Submitted by Tatiana Lima (tatianasl@ufba.br) on 2015-03-25T22:32:47Z No. of bitstreams: 1 Ramos, Simone Amorim.pdf: 3336562 bytes, checksum: 03b4e889ee2d1d2a2806b4f67534e5d7 (MD5) / Approved for entry into archive by Tatiana Lima (tatianasl@ufba.br) on 2015-04-06T18:14:48Z (GMT) No. of bitstreams: 1 Ramos, Simone Amorim.pdf: 3336562 bytes, checksum: 03b4e889ee2d1d2a2806b4f67534e5d7 (MD5) / Made available in DSpace on 2015-04-06T18:14:48Z (GMT). No. of bitstreams: 1 Ramos, Simone Amorim.pdf: 3336562 bytes, checksum: 03b4e889ee2d1d2a2806b4f67534e5d7 (MD5) / O presente trabalho tem como objetivo compreender a natureza e as fronteiras de aprendizagem dos processos de migração de escala em instrumentos de políticas públicas. Parte-se de uma abordagem mais sociocêntrica das políticas públicas, compreendendo-as como ação complexa e multiatorial para tratamento de um problema de relevância pública, a partir de instrumentos (co)ativados por diferentes atores sociais, para além do Estado. Assume-se, nesta pesquisa, a centralidade destes instrumentos para o estudo das políticas públicas, voltando o olhar para aqueles que foram redesenhados devido a processos de migração de escala. Instrumentos que nasceram, declaradamente ou não, a partir da relação com outros pré-existentes. Por meio de uma problematização construída a partir da prática e adotando como uma das estratégias metodológicas a reconstrução dos itinerários migratórios de quatro casos tomados como laboratório no âmbito desta pesquisa, foram feitas reflexões nos planos ontológico, epistemológico, analítico e metodológico, identificando e analisando elementos e dinâmicas que ajudam a conformar as fronteiras e a natureza do objeto de pesquisa, ainda não precisado na literatura especializada. Tal esforço analítico resultou em uma proposta de tipificação da migração de escala em instrumentos de políticas públicas, com a modelização de quatro tipos de manifestação do fenômeno, descritos e caracterizados nesta dissertação: a) migração por replicação; b) migração por ampliação; c) migração por inspiração; d) migração por apropriação. Sob influência da sociologia pragmática e compreendendo que o conhecimento ganha importância na medida em que se torna útil, buscou-se ainda modelizar os principais desafios e potenciais de aprendizagem relacionados a cada um dos tipos migratórios singularizados, resultando em um conjunto de problematizações e orientações mínimas para futuras trasladações de instrumentos de políticas públicas. The present study aims at understanding the nature and the frontiers of learning of scale migration processes in public policy instruments. It assumes a sociocentric approach of public policies, understanding them as a complex and multi-actor action for addressing a relevant public issue, through instruments that are (co)-activated by different social actors, beyond (the sphere of) the State. This research assumes the centrality of these instruments for public policy studies, looking at those that were redesigned due to scale migration processes, instruments that were born, no matter if it was declared or not, from relationships with pre-existing ones. There were made some considerations from ontological, epistemological, analytical and methodological points of view; identifying and analysing elements and dynamics that help to configure the frontiers and the nature of the research object, this last one has not yet been delineated in the specialised literature. This was done through a problematization developed from practice and by adopting, as one of the methodological strategies, the migratory itinerary reconstruction of four cases taken as case studies in the scope of this research. Similar analytical efforts resulted in a typification proposal of scale migration processes in public policy instruments, modeling four types of phenomenon expression, described and characterized in this thesis: a) migration due to replication; b) migration due to expansion; c) migration due to inspiration; d) migration due to appropriation. Under the influence of pragmatic sociology and understanding that knowledge becomes relevant once it is useful, this study also attempted to model the main challenges and learning potential related to each migration type specified, resulting in a set of problematization and minimal guidance for future transmigration of public policy instruments.

Como mudam os instrumentos de política pública? A pergunta que intitula este trabalho pode ser respondida através de uma característica principal: gradualismo. Parte dos modelos explicativos que visam compreender transformações em políticas públicas partem de uma análise de fatores e processos exógenos. Estas abordagens constantemente privilegiam a ótica de um dos atores que participam do jogo da distribuição de recursos da política, sejam estes o governo, a sociedade civil, os capitais, ou quaisquer outros atores imersos nestas disputas. Ainda que o olhar para as atuações dos atores seja fundamental, há dois riscos intrínsecos a esta estratégia, são eles: a formação de um viés explicativo de acordo com as premissas dos atores onde se estabelece o enfoque analítico e o abandono dos fatores e processos causais que ocorrem de forma endógena à política. Este trabalho visa oferecer um enfoque analítico que se dá por dentro da política pública, através da análise dos seus instrumentos. Em paralelo à formação de conjunturas críticas externas abruptas, que fogem ao controle dos atores imersos ao jogo, há um processo gradual de mudanças que só é possível captar através deste tipo de abordagem. A análise do instrumento das Operações Urbanas em São Paulo permite compreender como estas alterações internas ocorrem de maneira paulatina e gradual através de um processo de layering - ao passo que conjunturas mais abruptas acontecem de maneira exógena ao instrumento. A combinação destes processos é o que viabiliza transformações mais amplas no instrumento, que são, por fim, institucionalizadas. / How does a public policy instrument change? The question that entitles this dissertation may be answered through a mains characteristic: gradualism. Some of the explanatory models which aim to understand transformations in public policies choose the analysis of external factors and processes. These frameworks constantly privilege the focus on one of the actors whose are embedded on the distributional policy game, being them the government, civil society, private companies or any other actors. Even if the look at these actors remains important, there are two intrinsic risks in this strategy: the existence of an explanatory bias, according to the specific premises of the actors chosen as the analytical focuses and the neglect of the causal factors and processes that happen inside the policy. This or offers an analytical emphasis that occurs endogenously to the policy, through the analysis of its instruments. Simultaneously to the formation of external abrupt critical junctures, there is a gradual changing process which is only able to comprehend through this endogenous look into the policy and its instruments. The analysis of the Urban Operations instrument in São Paulo aims to explicit how this changes happens in a gradual way through a layering process whereas critical junctures emerge in the external environment. The combination of these to processes is what enable broader transformations in the policy instrument, which are ultimately, institutionalized.

Avec pour cas d’étude les sites Natura 2000 du littoral français, cette thèse cherche à améliorer la compréhension des pratiques en matière de mesures locales de conservation de la biodiversité, analysées au travers du concept d’instruments d’action publique : quels sont les instruments choisis, à la fois dans la phase de planification et de mise en oeuvre ? Quels sont les facteurs influençant ces choix ? Une première analyse, quantitative, permet de décrire les mesures prévues dans 113 documents de gestion (Docob) de sites Natura 2000 littoraux. Une méthode de sélection et de moyenne de modèles logistiques binomiaux permet d’identifier les facteurs de contexte orientant les choix des instruments d’action. Une seconde analyse, qualitative, recentrée sur les sites Natura 2000 du littoral breton, permet d’appréhender les modalités de mise en oeuvre des différents instruments disponibles dans la gestion des sites. Nos résultats tendent à montrer que le choix des instruments d’action sur chaque site fait partie des ajustements permettant l’intégration de la politique au sein d’un contexte institutionnel local, formel et informel. En particulier, l’instrument réglementaire semble garder une place non négligeable dans la mise en oeuvre de cette politique, mais cette place est sensible au contexte local, notamment politique. Les instruments propres à certains grands types de milieux sont mis en avant. Nos résultats viennent questionner le caractère autonome de la politique Natura 2000 en mer. Ils permettent également d’éclairer les forces et les faiblesses des différents instruments d’actions dans la phase de mise en oeuvre, notamment au regard des coûts de transaction qu’ils génèrent. Face aux difficultés identifiées, l’importance de la complémentarité opérationnelle des instruments d’essences volontaire et obligatoire, de l’implication des collectivités territoriales et de la mobilisation des animateurs Natura 2000 présents sur chaque site, est soulignée. / Taking the Natura 2000 sites on the French coastal area as a case study, this work aims at strengthening the understanding of the practices in terms of local biodiversity conservation measures, analysed through the concept of public policy instruments : what are the instruments that are chosen, during both the planning and implementation phases? What are the factors influencing these choices? Our work combines two approaches. First, a quantitative analysis allows us to describe the measures that are provided in 113 management documents (Docobs) of coastal Natura 2000 sites. Through a method to select and average binomial logistic models, we identify contextual factors that influence the choice of instruments of action. Second, a qualitative analysis focuses on the coastal Natura 2000 sites in Brittany and paves the way to a better understanding of the implementation of the different instruments available for the management of the sites. Our results tend to show that the choices of instruments of action on each site are parts of the adjustments allowing the integration of the policy into a formal and informal institutional local context. In particular, the regulatory instrument seems to play a significant role in the implementation of this policy, but this role is sensitive to the local context of the site, especially the political context. We emphasize the association of some instruments to different types of ecosystems. Our results lead to question the autonomous nature of the Natura 2000 policy for the marine area. Our results also highlight the strengths and weaknesses of the different instruments of action in the implementation phase, especially with regards to the associated transaction costs. In the face of the constraints that we identify, we stress the importance of the operational complementarity of voluntary and regulatory instruments, of the commitment of local authorities and of the leading role of the Natura 2000 site managers.

Como mudam os instrumentos de política pública? A pergunta que intitula este trabalho pode ser respondida através de uma característica principal: gradualismo. Parte dos modelos explicativos que visam compreender transformações em políticas públicas partem de uma análise de fatores e processos exógenos. Estas abordagens constantemente privilegiam a ótica de um dos atores que participam do jogo da distribuição de recursos da política, sejam estes o governo, a sociedade civil, os capitais, ou quaisquer outros atores imersos nestas disputas. Ainda que o olhar para as atuações dos atores seja fundamental, há dois riscos intrínsecos a esta estratégia, são eles: a formação de um viés explicativo de acordo com as premissas dos atores onde se estabelece o enfoque analítico e o abandono dos fatores e processos causais que ocorrem de forma endógena à política. Este trabalho visa oferecer um enfoque analítico que se dá por dentro da política pública, através da análise dos seus instrumentos. Em paralelo à formação de conjunturas críticas externas abruptas, que fogem ao controle dos atores imersos ao jogo, há um processo gradual de mudanças que só é possível captar através deste tipo de abordagem. A análise do instrumento das Operações Urbanas em São Paulo permite compreender como estas alterações internas ocorrem de maneira paulatina e gradual através de um processo de layering - ao passo que conjunturas mais abruptas acontecem de maneira exógena ao instrumento. A combinação destes processos é o que viabiliza transformações mais amplas no instrumento, que são, por fim, institucionalizadas. / How does a public policy instrument change? The question that entitles this dissertation may be answered through a mains characteristic: gradualism. Some of the explanatory models which aim to understand transformations in public policies choose the analysis of external factors and processes. These frameworks constantly privilege the focus on one of the actors whose are embedded on the distributional policy game, being them the government, civil society, private companies or any other actors. Even if the look at these actors remains important, there are two intrinsic risks in this strategy: the existence of an explanatory bias, according to the specific premises of the actors chosen as the analytical focuses and the neglect of the causal factors and processes that happen inside the policy. This or offers an analytical emphasis that occurs endogenously to the policy, through the analysis of its instruments. Simultaneously to the formation of external abrupt critical junctures, there is a gradual changing process which is only able to comprehend through this endogenous look into the policy and its instruments. The analysis of the Urban Operations instrument in São Paulo aims to explicit how this changes happens in a gradual way through a layering process whereas critical junctures emerge in the external environment. The combination of these to processes is what enable broader transformations in the policy instrument, which are ultimately, institutionalized.

Over the past decade, Social Impact Investing (SII) has garnered increasing attention among public policy makers as a solution for multigenerational, complex, intractable social and environmental problems, or as some advocates like to say, ‘wicked’ problems. The growing interest in SII aligns with the expansion, since the 1980s, of a set of public sector reforms that make use of new public policy instruments to achieve public objectives. Neoliberal economists and New Public Management (NPM) theorists have long argued for these reforms to improve the effectiveness and efficiency of government bureaucracies. These reforms have led to a paradigm shift that Lester M. Salamon has labeled ‘New Governance’, characterized by public policies that make use of market mechanisms, partnerships with new actors, networks and flexible rules. Public administration scholars have suggested focusing on public policy instruments instead of the traditional focus on programs and institutions to gain an understanding of the dynamics of the ‘New Governance’ paradigm and to address important questions that go beyond the dimensions of effectiveness and efficiency. This dissertation draws on Lester M. Salamon’s framework for analyzing public policy instruments combined with a conceptual framework developed by the Organization for Economic Development and Cooperation (OECD). The thesis uses this framework to assess the SII market by examining three cases of Canadian federal public policy instruments designed and implemented to achieve socio-economic objectives. These policy instruments provide either a cash transfer or a tax incentive to create investment funds mandated to invest with a purpose of making a return and achieving a positive social outcome. The dissertation employs a qualitative research approach and case study method to explore questions of equity and effectiveness to produce findings and recommendations useful to pubic administration scholars who focus their research on public policy instruments and to public policy makers who are considering policy options for structuring and growing the SII market. Data was collected through an extensive document review and 19 semistructured interviews. A dimensional analysis, SII analysis and discourse analysis of the data were undertaken. The researcher made the choice of undertaking a discourse analysis in order to fill a gap in the public policy instrument literature and inform the debate on SII. This dissertation contributes to the body of knowledge on public policy instruments and SII by presenting the results of a comparative analysis of three public policy instruments that created investment funds mandated to produce socio-economic outcomes.

En Europe le processus de subsidiarisation des politiques sociales et de l’emploi (Kazepov, 2010) impacte fortement les réseaux locaux d’acteurs liés à la mise en place de nouvelles politiques actives (van Berkel et Borghi, 2007 ; Heidenreich et Rice, 2016). Ses conséquences sont gérées au quotidien par les professionnels intervenant auprès des citoyens. Ils expliquent aux usagers les fractures d’un Etat social en phase de transition – d’une socialisation des risques collectifs à une responsabilité individuelle de la protection (Bresson, Colomb et Gaspar, 2015 ; Andreotti, Mingione et Polizzi, 2012) – et ils donnent du sens aux frontières institutionnelles, géographiques et sociales (Ferrera, 2005), construites entre les dispositifs des politiques actives.La question de recherche de cette thèse vise à montrer en quoi le modèle européen de politiques actives de l’emploi structure les pratiques et les fonctionnements de nouveaux systèmes locaux de welfare. Pour y répondre elle aborde les stratégies d’acteurs face aux antinomies causées par la dimension rhétorique du nouveau welfare actif (Bifulco, 2005) et la dimension pratique de la crise des financements. Il s’agit donc de traiter la question des marges de manœuvre des street level bureaucrates (Lipsky, 1980) pour faire face au changement et donner du sens à des directives européennes souvent éloignées des terrains d’intervention et des caractéristiques des publics cibles.Au niveau théorique, l’objectif de ce travail de recherche est de proposer un cadre conceptuel capable d’expliquer le processus de subsidiarisation et de l’activation de l’Etat social à partir de ses effets. Notre hypothèse de travail nous amène à explorer une corrélation entre les politiques actives de l’emploi et : 1. la fragmentation territoriale des institutions et des réseaux d’acteurs ; 2. la spécialisation des services publics de l’emploi ; 3. les nouveaux instruments de contractualisation ; 4. la professionnalisation et précarisation des intervenants.A l’aide d’une recherche comparative en France et en Italie, nous proposons une analyse des stratégies professionnelles intervenant dans les politiques sociales d’insertion en faveur des jeunes. A propos de politiques de jeunesse, elles nous montrent les composantes des systèmes locaux de welfare (Loncle, 2011) et dessinent les modalités de protection sociale pour les nouvelles générations. En outre, depuis la mise en place de la Stratégie Européenne de l’Emploi en 1997 et le Pacte Européen pour la jeunesse en 2005, elles indiquent les modalités de transition vers l’âge adulte et définissent les critères d’employabilité dans le marché de l’emploi européen. Nous privilégions la méthode spécifique des vignettes (Barter et Renold, 2000 ; Finch, 1987 ; Hughes et Huby, 2002) afin de montrer les coulisses et les stratégies d’acteurs dans le processus d’activation. Nous complétons ces matériaux d’enquête avec des entretiens semi-directifs et des observations participantes visant à interroger différents niveaux d’acteurs, institutionnels et professionnels, liés à la restructuration du welfare local. / In Europe the subsidiarisation process of social policies and employment strategy impacts the local networks of actors linked to the development of new active policies. Its consequences are managed daily by professionals working with citizens. They explain to users fractures of a welfare state in transition - from a socialization of collective risks to an individual responsibility of protection- and they give meaning to the institutional boundaries , geographical and social , built between active political devices.The research question of this thesis is to show how the European model of active employment policy structure practices and operations of new premises of welfare systems. To answer it discusses the strategies of actors face the contradictions caused by the rhetorical dimension of the new active welfare and the practical dimension of the crisis of funding. It is therefore addressing the issue of flexibilities of street level bureaucrats to deal with change and make sense of often remote European directives intervention courses and characteristics of target audiences.At the theoretical level, the objective of this research is to propose a conceptual framework to explaining the process of subsidiarisation and activation of the welfare state from its effects. Our working hypothesis leads us to explore a correlation between active employment policies and : 1. the territorial fragmentation of institutions and stakeholder networks ; 2. the specialization of public employment services; 3. the new instruments of contracts ; 4. professionalization and casualization of stakeholders.Using a comparative research in France and Italy, we offer an analysis of professional strategies involved in social integration policies for young people. About youth policy, they show the components of the local systems of welfare (Loncle, 2011) and draw welfare conditions for the new generations. In addition, since the implementation of the European Employment Strategy in 1997 and the European Youth Pact in 2005, they indicate the transition arrangements to adulthood and define the criteria of employability in the market European employment. We prefer the specific method thumbnails (Barter and Renold, 2000; Finch, 1987; Hughes and Huby, 2002) to show the scenes and actors strategies in the activation process. We complet these survey materials with semi-structured interviews and participant observation to examine different levels of actors, institutions and professionals related to the restructuring of the local welfare.

Cette recherche doctorale part de l’hypothèse générale selon laquelle la méthode communautaire classique serait concurrencée dans les faits par de nouveaux instruments juridiques qui, loin de constituer des initiatives isolées, participent d’un modèle alternatif de gouvernance communautaire qui la transforme en profondeur. <p><p>Afin d’identifier les caractéristiques, les contours et les nouvelles formes de normativités de ce modèle alternatif, cette recherche a adopté une approche pragmatique de l’étude droit et étudie empiriquement et systématiquement six politiques publiques européennes :la stratégie européenne pour l’emploi (SEE) et la Méthode Ouverte de Coordination (MOC), le programme européen REACH; la politique européenne de l’eau; la politique comptable européenne; la politique de régulation des services financiers; et la lutte contre le réchauffement climatique et le marché européen du carbone. Ces politiques publiques sont étudiées au moyen d’une approche par les instruments d’action publique qui s’inspire de la démarche et des recherches effectuées par Michel Foucault sur la « gouvernementalité ». <p><p>Cette analyse nous aura permis de démontrer que la transformation de la méthode communautaire classique se constate à au moins trois niveaux. Au niveau des acteurs, on assiste à un renforcement de la place des acteurs privés et de la société civile dans les politiques publiques étudiées. La transformation de l’action publique européenne réside également dans l’utilisation abondante de nouveaux instruments d’action publique - plus techniques que politiques et plus incitatifs que contraignants (du type benchmarking) - qui impliquent systématiquement une collaboration entre acteurs publics et privés à différents niveaux du processus décisionnel (coproduction normative). Enfin le mode de sanction est devenu une « contrainte par l’image » reposant sur la figure du « mauvais élève de la classe » véhiculée principalement par des publications de classements basées sur une classification des bonnes pratiques. Corrélativement, cette transformation se constate également dans les phases d’élaboration, d’exécution et de contrôle du droit de l’Union européenne. <p><p>Une fois les caractéristiques et les contours de ce modèle alternatif dessinés sur base des politiques publiques étudiées, cette recherche s’est ensuite tournée vers une présentation des discours (politiques et juridiques) et écoles de pensées (Law and Economics / New Public Management / Démocratie délibérative / Expérimentalisme démocratique) permettant de justifier son existence et, par là, de fonder sa légitimité. Enfin, si ce nouveau modèle peut prétendre à une certaine légitimité ou nécessité et s’il n’apparaît pas envisageable de revenir en arrière, sa non-concordance avec le traité est problématique. En effet, ce modèle pose une série de questions relatives au manque de contrôle sur l’activité des institutions de l’Union et à la sauvegarde de l’ordre juridique constitutionnel européen. Plus précisément, l’étude de la question de la protection juridictionnelle effective et du respect du principe de l’équilibre des pouvoirs permet d’identifier un certains nombre d’écueils et de proposer des suggestions d’amélioration pragmatique du modèle décisionnel européen au regard des nouveaux instruments juridiques de la gouvernance européenne.<p><p><p>The starting point of my doctoral research is that the Classic Community Method, as described in the Lisbon Treaty, does not enable one to understand the manner in which law is currently produced in the European Union. I claim that the Community Method is in fact challenged and transformed by new legal instruments that, far from being isolated initiatives, are part of an alternative model of governance.<p><p>My research adopts a programmatic approach as to identify the features, contours and new forms of normativity of this alternative model. It studies empirically and systematically six European public policies through “an approach by instruments” inspired in the writings of Michel Foucault on "governmentality”.<p><p>This analysis shows that the transformation of the Classic Community method occurs at least at three levels. First, there is a strengthening of the role of private actors and civil society in policy making. Second, the transformation of European public action also lies in the abundant use of new policy instruments - rather technical and political incentives than binding rules (benchmarking) - that involve a systematic collaboration between public and private actors at different levels of decision-making (co-regulation). Third, control and sanctions rely greatly on a “constrained by image” system based primarily on publications of rankings and classifications of good practices.<p><p>After I present the features and contours of this alternative model, my research analyzes the political and legal discourses, as well as the schools of thought (Law and Economics / New Public Management / Deliberative Democracy / Democratic Experimentalism), that justify its existence and, therefore, its legitimacy.<p>Finally, my doctoral work rises the question about the lack of control over these regulatory activities and brings to light the safeguards that should be taken by the European Court of Justice to respect European Union’s Constitutional law<p> / Doctorat en Sciences juridiques / info:eu-repo/semantics/nonPublished