Dissertations / Theses on the topic 'Governance approaches'

This thesis recommends a shift in the regulatory paradigm of the General Agreement on Trade in Services (GATS). GATS relies on binding legal disciplines for governing the multilateral services trade. The thesis argues that this is not an entirely appropriate approach in view of the peculiar nature of the services trade, and may have been the cause of the negligible services trade gains to date. The services trade rule-making in GATS is currently guided by the view that its legal disciplines need to be further strengthened. These disciplines mainly pertain to domestic regulatory measures which affect the services trade. The thesis however supports the argument that more flexible regulatory approaches are better suited to the governance of the multilateral services trade. Drawing some lessons for improving the GATS framework in these terms, the thesis carries out a case study of the financial services trade liberalization in the EU. This case study reveals the use of regulatory innovations in EU governance to make it more effective. Such regulatory innovations are sometimes termed as ‘New Governance’ approaches. They are flexible, deliberative and participatory in nature, and do not rely on binding legal mechanisms. Thus they offer greater potential for protecting EU Members’ regulatory autonomy, whilst executing its trade liberalization agenda. The thesis explores the possibility of utilizing similar approaches in GATS governance. It makes recommendations for improving GATS effectiveness through balancing its trade liberalization objectives with the WTO Members’ domestic regulatory autonomy. A change in the GATS regulatory outlook is seen as a tool to achieve this purpose, with more flexible approaches to governance being a step towards this goal.

Muchas de las ciudades costeras del mundo se están volviendo cada vez más urbana y muchas de ellas están cambiando hacia el turismo, uno de los sectores de mayor crecimiento de la economía mundial. El agua es un elemento clave para el desarrollo y las funciones urbanas y de sostenimiento para las nuevas instalaciones turísticas. Sin embargo, los cambios y las rápidas transformaciones urbanas están estimulando una creciente preocupación con respecto a los recursos hídricos. En particular, los nuevos desarrollos urbanos crecen en complejidad, mientras que las densas redes de flujos de agua se intensifican dentro del tejido urbano y plantea un gran desafío para la gobernabilidad de este recurso. Considerando que el siglo pasado ha definido y representado el fenómeno del agua como una sustancia material (H2O), la investigación del siglo 21 ha puesto en duda esa perspectiva. De hecho, estudiosos sociales han demostrado recientemente que el enfoque físico ya no es suficiente para hacer frente a los desafíos presentes y futuros del agua urbana, la incertidumbre y la gobernabilidad. Por lo tanto, los geógrafos y ecologistas políticos, en particular, han desarrollado el concepto de "ciclo hidro-social" que integra tanto la natura física como sociopolítica del agua. Mediante el empleo de este concepto, y a través de la lente de Ecología Política Urbana, han mostrado cómo los sistemas sociales, políticos, culturales y económicos gobiernan los flujos de agua a través de las sociedades, dando forma a la formación de los entornos urbanos. La gestión del agua urbana y la gobernanza han sido investigados sobre todo desde una perspectiva funcional y física, y más recientemente, desde una perspectiva social y crítica con respecto a quién en la sociedad se beneficia de los recursos hídricos, la controla y la gobierna. Por otra parte, como el agua fluye, circula y interactúa con los sistemas urbanos dominados por nuevos modelos de turismo (por ejemplo, el turismo de masas), ha sido poco investigado en términos conceptuales y metodológicos, desde la disciplina de la Ecología Política Urbana y través del concepto de ciclo hidro-social. Ambas perspectivas se ha sido analizada en esta Tesis Doctoral y sobretodo en zonas urbanas costeras mediterráneas donde el agua es un recurso fundamental para sostener el turismo que ya es el primer sector económico de estos países. Después de una introducción general al tema de investigación, en el capítulo 3 se presenta el marco teórico y metodológico utilizado para elaborar este estudio y un marco para analizar la gobernabilidad del ciclo hidro-social en entornos urbanos turísticos. En el capítulo 4 se analizan los procesos de transformación de las ciudades turísticas costeras del Mediterráneo, y su complejidad urbana, a través de la perspectiva de la Ecología Política Urbana. El capítulo también selecciona Venecia, Benidorm y Mykonos como casos de ciudades turísticas y como sistemas de análisis donde los ciclos hidro-social y su gobierno pueden asumir y revelar configuraciones particulares. En el capítulo 5 se aplica el análisis de la gobernanza del ciclo hidro-social al caso de Venecia revelando su configuración pasada y presente del ciclo hidro-social y de su gobernanza. Los resultados de este estudio indican cómo el análisis del ciclo de hidro-social es útil para pensar y mejorar las políticas de agua relacionadas con el sector del turismo y los problemas de gobernabilidad. La tesis sostiene que nuevos discursos dialécticos y las representaciones de este ciclo pueda abrir nuevas ventanas para escrutar la política de agua y la gobernabilidad. La tesis apunta a la noción de "ciclo hidro-social" para fomentar mas investigación de estas cuestiones a través de la ecología política urbana y la geografía, analizar y evaluar los flujos físicos y sociales del agua y su gestión en las ciudades costeras turísticas.
Many of the world's coastal cities are becoming increasingly urban and many of them are shifting towards tourism, one of the fastest growing global economic sectors. Water is a key element for development and sustaining urban functions and new tourism facilities. However, rapid urban changes and transformations are stimulating a growing concern with regard to water resources. In particular, as new urban developments grow in complexity, dense networks of water flows intensify within the urban tissue and pose a major challenge for urban water governance. Whereas the last century defined and represented the phenomenon of water as a material substance (H2O), 21st century research has thrown into doubt such a perspective. Social scholars have recently demonstrated the physical approach is no longer sufficient to deal with present and future urban water challenges, uncertainty and governance. New evidence has called for new discourses and representations of water cycle in urban environments and its governance model. Geographers and political ecologists, in particular, have put forward the concept of the "hydro-social cycle" which integrates both the physical and socio-political nature of water. By employing this concept, through the lens of Urban Political Ecology, they have showed how social, political, cultural, and economic systems govern the flows of water through societies, shaping the formation of urban environments. Research in urban water management and governance has mostly been from a functional and physical perspective, and more recently from a social and critical perspective concerning who in society benefits from water resources and who controls and governs it. Moreover, the way by which water flows, circulates, interacts and interweaves in urban systems dominated by tourism models (for example, mass tourism), has been little investigated in conceptual and methodological terms from Urban Political Ecology discipline and through the hydrosocial cycle concept. Both perspectives are analyzed, integrated and pursued here and investigated in Mediterranean urban coastal areas where water is a critical resource to sustain the tourism leading economic sector. After a general introduction to the research topic, chapter 3 presents the theoretical and methodological background used to develop this study and a framework to analyze the hydrosocial cycle governance in urban tourist environments. Chapter 4 analyses the processes of transformation of tourist coastal cities in the Mediterranean, and their urban complexity, through Urban Political Ecology perspective. The chapter also selects Venice, Benidorm and Mykonos as tourist city-cases and systems of analysis where hydrosocial cycles and their governance might assume and reveal particular configurations. In Chapter 5 the hydrosocial cycle governance analysis is applied to the Venice case revealing past and present complex hydrosocial cycle governance configuration. Results from this study indicate how the hydrosocial cycle analysis is useful to think about and improve better water policies linked to the tourism sector and the water governance issues. The thesis argues that new dialectical discourses and representations of the hydrosocial cycle open new windows to scrutinize water politics and governance. The thesis points towards the notion of “hydrosocial cycle” and argues for deeper engagement with the fields of urban political ecology and critical geography, to analyze, trace and assess physical and social water flows and their governance in tourist coastal cities.

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This paper critically examines the sustainable livelihoods approach (SLA) in the context of broader development debates, using a literature review as a tool to explore the origins, concepts and uses of the `approach¿. Whilst the concept of sustainable livelihoods is valuable in advancing our understanding the complexity and embedded nature of people¿s lives, sustainable livelihoods frameworks and principles are too simplistic to offer many answers. This paper argues that the idea of net sustainable livelihoods has much to offer the current discourse on rights and governance but that this is in danger of being diluted by its conceptualisation as a new `approach¿ to managing development interventions.

This study examines ways in which Australian governments, at national and state level, have developed policy responses to the issue of regional service delivery in the post new public management environment. It argues that new public management has changed many institutional arrangements in Australia and led to new public policy approaches based on those reforms. The study compares the approaches taken by federal and state governments in determining service levels for regional communities. The period under consideration is 1996-2001, coinciding first with the election of new NSW and federal governments and their subsequent re-election. Four cases studies are used to analyse a range of activities designed to provide services at local and regional levels, identifying key indicators of policy successes based on coordinated and integrated regional services combined with technology-based solutions that can be adapted to local community needs. The research draws on new governance theory and principles of effective coordination to propose a new model for determining appropriate service delivery. This model highlights the importance of local participation in decision-making, a regional planning focus, social and environmental sustainability, and the engagement of local communities as key determinants of regional policy success.

Hope accompanied El Salvador’s peace agreements, ending 12 years of civil war. New peace and democratic renewal were expected in the tiny Central American state. Instead, extreme violence has persisted as a lived experience for individuals and a part of its state operations. Successive governments proved unable to consolidate control over the post-war crime wave. ‘Tough on crime’ public policy agendas, which included hard-handed violence-repression tactics, had little success in mitigating insecurity. In 2009, a new ex-guerrilla party, the National Liberation Front ‘Farabundo Marti’ (FMLN), was elected on a hope and change platform. The party was committed to a new approach in security governance. This presented an opportunity to study the interactions of implicated actors as they negotiated the governance of security. It raises the question: To what extent did security governance change under the FMLN government during their first administration (2009-2014)? To address this question requires an understanding of situated security concepts and an examination of the spaces created for actor interactions to formulate the policy guiding security governance. Broadly, security is often considered to be a response to the issues threatening state, society, or the individual. In the Latin American context, this expansion largely took place within the concept of citizen security – a term which recognised both rights and responsibilities within the state. However, the term has also been responsible for problematising institutional weaknesses or failure where an apparent inability to control violence is observed, justifying the inclusion of a range of non-state security actors. Theories of hybridity or state transformation instead posit that the gaze should be directed on those spaces where security problems, once identified, are managed in practice (Hameiri & Jones, 2015). For this study, three ‘levels’ of security governance are addressed: the national government, the Central American regional diplomatic structure, and strategic municipal jurisdictions. Second, by providing this multi-levelled analysis, the study includes the regional level, which is often ignored in existing Central American security studies. This is crucial to an understanding of the multiple and often competing agendas organising and supporting security interventions within El Salvador in a regional context of transnational threats. Third, this investigation shows the operational changes required of government institutions when other actors are introduced as authoritative participants in the process. Despite multi-actor, multi-level security governance strategies working to mobilise new actors, security concepts, and operational frameworks to reduce and manage security issues, many practical governance efforts enjoy only limited term results. This thesis concludes that broad changes in security governance structures are likely to be continually mitigated by traditional forces, limiting the potential for true transformation of security policy approaches.

This thesis considers the applicability of 'new governance' techniques within the field of emerging biotechnologies. Through three contrasting case studies I construct an argument in favour of new governance, contending that the qualities of this regulatory trend (flexibility, reflexivity, nuance, open discourse, and participation - 'regulatory desirables' ) have much to offer the regulation of emerging biotechnologies. The first case study examines the existing European and international regulatory frameworks for genetically modified organisms (GMOs). This case study explores the role of (bio)ethics within the regulatory process through each progressive stage: design, operation, and assessment. The regime's failure to provide adequate space for ethical reflection, and the limited role of ethics throughout the regulatory process prompts a proposal for an alternative approach that recognizes the multiple contexts in which regulation operates, and is able to accommodate the socio-ethical nuances of the GMO products being assessed. This case study analyses a traditionally structured regulatory framework. It exemplifies a number of qualities that I consider undesirable in the context of regulating biotechnologies: inflexibility, lack of reflexivity, lack of nuance within the regime, absence of ethical discussion, absence of participation from all interested/affected parties. In the second and third case studies I show how these 'regulatory undesirables' can be addressed through new governance techniques. The second case study focuses on the international regulation of stem cell research; I propose developing a polycentric, principles-based regulation (PBR) regime. The third case study centres on the international governance of the gene synthesis industry; here I recommend adopting a risk-based regulation (RBR) approach. In both these fields, voluntary, interdisciplinary, international organisations have collaborated to produce guidelines, codes, protocols, standards, and statements addressing matters of practice. I argue that these 'soft law' documents form the ideal starting point for the development of more sophisticated regulatory regimes in both fields. Furthermore, I argue that the informal organisations producing these documents are, in certain instances, best placed to step into the role of 'regulator' due to their in-depth, inside knowledge of the field, and network. Thus, I collapse the regulator-regulatee distinction held in traditional, 'command and control' style systems, as these organisations typically include those who would traditionally be seen as the 'regulatee'. Each case study considers the nuances of context vis-à-vis the regulatory approach advocated. I conclude by engaging in a comparative analysis of these three case studies, drawing out the qualities, characteristics and considerations that I regard as essential to the construction of responsible, facilitative governance frameworks across the field of emerging biotechnologies. I conclude that new governance is best suited to achieving these (aforementioned) 'regulatory desirables'.

Adaptive Governance approaches are being implemented by officials in Swedish municipalities. A close dialogue and cooperation between municipalities, and the acceptance of the uncertainty and unpredictability of climate change are included in the strategic work, and facilitate the introduction of Adaptive Governance approaches. However, Adaptive Governance approaches are at the same time hindered by the municipal systems, which does not allow for the introduction of new and innovative information. In particular, this study demonstrates that the systems are not structured to include such information from informal sources, such as citizens and farmers. This comparative study investigates water quality management at the local level, applying the concept of Adaptive Governance in three Swedish municipalities: Kalmar, Västerås and Upplands Väsby.The analysis is based on the theoretical framework of Adaptive Governance that expands on the understanding of adaptive management. The 17 semi-structured interviews conclude that the facilitators for Adaptive Governance are most evident within the areas of collaboration and shared responsibility between municipalities. Barriers to the development of Adaptive Governance are identified as a failure in the systems to include ecological knowledge. Expanding Adaptive Governance research to a larger number of municipalities within the European Union would shed some more light on what facilitates and what hinders the inclusion of Adaptive Governance approaches at the local level. Such research would have a dual effect: as a contribution to science and as a promotion for the practical implementation of the EU Water Framework Directive according to the Adaptive Governance approaches of the European water quality management.

The research’s intent is improvement in governance and strategic management initially by comparing Shareholder Theory and Stakeholder Theory and making results useful for both Practitioner and Academic audiences. A conceptual model for how a society establishes and evolves the roles it legitimizes for a business to support reasoning about those roles and the process originating the expectations, responsibilities, obligations, contributions and freedom to act in the roles is proposed. Understanding this process would enable better governance and strategic management of a firm while avoiding unintended consequences when fulfilling the role and consequences for failing the role. The model becomes a basis for comparing Shareholder and Stakeholder Theories. Context for the model comes from practitioner narratives around changes occurring in business and their themes around the relationship of a business with its ecosystem. To incorporate both the societal and business relationship components, the model building process was based upon concepts and ideas from General Systems, Economics, Sociology, Neuroscience, Philosophy, Evolution, Complexity and Complex Adaptive Systems, Semiotics, as well as Business. This was an iterative abductive, inductive, deductive process with each iteration compared to relevant theory, integrated across the subject domains, then tested against other academic research on the issue, evidence of the model in practice, and a culturomics study across social and industry literature. These results are exploratory, descriptive, directional, and suggestive for future research opportunities. Problems with Stakeholder Theory are identified but potentially addressed with the conceptual model, in turn suggesting a systemic approach to governance and strategic management. It was determined that Shareholder Theory results in many unintended consequences detrimental to society and the firm. The conceptual model provides points of intervention in the process and suggests potential tooling for governance and strategic management. A side effect of the research was a perspective on the practitioner / academic divide as the research grappled with the “wicked problem” nature and transdisciplinary nature of process being described. By introducing systems and complexity paradigms in the model, potential ways to address the divide are suggested, such as 3 level analysis (micro, meso, macro).

The crucial role of groundwater and the centrality of water governance in accommodating growing water demands sustainably are becoming well recognized. We review 10 case studies of groundwater governance-representing diverse global regions and local contexts-from the perspective of four well-established elements: (1) institutional setting; (2) availability and access to information and science; (3) robustness of civil society; and (4) economic and regulatory frameworks. For institutional setting, we find that governing is often a thankless task that paradoxically requires popularity; legislation does not always translate to implementation; conflict resolution is central to governance; and funding is critical for governance. In terms of information access, we see: a need for research for natural systems, social systems, and institutions; trust as an essential element in research; and that urbanized landscapes are critical components of groundwater governance. Looking at civil society robustness, we observe that equity is an essential element for governance; community-based governance requires intention; and leaders can play a powerful role in uniting stakeholders. As for frameworks, the cases suggest that economic incentives sometimes yield unintended results; "indirect" management should be used cautiously; and economic incentives' effectiveness depends on the system employed. Collectively, the lessons speak to the need for shared governance capacities on the part of governments at multiple levels and civil society actors.

The achievement of sustainable development (SD) in the supply of minerals poses significant challenges for governments and public administrations on all levels, because ensuring a sustainable supply constitutes a "wicked" problem that has no clear set of alternative solutions due to its social, institutional and scientific complexities. This paper explores how this problem is addressed through "governance for SD" principles (horizontal policy integration and participation; long-term vision/short-term action; and reflexivity and learning) in the design and delivery of national mineral policy strategies (NMS) in five EU Member States (Austria, Finland, Greece, Portugal and Sweden). Following a grounded theory approach on data collected through document analysis and complementary qualitative interviews, the author identified several analytical categories for the selected governance for SD' principles. Although no "one-size-fits-all" recipe for best practice on governance for SD exists in the five NMS, Finland, Portugal and Sweden meet high standards: These NMS display practical examples of governance for SD integration and, thus, lay the foundations for achieving policy outcomes in the sectoral policy strategies of the mineral supply.

As a consequence of global environmental change, sustainable management and governance of natural resources face critical challenges, such as dealing with non-linear dynamics, increased resource variability, and uncertainty. This thesis seeks to address some of these challenges by using simulation models. The first line of research focuses on the use of learning-by-doing (LBD) for managing a renewable resource, exemplified by a fish stock, and explores LBD in a theoretical model using artificial intelligence (Paper I and II). The second line of research focuses on the emergence of different forms of self-governance and their interrelation with the dynamics of trust among fishers when harvesting a shared resource, using an agent-based model. This model is informed by qualitative data based on small-scale fisheries in Mexico (Paper III and IV). Paper I and II find that the most sustainable harvesting strategy requires that the actor values current and future yields equally, cautiously experiments around what is perceived as the best harvest action, and rapidly updates its ‘mental model’ to any perceived change in catch. More specifically, Paper II reveals that understanding these aspects in relation to the type of change can yield not only increased performance, but also, and more importantly, increased robustness to both fast and slow changes in resource dynamics. However, when resource dynamics include the possibility of a more fundamental shift in system characteristics (a regime shift), LBD is problematic due to the potential for crossing a threshold, resulting in possible persistent reductions in harvests (Paper I). In Paper III, results indicate that cooperative forms of self-governance are more likely to establish and persist in communities where fishers’ have prior cooperative experience, fishers’ trustworthiness is more or less equal, and that this likelihood increases when resource availability fluctuates seasonally. Finally, to achieve a transformation toward more cooperative forms of self-governance, interventions are required that can strengthen both financial capital and trust among the members of the cooperatives (Paper IV). The unique contribution of this thesis lies in the method for ‘quantitatively’ studying LBD, the stylized model of a small-scale fishery, and the analysis of the two models to advance our understanding of processes of learning and self-governance in uncertain and variable social-ecological environments. Together, the results shed light on how social and ecological factors and processes co-evolve to shape social-ecological outcomes, as well as contributing to the development of novel methods within the emerging field of sustainability science.
I vårt antropocena tidevarv är ett långsiktigt förvaltarskap av naturresurser inom social-ekologiska system av yttersta vikt. Detta kräver en djup förståelse av människan, ekologin, interaktionerna sinsemellan och deras utveckling över tid. Syftet med denna avhandling är att nå en djupare och mer nyanserad förståelse kring två av grundpelarna inom forskningen av hållbar förvaltning av naturresurser–kontinuerligt lärande genom learning-by-doing (LBD) för att förstå naturresursens dynamik, samt vad som kan kallas socialt kapital, i detta sammanhang i betydelsen tillit mellan individer, som naturligtvis ligger till grund för framgångsrik gemensam förvaltning. Denna föresats operationaliseras genom att använda två olika simuleringsmodeller. Den ena modellen undersöker hur en hållbar förvaltning av en förnyelsebar resurs, i denna avhandling exemplifierad av en fiskepopulation, kan uppnås genom LBD. Den andra modellen söker blottlägga det komplexa sociala samspel som krävs för att praktisera gemensam förvaltning genom att använda ett fiskesamhälle som fallstudie. Tidigare forskning på båda dessa två områden är relativt omfattade. Emellertid har den forskning som specialiserat sig på LBD i huvudsak inskränkt sig till empiriska fallstudier. Vad som bryter ny mark i denna avhandling är att vi konstruerar en simuleringsmodell av LBD där vi kan studera lärandeprocessen i detalj för att uppnå en mer hållbar förvaltning över tid. Beträffande modellen som behandlar socialt kapital så har tidigare forskning fokuserat på hur en organisation, eller grupp, kan uppnå hållbar förvaltning. Dock saknas ett helhetsgrepp där som tar hänsyn till alla nivåer; från individnivå (mikro), via gruppnivå (meso), till samhällsnivå (makro). Detta är något som denna avhandling försöker avhjälpa genom att undersöka betydelsen av individers egenskaper, uppbyggnaden av socialt kapital, samt hur detta påverkar emergens av ett samhälle dominerat av mer kooperativa förvaltningsformer respektive mer hierarkiska diton. I papper I and II studeras kärnan av LBD som återkoppling mellan en aktör och en resurs, där aktören lär sig genom upprepade interaktioner med en resurs.  Resultaten visar att LBD är av avgörande betydelse för en hållbar förvaltning, speciellt då naturresursens dynamik är stadd i förändring. I den mest hållbara strategin bör aktören värdera nuvarande och framtida fångster lika högt, försiktigt experimentera kring vad aktören upplever som bästa strategi, för att sedan anpassa sin mentala modell till upplevda förändringar i fångst relativt dess insats någorlunda kraftigt. I papper III och IV behandlas uppbyggnaden av förtroende mellan individer och grupp, samt själv-organiserat styre. Genom att använda småskaligt fiske i Mexiko som en illustrativ fallstudie, utvecklades en agent-baserad modell av ett arketypiskt småskaligt fiskesamhälle. Resultaten indikerar att kooperativa förvaltningsformer är mer dominanta i samhällen där de som utför fisket har liknande pålitlighet, starkt gemensamt socialt kapital vid kooperativets start, och då resursen fluktuerar säsongsmässigt (papper III). Papper IV visar att för att uppnå en transformation från hierarkiska förvaltningsformer till kooperativa diton krävs interventioner som inriktar sig på både socialt och finansiellt kapital. Denna avhandling bidrar således till en djupare förståelse kring hur socialt kapital växer fram, samt hur mer strategiska LBD processer bör utformas när abrupta och osäkra förändringar i ekosystemen blir allt vanligare på grund av människans ökade tryck på planeten.

At the time of the doctoral defense, the following papers were unpublished and had a status as follows: Paper 2: Submitted. Paper 3: Submitted. Paper 4: Manuscript.

The governments of Scotland and England have responded to the increase in flood risk by introducing legislation intended to manage present day flood risk and to avoid future flood risk. This thesis evaluates how the new policy regime has evolved and been implemented in Scotland and England, focusing particularly in Local Authorities, and using contrasts in rural and urban settings to reveal how the policy has had to be adapted to apply effectively in these different physical and administrative environments. Based on discourse theory and the institutionalisation features of policy networks, it is argued first that the new policy regime is subject to multiple interpretations and, second that policy change occurs as a result of the transformation of institutional practices of the multiple flood governance discourses by policy narratives in the policy process. The concept of the advocacy coalition framework is applied to reveal how contrasting local governance approaches result from continuous interactions between national policies and distinctive, local factors. These arguments are supported by the results of empirical research that examined policy change and local governance interpretation through textual analysis of relevant policy documents, interviews with key institutional stakeholders and participant observation of a local stakeholder meeting. Research findings reveal how the more pro-active local governance approaches serve as innovators in informing future national policies. This process stems from local interpretation of existing national policy through the mediating effects of distinctive local policy factors that result in the introduction of new policy ideas and actors. These ideas and the involvement of new actors are in turn transferred through revisions to national policies of flood risk governance. Consequently the policy mediating features of Local Authorities are manifest through first, the utility of policy narratives in driving national policy change and second, in shaping policies in local governance approaches.

Increased urbanisation and climate change are negatively affecting the water cycle and are increasing floods and creating concerns for the built environment and human wellbeing. This has created a need to research sustainable water management in cities. Nature-based solutions (NBS) can offer more sustainable ways of water management, but conventional systems are still favoured in governance. Hence, the aim of this thesis is to identify opportunities and challenges of implementing NBS at Årstafältet in Stockholm and the related governance processes from a Socio-Ecological-Technical system perspective in order to bring a holistic view on sustainable urban stormwater management. The methods used in triangulation for this case study are interviews, a site visit, and desktop study of associated planning documents. The collected data is analysed with an analytical framework that investigates the Social-Ecological-Technical System (SETS) dimensions, in relation to governance. The results show that the implementation of NBS at Årstafältet has been largely successful, due to contextual factors, as well as an adaptive and reflexive governance approach. However, identified system dynamics, interrelations and tensions have shown that there is room for improvements. By increasing transdisciplinarity in early stages of the process to overcome rigid governance structures and techno-centricity. The application of the SETS framework has proved to be successful in identifying dynamics, interrelations, and tensions but there are issues related to uncertainties in how to categorise system components. Nevertheless, the SETS perspective has been useful for identifying challenges and opportunities related to governance and planning processes of implementing NBS.

Climate change presents as the archetypal environmental problem with short-term economic self-interest operating to the detriment of the long-term sustainability of our society. The scientific reports of the Intergovernmental Panel on Climate Change strongly assert that the stabilisation of emissions in the atmosphere, to avoid the adverse impacts of climate change, requires significant and rapid reductions in ‘business as usual’ global greenhouse gas emissions. The sheer magnitude of emissions reductions required, within this urgent timeframe, will necessitate an unprecedented level of international, multi-national and intra-national cooperation and will challenge conventional approaches to the creation and implementation of international and domestic legal regimes. To meet this challenge, existing international, national and local legal systems must harmoniously implement a strong international climate change regime through a portfolio of traditional and innovative legal mechanisms that swiftly transform current behavioural practices in emitting greenhouse gases. These include the imposition of strict duties to reduce emissions through the establishment of strong command and control regulation (the regulatory approach); mechanisms for the creation and distribution of liabilities for greenhouse gas emissions and climaterelated harm (the liability approach) and the use of innovative regulatory tools in the form of the carbon trading scheme (the market approach). The legal relations between these various regulatory, liability and market approaches must be managed to achieve a consistent, compatible and optimally effective legal regime to respond to the threat of climate change. The purpose of this thesis is to analyse and evaluate the emerging legal rules and frameworks, both international and Australian, required for the effective regulation of greenhouse gas emissions to address climate change in the context of the urgent and deep emissions reductions required to minimise the adverse impacts of climate change. In doing so, this thesis will examine critically the existing and potential role of law in effectively responding to climate change and will provide recommendations on the necessary reforms to achieve a more effective legal response to this global phenomenon in the future.

This research developed and applied an evaluative framework to analyse multiple scales of decision-making for environmental management planning. It is the first exploration of the sociological theory of structural-functionalism and its usefulness to support evidence based decision-making in a planning context. The framework was applied to analyse decision-making in Queensland's Cape York Peninsula and Wet Tropics regions.

Ecosystem-based management aims to provide a mechanism for achieving a consensus among multi-sectorial activities for sustaining goods and services and achieving ecological, economic and social objectives in an area. The present study adopts innovative methods and approaches aiming to promote a holistic approach towards collaboration and effective conservation management in Mediterranean Marine Protected Areas (MPAs). In order to understand the current management needs in the Mediterranean MPAs, a management effectiveness evaluation was conducted in the Mediterranean scale following an existing guide (Tempesta and Otero, 2013). Information was collected through a synthesis and integration of different approaches during the period 2013-2014, and MPA management was evaluated on the basis of 21 indicators that described the general categories: (i) management and legislation; (ii) conservation features; (iii) pressures; (iv) communication and outreach. Case studies were initially assessed separately and were finally compared in order to identify common challenges and good practices in MPA management that may be put forward. Some of the most important problems were the inadequate annual funding; limited surveillance and law enforcement; the inadequate stakeholder engagement and bottom-up approaches; policy gaps and long bureaucratic processes to take action; inadequate monitoring of ecological and socio-economic parameters; limited understanding of human activity threats and impacts along with defining critical thresholds that may assure good environmental status of marine ecosystems. We highly recommend that the evaluation be a cyclic process conducted by a neutral practitioner that will inform management decisions and that results should be disseminated in order to reach a high status of MPA management performance in the Mediterranean. The evaluation of MPA management effectiveness guided the next steps of the study towards addressing realistic MPA needs and providing suggestions to improve MPA management. We focused at Portofino MPA case study (Ligurian Sea, Italy) - the third smallest MPA in Italy hosting rich marine biodiversity and a significant amount of human activities. One of the future targets of the MPA’s consortium is to expand its area in order to improve its capacity to effectively protect vulnerable habitats and the species it hosts. Taking into account the past experience and the inadequate communication and up-to-date information in the area, this initiative is expected to raise conflicts and opposition from users. Hence, Portofino MPA represents a case study of particular interest and relevance with MPAs facing similar issues. Following a holistic methodological approach, an engagement process was carefully designed to provide an insight into the social networks’ characteristics directly involved in supporting stakeholder engagement for sound governance performance and co-management of resources. Enhancing stakeholder engagement from the beginning of the process is essential in order to holistically inform decisions and increase the efficiency of conservation management. It is widely accepted that stakeholder engagement may promote cooperation and the exploration of possible solutions to common problems; facilitate the mitigation of conflicts due to various interests; and enhance coordination and the enforcement of common rules in a more transparent way. A framework to examine structural patterns in social networks and identify central actors with the capacity to serve as communication hubs is suggested to boost information flow and enhance stakeholder participation in decision-making. The approach consists of two powerful tools, Stakeholder Analysis and Social Network Analysis, that their capacity to provide an in-depth knowledge of the complexity of social-ecological systems and the factors that influence the engagement process in MPA management has been recently identified. Identification of stakeholders and their relations in a social network, where information exchange and interaction occurs, may highlight important channels for communication, or indicate key stakeholders with the power to control information flow and influence perceptions. This information may be leveraged to accelerate behaviour, facilitate bridging between organisations, promote deliberation, and improve the diffusion of information in MPA management. The outcomes of the study showed that the social network of the Portofino MPA exhibits a core-periphery structure where some user groups seem to have more privileges regarding access to information and resources in the area. The core of the network keeps the network together, and central stakeholders have the capacity to act as communication hubs and facilitate a two-way information flow that will foster communication, trust and collective learning in natural resource management. However, more effort should be made towards strengthening relationships between actors that may influence or be influenced by decisions relating to the MPA. The adoption of alternative communication strategies that integrate visualisation and user-friendly web platforms, in parallel to personal communication are suggested to involve more actively marginalized actors into decisions, that will increase the network’s cohesion, mitigate the power of central actors and augment plurality and new ideas in the engagement process. Production and synthesis of quantitative and qualitative information, related to conservation features and human activities, is another important aspect in conservation management that negotiation and decisions will be based on. Management of small scale and recreational fishing is one of the most important concerns and challenges that Marine Protected Areas (MPAs) have to encounter from a socio-economic, cultural and ecological point of view. Monitoring and assessing fishing activity requires complicated approaches due to the heterogeneity of methods that combine different gears depending on the target species, the season and the characteristics of the area. Many standardized strategies of fisheries management have tried and failed to capture this spatial and temporal heterogeneity, or to provide improved understanding of fishing impacts on the ecosystem components. The present study developed a framework for the monitoring and mapping of recreational and artisanal fishing activity. The framework considers and may be adjusted depending on the MPA management capacity in terms of budget and technology available, personnel available, the level of trust that characterizes the relationship between the MPA and the fishermen, and the willingness of all relevant actors and authorities to provide or collate respectively information. Data from different monitoring strategies and sources were integrated to archive a complete dataset that described different fishing practices in the area. Simple spatial indicators that describe fishing effort were used to map and describe the footprint of each fishing practice on vulnerable habitats, and identify the areas that receive greater fishing pressure. However this is the first step in order to assess the impacts of fishing pressure on vulnerable habitats. Pressure-impact assessments were conducted using spatial analysis in order to holistically inform management decisions on vulnerable habitats such as coralligenous under pressure in Portofino MPA. The approach considers the cumulative impacts caused by different fishing practices and incorporates uncertainty regarding available information following the precautionary principle. Cumulative impacts are based on a conceptual model that identifies the pathways through which activities cause harm and describing the likelihood and consequences of an event. The vulnerability assessment quantifies these causal-chain links between biophysical attributes and to human stressors that are described in the conceptual models. The vulnerability informs on the potential risk of loosing (or degrading) a particular habitat due to a specific pressure, and can provide further support to the assessment of the cumulative impacts caused by different fishing practices operating in an MPA. Coralligenous communities, in terms of coverage, are more abundant in zone B, while Posidonia oceanica meadows dominate in zone C of Portofino MPA. However, a great percentage of the habitat lies outside the MPA borders, which confirms the desire of the MPA management board to expand the area. The areas that receive the highest amount of fishing effort were located between depths of 30-40 m receive the highest fishing pressure at the majority of zone B. The vulnerability assessment revealed that artisanal nets, and both recreational and artisanal bottom longlines, had the highest potential impact on coralligenous habitat, independently from the duration that are active on the seafloor. Other recreational activities that were considered to have high potential impact for coralligenous due to the destructive characteristics of the practice and gear used, or due to the pressure’s high intensity and frequency, were vertical jigging, bottom trolling and big game with a rod and reel. The cumulative impact assessment provided an in depth understanding of combined exposure-effect approaches and identified additional areas in zone C and in greater depths, that fishing activity is necessary to be managed more strictly. Several suggestions were enlisted in order to mitigate fishing impacts on coralligenous habitats, for instance the establishment of additional spatial and temporal closures, prohibition of destructive fishing practices, etc. while policy gaps were also identified in the current management system. The approach takes into account the heterogeneity of techniques and captures the different scale of impacts on benthic habitats in a systematic, transparent and repeatable way, and provides a useful tool that integrates ecological, management and policy interventions. An emerging threat in coastal MPAs is the loss of fishing gears that drift away driven by currents and finally end up on the seafloor covering in some cases a significant amount of fragile benthic habitats like coralligenous. In Portofino MPA this is reported as a common issue and frequently divers retrieve the lost gears and monitor it. To inform the MPA regarding which areas are more susceptible to lost fishing gear, a semi-quantitative spatial analysis was conducted using information from the sea-bottom morphology (depth, slope, Benthic Position Index, rugosity, curvature). The areas identified overlap spatially with areas of high fishing effort, while the local currents agree that most susceptible areas are located in the southern part of Portofino MPA. Although data quality regarding information coming from divers was poor, the suggested analysis may provide useful information in order to focus management actions on specific areas. Finally, the Marxan with Zones conservation planning model was applied on Portofino MPA’s present zoning plan in order to provide alternative solutions for the enlargement and re-zoning of the MPA. Different scenarios concerning the regulation of human activities such as fishing and diving activities taking place at different zones were developed. In our management plan, we set high level conservation targets based on relative EU Directives, the high conservation status of the Portofino MPA (SPAMI) and management objectives. In the present study preliminary results are shown for a single scenario where a 4-zone plan is suggested to the expanded surface area of the MPA, where diving and fishing activity are re-arranged in space and strictly regulated. The suggested zoning plan provided by MARXAN with Zones ensures that high conservation objectives are reached in Portofino MPA with the lowest possible operational cost. Overall, the present study aimed to provide a complete ecosystem-based management approach that considers the social and ecological drivers of the system as complementary components for supporting future conservation initiatives towards collaborative management of resources. The management suggestions of this study provide transparent, comprehensive and efficient plans that can improve the governance and the management of marine resources in the area. Innovative tools and methods were integrated to inform several aspects in the management of marine resources in order to promote a holistic approach towards collaboration and deliberation in MPA management. The developed methodology offers guidance on how to structure and focus efforts for collecting, synthesizing and analyzing of necessary information to inform holistically policymaking and management processes. Results provide useful advise in mitigating the cumulative impacts of human activities and deliver alternative solutions that are based on strict systematic conservation planning principles. Moreover, the study may assist the Portofino MPA to build the social conditions and a future engagement strategy where stakeholders will welcome the conservation initiative for its expansion, however particular effort should be made by the MPA management board towards this direction.

The thesis identifies four modes of action and cooperation of transnational networks of GROs by taking the Tanzania Urban Poor Federation (TUPF), a sub-network of Shack Slum Dweller International (SDI), as an example. Based on the understanding of “interpretive network analysis” (Schindler 2006: pp. 100-101), qualitative and quantitative methodologies of data collection and analysis (expert interviews, member survey, on-site visits of projects, review of TUPF and SDI reports) have been applied in the course of field research. Analysis took place based on a set of criteria regarding the current state of knowledge of typologies, structures, processes, dynamics and preconditions for stable, effective networks. Furthermore, mechanisms for network governance are also taken into account. The selected cases represent a range of issues, applied instruments, different modes of cooperation and scopes of action. Based on the set of criteria, the examination is intended to address questions concerning the relevance of local embeddedness and the capability of the local communities of the TUPF to enter into cross-sectoral and cross-level cooperation. Based on these insights, effects for the scope of action, the empowerment of the actors involved and the development of marginalized settlements are indentified. The case-study research on the basis of the TUPF and SDI verifies the potential of networks for the dissemination of knowledge and the creation of social capital and multidimensional cooperation. However, the analysed modes of action and cooperation develop different degrees of capacities regarding these issues. In this context, the assumed interrelation between the degree of extension of the scope of action and the capability to create multidimensional cooperation in the course of networking activities becomes clear. The cases of the TUPF and SDI show that transnational networks of GROs are able to develop cooperation structures and development strategies involving features of integrated approaches which are spatially and socially embedded in local communities and also benefit from transnational and crosssectoral cooperation. The aspects highlighted above represent a range of potentials and preconditions which turned out to be relevant and important for the activities and processes of local communities within the network. These final results are intended to provide guidance for the development of beneficial structures by governmental actors and development organizations. Furthermore, they should be integrated into a reconsideration of cooperation strategies in the course of urban management processes and development approaches to reduce urban poverty.

This dissertation suggests that network governance theory may have reached an impasse, and in order to pursue its advance, new methods need to be used. It tests the viability of actor-network theory on providing new insights on network governance, which could contribute to the strengthening of network governance theory. The author suggests that actor-network theory may offer both an epistemology and ontology that intents to not impose current definitions and divisions of traditional social science. By doing so, actor-network theory focuses on the performance of associations rather than on the traditional categories of structures, institutions, individuals or groups — characteristic of most network governance studies.

This study tests the viability of actor-network theory in a complex international environmental policy network in the Andean Amazon. It employs Latour’s three-movement method of deployment of controversies, rendering associations traceable again, and reassembling governance. The methodological strategy provides a clean slate to search for a new perspective of network governance, which is based on participants’ perspectives. It is found that associations are established among programs, projects, public policies, among others; and that this associations seem to remain even if organizations, programs, and projects leave the network. Actor-networks’ roles in network governance appear to be not static, and their degree of affiliation ranges from formal to informal associations.

Applying actor-network theory in the study of network governance suggests that action is dislocated, and that groups are in continuous formation. Groups’ boundaries are define and redefine based on participants’ perspectives and associations. Finally, a discussion in regards to the implications of this research for both network governance and actor-network theory is offered.

This work is covering the area of Data Governance (DG) with the main focus on roles in DG. First part is capturing the DG field from a basic perspective. This chapter introduces main principles of DG and is considered as a guideline for better understanding of the second chapter. The second chapter contains different approaches on DG and on roles in DG. The approaches are from world leaders in the field of DG like IBM, Teradata, KIK Consulting and The Data Governance Institute. In the summary of second chapter you can find a comparison of these different approaches to organization structure and roles in DG. The third and final chapter contains my own approach to organization structures and roles in DG. You can find there a wide variety of roles divided by different factors. This will give you a very good and unique perspective on roles and it might be also helpful as a guideline for necessary roles in the implementation process of DG program.

The dissertation is framed within the topics of regional governance and Strategic Environmental Assessment (SEA). Compared to its relationship with governance the SEA may be defined as a set of rules, principles, techniques and tools with the function of supporting the decision making process. The evaluation process is strategically relevant when applying the principles of environmental sustainability to regional and urban planning. SEA is a fundamental instrument for the environmental integration during the elaboration and adoption of plans; SEA offers an opportunity to bring about a real change of attitude and culture at strategic levels into strategic decision-making process; SEA, according to the Directive 2001/42/EC, provides the most adequate opportunity to integrate different regional planning methods. The dissertation mechanisms of regional governance, defined as the process involving the formation and implementation of decisions. The objective of this study is to analyse the relationships between the various stakeholders and governmental institutions, with the aim of defining in what terms, with reference to regional governance, the theoretical principles of sustainable development (in terms of managing the relationship between natural resources and economic development) can be applied to the planning phases. The main aim is to build a framework for sequential activities in the planning process, of a new model of governance able to relate to different levels of government, from a political level to a local level. The Sardinian case study contains some interesting aspects of planning and evaluation processes currently under way, which could be exported and developed further. However, it does suffer from several inconsistencies which are highlighted by the Directive 2001/42/EC. The innovative aspect of the research project, respect to the current planning situation of the SEA and the planning procedures, consists in the creation of a Protocol for the integration of the two approaches related to the construction of the plan and the activation process of SEA. In particular in the construction of system to accompany and support the government in adapting the plans, and secondly to support local authorities in the definition of strategic choices. Don’t exist in Sardinia a guidance for SEA process of general plan, This Guidance is intended to be valid for all plans from regional to urban plans by defining a decisional process where the SEA is part of the plan, creating a process more inclusive of aspects of environmental and public consultation. The involvement of consulting the public and authorities with environmental responsibilities is the goal of the new model of the assessment process.

The issue of corporate governance (CG) has taken central position in debates after the major financial crisis in almost all parts of the world. Numerous endeavours have been made to improve CG in Pakistan. However, these efforts did not produce the required results. Moreover, the existing literature fails to establish the impact of these efforts and CG norms on the performance of listed companies in Pakistan. Therefore, this study intends to investigate the CG framework of Pakistan, identify its weaknesses and explore opportunities for its improvement. For this purpose, the four variables of CG amongst others have been selected which include: the investigation of Code of Corporate Governance (CCG) of Pakistan (law in books), enforcement mechanisms in relation to the implementation of CG standards (law in action), the role of board of directors (BODs) and the role of institutional investors (IIs) in enhancing the companies’ performance and improving the CG practices. This study is conducted by employing a socio-legal research methodology due to its mixed nature of being legal and corporate. A qualitative research method is utilised by employing an inductive approach, interpretative research philosophy and exploratory strategy. The results of this study declare important for regulators to update CCG regularly by assessing its impact on companies’ performance and evaluating the attitude of companies towards the full and partial adoption of CCG. This practice will increase compliance with CCG. Moreover, this thesis develops a ‘Board Effectiveness Model’ in order to make BODs diverse and independent. Furthermore, this thesis explores strategies to enhance the part of IIs in the CG of their investee companies. The researcher believes that the recommendations proposed by this thesis, if implemented, could make considerable improvement in the corporate sector of Pakistan which will enhance investor confidence and will also attract foreign investment.

COORDENAÇÃO DE APERFEIÇOAMENTO DO PESSOAL DE ENSINO SUPERIOR
A difusão de sistemas locais de inovação pode ser entendida como uma das expressões de uma nova forma de cooperação que se manifesta no contexto amplo das mudanças estruturais enfrentadas pela sociedade, com impacto nas organizações produtivas. O objetivo deste trabalho é entender a dinâmica de um Sistema Local de Inovação - SLI, em particular, dos de base universitária, identificando seus principais atores (stakeholders) e as políticas mais eficazes para garantir seu funcionamento por parte do governo, universidades e setor privado. Faz-se um estudo sobre a dinâmica da inovação tecnológica e sobre as mudanças no ambiente das organizações, sendo também analisada a proposta da PUC-Rio em estabelecer um SLI de base universitária no bairro da Gávea, avaliando-se seus possíveis impactos na economia da região e sua capacidade para promover a transferência de resultados da pesquisa científica para a sociedade. Tal esforço enfrenta o desafio de planejar uma estrutura de governança que contenda com as várias questões envolvidas no gerenciamento de complexos sistemas sociotécnicos. Esse sistema é entendido como uma ecologia organizacional, sendo portanto utilizado o instrumental teórico fornecido pela abordagem socioecológica com o intuito de visualizar o complexo ambiente como um sistema aberto, mais dinâmico e apropriado para as características dos sistemas locais de inovação. O trabalho não se constitui em um estudo de caso, mas em uma tentativa de auxiliar a Universidade no esforço de planejamento de um SLI de Base Universitária.
The diffusion of Local Innovation Systems - LIS can be understood as one of the expressions of a new form of cooperation manifested in the context of the organizational changes faced by modern societies. In this regard, the diffusion of this one particular organizational form - that brings together the advantages of clustering and networking - can be understood in light of the perceived benefits from heightened cooperation to innovative activities. The objective of this dissertation is to understand the properties and dynamics of a LIS and, in particular, of University-based LIS, to shed more light into the elements of its structure and governance that promote cooperation among the many players involved. The dynamics of technological innovation, as well as the environmental changes faced by productive firms are also studied. One particular contextual interest presented in this dissertation is the ongoing effort of PUC-Rio to establish an University-based LIS in order to increase its capacity to transfer results of its academic research to society. Such effort faces the challenge of planning a governance structure that contends with the many issues involved in managing such complex social-technical system, a rather new subject of academic research. To assist in meeting this challenge, the PUC-Rio LIS will be understood as an organizational ecology. Hence, the theoretical framework provided by the socioecological approach will be used in understanding the environment as an open system, which is more dynamic and appropriate for the characteristics of LIS. Therefore, rather than a case study on innovation systems, this dissertation is an attempt to contribute to the Universitys effort of planning its LIS.

Corporate governance and executive pay have been much studied in the past as separate topics. The present study examines both topics simultaneously and endeavours to draw from this unified view a synthesis that can throw light on future governance reforms. Most prior research has examined the relationship between various governance mechanisms and company performance but unambiguous links have proved difficult to establish empirically. The study investigates executive compensation qualitatively and quantitatively in the context of corporate governance. It first conducts a critical review of the literature to uncover potential reasons for the extant conflicting results and to gain an up-to-date understanding of the role and effects of pay. This provides a perspective for interpreting the results of the second part of the study: a detailed analysis of the relationship between the remuneration of FTSE 100 directors and company performance during 2004-2009. The exercise seeks to shed light on whether increased governance activity has influenced pay practices among UK’s largest companies. Despite far-reaching governance reforms, the study finds that executive pay is still largely determined by company size and there are no signs of the pay-performance relationship becoming stronger over time. It further reveals that CEO pay is less performance-related than other directors and provides evidence that total cash is the pay element most strongly associated to performance. Taken together, the findings suggest that the UK’s governance system might be fragmented and incoherent, and that the flexibility offered by the ‘comply or explain’ approach is not fully exploited. They also lend support to the contention that managerial power and multiple agency problems affect board independence and the effectiveness of governance mechanisms, including executive pay. It closes with some considerations to integrate any lessons learned into pointers for future reforms.

This research, which is grounded on Pierre Bourdieu's theoretical framework deals with the explanation of corporate governance as a social space and the practices of audit committee members, internal auditors and independent board members within a public listed corporation in Mexico. The theories of field and practice of Pierre Bourdieu helps us to understand the space of struggle within the corporate governance field in Mexico. The habitus a central concept in Bourdieu's theory focuses on the way of acting, feeling, thinking and being of actors in the corporate governance field. And the field as part of the on-going context in which the actors live, structures the habitus, while at the same time the habitus is the basis for social agents' understanding of their lives, including the field. The dialectical relationship between the field and the habitus overcomes the duality of structure and agency, because following Bourdieu the habitus mediates between the individual and the social collective. The analysis shows that the field of corporate governance is structured and structuring with the practices of participants in the social space. Hence, the habitus carries history to the present circumstances of audit committee members, internal auditors, independent board members, institutional actors, professional agents and all those participants in the corporate governance field in Mexico. It is through the habitus that the corporate governance field in Mexico is produced and reproduced. Corporate governance practices also reflect the culture of corporate actors in Mexico. The analysis also looked at patterns of social organization through the structural network of board interlocks. The analysis shows that corporate governance practices adopted in Mexico reproduce existing hierarchies of power and have created new objects of social organization that perpetuate the prevailing structures. That is, the practical knowledge of audit committee members, internal auditors and independent board members purports an independent authentication of the company's financial statements and internal control. But, the analysis shows that their inclusion in the corporate governance field is sustaining a particular power structure. In other words, majority shareholders control Mexican corporations and the analysis shows that corporate governance practices in Mexico are not neither neutral nor disinterested. Instead, it was found that corporate governance practices and the corporate instrumental discourse of control, accountability and corporate transparency are consolidating a particular corporate order and power relations. The analysis also shows that the positions corporate agents and institutional actors occupied in the corporate governance field in Mexico are political in the sense that they are characterized by institutional structures and arrangements, hierarchies, instruments of control and command and power systems. In this way, corporate governance in Mexico can be seen as a contested discursive terrain, within which there is a variety of voices engaged in a political process of claims for recognition, acceptance and dominance. Despite the importance of board interlocks, the role of audit committee, internal auditors and independent board members m the operation of effective corporate governance, researchers and policy makers paid little attention especially in emerging economies such as Mexico. This research fills this gap. I used data from in-depth interviews and corporate annual reports to understand the field of corporate governance in Mexico.

Thesis (Ph. D.)--Massachusetts Institute of Technology, Dept. of Urban Studies and Planning, 2007.
Includes bibliographical references (v. 2, leaves 290-301).
Not long ago, China's environmental problems would have barely mattered beyond its borders. Now, while Chinese policy-makers have begun to tackle a wide range of domestic environmental challenges, the transboundary impact of China's domestic environmental difficulties deserves greater attention. Although China has historically neglected the transboundary impacts of its environmental problems, state actors are increasingly focusing on transboundary environmental relations. Based upon extensive field research in the Mekong Region, I have identified a number of situations in which China has sought to engage in transboundary environmental management. However, at the same time, in the same region, I have identified other situations where it has not been willing to take its transboundary environmental management responsibilities seriously. This dissertation seeks to explain this pattern of behavior. In particular, my assumption is that under certain circumstances, non-state actors, including civil society organizations and multilaterals, operating both inside China and in the world-at-large, through a process I call networked governance, are able to influence China's willingness to take its transboundary environmental responsibilities seriously. This research suggests it is increasingly important for these external non-state actors to better understand the mechanisms they can utilize to engage China's decision-makers in collaboratively managing transboundary natural resources. The Chinese central government is slowly relinquishing its role of supreme decision-maker. The Mekong Region is a complex web of inter-organizational networks that reach out, formally and informally, to China's environmental policy and decision-makers, at both the provincial and national levels.
(cont.) Based on an analysis of four detailed case studies, I conclude that these networks exert 'extra-bureaucratic' influence over China's policy and decision-making, generating a specific form of environmental governance in the region. China appears to be slowly shifting its approach to the management of transboundary natural resources.
by Erik Nielsen.
Ph.D.

Major changes to the interpretation and application of the law of self-determination have taken place since the era of decolonisation. Notably, because most non-selfgoverning territories have attained independence, analyses have shifted by looking at the internal application of self-determination. Although competing theories have generally defined internal self-determination as conditions under which human rights, democratic representation and access to the right to development are realised, there is continued uncertainty about how the concept is applied. In this regard, questions emerge about the linkage between internal self-determination and external selfdetermination within the self-determination continuum and particularly, whether territorial minorities can secede based on claims of oppression arising from state failure to satisfy conditions associated with internal self-determination. This thesis proposes that a global governance approach is required for understanding and applying post-colonial self-determination. Unlike other analyses, it is argued that the conditions relative to internal self-determination are case-specific. This means that the application of internal self-determination will be influenced by specific legal and extra-legal considerations affecting the parties in the minority-state relationship. Significantly, the actual conditions of internal self-determination may look different in each case, even though a normative process of evaluation is applied. A global governance approach identifies and formulates obligations based on these legal and extra-legal considerations, and a process for territorial minorities to pursue external selfdetermination if internal self-determination is denied. When considering possible local, regional and international pressures affecting territorial minorities like economic inequalities, human rights abuses, and the adverse effects of globalisation, is important to appreciate that obligations cannot be defined by pre-set criteria, but are derived from multi-party dialogue and the identification of specific rights, roles and responsibilities belonging to territorial minorities, states and the international community.

In an environment where individuals use applications to drive activities from what book to purchase, what film to view, to what temperature to heat a home, data is the critical element. To make things work data must be correct, complete, and accurate. Many firms view data governance as a panacea to the ills of systems and organizational challenge while other firms struggle to generate the value of these programs. This paper documents a study that was executed to understand what is being done by firms in the data governance space and why? The conceptual framework that was established from the literature on the subject was a set of six areas that should be addressed for a data governance program including: data governance councils; data quality; master data management; data security; policies and procedures; and data architecture. There is a wide range of experiences and ways to address data quality and the focus needs to be on execution. This explanatory case study examined the experiences of 100 professionals at 41 firms to understand what is being done and why professionals are undertaking such an endeavor. The outcome is that firms need to address data quality, data security, and operational standards in a manner that is organized around business value including strong business leader sponsorship and a documented dynamic business case. The outcome of this study provides a foundation for data governance program success and a guide to getting started.

This dissertation contributes to the literature on urban development politics. It takes a normative ideal, democratic urban governance, out of the esoteric realm of academic debate and applies it to a critical case study which concerns the most financially consequential area of urban policy, that of urban economic development. The principal elements of democratic urban governance are described, examined, and reconstructed as a framework for evaluating the policy making potentials in the present case. Beyond its academic contribution, this dissertation provides developmental policy makers with an intellectually sound basis for considering, more candidly and more directly, issues concerning democracy and governance.
Ph. D.

Despite an increasing recognition of the need for an integrative approach to sustainable development, there remains a tendency for this to be anthropocentric. Attempts to govern sustainability are invariably focused on the pre-eminence of the human perspective and social systems in the pursuit of human goals. This often means either excluding or attempting to control the external environment rather than understanding and responding to it. This thesis explores more holistic approaches to governance that are based upon the need for an improved understanding about the interconnections between social, economic and ecological systems. It examines current literature on governance for sustainable development and systems thinking as applied to it, with specific reference to Socio-Technical Systems (STS), social learning about systems’ interrelations and the nature of public goods. On the basis of this analysis, a systemic conception of governance for sustainability is developed and translated into a provisional framework that can aid participatory social learning relating to sustainable development. Three initial Socio-Technical Systems (STS) case studies are drawn upon to populate the empty framework (the European Critical Electricity Infrastructure (ECEI), the Finnish security system and the transition of energy systems towards a post carbon society); these are then analysed thematically to derive common governance for sustainability criteria. The final modified framework is then applied to an in depth, and on-going, case study of food systems’ security and sustainability and a final discussion considers how this governance framework (GAME) might contribute to future holistic decision making for more sustainable Socio-Technical Systems. The multi-method GAME supports the generation of future scenarios and core sustainability criteria by multiple stakeholders; reflecting needs, capabilities and limits that can maintain systems’ equilibrium. It also implies a more normative governance for sustainability and a commitment to improved evidence-based decision-making that reflects systems’ complexity and contributes to bridging the gaps between science, policy and society. The GAME is currently being extended to incorporate the user-friendly geospatial representations of impacts.

This research argues that the information security governance objectives should be grounded in the values of organizational members. Research literature in decision sciences suggest that individual values play an important role in developing decision objectives. Information security governance objectives, based on values of the stakeholders, are essential for a comprehensive security control program. The study uses Value Theory as a theoretical basis and value focused thinking as a methodology to develop 23 objectives for information security governance. A case study was conducted to reexamine and interpret the significance of the proposed objectives in an organizational context. The results suggest three emergent dimensions of information security governance for effective control structure in organizations: resource allocation, user involvement and process integrity. The synthesis of data suggests eight principles of information security governance which guides organizations in achieving a comprehensive security environment. We also present a means-end model of ISG which proposes the interrelationships of the developed objectives. Contributions are noted and future research directions suggested.

The 2007-09 Global Financial Crisis has been described as the greatest crisis in the history of financial capitalism. The failure of the global financial system was triggered by the ‘Great American Real Estate Bubble,’ however it quickly developed into a global liquidity squeeze that left financial markets at the brink of collapse. The thesis argues that the general culture of banking prevalent at the time both caused and exacerbated the crisis. The Business Strategies were excessively risky, focusing on short-term gains, at the expense of financial security. It is therefore purported that to mitigate the risks of any future global financial crisis a fundamental change in the culture of banking is needed. Behavioural expectations and norms must be redefined and more prudent strategies inculcated. The thesis will show that the only way to hope to achieve such a cultural shift is to employ a holistic approach, encompassing supervision, regulation and crucially corporate governance mechanisms. Previous debates within the UK have tended to focus on macro and micro regulatory reform. However, it is purported that it was in many cases, risk monitoring and management practices within financial institutions that dramatically failed. Whilst prudential regulation is important, the thesis will show that it alone is insufficient to change the culture within the financial system; a multi-faceted approach is needed. The central argument to the thesis will show that corporate governance mechanisms must play a central part in the legal and regulatory response to the Global Financial Crisis, as part of a cohesive package of measures necessary to effect cultural change; it will do this by conducting a case study into the collapse and subsequent nationalisation of Northern Rock Plc.

Active citizenship and collaborative governance can be supported to enhance urban regeneration and social inclusion through Dynamic Performance Governance (DPG). The problem of urban decay and urban decline is identified as the main problem that continues to affect cities and urban areas. The study focuses on the urban regeneration experience of the historic urban neighborhood of Ballaro which is located in the historic city of Palermo. Urban regeneration is essential for transforming urban neighborhoods which are at risk of decline and blight. However, the lack of a social aspect such as social inclusion through active citizenship was identified to affect the sustainability of urban regeneration policies. This study therefore illustrates how social inclusion as a social aspect of urban regeneration can be attained through active citizenship. It also illustrates how active citizenship can be supported by collaborative governance so as to generate community outcomes. The main goal of the study is to demonstrate how DPG can be applied by decision makers to design and implement sustainable urban regeneration policies. In this regard, urban regeneration was depicted as an intervention within an interconnected system, rather than a sum of single interventions. The study therefore identifies social inclusion as a key variable which can be promoted through active citizenship and collaborative governance so as to ensure sustainable urban regeneration. The following objectives were studied: (1) To identify factors which influence the growth and decline of cities and urban neighborhoods. (2) To illustrate how active citizenship can be generated so as to foster collaborative governance. (3) To determine how stakeholder collaboration can be used to generate sustainable outcomes. (4) To demonstrate how DPG can be applied in local areas strategic planning to support sustainable outcomes. Findings from the study indicate that factors associated with urban decline include the presence of social ‘wicked’ problems and dynamic complexity. The factors that support urban growth include, the balanced scorecard for strategic planning, social inclusion, system dynamics, and implementation of urban regeneration policies. Active citizenship was found to sustain collaborative governance. Collaborative governance across stakeholder groups was found to be essential in fostering sustainable outcomes. The study illustrates the role of DPG in decision making and strategic planning. In addition, DPG was used as a methodology in the study. The study recommends a theoretical and practical integration of Dynamic Performance Management and Governance in urban settings which will enrich this field of study, and improve the way decision makers approach urban regeneration.
Active citizenship and collaborative governance can be supported to enhance urban regeneration and social inclusion through Dynamic Performance Governance (DPG). The problem of urban decay and urban decline is identified as the main problem that continues to affect cities and urban areas. The study focuses on the urban regeneration experience of the historic urban neighborhood of Ballaro which is located in the historic city of Palermo. Urban regeneration is essential for transforming urban neighborhoods which are at risk of decline and blight. However, the lack of a social aspect such as social inclusion through active citizenship was identified to affect the sustainability of urban regeneration policies. This study therefore illustrates how social inclusion as a social aspect of urban regeneration can be attained through active citizenship. It also illustrates how active citizenship can be supported by collaborative governance so as to generate community outcomes. The main goal of the study is to demonstrate how DPG can be applied by decision makers to design and implement sustainable urban regeneration policies. In this regard, urban regeneration was depicted as an intervention within an interconnected system, rather than a sum of single interventions. The study therefore identifies social inclusion as a key variable which can be promoted through active citizenship and collaborative governance so as to ensure sustainable urban regeneration. The following objectives were studied: (1) To identify factors which influence the growth and decline of cities and urban neighborhoods. (2) To illustrate how active citizenship can be generated so as to foster collaborative governance. (3) To determine how stakeholder collaboration can be used to generate sustainable outcomes. (4) To demonstrate how DPG can be applied in local areas strategic planning to support sustainable outcomes. Findings from the study indicate that factors associated with urban decline include the presence of social ‘wicked’ problems and dynamic complexity. The factors that support urban growth include, the balanced scorecard for strategic planning, social inclusion, system dynamics, and implementation of urban regeneration policies. Active citizenship was found to sustain collaborative governance. Collaborative governance across stakeholder groups was found to be essential in fostering sustainable outcomes. The study illustrates the role of DPG in decision making and strategic planning. In addition, DPG was used as a methodology in the study. The study recommends a theoretical and practical integration of Dynamic Performance Management and Governance in urban settings which will enrich this field of study, and improve the way decision makers approach urban regeneration.

Economic growth is a hot topic among economists around the world. The last century many parts of the world have faced an acceleration in the economic growth. However, that is not the case for all countries and today there is a large economic gap between the rich and poor countries. But why have some parts of the world succeeded to create economic growth while others do not? The purpose of this study is to create a deeper understanding of the mechanism between economic growth and governance in the frontier market. To do this, a Vector autoregressive time series model will be used. The frontier market is an ad-hoc market index containing 22 countries that have not been classified as developing countries yet. In the poor parts of the world high level corruption and lack of political stability such as rule of law is a fact. Hence, the study will use control of corruption, rule of law as governance variables to investigate the association between governance and economic growth among the countries in the frontier market. Further it will investigate if there is a Granger causality between governance and economic growth and whether it is running from economic growth to governance or conversely. The results implies that there is association between governance and economic growth for Bahrain, Bangladesh, Croatia, Kazakhstan, Lebanon, Lithuania, Mauritius, Morocco, Pakistan, Romania, Slovenia, Serbia, Sri Lanka and Vietnam. But, the question remains if it is good governance that creates economic growth or if it is economic growth that creates good governance in the frontier market

The thesis will examine whether policy considerations based on the normative ethical framework of Principlism are adequate for drug development involving pharmacogenetics. In order to structure the analysis, the main research question will be based on the following three claims: (1) that the overriding deference to the principle of respect for autonomy in the current interpretation of Principlism has asserted a legacy of protectionism towards the research participant at the expense of ignoring pharmacogenetics’ primary ethical issues (which are concerned with equity, fair distribution and research prioritisation); (2) that the principle of justice in Principlism requires specification, and that this principle’s nonspecificity may be a reason for over-compensatory application of respect for autonomy; (3) and finally, that current interpretations of Principlism represent moral values that are culturally dependant. Based on these claims, I argue that a pharmacogenetic research governance ethical framework ought to be representative of common moral values, which are culturally neutral, subscribe to a ‘minimal morality', and are not based on the current precautionary approach that is entrenched in Principlism. From this main argument, I appeal to the principle of justice as fairness from Rawls’s A Theory of Justice to provide specification for the principle of justice inherent in Principlism. As well as establish how the application of this ‘minimal morality’ in governance could be achieved through John Rawls’s overlapping consensus, arguing that this would minimise the variability seen in regulatory decision making. I argue that greater specification of the principle of justice would ensure that this principle could effectively be exercised to alleviate pharmacogenetics’ actual ethical issues, which are not concerned with the inference of disease knowledge, as implied by ethical concerns regarding informed consent, privacy and confidentiality.