京都大学 / 0048 / 新制・課程博士 / 博士(地球環境学) / 甲第18486号 / 地環博第120号 / 新制||地環||25(附属図書館) / 31364 / 京都大学大学院地球環境学舎地球環境学専攻 / (主査)教授 宇佐美 誠, 教授 ショウ ラジブ, 准教授 森 晶寿 / 学位規則第4条第1項該当 / Doctor of Global Environmental Studies / Kyoto University / DFAM

京都大学 / 新制・課程博士 / 博士(地域研究) / 甲第24719号 / 地博第311号 / 新制||地||120(附属図書館) / 京都大学大学院アジア・アフリカ地域研究研究科東南アジア地域研究専攻 / (主査)教授 玉田 芳史, 教授 片岡 樹, 准教授 中西 嘉宏 / 学位規則第4条第1項該当 / Doctor of Area Studies / Kyoto University / DGAM

In a time of growing awareness of the climate change crisis, cities are revisiting their policies and practices to align with sustainability aspirations.   Transportation and cycling policies offer a way forward. On visits to best practice cities, policymakers, practitioners and decision-makers learn from local experts in an effort to take ideas home and implement them. The activity of finding out about policies, known as policy transfer, can be explored as a type of experiential learning when it takes place as a bicycle study tour. The policy transfer framework provided by Dolowitz & Marsh (1996, 2000, 2012) and the experiential learning theory of Kolb (2015) can serve as starting points in exploring how policies are transferred during learning activities and interpersonal interactions that involve hosts and visitors during bicycle study tours. The case study of Amsterdam, which has over 500km of separate cycle lanes and 53% of all daily trips made by bicycle (van der Horst, 2014), offers a working, observable example of an alternative future for cities wanting to change their transportation situation. More than 150 groups visit the city annually to find out about its bicycle culture and underlying policies (Sargentini, 2017).  While policy transfer and learning in Amsterdam may be initiated by visitors that take steps to travel to the city, the local hosting situation is made up of different institutions and actors that interact in various ways. Some attention to the governance of urban cycling in Amsterdam to understand the role of the private sector and the responsibilities of different organizations and actors can partially respond to Oldenziel’s (2016) call for research on this topic throughout Europe. Interviews and document research about the hosting situation in Amsterdam reveal several players with varied backgrounds, a rich variety of learning activities, and a loosely governed hosting landscape. Recommendations are made for Amsterdam institutions, hosts, visitors and future research.

Energy generation and use is one of the main contributors to climate change, as it is responsible for two thirds of the global greenhouse gas emissions (IEA 2015). In this context, renewable energies (RE) are increasingly gaining momentum as a key driver for the transition towards a low-carbon society (REN21 2016) and a source of technological and social innovation. The deployment of RE and its integration in large-scale power generation systems has been progressively driven by supportive policy frameworks adopted by pioneering countries such as Germany, Spain and France. This has subsequently fostered a process of learning and spreading of policies between leading countries and other governments willing to implement RE support schemes. Within the field of comparative public policy, different but interrelated approaches of the phenomenon of policy spreading have been developed, among which the most rehearsed are policy diffusion, policy transfer, policy convergence and lesson-drawing. The present study addresses a specific case of policy transfer between Germany-Spain and Peru for the implementation in the latter of a policy framework to foster the development of RE technologies (Legislative Decree 1002) in 2008, and the subsequent adoption of a support policy mechanism, Renewable Auctions (RA) in 2009. The assessment of the policy transfer process has been carried out by applying the Dolowitz and Marsh Model (Dolowitz and Marsh 1996, 2000). Furthermore, an exploratory analysis of the impacts of the policy transfer process in the development of the Peruvian Solar PV technology innovation system has been conducted in order to assess the outcomes of the policy transfer process in terms of RE technological deployment in the country, tackling Solar PV as the RE technology in focus. For this purpose, a simplified adaptation of the technology innovation system framework (TIS) developed by Hekkert et al. 2007 and Bergek et al 2008 has been employed. The results of the study show that the transfer of knowledge related to RE policy-making involved both voluntary and coercive causes. The drivers for the occurrence of policy transfer were the pressure exerted by a foreigner actor (US) for the enforcement of the RE policy framework (LD 1002) in Peru and the institutional support provided by a “convinced bureaucrat” (the former Vice Minister of Energy). The choice of adopting RA instead of other instruments such as  Feed-in-tariffs or Feed-in-premiums is related to the know-how of the country in terms of infrastructure investments and its traditional “modus-operandi”, the availability of natural and financial resources within the country, the perception of technical and financial risks, the negative lessons drawn from the experiences of Spain and Germany regarding the implementation of FITs, and the current state of development of the global RE sector. The policy transfer process has contributed to the development of some components of the Peruvian Solar PV innovation system. From a structural point of view, it has triggered a diversification of the actors involved, mainly driven by the incorporation of large foreign companies specialized in RE, as well as conventional energy companies that have diversified their core activities towards RE. From a dynamic perspective, the implementation of RA has promoted the increase in Solar PV installed capacity and its contribution to the electricity mix, promoting chiefly the function of market formation.

Cette thèse a pour ambition d’analyser un aspect encore mal connu de la transition postsoviétique des États baltes : l’évolution d’une politique étrangère placée entre récepteurs et donneurs d’assistance étrangère au prisme de l’action de parrainage transnational. Nous observons, dans une approche constructiviste, la transformation et la redéfinition des concepts d’identité politique et de solidarité face à l’Autre et le regard que ce dernier porte sur Soi. Malgré l’évolution de cette identité, des continuités persistent : Le rapprochement opéré avec l’Europe de l’Est depuis une dizaine d’années est non seulement l’une de priorités politiques des États baltes, il s’inscrit parallèlement dans leur désir d’aspirer à devenir de « vrais » Européens et d’être perçus comme tels. Cette thèse met en lumière deux dimensions de cette solidarité : la solidarité politique d’une part, la mise en pratique de celle-ci par l’assistance technique, d’autre part. Il s’agit d’abord de comprendre les différentes logiques dans lesquelles s’inscrit la solidarité balte et d’identifier ses acteurs et réseaux. Dans une démarche interdisciplinaire qui croise notamment les mécanismes de Policy Transfer Studies et l’approche historique et comparative, cette thèse s’attache ensuite à mieux définir les processus et les modes de mise en œuvre, ainsi que le rôle des acteurs « émetteurs » (les experts) et leur interaction avec leur partenaires. Elle arrive à la conclusion que les Baltes diffusent et partagent avec les pays du voisinage oriental de l’UE principalement l’expérience qu’ils ont acquise, s’inspirant logiquement de l’action nordique de parrainage dont ils ont bénéficié au cours des années 1990. / This doctoral thesis aims to analyse one of the less known aspects of Baltic transition: the evolution of their foreign policy between receptors and donors of foreign assistance through transnational patronage (1985-2013). In line with the constructivist school of thought, we observe how the concept of political identity and solidarity changes, redefines itself towards the Other and the perception that the latter has on the Self. Notwithstanding the changes in this identity, some continuities seem to persist: The rapprochment with Eastern Europe over the past ten years could viewed as one of the priorities of the Baltic States but it also stems from the desire of these States to become and to be considered as “fully” European. This thesis sheds some light over the two dimensions of this solidarity: the political solidarity and support on the one hand, and its implementation through technical assistance to reforms and trainings of Georgian, Ukrainian and Moldovan elites, on the other hand. In order to better observe how the solidarity is expressed, this study attempts to understand the different logics of the Baltics solidarity, to identify different actors and networks involved. In an interdisciplinary approach intersecting the mechanisms of PTS and the historical and comparative approach, this study takes then focuses on the processes and methods of the implementation, the role of the actors “donors” and their interaction with their partners. It concludes that Baltic States diffuse and share with the Eastern neighbours of EU mostly their own experience inspired from the Nordic States’ patronage action towards the Baltics during the 1990.

Cette thèse a pour ambition d’analyser un aspect encore mal connu de la transition postsoviétique des États baltes : l’évolution d’une politique étrangère placée entre récepteurs et donneurs d’assistance étrangère au prisme de l’action de parrainage transnational. Nous observons, dans une approche constructiviste, la transformation et la redéfinition des concepts d’identité politique et de solidarité face à l’Autre et le regard que ce dernier porte sur Soi. Malgré l’évolution de cette identité, des continuités persistent : Le rapprochement opéré avec l’Europe de l’Est depuis une dizaine d’années est non seulement l’une de priorités politiques des États baltes, il s’inscrit parallèlement dans leur désir d’aspirer à devenir de « vrais » Européens et d’être perçus comme tels. Cette thèse met en lumière deux dimensions de cette solidarité : la solidarité politique d’une part, la mise en pratique de celle-ci par l’assistance technique, d’autre part. Il s’agit d’abord de comprendre les différentes logiques dans lesquelles s’inscrit la solidarité balte et d’identifier ses acteurs et réseaux. Dans une démarche interdisciplinaire qui croise notamment les mécanismes de Policy Transfer Studies et l’approche historique et comparative, cette thèse s’attache ensuite à mieux définir les processus et les modes de mise en œuvre, ainsi que le rôle des acteurs « émetteurs » (les experts) et leur interaction avec leur partenaires. Elle arrive à la conclusion que les Baltes diffusent et partagent avec les pays du voisinage oriental de l’UE principalement l’expérience qu’ils ont acquise, s’inspirant logiquement de l’action nordique de parrainage dont ils ont bénéficié au cours des années 1990. / This doctoral thesis aims to analyse one of the less known aspects of Baltic transition: the evolution of their foreign policy between receptors and donors of foreign assistance through transnational patronage (1985-2013). In line with the constructivist school of thought, we observe how the concept of political identity and solidarity changes, redefines itself towards the Other and the perception that the latter has on the Self. Notwithstanding the changes in this identity, some continuities seem to persist: The rapprochment with Eastern Europe over the past ten years could viewed as one of the priorities of the Baltic States but it also stems from the desire of these States to become and to be considered as “fully” European. This thesis sheds some light over the two dimensions of this solidarity: the political solidarity and support on the one hand, and its implementation through technical assistance to reforms and trainings of Georgian, Ukrainian and Moldovan elites, on the other hand. In order to better observe how the solidarity is expressed, this study attempts to understand the different logics of the Baltics solidarity, to identify different actors and networks involved. In an interdisciplinary approach intersecting the mechanisms of PTS and the historical and comparative approach, this study takes then focuses on the processes and methods of the implementation, the role of the actors “donors” and their interaction with their partners. It concludes that Baltic States diffuse and share with the Eastern neighbours of EU mostly their own experience inspired from the Nordic States’ patronage action towards the Baltics during the 1990.

Cette thèse a pour ambition d’analyser un aspect encore mal connu de la transition postsoviétique des États baltes : l’évolution d’une politique étrangère placée entre récepteurs et donneurs d’assistance étrangère au prisme de l’action de parrainage transnational. Nous observons, dans une approche constructiviste, la transformation et la redéfinition des concepts d’identité politique et de solidarité face à l’Autre et le regard que ce dernier porte sur Soi. Malgré l’évolution de cette identité, des continuités persistent : Le rapprochement opéré avec l’Europe de l’Est depuis une dizaine d’années est non seulement l’une de priorités politiques des États baltes, il s’inscrit parallèlement dans leur désir d’aspirer à devenir de « vrais » Européens et d’être perçus comme tels. Cette thèse met en lumière deux dimensions de cette solidarité : la solidarité politique d’une part, la mise en pratique de celle-ci par l’assistance technique, d’autre part. Il s’agit d’abord de comprendre les différentes logiques dans lesquelles s’inscrit la solidarité balte et d’identifier ses acteurs et réseaux. Dans une démarche interdisciplinaire qui croise notamment les mécanismes de Policy Transfer Studies et l’approche historique et comparative, cette thèse s’attache ensuite à mieux définir les processus et les modes de mise en œuvre, ainsi que le rôle des acteurs « émetteurs » (les experts) et leur interaction avec leur partenaires. Elle arrive à la conclusion que les Baltes diffusent et partagent avec les pays du voisinage oriental de l’UE principalement l’expérience qu’ils ont acquise, s’inspirant logiquement de l’action nordique de parrainage dont ils ont bénéficié au cours des années 1990. / This doctoral thesis aims to analyse one of the less known aspects of Baltic transition: the evolution of their foreign policy between receptors and donors of foreign assistance through transnational patronage (1985-2013). In line with the constructivist school of thought, we observe how the concept of political identity and solidarity changes, redefines itself towards the Other and the perception that the latter has on the Self. Notwithstanding the changes in this identity, some continuities seem to persist: The rapprochment with Eastern Europe over the past ten years could viewed as one of the priorities of the Baltic States but it also stems from the desire of these States to become and to be considered as “fully” European. This thesis sheds some light over the two dimensions of this solidarity: the political solidarity and support on the one hand, and its implementation through technical assistance to reforms and trainings of Georgian, Ukrainian and Moldovan elites, on the other hand. In order to better observe how the solidarity is expressed, this study attempts to understand the different logics of the Baltics solidarity, to identify different actors and networks involved. In an interdisciplinary approach intersecting the mechanisms of PTS and the historical and comparative approach, this study takes then focuses on the processes and methods of the implementation, the role of the actors “donors” and their interaction with their partners. It concludes that Baltic States diffuse and share with the Eastern neighbours of EU mostly their own experience inspired from the Nordic States’ patronage action towards the Baltics during the 1990.

Este estudo teve como objetivo analisar a transferência da política do Tratamento Diretamente Observado (TDO) da tuberculose, em sua fase de manutenção e expansão, nas unidades de Atenção Primária à Saúde em municípios prioritários para o controle da tuberculose no estado do Amazonas. Trata-se de um estudo de métodos mistos, do tipo convergente, com a combinação das vertentes quantitativa e qualitativa, realizado em cinco municípios: Itacoatiara, Manacapuru, Parintins, Tabatinga e Tefé. Na etapa quantitativa participaram 138 profissionais de saúde e na etapa qualitativa sete enfermeiros e quatro Agentes Comunitários de Saúde. O estudo quantitativo foi caracterizado como um estudo tipo inquérito epidemiológico, sendo aplicado o instrumento \"Avaliação da Transferência de Políticas - Inovação, Informação e Conhecimento em Tuberculose - ATP-IINFOC-TB\" agrupado em sete domínios de análise. Para a etapa qualitativa foi utilizado um roteiro para entrevista, previamente testado, composto por questões semiestruturadas relacionados às informações gerais do TDO. A coleta dos dados foi realizada no período de janeiro a abril de 2016. A análise dos dados quantitativos foi realizada por meio de técnicas de estatística descritiva e multivariada, utilizando o software Statistica 12, da Statsoft.Inc e programa R versão 3.2.3. Para a organização dos dados qualitativos utilizou-se o software Atlas.ti 7.0., e a análise dos dados foi realizada por meio do referencial teórico metodológico da Análise de Discurso, em três etapas: Passagem da superfície linguística para o objeto discursivo; Passagem do objeto discursivo para o processo discursivo; Delineamento da formação discursiva e sua relação com a ideologia. Os resultados apontaram que, dos sete domínios avaliados, cinco (ações da gestão, ações da equipe de saúde, recursos para o desenvolvimento do TDO, prática do TDO e percepção sobre estratégias para melhorar o TDO) apresentaram diferença estatística significante para média, apresentando os menores valores na avaliação dos profissionais de saúde. Na análise exploratória dos domínios com menores valores e mediante as sequências discursivas analisadas identificou-se uma infraestrutura deficitária; escassez de recursos humanos; necessidade e dificuldade de adaptação do TDO à realidade local; necessidade de potencializar o processo de discussão entre a equipe; dificuldades que permeiam o processo de tratamento da pessoa com TB; a falta de treinamentos e a necessidade do uso de estratégias de sensibilização para melhorar a prática do TDO. Conclui-se que, para avançar na transferência da política do TDO, os municípios necessitam investir em infraestrutura adequada; disponibilização de materiais educativos; recursos humanos suficientes e qualificados e estratégias que atendam aos indivíduos na sua singularidade, como orientações individuais, acolhimento, uso de figuras, roda de conversa e projetos terapêuticos singulares, considerando as características de cada população e os determinantes sociais de saúde / This study aimed to analyze the transfer of the policy of Directly Observed Treatment (DOT) for tuberculosis, in its phase of maintenance and expansion in the Primary Healthcare Units in priority municipalities for tuberculosis control in the state of Amazonas. This was a mixed methods, convergent study, with a combination of quantitative and qualitative aspects, carried out in five municipalities: Itacoatiara, Manacapuru, Parintins, Tabatinga and Tefé. A total of 138 health professionals participated in the quantitative stage and seven nurses and four community health agents in the qualitative stage. The quantitative study was characterized as a epidemiological, inquiry study, with the application of the instrument \"Policy Transfer Evaluation - Innovation, Information and Knowledge in Tuberculosis - ATP-IINFOC-TB\" covering seven analysis domains. For the qualitative step, a pre-tested script, consisting of semi-structured questions related to general information about DOT, was used for the interviews. Data collection was carried out from January to April 2016. The analysis of the quantitative data was performed through descriptive and multivariate statistical techniques, using the Statistica 12 software, Statsoft. Inc, and R version 3.2.3 program. For the organization of the qualitative data the Atlas.ti 7.0 software was used, and data analysis was performed using the methodological theoretical framework of Discourse Analysis in three stages: Passage from the linguistic surface to the discursive object; Passage from the discursive object to the discursive process; Design of the discursive formation and its relation with the ideology. The results showed that, of the seven domains assessed, five (management actions, health team actions, resources for the development of DOT, practice of DOT and perception of strategies to improve DOT) presented statistically significant differences for the mean, presenting the lowest values in the assessment of the health professionals. In the exploratory analysis of the domains with lower values and through the discursive sequences analyzed, the following factors were identified: a deficient infrastructure; shortage of human resources; need and difficulty to adapt DOT to the local reality; need to enhance the process of discussion among the team; difficulties that permeate the treatment process of the person with TB; lack of training; and need to use awareness strategies to improve the practice of DOT. It was conclude that, to advance in the transfer of the DOT policy, the municipalities need to invest in adequate infrastructure; provision of educational materials; sufficient and qualified human resources; and strategies that contemplate individuals in their uniqueness. such as individual guidance, acceptance, use of figures, wheel of conversation and individual therapeutic projects, considering the characteristics of each population and the social determinants of health

The thesis contributes to the policy transfer literature through the examination of narratives presented by policy actors engaged in policy transfer. The actors’ policy narratives are analysed through the application of the Narrative Policy Framework (NPF). With the use of the NPF, the research investigates the portrayal of narrative elements, including, setting, character, plot, and moral, by the transfer actors, in depicting their perception of the transfer process and object, and of the other actors involved in the policy transfer. The investigation is aimed at having a better understanding of factors that facilitate the occurrence of policy transfer i.e. transfer mechanisms, such as, conditionality, obligation, and persuasion, and how they manifest and drive the transfer process. To examine how policy narratives may inform the manifestation of transfer mechanisms, the research studies two cases of policy transfer involving international governmental organisations (IGOs) as transfer agents. These are i) the transfer of renewable energy policy by the European Union to the Economic Community of West African States (ECOWAS), and ii) the transfer of disaster risk reduction (DRR) policy by the United Nations International Strategy for DRR (UNISDR) to ECOWAS. The thesis argues that the mechanisms of conditionality and persuasion were involved in the transfer of renewable energy policy, while the mechanism of obligation can be observed in the transfer of DRR policy. It further argues that the portrayals of the narrative setting, character, plot and moral, in the policy narratives of the transfer agents and recipient, shaped the manifestation of these transfer mechanisms. The application of the NPF to the two case studies enabled the identification and association of different policy narrative elements that will likely characterise specific transfer mechanisms. In addition, the study highlights the opportunity of broadening policy transfer research beyond a limited geographical reach, through covering two instances of policy transfer to a region in sub-Sahara Africa. It also broadens the group of actors that are often studied in the literature by considering policy transfers initiated and led by IGOs.

The practice of forcing onto developing countries policies developed in other contexts assumes standardised paths to social and economic growth. These policies should enable rapid economic development by “correcting” local market inefficiencies, without considering the role these may have in preserving stability and preventing violence. Moreover, this approach does not address the compatibility of such policies with the culture, values and norms of the receiving country. The thesis aims at extending our understanding of success factors for policy transfer, focusing on organisational schemes for innovation support. It follows the pragmatic Research paradigm and adopts a deductive approach using mixed methods to study the link between administrative efficiency and innovation performance in developing countries, an under-researched area. This thesis argues that policies successfully implemented in culturally proximal contexts are more likely to lead to similar results in the receiving context. The results of the quantitative analysis indicate a strong relationship between administrative efficiency and innovation performance in low-middle income countries in the Middle East and North Africa. The performance of organisational schemes supporting innovation in the national innovation systems of Egypt and Morocco is qualitatively assessed on the basis of 72 face-to-face interviews with entrepreneurs, policy makers and academics. The research finds that similar organisational schemes have produced similar results in the two case studies, confirming the working hypothesis and supporting an approach to policy transfer based on “relevant” good practice.