This PhD thesis provides an analysis of how an adaptive governance approach can be applied to address existing and emerging challenges in global governance with a focus on marine, wild-capture fisheries. All the papers share a coupled social-ecological framing while providing diverse but complementary perspectives. Paper I provides a lens through which it is possible understand the types of interactions that link social and ecological components of fisheries systems at the global scale. The key result of this paper was the development of a marine social-ecological framework to guide future modelling and scenario analysis. Paper II describes the process of emergence and spread of new ideas in marine governance using Marine Spatial Planning as an illustrative case study. The study shows how governance innovations may contribute to resolving the mismatches between the scale of ecological processes and the scale of governance of ecosystems. A key finding of the paper is the identification and explanation of the mechanisms by which informal networks of actors are able to influence the emergence and spread of new governance forms from the local to the global scale. Paper III focuses on governance of ocean areas beyond national jurisdiction. The key finding from this paper is the urgent need for existing and emerging governance institutions to build capacity for responding to the challenges facing governance of marine fisheries. These challenges arise from unexpected shifts in markets, technology and society. Paper IV develops a set of four imaginative but plausible ‘radical’ futures for global fisheries drawing on trends compiled from a diverse evidence base. The four resulting narratives aim to act as lenses for engaging debate and deeper reflection on how non-linear changes in technology and society might radically shift the operating context and core assumptions of fisheries governance in the future. These papers make a novel contribution to Sustainability Science through their focus on 1) the conditions for, and mechanisms of emergence of diverse and divergent governance forms, 2) the role of agency in complex actor settings, 3) the need for governance institutions to not only deal with, but also be able to anticipate surprise, and 4) the development of scenarios of marine social-ecological futures using a creative and rigorous narrative approach. / <p>At the time of the doctoral defense, the following paper was unpublished and had a status as follows: Paper 4: Manuscript.</p>

Das Ende des Nachkriegssystems der multilateralen Finanzorganisationen ist keines im eigentlichen Sinn des Wortes. Aber die Veränderungen im internationalen System sind evident und beschränken sich nicht auf Weltbank und Währungsfonds. Die entscheidende Verschiebung des globalen Machtgefüges findet außerhalb des multilateralen Systems der UNO statt. Es sind informelle Gruppen, die Gs in verschiedener Stärke: G-7/8 als westliches Auslaufmodell, der Newcomer G-20 und wenn Europa nicht aufpasst die G-2: Chinamerica.

What explains the shift towards greater direct public oversight of financial markets in international financial regulation that has characterized the response to the global financial crisis of 2007-2010? Over this period, the main international financial regulatory bodies have abandoned the market-based mechanisms that had informed their approach towards the regulation of different financial domains in the years before the crisis and significantly expanded the perimeter of state-based regulation. However, the extent and the timing of this shift cannot be regarded only as the by-product of the crisis, nor they can be explained by the existing interpretations of the political determinants of international regulatory policies. This study builds upon existing state-centric explanations of international regulatory policies, but it goes beyond these works by exploring how the preferences of the most influential countries in response to the crisis have been influenced by variations in the degree of public salience of different financial domains. More specifically, this study argues that the lasting increase in the public salience of financial regulatory policies in the US and different European countries since the last quarter of 2008 has created strong incentives for elected officials in these countries to challenge the market-based approach that had emerged in the decade and half before the crisis and to directly interfere in the international regulatory agenda. In order to explain this shift, this study will analyse the evolution in the international governance of three sets of markets and institutions that have occupied an important position in the international regulatory agenda in recent years: 1) OTC derivatives; 2) rating agencies; 3) hedge funds. Besides making an empirical contribution to the literature on the politics of international financial regulation, this study also contributes theoretically to this literature by deepening our understanding of the nexus between international regulatory coordination and domestic public opinion.

What explains the creation and strengthening of international securities market standards through the International Organization of Securities Commissions (IOSCO)? This thesis addresses this question by analyzing the creation and strengthening of four of IOSCO’s international securities market standards between 1991 and 2010 relating to the following issues: the governance of cross-border financial crime, the objectives and principles of domestic securities market regulation, the regulation of credit rating agencies, and the regulation of hedge funds. This thesis argues that the creation and strengthening of these standards is derived from the role and influence of three different political actors: the transgovernmental network of securities market regulators, domestic legislatures, and states. The role and influence of these different political actors differs across issue areas and across time. To account for the differentiated sources of international securities market standards, this thesis proposes a Principal-Agent (PA) analytical framework. Domestic legislatures (the principal) delegate to securities regulators (the agent) the authority to oversee and regulate domestic securities markets by granting regulators specific forms of statutory authority. Exercising discretion within this act of delegation, domestic securities regulators act together in a transgovernmental network to create and strengthen international securities market standards. They are prompted to act by threats to the integrity and stability of developed financial centers from under-regulated or ineffectively regulated foreign financial centers, as well as by new policy preferences of domestic legislatures seeking to regulate previously unregulated financial market actors. Domestic legislatures also use multiple agents to ensure that agents act consistent with their policy preferences: their concerns about the costs of under-regulated foreign jurisdictions can generate direct pressure from states on international financial regulatory institutions to strengthen the implementation of international financial standards. This thesis makes an empirical contribution to existing literature by analyzing previously understudied international securities market standards. This thesis also makes a theoretical contribution to both IPE literature and PA theory within International Organization (IO) literature. For IPE literature, this thesis establishes a theoretical framework that accounts for the differentiated role and influence of the transgovernmental network of securities market regulators, domestic legislatures, and states in the creation and strengthening of international securities market standards. For PA theory within IO literature, this thesis highlights the role of the principled professional interests of the transgovernmental network of securities market regulators in creating and strengthening international securities market standards.

Zugl.: Oestrich-Winkel, Europ. Business School, Diss., 2008

Universiẗat, Bachelorarb.--Osnabrück, 2008.

This thesis presents the argument that the World Bank’s education policies are discursively inconsistent due to the concurrent adoption of conceptual frameworks – namely the neoliberal and global public goods frameworks – which are arguably in conflict with one another. More specifically, the World Bank presents education as both a public and a private good. This assessment is reached via a critical analysis of the Bank’s education policy discourse. The Bank’s policies are furthermore argued to be grounded in market economics and therefore are in tension with the notion of education as a human right – a legal and political framework, advocated by other development organizations, but neglected by the Bank. Over the course of this thesis, neoliberal influences on the World Bank’s education policies are critiqued on several levels, including potential ethical ramifications concerning equity, discursive logic and questionable use of evidence. This dissertation furthermore suggests that the Bank can re-conceptualize education in a light that does not engender these critiques, by embracing a rights-based vision of education. It is argued that it is not necessary for the Bank to relinquish an economic conceptualization of education, and that it is possible for the human rights and economic discourses to go hand-in-hand. Despite some tensions, education can be supported by both a public goods and rights-based framework, and that via such measures as collaboration with organizations that conceive of education as a right and reducing the dominance of economists within the organization, the Bank’s policies will become aligned with this rights-based vision. This thesis argues that World Bank education policies can take steps toward improvement if the neoliberal notion of education as an exclusive, private good is abandoned in favour of education as a non-exclusive, public good, and a right.

This thesis presents the argument that the World Bank’s education policies are discursively inconsistent due to the concurrent adoption of conceptual frameworks – namely the neoliberal and global public goods frameworks – which are arguably in conflict with one another. More specifically, the World Bank presents education as both a public and a private good. This assessment is reached via a critical analysis of the Bank’s education policy discourse. The Bank’s policies are furthermore argued to be grounded in market economics and therefore are in tension with the notion of education as a human right – a legal and political framework, advocated by other development organizations, but neglected by the Bank. Over the course of this thesis, neoliberal influences on the World Bank’s education policies are critiqued on several levels, including potential ethical ramifications concerning equity, discursive logic and questionable use of evidence. This dissertation furthermore suggests that the Bank can re-conceptualize education in a light that does not engender these critiques, by embracing a rights-based vision of education. It is argued that it is not necessary for the Bank to relinquish an economic conceptualization of education, and that it is possible for the human rights and economic discourses to go hand-in-hand. Despite some tensions, education can be supported by both a public goods and rights-based framework, and that via such measures as collaboration with organizations that conceive of education as a right and reducing the dominance of economists within the organization, the Bank’s policies will become aligned with this rights-based vision. This thesis argues that World Bank education policies can take steps toward improvement if the neoliberal notion of education as an exclusive, private good is abandoned in favour of education as a non-exclusive, public good, and a right.

What explains the creation and strengthening of international securities market standards through the International Organization of Securities Commissions (IOSCO)? This thesis addresses this question by analyzing the creation and strengthening of four of IOSCO’s international securities market standards between 1991 and 2010 relating to the following issues: the governance of cross-border financial crime, the objectives and principles of domestic securities market regulation, the regulation of credit rating agencies, and the regulation of hedge funds. This thesis argues that the creation and strengthening of these standards is derived from the role and influence of three different political actors: the transgovernmental network of securities market regulators, domestic legislatures, and states. The role and influence of these different political actors differs across issue areas and across time. To account for the differentiated sources of international securities market standards, this thesis proposes a Principal-Agent (PA) analytical framework. Domestic legislatures (the principal) delegate to securities regulators (the agent) the authority to oversee and regulate domestic securities markets by granting regulators specific forms of statutory authority. Exercising discretion within this act of delegation, domestic securities regulators act together in a transgovernmental network to create and strengthen international securities market standards. They are prompted to act by threats to the integrity and stability of developed financial centers from under-regulated or ineffectively regulated foreign financial centers, as well as by new policy preferences of domestic legislatures seeking to regulate previously unregulated financial market actors. Domestic legislatures also use multiple agents to ensure that agents act consistent with their policy preferences: their concerns about the costs of under-regulated foreign jurisdictions can generate direct pressure from states on international financial regulatory institutions to strengthen the implementation of international financial standards. This thesis makes an empirical contribution to existing literature by analyzing previously understudied international securities market standards. This thesis also makes a theoretical contribution to both IPE literature and PA theory within International Organization (IO) literature. For IPE literature, this thesis establishes a theoretical framework that accounts for the differentiated role and influence of the transgovernmental network of securities market regulators, domestic legislatures, and states in the creation and strengthening of international securities market standards. For PA theory within IO literature, this thesis highlights the role of the principled professional interests of the transgovernmental network of securities market regulators in creating and strengthening international securities market standards.

Current approaches to sex trafficking appear to be neither very successful in stopping sex trafficking nor, more importantly, very effective in helping those women for whom it is intended. Rather, the overwhelming focus on the issue of prostitution obscures the more fundamental issue of providing relevant assistant to trafficked women. The theoretical debates among academics and feminist activists do not delve sufficiently deep enough into this issue, while the policy discussions and the resulting international policy reflect the moral positions of abolitionist activists and policy-makers regarding the unacceptability of prostitution as a legitimate income-generating activity— a debate that is distinct from the issue of sex trafficking. I will argue that existing national anti-sex trafficking policies in India and Nepal, the regional policy for the South Asian Association for Regional Co-operation, and the United Nations Trafficking Protocol are ineffective because they reflect an association of sex trafficking with prostitution. A more effective policy would dissociate sex trafficking from moral judgments about prostitution. This can be accomplished by applying a feminist ethic of care as a methodology and as a political practice. Trafficked women emerge from a context of complex life histories and decision-making processes. Anti-sex trafficking governance structures are meant to provide care for trafficked women. As a methodology, an ethic of care would employ a critical moral ethnography to distill the experiences and articulated needs of trafficked women in order to show whether this is being accomplished and, if not, why. As a political practice, it can use the information that its methodology necessitates to provide guidance on how these governance structures might best be designed to provide care for trafficked women.