure at
the time of its enactment, which promoted the 3.1. An EU-wide economic reform agenda but with
consensus across member states on an EU-wide national policy competences
strategy: only reforming could the EU and its
Member states did recognise the need for EU-
member states hope to improve living standards
level coordination in the reality of European
and preserve the European social model.3 In the
varieties of capitalism but they were not
reality of European varieties of capitalism, mere
prepared to abdicate of/or share competences.
market liberalisation could not do away with all
Rather than pooling sovereignty along the lines
kinds of market distortions created by member
of single market governance instruments (the
states at the national level that were understood
Community method) they agreed on the Open
Method of Coordination (OMC) to implement
1 The economic pillar was to create the basis for the the common economic reform agenda. The OMC
transition to a competitive, dynamic knowledge-based allows member states to preserve national
economy, with emphasis put on the need to adapt competences in areas of reform while trying to
constantly to changes in the information society and to coordinate reforms at the EU-level.6
increase research and development. The social pillar was to Nevertheless, soft coordination looked
modernise the European social model, through investment promising at the outset: the OMC permits taking
in human resources and combating social exclusion. The into account member state differences in their
environmental pillar, added at the Gothenburg European preferences regarding the state / market
Council meeting in June 2001, called attention for the need
equilibrium as well as different traditions and
to decouple economic growth from natural resource
utilisation for sustainable development. The strategy
path-dependency of national institutions.
thereby aimed at creating the bases for re-launching the EU What stands out as the central idea and chief
within the decade in the changed context of globalisation, Lisbon legacy to the Europe 2020 strategy was
but also the paradigm shift to a knowledge economy and to to thereby foster reforms that could be tailored
an innovation-based model of growth (Bongardt and Torres
2012).
2 Bongardt and Torres (2009) set out what a European 4 Member state intervention in the economy can give rise
model means under the EUs economic reform agendas. to non-tariff (frictional) barriers to trade in the European
3 Although, following Sapir (2006), there are four different single market, which are cost increasing. For a comparison
categories of European social models, classified in function of the governance of the single market and the Lisbon
of their efficiency (the capacity to integrate persons in the strategy, see Sapir et al. (2005).
labour market) and equity (low probability of poverty) 5 A more complete analysis of the evolution of the single

properties. Equity is a function of societal preferences while market of the EU can be found in Bongardt (2015).
efficiency (financial sustainability) is not. 6 For a discussion of the OMC see Radaelli (2003).

59
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 59
to both member states heterogeneous The findings suggest that it was those member
situations and preferences. The OMC permits states that failed to achieve good results on the
consensus seeking on values and institutions and Lisbon reform goals after all, any member state
the Lisbon strategy (like its successor, the scoring poorly would be less competitive and
Europe 2020 strategy) was also given an have (a) lower growth (potential) that are the
adequately long (10 year) timeframe, which in ones that had started or continued to diverge
turn ought to be conducive to preference (Bongardt and Torres, 2016a). Large
convergence as a gradual, learning process competitiveness differentials and
towards best practice (Bongardt and Torres macroeconomic disequilibria built up in the
2013b). By allowing for a slow-moving Eurozone during EMUs first decade but were
convergence process of preferences on not tackled.
institutions (Roland 2004), the chosen In the sovereign debt crisis large negative
governance mode also reflects a perceived need spillovers ran from EMUs insufficiently
for creating ownership of reforms at the national coordinated economic sphere into its monetary
level. sphere. The sovereign debt crisis was also a
Critically however, the convergence of watershed with regard to the behaviour of
preferences on institutions would rely on financial markets. Markets now started to look
member states willingness since policy at countries growth potential, and thereby at
instruments had remained in the national individual member states performance on
domain and capacity very much shaped by Lisbon targets, for debt sustainability reasons,
formal and informal institutions of putting best penalising those that had not made sufficient
practice and mutual learning to good use. progress on economic modernisation (and hence
Moreover, and given the absence of sanctions, not improved their growth potential), through
enforcement of EU common goals was to hinge high risk premiums. Now driven by market
on public and peer pressure, to be exerted with pressure, economic reforms gained urgency to
recourse to benchmarking and ranking of ensure the good functioning and indeed survival
member states performance (Bongardt and of EMU.
Torres, 2012). Those factors were to prove the Underlying the Lisbon strategy had been the
Achilles heel of the strategy. idea that it would be easier to conduct reforms
With hindsight, had Eurozone members in favourable economic conditions. Somewhat
delivered on their commitments EMU would tragically, however, EU member states largely
have been more crisis-resilient. The Lisbon failed to make use of EMUs first rather tranquil
strategy was thought to be a one-off strategy decade to find the most consensual national
and to have produced the desired results paths to common goals and implement the
institutional modernisation and structural reform objectives they had committed to at
reform by the end of the first decade of 2000, Lisbon. As Wyplosz (2009) points out, for
which incidentally coincided with the eruption of political economy reasons labour market
the sovereign debt crisis. Instead, progress on reforms are easier in a growth environment
agreed targets by the EU as a whole and its while other structural reforms are easier to
member states an indicator of convergence to implement under pressure. Yet, reforming under
the ultimate goal of creating the basis for financial and time pressure leaves member
competitiveness and sustainable growth was states with if at all limited capacity of
mixed at best towards the end of the Lisbon compensating losers, while the need for urgent
strategys term. The EU as such had failed to actions hardly allows for lengthy public
implement the Lisbon agenda with regard to discussions on the most consensual paths to
agreed goals in the areas of innovation, reform to create ownership of reform.
liberalisation, entrepreneurship, employment
and social inclusion, and sustainable
development and the environment. Tilford and 3.2. Ownership of reform and national adjustment
Whytes (2010) analysis of member state and EU capacity
progress per policy area and overall shows that There are various reasons why the Lisbon
large differences had remained between policy strategys reliance on non-binding member state
areas and also between member states; with commitments had failed to deliver on EU-wide
respect to Eurozone members the low ranking of institutional modernisation and economic
most of the cohesion countries, notably of reform. For once, the transmission mechanism,
Greece, Italy, Spain and, to a lesser extent, by means of which single market regulation
Portugal stands out. would spur economic reform under the Lisbon

60
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 60
strategy (and also its successor, the Europe 2020 interdependencies between the members of the
strategy), largely failed to materialize (Schffer monetary union.1
and Baumann 2011). Perhaps even more Considering its perceived failure in terms of
crucially though, by and large, public opinion in economic policy coordination, the discussion
member states failed to take ownership of whether the EUs economic reform strategy
reforms and exert pressure with a view to the ought to be continued at all could then hardly
implementation of the economic reform agenda come as a surprise. However, the advent of the
that the member states had committed to. On 2008/9 global financial and economic crisis made
top of that, peer pressure was largely ineffectual the necessity rather plain to put the Union back
and official ranking abandoned. The fact that on a higher growth trajectory in order to recover
spillovers (from trade) were presumed to be from the (symmetric) shock, and thereby
positive and small can be reasonably expected to conferred renewed importance on the Lisbon
have diminished the perception of urgency of goals of higher growth and employment. In the
reform. event, the Lisbon strategy was continued by the
The Lisbon strategy also suffered from national Europe 2020 strategy for the ensuing decade.
governments not taking ownership of reform. Again, however, whereas all member states
Regardless of the fact that member state recognized the need for more economic
political systems (governments, oppositions and coordination at the EU level and defined a new
even social partners) may have agreed to EMU- common EU-wide reform agenda for the decade,
sustaining reforms in the 1990s and made they were unwilling to concede more
commitments to them under the Lisbon strategy competences to the Union. As a consequence,
during EMUs first decade, they did not feel the implementation of their reform
thereby constrained to implement policies that commitments under the Europe 2020 strategy
were inconsistent with the stated objectives. continues to depend on soft coordination. The
Many member states largely wasted the creation of national ownership of reform and of
opportunity to make use of the OMCs potential national adjustment capacity continues to be
to find their own, most consensual path to EU- critical for the success of the current EU
wide reform targets and create ownership of economic reform agenda.
reforms. The fact that globalisation called for
institutional modernisation and economic
reforms at the national level as a precondition
4. THE EUROPE 2020 STRATEGY AND THE SOVEREIGN
DEBT CRISIS
for maintaining living standards and indeed the
European model has tended to remain Very much along the lines of the Lisbon strategy,
somewhat opaque for the public. the Europe 2020 strategy (European
Commission, 2010) set out a renewed vision of a
The announced objectives (various times voted
social market economy for Europe in the 21st
in national and European elections) to which
century, aimed at transforming the EU within
various governments and political parties had
the present decade into a smart (digital),
subscribed were also poorly implemented. The
sustainable (green) and inclusive (social)
combination of the absence of market pressure
economy with high levels of employment,
during EMUs first decade, when financial
productivity and social cohesion and at
markets failed to differentiate between the
reinforcing the EU as an actor in global
sustainability of public debt and external
governance. The headline targets agreed for the
imbalances among participants (Jones and
EU to achieve by the end of 2020 include
Torres, 2015), and non-binding and not
employment, research and development,
enforceable commitments in the case of the
climate/energy, education, and social inclusion
Lisbon strategy (and binding but not enforceable
and poverty reduction. The framework for the
rules in the case of the SGP) contributed to the
Europe 2020 strategy and reforms at the
procrastination of some of those economic and
member state level is set out in the Europe 2020
institutional reforms. It was the lack of national
reforms in some member states, in conjunction
with the incapacity of financial markets to
distinguish between Eurozone sovereigns, which 1 With regard to those interdependencies, Mongelli et al.
paved the way for increasing intra-EMU (2016) show that, with the preparatory work for the launch
macroeconomic imbalances. Beside its weak of the euro in the mid-1990s (more precisely with the
enforcement, the Lisbon strategy also lacked any launch of EMUs second phase in 1994), the nature of
specific EMU dimension to address the increased European integration changed, as developments in any
member state could have a much greater impact on the
others. The crises have been illustrative in this regard.

61
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 61
Integrated Guidelines.1 Progress towards the economic reform and no substantive innovation
Europe 2020 strategy targets is promoted and in terms of instruments, the strategy limits itself
monitored throughout the European Semester to strengthening supervision within the existing
which designates the EU's yearly cycle of framework. The Commission is to elaborate, in a
economic and budgetary coordination. synchronised way, reports on member states
The Europe 2020 strategy (2011-2020) was progress on increasing their competitiveness and
presented as an EU-wide exit strategy from the growth potential with specific
global economic and financial crisis of 2008/09, recommendations. Those country-specific
meant to put the EU back on a higher, quality reports and recommendations should make
growth path. However, at the time it was member states non-compliance more visible
enacted it received the go-ahead from the and make it more difficult for the Council to
Spring European council of 2010 the sovereign merely congratulate itself. Under the European
debt crisis began (with the Greek crisis) and it Semester process, member states stability and
was late in the process to take in any lessons (for growth programmes and their national
the Eurozone or other). The sovereign debt crisis simplified reform programmes are henceforth
was a Eurozone crisis but the Europe 2020 evaluated together, which goes towards
strategy had not been equipped with any reinforcing the cohesion of economic policy
specific Eurozone dimension tailored to address coordination between the national budgetary
increased interdependencies between its policies and growth-relevant policies.
members. That notwithstanding, if reforms In essence, the Europe 2020 strategys
under the Europe 2020 strategy were effective in innovations compared to the Lisbon strategy did
promoting price and wage flexibility, thereby little to help address the fundamental problem
pushing the Eurozone more towards an of insufficient convergence of preferences and
optimum currency area, the Eurozone would institutions in EMU, with the result that the very
become more resilient to shocks. The Europe issue that held back economic reform under the
2020 strategy provides instruments to address Lisbon strategy creating sufficient ownership
competitiveness problems rooted in factors (capacity and willingness) of reform at the
like inflexible labour markets, uncompetitive national level has remained essentially open.
wage developments, inflated public sectors, The eruption of the sovereign debt crisis focused
unsustainable social systems and the attention on the interdependencies that exist
consequent low growth potential of certain between economic and monetary policy in the
member states. It also enshrines an adequate Eurozone by exposing important spillovers
competitiveness notion that is wide and future- between economic policy coordination (under
oriented, in that it captures essential drivers of the Lisbon strategy/Europe 2020 strategy and
future competitiveness such as institution the SGP) and monetary policy (underlying the
building (Gros and Roth 2012). It is important need for increased flexibility of wages and
how the EU restores competitiveness.2 Cutting sustainable public finances). The joint impact of
wages offers a more immediate solution but is a the economic and financial crisis and the
zero-sum game in the Eurozone, while improving sovereign debt crisis made it plain that member
competitiveness is not but takes longer. states had insufficiently accounted for negative
Compared to the Lisbon strategy, the Europe spillovers that were running from the
2020 strategy features a stronger recognition of uncoordinated economic part of the union to the
interdependencies between national budgetary monetary side (Torres, 2015).
policies and national reform programmes At the same time, the sovereign debt crisis
(competitiveness and growth potential) and the however de facto came to provide two
attempt to somewhat increase pressure on bad additional enforcement mechanisms for
performers. Yet, with continued reliance on non- economic reform, as market pressure and
binding member state commitments to subsequently conditionality for countries under
adjustment programmes made an appearance.
1 The Treaty on the Functioning of the EU provides for the Economic reform in laggard countries has since
coordination of member states economic and employment accelerated somewhat, albeit often from a very
policies within the Council as matters of common concern. low level (OECD 2015). Still, progress on the
For a further discussion see Bongardt and Torres (2010). Europe 2020 targets has been mixed overall, and
2 On the other hand, the Euro Plus Pact of 2011 was given a results and forecasts also vary significantly
Eurozone dimension, which the Europe 2020 strategy lacks. across member states (European Commission
It however enshrines a more narrow, cost competitiveness 2014). While the EU is on course (or comes
notion, whereas he Europe 2020 strategys notion is more close) to achieve its targets on education and on
in line with long-term competitiveness factors.

62
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 62
climate and energy, this does not apply to Europe 2020 strategy and its targets are brought
employment, research and development or together into a wider coordination process that
poverty reduction (goals that the scale of the also includes the overhauled SGP and the new
crisis made more difficult to achieve). macroeconomic imbalances rules. However, the
There are also two related issues that deserve to Semester process was also set up in 2011 with
be mentioned, as they reinforce the case for the consent of all EU member states and
creating national adjustment capacity. First, presents the same governance shortcomings as
economic reforms that are perceived as imposed the Europe 2020 strategy (and the Euro Plus
i.e. lacking ownership at the national level Pact).
might not be politically sustainable. Second, the According to Darvas and Leandro (2015) the
ECBs policy of buying time for member states European Semester process has proven rather
to implement structural reforms also has the ineffective due to the fundamental problem of
side-effect of taking away pressure for reform policy coordination in the EU, namely that it is
and of making national reforms look less urgent. based on unanimity. Policy coordination with an
EU rationale is held back by national
competences to the extent that national policy
5. THE EFFECTIVENESS OF THE EUROPEAN SEMESTER makers focus on the national interest (being
PROCESS
accountable to their national parliaments) and
While the sovereign debt crisis highlighted the do not take into due account interdependencies
shortcomings of existing economic policy and spillovers. The authors show that while
coordination, largely effected through the implementation under the European Semester
Europe 2020 strategy, and has increased was already poor at its beginning in 2011, it has
pressure for structural reform, it has not proven hence not improved but on the contrary
to be a game changer. This is despite the fact deteriorated.
that the sovereign debt crisis forged a general
In Beggs (2016) view, the semester process is a
agreement to address competitiveness issues
case in point for compliance and implementation
(structural reform) in light of the built-up
being the continued weak links also in the
macroeconomic imbalances and the need to
reformed areas of economic governance. He
justify the emergency coordination measures
argues that delivery of results of the semester
adopted to avoid the insolvency or illiquidity of
process which was to bring about a
member states. It gave rise to the Euro Plus Pact
simplification of economic policy monitoring and
(2011). However, as Mongelli et al. (2016) show,
coordination at the EU level to make it more
while the EU did respond to the crisis by building
strategic - continues to be held back by a lack of
up governance in its economic union part with
visibility in national economic policy discourses.
and beyond the community framework and
through a variety of mechanisms1 with One may add that the European Semester and
significant advances in some relevant areas notably CSR are also allegedly perceived as
(notably banking union), since 2012 least invasive in member state affairs and as bringing
progress has been made with regard to about a short-term (annual) focus on targets,
economic coordination, especially so in the area rather than promoting long-term goals.
of structural policies. Against this background On a more positive note, the Europe 2020
the question of the effectiveness of the strategy does define a common European
European Semester process, meant to make the development model compatible with the
Europe 2020 strategy more effective and competitiveness rationale (Pasimeni 2011),
strategic, became particularly relevant. which continues to be recognized as potentially
The semester process comprises an annual useful for economic reform if it could only be
growth survey, country-specific made to function at the member state level. The
recommendations (CSR) and the comparison of Europe 2020 strategy captures the fundamental
member state performance in key areas. Each and long-term issues for economic development
European Semester concludes with and competitiveness, among which institution
recommendations for each EU (not only building.2 Gros and Roth (2012) and Pasimeni
Eurozone) member state and for the Eurozone and Pasimeni (2016) call attention for the
as a whole. Under the Semester process the importance of formal and informal institutions
for successful economic reform. In the latters
analysis (2016), institutional variables (like good
1 More integration has come under differentiated
integration (Koenig 2015), with different configurations of
member states and different governance mechanisms both 2 For a favourable comparison of the EU case with the US,
within and beyond the Community framework. see Sachs (2012).

63
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 63
governance and social capital) have the the difficulties underlying reforms to different
strongest estimated effects on countries member state preferences, which are in turn
performance. It is also the opinion of the ECB rooted in countries different growth models.4
(Draghi 2016) that the Europe 2020 strategy They argue that in the Eurozone the two pre-
addresses the right issues, of which it highlights existing growth models have ceased to function
productivity and labour, among others. in symbiosis since the crisis, and that the lack of
Monetary policy, by definition, is unable to reform has in turn put strain on EMU. Put
address structural problems but is affected by differently, Eurozone countries had failed to
them. Structural reform assumes importance internalise the constraints associated with being
with a view to the good functioning of the members of a monetary union. As for the issue
monetary transmission mechanism, for of convergence to a compatible and consensual
successful crisis exit (dealing with crisis legacy growth model, one may note that the Europe
costs, i.e. debt) and for EMUs resilience to 2020 strategy has come to outline such a
shocks.1 In the ECBs assessment, Eurozone European model of development, which needs
countries have implemented many structural to be further fleshed out.
reforms, especially those that were worst At present there is a conspicuous silence with
affected by the crisis, and with crisis-induced regard to the announced mid-term review to the
(market and other) conditionality playing a role Europe 2020 strategy that, one would have
in accelerating reforms in some adjustment expected, would have aimed at remedying its
countries. The problem remains that this did shortcomings. While there has been a
neither happen in a balanced way nor with the preparatory public consultation, so far there has
desirable scope.2 been no attempt to re-launch the Europe 2020
Soskice and Hope (2016) shed light on why strategy as happened in the case of the
external pressure might and indeed often has refocused Lisbon strategy of 2005 to enhance its
failed to foster structural reform at the member effectiveness. Instead, the 2015 Five Presidents
state level. Their argument goes that external report5 (European Commission 2015a) had
pressure works better with respect to austerity launched the idea of setting up national
seen as preferable to transfers, which are competitiveness councils at the member state
politically difficult than to reforms of level in a quest to create ownership and
institutions.3 The reason is that austerity is a promote reforms at the member state level
more immediate concern in contrast to within the Genuine EMU initiative. Incidentally
reforming institutions (which takes longer to the report made reference to the Euro Plus Pact
produce results), so that preference is more rather than the Europe 2020 strategy. In June
easily given to the former. The authors attribute 2016 the Council put forward a draft
recommendation for productivity boards (rather
than competitiveness councils) for Eurozone
1 As ECB President Draghi (2016,) put it, it matters for member states (encouraging other member
monetary policy whether the right structural policies are in states to do likewise), which are to analyse
place. Structural reforms can help limit the depth and productivity and competitiveness and whose
duration of shocks, which in turn supports the anchoring of output could feed back into EU governance
inflation expectations and keeps real interest rates low.
Such reforms can also reduce the transmission lag of our processes, among which the European semester
measures, since a more flexible, more responsive economy process. Agreement on the recommendation,
is likely to transmit monetary policy impulses faster. And envisaged for the 12 July 2016 Ecofin Council,
they produce higher potential growth, which leads to
higher investment and hence a higher equilibrium real rate.
That creates the conditions for the central bank to return to 4 In the Eurozone Soskice and Hope (2016) distinguish an
conventional interest rate policy as the means to deliver export-led north, characterized as traditionally harbouring
price stability. preferences for fiscal discipline, monetary stability, and
2 This is also the view of the European Commission (2014). wage coordination, from a demand-led south, which they
However, while the ECB urges rapid advances on structural qualify as more inflation-prone, with strong public sector
reforms with a view to EMUs sustainability, the unions and low wage coordination.
Commission tends to be more lenient on the timing of 5 The Five Presidents Report advocated the completion of

structural reforms. EMU (a genuine EMU) to ensure its sustainability. Yet,


3 The comparative political economy literature goes beyond Gros (2015) shows that even in a genuine economic and
OCA theory, which suggests in which areas reforms should monetary union like the United States a state can fail
take place to make a currency union like the Eurozone (Puerto Rico). According to Buiter (2015), allowing for the
function well. The contribution of the comparative political possibility of bankruptcy (of a state), a country is free to
economy literature on the Eurozone is that it adds insights choose its model of development, without putting at risk
as to why reforms (especially in the labour market, but not the monetary union and other member states. See
only) might have been stalling despite external pressure. Bongardt and Torres (2016a).

64
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 64
seemingly failed to materialize (Begg 2016). In In the face of the difficulties associated with
addition to the CSR, the European Commission structural reform in the EU and the Eurozone,
has also produced thematic files linked to the one might ask what were the implications if a
long-term growth objectives of the Europe 2020 member state chose not to comply with their
strategy, on the main policy areas that are likely commitments. By not modernizing, those
to be part of national reform programmes. In member states put at risk their respective
Beggs view, they not only evidence the national welfare states as well as the quality of
Commissions disappointment with the lack of life of current and future generations. Euro
progress in many of the twenty-eight policy member states also put at stake the functioning
areas but also suggest that the low visibility of of the economic and monetary union (EMU), as
the Europe 2020 strategy in economic the Euro crisis has illustrated. If member states
governance is having adverse effects. opted not to sufficiently reform EMU would
With a view to promoting structural reform in most probably not be sustainable.
the EU, the European Commission (2015b) has
also launched a proposal for a regulation on a 6. CONCLUSION
structural reform support programme, under
To make the European model sustainable and to
which the EU provides technical assistance for all
ensure the sustainability of EMU calls for
member states upon request. The proposal
responding to the challenges of globalization by
would generalize the availability of structural
putting in place the structural reforms that are
reform support (formerly only to Greece and
necessary to deliver monetary and financial
Cyprus) and allow for addressing reform gaps as
stability, higher quality growth, social inclusion
recommended by CSR in the context of the
and environmental sustainability. This implies
European Semester.
completing the economic part of Economic and
Regardless of the continuing weaknesses of the Monetary Union (EMU) and making the
EUs economic reform agenda and the as yet necessary structural reforms to ensure national
uncertain outcome of suggested improvements, adjustment capacity.
paying attention to the timing and mix of
This article concludes that economic and
structural reforms can help ease acceptance of
institutional reform under the Europe 2020
structural reforms at the member state levelThe
strategy is held back by member states
fact that structural policies may often produce
unwillingness to concede more competences to
results with a time lag or have costs in the
the EU. Still, the strategy tackles the right issues,
shorter run, makes it politically important to get
with a governance mode that has the potential
the timing right, for instance by anticipating
if properly applied at the member state level of
those reforms that are already beneficial in the
creating ownership of structural reform. Given
short-run (Pisani-Ferry 2014, de Grauwe and Ji
different traditions and the path-dependency of
2016) and to achieve the right mix (Caldera et al.
institutions, each member state needs to find its
2016). In our view, those structural policies need
own, most consensual way to a sustainable
to be geared to delivering a sustainable
development model (like the one agreed under
European model, adopting structural reforms
the Europe 2020 strategy). Capacity building of
that put the EU economy not only on an
formal and informal institutions emerges as a
economically but also environmentally and
critical factor of success of structural reform. For
socially sustainable path, in short, deliver on the
that, a countrys willingness to put available
Europe 2020 growth objectives. As discussed
instruments to good use such as learning
elsewhere in more detail (Begg et al. 2015), they
through feedback and national economic
can be implemented even under the crisis-
policy discussion of options are vital. In the end,
induced constraints.1
member states have to ask themselves also
independently of Eurozone requirements
1 So far the more immediate concerns with economic whether their development model is desirable in
results have somewhat eclipsed long-term sustainability
concerns and their implications for future growth in the EU
policy discussion (Bongardt and Torres 2013a). This was which is not irrespective of the composition of expenditure
even more the case since the crisis, when many economists and taxation, rather the opposite goes hand-in-hand with
and politicians proposed purely Keynesian expansions, the need to implement structural reforms in order to
which risk perpetuating unsustainable consumption and reduce built-up disequilibria in deficit countries. Structural
production patterns. However, sustainable development reforms that modernize the economy are a precondition for
has become better integrated in the Europe 2020 strategy a shift to sustainable growth in all member states and for a
than in the Lisbon strategy (Pasimeni 2011). In our view, the sustainable EMU. And they can be implemented under the
need to stimulate domestic demand in surplus countries present constraints.

65
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 65
a globalized world and sustainable in the Bongardt, Annette and Francisco Torres (2016b), The
European context. A country may of course opt Political Economy of Brexit: Why making it easier
not to modernize institutions but in that case it to leave the club can allow for a better functioning
should be prepared to pay the price for it (lower EU, Review of European Economic Policy, Vol. 51,
living standards, notably). Given the No. 4, ZBW Leibniz Information Centre for
interdependencies in the monetary union, for Economics, Springer, pp. 214-19.
Eurozone members that would mean exiting the Buiter, Willem (2015), There is a way past the
Eurozone. Insanity over Greece, Financial Times, 21 June.
Caldera, Alda, de Serres, Alain, and Yashiro Naomitsu
(2016), Structural reforms in difficult time: The
REFERENCES priorities, Voxeu.org, 4 September
Begg, Iain (2016), Evolution of EU Economic (http://voxeu.org/article/structural-reforms-
Governance. Digest of recent developments: 1st difficult-times)
semester 2016, blog LSE / UK in a Changing De Grauwe, Paul and Yuemei Ji (2016), Correcting for
Europe (http://ukandeu.ac.uk/wp- the Eurozone Design Failures: The Role of the
content/uploads/2016/07/Evolution-of-EU- ECB, ch. 3 in Erik Jones and Francisco Torres
economic-governance-Iain-Begg.pdf). (eds), Governance of the European Monetary
Begg, Iain, Annette Bongardt, Kalypso Nicoladis and Union. Recasting political, fiscal and financial
Francisco Torres (2015), EMU and Sustainable integration, Abingdon and New York: Routledge,
Integration, Journal of European Integration, 37, pp. 27-42.
7, pp. 803-816. Darvas, Zolt and lvaro Leandro (2015), The
Bini-Smaghi (2016), Governance and Conditionality: Limitations of Policy Coordination in the Euro Area
Towards a Sustainable Framework?, ch. 4 in Erik under the European Semester , Bruegel Policy
Jones and Francisco Torres (eds), Governance of Contribution, Issue 2015/19, Brussels: Bruegel,
the European Monetary Union. Recasting political, November.
fiscal and financial integration, Abingdon and New Delors Committee Committee for the Study of
York: Routledge, pp.43-56. Economic and Monetary Union (1989), Report on
Bongardt, Annette (2015), The Transformation of the Economic and Monetary Union in the European
Single European Market: from the Lisbon Strategy Community (Delors Report), Luxembourg: EC
to Europe 2020, chapter 40 in J. Magone (ed.), Publications Office.
Handbook on European Politics, London and New Draghi, Mario (2016), On the importance of policy
York: Routledge, 746-763. alignment to fulfil our economic potential, 5th
Bongardt, Annette And Francisco Torres (2009), Is Annual Tommaso Padoa-Schioppa lecture at the
the EU model viable in a globalized world?, ch.12 Brussels Economic Forum 2016, Brussels, 9 June
in Pompeo della Posta, Amy Verdun and Milica (http://www.ecb.europa.eu/press/key/date/2016
Uvalic (eds), Globalization, Development and /html/sp160609.en.html)
Integration a European Perspective, Basingstoke: European Central Bank (2015), Progress with
Palgrave Macmillan, pp. 215-231. structural reforms across the Euro Area and their
Bongardt, Annette and Francisco Torres (2010), The possible impacts, Economic Bulletin 2. Frankfurt:
Competitiveness Rationale, Sustainable Growth ECB, pp.59-71.
and the Need for Enhanced Economic European Commission (2010), Europe 2020. A
Coordination, Intereconomics Review of strategy for smart, sustainable and inclusive
European Economic Policy, vol. 45, no. 3, pp. 136- growth. COM (2010) 2020 final, Brussels: 3 March.
141. European Commission (2014), Taking stock of the
Bongardt, Annette and Francisco Torres (2012), The Europe 2020 strategy for smart, sustainable and
Lisbon Strategy, chapter 33 in Erik Jones, Anand inclusive growth. Annexes to the communication
Menon, Stephen Weatherill (eds), The Handbook from the Commission to the European Parliament,
on the European Union, Oxford: Oxford University the Council, the European Economic and Social
Press, pp. 469-483. Committee and the Committee of the Regions,
Bongardt, Annette and Francisco Torres (2013), Brussels: European Commission, COM(2014) 130
Forging sustainable growth: The issue of final/2, 19 March.
convergence of preferences and institutions in European Commission (2015a), Communication from
EMU, Intereconomics Review of European the Commission to the European Parliament, the
Economic Policy, vol. 48, no. 2, pp.72-77. Council and the European Central Bank on steps
Bongardt, Annette and Francisco Torres (2016a), towards Completing Economic and Monetary
EMU and Structural Reform, Chapter 3 in Leila Union, Brussels, COM (2015), 600 final, 21
Simona Talani (ed.), Europe in Crisis, Palgrave, pp. October.
37-64.

66
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 66
European Commission (2015b), Proposal for a Sapir, Andr (2006), Globalization and the reform of
regulation of the European Parliament and the European social models, Journal of Common
Council on the establishment of the Structural Market Studies, 44 (2), pp. 369-390.
Reform Support Programme for the period 2017 Sapir, Andr., Philippe Aghion, Giuseppe Bertola,
to 2020 and amending Regulations (EU) No Martin Hellwig, Jean Pisani-Ferry, Dariusz. Rosati,
1305/2013 (SWD(2015) 750 final, Brussels, 26 Jos Vials and Helen Wallace (2005), An Agenda
November, COM (2015) 701 final, 2015/0263 for a Growing Europe. Making the EU Economic
(COD) System Deliver, Oxford: Oxford University Press.
(http://ec.europa.eu/europe2020/pdf/2016/ags2 Schffer, Sebastian and Florian Baumann (2011),
016_structural_reform_support_programme.pdf Single Market Act Single Act for the Internal
Gros, Daniel (2015), Puerto Rico and Greece: A Tale Market or Revitalisation for the Whole Project?,
of Two Defaults in a Monetary Union, CEPS High- CAP perspectives 1 (March), Munich: Center for
Level Brief, Brussels: CEPS, 18 June (updated 30 Applied Policy Research.
June 2015). Soskice, David and David Hope (2016, The Eurozone
Gros, Daniel and Felix Roth (2012), The Europe 2020 and Political Economic Institutions, Annual
Strategy. Can it maintain the EUs competitiveness Review of Political Science, Vol. 19, pp.163-185.
in the world?, Brussels: Centre for European Policy Tilford, Simon and Philip Whyte (2010), The Lisbon
Studies. Scorecard X. The Road to 2020, London: Centre for
Jones, Erik and Francisco Torres (2015), Using European Reform.
Interdisciplinary Analysis to Shape a Policy Torres, Francisco (2008), The long road to EMU, Ch
Agenda, Journal of European Integration, 37, 7, 9 in S. Baroncelli, C. Spagnolo and S. Talani (eds),
875-880. Back to Maastricht. Obstacles to constitutional
Koenig, Nicole (2015), A Differenciated View of reform within the EU Treaty (1991-2007),
Differentiated Integration, Policy paper 140, Newcastle: Cambridge Scholars Publishers, 196-
Berlin: Jacques Delors Institut. 220.
Mongelli, Francesco, Ettore Dorruccci, Demosthenes Torres, Francisco (2015), Political Economic and
Ioannou and Alessio Terzi (2016), Responses to Monetary Union: EU and Domestic Constraints,
the Euro Area Crisis: Measuring the path of chapter 41 in J. Magone (ed.), Handbook on
European Institutional Integration, in Erik Jones European Politics, London and New York:
and Francisco Torres (eds), Governance of the Routledge, 764-777.
European Monetary Union. Recasting political, Wyplosz, Charles (2009), Rformes structurelles e
fiscal and financial integration, Abingdon and New politiques macroconomiques, Travail e Emploi,
York: Routledge, pp.57-74. no 118 (April-June), pp. 43-47.
OECD (2015), Economic policy reforms 2015: Going
for growth, Paris: OECD.
Pasimeni, Paulo (2011), The Europe 2020 index,
Social Indicators Research, 110 (2), pp. 613-635,
Springer Netherlands.
Pasimeni, Francesco and Paulo Pasimeni (2016), An
Institutional Analysis of the Europe 2020
Strategy, Social Indicators Research, Volume 127
(3) (July), pp. 10211038, Springer Netherlands.
Pelkmans, Jacques (2006), European Integration:
Methods and Economic Analysis, Essex: Prentice
Hall, 3rd ed.
Pisani-Ferry, Jean (2014), How to climb a mountain
with both hands tied, VoxEU.org. 7 November.
Radaelli, Claudio M. (2003), The Open Method of
Coordination: A New Governance Architecture for
the European Union?, Swedish Institute for
European Policy Studies, Report No. 1, March.
Roland, Gerard (2004), Understanding institutional
change: Fast-moving and slow-moving
institutions, Studies in Comparative International
Development 38 (4), pp. 109-131.
Sachs, Jeffrey (2012), The price of civilization. London:
Vintage.

67
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 67
Public Policy Portuguese Journal
2016, Volume 1, Number 1, pp. 68-76
Universidade de vora, UMPP - Unidade
de Monitorizao de Polticas Pblicas
www.umpp.uevora.pt

Territorial impact assessment and public policies: The


case of Portugal and the EU

Eduardo Medeiros
Centro de Estudos Geogrficos (CEG) Institute of Geography and Spatial Planning (IGOT)
emedeiros@campus.ul.pt

ABSTRACT
This article tries to summarize the developments that occurred in the implementation of Territorial Impact
Assessment procedures, both in the European Union, and in Portugal. Briefly, our critical analysis is focused on
the growing importance of the use of a more holistic and territorial perspective in evaluating the impacts of
public policies. Yet, despite all the positive steps given in the implementation of Territorial Impact Assessment
procedures, namely by some European Institutions, there is still a long way to go in order to establish a solid
ground in its full exploitation. At the same time, the Policy Impact Assessment procedures in Portugal merely
follow the EU orientations and legislation, with the exception of the Environmental Impacts Assessment
procedures. In a similar way, the Territorial Impact Assessment procedures are not yet implemented in the
existing legislation, and are mostly disregarded by the existing National and Regional National Spatial Policy
Programmes, with some honourable exceptions.

Keywords: Territorial Impact Assessment, Public Policies, Territorial Development, ESDP, ESPON
JEL Classification: R50, R53, R58.

1. INTRODUCTION expected to create potential impacts in several


of the previously mentioned dimensions.
It goes without saying that public financed
policies should be subject to sound and At the same time, the inclusion of the goal to
continuous public scrutiny, namely on the value achieve territorial cohesion, in the Lisbon
added of the associated investments. Such claim Treaty, in 2010 (see EC, 2010), alongside the
becomes even more evident when such long-standing goals of economic cohesion and
investments are expected to produce not only social cohesion, opened a new window of
immediate results, but mainly medium and long- opportunity to place the territorialisation of
term impacts, in one or more dimensions of policies in the political agenda, both in the EU
territorial development. Indeed, in our view, the institutions and in some Member-States (see
general and mainstream vision that policies Figueiredo, 2010). Moreover, the increasing
should contribute to economic development, levels of globalization and economic
should be replaced by a more holistic approach, interconnections between territories present
which takes into account several other new challenges to the EU, national, regional, and
dimensions of development, such as: (i) social local institutions, which have been augmenting
cohesion; (ii) environmental sustainability; (iii) the sophistication levels of territorial planning
territorial governance, and (iv) spatial planning. and development strategies (see Neto, 2006).
Under this view, the use of Territorial Impact Consequently, the assessment of Policies should
Assessment (TIA) procedures presents a major make use of more complete, holistic and
advantage to assess relevant evaluation techniques and tools, like
projects/programmes/policies, which are the TIA procedures.

68
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 68
Concomitantly, and to better understand how The MEANS volume 3 is then dedicated to
TIA procedures have gained ground against the presenting a selection of 23 evaluation
existing impact assessment (IA) tools, both techniques and tools, applicable to the
within the European Union (EU) and Portugal, evaluation of socioeconomic programmes. As
our article is organized in four different topics expected, most of them can be used to estimate
and a conclusion. Synthetically, the first topic the impacts of policy interventions, directly or
presents a brief historical narrative on the indirectly, through the collection of qualitative
affirmation of IA procedures in the process of data or the treatment of quantitative
evaluation of the EU structural and cohesion information. Nevertheless, few are specifically
policies. The second topic addresses the genesis made to measure its impacts. An exception is
of the TIA procedures within the EU institutions, the HERMIN model, which was specially
and mainly through the support given by the constructed to estimate the macro-economic
ESPON Programme. Subsequently, a third topic impacts of Structural Funds (EC, 1999b: 29).
is then dedicated to explore the rise of such TIA Additionally, two additional tools are mentioned,
procedures and the existing barriers in which are able to detect policy impacts. Firstly,
implementing them in the EU space. Finally, a the concept mapping of impacts technique is
last topic covers the Portuguese case, namely in explained as a tool which is used to define the
the adoption of TIA procedures by the national effects that are to be evaluated and, in cases
legislation, and by the Spatial Planning Strategic where there are multiple objectives and where
Instruments, at both national and regional these have not yet been firmly established
administrative levels. overtime. Secondly, the impact matrix is
presented as a tool which provides a simplified
2. PUBLIC POLICIES AND IMPACT ASSESSMENT: FROM overview of a complex programme. It basically
A SOCIOECONOMIC TO TERRITORIAL PERSPECTIVE? consists of grouping together the different
components of the programme into between
There is an increasing awareness that public
ten and twenty sub-sets (the lines of the matrix)
investments need to be better scrutinized, in
and of clarifying the main expected impacts (the
order to evaluate their relevance, effectiveness
columns of the matrix) (see EC, 1999b: 39).
and efficiency. Within the EU, the Directorate
General for Regional Policy has made the The second milestone in the production of
process of policy evaluation an integral part of similar mainstream studies, on policies and
each stage of the operationalization of the EU programmes evaluation by the EC, came with
structural funds, since 1988. This recognition of the release of the EVALSED set of documents, in
the importance of evaluation process by the 2008, as a major resource for the evaluation of
European Commission (EC) triggered the EU funding policies for socioeconomic
development of evaluation methodologies, development (see EC, 2008). Yet, once again,
which were published in the MEANS Programme from the myriad (33) of proposed evaluation
six volumes, in 1999 (see EC, 1999). tools and techniques, only a handful was centred
in assessing the impacts of policies. These
Throughout the text of these published MEANS
include the: (i) environmental impact
volumes the policy evaluation notions of results
assessment; (ii) the gender impact assessment;
and impacts are clearly distinguished, while
and (iii) the introduction to impact assessment 1
there is a recognition that both are necessary to
and 2.
provide sound feedbacks arising from actions
underway, in order to: (i) verify the degree of Going back to the EVALSED main guide report,
satisfaction of public needs; (ii) improve the notion of impact is, once again, clearly
interventions; and (iii) provide support to separated from the notions of outputs and
accountability, liability and responsibility results, as did the MEANS study (Fig. 1). In
processes. Yet, while results can be related to short, impacts represent the consequences of
the direct consequences of policy interventions the policy or programme beyond its direct and
(for example the amount of road kilometres immediate interaction with the beneficiaries,
built), the notion of impacts is associated with and the produced changes in some dimensions
the observed change, over a certain period of of development. In other words, impacts can be
time, that is imputable to a given policy seen as the effects of a
intervention, which can also be called net effect, policy/programme/project intervention in a
or additional effect. (EC, 1999: 110). medium-long term period of time, which can go
from three to more years, depending on the
type of policy intervention.

69
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 69
FIGURE 1. THE POLICY EVALUATION SCHEME

Source: EC, 2008:42

More recently, in 2013, this (EVALSED) study was impact assessment is never mentioned along
updated, and proposed a renovated approach to the text.
the notion of impact. More precisely, it
suggests that impact should no longer be
regarded as the long-term evolution of a
3. TERRITORIAL IMPACT ASSESSMENT (TIA): THE
NEW KID ON THE BLOCK IN POLICY EVALUATION?
statistic which may or may not have been
influenced by policy, but the contribution of the As seen in the previous topic, the territorial
policy to change (EC, 2013: 12). As such, the dimension was mostly absent from the
notion of impact is now defined by the EC as mainstream EC documents on policy evaluation.
the change that can be credibly attributed to an Indeed, while the MEANS and the EVALSED put
intervention (EC, 2013: 103). Needless to say emphasis in the socioeconomic aspects of
that this clarification in the understanding of the development, the EC guidelines on impact
term impact is a minor issue in its conceptual assessment added the environmental dimension
discussion, as the change attributed to a policy to the mix. Fundamentally, the presented
intervention requires time (some years at least). rationale follows the EC politically correct
Hence, both views (results in the longer term triangle of the European Spatial Development
and the change due to an intervention) are both Perspective (ESDP) towards a more balanced and
related and appropriate, in our view. sustainable spatial development (Fig. 2).
Nevertheless, and unlike what this latter
In the meantime, and amongst many other
document (ESDP) proposes, namely in
documents produced by the EC on impact
establishing territorial impact assessment (TIA)
assessment (see EC, 2012; Mouqu, 2012; EC,
procedures as an instrument for spatial
2009b; EC, 2006), a set of IA guidelines were
assessment of large infrastructure projects (see
presented in a first version document, in 2005
EC, 1999c: 28), the EC guidelines on impact
(EC, 2005), which was updated in 2009 (EC,
assessment are vague in the need to make use
2009). These guidelines intend to ensure
of TIA tools to assess EU financed policies.
consistency in making use of the IA procedures
across the EU institutions and Member-States. In Pragmatically, the ESDP can be regarded as the
simple terms, they propose following a set of first milestone to establish a solid foundation in
normative steps, from consultation of interested the need to make use of TIA procedures, not
parties, to problem definition, objectives and only when evaluating the implementation of
policy options identification, and the analysis of large infrastructural projects, but also when
the policy impacts. However, as observed in the evaluating transport, cross-border, and water-
MEANS and EVALSED studies, the impact management projects. Also, this document
analysis is always associated with the need to suggests that Member-States should intensify
assess the likely economic, social and the exchange of experience on territorial impact
environmental impacts, and the term territorial assessments and further develop national
regulations and instruments (EC, 1999c: 45).

70
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 70
FIGURE 2. TRIANGLE OF OBJECTIVES

Source: EC, 1999c:10

Notwithstanding, the ESPON Programme, spatial approach to analyse impacts, namely by


established in 2002, can be seen as the major taking into account different: (i) administrative
pillar in putting the TIA procedures on the or political levels (macro-regional, national,
process of the EU Policies evaluation map. regional or local level); (ii) types of regions
Indeed, right from the first ESPON Programme, (border regions, rural areas, coastal areas) and
several TIA tools were produced, like the (iii) functional areas (river basins, labour market
TEQUILA and the STEMA, while the following areas, service areas) (EC, 2013b:2).
Programme (2007-2014) saw the production of However, in our view, this document has a poor
the TEQUILA2, the EATIA and the ARTS rationale and basically follows the conclusion
methodologies. Along this path, many other from two recent ESPON reports: the ESPON
ESPON studies were published with the goal of ARTS (2012) and the ESPON EATIA (2013).
evaluating the effects and/or the impacts of Fundamentally, our major concern in both
several EU financed policies (see Medeiros, reports is the lack of vision on what is in fact the
2013, 2014, 2014b). Yet, most of them did not territorial dimension of policies. More
make any substantial methodological specifically, the EATIA proposes the focus on
breakthroughs. four major analytic dimensions (economy,
Following from all the gathered experience in society, environment, and administration), while
elaborating and experimenting with TIA tools the ARTS is mostly centred on three: natural
and procedures, in 2012, the ESPON Programme environment, regional economy, and society and
released a practical guidance for policymakers people.
and practitioners based on the contributions Conversely, to our mind, although a TIA should
from ESPON projects and the EC experiences on adapt to the specificities and idiosyncrasies of
policy evaluation (see ESPON, 2012). However, the evaluated policy/programme/project, the
as can be seen in the tile of this report, the main general approach should take into account five
attention of the analysis was put on the ex-ante main dimensions of territorial development: (i)
evaluation of EU directives. Even so, the release economic competitiveness, (ii) social cohesion,
of such a document is, in our perspective, a (iii) environmental sustainability, (iv) territorial
fundamental step to solidify the position of the governance, and (v) spatial articulation (see
TIA procedures within the accepted policy Medeiros, 2014). Yet, when considering the
evaluation procedures by the EC. In the evaluation of the EU Cohesion Policy, the
following year, this entity released an analytic dimensions should be related with the
operational guidance on how to assess regional concept of territorial cohesion (see Medeiros,
and local impacts within the Commission Impact 2014b), whilst, the assessment of territorial
Assessment System. In this document, TIA is impact of cross-border cooperation programmes
projected as a technique which uses a more

71
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 71
should be based on the five main dimensions of and local aspects. More recently, the CoR (see
the barrier effect concept (see Medeiros, 2015). COR, 2013) reinforced the cooperation with the
To conclude, the consolidation of the TIA European Commission on making use of TIA, by
procedures within the EU has come a long way dedicating three administrators of the Unit E2
since the ESDP, and is still on a process of (Subsidiarity Network, Europe 2020 Platform,
cementation since, in our view, the existing Covenant of Mayors, European Grouping of
official EU documents on this subject show Territorial Cooperation - EGTC) to assess the
several weaknesses. Here, the lack of knowledge impacts of EU directives, mainly at the ex-ante
on the meaning of the notion of territory has phase of evaluation.
provoked a myriad of different views and It is due to this CoR initiative in assessing
approaches in the use of TIA tools and territorial impacts that we were called to
procedures. For one, the proliferation of the use present the TARGET_TIA tool (see Medeiros,
of the Anglo-Saxon term spatial instead of 2014), which was built to be both simple to use
territory brings some turbulence to this and relevant, unlike the initial TIA technique
discussion. Furthermore, the lack of available adopted by the CoR (the Quick Check TIA). As
statistics associated with some crucial the present ESPON director (Peter Mehlbye) said
dimensions of the territorial development in a CoR workshop3, this Quick Check TIA tool is
concept, namely in the environmental basically a dirty TIA, which has the main
sustainability and the territorial governance advantage of being quick and simple to use in
ones, deters their selection as major analytic ex-ante impact analysis. But as one Deputy Head
components on the existing TIA tools. of the Analysis Unit in the Directorate-General
for Regional Policy of the EC (Lewis Dijkstra) put
it, in the same workshop, the ex-post TIA
4. THE RISE OF TIA: FROMA DIRTY TO A RELEVANT
requires a more relevant and robust tool.
POLICY EVALUATION PROCEDURE WITHIN THE EU?
Besides the EC and the CoR, the European
The two previous topics opened a window to the
Economic and Social Committee (EESC) is also in
rise of the TIA procedures in the process of
the process of establishing a Policy Evaluation
policies/programmes evaluation, mainly within
Unit, where the TIA procedures are supposed to
the EU context. In concrete terms, it was
have a central role. Conversely, the European
possible to conclude that such procedures are
Parliament (EP) has risen the interest in
recent and are still running in experimental
promoting ex-ante and ex-post evaluation
waters. However, they are also rapidly emerging
procedures of EU investments. Indeed, the EP
amongst the overall EC IA procedures. Regarding
has several officials working in such processes.
the latter, the EC clarifies that they should be
Briefly, in June 2011, the EP adopted an own-
applied when Commission Initiatives (legislative
initiative report (Niebler report) on
proposals, non-legislative initiatives that define
guaranteeing independent impact assessment,
future of policies, and implementing and
which welcomed the on-going development of
delegated acts) are expected to have significant
the impact assessment process within the EU
economic, social and environmental impacts1.
institutions, as an important aid to better law-
Once again, this perennial triangle (economy, making during the whole policy cycle. The
society and environment) guides the rationale of following year, with a view to strengthen the
the EC evaluation interventions, which also capacity of the parliamentary committees to
oriented the 'Common Approach' set of basic engage in ex-ante work of various kinds, the
principles for impact assessment throughout the Parliament's Bureau established a dedicated
legislative process, agreed in November 2005, by Directorate for Impact Assessment and
three EU institutions (European Parliament, the European Added Value (EP, 2015:3).
Council and the Commission)2. Additionally, the
In synthesis, there is a wide and increasing
Committee of the Regions (CoR) initially took
interest by the IA procedure within the EU
responsibility to help the EC in improving the
institutions. Yet, the EC still leads the way in this
subsidiarity and proportionality in IA procedures,
process. Indeed, it is estimated that between 25
and also to reinforce the analysis of its regional
and 135 ex-ante impact assessments have been
examined by the EC each year since 2007, with a
1 http://ec.europa.eu/smart- bit more than 700 in all produced since then. For
regulation/impact/index_en.htm instance, in 2013, the EC examined 97 IAs, while
2 http://ec.europa.eu/smart-
regulation/impact/ia_in_other/docs/ii_common_approach
_to_ia_en.pdf 3Taking stock of the Territorial Impact Assessment in the
Committee of the Regions - 18 June 2015.

72
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 72
in 2014 only 25 were examined. These IAs public and private projects in the environment
should follow a standard format in analysing the dimension - no additional legislation enforces
likely economic, social and environmental the use of IA procedures in Portugal.
impacts of what is being evaluated, following the Accordingly, there is not a single piece of
existing IA guidelines, which have been in the national legislation focused in forcing the use of
process of revision since 2014 (EP, 2015). TIA procedures when evaluating policies,
In parallel, the EP has been arguing for a programmes and projects. In effect, there is not
continuous improvement process of IA, as can a tradition in policy impact evaluation in
be seen in the annual resolution on Better Law- Portugal, which only recently devoted the
Making, adopted in February 2014. Amongst independent practice of evaluation in the budget
others, the EP calls for a wider inclusion of the policy, in its short-term and medium-term
territorial dimension of proposals, a wider and macroeconomic dimension. As one report
comprehensive range of potential impacts, and concludes, the Portuguese economic panorama
the improvement of the consistency between does not favour the implementation of such
impact assessment published by the EC and the evaluation processes (CFP, 2015).
contents of the legislative proposal as adopted Moreover, the National Spatial Policy
by the College of Commissioners (EP, 2015). In Programme (NSPP or Programa Nacional da
view of all these trends, we would find it illogical Poltica de Ordenamento do Territrio PNPOP
that the revision of the EC IA guidelines would in Portuguese), which was designed to analyse
erase the presently rationale and perspective of the national territory and to be a spatial
the IA implementation, namely by replacing the planning, and territorial development tool (see
long invoked dimensional triad (economy, OECD, 2008), makes use of the term territorial
society, environment) with the more holistic impacts just once, along its 234 pages, and does
perspective associated with the TIA procedures, not even mention the notion of impact
which not only invoke those three mainstream evaluation. On the other hand, the continental
dimensions of development, but also include Regional Spatial Policy Programmes - PROTs
two other fundamental dimensions: territorial (North - Norte, Centre - Centro, Lisbon
governance and spatial articulation. Metropolitan Area - rea Metropolitana de
Lisboa, Alentejo, and Algarve - NUTE2) make use
5. TERRITORIAL IMPACT ASSESSMENT: A HIDDEN of these terms in a varied way.
PROCEDURE OF PUBLIC POLICIES IN PORTUGAL? In synthesis, all Portuguese PROTs make
When it comes to the IA of policies and predominantly use of the term environmental
programmes procedures, Portugal, as a EU impacts and most neglect the use of territorial
Member-State, closely follows the EU legislation impact assessment procedures in their text. The
and directives, namely when it comes the exception here are the PROT Centro and the
operationalization of the EU structural and PROT Alentejo, which make several references
cohesion funds. As such, the extinct national EU to the need to promote TIA processes, and in
Cohesion Policy observatory (Observatrio do particular studies which cover the impacts of the
QREN) provided a Portuguese translation to all regional spatial planning, and the territorial
the EVALSED documents in its Web Page. Apart dynamics (Table 1). On the opposite side, the
from these mandatory processes, and the remaining PROTs have no clear mention to the
legislation related to the application of the concept of TIA, which might suggest that such
Environmental Impact Assessment (EIA) (Law evaluation procedures are still unknown to many
n151-B/2013) - which is based on the EEC key regional development administrative
Directive n85/337 (Council of 27 June of 1985), structures in Portugal.
and which aims to evaluate the effects of certain

73
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 73
TABLE 1. MAIN REFERENCES OF IMPACT ASSESSMENT ON CONTINENTAL PORTUGUESE REGIONAL SPATIAL POLICY PROGRAMMES
NUTE2 Impact Assessment (IA) Territorial Impact Assessment (TIA)
- Mentions several times the need for Environmental (pollution,
coastal areas, landscape, climate change) IA namely related with
North diffuse urbanization and urban traffic - No specific references to TIA
- Mentions a few times the need for assessing economic, social,
and globalization impacts
- Mentions several times the need for environmental IA
- Makes reference (more than once) to the
procedures, namely when there are construction of transport
need for territorial impact procedures
and energy infra-structures, in the Agriculture activity, and on
Centre - Mentions several times the need to study
climate change
policy impacts on spatial planning and
- Mentions a few times the notion of economic and social
territorial dynamics
impacts in local communities
- No specific references to TIA
- Mentions several tines the notion of Environmental IA (energy
Lisbon use, quality of life, transports, pollution, and industry)
- Mentions the need to promote spatial
MA - Mentions a few times the need to assess economic and urban
planning to reduce the negative impacts of
impacts of Policies
urban sprawl
- Uses the term territorial impacts several
times with the need to promote integrated
sectoral policies
- Mentions the need to improve
administrative decisions which have direct
impact in the regional spatial planning
- Mentions several times the need to promote environmental IA
process and its dynamics
(protecting nature, ecosystems, water, soil, climate change,
- Mentions the need to study the impacts of
pollution, landscape, traffic, heritage, health and desertification)
policies in generating a more balanced
Alentejo procedures
territory and the emergence of cities and
- Mentions a few times the need to study impacts on energy
main urban centres
supply, the functioning of the Alqueva dam, the economic and
- Mentions the need to study the impacts on
social impacts of large scale infrastructural and touristic projects
spatial planning and landscape of the
implementation of wine and olive
production
- Mentions the need to assess the potential
impacts associated with the construction of
the new Lisbon airport
- Mentions several times the need to promote environmental IA
- No specific references to TIA
(landscape, ecosystems, wind farms, noise from quarries,
industrial areas, historical heritage )procedures
- Mentions the need to assess impacts
Algarve - Mentions a few times the need to promote social and
related with spatial planning related
economic IA studies on the EU enlargement and globalization
processes (execution of municipal regional,
processes
and integrated plans)
Source: Author compilation (Data: CCDRALG, 2007; CCDRALE, 2010; CCDRNOR, 2009; CCDRCEN, 2011; CCDRAML, 2002)

intervention, within some EU mainstream


6. CONCLUSION strategic documents, as the ESDP, opened the
As observed in the article, TIA procedures are way to the elaboration of more complete and
relatively recent evaluation tools within the vast holistic IA tools, at least at the theoretical arena.
spectrum of evaluation tools and techniques, Indeed, it was only after the establishment of
used to evaluate the relevance, effectiveness, the first ESPON Programme, in 2002, that the
efficiency, and ultimately the impacts of Public first robust and tested TIA procedures were
Policies on the territorial development. They are presented to the general public. Yet, in our
recent because the economic dimension of perspective, all of them present substantial
policy evaluation was always omnipresent, not shortcomings, which have been polished
only because of data availability, but also overtime by some recent TIA tools, elaborated in
because of the strong position of the economists the second ESPON Programme.
in this particular scientific field of policy
The main problem, in our view, is that, after this
evaluation.
maturity process, the ESPON related TIA
Notwithstanding, the recognition of the procedures do not yet include crucial analytic
territorial dimension as a key element of policy dimensions of territorial development, such as

74
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 74
territorial governance and territorial articulation. from all interested stakeholders (the role of
Yes, it is true that a shortage of statistical data policymakers) that TIA tools are not only
related to such dimensions greatly constrains necessary, but need time and resources to
this approach. However, our own personal produce relevant results, which could have
experience in using a more complete and tangible effects in improving the elaboration and
relevant TIA tool (TARGET_TIA), in assessing the the implementation of sound public policies. As
territorial impacts of the EU Cohesion Policy in anticipated, this scenario still requires a long
Iberian Peninsula, showed that it is possible to period of time to be consolidated, and a
give this decisive step in transforming press-of- consistent and patient educational path, which is
a-button yet irrelevant ESPON TIA tools into not an easy task, in a context where
more complete, useful and relevant ones. policymakers are pressured to summon for quick
In accepting all this, though, it is worth raising results.
two points in response to existing barriers in
elevating the TIA procedures to their own right ACKNOWLEDGEMENTS
position as the Queens of Impact Assessment
The authors wish to thank Graa Rnning for an
procedures: for one, EU, national and regional
English revision and the DG Territrio for
Politicians and Officials need to bear in mind
providing us with some information regarding
that there is not such a thing as pain-free or
the existing legislation on impact assessment
simple to use TIAs, and that relevant results
procedures in Portugal.
require the use and treatment of a vast and
complete set of qualitative and quantitative
information. Secondly, the academic community, REFERENCES
which is strongly related with territorial analysis, CCDRALE (2010) Plano Regional de Ordenamento do
has to make additional efforts to educate those Territrio - PROT Alentejo, Resoluo do Conselho
politicians and officials on the notion of territory, de Ministros n. 53/2010, [online]. URL
which is not this simplified triangle of economy http://webb.ccdr-
+ society + environment, as many EU a.gov.pt/docs/ordenamento/RCM_53-
mainstream documents try to sell us. 2010_2Ago.pdf [accessed 23 September 2015].
Finally, the review of the Portuguese case leads CCDRALG (2007) Plano Regional de Ordenamento do
us to conclude that, with some honourable Territrio - PROT Algarve Um territrio com
exceptions, TIA procedures are still very much an futuro, Volume I - Plano, Comisso de
unknown concept by the national and regional Coordenao e Desenvolvimento Regional do
authorities responsible by the elaboration and Algarve, Faro.
the monitoring of Spatial Planning Strategic CCDRAML (2002) Plano Regional de Ordenamento do
Programmes. Here, a more challenging approach Territrio da rea Metropolitana de Lisboa - PROT
would probably require the existence of a AML, Comisso de Coordenao da Regio de
legislative vein in the mandatory use of TIA Lisboa e Vale do Tejo, Lisboa.
procedures, at the national and regional levels, CCDRCEN (2011) Plano Regional de Ordenamento do
when implementing public policies with Territrio - PROT da Regio Norte, Proposta de
potential territorial impacts. Yes, it is true that, Plano, Comisso de Coordenao da Regio do
by being a EU Member-State, Portugal needs to Centro, Coimbra.
implement the Strategic Environmental CCDRNOR (2009) Plano Regional de Ordenamento do
Assessment (SEA 2001/42/EC), the Territrio - PROT do Centro, Proposta de Plano,
Environmental Impact Assessment (EIA - Comisso de Coordenao da Regio do Norte,
85/337/EEC) directives, and also to follow Porto.
Impact Assessment procedures. However, in our CFP (2015) Avaliao dos impactos de programas de
view, the simple implementation of a relevant poltica econmica. Apontamento do Conselho
TIA procedure could replace all these das Finanas Pblicas n. 1/2015, Maio de 2015,
instruments as the TIA encompasses the main Conselho das Finanas Pblicas, [online]. URL
dimensions of territorial development. http://www.cfp.pt/wp-
content/uploads/2015/05/Apontamento-1-
In conclusion, it is with enormous expectations
2015.pdf [accessed 23 September 2015].
that we will follow the next phase through which
COR (2013) Assessment on territorial impacts,
the TIA procedures will inevitably have to pass
CDR834-2013_00_00_TRA_INFO, Committee of
through: the crystallization phase. Here, we look
the Regions, Brussels.
forward to see a production of more robust and
DGOTDU (2007) Programa Nacional da Poltica de
relevant TIA tools (the role of the scientific
Ordenamento do Territrio (PNPOT), Relatrio
community), and to verifying a better awareness
final - 07-09-2007, DGOTDU, Lisboa.

75
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 75
EC (1999) MEANS Evaluation socio-economic 2013/1/17, Final Report, Version 30/07/2012,
programmes Evaluating Design and Luxemburg.
Management, Volume 1 European ESPON EATIA (2013) ESPON and Territorial Impact
Commission, Luxembourg. Assessment, Targeted Analysis, 2013/2/9, Final
EC (1999b) MEANS Evaluation socio-economic Report, Version 29/06/2012, Luxemburg.
programmes Principal evaluation techniques and Figueiredo, A. M. (Coord.) (2010) A Territorializao
tools, Volume 3 European Commission, de Polticas Pblicas em Portugal, Relatrio de
Luxembourg. Base, Instituto Financeiro para o Desenvolvimento
EC (1999c) ESDP - European Spatial Development Regional, Lisboa
Perspective Towards Balanced and Sustainable Medeiros, E. (2013) Assessing territorial impacts of
Development of the Territory of the European the EU Cohesion Policy: the Portuguese case,
Union, European Commission, Luxembourg. European Planning Studies, 22 (9): 1960-1988.
EC (2005) Impact Assessment Guidelines, European Medeiros, E. (2014) Territorial Impact Assessment
Commission, Brussels. (TIA). The process, Methods and Techniques, (ed.)
EC (2006) Indicative Guidelines on Evaluation Centro de Estudos Geogrficos, ZOE, Lisbon, 126p.
Methods: Monitoring and Evaluation Indicators. (ISBN - 978-972-636-246-3).
Working Document No. 2, August 2006, European Medeiros, E. (2014b) Assessing Territorial Impacts of
Commission, Brussels. the EU Cohesion Policy at the Regional Level: the
EC (2008) EVALSED - The resource for the Evaluation Case of Algarve, Impact Assessment and Project
for Socio-Economic Development, European Appraisal, 32(3), 198212.
Commission, Brussels. Medeiros, E. (2015) Territorial Impact Assessment
EC (2009) Impact Assessment Guidelines, 15 January and Cross-Border Cooperation, Regional Studies,
2009, European Commission, Brussels. Regional Science, 2(1): 95-115.
EC (2009b) Guidance for assessing Social Impacts Mouqu, D. (2012) What are counterfactual impact
within the Commission Impact Assessment system, evaluations teaching us about enterprise and
Ref. Ares(2009)326974, 17 November 2009, innovation support?, DG for Regional and Urban
European Commission, Brussels. Policy Evaluation and European Semester Unit,
EC (2010) Lisbon Treaty. Official Journal of the European Commission, Brussels.
European Union C83, Volume 53, 30 March, Neto, P. (2006) Territrio e Desenvolvimento
Brussels. Econmico, Instituto Piaget, Coleco Economia e
EC (2012) Measuring the impact of changing Poltica, Lisboa.
regulatory requirements to administrative cost OECD (2008) OECD Territorial Reviews - Portugal,
and administrative burden of managing EU Organisation for Economic Co-operation and
Structural Funds (ERDF and Cohesion Funds), July Development, Paris.
2012, European Commission, Brussels.
EC (2013) EVALSED - The resource for the Evaluation
for Socio-Economic Development, September
2013, European Commission, Brussels.
EC (2013b) Assessing territorial impacts: Operational
guidance on how to assess regional and local
impacts within the Commission Impact
Assessment System, Commission Staff Working
Document, 17.1.2013 SWD 3 Final, European
Commission, Brussels.
EP (2015) How does ex-ante Impact Assessment work
in the EU?, Briefing - Better Law-Making in Action,
February, 2015 European Parliament, Brussels,
[online].
http://www.europarl.europa.eu/RegData/etudes/
BRIE/2015/528809/EPRS_BRI(2015)528809_EN.pd
f [accessed 23 September 2015].
ESPON (2012) Territorial Impact Assessment of
Policies and EU Directives. A practical guidance for
policymakers and practitioners based on
contributions from ESPON projects and the
European Commission, ESPON, Luxembourg.
ESPON ARTS (2012) Assessment of Regional and
Territorial Sensitivity, Applied Research

76
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 76
Public Policy Portuguese Journal
2016, Volume 1, Number 1, pp. 77-93
Universidade de vora, UMPP - Unidade
de Monitorizao de Polticas Pblicas
www.umpp.uevora.pt

Reforma da poltica de ordenamento do territrio

Miguel de Castro Neto


NOVA Information Management School, Universidade Nova de Lisboa
mneto@novaims.unl.pt

Tiago de Melo Cartaxo


Faculdade de Direito, Universidade Nova de Lisboa (Bolseiro de Investigao da Fundao para a
Cincia e a Tecnologia, I.P.)
004403@fd.unl.pt

Micaela Giestas Salvador


M. Rodrigues & Associados Sociedade de Advogados RL
mg@mrodriguesassociados.pt

Teresa Mouro Ferreira


tmouroferreira@gmail.com

Joo Sousa Rego


Parques de Sintra Monte da Lua, E.M.
joao.rego@parquesdesintra.pt

Sofia Correia Pais


sofiacorreiapais@gmail.com

ABSTRACT
Land-use is a subject involving many interests and various protagonists, from Public Administration to
investors, and including the residents of the cities, towns and villages in Portugal. In recent decades, there has
been varied criticism of the path followed by national policies in this area. Nevertheless, few alterations have
been implemented and few measures have since been developed to change the state-of-the-art. Only with the
reform approved in 2014 was the paradigm of the Portuguese system changed. This article aims to identify the
starting points and analyse the route taken throughout the implementation of this land-use reform, stimulated
by the approval and publication of new general bases of public policy for soil, land-use and town-planning.
Finally, an attempt is made to leave some perspectives about future challenges for both the public and private
sectors, without forgetting the concerns and well-being of citizens, who are the main protagonists in the land
that is to be organized.

Keywords: Land-use, Planning, Urbanism, Territorial governance, State reform

77
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 77
RESUMO
O ordenamento do territrio uma disciplina que envolve muitos interesses e diversos protagonistas, desde a
Administrao Pblica aos investidores, passando pelos cidados que habitam as cidades, as vilas e as aldeias
de Portugal. Nas ltimas dcadas, diversas foram as crticas feitas ao caminho seguido pelas polticas nacionais
nesta matria. Em todo o caso, poucas foram as alteraes implementadas e medidas entretanto
desenvolvidas para mudar o estado da arte. Apenas com a reforma aprovada em 2014 foi alterado o paradigma
do sistema portugus. O presente artigo pretende identificar os pontos de partida e analisar o caminho que foi
traado ao longo da implementao desta reforma do ordenamento do territrio, impulsionada pela aprovao
e publicao das novas bases gerais da poltica pblica de solos, de ordenamento do territrio e de urbanismo.
Por fim, procurar-se- deixar algumas perspetivas sobre os desafios futuros, tanto para o sector pblico como
para o sector privado, sem esquecer as preocupaes e o bem-estar dos cidados, que so os principais
protagonistas no territrio que se procura ordenar.

Palavras-chave: Ordenamento do territrio, Planeamento, Urbanismo, Governana territorial, Reforma do


Estado.

I. ENQUADRAMENTO jurdico dos instrumentos de gesto territorial1 e


o regime jurdico da urbanizao e da
O correto desenvolvimento territorial associado
edificao.2
a um planeamento proactivo, flexvel e capaz de
se adequar s dinmicas sociais, econmicas e A reforma do ordenamento do territrio
ambientais, constitui, sem dvida, uma representou ainda uma marcada aposta na
relevante mais-valia de qualquer modelo de implementao de uma viso de
planeamento do territrio. Neste sentido, desenvolvimento urbano sustentvel, assente na
poder dizer-se que a reforma do ordenamento conteno dos permetros urbanos, na opo
do territrio que foi desenvolvida nos ltimos pela regenerao urbana e reabilitao do
anos em Portugal se assume como um fator edificado, bem como numa estratgia de cidades
determinante para a implementao de uma sustentveis.3
nova e mais forte poltica de competitividade do Tendo por base a aposta numa melhor vivncia
pas e, bem assim, para a prpria e to almejada dos aglomerados urbanos e na sua
reforma do Estado. sustentabilidade, a singularidade do aglomerado
A Lei de Bases da poltica pblica de solos, de urbano, traduzida em elementos histricos
ordenamento do territrio e de urbanismo, nicos, clusters de investigao ou produtos
aprovada pela Lei n. 31/2014, de 30 de maio, nicos, so fatores de valor acrescentado
foi o primeiro passo da reforma que definiu as importantes para o desenvolvimento
pedras basilares do novo modelo de econmico.
planeamento, assente, antes de mais, no Alicerado no mais recente quadro de
princpio de que os planos municipais passaro a financiamento europeu Portugal 2020, o
ser os nicos instrumentos de gesto territorial
diretamente vinculativos dos particulares.
1 Cuja reviso foi aprovada pelo Decreto-Lei n. 80/2015, de
Este novo modelo implica, necessariamente, um
14 de maio.
perodo transitrio alargado, destinado a fazer 2 A dcima terceira alterao ao Decreto-Lei n. 555/99, de
incluir no Plano Diretor Municipal (PDM) os
16 de dezembro, foi aprovada pelo Decreto-Lei n.
vrios planos especiais e setoriais com incidncia 136/2014, de 9 de setembro, tendo ainda sido dada nova
territorial. A centralizao nos PDM e a redao pelo Decreto-Lei n. 214-G/2015, de 2 de outubro.
integrao de todas as normas vinculativas dos 3 A Estratgia Cidades Sustentveis 2020 foi aprovada pela
particulares naquele instrumento poder, agora, Resoluo do Conselho de Ministros n. 61/2015, de 16 de
permitir que os valores a salvaguardar pela julho, publicada no Dirio da Repblica n. 155/2015, Srie
administrao central sejam includos nas I, de 11 de agosto, e procura reforar a dimenso
estratgias municipais, assegurando-se uma estratgica do papel das cidades em vrios domnios, como
maior coerncia do planeamento e mais o desenvolvimento econmico, a incluso social, a
simplicidade nos procedimentos. Tais princpios educao, a participao e a proteo do ambiente. Para
de coerncia e simplicidade nortearam tambm mais informao sobre a matria, cfr. Cristina Cavaco (Ed.)
a elaborao dos regimes de desenvolvimento (2015), Cidades Sustentveis 2020, Lisboa: Direo-Geral do
Territrio, tambm disponvel na pgina da internet da
da Lei de Bases, designadamente o regime
Direo-Geral do Territrio (DGT), em:
http://www.dgterritorio.pt/ordenamento_e_cidades/cidad
es/cidades_sustentaveis_2020/.

78
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 78
futuro das reas urbanas passar, portanto, por tendncias de fundo europeias e mundiais - na
solues integradas de revitalizao, atravs de Unio Europeia, mais de dois teros da
equipas pluridisciplinares, devendo as populao vive em reas urbanas e 67% do
intervenes ter em considerao as realidades Produto Interno Bruto (PIB) europeu gerado
do espao pblico, da gerao de emprego e da em regies metropolitanas - por uma contnua
criao de valor acrescentado. e intensa atrao pelos territrios urbanos, em
O maior desafio estar, a partir de agora, na particular os metropolitanos e costeiros. Na faixa
implementao desta reforma por parte dos costeira que se estende desde a rea
verdadeiros protagonistas do planeamento e do Metropolitana de Lisboa at ao noroeste
desenvolvimento dos territrios: desde as espanhol e ao longo dos territrios algarvios,
entidades pblicas aos investidores, passando reside mais de metade da populao do
necessariamente pelos cidados, que so, na territrio continental.2
verdade, os principais destinatrios de todas as Embora se reconhea o papel das grandes
polticas pblicas. cidades enquanto centros de desenvolvimento,
importa assegurar que esta concentrao no
fica refm da explorao desmedida dos
II. PONTOS DE PARTIDA DA REFORMA recursos naturais, devendo beneficiar os
O ordenamento do territrio, enquanto territrios circundantes, criando sinergias com as
expresso espacial e integrada das diferentes reas urbanas de menor dimenso. De facto,
polticas sectoriais, constitui o instrumento mais do que centros de desenvolvimento, as
fundamental para a coeso territorial. cidades devem assumir-se como motores
Indissocivel do planeamento, o ordenamento dinmicos de economia, conectividade e
do territrio assume uma natureza inovao.
simultaneamente prospetiva e dinmica, capaz
Portugal detm cerca de 22% do seu territrio
de manter a estabilidade ao nvel do modelo de
classificado e integrado no Sistema Nacional de
organizao territorial e de assegurar a
reas Classificadas (SNAC)3, pelo que a
flexibilidade, de incentivar o investimento
valorizao e proteo do patrimnio natural
econmico e, simultaneamente, de garantir a
deve assumir-se como instrumento fundamental
revitalizao dos tecidos urbanos e salvaguarda
para um desenvolvimento econmico capaz de
da respetiva identidade.
reequilibrar as assimetrias regionais, tornando
Neste sentido, constitui a poltica por mais atrativos, no apenas os territrios com
excelncia, visando o desenvolvimento reas classificadas, como os demais territrios
sustentvel, de forma a permitir o equilbrio de baixa densidade. Os instrumentos de gesto
entre o meio ambiente e as atividades humanas, das reas classificadas apresentam-se, pois,
respeitando a vocao prpria de cada territrio, como um dos principais instrumentos de
compatibilizando o desenvolvimento proteo dos valores ambientais e da
socioeconmico com a gesto eficiente dos biodiversidade, e, tambm, como veculo de
recursos naturais, em que o todo existente no promoo e valorizao das atividades
territrio representa mais do que a soma das econmicas que, com base no uso sustentvel
partes. Deste modo, a funo da poltica de dos recursos, contribuem para o
ordenamento do territrio assenta sobretudo na desenvolvimento local. O desafio conciliar o
capacidade de harmonizar e coordenar as que apenas de modo aparente se apresenta
demais polticas sectoriais, evitando problemas e como inconcilivel: a conservao da natureza e
constrangimentos futuros e compreendendo os o desenvolvimento dos territrios.
diferentes tipos de ocupaes, a sua diversidade,
Por outro lado, a verdade que as relaes de
as suas interaes, a complexidade das suas
interdependncia que as cidades criam com os
relaes e o potencial do aproveitamento dos
territrios perifricos revelam-se crticas, quer
recursos naturais. Em resumo, nas palavras de
no que concerne ao aproveitamento de recursos
Eugne Claudius-Petit, o ordenamento do
territrio na realidade o ordenamento da nossa
sociedade.1 2 Instituto Nacional de Estatstica, I.P. (2011). Sistema
Urbano, Transformaes Familiares, Reabilitao e
As dinmicas de ocupao do territrio Arrendamento Habitacionais: uma perspetiva territorial.
portugus tm sido, ao longo dos anos, Retrato Territorial de Portugal, disponvel em www.ine.pt.
caracterizadas, em consonncia com as 3 Cfr. Conselho Nacional do Ambiente e do
Desenvolvimento Sustentvel (2010). Reflexo do Conselho
Nacional do Ambiente e do Desenvolvimento Sustentvel
1 Cfr. Mass, P. (1967). O Plano, aventura calculada, Paris, sobre a Reviso da Lei de Bases do Ambiente, disponvel em
Lisboa: Livraria Morais, p. 98. www.cnads.pt.

79
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 79
e infraestruturas existentes, mas tambm de desenvolvimento territorial6; 45 eram
sustentabilidade das cidades, quando em si instrumentos de poltica sectorial7; 76 eram
mesmas consideradas. instrumentos de natureza especial8; e 1378 eram
Mais acresce que o crescimento da populao instrumentos de planeamento territorial.9 No
inversamente proporcional ao crescimento e que concerne ao estado da vigncia dos PDM
expanso das cidades. Desde meados da dcada aquando da referida avaliao, verificava-se que
de 50, as cidades europeias tm, em mdia, a vigncia mdia daqueles IGT era superior a 15
registado expanses de aproximadamente 78%, anos, sendo que o mais antigo (PDM Sines) tinha
enquanto a populao cresceu apenas cerca de 23 anos. E apenas 63 PDM tinham sido sujeitos a
33%.1 Em Portugal, verifica-se uma situao de procedimento de reviso, j em vigor.
recesso demogrfica com um saldo natural2 de Numa viso global do territrio, 78% dos 277
87,6% em 1970 evoluindo para um saldo PDM em vigor em 2013 vigoravam h mais de 10
negativo em 2011 de 6% (PORDATA, 2016)3, anos, sem que tivessem sido submetidos a
enquanto o nmero de alojamentos familiares qualquer procedimento de reviso. Outro caso
clssicos4 passou de 2.702.215 para 5.859.540, paradigmtico era o do concelho de Lagos, no
representando um crescimento de 116,8% (INE, Algarve, que subsistia ainda sem PDM.10
2012). Tambm o concelho de Odivelas carecia ainda
A Lei n. 48/98, de 11 de agosto, e o anterior de um PDM prprio, uma vez que, embora se
regime jurdico dos instrumentos de gesto tivesse autonomizado do concelho de Loures em
territorial, aprovado pelo Decreto-Lei n. 19 de novembro de 1999, o PDM que se
380/99, de 22 de setembro, que a encontrava em vigor era ainda o de Loures.11
regulamentou, consagravam j o princpio de A mesma avaliao efetuada pela DGT em 2103
sustentabilidade e solidariedade intergeracional, demonstrava que, dos 218 PDM com mais de 10
bem como o da utilizao ponderada e anos, em 29 casos ainda no tinha sido dado
parcimoniosa dos recursos naturais e culturais. incio ao respetivo procedimento de reviso.
Contudo, em 1990 registava-se cerca de 2,8% de Assim, no cmputo geral dos 277 PDM em vigor
solo artificializado no territrio continental, em em 2013, 31 concelhos aguardavam por
2007 cerca de 4,1 % e, em 2012, o solo urbano procedimento de reviso, 182 haviam j dado
(incluindo o urbanizvel) ocupava cerca de 5% incio reviso, mas ainda no a tinham
do territrio continental (fonte DGT, 2013). concludo, sendo que 2 concelhos se
encontravam ainda em fase de elaborao do
Na avaliao de 2013 sobre a execuo do
primeiro PDM.
sistema de gesto territorial5 realizada pela
Direo-Geral do Territrio (DGT), encontravam-
se em vigor 1508 instrumentos de gesto
territorial (IGT), sendo que: 9 eram instrumentos 6 Compostos por 1 Programa Nacional da Poltica de
Ordenamento do Territrio (PNPOT), 6 planos regionais de
ordenamento do territrio (PROT) e 2 planos
1 Agncia Europeia do Ambiente (2006). Urban sprawl in Intermunicipais de ordenamento do territrio (PIOT).
Europe: The ignored challenge, EEA Report No. 10/2006, 7 21 planos regionais de ordenamento florestal, 9 planos de

Luxembourg: Office for Official Publications of the gesto de bacias hidrogrficas e 15 planos de bacia
European Communities. hidrogrfica.
2 Diferena entre o nmero de nados-vivos e o nmero de 8 25 planos de ordenamento de reas protegidas (POAP), 42

bitos num dado perodo de tempo (metainformao planos de ordenamento de albufeiras de guas pblicas
INE). (POAAP) ou planos de ordenamento das bacias
3 Informao disponvel sobre Saldos populacionais anuais: hidrogrficas de lagoas (POBHL) e 9 planos de ordenamento
total, natural e migratrio Portugal, disponvel em: de orla costeira (POOC).
www.pordata.pt. 9 277 planos diretores municipais (PDM), 248 planos de
4 Alojamento familiar constitudo por uma diviso ou urbanizao (PU) e 853 planos de pormenor (PP).
conjunto de divises e seus anexos num edifcio de carter 10 Foi, entretanto, publicada no Dirio da Repblica, n.

permanente ou numa parte estruturalmente distinta do 169, 2. Srie, de 31 de agosto, atravs do Aviso n.
edifcio, devendo ter uma entrada independente que d 9904/2015, a deliberao municipal que aprovou o Plano
acesso direto ou atravs de um jardim ou terreno a uma via Diretor Municipal de Lagos, incluindo os seus elementos
ou a uma passagem comum no interior do edifcio (escada, constituintes.
corredor ou galeria, entre outros) (metainformao INE). 11 Atualmente, o concelho de Odivelas j viu tambm ser
5 Avaliao da execuo do sistema de gesto territorial: publicada no Dirio da Repblica, n. 171, 2. Srie, de 2 de
instrumentos de gesto territorial em vigor; usos do solo e setembro de 2015, atravs do Aviso n. 10014/2015, a
evoluo do solo urbano (2013). Documentao disponvel deliberao municipal que aprovou o Plano Diretor
na pgina internet da DGT, em: Municipal de Odivelas, incluindo os seus elementos
http://www.dgterritorio.pt/. constituintes.

80
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 80
FIGURA 1. OCUPAO E USO DO SOLO EM PORTUGAL CONTINENTAL

Fonte: DGT (2013)

Mas j no que respeita forte expanso do solo forte expanso da oferta habitacional que j
urbano, esta refletiu-se tambm ao nvel do vinha da dcada anterior, assente nas condies
planeamento, conforme se constata da anlise favorveis de financiamento para aquisio de
da variao do solo urbano, entre a primeira casa prpria. O contexto de crise econmico-
gerao de PDM e a sua reviso, por densidade financeira acabou por ditar a desacelerao da
populacional, tendo sido reconhecida como um expanso urbana nos ltimos anos.
dos principais problemas para o ordenamento Por outro lado, o crescimento de urbanizaes
do territrio (Programa de Ao do Programa isoladas, excntricas cidade, e a sua
Nacional da Poltica de Ordenamento do segmentao em espaos monofuncionais de
Territrio, 2006). fins industriais, comerciais ou habitacionais,
A expanso das reas urbanizadas, acarretando tornaram os espaos pblicos desvitalizados,
movimentos pendulares significativos entre o transformando-se em lugares desqualificados e
local de residncia e o local de trabalho, pouco valorizados.
traduziu-se num consumo elevado e pouco O sobredimensionamento do sistema urbano
otimizado de recursos, desde o solo, gua e nacional face s necessidades habitacionais
energia, assim como das infraestruturas de permite compreender que em 2011 existiam
transporte e distribuio. 735.128 habitaes vagas, sendo que apenas
No obstante a contribuio de algumas 15% dos alojamentos familiares no ocupados
medidas e iniciativas para a mitigao deste estavam disponveis para arrendamento. Este
problema, a promoo de uma ocupao urbana o retrato de um pas de proprietrios, no qual
sustentvel do territrio ficou aqum do cerca de um 1 milho de edifcios carece de
desejado e necessrio, tendo sido adiada pela obras de reparao, dos quais cerca de 400.000
ausncia de uma reviso legislativa que
demovesse o investimento massivo em novas
urbanizaes. A primeira metade do perodo de
2007-2013 ficou, portanto, marcada por uma

81
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 81
edifcios necessitam de intervenes Importava, portanto, criar um sistema
significativas (INE, 2012).1 harmonioso, em que os instrumentos de
A sustentabilidade das cidades passa, por isso, planeamento permitissem desenvolver uma
no apenas pela eficincia no uso dos recursos correta distribuio do solo rstico e urbano,
naturais e regulao dos espaos rurais invertendo a tendncia das ltimas dcadas, de
adjacentes, mas tambm pela recuperao das aumento excessivo dos permetros urbanos, e
reas degradadas, de que so exemplo alguns assegurando a salvaguarda dos valores naturais,
bairros histricos e zonas industriais hoje sem que, contudo, perdessem a flexibilidade
desativadas. necessria para fazer face aos diferentes
desafios dos novos ciclos econmicos.
Neste contexto, a reabilitao urbana apresenta-
se como um instrumento essencial para um Tal reforma exigiu e continuar a exigir uma
desenvolvimento urbano sustentvel cujo vincada articulao entre os diversos organismos
objetivo ltimo , sem dvida, o de trazer de da Administrao Pblica Central e Local, quer
volta os moradores para os centros das cidades. ao nvel dos procedimentos, quer tambm no
que se refere ao domnio da informao, que se
Foi, exatamente, neste enquadramento que se
pretende mais integrado, fomentando-se a
desenvolveu a reforma do ordenamento do
partilha de dados, essenciais elaborao de
territrio, assente no princpio do equilbrio
diagnsticos objetivos e englobadores, que
dinmico entre a sociedade, a cidade e a
melhor possam fundamentar as opes de
natureza. A Lei de Bases da poltica pblica de
planeamento. Importa, assim, garantir a
solos, de ordenamento do territrio e de
existncia de ferramentas que permitam
urbanismo (LBPPSOTU), aprovada pela Lei n.
monitorizar o estado do ordenamento do
31/2014, de 30 de maio, apresentou, neste
territrio, bem como um envolvimento mais
sentido, dois grandes desgnios: o primeiro de
efetivo e regular das diversas entidades
reorganizao eficiente do sistema de gesto
envolvidas. Tambm ao nvel do cidado, a
territorial e o segundo voltado para a promoo
partilha de informao revela-se essencial,
da regenerao urbana, contrariando a
permitindo um investimento esclarecido ou
especulao imobiliria e os terrenos
simplesmente o exerccio da sua cidadania. Por
expectantes.
isso, a reforma do ordenamento indissocivel
Para tanto, tinham sido identificados pela DGT, da partilha de informao.
em sede de avaliao da revogada Lei dos Solos,
os seguintes constrangimentos a superar:
a) Sobreposio e incoerncia das diferentes II. PARTICULARIDADES DA REFORMA
estratgias de desenvolvimento do territrio II.1. Os planos territoriais
formuladas pelos diferentes nveis da
Estes planos desenvolvem e executam a
administrao;
estratgia de desenvolvimento local,
b) Rigidez e complexidade do sistema de gesto
designadamente os objetivos de
territorial;
desenvolvimento econmico e social, as medidas
c) Planos diretores municipais com uma
de interveno no mercado dos solos, os
vigncia mdia superior a 10 anos, desligados
critrios de sustentabilidade a adotar no uso e
da estratgia municipal;
ocupao do territrio, bem como os princpios
d) Expanso desordenada das reas urbanas,
e as regras de localizao e de distribuio dos
com efeito de fragmentao do territrio e
diferentes tipos de atividades, as polticas de
de aumento de movimentaes pendulares;
reabilitao e regenerao urbanas e de
e) Subaproveitamento das infraestruturas
habitao. Os planos territoriais constituem,
existentes e localizao perifrica de novos
desta forma, um instrumento integrado da sua
equipamentos urbanos, por procura de
rea de interveno, na medida em que devem
terrenos de preo inferior;
ter em considerao todos os interesses que
f) Estagnao na implementao da execuo
confluem naquela rea e estabelecerem
programada;
mtodos de harmonizao e compatibilizao
g) Ineficcia das medidas de reabilitao urbana
entre eles.
e de poltica da habitao;
h) Ausncia de monitorizao e partilha de O plano territorial deve ser um reflexo da
informao sobre o territrio e das cidades. estratgia municipal, uma viso para o futuro do
desenvolvimento do concelho e da regio, e, por
isso, as opes que lhe esto subjacentes devem
1Cfr. Resoluo do Conselho de Ministros n. 48/2015, que estar fundamentadas, assim como integrar
aprovou a Estratgia Nacional para a Habitao para o orientaes para a sua execuo, a inscrever nos
perodo de 2015-2031.

82
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 82
planos de atividades e nos oramentos, que planeamento e regulamentos dispersos. Os
contm, designadamente: planos especiais passaram a integrar a categoria
a) A identificao e a programao das dos programas e so agora constitudos por
intervenes consideradas estratgicas ou normas de execuo, estabelecendo aes
estruturantes, por prioridades, a explicitao permitidas, condicionadas ou interditas em
dos objetivos e a descrio e estimativa dos funo dos regimes de proteo e valorizao
custos individuais e da globalidade das aes dos recursos naturais, compatvel com a
previstas no plano, e os respetivos prazos de utilizao sustentvel do territrio.
execuo.
b) A ponderao da viabilidade jurdico-
II.2. Integrao de normas urbansticas nos planos
fundiria e da sustentabilidade econmico-
territoriais
financeira das respetivas propostas;
c) A definio dos meios, dos sujeitos A concretizao destes princpios exigia o
responsveis pelo financiamento da execuo estabelecimento de um regime transitrio, com
e dos demais agentes a envolver; vista integrao das normas dos instrumentos
d) A estimativa da capacidade de investimento que condicionam a atividade e gesto
pblico relativa s propostas do plano urbanstica nos planos territoriais de mbito
territorial em questo, a mdio e a longo intermunicipal ou municipal, tendo sido
prazo, tendo em conta os custos da sua consagrado um prazo de trs anos para o efeito
execuo. (artigo 78 n 1 da LBPPSOTU).
Por outro lado, os planos dotados de eficcia s Comisses de Coordenao e
direta sobre os particulares, por definirem a Desenvolvimento Regional (CCDR), em
forma de ocupao, utilizao e transformao articulao com as entidades sectoriais
dos solos, so os instrumentos que servem de responsveis, incumbiu a tarefa de identificao
fundamento prtica de atos administrativos de dessas normas, no prazo apertado de um ano.
gesto urbanstica pelos rgos municipais. Este levamento foi efetuado com o esforo
Deste modo, todas as normas relativas significativo dos organismos da administrao
ocupao, uso e transformao dos solos, para pblica envolvidos. Agora, entramos numa nova
poderem ser determinadas aos particulares, fase: compete a cada um dos municpios
devem estar consagradas em plano territorial. abrangidos planos especiais, adaptar, at 29 de
Daqui resulta que as normas dos programas junho de 2017, os respetivos regulamentos e
nacionais e regionais que condicionam o uso, representao geoespacial, ao contedo
ocupao e transformao do solo, ou seja, daqueles instrumentos, tendo em conta as
aquelas que tm impacto direto nas normas que foram identificadas.
competncias municipais na gesto do seu Haver casos, no obstante, em que podero
territrio, devem ser integradas nos planos ocorrer desconformidades entre os diversos IGT.
diretores intermunicipais ou municipais (e, Para estas situaes, a LBPPSOTU veio consagrar
quando existam, nos planos hierarquicamente a figura da ratificao dos planos municipais,
inferiores, como o plano de urbanizao e o regulamentada nos termos do artigo 91 do
plano de pormenor). Este princpio encontra-se, NRJIGT, abrangendo a possibilidade de, neste
agora, desenvolvido no n. 5 do artigo 3. do mbito, serem reapreciadas as exigncias de
Decreto-Lei n. 80/2015, de 14 de maio, que proteo dos interesses nacionais em causa. Este
aprovou a reviso do regime jurdico dos um regime excecional que deve ser utilizado
instrumentos de gesto territorial (NRJIGT). com prudncia, mas que poder ser
De facto, a sobreposio e a complexidade dos determinante para garantir a compatibilizao e
planos de ordenamento tm vindo a prejudicar a coerncia dos diversos IGT.
transparncia e o conhecimento das regras, O NRJIGT, no seu artigo 198., n. 3, veio alargar
tanto por parte dos particulares como da prpria a adoo deste mecanismo neste processo de
Administrao Pblica. Por isso, o objetivo transio, podendo tambm ser ponderada esta
fundamental da reforma do ordenamento do possibilidade nos casos em que se verifique
territrio foi o de garantir a compatibilizao das incompatibilidade entre os planos municipais e
normas dos diferentes programas e planos num os planos especiais.
nico nvel: o municipal, mais prximo do Esta hiptese poder tambm ser til para
cidado. Garante-se, assim, uma viso de assegurar a articulao do processo de
conjunto do territrio, ao contrrio do que integrao das normas dos planos especiais,
sucedia anteriormente, em que se verificava quando os mesmos estejam em processo de
uma remisso para diferentes nveis de

83
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 83
alterao, reviso ou mesmo reconduo Cumpre ainda referir que, no mbito da reforma
categoria de programa. do modelo de gesto territorial, para garantir a
Nestes casos, sempre que o processo de reviso efetividade da medida de compatibilizao num
ou alterao no esteja concludo, findos os 3 nico plano das regras relativas gesto
anos que a LBPPSOTU concedeu para a urbanstica, a LBPSSOTU veio estabelecer no seu
transposio, a ratificao permitir que os artigo 46., um conjunto de sanes para o
planos territoriais consagrem j algumas incumprimento do dever de atualizao dos
disposies que sero alteradas ou revogadas planos, cujo regime se encontra desenvolvido no
por via do processo de reviso dos atuais planos NRJIGT, nos seus artigos 28. e 29 e que inclui,
especiais e respetiva reconduo em programas nomeadamente, a suspenso do direito de
especiais. De facto, manifesta-se algo candidatura a fundos comunitrios e nacionais.
contraditrio transpor para os planos territoriais No obstante, considerando que, por vezes,
normas que, partida, a entidade responsvel estes atrasos se podem dever a razes alheias
pelo (ainda) plano especial de ordenamento do vontade dos municpios, nos termos do artigo
territrio considera desatualizadas. 29. do NRJIGT, consagrada a possibilidade de
Sublinhe-se que, em qualquer caso, no devero serem apresentadas provas de que o atraso no
ser integradas as normas de carcter estratgico da sua responsabilidade, caso em que a
de gesto, que no tm qualquer suspenso daquele direito no opera. Nessa
correspondncia com o contedo material dos situao, as normas do plano territorial so
planos territoriais de mbito intermunicipal e suspensas, mas no existe qualquer
municipal, pois, se assim no fosse, estes ltimos impedimento ao acesso de fundos comunitrios
corriam o risco de se transformar numa mera e nacionais ou de celebrao de contratos
compilao de uma multiplicidade de regras programa.
dissociadas da respetiva estratgia.
Este esforo ter a virtualidade de, atravs de O fim do solo urbanizvel
um nico procedimento, obter dois resultados: A reforma do ordenamento do territrio teve
por um lado, assegurar a reviso dos atuais tambm como grande objetivo tornar o
planos especiais e a sua reconduo a planeamento municipal mais estratgico e
programas, e, por outro lado, garantir a programtico, permitindo um processo de
transposio de normas atuais. Em suma, transformao do solo adequado s
assegura-se a viso de conjunto dos diferentes necessidades do ciclo econmico.
instrumentos de gesto e planeamento.
O fim do solo urbanizvel, ou solo urbano com
Este procedimento de reconduo dos planos execuo programada, permite privilegiar a
especiais em programas e de assimilao de reabilitao urbana, em detrimento da
algumas das suas regras pelos programas construo nova, contrariando a tendncia de
territoriais, um exerccio bastante exigente em crescimento excessivo dos permetros urbanos e
termos conceptuais e institucionais, requerendo o aumento especulativo dos preos do
um forte compromisso entre os intervenientes e imobilirio2, designadamente atravs da
uma decisiva liderana no processo, por forma a alterao do estatuto jurdico do solo.
garantir a coerncia de abordagens e de
De acordo com o artigo 71., do NRJIGT, o solo
metodologias.
urbano passa a corresponder ao solo que est
Conscientes deste desafio, os organismos da total ou parcialmente urbanizado ou edificado e,
Administrao Pblica, com atribuies em como tal, afeto em plano territorial de mbito
matrias de ordenamento do territrio, intermunicipal ou municipal urbanizao e
elaboraram um Guia Metodolgico de edificao. Por contraposio, o solo rstico
Integrao do contedo dos planos especiais, aquele que, pela sua reconhecida aptido, se
que foi aprovado pelo Grupo de Trabalho para o destina ao aproveitamento agrcola, pecurio,
Territrio.1 florestal, conservao, valorizao e
explorao de recursos naturais, de recursos

1 Colaboraram no mencionado Guia a Agncia Portuguesa Metodolgico encontra-se disponvel na pgina internet da
do Ambiente, I. P., as Comisses de Coordenao e DGT, em: www.dgterritorio.pt.
Desenvolvimento Regional do Alentejo, do Algarve, do 2 Nas palavras de Fernanda Paula Oliveira, visou-se evitar

Centro, de Lisboa e Vale do Tejo e do Norte, a Direo- que, por via do plano, se concedesse uma renda
Geral do Territrio e o Instituto da Conservao da monopolista ao proprietrio que nada investe para a
Natureza e das Florestas, I. P.. O documento intitulado obter. Cfr. Regime Jurdico dos Instrumentos de Gesto
Integrao do contedo dos Planos Especiais - Guia Territorial Comentado (2016). Coimbra: Almedina, pg. 481.

84
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 84
geolgicos ou de recursos energticos, assim urbano deve delimitar a rea objeto de
como o que se destina a espaos naturais, reclassificao e definir o prazo para execuo
culturais, de turismo, recreio e lazer ou das obras de urbanizao e obras de edificao,
proteo de riscos, ainda que seja ocupado por o qual deve constar expressamente da certido
infraestruturas, e, residualmente, todo aquele do plano a emitir para efeitos de inscrio no
que no seja classificado como urbano. registo predial.
A classificao do solo como urbano visa a Este plano acompanhado pela celebrao de
sustentabilidade e a valorizao das reas um contrato de urbanizao, enquanto garantia
urbanas, no respeito pelos imperativos de de que o particular vai executar as operaes
economia do solo e dos demais recursos urbansticas e suportar os encargos financeiros,
territoriais e, por isso, foi eliminada a devendo nele estar consagradas as obrigaes
possibilidade de serem classificados como das partes contratantes relativamente
urbanos solos no urbanizados. execuo das obras de urbanizao e da
Na verdade, os solos urbanizveis constituam operao urbanstica, as respetivas
uma categoria operativa de solo urbano, responsabilidades a que ficam sujeitas, as
destinada expanso urbana. Tendo sido formas de financiamento bem como o prazo
alterada a noo de solo urbano, agora para cumprimento daquelas, sob pena da
restringido ao urbanizado e edificado, os solos reserva de solo caducar.
que tinham esta categoria operativa, mas que
at data no tenham sido urbanizados, devem Regime transitrio de classificao do solo
agora ser reconduzidos a solo rstico. Esta
Tendo sido alterada a noo de solo urbano,
medida, para alm de se afirmar como uma
restringindo-se apenas ao urbanizado e
medida de estmulo reabilitao urbana,
edificado, os solos que tinham esta categoria
pretende contrariar as tendncias especulativas
operativa, mas que at data no tenham sido
em funo do planeamento, reforando a
urbanizados, devem agora ser reconduzidos a
redistribuio justa e equilibrada das rendas
solo rstico.
fundirias.
Justamente por se reconhecer que as regras de
A reclassificao do solo como urbano deve ser,
classificao e qualificao do uso do solo so as
portanto, limitada aos casos de inexistncia de
matrias que maior impacto assumem no
reas urbanas disponveis e comprovadamente
mbito da reforma operada, o legislador
necessrias ao desenvolvimento econmico e
estabeleceu um regime transitrio com um
social.
perodo temporal dilatado e no respeito pelo
Assim, nos termos do artigo 72. do NRJIGT, a direito dos particulares.
reclassificao depende da demonstrao:
Nos termos do artigo 82 da LBPPSOTU, devem
a) Da indisponibilidade de solo urbano na rea
consagrar as novas regras de classificao dos
urbana existente para a finalidade em
solos:
concreto, designadamente atravs dos nveis
a) As alteraes ou revises dos planos
de oferta e procura de solo urbano, com
municipais que foram iniciadas aps a
diferenciao tipolgica quanto ao uso, e dos
entrada em vigor daquela lei, ou seja, de 29
fluxos demogrficos;
de junho de 2014;
b) Do impacto da carga urbanstica proposta no
b) Os processos de alterao ou reviso dos
sistema de infraestruturas existentes e a
planos municipais que no sejam concludos
previso dos encargos necessrios ao seu
at 29 junho de 2015.
reforo, execuo de novas infraestruturas e
respetiva manuteno; A eliminao desta categoria de solo urbano e
c) Da demonstrao da viabilidade econmico- dos fenmenos de edificao dispersa no pode
financeira da proposta, incluindo a colocar em causa direitos adquiridos e legtimas
identificao dos sujeitos responsveis pelo expectativas dos proprietrios e investidores.
financiamento e a demonstrao das fontes Deste modo, estabelece o n. 3 do artigo 82. do
de financiamento. NRJIGT, um regime excecional para os solos que
estejam classificados como urbanizveis ou
Por outro lado, esta possibilidade apenas pode
como solo urbano com urbanizao programada,
ser operada mediante a elaborao de planos de
permitindo que o particular possa, ainda,
pormenor com efeitos registais, mais
urbanizar e construir de acordo com as regras
vocacionados para a concretizao das
estabelecidas para estas reas, desde que tenha
operaes urbansticas e para responder aos
um ttulo que o legitime para o efeito: contrato
desafios socioeconmicos. O plano de pormenor
que procede reclassificao do solo para

85
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 85
ou ato administrativo (licena, comunicao assumidas (execuo de infraestruturas de
prvia, informao prvia). iniciativa conjunta).
Sublinhe-se que o particular se encontra A coordenao intermunicipal potencia, no
obrigado a promover a operao urbanstica no apenas uma gesto mais eficiente dos ativos,
prazo definido no contrato ou no ttulo, sob mas tambm a atrao de projetos, de talentos e
pena de o mesmo caducar e de os solos de recursos aos territrios que apresentarem
reverterem para a classificao como rsticos, melhores solues de planeamento, aliadas a
perdendo a edificabilidade e a oportunidade de estratgias de maior inovao e
realizar os respetivos projetos. sustentabilidade.
A eliminao dos solos urbanizveis consagra
assim, a importante vantagem de no estagnar Acompanhamento da elaborao e reviso dos
as opes de planeamento, sendo possvel planos diretores municipais
adaptar o planeamento s necessidades
Ao nvel de acompanhamento da elaborao e
econmicas de cada ciclo de investimento,
reviso dos planos diretores municipais, o
atravs da elaborao de um plano de pormenor
parecer final da comisso de acompanhamento
com efeitos registais, que preveja a adaptao
concentra-se na conformidade com os planos
ao projeto do particular e, ao mesmo tempo,
superiores e sobre o cumprimento das normas
salvaguarde o interesse pblico.
legais e regulamentares em vigor, deixando a
administrao central de se pronunciar sobre a
Planeamento subregional estratgia municipal, em estrito respeito pelo
Como forma de criar maiores sinergias e uma princpio da autonomia local.
mais estreita cooperao entre municpios, foi Em linha com as ltimas alteraes legislativas
estabelecida a possibilidade de aprovao este parecer proferido pela CCDR
(conjunta) de programas e planos de ndole territorialmente competente, o qual traduz uma
intermunicipal, para definirem, de modo deciso global definitiva e vinculativa para toda a
coordenado, a estratgia de desenvolvimento e Administrao Pblica.
o modelo territorial subregional, as opes de Pretende-se, assim, terminar com a prtica
localizao e gesto de equipamentos pblicos e instituda, de o parecer daquela comisso
infraestruturas. corresponder a um somatrio de pareceres,
Deste modo, o mbito intermunicipal foi competindo agora a uma nica entidade
alargado atravs: elaborar o parecer que vincula toda
i. da aplicao das mesmas regras no que Administrao sobre a proposta de plano. Ou
respeita ao regime do uso do solo e seja, ainda que cada entidade tenha as suas
vinculao de particulares; atribuies, as quais devem ser desempenhadas
ii. da criao das figuras de plano diretor naquela sede, o parecer um. Por outro lado,
intermunicipal, plano de urbanizao dada a possibilidade s entidades que
intermunicipal e plano de pormenor constituem aquela comisso de declarar,
intermunicipal; expressamente, no existir fundamento para a
iii. da possibilidade de plano diretor sua representao na comisso consultiva.
intermunicipal se fazer substituir ao plano Foi tambm eliminado o parecer exigido aps a
diretor municipal. fase de discusso pblica, assumindo o
A elaborao de planos intermunicipais uma municpio a inteira responsabilidade de elaborar
faculdade dos municpios que pretendam a verso final da proposta de plano para
associar-se para este efeito, ou seja, no so aprovao. Significa que, aps a ponderao dos
instrumentos de elaborao obrigatria. resultados da discusso pblica e da elaborao
Todavia, enquanto instrumento de gesto do relatrio, a cmara municipal apresenta a
colaborativa so um mecanismo poderoso que proposta assembleia municipal, para
assim disponibilizado, em particular quando a aprovao.
gesto e o planeamento territorial devem
ponderar a existncias de ativos e necessidades
Alterao por adaptao
numa perspetiva interterritorial e j no apenas
municipal. A reformulao da alterao por adaptao, veio
simplificar o procedimento de dinmica dos
No caso de um dos municpios associados no se
instrumentos de gesto territorial.
rever na estratgia definida, admitida a
possibilidade de reviso parcial destes planos, Nos termos do artigo 121. do NRJIGT, sempre
sem prejuzo das obrigaes contratualmente que a alterao decorra da entrada em vigor de

86
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 86
leis ou regulamentos ou de outros programas e se em funo da matria e de discusso pblica,
planos territoriais com que devam ser nos termos aplicveis ao plano territorial
compatveis ou conformes, deve ser adotado o intermunicipal ou municipal a que respeitam
procedimento de alterao por adaptao. (cfr. artigo 138. do NRJIGT).
No estando em causa uma deciso autnoma
de planeamento, mas o cumprimento de uma Criao da Comisso Nacional do Territrio
imposio legal, esta alterao depende de mera
A coordenao dos diferentes sectores do
declarao da entidade responsvel pela
Estado foi tambm um dos grandes pilares que
elaborao do plano, a qual deve ser emitida, no
orientou a reforma do ordenamento do
prazo de 60 dias, atravs da alterao dos
territrio. Foi, por isso, criada a Comisso
elementos que integram ou acompanham o
Nacional do Territrio, constituda por
instrumento de gesto territorial a alterar, na
representantes das entidades com competncias
parte ou partes relevantes.
especficas nas reas do ordenamento do
Reduziu-se, deste modo, o prazo e simplificou-se territrio, designadamente a Direo-Geral do
a forma. Territrio, o Instituto da Conservao da
A declarao transmitida comisso de Natureza e da Biodiversidade, I.P., a Agncia
coordenao e desenvolvimento regional Portuguesa do Ambiente, I.P., as CCDR e ainda a
territorialmente competente e remetida para Associao Nacional de Municpios Portugueses.1
publicao e depsito. A experincia da ltima dcada tem evidenciado
como importante que as decises em matria
Correes materiais de planeamento se articulem e coordenem.
O procedimento das correes materiais e Deste modo compete CNT, designadamente,
retificaes foi tambm alterado. O artigo 122. nos termos do artigo 184. do NRJIGT:
do NRJIGT deixa agora de fazer a distino entre a) O acompanhamento da execuo da poltica
correes e retificaes. nacional do ordenamento do territrio,
sustentada em indicadores qualitativos e
As correes materiais passam a poder ser
quantitativos dos IGT, restries de utilidade
efetuadas a todo o tempo, por comunicao da
pblica e servides administrativas;
entidade responsvel pela elaborao dos
b) Emitir pareceres e recomendaes sobre
programas ou dos planos, e so publicadas na
questes relativas ao ordenamento do
mesma srie do Dirio da Repblica em que foi
territrio, por sua iniciativa ou a solicitao
publicado o programa ou plano objeto de
do membro do Governo responsvel pela
correo.
rea do ordenamento do territrio;
Ainda no plano da dinmica, destaca-se a c) Apresentar Direo-Geral do Territrio
possibilidade de serem adotadas normas propostas de elaborao de normas tcnicas
provisrias, que definam de forma positiva o e procedimentos uniformes para todo o
regime transitoriamente aplicvel a uma territrio nacional a aplicar pelos organismos
determinada rea do territrio. com responsabilidades e competncias em
matria de ordenamento do territrio;
Medidas cautelares A Comisso Nacional do Territrio sucede nas
semelhana das medidas preventivas, as atribuies da Comisso Nacional da Reserva
normas provisrias tm natureza regulamentar e Ecolgica Nacional, bem como em todas as
podem ser adotadas desde que, nos termos do posies jurdicas assumidas por esta.
artigo 135. do NRJIGT, se verifiquem O funcionamento da CNT equivalente a um
cumulativamente as seguintes situaes: rgo colegial, sendo os seus pareceres
a) Existam opes de planeamento vinculativos em matria de elaborao,
suficientemente densificadas e alterao ou reviso dos programas de mbito
documentadas no mbito do procedimento nacional e regional.
de elaborao, reviso ou alterao do plano A CNT pode constituir uma oportunidade de
territorial em causa; alcanar vrios objetivos h muito pretendidos:
b) Necessidade de tais medidas para a uma administrao eficiente, forte envolvimento
salvaguarda de interesses pblicos inerentes de todos os organismos, estreita articulao com
elaborao, reviso ou alterao do plano
em causa.
1 A informao relevante sobre a atividade da Comisso
A adoo de normas provisrias precedida de Nacional do Territrio encontra-se disponvel em:
pareceres das entidades que devam pronunciar- http://cnt.dgterritorio.pt/.

87
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 87
os municpios, transparncia e segurana para os Assim, a atribuio de um direito de
cidados. indemnizao pelas restries objetivas ao
aproveitamento do solo no tituladas tem o seu
fundamento no princpio da tutela da confiana,
Reforo das garantias dos particulares
de quem confiou na estabilidade da norma de
As garantias para os particulares so reforadas planeamento e fez investimentos com base
com o NRJIGT, que clarifica os casos em que nessa norma (equivalente ao prejuzo) limitada
deve existir expropriao por sacrifcio, quando a temporalmente.
perequao no seja possvel.
Da que se estabelea no n. 4 do artigo 171.
Assim, passam a ser indemnizveis: que: de acordo com o princpio da proteo da
a) Os direitos preexistentes e juridicamente confiana, so, ainda, indemnizveis as
consolidados, atravs de ttulo de execuo restries singulares s possibilidades objetivas
da operao urbanstica; de aproveitamento do solo impostas aos
b) As restries ao aproveitamento urbanstico proprietrios, resultantes da alterao, reviso
constante da certido do plano de pormenor ou suspenso de planos territoriais, que
com efeitos registais, determinada pela sua comportem um encargo ou um dano anormal,
alterao, reviso ou suspenso, durante o desde que ocorram no decurso do perodo de
prazo de execuo previsto no plano; trs anos a contar da data da sua entrada em
c) As restries das possibilidades objetivas de vigor.
aproveitamento do solo, quando a alterao
Terminando com as querelas doutrinais e
do plano ocorra no prazo de 3 anos.
jurisprudenciais sobre esta matria, o legislador
A nova disciplina do artigo 171. do NRJIGT veio veio estabelecer concretamente que
resolver, assim, o problema que era colocado necessrio que exista um encargo ou dano
pelo regime ento em vigor, consagrando que anormal, estabelecendo a equiparao destes
independentemente do momento que ocorra casos ao previsto no artigo 16. regime de
devem ser indemnizadas as restries responsabilidade civil de extracontratual do
resultantes das alteraes, revises ou Estado, aprovado pela Lei n. 67/2007, de 31 de
suspenso dos planos que impliquem a dezembro.
revogao ou alterao de licenas,
De notar, todavia, que em qualquer caso, esto
comunicaes prvias ou informaes prvias1.
excludas as restries determinadas pelas
Esta questo tambm salvaguardada nos caractersticas fsicas e naturais, existncia de
mesmos termos, no artigo 48. do regime riscos para as pessoas e bens; ou falta de
jurdico da urbanizao e edificao. vocao do solo para o processo de urbanizao
Mais complexa se assume a configurao do e edificao.
direito de indemnizao quando em causa esto
restries singulares de aproveitamento
Avaliao
urbanstico no tituladas. A nossa jurisprudncia
unnime em reconhecer que o ius A par da implementao de um sistema de
aedificandi no integra o direito de propriedade ordenamento do territrio mais gil e flexvel, foi
e que, em matria de urbanismo, os interesses tambm definida uma avaliao permanente dos
de ordem pblica prevalecem sobre as planos e que pode fundamentar ulteriores
expectativas individuais2. propostas de alterao, nomeadamente com
vista a assegurar a concretizao dos fins do
respetivo plano, corrigir distores de oferta no
1 De notar que em qualquer caso [a] compensao ou mercado imobilirio, entre outras matrias.
indemnizao () prevista, obrigatoriamente e de forma Verdadeiramente importante para o processo de
expressa, no plano territorial de mbito intermunicipal ou
planeamento a compreenso das dinmicas
municipal que fundamenta a imposio de sacrifcio,
nomeadamente atravs de definio de mecanismos de
territoriais e ao aperfeioamento da poltica de
perequao deles resultante. Cfr. Isabel Moraes Cardoso, gesto territorial, pelo que a monitorizao e
Restries ao direito de propriedade e demais direitos avaliao de execuo dos programas e planos
relativos ao solo e indemnizao, in Cludio Monteiro, deve assumir um papel central na reforma do
Jaime Valle, Joo Miranda (Ed.) (2016), O Novo Regime ordenamento do territrio.
Jurdico dos Instrumentos de Gesto Territorial, Coimbra:
Almedina, pg. 117 e ss.
2 O direito de propriedade no absoluto, devendo ser

enquadrado e condicionado em nome da funo social do outubro de 2002, proc. n 0912/02, e o acrdo do Tribunal
solo e do interesse pblico. Cfr. a ttulo de exemplo o Central Administrativo Sul, de 26 de setembro de 2013,
Acrdo do Supremo Tribunal Administrativo, de 10 de proc. n 09663/13, ambos disponveis in www.dgsi.pt.

88
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 88
Assim, o NRJIGT estabeleceu a obrigatoriedade a um procedimento mais simples e clere, era,
dos programas e planos territoriais fixarem em muito, semelhante ao procedimento de
indicadores destinados a sustentar a avaliao e licenciamento, nomeadamente ao exigir as
monitorizao da execuo, os quais fazem parte consultas de entidades externas aos municpios,
do contedo documental daqueles ao obrigar apresentao, com o pedido, de
instrumentos: cfr. entre outros artigo 41., n. 5. todos os projetos (de arquitetura e de
especialidades) e ao envolver uma anlise e
verificao de mrito por parte dos municpios (a
II.3. Licenciamento urbanstico
no rejeio equivalia a uma admisso).
A LBPPSOTU, que, como referido, deu incio
Com as alteraes introduzidas pelo Decreto-Lei
reforma do ordenamento do territrio, veio
n. 136/2014, consagra-se uma efetiva
consagrar que, a par do desenvolvimento dos
comunicao prvia, assente no princpio de
mecanismos de execuo dos planos territoriais
que, estando suficientemente definidas as
e das formas de contratualizao, constitui
condies da realizao de determinadas
objetivo essencial da reforma melhorar a
operaes urbansticas, a apreciao substantiva
capacidade de resposta, a segurana e a
pelo municpio no se justifica.
previsibilidade dos processos de urbanizao e
edificao. Para o efeito, devem ser Assim sucede, nomeadamente no caso de obras
estabelecidas condies para a adoo de de construo, de alterao ou de ampliao em
procedimentos de controlo prvio expeditos, rea abrangida por operao de loteamento ou
sempre que as condies de realizao da plano de pormenor ou de operaes
operao urbanstica se encontrem urbansticas precedidas de informao prvia
suficientemente definidas, e a par da favorvel.
desmaterializao dos procedimentos, devem Nesses casos, estando a comunicao prvia
ser reforados os mecanismos de corretamente instruda, o controlo prvio
responsabilizao e de controlo sucessivo. assume uma natureza meramente formal, sendo
, assim, que o artigo 58. daquela lei consagra dispensada a prtica de atos permissivos,
que [] o controlo administrativo das podendo os interessados, logo aps o
operaes urbansticas destina-se a assegurar a pagamento das taxas, dar incio execuo da
conformidade das operaes urbansticas com as operao.
disposies legais e regulamentares aplicveis e Com esta configurao da comunicao prvia
a prevenir os perigos ou danos que da sua aposta-se num sistema assente numa relao de
realizao possam resultar para a sade pblica confiana entre a Administrao e os cidados.
e segurana de pessoas e bens, bem como a Assim, sempre que se encontrem
garantir uma efetiva responsabilizao dos suficientemente definidas as regras de ocupao
tcnicos legalmente qualificados e dos do solo, a realizao das operaes urbansticas
particulares responsveis pelos eventuais deixa de estar dependente de deciso favorvel
prejuzos causados por tais operaes [] e que prvia por parte do municpio, reforando-se o
[] a realizao de operaes urbansticas controlo sucessivo e a responsabilidade dos
depende, em regra, de controlo prvio vinculado tcnicos autores do projeto e dos demais
salvaguarda dos interesses pblicos em intervenientes nas operaes urbansticas. No
presena e definio estvel e inequvoca da obstante, nessas situaes, os particulares tm a
situao jurdica dos interessados. possibilidade de optar pelo licenciamento,
No desenvolvimento desses princpios, a escolhendo o procedimento que melhor se
alterao ao regime jurdico da urbanizao e adeque operao urbanstica a promover.
edificao (RJUE) plasmado no Decreto-Lei n. Por fim, cumprir salientar que o Decreto-Lei n.
136/2014, de 9 de setembro - apresenta um 136/2014 procedeu reviso do conceito de
conjunto de novidades tendentes simplificao reconstruo, passando esta a considerar-se
dos procedimentos. como as obras de construo subsequentes
demolio, total ou parcial, de uma edificao
Relevncia da figura da comunicao prvia existente, das quais resulte a reconstituio da
estrutura das fachadas, ou seja, as obras de
A principal medida respeita, naturalmente,
reabilitao e regenerao urbana que no
redefinio do instrumento da comunicao
oferecem alteraes da imagem urbana e do
prvia, que o novo RJUE tambm denomina de
espao pblico.
comunicao prvia com prazo.
Fica, assim, mais claro o regime de controlo a
A figura da comunicao prvia que at agora
que esto sujeitas estas operaes,
vigorou, embora aparentemente correspondesse

89
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 89
incentivando-se, por essa via, a reabilitao e a nas operaes urbansticas, indicando, de modo
regenerao como fatores de revitalizao expresso e em funo das diferentes situaes,
econmica, social e cultural e de reforo da os diversos responsveis, nomeadamente nos
coeso territorial. casos de violao de deveres inerentes ao
Consequentemente, as intervenes de exerccio de uma determinada atividade ou das
reabilitao que no alterem a estrutura das condies da licena, comunicao prvia ou
fachadas, nem constituam uma sobrecarga autorizao, ou da realizao de operaes
urbana, devem estar apenas dependentes de urbansticas sem o necessrio controlo prvio.
comunicao prvia.
Desta forma, privilegiam-se as obras de IV. Reabilitao urbana
reabilitao urbana, que no ofeream Regime Excecional para a Reabilitao Urbana
alteraes da imagem urbana, do espao pblico (RERU)
e consequentemente cidade, o conceito de
Promover a revitalizao das cidades, tanto do
reconstruo reajustado s obras de
ponto de vista do crescimento de servios e do
construo subsequentes demolio, total ou
comrcio local, como do setor imobilirio,
parcial, de uma edificao existente, das quais
assumiu-se como uma medida essencial para
resulte a reconstituio do volume original e da
democratizar o acesso habitao e ao
estrutura das fachadas.
desenvolvimento das atividades econmicas nos
centros urbanos, devolvendo-os classe mdia,
Outras inovaes s famlias e s populaes mais jovens.
No domnio do licenciamento, embora pontuais, Assim, a par com a simplificao no processo de
as alteraes introduzidas constituem licenciamento urbanstico, e em complemento
importantes fatores de simplificao, sendo de reforma dos IGT e de forma a garantir a sua
salientar a reduo dos prazos das consultas aplicabilidade, o Conselho de Ministros aprovou
externas para metade, fixando-se, como regra, o o Decreto-Lei n. 53/2014, de 8 de abril,
prazo nico de 20 dias para as consultas estabelecendo um Regime Excecional para a
externas. Reabilitao Urbana (RERU) que vigora por um
Ainda, a limitao do mbito de apreciao do perodo de sete anos.
municpio aos impactos urbansticos da Num diploma proposto por uma comisso
operao, pela excluso, em determinadas redatora composta por representantes de
circunstncias, da apreciao dos aspetos entidades relevantes na matria, entre as quais
interiores das edificaes, passando as o Instituto da Construo e do Imobilirio, I.P.
declaraes de responsabilidade dos autores dos (InCI, I.P.), o Laboratrio Nacional de Engenharia
projetos de arquitetura (no que respeita aos Civil, I.P. (LNEC, I.P.), o Instituto da Habitao e
aspetos interiores das edificaes), bem como da Reabilitao Urbana, I.P. (IHRU, I.P.) e as
dos autores dos projetos das especialidades, a sociedades de reabilitao urbana de Lisboa
ser garantia bastante do cumprimento das Ocidental e Porto Vivo, estabeleceram-se,
normas legais e regulamentares aplicveis. deste modo, a Exigncias Tcnicas Mnimas
Concentra-se, assim, a atividade dos municpios para a Reabilitao de Edifcios Antigos, que
na apreciao dos aspetos relativos defesa dos permitissem adequar realidade da reabilitao
interesses pblicos refletidos nos planos de urbana as regras at agora em vigor.1
ordenamento e na fiscalizao sucessiva. Direcionado para a reabilitao do patrimnio
Outra novidade a que respeita consagrao edificado, prev-se a dispensa da observncia de
da participao do interessado nas conferncias algumas disposies tcnicas que com aquela se
decisrias quando existam pareceres negativos demonstram incompatveis.
das entidades consultadas. Esta , sem dvida, Na nova reabilitao, os edifcios concludos h
uma medida inovadora, que permite conferir mais de 30 anos, ou em reas de reabilitao
uma maior transparncia ao processo de urbana (ARU), encontram-se agora dispensados,
licenciamento e que em muito contribui para a entre outros, aspetos relacionados com reas
aproximao entre os cidados e a mnimas de habitao, altura do p-direito,
Administrao.
Como contrapeso dessas medidas de
simplificao, em particular no que se refere
1Estas mesmas entidades promoveram ainda a publicao
de um Guia Prtico do Regime Excecional de Reabilitao
nova configurao da comunicao prvia, o
Urbana, disponvel na pgina internet do IHRU em:
novo art. 100.-A vem proceder clarificao e http://www.portaldahabitacao.pt/opencms/export/sites/p
reforo da responsabilizao dos intervenientes ortal/pt/portal/reabilitacao/RERU/RERU_0_Indice.pdf.

90
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 90
instalao de ascensores exigncias nem verbas concedidas, designadamente, pelo Banco
sempre compatveis com o estado e a Europeu de Investimento, estes fundos sero
envolvente das edificaes a reabilitar. Em disponibilizados aos intermedirios financeiros,
simultneo, reforou-se a salvaguarda da de forma a assegurar a alavancagem dos apoios
estrutura do edificado, garantindo-se a concedidos.
segurana de pessoas e bens e as condies de Uma vez que se trata de um instrumento
habitabilidade do edificado. financeiro de apoio revitalizao das cidades,
Em apreo esto exigncias tcnicas previstas compete exclusivamente aos municpios definir,
nas disposies do Regulamento Geral das no seu planeamento, quais os territrios e
Edificaes Urbanas (RGEU), aprovado pelo prioridades de investimento sobre os quais
Decreto-Lei n. 38.382, de 7 de agosto de 1951, devem incidir esses apoios. Este processo de
bem como em matria de eficincia energtica, definio realizado atravs dos Planos de
infraestruturas de telecomunicaes em Desenvolvimento Urbano Sustentvel (PEDU) e
edifcios ou acessibilidades, para a requalificao Planos de Ao de Reabilitao Urbana (PARU)
do edificado j existente ou instrumentos equivalentes, no caso das
O regime excecional vem assim identificar, com Regies Autnomas, no mbito dos quais os
fora de lei, as normas tcnicas que no podem municpios tm oportunidade de identificar, para
ser exigveis s obras de reabilitao urbana, os investidores privados, os territrios
garantindo que existe um regime igual para todo prioritrios.
o pas e que interpretado da mesma forma
pelos diferentes municpios, atravs do qual Gesto de Informao
todos os particulares que pretendam reabilitar
Transversalmente a todas a aes envolvidas na
edifcios so tratados de maneira igual em todo
reforma do ordenamento do territrio houve
o territrio.
uma aposta clara na gesto de informao, pois
Aps um momento em que, no apenas o Pas, apenas com acesso a esta possvel planear,
mas tambm os agentes econmicos, executar e monitorizar. Assim, nas vrias
enfrentaram fortes restries em termos de dimenses da reforma foram sempre
financiamento, o RERU apresentou-se como um desenvolvidas aes, quer por via legislativa
dos instrumentos legislativos mais quer atravs da administrao, visando
determinantes para uma nova aposta no sector promover a recolha, integrao e
imobilirio, de forma estruturada e sustentvel, disponibilizao de informao numa estratgia
abrindo as portas reabilitao urbana e de dados pblicos abertos.
democratizao do acesso aos centros urbanos.
Neste sentido, a aposta numa poltica de dados
abertos, iniciada atravs da plataforma iGEO que
O Instrumento Financeiro para a Reabilitao e lanamos (http://www.igeo.pt) que disponibiliza
Revitalizao Urbanas (IFRRU 2020) dados de referncia de informao geogrfica,
Conscientes que as alteraes ao nvel legislativo gerada e gerida pela administrao, nas reas do
no bastam, a reforma do ordenamento do ordenamento do territrio, ambiente,
territrio foi acompanhada pela definio de patrimnio arquitetnico e conservao da
fontes de financiamento capazes de atrair natureza, passvel de ser alargado a outras reas
investimento no desenvolvimento urbano e entidades, pblicas e privadas.
sustentvel e, assim, revitalizar as cidades. Efetivamente os dados e o conhecimento gerado
Foi, assim, desenvolvido, no mbito do Acordo e gerido pela Administrao tm forosamente
de Parceria Portugal 2020, um instrumento de ser disponibilizados, no apenas s demais
financeiro (o IFRRU 2020) de apoio reabilitao entidades pblicas, numa lgica de
fsica do edificado destinado a habitao, interoperabilidade, mas tambm e
comrcio ou servios, bem como do espao principalmente academia, s empresas e aos
pblico envolvente. Ainda, e uma vez que a cidados, garantindo que o conhecimento
melhoria da habitabilidade e a reduo da fatura produzido possa criar mais emprego e inmeras
energtica , tambm, um objetivo prioritrio, oportunidades de negcio.
estando previstos apoios para aes que visem Mas importa ir mais longe e adotar uma poltica
aumentar a eficincia energtica e a utilizao generalizada de dados pblicos abertos, hoje no
de energias renovveis para autoconsumo na panorama internacional motores de maior
habitao particular. transparncia, ganhos de eficincia, cidadania
Aliando as verbas provenientes dos Fundos mais participada e promotores de
Europeus Estruturais e de Investimento a outras desenvolvimento econmico.

91
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 91
III. CONCLUSES E PERSPETIVAS FUTURAS concretizar aquele que, a par do NRJIT e do
A reforma levada a cabo veio modificar o RJUE, constitui um dos pilares fundamentais da
modelo de planeamento e lanar os alicerces reforma: o novo regime jurdico do cadastro
fundamentais para a construo de novos predial. Atravs da integrao, em um nico
programas e planos, mais prximos dos cidados sistema, do cadastro predial, do cadastro
e dos agentes econmicos e mais respeitadores geomtrico da propriedade rstica e da
do meio ambiente. informao de natureza cadastral, pretende-se
com este novo regime alcanar dois objetivos
Uma reforma desta amplitude exige uma
primordiais: a) assegurar a identificao unvoca
consciencializao progressiva que no se
dos prdios, promovendo um maior rigor na
alcana apenas por medidas legislativas.
informao sobre o imvel e,
Importa, agora, deixar sedimentar o modelo de
consequentemente, maior segurana nos
gesto integrado e, no tempo, melhor aproveitar
negcios jurdicos que sobre o mesmo incidam,
as suas dinmicas nicas.
bem como uma justa tributao, em especial dos
Nesse sentido, eliminado o solo urbanizvel e prdios rsticos; b) incentivar o acesso
reduzidos os custos de contexto das obras de generalizado informao cadastral pela
reabilitao, importa agora acompanhar o Administrao Pblica, pelos cidados e pelas
trabalho dos municpios na implementao de empresas, designadamente por via eletrnica,
medidas de planeamento voltadas para a garantindo a proteo dos dados pessoais
revitalizao dos seus centros urbanos e para a envolvidos e o dever de sigilo.
garantia do uso eficiente dos recursos.
Por ltimo, apenas o conhecimento rigoroso e
Mas a reforma no se esgota nas tarefas j atualizado do territrio permite uma gesto
desenvolvidas, antes sendo um desgnio a mais eficiente dos recursos. Neste contexto,
perseguir de modo constante. Todos os atores importa fomentar uma nova cultura de gesto e
presentes no territrio partilham, sem dvida partilha de informao, cujas sementes de
alguma, o desejo de um Pais mais competitivo, reforma, numa verdadeira estratgia de dados
apostado na economia verde, com aptido para pblicos abertos, lanmos com a iniciativa
gerar produtos e servios inovadores, onde o iGEO.
planeamento territorial seja a chave para um
efetivo desenvolvimento sustentvel, capaz de
resistir s dificuldades dos diferentes ciclos REFERNCIAS BIBLIOGRFICAS
econmicos e de promover um crescimento Agncia Europeia do Ambiente (2006). Urban sprawl
baseado na valorizao daqueles que so os in Europe: The ignored challenge, EEA Report No.
pilares fundamentais do nosso pas: o capital 10/2006, Luxembourg: Office for Official
humano e o capital natural. Publications of the European Communities.
A administrao central, agora liberta das Cardoso, I., (2016).Restries ao direito de
matrias de natureza urbanstica, ganha novo propriedade e demais direitos relativos ao solo e
flego para as matrias que so da sua indemnizao, in MONTEIRO, C.; VALLE, J.;
competncia: a regulao, a monitorizao e a MIRANDA, J. (Ed.), O Novo Regime Jurdico dos
fiscalizao. Neste contexto assume particular Instrumentos de Gesto Territorial, Coimbra:
importncia a alterao do Programa Nacional Almedina.
de Poltica de Ordenamento do Territrio Cavaco, C. (Ed.) (2015), Cidades Sustentveis 2020,
(PNPOT) aprovado pela Lei n. 58/2007, de 4 de Lisboa: Direo-Geral do Territrio, tambm
setembro, que define o modelo territorial que disponvel na pgina da internet da Direo-Geral
traduz espacialmente as orientaes estratgicas do Territrio, em:
em matria de sistema urbano e acessibilidades http://www.dgterritorio.pt/ordenamento_e_cida
e estabelece os objetivos estratgicos para des/cidades/cidades_sustentaveis_2020/.
Portugal. Em consequncia tero tambm de ser Conselho Nacional do Ambiente e do
revistos ou elaborados os Programas Regionais Desenvolvimento Sustentvel (2010). Reflexo do
de Ordenamento do Territrio. Conselho Nacional do Ambiente e do
Desenvolvimento Sustentvel sobre a Reviso da
A administrao dever assim, focar-se nas
Lei de Bases do Ambiente, disponvel em
grandes propostas de desenvolvimento
www.cnads.pt.
territorial, capacitando as regies e os concelhos
Dijkstra, L. (2009). Regional Policy, 01/2009. De
a um desenvolvimento estratgico consolidado,
Michelis, N. (Ed.), Comisso Europeia, disponvel
assumindo claramente o planeamento territorial
em
como a base para o crescimento econmico
http://ec.europa.eu/regional_policy/sources/docg
sustentvel. No menos importante, importa
ener/focus/2009_01_metropolitan.pdf.

92
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 92
Grupo de Trabalho para o Territrio (2015). anos ou localizados em reas de reabilitao
Integrao do contedo dos Planos Especiais - urbana, sempre que estejam afetos ou se
Guia Metodolgico encontra-se disponvel na destinem a ser afetos total ou
pgina internet da DGT, em: www.dgterritorio.pt. predominantemente ao uso habitacional.
Instituto Nacional de Estatstica, I.P. (2011). Sistema Decreto-Lei n. 136/2014, de 9 de setembro, procede
Urbano, Transformaes Familiares, Reabilitao dcima terceira alterao ao Decreto-Lei n.
e Arrendamento Habitacionais: uma perspetiva 555/99, de 16 de dezembro, que estabelece o
territorial. Retrato Territorial de Portugal, regime jurdico da urbanizao e edificao.
disponvel em www.ine.pt. Decreto-Lei n. 80/2015, de 14 de maio, aprova a
Laboratrio Nacional de Engenharia Civil, Instituto da reviso do regime jurdico dos instrumentos de
Habitao e da Reabilitao Urbana, Instituto da gesto territorial.
Construo e do Imobilirio, Autoridade Nacional Lei n. 31/2014, de 30 de maio, aprova as bases
de Comunicaes, Agncia Portuguesa do gerais da poltica pblica de solos, de
Ambiente (2014). Regime Excecional de ordenamento do territrio e de urbanismo.
Reabilitao UrbanaGuia Prtico, disponvel em Resoluo do Conselho de Ministros n. 48/2015,
http://www.portaldahabitacao.pt/opencms/expor aprova a Estratgia Nacional para a Habitao
t/sites/portal/pt/portal/reabilitacao/RERU/RERU_ para o perodo de 2015-2031.
0_Indice.pdf. Resoluo do Conselho de Ministros n. 61/2015, de
Mass, P. (1967). O Plano, aventura calculada, Paris, 16 de julho, aprova a estratgia Cidades
Lisboa: Livraria Morais. Sustentveis 2020.
Ministrio do Ambiente, do Ordenamento do
Territrio e do Desenvolvimento Regional (2006).
Programa de Ao do Programa Nacional da
Poltica de Ordenamento do Territrio, disponvel
em www.dgterritorio.pt.
Neto, M. (Ed.) (2015). Uma viso integrada para o
territrio, Lisboa: Direo-Geral do Territrio,
disponvel na pgina da internet da Direo-Geral
do Territrio, em www.dgterritorio.pt.
Oliveira, F. P. (2016). Regime Jurdico dos
Instrumentos de Gesto Territorial Comentado,
Coimbra: Almedina.

REFERNCIAS ELETRNICAS
Comisso Europeia Poltica Regional:
http://ec.europa.eu/regional_policy/pt/.
Comisso Nacional do Territrio:
http://cnt.dgterritorio.pt/.
Conselho Nacional do Ambiente e do
Desenvolvimento Sustentvel: www.cnads.pt.
Direo-Geral do Territrio: www.dgterritorio.pt.
Instituto da Habitao e da Reabilitao Urbana, I.P.:
www.portaldahabitacao.pt.
Instituto de Gesto Financeira e Equipamentos da
Justia, I.P. - Bases Jurdico-Documentais:
www.dgsi.pt.
Instituto Nacional de Estatstica, I.P.: www.ine.pt.
Instituto Nacional de Estatstica, I.P. Sistema
Integrado de Metainformao: http://smi.ine.pt/.
PORDATA Base de Dados Portugal Contemporneo:
www.pordata.pt.

LEGISLAO RELEVANTE
Decreto-Lei n. 53/2014, de 8 de abril, estabelece um
regime excecional e temporrio a aplicar
reabilitao de edifcios ou de fraes, cuja
construo tenha sido concluda h pelo menos 30

93
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 93
Public Policy Portuguese Journal
2016, Volume 1, Number 1, pp. 94-106
Universidade de vora, UMPP - Unidade
de Monitorizao de Polticas Pblicas
www.umpp.uevora.pt

Science, technology and innovation and public policy


in Portugal: Trajectories towards 2020

Hugo Pinto
Researcher, Centre for Social Studies, University of Coimbra
Assistant Professor, Faculty of Economics, University of Algarve
hpinto@ces.uc.pt

ABSTRACT
Science, technology and innovation are of crucial relevance for socio-economic development. This article
presents a perspective of the institutional change in Portugal in this domain, between 2000 and 2014, with the
identification of policies, key actors and incentives for stimulating the emergence of innovation. It presents a
chronology of policies on science, technology and innovation that changed the landscape of innovation in
Portugal. The article presents the context and the policy-orientations for policy-making towards 2020, in
particular the impacts of economic crisis in the Portuguese STI system and the guidelines of Europe 2020 for a
smart specialisation. The article concludes with considerations in the evolution of the innovation landscape in
Portugal and the relevance of these changes to public policy implementation in the period 2020.

Keywords: Innovation, Institutional change, Innovation system, Policy.


JEL Classification: L52, O31, O32, O38.

1. INTRODUCTION applying accumulated knowledge to solve


The importance of innovation to economic particular technical problems (Pinto &
performance and growth was underlined in the Fernndez-Esquinas, 2013).
last decades by the emergence of a systemic Public policies are particularly relevant for
vision of innovation, as a multi-dimensional, science technology and innovation because
multi-scale, multi-actor phenomenon (Asheim, innovation processes are plagued with market,
Smith & Oughton, 2011). Innovation systems, and specially, by systemic failures that create
whatever the scale and focus, are constituted by barriers for the adequate allocation of resources
and effectiveness of innovation (Weber &
actors that stabilize networks with the goal to Rohracher, 2012).
innovate. Innovation is institutionally embedded,
Portugal is a country that lies between the group
meaning that the relationships of actors do not
of most developed countries and those in
happen in a context free of informal and formal development process. It is usually considered a
constraints and enablers of individual action. member-state of European Union in a moderate
Innovation process is institutionally embedded; position in terms of innovation when compared
depend from public policies, from supportive with other European countries (European
actors and from the socially accepted behaviours Commission, 2015). This situation was observed
(Cooke, 2001). Particularly important to both at national level in several studies and at
innovation are the linkages between knowledge regional level.
producers, commonly seen as the universities The study of the Portuguese case shows that
and other public research organizations, and science, technology and innovation (STI) suffered
huge pressures and change was happening at a
knowledge users, firms and other entities
very fast pace in the last decades. This article

94
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 94
gives attention to the innovative profile of technological infrastructure, new and more
Portugal, analysing the chronology of flexible institutions, launching programs to
institutional change in terms of STI policy in support R&D and industrial potential. There was
Portugal. For this, the text is organized as an obvious fragmentation between ministries,
follows. The next section presents a chronology with the responsibility of JNICT, linked to
of policies on S&T and instruments for the science, and with the tutelage of the industry-
emergence and consolidation of innovative based Plan. The beginning of this decade was
dynamics. A second part presents changes for marked by this disjointed and
the new programming period 2014-2020. The compartmentalized approach that would restrict
new programmes are debated with particular the STI in Portugal for several years.
emphasis in the impacts of economic crisis in STI In the second half of the 1980s Portugal enters
and the emergence of the smart specialisation the EEC. There is a new momentum in this area,
rationale in innovation policy. with a specific budget for Science and
Technology and the first Mobilisation
2. CHANGE IN THE PORTUGUESE SCIENCE, Programme for Science and Technology
TECHNOLOGY AND INNOVATION POLICIES intending to achieve the target of 1% of GDP of
expenditure on R&D, something that only came
STI policies in Portugal had a late entry, a slow
to realize after more twenty years in 2007.
evolution and implementation with limited
results. These are corollaries of several analyzes
that focus on the evolution of government Second generation: new actors and infrastructural
intervention in this area (e.g., Caraa, 1999; investment
Bonfim & Viseu, 2005; Laranja, 2007). Based on
The first Community Support Framework (CSF I -
these analyzes it is possible to systematize the
1988-1992) helped to provide the country of
evolution of public policies in STI that set the
physical infrastructure base for STI. In this
pace of institutional change regarding the
context programs PEDIP (Specific Programme for
generation and consolidation of innovation
the Development of Portuguese Industry) and
routines in Portugal.
SCIENCE (Creation of Infrastructure for Science,
Research and Development) took over as central
First generation: grassroots of S&T policy instruments but with a lesser degree of
articulation.
STI policy in Portugal dates back to the 1970s
with the participation of national teams in work In 1991 appears the program STRIDE Portugal,
promoted by the Organisation for Economic Co- which results in an application for a Community
operation and Development (OECD). This initiative of the same name (STRIDE - Science
participation has contributed in 1967 to the and Technology for Regional Innovation and
creation of the National Board of Scientific and Development in Europe) and sought to
Technological Research (JNICT) with the mission encourage the development of S&T community
of coordinating inter-sector public intervention in the regions. From the use of STRIDE funds
in this field. In the 1970s, Portugal pursued a stands out the creation of the Innovation Agency
path connected to the emergence of State large (AdI). AdI had the ambition to strengthen the
laboratories with thematic scope, a logic inspired mechanisms of interaction between the
by public intervention resulting from a linear scientific and technological enterprises, valuing
model of innovation. By the early '80s the the results of scientific research and promoting
governance of STI in Portugal was based on a technology transfer, diffusion and innovation.
highly vertical structure in which it was assumed According to Laranja (2007) AdI was never able
that the benefits from scientific research came to completely fulfil this role fruit of tensions that
mechanically and sequentially to companies. stemmed from his dual ministerial supervision.
This period was marked by the birth of several In parallel, there were a number of public
public universities in Portugal, some with institutes such as the Institute for Support to
regional scope, and marking the end of the Small and Medium Industrial Enterprises
concentration of higher education in Coimbra, (IAPMEI1) and the National Institute of Industrial
Lisbon and Porto (Malcata, 2001). Property (INPI), created in that period, who
In the '80s, back in the pre-accession period to came to play an important role in the
the European Economic Community (EEC) and implementation of instruments to promote STI.
the instability after the change of political
regime dilute, comes the first National 1 Today renamed as Agency for Competitiveness and
Technology Plan which aimed to strengthen the Innovation.

95
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 95
In the context of PEDIP it is defined a set of terms of operational programs, this view was
infrastructures, technological centres, institutes not stabilized, because the Operational
of technology and new centres of technology Programme for Science, Technology and
transfer, built in the geographical areas of Innovation (POCTI), which replaced the PRAXIS
industrial relevance. Although, as mentioned by and the Economy Operational Programme (POE)
Laranja (2007: 143-144), the creation of these that replaced PEDIP II, held the same logic of
interface bodies seem appropriate, these distance. The lack of proximity between
infrastructures, many of which were coordinated operational programs and ministries and the
by university professors, overly focused its influence of the Lisbon Strategy underpinned the
assistance for R&D and academic international launch of the Integrated Support Innovation, the
relations and less to local collaboration with PROINOV (Rodrigues, Neves & Godinho, 2003).
business, as was the original plan. This program proposed to explicitly streamline
With a new government in 1995, there were the national innovation system in Portugal,
significant changes. The CSF II (1994-99) had promoting business R&D, strengthening the
been prepared by the previous government, population qualification and a more favourable
maintained the same focus on human resources environment for innovation. The program ended
and infrastructure but emerged with concerns to be short-lived and confined to an
about sustainability of infrastructure created implementation and reflection workshops early
though. It appears for the first time a Ministry of due to the resignation of the XIV Government of
Science and Technology, which divides JNICT Portugal, in December 2001. The PROINOV had
into three bodies, the Foundation for Science the merit of giving innovation a policy dimension
and Technology (FCT), the Institute for that was absent, endowing an institutional and
International Scientific and Technological evolutionist rationale of intervention. The
Cooperation (ICCTI) and the Centre for Science PROINOV also gave attention to the importance
and Technology (OCT). At this stage, the agency of the private sector in the dynamics of science
Cincia Viva was created, concerned with and relevance of clusters, trying to bring
communication and public understanding of together various stakeholders for the creation of
science, focused mainly on younger audiences. innovation networks.
The FCT has become particularly relevant as the This phase coincides with the recovery of a
main management agency funding of S&T in the regional dimension of STI policies. Influenced by
country. It consolidates itself as the entity Article 10 of the European Regional
responsible for the evaluation of science based Development Fund (ERDF) Technical Assistance,
in regular and independent panels. Associated CCDRs (regional development coordination
laboratories inspired by the CNRS - Centre commissions) created a regional dynamics of
National de la Recherche Scientifique in France reflection on the STI system, with dialogue
are created to pursue research objectives between actors, strategies and promoting
according to public science policy and meeting regional consensus. Following these strategies,
minimum structure, size and excellence the Programme of Innovative Actions secured
requirements. additional funding for the implementation
process of innovative projects and a bottom-up
AdI operated as a driving force of business R&D
approach of STI heavily influenced by the
in the Ministry with the responsibility of S&T.
paradigm of regional innovation systems (Uyarra
The PRAXIS II-PEDIP focused on consolidation,
& Flanagan, 2012).
financing and implementation of projects but
maintained the tradition of separation between Even with short duration, the PROINOV
programs on the side of science and the business influenced the creation of the Agency for the
side, even when complementarities were Knowledge Society (UMIC) with the aim of
already at the time, evidenced. promoting the Portuguese national innovation
system. However, this entity has not assumed its
original role, focusing excessively measures for
Third generation: consolidation of STI dynamics inclusion in the Information Society and
The design of the National Economic and Social technological modernization and management
Development Programme (PNDES) for the of public administration. The rationale of the
implementation of the CSF III (2000-2006) was new government came to show up with a more
inspired by the Lisbon Strategy that stated that utilitarian concept of innovation focused on
the transformative potential of S&T for a more business (Laranja, 2007). This view is evident in
cohesive and competitive European Union based the proposal for financing the R&D units based
on knowledge and innovation (IFDR, S/D). In on quantitative indicators of scientific

96
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 96
production and in designing outreach activities sought to stimulate activity in support of
focused on collaboration with industry through innovative ideas by funding S&T entities in
licensing of IPRs, contract research and spinning- promoting entrepreneurship. The initiative OTIC
off (Pereira, 2004a). - Offices for Technology Transfer and Knowledge
Another novelty was the promotion of a revision promoted a network of centres of research
of the Code of Industrial Property in 2003, under commercialization results and the transfer of
the Ministry of Economy. The implementation of ideas and innovative concepts to the business.
this new framework, followed by a revision to These offices operated in institutions of higher
the decree-law n. 143/2008 of 25 July, sought to education, universities and polytechnics, and
promote the use of intellectual property (IP) strengthened cooperation between universities
with simplified procedures. The reforms of and firms, identifying opportunities for
2003/2008 in the field of industrial property commercial exploitation of knowledge and
coincide with the implementation of a large technology to strengthen university-industry
group of incentives for effective protection of relations. In 2006, 22 OTICs had been approved,
IPRs. Several STI entities, fruit of protocols with involving all Portuguese public universities
the INPI, were exempted from payments in cases except the University of the Azores (POS_C,
of national registry, removing a major barrier to 2010).
patents, its cost. IPR liaison offices spread a The launch of these two initiatives, in 2005,
network of small operating units in universities, coincided with the formation of a new socialist
science parks and technology, the GAPIs. On the government, the XVII Constitutional Government
other hand, financial incentives promoted the of Portugal, which assumed the target of
inventive efforts, creativity and innovation of technological advancement. The Technological
businesses, inventors, independent designers, Plan emerged in this context as an agenda for
entrepreneurs and organizations working in change to meet the challenges of modernization
research through co-financing of expenditure in Portuguese society mobilizing public
relating to the protection of IPRs. The administration, businesses, families and other
paradigmatic example is the creation of the institutions in a combined effort. The
Incentive Scheme for Use of Industrial Property Technological Plan led the implementation
(SIUPI) within the POE. This initiative, launched around three central themes: knowledge,
in 2001, was open until the end of 2006 and in fostering structural measures aimed at raising
2005 had about eighty projects in execution the educational levels of the population,
(Laranja, 2007: 210), focused primarily on technology, investing in strengthening national
international patenting. Along with all these scientific and technological skills, and
changes, INPI was introducing new price lists, innovation, facilitating the modernization of
simpler and less expensive. These changes were companies and innovative capacity (UCPT, 2006).
reflected in the STI system with a expansion of This plan, which recovered the spirit of
patent numbers, in particular, the national PROINOV, was assumed to be a priority for
patent requests (Pinto, 2014). public policy and constitutes itself as a key part
By the end of the CSF III, the POE becomes of the National Action Programme for Growth
PRIME - Incentives Programme for the and Jobs (PNACE), which reflected the
Modernisation of the Economy (PRIME, 2010), implementation of Lisbon Strategy priorities in
emerging a wide range of initiatives managed by Portugal.
AdI that focused explicitly knowledge transfer This period was marked by the acceleration of
activities: NITEC, IDEA, DEMTEC, among others. scientific and technological system, mainly
Under POS_C, two specific initiatives were stimulated by government spending, the change
launched creating important seeds for of knowledge institutions and the
structuring the transfer of knowledge in institutionalization of assessment practices and
Portuguese universities, NEOTEC and OTIC, participation in science and internationalization
designed and accompanied by UMIC, and of the actors of the system (Pereira, 2004b).
executed by ADI. The initiative NEOTEC - New
Technology Based Companies sought to monitor
the launching of business projects from the Fourth generation: times of turbulence and austerity
proof of concept to the first year of activity of With the NSRF - National Strategic Reference
the new firm. In this program, 220 applications Framework (CSF III Observatory, 2007) that came
were submitted with 116 business projects to structure the application of funds from the
approved. The NEOTEC also included a line of Cohesion Policy of the European Union for the
"Valuing Entrepreneurial Potential" which period 2007-2013, some of the problems of

97
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 97
distance between the operational programs system. Infrastructure built in the 1980s and
were mitigated. The NSRF was divided into three 1990s was added, with programs GAPI, NEOTEC
main strategic areas that embody the three and OTIC, of a number of organizations, which
thematic operational programs that articulate explicitly focused its activity on the relationship
with the Technological Plan and the goals of the between universities and business, through the
Lisbon Strategy: the Operational Programme for transfer of knowledge in an attempt to
Competitiveness Factors (POFC), the Operational marketing research with economic potential.
Programme for Human Potential (POPH) and the These programs have allowed the existence of
Operational Programme for Territorial such entities more evenly distributed
Development (POVT). The aim of this article is throughout the territory, created in proximity to
not to evaluate the programs of the NSRF. S&T entities.
However, today it is clear that its success has In parallel, the Portuguese universities faced the
been conditioned by the economic turmoil international trend of a wider role for higher
(QREN Observatory, 2011). education institutions (HEIs). This change is
The POFC, later baptized as COMPETE, focused institutionalized with Law n. 62/2007 of 10
on the support they sought to stimulate September which embodies the new legal
sustainable growth potential of the Portuguese regime of higher education institutions (RJIES).
economy (POFC, S/D). The incentive systems This law created a new framework for HEIs, its
under this program focused the substantial constitution, function, organization, functioning
portion of support related to STI as the POPH and powers, the authority and supervision of the
gets a role, also relevant, but restricted to issues State and the relationship with their autonomy.
of human resources development. Another In addition to educational activities and scientific
measure to stimulate innovation in this period research that these entities should develop, this
was the creation of UTEN - University statute refers, in Article 2, paragraph 4 that HEIs
Technology Enterprise Network. This network, have the right and duty to participate,
launched in March 2007 by the FCT with the individually or through their units, in activities in
support of INPI, explored a five-year program connection with the society, namely diffusion
based on a set of partnerships with American and knowledge transfer, as well as the economic
universities, subsequently extended to other value of scientific knowledge.
European scientific and technological entities This trend, which had been ongoing since the
with which the Portuguese government decided beginning of the decade, was accelerated by this
to collaborate with view the absorption of good legal framework, creating the landscape to
practices in different domains (UTEN, S/D). The Portuguese HEIs reflect on their functions,
program assumed that the technology transfer reorganization of the governance system and an
offices in Portugal were already in a stabilized increased interest in connection with the society
phase and that lacked in this moment of greater in general and firms in particular.
professionalism. The US practices were
The implementation of RJIES originated the
presented as a benchmark to follow in the
formalization process of knowledge transfer
process of knowledge transfer. Network
activity in the organic structures of many
activities focused training of human resources,
entities. In most cases, these new structures
through international workshops, internships in
were based on a complete transition and
foreign partner entities and attempts to evaluate
utilization of skills and human resources involved
the initial performance of national transfer
with the installation of OTICs and GAPIs in
activities.
universities. OTICs had a strong mobilizing effect
Through its activities the UTEN proposed not and allowed some internal dynamics in
only to equip intermediation actors in Portugal universities and polytechnics, particularly in
for more professional and systematic processes gauging the potential for commercialization of
of knowledge transfer in university-industry research, but the short duration of the program
relations, but also to strengthen the network of led to the dissolution of the network that was
the various partner organizations (UTEN, 2010, beginning to glimpse. The role of GAPIs was
2011). particularly important in the promotion of IPR,
facilitating information and support in the
3. EMERGENCE OF ACTORS AND BEHAVIOURS IN THE process of registration. The various GAPIs
PORTUGUESE STI SYSTEM structured a network that was consolidated and
retained some dynamic interaction between the
The impacts of the CSF III policies were reflected
various members, even with the end of funding
in the emergence of new actors in brokering
of INPI.
national public science and the technological

98
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 98
Even if, as reported by Laranja (2007: 209), the paying greater attention to technology transfer
GAPIs installed in academia had almost outputs, which not only sets up a change of
insignificant results, coupled with a static view of behaviour towards the use of these interaction
the valorisation of IPRs, its operating logic was channels as an instrument of transfer, but that
crucial to give visibility on the issue of patents seems to include a change in the shared
and trademarks, that had limited attention by meaning of innovation.
potential users in Portugal (Pereira et al., 2004).
The set of policy changes and the emergence of 4. STI CHANGE FOR THE PERIOD 2014-2020
new actors have resulted in a change of
The preparation and launching of the
behaviours in university-industry behaviours.
programmes for 2014-2020 is clearly marked by
The second half of the 2000s is marked by an
two contradictory tensions. One is the economic
increase in attempts at commercialization of
crisis that had strong impacts in the Portuguese
science in the Portuguese university. These
STI system. The other is the discourse that was
changes are evidenced in reports by UTEN (2010,
consolidated about the centrality of innovation
2011) particularly with regard to the growing
to economic growth.
number of registered patents and the creation of
spin-offs. These areas are the channels that
Portuguese technology transfer offices regarded The economic crisis and impacts in the STI system
as essential to their evaluation.
Following the external intervention by the Troika
Despite the merits of the various programs, the (European Commission, International Monetary
lack of continuity and dependence of the Fund and European Central Bank) started in
European structural funds of GAPIs and OTICs, 2011, several austerity measures to control
and the focus of UTEN on experiences difficult to public expenditures, and public debt, and to
adapt to the Portuguese context, limited the restructure labour laws, with the reduction of
impact of these initiatives. Notwithstanding wages and employment costs, were
substantial improvements of technology transfer implemented. These policies led to a strong
offices in Portugal, they continue to lack critical economic recession and rise of unemployment
mass and resources (Teixeira, 2011). The (EC, 2014) (Figure 1).
behaviour of actors has changed substantially by

FIGURE 1. THE EVOLUTION OF GDP AND UNEMPLOYMENT RATE IN PORTUGAL

Source: Pordata (INE | BP - Contas Nacionais Anuais (Base 2011) & INE - Inqurito ao Emprego)

The impact of the economic crisis rapidly has (with 28 member-states). Community Innovation
contaminated to the STI system. Below we can Survey (CIS) data reported a decreased of 9.45%
see Table 1 with the evolution of numbers of innovative companies between 2010 and
regarding R&D total expenditures, R&D public 2012 in Portugal, higher than the average
variation in European countries (-7.39%) (Table
expenditures, and the number of researchers. It 2).
can be noticed that in the peak of the crisis the
R&D investment followed a pro-cyclical pattern,
following the path defined by the economic
downturn.
The impact of the economic crisis in the research
system has also been reflected more intensively
in the number of innovative enterprises in
Portugal when compared to the average of EU

99
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 99
TABLE 1. THE EVOLUTION OF R&D IN PORTUGAL (M)
2007 2008 2009 2010 2011 2012 2013
Expenditures for research and development (R&D)
1,1 1,4 1,6 1,5 1,5 1,4 1,4
as % of GDP
R&D Expenditures (Total) 1.973 2.585 2.772 2.758 2.567 2.320 2.322
Government budget expenditures for research and
1.272 1.572 1.753 1.768 1.754 1.555 1.579
development (R&D)
R&D executed by Companies 1.011 1.295 1.311 1.266 1.216 1.153 1.104
R&D executed by State 184 188 202 196 189 124 135
R&D executed by Higher Education 587 891 1.014 1.017 934 846 879
R&D executed by Non profit private organisations 191 210 244 278 227 197 204
Total staff and researchers in R&D: full-time
6,4 8,7 8,6 8,7 9,1 8,8 9,1
equivalent by 1000 active population
Source: Pordata (INE | BP - Contas Nacionais Anuais (Base 2011) & INE - Inqurito ao Emprego)

TABLE 2. INNOVATIVE FIRMS (CIS DATA) [% FROM TOTAL NUMBER OF FIRMS]


Member-States 2006-08 2008-10 2010-12
EU28 51.5 52.8 48.9
Belgium 58.1 60.9 55.6
Bulgaria 30.8 27.1 27.4
Czech Republic 56.0 51.7 43.9
Denmark 51.9 54.7 51.1
Germany 79.9 79.3 66.9
Estonia 56.4 56.8 47.6
Ireland 56.5 59.5 58.7
Greece : : 52.3
Spain 43.5 41.4 33.6
France 50.2 53.5 53.4
Croatia 44.2 42.4 37.9
Italy 53.2 56.3 56.1
Cyprus 56.1 46.2 42.1
Latvia 24.3 29.9 30.4
Lithuania 30.3 34.5 32.9
Luxembourg 64.7 68.1 66.1
Hungary 28.9 31.1 32.5
Malta 37.4 41.5 51.4
Netherlands 44.9 56.7 51.4
Austria 56.2 56.5 54.4
Poland 27.9 28.1 23.0
Portugal 57.8 60.3 54.6
Romania 33.3 30.8 20.7
Slovenia 50.3 49.4 46.5
Slovakia 36.1 35.6 34.0
Finland 52.2 56.2 52.6
Sweden 53.7 59.6 55.9
United Kingdom 45.6 44.3 50.3
Iceland 74.8 63.8 :
Norway 49.2 43.5 44.7
Serbia : 51.7 47.5
Turkey : 51.4 48.5
Source: Eurostat newsrelease 15/2015

This period was also characterized by a massive (Diogo, 2014). At the same time, several
emigration, with a higher relative weight of controversies regarding the STI system entered
qualified human resources when compared with the public attention. Examples regard the
the traditional emigration profile in Portugal constraints to the daily routines of public
research originated by new laws (namely the

100
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 100
Lei dos Compromissos1), the reduction of the principles, indicated by the Europe 2020.
number of fellowships by the FCT, the difficulties Portugal will receive 25 billion Euros by 2020 to
in the evaluation of the research units, and the support the achievement of the defined
financing of public universities. priorities:
production of tradable goods and services and
increasing exports,
A fifth generation of innovation policies? Re-igniting
the economy 2020
transfer STI system results to the industrial
fabric,
On the other hand, the new policy agenda for
participation in education and reduction of
2020 is clearly supportive of the design of new
instruments oriented towards innovation. The early school leavers,
European Union strategic documents underline integration of people at risk of poverty and
the determination to overcome the economic combating social exclusion,
turmoil and create conditions for a more promotion of sustainable development, with a
competitive economy with higher employment focus in the efficient use of resources,
in 2014-2020. After a broad-spectrum Lisbon strengthening territorial cohesion, particularly
Strategy, and its re-launching, that failed the in cities and low density areas, and;
ambition to transform EU in the most
rationalization, modernization and capacity
competitive and dynamic knowledge-based
economy in the world, capable of sustainable building of public administration.
economic growth with more and better jobs and Portugal 2020 is organised in four thematic
greater social cohesion (Presidency conclusions, operational programmes on the Continent:
Lisbon European Council, 23 and 24 March competitiveness and internationalization, social
2000), the EU gave extraordinary emphasis to inclusion and employment, human capital, and
selectiveness and focus of policy objectives. sustainability and efficiency use of resources.
Europe 2020 strategy (European Commission, During the preparation of the framework it was
2010) is thus a strategy to achieve smart, evident the need of new actors. In particular AdI
sustainable and inclusive growth. Smart growth was renamed for a new strategic repositioning
means improving the EUs performance in as ANI National Agency for Innovation. The
education, encouraging people to learn, to study general coordination of regional policy and
and to update skills, in research and innovation,
by creating new products and services that management of European structural and
generate growth and jobs and help address investment funds (ESIF) were centralised in a
social challenges, and with a full integration in new entity, the AD_Coesao Agency for
digital society, using information and Development and Cohesion. The creation of this
communication technologies. Sustainable entity results from the fusion of three other
growth regards moving towards a low-carbon public entities: IFDR Financial Institute for
economy, while Inclusive growth emphasises job Regional Development, IGFSE European Social
creation and poverty reduction. Fund Management Institute, and the NSRF
The Partnership Agreement for the new mission structure and observatory.
framework Portugal 2020 was signed in July
2014 between Portugal and the European Another noteworthy characteristic of Portugal
Commission. Portugal 2020 brings together the 2020 is the inclusion of smart specialisation
support of five structural and investment rationale (Foray, David, & Hall, 2011) in the
European funds - ERDF, Cohesion Fund, strategy for Research and Innovation at national
European Social Fund (ESF), European and regional levels, The regional OPs (Norte,
Agricultural Fund for Rural Development Centro, Lisboa, Alentejo, Algarve, Aores, and
(EAFRD) and European Maritime and Fisheries Madeira) identified the major strategic goals,
Fund (EMFF) - which define the programming which are themes where the regions have
principles for the economic development policy, scientific, technological and economic expertise,
social and territorial cohesion to promote in in which Portugal and its regions hold
Portugal. The programming principles are in line comparative and competitive advantages or
with smart, sustainable and inclusive growth latent potential.
Smart specialisation concept is built on
academic contributions from the evolutionary
1 A national law created a series of restrictions for the
economic geography and institutional economics
acquisition of goods and services in the sub-sectors of the that underline the importance of innovation
State. systems and networks to the regional

101
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 101
development (Foray, 2015). As a policy notion it Build on each territorys strengths, competitive
emerged from the knowledge accumulated by advantages and potential for excellence;
several European Commission bodies, namely Support technological as well as practice-based
the DG Research and Innovation, DG Enterprise innovation and aim to stimulate private sector
& Industry, and DG Regional and Urban Policy,
investment;
especially with the programmes related with the
regional innovation strategies (RIS) and the Involve stakeholders encouraging innovation
regional innovation and technology transfer and experimentation;
strategies and infrastructures (RITTS) (Srvik & Evidence-based, including monitoring and
Kleibrink, 2015). It results directly from the evaluation mechanisms.
verification that STI investments in Europe were The preparation of a national RIS3 (ENEI
fragmented, with lack of critical mass, and that Estratgia Nacional de Especializao
regions adopted mimetic policies towards Inteligente) was instigated by IAPMEI, FCT, AdI
fashionable S&T areas, such as ICT or and COMPETE (Competitiveness Factors OP
biotechnology, without consideration for their structure). But simultaneously all Portuguese
specific capacities. The report An agenda for a regions were engaged in developing specific
reformed cohesion policy: a place-based regional RIS3. It was not an easy task with a
approach to meeting European Union challenges process involving several actors with different
and expectations, known as the Barca report types of tensions. The strategic design was in
(Barca, 2009), is often considered a key general much more participatory that it is
milestone to the development of the concept by common in Portugal and in this way several
adding to this notion a place-based dimension problems were present during public
focused in the need of priority-setting capable of interventions and even between the national
generation relevant economies of agglomeration and regional levels. The alignment of the OPs
and knowledge spillovers. Because smart with these strategies is mandatory in achieving
specialisation is a new policy concept, the ESIF, the 2020 Portugals investments in Research,
DG Regio and Joint Research Centre created a Technological Development and Innovation
Smart Specialisation Platform (S3) at Seville to (Thematic Objective 1) and other priority cases,
help the member-states and their regions in the such as in the context of support for the
development of their Research and innovation competitiveness of SMEs (Thematic Objective 3).
strategies for smart specialisation (RIS3). In the end of the design process, the ANI
RIS3 are evidence-based strategies on what guaranteed the supervision of the ENEI,
regions can realistically achieve building on their assuming the presidency of the Coordination
strengths and existing assets. They should focus Council and responsible for the technical
and concentrate resources on certain domains of secretariat. The CCDRs also obtained new
expertise, where R&D and innovation will relevance in the selection of STI proposals
complement other regional productive assets, aligned with the regional development plans and
avoiding fragmentation and duplication. A smart regional RIS3 priorities.
specialisation approach should promote the RIS3 were not absent from criticisms from the
generation of regional ideas, maximising both scientific community and economic actors. One
intra-regional and inter-regional spillovers of the most audible criticisms came from Social
benefiting from embeddedness and relatedness Sciences and Humanities that referred that these
(Foray, 2015). Smart specialisation requires RIS3 strategies focused a limited group of
developing a vision, identifying the competitive priorities, directly connected to market
advantages, setting strategic priorities and valorisation of knowledge, and would have a
making use of policies to maximise the negative impact in basic research, particularly in
knowledge-based development potential of a SSH. Contrary to expected, Social Sciences are
region, whether strong or weak, high-tech or not emerging in these conditions as the relevant
low-tech. mediators. The new transversal role of SSH is
RIS3 are integrated, place-based economic seen as a subaltern position to other fashionable
transformation agendas developed at the areas, endangering the knowledge production.
national and regional levels that address five The public position from several relevant
domains (Foray et al., 2011): members of the scientific community, for
Provide focus for policy support and example, the FCT Scientific Council for the Social
investments on selected key national and Sciences and the Humanities (cf. the review of
regional priorities, challenges and needs for February 2015), showed disapproval regarding
knowledge-based development; the reduction of support to SSH research but

102
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 102
also demonstrates limited attention to emerging While new topics are emerging in the new
concerns such as responsible research and international policy agenda as societal
innovation, interdisciplinarity or thematic works. challenges and responsible research and
At the present moment it is yet very difficult to innovation, as noticeable in EU Programmes
comprehend to true impact of the RIS3. such as Horizon 2020, in Portugal the recent
Nonetheless it is clear that RIS3 helped to define debates remain centred in old topics such as
a more limited number of policy intervention science funding, excellence, the industrial
priorities and a larger consensus among the application of knowledge, and the strengthening
national and regional stakeholders in the of firm innovation and entrepreneurship. Some
pathway to innovation. But the challenge is emphasis is given to communication and
huge to implement such an ambitious agenda popularisation of science, seeing science as a
articulating conveniently the different national cultural pre-condition for modernity, a necessary
and regional capabilities, the selected priorities, step (but often too expensive) for innovation.
and the interests and agenda of specific Nonetheless a worrying lack of engagement and
innovation actors. collaborative initiatives persists in the
Portuguese STI system today. Can in this context
RIS3 be an opportunity for the development and
5. CONCLUSIVE REMARKS consolidation of national and regional STI
This article summarized the chronology of events systems?
of policy change, identifying some consequences
in terms of the emergence of new actors and
modifications of behaviours that impacted in the
ACKNOWLEDGMENTS
STI system in Portugal. Hugo Pinto gratefully acknowledges the financial
support from FCT - Fundao para a Cincia e a
The institutional change in Portugal was
Tecnologia to his post-doctoral research
evidenced by the emergence of different policies
(SFRH/BPD/84038/2012). This article updates a
and instruments to support the strategic
chapter previously published in the book
direction of policy-makers for a more integrated
Innovation for Sustainability and Networking
view of innovation. The implementation of these
edited in 2013 by Teresa de Noronha and Jorge
policies provided stimulus for the emergence of
Gomes (University of Algarve). The article
several players brokering the connection
benefits from the comments of Tiago Santos
between science and business. Technology
Pereira (CES-UC) and participants in the
transfer offices in Portuguese universities
Conference Problems of early-stage science-
emerged in the last decade, benefiting from the
based firms (Kavala, Greece) and the Seminar
initial stimulus of GAPI and OTIC programmes,
Fostering an Entrepreneurship and Innovation
and secondly, with attempts to professionalize
Ecosystem in Tunisia through the Effective Use
this type of activity involving the UTEN.
of TTOs (Faro, Portugal) both held in June 2015.
University-industry relations are in an
intermediate phase, when habituation and
legitimacy, new practices, routines, professions BIBLIOGRAPHY
emerge but in a limited threshold. Asheim, B. T., Smith, H. L., & Oughton, C. (2011).
A central question in this debate is how to take a Regional Innovation Systems: Theory, Empirics
decisive step towards the institutionalization of and Policy. Regional Studies, 45(7), 875891.
cooperative innovation relations in Portugal and Barca, F. (2009). An agenda for a reformed cohesion
the consolidation of innovation routines. At the policy: a place-based approach to meeting
same time that the policy design focus was European Union challenges and expectations,
gaining emphasis on innovation, Portugal was Independent Report prepared at the request of
one of the countries that suffered deeper Danuta Hbner, Commissioner for Regional Policy,
impacts with the economic downturn generated European Commission, Brussels.
by the financial crisis. Institutional change is not Bonfim, D. & Viseu, H. (2005). Polticas de Fomento
always abrupt (Streeck & Thelen, 2005), it is da Inovao Tecnolgica in Lana, Isabel S. and
important to ensure that, after all the efforts Valente, Ana C. (eds.) Inovao Tecnolgica e o
and improvements in the last decades, because Emprego O Caso Portugus. Coleco Estudos
of short term constraints like the ones resulting Temticos 2, Lisboa: Instituto para a Qualidade
from the economic slowdown and the austerity na Formao, 289-306.
measures, the Portuguese STI system is not Caraa, J. (1999). A prtica de polticas de cincia e
affected by an institutional drift, or even tecnologia em Portugal in Godinho, M. M. and
exhaustion, with unpredictable results. Caraa, J. (eds.) O Futuro Tecnolgico:

103
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 103
Perspectivas para a Inovao em Portugal. Oeiras: patenteamento por instituies de investigao
Celta, 7-18. em Portugal in V Congresso Portugus de
Cooke, P. (2001). From Technopoles to Regional Sociologia, atelier Cincia e Conhecimento.
Innovation Systems: The Evolution of Localised Universidade do Minho, Braga, Portugal 12-15
Technology Development Policy. Canadian Journal May 2004.
of Regional Science/Revue Canadienne Des Pinto, H. (2014). Means becoming ends? Recent
Sciences Rgionales, XXIV(1), 2140. evidence from patent registration in Portugal.
Diogo, H. (2014). Geodinmicas contemporneas na International Journal of Technology Transfer and
dispora portuguesa, Populao e Sociedade Commercialisation, 12(1,2,3), 121138.
CEPESE- Edies Afrontamento, 22, 3 - 55. Pinto, H., & Fernndez-Esquinas, M. (2013). Exploring
European Commission (2010). EUROPE 2020 - A knowledge-transfer dynamics in a South European
strategy for smart, sustainable and inclusive region: breadth, intensity and informality of
growth. European Commission Communication university-industry interactions in Andalusia:
(March 2010). Knowledge Commercialization and Valorization in
European Commission (2015). Innovation Union Regional Economic Development. In T. Baycan
Scoreboard 2015. Luxembourg: Office for Official (Ed.), Knowledge Commercialization and
Publications of the European Communities. Valorization in Regional Economic Development.
Foray, D. (2015). Smart specialisation: opportunities Edward Elgar.
and challenges for regional innovation policy, POFC: Programa Operacional Factores de
Routledge: Abingdon. Competitividade (S/D). COMPETE Programa
Foray, D., David, P. A., & Hall, B. H. (2011). Smart Operacional Factores de Competitividade
specialization From academic idea to political http://www.pofc.qren.pt [04 December 2015].
instrument , the surprising career of a concept POS_C: Programa Operacional da Sociedade do
and the difficulties involved in its implementation Conhecimento (2010). Relatrio Final de
(No. 2011-001). Execuo do Programa Operacional Sociedade do
Foray, D., David, P. A., & Hall, B. H. (2011). Smart Conhecimento http://www.qca.pt [04 December
specialization From academic idea to political 2015].
instrument , the surprising career of a concept QREN Observatory (2011) Follow-up da avaliao
and the difficulties involved in its implementation global de implementao do QREN 2007-2013,
(No. 2011-001). Observatrio do QREN.
Foray, D., Goddard, J., Beldarrain, X. G., Landabaso, http://www.qren.pt/np4/file/1389/1_Follow_up_
M., McCann, P., Morgan, K., Nauwelaers, C. & da_Avalia__o_Global_de_Imple.pdf [04 February
Raquel Ortega-Argils (2012). Guide to Research 2016].
and Innovation Strategies for Smart Specialisation Rodrigues, M. J.; Neves, A. and Godinho, M. M. (eds.)
(RIS3). Available online: (2003). Para uma Poltica de Inovao em
http://s3platform.jrc.ec.europa.eu/s3pguide Portugal. Lisboa: Dom Quixote.
IFDR: Instituto Financeiro para o Desenvolvimento Srvik, J. & Kleibrink, A. (2015). Mapping Innovation
Regional (S/D). Quadro Comunitrio de Apoio III - Priorities and Specialisation Patterns in Europe, S3
Portugal 2000-2006 http://www.qca.pt [04 Working Paper Series n08/2015January 2015 S3
December 2015]. Platform, JRC-IPTS. Available online:
Laranja, M. D. (2007). Uma Nova Poltica de Inovao https://ec.europa.eu/jrc/sites/default/files/JRC95
em Portugal? A Justificao, o Modelo e os 227_Mapping%20Smart%20Specialisation%20Prio
Instrumentos. II Srie, N2, Coleco Econmicas, rities.pdf [04 December 2015]
Coimbra: Almedina. Streeck, W. & Thelen, K. (2009[2005]). Institutional
Malcata, F. X. (2001). A Universidade e a Empresa - Change in Advanced Political Economies in
Exerccio de diagnstico e prospectiva. Lisboa: Hanck, B. (ed.). Debating the Varieties of
Principia. Capitalism A Reader. Oxford: Oxford University
Pereira, T. S. (2004a). Processos de governao da Press, 95-131.
cincia: O debate em torno do modelo de Teixeira, A. (2011). Knowledge transfer and IP
financiamento das unidades de investigao em management at Universities and PROs: Current
Portugal Revista Crtica de Cincias Sociais. 70, 5- situation, good-practices and challenges in
32. Knowledge Transfer Study 2010-12 Iberian
Pereira, T. S. (2004b). Science policy-making, Workshop, UTEN Final Conference, Universidade
democracy and changing knowledge institutions do Porto, Porto, Portugal 14 November 2011.
International Social Science Journal. 180, 245-256. UCPT (2006). Plano Tecnolgico: Uma Estratgia de
Pereira, T. S.; Mendona, S. & Godinho, M. M. (2004). Crescimento com base no Conhecimento,
A comercializao da investigao cientfica na Tecnologia e Inovao.
periferia: Desafios na utilizao do

104
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 104
http://www.planotecnologico.pt [04 December http://www.utenportugal.org [04 December
2015]. 2015].
UTEN (2010). UTEN Portugal University Technology Uyarra, E., & Flanagan, K. (2012). Reframing regional
Enterprise Network, Report 2009-10. innovation systems: evolution, complexity and
http://utenportugal.org/assessment/ [04 public policy. In P. Cooke (Ed.), Re-framing
December 2015]. Regional Development (pp. 146163), Routledge.
UTEN (2011). UTEN Portugal University Technology Weber, K. M., & Rohracher, H. (2012). Legitimizing
Enterprise Network, Report 2011. research, technology and innovation policies for
http://utenportugal.org/assessment/ [04 transformative change. Research Policy, 41(6),
December 2015]. 10371047.
UTEN (S/D). UTEN: The University Technology
Entreprise Network Profissionalizing and
Advancing S&T Commercialization in Portugal.

105
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 105
106
Public Policy Portuguese Journal, Volume 1, Number 1, 2016 106