Tool 4 - Governance Arrangements

1. To assess whether there is a good understanding of the actors with recognized responsibilities for managing the property (managers), as well as of actors with rights (rights-holders) and interests or influence (stakeholders) over the property.
2. To understand whether the roles and responsibilities of managers are clearly defined.
3. To identify gaps and challenges to effective coordination and collaboration between managers.
4. To examine whether rights-holders are adequately recognized and engaged in the management of the property.
5. To consider whether there are issues of capacity that are influencing the ability of rights-holders to participate in decision-making processes and, therefore, whether the level of rights-holder engagement is having positive and/or negative influences on the management of the property.
6. To identify actions to engender respectful and participatory governance at the property.

Achieving effective and equitable governance and management requires coordination and collaboration among actors with responsibilities, rights and interests in the property. The levels of participation will vary according to the mandate, capacity and resources of those actors, whether and how their rights, roles and responsibilities are recognized and respected, and whether there are platforms and processes available to make participation easier.

This tool explores two key aspects of the relationships among different actors:

1. How authority and responsibility for managing the property is divided and shared among managers and how they are working together.
2. The level of engagement of the rights-holders and local communities in the management of the property.

The overall use of this tool is dependent on a good understanding of who the managers, rights-holders and stakeholders are. In some properties, it can be straightforward to identify the institutions or groups with socially recognized responsibilities for its management. However, for an increasing number of World Heritage properties, governance arrangements can be complex and involve multiple institutions and groups. In such situations, it might not be clear who holds, or who should rightfully hold, authority and responsibility for managing the World Heritage property A cultural, natural or mixed heritage place inscribed on the World Heritage List and therefore considered to be of OUV for humanity. The responsibility for nominating a property to the World Heritage List falls upon the State(s) Party(ies) where it is located. The World Heritage Committee decides whether a property should be inscribed on the World Heritage List, taking into account the technical recommendations of the Advisory Bodies following rigorous evaluation processes.
When used as a general term, World Heritage refers to all the natural, cultural and mixed properties inscribed on the World Heritage List. and any existing buffer zone(s).

Management decisions about different issues are made and influenced by different actors, who collectively feed into the management system of the property. This is particularly the case for serial properties, which can have a high number of components across vast geographical areas, and for transboundary properties, where formal governance and management arrangements are needed between different countries. Similarly, cultural landscapes and urban settlements are generally managed by multiple actors – although in some cases, one specific organization may be assigned the main role of managing the property from a heritage perspective – requiring formal mechanisms of coordination. Managers can be empowered by legislation, by cultural practices established over time, or a mix of both legal and customary instruments.

Tool 4 is comprised of three worksheets:

• Worksheet 4a is used to identify which actors can be considered managers. It also offers a structured framework to analyse each manager’s specific role or mandate for managing the property and any existing buffer zone(s), which key instruments and powers grant them that mandate, and the extent and level of their involvement in decision-making processes. Note that this worksheet is mainly intended for World Heritage properties with complex governance arrangements and a diversity of actors with management responsibilities. If you are working with a property with only one or a few institutions or groups responsible for most (or all) aspects of the management, you can discuss and decide whether or not to use the worksheet.
• Worksheet 4b explores whether there is effective collaboration and cooperation between managers. As for Worksheet 4a, the use of worksheet 4b should be determined in relation to the complexity of the governance arrangements.
• Worksheet 4c first assesses whether there is appropriate knowledge of the different rights-holder groups. Once this is determined, the worksheet is used to examine the levels of engagement and participation of the different rights-holder groups in the management of the property. With some adaptation, the worksheet can also be used to undertake a similar analysis for different stakeholder groups.

Overall, these worksheets help assess some key aspects of the governance arrangements at a World Heritage property A cultural, natural or mixed heritage place inscribed on the World Heritage List and therefore considered to be of OUV for humanity. The responsibility for nominating a property to the World Heritage List falls upon the State(s) Party(ies) where it is located. The World Heritage Committee decides whether a property should be inscribed on the World Heritage List, taking into account the technical recommendations of the Advisory Bodies following rigorous evaluation processes.
When used as a general term, World Heritage refers to all the natural, cultural and mixed properties inscribed on the World Heritage List. . Tool 5 and Tool 8 (‘Legal, regulatory and customary framework’ and ‘Management processes’, respectively) explore other aspects of governance diversity and quality.

Before you begin completing this worksheet, it is important that all those involved in the assessment are clear about who is to be recognized as a ‘manager’, as differing understandings of this term can create confusion. Only institutions or groups with i) legal or customary authority, or ii) socially recognized responsibilities, for managing the World Heritage property A cultural, natural or mixed heritage place inscribed on the World Heritage List and therefore considered to be of OUV for humanity. The responsibility for nominating a property to the World Heritage List falls upon the State(s) Party(ies) where it is located. The World Heritage Committee decides whether a property should be inscribed on the World Heritage List, taking into account the technical recommendations of the Advisory Bodies following rigorous evaluation processes.
When used as a general term, World Heritage refers to all the natural, cultural and mixed properties inscribed on the World Heritage List. and any existing buffer zone(s), as a whole or in part, should be identified as managers. The authority and responsibilities of managers may or may not be heritage-specific. For instance, the authority to manage the buffer zone of a cultural heritage property may be the responsibility of a natural protected area agency. Similarly, the authority to regulate land use in a cultural landscape or geological site may be held by an urban planning department of a municipality or provincial government, or the authority to manage a particular religious building may lie with a religious institution. For all these actors to be recognized as managers, it is necessary that other actors recognize them as such and, consequently, hold them accountable for their responsibilities in managing the property.

If there are several groups and institutions recognized as managers, you should complete this worksheet in detail the first time you carry out a management effectiveness assessment. However, in future assessments you will not need to repeat this process if the governance arrangements remain fundamentally unchanged; although you may choose to complete the final rows on ‘Analysis and conclusions’ and ‘Opportunities, recommendations and follow-up actions’ to document any changes or progress made since the previous assessment. On the other hand, if there has been considerable restructuring or substantial changes to the governance and management arrangements of the property and any existing buffer zone(s) since the previous assessment, you should complete the whole worksheet in detail. Examples of substantial change can include the recognition of rights-holders as managers – for instance, through return of land to Indigenous peoples or statutory recognition of local communities.

If there has been no previous mapping of the governance arrangements for the World Heritage or other heritage place (as well as any existing buffer zone(s)), then this worksheet is essential. Many management challenges arise from weak or unclear governance arrangements. When identifying managers, it is important that you consider information documented in Worksheet 1a (on values and attributes) and Worksheet 2 (on factors affecting the property). Use Worksheet 1a to help determine whether the responsibilities of the identified managers cover the full range of values of the property or other heritage place. If needed, use the column on ‘responsibility’ from Worksheet 2 to help you identify who is a manager.

Reflection questions:

• Is it clear which actors are managers? If not, why not?
• Is each manager recognized as such by the other actors (particularly if that manager is responsible for managing only parts of the World Heritage property A cultural, natural or mixed heritage place inscribed on the World Heritage List and therefore considered to be of OUV for humanity. The responsibility for nominating a property to the World Heritage List falls upon the State(s) Party(ies) where it is located. The World Heritage Committee decides whether a property should be inscribed on the World Heritage List, taking into account the technical recommendations of the Advisory Bodies following rigorous evaluation processes.
  When used as a general term, World Heritage refers to all the natural, cultural and mixed properties inscribed on the World Heritage List. or buffer zone, or only certain heritage resources)? If not, why not?
• Is it clear what instruments and powers grant each manager the authority, role and responsibilities over the property and/or the buffer zone? How do those instruments and powers make them accountable to the other actors?
• In cases where there are several managers, is it clear who holds the primary responsibility for managing the World Heritage property from a heritage perspective? Is that manager also responsible for the management of the buffer zone? If not, what challenges derive from a separation in management responsibility between the property and buffer zone?
• Is the mandate for the property’s primary manager adequate for the required role? Does that mandate and the instruments at its disposal grant the manager the necessary powers to effectively assume the primary responsibility for managing the property?
• Are there conflicts or overlaps between the responsibilities of different managers?
• Are there situations where certain managers are unable or unwilling to exercise their responsibilities? If yes, why? What can be done to address the situation?
• Is the governance structure – including the necessary interactions between different managers – clearly documented, transparent and accessible? Is it clear who has the main decision-making power (or final saying) in relation to different management processes?
• Are the governance arrangements in line with the values of the World Heritage property A cultural, natural or mixed heritage place inscribed on the World Heritage List and therefore considered to be of OUV for humanity. The responsibility for nominating a property to the World Heritage List falls upon the State(s) Party(ies) where it is located. The World Heritage Committee decides whether a property should be inscribed on the World Heritage List, taking into account the technical recommendations of the Advisory Bodies following rigorous evaluation processes.
  When used as a general term, World Heritage refers to all the natural, cultural and mixed properties inscribed on the World Heritage List. or other heritage place?

While Worksheet 4a was used to identify the managers, Worksheet 4b is used to assess how well the different managers work together. Even if the governance arrangements for your property are relatively clear and involve a limited number of managers, completing this worksheet is still a useful exercise.

When there are several managers who have the authority and responsibility for managing the property and any existing buffer zone(s) – in full or in part – it is necessary to ensure mutually effective collaboration and coordination. The social, economic, political and administrative context in which managers operate can promote a sense of separation and competition, rather than coordination and collaboration. This can lead to each manager pursuing its own goals – particularly when no management objectives for the property have been identified or are inadequate to guide the whole management system. Your findings for Worksheet 1b are relevant here, as this way of working can lead to competition for resources and duplication of effort.

Much more can be achieved when managers work together, particularly by building effective partnerships across administrative levels. By doing this, managers can combine resources to achieve outcomes that previously may have looked impossible or difficult to attain, and to collaboratively explore creative solutions to management challenges.

Worksheet 4b is structured around a set of five topics (or themes) that can facilitate or hinder collaboration between managers. You can combine some of the suggested topics and/or include other topics that best suit your specific governance and management contexts. The assessment is undertaken by reviewing strengths and challenges for each topic or theme. Table 5.1. includes a number of guiding questions for you to consider when completing Worksheet 4b.

Effective management requires the active engagement of rights-holders in decision-making processes and other management processes. While Worksheets 4a and 4b analyse the relationships between managers, Worksheet 4c examines the level of engagement of rights-holders in the management of the property and any existing buffer zone(s).

The use of Worksheet 4c is dependent on the prior identification of different rights-holder groups involved with the property and any existing buffer zone(s), usually through what is called a ‘stakeholder analysis’. However, note that a stakeholder analysis is normally undertaken for all actors involved with the property, including managers, to describe the interest and influence of each actor. The focus of Worksheet 4c is on rights-holders and their engagement in the management of the property. Remember that rights-holders with socially recognized responsibilities for managing the property (or parts of it) should have been identified as managers (Worksheet 4a). To be recognized as managers, it is important that the responsibilities of any rights-holder group(s) are acknowledged by other actors. As managers, rights-holders are accountable for fulfilling their custodial and/or legal responsibilities.

Completing Worksheet 4c requires an in-depth (not a generalized) understanding of different groups of rights-holders – both within the property and its buffer zone(s). For instance, in an urban settlement, rights-holders can include Indigenous and local communities with customary rights, as well as building owners, business owners or religious groups with legal rights. Each group can have a different relationship with the urban settlement and its attributes, and therefore different expectations and needs
related to its management. It is useful to recognize the diversity among each rights-holder group, including age, gender and levels of authority. Therefore, to complete Worksheet 4c comprehensively, you will need to reflect on your level of knowledge about each rights-holder group.

Where your knowledge of a rights-holder group is inadequate (which may become apparent when completing Worksheet 4a), then leave the column for that group blank; that is, complete the rows and columns only for the rights-holder groups for whom you have sufficient knowledge. You should then note in the ‘Gaps and challenges’ and ‘follow-up action’ rows the need for a detailed rights-holder identification or analysis.

The worksheet is presented in the form of a matrix, with different rights-holder groups listed on the top of each column, and with rows containing a series of questions for each identified group. Although this worksheet is structured in the form of a questionnaire (since you need to respond to the same questions for each different group), it is essential that you draw overall conclusions from your analysis of the information in the worksheet. To help you with this task, you will find a list of reflection questions below.

If it is helpful to your understanding of management effectiveness, you can also complete the worksheet for stakeholder groups. However, if you do so, some of the questions in Worksheet 4c may need to be adapted. Note that in certain situations, some stakeholders may have considerable power over the management of the property (or parts of it), even though they do not have socially recognized responsibilities or rights to do so.

Reflection questions:

• Have all rights-holder groups been identified? Are the rights of each group well understood?
• Are the rights of different groups respected by all managers? Are customary rights respected to the same extent as legal rights?
• Is the practice of some customary rights in conflict with the management objectives for the property?
• How is power distributed among (and within) different rights-holder groups? Do some groups have more power than others?
• Do rights-holder practices positively contribute to the protection and management of the property?
• Are the needs of rights-holders effectively addressed within the management system for the property? If yes, are the benefits provided by the World Heritage property A cultural, natural or mixed heritage place inscribed on the World Heritage List and therefore considered to be of OUV for humanity. The responsibility for nominating a property to the World Heritage List falls upon the State(s) Party(ies) where it is located. The World Heritage Committee decides whether a property should be inscribed on the World Heritage List, taking into account the technical recommendations of the Advisory Bodies following rigorous evaluation processes.
  When used as a general term, World Heritage refers to all the natural, cultural and mixed properties inscribed on the World Heritage List. shared equitably and/or fairly between different groups? If not, what are the main conflicts that need to be addressed?
• Are the effects of management on rights-holders positive, or at least neutral?
• Are all rights-holder groups engaged in the management of the property, or do some feel excluded?