estudos internacionais • Belo Horizonte, ISSN 2317-773X, v. 8, n. 2, (jun. 2020), p. 8 - 26

International development cooperation as

one of the triggers for the process of public

policy transfer

A cooperação internacional para o desenvolvimento

enquanto gatilho no processo de transferência de políticas

públicas

La cooperación internacional como gatillante para la

transferencia de políticas públicas

Cecilia Osorio Gonnet

Maria Clara Oliveira

José Miguel Vergara

DOI: 10.5752/P.2317-773X.2020v8.n2.p8

Recebido em: 02 de setembro de 2019

Aceito em: 17 de novembro de 2019

A

On the one hand, transfer is a process by which governments intentionally use

ideas about how policies in other countries work to design or redesign their own

public policies (Dussauge, 2012). On the other hand, cooperation is a process

that recognizes the existence of an interdependence between states and the

international arena. This article aims to discuss and clarify the relation between

international cooperation and policy transfer. Drawing on the analysis of devel-

opment cooperation in Brazil and Chile, we discuss how technical cooperation

agreements between these countries and third parties, encourage the transfer of

public policies, in particular of those considered as models in the area of social

policy, namely Bolsa Família and Chile Solidario. This article demonstrates that

international development cooperation facilitates the existence of processes that

allow for the transfer of specic components of social policies to other con-

texts. The analysis is based on a literature review and on information gathered

through interviews conducted with relevant actors.

Keywords: Transfer. Cooperation. Cash transfers. Brazil. Chile.

R

Por um lado, a transferência de políticas é um processo no qual os governos

utilizam intencionalmente informação sobre políticas de outros países para de-

senhar ou redesenhar as suas próprias iniciativas (Dussauge, 2012). Por outro, a

cooperação é um processo que reconhece a existência de interdependência entre

os estados e a arena internacional. Este artigo visa discutir e aclarar a relação

1. This article is a product of the

Research Project “Proyecto Fondecyt

Iniciación Nº 11160363 «¿Cómo viajan

las ideas? La tecnocracia chilena como

agente de transferencia de programas

sociales a Guatemala y Paraguay». Main

Researcher: First Author. This article is

also a partial result of the Research Pro-

ject “Governança multinível em políticas

sociais nacionalmente estruturadas: o

caso da assistência social”, coordinated

by Dr.Renata Bichir and developed

within Centro de Estudos da Metrópole

(Centro de Pesquisa, Inovação e Difusão

and Fundação de Amparo à Pesquisa

do Estado de São Paulo) (CEM/CEPID/

Fapesp). This project is funded by

Fapesp (process no. 2013/07616-7). A

preliminary version of this article was

presented at the International Conferen-

ce on Policy Diffusion and Development

Cooperation, May 16th-19th, 2018 Sao

Paulo-Brazil.

2. 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. 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 and Osorio, Cecilia (2018) “Le-

arning or emulating: how social policies

are disseminated in Latin America”.

Editorial LOM, Santiago. https://orcid.

org/0000-0002-5515-2373

3. Maria Clara Oliveira holds a PhD in

Political Science (University of Sao Pau-

lo, Brazil). She holds a Researcher posi-

tion at Instituto de Direito Económico,

Financeiro e Fiscal (IDEFF, Portugal) and

was previously a Junior Researcher at

Centro de Estudos da Metrópole (CEM,

Brazil). Her interests include social

policy, cash transfers, public policy, and

policy diffusion and transfer. ORCID ID:

https://orcid.org/0000-0003-3045-6300

Cecilia Osorio Gonnet, Maria Clara Oliveira e José Miguel Vergara Internaonal development cooperaon as one of the triggers for the process of public policy transfer

entre cooperação internacional e transferência de políticas públicas. A partir de

uma análise da cooperação para o desenvolvimento promovida pelo Brazil e

pelo Chile, debatemos como os acordos de cooperação técnica assinados entre

estes dois países e terceiros contribuem para a transferência de políticas públicas,

em particular daquelas que são tidas como modelos na área de política social,

tais como o Bolsa Família e o Chile Solidario. Este artigo demonstra que a co-

operação internacional para o desenvolvimento facilita a existência de processos

que permitem a transferência de componentes especícos de políticas públicas

para outros contextos. A análise baseia-se na revisão de literatura e em infor-

mação recolhida por meio de entrevistas conduzidas com atores relevantes.

Palavras Chave: Transferência. Cooperação. Programas de Transferência Mon-

etárias Condicionada. Brasil. Chile.

R

Las transferencias de políticas son, por un lado, un proceso por el cual los

gobiernos utilizan intencionalmente información sobre políticas de otros países

para diseñar o rediseñar sus propias iniciativas (Dussauge, 2012). Por otro lado,

la cooperación es un proceso que reconoce la existencia de interdependencia

entre los Estados en la arena internacional. Este artículo tiene como objetivo

discutir y aclarar la relación entre la cooperación internacional y la transfer-

encia de políticas públicas. A partir de un análisis de la cooperación para el

desarrollo promovida por Brasil y por Chile, debatiremos como los acuerdos de

cooperación técnica rmados entre estos dos países y terceros contribuyen para

la transferencia de políticas públicas, en particular de aquellas que son tomadas

como modelos en el área de las políticas sociales, tales como “Bolsa Familia”

y el programa “Chile Solidario”. Este articulo demuestra que la cooperación

internacional para el desarrollo facilita la existencia de procesos que permiten la

transferencia de componentes especícos de políticas públicas para otros contex-

tos. El análisis está basado en la revisión de literatura e información recopilada

por medio de entrevistas a actores relevantes.

Palabras clave:

Transferencia. Cooperación Internacional. Programas de Transferencia Condi-

cionada. Brasil. Chile.

Introduction

This paper aims to discuss the relation between international coop-

eration and policy transfer in the context of a policy diusion process. On

the one hand, transfer is understood as a process by which governments

intentionally use ideas regarding the functioning of existing policies in oth-

er countries for the design or redesign of their own public policies (DUS-

SAUGE, 2012). On the other hand, cooperation is a process that recognizes

the existence of an interdependence between states and the international

arena, this means that there would be mutual and reciprocal dependence

between the various actors, where the actions of some would aect the

political-economic conditions of others (KEOHANE; NYE, 1977).

The links between cooperation and policy transfer have already

been discussed (CONSTANTINE; SHANKLAND, 2017; STONE, 1999)

and the literature on the circulation of ideas has debated this topic both

theoretically and empirically. However, and in spite of the recent advanc-

es, we believe that the relation between cooperation and policy transfer

4. José Miguel Vergara, Master in

Public Policy and Management, Univer-

sidad de Chile. Political Scientist with

specialization in Government and Public

Management, Universidad Alberto

Hurtado. His research areas are public

policy, social policy and knowledge

transfer.

estudos internacionais • Belo Horizonte, ISSN 2317-773X, v. 8, n. 2, (jun. 2020), p. 8 - 26

deserves more attention. To begin with, studies often mention coopera-

tion as a type of transfer, but oer no explanation on how to proceed with

the empirical application of the concepts, that is how to recognize the

specic characteristics of each one.

There is still something of a “missing middle” between the micro (in-country)

and macro (geopolitical) levels, since there is as yet little research that has used

a diusion or transfer lens to analyse the role played in less coercive forms of

transfer by the international-level institutional and policy architecture of devel-

opment cooperation itself (CONSTANTINE; SHANKLAND, 2017, p. 101).

Furthermore, we argue that the discussion concerning the actors

involved in a cooperation process can be enriched identifying the diverse

range of actors and instances where they interact. Lastly, we expect to

contribute to the debates by focusing on Latin-American countries, where

“the phenomenon of ‘voluntary’ policy transfer (…) under the rubric of

South-South Cooperation (SSC) has received far less attention, despite its

long history and growing importance” (CONSTANTINE; SHANKLA-

ND, 2017, p. 100). Finally, as Stone, Porto de Oliveira and Pal (2019) argue:

[b]y analysing development cooperation and policy transfer together, new mecha-

nisms operating within these processes can be seen. Policies need inevitably to be

translated to adapt to such contexts, informal cooperation is often displayed among

countries, and there can be dierent forms of resistance such as peasants ghting

against agricultural technology transfers.” (STONE; OLIVEIRA; PAL, 2019, p. 13).

Considering the former, our research question is: what is the con-

tribution of international cooperation to policy transfer? We argue that

cooperation is one of the channels through which policy transfer might

occur. In that sense, the existence of cooperation between states allows

the circulation of information, policy makers and models of public poli-

cies, creating an environment that enables transfer to occur. In addition,

cooperation agreements indicate specic actions and activities, thus con-

tributing directly to policy transfer.

In order to illustrate our views, we analyze Brazilian and Chilean

cooperation in the area of cash transfers between 2002 and 2015, a peri-

od that encompasses the creation and implementation of Chile Solidario

(CHS) and Bolsa Familia (BF) programs

. These cases were chosen be-

cause both countries have recently developed policies that are considered

to be best practices and, thus, have attracted international attention

. The

Chilean and Brazilian programs are relevant in terms of their compo-

nents and in what concerns the presence of cooperation and social devel-

opment agencies.

The information on the cases was gathered through the analysis of

the research produced on the topic and of ocial documents. Additional-

ly, a total of 34 semi-structured interviews were conducted between Oc-

tober 2015 and October 2018, with academics, bureaucrats, and interna-

tional organizations’ representatives. These individuals were selected be-

cause of their involvement with the Brazilian and the Chilean programs

and/or because of their participation in cooperation strategies developed

within the eld of social policies involving Chile and/or Brazil. The inter-

views were conducted in person in dierent sights – Chile (2016 to 2018),

Brazil (2015 to 2017), Paraguay (2018), Colombia (2018) and Guatemala

(2018). When the contact in person was not possible, the interviews were

5. In Brazil, cash transfer programs

have been implemented at the local

level since 1995 and the ﬁrst national

program dates from 2001. However, we

will focus only on BF program, which

is why we are considering this speciﬁc

period of time in our analysis.

6. Another relevant case of social

policy exported to other countries is the

Mexican program Progresa/Oportunida-

des/Prospera (BANEGAS-GONZÁLEZ;

MORA-SALAS, 2012; PECK; THEODORE,

2015; VALENCIA, 2008). However, for

this study we have decided to focus

on two cases since a reduced number

allows us to do a more detailed study

and also because these two programs

have different designs, whereas there is

a greater similarity between the Mexi-

can and the Brazilian programs.

Cecilia Osorio Gonnet, Maria Clara Oliveira e José Miguel Vergara Internaonal development cooperaon as one of the triggers for the process of public policy transfer

conducted via Skype. The goal was to clarify some of the information

that was already provided by other sources and to collect additional in-

formation.

The article is divided in three sections. In the rst part we critically

review the literature on policy transfer and cooperation. Secondly, we

analyze Brazilian and Chilean cooperation related to cash transfers. The

nal section is dedicated to the discussion of the relation between cooper-

ation and policy transfer, considering the evidence of the cases.

Transfer and cooperation

A rst step to discuss policy transfer and cooperation is to clari-

fy what we understand by the two concepts. Firstly, it is important to

mention that the study of policy transfer is part of a growing body of

literature on the circulation of ideas and policy models. An increasing

awareness of the interconnection between dierent units and of the im-

pact of external inuences in the development of policies has led to a

recent growing interest for these topics, producing important theoretical

and empirical studies (for example, DOLOWITZ; MARSH, 1996, 2000;

DUSSAUGE, 2012; EVANS; DAVIES, 1999; LEVI-FAUR, 2005; STONE,

1999; SUGIYAMA, 2011; PORTO DE OLIVEIRA; FARIA, 2017).

It is important to distinguish between the main streams in the lit-

erature. Porto de Oliveira and Faria (2017, p. 13) suggest to dierentiate

along these lines:

[p]olicy transfer deals with rather restricted processes involving a few politi-

cal units and their interactions, while policy diusion is seen as a process that

encompass several states, eventually from distinct continents. Policy circulation

is a term that has been employed to frame rather diuse and multidirectional

processes, as we will see ahead.

Diusion is a process “by which the adoption of innovation by

member(s) of a social system is communicated through certain channels

and over time, and activates mechanisms that increase the likelihood of

adoption by other members who have not yet adopted it” (LEVI-FAUR,

2005, p. 23). It is also relevant to highlight that the dissemination of an

idea or policy in a diusion process is an uncoordinated process, when

compared to transfer. Thus, countries would not act completely inde-

pendently or in a coordinated manner, but in an uncoordinated interde-

pendence (ELKINS; SIMMONS, 2005).

The term policy transfer was coined by Dolowitz and Marsh (2000)

who dene it as the “process by which knowledge about policies, admin-

istrative arrangements, institutions and ideas of a political system (past or

present) is used in the development of policies, administrative arrange-

ments, institutions and ideas in another political system” (DOLOWITZ;

MARSH, 2000, p. 5). Transfer is also, understood as a process by which

“governments intentionally use ideas / lessons about the functioning of

existing policies and institutions in other countries to inform the (re) de-

sign / implementation of their own public policies” (DUSSAUGE; 2012,

p. 52). The policy transfer approach distinguishes between voluntary, ne-

gotiated and coercive forms of transfer and tries to determine what is

estudos internacionais • Belo Horizonte, ISSN 2317-773X, v. 8, n. 2, (jun. 2020), p. 8 - 26

transferred, who is involved and under what conditions it is developed

(BENDER; KELLER; WILLING, 2014). In that sense, the literature identi-

es diverse mechanisms of transfer such as emulation, mixture, harmoni-

zation, hybridization, assemblage, between others (BENDER; KELLER;

WILLING, 2014; DOLOWITZ; MARSH, 2000; PRINCE, 2010).

According to Bennett (1997) and Stone (2001), the processes of

adopting a policy, or part of it, are attributable to transfer only if this pro-

cess is not the product of internal idiosyncratic factors; if during the adop-

tion the responsible politicians are aware of the adoption of the policy

or part of it in other places and if external experiences were used for the

domestic debate. Finally, Jules (2015) arms that another type of transfer

is the cooperative policy transfer. This concept highlights the interest of

one actor to transfer a policy among other units (MAVROT, 2017). In

addition, this author arms that the policy transfer processes should not

just be viewed as unilateral movements between two units “and can be

truly polycentric in nature” (MAVROT, 2017, p. 121).

The actors who take part in the processes are a key aspect that has not

been taken into account when studying policy transfer. As Dolowitz, Pluga-

ru and Saurugger (2019, p. 4) arm, “actors make transfer possible”. Actors

are those who carry out relevant actions and who intervene at some stage

of the public policy process (DENTE; SUBIRATS, 2014). According to Stone

(2001) in the transfer literature, the usual response to the question “who

transfers the policy” is “governments”, privileging the ocial actors as bu-

reaucrats, politicians and agencies. However, Dolowitz and Marsh (1996) list

a number of actors who might play a role in transfer that goes beyond the

former – i.e.: elected ocials, bureaucrats, political parties, pressure groups,

policy entrepreneurs/experts and supranational institutions. In addition, it

is important to consider the role of other actors, such as academics, epistem-

ic communities and think tanks. All of them are signicant for their role in

the production, dissemination and legitimization of knowledge and ideas

which can contribute to the design of policies or for their diusion.

As there are several types of actors, it is relevant to distinguish the

dierent roles that they play and the channels through which they act.

Evans and Davies (1999) arm that non-state actors participate in the soft

transfer of ideas that inuences the public agenda; while, stakeholders

are involved in hard transfer of practices that require formal decisions

(STONE, 2001). Dolowitz, Plugaru and Saurugger (2019) indicate that

power relations can be modied by national actors, reorienting the in-

tended goal of a transfer. That is to say that “(…) even when actors appear

to be subservient to the international, they can be in a position to change

power relations, even to the point of deviating the course of the transfer

process in order to frame it in accordance to their needs” (DOLOWITZ;

PLUGARU; SAURUGGER, 2019, p. 6). In addition, “policy transfer gener-

ally involves a range of tactics on the part of the policy makers to make ex-

tralocal policy programmes applicable in local circumstances” (PRINCE,

2010, p. 171). Therefore, the identication of the key actor in each process

of transfer is relevant to the understanding of its micro dynamics.

Furthermore, actors might use dierent channels to exert their in-

uence and to operate transfer processes. We argue that cooperation is

Cecilia Osorio Gonnet, Maria Clara Oliveira e José Miguel Vergara Internaonal development cooperaon as one of the triggers for the process of public policy transfer

one of the channels that they may use. Cooperation can be understood

as a process that recognizes the existence of an interdependence between

states and the international arena, meaning that there would be mutual

and reciprocal dependence between the various actors, where the action

of some would aect the political-economic conditions of others (KEO-

HANE; NYE, 1977). It can be seen as a relationship between partners try-

ing to combine a set of actions and criteria to achieve common objectives

at the international level. Such processes might involve actors such as

states, supranational organizations, international organizations, national

organizations, institutions, non-governmental organizations and individ-

uals (SABAT, 2008).

Cooperation can occur within dierent frames

(CONSTANTINE

AND SHANKLAND, 2017; ACGI, 2017; INSTITUTO CAMÕES, N/D).

Bilateral cooperation is carried out between two countries that follow

patterns and behavioral guidelines dened jointly and it is generally es-

tablished within a governmental sphere and through formal channels.

Triangular cooperation takes place when two or more countries or a mul-

tilateral organization join eorts to share experiences, knowledge and

resources, according to their comparative advantages, for the benet of

a third country or group of countries. Finally, multilateral cooperation

is carried out through schemes, programs and projects whose bases and

guidelines are accepted by a group of countries within the framework of

an international forum or agreement.

Historically, international cooperation is characterized by the pre-

ponderance of North/South relations, but new players from the South

are becoming more and more active. This has led to the rise of a brand-

new form of cooperation in which Southern countries are the main play-

ers. South-South cooperation is dened by the United Nations Oce for

South-South Cooperation (N/D) as

[a] broad framework for collaboration among countries of the South in the politi-

cal, economic and technical domains, it can take place on a bilateral, regional, sub

regional or interregional basis. Developing countries shared knowledge, skills, ex-

pertise and resources to meet their development goals through concerted eorts.

Brazil, Mexico, South Africa, India and China are some of the coun-

tries that have actively engaged in cooperation. The strategies employed

by these countries dier greatly, but there are some common ideas. First,

there is no coercion, since cooperation between Southern countries is

considered to be more horizontal. Secondly, cooperation projects are

generally based on experiences that have been implemented domesti-

cally (CONSTANTINE; SHANKLAND, 2017). Finally, Constantine and

Shankland (2017) draw attention to the fact that experience and learning

are becoming increasingly appreciated.

Complementing these ideas, Stone, Oliveira and Pal (2019) argue that

is relevant to focus on the particularities of transfer in developing countries:

government structures will be dierent, donors and international organisations

often have the whip hand; and ‘aid’ is itself a specic type of policy transfer with

its own agencies, networks, and professional knowledge. There are also unique

circumstances around the credibility of knowledge in a development context,

credibility that goes beyond mere technical expertise (STONE; OLIVEIRA; PAL

2019, p. 13).

7. There are other forms of cooper-

ation that we do not examine in this

article.

estudos internacionais • Belo Horizonte, ISSN 2317-773X, v. 8, n. 2, (jun. 2020), p. 8 - 26

The previous discussion claries the denitions involved in this

work and their limitations. Transfer and cooperation are dierent phe-

nomena, with some common components. As we present in Table 1,

transfer is process that implies the mobilization of knowledge (from a

model to an idea) whereas cooperation implies a relationship and interde-

pendence that could or not implicated that mobilization. Regarding the

degree of autonomy, a transfer process could be voluntary, coercive or

mixed. In the case of cooperation, willfulness is a key feature of the pro-

cess. In addition, the instruments are diverse. Transfer can occur by the

mechanism of emulation, mixture, learning, assemblage, between oth-

ers. Cooperation agreements (bilateral, triangular or multilateral) are an

example of the instruments that can be used to operate. Finally, in what

concerns the actors, there is an overlap between those involved in coop-

eration agreements and those who can be identied as agents of transfer.

We will consider the components presented here for analyzing the

Chilean and Brazilian cases in the next section.

Table 1 – Transfer and Cooperation: a comparison

Transfer Cooperation

Deﬁnition Process by which knowledge

about policies, administrative

arrangements, institutions

and ideas of a political system

(past or present) is used in

the development of policies,

administrative arrangements,

institutions and ideas in another

political system. (Dolowitz and

Marsh, 2000: 5)

Process that recognizes the

existence of an interdependence

between States and the

international arena, this means

that there would be mutual and

reciprocal dependence between

the various actors. (Keohane and

Nye, 1977).

Level of

autonomy

- Voluntary

- Mixture

- Coercive

Voluntary

Mechanisms - Mixture

- Emulation

- Learning

- Hybridization

- Harmonization

- Assemblage

Cooperation agreements:

- Bilateral

- Triangular

- Multilateral

Actors - States

- Political parties

- Academics

- International agencies

- International organizations

- National institutions

- Think tanks

- Elected ofﬁcials

- Bureaucrats

- Pressure groups

- Policy entrepreneurs/experts

- States

- Regional governments

- International agencies

- International organizations

- National institutions

- Elected ofﬁcials

- Bureaucrats

Source: Developed by the authors and based on Dolowitz and Marsh, 2000, Prince,

2010, Bender, Keller and Willing, 2014 and Keohane and Nye, 1977.

Cecilia Osorio Gonnet, Maria Clara Oliveira e José Miguel Vergara Internaonal development cooperaon as one of the triggers for the process of public policy transfer

Brazilian and Chilean international cooperation on social development

Brazilian and Chilean Conditional Cash Transfer Programs

Created in 2003

, Bolsa Família (BF) gained considerable attention,

especially after being classied as a best practice by international organi-

zations and nancial institutions, such as the Inter-American Develop-

ment Bank (IDB) and the World Bank (WB). In order to tackle poverty,

BF has two components: (1) an unconditional cash transfer directed at

families in extreme poverty that is attributed regardless of its compo-

sition; and (2) a conditional cash transfer (CCT) that is awarded to fam-

ilies with children that fall below the poverty line. This latter transfer

requires beneciaries to comply with conditionalities regarding immuni-

zation, health care and education of children (OLIVEIRA, 2018).

Chile has implemented a series of measures in the eld of social de-

velopment that have been considered best practices and, therefore, have

received international attention. Chile Solidario (CHS) and Puente are two

of those initiatives. CHS and Puente - its entry program - began in 2002

and aims to promote the integration of families living in extreme pover-

ty into the social networks of the State and their access to better living

conditions. One of the most innovative components of CHS, was the psy-

chosocial support given to the beneciary families, which consisted of a

personalized accompaniment by a professional or qualied technician, in

order to (1) promote the development of the necessary personal and fam-

ily skills to meet the 53 minimum thresholds required by the program;

and to (2) link beneciaries to local networks and benets. The accompa-

niment was carried out for 24 months and consists of a system of regular

work sessions with families or people at home (OSORIO, 2018).

Brazilian cooperation on social development

Brazil has been involved with South-South cooperation since the

60s but became an important player at the turn of the century. It has

moved from a position where it used to import policies to become an

actor known for exporting its domestic policies (FARIA, 2012). During

Lula’s government (2003-2010), Brazil has enacted several policies that

have led to an exceptional reduction of poverty and inequalities and have

attracted international attention. Over this period, social development

became a key aspect of Brazilian international cooperation, reecting a

growing importance of this policy sector also domestically. Lula’s direct

involvement in the ght against hunger and poverty was also quite im-

portant in garnering support for the program both domestically and in-

ternationally. Lula acted as an “international ambassador” (PORTO DE

OLIVEIRA, 2013) of BF, namely in the G8 meeting in 2003 and others

such as the meetings of the Food and Agriculture Organization (FAO)

(PAPI; MEDEIROS, 2015).

The Ministry of Social Development (MDS) was created in 2004 and

was responsible for the management of BF, among other programs and

8. BF was not the ﬁrst conditional

cash transfer (CCT) implemented in

Brazil. Two important experiences were

created at the local level in 1995 in the

Federal District and in Campinas. These

CCTs were largely emulated at the

local level (COÊLHO, 2008; SUGIYAMA,

2008a, 2008b), reaching more than 100

municipalities. The federal government

created Bolsa Escola, a CCT with

education-related conditionalities in

2001, and several other CCT programs

were adopted between 2001 and 2003.

In 2003, these programs are replaced

by BF in an attempt to create a single

program targeting the poor (OLIVEIRA,

2018).

estudos internacionais • Belo Horizonte, ISSN 2317-773X, v. 8, n. 2, (jun. 2020), p. 8 - 26

strategies. Because of their expertise in dealing with specic issues, Brazil-

ian ministries are able to sign agreements with other countries. MDS is thus

responsible for providing international cooperation related to BF

. MDS

provides technical cooperation and exchanges knowledge and information

regarding its activities, mainly through the reception/sending of interna-

tional delegations, participation in seminars and workshops, and production

of information and materials on BF (LEITE, SUYAMA; POMEROY, 2013;

LORENZO, 2013). Bureaucrats directly involved with the program were re-

sponsible for providing related information to other countries (interviews).

Cooperation provided by the ministry is demand-driven (PAPI;

MEDEIROS, 2015), which means that countries that are interested in

the establishment of cooperation agreements should request MDS to do

so. More than 60 countries have shown interest in cooperating with the

ministry (LORENZO, 2013) and agreements have been signed with sev-

eral countries

. There seems to be a preference for the signature of co-

operation agreements involving a third party – a feature also present in

other Brazilian institutions (ANDRADE, 2008) – such as the WB, FAO,

the British Department for International Development (DFID), and the

United Nations Development Program (UNDP) (CAIXETA; SUYAMA,

2015; MDSA, N/D). Latin America is thus the prime destination of co-

operation, with more than 50% of the activities directed at it, followed

by Africa (PAPI; MEDEIROS, 2015). Among the specic demands for co-

operation, we can identify the following topics: targeting mechanisms,

payment systems, implementation and monitoring of conditionalities, in-

formation systems (Single Registry) and information related to BF and to

the Program for the Eradication of Child Labor (PETI) (LORENZO, 2013;

PAPI; MEDEIROS, 2015; interviews).

The Ministry has enacted several cooperation projects in the eld

of cash transfers. An agreement was signed with Peru to exchange on

monitoring and evaluation of conditionalities and to provide technical co-

operation aiming at strengthening the Peruvian program Juntos and help-

ing rethink the decentralized management of the program (ABC, 2007;

MDSA, N/D). An agreement of cooperation in the eld of cash transfers

and the ght against extreme poverty was signed between Brazil and

Chile (MDSA, N/D). Agreements that focus on cash transfers were also

established between Brazil and Ecuador, Bolivia, Cuba, El Salvador, and

Guatemala (MDSA, N/D).

African countries have showed particular interest in learning more

about BF. Both South Africa and Mozambique, for instance, have looked

at BF in order to rethink their own programs

(interviews; OLIVEIRA,

2012, 2018). The year 2006 saw the start of the Brazil-Africa Cooperation

Program on Social Development, involving Brazil’s MDS, the British De-

partment for International Development (DFID), and delegations from

Ghana, Mozambique, South Africa, Guinea Bissau, Nigeria and Zambia.

This initiative was funded by DFID and had the following goals: (1) facil-

itate the exchange of technical personnel; (2) foster technical assistance;

and (3) the creation of an information platform (ANDRADE, 2008).

In 2007, following a rst contact between the two countries

in the context of the Brazil-Africa Cooperation Program on Social

9. Within the ministry, the National

Secretary for Citizenship Income

(Secretaria Nacional de Renda de

Cidadania – SENARC) was responsible

for overseeing the program and thus se-

veral of its members have been involved

in cooperation projects. However, the

international projects were coordinated

by the Department for International

Projects.

10. Cooperation agreements were sig-

ned with countries such as Argentina,

Uruguay, Paraguay, Bolivia, Chile, Ecua-

dor, Peru, Cuba, El Salvador, Guatemala,

Haiti, Angola, Egypt, Senegal, Lebanon,

Vietnam and Pakistan (ABC, 2007,

MDSA, N/D; PAPI; MEDEROS, 2015).

A cooperation project between the

Ministry and the city of New York was

also signed (ABC, 2007).

11. In the case of South Africa, study

tours took place in Brazil, Chile, and

in other Latin American countries in

order to assess the possibility of adding

conditionalities to their own program

(OLIVEIRA, 2018).

Cecilia Osorio Gonnet, Maria Clara Oliveira e José Miguel Vergara Internaonal development cooperaon as one of the triggers for the process of public policy transfer

Development, Ghana asked the Brazilian MDS to help in the elabo-

ration of a cash transfer program. A cooperation agreement between

these countries and DFID was signed later in that very year. Brazil has

understood this agreement as a good opportunity to disseminate BF, as

well as a possibility to learn about the implementation of cash transfers

in a dierent context (SOUZA, 2007). Ghana, in its turn, has seen it as

a way of getting access to technical knowledge on cash transfers and

at the same time legitimize its own program (SOUZA, 2007). Brazil-

ian delegations were sent to Ghana in three dierent moments in 2007

to present the Brazilian experience and discuss the following topics:

Single Registry, implementation of BF, monitoring and evaluation of

conditionalities, and the eradication of child labor (ANDRADE, 2008;

LEITE; SUYAMA; POMEROY, 2015; IPC, N/Db). The topics discussed

are a response to demands presented by the Ghanaian government to

MDS (IPC, N/Db). The implementation of this agreement has faced

some obstacles, namely the limited number of Brazilian representa-

tives available, the lack of knowledge regarding the Ghanaian context

and the non-denition of a well-designed strategy (LEITE; SUYAMA;

POMEROY, 2015). In spite of that, this can be seen as a fruitful coop-

eration, since Ghana has implemented a cash transfer program with

several features that mirror Brazil’s BF. The Ghanaian Livelihood Em-

powerment Against Poverty (LEAP) was rst implemented in 2008

and aimed at reducing poverty among children and other vulnerable

groups (GARCIA; MOORE, 2012). A monthly cash transfer is attributed

to families that are part of the Single Registry, an information system

similar to its Brazilian counterpart. The program has two branches: an

unconditional one that targets elderly people (ABEBRESE, 2011), and a

second one that involves conditionalities and that is directed at families

with children. In order to receive payment, families with children by

their composition are expected to comply with the following condition-

alities: (1) children must be enrolled in school and attend classes; (2)

all family members should be part of Ghana’s National Health Insur-

ance Scheme; (3) children up to 18 months must attend regular medical

checkups and follow the immunization calendar; (4) every form of child

labor is forbidden (ABEBRESE, 2011; GARCIA; MOORE, 2012; IPC, N/

Da). However, there is an incapacity for monitoring compliance with

conditionalities (GARCIA; MOORE, 2012).

Grebe (2015, p. 27) states that “while Brazilian consultants did par-

ticipate in the design of LEAP – and it shares certain characteristics such

as the conditionalities attached to the cash grants – the claim of it be-

ing an attempt to emulate Bolsa Família within the Ghanaian context is

belied by its relatively small scale and low benet levels”. Conditionali-

ties are not a typical feature of programs within the region (OLIVEIRA,

2013), thus one might argue that they are a result of the Brazilian inu-

ence. Also, the fact that the information system is called Single Registry

and shares similarities to the Brazilian system points to the existence of

a transfer process. Foli et al. (2018) and Oliveira (2015) also acknowledge

LEAP to be highly inuenced by Brazil’s BF.

estudos internacionais • Belo Horizonte, ISSN 2317-773X, v. 8, n. 2, (jun. 2020), p. 8 - 26

Chilean cooperation on social development

Chile pays particular attention to South-South cooperation. The

interaction with the countries in Latin America and the Caribbean and

with other developing countries is guided by four key components: (1) the

promotion, management and implementation of the capacity of Chilean

cooperation in other countries; (2) agreements focus on the demands of

third countries for Chilean experiences; (3) the goal is to strengthen the

capacity of professionals specialized in international cooperation man-

agement and, in addition, to contribute to the discussion on a South-

South intra-regional cooperation strategy and on a common framework

of cooperation; (4) the relations established should be horizontal and un-

conditional (VAN KLAVEREN, 2011).

The country often provides “triangular cooperation”. Chile has

approximately 14 triangular partners with priority areas of cooperation:

institutional strengthening and modernization; social development; eco-

nomic cooperation for development; environment, natural resources and

energy; agriculture and food security; territorial and local development;

disaster prevention and human resources training (AGCI, 2017; inter-

views).

The Agency of International Cooperation (AGCI), created in 1990,

is one of the main agencies responsible for coordinating international co-

operation resources and carry out cooperation actions with developing

countries. Since 2005, AGCI has been part of the Ministry of Foreign Af-

fairs and therefore their activities are more related to national foreign

policy priorities. During the period 2006-2009, the AGCI dened a group

of priority countries for South-South cooperation actions. Selected coun-

tries included Bolivia, Paraguay, Ecuador, El Salvador, Guatemala, the

Dominican Republic and Haiti (FUENTES, 2014; ROJAS, 2011; VAN

KLAVEREN, 2011).

CHS’s components, particularly the psychological support, were

replicated by other countries such as Paraguay, Colombia, Guatemala,

Panama and other Central American countries

(VALENCIA, 2008).

Based on the knowledge and experience accumulated with CHS and Pu-

ente, collaboration, cooperation and advocacy methods were established

facilitating the inuence of Chilean programs in the region.

In Paraguay, the Tekoporã

program is aimed at families living in

extreme poverty in rural areas of the country. The program began in

2005 and has conditionalities related to health and education and, similar

to what happens in CHS, the program incorporated “family guides” that

accompany the families and provide psychosocial support services (FON-

SECA, 2008). The program was supported by WB and IADB, as well as

technical support in the design and implementation by countries such as

Mexico, Brazil, Colombia (BATTILANA, 2015; VERA SOARES; BRIT-

TO, 2007) and Chile through AGCI (AGCI, 2013).

Between 2011 and 2014, a project called “Paraguay Among All.

Strengthening the Social Policy Strategy” was developed which consisted

of cooperation between Paraguay, Chile, Australia and Germany, seeking

to develop a national strategy to improve Paraguayan social policies and

12. Such as Barbados, Jamaica, Saint

Kitts and Nevis, Saint Lucia, Saint

Vincent and the Grenadines, Suriname

and Trinidad and Tobago.

13. Currently Tekoporã had undergone

improvements in management and

quality and increased coverage, from

80 thousand families in 2005 to 141

thousand families in 2013 and with

expectations of reaching 150 thousand

in 2017 (SECRETARÍA ACCIÓN SOCIAL,

2017). It also counts on other associated

programs, such as Tenonderã, for

indigenous families and Tekoha, which

hands over / returns property titles to

indigenous communities.

Cecilia Osorio Gonnet, Maria Clara Oliveira e José Miguel Vergara Internaonal development cooperaon as one of the triggers for the process of public policy transfer

programs. Some of the specic actions were carried out by the Chilean

Ministry of Social Development (MIDESO), with the support of AGCI,

and the Technical Unit (UTGS) of the Social Cabinet of the Presidency of

the Republic of Paraguay. During the period 2011-2014, seven technical

missions were carried out from Chile to Paraguay, involving the train-

ing of 35 Paraguayan professionals and technicians. At the same time, 12

professionals and technicians from the institutions that serve as the gate-

way to Paraguay SäsoPyahu (Abrazo and Tekoporã) and representatives of

UTGS carried out internships in Chile (AGUIRRE, 2013).

Triangular cooperation with Guatemala was established in partner-

ship with the German Deutsche Gesellschaftfür Technische Zusammenarbeit

(GTZ). This partnership started in 2003 and focused on Latin America

and the Caribbean, and it aims to replicate good experiences in countries

of those regions developed through cooperation between Chile and Ger-

many. The transmission of knowledge and experiences included Chilean

technicians as the experts in charge of the cooperation initiative. Para-

guay and Guatemala were among the countries which beneted from this

type of project (GIZ, N/D). For example, in 2007, Guatemala implement-

ed the National Action Plan for Children and Adolescents, which became

part of the CCTs Mi Familia Progresa in 2008. This initiative was created

to respond to high levels of poverty and malnutrition, and to low levels of

education and access to healthcare facilities among the rural population

(CECCHINI et al., 2009). Thus, the program seeks to improve, the living

conditions of families in extreme poverty through economic support, so

that they can invest in health, education and food

In Colombia, Familias en Acción (created in 2000) targets families

with members under 18 who experience situations of poverty and vulner-

ability. However, it was not until 2007 that the Social Protection Network

for Overcoming Poverty (JUNTOS) was created based on the Chilean

experience of Puente. JUNTOS is composed of two operating strategies

- the rst corresponds to family support, while the second regards the

coordination of State entities that intervene in the delivery of dierent

benets and monitor the compliance with 45 minimum thresholds. The

cooperation between Chile and Colombia has occurred through formal

and informal channels, since the presence of missions to learn about the

Chilean experience was not always linked to the Colombian Ministry of

Social Development.

Puente was also enacted in the Caribbean region. Created in 2007,

Puente was a horizontal cooperation initiative which sought to improve

social protection strategies in the Caribbean countries based on the Chil-

ean model (AGCI; FOUNDATION HENRY DUNANT, 2014). Caribbe-

an countries rst learnt about Puente through activities organized by the

Organization of American States (OAS) and then, countries requested to

learn more about the program’s principles and strategies. A pilot included

Jamaica, St. Lucia and Trinidad and Tobago, with Chile serving as the

technical expert providing knowledge on the Puente. By 2009, the initia-

tive was extended to include Barbados, St. Kitts and Nevis and St. Vin-

cent and the Grenadines and Suriname” (AGCI; FOUNDATION HENRY

DUNANT, 2014). The activities included (A) internships in Chile (1) to

14. In 2012 the program was replaced

by Mi Bono Seguro, which maintains

the formulation of the classic CCTs, with

conditionalities in the area of education

and health.

estudos internacionais • Belo Horizonte, ISSN 2317-773X, v. 8, n. 2, (jun. 2020), p. 8 - 26

share information regarding the theory that informs the programs and

practical information; and (2) to interact with those responsible for Puente

and with beneciary families; (B) training workshops; (C) mentoring by

Chilean tutors who have expertise with the program; and (D) the ad-

aptation of original Puente materials to enhance learning experiences of

Caribbean participants (AGCI and Foundation Henry Dunant, 2014).

As we mentioned, psychological accompaniment is a specic fea-

ture of the Chilean program and since the mentioned-above countries

have included it in their own programs after signing specic cooperation

agreements regarding this topic with Chile (and sometimes with a third

party), we can argue that this component was transferred from Chile to

new contexts and that cooperation agreements can be understood as an

instrument that facilitated the transfer process.

Final Remarks

Cooperation is one of the mechanisms through which the trans-

fer process can occur. In the last section we have analyzed Brazilian and

Chilean cooperation in the eld of cash transfers. These two case studies

have shown that policies – or at least specic elements of them – are ad-

opted by other countries and that this is facilitated by the establishment

of cooperation agreements. Indeed, we can clearly identify the replica-

tion of Brazil’s BF components and Single Registry

– the system used to

identify families in poverty – in Ghana. Transfer can also be observed in

the case of CHS, since its psychological component has been adopted by

other countries, such as Paraguay (see Table 2)

Cooperation and Transfer from Brazil and Chile, 2002-2015

Brazil Chile

Actors involved in cooperation processes MDS (Senarc)

MDS (Sec. Interacional)

ABC

AGCI

Fosis

MDS

Recipient countries - Latin American countries

- African countries

- Latin American countries

- Caribbean countries

Topics that are object of cooperation CCT – discussions based on the experience of

Bolsa Família

- Information and monitoring systems (Single

Registry)

- How to design and implement conditionalities

- How to monitor and evaluate compliance with

conditionalities

- PETI (Child Labour Erradication Program)

CCT – discussions based on the

experience of Chile Solidario

- How to design and implement

psychosocial support interventions

Evidences of transfer In the case of Ghana:

- Conditionalities in the ﬁelds of health and

education

- Single Registry – information system

In the case of Paraguay and

Guatemala:

- Implementation of the

psychosocial support component

Mechanisms Bilateral, triangular and multilateral cooperation Bilateral, triangular and multilateral

cooperation

Source: Developed by the authors.

15. Brazil’s Single Registry is also very

inﬂuential in the design and redesign

of information systems elsewhere

(interviews).

Table 2 – Cooperation and Transfer from Brazil and Chile, 2002-2015

Cecilia Osorio Gonnet, Maria Clara Oliveira e José Miguel Vergara Internaonal development cooperaon as one of the triggers for the process of public policy transfer

Both countries have shared knowledge that they have accumulated

through the implementation of their own programs. The ministries re-

sponsible for providing cooperation are the ones that host the programs

and the bureaucrats involved in cooperation agreements are the very

same that are involved with the programs back home (interviews). These

two countries give strong emphasis to technical cooperation, which con-

rms the argument of Constantine and Shankland (2017) that knowledge

and experience are growing in importance when it comes to develop-

ing cooperation projects. The preference for triangular cooperation also

illustrates this point, as Brazil and Chile are providing the experience

and technical information, whereas funding to enact the projects comes

from elsewhere. This is the case of the cooperation agreement signed

between Brazil, DFIF and Ghana - the funding to put the project in place

came from a traditional donor, but the expertise is provided by Brazilian

bureaucrats who are part of Brazil’s MDS and who have worked in BF

or in related topics and thus have considerable experience in the mat-

ter to advise Ghana on how to develop its own program. This is also

the case of the triangular cooperation established between Chile, Gua-

temala and GIZ. The German agency contributed to the dissemination

of the program by mobilizing Chilean experts who have knowledge and

experience due to their involvement with CHS. Finally, the presence of

Puente in the Caribbean is a good example of cooperative policy transfer

(JULES, 2015; MAVROT, 2017). Here, it is relevant to highlight the nu-

merous actors involved: transfers are not unilateral movements between

two units; they are polycentric. The role played by OAS, linking Chilean

experts to a group of countries, is relevant to understand how transfers

occur in the frame of cooperation initiatives.

Regarding the actors, when analyzing cooperation processes, it is

crucial to pay special attention to governments since they are able to gen-

erate the necessary commitments to carry out cooperation agreements,

be they bilateral or triangular. In addition, it is necessary to discuss fur-

ther the role of the experts, who can be “ocially” part of a cooperation

initiative, but later, can be also convened as an “independent” expert le-

gitimized by the experience obtained as a national policy maker.

As already mentioned, the process of transfer does not occur sep-

arately from diusion process. When we look at Latin American coun-

tries, we can identify the presence of an epistemic community that has

established a consensus on the importance of cash transfers as a means to

tackle poverty (OSORIO, 2018). The activities of this epistemic commu-

nity have led to the dissemination of programmatic ideas regarding cash

transfers and have created room for these initiatives to be implemented in

almost all countries in the region. Howlett et al. (2018) study the process

of CCT diusion and the process of implementation of a CCT in the Phil-

ippines and identify instrument constituencies – groups similar to epis-

temic communities that gather around a specic policy instrument – as

important actors in the dissemination of information and models. Foli et

al. (2018) also identify the existence of a transnational instrument constit-

uency concerned with CCTs and argue that the transfer of components

that are present in BF to Ghana was made possible due to its presence.

estudos internacionais • Belo Horizonte, ISSN 2317-773X, v. 8, n. 2, (jun. 2020), p. 8 - 26

When specic information on how to operate the program or

when information on policy instruments related to the program is need-

ed, a dierent type of relation between the adopting country and the

country of origin has to be established. In other words, transfer is need-

ed. This transfer process can take place through cooperation agreements.

The examination of cooperation agreements signed by Chile and Brazil

with third parties reveals that the recipient countries present very precise

demands on specic topics or instruments. In the case of Brazil, there is

an interest for conditionalities, monitoring of conditionalities and the Sin-

gle Registry. Ghana’s government was interested in getting information

on all of these topics and LEAP’s design reects the existence of a learn-

ing process that has resulted in the adoption of very similar features to

the ones of BF, namely the Single Registry and conditionalities (although

they are not eectively monitored). However, learning processes made

possible by cooperation might not always lead to the transfer of poli-

cies, since they can be judged somehow inadequate to the new context.

In other words, sometimes learning might result in “negative lessons”

(ROSE, 1993). South Africa was interested in learning more about the

Brazilian experience of CCTs – it was part of Brazil-Africa Cooperation

Program on Social Development and bilateral study tours took place-, but

has made a clear decision not to add conditionalities to the unconditional

cash transfer program already in place

(OLIVEIRA, 2018). Chile, in its

turn, is well-known for having innovated when developing the psycho-

logical component and this specic characteristic of the program is the

object of several cooperation agreements. This can be demonstrated by

studying the components present in CCTs in a comparative way. In the

case of Chile, the bilateral and triangular cooperation processes led to

a scenario that allowed the incorporation of CHS and Puente program

components. Particularly when studying the case of Colombia, there was

a predominantly formal cooperation process that allowed the exchange

of information and experiences, which are reected in the creation of

the Red Together - delivery of social support through managers and the

fulllment of 45 basic thresholds, very similar to Puente’s design. On

the contrary, in the case of Paraguay, despite the cooperation agreement

signed in 2009 with AGCI that installed the Social Protection System in

Paraguay, the process of implementing the system has not been complet-

ed until today and it is expected to be in operation by the year of 2023

(OSORIO; VERGARA, 2019).

If diusion results in the spread of ideas and models, transfer al-

lows for the particular elements of the public policy and to policy instru-

ments that are required to implement the programs to circulate. Diu-

sion, as an uncoordinated process, is related to the circulation of ideas

that are considered to be “macro”. In other words, it corresponds to the

circulation of more general and programmatic ideas and models. Inter-

national cooperation is often based on the discussion of specic policy

instruments. Thus, we argue that diusion allows for the circulation of

programmatic ideas, whereas transfer gives countries the mechanisms

to operationalize them. Puente in the Caribbean provides a good exam-

ple of that. Countries learnt about the Chilean program through a tradi-

16. School attendance rates are already

very high and therefore the government

has understood that adding conditio-

nalities would produce very little result

(OLIVEIRA, 2018).

Cecilia Osorio Gonnet, Maria Clara Oliveira e José Miguel Vergara Internaonal development cooperaon as one of the triggers for the process of public policy transfer

tional activity of exhortation developed by international organizations

and members of the epistemic community. Later, Caribbean countries

requested more information related to the programs and the cooperation

initiative driven by the OAS, with specic tools of transfer of knowledge,

was created.

The Brazilian and Chilean cases allow us to show that internation-

al cooperation can be used as a transfer mechanism. Further research

regarding this issue is needed, particularly, in what concerns the detailed

discussion of whether transfer implies learning, hybridization, emulation

or other denominations proposed by the literature. Additional research

could focus, for example, on the role of the diverse actors, the domestic

capabilities and the object of transfer, both from a theoretical and meth-

odological perspective. All of them are future questions that emerge

from this present work.

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