Watersheds in Canada are under increasing threats due to the cumulative environmental effects from natural and anthropogenic sources. Cumulative effect assessment (CEA), however, if done at all is typically done on a project-by-project basis. This project-based approach to CEA is not sufficient to address the cumulative effects of multiple stressors in a watershed or a region. As a result, there is now a general consensus that CEA must extend from the project to the more regional scale. The problem, however, is that while the science of how to do watershed CEA (W-CEA) is progressing, the appropriate institutional arrangements to sustain W-CEA have not been addressed. Based on a case study of the South Saskatchewan Watershed (SSW), this research is aimed to identify the institutional requirements necessary to support and sustain W-CEA.<p> The research methods include document reviews and semi-structured interviews with regulators, administrators, watershed coordinators, practitioners, and academics knowledgeable on cumulative effect assessment and project-based environmental assessments (EAs). The findings from this research are presented thematically. First, participants perspectives on cumulative effects, the current state of CEA practice, and general challenges to project-based approaches to CEA are presented. The concept of WCEA is then examined, with a discussion on the need for linking project-based CEA and W-CEA. This is followed by the institutional requirements for W-CEA. The Chapter concludes with foreseeable challenges to implementing W-CEA, as identified by research participants.<p> The key findings include that cumulative effect assessments under project-based EAs are rarely undertaken in the SSW, and the project-based EA approach is faced with considerable challenges. The project-based EA challenges suggested by interview participants are similar to the ones discussed in the literature, and are primarily related to the lack of guidance to proponents regarding boundaries of assessments and thresholds, the lack of data from other project EAs, and the lack of capacity of both proponents and regulators to achieve a good CEA under project EA. These challenges could be addressed by establishing regional objectives at a broader scale, which could provide better context to project-based approaches. Further, interview results revealed several opportunities for the government to take the lead in implementing and sustaining W-CEA, but a multistakeholder approach is essential to W-CEA success. The results also suggest that the establishments of thresholds and data management are necessary components of W-CEA, but that the need for legislation concerning such thresholds and W-CEA initiatives is not agreed upon. At the same time, research results emphasize that the coordination and education among various stakeholders will be difficult to achieve. The lack of financial commitment, political will, and difficulties in establishing cause-effect relationships currently impede the implementation of W-CEA.

Submitted by Fabio Sobreira Campos da Costa (fabio.sobreira@ufpe.br) on 2016-06-29T14:04:23Z No. of bitstreams: 2 license_rdf: 1232 bytes, checksum: 66e71c371cc565284e70f40736c94386 (MD5) CFCH_Mest_CiencPol_Dissert_ArranjInstitTCsBRePT_VersaoFinal_Extensao_PDF.pdf: 1092529 bytes, checksum: 9ad819610447a70cf0d30ec7d7a7aaf2 (MD5) / Made available in DSpace on 2016-06-29T14:04:23Z (GMT). No. of bitstreams: 2 license_rdf: 1232 bytes, checksum: 66e71c371cc565284e70f40736c94386 (MD5) CFCH_Mest_CiencPol_Dissert_ArranjInstitTCsBRePT_VersaoFinal_Extensao_PDF.pdf: 1092529 bytes, checksum: 9ad819610447a70cf0d30ec7d7a7aaf2 (MD5) Previous issue date: 2013-07-11 / CAPEs / O presente trabalho proporcionará duas contribuições fundamentais: conhecimento empírico sobre os arranjos institucionais dos Tribunais de Contas da União e de Portugal; e o fato de se constituir em estudo comparativo, área pouco explorada academicamente. Em outras palavras, propõe-se efetuar uma pesquisa descritivo-comparativa entre os arranjos institucionais destes órgãos de controle externo. Para tanto, a partir da literatura sobre neo-institucionalismo – adotando-se a visão do institucionalismo histórico, accountability horizontal, estudos comparados e dos próprios tribunais de contas, derivaram-se sete objetivos de pesquisa referentes ao controle horizontal exercido pelo Tribunal de Contas da União, pós Constituição de 1988, e pelo Tribunal de Contas de Portugal, pós Revolução de 1974, quais sejam: a) identificar quais são os arranjos institucionais dos Tribunais de Contas da União e de Portugal; b) avaliar quais as semelhanças e diferenças presentes em cada instituição analisada; c) avaliar se o arranjo institucional – regras, procedimentos, atores decisórios – de cada instituição pesquisada lhes permite exercer de maneira independente suas funções constitucionais; d) averiguar se estas instituições possuem mecanismos coercitivos capazes de fazer valer suas decisões; e) verificar se seus membros são revestidos das garantias necessárias à atuação também independente; f) analisar se sua estrutura burocrática é aparelhada com quadros técnicos adequados a exercerem as complexas tarefas relacionadas ao controle administrativo-financeiro; g) comparar os dados obtidos a fim de compreender como estas instituições em interação com o contexto político criam condições favoráveis (ou desfavoráveis) à accountability, afetando a capacidade dos representados de controlarem seus representantes. Num primeiro momento, a pesquisa se destina a conhecer e descrever os arranjos institucionais das instituições de controle a partir de questões básicas relativas à estruturação e ao funcionamento de cada um dos países estudados. A par destas informações, adentra-se, na sequencia, à fase analítica do trabalho, em que os dados obtidos são comparados. Por fim, as conclusões apontam as condições favoráveis para o exercício da accountability, bem como reforçam a necessidade de novos estudos para aprofundamento das discussões sobre o tema proposto. / This work will provide two fundamental contributions: empirical knowledge about the institutional arrangements of the Courts of Audit and Portugal, and the fact constitute comparative study, little explored area academically. In other words, it is proposed to make a descriptive-comparative institutional arrangements of these external control bodies. Therefore, from the literature on neo-institutionalism - adopting the vision of historical institutionalism, horizontal accountability, and comparative studies of their own courts of accounts, were derived seven research objectives for the horizontal control exercised by the Court of Union, after the 1988 Constitution, and the Court of Portugal, after the 1974 Revolution, which are: a) to identify what are the institutional arrangements of the Courts of Audit and Portugal b) assess what the similarities and differences present in each institution analyzed c) assess whether the institutional arrangement - rules, procedures, decision-making actors - each research institution allows them to exercise their functions independently constitutional d) determine whether these institutions have coercive mechanisms able to enforce its decisions; e) verify that its members are coated with the guarantees necessary for the independent performance also f) whether its bureaucratic structure is rigged with adequate technical staff to carry out the complex tasks related to the administrative and financial control; g) compare the data obtained in order to understand how these institutions interact with the political context are favorable (or unfavorable) to accountability, affecting the ability of the represented control their representatives. Initially, the research is designed to discover and describe the institutional arrangements of the institutions of control from the basic issues relating to the structuring and operation of each of the countries studied. Alongside this information, enters up, in sequence, the analytical phase of the work, in which the data obtained are compared. Finally, the findings indicate favorable conditions for the exercise of accountability, and reinforce the need for further studies to further the discussion on the proposed topic.

A pesquisa explora as razões que levam as firmas a manterem arranjos institucionais simultâneos como estratégia de distribuição e escolha de seus canais. As análises são focadas nos arranjos institucionais, que determinam como os agentes envolvidos cooperaram no desenvolvimento de uma determinada atividade, neste caso, na distribuição de ovos. A Economia dos Custos de Transação e a Teoria de Competências Dinâmicas formam o principal arcabouço teórico utilizado neste estudo para analisar os mecanismos de escolha e desenho dos arranjos institucionais. A definição desse arranjo institucional deriva-se da estrutura de governança proposta por Williamson (1985), adicionada de outros incentivos e consideradas as competências dinâmicas definidas por Teece et al (1997). Foram formuladas hipóteses para orientar o trabalho empírico com base na literatura sobre múltiplos arranjos institucionais em redes de franquias, em sistemas agroindustriais e em canais de distribuição. O desenvolvimento da pesquisa aplicada consistiu de três estudos de caso. A seleção das firmas foi pautada na diversidade de origem da empresa, de seu foco de atuação e de sua escala de operação, com o objetivo de garantir uma relevância qualitativa aos casos apresentados. A análise do perfil das firmas e do seu ambiente competitivo e institucional permeou os estudos de caso. Destaca-se a perspectiva histórica adotada na condução dos casos, em atendimento à abordagem de competências dinâmicas, conciliada com os conceitos de custos de transação. Foram apontadas possíveis explicações para o estabelecimento de arranjos institucionais em múltiplos canais de distribuição. O problema da assimetria de informações, que é apontada como uma das razões na literatura sobre múltiplos arranjos institucionais, permeou os casos apresentados nesta pesquisa. O aproveitamento de externalidades positivas entre os arranjos ao longo do tempo, contribuição deste estudo, soma-se ao conjunto de explicações da literatura. As duas abordagens teóricas propostas complementam-se na análise das estratégias nos canais de distribuição, que segue a racionalidade de maximização de valor neoclássica. / This study investigates the reasons which lead the companies to keep simultaneous institutional arrangements as distribution strategies and choice of their channels. The analysis are focused on the institutional arrangements which determine how the agents involved cooperate to the development of a certain activity, in this case, in the egg distribution. The Transaction Cost Economics and the Theory of Dynamic Competence form the main theoretical framework used in this study in order to analyze the mechanisms of choice and drawing of institutional arrangements. The definition of this institutional arrangement arises from the governance structure proposed by Williamson (1985), added to other incentives with the dynamic competences considered, as defined by Langlois (1997). Hypothesis have been formulated to guide the empirical work based on the literature on multiple institutional arrangements in franchise networks, in agro-industrial systems and in distribution channels. The development of applied research consisted of three case studies. The selection of companies was based on the diversity of the company’s origin, on its operational focus and on its operational scale, so as to assure the qualitative relevance to the presented cases. The profile of the firms and of their competitive and institutional environment have permeated the case studies. The historical perspective adopted in the conduction of cases is pointed out, attending to the dynamic competence approach, reconciled with the transaction cost concepts. Possible explanations for the establishment of institutional arrangements have been pointed out in multiple distribution channels. The information asymmetry problem which is pointed as one of the reasons in the literature on the multiple institutional arrangements, has permeated the cases presented in this study. The use of positive externalities between the arrangements along the time, identified in this study, is added to the set of literature explanations. The two theoretical approaches proposed are complemented in the strategic analysis within the distribution channels, which follow the neoclassic value maximization rationality.

This thesis deals with financial reform, which was conducted in the United States. The fundamental law of this reform is The Dodd-Frank Wall Street Reform and Consumer Protection Act. The basic document deals with the legislative changes that relate primarily to changes in institutional arrangements and organization of supervisory activities in the U.S. with a greater emphasis on the banking system. The last part deals with some consequences of the changes to the banking system.

After the International Conference on Water and Environment in Dublin in 1992, the four socalled Dublin Principles created new managerial approaches for the water sector. This case study, which was conducted in the Limpopo Basin in Mozambique, examined the performance in the implementation of the principle related to “water development and management based on a participatory approach involving users, planners and policy makers at all levels”. The study was motivated by the fact that experience with the implementation of this principle in the Limpopo Basin of Mozambique has not delivered the anticipated outcomes. To this effect, this study analysed the history and performance of the decentralization process in the Limpopo Basin, and the factors that might have contributed to the outcomes we observe The methodology employed by the study was based on the framework for institutional analysis of decentralization reforms in natural resource management proposed by Dinar et al. (2005), Kemper et al. (2006), and Blomquist et al. (2008). This framework recommends that for the decentralization process to be successful, the following pre-requisites must be in place: (1) financial assistance from the state to enable basin level stakeholders to establish some of the organisations; (2) actors' participation and equitable representation of different segments of society, and acceptance of it from the communities; (3) the presence of basinlevel institutions, availability of forums for information sharing, communication and for conflict resolution; and (4) legitimacy, relevant human capacities and adequate financial resources among the River Basin Organizations (RBOs). The results from this study indicate that in as much as the Water Law, the Regulations of Water Services Provision and the Water Policy in Mozambique created the basis for the decentralization of water resources management, the operationalisation of the process has not been successful, considering that the prerequisites for an effective and sustainable decentralization process as postulated by Blomquist, Dinar and Kemper are still lacking. The study established that incentives for the decentralization process were not linked to the scarcity of water. The study further established that most prerequisites postulated by Blomquist, Dinar and Kemper were not satisfied, in particular: (1) the financial assistance from the state to enable basin level stakeholders to establish some of the organisations is inadequate; (2) the actors' participation and equitable representation of different segments of society with interest in water resources management is not satisfactory; and (3) the legitimacy, relevant human capacities and adequate financial resources for effective functioning of the Water Users Associations (WUAs) are still lacking. Copyright / Dissertation (MSc(Agric))--University of Pretoria, 2012. / Agricultural Economics, Extension and Rural Development / unrestricted

Common pool resources (CPRs) are noted for their excludability and subtractability issues and early academic commentary stressed that due to the resources' complexity and uncertainty, management efforts were futile and a "tragedy of the commons" was the end result. Recent academic commentary has challenged this end result and has elaborated institutional design principles to sustainably manage CPRs which include the need for nested institutional arrangements (NIAs). However, little is known about how to move between the two extremes, that is, how we change public policy in a move towards and the sorts of institutional innovations that lead us to greater sustainability. This research begins to unravel nested institutional arrangements. It develops a framework for what constitutes a nested institutional arrangement and measures their effect on groundwater policy changes (frequency, type, magnitude) under different conditions of uncertainty as applied to a comparative case study between the Great Lakes Basin (high uncertainty; Ontario, New York) and the Ogallala Aquifer in the U.S. Midwest (low uncertainty; Nebraska). This dimensional mapping reveals the centrality of the nature of the linkages between governance units (especially linkage functionality), linkage complementarity and the effects of diffuse authority structures. In short, it is possible to unravel what an NIA is from the various strands in the literature and to develop linkages between NIAs and outcomes for particular situations (e.g. high vs. low uncertainty areas) in relation to common pool resources (e.g. groundwater). The results provide theoretical guidance for the study of groundwater policy changes by staking out the broad parameters of a strategy for groundwater policy change. / Thesis / Doctor of Philosophy (PhD)

Por que uma instituição se estabelece com maior facilidade em um local do que em outro? Essa questão motiva o presente trabalho, que investiga em perspectiva comparada a criação da Defensoria Pública instituição concebida para prestar assistência jurídica nos Estados brasileiros a partir de um marco comum: a Constituição de 1988. A abordagem institucionalista deste estudo sustenta que, para explicar a questão enfrentada, é preciso direcionar o foco da investigação para a estrutura institucional e para os atores que compõem o sistema de justiça. Dessa maneira, a hipótese formulada e avaliada nesta pesquisa demonstra que arranjos institucionais implantados em certos Estados, antes de 1988, para desempenhar a assistência judiciária fixaram atores interessados na sua permanência, e isso dificultou a criação da Defensoria local. Esses arranjos institucionais conferiam a setores da Procuradoria-Geral do Estado e/ou a advogados particulares a função de atender juridicamente as pessoas pobres. Arranjos diferentes de assistência judiciária, presentes em outros Estados, produziram o efeito contrário, ou seja, estimularam certos atores a buscarem o desenvolvimento do modelo proposto pela Constituição. Em outras palavras, a implementação da Defensoria não ocorreu em terreno vazio, mas, ao contrário, teve que disputar o espaço já ocupado por outras instituições e atores no interior do sistema de justiça. Sua criação enfrentou constrangimentos maiores em alguns Estados por causa do tipo de arranjo institucional de assistência judiciária previamente existente. Veremos que essa abordagem, além de destacar o potencial do institucionalismo histórico para analisar mudanças institucionais do sistema de justiça, coloca em evidência o ativismo político de atores estatais como elemento central da explicação. Esse ativismo é essencial para compreender o desenvolvimento da Defensoria Pública no Brasil. / Why does an institution take root more easily in one place than in other? This issue motivates the present study, which investigates in a comparative perspective the creation of Public Defenders Office an institution designed to provide legal aid in the Brazilian States, considering the existence of a common legal base: the Federal Constitution from 1988. The studys institutionalist approach argues that, to explain the question addressed, it is necessary to direct the researchs spotlight to the structure and actors, which composes the justice system. Thus, the developed and evaluated hypothesis shows that institutional arrangements embedded before 1988 in certain States to promote legal aid have set some actors interests in the status quo maintenance, and that hampered the creation of Public Defenders Office in such States. These institutional arrangements ascribed legal aid to State Attorney Generals departments and/or to private lawyers. There were different frameworks of legal aid in other States, which engendered the opposite effect, that is, they prompted some actors to seek to develop the model proposed by the Constitution. In other words, the Public Defenders Office was not implemented in emptiness; instead it had to contend for space within justice system that was already occupied by other actors and institutions. Its creation faced major constraints in some States because of the kind of earlier existing institutional arrangements for legal aid. We will see that this approach, besides highlighting the historical institutionalisms potential to analyze changes in Brazilian justice system, emphasizes the political activism of state actors as a key factor for the explanation. This kind of activism is essential to understand the development of Public Defenders Office in Brazil.

O objetivo desta pesquisa é avaliar o papel das estratégias partidárias no desempenho do Legislativo em Cabo Verde, em dois pares de legislaturas: de 1991 a 2001 e de 2001 a 2011. As hipóteses centrais são as de que em regimes semipresidenciais a delegação de poderes do Legislativo (mandante) ao Executivo (agente) não limita o controle do Parlamento sobre os atos do Governo, sobretudo em matéria da produção legislativa. Sendo assim, o padrão do desempenho do Legislativo reflete as preferências da maioria e a sua estratégia de decisão em transferir os custos do Legislativo para o Executivo. O quadro teórico utilizado suporta-se em elementos do neoinstitucionalismo e a sua vertente de Rational Choice, e visam compreender, a partir dos arranjos institucionais cabo-verdianos, as estratégias partidárias utilizadas por partidos políticos e parlamentares que vêm tornando ineficiente o desempenho do Legislativo. / The objective of this research is to evaluate the role of party strategies in the Legislature's performance in Cape Verde in two legislatures pairs: from 1991 to 2001 and from 2001 to 2011. The key assumptions are that semi-presidential regimes in the legislature's powers of delegation (principal) Executive (agent) does not limit the control of Parliament over the acts of the Government, especially as regards the legislative process. Thus, the pattern of legislative performance reflects the preferences of the majority and the decision strategy to transfer the Legislative costs for the Executive. The theoretical framework supports in neoinstitutionalism elements and its aspects of Rational Choice , and seek to understand, from the Cape Verdean institutional arrangements , partisan strategies used by political parties and parliamentarians who come making inefficient the Legislature 's performance.

Por que uma instituição se estabelece com maior facilidade em um local do que em outro? Essa questão motiva o presente trabalho, que investiga em perspectiva comparada a criação da Defensoria Pública instituição concebida para prestar assistência jurídica nos Estados brasileiros a partir de um marco comum: a Constituição de 1988. A abordagem institucionalista deste estudo sustenta que, para explicar a questão enfrentada, é preciso direcionar o foco da investigação para a estrutura institucional e para os atores que compõem o sistema de justiça. Dessa maneira, a hipótese formulada e avaliada nesta pesquisa demonstra que arranjos institucionais implantados em certos Estados, antes de 1988, para desempenhar a assistência judiciária fixaram atores interessados na sua permanência, e isso dificultou a criação da Defensoria local. Esses arranjos institucionais conferiam a setores da Procuradoria-Geral do Estado e/ou a advogados particulares a função de atender juridicamente as pessoas pobres. Arranjos diferentes de assistência judiciária, presentes em outros Estados, produziram o efeito contrário, ou seja, estimularam certos atores a buscarem o desenvolvimento do modelo proposto pela Constituição. Em outras palavras, a implementação da Defensoria não ocorreu em terreno vazio, mas, ao contrário, teve que disputar o espaço já ocupado por outras instituições e atores no interior do sistema de justiça. Sua criação enfrentou constrangimentos maiores em alguns Estados por causa do tipo de arranjo institucional de assistência judiciária previamente existente. Veremos que essa abordagem, além de destacar o potencial do institucionalismo histórico para analisar mudanças institucionais do sistema de justiça, coloca em evidência o ativismo político de atores estatais como elemento central da explicação. Esse ativismo é essencial para compreender o desenvolvimento da Defensoria Pública no Brasil. / Why does an institution take root more easily in one place than in other? This issue motivates the present study, which investigates in a comparative perspective the creation of Public Defenders Office an institution designed to provide legal aid in the Brazilian States, considering the existence of a common legal base: the Federal Constitution from 1988. The studys institutionalist approach argues that, to explain the question addressed, it is necessary to direct the researchs spotlight to the structure and actors, which composes the justice system. Thus, the developed and evaluated hypothesis shows that institutional arrangements embedded before 1988 in certain States to promote legal aid have set some actors interests in the status quo maintenance, and that hampered the creation of Public Defenders Office in such States. These institutional arrangements ascribed legal aid to State Attorney Generals departments and/or to private lawyers. There were different frameworks of legal aid in other States, which engendered the opposite effect, that is, they prompted some actors to seek to develop the model proposed by the Constitution. In other words, the Public Defenders Office was not implemented in emptiness; instead it had to contend for space within justice system that was already occupied by other actors and institutions. Its creation faced major constraints in some States because of the kind of earlier existing institutional arrangements for legal aid. We will see that this approach, besides highlighting the historical institutionalisms potential to analyze changes in Brazilian justice system, emphasizes the political activism of state actors as a key factor for the explanation. This kind of activism is essential to understand the development of Public Defenders Office in Brazil.

O objetivo desta pesquisa é avaliar o papel das estratégias partidárias no desempenho do Legislativo em Cabo Verde, em dois pares de legislaturas: de 1991 a 2001 e de 2001 a 2011. As hipóteses centrais são as de que em regimes semipresidenciais a delegação de poderes do Legislativo (mandante) ao Executivo (agente) não limita o controle do Parlamento sobre os atos do Governo, sobretudo em matéria da produção legislativa. Sendo assim, o padrão do desempenho do Legislativo reflete as preferências da maioria e a sua estratégia de decisão em transferir os custos do Legislativo para o Executivo. O quadro teórico utilizado suporta-se em elementos do neoinstitucionalismo e a sua vertente de Rational Choice, e visam compreender, a partir dos arranjos institucionais cabo-verdianos, as estratégias partidárias utilizadas por partidos políticos e parlamentares que vêm tornando ineficiente o desempenho do Legislativo. / The objective of this research is to evaluate the role of party strategies in the Legislature's performance in Cape Verde in two legislatures pairs: from 1991 to 2001 and from 2001 to 2011. The key assumptions are that semi-presidential regimes in the legislature's powers of delegation (principal) Executive (agent) does not limit the control of Parliament over the acts of the Government, especially as regards the legislative process. Thus, the pattern of legislative performance reflects the preferences of the majority and the decision strategy to transfer the Legislative costs for the Executive. The theoretical framework supports in neoinstitutionalism elements and its aspects of Rational Choice , and seek to understand, from the Cape Verdean institutional arrangements , partisan strategies used by political parties and parliamentarians who come making inefficient the Legislature 's performance.