HANDBOOK OF POLICY TRANSFER, DIFFUSION AND CIRCULATION HANDBOOKS OF RESEARCH ON PUBLIC POLICY Series Editor: Frank Fischer, Rutgers University, New Jersey, USA The objective of this series is to publish Handbooks that offer comprehensive overviews of the very latest research within the key areas in the field of public policy. Under the guidance of the Series Editor, Frank Fischer, the aim is to produce prestigious high-quality works of lasting significance. Each Handbook will consist of original, peer-reviewed contributions by leading authorities, selected by an editor who is a recognized leader in the field. The emphasis is on the most important concepts and research as well as expanding debate and indicating the likely research agenda for the future. The Handbooks will aim to give a comprehensive overview of the debates and research positions in each key area of focus. Titles in the series include: International Handbook on Ageing and Public Policy Edited by Sarah Harper and Kate Hamblin Handbook on Complexity and Public Policy Edited by Robert Geyer and Paul Cairney Handbook of Critical Policy Studies Edited by Frank Fischer, Douglas Torgerson, Anna Durnová and Michael Orsini Handbook of Public Policy Agenda Setting Edited by Nikolaos Zahariadis Handbook of Policy Formulation Edited by Michael Howlett and Ishani Mukherjee Handbook of European Policies Interpretive Approaches to the EU Edited by Hubert Heinelt and Sybille Münch Handbook on Participatory Governance Edited by Hubert Heinelt Research Handbook on Street-Level Bureaucracy The Ground Floor of Government in Context Edited by Peter Hupe Handbook of Behavioural Change and Public Policy Edited by Holger Straßheim and Silke Beck Handbook on Science and Public Policy Edited by Dagmar Simon, Stefan Kuhlmann, Julia Stamm and Weert Canzler Handbook of Policy Transfer, Diffusion and Circulation Edited by Osmany Porto de Oliveira Handbook of Policy Transfer, Diffusion and Circulation Edited by Osmany Porto de Oliveira Assistant Professor, Department of International Relations, Federal University of São Paulo (UNIFESP), Brazil HANDBOOKS OF RESEARCH ON PUBLIC POLICY Cheltenham, UK • Northampton, MA, USA © Osmany Porto de Oliveira 2021; Chapter 6 © Jennifer Robinson All rights reserved. No part of this publication may be reproduced, stored in a retrieval system or transmitted in any form or by any means, electronic, mechanical or photocopying, recording, or otherwise without the prior permission of the publisher. Published by Edward Elgar Publishing Limited The Lypiatts 15 Lansdown Road Cheltenham Glos GL50 2JA UK Edward Elgar Publishing, Inc. William Pratt House 9 Dewey Court Northampton Massachusetts 01060 USA A catalogue record for this book is available from the British Library Library of Congress Control Number: 2020952392 This book is available electronically in the Political Science and Public Policy subject collection http://dx.doi.org/10.4337/9781789905601 ISBN 978 1 78990 559 5 (cased) ISBN 978 1 78990 560 1 (eBook) 2 0 Contents List of contributors vii Foreword xiii Jacint Jordana Acknowledgements xvi 1 A prelude to policy transfer research 1 Osmany Porto de Oliveira PART I CONCEPTS AND METHODS 2 Learning and transfer: who learns what from whom? 26 David P. Dolowitz 3 Mechanisms of policy transfer and policy diffusion 43 Johanna Kuhlmann 4 Translation and translators in policy transfer processes 58 Patrick Hassenteufel and Ulrike Zeigermann 5 Collaborative event ethnography as a strategy for analyzing policy transfers and global summits 80 David Dumoulin Kervran 6 Policy mobilities as comparison: urbanization processes, repeated instances, topologies 100 Jennifer Robinson PART II AGENTS AND STRUCTURES 7 International organizations as complex agents in policy transfer processes 121 Magdaléna Hadjiisky 8 International agencies and urban policy diffusion 155 Richard Stren 9 Private consultants and policy advisory organizations: a blind spot on policy transfer research 173 Diane Stone, Leslie A. Pal and Osmany Porto de Oliveira 10 Instrument constituency and policy transfer: how a collective actor mediates the transnational movement of policy instruments 196 Michael Howlett and Kidjie Saguin v vi Handbook of policy transfer, diffusion and circulation 11 Travelling across developing countries: unpacking the role of South– South Cooperation and civil society in policy transfer 214 Laura Trajber Waisbich, Melissa Pomeroy and Iara Costa Leite 12 Defending the realm: knowledge networks, regime maintenance and policy transfer 237 Leslie A. Pal and Jennifer Spence PART III CULTURE, CONTEXT AND DIRECTIONS 13 Understanding the role of culture in policy transfers 258 Giulia C. Romano 14 Circulations of planning ideas and urban policy mobilities in Latin America 278 Camila Saraiva, Guillermo Jajamovich and Gabriel Silvestre 15 Social policies in movement: diffusion and transfer in Latin America 298 Cecilia Osorio Gonnet 16 Policy transfer in Asia 317 Kidjie Saguin and Kritika Sha 17 Policy transfer within the European Union and beyond: Europeanization in times of stability and crises 337 Ramona Coman and Elsa Tulmets PART IV POLICY INSTRUMENTS 18 The diffusion of democratic innovations 365 Gilles Pradeau 19 Policy transfer of environmental policy: where are we now and where are we going? Examples from water, climate, energy, and waste sectors 386 Raul Pacheco-Vega 20 Policy transfer research in the rural sector 406 Eric Sabourin and Carolina Milhorance 21 Policy transfer in the health sector 425 Matthias Brunn 22 The diffusion of regulatory governance innovations: a research synthesis 443 Fabrizio De Francesco Index 463 List of contributors Matthias Brunn is Postdoctoral Researcher at the CEPEL research unit, Department of Political Science, University of Montpellier, CNRS, and visiting fellow at the CEE, Sciences Po Paris. He has obtained a PhD in Political Science from the University Paris-Saclay, ana- lysing health services and financing reforms in France and Germany, with a focus on the role of policy transfer and translation. His research interests include the comparative analysis of health systems and reforms as well as mental health policies. Ramona Coman is Associate Professor and President of the Institute for European Studies at Université libre de Bruxelles (ULB). Her research focuses on EU integration, EU’s rule-of-law promotion and judicial reforms in Central and Eastern Europe. She coordinates the Jean Monnet module ‘Rule of Law and Mutual Trust in Global and European Governance’. She co-edited Governance and Politics in the Post-Crisis European Union (Cambridge University Press, 2020) with Amandine Crespy and Vivien A. Schmidt. Fabrizio De Francesco is a Senior Lecturer in Public Policy at the School of Government and Public Policy, University of Strathclyde Glasgow. He has been a visiting researcher at the University of Heidelberg, University of Lausanne, and University of Leiden. His research on the diffusion of administrative reform and transnational governance has been published in Comparative Political Studies, Journal of European Public Policy, Policy and Society, Politics and Governance, and Public Administration. David P. Dolowitz is Professor of Politics at the University of Liverpool. He has been the Director of Post Graduate Research for the School of Histories, Languages and Cultures and is currently Director of Post Graduate Research for the Faculty of Humanities and Social Sciences. Professor Dolowitz is the author of numerous publications on policy transfer, learning and knowledge updating, including (with David Marsh) ‘Learning from abroad: The role of policy transfer in contemporary policy making’ (2000), Governance, 13(1), 5–24, and ‘Missing conceptual links in the international environmental policy debate: Power, time and transfer’ (2020), Environmental Politics, 29(4), 569–588. David Dumoulin Kervran is Professor in the University of Sorbonne Nouvelle – IHEAL. He works on the forms of transnational collective action, at the crossroads between network analysis and analysis at different scales of biodiversity conservation policies. Magdaléna Hadjiisky is Senior Lecturer of Political Science at the Institut d’Etudes Politiques of Strasbourg, France. She has a doctorate in political sociology from the Institut d’Etudes Politiques of Paris (Sciences Po) and teaches European studies, comparative government and collective action. She has published numerous articles and book chapters in French, English and Czech on Central European politics and on the reform of the post-communist states, and has co-edited a special issue of the review Politix on ‘businessmen in politics’. More recently, her research has focused on the role of international organizations in processes of policy trans- fer in the European space. She has co-edited Public Policy Transfer: Micro-Dynamics and Macro-Effects (Edward Elgar Publishing, 2017), Shaping Policy Agendas: The Micro-Politics vii viii Handbook of policy transfer, diffusion and circulation of Economic International Organizations (Edward Elgar Publishing, 2020) and ‘Circulation des modèles d’administration’, Special Issue, Revue française d’administration publique (2017). Patrick Hassenteufel is Professor of Political Science at the University of Versailles-Paris-Saclay, where he is director of the doctoral school for social sciences and humanities and researcher at Printemps (a CNRS research institute). He is an elected member of the college of the International Public Policy Association. His main research field is com- parative health policy; he also works on the transformation of European welfare states and more generally on the role of agency in the policy process and policy change. He recently co-edited, with C. Halpern and P. Zittoun, Policy Analysis in France (Policy Press, 2018). Michael Howlett is Canada Research Chair (Tier 1) and Burnaby Mountain Professor in the Department of Political Science at Simon Fraser University. He specializes in public policy analysis, political economy and resource and environmental policy. His articles have been published in numerous professional journals in Canada, the United States, Europe, Latin America, Asia and Australia and New Zealand. He is currently editor of the Annual Review of Policy Design and Policy Sciences and is the past chair of Research Committee 30 (Comparative Public Policy) of the International Political Science Association. He also sits on the Executive Committee of the International Public Policy Association. Guillermo Jajamovich is Adjunct Researcher at the National Council of Scientific and Technical Research – Latin American and the Caribbean Studies Institute at the University of Buenos Aires. He is visiting professor at Universidad Torcuato Di Tella, Universidad Nacional de General Sarmiento, Universidad de Tres de Febrero and FLACSO. He was visiting researcher at the Instituto Iberoamericano de Berlín and the Universidad Nacional Autónoma de México. He coordinates the CLACSO working group ‘Circulación de conoci- mientos y políticas urbanas’ (2019–2022) and the Union Iberoamericana de Universidades project ‘Just city and urban policies in the Ibero-American context: Theories, practices and critique’ (2019–2020). His researches focus on urban policy circulation, large urban projects and just cities. His recent book is Puerto Madero en movimiento. Un abordaje a partir de la circulación de la Corporación Antiguo Puerto Madero (1989–2017) (2018). Jacint Jordana is Director of the Institut Barcelona d’Estudis Internacionals (IBEI) since 2005, and Professor of Political Science and Public Administration at the Universitat Pompeu Fabra (UPF). He is also Research Associate at the Centre for European Studies and Comparative Politics at Sciences Po. He has a PhD in Economics (Universitat de Barcelona, 1992). He has been visiting fellow at the Australian National University, Wissenschafts Zentrum Berlin, Copenhagen Business School, and the University of Munich. From 2005 to 2010, he was co-chair of the ECPR Standing Group on Regulatory Governance. Recent publications include articles, among others, on the diffusion of regulatory institutions, the comparative development of domestic public policies, and policy making in policy networks. Johanna Kuhlmann is Postdoctoral Researcher at the Collaborative Research Centre ‘Global Dynamics of Social Policy’ (CRC 1342), University of Bremen. She received her PhD from the University of Münster in 2016. Her research focuses on comparative social policy and theories of the policy process, with a focus on the role of causal mechanisms. Contributors ix Iara Costa Leite is Associate Professor in the Department of Economics and International Relations of the Federal University of Santa Catarina (UFSC/Florianópolis Campus). She holds a PhD in Political Science (IESP/UERJ) and has conducted research on international development cooperation, South–South cooperation and Brazilian foreign policy for several years. Iara has taken part in multinational research teams, such as the Task-Team on South– South Cooperation (TT-SSC/OECD) and the Rising Power in International Development Programme, coordinated by the Institute of International Development (IDS). Currently her research programme is focused on the interplay between International Relations and Science, Technology and Innovation. As part of it she has launched and coordinates a research group called RICTI (ricti.ufsc.br) and has been a visiting scholar at the School of History and Sociology of the Georgia Institute of Technology under the supervision of Professor John Krige (Capes PVEx Grant). Carolina Milhorance is Postdoctoral Researcher at the Center for Sustainable Development of the University of Brasilia (CDS/UnB). She received her PhD in Political Science from the University of Paris Saclay and the University of Brasilia and holds a Master’s degree in International Affairs and Sustainable Development from Sciences Po Paris. Her experience includes technical advice, research development, and project design and management in Brazilian and international organizations. Her research currently focuses on climate and land use policies in Brazil’s semi-arid and Amazon regions. Her recently published book examines Brazil–Africa policy transfers in the rural sector and the role of international organizations: New Geographies of Global Policy-Making: South–South Networks and Rural Development Strategies (Routledge, 2018). Cecilia Osorio Gonnet is Assistant Professor in the Politics and Government Department at the Universidad Alberto Hurtado in Chile. She has a PhD in Political and Social Sciences from the Universitat Pompeu Fabra and a Master’s in Social Policy and Planning in Developing Countries from the London School of Economics and Political Science. Her areas of research and teaching are public policies, social policies, policy diffusion and knowledge, ideas and actors. Her main books are Latin America and Policy Diffusion (Routledge, 2020), with Porto de Oliveira, O. Montero and C. Kerches, ¿Aprendiendo o emulando? Cómo se difunden las políticas sociales en América Latina (Editorial LOM, Santiago, 2018), and Conditional Cash Transfer Programs in Ecuador and Chile. The role of Policy Diffusion (Palgrave Macmillan, 2020). Raul Pacheco-Vega is an Associate Professor with the Latin American Faculty for Social Sciences (Facultad Latinoamericana de Ciencias Socials, FLASCO) in Mexico. He is a spe- cialist in comparative public policy and focuses on North American environmental politics, primarily sanitation and water governance, solid waste management, neoinstitutional theory, transnational environmental social movements and experimental methods in public policy. Dr Pacheco-Vega’s current research programme focuses on the spatial, political and human dimensions of public service delivery from a comparative perspective. He has been the Editor for the Americas of the International Journal of Qualitative Methods, Associate Editor of the Journal of Environmental Studies and Sciences (JESS), Assistant Editor for Policy Design and Practice, and sits on the editorial boards of the Journal of Comparative Policy Analysis, Water International, Global Environmental Politics, Journal of Environmental Policy and Planning, Regions and Cohesion, International Studies Review, Environment and Planning C: