Protected areas are the central strategy for preserving biodiversity in the face of overexploitation and global change. To ensure their long-term survival, however, these areas may not be regarded as last havens of wilderness, but as complex social-ecological systems. Modern approaches of protected area (PA) management support this view by balancing conservation and development issues in a sustainable way and adapted to the local context. However, success of these strategies in achieving their aims so far remains limited. This study therefore aimed at analysing processes and outcomes of PA co-management approaches implemented in a large transfrontier conservation area in West Africa. The W-Arly-Pendjari (WAP) complex spans over more than 30.000 square km in Benin, Burkina Faso and Niger and is composed of approximately 20 subunits. Due to national legal and administrative variety as well as a high diversity of local (project) implementation approaches, the general setting resembled a quasi-experimental design facilitating comparative studies. A mix of quantitative (e.g. survey of 549 households) and qualitative (e.g. expert interviews, literature review) methods was used to evaluate the institutional and organisational differences of PA management approaches implemented in the different parts of WAP belonging to Benin and Burkina Faso. I included an analysis of contextual factors (e.g. land-cover-change) and ecological data, but concentrated on the role of local resource users within the co-management arrangements and the effectiveness of governance regimes to deliver positive socio-economic outputs. Exploring the question whether promotion of development in PA surroundings indeed stipulates conservation success (and vice versa) remained challenging: the lack of sound ecological data, a general mismatch of spatial scale in existing data sets, as well as the high complexity of realities on the ground made me refrain from using simplified proxy indicators and (statistical) modelling approaches. I found that the Sudano-Sahelian context is a very difficult one for the implementation of effective participation approaches in the short-term. Political, demographic, socio-economic as well as ecological factors generated a very dynamic situation characterized by limited financial and natural resources as well as weak institutional and organisational settings. Arenas of interaction were often marked rather by a high degree of distrust and competition than by cooperation among actors. Amid all rhetoric, participation in most cases was hence limited to the transfer of (sparse) information, regulated resource access and financial funds. Options for participation of local resource users in decision-making arenas were generally scarce. Underlying processes were dominated by opacity and often low accountability of actors on all levels. Negative, but also positive affection of local residents by PA existence and management hence was high. Governance regimes of the complex performed very differently with regard to their ability of effectively empowering local village participatory bodies (vpb), generating and distributing benefits to individuals and village communities as well as providing mechanisms of conflict resolution. People around Pendjari enjoyed a relative wealth of high value benefits, while negative impacts caused by human-wildlife conflicts were widespread around the complex. Autochthonous farmers usually were better integrated in incentive schemes than were newcomers or herders. While there was functional separation of actors’ roles in all parts of WAP, these roles differed significantly between blocks. Existence and functioning of village participatory bodies ameliorated the situation for local resource users fundamentally, as they acted as cut-points between different networks (governmental hierarchies, private concessionaires and local resource users). Vpbs in the Pendjari region proved to be most advanced in their capacity to push resource users’ claims in action arenas on the micro-level. Via their union, these associations also managed to impact arenas on the meso- and the macro scale. Project interventions often had catalyst functions to empower local resource users and their vbps. However, they also contributed to social imbalance and intra-organisational competition. My results represent a snapshot of an ongoing process to establish effective co-governance regimes in the WAP-area. Though I identified a large scope of shortcomings, there were also very promising initiatives underway. This work is therefore meant to foster future research and further positive development by giving guidance scholars and decision-makers form the local to the global level alike. / Schutzgebiete spielen eine zentrale Rolle für den Schutz von Biodiversiät vor anthropogener Übernutzung und negativen Auswirkungen anderer Global-Change-Prozessen. Damit sie diese Funktion auch langfristig erfüllen können, dürfen diese Gebiete nicht als letzte Wildnisregionen verklärt, sondern müssen als komplexe sozio-ökologische Systeme wahrgenommen werden. Moderne Managementansätze tragen dieser Sichtweise Rechnung, indem sie Schutzmaßnahmen und Entwicklungsansätze miteinander verbinden. Diese Lösungen zielen auf Nachhaltigkeit ab und sind – im Idealfall – an den lokalen Kontext angepasst. Der Erfolg dieser Strategie bleibt in der Praxis jedoch hinter den Erwartungen zurück. Die vorliegende Studie analysiert die Implementierung und Effektivität von Ko-Management-Ansätzen in einem großen grenzübergreifenden Schutzgebietskomplex in Westafrika. Dieses Gebiet erstreckt sich über 30.000 km2 in den Ländern Burkina Faso, Benin und Niger und setzt sich aus ca. 20 Subkomponenten zusammen. Benannt wurde der Komplex nach seinen drei Kerngebieten (W-Arly-Pendjari (WAP)). Aufgrund der unterschiedlichen juristischen und administrativen Rahmenbedingungen zwischen den beiden Ländern sowie der Vielzahl an lokalen Implementierungsansätzen, ähneln die Voraussetzungen einem quasi-experimentellem Design und bieten sich für eine vergleichende Studie an. Mit Hilfe verschiedener quantitativer (z.B. Befragung von 549 Haushalten) und qualitativer (z.B. Experteninterviews) Methoden wurden die institutionellen und organisatorischen Voraussetzungen für Schutzgebietsmanagement in Benin und Burkina Faso erfasst und die implementierten Governance-Ansätze evaluiert. Neben der Analyse verschiedener Kontextfaktoren (z.B. zu Landnutzung) und ökologischer Daten (z.B. zu Populationsentwicklungen von großen Säugetierarten), lag die Rolle lokaler Ressourcennutzer in den Ko-Management-Systemen im Fokus. Die zentrale Fragestellung konzentrierte sich auf die Effektivität der unterschiedlichen Governance-Regime, positive sozio-ökonomische Ergebnisse zu erzielen und die zu Grunde liegenden Interaktionen der beteiligten Akteure zu identifizieren. Die Frage, ob die gezielte Entwicklungsförderung von Gemeinden im unmittelbaren Umfeld von Schutzgebieten tatsächlich auch zu erhöhtem Naturschutzerfolg führt, musste weitestgehend offen bleiben: das Fehlen von zuverlässigen ökologischen Daten, unterschiedliche räumliche Skalenniveaus in den vorhandenen Datensätzen, sowie die hohe Komplexität der Bedingungen vor Ort ließen keine (statistisch) belastbare Auswertung zu. Die Kontextanalyse zeigte, dass Westafrika ein sehr schwieriges Umfeld für die schnelle Implementierung von Partizipationsansätzen darstellt. Die Region ist gekennzeichnet durch hohe Dynamik und Variabilität in ihren politischen, demographischen, sozio-ökonomischen und ökologischen Rahmenbedingungen. Das Management von sozio-ökologischen Systemen leidet daher massiv unter der Limitierung an natürlichen und finanziellen Ressourcen sowie schwachen organisatorischen und institutionellen Strukturen. Interaktionen zwischen den einzelnen Akteuren waren stärker von Misstrauen und Konkurrenz als von Kooperation geprägt. Entgegen des von einigen Akteuren nach außen vermittelten Bildes, war die Partizipation lokaler Ressourcennutzer limitiert auf die Weitergabe von (unvollständigen) Informationen, sowie dem regulierten Zugang zu natürlichen Ressourcen und begrenzten finanziellen Mitteln. Die Möglichkeit, an Prozessen zur Problemlösung und Entscheidungsfindung mitzuwirken war nur partiell und räumlich eingeschränkt gegeben. Die zu Grunde liegenden Prozesse waren gekennzeichnet von Intransparenz und geringer Verantwortlichkeit der Akteure auf allen Ebenen. Die Anwohner waren daher häufig in hohem Maß von negativen Auswirkungen der Schutzgebiete betroffen. Die Governance-Strukturen in verschiedenen Teilen des Komplexes variierten stark in ihrem Vermögen, lokale Partizipationsorgane aufzubauen und in aktuelle Management-Prozesse einzubinden, Vorteile für lokale Ressourcennutzer und Gemeinden zu generieren und gerecht zu verteilen, sowie effektive Mechanismen zur Konfliktbewältigung zu etablieren. Insbesondere die Anrainer des Biosphärenreservats Pendjari genossen eine relative Vielzahl qualitativ hochwertiger Vorteile; negative Auswirkungen der Schutzgebiete durch Mensch-Tier-Konflikte waren hingegen in allen Subkomponenten des Komplexes weit verbreitet und blieben weitestgehend unadressiert. Autochthone Ackerbauern waren generell besser in die Anreizsysteme des Parkmanagements eingebunden als neu hinzugezogene Ressourcennutzer oder Viehhirten. Die funktionellen Rollen der einzelnen Akteursgruppen waren zwar in allen Teilen des Komplexes stark differenziert, unterschieden sich aber signifikant zwischen den Subkomponenten. Die Existenz aktiver und vernetzter Partizipationsorgane auf lokaler Ebene, verbesserte die Lage von Ressourcennutzern fundamental, da sie als Schnittstellen zwischen den verschiedenen Netzwerken (staatlichen Hierarchien, privaten Marktakteuren und sozialen Netzwerken auf Gemeinschaftsebene) agieren und Kompromisse vermitteln konnten. Partizipationsorgane in der Pendjari-Region waren auf Grund ihres vergleichweise hohen Organisationsgrades am effektivsten in der Lage, die Interessen lokaler Ressourcennutzer in den entsprechenden Arenen auf der Mikro-Ebene zu vertreten. Über den Zusammenschluss aller lokalen Partizipationsorgane in Form einer Union konnten sie auch Arenen auf der Meso- und Makroebene beeinflussen. Von externen Geldgebern gesteuerte Projekte erfüllten häufig eine katalytische Funktion, lokale Ressourcennutzer und ihre Partizipationsorgane für ihre Rolle als Ko-Manager anzuleiten. Sie verursachten aber auch soziales Ungleichgewicht und erhöhte Konkurrenz zwischen den Akteursgruppen auf lokaler Ebene. Die vorgelegten Ergebnisse stellen lediglich eine Momentaufnahme des Prozesses dar, effektive Ko-Management- Ansätze in der WAP-Region aufzubauen. Zwar wurde eine große Anzahl an Schwächen identifiziert, gleichermaßen gab es aber auch vielversprechende Ansätze für die Zukunft. Die Arbeit ist als Grundlage für die weiterführende Forschung und Entwicklung dieser positiven Ansätze gedacht. Sie adressiert daher die Wissenschaftsgemeinde ebenso wie die Entscheider von der lokalen bis zur globalen Ebene.

This thesis develops a new framework for explaining the effects and possible trajectories of state building interventions (SBIs). This is for both examining specific interventions and learning about the precise nature of the post-Cold War global order – how power is distributed, exercised, constrained and challenged within and between states. In the post-Cold War years, but particularly since the September 11 2001 terrorist attacks, so-called failed states have become a central security concern for policymakers. In tandem, there has been an influx of practitioner and scholarly interest in international ‘state building’. Prevalent approaches to state building are premised on a static conception of the state and therefore seek to evaluate SBIs in terms of whether they help create ‘more’ or ‘less’ state. In contrast, this thesis examines SBIs as a new mode of governance in the global political economy that is transformative of both intervened and intervening states, leading to the creation of a transnationalising and transnationally regulated form of statehood. Based on a conception of the state as a site of social and political struggle this study examines the ways in which SBIs affect the distribution, production and reproduction of political power in intervened states: Who rules and how? What social and political conflicts are engendered or exacerbated by SBIs, and how are they managed? What alliances and coalitions support the production/reproduction of power relationships associated with SBIs? The thesis provides a conceptual framework for understanding the complex governance terrain SBIs open up. SBIs are conceptualised as multilevel regimes – sets of social and political relationships, institutions and ideas – that exist simultaneously within and outside intervened states. While preserving the formal sovereignty of intervened states, these regimes are nevertheless established to shape political outcomes by limiting the political choices available to domestic leaders. This is operationalised by opening up and shifting power to multilevel spaces of governance within the apparatus of these countries. Through case studies from Australia, Solomon Islands and Cambodia, the thesis analyses the politics of SBIs and their broader implications for contemporary statehood. Ultimately it establishes that regardless of whether SBIs are successful or otherwise in achieving their stated objectives they are associated with the emergence of increasingly authoritarian, hierarchical and anti-competitive forms of political rule, both within and between states.

The governance of Australian nonprofit voluntary sport organisations (VSOs) was once almost the exclusive domain of volunteers. However, changes in government policy and funding levels in recent years has led to the introduction of professional staff in these organisations. Rapid changes to the political, social and economic environment have created new complexities with which VSOs and their governing boards must grapple. Boards act as the main decision making body for these organisations, and as such have a significant impact on the governance of these organisations, and therefore their ability to deliver services. While the process of professionalisation within VSOs has been well documented, very little research has examined factors that may influence the ability of the boards of VSOs to perform effectively. The fields of nonprofit governance and sport management provided a theoretical and conceptual framework for the investigation of the board performance of VSOs. Two broad themes concerning research into board performance were identified in the nonprofit literature; the structural characteristics of the board, and board-executive relations. These two themes have also been addressed to a limited extent within the sport management literature, but not in relation to board performance. The purpose of this study was to investigate the relationship between board performance, board structures and board-executive relations in Australian VSOs. The study investigated the differences in board structure between effective and ineffective boards, and the relationship between board performance and various elements of board structure, specifically complexity, formalisation and centralisation. The differences in the nature of board-executive relations between effective and ineffective boards, and the relationship of board performance to board-executive relations were also investigated. The sampling frame for the study was state governing bodies of sport in the state of Victoria, Australia. Seven case organisations were identified by a panel of experts; four exhibiting effective board performance and three exhibiting ineffective board performance. Data were collected through structured interviews with executives, from an examination of board documents, from a self-administered questionnaire of executives, board chairs and board members, and through semi-structured interviews with executives, board chairs and board members. Data were collected on board performance, the complexity, formalisation and centralisation of the boards, power patterns within the boards, and the nature of board-executive relations. Data analysis involved both quantitative and qualitative techniques. It was concluded that effective board performance was related to a higher level of board centralisation and associated with a higher level of board formalisation. Board performance was not related to board complexity. Board power patterns that were perceived to be powerless or fragmented were related to lower levels of board performance. Elements of the board-executive relationship that were related to effective board performance were identified as establishing trust between the board and executive, the control of information by the executive, shared board leadership and the responsibility for board performance. Importantly, the study identified the central role executives have in determining the ability of VSO boards to perform effectively. The study contributed to the body of knowledge concerning the governance of VSOs, specifically the measurement of board performance, and the investigation of its relationship with board structure and board-executive relations. A number of questions were advanced for the development of theory and empirical investigation through further research. The study also extended what is known about the models of nonprofit governance and their utility in explaining the workings of VSO boards. The findings of this study suggest that there is a need to adapt such models to the organisational context of member-based organisations such as VSOs.

One method chosen to achieve efficiency and effectiveness in the health and education sectors is a decentralized voluntary board system. In Canada, boards are delegated specific administrative responsibilities but much of the power for funding and policy development is still held centrally by the provincial governments. Depending on the specifics of the debate, this structure creates either a dependent of an interdependent relationship between the boards and the provincial government that created them. What the relationship should be is unclear because the responsibilities associated with governance are not well defined in the literature. Given this reality, board members continue to accept the responsibility to account to the provincial governments and represent many stakeholders.

University of Technology, Sydney. Faculty of Business. / Recent regulatory changes in developed economies have sought to apply uniform standards for corporate governance following a series of high profile corporate collapses between 2000 and 2002. The various regulatory responses raised questions in the governance literature on the appropriateness of a “one size fits all” approach. However, empirical outcomes in this literature do not provide a consistent picture on how, or even whether, governance choices vary with firm characteristics. This thesis addresses the lack in empirical direction by investigating the discriminatory power of a fundamental firm variable, the price-to-book ratio (P/B), that is often applied in Australian and other studies to predict governance outcomes. It evaluates how a joint price-to-book, price-to- earnings, firm classification (P/B, P/E) captures variations in governance choices by Australian firms and compares the results with those using a conventional P/B classification. Choices for two key mechanisms – the level of independence of the board of directors and the quality of its external auditors, are examined as they feature prominently in regulatory reforms. The results show that a joint P/B, P/E classification captures significant differences in the use of both mechanisms confirming that governance frameworks vary with firm characteristics. Consistent with expectations, these differences are recorded for board independence within high and within low P/B firms. Significant variations are also identified in the choice of auditor quality within both P/B classes of firms. By enabling a more parsimonious analysis of firm characteristics through the joint P/B, P/E framework, these results enhance our understanding of the choice of independent directors and high quality auditors. They also lend support to the general proposition that a “one size fits all” governance framework could lead to unnecessary costs for firms as they seek optimal governance arrangements that suit their specific information environments.

Corporate governance has become an increasingly topical issue in recent years. This has been fuelled by such corporate collapses as Enron, Worldcom, Parmalat, One.Tel and HIH. The role and responsibility of the board and directors has emerged as an important issue in examining the cause of these collapses. This has created much debate on what the role of the directors is in 'directing', 'monitoring' or 'advising' a company. Research indicates that investors are prepared to a pay a premium for good governance. This raises a number of questions. What is governance? How do we determine what is good governance? What role do directors have in this? Does the company's performance improve by adopting good governance practices? There are numerous approaches to examining what makes a good board. Quantitative techniques have included the use of such measurable concepts as the number of executive and non-executive directors, directors' skill base (for example, accountancy, marketing etc) and frequency of meetings attended. Researchers have also attempted to measure board performance and effectiveness by using indicators such as share values and shareholder returns. There is a lack of qualitative research in board behaviour and effectiveness. This exploratory study adopts a qualitative approach in order to provide richer data. It uses interviews to evaluate directors' views on some aspects of corporate governance, specifically in relation to the executive and non-executive director debate. The interviews were conducted with 11 directors from a variety of organizations in the forprofit and not-for-profit sectors. Two major themes have emerged from the analysis of the interviews. Firstly, directors are traditionally considered to be responsible for maximising shareholder wealth. However, directors are now expected to broaden their responsibilities to include other stakeholders and to consider social and environmental issues in making their decisions. The findings indicate that it is now more demanding to be a director due to increased workloads arising from the regulatory and legal requirements. This has also impacted on director and board evaluations, multiple directorships and directors remuneration levels. The second major theme that emerged from this study is that directors' personal experiences did not necessarily concur with governance principles and guidelines. For example, the widely recommended method of achieving 'best practice' by having a majority of non-executive directors on a board is considered too simplistic. Further studies are required on the behavioural and personality traits, technical skills of the directors, board structure, composition and type of organization which make the best contribution to achieving boardroom effectiveness.

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Corporate governance, and the role of executive pay in particular, has received increased attention from the media, government, and the business arena in recent years. The study reported in this thesis adds to our understanding of both the components and determinants of Australian remuneration packages for the top management team. It does so in four main ways: 1. The study examines the determinants of compensation of a range of senior executives within the organisation, in addition to the CEO. No Australian research, to date, explores the structure and determinants of remuneration beyond the CEO; 2. The research is conducted in a contemporary setting and timeframe, where corporations are subject to expanded disclosure requirements, when compared to the subjects of prior Australian research; 3. It examines an expanded range of factors documented in overseas research as likely to relate to remuneration, some of which have not been previously examined in Australian work; 4. Finally, in developing hypotheses concerning factors expected to relate to remuneration, the study reconciles the perspectives provided by both agency and managerial power theories in terms of how they present similar and differing propositions. The research examines both cash and incentive components of executive compensation disclosed by a sample of top 300 Australian companies in 2005. The model incorporates measures of firm performance, economic characteristics, board monitoring and governance characteristics, and ownership characteristics in an attempt to explain the level of executive compensation. The study extends analysis beyond the CEO to incorporate an investigation of both the structure and determinants of compensation of the top five executives, in addition to the CEO. Results indicate that the structure of CEO compensation has changed since prior Australian research was conducted, to include a more heavy reliance on incentive pay. In contrast to the US, the structure of CEO remuneration differs from that of non-CEO executives. As managers move progressively up the senior executive hierarchy, short-term cash bonus and share-based incentive pay both become more important as components of remuneration. There is also a greater reliance on performance hurdles than has been documented in prior Australian and international research. The expectation that remuneration is now more strongly tied to firm performance is supported. The size and complexity of the firm are also considered to be important in determining the level of various components of both CEO and non-CEO executive compensation. This supports the view that larger, more complex entities attract higher quality executives, and pay for such quality and expertise. Growth firms are more likely to pay higher levels of incentive pay and total compensation to CEOs than non-growth firms. Executive remuneration also relates to the strength of various monitoring and governance mechanisms, although to a greater extent for CEOs than for other senior executives. Managers are able to influence the remuneration-setting process where governance structures are weak, or where they have greater influence. In some cases factors relating to CEO compensation differ from those associated with compensation of lower-level executives.

This research is about planning and governance relating to people in place and the challenges for local government in reconciling differing community interests in contests over land use. Victorian state government policy imperatives require local government to encourage community participation and cohesion and to promote urban consolidation by supporting medium density and affordable housing. Paradoxically, resident backlash to the urban consolidation agenda is increasing community division. The research explores these themes through a case study of the governance processes in a collaborative effort to develop Woodstock community housing in Balaclava, a gentrifying neighbourhood in inner-urban Melbourne, Australia. The development is typical of projects which ignite community opposition and challenge local government’s role in dealing with contested land uses. The analysis of the governance process was undertaken using qualitative research methods which included in depth interviews with project proponents and objectors and the analysis of secondary data including council and local media reports and policy documents. The collaborative planning theory of Patsy Healey provided an assessment framework for the Woodstock governance process focussing on the stakeholders, planning discourses and planning practices. / The research demonstrates the limitations of governance theories in addressing competing interests by providing insights into the nature and dynamics of community conflict and NIMBY reactions around planning issues. The research findings show that the regulatory governance processes adopted for the development of Woodstock were not conducive to reconciling conflicting interests. The fixed rules for engagement mandated by state legislation left no room for genuine dialogue and mutual learning. The processes assumed that objectors would respond in a rational way to issues about which they felt passionate such as irrational threats to their homes and neighbourhood. In conclusion other means of engaging with objectors and their issues are elaborated. It is also shown that deliberative and inclusive governance processes will not necessarily produce outcomes compatible with the principles of social justice.

Thesis (M. P. A.)--University of Hong Kong, 2007. / Title proper from title frame. Also available in printed format.