Dissertations / Theses on the topic 'Governace'

The master's thesis analyses the contemporary corporate governance standards and their legal framework. The paper describes the development of different corporate governance principles and the key legal pieces that regulate the corporate governance area (eg. Sarbanes-Oxley, Basel II, EC regulation). The core of the paper focuses on corporate governance failures that led to the current financial crisis, analyses their link to the corporate governance principles and describes the trends for development in the corporate governance regulation.

Studien undersöker förekomsten av brukarinflytande vid implementeringen av det första sprututbytet i Stockholms län. I studien ges en bakgrund till Sveriges narkotikapolitik och hur dess utvecklingen har sett ut från 70- talet fram till idag. I bakgrunden till studien presenteras ett governace-perspektiv på brukarinflytande och de deliberativa processer där brukarinflytande är en naturlig del av policyprocessen. Syftet med studien är undersöka förekomsten av brukarinflytande i implementeringsdelen av den besluts- policyprocess som ledde fram till sprututbytets öppnande i april 2013. Studiens teoretisk ramverk består av teorier som ifrågasätter givenheten i governance-synsättet på brukarinflytande genom hänvisning till svårigheter med aktörskap och risken med konstruerat brukarinflytande. Forskningsstrategin som studien utgår ifrån är intervjuer med utvalda respondenter som har varit delaktiga vid implementeringen av sprututbytet samt brukarorganisationer som representerar och företräder sprututbytets målgrupp. Resultatet av studien visar på en svag förekomst av brukarinflytande vid implementeringen av sprututbytet. Det brukarinflytande som kan anses har förekommit har varit på en individuell nivå och icke-formaliserat. I analysen presenteras tre möjlig förklaringar till den svaga förekomsten av brukarinflytande vid implementeringen av sprututbytet samt en analys om svårigheter med aktörskap vid implementeringen kopplat till studiens teoretiska ramverk.
This study examines the occurrence of user influence during the implementation of the first Needle and Syringe exchange Programme (NSP) in Stockholm County. The survey in his study consists of interviews conducted with persons that have been involved during the process and debate around the NSP in Stockholm County. The interviews have been conducted with two different groups of actors: User organizations and public actors. The first group called user organizations consists of actors from three different user organizations representing and organizing the target group for the NSP. The second group called public actors consists of public actors which have been involved under and/or before the implementation of the NSP in Stockholm County. The study contains a description of the background of NSPs in Sweden. The study describes the development of the Swedish drug policy from 1970 until today. Further it covers the development of the NSPs in other parts of Sweden as well as the development of harm reduction as a general strategy for drug addiction management. Several definitions to the terms user and user influence are presented. Four are conventional definitions of the term user, together with a fifth one which is then used within in the context of the study. The study presents definitions of the term user influence by a model dividing user influence in three categories: individual level, operational level and system level. Another division of the term user influence presented is formalized and non-formalized user influence. These different classifications are used in the analysis of the results. The study also presents a background to the governance view on user influence as a natural and unproblematic part in the policy process. The theoretical framework in the study consists of two parts: The first part questions governance and the given of user influence within a policy process. The study highlights the problems with a governance view on actorhood and user influence. The second part of the theory chapter presents a model for the policy process. The policy process is described in five stages: Initiation, processing, decision making, implementation and evaluation. The results of the survey show little occurrence of user influence during the implementation of the NSP. By using the classification with the three different levels of user influence the result is that the occurrence of user influence found in the investigation has the characteristics of individual level user influence. The study also shows that the user influence found can be classified as non-formalised influence. The analysis first discusses the factors of why there has been little occurrence of user influence during the implementation of the NSP and proposes three different plausible explanations: Politically sensitive question, structural difficulties and users view was already known. The analysis also discuss the problem with a governance view on actorhood and user influence in relation to the study. The study concludes that there has been little occurrence of user influence during the implementation of the NSP in Stockholm County and that the occurrence of user influence found can be classified as individual level user influence, with one plausible exception.

The ultimate goal of the following master thesis is to identify specific mistakes in corporate governance practices that have led to colossal losses in financial derivatives trading departments, to draw lessons from these cases, and to propose possible solutions to prevent such behavior and the consequences that follow.

Aquesta tesi doctoral aborda essencialment la governança de les escoles primàries públiques a Togo. Tot basant-se en dades empíriques recollides en un treball de camp al país, intenta analitzar el funcionament dels comitès de gestió de les escoles primàries, òrgans de govern d’aquests centres. Conjuntament i complementàriament, la investigació analitza el paper dels directors d’escola en la governança escolar, posant l’accent en les seves diferents responsabilitats, les polítiques de contractació, les condicions en l’exercici professional i les qüestions relatives a la seva formació. La metodologia utilitzada en la realització d’aquest estudi és de tipus qualitatiu. Els resultats de la investigació són fruit de l’anàlisi d’un corpus de dades obtingut a partir d’entrevistes semiestructurades individuals i col·lectives dutes a terme principalment, amb directors d’escoles i pares d’alumnes, presidents aquests dels comitès de gestió de les escoles primàries. Aquestes entrevistes semiestructurades van ser completades amb sessions d’observació in situ i l’anàlisi de documentació oficial de Togo vinculada al tema de la investigació. Els resultats proposats, una barreja de « saber indígena » i de textos oficials, permeten comprendre en profunditat el rol que juguen les diferents parts implicades en la governança de les escoles primàries a Togo. Els comitès de gestió, òrgans d’orientació, de planificació i de presa de decisions en matèria de gestió administrativa, pedagògica i financera, estan composats per representants de l’equip docent, dels pares d’alumnes i de la comunitat local. Si els textos oficials defineixen i clarifiquen suficientment els papers i responsabilitats dels diferents membres de les instàncies de govern escolar, els resultats de la investigació posen de relleu algunes dificultats que afecten el seu funcionament. L’escassa participació de les mares i els pares de l’alumnat en les eleccions dels seus representants, així com la gestió opaca dels recursos financers, són alguns d’aquests entrebancs. Quant als directors d’escoles, figura emblemàtica de la governança escolar, són nomenats per decret ministerial. Tal i com succeeix amb el cas dels comitès de gestió de les escoles primàries, els resultats mostren la definició de les atribucions dels directors i revelen dificultats relatives a la seva contractació, formació i a les seves condicions de treball.
La presente tesis doctoral trata esencialmente de la gobernanza de las escuelas primarias públicas en Togo. Basándose en datos empíricos recogidos en un trabajo de campo realizado en este país, intenta analizar el funcionamiento de los comités de gestión de estas escuelas. Conjuntamente y de manera complementaria, la investigación aborda el papel de los directores de escuela en la gobernanza escolar, haciendo hincapié en sus distintas responsabilidades, las políticas de contratación, las condiciones en el ejercicio de sus funciones y las cuestiones relativas a su formación. La metodología utilizada en este estudio es de tipo cualitativo. Los resultados de la investigación son el fruto del análisis de un corpus de datos constituido a partir de entrevistas semiestructuradas individuales y colectivas llevadas a cabo, principalmente, con directores de escuelas y padres de alumnos, presidentes de los comités de gestión de las escuelas primarias. Estas entrevistas semiestructuradas fueron completadas por sesiones de observación in situ y por el análisis de documentación oficial de Togo relacionada con el tema de la investigación. Los resultados propuestos, una mezcla de « saber indígena » y de textos oficiales, permiten comprender en profundidad el rol desempeñado por las distintas partes implicadas en la gobernanza de las escuelas primarias en Togo. Los comités de gestión, órganos de orientación, planificación y de toma de decisiones en materia de gestión administrativa, pedagógica y financiera, están compuestos, según la normativa, por representantes del equipo docente, de los padres de alumnos y de la comunidad local. Mientras que los textos oficiales definen y clarifican con suficiencia los papeles y responsabilidades de los distintos miembros de las instancias de gobernanza escolar, los resultados de la investigación ponen sin embargo de manifiesto algunas dificultades que afectan a su funcionamiento. La escasa participación de las madres y padres del alumnado en las elecciones de sus representantes, así como la gestión opaca de los recursos financieros constituyen algunos de estos problemas. En cuanto a los directores de escuelas, figura emblemática en la gobernanza escolar, son nombrados por decreto ministerial. Tal y como ocurre con los comités de gestión de las escuelas primarias, los resultados subrayan la definición de las atribuciones de los directores y revelan dificultades relativas a su contratación, formación y a sus condiciones de trabajo.
This research is about the governance in state elementary schools in Togo, based on empirical data gathered in fieldwork across the country. It describes and analyses the operation of management committees as an organ of orientation, decision-making and management organs of these centres. It also discusses the headmaster’s role, emphasizing their responsibilities, the recruitment procedures, the exercise of its powers and matters relating to their training. The methodology used in this study is qualitative. The results of this research come from data collected from individual and collective semi-structured interviews that were completed with observations and documentary analysis. Interviews were conducted primarily to the presidents and secretaries of the management committees, parents, headmasters as well as school inspectors. The results suggested, a mixture of «traditional knowledge» and official texts, show in detail the role played by the different parties involved in the governance of elementary schools in Togo. The management committees are organs of orientation, planning and decision on administrative, financial and pedagogical topics in schools are composed of representatives of the teaching staff, parents, and local community. If the official texts adequately define and clarify the roles and responsibilities of different members of school government, the research results highlight some difficulties that affect their operation. The low participation of mothers and fathers of students in the election of their representatives, and the opaque management of financial resources, are some of these obstacles. The headmasters, emblematic figure of the school governance, are appointed by ministerial decree. As well as with the management committees of primary schools, the results show the definition of the headmasters’ attributions and reveal difficulties relating to their recruitment, training and working conditions.
Cette thèse de doctorat traite essentiellement de la gouvernance des écoles primaires publiques au Togo. S’appuyant sur de données empiriques collectées lors d’un travail de terrain réalisé dans ce pays, elle s’est attachée à analyser le fonctionnement des comités de gestion des écoles primaires, instances de gouvernance multi parties prenantes mises en place au sein de ces établissements scolaires publics du premier degré. Conjointement et de manière complémentaire, la recherche aborde la question des directeurs d’écoles dans la gouvernance scolaire, en mettant l’accent sur leurs différentes responsabilités, les politiques de leur recrutement, les conditions d’exercice de leur fonction et des questions relatives à leur formation. La méthodologie utilisée pour la réalisation de cette étude est de type qualitatif. Les résultats de la recherche sont le fruit d’analyse d’un corpus de données constitué d’entrevues semistructurées individuelles et collectives conduites principalement auprès de directeurs d’école et de parents d’élèves présidents de comités de gestion des écoles primaires. Ces entretiens semi-directifs ont été complétés par des séances d’observation in situ et par l’analyse de documents officiels du Togo en lien avec la thématique de la recherche. Les résultats proposés, un mélange de « savoir indigène » et de textes officiels, permettent de comprendre en profondeur le rôle joué par les différentes parties prenantes dans la gouvernance des écoles primaires au Togo. Les comités de gestion des écoles primaires, organes d’orientation, de planification et de prise de décision en matière de gestion administrative, pédagogique et financière, sont composés de représentants du corps enseignant, ceux des parents d’élèves et ceux de la communauté locale. Si les textes officiels définissent et clarifient avec suffisance les rôles et responsabilités des différents membres des instances de gouvernance scolaire, les résultats de la recherche mettent cependant en exergue, certaines difficultés qui affectent leur fonctionnement. La faible participation des parents aux élections de leurs représentants ainsi que la gestion opaque des ressources financières constituent quelques unes de ces difficultés. Quant aux directeurs d’école, figure emblématique dans la gouvernance scolaire, ils sont nommés par arrêté ministériel. A l’instar des comités de gestion des écoles primaires, les résultats révèlent la définition des attributions des directeurs d’école et dévoilent des difficultés relatives à leur recrutement, à leur formation et à leurs conditions de travail.

In der vorliegenden Arbeit werden die Rechtsordnungen der Arbeitnehmerbeteiligung an der Corporate Governance jeweils in Deutschland und China miteinander verglichen. Neben der historischen Entwicklung wird der Rechtsvergleich vor allem unter vier Aspekten geführt: Arbeitnehmerbeteiligung an der Geschäftsführung, deren Bestellung, deren Beratung und deren Überwachung. Insgesamt ist festzustellen, dass es sowohl in der deutschen als auch in der chinesischen Rechtsordnung Organe bzw. Mechanismen zur Arbeitnehmerbeteiligung an der Corporate Governance auf der unternehmerischen wie der betrieblichen Ebene gibt. Allerdings fehlt es in China insbesondere an detaillierten Rechtsvorschriften zur Durchführung und dem Schutz der Beteiligungsrechte der Arbeitnehmer, so dass viele Beteiligungsrechte, wie ähnlich sie auch wie in der deutschen Rechtsordnung aussieht, nur auf dem Papier bleiben.
The dissertation compares the German and Chinese legal systems for employee´s participation in corporate governance. Besides the historic development of the both systems, the comparison is mainly focused on four aspects: employees´ participation in management issues, in appointing the board, in consultation for the board and in supervising the board. In general, both the German and Chinese legal systems have organs and mechanism for employees to participate in corporate governance both on the corporate level and the shop-floor level. However, the Chinese system is still lack of legal regulations to implement and protect the participation rights. Hence, quite a few participation rights still stay on paper, although they look very similar as in the German system.

Gli studi della sociologia classica inquadrano Bourdieu e Coleman da una parte e Putnam dall altra come i promotori di due importanti modelli di relazioni generatrici di capitale sociale, rispettivamente basati su un approccio di tipo individualistico e di tipo collettivistico. Nonostante le due teorie abbiano dato spunto a linee di ricerca sociologiche contrapposte trovano un punto comune nell opinione condivisa che il capitale sociale sia una risorsa fondata sull esistenza di un qualche tipo di relazione sociale (G. Degli Antoni, 2005). Questo concetto è condiviso negli studi di analisi delle reti proposti da Mark Granovetter, che studia come gli aspetti sociali influenzano il funzionamento del sistema economico e, considera il capitale sociale come reti di rapporti interpersonali all interno dei quali circolano opportunità ed informazioni che la razionalità degli individui permetterebbe di utilizzare. Nell ottica dello sviluppo locale, tale teoria è in sintonia con le nuove politiche adottate sia a livello comunitario nazionale e regionale. Sulla base di questi studi, nel presente lavoro di tesi, viene effettuato, tramite tecniche di social network analysis, uno studio delle dimamiche di sviluppo locale del Compresorio Val d Anapo che interessa parte della provincia di Siracusa, allo scopo di individuare strumenti e momenti chiave di partenariato locale come forma di governance territoriale. La programmazione di questo Comprensorio si è manifestata operativamente attraverso esperienze interessanti che lo hanno visto protagonista nella definizione ed attuazione dei processi di crescita locali. I risultati forniscono una prima mappa delle relazioni esistenti sul territorio, che fornisce importanti indicazioni per i futuri processi di pianificazione integrata unitamente alle analisi relative alle caratteristiche del tessuto economico-sociale dell area. L analisi ha evidenziato la capacità e l interesse degli attori locali di organizzarsi in forme di Partenariato socio-economico che, rappresentando gli interessi economici e sociali dell area di riferimento, hanno svolto un ruolo chiave nella fase di programmazione delle risorse.

This thesis is concerned with the efforts to bring about a greater degree of local community participation in the use and management of Sri Lanka's coastal land and natural resources. Through the application of the Special Area Management (SAM) strategy in geographically distinct areas along the coast, the aim is to create collaborative arrangements - partnerships - that will enable coastal communities and local governments to work together with the Sri Lankan state and share responsibility and authority over the management of coastal land and natural resources.

Using a political-geographical perspective that highlights the political and spatial dimensions of this shift in forms for governing the coast, the thesis seeks to identify and discuss factors that can have a bearing on the participatory dimension of collaborative coastal management in Sri Lanka. The thesis focuses particularly on factors influencing the role played by the local communities and the degree to which they actually come to share authority with respect to the use and management of coastal natural resources as envisioned in the SAM strategy.

The thesis illustrates that, despite an ambition to bring about a sharing of authority and control in costal management, this has not quite worked out in practice. Due to circumstances relating both to the SAM strategy itself and to the context in which it is implemented, the degree to which coastal communities have gained any degree of influence with respect to the management of coastal land and resources remains questionable.

The study is carried out prior to the tsunami that hit the Sri Lankan shores in December 2004. However, given the major reconstruction of Sri Lanka's coast that currently is ongoing and the controversy that surrounds it, the issues raised in this thesis are highly relevant.

Det finns en djupt rotad allmän uppfattning om att de nya kunskapsintensiva företagen är föredömliga vad det gäller struktur samt hur man styr och kontrollerar förhållanden inom organisationen. Åsikten tycks vara att medarbetaren inom kunskapsintensiva företag får en betydligt mer framträdande roll och stor beslutsmakt över sina egna arbetsvillkor.Studiens syfte är att undersöka hur två företag inom konsultbranschen är uppbyggda rent strukturellt och hur dessa organisationer styrs. Det ska utmynna i en jämförelse mellan verksamheterna. Studien är baserad på företagen Deloitte och PricewaterhouseCooper (PwC) som är två ledande företag i konsultbranschen.Den teoretiska referensramen presenterar bland annat litteratur inom organisationshierarki och organisationskultur där en rad författare resonerar kring sin syn på struktur och styrning. Alvesson i sin tur återger istället ingående beskrivningar på begreppet kunskapsintensiva företag. Studien har utförts utifrån ett kvalitativt angreppssätt där empirin har samlats in genom personliga intervjuer med kontorscheferna på de båda företagen.Den empiriska datan som samlades in har sedan analyserats i jakten på att finna likheter och skillnader mellan fallföretagen. Analysen genomfördes också för att få en klarare bild av vilka teorier som fortfarande är relevanta i ett samhälle och en bransch som präglas av ständig rörelse och utveckling.De slutsatser som vi har kommit fram till är att styrningen inom PwC och Deloitte sker med ungefär samma verktyg, men att det ändå finns en del intressanta olikheter som skiljer de båda företagen åt. Vad det gäller strukturen fann vi även där en del olikheter som dock var skarpare ”på pappret” än i praktiken.

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Coordena??o de Aperfei?oamento de Pessoal de N?vel Superior
About two decades ago Brazil has been suffered some important political changes on its government and supporter systems. In these changes the Partido dos Trabalhadores (Workers support) has been researched significant results as much legislation as executive ways. These conquests propitiate a structure for it to get an alternative motion in order to manage public goods by petista government way. Trying to examinate this we can study the Partido dos Trabalhadores government experience in Acre (1999-2002) to know about why the PT government characteristics are different from the others. To do this we assumed to conjecture a popular participation with priorities inversion and ethics in public resources administration. These are the elements of PT government way. This way we started our work making an evaluation of its bibliography. Them we do a field inquiry to analyses documents of the government projects (budget rules law, papers, approved laws, IBGE, PNUD, TSE) and semi-structured interviews with some characters of recent political Acres life. The scheme and the analysis about these givens disclose that weren t confirmed our hypothesis in part, since PT remained old local politics habitus. In other side the executive administration on PT government has got to inflect the Governance . Further on an efficient management as World Bank dispossess but PT absolve many requests of progressive sectors as well it expanded the society participation to resolutions process. By a cabinets enlargement. So it rescues a total administrative course which is printed in the called petista government way. Personally we think so it means important advancements in this Acre government way
Nas duas ?ltimas d?cadas, o Brasil sofreu importantes mudan?as pol?ticas, especialmente no que se refere ao sistema partid?rio e aos governos. Dentro dessas mudan?as, o Partido dos Trabalhadores alcan?ou significativos resultados tanto no Legislativo quanto no Executivo. Essas conquistas propiciaram ao PT a constru??o de uma proposta alternativa de administrar o Bem p?blico, designado de Modo Petista de Governar. Na tentativa de examinar isso mais de perto, colocamo-nos ao estudo da Experi?ncia de Governo do Partido dos Trabalhadores no Acre (1999-2002), para saber que caracter?sticas destacavam-se das demais formas de se governar. Para isso, assumimos, como hip?teses, a participa??o popular, a invers?o de prioridades e a ?tica na aplica??o dos recursos p?blicos; elementos que integram o Modo Petista de Governar. A partir disso, iniciamos o trabalho com o levantamento bibliogr?fico e, em seguida, a pesquisa de campo, com a an?lise dos documentos (Plano de Governo, Plano Plurianual, as Leis de Diretrizes Or?ament?ria, Jornais, Leis aprovadas na Assembl?ia Legislativa, IBGE, PNUD, TSE) e entrevistas semi-estruturadas, com v?rias personagens da vida pol?tica recente do Acre. A sistematiza??o e a an?lise desses dados revelaram-nos que nossas hip?teses n?o se confirmaram, pelo menos em parte, pois o PT manteve o habitus da velha pol?tica local; por outro lado, a administra??o petista ? frente do executivo acreano, conseguiu flexionar a governan?a para al?m de uma gest?o eficiente, como prescreve o Banco Mundial, mas absorveu muitas demandas de setores progressistas, bem como alargou, no ?mbito institucional do Estado, para uma maior participa??o da sociedade, nos processos decis?rios, atrav?s da amplia??o dos Conselhos, e a resgatando, com isso o legado de toda uma trajet?ria administrativa que est? impressa no chamado Modo Petista de Governar. O que, a nosso ver, configura-se em importantes avan?os na forma de governar no Acre

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The State reform that developed in the 1990s in several countries, aimed to make the state strong and efficient. To achieve this goal it was necessary to define the functions of the state, reducing its level of interference then increase its governance and governability. The government has thus worrying about organizational development and enhancement, and mainly, with the active participation of society. The e-governance was the means used to reach that information to citizens quickly and efficiently, and in order to facilitate monitoring by users. With this era of information technology governance was needed also in the third sector. This study aims to analyze the practices of e-governance in corporate foundations through an index and its relationship with the financial resources acquired (total and by donations). For this, the methodological procedures were divided into three stages: the first sought to use the literature to identify and organize the set of best practices of e-governance adopted in the foundations, which were divided into 5 groups: content with 18 practices, with 16 services practices, 10 practices with citizen participation, privacy and security practices with 6 and 18-usability and accessibility practices. The second stage sought to use the framework of electronic governance practices for the development of Electronic Governance Index of Foundations called IGEF that was applied on the websites of 58 GIFE foundations associated with the period from 15/12/2012 to 10/01/2013. The third phase sought to identify the relationship between electronic governance, represented by IGEF and total revenues with 39 foundations and endowments with 40. Through IGEF was possible to identify the percentage of practices implemented and concluded that both total revenues and the revenues from donations are positively correlated with the level of implementation of electronic governance practices.
A reforma do Estado que se desenvolveu na d??cada de 1990 em diversos pa??ses, tinha como objetivo tornar o Estado forte e eficiente. Para alcan??ar tal objetivo era necess??rio delimitar as fun????es do Estado, reduzir seu n??vel de interfer??ncia e em seguida aumentar sua governan??a e governabilidade. A administra????o p??blica passou desta forma, a se preocupar com o desenvolvimento e valoriza????o organizacional, e principalmente, com a participa????o ativa da sociedade. A governan??a eletr??nica foi o meio utilizado para que as informa????es chegassem aos cidad??os de forma r??pida e eficiente, e de forma a facilitar a fiscaliza????o por parte dos usu??rios. Com a era da inform??tica esta governan??a se fez necess??ria tamb??m no terceiro setor. Este trabalho tem como objetivo analisar as pr??ticas de governan??a eletr??nica nas funda????es empresariais por meio de um ??ndice e estudar sua rela????o com os recursos financeiros adquiridos (totais e por doa????es). Para isso, os procedimentos metodol??gicos foram divididos em tr??s etapas: a primeira buscou utilizar da pesquisa bibliogr??fica para identificar e organizar o conjunto de boas pr??ticas de governan??a eletr??nica adotada nas funda????es, que foram divididas em 5 grupos: conte??do com 18 pr??ticas, servi??os com 16 pr??ticas, participa????o cidad?? com 10 pr??ticas; privacidade e seguran??a com 6 pr??ticas e usabilidade e acessibilidade com 18 pr??ticas. A segunda etapa buscou usar a estrutura das pr??ticas de governan??a eletr??nica para a elabora????o do ??ndice de Governan??a Eletr??nica das Funda????es denominado de IGEF que foi aplicado nos websites de 58 funda????es associados ao GIFE, no per??odo de 15/12/2012 a 10/01/2013. A terceira etapa procurou identificar a rela????o entre a governan??a eletr??nica, representada pelo IGEF e os recursos financeiros adquiridos pelas funda????es (receitas totais e receitas de doa????es). Ap??s a constru????o do IGEF, foi poss??vel identificar o percentual de pr??ticas implantadas e concluir que tanto as receitas totais como as receitas obtidas de doa????es est??o relacionadas positivamente com o n??vel de implanta????o das pr??ticas de governan??a eletr??nica.

Definition and basic theoretic information about Corporate Governance of big industry company Description and Analyse of corporate Management, the functions of Top Management Members, their role in relationship to owners / shareholders (describtion of used tools for internal control of government, investment and tools for financial analyses)

The thesis is focused on the area of Business Intelligence Governance that seeks to management BI as a complex environment in an organization. The goal of this thesis is to create comprehensive BIG framework that will help to understand and lead BI, to support business strategy execution. The fist part of this thesis is introduction to the area of BIG. It contains definition of the term BI, description of trends in BI, definition of the term BIG and the answer on question Why do we need to governance BI. The second part focuses on description and evaluation of existing BIG instruments. The third part handles about new BIG framework and authorities. It describes particular building blocks of the framework and discovers structure of BIG authorities.

Quality of Government (QoG) peace is a concept gaining some traction alongside more known concepts such as the democratic peace, or liberal (capitalist) peace or the globalist/modernist peace. This study aims to uncover how perceptions of governance quality uncover variation in the number of violent and nonviolent collective and interpersonal events at the sub-national level in Nepal. National survey data is used to operationalise the mechanisms for quality of governance perceptions which are then aggregated at District level. In-country elite level interviews were also completed in order to trace the process in the causal mechanism and control for reverse causality. Results point to a strong negative effect between perceptions of governance quality and the number of events occurring. There was not, however, any causal relationship established between perceptions of governance quality and the ratio of violent to non-violent events. Instead, interviewees related the resort to violence as coming about more strongly from a committed leadership of protest movements (or lack thereof) and moves by the State to instigate violence through repressive tactics against protest events.

This dissertation investigates how executives engage in information technology projects and how organizational control of IT projects forms and evolves over time. It contains an in-depth account of a large, multi-year IT project in a financial company. The story of the “New Deposit System” project provides insights into the dynamics of IT projects in organizations and the challenges facing executives engaging in the governance of these complex undertakings. Several characteristics of IT projects, such as their abstract nature, technological complexity and non-repetitiveness, render several of the manager’s trusted forms of control impracticable. Even the ideal of “strong top management support” is found to be problematic: it is an extraordinary measure unlikely to translate well into regular organizational practice. What we find instead are actors in search of means and ways to exercise influence. We find control to be reciprocal and dynamic, influenced by the organization and its history, by the principles and practices of corporate IT management and by the values and norms of the IT profession. In this environment, selection of key people, evolving trust, other people’s assessments and the construction and reshaping of a project image become important parts of the managerial repertoire for IT project governance.
Diss. Stockholm : Handelshögskolan, 2002

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Context: Competitiveness is the key to a sustainable development and it demands agility at the business and organizational levels, which in turn requires a flexible and customizable Information Technology (IT) environment, as well as an effective and responsive governance in order to deliver value faster, better, and cheaper to the business. Objective: This PhD thesis describes the research conducted to analyze and better understand this context, and which result is a theory to analyze and describe agile governance (AG). We assumed that once the agile governance phenomena are better understood, by means of the mapping of their constructs, mediators, moderators and disturbing factors, this achievement can help people and organizations reach better results in their application: reducing cost and time, increasing the quality and success rate of their practice. Method: We conducted a systematic literature review about the state of the art of agile governance, together with observation and interaction on professional groups based on social networks, and semi-structured interviews with representative agents of the phenomena in study. We have applied comparative and structuralist methods of procedures and have used some techniques of Grounded Theory to synthetize the collected data. We have also formatted the emerging theory by the Dubin’s quantitative method of theory building for applied disciplines, and operationalized it for testing, by means of Structural Equation Modeling (SEM). Results: As a result, we could offer the phenomena characterization, a convergent definition for agile governance, six meta principles, nine metavalues and a map of findings organized by topic and classified by relevance and convergence. We have developed a conceptual framework of the theory encompassing: its constructs, laws of interaction, boundaries and system states. Further, we have also operationalized the emerging theory: identifying its propositions, deriving empirical indicators from its constructs and establishing testable hypotheses to assess theory plausibility in eight theoretical scenarios, through an empirical study, by means of an explanatory survey with representative agents from phenomena under study. We had a response rate around 29.4% (obtained by the ratio of 281 responses out of 956 invitations), as well as an effective response rate around 12.3% (118 valid cases for statistical analysis, having a broad geographical coverage). The Confirmatory Factor Analysis (CFA) and SEM Analysis point out the plausibility of the theory components and hypotheses. Conclusion: The results present evidences of the theory plausibility, indicating that further studies are necessary to reach a trustworthy theory to analyze and describe the agile governance phenomena. At same time, lessons learned derived from this study, about the amplitude of the phenomena under study and the particularity of each subsample, suggest that the data collection instrument shall be tailored according to (i) each organizational context, (ii) suitable theoretical scenario, and (iii) chaos and order scale, in order to obtain more accurate data to analyze its: generalization, causality, explanation, and prediction. We expect that the emerging theory can provide some insights to understand agile governance phenomena and consequently help to achieve the necessary fluency in this area of knowledge in order to bring it to a new level, accelerating its development by scholars and practitioners. Eventually, we have made improvements and additions to the methodological approach for exploratory qualitative and quantitative studies.
Contexto: Competitividade é a chave para um desenvolvimento sustentável e isso demanda agilidade aos níveis organizacional e de negócio, o que por sua vez requer um flexível e customizável ambiente de Tecnologia da Informação (TI), bem como uma governança efetiva e responsiva com o objetivo de entregar valor mais rápido, melhor e mais barato ao negócio. Objetivo: Esta tese de doutorado descreve a pesquisa conduzida para analisar e melhor entender este contexto, e da qual resulta uma teoria para analisar e descrever governança ágil (GA). Assume-se que uma vez que os fenômenos de governança ágil são mais bem entendidos, por meio do mapeamento de suas construções, mediadores, moderadores e fatores perturbadores, esta realização pode ajudar pessoas e organizações a alcançar melhores resultados em sua aplicação: reduzindo custo e tempo, bem como aumentando a qualidade e a taxa de sucesso de sua prática. Método: Foi conduzida uma revisão sistemática da literatura sobre o estado da arte da governança ágil, conjuntamente com observação e interação com grupos profissionais baseados em redes sociais, e entrevistas semiestruturadas com agentes representativos dos fenômenos em estudo. Foram aplicados métodos comparativos e estruturalistas de procedimento e utilizadas algumas técnicas de Grounded Theory para sintetizar os dados coletados. A teoria emergente foi formatada pelo método quantitativo de Dubin de construção de teorias para disciplinas aplicadas, e, operacionalizada para teste, por meio de Modelagem de Equações Estruturais (SEM). Resultados: Como resultado, pôde-se oferecer a caracterização dos fenômenos, uma convergente definição de governança ágil, seis meta-princípios, nove meta-valores e um mapa de descobertas organizado por tópico e classificado por relevância e convergência. Foi desenvolvido um framework conceitual da teoria, abrangendo: seus construtos, leis de interação, fronteiras e estados de sistema. Além disso, a teoria emergente foi também operacionalizada: identificando suas proposições, derivando os indicadores empíricos de seus construtos, e estabelecendo hipóteses testáveis para acessar a plausibilidade da teoria através de um estudo empírico, por meio de um survey explanatório com agentes representativos dos fenômenos em estudo. Obteve-se uma taxa de resposta global de 29,4% (resultando de da participação de 281 respondentes de 956 convidados), bem como uma taxa de resposta efetiva de 12,3% (resultando em 118 casos válidos para análise estatística, possuindo uma ampla cobertura geográfica internacional). Os resultados da Análise Fatorial Confirmatória (CFA) e a Análise SEM apontaram para plausibilidade da teoria, seus componentes e hipóteses. Conclusão: Os resultados apresentaram evidências da plausibilidade da teoria, indicando que estudos adicionais são necessários para alcançar uma teoria confiável para analisar e descrever os fenômenos de governança ágil. Ao mesmo tempo, lições aprendidas derivadas desta pesquisa, sobre a amplitude dos fenômenos sobre estudo e da particularidade de cada grupo amostral, sugerem que o instrumento de coleta de dados deve ser adaptado de acordo com: (i) cada contexto organizacional, (ii) cenário teórico adequado, e (iii) escala de caos e ordem, procurando obter dados mais precisos para analisar sua: generalização, causalidade, explicação dos fenômenos e previsões. Espera-se que a teoria emergente possa prover algumas introspecções para entender os fenômenos de governança ágil, e consequentemente ajudar a alcançar a fluência necessária nesta área do conhecimento, a fim de trazê-la para um novo nível, acelerando o seu desenvolvimento por estudiosos e praticantes. Eventualmente, realizamos melhorias e adições às abordagens metodológicas para pesquisas exploratórias qualitativas e quantitativas.

This master thesis is about Big Data Governance and about software, which is used for this purposes. Because Big Data are huge opportunity and also risk, I wanted to map products which can be easily use for Data Quality and Big Data Governance in one platform. This thesis is not only on theoretical knowledge level, but also evaluates five key products (from my point of view). I defined requirements for every kind of domain and then I set up the weights and points. The main objective is to evaluate software capabilities and compere them.

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.

Thesis (MBA (Business Management))--Stellenbosch University, 2008.
ENGLISH ABSTRACT: With the collapse of large multi-national companies such as Enron early in the new millennium, the focus on corporate governance increased due to stakeholders and shareholders alike demanding more protection of their interests. Countries across the world developed codes and acts such as the Sarbanes-Oxley Act of 2002 in the USA, in order to establish some form of enforceable governance on publicly listed companies. In South Africa likewise the King II report on corporate governance was published in 2002. Corporate governance provides protection to stakeholders, internal and external, by focusing on the accuracy and transparency of the information published by companies, reporting the financial well-being of the company by providing projected cash flows, the responsibility and accountability of executives towards stakeholders, and also on the management of risk. Projects and project management play a major role in most companies and can have a significant effect on its cash flow, risk and reporting, and therefore corporate governance can have a marked impact on how projects could, or should be managed. This can be seen as project governance, a subset of the overall governance strategy of the company. To date not much research has been done on how governance influences projects and what is to be considered 'good project governance'. Apart from some smaller project management consulting firms, the Association for Project Management (APM) in the UK is the only one to have done some work of real importance in this area with the establishment of their 11 principles for effective project governance. In this research report the focus is on how projects are influenced by corporate governance by analysing aspects such as planning, reporting, risk management and project audits. The benefits which good project governance hold for a company, besides the protection of its stakeholder's interests, is also examined. Lastly guidelines are established for effective project governance by studying existing models, such as that created by the APM, as well as the King II report on corporate governance to try and make it more relevant to conditions in South Africa.
AFRIKAANSE OPSOMMING: Met die ineenstorting van groot multinasionale instellings soos Enron vroeg in die nuwe eeu, is daar toenemend gefokus op korporatiewe beheer, omdat beide belanghebbers en aandeelhouers aangedring het op groter beskerming van hul belange. Lande wereldwyd het kodes en wette ontwikkel. soos die Sarbanes-Oxley Act (2002) in die VSA, ten einde een of ander vorm van afdwingbare beheer op openbaargenoteerde maatskappye daar te stel. In Suid-Afrika ingelyks is die King II verslag oor korporatiewe beheer in 2002 gepubliseer. Korporatiewe beheer verleen beskerming aan belanghebbers, intern sowel as ekstern, deur te fokus op akkurate en deursigtige inligting wat maatskappye bekend maak, verslae oor die finansiele welstand van maatskappye deur middel van geprojekteerde kontantvloei, verantwoordelikheid en aanspreeklikheid van uitvoerende beamptes teenoor belanghebbers, asook duidelikheid oor risikobestuur. Projekte en projekbestuur speel 'n belangrike rol in die oorgrote meerderheid maatskappye en kan 'n beduidende uitwerking he op kontantvloei, risiko en verslagdoening. Juis weens hierdie oorwegings kan korporatiewe beheer 'n aanmerklike impak he op die wyse waarop projekte bestuur, of behoort bestuur te word. Dit kan beskou word as projekbeheer, 'n onderafdeling van die oorkoepelende beheerstrategie van 'n maatskappy. Min navorsing is nog gedoen oor die invloed van beheer op projekte, asook wat beskou kan word as 'goeie projekbeheer'. Afgesien van enkele kleiner projekbeheer konsultantmaatskappye, is die Association for Project Management (APM) in Brittanje die enigste wat werklik substantiewe leiding op hierdie terrein gebied het, soos blyk uit hul ontwikkeling van 11 beginsels vir doeltreffende projekbeheer. In hierdie navorsingsverslag word gefokus op hoe projekte beinvloed word deur korporatiewe beheer, deur kwessies soos beplanning, veslagdoening, risikobestuur en projekouditte te analiseer. Voordele wat goeie projekbeheer vir 'n maatskappy inhou, naas beskerming van belanghebbers se belange, word eweneens ondersoek. Enkele riglyne word laastens ontwikkel vir doeltreffende projekbeheer, deur bestaande modelle te bestudeer, soos die van APM en die King II verslag oor korporatiewe beheer, om dit meer relevant te maak vir Suid-Afrikaanse toestande.

The recent onslaught of corporate scandals has compelled the world to acknowledge the profound impact of corporate governance practices on the global economy. Corporate governance has become important for the survival of companies and indeed of national economies in the increasingly global economy. Corporate governance is of particular concern in developing economies, where the infusion of international investor capital and foreign aid is essential to economic stability and growth. For transition economies, such as Uganda's, which are faced with the challenge of restructuring for greater efficiency and creating a foreign investment-friendly environment, good corporate governance is crucial for success. This research highlights corporate governance initiatives in Uganda, focusing on the proposed corporate governance reforms. An analysis of the major corporate governance reforms is done including; statutory reforms, development of codes of conduct and best practice and institutional reforms. The evolution of Uganda's corporate structure and the forces driving corporate governance reform is examined. It is noted that corporations in Uganda cannot shield themselves from the global movement that is shaping standard principles governing corporations. Therefore the global principles of corporate governance are examined concerning how they can serve as models for enhancing corporate governance standards in Uganda. The analysis is based on the need to bring Uganda's corporate governance reforms in line with internationally accepted standards but considering the best interests of Uganda and its citizens.

Considering the effectiveness of the WTO and global governance in general as insufficient to overcome growing problems in governing a globalizing world, I pursue four objectives. By shedding light on the changes in the environment of the WTO and their implications for the working of the WTO, I first want to underpin the case for structural reforms. My second, and central, aim is to recommend a more effective structure for the WTO. Thirdly, I draw general lessons for global governance from the example of the WTO. And finally, I assess the adequacy of my innovative research design. The research design is characterized by a broad analytical framework that traces how regional integration among nation states and legalization of international institutions affect bargaining and enforcement of international agreements; additionally, it considers trends that affect the WTO. The interdisciplinary theoretical framework combines insights from the fields of international relations, international law, and international economics, and builds upon rationalist and constructivist perspectives.

Die Stadtentwicklungspolitik in Deutschland formuliert aufgrund veränderter Rahmenbedingungen wie dem demografischen Wandel, der Globalisierung der Wirtschaftsbeziehungen oder auch veränderter öffentlicher Finanzen, die normative Idee, Stadtquartiere durch eine intensivere Beteiligung privater Akteure zu entwickeln. Bisherige Versuche der Städtebauförderung die Einbindung privater Kleineigentümer in quartiersbezogene Handlungsansätze zu stimulieren zeigen, dass dies bislang nur unzureichend gelingt. Auf rationalen Handlungslogiken basierende Theorien sprechen im Zusammenhang der privaten Erstellung öffentlicher Güter sogar von „Marktversagen“. Und trotzdem existieren bereits erste Eigentümerstandortgemeinschaften (ESG) in Deutschland. Was ermöglichte dieses private Engagement? Angesichts fehlender empirischer Daten über freiwilliges kollektives Handeln privater Eigentümer in der Quartiers-entwicklung, geht die vorliegende Dissertation der Frage nach, welche Faktoren die Entstehung von ESG bestimmen und die institutionelle Struktur von ESG charakterisieren. Zur Beantwortung der Forschungsfrage wurde ein vergleichendes Fallstudiendesign mit ESG in Dortmund, Essen und Görlitz gewählt. Die Ergebnisse der Dissertation verdeutlichen, dass ESG als abhängige Variable sowohl durch die individuellen Interessen bzw. Handlungsstrategien der Immobilieneigentümer bei der Bewirtschaftung ihrer Immobilien, als auch durch den Steuerungsanspruch staatlicher Akteure in der Quartiersentwicklung bestimmt werden. Die Autorin leitet die individuellen und kollektiven Handlungsstrategien der Akteure her und setzt sich mit der individuellen Motivation zum Handeln auseinander. Zusätzlich werden grundlegende institutionelle Merkmale von ESG und ihre Eigenheit als Urban Governance-Ansatz diskutiert. Aus den als Hypothesen formulierten Ergebnissen werden abschließend Schlussfolgerungen für die Praxis sowie der weitere Forschungsbedarf abgeleitet
This PhD thesis deals with a concept of urban development which is at present in a pilot phase in Germany, the Local Property Owner Partnership (LoPOP). These are characterized by a voluntary collective development of the quarter at the initiative of the property owners. The demographic, economic and social structures lead to spatially differentiated changes which induce complex problems in urban development. Among others, this may result in a notable increase of vacant flats, an increasing demand for low-barrier flats or in investment backlogs of the public infrastructure. A large part of the up-coming investment tasks concerns private property and requires action by private property owners, e.g. in the development of living space. Attempts to activate proprietors via urban development funding have shown minor success up to now. Current urban development policy formulates the idea to reach a positive development of structurally weak quarters by a more intensified participation of private actors in collective approaches. In view of the missing of empirical data on voluntary action by private proprietors in the urban development, the PhD thesis investigates which factors determine the establishment of Local Property Owner Partnerships and characterize their institutional structure. Due to the small number of existing LoPOPs in Germany as well as to the limited number of scientific publications dealing with this subject, a comparative case study design was chosen. Fifty-six partially structured interviews were held in three heterogeneously distinctive LoPOPs in Dortmund, Essen and Görlitz. The transcribed interview data were processed by means of reconstructive content analyses and the results were formulated as hypotheses. The results of the thesis show that the subject of examination, LoPOPs, can be discussed with respect to actor-related and institutional theories as well as governance approaches. LoPOPs are defined as a dependent variable with respect to the individual interests and strategies of action of the property owners concerning their real estate management as well as to the governance requirements of state actors concerning the development of the quarter. Thereby, it has become apparent that one should make a distinction between the strategies of action of the state and the private actors. Both groups show three basic types of action strategies which have constructional and social as well as structural impacts on the quarter. The individual strategies of action of the proprietors are invest, wait and exit. With regard to the quarter, the municipal actors have the strategies develop, wait or retract at their disposal. Moreover, the data analyses discovered a path dependency between the individual management strategies of the proprietors and their action in the collective situation. The actors who are focusing on wait or on exit play the role of free riders. With regard to the proprietors who are willing to invest, three collective strategies of action may be noted: wait, individual effort and cooperation. As a central motive for choosing the collective strategy of action cooperation and, thus for commitment to participating in the LoPOP, the reduction of uncertainty could be identified. According to this, the preparedness for cooperation depends on the intensity of uncertainty in the management of the property and, thus, also on the degree of being affected by the above mentioned structural change. Whether the LoPOP is a suitable tool for the elimination of this uncertainty is closely connected with its institutional structure. LoPOPs are - taking into account the specific constellation of actors - characterized by high transaction costs, due to the low legal and social possibilities for sanctions. Therefore, a clear value of the projects and the common standards of the actors are all the more necessary for success. LoPOPs deal with the development of quarters and produce, as a private initiative, also public goods. This establishes the public interest in their development. The results of the thesis show that, due to the constellation of actors, interests and themes in voluntary LoPOPs, the state actors concentrate on the interaction form of the horizontal coordination. Therefore, LoPOPs can be referred to as a form of Urban Governance. Moreover, it becomes obvious that, when the mission statement of a voluntary, informal and private network of small proprietors shall be realised, on the one hand free riders cannot be avoided, on the other hand the public authorities are indispensable providing consulting and financial support. In comparison with traditional approaches of urban development funding, LoPOPs, as collective development approaches, need an intensive involvement of local actors in addition to the thematic debate during their preparation. The thesis terminates with conclusions for practice as well as needs for further research drawn from the generated hypotheses. The needs for further research refer inter alia to the evaluation of effects of the LoPOPs; the analysis of learning processes among the groups of actors in the development process and in the verification of the generated hypotheses in this work

The authors analyze the reasons for the establishment of a regulatory regime for international financial markets in accordance with the ideas of liberal internationalism. They argue that the system of international markets is affected by polymorphy, indicating the existence of different forms of regulation. Five factors produce this polymorphy: the non-existence of a homogenous object of steering, the dynamic nature of these objects, the fact that the purpose of governance is not clearly defined, the dominance of governance by the USA and Great Britain, and governance as a result of a multi-level game with various coalitions.

The constraints experienced by water utilities in developing countries, with regard to the universal provision of access to water and improved water services, have been defined by international policymakers as "a crisis of governance". This study departs from the theoretical perspectives on governance and aspires to accumulate knowledge and advance understanding on how the performance of water utilities can be enhanced. The thesis comprises five papers and the cover essay. Four of the papers address case studies and one is a theoretically based paper, while all five papers are supported by reviews from the literature relevant to the topic of each paper. The thesis uses insights from literature reviews mapping relevant scientific theories and concepts in the areas of mainly governance, deliberative policymaking and communicative planning, social capital, civil society and institutional theoretical perspectives. The study integrates different research methods and explores theoretical perspectives on governance to examine the governance aspects of water utilities in the transition phase from public to private management and operation. The study investigates whether the  governance structure that involves the private sector in the form of Public Private Partnership (PPP) of water utility has produced "good governance" and enhanced water governance in two cases, the Lema Water Company in Amman, Jordan and the Ghana Water Company Limited (GWCL) in Accra, Ghana. The analysis highlights evidence of governance deficiency. Accordingly, the thesis argues against the policy design that assumes that simply transferring the management and operation of water utility to private operators would resolve the problems of water utilities and enhance water governance. The analyses and the conclusions reached in the papers, together with a review of the literature on New Institutional Economics theory that knits together all the theories that are utilised in the papers, offer insights in the understanding of aspects of water governance. The insights suggest that policymakers need to better understand how institutions at different levels impact the overall performance of a water utility. The performance of the water utility cannot be detached from the wider institutional setting or reduced to simply changing the operator.  What has been disregarded from the calculus of international policymakers, the thesis mainly argues, is the institutional perspective. The study concludes that actors’ performances are affected primarily by their institutional settings. The constraints of water utilities to provide a better performance and good governance processes reside in different kinds of institutional settings To address this, the thesis develops a generic institutional framework within which water governance aspects can be assessed at different institutional levels, from the higher level of politics to that of the individual level. According to this perspective, the study views governance process as "the interaction between actors from the spheres of a society within specific sets of formal and informal institutions in a social setting that produces certain political, economic and social outcomes".  It defines good governance as "the legitimacy given by the wider public to institutions in a social setting and the coherency of formal and informal institutions to produce socially effective outcomes for the collective public". The developed generic institutional framework is used to more thoroughly analyse the two cases integrated in the study. This approach to assessment of water governance provides an explanation for why the water utilities were not able to meet their performance goals and enriches our understanding of water governance processes. It also modestly maps the main problematic institutional areas that in each case constrained aspects of good water governance. In practical terms, this thesis emphasises that policymakers have to map and identify the institutional factors constraining the overall performance of a water utility, at all levels. The thesis also urges policymakers to be cautious regarding which formulated policies are seen as solutions. Policymakers should restrain themselves from experimenting with policy when they are not sure that certain outcomes are likely to be produced by adopting a particular policy. In the long run, inappropriate policies may negatively affect local institutional settings and are likely to undermine the capacity of local governance.
QC20100628

Membership-based organizations perform many functions in society. Federatively organized trade unions, sports organizations, religious congregations and other voluntary or nonprofit organizations are often large, multi-level associations. In addition to performing important services these organizations are ascribed a central role in society’s governance. They are expected to enhance the voice of the citizens and to function as schools of democracy. Based on a sample of membership organizations in Sweden – among them the Red Cross, the Social-Democratic Workers’ Party and the Swedish Football Federation – this study sets out to analyze the internal governance system in this type of organizations. Basic theoretical models of human behavior – including how and why individuals choose to get involved – and of governance of organizations are elaborated in order to adapt them to a reality which is more complex than has been previously understood. A model of factors which affect involvement in governance is presented and the analysis shows that a model of membership consisting of a bundle of dimensions is useful for creating new insight into members’ participation. The results suggest that participation is complex and depends on many factors. One interesting result is that a majority of the members place an emphasis on the formal possibilities for influence in the organization. Yet, only a minority of the members actually takes part in the formal governance system, although most members seem prepared to act if they would be disappointed enough. Torbjörn Einarsson has conducted his PhD work at the Stockholm School of Economics (SSE) and is today a researcher at Stockholm Center for Civil Society Studies at the SSE Institute for Research.

Diss. Stockholm : Handelshögskolan, 2012.

The aim of this thesis is to analyze the recently formed global governance of migration, which has got an unprecedented trans-boundary nature due to the impacts og globalization in the post Cold War era.

Since the late nineteen nineties, corporate governance has been recognised by the Chinese leadership as being an integral and vital part of economic reform. At the macro level the reform is to transition to a market economy and at the micro level, business enterprises are adopting sound standards of corporate governance. This thesis analyses the various models: the shareholder value, the stakeholder, the stewardship and the convergence models of corporate governance. It looks at the Chinese scenario - what model of governance has China adopted and is it appropriate? What problems of corporate governance are special to China and how are these problems being resolved? Many of the problems are due to the fact that China has adopted the shareholder value model ??? a model based on the UK / USA. However, unlike them, China does not posses the requisite institutions necessary to underpin the efficient functioning of the model. The Chinese capital markets are nascent and not well regulated, the rule of law is tentative and the regulatory bodies are lacking in enforcement powers. In an effort to encourage good corporate governance, the China Securities Regulatory Commission promulgated the QFII (Qualified Foreign Institutional Investor) scheme in December 2002 in the hope that by opening the domestic securities market to foreign financial institutions, this would result in the implementation of sound corporate governance in Chinese listed companies as they vied to attract foreign shareholders. A survey was carried out and the results have only been mildly encouraging. The QFII has not had the dramatic impact that was expected of it initially and the reason is that the quotas allocated have been small and the QFII have had many restrictions placed. Until these are loosened the impact of the QFII will continue to be modest.

In dieser Dissertation wird die Hedgefonds-Industrie erstmals aus einer umfassenden Governanceperspektive betrachtet. Das Anreizgeflecht zwischen Hedgefonds und ihren wichtigsten Stakeholdern wird analysiert, um darzustellen, welche Interessenskonflikte zwischen Hedgefonds und ihren Stakeholdern, aber auch innerhalb der Stakeholdern-Society der Industrie existieren. Einige dieser Konflikte können das operative Risiko und somit die Kreditrisiken einzelner Fonds erhöhen und strahlen durch die verbreitete Intransparenz und die zunehmenden Ansteckungsgefahren innerhalb der Hedgefonds-Industrie auf weite Teile der Industrie ab. Diese Arbeit ergänzt die wissenschaftliche Literatur, indem erstmals die grundlegenden Interessenskonflikte der Hedgefonds-Industrie gegenüber ihren wichtigsten Stakeholdern (Investoren, Gläubigern & Gesellschaft) identifiziert, umfassend dargestellt und Lösungsansätze diskutiert werden. Zur Identifizierung und Analyse dieser grundlegenden Anreizprobleme und der daraus resultierenden Interessenskonflikte wird sich eines Datensatzes bedient, der bisher noch keine Behandlung in der wissenschaftlichen Literatur über Hedgefonds gefunden hat: Den Hedgefonds-Anklagen der U.S. Securities and Exchange Commission (SEC) zwischen den Jahren 2000 und 2011. Der Blick aus der Stakeholderperspektive ermöglicht es, die Anreize, denen ein Fondsmanager oder verschiedene Stakeholder ausgesetzt sein können, besser zu verstehen, zentrale Anreizprobleme der Industrie zu identifizieren und potenzielle Lösungsansätze vor dem Hintergrund der Governancetheorie zu diskutieren. Zudem wird der Zusammenhang zwischen den Governanceproblemen und den systemischen Risiken der Hedgefonds-Industrie hergestellt. Es wird gezeigt, dass verbesserte Governancestrukturen, die transparenzerhöhend und anreizangleichend wirken, nicht ausschließlich Investoren und Gläubigern, sondern auch der Gesellschaft als zentraler Stakeholder der Industrie einen Mehrwert bringen können. Denn die Governanceprobleme, die noch immer Teile der Hedgefonds-Industrie prägen, wie immer neue und größere Betrugsskandale andeuten, zeigen auch, dass sie aus einer Governance- beziehungsweise operativen Perspektive für ihre wachsende Rolle im Finanzsystem noch nicht gerüstet zu sein scheint. Diese operativen Risiken können die Kreditrisiken vieler Fonds erhöhen und negative Auswirkungen auf systemrelevante Gläubiger haben, die im Brokerage/Depotgeschäft den Risiken einer Vielzahl von Hedgefonds ausgesetzt sein können. Im Lauf der vergangenen Dekade hat zusätzlich noch die Vernetzung innerhalb der Hedgefonds-Industrie und mit systemrelevanten Institutionen zugenommen. Daher sind nicht mehr nur die Kreditrisiken großer Fonds, sondern durch potenzielle Ansteckungsgefahren innerhalb der Industrie werden auch die Kreditrisiken kleinerer Fonds relevant, wenn diese korreliert ausfallen. So können Governanceprobleme in der Hedgefonds-Industrie durch die Erhöhung des operativen und des Kreditrisikos die systemischen Risiken der Industrie beeinflussen. Daher können durch geeignete Governancemechanismen den einzelnen Stakeholdern, der Wissenschaft sowie der Politik grundlegende Informationen und Steuerungsinstrumente zugänglich gemacht werden, die die Mess- und Steuerbarkeit von operativen Risiken erhöhen, potenzieller Überregulierung besser vorbeugen und Kredit- und systemische Risiken abschwächen.

This dissertation is composed by two essays that explore the changes in corporate governance around the passage of Sarbanes-Oxley (SOX) 2002. In the first essay, I examine the relation between board structure and compensation as a bargaining game between the board and the CEO. Bargaining game theories describe an endogenous process of determining the structure of director and CEO compensation. The Sarbanes-Oxley Act (SOX) altered the equilibrium of power between the board and CEO by changing the monitoring role of the board. SOX essentially provides a natural experiment to test how a shock to the bargaining game alters the balance of power between directors and the CEO. Using the ratio of director compensation to CEO compensation to proxy for bargaining power, I find a significant increase following the passage of SOX, consistent with directors gaining bargaining advantage. Moreover, firms with strong shareholder rights exhibit even greater evidence of power shifting to the directors. Overall, the results suggest that directors gain more power relative to the CEO in determining compensation plans and strong shareholder rights help firms to align directors' incentives with those of shareholders. In the second essay, I examine the relation between CEO compensation structure and acquirer returns. In the literature, researchers find that executive compensation structures influence corporate acquisition decisions. Equity-based executive compensation should reduce the non-value-maximizing behavior of acquiring managers. A series of corporate reforms such as SOX and the FASB expensing rule affected the structure of CEO equity-based compensation. I find a significant increase in CEO restricted stock compensation and a significant decrease in CEO option-based compensation following these reforms. I also find that CEOs with strong managerial power are more likely to receive more restricted stock in their compensation package after the 2002 reforms. Finally, I find a significant positive relation between the restricted stock compensation of acquiring firm CEOs and abnormal stock returns after 2002. This provides empirical support on the effectiveness of the shift away from options towards restricted stock in executive compensation packages. Restricted stock is associated with better merger decisions.
Ph.D.
Department of Finance
Business Administration
Business Administration PhD